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Farshid Zabihian - Power Plant Engineering-CRC Press (2021)

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Power Plant Engineering

Farshid Zabihian
First edition published 2021
by CRC Press
6000 Broken Sound Parkway NW, Suite 300, Boca Raton, FL 33487-2742

and by CRC Press

2 Park Square, Milton Park, Abingdon, Oxon, OX14 4RN

© 2021 Farshid Zabihian

CRC Press is an imprint of Taylor & Francis Group, LLC

The right of Farshid Zabihian to be identified as authors of this work has been asserted by them in
accordance with sections 77 and 78 of the Copyright, Designs and Patents Act 1988.

Reasonable efforts have been made to publish reliable data and information, but the author and
publisher cannot assume responsibility for the validity of all materials or the consequences of
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reproduced in this publication and apologize to copyright holders if permission to publish in this
form has not been obtained. If any copyright material has not been acknowledged please write and
let us know so we may rectify in any future reprint.

Except as permitted under U.S. Copyright Law, no part of this book may be reprinted, reproduced,
transmitted, or utilized in any form by any electronic, mechanical, or other means, now known
or hereafter invented, including photocopying, microfilming, and recording, or in any information
storage or retrieval system, without written permission from the publishers.

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Trademark notice: Product or corporate names may be trademarks or registered trademarks and are
used only for identification and explanation without intent to infringe.

ISBN: 978-1-4987-0712-1 (hbk)

ISBN: 978-0-367-77396-0 (pbk)
ISBN: 978-0-429-06945-1 (ebk)

Typeset in Palatino
by codeMantra

Access the Support Material: https://www.routledge.com/9781498707121

To my wife and daughter, Niloufar and Diana, who

sacrificed so much so I can complete this book

and

To the memory of my father, who inspired most of what

I have done in my life, including this book.

Contents

Preface.................................................................................................................. xxiii
Acknowledgments.............................................................................................. xxv
Author................................................................................................................. xxvii

1. Introduction to Electricity..............................................................................1
1.1 Introduction to Energy and Society.................................................... 2
1.1.1 Economic Growth, Living Standard, and Energy
Consumption.............................................................................2
1.1.2 Energy Consumption...............................................................4
1.1.3 Energy Consumption in Society............................................. 5
1.1.4 Energy Consumption Sectors and Share of Each Sector.....6
1.2 Primary Energy Sources.......................................................................8
1.3 Introduction to Electricity................................................................... 12
1.3.1 Brief History of Electricity..................................................... 12
1.3.2 Electricity and Society............................................................ 15
1.3.3 Electricity Consumption, Economic Development,
and Energy Inequality........................................................... 21
1.4 Structure of Electrical Infrastructure................................................ 24
1.4.1 Characteristics of Load Demand for Electricity................. 25
1.4.2 Characteristic of Power Generation Systems...................... 29
1.4.3 Selecting Capacity and Type of Electricity
Generating Units..................................................................... 32
1.4.4 Baseload and Peak-Load Power Plants................................ 32
1.5 Electricity Transmission Lines...........................................................34
1.6 Regulated versus Deregulated Electricity Market.......................... 38
1.7 Introduction to Conventional Power Generation Systems............. 41
1.7.1 Methods to Categorize Electricity Generation................... 41
1.7.2 Thermodynamics of Conventional Power Generation
Systems.....................................................................................44
1.7.2.1 Categorization of Power Cycles............................. 45
1.7.2.2 Work in Moving Boundary Systems
(Closed Systems)...................................................... 46
1.7.2.3 Work in Control Volumes....................................... 47
1.7.2.4 Performance Evaluation Parameters.................... 49
1.7.2.5 Idealization of Power Generation Systems.......... 51
1.8 Questions and Problems..................................................................... 52
1.8.1 Energy and Society................................................................. 52
1.8.2 Primary Energy Sources........................................................ 57
1.8.3 Introduction to Electricity..................................................... 60
1.8.4 Structure of Electrical Infrastructure.................................. 68

vii
viii Contents

1.8.5 Electricity Transmission Lines.............................................. 73

1.8.6 Regulated versus Deregulated Electricity Market............. 75
1.8.7 Introduction to Conventional Power Generation Systems......76
1.8.8 Open-Ended Questions.......................................................... 78
1.8.9 General..................................................................................... 79

2. Introduction to Steam Power Plants........................................................ 105

2.1 Introduction........................................................................................ 106
2.2 History of Steam Power Generation................................................ 107
2.3 Thermodynamics of Steam Power Plants....................................... 116
2.3.1 Simple Rankine Cycles......................................................... 124
2.3.2 Effects of Various Operating Parameters on
Rankine Cycles��133
2.3.2.1 Effects of Superheating Steam in Steam
Generator��133
2.3.2.2 Effects of Steam Generator Pressure.................. 137
2.3.2.3 Supercritical Steam Power Plants....................... 139
2.3.2.4 Effects of Pressure and Temperature of
Turbine Exhaust��140
2.3.3 Reheat Rankine Cycles......................................................... 143
2.3.4 Regenerative Rankine Cycles.............................................. 147
2.3.4.1 Open Feedwater Heaters...................................... 149
2.3.4.2 Closed Feedwater Heaters................................... 155
2.3.5 Deviation of Actual Steam Cycles from Ideal
Rankine Cycles��168
2.3.5.1 Internal Irreversibilities........................................ 168
2.3.5.2 External Irreversibilities....................................... 174
2.4 Questions and Problems................................................................... 177
2.4.1 Introduction........................................................................... 177
2.4.2 History of Steam Power Generation................................... 177
2.4.3 Thermodynamics of Steam Power Plants......................... 179
2.4.4 Open-Ended Questions........................................................ 186
2.4.5 General................................................................................... 187

3. Steam Generators: Water-Steam Side...................................................... 195

3.1 Introduction........................................................................................ 195
3.1.1 I ntroduction to Water-Steam Side of Steam
Generators��196
3.1.2 Thermodynamics of Steam Generation for Steam
Power Cycles��198
3.2 Historical Development of Steam Generators................................ 198
3.2.1 Early Steam Generators........................................................ 198
3.2.2 Water-Tube Steam Generators............................................. 203
3.2.3 Bent-Tube Steam Generators................................................ 205
3.2.4 Waterwall Tubes.................................................................... 207
Contents ix

3.2.5 Economizers.......................................................................... 208

3.2.6 Reheaters................................................................................ 208
3.2.7 Pressure and Temperature of Stream Generators............ 209
3.3
Arrangement of Modern Steam Generators................................... 210
3.3.1 Radiant and Convection Sections of Steam Generators......213
3.4
Components of Modern Steam Generators.................................... 215
3.4.1 Waterwall Tubes.................................................................... 215
3.4.2 Drum...................................................................................... 218
3.4.2.1 Calculation of Wall Thickness of Pressure
Vessels��219
3.4.2.2 Steam Separation...................................................223
3.4.3 Circulation of Water.............................................................225
3.4.4 Superheaters and Reheaters................................................ 227
3.4.5 Economizers.......................................................................... 229
3.4.6 Relative Heat Absorption in the Economizer,
Evaporator, and Superheater�� 230
3.5
Once-Through Steam Generators.................................................... 232
3.6
Control of Steam Generators............................................................234
3.6.1 Temperature Measurement................................................. 238
3.6.1.1 Thermocouples...................................................... 238
3.6.1.2 Resistance Temperature Detectors...................... 240
3.6.2 Superheated Steam Temperature Control......................... 240
3.6.3 Drum Water Level Control.................................................. 243
3.6.4 Safety and Relief Valves....................................................... 244
3.7
Operation, Start-up and Shutdown, Manufacturing, and
Maintenance of Steam Generators�� 244
3.7.1 Operation of Steam Generators........................................... 244
3.7.2 Start-up and Shutdown of Steam Generators................... 245
3.7.3 Manufacturing of Steam Generators................................. 246
3.7.4 Maintenance of Steam Generators..................................... 246
3.8
Design of Steam Generators............................................................. 247
3.9
Questions and Problems................................................................... 249
3.9.1 Introduction........................................................................... 249
3.9.2 Historical Development of Early Steam Generators........ 250
3.9.3 Arrangement of Modern Steam Generators.....................254
3.9.4 Components of Modern Steam Generators....................... 257
3.9.5 Once-Through Steam Generators....................................... 261
3.9.6 Control of Steam Generators............................................... 261
3.9.7 Operation, Start-up and Shutdown, Manufacturing,
and Maintenance of Steam Generators��262
3.9.8 General................................................................................... 263

4. Steam Generators: Fire Side...................................................................... 267

4.1 Introduction........................................................................................ 268
4.2 Thermodynamics of Ideal Gases..................................................... 269
x Contents

4.2.1 Ideal Gas Mixture................................................................. 270

4.2.2 Dalton Model......................................................................... 272
4.2.3 Internal Energy, Enthalpy, and Entropy of Ideal
Gas Mixture��273
4.3
Thermodynamics of Combustion Process..................................... 275
4.3.1 Combustion Reactions......................................................... 275
4.3.2 Conservation of Energy for Systems Involving
Combustion�� 284
4.3.2.1 Enthalpy of Formation.......................................... 285
4.3.2.2 Enthalpy of Combustion and Heating Values....... 288
4.3.2.3 Adiabatic Flame Temperature............................. 290
4.4
Fuels..................................................................................................... 290
4.5
Coal...................................................................................................... 292
4.5.1 Coal Formation...................................................................... 292
4.5.2 Coal Consumption................................................................ 293
4.5.3 Coal Resources...................................................................... 295
4.5.4 Coal Analysis......................................................................... 297
4.5.4.1 Proximate Analysis............................................... 298
4.5.4.2 Ultimate Analysis.................................................. 301
4.5.4.3 Classification of Coal............................................ 302
4.5.4.4 Derivative Fuels from Coal..................................305
4.5.5 Coal Extraction...................................................................... 307
4.5.6 Coal Preparation...................................................................309
4.5.6.1 Coal Sizing.............................................................309
4.5.6.2 Screens....................................................................309
4.5.6.3 Coal Size Reduction.............................................. 311
4.5.6.4 Coal Cleaning........................................................ 314
4.5.6.5 Transportation of Coal to Power Plants............. 315
4.5.6.6 Storage of Coal in Power Plants.......................... 316
4.5.7 Other Solid Fuels.................................................................. 318
4.5.7.1 Biomass................................................................... 318
4.5.7.2 Municipal Solid Waste (MSW)............................ 319
4.6
Combustion of Coal........................................................................... 320
4.6.1 Hand Feeding........................................................................ 320
4.6.2 Mechanical Stokers............................................................... 321
4.6.2.1 Grates...................................................................... 321
4.6.2.2 Fuel Feeding Systems........................................... 323
4.6.2.3 Air Systems............................................................ 325
4.6.2.4 Design Considerations......................................... 325
4.6.3 Pulverized Coal Combustion Systems............................... 326
4.6.3.1 Overall Firing Systems......................................... 327
4.6.3.2 Coal Feeder System............................................... 329
4.6.3.3 Pulverization-Related Coal Properties............... 330
4.6.3.4 Pulverizers............................................................. 330
Contents xi

4.6.4 Burning of Pulverized Coal................................................ 336

4.6.4.1 NOx Production..................................................... 339
4.6.4.2 Pre-NOx Restriction Era Pulverized Coal
Burners�� 340
4.6.4.3 Low NOx Burners.................................................. 341
4.6.4.4 Corner-Fired or Tangential Burners...................345
4.6.4.5 Cyclone-Furnace Firing........................................348
4.6.4.6 Furnaces.................................................................. 350
4.6.4.7 Sootblowers............................................................ 352
4.6.4.8 Ash Handling........................................................ 352
4.6.4.9 Excess Air...............................................................354
4.6.4.10 Ignition Systems....................................................354
4.6.4.11 Fluidized-Bed Combustion.................................. 355
4.6.4.12 Burning of Municipal Solid Wastes.................... 362
4.7 Liquid Fuels........................................................................................ 365
4.7.1 Transportation and Storage of Liquid Fuels..................... 367
4.8 Gaseous Fuels..................................................................................... 367
4.8.1 Natural Gas............................................................................ 368
4.8.2 Hydrogen............................................................................... 368
4.8.3 Transportation and Storage of Natural Gas...................... 369
4.8.4 Combustion Systems for Liquid and Gaseous Fuels....... 371
4.8.4.1 Wall-Fired Burners................................................ 371
4.8.4.2 Corner-Firing Systems.......................................... 373
4.8.4.3 Igniters for Liquid and Gaseous-Fired
Burners�� 374
4.9 Combustion Air System.................................................................... 374
4.9.1 Providing Air for Combustion............................................ 374
4.9.2 Fans......................................................................................... 376
4.9.3 Fan Selection or Sizing......................................................... 379
4.9.4 Air Auxiliary Systems.......................................................... 380
4.9.5 Air Preheater......................................................................... 381
4.9.6 Stack and Natural Draft....................................................... 383
4.10
Questions and Problems................................................................... 385
4.10.1
Introduction........................................................................... 385
4.10.2
Thermodynamics of Ideal Gases........................................ 385
4.10.3
Thermodynamics of Combustion Process........................ 387
4.10.4
Fuels........................................................................................ 388
4.10.5
Coal......................................................................................... 388
4.10.6
Combustion of Coal.............................................................. 394
4.10.7
General................................................................................... 403

5. Emission Reduction in Steam Generators.............................................. 415

5.1 Introduction........................................................................................ 416
5.2 Nitrogen Oxide Emissions................................................................ 418
xii Contents

5.2.1 Reduction of Nitrogen Oxide Emissions........................... 421

5.2.2 Selective Catalytic Reduction.............................................. 421
5.2.3 Selective Non-catalytic Reduction...................................... 424
5.3
Sulfur Oxide Emissions.................................................................... 424
5.3.1 Reduction of Sulfur Oxide Emissions................................425
5.3.2 Wet Flue Gas Desulfurization.............................................425
5.3.3 Dry and Semi-dry Flue Gas Desulfurization................... 428
5.3.4 SO3 Reduction........................................................................ 428
5.4
Particulate Matter Emissions........................................................... 429
5.4.1 Electrostatic Precipitators.................................................... 429
5.4.2 Fabric Filters or Baghouses.................................................. 431
5.5
Global Climate Change and Greenhouse Gas (GHG)
Emissions�� 433
5.5.1 Causes of the Climate Change............................................ 433
5.5.2 Reduction of Greenhouse Gas Emissions......................... 438
5.5.3 CO2 Capture and Sequestration Systems.......................... 438
5.5.4 Pre-combustion CO2 Capture Systems.............................. 439
5.5.5 Oxygen-Firing Systems........................................................ 439
5.5.6 Post-combustion CO2 Capture............................................440
5.5.7 CO2 Capture by Microalgae................................................442
5.6
Other Emissions and Environmental Problems............................443
5.6.1 Carbon Monoxide Emissions..............................................443
5.6.2 Mercury Emissions...............................................................444
5.6.3 Sight and Noise Pollution....................................................444
5.7
Questions and Problems...................................................................444
5.7.1 Introduction...........................................................................444
5.7.2 Nitrogen Oxide Emissions...................................................445
5.7.3 Sulfur Oxide Emissions.......................................................445
5.7.4 Particulate Matter Emissions..............................................446
5.7.5 Global Climate Change and Greenhouse Gas (GHG)
Emissions�� 446
5.7.6 Other Emissions and Environmental Problems...............448
5.7.7 Open-Ended Questions........................................................448
5.7.8 General...................................................................................448

6. Steam Turbines............................................................................................ 451

6.1 Introduction........................................................................................ 452
6.2 Impulse Turbines...............................................................................454
6.2.1 Single Impulse Blades.......................................................... 455
6.2.2 Actual Impulse Blades......................................................... 460
6.2.3 Single-Stage Impulse Turbines........................................... 468
6.2.4 Velocity-Compounded Impulse Turbines......................... 473
6.2.5 Pressure-Compounded Impulse Turbines........................ 475
6.3 Reaction Turbines............................................................................... 477
6.4 Modern Utility Steam Turbines....................................................... 481
6.4.1 Impulse Stages versus Reaction Stages............................. 481
Contents xiii

6.4.2 Configuration of Modern Steam Turbines........................ 482

6.4.3 Twisted Blades.......................................................................483
6.4.4 Blade Materials and Sealing................................................484
6.4.5 Turbine Rotors....................................................................... 485
6.4.6 Turbine Casings and Bearings............................................ 487
6.4.7 Gland Steam Seal Systems................................................... 489
6.4.8 Axial Thrust in Steam Turbines.......................................... 491
6.4.9 Turbine Arrangements......................................................... 495
6.5
Turbine Control.................................................................................. 496
6.6
Generators........................................................................................... 498
6.7
Control of Generators........................................................................500
6.8
Questions and Problems................................................................... 502
6.8.1 Introduction........................................................................... 502
6.8.2 Impulse Turbines.................................................................. 502
6.8.3 Reaction Turbines.................................................................504
6.8.4 Modern Utility Steam Turbines..........................................505
6.8.5 Generators.............................................................................. 509
6.8.6 Control of Generators and Turbines................................... 509
6.8.7 General................................................................................... 510

7. Condensate-Feedwater Systems............................................................... 519

7.1
Introduction........................................................................................ 520
7.2
Condensers.......................................................................................... 520
7.2.1 Direct-Contact Condensers................................................. 522
7.2.2 Surface Condensers.............................................................. 524
7.2.3 Noncondensable Gases and Deaeration Process in
Condensers��529
7.3
General Discussion on Pumps......................................................... 530
7.4
Condensate Pumps............................................................................534
7.5
Feedwater Heaters............................................................................. 535
7.5.1 Closed Feedwater Heaters................................................... 536
7.5.2 Steam Trap.............................................................................540
7.6
Open Feedwater Heaters...................................................................540
7.6.1 Spray Deaerators...................................................................542
7.6.2 Spray-Scrubber Deaerators..................................................543
7.6.3 Spry-Tray Deaerators............................................................544
7.6.4 Other Functions of Deaerators............................................544
7.7
Feedwater Pumps...............................................................................546
Treatment of Feedwater and Makeup Water.................................. 547
7.8
7.8.1 Chemical Control of pH.......................................................548
7.8.2 Makeup Water Treatment.................................................... 549
7.8.3 Makeup Water Treatment Systems..................................... 549
7.8.4 Water Demineralization....................................................... 550
7.8.4.1 Ion Exchange Demineralizers............................. 551
7.8.4.2 Reverse Osmosis (RO) Units................................ 553
xiv Contents

7.8.4.3 Evaporators............................................................. 555

7.8.4.4 Other Components of Makeup Water Systems.... 555
7.8.5 Condensate Polishing........................................................... 556
7.9
Questions and Problems................................................................... 556
7.9.1 Condensers............................................................................ 556
7.9.2 Application of Pumps in Steam Power Plants.................. 558
7.9.3 Condensate Pumps............................................................... 559
7.9.4 Feedwater Heaters................................................................ 560
7.9.5 Open Feedwater Heaters..................................................... 560
7.9.6 Feedwater Pumps................................................................. 561
7.9.7 Treatment of Feedwater and Makeup Water.................... 561
7.9.8 General................................................................................... 562

8. Cooling Systems (Circulating Water Systems)...................................... 569

8.1 Introduction........................................................................................ 570
8.2 Once-Through Circulating Water Systems..................................... 571
8.2.1 Components of Once-Through Systems............................ 572
8.2.2 Cooling Ponds and Lakes.................................................... 574
8.3 Closed Circulating Water Systems – Wet Cooling Towers.......... 574
8.3.1 Water Flow-Related Components in Wet Cooling
Towers��576
8.3.1.1 Water Transportation and Distribution
System��576
8.3.1.2 Fill bank.................................................................. 577
8.3.1.3 Cold Water Basin................................................... 580
8.3.2 Air Flow-Related Components in Wet Cooling Towers...... 581
8.3.2.1 Mechanical Draft Cooling Towers...................... 582
8.3.2.2 Components of Induced Draft Cooling
Towers (Air Flow)�� 584
8.3.2.3 Natural Draft Cooling Towers............................. 586
8.3.2.4 Hybrid Hyperbolic Cooling Towers................... 591
8.4 Combined Once-Through and Wet Cooling Towers.................... 592
8.5 Closed Circulating Water Systems – Dry Cooling Towers.......... 593
8.5.1 Direct Dry Cooling Towers or Air-Cooled Condensers��594
8.5.2 Indirect Dry Cooling Towers.............................................. 594
8.6 Hybrid Wet and Dry Cooling Towers............................................. 596
8.7 Challenge of Environmental Problems........................................... 597
8.8 Questions and Problems................................................................... 597
8.8.1 Introduction........................................................................... 597
8.8.2 Once-Through Circulating Water Systems....................... 598
8.8.3 Closed Circulating Water Systems – Wet Cooling
Towers��598
8.8.4 Combined Once-Through and Wet Cooling Towers.......600
8.8.5 Closed Circulating water Systems – Dry Cooling
Towers�� 600
Contents xv

Hybrid Wet and Dry Cooling Towers................................600

8.8.6
8.8.7
General................................................................................... 601

9. Gas Turbines................................................................................................. 605

9.1 Introduction........................................................................................ 606
9.2 Thermodynamic of Gas Power Cycles............................................ 607
9.2.1 Brayton Cycle as an Ideal Cycle for Gas Turbine
Power Systems�� 614
9.2.2 Effects of Compressor Pressure Ratio on Efficiency
and Specific Work Output of Brayton Cycle��623
9.2.3 Brayton Cycle with Irreversibilities and Losses............... 631
9.2.4 Brayton Cycle with Regenerator......................................... 638
9.2.5 Brayton Cycles with Compressor Intercoolers.................642
9.2.6 Brayton Cycles with Turbine Reheaters.............................646
9.3 Brief History of Gas Turbines...........................................................654
9.4 Applications of Gas Turbines........................................................... 658
9.4.1 Transportation Applications............................................... 658
9.4.2 Mechanical Drive Applications.......................................... 663
9.4.3 Gas Turbines for Electricity Generation............................664
9.4.3.1 Aeroderivative Gas Turbines...............................664
9.4.3.2 Non-Aeroderivative Gas Turbines...................... 665
9.4.3.3 Micro Gas Turbines............................................... 666
9.5 Gas Turbine Components................................................................. 666
9.5.1 Compressors.......................................................................... 667
9.5.1.1 Axial Compressors................................................ 667
9.5.1.2 Centrifugal Compressors..................................... 671
9.5.1.3 Compressor Performance..................................... 672
9.5.2 Combustion Chambers........................................................ 678
9.5.2.1 Diffusion-Type Combustion Chambers............. 679
9.5.2.2 Can Combustors.................................................... 682
9.5.2.3 Annular Combustors............................................ 683
9.5.2.4 Can-Annular Combustors....................................684
9.5.2.5 Silo-Type Combustors...........................................684
9.5.2.6 Low Emission and Low NOx Combustors......... 685
9.5.2.7 Other Components of Combustion
Chambers�� 689
9.5.3 Gas Turbines.......................................................................... 690
9.5.3.1 Axial Gas Turbine Blades..................................... 691
9.5.3.2 Turbine Blade Cooling.......................................... 693
9.5.3.3 Gas Turbine Arrangements.................................. 694
9.5.4 Auxiliary Systems and Components................................. 696
9.5.4.1 Compressor Inlet Air Cooling Systems............. 696
9.5.4.2 Regenerators........................................................... 701
9.5.4.3 Other Auxiliary Components.............................. 701
9.6 Operation of Gas Turbine Units....................................................... 703
xvi Contents

9.6.1 Start-up Sequence................................................................. 703

9.6.2 Normal Operation................................................................ 705
9.6.3 Gas Turbine Control Systems.............................................. 706
9.6.4 Instruments and Sensors..................................................... 706
9.6.5 Maintenance of Gas Turbines.............................................. 707
9.6.6 Standards for Gas Turbine Performance Tests................. 708
Questions and Problems................................................................... 709
9.7
9.7.1 Introduction........................................................................... 709
9.7.2 Thermodynamic of Gas Power Systems............................ 709
9.7.3 Applications of Gas Turbines.............................................. 714
9.7.4 Gas Turbine Components.................................................... 715
9.7.5 Operation of Gas Turbine Units.......................................... 719
9.7.6 General................................................................................... 720

10. Combined Cycle Power Plants and Cogeneration Plants.................... 731

10.1
Introduction........................................................................................ 732
10.2
Efficiency of Combined Cycle Power Plants.................................. 735
10.3
Configuration of Combined Cycle Power Plants........................... 738
10.4
Heat Recovery Steam Generators (HRSGs).................................... 739
10.4.1 Single-Pressure HRSGs........................................................ 740
10.4.2 Multiple-Pressure HRSGs.................................................... 742
10.5
Cogeneration Plants........................................................................... 744
10.5.1 Back-Pressure CHP Plants................................................... 746
10.5.2 Extraction CHP Plants.......................................................... 746
10.6
Integrated Gasification Combined Cycles...................................... 746
10.6.1 Gasification Process.............................................................. 748
10.6.2 Pressurized Fluidized-Bed Combustion Combined
Cycle Power Plants��749
10.6.3 Binary Vapor Cycles............................................................. 750
10.7
Questions and Problems................................................................... 750
10.7.1 Introduction........................................................................... 750
10.7.2 Efficiency of Combined Cycle Power Plants..................... 751
10.7.3 Configuration of Combined Cycle Power Plants............. 751
10.7.4 Heat Recovery Steam Generators (HRSGs)....................... 752
10.7.5 Cogeneration Plants.............................................................. 753
10.7.6 Integrated Gasification Combined Cycles......................... 753
10.7.7 General................................................................................... 754

11. Solar Energy and Photovoltaic Solar Units............................................ 759

11.1 Nature of Solar Energy...................................................................... 760
11.1.1
Solar Energy Production on the Sun.................................. 761
11.1.2
Extraterrestrial Radiation.................................................... 762
11.1.3
Solar Radiation and Geometric Relationship of the
Sun and Earth��765
11.1.4
Apparent Movement of the Sun across the Sky............... 769
Contents xvii

11.1.5 Traveling of Solar Radiation through the Atmosphere...... 773

11.1.6 Measurement of Solar Irradiance....................................... 776
11.1.7 Insolation Maps.....................................................................777
11.2
Solar Photovoltaic Power Generation.............................................. 781
11.2.1 History of Solar Photovoltaic Power Generation............. 782
11.2.2 Applications of Photovoltaic Solar Units........................... 790
11.2.3 Principles of Solar Photovoltaic Cell Operation............... 791
11.2.3.1 Semiconductors..................................................... 791
11.2.3.2 Operation of Solar Cells....................................... 798
11.2.3.3 Losses in Solar Cells.............................................803
11.2.4 Electricity Generated in Photovoltaic Solar Cells............805
11.2.4.1 Current-Voltage Curve of Solar Cells.................805
11.2.4.2 Connecting Solar Cells......................................... 811
11.2.4.3 Effects of Shadow on Performance of Solar
Systems��815
11.2.4.4 Efficiency of Solar Photovoltaic Units................ 816
11.2.4.5 Fill Factor of Solar Photovoltaic Cells................. 819
11.2.4.6 Modeling of Solar Photovoltaic Cells................. 821
11.2.5 Balance of Plant for PV Systems......................................... 822
11.2.5.1 Batteries and Charge Controllers........................ 822
11.2.5.2 Inverters.................................................................. 823
11.2.5.3 Wiring Systems...................................................... 824
11.2.5.4 Mounting Systems................................................. 824
11.2.5.5 Other Components................................................ 825
11.2.6 Cost of Solar PV Units and Financial Models................... 825
11.2.6.1 Cost of Solar PV Units.......................................... 825
11.2.6.2 Financial Models for Exchanging Generated
Solar Electricity with Utilities��827
11.2.7 Sizing of Solar PV Systems.................................................. 829
11.2.7.1 Load Determination for Residential and
Commercial Applications�� 830
11.2.7.2 Sizing Grid-Connected Solar PV Arrays...........834
11.2.7.3 Consideration in Sizing Off-Grid Solar PV
Arrays�� 838
11.2.8 Commercial Software Tools to Simulate Performance
of Solar PV Units��839
11.2.9 Different Types of Solar Photovoltaic Cells......................840
11.2.10 First Generation: Crystalline Silicon-Based PV Cells......840
11.2.10.1 Manufacturing of Crystalline Silicon
PV Cells�� 842
11.2.10.2 Alternative Manufacturing Methods of
Silicon Crystalline Cells�� 848
11.2.10.3 Concluding Remarks on Crystalline Silicon
PV Units and Their Future�� 849
11.2.11 Second Generation: Thin Film Solar PV Cells.................. 850
xviii Contents

11.2.11.1 Cadmium Telluride (CdTe) Solar PV Cells....... 851

11.2.11.2 Copper Indium Gallium Selenide (CIGS)
Solar PV Cells�� 853
11.2.11.3 Amorphous Silicon (a-Si)....................................854
11.2.11.4 Gallium Arsenide (GaAs).................................... 855
11.2.12 Third Generation: Emerging Solar Cell Technologies..... 856
11.2.12.1 Multi-Junction Solar Cells................................... 856
11.2.12.2 Concentrating PV (CPV) Units........................... 857
11.2.12.3 Organic Solar Cells............................................... 858
11.2.12.4 Perovskite Solar Cells.......................................... 858
11.2.12.5 Dye-Sensitized Solar Cells.................................. 859
11.2.12.6 Quantum Dot Solar Cells.................................... 859
11.2.12.7 Hybrid PV Systems.............................................. 860
11.2.12.8 Comparison of Various Solar Cell
Technologies and Their Future�� 860
11.3
Extra Learning Resources................................................................. 862
11.3.1 Nature of Solar Energy........................................................ 862
11.3.2 Solar Photovoltaic Power Generation................................. 862
11.4
Questions and Problems...................................................................864
11.4.1 Nature of Solar Energy........................................................864
11.4.2 History of Solar Photovoltaic Power Generation............. 868
11.4.3 Applications of Photovoltaic Solar Cells........................... 869
11.4.4 Principles of Solar Photovoltaic Cell Operation............... 870
11.4.5 Electricity Generated in Photovoltaic Solar Cell.............. 875
11.4.6 Balance of Plant for PV Systems......................................... 881
11.4.7 Financial Models for Exchanging Generated Solar
Electricity with Utilities��882
11.4.8 Sizing of Solar PV Systems.................................................. 883
11.4.9 First Generation: Crystalline Silicon-Based PV Cells...... 885
11.4.10 Second Generation: Thin Film Solar PV Cells.................. 887
11.4.11 Third Generation: Emerging Solar Cell Technologies..... 889
11.4.12 Open-Ended Questions........................................................ 890
11.4.13 General................................................................................... 890

12. Solar Thermal Energy.................................................................................905

12.1 Introduction........................................................................................906
12.2 Low-Temperature Solar Thermal Energy Applications for
Buildings�� 906
Unglazed Solar Water Heaters............................................908
12.2.1
12.2.2
Flat-Plate Solar Water Heaters.............................................908
12.2.3
Evacuated Tube Solar Water Heaters................................. 910
12.2.4
Efficiency and Operation of Solar Water Heaters............ 910
12.3 Introduction and Brief History of High-Temperature Solar
Thermal Energy Utilization��911
12.4 Solar Thermal Power Plants with a Central Receiver................... 915
Contents xix

Heliostats................................................................................ 916
12.4.1
12.4.1.1 Heliostat Control Systems.................................... 917
12.4.1.2 Heliostat Field........................................................ 918
12.4.2
Central Receivers.................................................................. 921
12.4.2.1 External Receivers................................................. 921
12.4.2.2 Cavity Receivers.................................................... 923
12.4.2.3 Volumetric Receivers............................................ 924
12.4.2.4 Thermal Losses in Receivers............................... 926
12.5
Solar Thermal Power Plants with Distributed or Dispersed
Collectors��926
12.5.1
Line-Focus Collectors........................................................... 927
12.5.2
Point-Focus Collectors.......................................................... 929
12.6
Heat-Transfer Fluid............................................................................ 930
12.7
Power Generation Units.................................................................... 932
12.7.1
Stirling Engines..................................................................... 933
12.7.2
Thermal Energy Storage...................................................... 934
12.8
Environmental Impacts of Solar Thermal Energy Plants............ 935
12.9
Questions and Problems................................................................... 935
12.9.1
Low-Temperature Solar Thermal Energy
Applications for Buildings��935
12.9.2
Solar Electricity Generation................................................ 936
12.9.3
General................................................................................... 940

13. Wind Energy................................................................................................. 945

13.1
Introduction........................................................................................ 946
13.2
History of Wind Energy.................................................................... 947
13.3
Wind Formation................................................................................. 951
13.4
Power of Wind.................................................................................... 952
13.5
Maximum Theoretical Efficiency of Wind Turbines.................... 954
13.6
Wind Energy Evaluation................................................................... 959
13.6.1
Wind Classification............................................................... 959
13.6.2
Wind Property Measurements........................................... 959
13.6.3
Statistical Analysis of Wind Data....................................... 962
13.6.4
Variation of Wind Speed as a Function of Height............ 966
13.6.5
Effect of Variations of Density and Relative
Humidity of Air�� 968
13.6.6
Wind Energy Maps............................................................... 968
13.7
Wind Turbine Categorization........................................................... 968
Lift-Force Dominant Wind Turbines and Drag-Force
13.7.1
Dominant Wind Turbines��970
13.7.2
Vertical-Axis Wind Turbines............................................... 976
13.7.3
Horizontal-Axis Wind Turbines......................................... 978
13.7.4
Grid-Connected and Stand-Alone Wind Turbines.......... 980
13.7.5
Small and Hybrid Wind Turbines...................................... 980
13.8
Operation of Wind Turbines and Power Curves........................... 980
xx Contents

13.9 Control of Wind Turbine Power Output......................................... 982

13.9.1 Stall-Regulated and Pitch-Regulated Wind Turbines..... 983
13.9.2 Constant Speed and Variable Speed Wind Turbines....... 984
13.10 Wind Turbine Components.............................................................. 985
13.11 Environmental Impacts of Wind Turbines..................................... 989
13.12 Questions and Problems................................................................... 989
13.12.1 Introduction......................................................................... 989
13.12.2 Wind Formation.................................................................. 989
13.12.3 Power of Wind and Wind Energy Evaluation................ 990
13.12.4 Wind Turbine Categorization........................................... 992
13.12.5 Operation and Control of Wind Turbines....................... 993
13.12.6 Wind Turbine Components............................................... 994
13.12.6 General................................................................................. 995

14. Ocean Renewable Energy.......................................................................... 999

14.1
Introduction...................................................................................... 1000
14.2
Wave Energy Sources...................................................................... 1000
14.2.1 Energy and Power of Wave............................................... 1001
14.2.2 Different Wave Energy Converters.................................. 1002
14.2.2.1 Point Absorbers................................................... 1004
14.2.2.2 Oscillating Water Columns/Chambers........... 1005
14.2.2.3 Attenuators........................................................... 1005
14.2.2.4 Overtopping Devices.......................................... 1008
14.2.2.5 Oscillating Wave Surge Converters.................. 1009
14.2.2.6 Submerged Pressure Differential Converters.......1010
14.2.3 Concluding Remarks on Wave Energy Converters........1010
14.3
Tidal Energy.......................................................................................1011
14.3.1 Tidal Gravitational Potential Energy................................1011
14.3.2 Tidal Kinetic Energy............................................................1016
14.3.2.1 Horizontal Axis Turbines................................... 1017
14.3.2.2 Vertical Axis Turbines........................................ 1017
14.4
Ocean Thermal Energy................................................................... 1018
14.5
Ocean Current Energy.................................................................... 1019
14.6
Salinity Gradient Energy................................................................ 1019
14.7
Questions and Problems................................................................. 1020
14.7.1 Introduction......................................................................... 1020
14.7.2 Wave Energy Sources......................................................... 1020
14.7.3 Tidal Energy........................................................................ 1022
14.7.4 Ocean Thermal, current, and salinity gradient Energy.......1022
14.7.5 General................................................................................. 1023

15. Geothermal Energy................................................................................... 1025

15.1
Introduction...................................................................................... 1026
15.2
Origin of Thermal Energy of Earth and Its Potentials............... 1027
15.3
Geothermal Energy Assessments.................................................. 1029
Contents xxi

15.4 Applications of Geothermal Energy............................................. 1030

15.5 Past and Present of Geothermal Energy....................................... 1032
15.5.1 History of Geothermal Energy Utilizations................. 1032
15.5.2 Current Status of Geothermal Energy........................... 1033
15.6 Characteristics of Geothermal Resources.................................... 1035
15.6.1 Hydrothermal Geothermal Reservoirs.......................... 1035
15.6.2 Hot Rock Geothermal Reservoirs................................... 1037
15.7 Exploration for Geothermal Resources......................................... 1038
15.8 Drilling for Geothermal Resources............................................... 1041
15.9 Geothermal Power Generation Units............................................ 1045
15.9.1 Vapor-Dominated Geothermal Units............................... 1046
15.9.2 Liquid-Dominated Geothermal Units............................. 1050
15.9.3 Binary Cycles....................................................................... 1054
15.10 Enhanced Geothermal Systems..................................................... 1056
15.11 Other Ideas and Concepts for Geothermal Energy..................... 1059
15.12 Environmental Impacts................................................................... 1060
15.13 Questions and Problems................................................................. 1062
15.13.1 Introduction....................................................................... 1062
15.13.2 Geothermal Energy Assessments................................... 1063
15.13.3 Applications of Geothermal Energy.............................. 1063
15.13.4 Characteristics of Geothermal Resources..................... 1064
15.13.5 Exploration for Geothermal Resources.......................... 1065
15.13.6 Drilling for Geothermal Resources................................ 1065
15.13.7 Geothermal Power Generation Units............................. 1066
15.13.8 Enhanced Geothermal Systems...................................... 1068
15.13.9 Other Ideas and Concepts for Geothermal Energy..... 1068
15.13.10 General............................................................................... 1069

16. Energy Storage Systems........................................................................... 1075

16.1
Introduction...................................................................................... 1076
16.1.1
Energy Storage: Fossil Fuel-Based versus
Renewable Energy-Based Electrical Infrastructure........1076
16.2
Characterization of Energy Storage Technologies...................... 1080
16.3
Gravitational Energy Storage Systems.......................................... 1082
16.3.1
Energy Storage by Raising Mass...................................... 1082
16.3.2
Pumped Hydroelectric Energy Storage Systems........... 1084
16.3.2.1 Energy and Power in Pumped
Hydroelectric Energy Storage Plants��1086
16.3.2.2 Reservoirs in Pumped Hydroelectric
Energy Storage Plants��1089
16.3.2.3 Turbine-Pump Assembly................................... 1091
16.4
Compressed Air Energy Storage Systems.................................... 1092
16.4.1
Compressed Air Containers.............................................. 1095
16.5
Flywheel Energy Storage Systems................................................. 1099
16.6
Battery Storage Systems.................................................................. 1103
xxii Contents

Lead-Acid Batteries............................................................. 1104

16.6.1
16.6.2
Lithium-Ion Batteries......................................................... 1112
16.6.3
Molten-Salt Batteries............................................................1113
16.6.4
Nickel-Based Batteries.........................................................1114
16.6.5
Other Battery Types.............................................................1114
16.7
Direct Electricity Storage Systems..................................................1114
Supercapacitor Energy Storage Systems...........................1115
16.7.1
16.7.2
Superconducting Coils Energy Storage Systems.............1118
16.8
Thermal Energy Storage Systems...................................................1118
16.9
Questions and Problems................................................................. 1120
16.9.1
Introduction......................................................................... 1120
16.9.2
Characterization of Energy Storage Technologies......... 1121
16.9.3
Gravitational Energy Storage............................................ 1123
16.9.4
Compressed Air Energy Storage Systems....................... 1125
16.9.5
Flywheel Energy Storage Systems.................................... 1126
16.9.6
Batteries................................................................................ 1127
16.9.7
Direct Electricity Storage Systems.................................... 1129
16.9.8
Thermal Energy Storage Systems..................................... 1130
16.9.9
General................................................................................. 1131

Appendix 1: Supplemental Tables................................................................. 1137

Index.................................................................................................................... 1197
Preface

Energy consumption in general and electricity consumption in particular are

so intertwined with our daily life that often we do not even notice them.
Electricity is perhaps the most important contributor to our standard of liv-
ing and the economic development of the society we live in. Our daily life
increasingly depends on electricity consumption. This dependency will con-
tinue in the foreseeable future. It is predicted that with the increase in the
population and improvement in the quality of life on a global scale, global
electricity consumption will continue to increase. While the decrease in
global energy inequality is welcome news, inevitable environmental impacts
should be concerning for all of us. The electricity generation industry is one
of the most important contributors to global climate change as an existential
threat to humanity’s future on Earth. Addressing the environmental impacts
of the power generation industry is a critical component of how we can miti-
gate climate change and other environmental problems that are threatening
our future. While usually taken for granted, electricity generation, transmis-
sion, and distribution are incredibly complex and sophisticated. This com-
plexity requires educating and training a new generation of fresh minds to
address challenges we are currently facing. This book is written with this
objective in mind.
While the transition from fossil fuels to renewable energy sources is cur-
rently underway, in the mid-term future, both of these energy sources are
going to have a significant contribution to the energy mix in the U.S. and
worldwide. As a consequence, typically individuals interested in a career in
this industry are expected to be knowledgeable in both traditional and renew-
able power generation technologies. This text will provide the resources
needed for this purpose.
This book is the result of teaching Power Plant Engineering courses in the
past 10 years in various universities across North America. While there are
very good books in the market that cover either conventional or renewable
power generation systems, I had difficulty identifying a single book that cov-
ers all these topics. This textbook is an attempt to fill this gap.
Considering the wide variety of subject matters that have been covered in
this book, authoring it required a wide range of expertise and knowledge in
various fields. I have been fortunate that my industrial, research, and teach-
ing experience on conventional power plants and renewable energy sys-
tems equipped me to cover both topics in this book. However, this diversity
of topics may inherently lead to some inaccuracy in this book. I bear sole

xxiii
xxiv Preface

responsibility for the correctness, accuracy, and completeness of the selection

of topics, their technical aspects, and my inevitable subjectivity toward their
presentations. I look forward to receiving feedback from the readers to
improve this book in future revisions.
Access the support material at https://www.routledge.com/9781498707121.
Acknowledgments

This book is an accumulation of over a quarter of a century of my involvement

in the power generation industry in a wide range of capacities. Accordingly,
many graduate and undergraduate students and colleagues from academia
and industry have directly or indirectly contributed to what eventually man-
ifested in this book. I am grateful to all of them!
It took me about 7 years to author this text and many individuals contrib-
uted to its completion. Here, I would like to name just a few with the most
contribution. I would first like to thank Jonathan Plant, former Mechanical
Engineering and Applied Mechanics Executive Editor at Taylor & Francis/
CRC Press. He was the first one to see the value of what I envisioned for
this text. He is the reason for the creation of this book. I have missed our
annual rendezvous and enjoyable discussions at the American Society for
Engineering Education (ASEE) annual conferences since he retired. I am also
thankful for his understanding of what I was trying to achieve with this
book and provided me with the flexibility to accomplish them.
My deepest gratitude to my friend of over 20 years, Mehdi Razzaghi. He has
been my go-to source whenever I needed help in some topics. Our late-night
phone conversations immensely contributed to this book. He also patiently
proofread the entire manuscript and provided me with invaluable feedback.
My foremost appreciation is to Ideh Ghanbarpour, who painstakingly con-
verted my chaotic drawings to the images you can see all over this book.
I am thankful to the entire team at Taylor & Francis and CRC Press, partic-
ularly Kyra Lindholm, Ed Curtis, Saranya PN, and Nishant Bhagat for mak-
ing this book a reality.
Many thanks are due to the hundreds of students who have reviewed vari-
ous chapters of this book in the past 10 years and provided me with their
perspective and constructive criticisms, which helped me immeasurably to
improve this book.
Finally, my ultimate gratitude to my best friend and wife Niloufar and my
daughter Diana, who sacrificed so much for the creation of this book.

xxv
Author

Farshid Zabihian, PhD,has over 25 years of academic and industrial expe-

rience in the energy industry. He is currently an Associate Professor in
the Department of Mechanical Engineering at California State University,
Sacramento. He earned a MASc and BSc, both in mechanical engineering, at
the Iran University of Science and Technology and Amirkabir University of
Technology, Iran, respectively. He worked in the power generation industry
for about a decade in various capacities before returning to academia. He
earned a PhD in Mechanical Engineering in 2011 from Ryerson University,
Canada. He was the recipient of the Governor General’s Academic Gold
Medal, the highest academic honor at the graduate level in Canada. He was
previously an Assistant Professor at West Virginia University Institute of
Technology between 2011 and 2016. He joined Sacramento State in 2016. His
research focus is on sustainable electricity generation, including renewable
energy resources and advanced fossil fuel power plants, through experi-
mental and numerical approaches. He has published over 110 journal and
conference papers, books, and book chapters. He also enjoys integrating sus-
tainability into his teaching at the college level and beyond.

xxvii
1
Introduction to Electricity

Abstract
In this first chapter, you will get familiar with the electrical infrastruc-
ture in general and the electricity generation industry in particular.
We will learn the terminology that we will be using in later chapters.
We will start with energy generation and consumption in general. We
will discuss how energy consumption and economic development (and
living standard) are related. We will also learn about energy-use sec-
tors and primary and secondary energy sources. Then, we will briefly
review the history of electricity. Next, we will take a look at how our life
is intertwined with electricity. We will explore electricity consumption
in several countries and energy inequality in the world. We will then
learn about the components of electrical infrastructure, namely electric-
ity generation, transmission, and distribution. We will introduce many
parameters that can be used to characterize electricity generation and
consumption and how they can be calculated. We will learn about elec-
tricity transmission lines and will conduct simple relevant calculations.
We will discuss regulated and deregulated electricity markets and learn
how to calculate the cost of electricity consumption. Finally, we will
review some thermodynamic bases for power generation systems and
their various categorizations.

LEARNING OBJECTIVES
After successful completion of this chapter, you will be able to:

• explain relationship between energy consumption and economic

development (and living standard)
• identify energy-use sectors and primary and secondary energy sources
• explain a brief history of electricity
• describe relationship between electricity consumption, economic
development, and energy inequality in the world
• describe components of electric infrastructure: electricity generation,
transmission, and distribution
• define and calculate characteristics of electric load and power plants

1
2 Power Plant Engineering

• describe electricity transmission lines and conduct simple relevant

calculations
• explain regulated and deregulated electricity markets
• calculate cost of electricity consumption
• explain some thermodynamic bases for power generation systems
• categorize various power generation technologies

1.1 I ntroduction to Energy and Society

The objective of every society is to sustain and improve the standard of living
for its population, sustain and increase economic growth, and achieve the above
two objectives sustainably. Energy in general and electrical energy in particular
contribute significantly to all these objectives. Energy is intimately intertwined
with every aspect of our life in a way that it is impossible to even imagine how
our life could have been without it. We use energy to produce what we eat, to
move around, to manufacture goods and transport them, to heat or cool our liv-
ing environments to make them comfortable, to communicate with each other
for pleasure or business, to operate equipment at home or work, and many other
activities. In most societies there is a direct relationship between the standard
of living and economic development and the level of energy consumption. We
will start this chapter with a discussion on this relationship.

1.1.1 Economic Growth, Living Standard, and Energy Consumption

Considering the complexities of a modern society and its economic structure,
in order to study an economy, we need to have a metric that can summarize
all economic activities of the society in a single numerical parameter. Gross
domestic product (GDP) is commonly used as a measure of economic devel-
opment. GDP is a parameter that is determined based on the market value
of all products, including goods and services, produced in a country or a
region in a particular period, typically a year.
GDP per capita has been used as an indication of the quality of living in a
society. However, some economists have criticized using GDP per capita as a
measure of living standard because for example it does not take into account
sustainability of the economy, environmental impacts of economic development,
and inequality in the distribution of the generated wealth among the population.
The coupling between the living standard and energy consumption can be
demonstrated by comparing these two parameters per capita basis. Figure 1.1
compares the annual GDP per capita and the annual primary energy con-
sumption per capita in the U.S. between 1960 and 2018. As can be observed
Introduction to Electricity 3

120 70000

60000

GDP per capita (current US$/capita/year)

100
Per capita energy consumption

50000
( ×10 3 kWh/capita/year)

80
40000
60
30000
40
20000

20 10000

0 0
1945 1955 1965 1975 1985 1995 2005 2015
Energy consumption per capita GDP per capita

FIGURE 1.1
Annual GDP per capita and annual primary energy consumption per capita in the U.S. between
1960 and 2018. (Based on the data provided by the U.S. Energy Information Administration,
EIA and the World Bank.)

from the diagrams, it seems there is no meaningful relationship between the

two parameters. However, to clearly demonstrate the relationship, we need
to compare the rate of change in these two parameters. Figure 1.2 shows the
percentage of changes in both the annual energy consumption per capita and
the annual GDP per capita compared to the prior year in the U.S. between
1960 and 2018. The diagrams clearly illustrate a relationship between the two
parameters. Whenever one increases or decreases, the other follows the suit.
Note that sometimes there are some delays and changes are not always in the
same proportion. This dependency is undesirable, even dangerous, because
we all want to maintain our living standard while we do not want to consume
more energy with devastating impacts on the environment and our limited
resources. This cycle is not sustainable.
A similar pattern can be observed in all countries. Figure 1.3 shows the per
capita annual energy consumption as a function of the annual GDP per cap-
ita for many countries.1 It can be seen that for most countries having a high
annual GDP per capita means a high annual per capita energy consumption
and vice versa. This is also evident by the fact that there is no country on the
top left and bottom right corners of the diagram.

1 The World Bank provides a great source of information and raw data. Its website contains
data for hundreds of indicators (you can find these indicators at https://data.worldbank.org/
indicator) for all countries for many years. You can choose any indicator and then download
the data for all countries.
4 Power Plant Engineering

6.00 14.00

12.00
4.00
Change in energy consumption per capita

10.00

Change in GDP per capita (%)

2.00
8.00
0.00 6.00
(%)

-2.00 4.00

2.00
-4.00
0.00
-6.00
-2.00

-8.00 -4.00
1960 1970 1980 1990 2000 2010 2020
Change in energy consumption per capita Change in GDP per capita

FIGURE 1.2
Percentage of changes in annual energy consumption per capita and annual GDP per capita
in the U.S. between 1960 and 2018. (Based on the data provided by EIA and the World Bank.)

100000
90000
80000
Per capita energy consumption

70000
( ×10 3 kWh/capita/year)

60000
50000
40000
30000
20000
10000
0
0 10000 20000 30000 40000 50000 60000 70000
GDP per capita (current US$/capita/year)

FIGURE 1.3
Relationship between annual GDP per capita and annual energy consumption per capita for
various countries. (Based on the data provided by The World Bank.)

1.1.2 E nergy Consumption

The energy we need in society to improve our living standard and maintain
economic growth should be extracted or collected from natural resources of
energy such as fossil fuels, nuclear energy, or renewable energy resources.
Introduction to Electricity 5

Furthermore, these natural energy resources are not typically in the form
that we can use and are not located where we need them. We can use solar
energy to heat our homes but cannot use it for cooling or for operating appli-
ances. Fossil fuel resources and dams are typically far away from consump-
tion centers. Also, their energy needs to be converted to suitable forms of
energy such as electricity. Thus, we need an infrastructure to convert natu-
rally occurring energy forms to more useful forms and to transport them.
For example, crude oil is first extracted from oil wells and sent to refineries
where gasoline (or petrol) and diesel fuels are produced. These fuels are then
transported to gas stations for distribution. Finally, vehicles use these fuels
to transport people and goods. In order to understand the energy industry,
we need to look into three sectors:

• Energy use
• Energy conversion, transportation, and distribution
• Energy resources

1.1.3 E nergy Consumption in Society

First, we need to take a look at energy usage in society. But before we discuss
energy consumption, we need to understand the difference between primary
and secondary energy sources to avoid the double counting of energy con-
sumption. The primary sources of energy are forms of energy that can be
directly found in nature. Fossil fuels, nuclear energy, hydro energy, biofuels,
geothermal energy, solar energy, and wind energy are examples of p rimary
energy sources. Sometimes these energy sources can be used without or with
minimal energy conversion, for example when natural gas is used for heating
purposes. However, in most cases, these energy sources need to be converted
to useful energy forms. For example, coal, nuclear energy, or hydropower
needs to be converted to electricity in power plants or crude oil needs to be
processed into refined fuel oil. These converted or processed energy forms are
called secondary energy sources or energy carriers. These energy sources
cannot be directly found in nature and should be derived from primary
energy sources. The distinction between primary and secondary energy
sources is important in accurately reporting and analyzing energy consump-
tion. For instance, one must be careful not to consider both fossil fuels used to
produce electricity and the generated electricity in energy counting.
The global annual primary energy consumption between 1990 and 2017
has increased by about 60% since 1990 and continues to increase with no
sign of meaningful reduction. It is predicted that the global annual primary
energy consumption will increase at the rate of about 1.2% per year in the
foreseeable future.2

2 https://www.eia.gov/outlooks//ieo/tables_ref.php.
6 Power Plant Engineering

35 120

30 100

Per capita energy consumption

( ×10 3 kWh/capita/year)
25
Total energy consumption

80
( ×10 12 kWh/year)

20
60
15
40
10

5 20

0 0
1945 1955 1965 1975 1985 1995 2005 2015
Total energy consumption Energy consumption per capita

FIGURE 1.4
Total and per capita annual primary energy consumption in the U.S. between 1949 and 2018.
(Based on the data provided by EIA.)

Figure 1.4 illustrates the annual primary energy consumption in the U.S.
between 1949 and 2018 (solid line). The curve shows that the rate of increase
in the energy consumption has decreased over time. In fact, the curve indi-
cates that while the total energy consumption has increased significantly in
the 20th century, in the past two decades the consumption has been fluc-
tuating within a certain range without any net increase. This total energy
consumption is directly proportional to the population. Thus, it can be very
informative to study the per capita annual primary energy consumption.
In Figure 1.4, the dashed-line curve presents the per capita annual primary
energy consumption in the U.S. between 1949 and 2018. The curve shows
that not only the net increase in per capita energy consumption in the
U.S. stopped in the 1970s, but also the per capita energy consumption has
markedly decreased in the new millennium.

1.1.4 E nergy Consumption Sectors and Share of Each Sector

There are several ways to categorize energy consumption sectors. The most
common categorization is to divide energy consumption into the following
three major groups:

• Building sector: such as energy use for building heating and cool-
ing, lighting, and operating appliances. This sector is typically
divided into two subgroups:
Introduction to Electricity 7

• Residential sector
• Commercial sector
• Industrial sector: (manufacturing, agriculture, construction, min-
ing, refining, etc.) which includes energy sources used as input
materials such as crude oil used for plastic manufacturing or natu-
ral gas used for the production of fertilizers, and energy needed for
manufacturing processes, such as energy used for heating materials
or running machines.
• Transportation sector: to move people and goods.

Figure 1.5 illustrates the share of each of these sectors in the total primary
energy consumption in the globe and in the U.S. in 2018. As the diagrams
indicate, globally over half of the total energy is consumed in the industrial
sector while in the U.S. the share of this sector is about one-third. In contrast,
the share of the building sector is 40% in the U.S. compared to 20% in the
world. Figure 1.6 shows the annual energy consumption in each sector in the
U.S. between 1950 and 2018. The diagram shows that energy consumption
in the industrial sector since the early 1970s and in other sectors since the
early 2000s has not had a net growth and has been fluctuating within certain
ranges. It also indicates that in the late 1990s, the energy consumption in the
building sector exceeded that of the industrial sector.

20%

32%
40%
53%
27%
28%

Industrial Transportation Building Industrial Transportation Building

(a) (b)

FIGURE 1.5
Share of various end-use energy consumption sectors (a) global in 2018 (b) the U.S. in 2019.
(Based on the data provided by EIA (a), and International Energy Outlook 2019 (b).)
8 Power Plant Engineering

14
Energy consumption (×1012 kWh/year)

0
1950 1954 1958 1962 1966 1970 1974 1978 1982 1986 1990 1994 1998 2002 2006 2010 2014 2018

Industrial Transportation Building

FIGURE 1.6
Annual energy consumption in the U.S. based on end-use sector between 1950 and 2018. (Based
on the data provided by EIA.)

These variations in the amount of energy consumption and where energy

is consumed in different countries and even different regions within a coun-
try primarily depend on the level of economic development and living
standard, economic structure, geography, and climate. The relationship
between energy consumption and economic development and the standard
of living was discussed in the previous section. Economies focused on man-
ufacturing tend to consume more energy in the industrial sector while in
service-focused economies more energy is consumed by the building s ector.
Clearly, the energy consumption in the building sector strongly depends
on the local climate. Regions with very hot or cold climates consume more
energy on building cooling or heating, respectively. The energy used in the
transportation sector is proportional to distances people and goods should
be transported, which, in turn, depend on the size, the distribution of popu-
lation, and the public transportation infrastructure and its popularity in the
country or region of interest.

1.2 P rimary Energy Sources

As noted earlier, a variety of primary energy sources are used to provide the
energy demand of society. Figure 1.7 shows the contribution of fossil fuels,
including oil, coal, and natural gas; biomass and waste; nuclear energy; hydro-
power; and renewable energy sources, including solar, wind, and geothermal
Introduction to Electricity 9

Petroleum, 32% Coal, 27%

Natural gas,
Biofuels and
22%
waste, 10%

Renewables, 2%
Nuclear, 5%
Hydroelectric, 2%

FIGURE 1.7
Global primary energy production sources in 2017. (Based on the data provided by IEA.)

energy, to the global primary energy consumption in 2017. The chart indicates
that over 80% of the global energy consumption is provided by fossil fuels while
all forms of renewable energy sources and nuclear energy are only responsible
for about 15% and 5% of the global energy consumption, respectively.
Figure 1.8 shows the contribution of various primary energy sources to the
global annual energy production between 1990 and 2017. The curves indicate
that the consumption of oil and natural gas have been rapidly and continuously
increasing since 1990. While the consumption of coal has slightly declined in
recent years, in the first decade of the 21st century the coal consumption was

60
Energy consumption (×1012 kWh/year)

0
1988 1992 1996 2000 2004 2008 2012 2016
Petroleum Coal Natural gas
Nuclear Hydroelectric Renewables
Biofuels and waste

FIGURE 1.8
Global annual primary energy production sources between 1990 and 2017. (Based on the data
provided by IEA.)
10 Power Plant Engineering

significantly increased. The share of other energy sources has been steady or
has slowly increased. Also, it can be observed that while the contribution of
renewable energy sources has increased in recent years, they are still respon-
sible for a tiny percentage of energy consumption at the global level.
Figures 1.9 and 1.10 illustrate similar diagrams for the U.S. in 2018. The evalu-
ation of these diagrams and the observation of variation in the contributions of
various primary energy sources over many years as well as their comparison
to the similar curves in the global scale are left as a practice for the readers.
Also, Figure 1.11 shows the U.S. annual energy consumption by source and

Total renewable, 9%
Coal, 13%
Hydroelectric, 3%

Nuclear, 8%

Natural gas 31%

Petroleum, 36%

FIGURE 1.9
Share of various primary energy sources in energy consumption in the U.S. in 2018. (Based on
the data provided by EIA.)

14.0
Energy consumption (×1012 kWh/year)

12.0

10.0

8.0

6.0

4.0

2.0

0.0
1945 1955 1965 1975 1985 1995 2005 2015

Coal Natural Gas Petroleum

Nuclear Hydroelectric Total Renewable

FIGURE 1.10
Annual primary energy consumption by sources between 1949 and 2018 in the U.S. (Based on
the data provided by EIA.)
Sourcea End-use sector c

Percent of sources Percent of sectors

70 92 Transportation
Petroleum 24 3
3 5
28.3
36.9 2 <1 (37%)
(36%) 1

34
40 Industrial
Introduction to Electricity

4
3 10 26.3
Natural gas 34 12 (35%)
31.0 17
12
(31%) 35

8
43
7 Residential
42 11.9 (16%)
Coal 9 9
<1 38
13.2 91 <1 Commercial
3
(13%) 50 9.4 (12%)
12 Total = 75.9
23
Renewable energy 7
11.5 (11%) 2
56 Electric Power Sectorb
Nuclear electric power 100
8.4 (8%) Electricity retail sales
13.0
Total = 101.3

Electrical system
energy losses 25.3

Total = 38.3
FIGURE 1.11

The U.S. energy consumption by source and end-use sector in 2018 (all values are in quadrillion Btu). (Source: The U.S. Energy Information
11

Administration.)
12 Power Plant Engineering

end-use sector in 2018, provided by EIA.3 This diagram indicates how each
primary energy source (and electricity) contributes to various e nd-use sectors.
The diagram provides a wealth of information for understanding the nature
of the U.S. energy industry and infrastructure.

1.3 I ntroduction to Electricity

Electricity is indispensable to human beings comfort. Also, it is essential for
productivity improvement and technological advancement without which
growth is impossible. In the meantime, while the power generation industry
has been responsible for a lot of damage to the environment, it has come
a long way in the improvement of efficiency and the reduction of negative
impacts on the environment.

1.3.1 Brief History of Electricity

Although this text is all about electricity generation, it does not deal with
the field of electrical engineering itself. However, it is informative to know a
little bit about the history of electricity. Probably the first time ancient people
encountered a phenomenon related to electricity was when they accidentally
touched electric fishes such as electric torpedo rays or electric catfishes (for
a review on electric fishes and their amazing internal organs refer to FYI
Box 1.1 and Moller (1995)4). Ancient texts described the effects of the electric
shock of these fishes that was used to supposedly treat some diseases, an
early form of electrotherapy.5

FYI BOX 1.1

ELECTRIC FISHES
Electric fishes can be found in the freshwaters of Africa and South
America as well as in oceans. In terms of electrical capabilities, there
are two types of fishes, electroreceptive and electrogenic fishes.
Electroreceptive fishes, such as sharks, rays, and catfish, can only
detect electric fields whereas electrogenic fishes, such as electric eels,
electric catfishes, and electric rays, can generate electricity. About 1%

3 https://www.eia.gov/totalenergy/data/monthly/pdf/flow/css_2018_energy.pdf.
4 Moller, P. Electric Fishes: History and Behavior, Vol. 17. Berlin, Germany: Springer (1995).
5 Bullock, T.H., C.D. Hopkins, and R.R. Fay, eds. Electroreception, Vol. 21. Berlin, Germany:

Springer Science & Business Media (2006).

Introduction to Electricity 13

of fish species are electrogenic. Electrogenic fishes use this capability

for several purposes. In some species the voltage of produced elec-
tricity is high enough, from 10 to 600 V, to shock their prey or to
be used for defensive purposes. These electrogenic fishes are classi-
fied as strongly electric fishes. Other electrogenic fishes produce very
low-voltage electricity, <1 V, hence the name weakly electric fishes.
They use this electricity to sense the environment, e.g., to navigate
and detect objects, and to communicate with other fishes, e.g., to
attract a mate.
How do these fishes generate electricity? We know that regular cells
communicate with electrical impulses. In electric fishes, many modi-
fied nerve or muscle cells are interconnected in a dedicated electric
organ, mostly in the tail. The way these cells are connected, in series
or parallel, has evolved according to the salinity of water in their hab-
itat, which determines the electrical resistance of water. In all cases,
the result is the maximized delivery of electrical power to the target.
Some electric fishes produce continuous and almost sinusoidal electric-
ity called a wave-type discharge. Other fishes produce step waves that
consist of brief pulses and long gaps called a pulse-type discharge. In
order to protect their internal vital organs, these fishes have conduc-
tive tissues inside their body. The produced electricity goes through
these low-resistance organs rather than high-resistance vital organs.
Furthermore, to avoid jamming each other’s electrical signals, they
have a frequency control mechanism that adjusts the frequency of the
produced electricity to avoid equal frequencies.6

Greeks knew about static electricity when they rubbed an amber rod
( fossilized resin with a vegetable origin) with a cat’s fur and realized that
the rod can attract light objects. But mistakenly, they thought friction made
amber magnetic. In fact, the word electricity was derived from the Greek
word “elektron”, which means amber. Until the 18th century, the accepted
hypothesis about the origin of electricity was that this phenomenon had a
mechanical nature.6
Perhaps the oldest object that may be related to electricity generation is the
Parthian Battery, also known as the Baghdad Battery, found in 1938, which
belongs to the Persian dynasties of the Parthian or Sassanid period (the early
centuries CE) (FYI Box 1.2).

6 Nelson, M.E. “Electric fish.” Current Biology 21(14) (2011): R528–R529.

14 Power Plant Engineering

FYI BOX 1.2

THE PARTHIAN BATTERY
The Parthian Battery is similar to a galvanic battery. It has been sug-
gested that it may have been used for electroplating gold onto silver. Its
reconstruction showed that it could generate around 1–2 V of electricity.
Grape juice, lemon juice, or vinegar could have been used as an elec-
trolyte. However, some scientists and archaeologists contradicted this
theory and suggested that it is only a storage vessel for sacred scrolls.7

In the modern era, static electricity was studied for the first time in the
17th century. In the 18th century, Benjamin Franklin (1706–1790),7 one of the
Founding Fathers of the U.S., conducted extensive research on electricity.8 He
conducted (and miraculously survived) his famous experiment to prove that
the nature of lighting is electrical. In 1800, Alessandro Volta (Italian physicist,
1745–1827) invented the Volta battery or voltaic pile. Hans Christian Ørsted
(Danish physicist and chemist, 1777–1851), André-Marie Ampère (French phys-
icist and mathematician, 1775–1836), and James Clerk Maxwell (Scottish mathe-
matical physicist, 1831–1879) showed the interrelation and eventually the unity
of electric and magnetic phenomena. Based on this principle, Michael Faraday
(English scientist, 1791–1867) invented electric motors in 1821, a concept that is
still being used to convert shaft work to electrical energy and vice versa.
In the 19th century, electricity generation was evolved from a scientific field
of research to the backbone of the Second Industrial Revolution, with the first
one being the invention and utilization of steam engines. In the beginning,
electricity was generated locally in the form of direct current (DC). Then, it
was recognized that alternating current (AC) can be transported with lower
cost and losses than DC. This recognition did not come easy. In the late 1880s,
there was the so-called War of Currents between several giant historical fig-
ures of electricity: Thomas Edison (American inventor and businessman,
1847–1931) promoting DC and George Westinghouse (American entrepre-
neur and engineer, 1846–1914) along with Nikola Tesla (Serbian-American
inventor and engineer, 1856–1943) supporting AC (everybody knows the out-
come of the war!).9 The domination of AC power made it possible to transmit
electricity across great distances at high voltage, which resulted in large cen-
tralized power plants and a vast network of power distribution systems.

7 Frood, A. “Riddle of ‘Baghdad’s batteries’”. BBC News, February 27, 2003. http://news.bbc.
co.uk/2/hi/science/nature/2804257.stm.
8 It is interesting to know that he sold his personal possessions to fund his research.
9 Edison famously said “Fooling around with alternating currents is just a waste of time.

Nobody will use it.”

Introduction to Electricity 15

Since then electricity has been a fundamental building block of modern civi-
lization. Until the 1960s, there were great interests and investments in the field
of fossil fuel electricity production. Ever since the level of interest has depended
upon the cost of fossil fuels. In the 1970s, the surge in oil prices resulted in huge
investments in research and development (R&D) activities toward improving
the efficiency of electricity generation and fostering renewable energy sources.
However, these activities quickly declined when fuel costs were reduced.
The electricity generation industry, which was started from local generation
and evolved to central power generation has gone through a complete circle. In
recent years, the idea of local power generation, typically in the form of cogen-
eration, has gained popularity. This approach, also called distributed genera-
tion (DG), is compatible with the move toward renewable energy sources.
Recently, there has been a new concern: the challenge of sustainability.
Sustainable development, in general, means meeting the needs of the cur-
rent generation without destroying the future generation’s ability to meet
theirs. Improving the living standard of a growing population can be only
maintained by providing sufficient energy supplies. The consequences of the
current approach to providing energy are evident not only in the declining
of non-renewable energy resources but also in negative local impacts on air
and water quality in addition to global climate change. In the U.S. and glob-
ally, the electricity generation industry is responsible for over a quarter of the
total greenhouse gas (GHG) emission.10
While renewable energy sources will be the energy sources of the future, the
short-term electricity needs should be provided mainly by conventional power
generation units as sustainable as possible. This needs a two-frontal approach:
reduce energy consumptions and better use of available energy sources. Energy
conservation should be approached not only through advanced technologies
but also through adjustment in our lifestyle. Better utilization of energy sources
can be achieved partly by improving the efficiency of electricity generation. The
electricity generation industry has experienced remarkable improvement in the
efficiency of fossil fuel-based power plants from <15% in the early 20th cen-
tury to above 50% (up to about 60%) in the 21st century. Furthermore, improved
technologies for the extraction and processing of fossil fuels can extend their
availability while reducing their negative environmental impacts.

1.3.2 Electricity and Society

In this section, the total and per capita electricity generation and consump-
tion in the world, the U.S., and some other countries will be discussed and
the relationship between this consumption and economic development
and living standard will be evaluated. Figure 1.12 shows the global annual

https://www.epa.gov/ghgemissions/inventory-us-greenhouse-gas-emissions-and-sinks.
10
16 Power Plant Engineering

50.0
Electricity Generation (×1012 kWh/year)

45.0

40.0

35.0

30.0

25.0

20.0

15.0

10.0

5.0

0.0
1975 1985 1995 2005 2015 2025 2035 2045 2055

FIGURE 1.12
Global annual electricity generation between 1980 and 2050. (Based on the data provided by
EIA, data before 2018 are from actual generation and beyond that are projection.)

electricity generation11,12 between 1980 and 2050. The solid line is based on
the actual electricity generation and the dashed line is based on the projected
data. The curve indicates that in the past four decades the electricity genera-
tion has tripled. It is also expected to almost double by 2050 compared to the
current consumption. It should be noted that while the electricity generation
and consumption are slightly different, for our analyses (which is focused on
trends rather than actual values) we can use them interchangeably because
increase or decrease in electricity generation and consumption is always con-
current with a few percent difference.13 In this discussion, energy genera-
tion is mostly used because it is what matters most from the utilization of
resources as well as environmental impacts point of view.

11 The electricity generated by both power plants and combined heat and power plants is
included. Also, both utility and non-utility electricity generation are included.
12 The reported electricity generation here is net generation (not gross generation). The differ-

ence between net and gross electricity generation is in whether we include the electricity
consumed in power plants. The net electricity generation excludes the electricity consumed
in the generating unit itself and only measures electricity at the outlet of the plant. The differ-
ence between these two depends on the type of the plant. It can be from <1% for hydropower
plants to over 5% for fossil fuel power plants.
13 Note that while in this text we present electricity generation or consumption interchange-

ably, they are not the same. Two factors distinguish electricity generation and consumption:
electricity import and export and losses during electricity transmission and distribution as
shown in the following equation:
Electric power consumption = net electricity generation (refer to the footnote above) + imported
electricity − exported electricity − electricity losses during transmission and distribution.
Introduction to Electricity 17

Since electricity consumption is directly proportional to the population,

it is much more meaningful to separately study the population and per
capita electricity consumption (and generation). Figure 1.13 shows the world
population between 1960 and 2018. The diagram indicates that the world pop-
ulation has been continuously increasing. The world population has increased
from 3 to 7.6 billion people in this period, about 150% increase since 1960.
Figure 1.14 shows the global per capita electricity generation between 1980
and 2018. The diagram indicates that the global per capita electricity genera-
tion has increased by about 80% since 1980. The combined impact of increase

8.0

7.0
World Population (Billion people)

6.0

5.0

4.0

3.0

2.0

1.0

0.0
1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015

FIGURE 1.13
World population between 1960 and 2018 (Based on the data provided by The World Bank.)

3500

3300
Per Capita Electricity Generation

3100

2900
(kWh/capita/year)

2700

2500

2300

2100

1900

1700

1500
1975 1985 1995 2005 2015

FIGURE 1.14
Global annual per capita electricity generation between 1980 and 2018 (Based on the data
provided by EIA.)
18 Power Plant Engineering

15500 4.5

Electricity Generation ( ×10 12 kWh/year)

4.0
13500
Per Capita Electricity Generation

3.5
11500
(kWh/capita/year)

3.0
9500 2.5

7500 2.0

1.5
5500
1.0
3500
0.5

1500 0.0
1975 1985 1995 2005 2015

FIGURE 1.15
Annual total and per capita electricity generation in the U.S. between 1980 and 2018 (Based on
the data provided by The World Bank.)

in electricity consumption by each person and increase in the world popula-

tion has substantially increased the total global electricity consumption.
It is projected that both the world population and the per capita electricity
consumption will continue to increase in the foreseeable future. The United
Nation predicted that the world population will reach 9.8 and 11.2 billion
by 2050 and 2100, respectively.14 This means about 30% population increase
by 2050. It is predicted that the per capita electricity generation will increase by
38% by 2050.15 The combined impact will be about 78% increase in the global
electricity generation (and consumption) by 2050.
Now let us take a look at the similar data for the U.S. and evaluate if we can
observe similar patterns. Figure 1.15 illustrates the total and per capita annual
electricity generation in the U.S. between 1980 and 2018. A close inspection
of the curves shows a different pattern compared to those observed on the
global scale. The curve indicates that the per capita electricity generation in
the U.S. increased until 2000. Then, the growth stopped and the per capita
electricity generation was flat at about 13,500 kWh/capita/year until 2007.
Since then the annual per capita electricity generation has actually declined.
However, the total electricity generation in the U.S. has been steady since
2005 and a similar decline cannot be seen for the total electricity production.
This is due to the continued growth in the population as the U.S. population
increased by about 6% between 2010 and 2018.

14 https://www.un.org/development/desa/en/news/population/world-population-pros-
pects-2017.html.
15 https://www.eia.gov/international/data/world/electricity/electricity-generation.
Introduction to Electricity 19

If this diagram is created for all other industrially developed economies,

the similar pattern can be observed. All of them reached a steady annual
per capita electricity generation albeit at different values and times. For
example, Figure 1.16 shows a similar diagram for Japan. A similar pattern
can be seen but in this case, the annual per capita electricity generation
growth stopped earlier, in the mid-1990s, and at a lower value, around 8000
kWh/capita/year. So the increase in the per capita and total global annual
electricity generation observed in Figures 1.12 and 1.14 has not been driven
by these economies.
Figures 1.17 and 1.18 illustrate similar diagrams for China and India
(chosen for their immense population and rapid industrial development).
The patterns observed for the U.S. and Japan in Figures 1.15 and 1.16, respec-
tively, cannot be seen in these two cases. The per capita electricity genera-
tion in these countries is rapidly increasing. Note that regardless of this fast
increase, still each person in China or India consumes far less than what an
American or even a Japanese consumes (11,800 and 7500 kWh/capita/year
for the U.S. and Japan, respectively, versus 5000 and 1100 kWh/capita for
China and India, respectively).
This flattening of electricity consumption per capita in developed coun-
tries is both a good news and a bad news. It is a good news because it shows
that there is a limit for electricity consumption per capita, and this consump-
tion does not increase indefinitely. It is a bad news due to the fact that the
majority of the world population lives in economies that have not reached to
the level of economic development that results in flat or declining electricity
consumption per capita. For this underdeveloped population, the growth

10000 1.2
Electricity Generation (×1012 kWh/year)

9000
Per Capita Electricity Generation

1.0
8000
(kWh/capita/year)

7000
0.8
6000

5000 0.6
4000
0.4
3000

2000
0.2
1000

0 0.0
1975 1985 1995 2005 2015

FIGURE 1.16
Annual total and per capita electricity generation in Japan between 1980 and 2018. (Based on
the data provided by The World Bank.)
20 Power Plant Engineering

6000 8.0

Electricity Generation (×1012 kWh/year)

7.0
Per Capita Electricity Generation

5000
6.0
(kWh/capita/year)

4000
5.0

3000 4.0

3.0
2000
2.0
1000
1.0

0 0.0
1975 1985 1995 2005 2015

FIGURE 1.17
Annual total and per capita electricity generation in China between 1980 and 2018. (Based on
the data provided by The World Bank.)

1200 1.6

Electricity Generation (×1012 kWh/year)

Per Capita Electricity Generation

1.4
1000
1.2
(kWh/capita/year)

800
1.0

600 0.8

0.6
400
0.4
200
0.2

0 0.0
1975 1985 1995 2005 2015

FIGURE 1.18
Annual total and per capita electricity generation in India between 1980 and 2018. (Based on the
data provided by The World Bank.)

in electricity consumption will continue, along with improved living stan-

dard, until they are adequately developed. This means, as noted above, the
total global electricity consumption will continue to grow in the foreseeable
future. The impacts of this growth on the environment and energy sources
are unpredictable but certainly not positive and potentially devastating.
Introduction to Electricity 21

We will discuss this issue further in the next section, which is about the
relationship between electricity consumption, economic development, and
energy inequality.

1.3.3 Electricity Consumption, Economic

Development, and Energy Inequality
In Section 1.1.1 we observed that per capita energy consumption can be
used as an indication of the quality of life in a society. However, electric-
ity consumption per capita is a more accurate measure of living standard.
Consider a society that burns a lot of wood for heating and cooking. While
this society may consume a lot of energy, this consumption may not reflect
a high living standard. Figure 1.19 shows the annual per capita GDP as a
function of the annual per capita electricity generation for countries with
a population over 20 million people in 2018. The figure illustrates a clear
correlation between these two factors though not a one-to-one relationship.
There is a significant variation in the diagram. For example, for the annual
per capita GDP of 40,000 $/capita/year, the annual per capita electricity gen-
eration of <5000 kWh/capita to over 10,000 kWh/capita can be observed.
However, the lack of any point in the top left and bottom right corners of
the diagram indicates that the high living standard (manifested in a high
GDP per capita) cannot be achieved without high electricity generation (and
consumption) per capita.
To get some sense of electricity generation per capita in various coun-
tries, Figure 1.20 shows the annual per capita electricity generation for some
countries in 2018. The diagram shows how immensely the annual per capita

70000

60000
Average
Per Capita GDP ($/capita/year)

50000

40000

30000
Average
20000

10000

0
0 2000 4000 6000 8000 10000 12000 14000
Per Capita Electricity Generation (kWh/capita/year)

FIGURE 1.19
Annual per capita GDP as a function of per capita electricity generation for countries with
population over 20 million people – 2018. (Based on the data provided by The World Bank.)
Per Capita Electricity Generation
FIGURE 1.20

(kWh/capita/year)
0
2000
4000
6000
8000
10000
12000
14000

United States
North Korea
Australia
Saudi Arabia
France
Japan
Germany
Russian Federation
Spain
Malaysia
Italy
China
South Africa
Iran
Turkey
World
Argentina
Brazil
Thailand
Mexico
Iraq
Egypt
Vietnam
Peru
Colombia
India
Indonesia
Philippines
Sri Lanka
North Korea
Pakistan
Mozambique
Ghana

Annual per capita electricity generation for some countries in 2018. (Based on the data provided by The World Bank.)
Bangladesh
Sudan
Kenya
Yemen
Nigeria
Ethiopia
Uganda
Afghanistan
Niger
Power Plant Engineering 22
Introduction to Electricity 23

electricity generation varies among developed, emerging, and developing

economies.
To get a clearer picture, Table 1.1 lists the population and annual
electricity generation, GDP, per capita electricity generation, and per
capita GDP for some selected countries in 2018. The table indicates a deep
inequality in the per capita electricity consumption in the global level.
For example, each American on average consumes roughly as much as
two Spaniards, three Chinese, 12 Indians, 63 Kenyans, 365 Afghans, and
827 Chadians. The good news is that this gap has been closing for most
countries in the past few decades. For example, the ratios of annual per
capita electricity consumption in the U.S. to that of China and India were
about 50 and 77, respectively, in the early 1970s. These ratios reduced to
about 14 and 35, respectively, in 200016 and about 3 and 12 in 2018. The bad
news is that according to the World Bank, only about 16% of the world
population lives in the high-income economies, and remaining 84% of the
population lives in low- and middle-income countries (for example China

TABLE 1.1
Population and Annual Electricity Generation, GDP, per Capita Electricity
Generation, and per Capita GDP for Some Selected Countries in 2018. (Based on the
data provided by The World Bank.)
Annual
Annual Annual Electricity GDP per
Population Annual Electricity GDP Generation per Capita
(Million Generation (Billion (Billion Capita (kWh/capita/ ($/capita/
Country People) kWh/year) $/year) year) year)
Norway 5.3 146.5 376 27,575 70,672
Canada 37.1 640.5 1,743 17,284 47,041
Kuwait 4.1 68.4 289 16,542 69,925
United States 327.2 4,058.3 19,517 12,404 59,655
Germany 82.9 618.3 4,128 7,456 49,781
Spain 46.7 259.9 1,761 5,563 37,705
China 1,392.7 6,266.2 24,007 4,499 17,237
World 7,594.3 24,343.6 128,866 3,206 16,969
Mexico 126.2 305.1 2,439 2,418 19,325
India 1,352.6 1,438.2 10,025 1,063 7,412
Bangladesh 161.4 68.8 721 427 4,471
Kenya 51.4 10.1 169 197 3,285
Ethiopia 109.2 13.7 208 126 1,906
Haiti 11.1 1.0 20 86 1,767
Afghanistan 37.2 1.3 70 34 1,893
Chad 15.5 0.2 29 15 1,850

Based on the data from the World Bank.

16
24 Power Plant Engineering

FIGURE 1.21
Night view of Earth created by NASA through compiling of over 400 satellite images.
(Source: NASA, https://www.nasa.gov/sites/default/files/images/324350main_11_full.jpg.)

and India are upper and lower middle-income countries, respectively17).

This means, as noted earlier, the rapid growth in electricity consumption
will continue with unknown consequences.
Figure 1.21 illustrates a night view of Earth created by NASA through
compiling of over 400 satellite images. The concentration of lighting shown
in the figure can be used as an indication of electricity consumption in
various parts of the world. As expected, North America, West Europe, and
parts of East Asia are much brighter than Africa and most parts of Asia and
South America.

1.4 Structure of Electrical Infrastructure

Modern electrical infrastructure is composed of three main components, which
are integrated into a complex system: power generation, transmission, and
distribution. Power generation units are facilities that convert various forms of
energy, such as coal, natural gas, nuclear energy, solar energy, and wind energy,
to electrical energy. A transmission system is a network of electricity trans-
mission lines, either overhead or underground, which transmit high-voltage
electricity produced in power plants to substations near consumption centers,

https://data.worldbank.org/indicator/SP.POP.TOTL.
17
Introduction to Electricity 25

typically over a long distance. These substations receive high-voltage electric-

ity from transmission lines and reduce the voltage through transformers. The
low-voltage electricity is then distributed to end-users by distribution systems.
A distribution system is mainly composed of power lines and transformers to
safely and reliably deliver the required quantities of electricity at a specified
voltage to consumers. Generally, power lines with voltages above 69 kV are
considered transmission lines and those below 69 kV as distribution lines.
The focus of this text is on power generation systems. Transmission and
distribution systems are out of the scope of this text. However, since trans-
mission systems are the interface between power plants and the rest of the
electrical infrastructure, a brief discussion on this topic will be presented
here. Also, it is critical to understand load characteristics because it provides
information about customer’s needs.

1.4.1 Characteristics of Load Demand for Electricity

The most important characteristic of electricity, which distinguishes it from
other commodities produced by human beings is the fact that in many cases
electricity cannot be economically stored in a meaningful quantity. Note
that there are several ways to store electrical energy, the most common being
batteries, but these methods are neither efficient nor economically viable yet
in many locations (the entire Chapter 16 is dedicated to this topic). This means
that for the most part electricity should be generated whenever needed and
transmitted and distributed to wherever it is needed. This unique characteris-
tic has a profound impact on the selection of technology, capacity, configura-
tion, and geographical location of power generation systems to meet demand
loads. The load is the power consumed by end-users to produce work, heat,
and light. So depending on the context, the term load may refer to the electrical
power consumption of a TV or an entire nation. The electrical demand of con-
sumers, and as a result, the total demand vary over a given period of time and
involve significant uncertainty. Therefore, the analysis of the electrical demand
is a complex process. This section deals with this process by introducing sev-
eral basic concepts and how they affect the electricity generation industry.
To analyze the electrical demand, the pattern of variation of electricity
consumption should be studied. The scope of this study could be regional
or national, depending on the objective of the study. It starts with a load
curve, also known as a load profile, which is a graph of the electrical load
(power consumption) as a function of time. The graph is typically based
on a 24-hour period and is prepared for every day for several years and
then averaged to get general patterns. Figure 1.22 shows a sample of a load
profile. The variation in this graph depends on the time of the day; cus-
tomer type, e.g., residential, commercial, or industrial; the season of the year
(summer or winter); ambient temperature; the day of the week (weekdays
or weekends); and special occasions, such as holidays or sports events. In
order to take these variations into account in a single graph, they can be
26 Power Plant Engineering

18
Load (kW)

12
10
0 2 4 6 8 10 12 14 16 18 20 22 24
Time of day

FIGURE 1.22
An example of a load profile of a typical day.

averaged for a certain period of time, e.g., month, season, or year. Typically
the behavior of a single user can be unpredictable. But when many users
are compounded, their overall load variation is to some degree predictable.
The average load curve can help to express this predicted behavior. At this
point, it is important to remind you of the difference between energy and
power (FYI Box 1.3).

FYI BOX 1.3

ENERGY AND POWER
Although the terms energy and power are commonly used inter-
changeably in everyday discussions, they are different. Though interre-
lated, these terms should be properly used in engineering and scientific
contexts. Broadly speaking energy is the capacity of a system to do
work. It can be in the form of heat, work, kinetic, potential, electrical,
chemical, nuclear, light, or sound energy among others. According to
the first law of thermodynamics, these energy forms cannot be created
or destroyed but can be converted from one form to another. Although
useful energy can be wasted it cannot be destroyed. Power is the time
rate of energy conversion or transmission. Power is associated with the
size or capacity of the system whereas energy is related to both the size
of the system and the duration of system operation. While power can be
defined for a point in time, energy is only meaningful when expressed
for a period of time. When you are buying an electric system, its power
consumption is important. But when you are paying for your utility
bill, it is for energy usage. The units of energy and power are:
Introduction to Electricity 27

Energy: N m = J (joule), ft.lbf, and Btu18 (British thermal unit)19

Power: Nm/s = J/s = W, ft.lbf/s, Btu/h, and hp20 (horse power)

Based on these definitions, the power consumption or generation of a

system multiplied by the duration of system operation will give energy
consumption or production in the system for that period. In some
applications, especially related to electrical energy, the unit of Wh or
kWh is used for energy.

Energy use or production

Power (demand) = (1.1)
Duration of energy use or production

A load curve can provide valuable information about the nature of electric-
ity consumption in a specific region. The highest point of the curve is called
the maximum load demand. The power generation systems under investiga-
tion should be able to provide this maximum load albeit for a short period of
time to avoid power shortage and outage. The minimum load in the curve is
called the baseload demand. This is the load that should be provided during
the entire given period.1819
The area under the load curve is equal to the total electrical energy con-
sumed in the given period (with the unit of ‘power × time’). The total electri-
cal energy usage, the area under the load curve, divided by the total time of
the use is the average load.20

Total electrical energy usage

Average load = (1.2)
Total time of the use

A load factor is the average load divided by the maximum load and is always ≤1.

Average load
Load factor = (1.3)
Maximum load

The load factor indicates how effective a power generation system is being
utilized. A high load factor is desirable because it indicates that the power
generation system operates close to its maximum capacity, which means
more electricity to sell. Graphically speaking, in a load curve, the ratio of the
area under the curve to the area of the rectangle containing the load curve
(the rectangle in Figure 1.22) is equal to the load factor.

18 Btu = 1055.1 J.
19 1 Btu is roughly equal to the energy released from burning a wooden match.
20 hp = 550 ft lbf/s
28 Power Plant Engineering

The next two terms cannot be determined using solely the load curve.
A demand factor is the ratio of the maximum load to the maximum pos-
sible load.

Maximum load
Demand factor = (1.4)
Maximum possible load

The maximum possible load, also known as the total connected load, is the
load when all electrical devices (electricity consumers) are operating at the
maximum capacity at the same time for a single consumer. For example,
assume that in your house all electrical appliances operate at the same time.
The power consumption in this case is the maximum possible load, say 1000
W. However, you generally do not operate all equipment at once, so the maxi-
mum load is usually lower than the maximum possible load, e.g., 500 W. In
this case, the demand factor for your house is 0.5. The value of the demand
factor is always less than or equal to unity.
A coincidence factor is the ratio of the maximum load to the sum of all
maximum demands of individual customers in the region of interest.

Maximum load
Coincidence factor =
Sumof all maximumdemandsof individual customers
(1.5)

Since typically the maximum demands of all consumers do not coincide (this
is called diversity), the maximum demand will be less than the sum of indi-
vidual demands. Therefore, the value of the coincidence factor is always ≤1.
Note that the demand factor and coincidence factor are different. The for-
mer is based on all consumers connected, while the latter is based on the
observed maximum demand of individual consumers, e.g., each home.
The demand and coincidence factors are the indication of the possibility
of having a load greater than the maximum load. The greater demand fac-
tor suggests that a greater spare power generation capacity in the network
is needed.

Example 1.1
In the load curve presented in Figure 1.22, determine the maximum and
base demands, total electrical energy consumed, daily average load, load
factor, and demand factor if the unit of the electrical load in the diagram
is kW. Assume that the maximum possible demand is 30 kW.

Solution
Given: The load curve and maximum possible demand are given.
Find: The maximum and base demands, total e lectrical energy con-
sumed, daily average load, load factor, and demand factor
Introduction to Electricity 29

Maximum demand = 24.6 kW

Base demand = 11.8 kW
Total electrical energy consumed = Area under the curve ≈ 75 × 2 +
10 × 24 = 390 kWh
390
Daily average load = = 16.25 kW
24
16.25
Load factor = = 0.66 or 66%
24.6

24.6
Demand factor = = 0.82 or 82%
30

Example 1.2
A neighborhood has ten identical houses. The maximum possible power
consumption in each house is 7 kW (if all electrical appliances operate at
the same time). However, in practice, the maximum power consumption
in each house is 3 kW. If the maximum power consumption of the neigh-
borhood is 20 kW, determine the demand factor for each house and the
coincidence factor for the neighborhood.

Maximum load 3 kW
Demand factor = = = 0.429
Maximum possible load 7 kW

Maximum load
Coincidence factor =
Sum of all maximum demands of individual customers

20 kW
= = 0.667
3 × 10 kW

1.4.2 Characteristic of Power Generation Systems

The above terms were defined for the demand (consumer) side of the sys-
tem. The following terms are defined for the electricity generation side. A
capacity factor is the ratio of the actual electrical energy produced by a
single power generation unit or a system of power generation units to the
maximum possible electrical energy that could have been produced, i.e., if
the system was operated at the full installed capacity at all time, during a
certain period.

Capacity factor

Actual electrical energy produced (1.6)

=
Maximum possible electrical energy that could have been produced
30 Power Plant Engineering

The following three factors contribute to the less than a unity capacity
factor: (1) if the system operates at a reduced load or is out of service due to
a failure in equipment, routine maintenance, or unplanned maintenance, (2)
if the system operates at a reduced load or is shut down because electrical
energy is not needed or it is not economical to produce electricity due to a
low price of sale, and (3) if the system does not generate electricity due to
unavailability of energy sources, for example in a gas turbine when natural
gas from the pipeline is not available, in a wind turbine when wind does not
blow, or in a hydroelectric plant when water behind the dam is not avail-
able. Furthermore, a hydroelectric plant may not be able to operate at the
full capacity due to the limitations on the water flow rate or the limitations
on the water level behind the dam. In many dams, too low water flow rates
should be avoided to protect fish downstream. Also, too high or too low
water level behind the dam should be avoided to enable the operation of
recreational facilities, if any. The capacity factor also depends on the fuel
type as well as plant design, age, and configuration. Typical capacity factors
(or more accurately availability factors, discussed next) for various power
generation technologies are:

• Steam power stations such as coal, geothermal, and nuclear power

plants: between 50% and 95%.
• Gas turbines: from 80% to 99%.
• Wind farms: 25%–40%.
• Photovoltaic solar units: <25%.
• Hydroelectricity: 20%–99%

Note that for wind and solar power plants this factor depends on whether
periods when the plant is ready but there is no wind or sunlight are counted
as available, unavailable, or disregarded.

Example 1.3
Determine the capacity factor for a power plant with the installed capac-
ity of 2000 MW that produces 15,000 GWh per year.
Solution
Actual electrical energy produced = 15,000,000 MWh
Maximum possible electrical energy = 2000 MW × 24 hour/day ×
365.25 = 17,532,000 MWh
15, 000, 000
Capacity factor = = 0.856 = 85.6%
17, 532, 000

Since the second and third items above (when electrical energy is not needed
or the primary energy source is not available) are out of control of the power
plant, the availability factor is defined to provide a more accurate indication
Introduction to Electricity 31

of plant operation. The availability factor is the ratio of the time that the
plant or system is able to generate electricity, regardless of if it is actually
operating or not, to the total time in a given period.

Time that the plant or system isable togenerate electricity

Availability factor =
Total time in a given period
(1.7)

The duration in which the system operates at part loads due to maintenance
may or may not be considered in this definition and should be clarified
for each case. The availability of a power generation system depends on
fuel type, system design, system age, and duration of plant operation. For
all other factors being equal, the newer plants and those that are operated
less frequently have higher availability factors due to fewer maintenance
requirements.
In contrast to the availability factor, a utilization factor or use factor is the
ratio of the time that a power generation plant or system is in use to the total
time that it is available to be used.

Time that a power generation unit or plant is in use

Utilization factor or use factor =
Total time that it isavailable to be used
(1.8)

A low utilization factor and capacity factor along with a high availability
f actor for a plant indicates that the plant is maintained and operated prop-
erly, and the reason for the low utilization factor and capacity factor is the
lack of demand or the shortage of primary energy.

Example 1.4
A power plant operates 4 hours a day, 40 weeks a year. If on average the
plant is not available for 5 hours a week for scheduled and unscheduled
maintenance, determine the plant’s availability and utilization factors.
Solution
The system’s actual operational period = 4 hours × 7 days × 40 weeks =
1120 hours
 365.25 
The system’s unavailable period = 5 ×  = 260.9 hours
 7 

The system’s available period = 365.25 × 24–260.9 = 8505.1 hours

available period 8505.1

Availability factor = =
total period (365.25 × 24 )

8505.1
= = 0.97 or 97%
8766
32 Power Plant Engineering

operational period 1120

Utilization factor = = = 0.132or132%
available period 8505.1

This indicates that the plant is in an excellent shape but it is not properly
utilized due to the lack of demand or primary energy source.

1.4.3 S electing Capacity and Type of Electricity Generating Units

Selecting power plant technology and size is a complicated process that
requires many parameters to be taken into account. These factors are not all
technical and include economic, social, and environmental considerations to
meet the interests of stakeholders, including owners, customers (consumers),
local communities, and operators.
The number and capacity of power generation units should be chosen in
a way that the produced power can approximately meet the load curves for
various periods, i.e., daily, monthly, and annual curves, according to the pro-
jection of the load demand increases in the future. Many factors affect this
projection, including the trend in population growth, planned new indus-
tries and expansion of existing ones, impacts of technological advances on
electricity consumptions, and regulation changes in the region of interest.
The urgency of the need for power affects the type and technology of the
plant because the time needed to obtain required permissions as well as
to design, construct, and install the plant depends on its technology. The
selected units should be of various capacities to roughly fit the variations in
the load curves with minimum partial-load operation. However, the num-
ber of small units should be limited to avoid the typically low efficiency of
these units. The total capacity of the power generating system should be large
enough to permit maintenance of units without affecting the capability of
the system to provide the maximum demand load. Furthermore, the total
capacity of the power generating system should include some extra capacity
for future expansion and emergencies. This reserve margin is to provide suf-
ficient reliability. In order for a power generation system to be able to meet
required load demands, it should include a proper mixture of two types of
power plants: baseload and peak load.

1.4.4 Baseload and Peak-Load Power Plants

Baseload power plants are plants that are dedicated to meeting the base-
load demand. Since these power plants should produce the minimum
required power for a given period, they should operate continuously at
full capacity at all times throughout the period, except for scheduled or
unscheduled maintenance downtimes. Typically if a power plant is opera-
tional for 6000 hours or more a year (out of 8760 hours in a year), it is con-
sidered to be a baseload plant. The power output of these units does not
vary to match load demands. These units are typically able to generate
Introduction to Electricity 33

electricity at a low cost, which means they should be highly efficient power
plants. This typically requires high capital costs. They also usually have
high plant capacity factors and low marginal costs. The following power
plant technologies are commonly employed, or can be employed in the
future, as baseload plants: steam power plants both fossil fuel and nuclear,
hydroelectric, geothermal, solar thermal with storage, and ocean thermal
energy conversion power plants. It should be noted that the available fuel
is also important for the decision on the power plant type. If natural gas
is the inexpensively available fuel, for example, a combined cycle power
plant might be the best choice, while for coal, a pulverized coal steam
power plant might be the best.
In contrast to baseload power stations, peak-load power plants, also known
as peaking or peaker plants, operate to provide the difference between the
baseload and the actual load demand, especially during a high demand
period. Their period of operation may range from many days to a few hours
a year with highly variable loads. Typically, if a power plant is operational
for 2000 hours or less a year, it is considered to be a peaking power plant.
Sometimes if a power plant operates between 2000 and 6000 hours annually,
it is called an intermediate plant. Due to their limited operational period,
it is not economical to use high-efficiency capital-intensive plants as peak-
ing load power plants. Furthermore, in most baseload plants, load variations
take a long time, which makes them unsuitable for variable loads. Therefore,
peak-load power plants typically have low efficiency, low capital costs, fast
load-following character, and low plant capacity factor with high marginal
costs such as gas turbines, reciprocating engines, pumped storage and other
storage technologies, and hydroelectric plants. Typically, to meet peak loads,
power plants with higher efficiency are the ones operated first.
When planning for a new power plant, the projected load profiles can
determine which type, baseload or peaking load, should be constructed.
Note that regardless of the operating mode that the plant is designed for
(i.e., baseload, intermediate, or peaking power plant), during later opera-
tion it may be used for an entirely different operation mode. Furthermore,
constructing a new power plant may not be the best option. Retrofitting
existing power plants to extend their useful life and/or upgrading oper-
ating plants to improve their efficiency, reliability, and capacity as well as
reduce their environmental impacts should be studied before making any
decision. This is particularly important if the existing plant’s operating per-
mit is still valid.
The determination of the location of a new power plant depends on many
factors including availability of an appropriate site (for the current plant
and the future possible expansions), availability of reliable inexpensive fuel
sources (current and future projection), availability of cooling water sources,
availability of transmission lines, environmental considerations, impacts on
local communities, availability of labor during construction and operation,
regional climate and potential hazardous events (such as high wind, flood,
34 Power Plant Engineering

and earthquake), and regulations (environmental, taxes, etc.). In all selection

processes, the best tool to choose the optimum solution is to conduct the life-
cycle cost analysis for each scenario and compare them using this criterion.
The decision on the type of plants and their capacity requires a detailed study
of load curves along with fuel availability and environmental considerations.
In order to take advantage of baseload and peak-load power plants, power sta-
tions should be interconnected in a power grid. The concept of electrically con-
nected power plants also improves the reliability of produced power, ensures
economical operation of plants, and permits continued operation of older plants.

1.5 E lectricity Transmission Lines

In the late 19th century, when commercial electricity was in its infancy,
power generation units were located near consumption centers. This was
mainly because generated power was direct current (DC), and it was difficult
to change the voltage of DC power. This meant that the voltage of generated
electricity and that of the consumed electricity must be equal. There were
even different classes of electricity at different voltages with dedicated power
generation and distribution systems. The low-voltage electricity meant that
to transmit a significant amount of electric power, high current was required.
Note that the power transmitted through a line can be determined by

PT = IV (1.9)

where PT is transmitted electric power (W), I is current (A), and V is the volt-
age (V) of the transmission line. Also, the power loss in the transmission and
distribution lines is directly proportional to the square of the current.

PL = I 2 R (1.10)

where PL is the loss of power during the transmission of electric power

(W), I is the current (A), and R is the resistance (Ω) of the transmission
line. The low-voltage and high-current electricity transmission meant a
significant loss of power in long-distance transmissions (Example 1.5).
Therefore, in those days electric power generation was mainly localized,
which is now called distributed generation (DG). With the introduction
and spread of alternating current (AC) power in the last decade of the 19th
century and the early 20th century, the voltage of electricity transmission
increased gradually up to 150 kV by the 1920s and the limitation in long-
distance transmissions was eliminated. With this improvement, the loca-
tions of power plants were no longer constrained by proximity to demand
Introduction to Electricity 35

centers. For example, hydropower plants could be built on sites that were
commonly in remote locations or fossil fuel power plants could be built
close to fuel sources. Also, central large power plants could be built to take
advantage of the economy of scale. To reduce cost and increase reliability,
power companies started to interconnect these power plants, which cre-
ated local and regional networks. During World War I, to support wartime
needs, governments took over and rapidly interconnected these regional
power networks to create what is now called the power grid, the national
grid, or simply the grid.

Example 1.5
A power plant produces 100 MW electric power, which is transmitted
through a high-voltage line at 115 kV to a consumption center. If the
resistance of the line is 10 Ω, determine the power loss in the transmis-
sion line. Determine the loss if the power was transmitted through a
34 kV line.
Solution
Given: The total power that needs to be transmitted, the voltage of the
transmission line, and the resistance of the line are given.
Find: The power losses in two cases, when the voltage of transmission
is 115 and 34 kV.

WHEN THE VOLTAGE IS 115 KV

The power transmitted through a line is PT = IV .

PT = Transmitted electric power = 100 MW

V = Total voltage = 115 kV

PT 100 × 106
I = Current of transmitted electric power = = = 869.6 A
V 115 × 103

The power loss in the line is PL = I 2 R .

PL = 869.62 × 10 = 7.56 × 106 W = 7.56 MW

This means that out of 100 MW power, 92.44 MW is delivered to the des-
tination and 7.56 MW is lost during the transmission.
36 Power Plant Engineering

WHEN THE VOLTAGE IS 34 KV

100 × 106
I= = 2941.2 A
34 × 103

PL = 2941.2 2 × 10 = 8.65 × 107 W = 86.5 MW

So when the power is transmitted using the 115 kV line, only 7.56% of the
power is lost while when the 34 kV line is used 86.5% of the power is lost.

Example 1.6
A power plant produces 100 MW electric power, which is transmitted
through a high-voltage line. If the resistance of the line is 10 Ω, determine
the transmission voltage that no power can be transmitted because all
power will be lost.
Solution
In this case PL = PT .

PL 100 × 106
I= = = 3162.3 A
R 10

V = IR = 3162.3 × 10 = 31, 623 V

Note that in this case for the transmission voltage of lower than 31,623 V,
no power can be transmitted because all power will be lost.

Example 1.7
The power loss in power lines can be determined using the equation
PL = I 2 R . In this equation, if the current is replaced by voltage from
V2
the Ohm’s law, V = IR, the power loss equation will be PL = . This
R
new equation implies that increasing voltage not only does not reduce
the power loss but increases it. Explain (use the numerical values for
Example 1.5).
Solution
V2
In the equation PL = , V is the voltage drop across the transmission
R
line (the voltage difference between two ends of the line) and not the
total voltage of the power line. For example, in Example 1-5 where the
current and resistance of the line are 869.6 A and 10 Ω, the voltage drop
across the line is
Introduction to Electricity 37

VLine = IR = 869.9 × 10 = 8696 V

So using the new equation, the power loss is

V 2 86962
PL = = = 7.56 MW
R 10

This is equal to the value of the loss using the equation PL = I 2 R .

Nowadays in North America (the U.S. and Canada), there are two major
grids, the Eastern and Western Interconnections (which are roughly
separated by the Rocky Mountains), and three minor grids, the Texas,
Quebec, and Alaska interconnections.21 Sometimes the term a “wide area
synchronous grid” is used instead of an interconnection. All power utilities
in an interconnection are operated in harmony (or synchronized), i.e., they
have the same voltage, frequency, and phase. Although these interconnec-
tions are independent and separated, they can exchange electricity to some
degree during normal operation, except Alaska interconnection which is
isolated. To avoid complications due to phase differences (they all have
the same frequency and voltage), exchange lines typically operate at high-
voltage direct current (HVDC). For most of continental Europe, there is
only one major grid.

FYI BOX 1.4

TRANSMISSION LINES IN THE U.S.
According to the Department of Energy, there are 450,000 miles of high-
voltage transmission lines across the U.S. (enough to connect Earth to
the Moon and back!), the largest power grid in the world. These lines
are able to interconnect over 1,000,000 MW power generation capacity.22
The grid not only improves the reliability of power generation by inter-
connecting power plants but also provides several paths to deliver elec-
tricity to consumers, so problems in one line will not cause a blackout
in a region. The negative effect of the grid is that a major disruption in
one area can spread to other areas, which can eventually cause a major
blackout.

21 You can find interconnection maps by a simple internet search for “Interconnections in North
America” or at https://www.energy.gov/oe/services/electricity-policy-coordination-and-
implementation/transmission-planning/recovery-act-0#:~:text=North%20America%20is%20
comprised%20of,(excluding%20most%20of%20Texas).
38 Power Plant Engineering

1.6 Regulated versus Deregulated Electricity Market

Before introducing the concept of an electricity market, we first need to
define what a utility is. In general, an electric utility is an entity active in
all or some aspects of electricity generation, transmission, and distribution
businesses. But in this section, a utility is a company that owns and operates
the entire power infrastructure in a region. A utility can be nationalized or
owned either privately or publically. Each utility typically provides service to
a particular region or territory.
An electricity market can be regulated or unregulated. Until the 1990s,
almost all countries had a regulated electricity market. But since then many
countries or states within countries have liberalized or deregulated their
electric markets to varying degrees.
In a regulated market, based on the belief that certain markets are natu-
ral monopolies, due to the heavy required investment and the importance
of the commodity to national security, the government controls the supply
and demand process in the market. The list of regulated markets used to
be relatively long, including telecommunication, airlines, water, natural gas,
and electricity but now has reduced to a very few markets. Typically, in a
regulated market, all three components of the electric power industry (gen-
eration, transmission, and distribution) are owned and managed by a single
company called a utility (also known as a vertically integrated company).
The price of electricity is determined and dictated to the utility by a regula-
tory body or a federal or state government entity by setting the price of elec-
tricity generation, transmission, and distribution (in the U.S. according to the
Public Utility Holding Company Act of 1935). In exchange for this oversight,
the utility’s monopoly in the market is guaranteed. In this market, custom-
ers do not have any option to choose from for their power supplier. Due to
the lack of competition, this type of market is usually inefficient and slow in
responding to changes. However, they are reliable and stable.22
In a deregulated electricity market, the electricity generation, transmis-
sion, and distribution businesses are separated. This means utilities do
not have a monopoly on the market and independent power suppliers can
enter the market and compete to sell their electricity. The utility still owns,
operates, and maintains the power transmission and distribution sectors to
deliver electricity to end-consumers but customers can buy power from the
retailer of their choice. The deregulated natural gas market also works in the
same way.
In the U.S., the deregulation was started with the Public Utilities Regulatory
Policies Act in the 1970s to allow independent power producers to enter the

https://www.eia.gov/electricity/capacity/.
22
Introduction to Electricity 39

market and was continued by the Energy Policy Act in 1992, which elimi-
nated the limitations on wholesale electricity prices. Today some of the
U.S. states are deregulated while others are regulated and some partially
deregulated.
Many different models of deregulated markets have been adapted by dif-
ferent countries but their underlying principles are similar. A deregulated
electric infrastructure is typically composed of two competitive markets:
(1) a wholesale electricity market and a retail electricity market, and (2) a
monopoly market of power transmission and distribution by the utility. In a
wholesale electricity market, electricity generators, retailers, and sometimes
large electricity consumers can trade electricity by bidding for or offering
electrical energy. In this market, the pricing process is generally bid-based.
In this a day-ahead mechanism, power generators present a list containing
the amount of power they can generate and price per unit of power for cer-
tain time intervals of the day. The time interval can be an hour, half-hour, or
5-minute. The supply and demand for each interval and the cost of power
generation for each generator are deciding factors for the cost of power in
each interval. This market also may include real-time bids. Furthermore,
there is a capacity or power market where some power plants are assigned
as reserve units to provide power during unexpected peak periods. These
reserve units can be spinning reserves or non-spinning reserves, the former
being ready to go online at moment’s notice.
In a retail electricity market, retailers re-price electricity bought in the
wholesale market and offer it to end-consumers. Customers can choose
their electricity provider from competing retailers (in the U.S. this is called
“energy choice”) and regardless of the retailer of choice, the utility trans-
mits electricity to end-users. Customers may pay a flat rate or a variable
rate according to the time of consumption. In the latter, the unit of elec-
tric energy is more expensive during the peak period (refer to FYI Box 1.5).
Customers may be billed by the utility on behalf of the supplier or directly
by the supplier. Note that the utility needs to be paid for the transmission
and distribution of electricity. These expenses may be included in the elec-
tricity bill or customers may have an independent contract with the utility
for this purpose.
The ultimate objective of the electricity market deregulation is to reduce
the cost of electricity for consumers by introducing competition to the mar-
ket. In this respect, the results of the introduction and implementation of
the deregulated market have been mixed. Some markets have been able to
reduce the cost for end-users, at least to some degree, while others have been
disastrous and major failures have occurred. The most notable example of
this failure was in California, particularly between 2000 and 2002, where as a
result of the market switch, the wholesale prices increased drastically (in cer-
tain regions and periods over an order of magnitude) and retail prices for
40 Power Plant Engineering

end-users increased significantly (sometimes over 50% increase). Also, there

were power shortages and rolling blackouts (also referred to as rotating out-
ages). As a consequence of this and similar experiences, the push for deregu-
lation has subsided. Although most stakeholders and analysts believe that
deregulated markets can work, how this can be achieved is an open question
and there is an ongoing debate about it.
The design of a power plant is a complex trade-off between thermodynam-
ics and economic considerations, which is bounded by regulations, particu-
larly environmental regulations. The concept of base and peak load has a
profound impact on the cost of electricity. In the following FYI Box, the pro-
cedure that is used to calculate the cost of electricity is explained.

FYI BOX 1.5

COST OF ELECTRICITY USAGE
There are two methods to calculate the cost of electrical energy con-
sumed by customers. In the first method users only pay for the amount
of consumed electrical energy (kWh) and a relatively small fixed
(meter) charge. The calculation of the cost of electricity for many small
users, including many residential applications is based on this proce-
dure. It should be noted that in this method the cost of a unit of electri-
cal energy may vary seasonally and/or based on the monthly energy
usage.
In the second method, which is used for large consumers, the cost of
electricity depends on both the amount of consumed electrical energy
and the time that the energy is consumed. In this method, customers
pay for the electrical energy usage and a fixed monthly meter charge,
similar to the first method. They also have to pay for what is called a
demand charge. The demand charge is the charge for the maximum
power (time rate of energy) usage during the peak demand period. As
the name implies, the peak demand period is the period of time when
the grid demand is maximum. This period is predetermined for each
region, for example in areas with a hot climate, it is typically during the
hottest midday hours in summer.

Example 1.8
A large commercial unit in Arizona consumes 10 MWh in July with
a maximum power consumption of 0.1 MW during the peak demand
period. Determine the cost of electricity consumed by the facility for that
month if the fixed monthly meter charge, the flat rate of energy consump-
tion, and the demand charge are $90.00 per month, 8.0 cents per kWh,
and $14.00 per kW for the month of July.
Introduction to Electricity 41

Solution
Given: The electrical energy consumption, the maximum power
consumption during the peak demand period, the meter charge, the flat
rate of energy consumption, and the demand charge are given for the
month of July.
Find: The cost of electricity consumed by the facility for the month of
July.
Breakdown of the charges:

Fixed monthly meter charge: $90.00

1000 kWh 
Energy usage charge: 10 MWh × 
 1 MWh 
× $0.08/kWh = $800.00

1000 kW 
Demand charge: 0.1 MW × 
 1 MW  × $14.00/ kW = $1, 400.00

Total electric utility bill for July: $90.00 + $800.00 + $1, 400.00 =
$2, 290.00

Note that over half of the bill is for the demand charge. The cost of elec-
tricity depends on both the amount of electrical energy consumption
and the time of consumption. If the unit can reduce its maximum power
consumption during the peak demand period, it can save on the electric-
ity bill without reducing the overall energy consumption. Also, note the
different units for meter, energy, and demand charges.

1.7 I ntroduction to Conventional Power Generation Systems

The objective of many industrial systems is to convert energy from available
forms, e.g., thermal or chemical energy, to desirable forms, e.g., work or elec-
trical energy. In the following chapters, several power generation systems
that convert thermal energy from fossil fuels, solar radiation, geothermal,
etc., to work and electrical energy will be studied.

1.7.1 M ethods to Categorize Electricity Generation

Electricity generation, or more precisely the direct conversion of various
forms of energy to electricity, can be accomplished by the following seven
methods:

• Electromagnetic induction (in electric generators)

• Electrochemistry (in batteries and fuel cells)
• Photoelectric effect (in solar-photovoltaic cells)
42 Power Plant Engineering

• Thermoelectric effect (in thermocouples)

• Static electricity (in lightning)
• Piezoelectric effect (in strain gauges)
• Nuclear transformation (in betavoltaics that generates electric cur-
rent from nuclear radiation)

FYI BOX 1.6

BETAVOLTAIC BATTERIES
This type of battery can convert beta nuclear radiation directly into
electrical energy. The battery is composed of layers of semiconductors
with radioactive isotopes filled in between enclosed in a containment
cover. The internal operation of the battery is similar to that of solar
panels (Chapter 11) but beta particles (electrons) rather than photons
from solar radiation are captured and converted to electricity in the
semiconductors.
These batteries are suitable for applications with very low power
requirements (in the order of nanowatt, 10−9 W, not nearly enough to
power a cell phone). However, they can provide power for a very long
time, from a few years to 100 years. The battery life is directly pro-
portional to the half-life of the isotope. Due to their robustness, they
are capable of operating and withstanding very harsh environments
such as very low or high operating temperatures (−65°C to 150°C), high
humidity, high-frequency vibration, and corrosive environments. These
characteristics make betavoltaic batteries ideal for medical implants,
deep space and deep ocean devices, military applications, and micro-
electromechanical systems (MEMS).
Early research on the idea started in the 1950s, and the first applica-
tion was for heart pacemakers in the 1970s. In early systems, due to the
low efficiency of semiconductors, a relatively large amount of radio-
active isotopes were used, which resulted in expensive and poten-
tially hazardous systems. Because of these, they lost the competition
to lithium-ion batteries. With recent advancements in nanotechnolo-
gies, more efficient semiconductors are available, which means less
radioactive isotopes can be used. Modern betavoltaic batteries use a
hydrogen isotope called tritium. Beta particles from this isotope can
be stopped by a dead layer of human skin. This isotope has a half-life
of 12.3 years. By loading the battery twice as much isotope as needed
at the beginning of the battery life, this battery can be operated for
about 25 years without recharging. Similar principles are used for
alphavoltaic batteries.
Introduction to Electricity 43

FYI BOX 1.7

TINIEST ELECTRICITY GENERATORS
The piezoelectric effect is the ability of some materials to generate elec-
trical current when mechanical stress in the form of either compress-
ing or stretching is applied. This phenomenon has been extensively
used in strain gauges and pressure gauges. Recent developments in
nanotechnologies resulted in new avenues for piezoelectric electricity
generators. Some materials do not demonstrate any piezoelectric prop-
erty in their bulk form while when reduced to an atomically thin film,
their characteristics are entirely different. For example, while molyb-
denum disulfide (MoS2) is a brittle opaque matter in its bulk form,
when it is converted to a few atom film, it becomes transparent and
bendable with very good piezoelectric character. This film can be inte-
grated into textile and be used to make a wearable device to produce
power from body motion or a flag-like device to produce electricity
from wind-induced motions.

Electricity generation systems can be categorized based on the original

source of energy as follows:

• Fossil fuels (oil, coal, or natural gas)

• Nuclear energy
• Renewable energies (originated from solar energy)
• Hydropower
• Solar energy
• Wind energy
• Wave energy
• Ocean thermal energy
• Biomass
• Renewable energies (non-solar energy-based)
• Tidal energy
• Geothermal
• Osmotic energy
• Other resources
• Solid waste
• Heat recovery
44 Power Plant Engineering

In terms of machines that either convert some forms of energy to kinetic

energy that eventually can be converted to electrical energy, i.e., prime mover,
or directly convert different forms of energy to electrical energy, electricity
generation systems can be grouped as:

• Steam power plants

• Gas turbine power plants
• Combined steam and gas turbine power plants (combined cycles)
• Hydroelectric power plants
• Wind turbines
• Reciprocating engines
• Photovoltaic solar cells
• Fuel cells
• Wave energy converters
• Osmotic power generators

1.7.2 Thermodynamics of Conventional Power Generation Systems

All thermal engines (i.e., thermal power plants) operate between a high-
temperature heat source and a low-temperature heat sink and require four
main processes to convert thermal energy to work:

• Pressurization (compression) of the working fluid

• Heat addition to the working fluid at a high temperature
• Expansion of the working fluid to produce work
• Heat rejection from the working fluid at a low temperature

It should be noted that these processes do not necessarily take place separately
or independently and may have overlaps. In a steam power plant, water is pres-
surized in a pump. Heat is added in a steam generator (boiler) at a high tem-
perature, which converts the inlet water to the outlet steam. Then, the steam
expands in a steam turbine to produce work. Finally, the outlet flow of the
turbine is condensed in a condenser by extracting heat at a low temperature.
In a gas turbine power plant, fresh air from the atmosphere is compressed
in a compressor. Then, the temperature of the high pressure air is increased in
a combustor typically by burning fuel. Next, the high temperature and pres-
sure combustion products are expanded in a turbine to produce work. Last,
the low temperature and pressure gas flow is exhausted to the atmosphere,
rejecting the remaining thermal energy of the working fluid from the cycle.
Similar processes occur in a cylinder and piston engine through the suction
of fresh air, compression, combustion, expansion, and exhaust processes.
Introduction to Electricity 45

In order to understand why these four processes are needed for every con-
ventional power generation cycle, first the work produced in a system should
be reviewed from the thermodynamic point of view. Note that in this discus-
sion, the working fluid of a system is the fluid that directly participates in
thermodynamic processes to generate power.

1.7.2.1 Categorization of Power Cycles

Power generation systems can be categorized based on various characteris-
tics of their thermodynamic cycles. Most of these classifications are based on
the working fluid of the system.

1.7.2.1.1 Open Power Systems versus Closed Power Systems

In a closed system, the working fluid operates in a thermodynamic cycle,
which means it undergoes a series of processes and finally returns to the
initial state such as steam power plants. In an open system, the state of the
working fluid does not return to its initial state, and it does not go through a
thermodynamic cycle such as gas turbines and cylinder and piston engines.
Note that in open systems, the engine usually operates in a mechanical cycle
but not a thermodynamic cycle.

1.7.2.1.2 Phase-Changing or Vapor (Working Fluid) Power Systems

versus Gaseous (Working Fluid) Power Systems
In a phase-changing or vapor power plant, the working fluid can be both
in the gaseous phase and liquid phase such as steam power plants. In this
case, the phase of the working fluid can change alternatively by vaporization
and condensation. Conversely, in gaseous power systems, the working fluid
remains in the gaseous form throughout the cycle (no phase change) such as
gas turbines and cylinder and piston engines.

1.7.2.1.3 Internal Combustion Engines versus External Combustion Engines

While in internal combustion engines the working fluid participates in the
combustion process and its composition alters throughout the cycle, in exter-
nal combustion engines, heat is transferred from external sources, e.g., gas-
eous combustion products or nuclear reactions, to the working fluid and its
composition remains unchanged. It should be noted that the term internal
combustion engine typically refers to spark- or compression-ignition cylin-
der and piston power systems, although technically gas turbines are also
internal combustion engines.

1.7.2.1.4 Shaft Work versus Boundary-Moving Work

Power generation systems can be either steady-state devices involving shaft
work or cylinder and piston devices involving boundary-moving work. In
the former, the continuous flow of the working fluid in a fixed control vol-
ume produces power, such as gas turbine, whereas in the latter a certain
46 Power Plant Engineering

amount of the working fluid produces power by moving the boundary of the
system, such as a spark- or compression-ignition cylinder and piston engine.
While steady-state devices involving shaft work can have either a phase-
changing or gaseous working fluid and can operate based on either open or
closed cycles, cylinder and piston devices involving boundary-moving work
typically operate in an open cycle with a gaseous-only working fluid.

1.7.2.2 Work in Moving Boundary Systems (Closed Systems)

Figure 1.23 illustrates gas or liquid enclosed in a piston and cylinder assem-
bly that goes through a process. The particular case shown in the figure is a
reversible expansion process from state 1 to state 2.
The work done on or by the system can be determined as follows:

δ W = Fdx (1.11)

where F is the force exerted on the piston by the fluid (N).

F = PA (1.12)

where A is cylinder/piston cross-sectional area (m2) and P is the pressure of

the fluid (Pa). So

X1 X2
X
A

Close system
P
P1

V1 V2 V

FIGURE 1.23
Work in a piston and cylinder assembly and graphical representation of the relationship
between P, V, and work in a close system.
Introduction to Electricity 47

δ W = PAdx (1.13)

The change in the volume is dV = Adx. Thus,

δ W = PdV (1.14)

This equation can be applied to systems with any shape. In order to find
work in the process 1–2 (W1− 2 ), the integral of this equation should be taken:
2 V2

W1− 2 =
∫
1
W=
∫ P dV (1.15)
V1

When dV and thus W1− 2 are positive (expansion), work is done by the system
and when dV and thus W1− 2 are negative (compression), work is done on
the system. In order to find the above integral, the relationship between p
and V should be known or determined, i.e., P = P(V). This relationship can
be presented either graphically or analytically. In the graphical approach,
the work during this process is equal to the area under the P-V diagram
(Figure 1.23). Note that in a constant volume process the work is zero. Thus,
in a reversible process involving a boundary movement in a close system,
work per unit of mass is:
2

w1 − 2 =
∫ P dv (1.16)
1

1.7.2.3 Work in Control Volumes

In an internally reversible, steady-state, single-inlet, single-outlet control
volume with negligible change in the kinetic and potential energy between
the inlet and outlet flows, the first and second laws of thermodynamics can
be simplified to the following forms (the state of the working fluid changes
from 1 to 2):

w1− 2 = q1− 2 + ( h1 − h2 ) ( the 1st law of thermodynamics ) (1.17)

∫
q1− 2 = T ds
1
( the 2nd law of thermodynamics ) (1.18)

where w1− 2 and q1− 2 are the specific work and heat transfer (energy per unit
of the mass flow rate through the control volume, kJ/kg). Substituting the
second equation in the first one,
48 Power Plant Engineering

∫
w1− 2 = T ds + ( h1 − h2 ) (1.19)
1

If the Gibbs equation (Tds = dh − vdP) is substituted in the above equation,

w1 − 2 =
∫ ( dh − vdP) + ( h − h ) (1.20)
1
1 2

∫
w1− 2 = − v dP (1.21)
1

The negative sign in Equation 1.21 is an indication of the direction of energy

transfer, i.e., negative for compressors and pumps (work done on the sys-
tem), and positive for turbines (work done by the system). However, since
typically the direction of energy transfer is directly taken into account in
the development of the energy balance equations, this negative sign is usu-
ally ignored. In a P-v diagram of a control volume with the aforementioned
specifications, the specific work of the system is equal to the area to the left
of the diagram (Figure 1.24). Thus, in a constant pressure process in a con-
trol volume, the work is zero.
Equation 1.21 indicates that for a fixed pressure change across a system, a
higher specific volume results in more work involved (in an expansion pro-
cess, more work production, and in a compression process, more work input).
This means, if everything else is equal, the compression of liquids needs less
work input than that of gases since the specific volume of liquids is much
smaller than that of gases. Also, the expansion of high-temperature gases
produces more work than that of low-temperature gases.
Since in ideal pumps, compressors, and turbines the control vol-
ume approach should be used to analyze the system, the work involved
in the process can be determined using Equation 1.21. If there were no

FIGURE 1.24
Graphical representation of the relationship between p, v, and specific work in a control volume.
Introduction to Electricity 49

heat-transfer processes in a power cycle, ignoring pressure losses in the

components, the change in the pressure during the compression and
expansion processes will be the same. This means all the work produced
in the expansion process is consumed in the compression process (in real-
ity to overcome losses, extra work input is required). For a power cycle
to be able to produce net work, the specific volume of the working fluid
during the compression process should be smaller than the specific vol-
ume of the working fluid during the expansion process. As a result, work
produced in the expansion process is greater than the work consump-
tion in the compression process. The larger difference between the spe-
cific volumes during these two processes increases the output power and
improves the efficiency of the cycle. Understanding this concept is very
important because many approaches to increase the efficiency and out-
put of power cycles can be explained using this principle. In steam power
plants, the difference between the specific volume of the working fluid
during the compression and expansion processes is created by evaporat-
ing water in the steam generator and condensing steam in the condenser.
In gas turbine cycles, this difference is created by taking fresh air and
increasing its temperature in the combustor. Note that a similar discus-
sion can be presented for cylinder and piston power cycles according to
Equation 1.16. In this case, the volume change during the expansion and
compression processes is equal and heat-transfer processes are used to
increase the pressure of the working fluid in the expansion process com-
pared to that of the compression process.

Example 1.9
Everything else being equal, compare the efficiency of cycles with a
phase-changing working fluid and the efficiency of cycles with a gas-
eous working fluid.
Answer
The reason that power production cycles based on steady-state devices
involving shaft work are able to produce net work is that during the com-
pression process the specific volume of the working fluid is smaller than
that during the expansion process. The greater this difference in specific
volumes, the higher the efficiency will be. That is why generally the effi-
ciency of cycles with phase-changing working fluids is higher than that
of the gaseous working fluid cycles (remember that the specific volume
of steam can be several orders of magnitude greater than liquid water).
In fact, in steam cycles about 1%–2% of the work produced in the turbine
is consumed in the pump while in gas turbines over 40% of the work
produced in the turbine is consumed in the compressor.

1.7.2.4 Performance Evaluation Parameters

There are several parameters that can be used to measure the performance of
a power generation unit. The thermal efficiency is the most common param-
eter. It is a quantity that indicates what percentage of the energy input to
50 Power Plant Engineering

the working fluid (the cycle) is converted to the net work output (or power
output) and is defined as

wNet W
ηTh = =  Net (1.22)
q Input QInput

The higher efficiency means for a certain output power, less input fuel is
needed, which reduces operating costs.The lower fuel flow rate also requires
a smaller fuel preparation system, smaller heat exchangers, and less air flow
rate. Moreover, a lower flow rate of the working fluid is needed. All these
mean the higher efficiency also reduces the capital cost of the plant.
Similar to efficiency, heat rate (HR) is a quantity to express the performance
of a power generation unit. But unlike the efficiency, it is defined as the ther-
mal energy input required to produce a unit of work output. So heat rate is
inversely proportional to efficiency. Typically, in calculating heat rate, since
the work output is in the form of electricity, it is expressed in kWh and ther-
mal energy input is expressed in Btu. Therefore, heat rate is not presented in
percentage and it has the unit of Btu/kWh. Unlike efficiency, the lower values
of heat rate are more desirable. The relationship between efficiency and heat
rate is (note that 1 kWh = 3412 Btu):

1 3412 Btu  3412

η [ % ] = ×   × 100 = × 100 (1.23)
Btu   kWh   Btu 
HR  HR
 kWh   kWh 

Another useful parameter to measure the performance of a power genera-

tion unit is the back-work ratio (BWR). It is defined as the ratio of the work
consumed in the compression process (either a pump or a compressor) to the
work produced in the expansion process (the turbine). The BWR indicates
what portion of the power developed in the turbine is consumed internally
in the compression process and does not contribute to net power output. The
BWR is typically small for phase-changing working fluid power plants while
it is significantly larger for gaseous working fluid power plants.
Both efficiency and heat rate can be defined based on either gross output
energy (or power) or net output energy (or power). The gross output is the
energy (power) at the outlet of the electric generator. The net outlet, however,
is the energy (power) at the outlet of the unit or the plant (at the plant bus-
bars23) after all internal energy consumptions for plant operation are tapped.
Thus, the net output is the gross output minus the internal consumption of
the plant, including the power needed to run pumps, fans, compressors, fuel
preparation equipment, instruments and sensors, control system, and light-
ing as well as the heating and cooling of buildings.

23 The plant busbars are where all generated electricity is accumulated to be transmitted to
the grid.
Introduction to Electricity 51

1.7.2.5 Idealization of Power Generation Systems

Actual power systems are very complex and theoretically very difficult to ana-
lyze. Even the most sophisticated computer simulations need to make some
assumptions to simplify the complicated reality of processes in a power cycle.
It is very common and useful to analyze an ideal cycle with similar essential
characteristics as in an actual cycle. Ideal cycles can be used to determine an
upper limit for the performance of actual cycles. Also, the effects of certain
design and operating parameters on the performance of the ideal cycle can be
investigated. The influence of these parameters on the performance of actual
cycles is qualitatively (but not quantitatively) similar to that in ideal cycles.
These analyses can help to determine the right course of action to improve
the performance of power systems. For example, it will be shown that increas-
ing the temperature of the inlet flow to the turbine from the combustor in an
ideal gas turbine cycle improves the efficiency of the ideal system. Increasing
the temperature of the inlet flow to the turbine can be considered as the first
step in optimizing the p erformance of an actual gas turbine, although sev-
eral parameters limit the practical increase of the inlet temperature to the
turbine in real gas turbines. The f ollowing ideal cycles have been universally
accepted for common power generation systems (Table 1.2).
In the next few chapters, for each power generation technology, the ideal
thermodynamic cycle for the power system of interest will be identified and
analyzed. Then, the influence of certain design and operating parameters on
the performance of the ideal cycle will be evaluated. Based on the results, the
ideal cycle will be modified to optimize its performance. Finally, the devia-
tion of actual systems from ideal ones will be identified, so the analyses of
ideal cycles can be interrelated to the performance of actual systems.

TABLE 1.2
Ideal Cycles for Common Power Generation Systems.
Ideal Renewable
Thermodynamics Working Fluid Energy (R) or Non-
Type of Power Plant Cycle Phase Source renewable (N)
Steam power plant Rankine Vapor and Coal N
liquid Natural gas N
Petroleum N
products
Biomass R
Nuclear N
reaction
Geothermal R
Solar thermal R
Ocean thermal R
Gas turbine Brayton Gas Natural gas N
Petroleum N
products
(Continued)
52 Power Plant Engineering

TABLE 1.2 (Continued)

Ideal Cycles for Common Power Generation Systems.
Ideal Renewable
Thermodynamics Working Fluid Energy (R) or Non-
Type of Power Plant Cycle Phase Source renewable (N)
Combined cycle Rankine + Brayton Vapor and Natural gas N
liquid + gas Petroleum N
products
Integrated gasification Rankine + Brayton Vapor and Coal N
combined cycle liquid + gas Biomass R
Fuel cell None None All gaseous and N
liquid fuels
Hydroelectric None None Kinetic energy R
of water
Wind turbine None None Kinetic energy R
of wind
Solar-photovoltaic None None Solar radiation R
Ocean energies (waves, None None Ocean waves R
tides, currents) and tides
Spark-ignition piston Otto Gas Gasoline N
and cylinder engine
Compression-ignition Diesel Gas Diesel N
piston and cylinder
engine

1.8 Q uestions and Problems

1.8.1 E nergy and Society

1.1. We use energy to ………...

a. produce what we eat
b. move around
c. manufacture goods and transport them
d. heat or cool our living environments
e. communicate with each other
f. operate appliances at home
g. all of the above
1.2. Gross domestic product (GDP) is a parameter that is determined
based on ………..
a. the market value of all products, including goods and services,
exported by a country or a region in a particular period
Introduction to Electricity 53

b. the market value of all products, including goods and

services, imported by a country or a region in a particular
period
c. the market value of all products, including goods and services,
imported or exported by a country or a region in a particular
period
d. the market value of all products, including goods and
services, produced in a country or a region in a particular
period
1.3. In most societies, there is a direct relationship between the stan-
dard of living and the level of energy consumption.
a. True
b. False
1.4. The coupling between economic development and energy con-
sumption can be demonstrated by directly comparing these two
parameters per capita basis.
a. True
b. False
1.5. The following figure compares the annual GDP per capita and
the annual primary energy consumption per capita in the U.S.
between 1960 and 2018. Can this diagram be used to show the
relationship between the annual GDP per capita and the annual
primary energy consumption per capita? If so, explain the rela-
tionship. If not, explain how we can adjust the diagram so can be
used for this purpose.

120 70000
GDP per capita (current US$/capita/year)

100 60000
Per capita energy consumption
(×103 kWh/capita/year)

50000
80
40000
60
30000
40
20000

20 10000

0 0
1945 1955 1965 1975 1985 1995 2005 2015
Energy consumption per capita GDP per capita
54 Power Plant Engineering

1.6. The following figure shows the per capita annual energy consump-
tion as a function of the annual GDP per capita for many coun-
tries. Using the diagram explain the interdependency between
the annual energy consumption per capita and the annual GDP
per capita.
100000
90000
Per capita energy consumption

80000
(×103 kWh/capita/year)

70000
60000
50000
40000
30000
20000
10000
0
0 10000 20000 30000 40000 50000 60000 70000
GDP per capita (current US$/capita/year)

1.7. A high living standard (manifested in a high GDP per capita) can
be typically achieved without high electricity generation (and
consumption) per capita.
a. True
b. False
1.8. The energy we need in society to improve our living standard
and maintain economic growth should be extracted or collected
from natural resources of energy or produced from non-natural
resources.
a. True
b. False
1.9. Usually we cannot use natural resources of energy directly with-
out energy conversion because they are not typically in the form
that we can use and are not located where we need them.
a. True
b. False
1.10. Forms of energy that can be directly found in nature are ……..
a. primary sources of energy
b. secondary energy sources
c. energy carriers
Introduction to Electricity 55

1.11. ……. should be derived from …...

a. Primary energy sources – primary energy sources
b. Primary energy sources – secondary energy sources
c. Secondary energy sources – primary energy sources
d. Secondary energy sources – secondary energy sources
1.12. Why is the distinction between primary and secondary energy
sources important in accurately reporting and analyzing energy
consumption?
1.13. Which of the following energy sources are primary sources of
energy? (Select all the correct ones)
a. Crude oil
b. Hydrogen
c. Solar energy
d. Biodiesel fuel
e. Wind energy
1.14. Which of the following energy sources is not a primary source of
energy?
a. Crude oil
b. Diesel fuel
c. Solar energy
d. Natural gas
1.15. Which of the following energy sources is a secondary source of
energy?
a. Nuclear energy
b. Electricity
c. Hydro energy
d. Geothermal energy
1.16. Primary energy sources always need processing and/or energy
conversion before they can be used.
a. True
b. False
1.17. Which ones are not a conversion of a primary energy source to a
secondary energy source?
a. Coal, nuclear energy, or hydropower converted to electricity in
power plants.
b. Crude oil processed to refined fuel oil in a refinery.
c. Electricity is converted to mechanical work in an electric
motor.
56 Power Plant Engineering

1.18. Why is the study of per capita annual primary energy consump-
tion informative?
1.19. List the three main energy consumption sectors.
1.20. What are the two subcategories of energy consumption in the
building sector?
1.21. Provide an example of when energy sources are used as input
materials in the industrial sector.
1.22. The following figure illustrates the share of each energy end-use
sector in the total primary energy consumption in the globe
and in the U.S. in 2018. Compare and contrast the two charts
and explain what they indicate about the U.S. economy and the
global economy and why.

20%

32%
40%
53%
27%
28%

World U.S.
Industrial Transportation Building Industrial Transportation Building

(a) (b)

1.23. Rank the following three sectors according to their share of energy
consumption in the U.S. (highest to lowest).
1. Transportation sector
2. Building sector
3. Industrial sector
a. 1, 2, 3
b. 2, 1, 3
c. 3, 2, 1
d. 2, 3, 1
1.24. Rank the following three sectors according to their share of energy
consumption in the world (highest to lowest).
1. Building sector
Introduction to Electricity 57

2. Industrial sector
3. Transportation sector
a. 1, 2, 3
b. 2, 1, 3
c. 3, 2, 1
d. 2, 3, 1
1.25. List four factors that impact the amount of energy consumption
and share of various energy consumption sectors for a particular
region or country.
1.26. Explain how the economic structure of a particular region or coun-
try impacts the amount of energy consumption and the share of
various energy consumption sectors.
1.27. Explain how the climate of a particular region or country impacts
the amount of energy consumption and the share of various
energy consumption sectors.
1.28. Which economy does consume more energy in the building sector?
a. A manufacturing-focused economy
b. A service-focused economy
1.29. What are the factors that impact energy consumption in the trans-
portation sector?

1.8.2 Primary Energy Sources

1.30. The following figure shows the contribution of various primary

energy sources to the global energy consumption in 2017. What
does the chart indicate about the share of renewable and non-
renewable energy sources?

Petroleum, 32% Coal, 27%

Natural gas,
Biofuels and 22%
waste, 10%

Renewables, 2%
Nuclear, 5%
Hydroelectric, 2%
58 Power Plant Engineering

1.31. The following figure shows the contribution of various primary-

energy sources to the U.S. primary energy consumption. Compare
and contrast this chart with the one for the world in the previous
question.

Total renewable, 9%
Coal, 13%
Hydroelectric, 3%

Nuclear, 8%

Natural gas, 31%

Petroleum, 36%

1.32. The following figure shows the contribution of various primary

energy sources to the U.S. energy consumption between 1949 and
2018. Compare and contrast the share of coal and other energy
sources over the years.

14.0
Energy consumption (×1012 kWh/year)

12.0

10.0

8.0

6.0

4.0

2.0

0.0
1945 1955 1965 1975 1985 1995 2005 2015

Coal Natural Gas Petroleum

Nuclear Hydroelectric Total Renewable
Introduction to Electricity 59

1.33. Using Figure 1.11 determine:

• where the great majority of coal is consumed?
• what source of energy provides most of the energy consumed
in residential buildings?
• what source of energy provides most of the energy consumed
in commercial buildings?
• what source of energy provides most of energy consumed in
the industrial sector?
• what percentage of natural gas is consumed by the building
sector?
• what percentage of energy used by the residential sector is pro-
vided by fossil fuels?
• what percentage of petroleum is collectively consumed by the
non-transportation sectors?
• what percentage of renewable energy is collectively consumed
by the non-building sectors?
1.34. Using Figure 1.11 rank natural gas consumers (descending order).
1.35. Using Figure 1.11 rank coal consumers (descending order).
1.36. Using Figure 1.11 rank petroleum consumers (descending order).
1.37. Using Figure 1.11 rank renewable energy consumers (descending
order).
1.38. Rank the consumption of the following sources of primary energy
in the U.S. in 2018 (in descending order).
1. Petroleum
2. Coal
3. Nuclear energy
4. Natural gas
5. Renewable energy sources
6. Hydroelectric
a. 1, 4, 2, 5, 3, 6
b. 1, 2, 3, 4, 5, 6
c. 2, 1, 3, 6, 4, 5
d. 4, 1, 5, 2, 6, 3
1.39. The consumption of coal has slightly declined in recent years in
the U.S. and was primarily replaced by natural gas and renewable
energy sources.
a. True
b. False
60 Power Plant Engineering

1.40. Globally, the majority of energy consumption is provided by ……..

while the contribution of ……. is relatively small.
a. fossil fuels – renewable energy sources
b. renewable energy sources – fossil fuels
c. nuclear energy – fossil fuels
d. renewable energy sources – nuclear energy
1.41. The global consumption of oil and natural gas have been rapidly
and continuously increasing in the past three decades.
a. True
b. False
1.42. The contribution of renewable energy sources in the global and
the U.S. energy mix has increased in recent years and they are
responsible for a significant percentage of energy consumption.
a. True
b. False

1.8.3 Introduction to Electricity

1.43. How did ancient people encounter a phenomenon related to elec-

tricity for the first time?
1.44. Briefly explain how electric fishes generate electricity.
1.45. Explain how electricity generation and the industrial revolution
were related.
1.46. Chronologically order the following milestones in the history of
electricity generation.
a. The War of Currents
b. Local direct current (DC) power generation
c. Benjamin Franklin experiments
d. Alternating current (AC) and transmission of electricity across
great distances
e. Volta battery
f. The Second Industrial Revolution
g. Invention of electric motors
h. Observation of natural static electricity
1.47. The domination of AC power made it possible to transmit electric-
ity across great distances at high voltage, which resulted in large
centralized power plants and a vast network of power distribu-
tion systems.
a. True
b. False
Introduction to Electricity 61

1.48. How did the oil crisis in the 1970s impact investments in R&D
activities for improving the efficiency of electricity generation and
fostering renewable energy?
1.49. Explain how the level of interest and investment in the field of
electricity generation has depended upon the cost of fossil fuels.
1.50. What is distributed generation (DG)?
1.51. Define sustainability. Why does it matter?
1.52. In the U.S., which economic sector is responsible for over a quarter
of the total greenhouse gas (GHG) emissions?
1.53. The following figure illustrates the global electricity generation
between 1980 and 2050. Evaluate the global electricity generation
in the past and future projection.

50.0
Electricity Generation (×1012 kWh/year)

45.0

40.0

35.0

30.0

25.0

20.0

15.0

10.0

5.0

0.0
1975 1985 1995 2005 2015 2025 2035 2045 2055

1.54. Explain the difference between net and gross electricity generation.
1.55. The difference between net and gross electricity generation
depends on the type of a power plant.
a. True
b. False
1.56. List two factors that distinguish electricity generation and
consumption.
1.57. Write the equation that relates electric power consumption to
electricity generation, electricity import and export, and losses
during electricity transmission and distribution.
62 Power Plant Engineering

1.58. Electric power consumption depends on ……. (Check all correct

items.)
a. Electricity generation
b. Electricity import
c. Electricity export
d. Losses during electricity transmission and distribution
1.59. It is expected that the global electricity generation will almost
double by 2050 compared to the current consumption.
a. True
b. False
1.60. What can we say about the world population in the past seven
decades and its future projection? Use the figure below to justify
your answer.

8.0

7.0
World Population (Billion people)

6.0

5.0

4.0

3.0

2.0

1.0

0.0
1960 1965 1970 1975 1980 1985 1990 1995 2000 2005 2010 2015

1.61. The world population has increased from 3 to 7.6 billion people
between 1960 and 2018, about 150% increase.
a. True
b. False
1.62. The combined impact of increased electricity consumption by
each person and increased in the world population has substan-
tially increased the total global electricity consumption.
a. True
b. False
Introduction to Electricity 63

1.63. It is projected that both the world population and per capita elec-
tricity consumption will continue to increase in the foreseeable
future.
a. True
b. False
1.64. It is predicted that the average global per capita electricity genera-
tion will increase by 38% by 2050.
a. True
b. False
1.65. The figure below illustrates the total and per capita electricity
generation in the U.S. between 1980 and 2018. Explain what the
diagram indicates.

15500 4.5

Electricity Generation (×1012 kWh/year)

4.0
13500
Per Capita Electricity Generation

3.5
11500
3.0
(kWh/capita/year)

9500 2.5

7500 2.0

1.5
5500
1.0
3500
0.5

1500 0.0
1975 1985 1995 2005 2015

1.66. The patterns of variation in the total and per capita electricity gen-
eration in the U.S. and the world are similar.
a. True
b. False
1.67. The per capita electricity generation in the U.S. increased until
2000. Then, the growth stopped and the per capita generation was
flat at about 13,500 kWh/capita until 2007.
a. True
b. False
64 Power Plant Engineering

1.68. The per capita electricity generation has been steady since 2007 in
the U.S.
a. True
b. False
1.69. The total electricity generation in the U.S. has been steady since
2005.
a. True
b. False
1.70. While in recent years the per capita electricity generation has
declined in the U.S., a similar decline cannot be seen for the total
electricity production. Why?
1.71. For all industrially developed economies, the per capita electricity
generation has declined in recent years. Why?
1.72. Which statement is correct?
a. All the industrially developed economies reached a steady
flat per capita electricity generation at different values and
times.
b. All the industrially developed economies reached a steady flat
per capita electricity generation at different values but more or
less at the same time.
c. All the industrially developed economies reached a steady flat
per capita electricity generation at different times but more or
less at the same values.
d. Not all industrially developed economies reached a steady flat
per capita electricity generation.
1.73. All industrially developed economies reached a steady flat per
capita electricity generation at different values but more or less at
the same time.
a. True
b. False
1.74. The recent increase in the per capita and total global electricity
generation has been driven by the increase in all economies.
a. True
b. False
Introduction to Electricity 65

1.75. The following two figures illustrate the total and per capita
electricity generation in the U.S. and Japan between 1980 and
2018. Compare the two countries. What are the similarities and
differences?

15500 4.5

Electricity Generation (×1012 kWh/year)

4.0
13500
Per Capita Electricity Generation

3.5
11500
(kWh/capita/year)

3.0
9500 2.5

7500 2.0

1.5
5500
1.0
3500
0.5

1500 0.0
1975 1985 1995 2005 2015
U.S.
(a)
10000 1.2 Electricity Generation (×1012 kWh/year)
Per Capita Electricity Generation

9000
1.0
8000
(kWh/capita/year)

7000
0.8
6000

5000 0.6
4000
0.4
3000

2000
0.2
1000

0 0.0
1975 1985 1995 2005 2015
Japan
(b)
66 Power Plant Engineering

1.76. The following two figures illustrate the total and per capita electricity
generation in the U.S. and China between 1980 and 2018. Compare
the two countries. What are the similarities and differences?

15500 4.5

Electricity Generation (×1012 kWh/year)

4.0
Per Capita Electricity Generation

13500
3.5
11500
(kWh/capita/year)

3.0
9500 2.5

7500 2.0

1.5
5500
1.0
3500
0.5

1500 0.0
1975 1985 1995 2005 2015
U.S.
(a)
6000 8.0

Electricity Generation (×1012 kWh/year)

7.0
Per Capita Electricity Generation

5000
6.0
(kWh/capita/year)

4000
5.0

3000 4.0

3.0
2000
2.0
1000
1.0

0 0.0
1975 1985 1995 2005 2015
China
(b)

1.77. The per capita electricity generation in developing and emerging

countries is rapidly increasing.
a. True
b. False
1.78. Why is the flattening of electricity consumption per capita in
developed countries both a good news and a bad news?
Introduction to Electricity 67

1.79. Which statement is not correct?

a. There is a limit for electricity consumption per capita and this
consumption does not increase indefinitely.
b. The majority of the world population lives in economies that
have not reached the level of economic development that
results in flat or declining electricity consumption per capita.
c. For the underdeveloped population, the growth in the elec-
tricity consumption will continue, along with improved living
standard until they are adequately developed.
d. The total global electricity consumption will not continue to
grow in near future.
1.80. There is no limit for electricity consumption per capita, and this
consumption can increase indefinitely.
a. True
b. False
1.81. The majority of the world population lives in economies that have
reached the level of economic development that results in flat or
declining electricity consumption per capita.
a. True
b. False
1.82. The total global electricity consumption will continue to grow in
near future with potentially devastating impacts.
a. True
b. False
1.83. Why is electricity consumption per capita a more accurate mea-
sure of living standard than per capita energy consumption?
1.84. Each American on average consumes roughly as much as …..
Chinese (use Table 1.1).
a. 2
b. 3
c. 12
d. 63
e. 368
f. 837
1.85. The per capita electricity consumption gap between developed
and developing countries has been closing for most countries in
the past few decades.
a. True
b. False
68 Power Plant Engineering

1.86. Explain how Figure 1.21 can be used as an indication of electricity

consumption in various parts of the world.

1.8.4 Structure of Electrical Infrastructure

1.87. Name the main components of the modern electrical infrastructure.

1.88. How are transmission lines and distribution lines distinguished?
1.89. Which statement is correct?
a. There is no way to store electrical energy.
b. There is no way to economically store electrical energy.
1.90. What is the most important characteristic of electricity that distin-
guishes it from other commodities produced by human beings?
1.91. Electricity should be generated whenever it is needed and trans-
mitted and distributed to wherever it is needed. Why?
a. True
b. False
1.92. Provide two units for power and two units for energy.
1.93. Typically the behavior of a single user can be unpredictable. But
when many users are compounded, their overall load variation is
to some degree predictable.
a. True
b. False
1.94. What is a load profile? Name three parameters that can be deter-
mined from it?
1.95. Why do we study a load curve or a load profile?
1.96. A load curve is typically based on a …...
a. a year
b. a season
c. a weak
d. 24-hour period
1.97. A load curve is typically based on a 24-hour period and is pre-
pared for everyday for several years and then is averaged to get a
general pattern.
a. True
b. False
1.98. Explain how the customer type, e.g. residential, commercial, or
industrial; the season of year e.g. summer or winter; ambient
temperature; the day of week, e.g., weekdays or weekends; and
Introduction to Electricity 69

special occasions, e.g., holidays or sports events impact electricity

consumption is residential applications.
1.99. The variation in a load curve (or a load profile) depends on:
a. ambient temperature
b. day of week, e.g., weekdays or weekends
c. special occasions, e.g., holidays or sport events
d. all of the above
1.100. Define each of the following parameters.
• Maximum load demand
• Baseload demand
• Average load
• Load factor (LF)
• Demand factor
• Coincidence factor
1.101. In a load curve, how you can graphically determine each of the
following parameters.
• Maximum load demand
• Baseload demand
• Total electrical energy consumption
• Average load
• Load factor (LF)
1.102. Explain the difference between the demand factor and the coinci-
dence factor.
1.103. Define the plant capacity factor (PCF). Why is the plant capacity
factor important?
1.104. The capacity factor depends on the
a. Fuel type
b. Plant design
c. Age
d. Configuration
e. All of the above
1.105. Determine the capacity factor for a power plant with the installed
capacity of 2000 MW that produces 150,000 MWh per year.
1.106. What are the three factors contributing to the lower than
unity capacity factor? Which one(s) are out of the control of the
power plant?
70 Power Plant Engineering

1.107. If a power generation system operates at a reduced load or is shut

down because electrical energy is not needed or it is not economi-
cal to produce electricity due to a low price of sale, the capacity
factor increases.
a. True
b. False
1.108. Explain the situations when the following power generation sys-
tems may not be available due to unavailability of energy sources.
• Gas turbine
• Wind turbine
• Solar photovolaic unit
• Hydroelectric plant
1.109. Define the availability factor of a power plant. What are the differ-
ences between the capacity factor and the availability factor in a
power plant?
1.110. Define the utilization factor or use factor of a power plant.
1.111. A power plant operates 4 hours a day, 45 weeks a year. If on aver-
age the plant is not available for 5 hours a week for scheduled or
unscheduled maintenance, determine the plant’s availability and
utilization factors.
1.112. In the load curve presented below, determine the maximum and
base demands, total electrical energy consumed, daily average
load, load factor, and demand factor. Assume that the maximum
possible demand is 2 GW.

1.2
Load (GW)

1.1

1.0

0.9
0 2   4 6 8   10 12 14 16 18  20 22   24
Time of day

1.113. The factors impacting the selection of power plant technology and
size are ……. (check all the correct ones)
a. economic considerations
b. social considerations
Introduction to Electricity 71

c. environmental considerations
d. urgency of the need for power plant
1.114. The number and capacity of power generation units should be in
a way that the produced power can approximately meet the load
curves.
a. True
b. False
1.115. Many factors affect the projection of the load demand increase in
the future, including …… (check all the correct ones).
a. trend in population growth
b. planned new industries
c. expansion of the existing industries
d. impacts of technological advances on electricity consumptions
e. regulation changes in the region of interest
1.116. Why should power plants in a network be of various capacities?
1.117. The number of small units should be limited to avoid typically
low efficiency of these units.
a. True
b. False
1.118. The total capacity of a power generating system should be large
enough to permit maintenance of units without affecting the
capability of the system to provide the maximum demand load.
a. True
b. False
1.119. Which statement is accurate?
a. Baseload power plants are devoted to the production of basel-
oad supply.
b. Baseload power plants meet continuous energy demand.
c. Baseload power plants typically produce energy at a constant
rate.
d. All of the above.
1.120. Select the characteristics of a baseload power plant (check all the
correct ones).
a. Low-cost generation
b. High efficiency
c. Low plant capacity factor
d. High fixed costs
e. Very high marginal costs
72 Power Plant Engineering

1.121. List power plant technologies that are commonly employed or can
be employed in future as baseload plants.
1.122. When are peak-load power plants, also known as peaking or
peaker plants, used?
1.123. Which one is correct for peak-load power plants?
a. Usually not very efficient
b. Low fixed costs
c. High marginal costs
d. All of the above
1.124. Peak-load power plants can operate for many hours a day or as
little as a few hours per year.
a. True
b. False
1.125. If natural gas is the inexpensively available fuel, a combined
cycle power plant might be the best choice for the power plant
technology.
a. True
b. False
1.126. To meet peak loads, power plants with ……… efficiency are the
ones operated first.
a. higher
b. lower
c. does not matter
1.127. Regardless of the operating mode that the plant is designed for (i.e.,
baseload, intermediate, or peaking power plant), during the later
operation it may be used for an entirely different operation mode.
a. True
b. False
1.128. Retrofitting existing power plants is to …………….
a. extend the useful life and/or upgrading operating plants
b. improve their efficiency, reliability, and capacity
c. reduce their environmental impacts
d. all of the above
1.129. The location of a power plant depends on many factors
including …… (check all the correct ones).
a. availability of appropriate site (for the current plant and for the
future possible expansions)
b.
availability of reliable inexpensive fuel sources (current and
future projection)
Introduction to Electricity 73

c. availability of cooling water sources

d. availability of transmission lines
e. environmental considerations
f. impacts on local communities
g. availability of labor during construction and operation
h. regional climate and potential hazardous events (such as high
wind, flood, and earthquake)
i. regulations (environmental, taxes, etc.)
1.130.
What is the best tool in selecting the specifications of a new power
plant? Why?

1.8.5 Electricity Transmission Lines

1.131.
In order to take advantage of baseload and peak-load power plants,
power stations should be interconnected by a power grid.
a. True
b. False
1.132.
What are the benefits of the concept of electrically connected
power plants?
1.133.
Why was DC electricity only used for local power production and
distribution?
1.134.
The low-voltage electricity meant that to transmit a significant
amount of electric power, low current was required. Why?
a. True
b. False
1.135. The power grid is created to …..
a. ensure economical operation
b. reduce reserve capacity
c. increase reliability of supply
d. exchange peak loads
e. continue using less efficient plants
f. all of the above
1.136. Write the equation to determine the power transmitted through a
line?
1.137. The low-voltage and high-current electricity transmission meant a
significant loss of power in long-distance transmissions.
a. True
b. False
74 Power Plant Engineering

1.138.
Explain why nowadays hydropower plants can be built on sites
that commonly are in remote locations or fossil fuel power plants
can be built close to fuel sources.
1.139.
Explain how the grid can help to take advantage of economy of scale.
1.140.
Name two major and three minor grids or interconnections in
North America (the U.S. and Canada).
1.141.
All power utilities in an interconnection are operated in harmony,
i.e. they are synchronized.
a. True
b. False
1.142.
What does differentiate the electricity in two different
interconnections?
1.143. How can interconnections exchange electricity?
1.144. What is the application of high-voltage direct current (HVDC) in a
grid?
1.145. A power plant produces 50 MW electric power, which is transmit-
ted through a high-voltage line at 115 kV to a consumption center.
If the resistance of the line is 5 Ω, determine the power loss in the
transmission line. Determine the lost if the power was transmit-
ted through a 34 kV line.
1.146. A power plant produces 50 MW electric power, which is transmit-
ted through a high-voltage line. If the resistance of the line is 5 Ω,
determine the transmission voltage that no power can be trans-
mitted because all power will be lost.
1.147.
The power loss in power lines can be determined using the equa-
tion PL = I 2 R. In this equation, if the current is replaced by volt-
age from the Ohm’s law, V = IR, the power loss equation will be
V2
PL = . This new equation implies that increasing voltage not
R
only does not reduce the power loss but increases it. Explain (use
the numerical values in Problem 1.145).
1.148.
A power plant produces 100 MW electric power, which is trans-
mitted through a high-voltage line at 115 kV to a consumption
center. If the resistance of the line is 10 Ω, determine the power
loss in the transmission line. Determine the loss if the power was
transmitted through a 34 kV line.
1.149.
A power plant produces 100 MW electric power, which is trans-
mitted through a high-voltage line. If the resistance of the line is
10 Ω, determine the transmission voltage that no power can be
transmitted because all power will be lost.
Introduction to Electricity 75

1.8.6 Regulated versus Deregulated Electricity Market

1.150. What is a utility?

1.151. Why some industry were/are regulated even in free-market
economies?
1.152.
What is a regulated electricity market? What are its advantages
and disadvantages?
1.153.
Due to the lack of competition, a regulated electricity market is
usually inefficient and slow in responding to changes. However,
they are reliable and stable.
a. True
b. False
1.154.
In a region, you can choose your electricity provider from
several providers competing in the market. What type of market
is this?
a. Regulated electricity market
b. Deregulated electricity market
c. Combined electricity market
1.155. Describe the “California experience” in a deregulated electricity
market.
1.156. Compare regulated and deregulated electricity markets.
1.157. Explain a-day-ahead-mechanism in a deregulated electricity
market.
1.158.
The ultimate objective of the electricity market deregulation is to
reduce the cost of electricity for customers by introducing compe-
tition to the market.
a. True
b. False
1.159.
A typical residential user only pays for the amount of consumed
electrical energy (kWh) and a relatively small fixed (meter)
charge.
a. True
b. False
1.160.
The cost of the unit of electrical energy may vary seasonally and/
or based on the monthly energy usage.
a. True
b. False
1.161. List the items that a large consumer pays for in the utility bill.
76 Power Plant Engineering

1.162.
A manufacturing facility is located in a very hot region. On aver-
age, the facility consumes 200,000 kWh electricity per month.
During the peak demand period of June to September, its average
maximum power consumption is 1,200 kW. The utility company
charges the facility the fixed monthly meter charge of $100/month,
the flat electrical energy rate of 6 cents per kWh, and $14.00 per
kW for maximum power consumption during peak periods.
a. Determine the average annual cost of electricity for the facility.
b. After an energy audit and an energy consumption optimiza-
tion project, the facility reduces its electricity consumption by
15% and its maximum power consumption during the peak
demand period by 25%. Determine the percentage of cost
reduction.
1.163.
A large commercial unit in Arizona consumes 10 MWh in July
with a maximum power consumption of 0.1 MW during the peak
demand period. Determine the cost of consumed electricity by the
facility for that month if the fixed monthly meter charge, the flat
rate of energy consumption, and the demand charge are $90.00 per
month, 8.0 cents per kWh, and $14.00 per kW for the month of July.
1.164.
A manufacturing facility is located in a hot region. On average, the
facility consumes 300,000 kWh electricity per month. During the
peak demand period of June to September, its average maximum
power consumption is 1000 kW. The utility company charges the
facility the fixed monthly meter charge of $100/month, the flat
electrical energy rate of 5 cents per kWh, and $14.00 per kW for
maximum power consumption during peak periods.
a. Determine the average annual cost of electricity for the facility.
b. After an energy audit and an energy consumption optimization
project, the facility reduces its electricity consumption by 15%
and its maximum power consumption during the peak demand
period by 25%, determine the percentage of cost reduction.

1.8.7 Introduction to Conventional Power Generation Systems

1.165. Provide an example for each of the following electricity generation
methods:
• Electromagnetic induction
• Electrochemistry
• Photoelectric effect
• Thermoelectric effect
• Piezoelectric effect
• Nuclear transformation
Introduction to Electricity 77

1.166. Electricity generation systems can be categorized based on the

original source of energy. List these categories with examples.
1.167. List the four required main processes to convert thermal energy to
work in a thermodynamic cycle.
1.168. Compare the following power systems:
a. Open power systems versus closed power systems
b. Vapor power systems versus gas power systems
c. Internal combustion engines versus external combustion engines
d. Device involving shaft work versus device involving
boundary-moving work
1.169. Identify which of the following equations is used to determine
work is for a closed system.
2

∫
a. w = pdv
1
2

∫
b. w1− 2 = − vdp
1
2

1.170.
∫
Explain the importance of w1− 2 = − vdp in power generation cycles.
1
1.171. Everything else being equal, compare the efficiency of cycles with
a phase-changing working fluid and the efficiency of cycles with
a gaseous working fluid.
1.172. Compare efficiency and heat rate of a power plant. Describe their
similarities and differences.
1.173. In a gas turbine, the turbine, compressor, and generator are all on
a single shaft. The turbine produces 300 MW power. The compres-
sor consumes 120 MW. The efficiency of the generator is 98%. If the
plant consumes 5% of the generator’s output power internally for its
operation, determine the BWR and the unit gross and net efficiency
and heat rate. The input thermal energy to the unit is 500 MW.
1.174. Explain why we study idealized power generation systems rather
than actual systems. Also explain what we learn from these ideal-
ized systems.
1.175. Complete the following table.

Type of Power Plant Ideal Thermodynamic Cycle Working Fluid Phase

Steam power plant
Gas turbine
Combined cycle
78 Power Plant Engineering

1.8.8 O pen-Ended Questions

1.176.
Select three countries, one developed, one emerging, and one
developing countries. Find their populations, GDP, and electric-
ity consumption. Determine their per capita GDP and electricity
consumption. Compare the three countries.
1.177.
Select two geographical regions such as countries, continents, and
states. Make sure that the required data are available for your
region of choice. Find data you need to recreate the diagrams for
energy consumption in your regions of interest. Choose at least
two diagrams from this chapter. Alternatively, you can come up
with other energy-related diagrams. Create the appropriate dia-
grams. Interpret what the diagrams are representing. Compare
your two regions for each diagram. Do not forget to properly
cite your sources. Make sure that you distinguish the difference
between the primary and secondary energy sources.
1.178.
For your state or country identify the share of various primary
sources in the energy mix. What is the share of each end-use
energy consumers?
1.179.
For your state or country find the current electricity generation
and consumption. What is the share of various primary sources
for electricity generation? What are the possible future electric-
ity demands? What are potential primary sources to meet future
demand?
1.180.
What is the peak demand period in your city? What is the peak
electrical demand in your state, or country? Both in summer and
winter.
1.181.
There is a lot of truth in the statement “we can learn more from
our mistakes than from our successes”. Unfortunately, usually the
mistakes are not properly documented and the lessons are some-
times lost. Find a disaster related to the energy industry. Then,
explain the background, what happened, why happened, how
could have been prevented, and most importantly the lessons and
the actual impacts of the event. Report your findings. Prepare a
10-minute presentation based on your report.
1.182.
Repeat the previous assignment for a failure in the electricity gen-
eration industry. Write a one-page executive summary about your
findings.
1.183.
Research what the differences between brownout and blackout
are. Identify the latest and/or the largest blackout in your region.
Explain the reason(s) for the blackout and how it can be prevented
in the future.
Introduction to Electricity 79

1.184.
List at least five electricity consuming devices in your home or
workplace. Find out how much power they consume. What is the
greatest source of electrical energy consumption in your home?
What is the device with the highest electrical power? Use the spec-
ification label for devices and/or a wattmeter.
1.185.
Prepare an oral presentation on the impacts, positive and negative,
of energy on your life on both the individual level and societal
level.
1.186.
Identify at least five major future problems that the energy sec-
tor of your region of choice is facing. Select one issue and write a
report about it.
1.187.
Identify at least three major future problems that the U.S. (or your
country’s) electrical infrastructure is facing. Select one issue and
write a report about it.
1.188.
Prepare a poster on the impacts of energy on the environment on
the local, national, or global scale.
1.189.
Write an essay on if and how energy issues impacted election(s) in
your country/region.
1.190.
Locate three power plants in the region you live (the closer to
where you live, the better). Identify what technology they use,
what the sources of primary energy are, the size and age of the
plants, whether they are peak-load or baseload power plants, and
any reported safety incidents they had in the past or potentially
can have in the future. What about environmental impacts?
1.191.
Locate the largest power plants in your country or state. Identify
what technology they use, what the sources of primary energy
are, the size and age of the plants, and any reported safety inci-
dents they had in the past or potentially can have in the future.
What about environmental impacts?
1.192.
Check your home’s electric and natural gas bills. What is the unit
of consumed energy? What is the cost of energy? How the total
cost is calculated? Explain your answers. If you do not have access
to these bills, just google one.

1.8.9 General
1.193.
Determine the capacity factor for a power plant with the installed
capacity of 1000 MW that produces 100,000 MWh per year.
1.194.
The demand charge is the charge for the maximum power (time
rate of energy) usage during the peak demand period.
a. True
b. False
80 Power Plant Engineering

1.195. Peak-load power plants typically have ………(chose all correct ones).
a. low efficiency
b. high capital costs
c. fast load-following character
d. low plant capacity factor
e. high marginal costs
1.196. Explain how betavoltaic batteries work.
1.197. The following figure shows the contribution of various primary
energy sources to the global energy consumption in 2017. Explain
what the chart signifies.

Petroleum, 32% Coal, 27%

Natural gas,
Biofuels and 22%
waste, 10%

Renewables, 2%
Nuclear, 5%
Hydroelectric, 2%

1.198. For the underdeveloped population, the growth in electric-

ity consumption will continue until they improve their living
standard.
a. True
b. False
1.199. In the above diagram explain why the share of biofuels is so high
in the global primary energy consumption.
1.200. What is a regulated market?
1.201. What are the typical availability factors for the following power
generation technologies?
Steam power stations
Gas turbines
Wind farms
Photovoltaic solar units
Hydroelectricity plants
1.202. What is the peak demand period?
Introduction to Electricity 81

1.203. The electrical demand of consumers and as a result the total demand
vary over a given period of time and is totally unpredictable.
a. True
b. False
1.204. Explain how the type of electricity customer impacts electricity
consumption in residential applications.
1.205. Constructing a new power plant is typically the best option to
meet growing power demand.
a. True
b. False
1.206. What is the criterion to distinguish transmission lines and distri-
bution lines?
1.207. For all industrially developed economies, the per capita electricity
generation has remained steady or declined in recent years.
a. True
b. False
1.208. Explain how the time of the day impacts electricity consumption
in commercial applications.
1.209. What is the availability factor?
1.210. The total electricity generation in the U.S. has declined since 2005.
a. True
b. False
The following figures illustrate the share of each of energy end-
use sectors in the total primary energy consumption in the globe
and the U.S. in 2018. Answer 1.211–1.216 using these diagrams.

20%

32%
40%
53%
27%
28%

Industrial Transportation Building Industrial Transportation Building

(a) (b)
82 Power Plant Engineering

1.211. Globally, over half of the total energy is consumed in the building
sector while in the U.S. the share of this sector is about one-third.
a. True
b. False
1.212. The share of the building sector in energy consumption is 40% in
the U.S. compared to 20% in the world.
a. True
b. False
1.213. The share of the building sector in energy consumption is 40% in
the U.S. compared to 20% in the world. Why?
1.214. What does retrofitting an existing power plant mean?
1.215. Explain how piezoelectric electricity generators work.
1.216. In recent years the per capita electricity generation has declined in
the U.S.
a. True
b. False
1.217. All industrially developed economies reached a steady flat per
capita electricity generation at different values and times.
a. True
b. False
1.218. What are the advantages and disadvantages of a regulated elec-
tricity market?
1.219. Each American on average consumes roughly as much as …..
Indians.
a. 2
b. 3
c. 12
d. 63
e. 368
f. 837
2

∫
1.220. Explain the application of this equation: w1− 2 = − vdp
1
1.221. The first encounter of human being with electricity was with …..
a. eel fish
b. rubbing an amber rod with cat’s fur
c. lightening
d. the Parthian Battery
Introduction to Electricity 83

1.222. Electricity consumption per capita is a more accurate measure of

living standard than per capita energy consumption.
a. True
b. False
1.223. Two factors distinguish electricity generation and consumption:
electricity import and export and losses during electricity trans-
mission and distribution. Write the equation that relates electric
energy consumption to electricity generation.
1.224. When one rubs an amber rod on cat’s fur, … electricity is generated.
a. static
b. AC
c. DC
d. dynamic
1.225. Which one of the capacity factor or availability factor does provide
a more accurate indication of how available the plant is in terms of
maintenance?
1.226. Depending on the context, the term load may refer to the electrical
power consumption in a TV or on an entire nation.
a. True
b. False
1.227. The following figure shows the contribution of various primary
energy sources to the global energy production between 1990 and
2017. Compare and contrast the share of coal and other energy
sources over the years.

60
Energy consumption (×1012 kWh/year)

0
1988 1992 1996 2000 2004 2008 2012 2016
Petroleum Coal Natural gas
Nuclear Hydroelectric Renewables
Biofuels and waste
84 Power Plant Engineering

1.228.
Define the demand factor and explain how it affects power genera-
tion planning.
1.229.
The global annual primary energy consumption continues to
increase with no sign of meaningful reduction.
a. True
b. False
1.230.
Explain how the season, e.g., summer or winter, impacts electricity
consumption.
1.231.
List some of the important stakeholders in the selection of the
power plant technology.
1.232.
The capacity factor reduces if the system operates at a reduced
load or is out of service due to a failure in equipment, or routine
or unplanned maintenance.
a. True
b. False
1.233. What is the demand charge?
1.234. What is the relationship between efficiency and heat rate?
1.236. The number and capacity of power generation units should be in
a way that the produced power can approximately meet the load
curves for various periods of time, i.e., daily, monthly, and annual
curves, according to the projection of the load demand increases
in the future.
a. True
b. False
1.236. List three factors that demands for electricity depend on.
1.237.
In a regulated electricity market, the utility still owns, operates,
and maintains the power transmission and distribution sectors to
deliver electricity to end-consumers but customers can buy power
from the retailer of their choice.
a. True
b. False
1.238.
Conversion of which one of the following forms of energy to elec-
tricity is most popular for large scale electricity generation?
a. Electromagnetic induction
Introduction to Electricity 85

b. Electrochemistry
c. Photoelectric effect
d. Thermoelectric effect
e. Static electricity
f. Piezoelectric effect
g. Nuclear transformation
1.239. Why do we always transmit electricity at high voltages?
1.240. When (time of the day) are the typical peak demand periods in
winter and summer? Why?
1.241. The demand for electricity variation depends on:
a. season
b. day of the week
c. hour on the day
d. climate of a region
e. extent of air conditioning
f. presence of heavy industry
g. weather
h. all of the above
1.242. It is predicted that the global annual primary energy consumption
will ……….. in the foreseeable future.
a. increase
b. decrease
c. remain unchanged
1.243.
It is predicted that the global annual primary energy consumption
will increase at the rate of about 1.2% per year in the foreseeable
future.
a. True
b. False
1.244.
The factors impacting the selection of the power plant technology
and size are not all technical.
a. True
b. False
86 Power Plant Engineering

14
Energy consumption (×1012 kWh/year)

0
1950 1954 1958 1962 1966 1970 1974 1978 1982 1986 1990 1994 1998 2002 2006 2010 2014 2018

Industrial Transportation Building

1.245. The following figure shows the energy consumption in each sector
in the U.S. between 1950 and 2018. Explain the growth of energy
consumption in each sector over years.
1.246. The patterns of variations in the total and per capita electricity
generation in the U.S. and the world are totally different.
a. True
b. False
1.247. Which one is incorrect for peak-load power plants?
a. Their period of operation may range from many days to a few
hours a year with highly variable loads.
b. Due to the limited operational period, it is not economical to
use high-efficiency capital-intensive plants as peaking load
power plants.
c. They are slow load-following plants.
1.248.
A variable electric resistance is connected to a constant voltage.
If we increase the resistance, what will happen to the current?
1.249.
The results of the introduction and implementation of the deregu-
lated electricity market policies have been mixed. Some markets
have been able to reduce the cost for end-users, at least to some
degree, while others have been a disaster and major failure
a. True
b. False
1.250.
What are the two methods to calculate the cost of electrical energy
consumed by customers?
Introduction to Electricity 87

1.251. Explain how the time of the day impacts electricity consumption
in industrial applications.
1.252. Define the efficiency of a power cycle.
1.253. For each of the following cases identify if the energy source is
primary or secondary and renewable or non-renewable.
Fossil fuels
Nuclear energy
Hydropower
Electricity
Solar energy
Wind energy
Wave energy
Hydrogen
Ocean thermal energy
Biomass
Tidal energy
Diesel fuel
Geothermal
Solid waste
Heat recovery
1.254. To meet the demand, the most efficient power plants are brought
online first.
a. True
b. False
1.255. What are the three types of electricity customers?
1.256. The efficiency of a power plant is ….. the heat rate of the plant.
a. directly proportional to
b. inversely proportional to
c. equal to
d. independent of
1.257. The urgency of the need for s power plant affects the type and tech-
nology of the plant because the time needed to obtain required
permissions as well as to design, construct, and install the plant
depend on the technology.
a. True
b. False
88 Power Plant Engineering

1.258.
What are the two items in the electricity bill of a typical residential
user?
1.259.
Which equation is for work in a control volume and which one is
for work in a control mass?
2

a. w = − vdp
∫
1
2

∫
b. w = pdv
1

1.260. Do you prefer a higher or lower plant capacity factor?

1.261. In a control volume, process 1–2 is a constant pressure process.
Determine the work involved in this process.
1.262. Each person in China or India consumes far less than what an
American or a Japanese consumes
a. True
b. False
1.263. List three reasons that the capacity factor of a power plant is reduced.
1.264. How does the urgency of the need for a power plant affect the type
and technology of a new power plant?
1.265. The following two figures illustrate the total and per capita electric-
ity generation in India and Japan between 1980 and 2018. Compare
the two countries. What are the similarities and differences?
Introduction to Electricity 89

1200 1.6

Electricity Generation (×1012 kWh/year)

1.4
1000
Per Capita Electricity Generation

1.2
800
(kWh/capita/year)

1.0

600 0.8

0.6
400
0.4
200
0.2

0 0.0
1975 1985 1995 2005 2015
(a)
10000 1.2
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

9000
1.0
8000
(kWh/capita/year)

7000
0.8
6000

5000 0.6
4000
0.4
3000

2000
0.2
1000

0 0.0
1975 1985 1995 2005 2015
(b)

1.266. It is predicted that the world population will increase by about
30% by 2050.
a. True
b. False
1.267. Explain how the day of the week, e.g., weekdays or weekends,
impacts the load profile.
1.268. What is a deregulated electricity market?
1.269. Large customers pay for the electrical energy usage, a fixed
monthly meter charge, and a demand charge.
a. True
b. False
90 Power Plant Engineering

1.270. What are the ranges of the period of operation in a year for base,
peak, and intermediate load power plants?
1.271. The variation in a load curve or a load profile depends on:
a. time of day
b. customer type, e.g., residential, commercial, or industrial
c. season of year, e.g., summer or winter
d. all of the above
1.272. Primary energy sources ……. be directly found in nature.
a. cannot
b. can
1.273. The solid line in the following figure illustrates the annual pri-
mary energy consumption in the U.S. between 1949 and 2018.
Explain your interpretation of the diagram.
35 120

Per capita energy consumption

100
Total energy consumption

(×103 kWh/capita)
(×1012 kWh/year)

80
20
60
15
40
10

5 20

0 0
1945 1955 1965 1975 1985 1995 2005 2015
Total energy consumption Energy consumption per capita

1.274.
The dashed line in the above figure illustrates the per capita annual
primary energy consumption in the U.S. between 1949 and 2018.
Explain your interpretation of the diagram.
1.275.
The per capita energy consumption in the U.S. has markedly
decreased in the new millennium (use above diagram).
a. True
b. False
1.276.
Explain how the time of the day impacts electricity consumption
in residential applications.
1.277. What does the plant capacity factor indicate?
Introduction to Electricity 91

1.278.
The variation in a load curve or a load profile depends on the time
of day; customer type, e.g., residential, commercial, or industrial;
season of year, e.g., summer or winter; ambient temperature; the
day of week, e.g., weekdays or weekends; and special occasions,
e.g., holidays or sports events.
a. True
b. False
1.279.
The combined impact of the increase in the world population and
the higher per capita electricity generation will increase the global
electricity generation (and consumption) by about 78% by 2050.
a. True
b. False
1.280.
The figure below illustrates the total and per capita electricity
generation in China between 1980 and 2018. Explain what the dia-
gram indicates.
6000 8.0
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

7.0
5000
(kWh/capita/year)

6.0
4000
5.0

3000 4.0

3.0
2000
2.0
1000
1.0

0 0.0
1975 1985 1995 2005 2015

1.281. While the electricity consumption per capita in China has increased
significantly in the 20th century, in the past two decades the con-
sumption has been fluctuating within a certain range without any
net increase (use the above diagram).
a. True
b. False
1.282. How is the plant capacity factor different from the load factor?
92 Power Plant Engineering

1.283.
Peak-load power plants operate to provide the difference between
the baseload and the actual load demand, especially during a
high demand period.
a. True
b. False
1.284.
What are some of the energy consumption examples in the build-
ing sectors (three examples)?
1.285.
What is the ultimate objective of the electricity market deregulation?

1.286. All industrially developed economies reached a steady flat per

capita electricity generation at different times but more or less at
the same value.
a. True
b. False
1.287. Explain how special occasions, e.g., holidays or sports events,
impact the load profile.
1.288. Which one is incorrect for baseload power plants?
a. The power output of these units does not vary to match load
demands.
b. These units are typically able to generate electricity at a low
cost which means they should be highly efficient power plants.
c. They typically require low capital costs.
d. They usually have high plant capacity factor and low marginal
costs.
1.289. In the industrial sector, energy sources can be used ……..
a. as input materials
b. for manufacturing processes
c. as input materials and for manufacturing processes
1.290. Explain the difference between power and energy.
1.291. Explain regulated and deregulated power markets very briefly
(2 lines). Identify who owns the transmission and distribution
systems in each case and how the price of electricity is determined.
1.292. Which one is correct for baseload power plants?
a. Baseload power plants are plants that are dedicated to meet-
ing the baseload demand.
b. Since these power plants should produce the minimum
required power for a given period, they should operate con-
tinuously at full capacity at all times throughout the period,
including for scheduled or unscheduled maintenances.
Introduction to Electricity 93

c. Typically if a power plant is operational for 6000 hours or less

a year (out of 8760 hours in a year), it is considered to be a
baseload plant.
d. The power output of these units varies to match load demands.
1.293.
Name two major grids or interconnections in North America
(the U.S. and Canada).
1.294.
GDP per capita is commonly used as an indication of the quality of
living for a specific region.
a. True
b. False
1.295.
The following two figures illustrate the total and per capita electric-
ity generation in China and Japan between 1980 and 2018. Compare
the two countries. What are the similarities and differences?
6000 8.0
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

7.0
5000
(kWh/capita/year)

6.0
4000
5.0

3000 4.0

3.0
2000
2.0
1000
1.0

0 0.0
1975 1985 1995 2005 2015
(a)
10000 1.2
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

9000
1.0
8000
(kWh/capita/year)

7000
0.8
6000

5000 0.6
4000
0.4
3000

2000
0.2
1000

0 0.0
1975 1985 1995 2005 2015
(b)
94 Power Plant Engineering

1.296. Define gross domestic product (GDP).

1.297. Why should a power generation system include a proper mixture
of baseload and peak-load power plants?
1.298. According to the World Bank, only about 16% of the world popula-
tion lives in high-income economies, and remain 84% of the popu-
lation lives in low- and middle-income countries.
a. True
b. False
1.299. Is the demand load power or energy?
1.300. The capacity factor depends on the fuel type as well as plant
design, age, and configuration.
a. True
b. False
1.301. Which one(s) cannot be used to provide the peak load?
a. Gas turbines
b. Steam power plants both fossil fuel and nuclear
c. Hydroelectric power plants
d. Reciprocating engines
e. Pumped storage units
f. Other storage technologies
g. Geothermal power plants
1.302.
Explain how the grid helped to determine the locations of power
plants by parameters other than just closeness to centers of demand.
1.303. If coal is the inexpensively available fuel, a combined cycle power
plant might be the best choice for a power plant technology.
a. True
b. False
1.304. The total energy consumption of a society is ……. the population.
a. proportional to
b. independent of
1.305. Name at least three natural sources of energy.
1.306. If we reduce the current by half while the electrical resistance is
constant, the voltage will …..
a. double
b. reduce by half
c. not change
d. depends on many factors
Introduction to Electricity 95

1.307. In order for a power generation system to be able to meet required
load demands, it should include a proper mixture of two types of
power plants: baseload and peak load.
a. True
b. False
1.308. The selected units in a power generation system should be of vari-
ous capacities to roughly fit the variations in the load curve with
minimum partial-load operation.
a. True
b. False
1.309. A power grid can ……..
a. improve reliability of produced power
b. ensure economical operation of plants
c. permit continued operation of older plants
d. all of the above
1.310. It is predicted that the world population will reach 9.8 and
11.2 billion by 2050 and 2100, respectively.
a. True
b. False
1.311. Explain how the day of week, e.g., weekdays or weekends, impacts
electricity consumption.
1.312. List three main charges in the cost of electricity usage for a large
commercial unit.
1.313.
While in recent years the per capita electricity generation has
declined in the U.S., a similar decline cannot be seen for the total
electricity production. This is due to the continued growth in the
population as the U.S. population increased by about 6% between
2010 and 2018.
a. True
b. False
1.314.
The figure below shows the global electricity generation between
1980 and 2018. Explain what the diagram indicates about the past
and the future projection.
96 Power Plant Engineering

50.0

45.0
Electricity Generation (×1012kWh)

40.0

35.0

30.0

25.0

20.0

15.0

10.0

5.0

0.0
1975 1985 1995 2005 2015 2025 2035 2045 2055

1.315. Gross domestic product (GDP) is a parameter that is determined

based on ……..
a. the market value of all products, including goods and services,
exported by a country or a region in a particular period
b. the market value of all products, including goods and services,
imported by a country or a region in a particular period
c. the market value of all products, including goods and services,
imported or exported by a country or a region in a particular
period
d. none of the above
1.316. A too high or too low water level behind the dam should be
avoided to enable the operation of recreational facilities if any.
a. True
b. False
1.317. Write the equation to determine the power loss through a line?
1.318. Name three sectors of the energy industry.
1.319. When selecting generating units’ specifications the following con-
siderations should be taken into account. Describe each item and
its importance.
• Number and size of units
• Minimal partial-load operation
• Units to be of different capacities
• Spare generating capacity
• Avoid selecting smaller units
Introduction to Electricity 97

1.320.
How can the voltage of AC power be changed? Can the same
method be used for DC power?
1.321. Typically the behavior of a single user can be unpredictable. But
when many users are compounded, their overall load variation is
to some degree predictable.
a. True
b. False
1.322. Which one(s) cannot be used as a baseload power plant?
a. steam power plants both fossil fuel and nuclear
b. hydroelectric power plants
c. geothermal power plants
d. solar PV panels
e. solar thermal power plants with storage
f. ocean thermal energy conversion power plants
1.323. Each American on average consumes roughly as much as …..
Chadians.
a. 2
b. 3
c. 12
d. 63
e. 368
f. 837
1.324. Secondary energy sources are also called energy carriers. Why?
a. True
b. False
1.325.
Name two types of electricity generation technologies that are
suitable for baseload power generation and two technologies
suitable for peak-load power generation.
1.326.
If we double the voltage while the electrical resistance is constant,
the current will …..
a. double
b. reduce by half
c. not change
d. depend on many factors
1.327.
The power grid can be created by connecting several electricity
generating stations together in parallel.
a. True
b. False
98 Power Plant Engineering

1.328.
When planning for a new power plant, the projected load profiles
can determine which type, baseload or peaking load, should be
constructed.
a. True
b. False
1.329.
Explain how the level of economic development of a particular
region or country impacts the amount of energy consumption and
share of various energy consumption sectors.
1.330.
Complete the following table, which is listing actual power
systems and corresponding ideal cycles.

Actual System Ideal Cycle

Steam power plant
Gas turbine
Otto cycle
Compression-ignition internal combustion engine

1.331. The global per capita electricity generation has increased by about
80% since 1980.
a. True
b. False
1.332. What is the unit of voltage?
1.333. Which of the following energy sources are primary sources of
energy? (Select all the correct ones)
a. nuclear energy
b. electricity
c. hydro energy
d. diesel fuel
e. geothermal energy
1.334.
What is the relationship between voltage, current, and electrical
resistance?
1.335.
In the past four decades, the global electricity generation has
tripled.
a. True
b. False
1.336.
The figure below illustrates the total and per capita electricity gen-
eration in Japan between 1980 and 2018. Explain what the d iagram
indicates.
Introduction to Electricity 99

10000 1.2
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

9000
1.0
8000
(kWh/capita/year)

7000
0.8
6000

5000 0.6
4000
0.4
3000

2000
0.2
1000

0 0.0
1975 1985 1995 2005 2015

1.337. Explain how the living standard of a particular region or country

impacts the amount of energy consumption and share of various
energy consumption sectors.
1.338. What is the unit of electrical resistance?
1.339. Not all industrially developed economies reached a steady flat per
capita electricity generation.
a. True
b. False
1.340. Which economy does consume more energy in the building sector:
a manufacturing-focused economy or a service-focused economy?
Why?
1.341. What is the equation for electricity transferred by an electric line?
1.342. We need an infrastructure to convert naturally occurring energy
forms to more useful forms and to transport them.
a. True
b. False
1.343. Is there an interdependency between the annual energy consump-
tion per capita and the annual GDP per capita? Why?
1.344. Why should the number of small units in an electric network be
limited?
1.345. In most cases primary energy sources need to be converted to
useful energy forms.
a. True
b. False
100 Power Plant Engineering

1.346.
What are the factors that impact energy consumption in the indus-
trial sector?
1.347.
In order to understand the energy industry, we need to look into
three sectors:
a. Energy use
b. Energy conversion, transportation, and distribution
c. Energy resources
d. All of the above
1.348.
Explain how the geography of a particular region or country
impacts the amount of energy consumption and share of various
energy consumption sectors.
1.349.
There is a deep inequality in per capita electricity consumption at
the global level.
a. True
b. False
1.350.
Explain how the customer type, e.g. residential, commercial, or
industrial, impacts electricity consumption.
1.351.
In many dams, too low water flow rates should be avoided to
protect fish downstream.
a. True
b. False
1.352.
Why should the total capacity of a power generating system
include some extra capacity (over the maximum demand load)?
1.353.
The per capita electricity generation in the U.S. increased until
2007 at the rate of about 13,500 kWh/capita/year.
a. True
b. False
1.354. Explain why a hydroelectric plant may not be able to operate at a
full capacity due to limitations on downstream water flow rate or
limitations on the water level behind the dam.
1.355. The energy we need in society to improve our living standard and
maintain economic growth should be extracted or collected from
natural resources of energy.
a. True
b. False
1.356. The figure below illustrates the total and per capita electricity gen-
eration in India between 1980 and 2018. Explain what the diagram
indicates.
Introduction to Electricity 101

1200 1.6
Per Capita Electricity Generation

Electricity Generation (×1012 kWh/year)

1.4
1000
(kWh/capita/year)

1.2
800
1.0

600 0.8

0.6
400
0.4
200
0.2

0 0.0
1975 1985 1995 2005 2015

1.357.
Provide two examples of when energy sources are used for manu-
facturing processes in the industrial sector.
1.358.
For most countries, having a high annual GDP means a high per
capita energy consumption and vice versa.
a. True
b. False
1.359.
What is the difference between primary and secondary sources of
energy?
1.360.
Which of the following energy sources are secondary sources of
energy? (Select all the correct ones)
a. Crude oil
b. Hydrogen
c. Solar energy
d. Biodiesel fuel
e. Wind energy
1.361.
The recent increase in the per capita and total global electricity
generation have been driven by an energy consumption increase
in developed economies.
a. True
b. False
1.362.
Explain how special occasions, e.g. holidays or sports events,
impact electricity consumption.
1.363.
We typically cannot directly use natural resources of energy.
Explain the solution to this problem. Provide two examples.
102 Power Plant Engineering

1.364. The primary sources of energy are forms of energy that can be
directly found in nature.
a. True
b. False
1.365. List three examples of energy consumption in the industry.
1.366. There is a clear correlation between per capita GDP and per capita
electricity consumption though not a one–to-one relationship.
a. True
b. False
1.367. Can we use natural resources of energy directly without any
energy conversion? Why? Provide two reasons with examples.
1.368. The electrical demand of individual consumers vary over a given
period of time and involve significant uncertainty.
a. True
b. False
1.369. Explain what a load curve or a load profile is.
1.370. If a system does not generate electricity due to the unavailability
of the energy source, the capacity factor increases.
a. True
b. False
1.371. The energy we need in society to improve our living standard and
maintain economic growth should be extracted or collected from
natural resources of energy such as ……….. (Choose all the correct
items.)
a. fossil fuels
b. nuclear energy
c. renewable energy resources
d. electricity
1.372. Name at least three primary sources of energy.
1.373. A load curve or a load profile is a graph of electrical load (power
consumption) as a function of time.
a. True
b. False
1.374.
A power plant with the electricity generation capacity of 500 MW,
operates 250 days a year. The plant cannot produce electricity
65 days of the year due to the required maintenance. The rest
of the year plant does not operate because there is no demand.
Determine the capacity and availability factors of the plant.
Introduction to Electricity 103

1.375. Explain why economies focused on manufacturing tend to

consume more on the industrial sector while in service-focused
economies more energy is consumed by the building sector.
1.376. The objective of every society is to ……..
a. sustain and improve the standard of living
b. sustain and increase growth
c. achieve the above two objectives sustainably
1.377. The recent increase in per capita and total global electricity
generation has been driven by the increase in developing and
emerging economies.
a. True
b. False
2
Introduction to Steam Power Plants

Abstract
Steam cycle power plants are the workhorse of the electricity generation
industry. They are used in fossil fuel, nuclear, geothermal, and solar ther-
mal energy as well as combined cycle power plants. We will first review
the history of the development of steam power plants. Due to their major
contributions to the industry, the rest of the chapter is entirely dedicated
to the Rankine cycle, as the thermodynamic cycle that represents steam
power plants. While we study this cycle, we will also review some fun-
damental thermodynamic principles relevant to topics. We will intro-
duce the Carnot cycle first and learn why it cannot be used to express
steam cycles. We will adjust the Carnot cycle and will discuss the speci-
fications of the simple Rankine cycle. We will then evaluate the impacts
of several operating parameters on the performance of the cycle. Then,
we will take a look at how the performance of the cycle can be improved
by modifying the simple Rankine cycle. Finally, we will explore how real
steam cycles deviate from ideal Rankine cycles and how we can take
them into account in our calculations. For each of these topics, we will
have examples to evaluate their design implications.

LEARNING OBJECTIVES
After successful completion of this chapter, you will be able to:
• describe the Rankine cycle
• explain the impacts of operating conditions on the performance of
the Rankine cycle
• discuss various modifications in the simple Rankine cycle to improve
its performance
• identify the distinction between an ideal Rankine cycle and an actual
steam power plant
• calculate the thermodynamic performance of various forms of
Rankine cycles

105
106 Power Plant Engineering

2.1 I ntroduction
Steam generation and the production of work using steam marked the dawn
of the industrial revolution. Despite the recent remarkable growth in renew-
able energy sources, electricity produced in steam power plants is still play-
ing a major role in our modern life. When you use electricity in your house,
there is a very high chance that the electricity you are consuming comes
from a natural gas, coal, or nuclear steam power plant. Steam power plants
have dominated conventional power generation units as nearly all coal and
nuclear plants operate based on steam cycles. Before the introduction of very
large capacity gas turbines, the majority of natural gas and petroleum prod-
uct power plants were also operated based on steam cycles. Currently, com-
bined cycle power plants (a combination of gas turbines and steam cycles,
refer to Chapter 10) dominate natural gas-fueled power generation units.
While in recent years many coal and nuclear steam power plants have retired
and have not been replaced with similar technologies, many new natural
gas-fueled combined cycle power plants have been installed. While in recent
years renewable energy sources are steadily growing, this growth does
not necessarily mean the decline of steam power plant cycles. In fact, some
renewable energy sources use steam or other vapor cycles such as geother-
mal, solar thermal, biomass, and solid waste power plants.
Figure 2.1 shows the share of steam power plants in total utility-scale elec-
tricity generation in the U.S. between 2009 and 2018 (based on the data from
the U.S. Energy Information Administration modified based on some com-
mon sense assumptions). As the diagram illustrates, while the share of elec-
tricity generated in steam power plants has decreased continuously in the

100%
90%
Share of steam power cycles (%)

80%
70%
60%
50%
40%
30%
20%
10%
0%
2009 2010 2011 2012 2013 2014 2015 2016 2017 2018

FIGURE 2.1
Share of steam power plants in total utility-scale electricity generation in the U.S. between 2009
and 2018. (Based on the data from the U.S. Energy Information Administration at eia.gov.)
Introduction to Steam Power Plants 107

past decade, about two-thirds of electricity in the U.S. is still produced by

these power plants. A similar pattern is expected for the global electricity gen-
eration. This popularity is primarily due to the flexibility of thermal energy
sources, relatively high efficiency, and low operating cost of these plants.
These characteristics make these units ideal for baseload power generation
although some steam power plants can be used as peak-load power plants too.

2.2
H istory of Steam Power Generation
The idea of using steam to generate work is an ancient one. The Hero of
Alexandria in the 1st century AD was the first one who described the pro-
duction of steam and the conversion of its energy to work through a reaction
turbine (refer to Chapter 6, Figure 6.12) but he did not provide any application
for the produced work.
In more recent history, the conversion of steam power to mechanical work
started well before the discovery of electricity. Early publications regard-
ing the idea appeared in the late 16th century. However, practical usage did
not begin until the 17th century. Interestingly, early steam power generators
were exclusively developed for pumping water out of coal mines. Until the
17th century, thermal energy required for the heating of buildings and cook-
ing as well as industrial energy requirements was provided mainly by wood
and coal. But forests were rapidly disappearing especially in England. In
addition to population growth, thermal energy for smelting ores and miner-
als for metal extraction, particularly the utilization of coke for smelting iron,
significantly increased the consumption of coal. So the coal mining industry
was a booming one. The increase in coal mining resulted in digging deeper
mines. Deeper mines faced the problem of water flooding, which required
the pumping of water out of mines. Initially human- and animal-powered
pumps were used for dewatering mines. But ever-increasing water volume
to be pumped made this method practically insufficient; thus, alternative
approaches to generating mechanical work were desperately needed.

FYI BOX 2.1

CAPITAL PUNISHMENT FOR BURNING COAL
Did you know that at one time burning coal for heating and cooking
in London was a crime punishable by death penalty? By as early as
the 12th century, wood in London was so rare and expensive that poor
people could not afford it. So they started to burn coal. However, the
effect of burning coal on air quality was so adverse that in the early
14th century Edward, the king of England, banned the practice, and it
108 Power Plant Engineering

was punishable by a fine and destroying the furnace. Since the law did
not work, he increased the punishment to death penalty. Reportedly
one person was even executed for this crime (although some historians
disputed this)! Of course this did not work as well because there was no
alternative for the poor. The problem of air pollution and poor air qual-
ity in London remained unsolved until 1952 when ~4000 people died in
London after 4 days of smog, now known as the Great Smog. After this
disaster, the government took drastic actions that eventually resolved
the problem for good (almost!).

Vacuum
1
Force due to
atmospheric
pressure h

Mercury

FIGURE 2.2
Schematic of operating principle of barometers (raising liquids to a higher elevation using the
effect of the atmospheric pressure against vacuum).

The objective of the initial attempts for power generation was not to
roduce electricity or even mechanical work. As mentioned, the objective was
p
to pump water out of coal mines. The principles that eventually led to early
steam engines were around for a long time. Scientists knew that water can be
elevated by the force of the atmospheric pressure if vacuum can be created.
In 1643, Evangelista Torricelli (1608–1647, Italian physicist and mathematician
who was an assistant to Galileo and succeeded him as the court mathemati-
cian after his death) used this principle to invent the first barometer where
the atmospheric pressure pushed mercury up in a glass tube (Figure 2.2). The
height of mercury in the tube indicated the atmospheric pressure.
The main question was how to create vacuum. Denis Papin (1647–1712, a
French physicist and mathematician) suggested using the condensation of
steam enclosed in a container to create vacuum. In 1690, he built a piston
and cylinder assembly where steam was condensed inside the cylinder and
created vacuum. The force of the atmospheric pressure against the created
vacuum could generate work in the form of raising a weight. Although this
was the first steam engine, it was never used for practical applications.
In 1698, Thomas Savery (1650–1715, an English inventor and engineer)
patented the first successfully operating steam engine. His engine was
Introduction to Steam Power Plants 109

Steam valeve - closed

Steam

Water
spray Vacuum

Boiler
Check valve - closed

Check valve - open

h1
Suction tube
Water from mine
Atmospheric
pressure

Water

FIGURE 2.3
Savery’s engine, water suction process.

c omposed of a boiler, a metal vessel, and a system of pipes and valves

(Figures 2.3 and 2.4). First, steam was generated in the boiler and fed to the
vessel. Then, the vessel was disconnected from the boiler. The steam enclosed
in the vessel was then condensed by pouring cold water to the outside of the
vessel (Figure 2.3). The vacuum created by the steam condensation sucked
the water into the vessel from the mine. Finally, steam was again allowed
to enter the vessel, and water was pumped to the surface due to the steam
pressure (Figure 2.4). The cycle was repeated by condensing the steam in the
vessel again.
The efficiency of the engine was extremely low mainly due to the heat loss
from steam to water during their direct contact in the water pumping pro-
cess. Furthermore, the height that water could be raised in the water suction
and pumping processes was limited. The height that water could be raised
in the water suction process (h1 in Figure 2.3) was theoretically bounded by
the maximum of 10.33 m (33.89 ft), which could be achieved if a perfect vac-
uum could be created (Example 2.1). Although there is no theoretical limit
for the height that water could be pumped during the second process (h2 in
Figure 2.4), due to technological limitations of those days, the steam pres-
sure was limited to slightly above the atmospheric pressure. These limita-
tions meant that several stages of the engine were needed to be installed in
110 Power Plant Engineering

Steam valeve - open

Water to ground level
Steam

h2 Steam pressure

Metal
Check valve - container

Boiler
open

Check valve - closed

h1
Suction tube

Water

FIGURE 2.4
Savery’s engine, water pumping process.

the mine shaft to pump water from deep in mines all the way to the surface.
Moreover, it could not generate any external mechanical work. The engine
was very slow and operating the valves manually was a laborious job. In
practice, Savery used two vessels in his engine to accelerate the processes
(Figure 2.5). His engines were called the “fire engine” or the “miner’s friend”.
Although the Savery’s engines were installed in several sites, its applica-
tion never became widespread due to the aforementioned limitations. This
design was later improved by adding an internal water jet for condensation
(instead of spraying water to the outer shell) and adding a safety valve.

Example 2.1
Determine the maximum height that water can be raised using the effect
of the atmospheric pressure against vacuum (h in Figure 2.2 and h1 in
Figure 2.3). What about mercury? Assume that the ambient pressure is
equal to the standard atmospheric pressure.
In Figure 2.2, the pressure difference between points 1 and 2 is

P2 − P1 = ∆P = ρ gh (2.1)
Introduction to Steam Power Plants 111

Containers
Boiler

Boiler

FIGURE 2.5
Schematic of an actual Savery’s engine.

where ρ is the density of the liquid inside the tube, g is the gravity, and h
is the height of the liquid inside the tube.

P1 = 0 (vacuum)

P2 = Patm = Standard atmospheric pressure = 101, 325 Pa abs

Since the densities of water and mercury are 1000 and 13,594 kg/m3,
respectively,

101, 325
For water : h = = 10.33 m ( 33.89 ft )
1000 × 9.81
101, 325
For mercury : h = = 0.760 m ( 2.50 ft )
13, 594 ×9.81
Note that in Figure 2.2, a full vacuum can only be created if no liquid
evaporates into the void above the surface of the column of the liquid. In
this sense, using mercury in the tube comes close to satisfy this condition.

FYI BOX 2.2

THE FIRE ENGINE PATENT
The Savery’s 1698 patent for his fire engine was very interesting. It had
no illustration or even description; however, it granted him the right
for not just his engine but every engine that raised water using fire for
14 years. Later, due to the importance of his invention and high hopes
for its contribution to the mining industry, the parliament of England
approved the Fire Engine Act to extend his patent for 21 more years.
112 Power Plant Engineering

Beam

Piston

Cylinder

Water spray

Water Boiler
pump

FIGURE 2.6
Schematic of Newcomen’s atmospheric steam engine.

Around 1710 Thomas Newcomen (1664–1729, English inventor and iron-

monger) ingeniously combined three already existing concepts: the Savery’s
engine, the Papin’s piston and cylinder, and a conventional reciprocating
water pump to develop his steam engine. Similar to the Savery’s engine, it
consisted of a boiler and a container, in this case a cylinder (Figure 2.6), but
there was no direct interaction between steam and pumped water.
First, steam from the boiler entered the cylinder and the pressure of the
steam raised the piston. The steam was then condensed by spraying cold
water into the steam which created vacuum. As a result, the atmospheric
pressure pushed the piston down. Since his engine always operated under
the atmospheric pressure, it was called the Newcomen’s atmospheric steam
engine. The reciprocating motion of the piston was transferred through a
beam pivoted in the center to the water pump. Since the diameter of the
steam piston was greater than that of the pump piston, the water could be
pumped to a higher elevation than that of previous engines, which was lim-
ited by the vacuum effect (Example 2.1).
In early engines, the operation of the valves was reportedly manual but
later it was automated. Newcomen’s atmospheric engines were simple, safe,
and reliable and until 1775 hundreds of them were built with little modifica-
tions. Some of these engines were operational even in the early 20th century.
Introduction to Steam Power Plants 113

FYI BOX 2.3

INNOVATIVE COCK BOY
As stated, early Newcomen’s engines were manually operated and
controlled. This required the opening and shutting of the valves (then
called plugs) in a precise manner. The operator’s job (called a plug
man or a cock boy) was very demanding and mistakes could be very
costly and possibly fatal because of the lack of safety valves. There is a
common legend that the first automated steam engine was developed
by a young cock boy named Humphrey Potter. In 1713, he reportedly
observed the regular patterns in the operation of the plugs and beans
and used them to operate the plugs by a string mechanism called the
“Potter cord”.

Despite all its advantages, the efficiency of Newcomen’s atmospheric

engines was terribly low though much greater than that of Savery’s
engines. The cooling of the cylinder by water injection in one stroke and
then reheating it with fresh steam in the next stroke wasted a lot of ther-
mal energy. Due to the availability of fuels, this was not a major problem
when engines were installed in coal mines. However, the applications of
the engine quickly spread to other mines (other than coal mines) and other
industries where in many installation sites coal was not readily available
and was expensive.
The next big steps in the development of steam engines were introduced by
James Watt (1736–1819, a Scottish mechanical engineer) (Figure 2.7). In order
to reduce heat losses, he moved the condensation process out of the cylinder.
The introduction of the separate chamber for steam condensation, known as
the condenser, approximately doubled the efficiency of steam engines. He
initially used water spray for steam condensation (called jet condensers, refer

FIGURE 2.7
An actual James Watt’s steam engine. (By Chris Allen, CC BY-SA 2.0, https://commons.
wikimedia.org/w/index.php?curid=2308677.)
114 Power Plant Engineering

to Chapter 7) but later used a heat exchanger (called surface condensers, refer
to Chapter 7) for this purpose.
He made many other improvements too. To increase the power output of
the engine, he used steam in the upper part of the piston to further push it
downward during condensation, instead of just relying on the atmospheric
pressure. This later led to the invention of double-acting engines in which
both ends of the cylinder were connected to the boiler and the condenser. But
before this could happen, he added a mechanism to convert the reciprocating
motion of the piston to the rotational one. To avoid infringement of a patent
on the crank mechanism, he developed the sun and planet gear mechanism.
This arrangement not only made double-acting engines possible but also
expanded the utilization of these engines to many other industries because
the rotational power output was more suitable for various industrial applica-
tions. Although Watt’s engines used both vacuum and low-pressure steam
to drive the piston, most of the pressure difference on the two sides of the
piston came from vacuum as a result of steam condensation. These engines
are also known as condensing engines in contrast to non-condensing engines
that operate solely using steam pressure force with no steam condensation.
Furthermore, to generate smooth and constant speed rotation, he added a
flywheel and a centrifugal governor. The Watt’s steam engine was one of the
most important driving forces of the industrial revolution in Europe.

FYI BOX 2.4

JAMES WATT
He was born in Scotland. His father was a shipbuilder and his grand-
father was a mathematics and surveying teacher. He started his career
as an instrument maker and repairer at the University of Glasgow. The
legend has that he was first inspired to work on steam engines when
he observed that the power of steam in a boiling kettle was able to raise
the kettle lid. When he started to work on the concept, the Newcomen’s
engine was in the market for about half a century without much change.
He was tasked to fix a model of Newcomen’s engine in the university
during which he noticed the engine’s problems, especially its extremely
low efficiency. He correctly attributed this to repeated heating and
cooling of the cylinder. He suggested and later patented the idea of a
separate vessel for steam condensation (a condenser). While his ideas
were brilliant, he did not have financial means to implement and com-
mercialize them for about a decade. He then formed a partnership with
Matthew Boulton called Boulton and Watt. This enabled him to finalize
his engine and offer it to the market. The firm’s financial model was very
interesting. They charged their customers an annual fee based on the
saving in fuel consumption compared to the equivalent Newcomen’s
Introduction to Steam Power Plants 115

engine (the actual charge was one-third of the saving). That meant
the more efficient their engines became, the more income they had.
In fact, later Watt’s engines were about five times more efficient than
Newcomen’s engines. Regardless of his technical genius, he was not a
businessman by nature and hated financial negotiations. He invented
several other machines including a machine to copy letters and another
to copy sculptures. He was a “hero of the industrial age” (as a plaque
in The Science Museum, London put it). His remarkable ability to com-
bine engineering theoretical knowledge and practical skills helped him
immensely to contribute to the industrial revolution.

In the early 19th century, there was a great interest to increase the pressure
of steam to build “strong engines” that were smaller, faster, and less expen-
sive compared to Watt’s engines. Note that those days steam at the pressure
of few bars was considered high-pressure steam, which is extremely low
pressure with today’s standards.
In 1849, George Henry Corliss (an American mechanical engineer, 1817–
1888) invented rotary valves and introduced them to steam engines. In Corliss
steam engines, these fast-closing valves were able to reduce steam throttling
losses and improve the engine efficiency. The next major improvement was
the “uniflow steam engine” (Figure 2.8). The idea was first introduced in
1827 in Britain and was later patented in 1885. However, the first commercial
uniflow engine was built by Johann Stumpf (a German engineer) in 1909.
In these engines, steam entered the cylinder from two ends and exhausted
in the middle. The thermal efficiency of the engine was higher than that of
earlier engines. The reason was that steam always entered the hot ends of the
cylinder and exhausted in the cooler midpoint, which reduced the energy
loss due to the alternating heating and cooling of different parts of the cylin-
der in earlier engines.
In the 19th century, there were many other improvements on steam engines
such as using two cylinders in series to expand steam on high-pressure and low-
pressure stages (compound engines); using insulated boiler, engine, and pipes;
using cylindrical boilers; using more efficient and accurate valves; and better
speed control. In the late 19th century, large reciprocating steam engine units
with the capacity of several MW (the largest being 5 MW) were built.
As discussed, early steam power generators were all reciprocating engines.
The first commercial central power generation systems that were established
in New York and London in the early 1880s were of this type. Later turbine-
based steam power plants gradually took over because of their higher
efficiency and lower cost of construction. The capacity of early steam turbine-
based electricity generation plants was a few hundred kWs. In the late 1890s,
the first megawatt size power plants were installed, and by the late 1910s
units with capacity over 10 MW were installed. By the early 20th century,
116 Power Plant Engineering

HP Steam HP Steam

LP Steam
FIGURE 2.8
Schematic of a uniflow steam engine.

reciprocating steam engines were mostly replaced by steam turbines. The

trend continued with increasingly larger units being installed. By the late
1920s and 1930s, units with capacities of about 200 and 500 MW, respectively,
were installed. After World War II units with the capacity of over 1000 MW
became standard. These improvements were achieved primarily due to more
advanced technologies that allowed using superheated steam with increas-
ingly higher pressures and temperatures.

2.3
T hermodynamics of Steam Power Plants
In this section, first the main components and operation principles of today’s
steam power plants are introduced. Then, the ideal thermodynamic cycle to
model steam power plants is discussed followed by the effects of various
operating parameters. The ways to improve the performance of steam power
plants are then discussed. Finally, the deviations of actual steam power
plants from ideal cycles are introduced.
Steam power plants are power generation systems that operate in a closed
cycle during which the phase of the working fluid, usually water but not
always, changes between the liquid and vapor phases alternatively. In the
previous chapter, it was explained that conventional thermal power gener-
ation systems are able to produce net power output due to the difference
between specific volumes of the working fluid during the compression and
expansion processes. In phase-changing working fluid power cycles, since
the working fluid is pressurized in the liquid form and expands in the vapor
phase, a relatively large specific volume difference of the working fluid can
be achieved (Example 2.2).

Example 2.2
Determine the ratio of the specific volume of saturated vapor to the
specific volume of saturated liquid for water at the pressure of 0.1 and
150 bar.
Introduction to Steam Power Plants 117

From steam property tables (Table A.2(SI)),

v f @ 0.1 bar = 0.001010 m 3 /kg

v g @ 0.1 bar = 14.67 m 3 /kg

v g @ 0.1 bar 14.67

= = 14525.8
v f @ 0.1 bar 0.001010

v g @ 150 bar 0.01034

= = 6.2
v f @ 150 bar 0.001658

Like other power cycles, there are four main components in a steam power
generation cycle (Figure 2.9): pump, steam generator (boiler), turbine, and
condenser. The low-pressure water (liquid phase, flow 1) is pressurized in
the pump (flow 2) and is sent to the steam generator where water is heated
and converted to high-temperature steam (flow 3). The high-pressure and
high-temperature steam then expands through the turbine producing work,
which can be converted to electricity in the generator. The low temperature
and pressure mixture of steam and water (flow 4) is then condensed in the
condenser before being sent to the pump to complete the cycle. In order to
condense the steam and reject heat to the surrounding, cooling water from a
nearby body of water may be used. Alternatively, a wet or dry cooling tower
may be employed. There are various sources of thermal energy for steam
generators, including fossil fuels, such as coal, natural gas, or petroleum
products; nuclear reactions; or renewable sources, such as geothermal, solar
thermal energy, ocean thermal energy, or biomass. These thermal energy

Stack

Combustion gases
to stack Electric
Turbine generator
3 +
_
Cooling tower
Fossil fuel 4
Condenser
Warm water
Air

Steam generator
Cold water

2 1 Circulation pump

Feedwater pump

FIGURE 2.9
Schematic of a simple steam power generation cycle.
118 Power Plant Engineering

sources will be studied in details in later chapters; however, regardless of

the thermal energy source, the fundamental operation of steam power cycles
will remain unchanged.

REMINDER BOX 2.1

CARNOT CYCLES
The Carnot cycle (after Sadi Carnot, 1796–1832, a French engineer and
physicist) is an ultimate ideal cycle for any thermal engine. All four pro-
cesses in this cycle are reversible, so the cycle is reversible. The Carnot
cycle is composed of two constant temperature processes (isothermal
processes) and two adiabatic processes. Note that the latter reversible
adiabatic processes are constant entropy or isentropic. It can be shown
that it is impossible to construct an engine that operates between a
low-temperature thermal energy reservoir and a high-temperature
heat reservoir with an efficiency higher than that of the Carnot cycle.
Also, it can be shown that all Carnot cycles operating between the same
two thermal energy reservoirs have the same efficiency. Therefore, the
Carnot cycle is an ideal cycle that theoretically can operate with any
working fluid with the highest thermal efficiency possible for the given
thermal energy reservoirs. The Carnot cycle efficiency is a function of
the absolute temperatures of the thermal energy reservoirs that the
cycle interacts with

TL
η Carnot = 1 − (2.2)
TH
where ηCarnot is the thermal efficiency of the Carnot cycle, and TL and
TH are the absolute temperatures of the low-temperature and high-
temperature thermal energy reservoirs (in K or °R), respectively.
Although this cycle is not practical in the real world, it provides an
upper bound for the achievable efficiency of thermal engines and a
benchmark to compare the efficiency of actual cycles with.
For most power cycles, the T-s and P-v diagrams are used to demon-
strate the cycle. The former is typically able to provide the most use-
ful information to study the cycle. Figures 2.10 and 2.11 illustrate the
T-s and P-v diagrams for the Carnot cycle when the working fluid can
have a phase change and is entirely located under the vapor dome and
when the working fluid is always in the gaseous form, respectively.
Accordingly, the efficiency of the cycle is given by the following equa-
tion in the T-s diagram:

wNet Area 1-2-3-4-1

ηCarnot = = (2.3)
qIn Area a-2-3-b-a
Introduction to Steam Power Plants 119

T P TH
TH 2 3

2 3
TL 1 4 TL
TH

1 4
TL

a b s v

FIGURE 2.10
T-s and P-v diagrams of a Carnot cycle for a phase-changing working fluid.

T P
2 3 2
TH TH

TL 1 3
4
TL
TH
1
4
TL
a b s v
FIGURE 2.11
T-s and P-v diagrams of a Carnot cycle for a gaseous working fluid.

REMINDER BOX 2.2

THE FIRST LAW OF THERMODYNAMICS
The thermodynamic analysis of any cycle or any component of a cycle
involves the conservation of mass and energy laws and the second law
of thermodynamics as well as the thermodynamic data needed for
these laws. The first law of thermodynamics for a control volume (CV)
(the energy balance based on the rate of energy transfer) can be written
as follows1.

1 Note that to distinguish volume and velocity, a vector sign is placed over V for the velocity.
120 Power Plant Engineering

For a CV with multiple inlets and outlets,

2 2
dECV
dt
= Q CV − W
CV +
∑ m  h + 21 V
i
i i i

+ g zi  −
 ∑ m  h + 21 V
e
e e e

+ g ze 

(2.4)
For a CV with a single inlet and outlet,

dECV 1 2 1 2
= Q CV − W i  hi + V i + g zi  − m
CV + m e  he + V e + g ze  (2.5)
dt  2   2 
For a steady-state CV,

Q CV W
( )
1 2 2
− CV + ( hi − he ) + V i − V e + g ( zi − ze ) = 0 (2.6)
m m 2
 CV is the power
where ECV is the total energy of the control volume (J); W
involved (produced or consumed) in the control volume (W); Q CV is the
heat transfer to or from the control  volume (W); m  is the mass flow
rate of the working fluid (kg/s); h, V, and Z are enthalpy (J/kg), veloc-
ity (m/s), and elevation (m) of the inlet and outlet flows in the CV,
respectively.
For an adiabatic (no heat transfer) steady-state expansion and com-
pression processes with no change in potential and kinetic energies
between the inlet and outlet flows, Equation 2.6 is reduced to

 Turb
W
= ( hi − he ) or wTurb = ( hi − he ) (2.7)
m
 Pump
W
= ( he − hi ) or wPump = ( he − hi ) (2.8)
m

Similarly, the heat transfers during the heat addition and rejection pro-
cesses are (with the same assumptions, i.e., steady state and no change
in potential and kinetic energies)

Q SG
= ( he − hi ) or qSG = ( he − hi ) (2.9)
m 

Q Cond
= ( hi − he ) or qCond = ( hi − he ) (2.10)
m

where W  and Q are the rate of energy transfer (kW), q and w are the
 is the mass flow rate (kg/s).
specific energy transfers (kJ/kg), and m
Introduction to Steam Power Plants 121

Note that in these equations, the sign convention of heat and work
transfers is not applicable. Typically, positive values correspond to the
direction of arrows in schematic diagrams. The sign convention of
heat and work transfer (positive for when work is done by the system
and when heat is transferred to the system) should be only considered
when writing energy balance equations (Equations 2.4 and 2.5).Since
these equations are developed based upon the mass and energy con-
servation laws, they can be applied for ideal and non-ideal cycles (with
or without irreversibilities). The efficiency of a cycle is given by
wNet wTurb − wPump
ηTh = = (2.11)
qSG qSG
Another parameter that is being used to describe the performance of
power generation cycles is the back work ratio (BWR),
wPump
Back work ratio = BWR = (2.12)
wTurb
The BWR indicates what percentage of the work (power) produced
in the turbine is consumed in the pump. The lower BWR is desirable
because it means less work (power) is consumed in the pump and more
work (power) is available as the net output. Alternatively, some texts
used the work ratio (WR) for this purpose defined as

wNet
Work ratio = WR = (2.13)
wTurb

Example 2.3
In a Carnot cycle with the working fluid of water, the operating pres-
sures of the steam generator and the condenser are 10,000 and 10 kPa,
respectively. If the turbine inlet flow is saturated vapor and the pump
outlet flow is saturated liquid, determine the specific heat transfers in the
steam generator and the condenser (in kJ/kg), the specific work involved
in the turbine and the pump (in kJ/kg), and the thermal efficiency and
BWR of the cycle.
Solution
Given: A Carnot cycle with the working fluid of water operates at
the given operating pressures of the steam generator and the condenser.
The turbine inlet flow is saturated steam and the pump outlet flow is
saturated liquid.
Find: The specific heat transfers in the steam generator and the
condenser, the specific work involved in the turbine and the pump, and
the thermal efficiency and BWR of the cycle.
122 Power Plant Engineering

Schematic diagrams: Figure 2.10

Assumptions:

1. The cycle is an ideal Carnot cycle; therefore, all processes are

internally reversible. The heat-transfer processes are at constant
temperatures. The expansion and compression processes are
adiabatic and thus isentropic. The working fluid is water.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems.

Solution
First, the state and properties of the working fluid (water/steam) at the
four main states in the cycle (states 1–4 in Figure 2.10) should be identified.
State 2 (the pump outlet flow):
At this state, the working fluid is saturated liquid at the pressure of
10,000 kPa, from Table A.2 (SI)2:

h2 = hsat liq@ 10,000 kPa = h f @ 10, 000 kPa = 1407.56 kJ/kg

v2 = v f @ 10, 000 kPa = 0.001452 m 3 /kg

s2 = s f @ 10,000 kPa = 3.3596 kJ/kg K

T2 = Tsat@ 10,000 kPa = 311.06°C

State 1:
At this state, the working fluid is a mixture of saturated liquid and vapor
at the pressure of 10 kPa and another independent property is needed to
determine the state of the stream. Since the process 1-2 is isentropic,

s1 = s2 = 3.3596 kJ/kg K
s1 = s f @ 10 kPa + x1 s fg @ 10 kPa → 3.3596 = 0.6493 + x1 ( 7.5009 )

x1 = 0.3613 or 36.13

%
h1 = h f @ 10 kPa + x1 h fg @ 10 kPa = 191.83 + 0.3613 × 2392.8 = 1055.6 kJ/kg

T1 = Tsat@10 kPa = 45.81°C

2 You can find thermodynamics properties of water from the property tables at the appendix
of this book or any other thermodynamic textbook. Alternatively, you can use online tools
or smartphone applications, such as SteamProperty App. Note that depending on the source
that you use to find properties, their values may slightly differ from the values used in this
text.
Introduction to Steam Power Plants 123

State 3:
At State 3, the working fluid is at the saturated steam state at the pres-
sure of 10,000 kPa from Table A.2 (SI),

h3 = hsat vap@10,000 kPa = hg @ 10, 000 kPa = 2724.7 kJ/kg

s3 = s g @ 10, 000 kPa = 5.6141 kJ/kg K

State 4:
At this state, the working fluid is the mixture of saturated water and
steam at the pressure of 10 kPa. Since process 3-4 is isentropic,

s3 = s4 = s f @ 10 kPa + x4 s fg @ 10 kPa → 5.6141 = 0.6493 + x4 ( 7.5009 )

x4 = 0.6619 or 66.19%

h4 = h f @ 10 kPa + x4 h fg @ 10 kPa = 191.83 + 0.6619 × 2392.8 = 1775.6 kJ/kg

Now, the specific heat transfers in the steam generator and the condenser,
the specific work involved in the turbine and the pump, and the thermal
efficiency and BWR of the cycle can be calculated as follows:

wPump = h2 − h1 = 1407.56 −1055.6 = 352.0 kJ/kg

q SG = h3 − h2 = 2724.7 − 1407.56 = 1317.1 kJ/kg

wTurb = h3 − h4 = 2724.7 − 1775.6 = 949.1 kJ/kg

q Cond = h4 − h1 = 1775.6 −1055.6 = 720.0 kJ/kg

wNet = wTurb − wPump = 949.1 −352.0 = 597.1 kJ/kg

wNet 597.1
ηCarnot = = = 0.4533 or 45.33%
qSG 1317.1

w Pump 352.0
BWR = = = 0.3709 or 37.09%
wTurb 949.1

The correctness of the solution can be checked by applying the energy

balance for the cycle, as follows:

w Net = w Turb − w Pump = qSG − qCond

( 949.1 − 352.0) = (1317.1 − 720.0 ) → 597.1 kJ/kg = 597.1 kJ/kg

124 Power Plant Engineering

The efficiency of the Carnot cycle can also be found as follows:

TL T 45.81 + 273.15
ηCarnot = 1 − = 1− 1 = 1− = 0.4540 or 45.40%
TH T2 311.06 + 273.15

which is almost equal to the efficiency found using steam properties.

The reason for the different is the rounding error in the two methods of
calculations.

2.3.1
Simple Rankine Cycles
Although the Carnot cycle is the most efficient ideal power cycle, it is
impractical for steam power cycles. The first main reason is that a heat-
transfer process at a constant temperature is not practical because in order to
keep the temperature constant, the pressure of the working fluid should be
continuously manipulated. In reality, heat-transfer processes in steam gen-
erators and condensers are constant pressure (if the pressure drop, which is
typically small, is ignored). Therefore, the Carnot cycle should be modified
to fit the conditions of steam power cycles.
The universally accepted ideal cycle for a contemporary steam power plant
is called a Rankine cycle (named after William John Macquorn Rankine,
1820–1872, a Scottish engineer and physicist). The Rankine cycle is a closed
cycle composed of four major reversible processes (Figure 2.12)

• Process 1-2: a reversible adiabatic (thus constant entropy or isentropic)

compression process in a pump
• Process 2-3: a reversible constant-pressure process involving heat
transfer at high temperature in a steam generator
• Process 3-4: a reversible adiabatic (thus constant entropy or isentro-
pic) expansion process in a turbine
• Process 4-1: a reversible constant-pressure heat transfer from the
working fluid to the surrounding at low temperature in a condenser

Note that if the Rankine cycle takes place entirely inside the two-phase liquid-
vapor dome, it will be a Carnot cycle because in this region saturation pres-
sure and temperature are dependent, and thus a constant-pressure process
is also a constant temperature one (cycle 1′-2′-3-4-1′ in Figure 2.12). Though
this new cycle can fundamentally express steam power cycles, it needs some
adjustments to truly represent them.
First, pumping the mixture of vapor and liquid at state 1′ is very difficult
and requires a lot of energy (in Example 2-3 about 37% of the work produced
in the turbine is consumed in the pump). So it is much easier to condense
the mixture of vapor and liquid at state 1′ to saturated liquid at state 1 and
then pump it. Furthermore, in state 4 (the turbine exit) the quality of steam is
relatively low, and there are water droplets in the stream. This is not good for
Introduction to Steam Power Plants 125

Saturated vapor Steam turbine

Steam generator

4 Mixture of liquid and vapor

Condenser

Cooling water
2
1
Compressed
liquid Pump Saturated liquid

(a)
T

2´ 3

2
1 1´ 4

a a s
(b)

FIGURE 2.12
An ideal Rankine cycle, (a) the schematic of the cycle, (b) the T-s diagram of the Rankine cycle.

the low-pressure turbine blades because it reduces the turbine efficiency and
causes erosion in the turbine blades. Generally, as a rule of thumb, the mois-
ture content of the turbine outlet stream should be less than about 10%–15%
(the quality of steam should be higher than about 85%–90%); otherwise, there
will be a significant efficiency drop and serious blade erosion. Keeping this
limitation in mind is important, and for every action to improve the effi-
ciency of the cycle, the effect on the quality of steam at the outlet of the tur-
bine should be investigated. Also, in the Carnot cycle, the temperature of the
combustion products discharged to the surrounding is high (about T3) which
means the loss of high-grade thermal energy and thus a lower efficiency.
Therefore, in practical Rankine cycles, the outlet of the condenser (state 1)
is at the saturated liquid state, which is then pressurized in the pump to
126 Power Plant Engineering

subcooled (compressed) state 2 and is heated in the steam generator to state

3. In the majority of modern steam power plants, the steam leaving the steam
generator is superheated. Note that for clarity and instructive purposes, in
all T-s diagrams, the difference between process 2-2′ and the saturated liquid
line is unrealistically exaggerated.
For the sake of simplicity of analyses, inspired by the definition of the effi-
ciency of the Carnot cycle, it can be shown that the efficiency of any cycle is
directly proportional to the average temperature of the heat transfer to the
cycle (at high temperature) and is inversely proportional to the average tem-
perature of the heat transfer from the cycle (at low temperature). So if the aver-
age temperature of the heat source is increased or if the average temperature
of the heat sink is decreased, the efficiency of the cycle will increase. For
instance, it can be seen that the efficiency of a Rankine cycle is less than that of
a Carnot cycle operating between the same heat source and sink because the
average temperature of the heat transfer to the cycle in the steam generator in
the Rankine cycle is lower than that of the Carnot cycle (due to the heating of
liquid at the lower temperature, process 2-2′, at the left side of the T-s diagram
in Figure 2.12). Also, note that in the T-s diagram of any reversible process, the
area under the curve of the process is equal to the heat transfer during the pro-
cess. Furthermore, the area enclosed by the cycle in the T-s diagram is equal to
the net specific heat input as well as the net specific work output of the cycle.
The most common working fluid for Rankine cycle-based power genera-
tion systems is purified (demineralized) water due to its abundance, low cost,
and desirable thermodynamic characteristics of water. Note that the working
fluid of steam cycles sometimes is referred to as feedwater, especially water
leaving the pump after the condenser. The latent heat of water (change in
the specific enthalpy during the phase change from liquid to vapor) is high,
which results in smaller components for the same power output. Similarly,
the change in the specific volume of water at the typical operating pressure
of steam power plants is high (Example 2.1), which is manifested in the much
smaller power consumption in the pump compared to the power produc-
tion in the turbine. Also, physical and chemical characteristics of water,
including its chemical stability as well as its nontoxic and noncorrosive
nature, are favorable. However, not all water properties are favorable for this
application. The critical pressure of water is very high, which makes achiev-
ing supercritical steam power plants (will be discussed in Section 2.3.2.3)
a challenge. Furthermore, the relatively high boiling temperature of water
makes it unsuitable for power generation from low-temperature thermal
energy resources, including geothermal energy, solar thermal energy, and
waste thermal energy resources. To address the latter problem, alternative
organic working fluids, including ammonia (and other substances that are
ordinarily used as refrigerants), hydrocarbon mixtures, pentane, and silicon
oil, all with low boiling temperatures have been used as the working fluid in
some Rankine cycles. These cycles are referred to as Organic Rankine Cycles
(ORC) and will be discussed in Chapter 15.
Introduction to Steam Power Plants 127

FYI BOX 2.5

WILLIAM JOHN MACQUORN RANKINE
William John Macquorn Rankine was a professor of civil engineer-
ing and mechanics at the University of Glasgow. He is known for his
work in mechanical engineering, civil engineering, physics, mathemat-
ics, and engineering education. Along with Rudolf Clausius and Lord
Kelvin (William Thomson), he is considered as one of the founding
fathers of thermodynamics, which he called “the science of energetics”.
He conducted his theoretical studies with the objective of addressing
practical applications. As a teacher, he promoted the same approach
by integrating theories into applications. He actively and aggressively
promoted the idea of engineering discipline independent from science.
He believed that engineering subjects (defined as the utilization of sci-
ence in practical applications) should be taught as an independent field
in universities. He published hundreds of books, articles, and notes.
Many of his textbooks were instantaneous classics and were taught
for decades to come. He set the cornerstone for engineering education
methods in Britain. He was also the first president of the Institution
of Engineers in Scotland as well as the fellow of the Royal Society of
Edinburgh, the Royal Society of London, the American Academy of
Arts and Sciences, and the Royal Swedish Academy of Sciences.
As a child, he was interested in music and mathematics. He started
to study natural philosophy (the term used for science at the time) and
natural history at the University of Edinburgh. Although he was a very
good student, he never finished his studies and left the university after
2 years. His first encounter with thermodynamics was when he tried
to mathematically explain the heat phenomenon (which he rightfully
believed was a branch of mechanics), which remained his fascination
for the rest of his life. He developed a molecular theory to describe ther-
modynamic phenomena. He also developed the relationship between
the saturation temperature and pressure of vapors; the relationship
between temperature, pressure, and density of gases; the expressions
for the latent heat of evaporation for liquids; the properties of steam and
other gases; and the theory of shock waves. He also proposed an abso-
lute temperature scale corresponding to the Fahrenheit scale, which is
now known as the Rankine scale.
His work on thermal engines started with an attempt to determine
their efficiency. He and a couple of other scientists showed that the effi-
ciency of the Carnot cycle is a function of the temperature of the heat
reservoirs that the cycle exchanges heat with. He introduced and devel-
oped the theory of the ideal cycle for a heat engine that used a condens-
able vapor as the working fluid. He determined the steam properties
128 Power Plant Engineering

and used them to calculate the efficiency of the cycle numerically. The
cycle now bears his name.
Some of his interests and achievements were related to railways,
probably because his father was a superintendent for a railway com-
pany, including a method for laying out circular curves (known as the
Rankine’s method) and studies of metal fatigue. He also studied naval
architecture and ship design, soil mechanics, hydrodynamics, the sta-
bility of walls, and the force distribution in frame structures, among
others. He was an accomplished musician, singer, composer, and
poet. He never married and remained a bachelor for his entire life. He
opposed the metric system and wrote the following humorous poem
called “The Three-Foot Rule” to express his opposition:

“When I was bound apprentice, and learned to use my

hands,
Folk never talked of measures that came from foreign
lands:
Now I’m a British Workman, too old to go to school;
So whether the chisel or file I hold, I’ll stick to my
three-foot rule.
Some talk of millimetres, and some of kilogrammes,
And some of decilitres, to measure beer and drams;
But I’m a British Workman, too old to go to school,
So by pounds I’ll eat, and by quarts I’ll drink, and I’ll
work by my three-foot rule.
A party of astronomers went measuring the earth,
And forty million metres they took to be its girth;
Five hundred million inches, though, go through from
pole to pole;
So let’s stick to inches, feet and yards, and the good old
three-foot rule.”

His other similarly humorous poem was called “The Mathematician

in Love” (available at http://www.poemhunter.com/poem/the-
mathematician-in-love/).

Example 2.4
In a steam power plant that operates based on a Rankine cycle, the oper-
ating pressures of the steam generator and the condenser are 10,000
and 10 kPa, respectively. If the turbine inlet stream is saturated vapor
and the condenser outlet flow is saturated liquid, determine the specific
heat transfers in the steam generator and the condenser, the specific
work involved in the turbine and the pump, and the thermal efficiency
and the BWR of the cycle. Also, if the power plant produces 250 MW
power, determine the mass flow rate of the cycle’s working fluid.
Introduction to Steam Power Plants 129

Solution
Given: An ideal Rankine cycle with the working fluid of water/steam
operates at the given operating pressures of the steam generator and the
condenser. The turbine inlet stream is saturated steam and the condenser
outlet flow is saturated water. The power output is also given.
Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and the pump, the ther-
mal efficiency and the BWR of the cycle, and the mass flow rate of the
cycle’s working fluid.
Schematic diagrams: Figure 2.12.
Assumptions:

1. The cycle is an ideal Rankine cycle; therefore, all processes are

reversible. The heat-transfer processes are at constant pres-
sures. The expansion and compression processes are adiabatic
and thus isentropic. The working fluid is water/steam.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems.

Analysis:
First, the state and properties of the working fluid (water/steam) at
the four main states in the cycle (states 1–4 in Figure 2.12) should be
identified.

State 1:
At this state the working fluid is saturated liquid at the pressure of
10 kPa, from Table A.2 (SI)

h1 = hsat liq @ 10 kPa = h f @ 10 kPa = 191.83 kJ/kg

v1 = v f @ 10 kPa = 0.001010 m 3 /kg

s1 = s f @ 10 kPa = 0.6493 kJ/kg K

Note that the pressure in the condenser is well below the atmospheric
pressure (partial vacuum).
State 2:
At this state, the water is at the compressed or subcooled liquid state at
the pressure of 10,000 kPa. There are two ways to find the properties of
the working fluid at this state.
Method 1: Using the compressed liquid water table (Table A.4 (SI))
Since the process 1-2 is isentropic,

s1 = s2 = 0.6493 kJ/kg K
130 Power Plant Engineering

For the given pressure of 10,000 kPa and entropy of 0.6493 kJ/kg K, the
enthalpy and temperature of the working fluid can be found by interpo-
lation in Table A.4 (SI).

T2 = 46.3°C

h2 = 202.46 kJ/kg

The problem with this method is that the range of the values given
in the subcooled/compressed tables is limited and may not cover the
required data. Note that the temperature increase of the working fluid
during the pressurization process is very small, from 45.81°C in the
pump inlet (the saturation temperature of water at 10 kPa) to 46.5°C in
the pump outlet.
Method 2: Using the work required in the pump
The work input in the reversible compression (as indicated by the sub-
script “Rev”) can be found by Equation 2-14.
2

(w Pump ) Rev ∫
= vdP (2.14)
1

Since the working fluid in the pump is in the liquid phase, and the spe-
cific volume of the liquid can be assumed constant ( v2 = v1 ) , the specific
work in the pump can be estimated as follows:

w Pump = v1 ( P2 − P1 ) = 0.001010 m 3 /kg × ( 10, 000 − 10 ) kPa

 1000 N/m 2   1 kJ 
   = 10.09 kJ/kg
 1 kPa   1000 Nm 

w Pump = h2 − h1 → h2 = w Pump + h1 = 10.09 + 191.83 = 201.92 kJ/kg

Comparing the results of the two methods shows <0.3% error which is
acceptable for most engineering applications.
State 3:
At state 3, since the working fluid is at the saturated steam state at the
pressure of 10,000 kPa,

h3 = hsat vap@10,000 kPa = hg @ 10, 000 kPa = 2724.7 kJ/kg

s3 = s g @ 10, 000 kPa = 5.6141kJ/kg K

State 4:
At this state, the working fluid is the mixture of saturated water
and steam at the pressure of 10 kPa and another independent prop-
erty is needed to determine the state of the stream. Since process 3-4 is
isentropic,
Introduction to Steam Power Plants 131

s3 = s4 = s f @ 10 kPa + x4 s fg @ 10 kPa → 5.6141 = 0.6493 + x4 ( 7.5009 )

x4 = 0.6619or 66.19%

h4 = h f @ 10 kPa + x4 hfg@10 kPa = 191.83 + 0.6619 × 2392.8 = 1775.6 kJ/kg

Now, the specific heat transfers in the steam generator and the condenser,
the specific work involved in the turbine and the pump, and the thermal
efficiency and the BWR of the cycle can be calculated as follows (note that
for h2 the value from the second method is used):

wPump = h2 − h1 = 201.92 −191.83 = 10.09 kJ/kg

qSG = h3 − h2 = 2724.7 −201.92 = 2522.8 kJ/kg

wTurb = h3 − h4 = 2724.7 −1775.6 = 949.1 kJ/kg

qCond = h4 − h1 = 1775.6 − 191.83 = 1583.8 kJ/kg

wNet = wTurb − wPump = 949.1 − 10.09 = 939.0 kJ/kg

wNet 939.0
ηTh = = = 0.3722 or 37.22%
qSG 2522.8

wPump 10.09
BWR = = = 0.0106 or 1.06%
wTurb 949.1

The correctness of the solution can be checked by applying the energy

balance for the cycle as follows:

wNet = wTurb − wPump = qSG − qCond

(949.1 − 10.09) = ( 2522.8 − 1583.8 ) → 939.0 kJ/kg = 939.0 kJ/kg

Note that the BWR is very small compared to the Carnot cycle in
Example 2-3, which means a very small percentage of the work pro-
duced in the turbine is consumed in the pump. This is expected because
while in the pump, liquid with a very low specific volume is compressed
(v1 = 0.001 m 3 / kg), in the turbine steam with a high specific volume is
expanded (v3 = 0.018 m 3 / kg in the turbine inlet and v4 = 9.711 m 3 /kg in
the turbine outlet).
The mass flow rate of the cycle’s working fluid is

 Net = mw
W  Net

 Net 250, 000 kJ/s

W
=
m = = 2662 kg/s = 9.58 × 105 kg/h
wNet 939 kJ/kg
132 Power Plant Engineering

TABLE 2.1
Summary of the Results for Examples 2.3 and 2.4
P 2 = P 3 P 1 = P4 q SG q Cond w Pump w Turb w Net η Th
Type of Cycle (kPa) (kPa) x4 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Carnot cycle 10,000 10 0.662 1317.1 720.0 352.0 949.1 597.1 45.33
Simple Rankine –Turbine 10,000 10 0.662 2522.8 1583.8 10.1 949.1 939.0 37.22
inlet: saturate steam

Question: What would be the efficiency of the cycle if the mass flow rate
of the working fluid was 5 × 10 kg/h ?
5

Answer: The efficiency of the cycle is independent of the mass flow

rate of the working fluid, so the efficiency remains 37.22%.
The summary of the results for the Rankine cycle in this example and
those of the Carnot cycle in Example 2.3 is compared in Table 2.1:
Note that while the pump energy consumption is much higher in the
Carnot cycle (352.0 kJ/kg versus 10.1 kJ/kg), the efficiency of the Carnot
cycle is still higher.
Question: Determine the rate of heat addition in the steam generator
and the rate of heat rejection to the environment in the condenser.
Answer: By multiplying the mass flow rate of the working fluid to the
specific heat transfers and specific works of various components, the
total heat transfer and work of each component can be determined.

Q SG = mq
 SG = 266.2 [kg/s] × 2522.8 [kJ/kg] = 671, 569 kW

Q Cond = mq
 Cond = 266.2 [kg/s] × 1583.8 [kJ/kg] = 421, 608 kW

For practice, determine the heat rate of the cycle in this example.

Example 2.5
In Example 2.4, if the cooling water enters the condenser at 40°C and
leaves at 15°C, determine the cooling water mass flow rate through the
condenser to provide sufficient cooling for 1 kg of the working fluid.
Solution
Given: In the ideal Rankine cycle with the given operating conditions in
Example 2.4, the inlet and outlet temperatures of the cooling water in the
condenser are specified.
Find: The cooling water mass flow rate through the condenser for 1 kg
of the working fluid.
Schematic diagrams: Figure 2.12.
Assumptions: Similar to Example 2.4.
Analysis:
From Example 2.4,

qCond = 1583.8 kJ/kg

Introduction to Steam Power Plants 133

qCond is the amount of heat that the cooling water should remove from
1 kg of the working fluid. If the energy balance equation is written for the
control volume around the cooling water side of the condenser,

(
qCond = mCW hCW, out − hCW, in )
mCW is the mass flow of the cooling water for 1 kg of the working fluid
(kg) and hCW is the enthalpy of the cooling water (kJ/kg). Since the
property of compressed liquid at the atmospheric pressure is not cov-
ered in the compressed water table, the enthalpy of the cooling water
can be approximated by the enthalpy of the saturated water at the same
temperature.

hCW,out = h f @ 40° C = 167.57 kJ/kg

hCW, in = h f @ 15° C = 62.99 kJ/kg

qCond 1583.8 kg Cooling water

mCW = = = 15.14
( hCW,out − hCW,in ) (167.57 − 62.99) kg Working fluid
This means for every 1 kg of the working fluid circulated in the cycle,
15.14 kg of the cooling water through the condenser is required to reject
the low-temperature heat to the surrounding. The total cooling water
mass flow rate is

 kg   kg 
 × mCW = 266.2  Working fluid  × 15.14  Cooling water 
 CW = m
m
 s   kg Working fluid 

kg Cooling water
= 4030.3
s

2.3.2 E ffects of Various Operating Parameters on Rankine Cycles

2.3.2.1 Effects of Superheating Steam in Steam Generator
The efficiency of the Rankine cycle will increase if the steam produced in
the steam generator is superheated because of the increase in the average
temperature of the heat addition to the cycle (Figure 2.13). Note that the tem-
perature of process 3-3′ is higher than that of the other parts of the process 2-3′.
This also reduces the moisture content of the turbine outlet flow from state
4 to 4′. So both the efficiency and the turbine performance improve (a win-
win situation). This can be achieved by adding a superheater (a separate heat
exchanger) to the steam generator.

Example 2.6
In Example 2.4, the outlet steam from the steam generator is superheated
to the pressure and temperature of 10,000 kPa and 600°C, respectively.
The condenser outlet flow is saturated liquid at the pressure of 10 kPa.
134 Power Plant Engineering

T
3´

2
1
4 4´

FIGURE 2.13
Effect of superheating steam in the steam generator on a Rankine cycle performance.

Determine the specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and the pump, and the
thermal efficiency of the cycle. Also, if the power plant produces 250 MW
(net power output), determine the mass flow rate of the cycle’s working fluid.
Note: This steam power plant is expressed as 100/600 (100 bar/600°C,
steam generator pressure/turbine inlet temperature).
Given: An ideal Rankine cycle with the working fluid of water/steam
operates at the given operating pressures of the steam generator and the
condenser. The turbine inlet stream is superheated steam and the con-
denser outlet flow is saturated liquid water.
Find: The specific heat transfers in the steam generator and the condenser,
the specific work involved in the turbine and the pump, the thermal effi-
ciency of the cycle, and the mass flow rate of the cycle’s working fluid.
Schematic diagrams: Figure 2.13
Assumptions:

1. The cycle is an ideal Rankine cycle; therefore, all processes are

Analysis:
First, the state and properties of the working fluid at the four main
states in the cycle (states 1, 2, 3′, and 4′ in Figure 2.13) should be identified.
States 1 and 2:
The properties of these states are the same as Example 2.4.

h1 = 191.83 kJ/kg
h2 = 201.92 kJ/kg
Introduction to Steam Power Plants 135

State 3′:
Flow 3′ is superheated steam, so from Table A.3 (SI)
h3′ = 3625.3 kJ/kg
s3′ = 6.9029 kJ/kg K

State 4′:
Process 3′-4′ is isentropic; therefore,
s3′ = s4′ = s f @ 10 kPa + x4′ s fg @ 10 kPa → 6.9029

= 0.6493 + x4′ ( 7.5009 ) → x4′ = 0.8337 or 83.37%

As expected, the quality of the outlet flow of the turbine is considerably

higher when the turbine is fed by superheated steam rather than by satu-
rated steam (83.37% versus 66.19%, respectively).

h4′ = h f @ 10 kPa + x4′ h fg @ 10 kPa = 191.83 + 0.8337 × 2392.8 = 2186.7 kJ/kg

The energy transfers in different components are

w pump = h2 − h1 = 201.92 − 191.83 = 10.09 kJ/kg

qSG = h3′ − h2 = 3625.3 − 201.92 = 3423.4 kJ/kg

wTurb = h3′ − h4′ = 3625.3 − 2186.7 = 1438.6 kJ/kg

qCond = h4′ − h1 = 2186.7 − 191.83 = 1994.9 kJ/kg

wNet = wTurb − wPump = 1438.6 − 10.09 = 1428.5 kJ/kg

wNet 1428.5
ηTh = = = 0.4173 or 41.73%
qSG 3423.4

The result indicates that although both heat addition in the steam genera-
tor and net work production increase when the steam generator outlet is
superheated steam, the rate of increase in the net work is faster than the
increase in the rate of the heat addition, which results in the efficiency
improvement (41.73% versus 37.22%).
The mass flow rate of the cycle’s working fluid is

 Net 250, 000 kJ/s

W
=
m = = 175.0 kg/s = 6.30 × 105 kg/h
wNet 1428.5 kJ/kg

Comparing the mass flow rate of the working fluid in the cycle with super-
heated steam entering the turbine (175.0 kg/s) with that of Example 2.4
with saturated steam entering the turbine (266.2 kg/s) shows that for the
same power output, the mass flow rate of the working fluid is less in
the former because of the higher efficiency. This lower mass flow rate
of the working fluid means smaller and potentially less expensive com-
ponents are required.
136 Power Plant Engineering

Let us repeat Example 2.6 for the superheated steam temperature

between 400°C and 700°C with the increment of 100°C. Table 2.2 reflects
the performance of the cycle at various superheated steam tempera-
tures of the turbine inlet flow. Figure 2.14 illustrates the efficiency, spe-
cific net work, specific heat input, and quality of the flow at the outlet of
the turbine as a function of the temperature of the superheated steam
inlet to the turbine. The presented results indicate that the higher tem-
perature of the superheated steam inlet to the turbine improves both
the efficiency of the cycle and the quality of the outlet flow from the
turbine as well as the specific net work. However, due to the material

TABLE 2.2
Effects of the Superheated Steam Temperature of the Turbine Inlet Flow on
the Performance of the Cycle in Example 2.6
P 2 = P 3 P 1 = P4 q SG q Cond w Pump w Turb w Net η Th
Type of Cycle (kPa) (kPa) x4 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Simple Rankine – 10,000 10 0.662 2522.8 1583.8 10.1 949.1 939.0 37.22
Turbine inlet:
saturate steam
(Example 2.4)
Superheated 10,000 10 0.742 2894.6 1774.5 10.1 1130.2 1120.1 38.70
at 400°C
Superheated 10,000 10 0.793 3171.3 1896.8 10.1 1284.7 1274.6 40.19
at 500°C
Superheated 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
at 600°C
(Example 2.6)
Superheated 10,000 10 0.869 3668.6 2079.7 10.1 1599.0 1588.9 43.31
at 700°C

100 4000
90 3500
80
3000
70
60 2500

50 2000
kJ/kg
%

40 1500
30
Steam quality at turbine outlet (%) 1000
20 Efficiency (%)
10 Specific heat input (kJ/kg) 500
Net specific work output (kJ/kg)
0 0
350 400 450 500 550 600 650 700 750
Superheat temperature (°C)

FIGURE 2.14
Efficiency, specific net work output, specific heat input, and quality of the flow at
the outlet of the turbine as a function of the temperature of the superheated steam
inlet to the turbine in Example 2.6.
Introduction to Steam Power Plants 137

limitations of the steam generator and the turbine, the temperature of

the inlet stream to the turbine is limited. Note that your calculations
results may slightly differ from values reported in this table or other
tables in this chapter depending on the source of thermodynamic prop-
erties that you use.

2.3.2.2 Effects of Steam Generator Pressure

As Figure 2.15 indicates, increasing the pressure of the outlet flow from the
pump (from state 2 to 2′), which means the higher operating pressure of the
steam generator, increases the average temperature at which heat is supplied
to the cycle. This increases the thermal efficiency of the cycle. However, the
maximum temperature of the steam inlet to the steam turbine (and indeed
the maximum temperature in the entire cycle) is limited by the material and
design of both the steam generator and the early stages of the turbine blades.
Therefore, to realistically study the effects of the operating pressure of the
steam generation on the performance of the cycle, the maximum tempera-
ture of the inlet flow to the turbine should be kept constant. From Figure 2.15,
it is evident that in this case (the limited inlet temperature to the turbine) also
the efficiency of the cycle improves with an increase in the operating pres-
sure of the steam generator while the moisture content of the turbine outlet
flow increases.

Example 2.7
In a Rankine cycle, similar to the one in Examples 2.4 and 2.6, the inlet
steam to the turbine is superheated steam at the temperature of 600°C
and the pressure of 20,000 kPa. If the outlet stream of the condenser is
saturated water at the pressure of 10 kPa, determine the specific heat
transfers in the steam generator and the condenser, the specific work
involved in the turbine and the pump, and the thermal efficiency of the
cycle.

3´ 3

2´
2
1 4´ 4

s
FIGURE 2.15 Effect of the steam generator operating pressure at the constant temperature of
the steam turbine inlet flow.
138 Power Plant Engineering

Solution
Given: Similar to Example 2.6.
Find: Similar to Example 2.6.
Schematic diagrams: Figure 2.15
Assumptions: Similar to Example 2.6.
Analysis:
The working fluid (water) properties at the four main states in the cycle
(states 1, 2′, 3′, and 4′ in Figure 2.15) are as follows:
State 1:
Similar to Example 2.4,

h1 = h f @ 10 kPa = 191.83 kJ/kg

v1 = v f @ 10 kPa = 0.0010102 m 3 /kg

State 2′:
2′

∫
w Pump = vdP = v1 ( P2′ − P1 )
1
 N 
 1000 m 2   1 kJ 
= 0.001010 m /kg × ( 20, 000 − 10 ) kPa 
3
 
 1 kPa   1000 Nm 
 
= 20.19 kJ/kg
w Pump = h2′ − h1 → h2′ = w Pump + h1 = 20.19 + 191.83 = 212.02 kJ/kg

State 3′:

h3′ = hsuper heat@20,000 kPa and 600°C = 3537.6 kJ/kg

s3′ = ssuperhea @20,000 kPa and 600°C = 6.5048 kJ/kg K

State 4′:
Since process 3′-4′ is isentropic,

s3′ = s4′ = s f @ 10 kPa + x4′ s fg @ 10 kPa → 6.5048 = 0.6493 + x4′ ( 7.5009 )

x4′ = 0.7806 or 78.06%

As expected, the quality of the flow at the outlet of the turbine in this
case is lower than that in the case of Example 2.6 with the steam genera-
tor pressure of 10,000 kPa (78.1% versus 83.4%, respectively)

h4′ = h f @ 10 kPa + x4′ h fg @ 10 kPa = 191.83 + 0.7806 × 2392.8 = 2059.7 kJ/kg

The specific heat transfers in the steam generator and the condenser, the
specific work involved in the turbine and the pump, and the thermal
efficiency of the cycle can be calculated as follows:

wPump = h2′ − h1 = 212.02 − 191.83 = 20.19 kJ/kg

Introduction to Steam Power Plants 139

TABLE 2.3
Effects of the Steam Generator Operating Pressure at the Constant Turbine
Inlet Temperature on the Performance of the Cycle in Example 2.7
Type of Cycle:
Simple Rankine – P 2′ = P 3′ P 1 = P4′ q SG q Cond w Pump w Turb w Net η Th
Turbine Inlet: (kPa) (kPa) x 4′ (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Superheated at 4000 10 0.896 3478.5 2143.5 4.0 1339.0 1335.0 38.38
4000 kPa
Superheated at 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
10,000 kPa
(Example 2.6)
Superheated at 12,000 10 0.820 3404.4 1963.3 12.1 1453.2 1441.1 42.33
12,000 kPa
Superheated at 16,000 10 0.799 3365.5 1911.0 16.2 1470.7 1454.5 43.22
16,000 kPa
Superheated at 20,000 10 0.781 3325.6 1867.9 20.2 1477.9 1457.7 43.83
20,000 kPa
(Example 2.7)
Superheated at 24,000 10 0.765 3284.6 1830.5 24.2 1478.4 1454.1 44.27
24,000 kPa

qSG = h3′ − h2′ = 3537.6 − 212.02 = 3325.6 kJ/kg

wTurb = h3′ − h4′ = 3537.6 − 2059.7 = 1477.9 kJ/kg
qCond = h4′ − h1 = 2059.7 − 191.83 = 1867.9 kJ/kg
wNet = wTurb − wPump = 1477.9 − 20.19 = 1457.7 kJ/kg

w net 1457.7
ηTh = = = 0.4383 or 43.83%
qSG 3325.6
The efficiency of the cycle in this case is higher than that in the case
of Example 2.6 with the steam generator pressure of 10,000 kPa (43.83%
versus 41.73%, respectively). Table 2.3 shows the performance of the cycle
at various steam generator pressures. The presented results indicate that
the higher steam generator pressure improves the cycle efficiency but
reduces the quality of the outlet flow from the turbine.

2.3.2.3 Supercritical Steam Power Plants

With improved materials used in the manufacturing of steam turbine blades
and steam generators, the operating pressure of steam generators can exceed
the critical pressure of water (221 bar or 3203.6 psia). Based on the operating
pressure of the steam generator, steam power plants can be categorized into
two groups: subcritical (with the steam generator operating pressure below
221 bar) and supercritical (with the steam generator operating pressure
above 221 bar). The efficiency of the former is typically <40% while the lat-
ter can achieve the efficiency of as high as about 47%. In supercritical steam
140 Power Plant Engineering

T 3

1 4
s

FIGURE 2.16
T-s diagram of a supercritical Rankine cycle.

generators, there is no boiling process, i.e., no two-phase mixture of liquid

water and steam. Instead, liquid water is gradually converted to super-
heated steam (Figure 2.16). Modern supercritical steam power plants can
operate at the turbine inlet pressure and temperature of as high as 300 bar
(4350 psia) and 600°C (1110°F), respectively or higher. Note that in supercriti-
cal steam cycles, the moisture content of the turbine outlet flow is unaccept-
ably high. This problem is addressed by adding reheaters (discussed later in
this chapter).
Recently, with the advancement of materials used in plant components, a
new category of steam power plants is introduced, ultra-supercritical steam
power plants with the turbine inlet steam pressure and temperature of about
350 bar (5075 psia) and 700°C (1290°F), respectively. The efficiency of these
power plants can exceed 50%.

2.3.2.4 Effects of Pressure and Temperature of Turbine Exhaust

If the pressure of the turbine exhaust, which is equal to the operating pres-
sure and temperature of the condenser, is reduced from P4 to P4′ (Figure 2.17),
the efficiency of the cycle increases since the average temperature of the heat
transfer from the cycle to the environment decreases. But the moisture con-
tent of the stream leaving the turbine increases, which can potentially limit
the extent to which this approach can be used to improve the efficiency of the
cycle. This problem can be addressed by adding a reheater (discussed later).

Example 2.8
Similar to Example 2.6, in a Rankine cycle, the inlet flow to the turbine is
superheated steam at the pressure of 10,000 kPa and the temperature of 600°C.
If the outlet stream of the condenser is saturated water and the operating
Introduction to Steam Power Plants 141

T
P4
3 P 4´
2
1 4
2´ 4´
1´

FIGURE 2.17
Effects of the operating temperature and pressure of the condenser on the performance of the
cycle.

pressure of the condenser is 40 kPa, determine the specific heat transfers

in the steam generator and the condenser, the specific work involved in the
turbine and the pump, and the thermal efficiency of the cycle.
Solution
Given: Similar to Example 2.6.
Find: Similar to Example 2.6.
Schematic diagrams: Figure 2.17
Assumptions: Similar to Example 2.6.
Analysis:
State 1′:
At this state, the working fluid is saturated liquid water at the pressure
of 40 kPa, from Table A.2 (SI):

h1′ = hsat liq@ 40 kPa = h f @ 40 kPa = 317.58 kJ/kg

v1′ = v f @ 40 kPa = 0.001027 m 3 /kg

State 2′:

2′

∫
w Pump = vdP = v1′ ( P2′ − P1′ )
1′
 1000 N/m 2   1 kJ 
= 0.001027 m 3 /kg × ( 10, 000 − 40 ) kPa   
 1 kPa   1000 Nm 
= 10.23 kJ/kg
w Pump = h2′ − h1′ → h2′ = w Pump + h1′ = 10.23 + 317.58 = 327.81 kJ/kg

State 3:

h3 = hsuperheat@10,000 kPa and 600°C = 3625.3 kJ/kg

s3 = ssuperheat@10,000 kPa and 600°C = 6.9029 kJ/kg K
142 Power Plant Engineering

State 4′:
Since process 3-4′ is isentropic,

s3 = s4′ = s f @ 40 kPa + x4′ s fg @ 40 kPa → 6.9029 = 1.0259 + x4′ ( 6.6441)

x4′ = 0.8845 or 88.45%

This indicates that increasing the operating pressure of the condenser

from 10 to 40 kPa improves the quality of the flow at the turbine outlet
from 83.4% to 88.5%.

h4′ = h f @ 40 kPa + x4′ h fg @ 40 kPa = 317.58 + 0.8845 × 2319.2 = 2368.9 kJ/kg

The specific heat transfers in the steam generator and the condenser, the
specific work involved in the turbine and the pump, and the thermal
efficiency of the cycle can be calculated as follows:

wPump = h2′ − h1′ = 327.81 − 317.58 = 10.23 kJ/kg

qSG = h3 − h2′ = 3625.3 −327.81 = 3297.5 kJ/kg
wTurb = h3 − h4′ = 3625.3 − 2368.9 = 1256.4 kJ/kg
qCond = h4′ − h1′ = 2368.9 − 317.58 = 2051.3 kJ/kg
wNet = wTurb − wPump = 1256.4 − 10.23 = 1246.2 kJ/kg
wNet 1246.2
ηTh = = = 0.3779 or 37.79%
qSG 3297.5

This indicates that increasing the operating pressure of the condenser

from 10 to 40 kPa reduces the efficiency of the cycle from 41.73% to
37.79%. Also, note that the net specific work of the cycle reduced from
1428.5 to 1246.2 kJ/kg.
Table 2.4 compares the performance of the cycle with different operat-
ing pressures of the condenser. The presented results indicate that the

TABLE 2.4
Effects of the Operating Pressure of the Condenser on the Performance of the
Cycle in Example 2.8
Type of Cycle:
Simple Rankine –
Condenser P 2′ = P 3 P 1′ = P4′ q SG q Cond w Pump w Turb w Net η Th
Pressure: (kPa) (kPa) x 4′ (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
5 kpa 10,000 5 0.811 3478.8 1966.0 10.05 1522.8 1512.8 43.49
10 kPa 10,000 10 0.834 3423.4 1994.9 10.09 1438.6 1428.5 41.73
(Example 2.6)
20 kPa 10,000 20 0.858 3363.7 2023.2 10.15 1350.7 1340.6 39.85
40 kPa 10,000 40 0.885 3297.5 2051.3 10.23 1256.4 1246.2 37.79
(Example 2.8)
80 kPa 10,000 80 0.914 3223.3 2079.1 10.30 1154.5 1144.2 35.50
100 kPa 10,000 100 0.925 3197.5 2087.8 10.33 1120.0 1109.7 34.71
Introduction to Steam Power Plants 143

lower operating pressure of the condenser improves the efficiency of the

cycle but adversely affects the quality of the outlet flow from the turbine.
The lower operating pressure of the condenser also increases the net spe-
cific work of the cycle, which means for the same power output, smaller
and less expensive components are required.
Comparing the results presented in Tables 2.3 and 2.4 can lead us to a
very interesting observation. Table 2.3 shows that increasing the operat-
ing pressure of the steam generator from 4000 to 24,000 kPa (20,000 kPa
increase) can increase the efficiency of the cycle from 38.38% to 44.27%
(5.89 point increase). Similar observation from Table 2.4 indicates that
reducing the operating pressure of the condenser from 100 to 5 kPa (only
95 kPa reduction) can increase the efficiency of the cycle from 34.71%
to 43.49% (8.78 point increase). This reemphasizes the importance of the
condenser and its operating pressure. The effect of severaltens of kilo
Pascal reductions in the operating pressure of the condenser can be
greater than the effect of a few thousand kilo Pascal increase in the oper-
ating pressure of the steam generator. The typical condenser absolute
pressure is about 7 kPa (1 psi).
To summarize this section, we can say that the improvement of the
net specific output power and efficiency of the cycle can be achieved by:

• Superheating steam in the steam generator

• Increasing the operating pressure of the steam generator
• Lowering the operating pressure of the condenser

Increasing the quality of the flow leaving the turbine can be achieved by

• Superheating steam in the steam generator

• Decreasing the operating pressure of the steam generator
• Increasing the operating pressure of the condenser

Up to this point, the operating conditions of the simple Rankine cycle

were optimized. In the following few sections, the additional compo-
nents to the cycle will be explored to improve the system performance.

2.3.3
Reheat Rankine Cycles
It was noted (Section 2.3.2.2) that increasing the steam generator operating
pressure is beneficial for the efficiency of the cycle but adversely affects the
quality of steam in the turbine outlet flow. To take advantage of increasing the
operating pressure of the steam generator at the fixed turbine inlet tempera-
ture without suffering from increasing the moisture content of the turbine
outlet, the reheat Rankine cycle can be used. In this cycle, the steam from the
steam generator is expanded in the turbine to an intermediate pressure (state
4 in Figure 2.18) and then is returned to the steam generator to be reheated.
The reheated steam at state 5 is then further expanded in a lower pressure
turbine to state 6. By this process, not only the efficiency of the cycle increases
but the quality of the steam at the turbine outlet flow also improves. Note
that if the material for turbine blades could stand the temperature of state 3′,
144 Power Plant Engineering

Steam Turbine
generator
3

5
2

Pump
Condenser

3´
T

3 5

1 6´ 6

FIGURE 2.18
A reheat Rankine cycle.

the efficiency of the simple Rankine cycle would be higher. Modern large
fossil fuel steam power plants typically employ at least one and sometimes
two reheaters.

Example 2.9
Reconsider the Rankine cycle in Example 2.6, where the operating pres-
sure of the steam generator and the condenser are 10,000 and 10 kPa,
respectively, and the turbine inlet steam is superheated at the temper-
ature of 600°C. If the expansion process occurs in two stages with a
reheater with the pressure of 1000 kPa in between, determine the spe-
cific heat transfers in the steam generator and the condenser, the specific
work involved in the turbine and the pump, and the thermal efficiency
of the cycle. The outlet flows of the steam generator and the reheater are
at the same temperature.
Note: This steam power plant is sometimes expressed as 100/600/600
(100 bar/600°C/600°C, steam generator pressure/high-pressure turbine
inlet temperature/low-pressure turbine inlet temperature).
Introduction to Steam Power Plants 145

Given: An ideal reheat Rankine cycle with the working fluid of water
operates at the given operating pressure of the steam generator and the con-
denser. The turbine inlet flows aresuperheated steam and the condenser
outlet flow is saturated liquid. The processes in the turbine and pump are
isentropic. The turbine has two stages with a reheater between two stages.
Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and the pump, and the
thermal efficiency of the cycle.
Schematic diagrams: Figure 2.18
Assumptions:

1. The cycle is an ideal reheat Rankine cycle. The working fluid is

water.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. The outlet flows of the steam generator (state 3) and the reheater
(state 5) are at the same temperature.
4. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems, including
in the reheater.

Analysis:
States 1, 2, and 3:
The properties of these states are same as that in Example 2.6.

h1 = 191.83 kJ/kg
h2 = 201.92 kJ/kg
h3 = 3625.3 kJ/kg
s3 = 6.9029 kJ/kg K

State 4:
s3 = s4 = 6.9029 kJ/kg K

At state 4, the flow is still superheated steam, so from Table A.3 (SI) at the
pressure of 1000 kPa (by interpolation)

h4 = 2931.8 kJ/kg
T4 = 245.3°C

State 5:
At state 5, the working fluid is superheated steam at the pressure of
1000 kPa and the temperature of 600°C, from Table A.3 (SI),

h5 = 3697.9 kJ/kg
s5 = 8.0290 kJ/kg K
146 Power Plant Engineering

State 6:

s6 = s5 = s f @ 10 kPa + x6 s fg @ 10 kPa → 8.0290

= 0.6493 + x6 ( 7.5009 ) → x6 = 0.9838 or 98.38%

h6 = h f @ 10 kPa + x6 h fg @ 10 kPa = 191.83 + 0.9838 × 2392.8 = 2545.9 kJ/kg

Since there are two stages of expansion and heat addition,

wTurb = ( h3 − h4 ) + ( h5 − h6 ) = ( 3625.3 − 2931.8 ) + ( 3697.9 − 2545.9 ) = 1845.5 kJ/kg
qSG = ( h3 − h2 ) + ( h5 − h4 ) = ( 3625.3 − 201.92 ) + ( 3697.9 − 2931.8 ) = 4189.5 kJ/kg

wPump = h2 − h1 = 201.92 −191.83 = 10.09 kJ/kg

qCond = h6 − h1 = 2545.9 − 191.83 = 2354.1 kJ/kg

w Net = wTurb − wPump = 1845.5 − 10.09 = 1835.4 kJ/kg

w net 1835.4
ηTh = = = 0.4381 or 43.81%
qSG 4189.6

Table 2.5 compares Examples 2.6 and 2.9 for the similar cycles with and
without a reheater.
Let us repeat Example 2.9 for when the steam leaves the high-pressure
turbine at the pressure of 1500, 2000, 4000, and 8000 kPa and then is sent
to the reheater. Table 2.6 shows the results.
The results in Table 2.6 indicate that lowering the reheat pressure from
8000 to 1500 kPa improves the overall cycle efficiency because more heat
is added in the reheater, which increases the average temperature of the
heat addition to the cycle. However, further reduction of the reheat pres-
sure will result in the slight reduction in the efficiency. So there is an
optimum reheater pressure that maximizes the efficiency of the cycle.
Also, reducing the reheater pressure improves the quality of the turbine
outlet flow.

TABLE 2.5
Effects of the Reheater on the Performance of the Cycle in Examples 2.6 and 2.9
Type of Cycle: P 2 = P 3 P 1 = P6 x4 q SG q Cond w Pump w Turb w Net η Th
Rankine Cycle (kPa) (kPa) or x 6 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Without 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
reheater
(Example 2.6)
With reheater 10,000 10 0.984 4189.5 2354.1 10.1 1845.5 1835.4 43.81
(Example 2.9)
Note: A double-reheat steam power plant is expressed as: steam generator pressure/
high-pressure turbine inlet temperature/intermediate pressure turbine inlet
temperature/low-pressure turbine inlet temperature.
Introduction to Steam Power Plants 147

TABLE 2.6
Effects of the Reheater Pressure on the Performance of the Cycle
Reheater Pressure
at Rankine Cycle P 2 = P 3 P 1 = P6 q SG q Cond w Pump w Turb w Net η Th
(kPa) (kPa) (kPa) x6 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
1000 (Example 2.9) 10,000 10 0.984 4189.5 2354.1 10.1 1845.5 1835.4 43.81
1500 10,000 10 0.958 4087.6 2293.4 10.1 1804.3 1794.2 43.89
2000 10,000 10 0.940 4008.6 2250.0 10.1 1768.8 1758.7 43.87
4000 10,000 10 0.896 3791.5 2143.5 10.1 1658.1 1648.0 43.46
8000 10,000 10 0.849 3523.6 2032.5 10.1 1501.2 1491.1 42.32

Regenerative Rankine Cycles

2.3.4
In a steam generator, between states 2 and 2′ (Figure 2.19) the working fluid
at the liquid phase is heated. This process reduces the average temperature
at which heat is supplied to the cycle which, in turn, reduces the efficiency
of the cycle. That is why the efficiency of the Rankine cycle is lower than the
efficiency of the Carnot cycle operating between the same high- and low-
temperature thermal energy reservoirs (Figure 2.19).
The idea of a regenerative cycle is to increase the temperature of the steam
generator inlet flow from state 2 to as close to state 2′ as possible to increase
the average temperature at which heat is supplied to the cycle. This also
reduces external irreversibilities due to the temperature difference between
the working fluid and the flue gas.

2´ 3

1 1´ 4

s
FIGURE 2.19
Comparison of the Carnot cycle and the Rankine cycle operating between the same high- and
low-temperature thermal energy reservoirs.
148 Power Plant Engineering

4
Turbine

Condenser
Steam
generator
3
2

T Pump

3 4

1 1´ 5 5´

FIGURE 2.20
An ideal regenerative Rankine cycle.

For this purpose, some heat should be transferred from other parts of the
cycle to the compressed liquid leaving the pump. In the ideal regenerative
cycle (Figure 2.20), the liquid leaving the pump (state 2) circulates around the
turbine casing (at the opposite direction of the steam in the turbine), so the
subcooled water from the pump is heated, and its temperature increases. In
this ideal case, the heat-transfer surface area should be large enough so that
the inlet flow to the steam generator is at a saturated liquid phase (state 3).
As a result of this reversible heat transfer from the steam expanding in the
turbine, the outlet flow of the turbine would be at state 5 instead of state 5′.
In this ideal Rankine cycle (Figure 2.20), process 2-3 is an internal process
and heat transfer from the external thermal energy source to the subcooled
working fluid is eliminated. As a result, the average temperature at which
heat is added to the cycle increases, and irreversibilities reduce. In Figure
2.20, lines 1-3 and 5-4 are parallel, so the enclosed areas by two cycles 1-2-
3-4-5-1 and 1′-3-4-5′-1′ are exactly equal; therefore, the efficiency of the ideal
regenerative Rankine cycle and the Carnot cycle is equal. But the idealized
regenerative Rankine cycle is not practical because it is impossible to provide
such a huge heat-transfer surface area around the turbine at a reasonable cost.
Also, the quality of steam at the turbine outlet will drop to an unsafe zone.
Introduction to Steam Power Plants 149

In a real regenerative steam power generation cycle, some of the steam in

the turbine is extracted (or bled) after partial expansion and used to heat
the pump outlet stream (subcooled liquid) through a feedwater heater (or
a feed-liquid heater for working fluids other than water). In real regenera-
tion, since the continuous heating of the working fluid from state 2 to state 3
(Figure 2.20) is not possible, the heating takes place in several discrete steps.
This will not entirely eliminate the process of heat transfer from the external
heat source to subcooled feedwater but will significantly reduce its extent
and magnitude. In an actual regenerative process, the steam generator inlet
flow is not saturated water and is somewhere between states 2 and 3. Note
that the extraction or bleeding of the steam from the turbine will reduce the
power production in the turbine. However, the benefit gained in the steam
generator will overcome this loss. There are two types of feedwater heaters:
open or direct-contact and closed.

2.3.4.1 Open Feedwater Heaters

In this type of feedwater heaters, the extracted steam from the turbine (state
6 in Figure 2.21) is directly mixed with feedwater (high-pressure water after
the pump) at state 2 in a pressure vessel to form saturated water at state 3.
The amount of the extracted steam should be sufficient to produce saturated
water at state 3. Depending on the pressure of the extraction point, the steam
can be superheated steam or a two-phase mixture. The mass flow rate of
the extracted flow from the turbine should be carefully selected. Too much
extracted steam will produce two-phase mixture of saturated steam and
water at the outlet flow of the open feedwater heater, which is difficult to
pump. Too little extracted steam will reduce the effectiveness of the feed-
water heating process. In this regenerative cycle, the heat addition to the
working fluid in the steam generator takes place in process 4-5 (Figure 2.21)
instead of process 2-3 (Figure 2.18) for the non-regenerative cycle. The former
requires less thermal energy input in the steam generator.
It can be observed that the average temperature of heat addition in the
regenerative cycle is higher than that of the non-regenerative cycle, which
indicates a higher efficiency in the former. Also, it is evident that when
some steam is bled from the turbine at state 6, there is less mass flow rate
to expand from state 6 to state 7, which reduces the total work developed in
the turbine. However, considering the effects of both less fuel consumption
in the steam generator and less work production in the turbine, the overall
efficiency of the cycle increases. Since the pressures of the inlet streams
to the open feedwater heater (at states 2 and 6) should be equal (other-
wise the liquid working fluid may enter the turbine), feedwater cannot be
pressurized to the steam generator pressure in the first pump after the con-
denser, and a second pump after the open feedwater heater is required to
pump feedwater to the steam generator pressure. In the first pump (pro-
cess 1-2), commonly referred to as the condensate pump, saturated water
150 Power Plant Engineering

(condensate water) at the outlet of the condenser is pumped from the

c ondenser pressure (state 1) to the pressure that steam is extracted from the
turbine (state 6). Then, the second pump, the feedwater pump, pressurizes
saturated feedwater at the outlet of the open feedwater heater to the steam
generator pressure (process 3-4).
In the analysis of an open feedwater heater, both mass and energy bal-
ance equations should be considered. For the CV around the open feedwater
heater (Figure 2.21),

2 +m
Mass balance : m 6 = m
 3 (2.15)
 2 h2 + m
Energy balance : m  3 h3 (2.16)
 6 h6 = m

Turbine
5
Steam
generator

4 7
Open
feedwater
heater
Condenser
3
2
Pump

1
Pump

3 6
2
1 7

a b c s

FIGURE 2.21
A regenerative Rankine cycle with an open feedwater heater.
Introduction to Steam Power Plants 151

Dividing Equations 2.15 and 2.16 by the total mass flow rate of the working
 3 ).
fluid (which is equal to m

2 m
m 
+ 6 = 1 (2.17)
3 m
m 3

2
m m
h2 + 6 h6 = h3 (2.18)
3
m m3

There are two equations with two unknowns (m  2 and m

 6 ). Note that if there
are more feedwater heaters, for each heater one system of equations like
this one can be written. It is convenient to show the ratio of the mass flow
rate of the extracted steam to the total mass flow rate of the working fluid
by λ, so

6 m
m 
= ext = λ (2.19)
3
m mt

2
m
= 1 − λ (2.20)
3
m

Substituting into the energy balance equation (Equation 2.18),

(1 − λ ) h2 + λ h6 = h3 (2.21)
h3 − h2
λ= (2.22)
h6 − h2

Note that in Equation 2.22, λ is the ratio of the mass flow rate of the extracted
steam from the turbine to the total mass flow rate of the working fluid and
can be determined for the given states 2, 3, and 6. Since h6 − h2 is the enthalpy
change during the condensation of extracted steam, which is a very large
number compared to h3 − h2 which is the enthalpy change of liquid water, λ
is a relatively small number. This means a small fraction of the expanding
steam in the turbine is extracted, which will limit the negative impact of the
steam extraction on the output power of the turbine. Due to the two-step
expansion and compression processes, the power and work involved in the
turbine and pump can be estimated as follows:

 t ( h5 − h6 ) + ( m
 Turb = m
W  6 ) ( h6 − h7 ) or wTurb
t − m
 Turb
W
= = ( h5 − h6 ) + ( 1 − λ ) ( h6 − h7 ) (2.23)
mt
152 Power Plant Engineering

 Pump = ( m
W  6 ) ( h2 − h1 ) + m
t − m  t ( h4 − h3 ) or wPump
 Pump
W
= = ( 1 − λ ) ( h2 − h1 ) + ( h4 − h3 ) (2.24)
mt

For the heat transfers in the steam generator and the condenser,

Q
 t ( h5 − h4 ) or qSG = SG = h5 − h4 (2.25)
Q SG = m
mt

Q Cond = ( m  6 ) ( h7 − h1 ) or qCond = ( 1 − λ ) ( h7 − h1 ) (2.26)

t − m

Example 2.10
In an ideal regenerative Rankine cycle, the operating pressures of the
steam generator and the condenser are 10,000 and 10 kPa, respectively,
and the turbine inlet steam is superheated at the temperature of 600°C
(similar to Example 2.6). In the turbine, some steam is extracted at the
pressure of 1000 kPa and diverted to an open feedwater heater. If the
outlet of the open feedwater is saturated liquid water, determine the spe-
cific heat transfers in the steam generator and the condenser, the specific
work involved in the turbine and the pumps, and the thermal efficiency
of the cycle.
Given: An ideal regenerative Rankine cycle with the working fluid of
water operates at the given operating conditions. The cycle also has an
open feedwater system operating at the given pressure.
Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and the pumps, and the
thermal efficiency of the cycle.
Schematic diagrams: Figure 2.21
Assumptions:

1. The cycle is an ideal regenerative Rankine cycle with the work-

ing fluid of water.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems, including
in the open feedwater heater.

Analysis:
State 1:

h1 = 191.83 kJ/kg
v1 = 0.001010 m 3 /kg
Introduction to Steam Power Plants 153

State 2:

h2 = w Pump1 + h1 = v1 ( P2 − P1 ) + h1 = 0.001010 m 3 /kg × ( 1000 − 10 ) kPa

 N 
 1000 m 2   1 kJ  kJ
   + 191.83 = 192.83 kJ/kg
 1 kPa   1000 Nm  kg
 

State 3:

h3 = h f @ 1000 kPa = 762.81 kJ/kg

v3 = v f @ 1000 kPa = 0.001127 m 3 /kg

State 4:

h4 = w Pump 2 + h3 = v3 ( P4 − P3 ) + h3 = 0.001127 m 3 /kg ( 10, 000 − 1000 ) kPa

 1000 N/m 2   1 kJ 
   + 762.81kJ/kg = 772.95 kJ/kg
 1 kPa   1000 N m 

State 5:

h5 = 3625.3 kJ/kg
s5 = 6.9029 kJ/kg K

State 6:
s6 = s5 = 6.9029 kJ/kg K

At state 6, the flow is superheated steam, so from Table A.3 (SI) at the
pressure of 1000 kPa (by interpolation)

h6 = 2931.8 kJ/kg

State 7:

s7 = s5 = 6.9029 kJ/kg K

s7 = s f @ 10 kPa + x7 s fg @ 10 kPa → 6.9029

= 0.6493 + x7 ( 7.5009 ) → x7 = 0.8337 or 83.37%

h7 = h f @ 10 kPa + x7 h fg @ 10 kPa = 191.83 + 0.8337 × 2392.8 = 2186.7 kJ/kg

Now that the properties of flows at states 1–7 are known, the ratio of the
mass of the extracted steam from the turbine to the unit of mass of the
working fluid can be determined as follows (Equation 2.22):
154 Power Plant Engineering

h3 − h2 762.81 − 192.83
λ= = = 0.2081
h6 − h2 2931.8 − 192.83

With the enthalpy of all states determined, the work involved in the tur-
bine and pumps can be calculated from Equations 2.23 and 2.24.

wTurb = ( h5 − h6 ) + ( 1 − λ ) ( h6 − h7 ) = ( 3625.3 − 2931.8 )

+ ( 1 − 0.2081)( 2931.8 − 2186.7 ) = 1283.5 kJ/kg

wPump = ( 1 − λ ) ( h2 − h1 ) + ( h4 − h3 )

= ( 1 − 0.2081)( 192.83 − 191.83 ) + ( 772.95 − 762.81) = 10.93 kJ/kg

For the heat transfers in the steam generator and the condenser,

qSG = h5 − h4 = 3625.3 − 772.95 = 2852.3 kJ/kg

qCond = ( 1 − λ ) ( h7 − h1 ) = ( 1 − 0.2081)( 2186.7 − 191.83 ) = 1579.7 kJ/kg

wNet = wTurb − wPump = 1283.5 − 10.93 = 1272.6 kJ/kg

wNet 1272.6
ηTh = = = 0.4462 or 44.62%
qSG 2852.3

Table 2.7 compares the results of Examples 2.10 and 2.6, the Rankine
cycle with the open feedwater heater and the Rankine cycle without one,
respectively. As discussed earlier, although the work developed in the
turbine reduces, the thermal efficiency of the cycle improved considerably
because the heat added in the steam generator also decreases. Also, note
that while the pump work slightly increases due to the two-step pump-
ing process, the rejected heat in the condenser reduced substantially.

TABLE 2.7
Comparison of the Performance of the Rankine Cycle with the Open Feedwater
Heater and the Rankine Cycle without One in Examples 2.10 and 2.6
P2 P1 x 4 or q SG q Cond w Pump w Turb w Net η Th
Type of Cycle (kPa) (kPa) x 7 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Simple Rankine 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
cycle without
feedwater
heater
(Example 2.6)
Rankine cycle 10,000 10 0.834 2852.3 1579.7 10.9 1283.5 1272.6 44.62
with open
feedwater
heater
(Example 2.10)
Introduction to Steam Power Plants 155

2.3.4.2 Closed Feedwater Heaters

In this type of feedwater heaters, feedwater and extracted steam are not
mixed. The heat transfer takes place in a shell and tube heat exchanger. The
temperature of feedwater inside the tubes increases from state 2 to state 3
while extracted steam outside the tubes condenses from state 6 to state 6a
(Figure 2.22).
Since feedwater and extracted steam are not mixed in this type, they can
be at different pressures; thus, feedwater can be directly pumped from
state 1 to state 2 in just one feedwater pump. However, extracted steam
condensate downstream of the closed feedwater heater should be handled.
There are two approaches for this purpose (Figure 2.22). The condensate
Turbine

5
Steam
generator 7

6 Condenser
Closed
feedwater
heater
4 3 2 Pump
1
6c
6b

6a Trap

Pump 6a

T 5

4/6b
6
3 6a

2
1 6c 7

FIGURE 2.22
A regenerative Rankine cycle with a closed feedwater heater.
156 Power Plant Engineering

can be pumped forward to the pressure of the feedwater outlet from the
heater (which is at a higher pressure than the extracted steam condensate)
and then mixed with it (state 6a to 6b). This is called the closed feedwa-
ter heater with drain pumped forward. Alternatively, the extracted steam
condensate can go through a trap to reduce its pressure and separate steam
from the saturated mixture. Then, the water is returned to the next lower
pressure closed feedwater heater, to the open feedwater heater, or to the
condenser. This is called the closed feedwater heater with drain cascaded
backward. The latter feedwater heater is shown in Figure 2.22 by a dashed
line (state 6a to 6c). Note that in the T-s diagram in Figure 2.22, process
6a-6c (from the closed feedwater heater outlet to the condenser) is a con-
stant enthalpy process (a throttling process). The closed feedwater heater
with drain pumped forward is more efficient but more expensive because
an extra pump, though a small one, is required. The closed feedwater heater
with drain cascaded backward is inexpensive but less efficient because of
the loss of availability in the trap.
In order to determine the mass flow rate of extracted steam from the
turbine, the energy balance equation for the closed feedwater heater can be
written for the forward and backward systems (Figure 2.22).
For a closed feedwater heater with drain pumped forward (note that in this
case m3 = m
t − m
 6 ),

 6 ( h6 − h6 a ) = m
m  3 ( h3 − h2 ) (2.27)
 6 ( h6 − h6 a ) = ( m
m  6 ) ( h3 − h2 ) (2.28)
3 −m

t
m 1 h − h6 a
−1= −1= 6 (2.29)
6
m λ h3 − h2

Note that λ is the ratio of the mass flow rate of extracted steam to the total
m  
mass flow rate of the working flow  6  . For a closed feedwater heater with
m t 
drain cascaded backward (note that in this case m 3 = m
 t ),

 6 ( h6 − h6 a ) = m
m  3 ( h3 − h2 )
 ext m
m  h − h2
λ= = 6 = 3 (2.30)
mt m 3 h6 − h6 a

Note that h6 a = h6 c (the throttling process).

Example 2.11
In an ideal regenerative Rankine cycle, the operating pressures of the
steam generator and the condenser are 10,000 and 10 kPa, respectively, and
the turbine inlet flow is superheated steam at the temperature of 600°C
(similar to Example 2.6). In the turbine, some steam is extracted at the
Introduction to Steam Power Plants 157

Turbine
5

Steam
genetator
6 9

Closed
Feedwater
heater Condenser
4
3 2

8
7 1
Pump 1

Pump 2

FIGURE 2.23
Schematic of the regenerative Rankine cycle for Example 2.11.

pressure of 1000 kPa and diverted to a closed feedwater heater. If the out-
let of the closed feedwater heater is at the temperature of 150°C and is for-
warded to the outlet of the heater by a small pump, determine the specific
heat transfers in the steam generator and the condenser, the specific work
involved in the turbine and the pumps (both the feedwater pump and the
condensate extracted steam), and the thermal efficiency of the cycle.
Given: An ideal regenerative Rankine cycle with the working fluid of
water operates at the given operating conditions. The cycle has a closed
feedwater heater operating at the given conditions.
Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and both pumps, and
the thermal efficiency of the cycle.
Schematic diagrams: Figure 2.23.

Assumptions:
1. The cycle is an ideal regenerative Rankine cycle with the
working fluid of water.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. The outlet flow from the heater is at the temperature of 150°C and
is forwarded to the outlet of the closed feedwater by a small pump.
4. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems, including
the closed feedwater heater.
158 Power Plant Engineering

Analysis:
State 1:

h1 = 191.83 kJ/kg
v1 = 0.0010102 m 3 /kg

State 2:

h2 = w Pump1 + h1 = v1 ( P2 − P1 ) + h1
 1000 N/m 2   1 kJ 
= 0.001010 m 3 /kg × ( 10, 000 − 10 ) kPa   
 1 kPa   1000 Nm 
+ 191.83 kJ/kg = 201.92 kJ/kg

State 3:
In state 3, the pressure is 10,000 kPa (since there is no pressure drop in
the closed feedwater heater) and the temperature is 150°C, which is sub-
cooled liquid. The properties of the stream can be found in Table A.3 (SI).

h3 = 638.25 kJ/kg

Alternatively, the properties can be approximated by the properties of

the saturated liquid at the same temperature from Table A.1 (SI).

h3 = h f @ 150° C = 632.20 kJ/kg

State 5:

h5 = 3625.3 kJ/kg
s5 = 6.9029 kJ/kg K

State 6:
At this state, the steam is extracted from the turbine to be used in the
closed feedwater heater

s6 = s5 = 6.9029 kJ/kg K
P6 = 1000 kPa

At state 6, the flow is superheated steam, so from Table A.3 (SI) at the
pressure of 1000 kPa (by interpolation)

h6 = 2931.8 kJ/kg

State 7:
The condensate extracted steam at the outlet of the closed feedwater heater
is saturated liquid water at the pressure of 1000 kPa, so from Table A.2 (SI),

h7 = 762.81kJ/kg
v7 = 0.001127 m 3 /kg
Introduction to Steam Power Plants 159

State 8:
Pump 2 pressurizes the feedwater from state 7 to state 8, so

h8 = w Pump 2 + h7 = v7 ( P8 − P7 ) + h7

 1000 N/m 2   1 kJ 
= 0.001127 m 3 /kg × ( 10, 000 − 1000 ) kPa   
 1 kPa   1000 Nm 
+ 762.81 kJ/kg = 772.95 kJ/kg

State 9:

s9 = s5 = 6.9029 kJ/kg K

s9 = s f @ 10 kPa + x9 s fg @ 10 kPa → 6.9029

= 0.6493 + x9 ( 7.5009 ) → x9 = 0.8337 or 83.37%

h9 = h f @ 10 kPa + x9 h fg @ 10 kPa = 191.83 + 0.8337 × 2392.8 = 2186.7 kJ/kg

In order to determine the properties of the working fluid at state 4, first

the mass flow rate of the extracted steam is needed. From Equation 2.29,

1 h −h
−1= 6 7
λ h3 − h2

1 2931.8 − 762.81
−1=
λ 638.25 − 201.92
1
− 1 = 4.97
λ
λ = 0.167
By writing the energy balance equation for the point where the outlet
stream from pump 2 (for pumping the condensate from the closed feed-
water heater) at state 8 and the feedwater leaving the closed feedwater
heater at state 3 are mixed, the enthalpy of state 4 can be found

h4 = λ h8 + ( 1 − λ ) h3

h4 = 0.167 × 772.95 + ( 1 − 0.167 ) × 638.25 = 660.74 kJ/kg With the enthalpy

of all stated determined, the work involved in the turbine and pumps
can be calculated.

wTurb = ( h5 − h6 ) + ( 1 − λ ) ( h6 − h9 )

= ( 3625.3 − 2931.8 ) + ( 1 − 0.167 )( 2931.8 − 2186.7 ) = 1314.2 kJ/kg

wPump1 = ( 1 − λ ) ( h2 − h1 ) = ( 1 − 0.167 )( 201.92 − 191.83 ) = 8.40 kJ/kg

160 Power Plant Engineering

TABLE 2.8
Comparison of the Performance of the Rankine Cycle with the Closed
Feedwater Heater, with the Open Feedwater Heater, and without a Feedwater
Heater in Examples 2.6, 2.10, and 2.11
P2 P 1 x 4, x 7, q SG q Cond w Pumps w Turb w Net η Th
Type of Cycle (kPa) (kPa) or x 9 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Simple Rankine 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
cycle without
feedwater heater
(Example 2.6)
Rankine cycle 10,000 10 0.834 2852.3 1579.7 10.9 1283.5 1272.6 44.62
with open
feedwater heater
(Example 2.10)
Rankine cycle 10,000 10 0.834 2964.6 1661.7 10.1 1314.2 1304.1 43.99
with closed
feedwater heater
(Example 2.11)

wPump2 = λ ( h8 − h7 ) = 0.169 ( 772.95 −762.81) = 1.69 kJ/kg

As expected, since just a portion of the total flow of the working fluid
is pressurized in pump 2, the work input of this pump is much smaller
than the feedwater pump. For the heat transfers in the steam generator
and condenser,

qSG = h5 − h4 = 3625.3 − 660.74 = 2964.6 kJ/kg

qCond = ( 1 − λ ) ( h9 − h1 ) = ( 1 − 0.167 )( 2186.7 − 191.83 ) = 1661.7 kJ/kg
wNet = wTurb − wPump = 1314.2 − 8.40 − 1.69 = 1304.1 kJ/kg
wNet 1304.1
ηTh = = = 0.4399 or 43.99%
qSG 2964.6

Table 2.8 compares the results of Examples 2.11, 2.10, and 2.6, the Rankine
cycles with the closed feedwater heater, with the open feedwater heater,
and without a feedwater heater (the simple Rankine cycle). As discussed
earlier, for cycles with open or closed feedwater heaters, although the
work developed in the turbine is reduced, the thermal efficiency of the
cycle is considerably improved.
The results show that although the net specific work developed in the
Rankine cycle with the closed feedwater heater is slightly more than that
of the cycle with the open feedwater heater, the efficiency of the latter is
greater.

Comparing open and closed feedwater heaters indicates that open feedwater
heaters are less expensive and have better heat-transfer efficiency. But one
extra pump is required for each open feedwater heater to pump almost the
Introduction to Steam Power Plants 161

entire feedwater. Note that these pumps are large expensive ones and sig-
nificantly increase capital and operating costs, so only one open feedwater
heater is typically used in modern plants. The open feedwater heater acts as
the deaerator as well to separate air and other noncondensable gases from
feedwater to protect the steam generator and other cycle components from
corrosion. Open feedwater heaters are typically referred to as deaerators or
deaerator heaters (DA). On the other hand, closed feedwater heaters do not
add to the required feedwater pumps. Instead, they need either a trap or a
small pump to pressurize the condensate extracted steam but the pump is
much smaller than the feedwater pump. However, closed feedwater heaters
are less efficient and the heat exchanger itself is more expensive.
In actual steam power plants, several feedwater heaters are used. The more
feedwater heaters in the cycle will result in the higher cycle efficiency because
the cycle approaches the ideal regenerative cycle. But due to economic con-
siderations, no more than seven or eight feedwater heaters are used, one of
which is open and the rest are closed. While adding more feedwater heaters
can slightly increase the efficiency, the increase in the costs and complexity
of the cycle cannot be justified by this slight efficiency improvement. The
number of feedwater heaters is a trade-off between cycle efficiency, capital
costs, and system complexity.
In the next example, a Rankine cycle with a reheater, a closed feedwater
heater, and an open feedwater heater will be analyzed. The operational
conditions of the components are close to those in Examples 2.6, 2.9, 2.10,
and 2.11.

Example 2.12
In an ideal reheat-regenerative Rankine cycle, the operating pressures
of the steam generator and the condenser are 10,000 and 10 kPa, respec-
tively, and the turbine inlet steam is superheated at the temperature
of 600°C. The expansion process occurs in two stages with a reheater
in between at the pressure of 1000 kPa. The outlet flow of the reheater
is at the temperature of 600°C. Steam is extracted from the turbine at
pressures of 2000 and 500 kPa, which is fed to the closed feedwater
heater and the open feedwater heater, respectively. The outlet flow of
the closed feedwater heater (high-pressure feedwater side) is at the
temperature of 230°C and the outlet flow of the open feedwater heater
is saturated liquid. The condensate from the closed feedwater heater,
which is saturated liquid water, is discharged into the open feedwa-
ter heater after going through the trap. Determine the specific heat
transfers in the steam generator and the condenser, the specific work
involved in the turbines and the pumps, and the thermal efficiency of
the cycle.
Given: An ideal reheat-regenerative Rankine cycle with the working
fluid of water operates at the given operating conditions. The cycle has a
closed feedwater heater, an open feedwater heater, and a reheater operat-
ing at the given conditions.
162 Power Plant Engineering

Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbines and the pumps, and
the thermal efficiency of the cycle.
Schematic diagrams: Figure 2.24.
Assumptions:

1. The cycle is an ideal Rankine cycle with the working fluid of

water.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. There is no heat loss in any equipment and no pressure drop
due to friction in the cycle except in the trap, which is a throt-
tling process.
4. The feedwater outlet flows from the condenser and open
feedwater heater are saturated liquid. Also, the condensate
outlet flow from the closed feedwater heater is saturated
liquid.

Analysis:
State 1:

h1 = 191.83 kJ/kg

v1 = 0.001010 m 3 /kg

State 2:

h2 = w Pump1 + h1 = v1 ( P2 − P1 ) + h1

 1000 N/m 2   1 kJ 
= 0.001010 m 3 /kg × ( 500 − 10 ) kPa   
 1 kPa   1000 Nm 
+ 191.83 kJ/kg = 192.32 kJ/kg

State 3:

h3 = h f @ 500 kPa = 640.23 kJ/kg

v3 = v f @ 500 kPa = 0.001093 m 3 /kg

State 4:

h4 = w Pump 2 + h3 = v3 ( P4 − P3 ) + h3

 1000 N/m 2   1 kJ 
= 0.001093 m 3 /kg × ( 10, 000 − 500 ) kPa   
 1 kPa   1000 Nm 
+ 640.23 kJ/kg = 650.61 kJ/kg
Introduction to Steam Power Plants 163

Reheater
Steam Turbine
generator
°
9
600 C

1,000 kPa 8
10,000 kPa
6
°
600 C

5 7 11

2000
°
230 C kPa

10
Closed
500
feedwater kPa
heater Condenser
10 kPa

Trap 2
1

12 13 Pump 1

10,000 kPa 1000 kPa

4
Pump 2 3 Open feedwater heater
600°C 600°C
6 9 Reheater
T

1000 kPa

10,000 kPa
7
12
5 2000 kPa

4 10
8
500 kPa
3
13

10 kPa

1 11

FIGURE 2.24
Schematic and T-s diagrams of the Rankine cycle in Example 2.12.
164 Power Plant Engineering

State 5:
In state 5, the working fluid is subcooled liquid at the pressure of 10,000
kPa (since there is no pressure drop in the closed feedwater heater) and
the temperature of 230°C. Table A.4 (SI) can be used for the properties of
compressed liquid water

h5 = 990.9 kJ/kg

Alternatively, the properties of the stream can be approximated by the

properties of saturated liquid at the same temperature from Table A.1.

h f @ 230° C = 990.12 kJ/kg

State 6:

h6 = 3625.3 kJ/kg

s6 = 6.9029 kJ/kg K

State 7:
At this state, the steam is extracted from the turbine for the closed feed-
water heater.

s7 = s6 = 6.9029 kJ/kg K

P7 = 2000 kPa

At state 7, the flow is superheated steam, so from Table A.3 (SI) at the
pressure of 2000 kPa (by interpolation),

h7 = 3105.1 kJ/kg

State 8:
At this state, the steam leaves the first stage of the turbine and is sent
to the reheater.

s8 = s6 = 6.9029 kJ/kg K

P8 = 1000 kPa

At state 8, the flow is superheated steam, so from Table A.3 (SI) at the
pressure of 1000 kPa (by interpolation),

h8 = 2931.8 kJ/kg

State 9:
At this state, the steam returns to the second stage of the turbine at the
temperature of 600°C.
Introduction to Steam Power Plants 165

P9 = 1000 kPa

h9 = 3697.9 kJ/kg

s9 = 8.0290 kJ/kg K

State 10:
At this state, the steam is extracted from the low-pressure turbine for
the open feedwater heater.

s10 = s9 = 8.0290 kJ/kg K

P10 = 500 kPa

At state 10, the flow is superheated steam, so from Table A.3 (SI) at the
pressure of 500 kPa (by interpolation),

h10 = 3436.0 kJ/kg

State 11:

s11 = s9 = 8.0290 kJ/kg K

s11 = s f @ 10 kPa + x11 s fg @ 10 kPa → 8.0290 = 0.6493 + x11 ( 8.1502 − 0.6493 ) → x11
= 0.9838 or 98.38%

h11 = h f @ 10 kPa + x11 h fg @ 10 kPa = 191.83 + 0.9838 × 2392.8 = 2546.0 kJ/kg

State 12:
At this state, the condensate extracted steam from the turbine is satu-
rated liquid.

P12 = 2000 kPa

h12 = h f @ p = 2000 = 908.79 kJ/kg

State 13:
Since in the trap the steam is throttled,

h13 = h12 = 908.79 kJ/kg

To determine the mass flow rates of extracted steams, the energy and
mass balance equations should be written for the closed and open feed-
water heaters.
For the closed feedwater heater,

h5 − h4
λ′ =
h7 − h12
166 Power Plant Engineering

For the unit of total mass flow rate:

990.9 −650.61
λ′ =
3105.1 − 908.79
λ ′ = 0.1549

For the open feedwater heater,

λ ′′ h10 + ( 1 − λ ′ − λ ′′ ) h2 + λ ′h13 = h3
λ ′′ ( h10 − h2 ) = h3 − ( 1 − λ ′ ) h2 − λ ′h13

h3 − ( 1 − λ ′ ) h2 − λ ′h13
λ ′′ =
( h10 − h2 )
For the unit of total mass flow rate,

640.23 − ( 1 − 0.1549 ) 192.32 − 0.1549 × 908.79

λ ′′ = = 0.1039
3436.0 − 192.32
With the enthalpy of all states determined, the work involved in the tur-
bines and pumps can be calculated

wTurb = ( h6 − h7 ) + ( 1 − λ ′ ) ( h7 − h8 ) + ( 1 − λ ′ ) ( h9 − h10 ) + ( 1 − λ ′ − λ ′′ ) ( h10 − h11 )

= ( 3625.3 − 3105.1 ) + ( 1 − 0.1549 )( 3105.1 −2931.8 ) + ( 1 − 0.1549 )( 3697.9 − 3436.0 )

+ ( 1 − 0.1549 − 0.1039 )( 3436.0 − 2546.0 ) = 1547.66 kJ/kg

wPump = ( 1 − λ ′ − λ ′′ ) ( h2 − h1 ) + ( h4 − h3 )

= ( 1 − 0.1549 − 0.1039 )( 192.32 − 191.83 ) + ( 650.61 − 640.23 ) = 10.74 kJ/kg

For heat transfers in the steam generator and the condenser,

qSG = ( h6 − h5 ) + ( 1 − λ ′ ) ( h9 − h8 )

= ( 3625.3 − 990.9 ) + ( 1 − 0.1549 )( 3697.9 −2931.8 ) = 3281.8 kJ/kg

qCond = ( 1 − λ ′ − λ ′′ ) ( h11 − h1 ) = ( 1 − 0.1549 − 0.1039 )( 2546.0 − 191.83 )

= 1744.9 kJ/kg

wNet = wTurb − wPump = 1547.66 − 10.74 = 1536.9 kJ/kg

wNet 1536.9
ηTh = = = 0.4683 or 46.83%
qSG 3281.8

Table 2.9 summarizes and compares the results of the major examples
for the Rankine cycles with various configurations. They all operate at
the steam generator and the condenser operating pressures of 10,000 and
TABLE 2.9
Comparison of the Performance of the Rankine Cycle with Various Configurations (Examples 2.4, 2.6, 2.9, 2.10, and 2.12)
P2 P1 x 4, x 7, x 9, q SG q Cond w Pump w Turb w Net
Type of Cycle (kPa) (kPa) or x 11 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) η Th (%)
Simple Rankine –Turbine inlet: saturate 10,000 10 0.662 2522.8 1583.8 10.1 949.1 939.0 37.22
Introduction to Steam Power Plants

steam (Example 2.4)

Simple Rankine –Turbine inlet: 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
superheated at 600°C (Example 2.6)
Reheat Rankine cycle (Example 2.9) 10,000 10 0.984 4189.5 2354.1 10.1 1845.5 1835.4 43.81
Rankine cycle with open feedwater 10,000 10 0.834 2852.3 1579.7 10.9 1283.5 1272.6 44.62
heater (Example 2.10)
Rankine cycle with closed feedwater 10,000 10 0.834 2964.6 1661.7 10.1 1314.2 1304.1 43.99
heater (Example 2.11)
Reheat Rankine cycle with open and 10,000 10 0.984 3281.8 1744.9 10.7 1547.66 1536.9 46.83
closed feedwater heaters (Example 2.12)
167
168 Power Plant Engineering

10 kPa, respectively. The turbine inlet is superheated steam at the tem-

perature of 600°C for all cycles, except for the first one, which is saturated
steam.
As Table 2.9 demonstrates, the efficiency of the cycle significantly
improved from 41.7% in the simple superheated cycle to 48.88% in the
cycle with the open and closed feedwater heaters and the reheater. Note
that all these cycles are ideal, but similar trends should be expected in
real-world cycles. Also, note that even a small increase in the efficiency
may result in a significant reduction in fuel consumption and fuel cost
for a large modern fossil fuel steam power plant.
For actual steam power plants where there are many more components
with losses that should be taken into account, these manual calculations
can be very cumbersome. Nowadays, design engineers are using model-
ing software to simulate and optimize steam power plants with differ-
ent configurations and operating conditions. The final product of this
process is a heat balance diagram, also known as a flow diagram. This
diagram provides the mass flow rate, pressure, and temperature of major
cycle flows. This diagram is the first step and backbone of the design of
any steam power plant.

2.3.5
Deviation of Actual Steam Cycles from Ideal Rankine Cycles
2.3.5.1 Internal Irreversibilities
Actual steam power plants deviate from ideal Rankine cycles due to
i rreversibilities associated with processes. They can be categorized as inter-
nal irreversibilities, those that occur within the system, and external irre-
versibilities, those that take place on the boundaries of the system. Internal
irreversibilities are due to friction (mostly fluid friction indicated by pressure
drops), throttling, and mixing of flows. Most important losses in an actual
steam power cycle take place in the steam generator, turbine, pump(s), pipes,
and condenser.

2.3.5.1.1 Turbine Losses
Turbine losses are one of the most important losses in actual cycles. The
primary cause of turbine losses is due to the flow of the working fluid through
blades and passages. As a result of these losses, the expansion process is not
isentropic, and the entropy increases in the process (in Figure 2.25, process
3-4 instead of state 3-4s). In order to take these irreversibilities into account,
the isentropic efficiency of the turbine, also known as the adiabatic or poly-
tropic efficiency, can be defined as the ratio of the work (or power) produced
in the actual turbine to the work (or power) produced in the isentropic expan-
sion process in the ideal cycle. Note that the latter is always greater than the
former for an actual turbine.

W Turb wTurb h − h4
ηTurb = = = 3 (2.31)
(  )
WTurb
s
( Turb )s 3 − h4 s
w h
Introduction to Steam Power Plants 169

2
2s

1 4s 4

FIGURE 2.25
Losses associated with expansion and compression processes (in the turbine and the pump,
respectively) in a Rankine cycle.

where subscript s represents the isentropic expansion process.

The isentropic efficiency is adversely affected by the existence of moisture
in the low-pressure parts of the turbine. The larger turbines have higher
efficiency, above 90% for well-designed turbines. Other losses of secondary
importance in steam turbines are associated with heat transfer to the sur-
rounding and turbine governing procedures. However, in most typical tur-
bines, an adiabatic process is a reasonable assumption because the heat loss
per unit mass of the working fluid is negligible (due to a very large mass
flow rate of the working fluid). Similar justification can be presented for heat
losses in other main components. Note that these less important losses will
not be considered in the analyses in this text.

2.3.5.1.2 Pump Losses
Irreversibilities in pumps are similar to those in turbines in nature but much
smaller (Figure 2.25). The losses in pumps due to the flow of the working fluid
through blades and passages can be modeled by defining the isentropic effi-
ciency of pumps (also known as the adiabatic or polytropic efficiency). Note
that in pumps, the actual work required for the compression (the denomina-
tor in Equation 2.23) is always greater than the isentropic compression work
(the numerator).

ηPump =
(W ) = ( w
Pump
s
Pump ) s
=
h2 s − h1
(2.32)
 Pump
W wPump h2 − h1

Figure 2.25 illustrates that while irreversibilities in the pump increase the
temperature of the outlet flow compared to the isentropic compression pro-
cess, irreversibilities in the turbine increase the quality of the outlet flow at a
170 Power Plant Engineering

constant temperature. Note that in both cases, the entropy of the outlet flows
increases compared to the isentropic processes.

2.3.5.1.3 Steam Generator
The greatest irreversibility in any steam power plant is associated with the
combustion process in the fireside of the steam generator and the heat trans-
fer from high-temperature combustion products to the working fluid. Note
that since these losses take place in the boundary of the cycle, they are con-
sidered as external irreversibilities. Another loss in steam generators is pres-
sure drop due to friction in tubes.

2.3.5.1.4 Condenser
The losses in the condenser, including fluid friction and irreversibilities
in heat-transfer processes from the working fluid to the cooling water (the
latter being external irreversibilities), are typically small. Since the work-
ing fluid goes through the condensation process and is at the saturated
pressure, there is no pressure drop in the working fluid of the condenser.
It should be noted that most of the heat added in the steam generator is
rejected to the surrounding in the condenser. However, since the tempera-
ture at which this thermal energy is rejected is a little higher than the ambi-
ent temperature, availability losses (i.e., the value of energy losses) in the
condenser is small.
Another loss that commonly occurs in a condenser in actual steam power
plants is having subcooled water in the outlet of the condenser instead of sat-
urated water, which requires more cooling in the condenser and more heat
addition in the steam generator and thus resulting in lower efficiency.

2.3.5.1.5 Piping Losses
In every steam power plant, extensive piping systemsare required to trans-
port the working fluid to and from components. Piping losses are mainly a
result of pressure drops in pipes, valves, bends due to friction as well as heat
losses. For instance, in the steam transfer from the steam generator to the
turbine, in Figure 2.26, the process a-b represents the pressure drop and the
heat loss is represented by process b-c. Figure 2.26 illustrates all the losses in
the working fluid from the pump outlet to the turbine inlet due to pressure
drops and heat losses in various heat-transfer surfaces within the steam gen-
erator, feedwater heaters, and the piping systems.

Example 2.13
Reconsider the Rankine cycle in Example 2.6, where the operating
pressures of the steam generator and the condenser are 10,000 and
10 kPa, respectively, and the turbine inlet steam is superheated at the
temperature of 600°C. If the isentropic efficiencies of the turbine and
pump are both 90%, determine the specific heat transfers in the steam
generator and the condenser, the specific work involved in the turbine
Introduction to Steam Power Plants 171

T
a
b
c
P2

2
2s
1 4s 4
s

FIGURE 2.26
T-s diagram of deviation of actual steam power plants from Rankine cycles.

and the pump, and the thermal efficiency and the BWR of the cycle. Also,
if the power plant produces 250 MW power, determine the mass flow rate
of the cycle’s working fluid.
Given: A non-ideal Rankine cycle with the working fluid of water
operates at the given operating pressure of the steam generator and the
condenser. The turbine inlet flow is superheated steam and the con-
denser outlet flow is saturated liquid. The power output is also given.
The processes in the turbine and pump are not isentropic and the isen-
tropic efficiencies of the turbine and the pump are given.
Find: The specific heat transfers in the steam generator and the con-
denser, the specific work involved in the turbine and the pump, the ther-
mal efficiency and the BWR of the cycle, and the mass flow rate of the
working fluid.
Schematic diagrams: Figure 2.26
Assumptions:

1. The cycle is a non-ideal Rankine steam cycle. The expansion

and compression processes are adiabatic but not isentropic with
the isentropic efficiencies of 90%.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
3. There is no pressure drop due to friction and no heat loss to the
surrounding in the components and piping systems.

Analysis:
From Examples 2.4 and 2.6,

h1 = 191.83 kJ/kg
172 Power Plant Engineering

h2 s = 201.92 kJ/kg
h3 = 3625.3 kJ/kg
h4 s = 2186.7 kJ/kg

The enthalpy of the pump and turbine outlet flows can be determined
using the isentropic efficiencies of the pump and turbine.

h2 s − h1
ηPump =
h2 − h1

201.92 − 191.83
0.9 =
h2 − 191.83

h2 = 203.04 kJ/kg

Note that if Method 1 (using Table A.4 (SI)) in Example 2.4 is used to find
the enthalpy of state 2,

h2 = 203.64 kJ/kg
h3 − h4
ηTurb =
h3 − h4 s

3625.3 − h4
0.9 =
3625.3 − 2186.7

h4 = 2330.56 kJ/kg

The quality of the turbine outlet flow can be calculated as follows:

h4 = h f @ 10 kPa + x4 h fg @ 10 kPa

2330.56 = 191.83 + x4 × 2392.8

x4 = 0.8938 or 89.38%

Comparing this quality with that of the ideal Rankine cycle in Example
2.6 (83.37%) indicates that the irreversibilities in the turbine actually help
to increase the quality of the mixture at the turbine outlet, which is desir-
able. The energy transfers in different components are

wPump = h2 − h1 = 203.04 −191.83 = 11.21 kJ/kg

qSG = h3 − h2 = 3625.3 −203.04 = 3422.3 kJ/kg

wTurb = h3 − h4 = 3625.3 −2330.56 = 1294.7 kJ/kg
qCond = h4 − h1 = 2330.56 −191.83 = 2138.7 kJ/kg
wNet = wTurb − wPump = 1294.7 −11.21 = 1283.5 kJ/kg
Introduction to Steam Power Plants 173

w net 1283.5
ηTh = = = 0.3750 or 37.50%
qSG 3422.3

wPump 11.21
BWR = = = 0.0087 or 0.87%
wTurb 1294.7

The mass flow rate of the working fluid is

 Net 250,000 kJ/s

W
 Net = mw
W  Net =
so m = = 194.78 kg/s = 7.01 × 105 kg/h
wNet 1283.5 kJ/kg

The results of Examples 2.6 and 2.13 are compared in Table 2.10. While
the specific work developed in the turbine in the non-ideal cycle is less
than that of the ideal one, the specific work consumed in the pump is
higher in the former. These two effects reduce the net work output. As
mentioned, the irreversibilities in the turbine are beneficial to improve
the quality of the steam at the turbine outlet. Similarly, the irreversibili-
ties in the pump slightly reduce the amount of heat addition in the steam
generator. However, the rejected heat in the condenser and the work
required in the pump are increased, and the work developed in the tur-
bine is reduced. Overall, as a result of irreversibilities in the turbine and
pump, the efficiency of the cycle considerably reduces.
Table 2.11 shows the performance characteristics of the non-ideal
Rankine cycle with various turbine and pump isotropic efficiencies in
the range of 60%–100% with an increment of 10%.
Table 2.11 shows that reducing the isentropic efficiencies of the tur-
bine and pump significantly reduces the thermal efficiency of the cycle
while the quality of the steam leaving the turbine increases. At the isen-
tropic efficiency of 60% and 70%, the quality of steam at the exhaust
of the turbine is greater than 1 (shown in parenthesis). This means in
these cases the turbine outlet flow is superheated steam. This situation
is undesirable because the superheated steam leaves the turbine with
unused thermal energy and the load of the condenser unnecessarily
increases.

TABLE 2.10
The Effects of the Turbine and Pump Irreversibilities on the Performance
Characteristics of the Rankine Cycles in Examples 2.6 and 2.13
Type of Cycle:
Simple P 2 = P 3 P 1 = P4 q SG q Cond w Pump w Turb w Net η Th
Rankine (kPa) (kPa) x4 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
Ideal turbine 10,000 10 0.834 3423.4 1994.9 10.1 1438.6 1428.5 41.73
and pump
(Example 2.6)
Non-ideal 10,000 10 0.894 3422.3 2138.7 11.2 1294.7 1283.5 37.50
turbine and
pump
(Example 2.13)
174 Power Plant Engineering

TABLE 2.11
Effects of the Turbine and Pump Isentropic Efficiencies on the Performance of
the Rankine Cycle in Example 2.13
Isentropic
Efficiency P 2 = P 3 P 1 = P4 q SG q Cond w Pump w Turb w Net η Th
(%) (kPa) (kPa) x4 (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (kJ/kg) (%)
60 10,000 10 (1.07) 3416.7 2570.1 16.8 863.3 846.5 24.78
70 10,000 10 (1.01) 3419.1 2426.2 14.4 1007.2 992.8 29.04
80 10,000 10 0.95 3420.9 2282.4 12.6 1151.1 1138.5 33.28
90 10,000 10 0.89 3422.3 2138.7 11.2 1294.7 1283.5 37.50
100 10,000 10 0.83 3423.4 1994.9 10.1 1438.6 1428.5 41.73

2.3.5.2 External Irreversibilities
The concept of the pinch point has critical importance in this discussion. In a
heat exchanger, the point with the minimum temperature difference between
the cooling flow and the heating flow is called the pinch point. Figure 2.27
illustrates the heat-transfer processes in parallel flow (a) and counterflow (b)
heat exchangers. Clearly, the latter has more favorable operating conditions.
Note that if the temperature of one flow is constant (as in the condenser), the
performance of the two types will be the same.
For heat exchangers with similar configurations, a smaller pinch-point
temperature difference reduces the overall temperature difference during
the heat-transfer process which, in turn, reduces the irreversibilities and
improves the efficiency. However, the small pinch-point temperature differ-
ence reduces the heat-transfer rate, which means for the same heat transfer
a larger heat exchanger is required. Therefore, the pinch-point temperature
difference is determined by a trade-off between the system size (thus capital
costs) and the system efficiency (thus fuel and operational costs).

T T
1´ 1´

Pinch point

2´ 2´ 3
Pinch point 3´ 2
2 3

1 1
s s
(a) (b)

FIGURE 2.27
Heat-transfer processes in heat exchangers (a) parallel flow heat exchanger (b) counterflow heat
exchanger.
Introduction to Steam Power Plants 175

External irreversibilities occur on the boundaries where the system inter-

acts with the environment. In a Rankine cycle, these irreversibilities are in
the steam generator and the condenser due to the heat-transfer processes
at a finite temperature difference. In the combustion-based steam genera-
tor in Figure 2.28, the temperature difference is between the working fluid
in process 1-3 and the combustion products in the process 1′-3′ with the
pitch point 2/2′. Note that the changes in the entropy of the two flows in
the heat-transfer process are not equal. According to the second law of
thermodynamics, the entropy of the system should increase; therefore,
S3 − S1 > S1′ − S3′ .
In the condenser in Figure 2.28, the temperature difference is between the
working fluid in process 4-5 and the condenser cooling fluid in the process 1″-2″
with the pinch point 2′′/4 . Note that the changes in the entropy of the two flows
in the condenser are not equal, too. According to the second law of thermody-
namics, the entropy of the system should increase; therefore, S2 ′′ − S1′′ > S4 − S5.
There is not much we can do to reduce external irreversibilities in the condenser
other than design optimization. Also, the magnitude of the loss is small due to
the low temperature of the working fluid in the condenser.
As Figure 2.29 indicates, superheating steam in the steam generator (a),
adding the reheater (b), and increasing the pressure to supercritical pres-
sures can reduce the temperature difference between the working fluid and
the combustion products, which reduces the external irreversibilities in the
steam generator.

T
1´

2´

3 4
3´

2 5 5
1
2´´
1´´
s

FIGURE 2.28
External irreversibilities in the steam generator and the condenser.
176 Power Plant Engineering

4
2´

3´ 3
2

s
(a)
1´
T
6
9

2´

2 3
5

3´

1
8 7

s
(b) 1´

T 4

2´

3´

1
6 5

s
(c)

FIGURE 2.29
Impacts of superheating stream (a), adding the reheater (b), and increasing the pressure to
supercritical pressures (c) on external irreversibilities.
Introduction to Steam Power Plants 177

2.4
Q uestions and Problems
2.4.1
Introduction

2.1. About ….. of total utility-scale electricity generation in the U.S. is still
produced by steam power plants.
a. 25%
b. 50%
c. 65%
d. 90%
2.2. Explain why the share of electricity produced in steam power plants
has reduced in the past decade.
2.3. In recent years many coal and nuclear steam power plants have retired
and have not been replaced with similar technologies.
a. True
b. False
2.4. Steam cycles are only used in conventional fossil fuel burning power
generation units.
a. True
b. False
2.5. What are the main advantages of steam power cycles? (choose all cor-
rect items.)
a. Flexibility of thermal energy sources
b. Relatively high efficiency
c. Low operating cost
d. Suitability for peak-load power generation

2.4.2 History of Steam Power Generation

2.6. Early steam engines were ……….

a. to generate electricity
b. to generate mechanical work
c. to pump water from mines
d. to run industrial machines
2.7. Explain how the invention of steam engines and invention of barom-
eter were related.
2.8. Explain how steam engines contributed to the first and second indus-
trial revolution.
2.9. Explain why the application of Savery’s engines did not become
widespread.
178 Power Plant Engineering

2.10. Why was the height that water could be raised in Savery’s engines
limited?
2.11. Explain why the extremely low efficiency of Newcomen’s atmospheric
engines in their early applications in coal mines was not a major
problem.
2.12. Identify which of the following schematics is Newcomen’s engine and
which one is Savery’s engine.

(a) (b)

2.13. Using the above schematic diagrams, explain why the efficiency of the
Savery’s engine was extremely low and how the Newcomen’s engine
improved the efficiency.
2.14. Explain the improvements in steam engines that were introduced by
James Watt.
2.15. List some of the improvements on steam engines introduced in the
19th century.
2.16. Why did turbine-based steam power plants eventually replace steam
engines?
2.17. Which one is incorrect?
a. Steam power plants are power generation systems that operate
in a open cycle.
b. In steam power plants, the phase of the working fluid changes
between the liquid and vapor phases alternatively.
Introduction to Steam Power Plants 179

c. In Rankine power plants the working fluid is usually but not

always water.
d. Rankine cycle power plants are able to produce net power out-
put due to the difference between pressure during the com-
pression and expansion processes.

2.4.3 Thermodynamics of Steam Power Plants

2.18. In phase-changing working fluid power cycles, since the working

fluid is pressurized in the liquid form and expands in the vapor
phase, the maximum specific volume difference is provided.
a. True
b. False
2.19. Determine the ratio of the specific volume of saturated vapor to the
specific volume of saturated liquid for water at the pressure of 1.5 and
10 bar.
2.20. Sketch a steam power plant showing the four main components.
Explain the processes in each of the four components.
2.21. Name various sources of thermal energy for steam generators.
2.22. Draw the T-s and P-v diagrams for a phase-changing working fluid
Carnot cycle.
2.23. Define the back work ratio (BWR) and work ratio (WR). Explain what
they signify.
2.24. Which statements are correct for Carnot cycles? (Choose all correct
ones.)
a. The Carnot cycle is composed of two constant temperature
processes (isothermal processes) and two adiabatic processes.
b. The compression and expansion processes are constant
entropy or isentropic.
c. It is impossible to construct an engine that operates between
a low-temperature thermal energy reservoir and a high-
temperature heat reservoir with an efficiency higher than that
of the Carnot cycle.
d. All Carnot cycles operating between the same two thermal
energy reservoirs have the same efficiency.
e. The Carnot cycle is an ideal cycle that theoretically can operate
with only phase-changing working fluid with the highest ther-
mal efficiency possible for a given thermal energy reservoirs.
2.25. Write the equation for the Carnot cycle efficiency.
2.26. Which one of the following assumptions is applicable to a typical
turbine?
180 Power Plant Engineering


1.
Q = 0
2.
W = 0
3.
hi = he
4.
kei = kee
5. Pei = Pee
6. Steady-state process
a. 1, 2, 3, and 6
b. 3, 4, 5, and 6
c. 1, 4, 5, and 6
d. 2, 3, 4, and 6
2.27. Simplify the first law of thermodynamics for a typical turbine consid-
ering the appropriate assumptions from the previous question?
2.28. When can we make the following assumptions?

dmCV dECV
= 0 and =0
dt dt

2.29. Heat transfer from a low-temperature source to a high-temperature

source …. the first law of thermodynamics and …. the second law of
thermodynamics.
a. violates, does not violate
b. does not violate, violates
c. violates, violates
d. does not violate, does not violate
2.30. If we reduce the temperature difference of a heat-transfer process, the
process will be more irreversible or less irreversible. Why?
2.31. A coal-fired power plant burns 100,000 kg/h coal to produce 250 MW.
Determine efficiency of the power plant. (Burning 1 kg of coal releases
25,000 kJ).
2.32. Draw the T-s diagram for an ideal superheat Rankine cycle with
double-reheat. Explain two main sources of irreversibilities in this
cycle and show them in the diagram.
2.33. Steam at 4.0 MPa and 400°C enters an insulated turbine operating
at steady state and expands to saturated vapor at 0.1 MPa. Kinetic
and potential energy effects can be neglected. Determine the specific
work developed (kJ/kg).
2.34. Which one(s) improve the net output power and efficiency of the
Rankine cycle?
a. Superheating the steam in the boiler
b. Lowering pressure of the condenser
c. Increasing pressure of the boiler
Introduction to Steam Power Plants 181

2.35. Explain why the Carnot cycle is impractical for steam power cycles.
2.36. Which process is not included in a Rankine cycle?
a. a reversible adiabatic (thus constant entropy or isentropic)
compression process in a pump
b. a reversible constant-pressure process involving heat transfer
at high temperature in a steam generator
c. a reversible adiabatic (thus constant entropy or isentropic)
expansion process in a turbine
d. a reversible adiabatic constant-pressure heat transfer from
the working fluid to the surrounding at low temperature in a
condenser
2.37. A heat-transfer process at a constant temperature is not practical
because in order to keep temperature constant, the pressure of the
working fluid should be manipulated continuously.
a. True
b. False
2.38. If a Rankine cycle takes place entirely inside the two-phase liquid-
vapor dome, it will be a Carnot cycle.
a. True
b. False
2.39. Explain why the moisture content of the turbine outlet stream should
be limited.
2.40. In a majority of modern steam power plants, the steam leaving the
steam generator is ……...
a. superheated
b. saturated steam
c. saturated mixture of steam and liquid
d. all of the above
2.41. The efficiency of a Rankine cycle is generally ….. than that of a Carnot
cycle operating between the same heat source and sink.
a. less
b. more
c. equal or less
2.42. Why is the most common working fluid for Rankine cycle-based
power generation systems purified (demineralized) water?
2.43. Explain why high critical pressure and high boiling temperature of
water are not desirable characteristics of water as the working fluid
for Rankine cycles?
2.44. When are organic working fluids used in Rankine cycles?
2.45. What is the main application of Organic Rankine Cycles (ORC)?
182 Power Plant Engineering

2.46. The efficiency of the Rankine cycle …. and the moisture content of the
turbine outlet flow ….. if the steam produced in the steam generator is
superheated.
a. reduces – increases
b. increases – reduces
c. increases – increases
d. reduces – reduces
2.47. Explain the effects of increasing the operating pressure of the
condenser on the efficiency of a Rankine cycle. Justify your
answer.
2.48. Explain how a reheat Rankine cycle works.
2.49. Explain why an ideal regenerative Rankine cycle is not practical (two
reasons).
2.50. List two types of feedwater heaters and explain their pros and cons.
2.51. Explain how the outlet flow of a closed feedwater heater can be
handled. Which method is more efficient? Which method is less
expensive?
2.52. The steam required in feedwater heaters extracted from …….
a. the turbine
b. the condenser
c. the steam generator
d. the reheater
2.53. When using an open feedwater heater, why cannot feedwater be pres-
surized to the steam generator pressure in the first pump after the
condenser?
2.54. Explain why just a small fraction of the expanding steam in the tur-
bine is extracted for feedwater heaters.
2.55. Explain why feedwater can be pumped directly in one feedwater
pump in a Rankine cycle with a closed feedwater heater.
2.56. Explain why only one open feedwater heater is used in modern steam
power plants.
2.57. What is the function of a deaerator?
2.58. How many open and closed feedwater heaters are used in modern
large steam power plants?
2.59. In which type of feedwater heaters are not feedwater and extracted
steam mixed?
2.60. What is the definition of the isentropic efficiency of a pump?
2.61. List the sources of irreversibilities in a steam generator.
2.62. What is a pinch point in a heat exchanger?
Introduction to Steam Power Plants 183

2.63. Identify the pinch points in the following two diagrams for two heat
exchangers.
T

2.64. Explain why a smaller pinch-point temperature difference is

desirable.
2.65. What factor does limit how small the pinch-point temperature differ-
ence in a heat exchanger can be?
2.66. Which one of the following actions can reduce the temperature differ-
ence between the working fluid and the combustion products?
a. Superheating stream in the steam generator
b. Adding a reheater
c. Increasing the operating pressure of the steam generator to
supercritical pressures
d. All of the above
184 Power Plant Engineering

2.67. The power produced in a steam turbine is 250 MW and the power
consumed in the pump is 4 MW. Determine the BWR and the WR of
the cycle.
2.68. In a steam power cycle, the input thermal energy is 150 MW and the
turbine power generation is 60 MW. Determine the efficiency of the
cycle.
2.69. In a steam power cycle, the input thermal energy is 1500 MW and
the turbine power generation is 725 MW. What is the rate of thermal
energy removal in the condenser?
2.70. In a steam power plant that operates based on a Rankine cycle, the
inlet and output pressures of the pump are 0.15 and 50 bar, respec-
tively. If the steam generator outlet stream is saturated vapor and
the inlet stream of the pump is saturated liquid, determine the
specific heat transfers in the steam generator and the condenser,
the specific work involved in the turbine and the pump, and the
thermal efficiency of the cycle.
2.71. Repeat Example 2.6 for the superheated steam temperature between
400°C and 700°C with the increment of 100°C. List the results in a
table and draw the curves of the main performance parameters
(the efficiency, specific net work, specific heat input, and quality
of the flow at the outlet of the turbine) as a function of the super-
heated steam temperature (results presented in Table 2.2).
2.72. Repeat Example 2.7 for the steam generator pressure of 4000, 10,000,
12,000, 16,000, 20,000, and 24,000 kPa (results presented in Table 2.3).
2.73. In a supercritical Rankine cycle, the inlet steam to the turbine is at the
pressure and temperature of 32,000 kPa and 600°C, respectively. If the
outlet stream of the condenser is saturated water at the pressure of
10 kPa, determine the specific heat transfers in the steam generator
and the condenser, the specific work involved in the turbine and the
pump, and the thermal efficiency of the cycle.
2.74. Repeat Example 2.8 for the condenser pressure of 5, 10, 20, 40, 80, and
100 kPa (results presented in Table 2.4).
2.75. Repeat Example 2.9 when the steam leaves the high-pressure turbine
at the pressure of 1500, 2000, 4000, and 8000 kPa and then is sent the
reheater (results presented in Table 2.6).
2.76. Repeat Example 2.10 if the isentropic efficiency of the turbine is 0.90.
2.77. Repeat Example 2.12 by exchanging the location of the open and
closed feedwater heaters.
2.78. Repeat Example 2.13 for the turbine and pump isentropic efficiencies
varying between 60% and 100% with the increment of 10 (results pre-
sented in Table 2.11).
Introduction to Steam Power Plants 185

2.79. Repeat Examples 2.10, 2.11, and 2.12 when the isentropic efficiency of
90% for the turbine(s).
2.80. In a Carnot cycle with the working fluid of water, the operating pres-
sure of the steam generator and the condenser are 15,000 and 20 kPa,
respectively. If the turbine inlet flow is saturated vapor and the pump
outlet flow is saturated liquid, determine the specific heat transfers in
the steam generator and the condenser (in kJ/kg), the specific work
involved in the turbine and the pump (in kJ/kg), and the thermal effi-
ciency and BWR of the cycle.
2.81. In a steam power plant that operates based on a Rankine cycle,
the operating pressure of the steam generator and the condenser
are 15,000 and 20 kPa, respectively. If the turbine inlet stream is
saturated vapor and the condenser outlet flow is saturated liquid,
determine the specific heat transfers in the steam generator and
the condenser, the specific work involved in the turbine and the
pump, the thermal efficiency and the BWR of the cycle. Also, if the
power plant produces 500 MW power, determine the mass flow
rate of the cycle’s working fluid. If the cooling water enters the
condenser at 35°C and leaves at 15°C, determine the cooling water
mass flow rate through the condenser to provide sufficient cool-
ing for 1 kg of the working fluid.
2.82. In a simple Rankine cycle, the steam generator produces saturated
steam at 320°C and the condenser operating temperature is 42°C.
Determine the cycle efficiency.
2.83. In a steam power plant, the outlet steam from the steam generator
is superheated to the pressure and temperature of 20,000 kPa and
550°C, respectively. The condenser outlet flow is saturated liquid at
the pressure of 25 kPa. Determine the specific heat transfers in the
steam generator and the condenser, the specific work involved in the
turbine and the pump, and the thermal efficiency of the cycle. Also, if
the power plant produces 750 MW (net power output), determine the
mass flow rate of the cycle’s working fluid. Do the problem for two
cases, when the processes in the turbine and pump are isentropic and
when their isentropic efficiency is 85%.
2.84. In a Rankine cycle, the operating pressure of the steam generator and
the condenser are 18,000 and 15 kPa, respectively, and the turbine
inlet steam is superheated at the temperature of 550°C. If the expan-
sion process occurs in two stages with a reheater with the pressure
of 1500 kPa in between, determine the specific heat transfers in the
steam generator and the condenser, the specific work involved in
the turbine and the pump, and the thermal efficiency of the cycle. The
outlet flows of the steam generator and the reheater are at the same
temperature.
186 Power Plant Engineering

2.85. In an ideal regenerative Rankine cycle, the operating pressure of the

steam generator and the condenser are 17,000 and 20 kPa, respec-
tively, and the turbine inlet steam is superheated at the temperature of
500°C. In the turbine, some steam is extracted at the pressure of 2000
kPa and diverted to an open feedwater heater. If the outlet of the open
feedwater is saturated water, determine the specific heat transfers in
the steam generator and the condenser, the specific work involved in
the turbine and the pump, and the thermal efficiency of the cycle.
Repeat the problem when the steam extraction from the turbine is at
1500 kPa and compare the results.
2.86. In a simple Rankine cycle, the steam generator produces saturated
steam at 320°C and the condenser operating temperature is 42°C.
The isentropic efficiency of the turbine and pump are 90% and 85%,
respectively. Determine the cycle efficiency. Repeat this problem for
the condenser temperature of 32°C and compare the results of the two
cases.
2.87. In an ideal reheat-regenerative Rankine cycle, the operating pres-
sure of the steam generator and the condenser are 15,000 and 15 kPa,
respectively, and the turbine inlet steam is superheated at the tem-
perature of 600°C. The expansion process occurs in two stages with
a reheater in between at the pressure of 2000 kPa. The outlet flow
of the reheater is at the temperature of 600°C. Steam is extracted
from the turbine at the pressure of 3000 and 800 kPa which is fed to
the closed feedwater heater and the open feedwater heater, respec-
tively. The outlet flow of the closed feedwater heater (high-pressure
feedwater side) is at the temperature of 250°C and the outlet flow
of the open feedwater heater is saturated liquid. The condensate
from the closed feedwater heater, which is saturated liquid water, is
discharged into the open feedwater heater after going through the
trap. Determine the specific heat transfers in the steam generator
and the condenser, the specific work involved in the turbines and
the pumps, and the thermal efficiency of the cycle.

O pen-Ended Questions
2.4.4

2.88. Find a steam power plant in your region (city, county, state, or country).
Try to find as much information as you can about the configuration
of the plant and the operating temperature and pressure of the major
components. Based on the information you collected, determine the
efficiency of the cycle. Use the available online resources and/or visit-
ing the plant in your search for information.
2.89. Try to find examples of steam power plants in your region that use
each of the following thermal energy sources. For cases that you
could not find any plant, think of a reason.
Introduction to Steam Power Plants 187

• Coal
• Natural gas
• Petroleum products
• Nuclear reactions
• Geothermal
• Solar thermal energy
• Ocean hot water
• Biomass

2.4.5
General

2.90. If a Rankine cycle takes place entirely inside the two-phase liquid-
vapor dome, it will be a Carnot cycle because ……..
2.91. What are the pumps after the condenser and after the open feedwater
heater called?
2.92. Which ones of the following power plants work based on a steam
power cycles? (Choose all correct types).
a. Coal power plants
b. Nuclear power plants
c. Geothermal power plants
d. Natural gas-fueled gas turbines
e. Solar thermal power plants
f. Solar photovoltaic plants
2.93. Explain the motivation for early steam engines.
2.94. List the drawbacks of Savery’s engines.
2.95. In recent years, many natural gas-fueled combined cycle power
plants have retired and have not been replaced with similar
technologies.
a. True
b. False
2.96. Briefly explain how uniflow steam engines worked.
2.97. Which component is the site of the greatest irreversibilities in any
steam power plant?
2.98. What is the function of the condenser in a steam power plant?
2.99. What is the function of a trap after a closed feedwater heater?
2.100.
There are two flows in a heat exchanger. What do we need to have an
actual heat transfer?
188 Power Plant Engineering

2.101. In a throttle process, enthalpy …..

a. remains constant
b. increases
c. decreases
d. can increase, decrease, or remain constant
2.102. What is the function of a pump?
2.103. Compare the efficiency and quality of steam in the outlet flow of the
turbine in a reheat Rankine cycle with those of a simple Rankine
cycle.
2.104. A Rankine cycle consists of four processes. Name these four processes.
2.105. W hy are open feedwater heaters typically known as deaerators or
deaerator heaters (DA)?
2.106. Explain how an ideal regenerative Rankine cycle works.
2.107. Considering the effects of both less fuel consumption in the steam
generator and less work production in the turbine, the overall effi-
ciency of the Rankine cycle increases if feedwater heaters are added
to a steam power plant.
a. True
b. False
2.108. What is the definition of the isentropic efficiency of a steam turbine?
2.109. Why is a high change in the specific volume of the working fluid
desirable?
2.110. List the sources of irreversibilities in a condenser.
2.111. It is impossible to construct a heat engine that operates between two
heat reservoirs with an efficiency higher than that of the Carnot cycle
operating between the same two heat reservoirs.
a. True
b. False
2.112. Draw the T-s diagram of a Rankin cycle.
2.113. Two heat engines operates between the same two heat reservoirs and
both receives the same QH. One engine is reversible and the other one
is not. Which one has larger QL? Why?
2.114. Pumping the mixture of vapor and liquid is very difficult and requires
a lot of energy.
a. True
b. False
2.115. Why is a high latent heat of the working fluid desirable?
2.116. The outlet flow of an open feedwater heater is …..
a. saturated liquid
b. saturated steam
Introduction to Steam Power Plants 189

c. superheated steam
d. compressed liquid
2.117. In modern steam power plants only one closed feedwater heater is used.
a. True
b. False
2.118. Why is having subcooled water instead of saturated water in the out-
let of a condenser undesirable?
2.119. Explain the effects of increasing steam generator pressure on the per-
formance of a steam cycle with or without limitation on the inlet tem-
perature of the steam turbine.
2.120. In supercritical cycles, the moisture content of the turbine outlet is
unacceptably …. (high or low). How the problem can be addressed?
2.121. Draw the T-s diagram of a reheat Rankine cycle.
2.122. Select all correct statements.
a. Pumping the mixture of vapor and liquid is very difficult and
requires a lot of energy.
b. In a Rankine cycle, the mixture of vapor and liquid is con-
densed to saturated liquid in the contender and then saturated
liquid is pumped.
c. A heat-transfer process at a constant temperature is not practical.
d. Heat-transfer processes in steam generators and condensers
are constant temperature.
2.123. The most common working fluid for Rankine cycle-based power gen-
eration systems is purified (demineralized) water due to its …...
a. abundance
b. low cost
c. desirable thermodynamic characteristics of water
d. all of the above
2.124. Explain the effects of reducing condenser pressure on the perfor-
mance of a steam cycle. What limits the extent that the condenser
pressure can be reduced?
2.125. Which one is desirable for improving the efficiency of a steam
power plant?
a. A high-pressure condenser
b. A low-pressure condenser
2.126. What is the typical range for isentropic efficiency of large steam
turbines?
2.127. Select the correct statements.
a. Too much extracted steam will produce two-phase mixture of
saturated steam and water at the outlet flow of an open feed-
water heater which is difficult to pump.
190 Power Plant Engineering

b.
Too little extracted steam will reduce the effectiveness of the
feedwater heating process.
c The average temperature of heat addition in a regenerative
Rankine cycle is higher than that of the non-regenerative cycle
Rankine.
d When some steam is bled from the turbine for feedwater heat-
ers, there is less mass flow rate to expand which reduces the
total work developed in the turbine.
2.128. Why should the pressure of inlet flows to an open feedwater heater
be equal? What will happen if the flows are not at the same pressure?
2.129. A steam generator’s operating pressure is 180 bar. This steam genera-
tor is supercritical.
a. True
b. False
2.130. Which one of the following actions can reduce external irreversibili-
ties in the steam generator?
a. Superheating stream in the steam generator
b. Adding a reheater
c. Increasing the operating pressure of the steam generator to
supercritical pressures
d. All of the above
2.131. The pinch-point temperature difference is determined by a trade-off
between the system size (thus the capital cost) and the system effi-
ciency (thus the fuel and operational cost).
a. True
b. False
2.132. Which parameter is used to take irreversibilities in a steam turbine
into account?
2.133. In most typical turbines, the adiabatic process is a reasonable assump-
tion because the heat loss per unit mass of the working fluid is negligible.
a. True
b. False
2.134. List the sources of irreversibilities in a piping system.
2.135. Which is not correct?
a. Almost all coal plants operate based on steam cycles.
b. Almost all nuclear plants operate based on steam cycles.
c. Almost all natural gas plants operate based on steam cycles.
d. Almost all solar thermal plants operate based on steam cycles.
2.136. Explain briefly the principal of operation of Newcomen’s engine and
how it was different from Savery’s engine.
Introduction to Steam Power Plants 191

2.137.
The efficiency of a power cycle is directly proportional to the average
temperature of the heat transfer to the cycle (at high temperature) and
is inversely proportional to the average temperature of the heat trans-
fer from the cycle (at low temperature).
a. True
b. False
2.138.
Using a reheater in a steam power plant …. the efficiency of the cycle
and ….. the quality of the steam at the turbine outlet.
a. reduces – increases
b. increases – reduces
c. increases – increases
d. reduces – reduces
2.139.
List factors that distinguish actual steam power plants from an ideal
Rankine cycle.
2.140.
Briefly explain the impact of increasing the pressure of the feedwa-
ter pump outlet to supercritical steam pressure on the design of the
steam generator.
2.141.
The idea behind early steam engines was that water can be
elevated by the force of the atmospheric pressure if vacuum can
be created.
a. True
b. False
2.142. Why in a regenerative Rankine cycle are there two pumps?
2.143.
What was the main contribution of George Henry Corliss to develop-
ment of steam engines?
2.144. How the efficiency of a Carnot cycle can be improved?
2.145.
The extraction or bleeding of steam from the turbine for regeneration
will increase both the power production in the turbine and the effi-
ciency of the cycle.
a. True
b. False
2.146.
What are the correct temperature unit for the Carnot cycle efficiency
equation? (Choose all correct ones.)
a. °C
b. K
c. °F
d. °R
192 Power Plant Engineering

2.147. How can we improve the efficiency of a heat engine working based on
a Carnot cycle?
2.148. Which one(s) increases the quality of steam leaving the turbine?
a. Superheating the steam in the boiler
b. Increasing pressure of the condenser
c. Decreasing pressure of the boiler
2.149.
Explain the effects of increasing the operating pressure of a
steam generator on the efficiency of a Rankine cycle. Justify your
answer.
2.150. Does hfg (i.e. hg − hf) change with increase in the pressure? Explain.
2.151. The heat released during the condensation of 1 kg water at a given
pressure is equal to the heat needed for the evaporation of 1 kg water
at the same pressure.
a. True
b. False
2.152. What are some alternative organic working fluids used in Rankine
cycles?
2.153. The share of steam power plants in total utility-scale electricity gen-
eration in the US ….. between 2009 and 2018.
a. increased
b. decreased
c. remained unchanged
2.154. Explain how the Savery’s steam engine worked.
2.155. Currently, combined cycle power plants dominate natural gas-fueled
power generation units.
a. True
b. False
2.156. List the problems of Newcomen’s engine.
2.157. Draw the T-s diagram for a Carnot cycle and show the efficiency of the
cycle using the areas in the diagram.
2.158. Which one is desirable for reducing the moisture content of the stream
leaving the turbine of a steam power plant?
a. A high-pressure condenser
b. A low-pressure condenser
2.159. In a Rankine cycle, why is the power consumed in the pump much
smaller than the power generated in the turbine?
2.160. Which ones are favorable physical and chemical characteristics of
water as the working fluid for Rankine cycles?
a. chemical stability
b. nontoxic nature
Introduction to Steam Power Plants 193

c. noncorrosive nature
d. high critical pressure
e. high boiling temperature
2.161.
Why the Carnot cycle cannot be used as ideal cycle for steam power
plants?
2.162.
For a steam power cycle, the net power production is 50 MW and the
pump power consumption is 0.9 MW. What is the BWR?
2.163.
In a steam power cycle, the input and output thermal energy are 700
and 450 MW, respectively. Determine the efficiency of the cycle.
2.164.
In a real turbine and pump, entropy ….. in the absence of heat transfer.
a. increases
b. decreases
c. remains constant
d. can increase or decrease
2.165.
In a Carnot cycle with the working fluid of water, the operating pres-
sure of the steam generator and the condenser are 20,000 and 25 kPa,
respectively. If the turbine inlet flow is saturated vapor and the pump
outlet flow is saturated liquid, determine the specific heat transfers in
the steam generator and the condenser (in kJ/kg), the specific work
involved in the turbine and the pump (in kJ/kg), and the thermal effi-
ciency and BWR of the cycle.
2.166.
In a steam power plant that operates based on a Rankine cycle, the
operating pressure of the steam generator and the condenser are
20,000 and 25 kPa, respectively. If the turbine inlet stream is saturated
vapor and the condenser outlet flow is saturated liquid, determine the
specific heat transfers in the steam generator and the condenser, the
specific work involved in the turbine and the pump, the thermal effi-
ciency and the BWR of the cycle. Also, if the power plant produces 750
MW power, determine the mass flow rate of the cycle’s working fluid.
If the cooling water enters the condenser at 38°C and leaves at 22°C,
determine the cooling water mass flow rate through the condenser to
provide sufficient cooling for 1 kg of the working fluid.
2.167.
In a steam power plant that operates based on a Rankine cycle, the
inlet and output pressures of the pump are 0.10 and 70 bar, respec-
tively. If the steam generator outlet stream is saturated vapor and the
inlet stream of the pump is saturated liquid, determine the specific
heat transfers in the steam generator and the condenser, the specific
work involved in the turbine and the pump, and the thermal effi-
ciency of the cycle. Also, if the power plant produces 150 MW power,
determine the mass flow rate of the cycle’s working fluid. If the cool-
ing water enters the condenser at 42°C and leaves at 22°C, determine
the cooling water mass flow rate through the condenser to provide
sufficient cooling for 1 kg of the working fluid.
194 Power Plant Engineering

2.168.
In a steam power plant that operates based on a Rankine cycle, the
inlet and output pressures of the pump are 0.10 and 70 bar, respec-
tively. The steam generator outlet stream is superheated steam and
the inlet stream of the pump is saturated liquid. Determine the spe-
cific heat transfers in the steam generator and the condenser, the
specific work involved in the turbine and the pump, and the ther-
mal efficiency of the cycle for two cases, when the superheated steam
leaving the steam generator is at the temperature of 500 and 700°C.
Compare the results of the two cases.
2.169.
In an ideal regenerative Rankine cycle, the operating pressure of the
steam generator and the condenser are 17,000 and 20 kPa, respectively,
and the turbine inlet flow is superheated steam at the temperature
of 500°C. In the turbine, some steam is extracted at the pressure of
2000 kPa and diverted to a closed feedwater heater. If the outlet of
the closed feedwater heater is at the temperature of 170°C and is for-
warded to the outlet of the heater by a small pump, determine the
specific heat transfers in the steam generator and the condenser, the
specific work involved in the turbine and the pumps (both the feed-
water pump and the condensate extracted steam), and the thermal
efficiency of the cycle. Repeat the problem when the steam extraction
from the turbine is at 1500 kPa and compare the results.
2.170.
In an ideal reheat-regenerative Rankine cycle, the operating pressure
of the steam generator and the condenser are 18,000 and 10 kPa, respec-
tively, and the turbine inlet steam is superheated at the temperature
of 650°C. The expansion process occurs in two stages with a reheater
in between at the pressure of 2000 kPa. The outlet flow of the reheater
is at the temperature of 600°C. Steam is extracted from the turbine at
the pressure of 3000 and 1000 kPa which is fed to the closed feedwater
heater and the open feedwater heater, respectively. The outlet flow of
the closed feedwater heater (high-pressure feedwater side) is at the
temperature of 260°C and the outlet flow of the open feedwater heater
is saturated liquid. The condensate from the closed feedwater heater,
which is saturated liquid water, is discharged into the open feedwa-
ter heater after going through the trap. Determine the specific heat
transfers in the steam generator and the condenser, the specific work
involved in the turbines and the pumps, and the thermal efficiency of
the cycle.
3
Steam Generators: Water-Steam Side

Abstract
This chapter deals with the water-steam side of steam generators. In this
chapter, we will see what the function of a steam generator is, and why
utility steam generators are considered one the most complicated indus-
trial systems. We will review the historical development of steam gen-
erators and their components in the past three centuries. We will then
learn about modern drum-type and once-through steam generators.
Finally, we will extensively discuss about various components of modern
steam generators and their operational principles, including waterwalls,
drums, superheaters, reheaters, economizers, and control components.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• describe the function of steam generators

• list components of a typical steam generator
• briefly explain historical development of steam generators and their
components
• explain operation of modern drum-type and once-through steam
generators
• describe functions of various components of modern steam genera-
tors and their operational principles, including waterwalls, drums,
superheaters, reheaters, economizers, and control components

3.1 Introduction
The phase change of the working fluid from liquid to vapor is one of the four
main processes in any power generation unit operating based on a Rankine

195
196 Power Plant Engineering

cycle. In this process, thermal energy is transferred from a thermal energy

source to the working fluid of the cycle. The source of thermal energy can be:

• fossil fuel combustion

• nuclear reactions
• biomass combustion
• renewable energy sources, such as solar thermal energy, geothermal
energy, or ocean thermal energy
• municipal or industrial waste combustion
• waste heat
• electricity (for small industrial or residential applications where
power generation is not the objective)

Due to its availability, nontoxicity, and favorable thermodynamic properties

(including a relatively high specific heat and latent heat), water is the work-
ing fluid in most power plants operating based on the Rankine cycle (refer
to Section 2.3.1). However, recently there has been a great deal of interests in
Organic Rankine Cycles (ORC) where the working fluid is an organic low-
temperature boiling point substance such as isobutane, pentane, and pro-
pane. These cycles will be covered in Chapter 15.
In steam power plants, the steam generator is where thermal energy is used
to convert liquid water to steam at certain conditions to be sent to a steam tur-
bine for power generation (much more on steam turbines in Chapter 6). Steam
generators are considered as one of the most complex engineering systems. In
this chapter and the next chapter, combustion-based steam generators will be
discussed where the source of thermal energy can be the combustion of fossil
fuels, biomass, or waste materials. When the thermal energy source for steam
generation is provided by a-would-be-otherwise-wasted-heat from other pro-
cesses, the steam generator is called a heat recovery steam generator (HRSG)
and will be covered in Chapter 10. Renewable energy-based steam genera-
tors will be covered in Chapters 12 and 15. It should be noted that generated
steam in a steam generator can also be used for non-utility applications such
as industrial processes and district heating. Every combustion-based steam
generator can be divided into two sides: water-steam side and fire side. The
latter side is where the chemical energy of fuel is converted to heat by means
of the combustion process and will be covered in the next chapter. The water-
steam side is where the thermal energy generated by burning fuel is used to
convert water to steam at rated conditions and will be covered in this chapter.

3.1.1 Introduction to Water-Steam Side of Steam Generators

The water-steam side of steam generators consists of various combinations of
an economizer, evaporator (boiler), drum, superheater, and reheater, as well
Steam Generators: Water-Steam Side 197

as many supporting components. The overall objective of any steam gen-

erator is to integrate all these components to use thermal energy from fuel
combustion to raise steam at desired conditions with maximum efficiency
and reliability in the most economical manner (considering both capital
and operating costs) with minimal environmental impacts. It should be
noted that often the entire steam generator is called the boiler. Technically
speaking, while this term is very popular in the industry, it is not accurate
because, as it will be explained later, the boiling process is only one of the
processes in a steam generator.
Steam generators come in a wide variety of configurations, operating con-
ditions, capacities, shapes, and complexities. Accordingly, they can be catego-
rized based on many criteria. They can be classified based on the heat source,
application, configuration, operating pressure, capacity, fire and water loca-
tion, and water circulation mechanism.
The source of thermal energy in combustion-based steam generators can be
the combustion of traditional fossil fuels, such as coal, natural gas, or petro-
leum products; alternative fossil fuels, such as peat; biomass, such as wood,
corn husks, or straw; or municipal and industrial wastes. In some steam gen-
erators, steam generation is the secondary objective and the main objective is
to get rid of materials used as fuel, such as domestic and clinical solid wastes.
Steam generators can generate steam either for power generation in steam
power plants or for industrial and residential applications. The former steam
generators are generally referred to as utility steam generators and the latter
steam generators are called industrial steam generators. There are also units
that produce steam for both electricity generation and industrial applications
known as cogeneration or combined heat and power (CHP) units, which
will be covered in Chapter 10. Industrial steam generators may be used in
petroleum refineries, food processing, and paper manufacturing, as well as
many other applications. They usually produce either saturated steam (not
superheated steam) or hot water with relatively low capacities at typically
low pressures.
Utility steam generators can be either subcritical at the operating pressure
of below 180 bar (about 2600 psia) or supercritical at the pressure of higher
than 240 bar (about 3500 psia), above the water critical pressure of 220.6 bar
(3200 psia), up to 340 bar (about 5000 psia). The range of steam generation
capacity in utility steam generators can be 125–1250 kg/s (about 1–10 million
lbm/h) at the temperature of up to 750°C (about 1400°F). They can be either
drum-type or once-through type. Regarding locations of fire and water-
steam, steam generators can be shell-type, fire-tube, or water-tube units.
The water circulation mechanism can be either natural circulation or con-
trolled (forced) circulation. Small steam generators can be packaged factory-
assembled but utility steam generators are typically field-erected.1

1 Do not panic if these terms are unfamiliar! We will extensively discuss all of them through-
out this chapter.
198 Power Plant Engineering

Our discussion on steam generators will begin with the thermodynamics

of steam generation followed by the history of their development from early
steam generators to modern ones.

3.1.2 Thermodynamics of Steam Generation for Steam Power Cycles

Thermodynamically speaking, a steam generator converts compressed liquid
water to superheated steam at a constant pressure process. In Chapter 2, we
learned that increasing the average temperature at which heat is supplied to
a Rankine cycle improves the efficiency of the cycle. This can be achieved by
increasing the temperature and pressure of the generated steam in the steam
generator. The cycle efficiency can also benefit from superheating the outlet
steam. However, due to material limitations of turbine blades, the maximum
temperature of the outlet steam flow from the steam generator is limited. We
also learned that reheating steam after the initial expansion process in the
turbine can significantly improve the cycle efficiency.2

3.2 Historical Development of Steam Generators

Humanity has boiled water for cooking since 40,000 BCE. However, the early
steam generators for power generation started to appear in the late 17th and
early 18th centuries. Today’s modern steam generators are the result of over
300 years of experience in the industry.

3.2.1 Early Steam Generators

The early steam generators were just like large kettles, hence the name shell-
type or kettle boilers. In these boilers, fire directly heated the outer surface
of the shell which, in turn, heated the water inside the vessel. Since water and
steam were both present in the same vessel and were in equilibrium, these
boilers could only generate saturated steam. The boiler that Newcomen
used in his engine (Section 2.2) was of this type and was called a haycock
boiler. The boiler of Watt’s engine was similar but with the shape of a cov-
ered wagon, hence the name the wagon boiler. Until the late 18th century the
only metal available to manufacture boilers was (riveted) copper plates. In
the early 19th century, iron plates were also used for boiler manufacturing,
which allowed a substantial increase in steam pressure (with standards of
those days). Later boilers were iron-casted in cylindrical shapes with dished
ends. In shell-type boilers, due to limited heat-transfer areas and short con-
tact time between combustion products and shell surfaces, most of thermal

2 For more detailed discussions on the thermodynamics of steam generators, please review
Chapter 2.
Steam Generators: Water-Steam Side 199

Flue gas to
stack Saturated
steam

Combustion
products

Water
Water

Fire
Feedwater
Drain
Support

FIGURE 3.1
Schematic of Trevithick fire-tube boiler.

energy of fire was lost. To increase heat-transfer surfaces and improve the
efficiency of these boilers, thermal energy was internally transferred to water
through tubes inside the vessel while the water surrounded the tubes inside
the shell (Figure 3.1). These boilers were the first generation of fire-tube
boilers in which fire was inside the tubes and water was on the shell side.
Richard Trevithick (a British inventor and mining engineer and the inventor
of the first steam locomotive, 1771–1833) was a pioneer in these developments.
In later boilers, to further increase heat-transfer surfaces and steam genera-
tion capacity, the number of tubes and paths was increased (Figures 3.2 and 3.3).
Regarding the location of the combustion process, fire-tube boilers could be cat-
egorized as fire-box and Scotch marine steam generators. In the former, com-
bustion occurred in the fire-box outside or inside the vessel, and combustion
products were directly fed to fire tubes (Figure 3.2). In Scotch marine boilers,
combustion took place in the cylinder(s) located inside the shell at the bottom
(Figure 3.3). In this type, combustion products were fed to fire tubes parallel
to the combustion tube. Scotch marine boilers were commonly used to propel
ships and were usually fueled with gaseous or liquid fuels. In terms of the
orientation of tubes, fire-tube boilers could be horizontal, vertical, or inclined.
Since in fire-tube boilers the entire body of water should be heated to raise
steam, these units were slow in steam generation and slow in responding to
demand changes. Furthermore, in these boilers, the scale deposition of water
outside tubes was difficult to remove.
As time passed, demand for electricity increased, which required more
steam generation capacity. This meant larger steam generators. The large
diameter of pressure vessels used in these steam generators resulted in high
stresses on the shell which, in turn, required thick shells (refer to Reminder
200 Power Plant Engineering

Flue gas to
stack

Saturated
steam

Third pass

Second pass

First pass

Feedwater
Drain
Fire-box Support

FIGURE 3.2
Schematic of horizontal fire-tube fire-box boiler.

Flue gas to
stack

Saturated
steam

Second pass

Combustion tube

First pass

Burner
Drain Feedwater
Support

FIGURE 3.3
Schematic of horizontal fire-tube Scotch marine boiler.

Box 3.1). Moreover, as discussed in Section 2.3.2.2, higher steam pressures

improve the efficiency of power cycles. Therefore, the pressure of steam gen-
erators was continuously increased. As a consequence of high steam pres-
sures and larger boilers, there were many disastrous boiler explosions (refer
to FYI Box 3.1).
Steam Generators: Water-Steam Side 201

REMINDER BOX 3.1

CIRCUMFERENTIAL STRESS IN CYLINDRICAL

CONTAINERS
Let us consider a simple cylinder with the diameter of D (and the
radius of R) and the thickness of t exposed to the internal pressure of P
(Figure 3.4). The circumferential force induced on the shell is equal to
PDL. Using the “thin wall” assumption (which means the radius of the
cylinder is much greater than its thickness), the circumferential stress
can be determined as follows:

PDL PD PR
Circumferential stress = = = (3.1)
2tL 2t t

If the allowable stress of the material is Smin, the thickness of the shell
can be calculated as

PR
t= (3.2)
Smin

This equation indicates that for a vessel made of metal with given
allowable stress, the thickness of the wall is directly proportional to the
radius of the cylinder and the internal pressure of the vessel.

t
P

D
Pressure
force

Stress
force

FIGURE 3.4
Schematic of circumferential stress in walls of cylindrical containers.
202 Power Plant Engineering

FYI BOX 3.1

BOILER EXPLOSIONS
Fatal boiler explosions with many casualties were common phenomena
in the 19th and early 20th centuries. The problem was so intense that
the progress in the industrial revolution depended on addressing this
problem. In the 1880s, there were thousands of boiler explosions in the
U.S. alone. Among them, the explosions of boilers in steamboats were
particularly catastrophic.
In 1858, the boiler explosion at the steamboat Pennsylvania resulted
in more than 250 dead. In 1865, at SS Sultana, a Mississippi River side-
wheel steamboat, three of the ship’s four boilers exploded killing 1800
of its 2400 passengers (more than the casualties of Titanic sinking). This
was the greatest maritime disaster in the U.S. history.
The American Society of Mechanical Engineers (ASME) was founded
in 1880 mainly for regulating boiler manufacturing and inspec-
tion. However, the efforts failed mainly due to the unwillingness of
the stakeholders to reveal their trade secrets. Meanwhile, explosion
incidents and casualties were mounting to hundreds of people every
year. The Grover Shoe Factory disaster was a major turning point for
mandatory safety regulations and the role of ASME in setting these
regulations and enforcing them. In 1905, the boiler of the Grover Shoe
Factory in Massachusetts exploded killing 58 people and injuring
150 more. This disaster and another fatal Massachusetts shoe factory
boiler explosion outraged the nation. Regardless of the objections of
manufacturers on this so-called “needless government interference”,
first in Massachusetts and later in other states, state-wide regulations
were passed to improve the quality of boiler manufacturing and the
safety of their operation. But discrepancies between these codes were a
major problem for companies. This led to the development and publica-
tion of the first nation-wide ASME Boiler and Pressure Vessel Code in
1915. While these regulations almost eliminated those incidents, boiler
explosions still cause casualties. In 2001, a steam generator explosion in
Medina County Fair, Ohio killed five people and injured 40 more.

These days shell-type and fire-tube steam generators are no longer used
in power generation cycles. The former is still used where the shell is not
exposed to direct fire. For example, for residential applications, they are uti-
lized in electric boilers or water heaters where heating electrical elements are
submerged in water. In industrial applications, they are used in accumula-
tors where heat is supplied by an external hot flow that goes through tubes
inside the shell. Fire-tube steam generators are still used for some low pres-
sure and low steam capacity industrial steam generation.
Steam Generators: Water-Steam Side 203

3.2.2 Water-Tube Steam Generators

As mentioned in the previous section, in fire-tube steam generators, the large
diameter of the shell created unacceptably large stress on the vessel walls.
The idea of water-tube boilers was to place water inside the tubes while flue
gas surrounded the tubes in the shell. The configuration of early models was
similar to fire-tube steam generators. Later more advanced designs of these
steam generators had two main components: water tubes and a drum. Water
was circulated inside the tubes and was heated by combustion product gases
flowing outside the tubes. The separation of steam and water took place in
a vessel, typically a cylindrical one, called the drum. Also, the drum sent
saturated water into the tubes and received the mixture of water and steam
from the tubes. Since a limited amount of water flowed inside the tubes, this
type of boilers could be quickly heated to raise steam and could relatively
rapidly respond to the variation in demand. Also, due to the relatively small
diameter of the tubes and the drum, the stress level on the tube and drum
walls was significantly lower compared to that of fire-tube steam generators.
The idea of water-tube steam generators was first introduced in the 1760s.
During the next 100 years, many configurations were proposed and built.
But the most important breakthrough was introduced by George Herman
Babcock (an American inventor, 1832–1893) and Stephen Wilcox (an American
inventor, 1830–1893). They invented inclined water-tube boilers (Figure 3.5).
They called their steam generators “nonexplosive boilers” and founded the
Babcock & Wilcox Company to manufacture their design.
Early water-tube steam generators had straight tubes (Figures 3.5 and 3.6).
In these steam generators, the drum received hot water from the last

Saturated
steam
Drum

Boiling
water

Superheater
Water-tubes
Superheated
steam
Downcomer

Coal Flue gas to

stack

Furnace Flue gas f low Baffle

FIGURE 3.5
Schematic of a parallel-drum inclined water-tube steam generator with a superheater.
204 Power Plant Engineering

feedwater heater. The nearly saturated water was sent to the tubes through
downcomers or downtakes. The water was then distributed among the
tubes through the headers. Water inside the tubes received thermal energy
from combustion product gases and was partially boiled. The mixture of
water and steam was collected in another set of headers and was returned
to the drum through the risers or uptakes. In the drum, water and steam
were separated and steam was sent to the superheater. In addition to being
safer, these steam generators increased heat-transfer surface areas and
improved water circulation.
In early water-tube steam generators, the drum was arranged parallel to
the tubes and was called the parallel or longitudinal drum (Figure 3.5). The
number of tubes that could be connected to this configuration was limited
and insufficient for high-capacity boilers. So sometimes more than one longi-
tudinal drum was used. In order to overcome this problem, the cross drum
arrangement was used where the drum was perpendicular to the tubes and
could accept many more tubes (Figure 3.6).
The circulation of water in these steam generators was due to the density
difference between flows in the downcomer and riser. The inclined tubes at
about 15° enhanced water circulation. Since no external driving force, such
as a pump, was used for water circulation in the system, they were called
natural circulation steam generators. In order to increase the exposure of

Saturated
steam

Drum
Walls Superheater

Superheated
steam
Riser Baffle Saturated
water
Downcomer
Header
15°
Wate
rtubes Header
Furnace

Flue gas to
stack

Fuel
combustion

FIGURE 3.6
Schematic of a cross-drum inclined water-tube steam generator.
Steam Generators: Water-Steam Side 205

the tubes to combustion products (by increasing heat-transfer surfaces

and the time of heat-transfer processes) and improve the efficiency of heat-
transfer processes between combustion gases and tubes, baffles could be
used to guide gases through up to three gas passages, which divided heat-
transfer areas into several regions in series with respect to the flue gas flow
(Figures 3.5 and 3.6).

3.2.3 Bent-Tube Steam Generators

Although cross-drum strait-tube steam generators allowed much more tubes
to enter and leave the drum compared to their predecessors, they could
not cope with increase in steam demand. Bent-tube steam generators could
address this problem. The bent tubes in these steam generators could enter
and leave drums radially. With this design, several rows of tubes could be
connected to a single drum. This also allowed more than one drum to be
used in bent-tube steam generators, top and bottom drums (Figure 3.7).
Those days the quality of feedwater used in steam generators was poor. To
collect and remove sediments from water, downcomers were connected to a
bottom drum called the mud drum or water drum. Makeup feedwater also
entered this drum.

Steam drum

Saturated
steam
Flue gas
to stack
Superheater

Downcomer

Superheated
steam
Watertubes
Burner

Feedwater

Water drum

FIGURE 3.7
Schematic of a bent-tube water-tube steam generator.
206 Power Plant Engineering

In the early 20th century, bent-tube Stirling steam generators (named

after its inventor Allan Stirling) were very popular for stationary and
marine steam generation (Figure 3.8). They had two sets of drums: top
drums (also known as steam drums) and bottom drums (also known as
water drums or mud drums). In this type of steam generator, tube banks
were directly connected to the drums (with no downcomers, risers, or dis-
tribution headers). These steam generators could have three, four, or five
drums (Figure 3.8). The number of tube banks connecting these drums was
one less than the number of drums, i.e., two, three, or four tube banks,
respectively. In these steam generators, one or two tube banks acted as
downcomers circulating water from the top drums to the bottom drums,
and the rest of the tube banks acted as risers to return the mixture of water
and steam to the top drums. Note that both water and steam halves of all
top drums were connected (Figure 3.8). Similarly, the bottom drums were
connected. These steam generators were able to operate with low-quality
feedwater. Also, they could be fueled with various fuels while being able to
follow steam demands.
Later simpler Milne boilers with two drums, one top drum and one bottom
drum (Figure 3.9). There were also other types of steam generators, such as
Yarrow, White-Forster, and Thornycroft among others. Some steam genera-
tors also used a pump to circulate water flow through tube banks (forced-
circulation steam generators).

Connectors Steam drums

Connector Water drums

FIGURE 3.8
Schematic of a Stirling steam generator with five drums and four tube banks.
Steam Generators: Water-Steam Side 207

FIGURE 3.9
Schematic of a Milne boiler.

3.2.4 Waterwall Tubes
Until the 1920s, the increase in steam demand was met by employing several
parallel steam generators. But this trend could not continue due to the com-
plexity and costs of these systems; therefore, larger steam generators were
needed. The high required thermal energy input of these larger units was
met by furnaces with higher combustion rates. Note that in this discussion,
the furnace refers to a large enclosed space where the combustion process
takes place. But the higher temperature of these new furnaces required bet-
ter furnace wall protection to reduce the temperature of combustion gases
before they encountered the tube banks. The flue gases leaving the furnace
could overheat the tubes downstream of the furnace if their temperatures
were too high. Those days furnace walls were made of fire resistance blocks
or bricks. They not only had to resist very high temperatures (sometimes as
high as 1600°C, about 2900°F) but also needed to tolerate thermal stress due
to temperature fluctuations, which could cause crack in the material.
The solution came in the form of furnaces with water-cooled walls, or
in short waterwalls. Due to a very high heat-transfer rate during the boil-
ing process, this process is ideal for cooling purposes. These water tubes
in furnace walls not only reduced the temperature of furnace walls and
208 Power Plant Engineering

combustion gases leaving the furnace but also helped to raise steam. This
reduced the size of the boiler or evaporator (the section that converts water
to saturated steam). The tubes used to cool down furnace walls gradually
became an integral part of steam generators. The introduction of waterwalls
eventually led to the integration of all components of steam generators to a
single block.
The pressure of steam generators also increased over time. The latent heat
of vaporization of water (hfg) reduces significantly with increase in the pres-
sure. The heat of vaporization is zero above the critical pressure of water
because there is no two-phase mixture and water-like fluid is directly con-
verted to steam-like fluid. As a result, at high pressures, less heat is required
for the phase change from water to steam, and thus, the size of the evaporator
of steam generators reduces. In fact, at pressures above 100 bar (about 1500
psia), waterwall tubes can provide the entire heating surface required for
the evaporator. This frees more space in steam generators for more super-
heating and reheating surfaces, which can further improve the efficiency of
steam power cycles.

3.2.5 Economizers
To increase the temperature of the inlet feedwater to the drum, economizers
were introduced to steam generation units. In early units, since there were no
feedwater heaters, the cold water from the condenser was directly fed to the
economizer. This caused some problems including the condensation of vapor
in combustion products on the outer surface of the economizer tubes (since
the temperature of the tube’s outer surface was below the dew point of the flue
gas). This caused corrosion of the tubes due to the presence of sulfide oxides
in the flue gas. Also, the fouling of the tubes due to the collection of ashes on
the wet outer surfaces of the tubes required frequent cleaning. Furthermore,
the heating of the cold feedwater in the economizer released oxygen dissolved
in the feedwater, which caused corrosion in the inner surfaces of the tubes. To
address these problems, feedwater heaters were added to increase the tempera-
ture of the inlet feedwater to the economizer to above the dew point of the com-
bustion products (feedwater heaters will be discussed in Chapter 7). Moreover,
the addition of an open feedwater heater (deaerator) to remove oxygen in the
feedwater eliminated the oxygen corrosion problem.

3.2.6 Reheaters
As noted earlier in Section 2.3.3, reheaters are used to add more thermal
energy to steam after a partial expansion in the turbine to increase the power
output of the turbine and improve the quality of steam in the low-pressure
sections of the turbine. While reheaters were used in a few steam power
plants before World War II, they became popular and later a standard com-
ponent of utility steam generators in the late 1940s and the 1950s.
Steam Generators: Water-Steam Side 209

3.2.7 Pressure and Temperature of Stream Generators

As stated earlier, a higher steam generator operating temperature and pres-
sure result in a higher overall efficiency of steam power plants. Early boilers
generated saturated steam at a few bar (a few tens of psia). By the early 1900s,
the pressure of steam generators increased to over 10 bar (about 150 psia) and
steam was superheated by 40°C (about 70°F) above saturation temperature.
The steam pressures and temperatures increased to 30–40 bar (about 400–600
psia) and 250°C–300°C (about 500°F–600°F), respectively, by the mid-1920s.
By the late 1920s, the steam pressure and temperature further increased to 80
bar (about 1200 psia) and 370°C (about 700°F), respectively.
Since a drum was the largest under-pressure vessel in steam generators,
the operating condition of the drum were the most severe among steam gen-
erator components. Since the early days of the steam generation industry,
drums were made of metal plates that were formed and riveted to build the
vessel. To seal the joints, they were caulked. While metal used for these plates
was improved over time, the overall manufacturing method did not change
until the late 1920s. The first welded drum was operational in the early 1930s.
This allowed a significant increase in the operating pressure of steam genera-
tors to about 125 bar (about 1800 psia), very impressive by the standards of
those days. Further improvements in the metal properties led to the increase
in the steam temperature up to 500°C (about 925°F) by the late 1930s. By the
late 1940s, this temperature exceeded 540°C (about 1000°F). By the mid-1950s,
the operating temperatures and pressures of 650°C (about 1200°F) and 365
bar (about 5300 psia) were achieved in a supercritical unit, which is still one
of the highest operating temperature and pressures that have been ever
attempted. However, due to some problems, such as ash deposition and cor-
rosion, standard temperatures and pressures were settled at more moderate
values.
Currently, a typical subcritical steam generator operates at about 180
bar (about 2600 psia) with a superheater and reheater temperature of about
560°C (1040°F). This arrangement is typically shown as 180 bar/560°C/560°C
(about 2600 psia/1040°F/1040°F). Supercritical steam generators typically
operate at similar temperatures but at much higher pressures. A typical
arrangement can be 250 bar/570°C/570°C (about 3600 psia/1060°F/1060°F).
The highest temperatures and pressures that are commercially available are
ultra-supercritical steam power plants with the typical arrangement of 275
bar/600°C/620°C (about 4000 psia/1110°F/1150°F). Even higher temperatures
and pressures are gradually becoming available in so-called advanced ultra-
supercritical steam power plants operating at 330 bar/650°C/670°C (about
4800 psia/1200°F/1240°F).3

3 https://www.ge.com/power/steam/steam-power-plants/advanced-ultra-superc ritical-
usc-ausc.
210 Power Plant Engineering

Note that with improved efficiency of power plants not only the fuel
consumption rate reduces but also the size of equipment reduces. In steam
generators, this means smaller heat-transfer areas. Also,increasing the
operating pressure of steam cycles impacts the relative size of various com-
ponents of steam generators. With increasing the operating pressure, the
size of the evaporator reduces while the size of the superheater and reheater
increases.

FYI BOX 3.2

RATING OF STEAM GENERATORS
One of the units used to rate steam generators has been boiler horse-
power (BHP). Initially, one BHP was defined as 10 ft2 of the steam gen-
erator’s heat-transfer surface area. But obviously, this was not a proper
definition because the amount of heat transfer depends on the tempera-
ture difference between the flows and heat-transfer mechanisms (and
not just heat-transfer area). Clearly, the rating should refer to the heat-
transfer capacity (the time rate of heat transfer) of the steam generator,
and the heat-transfer surface area is only one of the parameters affect-
ing the rate of heat transfer. Currently, one boiler horsepower is equal
to 33,480 Btu/h.

3.3 Arrangement of Modern Steam Generators

The configuration of utility steam generators greatly varies depending on
the fuel, combustion system, and required steam flow rate and its conditions,
along with many other parameters. However, all modern steam generators
have a furnace enclosed with waterwall tubes where the combustion pro-
cess takes place. The combustion products then pass through many heat-
transfer surfaces with various functions such as superheaters, reheaters, and
economizers. In modern steam generators, all components to operate and
control the system are integrated into a single unit. Figure 3.10 illustrates
the schematic diagram of a typical modern drum-type steam generator. In
Section 3.5, we will discuss another type of modern steam generators, i.e.,
once-through steam generators.
Now let us take a closer look at the processes within a drum-type steam
generator. Figures 3.11 and 3.12 illustrate the schematic diagrams of an
evaporator loop and a typical modern drum-type steam generator, respec-
tively. First, hot feedwater from the last feedwater heater enters the econo-
mizer (Flow 1 in Figure 3.12) and leaves as saturated water or a low-quality
Steam Generators: Water-Steam Side 211

Superheater To turbine
From feedwater
heater Drum
Economizer
Reheater From turbine

Back to turbine
Waterwalls

Furnace

FIGURE 3.10
Schematic diagram of a typical modern drum-type steam generator.

3 Drum

Upper header
7 4

Downcomer

Heat addition
in furnace
Waterwall
tubes
6

5
Lower header

FIGURE 3.11
Schematic diagrams of an evaporator loop in a drum-type steam generator.

mixture of steam and water (Flow 2). The outlet of the economizer enters the
midpoint of the drum (Flow 3 in Figures 3.11 and 3.12). Due to the natural
circulation effect, the water circulates the waterwall tubes through the verti-
cal downcomers and the bottom waterwall header system, which are typi-
cally located outside the furnace and well-insulated (Flows 4, 5, and 6). The
headers, also known as manifolds, are to distribute or collect the working
212 Power Plant Engineering

Secondary
superheater
Primary Attemperator
superheater 9 11

8
3 Reheater
7
4 10
Blowdown Attemperator 2 Economizer
Upper headr
1
Downcomer

Furnace
Waterwalls

5 5
Lower header

FIGURE 3.12
Schematic of a modern steam generator.

fluid to or from the waterwalls. The heat transfer from combustion gases in
the furnace to the waterwall tubes boils the water (Figure 3.11). The boiling
water returns to the drum through the upper headers and risers (Flow 7),
sometimes mixed with the flow from the economizer. In the drum, the steam
and water are separated and the steam is sent to the primary and secondary
superheaters (Flow 8).
The superheated steam is then sent to the high-pressure turbine where it
expands and produces shaft work (Flow 9). The intermediate pressure steam
from the turbine (Flow 10) is returned to the steam generator where its tempera-
ture increases in the reheater. All modern utility steam generators have at least
one stage, and often up to a maximum of two stages of reheating. The steam
exiting the reheater(s) is returned to the lower pressure turbines (Flow 11).
While not common in utility steam generators, most industrial steam gen-
erators have a dedicated evaporator, called the boiler bank, to provide suf-
ficient heat-transfer surface areas for the boiling process. They may be also
equipped with a few rows of heat-transfer surfaces between the furnace and
the superheater. This section, called the screen, is to shield and protect the
Steam Generators: Water-Steam Side 213

superheater from intense radiation of the furnace (not shown in Figure 3.12).
Note that there are a few parts that will be discussed later.

3.3.1 Radiant and Convection Sections of Steam Generators

The heat transfer to tubes in steam generators can be by radiation or con-
vection (for more information on these heat-transfer mechanisms please refer
to Reminder Box 3.2). In all furnaces, combustion gases emit radiant thermal
energy but the amount of this energy and its contribution to the total heat
transfer depend on many factors, including the fuel type and the combustion
technology. Depending on the dominant heat-transfer mechanism, a certain
heat-transfer surface may be characterized as a radiant or convection type. The
radiant part of steam generators should have a direct view of the combustion
in the furnace. The heat transfer in waterwall tubes is commonly radiation,
which is why they are also called radiant evaporators (boilers). Depending
on the configuration of a steam generator, superheaters can be either convec-
tive or radiant superheaters. The part of the steam generator where convection
is the dominant heat-transfer mode is called the convection pass, which can
include reheaters, economizers, and a portion of superheaters.

REMINDER BOX 3.2

HEAT-TRANSFER MECHANISMS
There are three modes of heat transfer: conduction, convection, and
radiation. Conduction is heat transfer due to the vibration of molecules
of a heat-transfer medium, which can be determined by Fourier’s law:

dT
Q = kA (3.3)
dx
where Q is the time rate of heat transfer (W), k is the conductivity (W/
mK) which depends on the properties of the medium, A is the heat-
dT
transfer area (m2), and is the temperature gradient along the
medium (K/m). dx
Convection is heat transfer due to the flow (bulk motion) of a heat-
transfer medium, which can be determined by Newton’s law:

Q = hA∆T (3.4)

 W 
where h is the heat-transfer coefficient  2  which depends on the
 m K
characteristics of the flow especially its velocity and ∆T is the tempera-
ture difference between the heat-transfer surface and the flow (K).
214 Power Plant Engineering

Radiation is heat transfer by electromagnetic waves, which can be

determined by the following equation:

(
Q = εσ A Th4 − Tc4 ) (3.5)

 W 
where σ is the Stefan-Boltzmann constant  5.67 × 10−8 2 4  , ε is the
 mK 
emissivity (unitless), and Th and Tc are the absolute temperatures of
hot and cold bodies (K). The emissivity depends on the properties of
the emitting surface. In heat transfer from combustion products to
water or steam in the tubes within a steam generator, all three heat-
transfer mechanisms are involved. This heat-transfer process can be
divided into three distinct regions (Figure 3.13). The first region is
the heat transfer to the outer surface of the tubes. This can be either
through radiation directly from the flame, fuel bed, other tubes, or
furnace walls to the tubes; through convection from the moving high-
temperature flue gas to the outer surface of the tubes; or a combina-
tion of the two mechanisms. Second, the heat is transferred through
the tube walls by conduction. Depending on the conditions of the
tube wall, this may involve conduction through a layer of soot and
a gas film on the outer surface of the tubes and a layer of scale and a
water or steam film in the inner surface of the tubes. Finally, the heat
is transferred to the water or steam inside the tubes through convec-
tion. Among these three heat-transfer modes, the greatest resistance
is typically in the heat transfer from the flue gas to the outer surface of
the tubes.

Conductions
Convection Water-
Water - steam layer

steam
flow
Tube wall
Gas layer

Scale
Soot

Flue
gas Convection

Radiation

FIGURE 3.13
Heat transfer from flue gas flow to water or steam flow inside a tube.
Steam Generators: Water-Steam Side 215

3.4 Components of Modern Steam Generators

Modern steam generators are composed of all or some of the following com-
ponents on the water-steam side: the boiler tube banks (usually in industrial
steam generators), waterwalls, steam drum, superheater, reheater, econo-
mizer, and steam control equipment. All these components and combustion
side components (which will be covered in Chapter 4) are integrated into a
single unit. In the past, these components were designed and manufactured
by various manufacturers and then were assembled to form a single coordi-
nated system. However, in the modern steam generator manufacturing prac-
tice, many major components are designed, manufactured, and assembled
by a single company in an integrated design. In this section, we will discuss
these components, their functions, and their designs in more detail.

3.4.1 Waterwall Tubes
In modern utility steam generators, waterwall tubes form the entire walls,
roof, and bottom of the steam generator, and no other physical structure
is needed to contain combustion gases in the furnace and other compo-
nents. They provide sufficient heat-transfer surface area for the evaporation
process, and no dedicated evaporator is needed. In low-pressure steam gen-
erators, usually in industrial ones, waterwalls may not provide a sufficient
heat-transfer surface area, and an extra boiler bank may be required. These
boiler banks typically have steam and water drums connected with bent
tubes (similar to the steam generator in Figure 3.9).
Waterwall tubes may be arranged in several configurations, including bare
tubes, embedded in the refractory, studded tubes, or membrane design
(Figure 3.14a–d, respectively). In all these configurations, waterwall tubes
are welded to create pressure-tight walls, so no other casing is required to
contain steam generator components. Membrane waterwalls are the most
common design in modern steam generators. In this design the rows of
parallel tubes with small spacing are connected by the welded bars (metal
strips) between them. They are typically manufactured in the form of mem-
brane panels in the factory, up to about 3 m (about 10 ft) wide and 30 m (about
100 ft) long, and then shipped and assembled in the field. The material of
these tubes is relatively inexpensive carbon steel or low alloys because the
boiling process limits the temperature of the tube walls, so expensive high-
temperature-resistant alloys are not required. Note that the roof and floor
of the furnace are also made of water-cooled tubes. In these areas, the tubes
are inclined to ease water circulation and avoid steam trapping and poten-
tial tube overheating. In fact, the entire steam generator, including super-
heaters, reheaters, and economizer, are enclosed by gas-tight tubes. These
tubes should be able to stand exposure to high temperature in the furnace
216 Power Plant Engineering

Refractory

Waterwall- Studs
tubes Membrane
bars

Refractory
Waterwall-
tubes
(a) (b) Insulation
Metal lagging
(c) (d)

FIGURE 3.14
Different types of waterwall tubes: (a) bare tubes, (b) embedded in the refractory, (c) studded
tubes, (d) membrane design.

(up to 2000°C), thermal expansion, ash and molten ash in the flue gas flow,
and environmental elements, such as wind and earthquake. These tubes are
backed by appropriate insulations and sheet metals to reduce heat losses and
protect personnel from otherwise high-temperature walls. Before we discuss
the internal shapes of waterwall tubes, we need to know different water boil-
ing processes(Reminder Box 3.3).

REMINDER BOX 3.3

BOILING PROCESS
The function of the evaporator (boiler section) in a steam generator is
to remove the maximum amount of heat from combustion gases and
transfer it to the boiling water inside the tubes. Therefore, it is critical
to understand the nature of the water boiling process. Consider a tube
with water flowing inside the tube and the heat flux (heat transfer per
unit area) is applied to the outer surface of the tube. Since the amount
of heat transfer to the flow depends on the temperature difference
between the bulk of the water flow and the tube inner surface, this dif-
ference will be used as an indication of the heat flux to the water inside
the tube. At low-temperature differences, the heat transfer increases the
water temperature but not the saturation temperature. With increase in
the temperature difference, the temperature of the water adjacent to the
wall will eventually reach saturation temperature and will start to boil
locally. However, since the temperature of the bulk of the water has not
reached saturation temperature yet, as soon as steam bubbles are sepa-
rated from the surface, they will cool down and disappear. This process
is called local boiling, subcooled boiling, or subcooled-nucleate. With
further increase in temperature difference, the temperature of the bulk
Steam Generators: Water-Steam Side 217

of the water will increase and eventually will reach saturation tem-
perature. So when steam bubbles are formed on the tube surface and
are separated from the wall, they will not condense and the two-phase
flow will be formed. This water boiling mechanism, which has a very
high heat-transfer coefficient, is called nucleate boiling. The higher
temperature difference will result in larger bubbles at a higher genera-
tion rate. With even higher temperature difference, the rate of the steam
bubble formation will eventually reach the point that the entire heat-
transfer surface will be covered with superheated steam bubbles which
will prevent the direct contact of the water and the tube walls. This
boiling mechanism is called film boiling and the point that it starts
is called departure from nucleate boiling (DNB) or critical heat flux
(CHF). This boiling mechanism is characterized by a low heat-transfer
coefficient and should be avoided. The tube-wall temperature rapidly
increases in this situation, which may cause tube failure due to either
tube overheat or thermal fatigue due to temperature fluctuations. Also
note that for a similar reason, the full evaporation of water in the tubes
(100% quality of steam) is undesirable.

As noted above, the heat-transfer flux to waterwall tubes should be lim-

ited to avoid DNB in the evaporator. In modern steam generators, in order
to delay DNB and thus increase the heat-transfer flux and steam generation
rate, internally grooved, corrugated, or ribbed (rifled) tubes are utilized as
waterwall tubes (Figure 3.15a–c, respectively). These tubes induce rotation in
the water flow inside tubes. The centrifugal force produced by this rotation

(a) (b) (c)

FIGURE 3.15
Schematics of interior of water tubes (a) internally grooved tube (b) internally corrugated tube
(c) internally ribbed (rifled) tube (note that schematics show the inner surface of the tubes).
218 Power Plant Engineering

pushes heavier water droplets toward the tube walls while lighter steam
moves to the center of the tubes which significantly delays DNB. Tubes with
internal helical ribs are the most common design.

3.4.2 Drum
As mentioned before, some steam generators, such as Stirling steam
generators, have both top (or steam) drums and bottom (water or mud)
drums. However, most modern steam generators, except once-through steam
generators which do not have any drum, have only one steam drum and in
this section the drum refers to this drum. Although the main objective of a
drum is to separate steam from boiling water, it also has other functions.
The drum provides saturated water that is recirculated through downcomers
to waterwall tubes. Then, the drum receives the mixture of water and steam
back. The return tubes from the waterwalls to the drum are spaced evenly
along the side of the drum to keep the distribution of the saturated mixture of
steam and water as uniform and consistent as possible throughout the drum.
Also, it receives feedwater from the economizer to makeup evaporated water
and mixes it with saturated water already in the drum. Furthermore, the
chemical treatment of the boiler water is done in the drum. Boiler blowdown
to control water quality is also taken from the water in the drum. Finally,
the drum functions as the accommodator of feedwater to control water flow
variations due to small load changes. In fact, the volume of the drum is typi-
cally determined by this function and the space requirements of the internal
components of the drum, particularly separators (refer to the next section).
Drums are enormous cylindrical vessels placed horizontally and about
half full of feedwater. Their length, diameter, and weight can be perhaps
about 30 m (about 100 ft), 1.8 m (about 6 ft), and hundreds of tons, respec-
tively. They may have many steam outlet nozzles (to superheater headers)
and many inlet nozzles from waterwall headers (containing boiling water)
and a few downcomer nozzles (to lower waterwall headers). The number of
steam outlet nozzles and boiling water inlet nozzles is determined to ensure
the uniform distribution of these flows along the drum. Note that in pressure
vessels, a nozzle refers to any inlet or outlet through the shell. Also a header
is a container to distribute or collect flow among many tubes.
Drums are made of longitudinally welded rolled carbon steel plates,
referred to as courses, connected by circumferential welds and capped at two
ends with two typically hemispherical heads. The manufacturing process
of the drum typically includes many steps of preheating, welding, and heat
treatment processes. All welded joints are examined by radiography (X-ray)
tests or ultrasonic tests to ensure their integrity. The latter is usually used for
hard-to-reach joints. Moreover, all under pressure components are hydrauli-
cally tested at 1.5 times the design pressure.
One of the challenges in the design and manufacturing of drums is han-
dling thermal stress on the walls due to the temperature gradient in the
Steam Generators: Water-Steam Side 219

Saturated steam to surperheater

Riser inlet

Internal
shroud

Drum wall

Downcomer outlet
Separator

FIGURE 3.16
Schematic of a steam drum (internal components are not shown).

shell. As noted, the bottom half of the drum is full of saturated water and
the top half contains saturated steam. This creates a temperature gradient
between the two sections of the drum. One way to reduce this effect is using
a shrouded drum, where the mixture of water and steam returning from
the waterwalls is directed to the internal wall of the drum, so the entire wall
along the drum is exposed to the same flow (Figure 3.16). It should be noted
that this introduces a significant pressure drop to the flow and is typically
used in forced-circulation steam generators (refer to Section 3.4.3).
As noted drum water is continuously or intermittently blew down to control
dissolved solid concentrations in water. Reducing dissolved solids in drum
water also helps to control foaming on the surface of water in the drun. A heat
exchanger may be used to recover some of the thermal energy of the blow-
down flow before discharging it from the system. The magnitude of the blow-
down flow is measured relative to the steam flow rate leaving the drum (in %).

3.4.2.1 Calculation of Wall Thickness of Pressure Vessels

In Reminder Box 3.1 (circumferential stress in walls of cylindrical containers),
the simple calculation for the required wall thickness of cylindrical pressure
220 Power Plant Engineering

vessels was presented. In practice, this calculation is performed according

to codes. In the U.S., Canada, and many other countries the ASME codes
are used for this purpose. The European Union (EU), Japan, and some other
countries have also developed similar codes. These codes are enforced by
local, state, or national laws. Often, they are integrated into the contractual
agreements.
As noted in FYI Box 3.1, the ASME was established to regulate the steam
generator manufacturing industry. The ASME Boiler & Pressure Vessel
Code (BPVC) is the result of this effort. The ASME BPVC is an extensive
series of documents to ensure the high quality of all aspects of steam gen-
erator and pressure vessel design and manufacturing. They are developed
to ensure the safe and reliable operation of steam generators during their
expected life cycle. The BPVC consists of 12 sections, some with several divi-
sions, sections, and appendices. The list of these sections is as follows:

• ASME BPVC Section I: Rules for Construction of Power Boilers

• ASME BPVC Section II: Materials
• ASME BPVC Section III: Rules for Construction of Nuclear Facility
Components
• ASME BPVC Section IV: Rules for Construction of Heating Boilers
• ASME BPVC Section V: Nondestructive Examination
• ASME BPVC Section VI: Recommended Rules for the Care and
Operation of Heating Boilers
• ASME BPVC Section VII: Recommended Guidelines for the Care of
Power Boilers
• ASME BPVC Section VIII: Rules for Construction of Pressure Vessels
• ASME BPVC Section IX: Welding and Brazing Qualifications
• ASME BPVC Section X: Fiber-Reinforced Plastic Pressure Vessels
• ASME BPVC Section XI: Rules for Inservice Inspection of Nuclear
Power Plant Components
• ASME BPVC Section XII: Rules for the Construction & Continued
Service of Transport Tanks

While these codes have a mostly humble and relatively simple origin (the
entire first Boiler and Pressure Vessel Code published in 1915 was 147 pages),
over time they become very complicated technical-legal documents with
many cross references. These codes are reviewed and revised regularly (for
the BPVC every 3 years) and always the latest revision must be consulted.
For example, the ASME BPVC Section VIII, which is typically used for pres-
sure vessel design and manufacturing (including drums), have three divi-
sions and Division 1 alone has 777 pages in its 2017 edition. The objective of
Section VIII is “to enhance public safety and technological advancement to
Steam Generators: Water-Steam Side 221

meet the needs of a changing world”.4 The BPVC Section VIII, Division 1 pro-
vides guidelines for the design, construction, and testing of fired and unfired
pressure vessels when they are exposed to the operating pressure of over 15
psig (about 1 bar), either internally or externally.
For calculations of the shell thickness of pressure vessels, several codes
can be utilized, including Section IV; Section VIII, Division 1; and Section
VIII, Division 2. Each of these codes uses varying level of complexity in their
analyses with different safety factors. A more detailed calculation requires
a smaller safety factor. The safety factor is directly applied to the allowable
stress used in the calculation. The equation used for circumferential stress in
Section VIII, Division 1 is as follows (a similar equation exists for longitudi-
nal stress):

PR
t= (3.6)
SE − 0.6P
where t is the required shell thickness (in), P is the design pressure (psig),
R is the shell internal radius (in), S is the allowable stress at the design
temperature (psi), and E is the efficiency of the welded joints. In this equa-
tion, the design pressure and the shell radius are dictated from thermody-
namic and process requirements, the allowable stress can be determined
from the material property tables in the ASME BPVC Section II – Materials,
and E depends on the level of testing and inspection on welded joints. For
example, if all joints are fully X-rayed, E will be equal to 1. As you can see,
the equation does not have a safety factor within the equation. The safety
factor is already taken into account when the allowable stress was deter-
mined and listed in the BPVC Section II. That is why the allowable stress
used in the equation is not equal to any physical property of materials,
such as the ultimate tensile stress, but it is proportional to them. This large
safety factor, between 3 and 5, is to cover all unknowns, uncertainties, and
imperfections such as nonuniform loadings, localized stresses, and mate-
rial property variations.

Example 3.1
Determine the minimum wall thickness required for a drum with an
internal radius of 3 ft operating at an internal pressure of 2500 psig. The
drum is made of carbon steel SA-516 Grade 55 and all welded joints are
radiographed. Use the ASME BPVC Section VIII, Division 1 for the cal-
culation. Also, determine the safety factor of the design if the minimum
tensile stress of SA-516 Grade 55 is 55,000 psi.

4 https://www.asme.org/products/codes-standards/bpvcviii1-2017-bpvc-section-viiirules.
222 Power Plant Engineering

Solution
Givens:
P = 2500 psig
R = 3 ft = 36 in
Fabrication material = Carbon steel SA-516 Grade 55
All welded joints are radiographed.
Minimum tensile stress of SA-516 Grade 55 = 55,000 psi

Find:
Determine the minimum wall thickness required for the drum.

Analysis:
In order to use the given equation for the shell thickness in the ASME
BPVC Section VIII, Division 1, we need to determine S and E. As noted,
the allowable stress can be determined from the material property
tables in the ASME BPVC Section II – Materials, but we need to have
the operating temperature to find the allowable stress. Since the water
in the drum is boiling (water and steam are at the saturation condi-
tion), the operating temperature is roughly equal to the saturation tem-
perature at the operating pressure of the drum (it is assumed that the
drum is unheated and is located out of the pass of hot gases). Referring
to Table A.2, the saturated temperature of water at the pressure of
2515 psia (note that the pressure in thermodynamic property tables is
absolute pressure) is about 669°F. The allowable stress for carbon steel
SA-516 Grade 55 at the operating temperature of 650°F and 700°F is
14,800 and 14,300 psi, respectively (you can find these values from the
ASME BPVC Section II code or a simple internet search, for example at
http://www.metalspiping.com/applicability-allowable-stress-of-astm-
a516-gr-55.html). A linear interpolation between these two values gives
an allowable stress of 14,610 psi. Note that the allowable stress reduces
with increase in the operating temperature. Since all welded joints are
fully X-rayed, E = 1. So the thickness of the drum can be determined as
follows:

PR 2500 × 36
t= = = 6.86 in
SE − 0.6 P 14, 610 × 1 − 0.6 × 2500

You can verify your answer using some online tools such as
https://checalc.com/calc/vesselThick.html
In order to determine the safety factor of the design, Equation 3.2 can
be used.

PR 2500 × 36
tmin = = = 1.64 in
Smin 55, 000

t 6.86
Safety factor = = = 4.2
tmin 1.64
Steam Generators: Water-Steam Side 223

If a more detailed analysis is used for the calculation, for example based
on the ASME BPVC Section VIII, Division 2, the safety factor will be
smaller.

3.4.2.2 Steam Separation
The presence of water droplets in saturated water leaving a drum toward
superheaters is undesirable or even dangerous for the performance and
durability of steam generator components as is the presence of steam in
water outlet from the drum to waterwall tubes. The carryover of water
droplets to steam and the carryunder of steam to saturated water can
negatively impact the performance of a steam generator. The carryover
of water containing solid particles and solutions to the superheaters can
result in the deposition of these solids on the superheater tubes, which
may locally increase the temperature of the tubes and result in their burn-
out. These deposits, particularly silica deposits, may even reach to the
turbine. The silica deposits on the turbine blades are not removable with
water washing and may seriously damage the blades. The carryunder of
steam to waterwall tubes reduces the density of the flow in the downcom-
ers, which reduces the driving force for the natural circulation of the flow
(refer to Section 3.4.3).
Several mechanisms are used to help to separate steam from boiling water
in the drum. The simplest one, which was used in early steam generators,
is gravity separation. The driving force in gravity separation is the density
difference between water and steam. For low-capacity and low-pressure
steam generators, this mechanism is effective. However, with increase in the
operating pressure of steam generators, the difference in densities reduces
significantly. Also, with increase in the capacity of steam generators, the
velocity of steam leaving the water surface significantly increases, which
can result in a higher likelihood of the carryover of water droplets. These
two factors reduce the effectiveness of gravity separation. The latter problem
can be partly overcome by a larger drum which increases the surface area
and reduces the velocity of the steam leaving the water surface and allows
more time for the separation process. For modern steam generators however,
this will result in an unacceptably large drum. In modern utility steam gen-
erators, gravity separation alone cannot separate steam from boiling water,
and other means of separation, such as mechanical separation methods, are
required to supplement it.
Modern drums are commonly equipped with two series of steam separa-
tors, primary separators and secondary separators (Figure 3.17). The pri-
mary separation has two main functions to remove almost all steam from
circulating water to prevent steam from being sucked into the downcomers
and waterwall tubes and remove most of water droplets from steam.
224 Power Plant Engineering

To superheater

Primary separator
(Deflector
baffles)
Secondary
separator

To downcomers

FIGURE 3.17
Schematic of a primary separator (deflector baffles) and secondary separator.

The simplest form of these separators is deflector baffles which separate

steam from water by changing the direction of the flow (Figure 3.17). Other
primary separators utilize corrugated plates, screens (wire meshes), or
cyclone steam separators. In corrugated plates and screens, the large surface
area accumulates water droplets and allows steam to pass. Cyclone steam
separators operate based on the difference in the density of steam and water,
similar to gravity separation. However, in this case, centrifugal force created
by the tangentially admitted flow to the separator is much greater than grav-
ity force. This force separates the downward moving water flow on the wall
of the cyclone and the upward-moving steam flow in the center. This type
of separator is suitable for high-pressure steam generators where the differ-
ence between the density of steam and water is small. In many designs, cor-
rugated plates or screens are installed on top of cyclone steam separators to
supplement the separation process.
The secondary separation process is to remove small water droplets that
escape the primary separator and remove vaporized or solid contaminations
that may be carried by saturated steam. The corrugated plates, perforated
plates, or screens (discussed above) can be used for mechanical secondary
separators. Sometimes contaminants may not be removed mechanically and
water washing using relatively pure water from the economizer might be
required. This process is also called steam scrubbing or steam drying. In the
Steam Generators: Water-Steam Side 225

design and selection of all separators, the pressure drop through the device
is an important factor that should be taken into account in circulating water
calculations (refer to Section 3.4.3).

3.4.3 Circulation of Water
In order to have a flow of saturated water from a drum to waterwall tubes,
a driving force is required to overcome the pressure drop in the tubes and
connections. Steam generators can have either natural, thermosyphonic, or
thermal circulation or forced, controlled, or pumped circulation. In the for-
mer, the density difference between saturated water in the downcomers and
the mixture of water and steam in the risers and waterwall tubes provides
a driving force to compensate for the pressure losses in the tubes. The mass
flow rate of circulating water depends on the difference between the aver-
age density of the unheated leg of the loop and that of the heated one. This
driving force depends on the operating pressure, rate of heat addition to cir-
culating water, the height of the drum from the lowest point of the water
circulation path, and configuration of the boiler. It can be determined by the
following equation:

( )
∆p = gh ρliq − ρmix st & liq (3.7)

where ∆p is the pressure difference generated by the density difference

between unheated water and heated mixture of steam and liquid water
(kPa), g is the gravitational acceleration (m/s2), h is the height of the water
outlet of the drum from the lowest point of the water circulation path (m),
ρ water is the average density of unheated saturated water in the downcom-
ers (kg/m3), ρmix st & w is the average density of heated mixture of water and
steam in the risers and waterwall tubes (kg/m3). In the equilibrium steady-
state operation of a steam generator, the driving pressure (∆p) is equal
to the pressure drop created by flow friction in the tubes, local pressure
drops, and fluid acceleration. Also, note that the pressure difference is to
overcome pressure losses in the circuit, so all efforts should be made to
reduce the number of fittings and other sources of pressure loss, including
using large-diameter tubes.
In order to increase the driving pressure and the flow rate of circulating
water, the height of the drum and the density difference should increase. To
increase h, the drum is typically installed at the highest elevation possible
in the boiler room. Note that at high operating pressures, the density dif-
ference reduces, which, in turn, reduces the driving pressure and mass flow
rate. When the combustion rate and heat-transfer rate increase, the quality of
the water and steam mixture in the waterwall tubes increases. This, in turn,
increases the density difference, and hence the driving pressure and mass
flow rate are increased. Therefore, natural circulation steam generators have
an inherent self-control mechanism. This phenomenon may not be necessarily
226 Power Plant Engineering

desirable. The waterwall tubes are parallel with varying lengths, shapes,
and heat absorption. These differences create uneven driving forces and
pressure drops that can result in nonuniform flow rates in different tubes.
Designers should calculate the flow rate in each tube at all possible operat-
ing conditions to make sure that all tubes receive needed water flow to pre-
vent tube overheating and an unacceptable temperature gradient between
adjacent tubes. These calculations involve the determination of heat absorp-
tion in each tube at all possible loads and transient conditions considering
furnace configuration, all fuels, varying thickness of tubes with internal and
external deposits (scale deposit and ash coverage, respectively) depending
on the cleanliness of the tubes, and varying tube internal diameters (due to
manufacturing tolerances). Any significant mistake in these calculations can
be impossible to fix and may result in the permanent loss of steam genera-
tion capacity and/or reduced operating pressure. Another problem with nat-
ural circulation steam generators is their long start-up period. Since water
circulation in the waterwall tubes depends on heat absorption by the tubes,
during the start-up the firing rate should be gradually increased until there
are sufficient water flows in all tubes for the full combustion rate.
In many large modern steam generators, the natural circulation force is
sufficient to circulate water from the drum to the waterwall tubes, so they
are called natural, thermosyphonic or thermal circulation steam generators
(Figure 3.18). Some steam generators need a supplementary external driving
force via a circulating pump between the drum and the waterwalls to pres-
surize saturated liquid water in the downcomer pass. In this case, the com-
bined driving forces of the pump and density difference should be equal to
the pressure drop in the circulating water-steam loop (Figure 3.18). Although
the head (required pressure) of these pumps is relatively small, due to the
high pressure of the feedwater and the water being saturated, their operating

Drum

Water wall
tube
Orifices

Header Boiler circulating

pump
(a) (b)

FIGURE 3.18
Schematics of (a) natural circulation and (b) forced-circulation steam generators.
Steam Generators: Water-Steam Side 227

condition is severe, and their design requires special attention. These units
are called forced, pumped, or controlled circulation steam generators and
were introduced in the early 1940s for the first time. This type is particularly
useful for high-pressure steam generators (above 200 bar, about 2900 psia)
because at high pressures, the difference between the density of saturated
liquid water and saturated steam reduces, which reduces the natural driving
force. If a sufficient driving pressure for circulation is not provided, the flow
rate of feedwater in all or some tubes reduces, which may result in DNB and
tube burnout.
As noted above, ensuring appropriate flow rates in waterwall tubes is a
challenging task for the design of natural circulation steam generators. In
forced-circulation steam generators, due to the availability of pressure head,
this problem is addressed by adding flow distributing orifices in the inlets of
waterwall tubes (Figure 3.18). These orifices are simply plates with a hole in
the center that impose restriction (i.e. pressure drop) to the flow. The pressure
drop depends on the diameter of the hole relative to the internal diameter
of the tube. This pressure drop, which is greater than the pressure drop in
the rest of the system, helps designers to balance the flow rate in the tubes
regardless of many varying parameters (mentioned above), particularly the
heat absorption of each tube.
While the addition of a boiler circulation pump adds to capital costs and
slightly increases operational costs, it provided many other advantages. In
forced-circulation steam generators, smaller diameter tubes can be used for
waterwalls tubes, which reduces the weight and stress of the tubes. Also,
unlike natural circulation steam generators, in these steam generators, the
water flow in the waterwall tubes is independent of tube heating, which
helps rapid start-up and load change. The fact that these steam generators
can be equipped with a shrouded drum improves this attribute. This rapid
load-flowing characteristic is a very important factor for power plants that
are under cycling loads.

3.4.4 Superheaters and Reheaters

Superheaters receive saturated steam from the drum and send superheated
steam to the high-pressure section of the turbine. They are typically config-
ured in the primary and secondary sections to ease the steam temperature
control process (this will be discussed later in this chapter). Reheaters receive
steam from the outlet of the high-pressure steam turbine and return super-
heated steam to the low or intermediate pressure sections of the turbine after
reheating the steam flow.
Due to the high temperature of steam inside tubes in superheaters and
reheaters, typically between 550°C and 650°C (about 1000°F–1200°F) which
is the highest metal temperature in a steam generator, they are subjected to
severe operating conditions and require special materials. These tubes are
exposed to high thermal stress due to the lower thermal conductance of the
228 Power Plant Engineering

steam flow. The material of tubes should have high resistance to oxidation,
fatigue, creep, erosion, and corrosion. The material and design of super-
heaters and reheaters also heavily depend on the ash properties of the fuel.
Depending on operating temperatures, the tubes can be made of carbon steel
(for low operating temperatures), high alloys, or stainless steel (for high oper-
ating temperatures). Reheater operating temperatures are similar to that of
superheaters but at a much lower operating pressure, which results in lower
stress in the tubes. This means the reheater tubes can be made of more com-
mon and less expensive metals.
For both superheaters and reheaters, typically bare simple tubes, both
internally and externally are used. This means the tubes are neither inter-
nally ribbed nor externally finned unlike waterwall tubes for example where
water boils to form a two-phase flow, and ribbed tubes are commonly used.
The selection of the tube diameters is a trade-off between stress and pressure
drop. The greater diameter of the tubes results in a lower pressure drop in
the steam flow but greater stress in tube walls. A similar inverse relationship
exists between the spacing of the tubes and the pressure drop in the flue gas.
The tube spacing is also determined to reduce ash and slag buildup and to
ease their removal.
As mentioned before, a superheater can be a convection or radiation super-
heater. The responses of these two types of superheaters to load variations
are opposite. With an increase in steam load, the temperature of the out-
let steam flow increases in convection superheaters while it decreases in
radiation superheaters. To explain these characteristics, it should be noted
that with an increase in the steam flow rate, the rate of combustion in the
furnace increases. This means the mass flow rate of the combustion prod-
ucts increases but the temperature of the flame is not strongly affected. As
explained in Reminder Box 3.3 (heat-transfer mechanisms), convection heat
transfer depends on the velocity of the flue gas flow and increases at higher
velocities. However, for a given surface, the heat transfer by radiation only
depends on the temperatures of the flame and tube surfaces. In convective
superheaters, the higher steam load increases the mass flow rates of both
steam and combustion products which increases the total convection coef-
ficient and the total heat transfer rate. The rate of the increase in the heat
transfer is greater than the rate of the increase in the steam flow rate, which
results in a higher temperature of the outlet superheated steam. In radia-
tion superheaters, the rate of increase in the radiation heat transfer is smaller
than the rate of increase in the steam flow, which reduces the temperature of
the outlet superheated steam. Some modern steam generators use radiation
and convection superheaters in series to reduce the dependency of the super-
heated steam temperature to the load.
The superheater and reheater units may be constructed in a pendant,
inverted, or horizontal configuration (Figure 3.19). In the pendant configu-
ration, the tube bundles hang vertically from the support structure, which
results in mechanically robust units (in terms of bending stresses and
Steam Generators: Water-Steam Side 229

Flue

(a) (b)

(c)

FIGURE 3.19
Schematics of superheater and reheater support systems (a) pendant (b) inverted (c) horizontal.

accommodation of thermal expansion, i.e., free expansion of tubes). But their

start-up process is longer because of the trapped condensate at the bottom
of the U-shape units. The inverted configuration is supported from the bot-
tom and enjoys faster start-up; however, due to the lack of structural robust-
ness, they are not common. The horizontal configuration is robust and has
a fast start-up because the tubes can be fully drained but it is typically for
convection superheaters and reheaters. The height of the pendant configura-
tion is typically lower than that of the horizontal configuration, which can
reduce the overall cost of the unit. Some superheaters have both pendant
and horizontal sections. The entire heat-transfer areas of superheaters and
reheaters are enclosed by water or steam cooled walls similar to waterwalls
in a furnace.

3.4.5 Economizers
An economizer receives water from the last feedwater heater and sends
near saturated water to the drum. This reduces the thermal load of the
evaporator. The economizer is located at the low-temperature section of the
steam generator after the reheater and before the air preheater (the latter
will be covered in Chapter 4). It reduces the temperature of the outlet flue
gas to the lowest practically possible temperature. It also reduces the pos-
sibility of thermal shock from cold feedwater entering the drum. While
internally-bare tubes are commonly used in the economizer design, to
improve the heat-transfer rate, they may be made of finned-tubes. Since in
the economizer the temperature difference between the flue gas flow and
the water flow is small, a large surface area is required, which necessitates
a tight tube configuration (depending on the ash level of combustion prod-
ucts and ash properties). When high-ash fuels are used, the economizer
may be equipped with water, steam, or air cleaning equipment to remove
collected ash and soot.
230 Power Plant Engineering

3.4.6 Relative Heat Absorption in the Economizer,

Evaporator, and Superheater
To understand the nature of heat-transfer processes in a steam generator, it
is critical to have some knowledge about the relative heat absorption in the
economizer, evaporators, and superheaters. This can be better shown via an
example. While the design of heat-transfer surfaces is beyond the scope of
this text, a very brief review of the process is presented in Reminder Box 3.4
(heat-transfer surface design).

Example 3.2
In a subcritical industrial steam generator, feedwater enters the econo-
mizer at the temperature and pressure of 140°C and 40 bar. The super-
heated steam leaves the superheater at the temperature of 450°C.
Determine the relative heat absorption in the economizer, evaporator,
and superheater. Assume the pressure losses in the steam generator com-
ponents are negligible.
Analysis
The enthalpy of the inlet feedwater is (note that we are using saturated
liquid water properties from Table A-1 (SI) instead of the compressed
water properties)

hEcon, in = hsat water @T =140° C = 589.13kJ/kg

The enthalpy of the flow entering the evaporator, assuming the flow
leaving the economizer is saturated liquid water, is (from Table A-2 (SI))

hEcon, out = hEvap, in = hsat water@P= 40 bar = 1087.31kJ/kg

The enthalpy of saturated steam leaving the evaporator is (from Table

A-2 (SI))

hEvap, out = hSH ,in = hsat vapor @ P= 40 bar = 2801.4 kJ/kg

Tsat vapor @ P= 40 bar = 250.40°C

Finally, the enthalpy of superheated steam leaving the superheater is

(from Table A-3 (SI))

hSH , out = h@ T = 450° C and P= 40 bar = 3330.3 kJ/kg

The heat absorption per kg and the relative heat absorption in the econo-
mizer, evaporator, and superheater can be calculated as follows and are
presented in Table 3.1.
Steam Generators: Water-Steam Side 231

TABLE 3.1
Relative Heat Absorption in the Economizer, Evaporator, and Superheater for the
Subcritical Industrial Steam Generator in Example 3.2
Heat-Transfer Surface Economizer Evaporator Superheater Total
Heat absorption per kg (kJ/kg) 498.18 1714.09 528.9 2741.17
Relative heat absorption (%) 18.2 62.5 19.3 100

TABLE 3.2
Relative Heat Absorption in the Economizer, Evaporator, and Superheater for the
Subcritical Utility Steam Generator
Heat Surface Economizer Evaporator Superheater Total
Heat absorption per kg (kJ/kg) 1100 777.8 908.1 2785.9
Relative heat absorption (%) 39.5 27.9 32.6 100

∆hEcon = hEcon, out − hEcon, in = 1087.31 − 589.13 = 498.18 kJ/kg

∆hEvap = hEvap, out − hEvap, in = 2801.4 − 1087.31 = 1714.09kJ/kg

∆hSH = hSH ,out − hSH ,in = 3330.3 − 2801.4 = 528.9 kJ/kg

Table 3.1 shows that most of the heat is absorbed in the evaporator (boiler)
and the rest is almost equally divided between the superheater and the
economizer. This was expected because at low-pressure steam genera-
tors, such as the one in this example, due to the large latent heat of water,
most of the thermal energy is absorbed in the evaporator (boiler). This
was explained in Section 3.2.4.
Table 3.2 presents similar results for a subcritical utility steam gen-
erator with feedwater entering the economizer at the temperature and
pressure of 150°C and 180 bar and superheated steam leaving the super-
heater at the temperature of 550°C. The table shows that while the total
heat absorption did not change much compared to Example 3.1, the heat
absorption in the evaporator is dramatically decreased and the super-
heater and economizer have much larger share of heat absorption.

REMINDER BOX 3.4

HEAT-TRANSFER SURFACE DESIGN

In terms of the direction of the hot and cold flows and temperature vari-
ations within a heat exchanger, heat exchange surfaces can be parallel
232 Power Plant Engineering

flow, counterflow, or crossflow. Note that in steam generators, the hot

flow (or hot side) is always to the side where hot flue gas flows and the
cold flow (or cold side) is where water, mixture of water and steam, or
superheated steam flows. Superheaters, reheaters, and economizers can
be either parallel or counterflow, while air heaters are typically cross-
flow. Also, note that the temperature of the cold flow remains constant
when water boils in waterwalls or boiler banks. The calculation can be
performed for one of the following three parameters as the unknown:
temperatures, heat-transfer surface areas, or surface cleanliness. The
calculation is always an iterative process. First, an initial value for the
unknown is assumed based on past experiences. The calculation is then
conducted to determine the unknown. If the assumed and calculated
values are not close, the calculation is repeated with using the calcu-
lated values as the new assumed values. The iterative process is con-
tinued until the assumed and calculated values converge. For example,
if the unknown is the outlet flow temperature, the calculation can be
considered converged when the difference between the assumed and
calculated temperature is <3°C (about <5°F).

3.5 Once-Through Steam Generators

In once-through steam generators, there is no designated component to sepa-
rate saturated steam and boiling water. In this type of steam generators, heat
is continuously added to water while passing through tubes. At some point,
the water starts to boil and the boiling process inside the tubes continues
until the entire flow is converted to steam. The heating process further con-
tinues until superheated steam at the desired temperature is generated. In
these steam generators, there is neither a drum nor the circulation of water in
the evaporator (boiler) section (at least in normal full-load operation of these
steam generators, refer to the below discussion on start-up and low-load
operation of these units), hence the name once-through steam generators.
These steam generators are also called universal-pressure (UP) steam gener-
ators because they can operate at both subcritical and supercritical pressures,
unlike drum-type steam generators in which the operating pressure is lim-
ited to about 200 bar (2900 psia). The introduction of these steam generators
eliminated the limitation on the operating pressures of steam power plants.
The first once-through steam generator was built by Jacob Perkins
(American mechanical engineer and physicist, 1766–1849) in 1822. However,
the first commercial utility once-through supercritical steam generator was
installed in 1957. This steam generator operated at the pressure of 310 bar
Steam Generators: Water-Steam Side 233

(about 4500 psia) and an outlet steam temperature of 620°C (about 1150°F)
and was installed in a 120 MW power plant. This followed by a unit at an
operating pressure of 365 bar (about 5300 psia) and a temperature of 650°C
(about 1200°F) in 1959.
Since in supercritical-pressure steam generators there is no boiling process,
and the phase change process occurs gradually with increase in water tem-
perature, no drum is required. Therefore, all supercritical steam generators
are a once-through type but subcritical steam generators can be of either a
drum-type or a once-through type.
Except the drum, once-through steam generators have the same compo-
nents as drum-type steam generators. To improve the quality of the turbine
outlet steam, all supercritical once-through steam generators are equipped
with at least one reheater, flow double reheaters. One challenge of operating
once-through steam generators is when the required steam flow rate is low,
for example during low-load operation, start-up, or shutdown. In these situ-
ations, the water flow rate in waterwall tubes may not be sufficient to keep
them within the acceptable wall temperature. In early designs, enough water
was fed to the steam generator to protect the waterwall tubes; then the excess
superheated steam bypassed the turbine and was directly discharged to the
condenser. This solution was obviously wasteful and reduced the plant effi-
ciency. In current designs the steam generators are equipped with a small
drum (sometimes a spherical vessel) and a circulating pump to circulate
water and provide sufficient cooling in the tubes. In these operational modes,
a supercritical steam generator may be even operated at subcritical pressures.
In once-through steam generators, since there is no drum to separate sus-
pended solids from superheated steam, in order to avoid deposition of solids
in tubes, feedwater should go through an extensive treatment and have very
high quality (Chapter 7).
In the design of once-through steam generators, special attention should
be paid to the design of waterwall tubes. As noted in Section 3.4.3, depend-
ing on the heating pattern in the furnace, each tube in waterwalls may be
exposed to a varying heat flux. In drum-type steam generators, this means
that the returning water to the drum contains varying steam contents (qual-
ity), which is not a problem as long as there is adequate water to protect the
tubes from overheating. But in once-through steam generators, this varying
heat flux results in different temperatures of superheated steam at the outlet
of each tube. A large number of tubes each with a low water flow rate can
intensify the problem. So in once-through steam generators, it is desirable to
have less tubes with a larger diameter and a greater water flow rate in each.
But this means a larger spacing (or pitch) between tubes, which can result in
overheating of metal strips between tubes. To address this problem, in many
once-through steam generators, helical or spiral (spiral wound) waterwall
tubes are used. In this design, waterwall tubes are placed on a typically 10°–
25° angle from horizon (instead of vertical tubes), so they spiral around the
furnace. Note that this configuration reduces the number of required tubes
234 Power Plant Engineering

4-tubes

es
ub
2- t

x
x x x x

x
30°

FIGURE 3.20
Using spiral wound waterwall design reduces the number of required tubes by half for the
same area.

to create the wall surrounding the furnace with the same spacing between
them. For example, at an angle of 30°, the number of required tubes is reduced
by half (Figure 3.20). The design also reduces the variation of heat flux among
tubes because all tubes rotate around the furnace and receive heat from all
walls. This design also reduces the possibility of tube overheating due to a
higher water mass flow rate in each tube.
This design however has the problem of higher pressure drops in water-
wall tubes due to the longer length of tubes (which overweigh the effect of
lager diameter tubes). Also, the wall support system is more challenging. To
reduce these problems, typically only in the bottom portion of the furnace,
where the heat flux is the highest, the spiral design is used. In the upper
section of the furnace, where the heat flux is low, the vertical tubes are used
(Figure 3.21).

3.6 Control of Steam Generators

The objective of any utility steam generator is to produce superheated steam at
the desired flow rate, temperature, and pressure. A control system along with
its sensors and instruments is to ensure safe, reliable, and economic opera-
tion of a steam generator. As an extremely complicated system, the safe oper-
ation of a steam generator requires an extensive control system that should
be coordinated with other components of the cycle. The control system of a
steam generator is essentially made of two major groups of devices. Sensors
and instruments collect data from equipment. It is vital that all instrumenta-
tions and seniors are initially calibrated, and the calibrations are renewed
before their expiration date. The collected data are then processed to generate
control signals necessary to operate the system. The data are also recorded
and critical performance information are reported to operators. Note that if
required, operators can manually control the operation of a steam generator.
While there is a central control system that monitors the entire power plant,
Steam Generators: Water-Steam Side 235

FIGURE 3.21
Typical spiral wound steam generator where only bottom half of waterwall tubes are angled.

some subsystems may have a local control system. Critical parts of a control
system should have backup systems, so in the case of failures, a steam gen-
erator can continue to operate safely or can be safely shutdown.
The most important function of a steam generator control system is to con-
trol the rate of combustion (firing rate). For the steam generator to operate at
steady-state condition, the rate of heat addition to the steam generator should
be equal to the rate of heat withdrawal from the steam generator by produced
steam. The objective is to provide sufficient thermal energy to raise required
steam at needed conditions. Clearly, the required rate of combustion depends
on the load. Understanding how the load impacts the performance of the
steam generator requires a good understanding of the steam turbine perfor-
mance. Since the control of any steam generator is tightly interconnected to
the fire side of the steam generator and the turbine, the overall control of the
system operation will be covered in Chapter 6. However, in this section, some
of the most important independent control systems in steam generators will
236 Power Plant Engineering

be discussed. But before doing so it might be informative to briefly review

the basics of control systems first.
As noted above, in steam generators, the outlet steam flow rate, pressure,
and temperature are the most important controlled variables. The first two
of these parameters, steam flow rate and pressure, must be controlled and
coordinated with the turbine-generator unit. So the control of these variables
will be discussed after we covered the basic principles of steam turbines in
Chapter 6. Also, note that there are many control systems for the fire side of
steam generators that will be covered in the next chapter. In the following

REMINDER BOX 3.5

BASICS OF CONTROL SYSTEMS

In any control system, there are parameters that need to be kept at some
desired values or ranges. These parameters are called controlled vari-
ables (also called output variables or simply outputs).the desired values
for these parameters are called set points (or input demand signals or
simply input signals). The independent variables that can be changed to
maintain the controlled variables at their set points are called manipu-
lated variables. For example, in a steam generator the flow rate, temper-
ature, and pressure of the generated steam are the controlled variables,
the required outlet steam flow rate, temperature, and pressure are the
set points, and the fuel, air, and feedwater flow rates are the manipu-
lated variables. Whenever an internal or external change, called a dis-
turbance input, is imposed on the system that affects the controlled
variables, the control system changes the manipulated variables to
return the controlled variables to the set points. For example, when the
load of a steam generator changes, the outlet steam condition changes,
so the control system manipulates the fuel, air, and feedwater flow rates
to return the steam conditions to the set point values. These corrective
actions may be initiated by operators (manually) or automatically by a
computerized system.
A control system can be an open-loop or a closed-loop system. In an
open-loop control system (also known as a non-feedback or feedfor-
ward system), the controlled variables do not have any impact on the
control actions of the manipulated variables. For example, in a steam
generator when load increases, the control system increases the fuel
flow rate by a predetermined value without checking if the controlled
variables actually return to the set points. The predetermined values
are typically provided by designers in the form of calibration curves.
The advantages of open control systems are their simplicity, very fast
Steam Generators: Water-Steam Side 237

response, and stability. However, the problem with this control strat-
egy is difficulty in ensuring the accuracy of the calibration curves and
control equipment considering the varying nature of component per-
formance. For example, short-term variations of equipment cleanliness
or long-term equipment aging can impact the accuracy of calibration
curves.
In a closed-loop (also known as feedback) control system, the con-
trolled variables are measured and compared to the set points. Any
discrepancy (called an error signal) initiates corrective actions on the
manipulated variables until the values of the controlled variables are
equal to the set points (think of the cruise control in your car!). In this
control system, no corrective action is taken until the disturbance influ-
ences the controlled variables.
There are several types of closed-loop control systems. In the sim-
plest form, called on-off control, the error signal initiate an on or off
action, e.g., a valve is opened or closed, until the set point is achieved.
Due to the noise of valves, this strategy is sometimes called bang-bang
control (think of an old-fashioned house HVAC system controlled by a
thermostat). While very simple, this control system is not stable and can
increase maintenance costs.
To address the stability problem, in proportional control systems
the magnitude of the response to a disturbance, i.e., the increase or
decrease of the manipulated variables (direct and reverse actions),
is determined by and is proportional to the magnitude of the error
signal. This means a larger difference between a controlled variable
and its set point triggers a more aggressive corrective action. The
problem with the proportional control strategy is that it always intro-
duces an error (referred to as the offset) between the actual value of
the controlled variable and its set point. The magnitude of the off-
set can be controlled by the sensitivity of the manipulated variable
(called the proportional gain). However, there is an inverse relation-
ship between the magnitude of the offset and the stability of the con-
trol system. To eliminate the offset in a proportional control system,
an integral or reset control can be added (called a proportional plus
integral control). However, this reduces the stability of the control
system and increases its response time. Adding a derivative or rate
control can increase the stability of the control system and reduce
its response time (called a proportional plus integral plus derivative
control). Finally, the open- and closed-loop systems can be combined so
the open-loop control can provide fast response according to the cali-
bration curve and the closed-loop control can correct the inaccuracies
of the calibration curve.
238 Power Plant Engineering

sections, the temperature measurement, the superheated steam temperature

control system, the drum water level control system, and safety valves will
be discussed.

3.6.1 Temperature Measurement
Temperature is one of the most important parameters, if not the most impor-
tant parameter, that is measured in a variety of power generation systems.
Temperature measurement is vital for operation, control, maintenance, pro-
tection, and safety of any thermal power plant. A wide variety of physical
phenomena have been used to measure temperature. While infrared ther-
mometers (also known as non-contact thermometers, temperature guns, or
laser thermometers) might be used for some special applications, a great
majority of temperature measurement devices are either thermocouples or
resistance temperature detectors (RTD).

3.6.1.1 Thermocouples
Thermocouples are temperature measurement devices that operate based
on the thermoelectric or Seebeck effect (after Thomas Johann Seebeck, a
German physicist, 1770–1831). If we connect two dissimilar wires at one end,
and expose the connected and open ends to two different temperatures, a
very small voltage will be created. The magnitude of the generated voltage
depends on the metals that the wires are made of and the temperature gra-
dient they are exposed to. For a given setup, if we measure the generated
voltage, the temperature difference between the connected and open ends of
the wires (called junctions) can be determined. So what a thermocouple mea-
sures is the temperature difference between the junctions. In order to mea-
sure the target temperature, we need to know the temperature of one of the
two junctions. In all thermocouples, the end where two wires are connected
is exposed to the temperature that needs to be measured and is referred
to as the hot junction. The open end of the wires needs to have a known
temperature, so it is referred to as the reference or cold junction. Generally
speaking, the temperature of the reference junction can be determined either
by immersing it to a mixture of distilled water and ice at the atmospheric
pressure (called the ice bath) or by using a different thermometer. You may
ask if we have another thermometer to measure the temperature of the ref-
erence junction, why not use it to measure the unknown temperature. The
answer is that while this is possible, thermocouples are usually used to
measure temperatures at harsh environments that the reference thermom-
eter cannot tolerate. Note that the cold junction and its thermometer, which
measures ambient temperature, are typically integrated to the electronic
circuit that measures voltage and displays the temperature, so they are nei-
ther exposed to extreme conditions of thermocouples nor visible. Silicon (or
generally semiconductor) thermometers are commonly used to measure the
Steam Generators: Water-Steam Side 239

temperature of the reference junction. Thermocouples are categorized and

named according to the combination of metals used to form the junctions.
Each type is optimized for certain applications. The selection of an appropri-
ate type of thermocouple for an application depends on the range of variation
in the measured temperatures, the required accuracy, and the conditions of
the environment that the thermocouple is exposed to. Some of the commonly
used thermocouples in power plant applications are J (iron–constantan), N
(chromel–alumel), K (Nicrosil–Nisil), R (platinum/rhodium – platinum), and
S (platinum/Rhodium – platinum)5 types. Their lower temperature range is
between −270°C and 0°C and their higher temperature range is 750°C–1600°C.
In the above list, thermocouples types are listed in the ascending order of the
highest temperature they can measure. The following attributes contribute to
the popularity of thermocouples:

• They can measure wide range of temperatures.

• They are very robust and have high durability when they are exposed
to harsh environments such as high vibration.
• They do not need a power source to operate. This can make their
circuit simpler compared to other temperature measurement
technologies.
• They are relatively inexpensive.
• Generally they can rapidly respond to variations in temperature.

Because of these advantages, they are the most common temperature mea-
surement devices in power plants. Their main problem is their limited
accuracy (typically 1°C). While this level of precision is sufficient for many
applications, it is unsuitable for applications where precise temperature mea-
surements are important.
The hot junction of a thermocouple can be installed on a surface or can
be placed in a shield, along with the immediate wires, to form a probe for
protection from harsh environmental conditions. For extremely challenging
environments, they may be installed into a thermowell for further protection
by providing a barrier between the sensor and the hazardous environment.
The electronic circuit to process the produced voltage can be located in
the closest location where a direct connection to the plant’s control system
can be made. But this can be problematic, particularly if the voltage has to
be transferred for a long distance because extension wires must be made of
same metals as the thermocouple itself, which can be expensive. Also, signals
can be interfered by a variety of environmental parameters that may intro-
duce noises to the signals. Therefore, in power plants, commonly a transmit-
ter is used to convert the voltage signal from one or more thermocouples
to control signals that can be transferred for long distances without any of

5 Note that R and S types use a different ratio of platinum to rhodium.

240 Power Plant Engineering

the abovementioned problems. Recently, wireless (smart) transmitters with

advanced control, calibration, safety, and diagnostic features are becoming
popular.

3.6.1.2 Resistance Temperature Detectors

Resistance temperature detectors (RTD), also called resistance thermom-
eters, measure the electrical resistance (in the form of a small voltage sig-
nal) of a piece of wire made from platinum, nickel, copper, or other metals
that is exposed to an unknown temperature. Since the measured resistance
is a function of temperature, it can be used to determine the temperature
that the probe has been exposed to via a calibrated signal processing circuit.
While more accurate than thermocouples (accuracy of about 0.1°C), the high-
est temperatures that they can measure is limited to about 600°C. They are
also more expensive and more fragile than thermocouples. Moreover, they
need an external excitation current for the probe to be able to measure the
resistance. While all these disadvantages limit their use in many applications
in power plants, they are commonly used for relatively low temperature and
non-hazardous environments where precision, reliability, and repeatability
are important. Similar to thermocouples, they can be installed on a surface,
as a probe, or into a thermowell. Also, they can be connected to the con-
trol system either directly or via transmitters. Note that for critical systems
and processes, temperature measurements with double or even triple redun-
dancy can be used. Similar to any other measurement instruments, a regular
calibration is required for temperature measurement devices. Most tempera-
ture measurement devices can be tested according to the ASME PTC 19.3
standard.

3.6.2 Superheated Steam Temperature Control

Many parameters influence the steam temperature in the outlet of a super-
heater, including load, combustion conditions (such as fuel type, burner
combustion conditions, and excess air), cleanliness of heat-transfer surfaces,
percentage of blowdown, and utilization of steam for auxiliary applications.
The impacts of some of these parameters are more predictable than others.
For example, as discussed earlier in this chapter, the impact of load on the
steam temperature depends on whether the superheaters are convective or
radiative with opposing impact in these two types. However, other param-
eters such as the cleanliness of heat-transfer surfaces or change in the fuel
type are less predictable. Therefore, in order to protect the turbine, super-
heaters, and reheater from overheating and excessive thermal stress, an effec-
tive mechanism to regulate the temperature of superheated steam within an
acceptable range is critical for the safe and reliable operation of any steam
generator. Note that these control mechanisms are generally used to regu-
late the steam temperature during transient conditions. During steady-state
Steam Generators: Water-Steam Side 241

operations, the control of the fuel flow rate (the firing rate) and the flow rate
of feedwater are used to maintain the superheated steam temperature.
There are two general approaches for steam temperature control, control-
ling the amount of heat absorption by steam in superheater surfaces and reg-
ulating the steam temperature after heat is transferred to the steam. There
are several mechanisms for the former, including recirculating a portion of
combustion products from the economizer or the air preheater to the fur-
nace through gas circulation fans, bypassing a portion of the hot combustion
products from superheaters, and superheaters with separate firing. But due
to technical complications and economic reasons none of these mechanisms
are common. There are other more common methods, such as adjusting
the flame position in the furnace, controlling the amount of excess air, and
the burner selection that will be discussed in the next chapter. For control-
ling the steam temperature after heat is transferred to the steam, a surface
method or direct contact method can be used. In the surface method, when
the temperature of the steam exceeds the set point, a heat exchanger is used
to remove heat from the steam and to reduce its temperature. This method is
only used in low-capacity industrial steam generators.
The most common method used for steam temperature control in the
majority of utility steam generators, both in drum-type and once-through
steam generators, is the direct contact method, commonly known as attem-
perator or desuperheater. In this approach, the temperature of the outlet
superheated steam from superheaters and reheaters is controlled by spraying
water or injecting low-temperature steam into the superheated steam flow.
Spray attemperators are the most common type. They have a rapid response
and can provide a sensitive temperature control. From purely control point
of view, the outlet of superheaters to the turbine might be the most suitable
point to inject cooling water to provide a direct temperature control with no
time daily. In fact in single superheater units, attemperators are located at
the outlet of the superheater. However, in this design water droplets that are
not evaporated can be carried to the turbine. Also, the temperature of steam
within superheaters cannot be controlled, which may result in the overheat-
ing of the superheater tubes. To prevent these problems, the steam super-
heating process is typically divided between two stages of superheaters: the
primary superheater and the secondary superheater. The attemperators are
commonly located between these two superheaters. In this case, there is suf-
ficient time for the creation of a superheated steam flow with a uniform tem-
perature distribution before it reaches the turbine.
In a typical attemperator, a Venturi section is added to the piping between
the primary and secondary superheaters to create a high-speed steam flow.
The relatively cold water flow (at about 150°C) is sprayed into the steam flow
through a nozzle installed at the throat of the Venturi to take advantage of
the mixing effect of the high-velocity steam flow (Figure 3.22). The sprayed
water evaporates and the latent heat of evaporation is extracted from the
superheated steam flow, which, in turn, reduces the steam temperature. The
242 Power Plant Engineering

Cold water
Thermal sleeve

Superheated
steam

Spray nozzle

FIGURE 3.22
Schematic of an attemperator.

magnitude of the temperature reduction is determined by the mass flow rate

of the injected water. A similar system is typically used at the upstream of
the reheater inlet to control the reheated steam temperature. The sprayed
water must have a high quality; otherwise solid impurities can be deposited
on the superheater tubes or turbine blades. In many units, feedwater from
the high-pressure feedwater heater (the inlet flow to the economizer) is suf-
ficient. In some units, water is taken from the outlet of the feedwater pump.
Attemperators can be single or multiple stage. The body of attemperators is
vulnerable to thermal fatigue because of cold water droplets that continu-
ously strike its hot surface. To reduce this effect, attemperators are equipped
with a shock resist thermal sleeve. Sometimes steam and water attempera-
tors are used in series for more effective control of the temperature of super-
heated steam particularly at low-load operations.

Example 3.3
Assume a steam generator that is designed to generate 50 kg/s super-
heated steam at 450°C and 40 bar. The steam generator at an off-design
condition generates 20 kg/s superheated steam at 500°C and 40 bar. A
water-spray attemperator is used to reduce the temperature of the steam
to the design temperature. Determine the flow rate of the cold water (in
kg/s) needed if the water at the inlet of the attemperator is at 140°C.

Given:
Superheated steam inlet to the attemprator: 500°C and 40 bar
Desired superheated steam outlet of the attemprator: 450°C and 40 bar
Superheated steam mass flow rate: 20 kg/s
Feedwater inlet to the attemperator: 140°C

Analysis:
Using the conservation of mass and energy laws:
Steam Generators: Water-Steam Side 243

 st,in hst, in + m
m  w hw = m (
 st, in + m )
 w hst , out (3.8)

where m  w are the mass flow rates of the inlet steam and water,
 st, in and m
respectively, hst, in and hst, out are the enthalpy of the inlet and outlet steam
flows, respectively, and hw is the enthalpy of the inlet water. Note that
while the pressure of the sprayed water is not given, we know that the
pressure of the water is slightly higher than the pressure of the steam.
Typically, the sprayed water is taken from the feedwater heaters and is
directly transferred to the attemperator. This water is at a higher pres-
sure than that of superheated steam due to the pressure losses of the
steam flow in the steam generator tubes. If this pressure difference is
not sufficient, a small pump can be used to pressurize the water flow. In
this problem, however since we are using the saturated water property
instead of the compressed water property, the water pressure will not
have any impact on the solution.

 st, in = 20 kg/s
m

hst, in = h@ T = 500° C and P= 40 bar = 3445.3 kJ/kg

hst, out = h@ T = 450° C and P= 40 bar = 3330.3 kJ/kg

hw = hsat liq @T =140° C = 589.13 kJ/kg

Rearranging Equation 3.8,

w =
m
m (
 st, in hst, in − hst, out ) = 20 ( 3445.3 − 3330.3) = 0.84 kg/s
( hst, out − hw ) ( 3330.5 − 589.13)

3.6.3 Drum Water Level Control

The control of the drum water level is another critical factor for the safe
operation of steam generators. A high level of water in the drum can impair
the performance of the separators, which can result in the presence of water
droplets in the superheaters and even turbine blades. A low water level in the
drum can interfere with the water circulation in the waterwall tubes, which
may result in tube overheating and failure. To regulate the drum water level
(the controlled variable), the feedwater flow rate is controlled (the manipulated
variable). In low-capacity steam generators or when large steam generators
operate at low loads, this objective can be achieved simply by a level trans-
mitter. This transmittercompares the actual water level and the set point and
sends a signal to the inlet feedwater control valve to take an appropriate action
to compensate any discrepancy. This simple control system however may not
be able to control the drum water level in large steam generators. Due to the
244 Power Plant Engineering

high evaporation rate in utility steam generators, a relatively large volume of

bubbles is created over the water surface in the drum, which makes water level
reading by the transmitter to be inaccurate. This problem is intensified during
the load change when bubbles can swell or shrink due to pressure change. In
order to address this problem, the outlet flows of steam, blowdown, and other
outlets are also measured and used to balance the inlet feedwater flow rate
with all outlet flows. In practice, an integrated open- and closed-loop control
system is used to maximize the accuracy of water level control in the drum.
Also, the drum is always equipped with a water level glass gauge for visual
verification.

3.6.4 Safety and Relief Valves

Safety and relief valves are critical for the safe operation of high-pres-
sure components of steam generators by protecting them from operating
at pressures higher than safe operating pressures. They must pop when
pressure exceeds a preset value and close when pressure is below the set
point. They must be installed in a way that they can carry the sum of
all steam flows. It should be impossible to isolate them from the compo-
nent that they are protecting. Typically safety valves are referring to the
valves for gas and vapor applications, while relief valves are referring to
the valves for liquid applications. Safety relief valves can be used for both
applications. The drum is always equipped with safety valves. The design
pressure of the under-pressure equipment must be higher than the set
point of safety valves.

3.7 Operation, Start-up and Shutdown, Manufacturing,

and Maintenance of Steam Generators
The efficiency of a steam generator is strongly dependent on its design and
the specifications of its components. However, a properly built, appropriately
operated, and adequately maintained system can maintain and even improve
the efficiency as well as reduce maintenance and improve safety, reliability,
and availability of the entire plant. In this section, we will take look at these
aspects of steam generators. Some aspects of what we cover in this section
are applicable to other parts of steam power plants as well.

3.7.1 Operation of Steam Generators

While the proper operation of a steam generator requires complying with
equipment-specific procedures, it involves much more than just that.
The proper operation is all about coordinating, balancing, and optimizing
Steam Generators: Water-Steam Side 245

the performance of all equipment at all time for safe operation of the sys-
tem, for both personnel and equipment. The overall objective is to maxi-
mize the long-term profitability of the unit while meeting all emission
and other environmental requirements. Regardless of all automations
in the operation and control of modern systems, a major part of proper
system operation depends on operator trainings. All system operators
should be knowledgeable about all components and their relationships to
each other, as well as their specifications, designs, and their performance
limitations. The operators must be familiar and trained for all possible
operational circumstances. Since some situations cannot be recreated
during the safe operation of the system, advanced training simulators are
commonly used during the training process. The best time for training is
during the initial commissioning period of the system. The operation of
steam generators depends on many factors and is always in coordination
with other cycle components. Therefore, a more comprehensive discus-
sion on the operation of steam generators will be covered in the coming
chapters.

3.7.2 Start-up and Shutdown of Steam Generators

The start-up and shutdown of steam generators are considered as a part
of steam generator’s operational procedures. Rapid and safe start-up, shut-
down, and load change are critical for the operation of power plants, espe-
cially in current markets where fast load-following characteristics are very
important for the profitability of power plants (refer to Chapter 1). The start-
up procedure depends on many factors, including the steam generator type
(drum-type or once-through), fuel type, and combustion system, which will
be covered in the following chapter. But regardless of these factors, the fol-
lowing considerations should be always taken into account when developing
these procedures.
For drum-type steam generators, in early stages of start-up, since no steam
is raised yet, there is no flow of steam through the superheater and reheater
tubes. Similarly, there is no feedwater addition, so no flow through the econ-
omizer tubes. The absence of the cooling effects of these flows through the
tubes necessitates the protection of these heat-transfer surfaces until adequate
flows can be maintained. The economizer tubes are protected by the flow of
feedwater through them without feeding the outlet flow to the drum. The
water or steam at the outlet of the economizer is either vented or circulated
until the rate of steam generation is high enough that the flow of replacement
feedwater can provide sufficient tube cooling. The superheater and reheater
tubes are protected against overheating by limiting the temperature of the
flue gas flowing outside the tubes until an adequate flow rate of steam can
be provided. In fact, this is one of the limiting factors for the rapid start-up of
drum-type steam generators. Another equally important limiting parameter
is the thermal stress on the drum’s thick shell. To measure and control this
246 Power Plant Engineering

thermal stress, the temperature differences between the drum top and bot-
tom halves are measured by thermocouples. These temperature differences
must be kept within an acceptable range determined by designers.
In once-through steam generators, it is vital to protect waterwall tubes
and other high heat absorbing surfaces before firing starts by assuring the
presence of a minimum feedwater flow through the tubes. As discussed
before, this can be achieved by either discharging the outlet flow or tem-
porarily circulating feedwater through a relatively small drum. Another
important consideration for both types of steam generators is to bypass the
turbine until appropriate superheated steam with acceptable temperature
and pressure is generated in the steam generator (more on this topic in
Chapter 6).
The steam generator shutdown procedure is less complicated than the
start-up procedure. Depending on circumstances and urgency, a shutdown-
can be either controlled shutdown or emergency shutdown.
The initial start-ups for a new steam generation system or after major rede-
sign or repair are very important for a long-term healthy operation of the
system. These start-ups may include visual inspection; water, steam, and
chemical cleaning of tubes; equipment preparations and individual start-
ups; hydrostatic testing (leak tests with water as filling liquid at the pressure
of 1.5 times of the design pressure); pre-calibration of instruments and sen-
sors; safety valves’ testing and setting, and initial operation for procedure
adjustments.

3.7.3 Manufacturing of Steam Generators

It is clear from the range of topics in this chapter and the following chapters
that the manufacturing of a power plant in general and a steam generator in
particular is very complex and requires many experts and a wide variety of
tools and machines. There are three general approaches to the manufactur-
ing process of a steam power plant. The first one is the turnkey approach
where one contractor is in charge of the system design and supplying materi-
als, construction, and installation of the power plant. Another approach is
the system island approach where each major system, referred to as an island
such as the steam generator system or the turbine system, is completed by an
individual contractor. The last approach is the equipment package approach
where each component is provided by a dedicated supplier.

3.7.4 Maintenance of Steam Generators

As noted several times already, modern steam generators are expected to
operate safely and reliably for many years (sometimes up to 60 years). To
achieve this level of service, rigorous scheduled and preventive maintenance
programs are essential. These programs are particularly important for high-
temperature sections where the majority of problems occur.
Steam Generators: Water-Steam Side 247

After a new power plant is commissioned, there is a short period with

typically high maintenance requirements and low plant availability. This is
because of both operators’ unfamiliarity with the system and its limits and
also immaturity of the equipment. After this initial period, a power plant
can operate with low maintenance needs for a long while. This period can be
between a few years to a few decades primarily depending upon the fuel type.
After this period the plant starts to age and may need high maintenance. The
condition assessment is a vital tool to keep the plant available in this period. In
the condition assessment, the history of the system, nondestructive tests, and
numerical analyses are used to determine the remaining life of components
and required maintenance or replacements before components actually fail
during operation. Nondestructive examinations (NDE) are procedures that
are used to determine the properties of components without damaging them.
There are a wide variety of these tests, including visual, liquid penetrant, ultra-
sonic, radiography, magnetic particles, acoustics, and eddy current tests.

3.8 Design of Steam Generators

The objective of any steam generator is to produce steam at the desired flow
rate, temperature, pressure, and purity with the maximum recovery of thermal
energy from combustion products. However, like design of any complex sys-
tem, in order to design a steam generator, many input parameters are required.
Acquiring these inputs starts through comprehensive feasibility studies well
ahead of starting the design process. Some of these parameters are as follows:

• Plant’s power generation capacity and possible future expansion

• Type of power plant, i.e., peak load, baseload, as well as its life
expectancy
• Current and future availability of fuel(s)
• Current and future availability of water as the working fluid and for
condenser cooling (much more on the latter in Chapter 8)
• Emission limitations
• Solid and liquid waste disposal requirements
• Land availability to build the plant considering all requirements
during the power plant construction and operation (and possibly
decommissioning)
• Possible utilization of system byproducts, including steam needs for
processes (i.e., cogeneration, Chapter 10)
• Project-specific requirements such as project scope, project schedule,
required performance guarantees, etc.
248 Power Plant Engineering

In collecting these information, the current and foreseeable future regu-

lations and laws, particularly environmental regulations, should be taken
into account. The information can be used to determine the power pro-
duction capacity of the power plant, its technology, and the site location.
This phase may be followed by acquiring construction and environmen-
tal permits. Specifically for steam generators, the customer may define
performance requirements, including steam output conditions (pressure,
temperature, and flow rate), feedwater conditions, fuel and ash analyses,
load range, capacity, and efficiency. The above criteria and all other require-
ments should be communicated between interested parties, from owners
to designers and suppliers, via specifications. These specifications establish
the bases for the design of all major components. The objective of the steam
generator design is to meet these specifications with a minimum overall
cost.
The design of a steam generator is a multidisciplinary undertaking that
involves not only many engineering fields, such as thermodynamics, heat
transfer, fluid mechanics, material sciences, solid mechanics, control and
instrumentations, process, structure, construction, and manufacturing
engineering but also non-engineering fields, such as chemistry, econom-
ics, environmental science, and many others. However, the application of
fundamentals of science and engineering is not sufficient for the design of
a steam generator due to the complexity of the system. Many empirical data
and practical experiences are required for a successful design of steam gen-
erators. The design should take into account steam requirements, efficiency
of the system, fuel characteristics, environmental and other regulatory
restrictions, operation and maintenance requirements, and local weather
and geographical considerations. The design engineers should trade off
these sometimes conflicting parameters considering capital costs and oper-
ating costs to create a design that balances them to achieve an optimum
system with maximum profitability. Considering the long life expectancy
of steam generators, an entire life cycle of the system should be integrated
into the design process.
Generally speaking, in the design of a steam generator first the heat
and material balance diagram is created to determine the requirements
of major flows, i.e., air, fuel, feedwater, flue gas, and major components.
When these requirements are established, heat-transfer surfaces can be
calculated and all equipment can be sized. The design process of a steam
generator typically follows the direction of flue gas from the furnace to the
stack.
Considering the complexity of steam generators, it is natural to take
advantage of computerized numerical and analytical tools in their design.
These tools can be used for the evaluation and verification of a new design,
modification of an existing system, prediction of the system performance, or
addressing a localized problem.
Steam Generators: Water-Steam Side 249

Similar to any analysis, in a numerical analysis, we solve mathematical

expressions of processes in a system, i.e., the governing equations, such
as mass, energy, momentum, and species conservation laws, using bound-
ary conditions through numerical methods (versus analytical ones). This
typically involves solving a coupled system of ordinary and partial dif-
ferential equations. A typical case is using numerical tools to provide 2- or
3-dimensional analyses of a complex system. It should be remembered that
a numerical tool is as good as its assumptions and input data. It is impera-
tive that the outputs of these tools are evaluated critically by means of their
validation.6

3.9 Questions and Problems

3.9.1 Introduction

3.1. List some sources of thermal energy that can be used to raise
steam in a steam generator.
3.2. When can electricity be used in a steam generator or water heater?
3.3. Why is water the working fluid in most power plants working
based on a Rankine cycle?
3.4. What are the working fluids in Organic Rankine Cycles (ORC)?
3.5. When the thermal energy source for steam generation is provided
by a-would-be-otherwise-wasted-heat from other processes, the
steam generator is called the ………...
3.6. What are some examples of non-utility applications of steam
generators?
3.7. Every combustion-based steam generator can be divided into two
sides. What are these sides? What are their functions?
3.8. Name the parts that the water-steam side of steam generators typi-
cal consist of.
3.9. What is the overall objective of a steam generator?
3.10.
Which item is a desirable attribute of a steam generator?
a. To produce thermal energy from fuel combustion
b. To raise steam at desired conditions
c. To achieve maximum efficiency
d. To maximize reliability

6 Always remember the old saying “garbage in, garbage out”.

250 Power Plant Engineering

e. To minimize capital and operating costs

f. To minimize environmental impacts
g. All of the above
3.11.
List some conventional and alternative fuels that can be com-
busted in steam generators.
3.12.
Provide an example where steam generation is the secondary
objective of a steam generator.
3.13.
What are the differences between utility steam generators and
industrial steam generators?
3.14.
Units that produce steam for both electricity generation and indus-
trial applications are referred to as …
3.15.
List four ways to improve the efficiency of a steam power plant that
are directly related to the thermodynamics of its steam generator.

3.9.2 Historical Development of Early Steam Generators

3.16.
Why could shell-type or kettle boilers only generate saturated
steam?
3.17.
Why were fire-tube boilers more efficient than shell-type boilers?
3.18.
Explain the difference between fire-box steam generators and
Scotch marine steam generators.
3.19.
Fire-tube boilers were slow in responding to load changes and
hard to clean. Why?
3.20.
Why did fire-tube boilers caused so much casualties and financial
damages in the turn of the 20th century?
3.21.
Two fire-tube boilers are made of the same metal operating at the
same temperature. The diameter and operating pressure of one
boiler is half of those for the other boiler. Determine the ratio of
the thickness the larger boiler to that of the smaller one.
3.22.
Why are shell-type and fire-tube steam generators no longer used
in power generation plants?
3.23.
Explain why shell-type boilers can still be safely used for some
applications.
3.24.
What is the main function of a drum?
3.25.
What are the advantages of water-tube steam generators over fire-
tube steam generators?
3.26.
Identify if the following steam generators are fire tube or water
tube. Explain main problems with fire-tube steam generators.
Steam Generators: Water-Steam Side 251

(a)

(b)

3.27.
Why were Babcock & Wilcox steam generators called “nonexplo-
sive boilers”?
3.28.
In the following parallel-drum inclined water-tube steam genera-
tor (a Babcock & Wilcox steam generator), show where the drum,
water tubes, headers, downcomer, riser, furnace, and superheater
are.
252 Power Plant Engineering

3.29.
Compare a parallel drum and cross drum. What is the advantage
of the latter over the former?
3.30.
How does the inclination of water tubes assist water circulation?
3.31.
What is the driving force for water circulation in natural circula-
tion steam generators?
3.32.
What is the function of baffles in the flue gas stream?
3.33.
Why did bent-tube steam generators replace straight-tube steam
generators?
3.34.
What were the functions of mud drum(s)?
3.35.
Explain how bent-tube Stirling steam generators worked.
3.36.
A bent-tube Stirling steam generators with three steam drums and
two water drums typically has ……. tube banks.
a. 2
b. 3
c. 4
d. 5
Steam Generators: Water-Steam Side 253

3.37.
Draw a simple schematic of a Milne boiler.
3.38.
Why could the high rate of combustion cause problems in old
steam generators?
3.39.
In conventional steam generators, what are the main functions of
waterwalls in a furnace?
3.40.
Explain why at high-pressure steam generators waterwall tubes
can provide the entire heating surface required for the evaporator.
3.41.
Why is the heat of vaporization zero above the critical pressure of
water?
3.42.
Which component of a steam generator is used to increase the
temperature of the inlet feedwater to the drum?
a. Reheater
b. Superheater
c. Economizers
d. Evaporator
3.43.
How does the lack of feedwater heaters impact the performance of
economizers?
3.44.
Why did reheaters become a standard component of utility steam
generators?
3.45.
Why was the drum manufacturing a bottleneck for increase in the
operating pressure of steam generators in the early 20th century?
3.46.
What have been the highest operating temperature and pressure
that ever attempted? Explain why the standard temperatures and
pressures were settled at more moderate values.
3.47.
Name four types of modern steam power plants (and steam gener-
ators). What are the typically operating pressure and temperature
for each type?
254 Power Plant Engineering

3.9.3 Arrangement of Modern Steam Generators

3.48.
Name the major components of a typical modern drum-type
steam generator in the following schematic diagram.
Steam Generators: Water-Steam Side 255

3.49.
Describe an evaporator loop of a drum-type steam generator using
the following schematic diagram.
256 Power Plant Engineering

3.50.
Use the following schematic diagram of a drum-type steam gen-
erator to explain how they operate. Label all major components in
the diagram and show the direction on each flow.

From feedwater
heater

3.51.
What are the differences between radiant and convection sections
of steam generators?
3.52.
On the schematic diagram of a steam generator for Question 3.50,
mark where radiant and convection heat-transfer surfaces are.
3.53.
A radiant section can be physically located in any part of a steam
generator.
a. True
b. False
3.54.
Determine if the following components of a steam generator can
be a radiant, convection, or combination of two.
• Waterwalls:
• Reheater:
• Economizer:
• Screen:
• Superheater:
3.55.
In heat transfer from combustion products to water or steam inside
tubes within a steam generator, what heat-transfer mechanisms
are involved?
3.56.
In the following schematic of a tube, show the heat-transfer
mechanism(s) for each part.

Water-
Water - steam layer

Flue steam
flow
Tube wall
Gas layer

gas
Scale
Soot
Steam Generators: Water-Steam Side 257

3.9.4 Components of Modern Steam Generators

3.57.
In modern steam generators, all components of water side and
combustion side are integrated into a single unit.
a. True
b. False
3.58.
In modern steam generators, components are designed and man-
ufactured by various manufacturers and then are assembled to
form a single coordinated system.
a. True
b. False
3.59.
Describe why in some steam generators, usually in industrial
ones, waterwalls may not provide sufficient heat-transfer surface
areas and an extra boiler bank may be required.
3.60.
List different types of waterwall tube arrangement. Identify each
in the following figure. Which one is the most common?

3.61.
Why waterwall tubes can be made of relatively inexpensive car-
bon steel or low alloys?
3.62.
The entire steam generator, including superheaters, reheaters, and
economizer are enclosed by gas-tight tubes and no other struc-
ture is needed.
a. True
b. False
3.63.
List three types of water boiling mechanisms. Describe each
mechanisms. Which one is the most desirable and which one is
the least desirable for water wall tubes? Why?
3.64.
Explain why film boiling is characterized with a low heat-transfer
coefficient while it occurs when there is a high-temperature gradient.
3.65.
Why is the full evaporation of water in the tubes (100% quality of
steam) undesirable?
258 Power Plant Engineering

3.66.
In modern steam generators, how is the DNB delayed in water-
walls? Explain the mechanism.
3.67.
All steam generators have one and only one drum.
a. True
b. False
3.68.
List at least five different functions of a drum.
3.69.
Describe how the quality of feedwater is maintained in a drum.
3.70.
Explain how a drum functions as the accommodator of feedwater.
3.71.
Briefly explain the manufacturing processes of drums.
3.72.
List three tests conducted on drums (in that matter on any important
pressure vessels) during manufacturing to ensure their integrity.
3.73.
What is the boiler blowdown? What is its function?
3.74.
Why is thermal stress a major challenge for the design and manu-
facturing of drums?
3.75.
What is the function of internal shroud in a drum?
3.76.
Which code is used for the design and manufacturing of steam
generators and pressure vessels in the U.S., Canada, and many
other countries?
3.77.
What is the ASME Boiler & Pressure Vessel Code (BPVC)?
3.78.
Determine the minimum wall thickness required for a pres-
sure vessel with an internal radius of 5 ft operating at an internal
pressure of 1000 psig at the operating temperature of 650°F. The
vessel is made of carbon steel SA-516 Grade 70 and all welded joint
are radiographed. Use the ASME BPVC Section VIII, Division 1,
for the calculation. Also, determine the safety factor of the design
if the minimum tensile stress of SA-516 Grade 70 is 70000 psi. Hint:
The allowable stress of carbon steel SA-516 Grade 70 at the tempera-
ture of 650°F is 18,800 psi.
3.79.
Determine the minimum wall thickness (in cm) required for
a pressure vessel with an internal radius of 2.5 m operating at
an internal pressure of 180 bar at the operating temperature of
400°C. The vessel is made of carbon steel SA-516 Grade 55 and all
welded joint are radiographed. Use the ASME BPVC Section VIII,
Division 1 for the calculation. Also, determine the safety factor
of the design if the minimum tensile stress of SA-516 Grade 55 is
55,000 psi. Hint: The allowable stress of carbon steel SA-516 Grade
55 at the temperature of 400°C is 12,912 psi.
3.80.
Why is the presence of water droplets in the saturated water leav-
ing the drum toward superheaters undesirable or even dangerous?
3.81.
Why is the presence of steam in the water outlet from the drum to
the waterwall tubes undesirable?
Steam Generators: Water-Steam Side 259

3.82.
What are the mechanisms to separate steam from boiling water in
the drum?
3.83.
What is the driving force in the gravity separation of steam in a
drum?
3.84.
Why is gravity separation alone ineffective in modern utility
steam generators?
3.85.
The modern drums are commonly equipped with two series of
steam separators, primary separators and secondary separators.
a. True
b. False
3.86.
What are the two main functions of primary steam separators?
3.87.
List common primary steam separators in drums. Describe the
basic operation principle of each.
3.88.
What are the two main functions of secondary steam separators?
3.89.
Why is a driving pressure needed to circulate saturated water
through waterwall tubes?
3.90.
What are the two types of water circulation mechanisms?
3.91.
How is the driving pressure created in natural circulation steam
generators? What factors impact this driving pressure?
3.92.
What are the sources of pressure drop in a water circulation loop
of drum-types steam generator?
3.93.
Why is it critical to reduce pressure drops in natural circulation
steam generators while it is not that important for forced-circula-
tion steam generators?
3.94.
Natural circulation steam generators have an inherent self-control
mechanism. Why? Is this characteristic always desirable?
3.95.
Why do different tubes in waterwalls have differing driving pres-
sures? What parameters impact these driving pressures?
3.96.
What happen if there are nonuniform flow rates in different tubes
of waterwalls?
3.97.
Explain how water is circulated in forced-circulation steam
generators.
3.98.
Why do forced-circulation steam generators can have more rapid
start-up and load change compared to those of natural circulation
steam generators?
3.99.
Which steam generator is more suitable for a power plant that is
under cycling loads?
a. Forced-circulation steam generators
b. Natural circulation steam generators
3.100.
What is the function of orifices in the inlet to waterwall tubes?
260 Power Plant Engineering

3.101.
Explain why superheaters and reheaters require special materials.
3.102.
Why reheaters can be made of less expensive materials compared
to superheaters?
3.103.
Superheater and reheater tubes are ……. Why?
a. internally ribbed
b. externally finned
c. both internally and externally bare
3.104.
Describe why the selection of superheater and reheater tube diam-
eters is a trade-off between stress and pressure drop.
3.105.
Explain how and why the responses of convection or radiation
superheaters to load variations are different. What are the impli-
cations of this difference?
3.106.
What are the three superheater and reheater support systems?
What are the pros and cons of each?
3.107.
Identify the pendant, inverted, and horizontal support system for
superheaters and reheaters in the following figure.

Flue

(a) (b)

(c)

3.108.
In a subcritical utility steam generator, the feedwater from the
last high-pressure feedwater heater enters the economizer at
the temperature and pressure of 150°C and 180 bar. The super-
heated steam leaves the superheater at the temperature of 550°C.
Determine the relative heat absorption in the economizer, evapo-
rator, and superheater. Assume the pressure losses in the steam
generator components are negligible.
3.109.
Economizer tubes can be ……. Why?
a. internally ribbed
b. externally finned
c. both internally and externally bare
3.110.
Explain why a large surface area is required in an economizer.
Steam Generators: Water-Steam Side 261

3.9.5 Once-Through Steam Generators

3.111.
What is the main difference between a once-through steam gen-
erator and a drum-type steam generator?
3.112.
Why are once-through steam generators referred to as universal-
pressure (UP) steam generators?
3.113.
Which type of steam generators can operate at subcritical operat-
ing pressures?
a. Drum-type steam generators
b. Once-through steam generators
c. Both
d. None
3.114.
Which type of steam generators can operate at supercritical oper-
ating pressures?
a. Drum-type steam generators
b. Once-through steam generators
c. Both
d. None
3.115.
Why is operating once-through steam generators during low-load
operation, start-up, or shutdown challenging? How can the prob-
lem be addressed?
3.116.
Why do once-through steam generators require purer feedwater
than drum-type steam generators?
3.117.
Explain why once-through steam generators typically are
equipped with spiral wound waterwall tubes. Also, explain why
typically only the bottom half of waterwall tubes are angled.

3.9.6 Control of Steam Generators

3.118.
Explain the basics of closed-loop and open-loop control systems.
What are the pros and cons of each system?
3.119.
Is the cruise control in your car an open or closed control system?
Briefly explain how it works.
3.120.
What type of closed-loop control system is used in an old-
fashioned house HVAC system controlled by a thermostat? Briefly
explain how it works.
3.121.
Consider the lighting level in your office as the controlled vari-
able. Compare using a light switch and a dimmer switch as your
control strategy. Which one uses on-off control? What about pro-
portional control?
262 Power Plant Engineering

3.122.
Consider an object hung to a vertical spring as a simple propor-
tional control. Explain this control mechanism if the disturbance
is adding to the mass of the object. Explain the concept of the off-
set in this proportional control system.
3.123.
The fly-ball governor is one of the oldest examples of proportional
control systems. Identify the controlled and manipulated vari-
ables in this system and briefly explain how the system works.
3.124.
What are the two most common temperature measurement
devices that are used in steam power plants? Describe the opera-
tional principles of each device. What are their advantages and
limitations?
3.125.
Briefly describe the two general approaches used to control the
temperature of superheated steam leaving superheaters and
reheaters.
3.126.
Explain the operational principles of attemperator or desuper-
heater. Draw schematic of the system. Where are they typically
installed? Why?
3.127.
Explain why it is dangerous if the water level in the drum is too
high or too low.
3.128.
Describe how the water level in the drum is controlled.
3.129.
What is the function of safety and relief valves? What is their
difference?
3.130.
A supercritical steam generator is designed to generate 400 kg/s
superheated steam at 550°C and 250 bar. The steam generator at
an off-design conditions generates 300 kg/s superheated steam
at 600°C and 250 bar. A water-spray attemperator is used to
reduce the temperature of the steam to the design temperature.
Determine the flow rate of the cold water (in kg/s) needed if the
water at the inlet of the attemperator is at 150°C.

3.9.7 Operation, Start-up and Shutdown, Manufacturing,

and Maintenance of Steam Generators

3.131.
How and why the drum is a limiting factor in the start-up of a
steam generator?
3.132.
How are the economizer, superheater, and reheater tubes pro-
tected during early stages of start-up process in a drum-type
steam generator?
3.133.
How are the heat absorbing tubes protected during early stages of
start-up process in a once-through steam generator?
3.134.
Explain three stages of steam generators’ life in terms of required
maintenance.
Steam Generators: Water-Steam Side 263

3.135.
List some parameters that are needed before starting the design of
a steam generator.
3.136.
What are the three contractual approaches to constructing a steam
power plant (in that matter any plant)?
3.137.
Why should the results of numerical tools be treated cautiously?

3.9.8 General

3.138.
In evaporator tubes, what is the departure from nucleate boiling
(DNB) and how can it be eliminated or delayed?
3.139.
What is the function blowdown in a drum?
3.140.
Compare the following terms: [6]
• Utility steam generators versus industrial steam generators
• Subcritical steam generators versus supercritical steam generators
• Water-tube drum-type steam generators versus once-through
steam generators
3.141.
Explain why grooved, ribbed, and corrugated tubes are utilized in
the boiler/water walls.
3.142.
Determine the minimum wall thickness required for a drum with an
internal radius of 4 ft operating at an internal pressure of 2000 psig.
The drum is made of carbon steel SA-516 Grade 70 and all welded
joint are radiographed. Use the ASME BPVC Section VIII, Division, 1
for the calculation. Also, determine the safety factor of the design if
the minimum tensile stress of SA-516 Grade 55 is 70,000 psi.
3.143.
Explain the most common superheated steam temperature control
system in steam generators (the location of the control system and
its main operating mechanism).
3.144.
Which one operates at more severe operating conditions (both
temperature and pressure): superheater or reheater? Why?
3.145.
Explain various steam separation mechanisms in a drum.
3.146.
All modern steam power plants have superheater.
a. True
b. False
3.147.
Sketch the schematic of a modern steam generation system show-
ing all major components and flows.
3.148.
What are the advantages and disadvantages of natural circulation
and forced-circulation steam generators?
3.149.
Why bent-tube steam generators are better than straight-tube
ones?
264 Power Plant Engineering

3.150.
What is the difference between a cross drum steam generator and
a longitudinal drum steam generator?
3.151.
Explain why fire-tube steam generators are no longer used.
3.152.
Briefly explain the origins of the ASME.
3.153.
What is a Scotch marine steam generator?
3.154.
Explain the functions of waterwalls and economizers.
3.155.
Describe centrifugal separators in the drum (function and opera-
tion mechanism).
3.156.
List the major components of the water-steam side of a steam
generator.
3.157.
Once-through steam generators can be used for … power plants.
a. subcritical
b. supercritical
c. both subcritical and supercritical
3.158.
The departure from nucleate boiling (DNB) in a boiler is ….
a. desirable
b. undesirable
3.159.
In the following steam generator, show where steam and water are
separated.
Steam Generators: Water-Steam Side 265

3.160.
In the above steam generator (previous question), show where the
following type of pipe is used. Why?
4
Steam Generators: Fire Side

Abstract
In this chapter, we deal with the fire side of steam generators. We will
start with the thermodynamics of the combustion process. Then, various
fuels types, such as coal, biomass, solid wastes, natural gas, and hydrocar-
bon liquid fuels and their properties will be discussed. Their extraction,
transportation, preparation, and storage processes will be extensively dis-
cussed. Although the share of coal in power generation is declining in
many countries, we will extensively discuss this fuel due to its historical
significance. Also, most technologies that are being used in the combus-
tion of other fuels have been originated in technologies that were initially
developed for coal. Finally, coal is still one of the most important fuels,
if not the most important one, on the global scale. Various coal combus-
tion technologies, including mechanical stoker, pulverized coal, cyclone-
furnace firing, and fluidized-bed combustion will be covered. It will be
also explained how similar technologies are adapted for other fuel types.
All components and their functions for each technology will be described.
Some emission reduction technologies that are integrated into combustion
systems will be evaluated. Many auxiliary components related to combus-
tion systems and their operational principles will be also discussed.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• conduct thermodynamic calculations of combustion reactions

• discuss various types of solid, liquid, and gaseous fuels and their
properties
• describe extraction, transportation, preparation, and storage pro-
cesses of various fuels
• identify various combustion technologies for different fuel types
• describe components for each technology and their functions
• describe many auxiliary components related to combustion systems
and their operational principles

267
268 Power Plant Engineering

4.1 Introduction
In Chapter 3, it was explained that in modern utility steam generators all
components required to generate steam are integrated into a single unit. The
components of the water-steam side of a steam generator, including water-
walls, drum, superheaters, reheater, and economizer were also discussed in
Chapter 3. In this chapter, we will focus on the fire side of steam generators. A
great deal of this chapter will be spent on the combustion process and fuels.
We will then look at how these fuels can be combusted in steam generators.
While the share of coal in electricity generation is declining in many
countries, particularly in industrialized countries, it is still one of the most
important fuels, if not the most important one, on a global scale. Also, most
technologies that are currently being used in the combustion of other fuels
one way or another have been originated in technologies that were originally
developed for coal combustion. Moreover, since coal has contributed so much
to our society and the human civilization that we share today (positively and
negatively), it deserves our attention. Finally, our future and civilization may
depend on how we get rid of our “addiction” to this cheap source of energy.
For these reasons, we will extensively cover coal.
The combustion process (fire) converts the chemical energy of fuels to
energy in the form of heat and light. Historical evidence show that our
ancestors were probably able to control fire by observing naturally occur-
ring fire as early as 1.9 million years ago,1 certainly since 400,000 years ago,
and widely since 100,000 years ago. To better control fire and to improve
output heat, hearths with air-intake channels were in use since more than
40,000 years ago. This capability resulted in better diet due to cooked food;
ability to move and live in colder climates; better protection against enemies;
ability to preserve food by drying and smoking; ability to transform materi-
als to make products such as glass, pottery, and bricks as well as metal smelt-
ing; extended active life to night by providing light; and providing social
focus point; among other benefits. “Harnessing the power of fire was an
important part of the development of civilization and had influenced every
part of human life”.2 Fire provided human beings with a tool to control, alter,
and shape nature and eventually conquer the world. However, there was no
understanding of the nature of the combustion process and its properties
until the late 19th century.

1 Current Anthropology Volume 40, Number 5, December 1999. The Raw and the Stolen
Cooking and the Ecology of Human Origins, by Richard W. Wrangham, James Holland Jones,
Greg Laden, David Pilbeam, and Nancy Lou Conklin-Brittain.
2 Science, Adam Hart-Davis (editor), 2009, DK publishing.
Steam Generators: Fire Side 269

4.2 Thermodynamics of Ideal Gases

If there is a chemical reaction in a thermodynamic process, such as the
combustion process as the most well-known one, the principles used to
thermodynamically analyze the process using the first and second laws of
thermodynamics do not change. However, some new terms and concepts
should be considered to adjust our approaches. In this section, the concepts of
thermodynamic properties, the mass conservation law, and the first and sec-
ond laws of thermodynamics will be extended to include processes involving
chemical reactions. For this purpose, some modifications will be introduced
to the determination of internal energy, enthalpy, and entropy. While the pre-
sented materials will be about the combustion process, they can be similarly
applied to other chemical reactions. Since in the combustion process always
a mixture of several gases is involved, it is appropriate to review the ideal gas
law and the properties of a mixture of ideal gases here.

REMINDER BOX 4.1

Ideal gas lawIn the ideal or perfect gas model, it can be assumed that
gas molecules behave independently and are not affected by each other.
The ideal gas equation of state is developed experimentally and can be
expressed in several forms including

PV = nRT (4.1)
where P is pressure (kPa), V is volume (m3), T is temperature (K), n is the
number of moles of the gas, and R is the universal gas constant for all
gases:

R = 8.314kJ / kmol. K = 1.986 Btu / lbmol. R = 1545 ft lbf / lbmol.R

The gas constant for a particular gas (R) is defined as

R
R= (4.2)
M
where M is the atomic or molecular weight of the gas ( kg/kmol or
lb/lbmol ). The gas constant for air is

Rair = 0.2870 kJ/kg K = 0.06855Btu/lb R

The relationship between the number of moles and the mass of the gas is
m
n= (4.3)
M
270 Power Plant Engineering

where m is the mass of the gas (kg or lb). Considering Equation 4.3, the
ideal gas equation (Equation 4.1) can be rearranged as

PV = mRT (4.4)
Pv = RT (4.5)

where v is specific volume of gas (m3/kg or ft3/lb). Note that by con-

sidering the compressibility factor, similar equations can be developed
and used for non-ideal gases. Please refer to your thermodynamic text-
book for further information.

4.2.1 Ideal Gas Mixture

In many applications, the matter of interest is not a pure substance; instead,
it is a mixture of pure matters. Unlike pure substances, due to unlimited
combinations of substances that can be created by mixing pure matters,
it is not possible to present properties of mixtures in the form of property
tables, except for certain mixtures such as air. The objective of this review is
to determine the properties of a mixture by using the properties of the pure
substances that the mixture is made of and measurable properties of the mix-
ture such as pressure, temperature, volume, mass, and composition.
In order to identify a mixture, its composition is needed that can be presented
by either mass or moles of each component in the mixture. However, it is more
convenient to present the mixture composition relative to the total mass or total
number of moles so the composition is independent of the total amount of the
mixture. For this purpose, the mass fraction and molar fraction can be defined.
For a mixture of N components of pure substances, the total mass and the
total number of moles are
j= N

mt = m1 + m2 +  + mN = ∑m (4.6) j
j =1

j= N

nt = n1 + n2 +  + nN = ∑n j (4.7)
j =1

where mj and nj represent the mass and the number of moles of the jth com-
ponent of the mixture.
The mass fraction (c) and mole fraction (y) of each component are defined
as follows:
mi
ci = (4.8)
mt
Steam Generators: Fire Side 271

ni
yi =
nt (4.9)

Dividing Equations 4.6 and 4.7 to the total mass and the total number of
moles of the mixture, respectively,

j= N

∑c = 1 (4.10)
j
j =1

∑
j= N
y j = 1 (4.11)
j =1

Using the mass- and mole-based representations of the composition of the

mixture is also called the gravimetric analysis and molar (or volumetric)
analysis, respectively. It is important to be able to convert mass and molar
fractions to each other. The relationship between mass and the number of
moles of a component of the mixture is

mi
ni = (4.12)
Mi

where Mi is the molecular weight of component i of the mixture in kg/kmol

or lb/lbmol. For the mass fraction of component I,

ni Mi
m mi ni Mi nt y Mi
i
ci = i = = = = (4.13)
∑ ∑ ∑ ∑
j= N j= N j= N j= N
mt mj  n j M j   nj M j   y j M j 
j=1 j=1 j=1  nt  j=1

Similarly, for the mole fraction of component I,

mi mi ci
ni ni Mi ( Mi mt ) Mi
yi = = = = =
∑ ∑ ∑
j= N
nt j= N m
 j  mj  j= N
 c j 
∑
j= N
nj
 M j     M j 
j=1 j=1 
j=1
 (
M j mt  ) j=1

(4.14)

The average or apparent molecular weight of the mixture can be found as a func-
tion of the molar fraction and molecular weight of the components as follows:

∑ ∑
j= N j= N
mj  n j M j 
m
∑ ∑
j= N
Mmix = t =
j=1
=
j=1
=  nj M j  = j= N
 y j M j 
nt nt nt j=1  nt  j=1

(4.15)
272 Power Plant Engineering

Similarly, the average molecular weight of the mixture can be found as a func-
tion of the mass fraction and molecular weight of the components as follows:

mt mt mt 1 1
Mmix = = = = =
∑ ∑ ∑ ∑
j= N j= N
nt nj mj  j= N m
 j  j= N
c j 
j=1 j=1 
 M j  j=1  mt M j  
j=1  M j 
(4.16)

4.2.2 Dalton Model
In an ideal gas, the intermolecular forces and the volume of gas molecules are
negligible. These properties of ideal gases lead to the Dalton model. In an ideal
gas mixture, according to the Dalton model, each component of the mixture
behaves as if it occupies the entire volume by itself and it exists separately and
independently at the temperature and volume of the mixture. If an ideal gas
mixture is composed of two gases, A and B, according to the Dalton model

TA = TB = TMix and VA = VB = VMix (4.17)

PAVA = nA RTA , PBVB = nB RTB , PMixVMix = nMix RTMix (4.18)

Note that PA represents the partial pressure of gas A. Dividing two sides of
Equation (4.18)

PAVA n RT
= A A (4.19)
PMixVMix nMix RTMix

PA n
= A = y A (4.20)
PMix nMix

In general, the partial pressure of each component of the mixture is equal

to the total pressure of the mixture multiplied by the mole fraction of the
component.

Pi = y i PMix (4.21)

Also, it can be shown that the total pressure of the mixture is equal to the
sum of the partial pressure of its components.

nMix = nA + nB (4.22)

PMixVMix PAVA PBVB

= + (4.23)
RTMix RTA RTB
Steam Generators: Fire Side 273

PMix = PA + PB = y A PMix + y B PMix (4.24)

In general, for an ideal mixture of N gases,

j= N j= N

PMix = ∑P = ∑y P
j j Mix (4.25)
j =1 j =1

Example 4.1
The temperature and pressure of air in a 2 m3 container are 350 K and
1 bar. If the nitrogen mole fraction of the air is 79%, determine the tem-
perature, pressure, volume, specific volume, and mass of the nitrogen in
the air.
Solution

TN2 = 350 K

VN2 = 2 m 3

 kJ 
8.314  × 350 [ K ]
vN2 =
R T
=  kmol ⋅ K  = 1.315
m3
MP  kg  kg
28.01  × 79  kpa 
 kmol 

V 2
mN2 = = = 1.521kg
vN2 1.315

4.2.3 Internal Energy, Enthalpy, and Entropy of Ideal Gas Mixture

Other properties of an ideal gas mixture can be determined using the respec-
tive properties of the components at the condition at which the component
exists in the mixture.
j= N

U Mix = U 1 + U 2 +  + U N = ∑U (4.26) j
j =1

j= N

H Mix = H 1 + H 2 +  + H N = ∑H (4.27) j
j =1

j= N

SMix = S1 + S2 +  + SN = ∑S (4.28) j
j =1
274 Power Plant Engineering

Dividing Equations 4.26–4.28 to the total mass of the mixture

j= N

uMix
m
mMix
m
mMix
m
= 1 u1 + 2 u2 +  + N uN =
mMix ∑c u (4.29)
j j
j =1

j= N

hMix =
m1
mMix
m
mMix
m
h1 + 2 h2 +  + N hN =
mMix ∑c h (4.30)
j j
j =1

j= N

sMix = ∑c s (4.31)
j j
j =1

Similar equations can be developed for the properties of a mixture based on

the mole fraction.

j= N

uMix = ∑y u (4.32)
j j
j =1

j= N

hMix = ∑y h (4.33)
j j
j =1

j= N

sMix = ∑y s (4.34)
j j
j =1

Using a similar approach for other properties,

j= N

c v , Mix = ∑c c j v , j (4.35)
j =1

j= N

c P , Mix = ∑c c j P , j (4.36)
j =1

j= N

RMix = ∑c R (4.37)
j j
j =1
Steam Generators: Fire Side 275

c P , Mix
k= (4.38)
c v , Mix

and

j= N

cv , Mix = ∑y c j v, j (4.39)
j =1

j= N

cP , Mix = ∑y c j P, j (4.40)
j =1

j= N

RMix = ∑y R (4.41)
j j
j =1

Instead of all of the above equations, the following general equation can be
written, where x can represent any property:

x = Mx and xi = Mi xi (4.42)

Note that the properties of all the components are evaluated at the tempera-
ture of the mixture and the partial pressure of the component.

4.3 Thermodynamics of Combustion Process

4.3.1 Combustion Reactions
Combustion is rapid oxidation of matters, notably carbon, hydrogen, sulfur,
and their compounds.

reactants ( fuel + oxidizer ) → products (4.43)

In a complete combustion process, all fuel molecules are oxidized, e.g., all
the carbon, hydrogen, and sulfur in the fuel are converted to carbon dioxide,
water, and sulfur dioxide in the combustion products. If these conditions are
not fulfilled, combustion is incomplete. The reactions for the complete com-
bustion of carbon, hydrogen, and sulfur are

C ( fuel ) + O 2 (oxidizer ) → CO 2 ( product ) (4.44)

276 Power Plant Engineering

1
H 2 + O 2 → H 2 O (4.45)
2

S + O 2 → SO 2 (4.46)

Similar to any other process, in combustion, the mass is conserved and the
mass of the elements before and after the reaction remains the same. This
means the number of atoms of each element in the reactants and products
should be the same even though they may be within different molecules. For
combustion of carbon,

1mole C + 1mole O 2 → 1mole CO 2 (4.47)

12 kg C + 32 kg O 2 → 44kg CO 2 (4.48)

1kg C + 2.67 kg O 2 → 3.67 kg C (4.49)

As is evident in these reactions, the number of moles of reactants and prod-

ucts is not conserved but the number of moles of each element is conserved.
In combustion reactions, the numerical coefficients of reactants and products
are called the stoichiometric coefficients. Note that the number of molecules
associated with the number of moles according to Avogadro law.
Similarly, for the combustion of methane (CH4)

CH 4 + 2O 2 → CO 2 + 2H 2 O (4.50)

In this reaction, H2O in the combustion products can be in the form of steam,
liquid water, or even ice depending on the temperature and pressure of the
products.
So far pure oxygen is considered as the oxidant for combustion, but in the
real world, for the majority of applications, air is the oxidant and not pure
oxygen. The typical composition of the dry atmospheric air in the molar or
volume basis is

O2: 21%
N2: 78%
Ar + other gases*: 1%
* such as carbon dioxide, neon, helium, hydrogen, ozone, etc.

Usually argon and other gases in air are neglected and considered as a part
of nitrogen, which is then referred to as atmospheric nitrogen. In this case,
the composition of air is (refer to Example 4.2)
Steam Generators: Fire Side 277

O2: 21%
N2: 79%
Ar (argon) + other gases: 0%

Note that for the humid air (or the wet atmospheric air) the vapor content of
the air should be also taken into account. For the air at the temperature of
25°C and humidity of 60%, the vapor content is 1.4% per kg of dry air.

Example 4.2
There are several ways to describe the composition of air and take it into
account in thermodynamic calculations. The atmospheric air is com-
posed of several gases, e.g., N2, O2, Ar, and, as well as water vapor, dust,
pollutions, and other contaminations. When water vapor and all con-
taminations are removed, it is called the standard air composition or dry
air (Table 4.1). Typically, the composition of air is assumed N2, 78%; O2,
21%; and Ar 1%. Commonly argon is neglected in air and is considered
as a part of nitrogen, which is called atmospheric nitrogen. Then, the air
composition will be N2, 79% and O2, 21%. Determine the mass fraction of
each component and the average molecular weight of air in each case. In
Table 4.1, assume all other components (last row of the table) as helium.

TABLE 4.1
Standard Air Composition
Component Mole Fraction (%)
Nitrogen 78.09
Oxygen 20.95
Argon 0.92
Carbon dioxide 0.03
Helium and others 0.01

Given:
The composition of air is given based on the molar analysis.
Find:
The mass fraction of each component and the average molecular
weight of the mixture.
Analysis:
Table 4.2 summarizes the calculation for the atmospheric air. The val-
ues for the molecular weight of each component (third column) can be
found from Table A.5. The fourth column is the result of the second col-
umn multiplied by the third column. The sum of the values in the fourth
column is equal to the average molecular weight of the mixture. The fifth
column shows the mass fraction of each component.
For air with the composition of O2, 21%; N2, 78%; and Argon 1%., the
mass fraction and the average molecular weight of the mixture can be
calculated as follows:
278 Power Plant Engineering

TABLE 4.2
Results for Example 4.2
yi M i (kg/
y Mi
Component (kmol) kmol) mi = yi M i (kg) ci =
i
× 100 (%)
∑
j=N
 y j M j 
j =1

Nitrogen 0.7809 28.01 21.87 75.533

Oxygen 0.2095 32.00 6.70 23.151
Argon 0.0092 39.95 0.37 1.269
Carbon dioxide 0.0003 44.01 0.01 0.046
Helium and 0.0001 4.003 0.0004 0.001
others
j=5

Sum 1 ∑n M  = 28.958

j j 100
j=1

j=3

∑ n M  = 0.78 × 28.01 + 0.21 × 32.00 + 0.01 × 39.94 = 28.9672 kg/kmol

j=1
j j

y N 2 MN 2 0.78 × 28.01
cN2 = = = 0.754225
∑
j=3
 y j M j  28.9672
j=1

y O 2 MO 2 0.21 × 32.00
cO2 = = = 0.231987
∑
j=3
 y j M j  28.9672
j=1

y Ar MAr 0.01 × 39.94

cAr = = = 0.013788
∑
j=3
 y j M j  28.9672
j=1

The simplified composition of air introduces 1.27% error to the calcu-

lated average molecular weight of the mixture.
For air with atmospheric nitrogen (N2, 79% and O2, 21%),

j=2

∑ n M  = 0.79 × 28.01 + 0.21 × 32.00 = 28.8479 kg/kmol
j=1
j j

y N 2 MN 2 0.79 × 28.01
cN2 = = = 0.763895
∑
j=2
 y j M j  28.9672
j=1

y O 2 MO 2 0.21 × 32.00
cO2 = = = 0.231987
∑
j=2
 y j M j  28.9672
j=1
Steam Generators: Fire Side 279

Using air with atmospheric nitrogen introduces 0.9% error to the

calculated average molecular weight of the mixture.
Question:
Compare the average molecular weight of pure nitrogen and atmo-
spheric nitrogen.

j=2

∑ n M  = 0.78
j=1
j j
0.79
× 28.01 +
0.01
0.79
× 39.94 = 28.16 kg/kmol

This indicates 0.54% error.

The molecular weight of the pure nitrogen is 28.013, while the molecular
weight of the atmospheric nitrogen, taking argon into account as a part of
nitrogen, is 28.16. In this text, nitrogen always refers to the atmospheric nitro-
gen (unless specified otherwise). With this assumption, the molar ratio of
 0.79 
nitrogen to oxygen in the air is 3.76 =  , which means for each mole of
 0.21 
oxygen, there are 3.76 moles of nitrogen in the air.
Another assumption is that nitrogen, argon, and other gases in the air do
not participate in the combustion process. They enter the combustion cham-
ber at the inlet air temperature and leave at the temperature of the combustion
products. This means although these gases do not participate in the reac-
tions and act as inert gases, they still affect the overall process by absorbing
thermal energy to change their temperature. Note that at high-temperature
combustion processes, nitrogen and oxygen can react and produce oxides of
nitrogen, which are major pollutants (refer to Chapter 5). But the rate of that
reaction is negligible and is typically ignored in combustion calculations.
The complete combustion of methane in air is

CH 4 + 2 ( O 2 + 3.76 N 2 ) → CO 2 + 2H 2 O + 7.52 N 2 (4.51)

In a combustion process, the theoretical air is the minimum amount of air

to provide enough oxygen for the complete combustion of all combustible
atoms, e.g., H2 and C, so there is neither free oxygen nor unburned fuel in
the combustion products. The mixture of fuel and theoretical air is called the
stoichiometric mixture. The combustion of methane in the above reaction is
with theoretical air and the reaction is stoichiometric combustion. In general,
the complete combustion of a hydrocarbon fuel with the theoretical air can
be summarized in the following reaction:
 y y  y
C x H y +  x +  ( O 2 + 3.76N 2 ) → xCO 2 + H 2 O + 3.76  x +  N 2 (4.52)
 4 2  4
 y
It means the combustion of 1 mole of the fuel C x H y requires 4.76 x + 
 4
moles of air.
280 Power Plant Engineering

Usually more than the theoretical air is needed for a complete combus-
tion process. This is referred to as excess air. The amount of the excess air
depends on the fuel type and the combustion technology and may vary
with the steam generator load. The actual amount of the air supplied to a
combustion process is presented by either the percentage of the theoretical
air or the percentage of the excess air. The percentage of the theoretical air
is the fraction of the number of moles of the actual air to the number of
moles of the theoretical air. The percentage of excess air is defined simi-
larly by the ratio of the number of moles of the excess air (the actual air
minus the theoretical air) to the number of moles of the theoretical air.
For example, 200% theoretical air and 100% excess air are the same and it
means the actual amount of air is twice the theoretical air. The complete
combustion of methane with 200% theoretical air or 100% excess air can
be written as

CH 4 + 2 × 2 ( O 2 + 3.76N 2 ) → CO 2 + 2H2 O + 2O 2 + 15.04N 2 (4.53)

Using the same terminology, the theoretical air is sometimes referred to as

100% theoretical air. Similarly, 90% of the theoretical air or 10% deficiency of
the air means that the actual amount of the air is less than the theoretical air.
Another method to express the relative amount of fuel and air in the com-
bustion process is by the air-to-fuel ratio (AF) or the fuel-to-air ratio (FA).
They both can be mass or mole basis and are defined as follows:

mair
AFmass = (4.54)
mfuel

nair
AFmole = (4.55)
nfuel

mair n M M
AFmass = = air air = AFmole air (4.56)
mfuel nfuel Mfuel Mfuel

Mair = 28.97

where n represents the number of moles and M represents the molecu-

lar weight. Also, the equivalence ratio can be used to express the relative
amount of the actual air to the theoretical air. It is defined as the ratio of the
fuel-to-air ratio of the actual combustion process to the fuel-to-air ratio of the
complete combustion with the theoretical air and can be mass or mole basis.

FA AFs
Φ= = (4.57)
FA s AF
Steam Generators: Fire Side 281

where s represents the combustion with the theoretical or stoichiometric

air. Note that for a combustion process, all the following expressions are
equal:

• 200% theoretical air

• 2 times stoichiometric air
1
• equivalence ratio of
2
• 100% excess air

In all methods of presenting the relative amount of air and fuel, if the amount
of air in the actual combustion is less than that in the stoichiometric combus-
tion, the fuel and air mixture is a rich mixture. If the amount of air in the
actual combustion is more than that in the stoichiometric combustion, the
fuel and air mixture is a lean mixture.

Example 4.3
Ethylene (C2H4) fuel is completely combusted in air. Write the combus-
tion reaction when the combustion is with the theoretical air and with
100% excess air. Determine the air-to-fuel ratio (both mole-based and
mass-based), and the dew temperature of the combustion products for
both reactions. Also, determine the equivalence ratio in the second reac-
tion. The pressure of the combustion products is 1 bar.
Analysis
Given: The fuel is ethylene (C2H4). There are two combustion reactions,
with the theoretical air and with 100% excess air.
Find:

• Write both combustion reactions.

• Determine the air-to-fuel ratio (both mole-based and mass-
based) when the combustion is with the theoretical air and with
100% excess air.
• Determine the dew point temperature of the combustion prod-
ucts when the combustion is with the theoretical air and with
100% excess air.
• Determine the equivalence ratio when the combustion is with
100% excess air.

Assumptions:

1. The combustion process is complete.

2. Air is 21% oxygen and 79% nitrogen (mole fraction).
3. Nitrogen in the air is the atmospheric nitrogen.
4. Nitrogen does not participate in the combustion reaction.
282 Power Plant Engineering

Analysis:
With theoretical air:
First, the general reaction with the theoretical air is written as follows
with the unknown stoichiometric coefficients:

C2 H 4 + a ( O2 + 3.76 N 2 ) → b CO 2 + c H 2 O + d N 2

According to the conservation of mass law, the elements on the two sides
of the reaction must be balanced:

C balance: b = 2
H balance: 2c = 4
O balance: 2b + c = 2a
N balance: d = 3.76a

Solving the equations, b = 2, c = 2, a = 3, and d = 11.28. So the combustion
reaction will be

C2 H 4 + 3 ( O2 + 3.76 N 2 ) → 2 CO 2 + 2 H 2 O + 11.28 N 2

This means for combustion of one mole of ethylene three moles of oxy-
gen is needed that can be provided by 14.28 moles of air. The molecular
weight of ethylene is 28.05. The air-to-fuel ratio can be found as follows:

nair 14.28
AFmole = = = 14.28
nfuel 1

Mair 28.97
AFmass = AFmole = 14.28 = 14.75
Mfuel 28.05

For the dew point, first the mole fraction of vapor in the combustion
products should be determined.

pvap 2
Mole fraction of vapor in the combustion products = = = 0.131
ptot 2 + 2 + 11.28

This mole fraction of vapor in the combustion products is equal to the

ratio of the partial pressure of the vapor to the total pressure of the com-
bustion products.

pvap
= 0.131
ptot

pvap = 0.131 × 1 = 0.131 bar

The vapor in the combustion products is saturated steam at the deter-

mined partial pressure. Thus, the dew point temperature can be found
from Table A.1 (SI) with interpolation.
Steam Generators: Fire Side 283

TDew = 50.23°C

100% excess air:

In this case, the amount of the air in the combustion reaction doubles.

C2 H 4 + 2 × 3 ( O 2 + 3.76 N 2 ) → b CO 2 + c H 2 O + d N 2 + f O 2

Balancing two sides of the reaction:

C balance: b = 2
H balance: 2c = 4
O balance: 2b + c + 2f = 12
N balance: d = 22.56

Solving the equations, b = 2, c = 2, f = 3, and d = 22.56. So the combustion
reaction will be

C2 H 4 + 6 ( O 2 + 3.76 N 2 ) → 2 CO 2 + 2 H 2 O + 22.56 N 2 + 3 O 2

This means for combustion of one mole of ethylene fuel, 6 moles of oxy-
gen are needed that can be provided by 28.56 (= 6 + 22.56 = 6 × 4.76) moles
of air. The air-to-fuel ratio can be found as follows:

nair 28.56
AFmole = = = 28.56
nfuel 1

Mair 28.97
AFmass = AFmole = 28.56 = 29.50
Mfuel 28.05

Note that AFmole and AFmass in the second case are twice those in the first
case.
The equivalence ratio of the mixture in the second reaction is

AFs 14.28
Φ= = = 0.5
AF 28.56

The mixture of fuel and air is a lean mixture.

For the dew point,

pvap 2
Mole fraction of vapor in the combustion products = =
ptot 2 + 2 + 22.56 + 3

= 0.0677

pvap = 0.0677 × 1 = 0.061 bar

From Table A.1 (SI) with interpolation

TDew = 38.22°C
284 Power Plant Engineering

The combustion calculation method presented so far sometimes is referred

to as the mole method. The second combustion calculation method is called
the million BTU method. In this method, the mass of the required fuel and
air as well as the mass of the combustion products to generate one million
BTU thermal energy are determined.
It should be noted that actual combustion is much more complicated than
what is described above. There are many intermediate products produced in
the rapid chemical reactions of combustion. In this section, only the initial
reactants and the final products are considered. But for a detailed analysis of
combustion, these intermediate products are very important.
In an actual combustion process, many parameters affect the reactions and
products, such as the temperature and pressure of the reactants and products,
the amount of oxygen (air) in the mixture and the degree of their mixing, the
degree of turbulence during combustion, the time allocated for combustion,
and many other factors. If incomplete combustion occurs, which can be with
less than or more than theoretical air, the latter in the case of insufficient mix-
ing of air and fuel, one of the following two cases may take place:

1. Slight shortage of oxygen, which may lead to the appearance of some

CO instead of CO2 in the combustion products.
2. Considerable shortage of oxygen, which may lead to the appearance
of some CO and some unburned hydrocarbon in the products.

An accurate determination of the combustion products and their relative

amount in an actual combustion process is typically possible through mea-
surements using instrumentations, such as a gas chromatograph, flame
ionization detector, infrared analyzer, and Orsat analyzer. The composition
of the combustion products is typically reported on a dry basis where the
amount of water vapor is ignored.
It should be noted that the vapor content of the combustion products is
an important factor in designing any system involving combustion. This is
particularly important when the combustion products are cooled down, such
as in steam generators where the combustion products are used in the econo-
mizer and air preheater. If the temperature of the combustion products is
brought down close to the dew point temperature, some vapor may condense
and cause corrosion in metal components.

4.3.2 Conservation of Energy for Systems Involving Combustion

So far all thermodynamic analyses we looked at were about systems with fixed
chemical compositions. The fundamental principle of energy conservation
can be applied for processes with combustion, but the evaluation of enthalpy,
internal energy, and entropy is different. One complication is about the arbi-
trary reference points where these properties are set zero. When internal
Steam Generators: Fire Side 285

energy and enthalpy are tabulated, for steam, for instance, the internal energy
of saturated liquid at 0.01°C is assumed zero. It is fine for systems with fixed
compositions to choose the references for individual matters independently
because we always deal with changes in parameters and the value of the refer-
ence point is canceled in calculations. But when there is a chemical reaction,
we need a common reference point for the properties of all substances. This
point for enthalpy and internal energy is called the standard reference state
and is set at the temperature of 25°C (298.15 K) and pressure of 1 atm. The
enthalpy of all stable elements is zero at the standard reference state. The term
“elements” here refers to molecules made of a single type of atom, e.g., O2, H2,
Ar, and He (and not compound molecules), and “stable” means chemically
stable elements, for example, while H2 is stable, H (or H+) is not.

4.3.2.1 Enthalpy of Formation
The enthalpy of compounds at the standard reference state is called the
enthalpy of formation. The thermal energy released or absorbed by the reac-
tion of the formation of a compound from its elements at the temperature
of 25°C and pressure of 1 atm is the enthalpy of formation shown by h °f . For
instance, in the complete combustion of carbon (C + O2 → CO2), if the reac-
tants and the product are at the temperature of 25°C and pressure of 1 atm,
393,522 kJ/kmol heat is released, so the enthalpy of formation of carbon diox-
ide is equal to −393,520 kJ/kmol.
The enthalpies of formation for other substances can be found from any ther-
modynamic textbook. Note that for some substances there are two forms, such
as oxygen (O and O2) where the value of the enthalpy of formation for O2 is zero.
The enthalpy of formation can be positive or negative. In the case of the
negative enthalpy of formation, heat is released during the formation of the
compound. This means the enthalpy of the compound is lower than that for
the reacting elements, and since the enthalpies of the reacting elements are
zero, the enthalpy of the compound should be negative. The positive enthalpy
of formation means for forming these compounds from their elements, some
heat should be added (the process is endothermic).
At any state other than the reference standard state, the enthalpy can be
found by adding the difference between that state and the standard reference
state to the enthalpy of formation.

h (T , p ) = h °f + h (T , p ) − h (Tref , pref ) = h °f + ∆h (4.58)

The values of h (T , p ) and h (Tref , pref ) can be found from the thermodynamic
property table for each compound (e.g., steam tables or ideal gas tables). The
value of enthalpy can be negative because the enthalpy at the reference state
is zero.
286 Power Plant Engineering

Example 4.4
Determine the enthalpy of CO 2 , H 2 O (vapor form), and N 2 at 1500 K and
C2 H 4 , O 2 , and N 2 at the temperature and pressure of 298 K and 1 atm.
Analysis:
The enthalpy of formation for each substance and the change of s pecific
enthalpy from the standard reference state to the temperature of 1500 K
can be found from appropriate thermodynamic property tables for CO2,
H2O, and N2.
CO2 , H2 O, and N2 at 1500 K

(h °
f + ∆h ) CO 2
= −393, 520 + (71, 078 − 9, 364) = −331, 806 kJ/kmol

(h °
f + ∆h ) H2 O, g
= −241, 820 + ( 57, 999 − 9, 904) = −193, 725 kJ/kmol

(h °
f + ∆h ) N2
= 0 + ( 47, 073 − 8, 669) = 38, 404 kJ/kmol

C 2 H 4, O2 , and N2 at the temperature of 298 K

(h °
f + ∆h ) C2 H 4
= 52, 280 + 0 = 52, 280 kJ/kmol

(h °
f + ∆h ) O2
= 0 + 0 = 0

(h °
f + ∆h ) N2
= 0 + 0 = 0

The first law of thermodynamics for a control volume with combustion can
be written as follows:

Q CV W 
n F
− CV = H P − H R =
n F ∑n h − ∑n h = ∑n (h
i i e e i
°
f ) ∑n ( h
+ ∆h −
i
e
°
f )
+ ∆h
e
P R P R
(4.59)

where R and P represent reactants and products, respectively.

Example 4.5
Ethylene (C2H4) with flow rate of 1 kg/s is completely combusted in theo-
retical air. The inlet air and fuel flows are at the temperature and pres-
sure of 25°C and 1 atm, respectively. The combustion products are at the
temperature of 1500 K. Assuming no work production in the process,
determine thermal energy released in the process.
Steam Generators: Fire Side 287

Analysis
Given:
Ethylene is completely combusted in theoretical air at the given inlet
and outlet conditions.
Find:
Assumptions:

1. The combustion process is complete.

2. Air is 21% oxygen and 79% nitrogen.
3. Nitrogen is atmospheric nitrogen.
4. Nitrogen does not participate in the combustion reaction.
5. No work or change in kinetic and potential energies is involved
in the process.

Analysis:
From Example 4.3, the reaction for complete combustion of ethylene is

C2 H 4 + 3 ( O 2 + 3.76 N 2 ) → 2 CO 2 + 2 H 2 O + 11.28 N 2

The energy balance for the process is

Q CV W

nF
− CV =
n F ∑n (h + ∆h ) − ∑n (h + ∆h )
i
°
f
i
e
°
f
e
P R

Q CV
n F
(
= 2 h °f + ∆h ) CO 2
(
+ 2 h °f + ∆h ) H2O
(
+ 11.28 h °f + ∆h ) N2

(
− h °f + ∆h ) C2 H 4
(
− 3 h °f + ∆h ) O2
(
− 11.28 h °f + ∆h ) N2

From Example 4.4, the values of enthalpies can be substituted

Q CV
= 2  −393, 520 + ( 71, 078 − 9, 364 )  + 2  −241, 820 + ( 57, 999 − 9, 904 ) 
n F

+ 11.28  0 + ( 47, 073 − 8, 669 )  − [ 52, 280 + 0 ] − 3 [ 0 + 0 ] − 11.28 [ 0 + 0 ]

= 2 × ( −331, 806 ) + 2 × ( −193, 725 ) + 11.28 × 38, 404 − 52, 280

= −670, 145 kJ/kmol

This is the heat generated for a mole of fuel. Now the flow rate of the total
number of fuel moles can be estimated as follows:

Fuel mass flow rate 1 kmol

n F = = = 0.03565
Molecular weight of fuel 28.05 s
288 Power Plant Engineering

 
Q CV = n F 

∑n ( hP
i
°
f + ∆h − ) ∑n ( h
i
R
e
°
f + ∆h 
e
)

kJ
= 0.03565 × ( −670, 145 ) = −23890.7
s

4.3.2.2 Enthalpy of Combustion and Heating Values

Since the composition of many fuels can vary significantly depending on mines
and processes used to produce these fuels, the enthalpy of formation of these
fuels cannot be tabulated. For these fuels, the enthalpy of combustion, which
can be determined experimentally, is more convenient to use than the enthalpy
of formation. The enthalpy of combustion, hRP, is the difference between the
enthalpy of the products and that of the reactants during complete combustion
taking place at a given temperature and pressure (per kg or mole).

hRP = ∑n h − ∑n h (4.60)
e e i i
P R

where n is the coefficient of the reactants and products in the reaction equa-
tion for a mole of fuel. When the enthalpy of combustion is evaluated at the
°
standard state, it is shown as hRP .

°
hRP = ∑n h − ∑n h = ∑n (h ) − ∑n (h ) (4.61)
°
e e i i
°
e
°
f
e
i
°
f
i
P R P R

FromEquation 4.59

Q CV W 
n F
− CV =
n F ∑n (h i
°
f + ∆h − ) ∑n ( h
i
e
°
f + ∆h ) = ∑n ( h ) − ∑n ( h )
e
e
°
f
e
i
°
f
i
P R P R

+ ∑n (∆h ) − ∑n (∆h ) = h + ∑n (∆h ) − ∑n (∆h )
e
e
i
i
°
RP e
e
i
i
P R P R

(4.62 and 4.63)

°
where hRP is the enthalpy of combustion and ∑n (∆h ) and ∑n (∆h ) can be
e
e
i
i
P R
determined from any thermodynamic textbook.
The heating value of a fuel is the thermal energy generated during combus-
tion at a fixed temperature and pressure of the reactants and products. The
heating value is equal to the negative of the enthalpy of combustion. There are
two types of heating values, higher heating value (HHV) or lower heating
value (LHV). In the higher heating value, all water vapor in the combustion
Steam Generators: Fire Side 289

products is condensed to liquid form. The lower heating value is defined

when the water in the combustion products is in vapor form. The HHV and
LHV are also referred to as the gross and net heating values, respectively.
Clearly for a given fuel, the HHV is greater than the LHV. To measure the
heating value of a fuel, a device called a bomb calorimeter is used.

Example 4.6
Determine the higher and lower heating values of Ethylene in
Example 4.5. Compare your results with the published values.
Analysis
From Example 4.3,

C2 H 4 + 3 ( O 2 + 3.76 N 2 ) → 2 CO 2 + 2 H 2 O + 11.28 N 2

Since the heating values are defined at the standard state, for the higher
heating value we can write,

°
hRP = ∑n (h ) − ∑n (h ) = 2 (h )
e
°
f
e
i
°
f
i
°
f
CO 2
( )
+ 2 h °f
H 2 O ( l )
( )
+ 11.28 h °f
N2
P R

( )
− h °f
C2 H 4
( )
− 3 h °f
O2
( )
− 11.28 h °f
N2

= 2 × (−393, 520) + 2 × (−285, 830) + 0 − 52, 280 − 0 − 0

kJ
= −1, 410, 980
kmol of fuel

kJ
−1, 410, 980
° kmol of fuel kJ
h PR = = −50, 302.3
kg kg
28.05
kmol

° kJ
HHV = −hPR = 50, 302.3
kg

For the lower heating value,

°
hRP = ∑n (h ) − ∑n (h ) = 2 (h )
e
°
f
e
i
°
f
i
°
f
CO 2
( )
+ 2 h °f
H 2 O ( g )
( )
+ 11.28 h °f
N2
P R

( )
− h °f
C2 H 4
( )
− 3 h °f
O2
( )
− 11.28 h °f
N2

= 2 × (−393, 520) + 2 × (−241, 820) + 0 − 52, 280 − 0 − 0

kJ
= −1, 322, 960
kmol of fuel
290 Power Plant Engineering

kJ
−1, 322, 960
° kmol of fuel kJ
hPR = = −47, 164.3
kg kg
28.05
kmol

° kJ
LHV = −hPR = 47, 164.3
kg

The values of the HHV and LHV for ethylene are about 50,300 and 47,160
kJ/kg, respectively, which are very close to values from the calculations.

4.3.2.3 Adiabatic Flame Temperature

If the combustion process is adiabatic with no work or change in kinetic
or potential energy, the temperature of the products is called the adiabatic
flame temperature or the adiabatic combustion temperature. The maxi-
mum temperature that can be achieved for a specific combustion reaction
is when there is complete combustion with theoretical air. This temperature
cannot be achieved in real combustion because of the need for excess air
for better combustion, incomplete combustion, heat losses, and dissociation
of products at high temperatures. In most applications, reaching this tem-
perature is not even desirable, such as gas turbines where the turbine inlet
temperature is limited and the combustion temperature is controlled by the
amount of excess air. The determination of the adiabatic flame temperature
typically requires an iterative calculation process.

4.4 Fuels
Every substance that can be rapidly oxidized to produce heat can be consid-
ered as a fuel. Most commercial fuels are composed of three combustible
elements, i.e., carbon, hydrogen, and sulfur. The contribution of the latter
element to energy production is not significant, but it is a major source of
pollution (refer to Chapter 5).
Fuels may be fossil fuels or non-fossil fuels (such as biomass). Fuels used
for power generation purposes can be categorized based on several criteria.
They can be grouped according to their origin, as follows:

• Natural fuels such as fossil fuels and biomass

• Synthetic fuels (synfuels) such as biofuels and fuels derived from
coal, oil shale, and tar sands
• Industrial and residential wastes
Steam Generators: Fire Side 291

Fuels may also be grouped based on their physical phase, which is useful for
the determination of fuel handling processes.

• Solid such as coal, domestic waste, and biomass

• Liquid such as petroleum-derived fuels, biodiesel, liquefied coal,
and fuels derived from oil shale and tar sand
• Gas such as natural gas and syngas

In any combustion process, reactants, i.e., a fuel and an oxidizer, react to pro-
duce the combustion products and some thermal energy. During the process,
the molecular bonds among reactant molecules are rapidly broken and recre-
ated to form the products.
The selection of the fuel for a steam generator depends on many factors
including the cost of the fuel at the plant site (which includes both the fuel
cost and transportation cost), cost of fuel preparation, operating cost (includ-
ing maintenance cost and cost of power for the fuel preparation system), and
current and future emission control regulations.
Figure 4.1 illustrates the variations of the share of different energy sources
in the total electricity production in the U.S. between 2000 and 2019. The
details of this diagram will be discussed in the section dedicated to each
fuel. We will start this section with coal and then will proceed to other fuels.
While the consumption of coal for electricity generation is declining in
many countries, it is still important to study coal steam generation systems
for several reasons. From historical perspective, coal has been a dominant fuel

100%
90%
80%
70%
60%
50%
40%
30%
20%
10%
0%
01 02 03 04 05 06 07 08 09 10 11 12 13 14 15 16 17 18 19
Year
Coal Natural Gas Nuclear Hydroelectric Renewables Petroleum

FIGURE 4.1
The share of various energy sources in the total electricity production (%) in the USA. (Based
on the data provided by the U.S. EIA.)
292 Power Plant Engineering

for a very long time, and it is impossible to properly understand steam gener-
ators without knowing coal steam generators. The majority of advancements
and breakthroughs were first introduced to coal steam generators. Second, in
many countries, including some of the largest emerging economies, coal is
still the most important fuel for power generation systems. Finally, the same
technologies that initially were developed for coal steam generators are now
being used for other solid fuels such as biomass and solid waste and even
for natural gas steam generators, particularly those developed for pulverized
coal. Fortunately, most concepts that we will discuss on coal can be directly
or indirectly applied to other fuels too.

4.5 Coal
Historically speaking, coal is probably the most important substance in the
development of the industrial civilization as we know. Coal not only plays a
major role in the electricity production industry, but the majority of steel is
also produced using coke processed from coal.

4.5.1 Coal Formation
Plants and trees utilize solar energy to convert water and carbon dioxide
to carbohydrates, e.g., sugar, through the photosynthesis process. This pro-
cess releases oxygen into the atmosphere and carbon is stored in the parts
of plants. At the end of their life, remains of vegetation typically decay, and
carbon returns to the atmosphere in the form of carbon dioxide or methane.
However, in ancient times in some environments, such as swamps and wet
regions, the remains of plants and trees were not exposed to atmospheric
oxygen and thus were not completely decayed. They were buried under sedi-
mentary deposits before they could decompose. Many generations of plants
were buried in this fashion. In fact, thousands of years of plant accumulation
may eventually become just a few centimeters of a coal seam. Under the pres-
sure of sedimentary deposits and the high temperature of Earth, typically in
the presence of water, the remains of plants were transformed by increase in
their carbon content. This geochemical process, which is called coalification
or carbonization, took place in the period of hundreds of millions of years.
The first step in the process is the conversion of buried plants to peat. This
follows by the formation of lignite then subbituminous, bituminous, and
finally anthracite. In each step, the heating value of coal and its carbon con-
tent increase while the moisture and oxygen levels reduce. Coal can consist
of carbon, hydrogen, oxygen, sulfur, and nitrogen, as well as ash-forming ele-
ments. It also contains a trace of mercury, arsenic, and selenium (in the order
of just a few parts per million, ppm) which can be very harmful for human
Steam Generators: Fire Side 293

health and the environment when released through combustion products.

Depending on the type of the original vegetation, the level of coalification,
and the amount of impurities, coal may have a wide variety of compositions
and properties.

4.5.2 Coal Consumption
According to the International Energy Agency (IEA), the share of coal in
the global energy mix was 29% in 2013 which had experienced a significant
increase compared to 23% in 2000.3 This share peaked in 2014 but reduced
to about 27% in recent years.4 Furthermore, over 40% of the world electric-
ity was produced using coal in 2013.5 In 2018, this value reduced to 38.5%.
Globally, about 80% of coal is used for steam generation. According to the
U.S. Energy Information Administration (EIA), in the U.S., this percentage is
higher, about 92% of coal is used for electricity generation, 8% for industrial
usage and residential and commercial spacing heating (in 2018).6 There were
491 coal power plants in the U.S. in 2014, which was significantly lower com-
pared to 625 coal power plants in 2004. In 2018, this number further reduced
to 336 coal power plants.7
According to the IEA, the annual global coal production was 3 Gt (billion
metric tons) in 1972, and for a decade after that 1 Gt was added to the produc-
tion. By the late 1980s, the production reached about 4.5 Gt and remained
almost steady until the early 2000s. Between 2003 and 2013, however, about
every three years the global coal production increased by 1 Gt to the peak of
about 8 Gt in 2014. This meant the coal production experienced about 4.5%
average annual growth. The coal production was reduced by 2016 to about
7.3 Gt. However, since then the production has increased again to about 8
Gt.8 Since 1985 China has been the leading producer and consumer of coal
by producing about half of the global coal production. India and the U.S. fol-
lowed by about 9% of the global coal production each. In fact, about 81% of
the global coal production is being produced by six countries, China, India,
the U.S., Australia, Indonesia, and Russia. The per capita coal consump-
tion in the U.S. is about twice the global average per capita coal consump-
tion. Figure 4.2 illustrates the variations of the annual coal consumption in
the world, the U.S., and China. The variation in the U.S. coal consumption,
qualitatively speaking, represents the trend in many industrial countries.
A similar statement can be expressed for China as representatives of many
emerging economies. Note that the solid lines are representing the overall

3 World Energy Outlook 2015, International Energy Agency (IEA).

4 https://www.iea.org/reports/coal-2018.
5 IEA Electricity Information (2015 edition), International Energy Agency (IEA).
6 https://www.eia.gov/energyexplained/coal/use-of-coal.php.
7 https://www.eia.gov/electricity/annual/html/epa_04_01.html.
8 https://www.iea.org/data-and-statistics/charts/world-total-coal-production-1971-2019-

provisional.
294 Power Plant Engineering

coal consumptions (the combination of coal consumptions for electricity pro-

duction and any other applications), and the dashed-lines are representing
the percentage of electricity production from coal resources relative to the
total electricity production. The curves show that coal consumption was flat
in the 1990s and 2000s but in the past few years the consumption has gen-
erally declined (though it has slightly increased since 2017). However, the
ratio of the electricity production from coal to the total electricity produc-
tion has been declining since the mid-1980s, because new electricity produc-
tion plants were mostly non-coal units. Figures 4.1 and 4.2 indicate that until
2008 about half of the U.S. electricity was produced using coal but that share
reduced to below 40% in 2014. This share has further reduced to about 32%
in 2016, about 27% in 2018, and just below 24% in 2019.9 In the global level,
except for the past couple of years, the coal consumption and the share of coal
in electricity generation have steadily increased. Currently about 38% of the
world’s electricity is generated from coal.
Regardless of the recent decline in the coal consumption for electricity pro-
duction, according to the IEA, everyday 200 MW of new coal power genera-
tion capacity is being installed globally.10 Currently, about 65% of electricity
in China, 55% in India, about 24% in the U.S., and 38% of global electricity
are produced in coal power plants. In the U.S., as of 2018, there were 679 coal
mines producing about 6.9 × 1011 kg (about 7.6 × 108 short tons) coal.11 Note that
1 short tons = 2000 lb = 907.2 kg. The average price of coal in the U.S. in 2018
was about $40/metric ton ($36/short ton).

World USA China World USA China

9 90
Annual coal consumption - Gt (10 9 kg)

Electricity production from coal sources

8 80
7 70
6 60
(% of total)

5 50
4 40
3 30
2 20
1 10
0 0
1978 1982 1986 1990 1994 1998 2002 2006 2010 2014

FIGURE 4.2
Annual coal consumption and electricity production from coal sources (% of total) in the world,
the U.S., and China. (Based on the data from eia.gov and data.worldbank.org)

9 https://www.eia.gov/tools/faqs/faq.php?id=427&t=3.
10 http://www.iea.org/topics/coal/.
11 Annual Coal Report 2015, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.
Steam Generators: Fire Side 295

Although coal has devastating impacts on the environment and human

health at every level from extraction to preparation to combustion, its usage
will continue, at least in the short- and mid-term future. So it is important to
understand the design and operation of coal power plants and try to mini-
mize the negative impacts of their operation.

4.5.3 Coal Resources
In order to evaluate the quantity of coal (for that matter any fossil fuel) in a
certain region, two terms are being used: coal resources and coal reserves.
Coal resources are the quantity of coal that exists or may exist in a deposit
regardless of if it can be economically recovered or not (though there might
be some limits on the depth and minimum thickness of coal seams for
them to be considered as resources). Depending on the degree of confi-
dence in the results of the exploration of a deposit, coal resources can be
proven (proved or measured resources), probable (or indicated resources),
or inferred, in the order of descending confidence. On the other hand, coal
reserves are the quantity of coal that can be mined with the current (or the
near future) technological and economic conditions. Note that coal reserves
may vary with economic conditions. For example, if the price of coal goes
down, the coal reserves will reduce because less coal is economically mine-
able. Also, advances in mining-related technologies and coal exploration
techniques continuously affect these estimations. Moreover, for a given
coalfield, due to the limitations of the used mining method, only a portion
of the coal seams can be extracted. For example, to avoid collapsing of mine
roofs, some coal columns must be left intact to support the roof (i.e., in the
room and pillar mining method for underground mining). The quantity
of coal that is actually extractable is called recoverable reserves. Different
countries use different definitions for coal resources and reserves, which
has caused considerable discrepancy and confusion in various estimations.
The U.S. Energy Information Administration (EIA) uses the following three
terms to express the coal reserves: recoverable reserves at producing mines
(the quantity of coal that can be economically recovered from active mines),
estimated recoverable reserves (the quantity of coal that can be economically
and practically recovered and used, excluding coal unavailable due to mining
methods), and demonstrated reserve (the quantity of coal that is identified
as recoverable, including the coal unavailable due to mining methods). As
it is clear, even these definitions are somewhat confusing. The estimates for
the reserves in the U.S. are about 14, 230, and 430 billion metric tons (about
15, 250, and 470 billion short tons), respectively,12 in over 33 states. Most of
the demonstrated coal reserves are in Montana, Illinois, Wyoming, West
Virginia, Kentucky, and Pennsylvania. In terms of coal production, the states

Energy Information Administration (EIA), https://www.eia.gov/energyexplained/coal/

how-much-coal-is-left.php.
296 Power Plant Engineering

with the highest production are (in 2015) Wyoming (40%), West Virginia (13%),
Pennsylvania (7%), Illinois (7%), and Kentucky (5%).13 The coal producing
regions in the U.S. can be divided into three main regions: Appalachian region
(Alabama, Eastern Kentucky, Maryland, Ohio, Pennsylvania, Tennessee,
Virginia, and West Virginia), Interior region (Arkansas, Illinois, Indiana,
Kansas, Louisiana, Mississippi, Missouri, Oklahoma, Texas, and Western
Kentucky), and Western region (Alaska, Arizona, Colorado, Montana, New
Mexico, North Dakota, Utah, Washington, and Wyoming). According to the
EIA, these three regions are responsible for producing 26%, 18%, and 55% of
the total coal production in the U.S., respectively, in 2018.14.
Also, the world's total recoverable coal is estimated to be about 1000
billion tons (1100 billion short tons). This is enough to produce about six
thousand billion (6 × 1012 ) MWh electricity. To get an idea, this is equal to
the electricity a 2000 MW power plant (a large coal or nuclear power plant)
can produce over 350,000 years if it operates continuously. Considering
the fact that the global annual electricity consumption was about 22,300
TWh in 2018,15 this much coal can power the world for about 112 years
(Example 4.7) with no need for other energy sources if the consumption
remains at the current level (assuming the efficiency of power generation
is 40%). However, due to the existence of other energy resources and other
factors, the estimates for how long coal can last vary from 100 to over
300 years.

Example 4.7
Do a rough calculation to show that the current coal reserves are enough
for 112 years. Identify major sources of uncertainty of your calculation.
Assumptions:
The average heating value of the coal consumed in the U.S. in
2019 = 19.26 million Btu/short tons16, 17 = 22400 kJ/kg
The world total recoverable coal = 1100 billion short tons = 1 × 1015 kg
The average efficiency of power plants = 40%
The global annual electricity consumption in 2018 = 22,300 TWh/year
Analysis
Heat content of the world total recoverable coal = 1 × 1015 × 22400 = 2.24
× 1019 kJ
The electricity that can be produced from the world total recoverable
coal at the efficiency of 40% = 2.24 × 1019 × 0.4 = 8.96 × 1018 kJ = 2.49 × 1015
kWh = 2.49 × 106 TWh

13 https://www.eia.gov/tools/faqs/faq.php?id=69&t=2.
14 https://www.eia.gov/energyexplained/coal/where-our-coal-comes-from.php.
15 https://www.iea.org/reports/electricity-information-overview.
16 https://www.eia.gov/tools/faqs/faq.php?id=72&t=2.
17 Although EIA does not directly indicate if this is net (lower) heat content or gross (higher) heat

content, typically the gross heat content is used in the USA unless it is specified otherwise.
Steam Generators: Fire Side 297

Number of years this much electricity can power the world = 2.49 × 106

TWh / 22,300 TWh/year = 112 year
For the following reasons, this number is not accurate and actually coal
can last much longer, and it is the largest fossil fuel energy resource.

• Variations in electricity consumption

• Not all electricity comes from coal
• Share of coal changes in the energy mix
• Improvement of power generation efficiency over time
• Reserves change with economics and technology

Unlike other fossil fuels, coal reserves are more uniformly distributed in the
world. The distribution of recoverable coal reserves in different continents
is: 31% Europe, 36% Asia, 29% America, and 4% Africa.18 The countries with
the largest reserves are the U.S., Russia, China, and India, but significant coal
reserves can be found in over 70 countries in all continents.19

4.5.4 Coal Analysis
Coal composition varies significantly with the location of a mine and even
within the same mine site. Thus, the analysis of coal composition is very
important. There are two methods to analyze coal composition (for that mat-
ter any fuel composition): proximate analysis and ultimate analysis. In the
proximate analysis the relative amount of moisture, volatile matter, fixed
carbon, and ash is presented on a mass basis. The ultimate analysis is also
expressed on a mass basis, but it presents relative amount of carbon, sul-
fur, hydrogen, nitrogen, oxygen, and ash. The former is typically used for
business purposes, while the latter is used for combustion calculations. Both
analyses can be of two types, either as-received basis or dry basis (no mois-
ture). The latter is important because coal can lose or gain moisture during
storage or transportation. Besides these analyses, other coal properties such
as grindability or ease of pulverization, ash properties, and size might be of
interest for various applications. Here is a list of some other properties and
the standard to determine them:

• Coal grindability: according to ASTM standard D409

• Ash composition: according to ASTM standard D3174
• Ash fusibility: according to ASTM standard D1857
• Coal free-swelling index: according to ASTM standard D720

18 World Energy Council, https://www.worldenergy.org/assets/images/imported/2013/10/

WER_2013_1_Coal.pdf.
19 The coal resource: a comprehensive overview of coal, World Coal Institute, 2009 https://www.

worldcoal.org/file_validate.php?file=coal_resource_overview_of_coal_report(03_06_2009).pdf.
298 Power Plant Engineering

Note that ASTM, which stood for the American Society for Testing and
Materials until 2001, is the oldest organization for international standards. In
the following sections, we will study coal properties in much more details.

4.5.4.1 Proximate Analysis
The proximate analysis can provide a broad approximation of the properties
of coal which can help in the extraction, preparation, combustion, and trad-
ing of coal. The analysis is typically conducted according to ASTM standard
D3172. This analysis is simpler than the ultimate analysis and can be used to
determine the rank of coal. For commercial applications, i.e., purchasing and
selling of coal, typically the proximate analysis is used. In the proximate anal-
ysis, the moisture, volatile matters, ash, and fixed carbon in the coal sample
are determined based on the percentage of the mass fraction. The analysis
starts with sampling of coal according to ASTM standard D388, D6609, D4596,
D5192, D6883, D7430, or D2234 depending on where the sample is being taken.
Then, the sample should be pulverized and prepared according to ASTM stan-
dard D2013. In order to determine the percentage of each compound, several
experiments should be conducted on 1 g of the prepared sample.

4.5.4.1.1 Moister Content
There are two types of moisture in coal, inherent and surface moisture con-
tents. The former, also known as equilibrium, seem, or bed moisture, is a
natural part of coal structure that is trapped during coal formation and is
present in the natural state of coal. The latter, also known as free moisture, is
added during coal extraction, storage, or transportation.
The moister content of coal is determined according to ASTM standard D3173.
The pulverized coal sample is heated in the drying oven with the specifications
described in the standard with the flow of dry air at the temperature of between
104°C and 110°C for the duration of one hour. The difference between the mass
of the sample before and after the heating process is the moisture content of the
sample. The moisture content of the fuel is a burden on combustion because it
has to be evaporated and superheated during the combustion process.

4.5.4.1.2 Volatile Matter
Volatile matters are the compounds (mainly hydrocarbons such as methane,
ethane, ethylene, and acetylene as well as carbon monoxide) that evaporate
when coal is heated in the absence of oxygen. In actual combustion in a steam
generator, the volatile matter content is very important for the combustion
of the carbon content and for a stable flame. The percentage of the volatile
content in coal is an indication of how easily coal can be ignited and if a
supplementary flame stabilizing fuel is needed. The volatile matter content
can contribute up to 50% of the total heating content of the coal.
The percentage of the volatile matters in an experiment depends on the
composition of the coal, the temperature, and the duration of the experiment.
Steam Generators: Fire Side 299

The volatile matters of coal are determined according to ASTM standard

D3175. In order to determine the volatile matters in a coal sample, it is heated
to the temperature of 950 ± 20°C (1742 ± 68°F) for seven minutes in an environ-
ment without oxygen. The difference between the mass of the sample before
and after the experiment (excluding moisture) is the mass of the volatile mat-
ters in the sample.

4.5.4.1.3 Ash
Ash is composed of inorganic noncombustible substances, such as the com-
pounds of silicon, aluminum, iron, and calcium, and to a lesser extent the
compounds of titanium, magnesium, potassium, and sodium present in coal.
For most types of coal, majority of the ash consists of silica (SiO2) and alu-
mina (Al2O3). For some types of coal also there are high concentration of iron
oxide (Fe2O3) and calcium oxide (CaO) in the ash.
These minerals and inorganic substances were either in the original
vegetation, were introduced during coal formation (via impurities or sub-
stances dissolved in the water where the plants fall and then buried), or are
introduced during mining. The combination of the impurities from original
vegetation and those introduced during coal formation is called inherent
impurities and the impurities introduced during mining is called extrane-
ous impurities. The coal extracted in the U.S. can have the ash content of
6%–20%. The ash content of coal is important because it directly affects the
ash collection and removal systems and indirectly influences the design of
heat-transfer surfaces. The ash content of coal is determined according to
ASTM standard D3174. The sample from the moisture experiment is com-
busted in a furnace described in the standard. First, the temperature of
the sample is increased to 500 ± 10°C (932 ± 50°F) in an hour period. Then,
the temperature is further increased to 750 ± 15°C (1382 ± 59°F) in an hour
period. The heating process continues for 2 hours at this temperature. By
measuring the mass of the ash residue, the ash content of the sample can
be determined. It should be noted that the ash content determined in this
method is not exactly the same as the inorganic compounds of the coal sam-
ple because some inorganic substances are reacted during the process and
leave the sample in the form of combustion products. This ash is not even
the same as the ash in an actual combustion process because the amount
and composition of the ash depend on the combustion technology and the
combustor operating conditions.
Note that there are many ash properties that have significant impacts on
the design and operation of a steam generator. The most important factor is
the content of the ash. Other properties include the ash-softening temper-
ature, acid content, and ash friability (the ease of ash crumbling). The ash
behavior at high temperatures is generally analyzed by the ash fusibility test
(to determine ash melting temperature) according to the ASTM standard
D1857. These parameters impact the tube spacing in steam generator’s heat-
transfer surfaces and the furnace size.
300 Power Plant Engineering

While the ash content is typically expressed in mass base, the heat con-
tent base might be more meaningful for some applications. For example, the
mass-based ash content of bituminous, subbituminous, and lignite may all
be 10%, but the heat content-based ashes are 3.3, 5, and 10 kg of ash per 1 GJ
thermal energy, respectively, for the same coal types (Example 4.8).

Example 4.8
The samples of bituminous, subbituminous, and lignite coal have the
higher heating values of about 30,000, 20,000, and 10,000 kJ/kg, respec-
tively. The mass-based ash content of all three samples is 10%. Determine
the heat content-based ash in kg of ash/GJ.
Analysis:

Mass-based ash content

Heat content − based ash = × 106
HHV

0.1 kg
For bituminous coal:Heat content − based ash = × 106 = 3.33 ash
30, 000 GJ

0.1 kg
For subbituminous coal:Heat content − based ash = × 106 = 5 ash
20, 000 GJ

0.1 kg
Lignite coal:Heat content − based ash = × 106 = 10 ash
10, 000 GJ

Example 4.9
A 250 MW coal-burning power plant uses bituminous coal with a higher
heating value of 29,500 kJ/kg as fuel. If the mass-based ash content of
the coal is 15%, determine the coal consumption (in kg/s) and the ash
production (in kg/day). The higher heating value-based efficiency of the
power plant is 34%.
Analysis:

˙
W W
η=  =
QH m  fuel × HHV


W 250, 000 kg tonne
 fuel =
m = = 24.9 = 89.7
η × HHV 0.34 × 29, 500 s hr

kg tonne
 ash = 24.9 × 0.15 = 3.74
m = 323.0
s day
Steam Generators: Fire Side 301

4.5.4.1.4 Fixed Carbon
Fixed carbon is the carbon content of coal that is not bounded in hydrocar-
bons in the form of volatile matters and remains after all hydrocarbons are
evaporated. The mass percentage of fixed carbon is not measured directly
but calculated by subtracting the percentage of the moister, ash, and volatile
matters in the coal sample from 100.

4.5.4.2 Ultimate Analysis
The ultimate analysis is more scientific than the proximate analysis and
is needed for the combustion calculation of coal. It is conducted according
to ASTM standard D3176. In this analysis, the mass fraction percentage of
all chemical elements of coal, i.e., C, H2, N2, O2, S, and ash, is determined.
Although the moisture percentage is not included in the ultimate analysis, it
is measured so the analysis can be converted to other bases if needed (refer to
the types of the sample below). The sampling and its preparation processes
are similar to the proximate analysis described above.
The mass percentage of carbon, hydrogen, and nitrogen in the coal sample
is determined according to ASTM standard D5373. To determine the C, H2,
and N2 contents in the coal sample, the sample is combusted in oxygen at a
certain temperature (between 900°C and 1050°C in one method and 1350°C
in another). Then, CO2, H2O, and N2 contents of the combustion products are
measured.
The sulfur content of the coal sample is determined according to ASTM
standard D4239. In this standard, the coal sample is combusted at the temper-
ature of above 1350°C in oxygen in the presence of tungsten trioxide (WO3).
At this temperature, sulfur and its compounds burn to produce SO2. The
amount of sulfur oxide is measured using infrared (IR) absorption detectors,
which then can be used to determine the mass fraction of sulfur in the coal
sample. The sulfur content of coal can also be measured according to ASTM
standard D2492 where sulfur and its compounds can be extracted by some
chemicals such as hydrochloric acid or by combustion in the presence of iron.
It should be noted that coal with a lower sulfur content is desirable. The
sulfur content of coal can burn and slightly contribute to the heating value
of coal; however, the combustion of sulfur forms sulfur oxide which is an
environmental pollutant causing acid rain (refer to Chapter 5). Furthermore,
if sulfur oxide is exposed to water in the flue gas path, it forms acid sulfuric,
which can cause corrosion especially in the stack.
Similar to the proximate analysis, the ash content of coal for the ultimate
analysis is measured according to ASTM standard D3174. The oxygen con-
tent of the sample is not measured directly and is determined by subtracting
the mass of all measured components from the original mass of the sample.
As noted earlier, the proximate analysis is typically used for business
purposes, while the ultimate analysis is used for combustion calculations.
Both analyses can be of two types, either as-received basis or dry basis
302 Power Plant Engineering

(no moisture). The latter is important because coal can lose or gain moisture
during storage or transportation.
The sample used for both the approximate and ultimate analyses can be in
several forms:

• As-received: The coal contents are presented based on the total mass
of the coal sample, including moisture, ash, and mineral matters as
received by the power plant.
• As-fired: Similar to the above definition, but for when the coal is
actually fired.
• Dry or moisture-free basis (db): The coal contents are presented on
a moisture-free basis.
• Dry, ash-free (daf): The coal contents are presented on an ash- and
moisture-free basis.
• Dry mineral-matter-free (dmmf): The mineral matters and mois-
ture are not included in the coal content percentages. Note that the
mineral-matter and ash are not exactly the same.
• Moist, ash-free (maf): In the presentation of coal contents, the mois-
ture is included but ash is removed.
• Moist, mineral-matter-free (mmmf): In the presentation of coal con-
tents, the moisture is included but mineral matters are removed.

In the dry-based analysis, both inherent and surface moisture are removed.
In the case that only the surface moisture is removed, the analysis is called
air-dried-based analysis. Some of these different bases can be converted to
each other according to ASTM standard D3180.
Finally, the higher heating value (HHV) or gross calorific value of coal can
be determined using a calorimeter according to ASTM standard D5865 and
D2015. In a calorimeter, the coal sample is burned in oxygen and the released
heat is determined by measuring the temperature increase in the unit com-
ponents and the water surrounding the unit.

4.5.4.3 Classification of Coal
As noted in the previous sections, coal properties and compositions can be
very wide from one seam to another or even within one seam at different
locations. Therefore, a coal classification system is needed to identify coal
products with similar characteristics. Coal possesses many physical and
chemical properties such as the carbon content, content of volatile matters,
sulfur content, percentage of impurities, heating value, combustibility, hard-
ness (mechanical strength), grindability, and ash melting temperature, and
accordingly, it can be categorized based on these parameters. These proper-
ties can differ depending on the location of the coal mine. It is important
Steam Generators: Fire Side 303

to be able to identify the properties of coal and to be able to categorize coal

based on these properties because the coal preparation and combustion pro-
cesses heavily depend on these properties.
Typically, coal may be categorized to different ranks, types, and grades
according to the level of carbonization (coalification), the type of old vegeta-
tion it is made of, and the degree of impurities in it, respectively.20 The rank
of coal depends on the length of time for the coalification process (i.e., the
age of coal), the pressure and temperature that the vegetable remaining were
exposed to, and the nature of the environment where the old vegetation were
buried. This is also called the organic maturity of coal. Coal with a higher
rank has a higher content of carbon and a lower content of volatile matters
and moisture.
According to ASTM standard D388, various types of coal are classified into
four ranks: lignite, subbituminous, bituminous, and anthracite. This cat-
egorization is based on the degree of their coalification which is identified
by either the percentages of fixed carbon or the higher heating value (HHV),
also known as the gross calorific value of coal.
Peat is the first stage in the coalification process. It is not actually a type of
coal (at least not officially according to ASTM standards!). The decomposing
vegetation still can be seen in it. Due to a very high percentage of moisture,
peat is rarely used for steam generation and its global production is negli-
gible compared to the other types of coal.
Lignite (means wood in Latin), also commonly known as brown coal, is
the youngest and lowest state of coal with a very high percentage of moisture
(between 20% and 70%) and volatile matters. Because of having high volatile
matters, it ignites easily. The percent of the ash content can be from a few
percent to mid-thirty. Typically, it is not economical to transport this type of
coal far from the mine site, and it is commonly burned in the mine site or in
a close by site. According to the World Coal Institute, about 17% of world coal
reserves are lignite,21 and according to the IEA about 10% of the global coal
production has been lignite in recent years.22 In the U.S., about 8% of the total
coal mined annually is of this type. Lignite is mostly mined in Texas and
North Dakota (over 90% of the lignite coal mined in the U.S.), but in other
states such as Montana and some Gulf states also lignite coal is mined.23
The next step in the coalification process is subbituminous coal with a
greater carbon content and heating value compared to those of lignite coal
and a lower moisture content. This type of coal typically has a low sulfur
content and low mining cost and is used for steam generators in the pulver-
ized form. According to the World Coal Institute, about 30% of world reserves
are subbituminous. In the U.S., it is mostly found in surface mines in Great

20 Coal energy systems, Bruce G. Miller, ELSEVIER Academic Press, 2005.

21 The coal resource: a comprehensive overview of coal, World Coal Institute, 2005.
22 International Energy Agency (IEA) Coal Information (2015 edition).
23 Annual Coal Report 2015, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.
304 Power Plant Engineering

Plains, Western states, and Alaska11. About a half of the total coal production
(mass-based) in the U.S. is of this type. Most of subbituminous coal in the
U.S. is produced in Wyoming (about 90% of the total subbituminous coal
produced annually).24
In terms of the degree of metamorphism (the level of advancement in the
coalification process), bituminous coal is right after subbituminous with
a greater carbon content and heating value compared to those of subbitu-
minous coal and a lower moisture content. Bituminous coal is suitable for
combustion in steam generators, particularly in the pulverized form, and
for coke production for the steel industry25 but typically has a high sulfur
content. Bituminous coal resources are the largest in the world and in the
U.S. Over half of the world reserves are bituminous2. In the U.S., this type
of coal is about 45% of the total coal production. It is mostly produced in the
Appalachia (primarily in West Virginia, Kentucky, and Pennsylvania) with
about 54% of the U.S. bituminous coal production and in the interior region
(primarily in Illinois and Indiana) with about 31%, and to a lesser extent in
the western region with about 15%.
Anthracite is the highest state of coal in its evolution and is characterized
by the high percentage of fixed carbon and low volatile matters. Although
anthracite coal has a high heating value, it is not suitable for burning in mod-
ern steam generators due to its slow burning (due to the low volatile content)
and is only used in stoker burners (will be discussed later in this chapter).
This type of coal is commonly used for residential and commercial heating.
There are currently very limited resources and production of anthracite in
the U.S. (less than 0.01% of the total coal production) entirely in Pennsylvania.
However, anthracite coal was the first type that was used for heating and
industrial applications in the U.S. particularly because of its clean burning
compared to other coal types.
In the above categorization, lignite and subbituminous are considered low-
rank coal types, and bituminous and anthracite are considered high-rank
coal types. According to the World Coal Institute, roughly half of the world
reserves is low-rank coal and the other half is high-rank coal11.
In the U.S. in 2018, there were 585 bituminous mines producing about
3.3 × 1011 kg (about 3.6 × 108 short tons) coal, 23 subbituminous mines produc-
ing about 3.1 × 1011 kg (about 3.4 × 108 short tons) coal, 17 lignite mines produc-
ing about 5.2 × 1010 kg (about 5.7 × 107 short tons) coal, and 55 anthracite mines
producing about 1.7 × 109 kg (about 1.9 × 106 short tons) coal.26
According to ASTM standard D388, for the coal with the fixed carbon con-
tent of lower than 69%, the higher heating value is used to determine the rank
of the coal. For the coal with the fixed carbon content of higher than 69%, the
fixed carbon content is the determining parameter to identify the rank of the

24 Annual Coal Report 2015, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.

25 Annual Coal Report 2015, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.
26 Annual Coal Report 2018, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.
Steam Generators: Fire Side 305

coal (regardless of the heating value). In this standard, the fixed carbon con-
tent is determined on a dry, mineral-matter-free basis but the heating value is
determined on a moist, mineral-matter-free basis (only inherent moisture is
included). In order to determine the rank of the coal in a mine, at least three
samples should be taken from the mine. The average of the proximate analy-
ses on the samples should be used for the purpose of the rank determination.
It should be noted that the heating value of coal increases when the rank
improves from lignite to bituminous but slightly decreases for anthracite.
The reason is the fact that although the carbon content provides most of the
heating value of coal, other factors such as volatile matters also influence the
heating value. The characteristics of different types of coal and subcategories
of each are summarized in Table 4.3.
Other than the rank, coal can also be categorized by type and grade. The
coal type depends on the vegetation that coal originated from, which has sig-
nificant impacts on the physical properties of coal including its hardness and
thermoplastic properties10. The grade of coal depends on mineral matters in
coal and influences the coal preparation process and the behavior of its ash.
There are other standards to classify coal, especially in Europe. In some of
these standards, the volatile matter content is used for the categorization of
coal; however, as Table 4.3 indicates, the fixed carbon content and the volatile
matter content are inversely proportional so the results of using the fixed car-
bon or the volatile matter contents are similar. In some European standards,
for low-rank coal, a two digit code, and for high-rank coal a 14-digit code are
used for the identification of different coal types. Although this categoriza-
tion is more accurate and provides more information, it is more difficult to
determine and complex to understand and interpret.
Note that the optimum design of the coal preparation and combustion
systems heavily depends on coal characteristics; therefore, a careful analysis
of the possible available coal resources for a plant is critical. Typically, coal
properties are determined and dictated by the “plant owner”. The coal prop-
erties can be stated in the form of a range or low/average/high properties.
In either case, although typically the entire fuel preparation and combustion
system are designed for either the average properties or the most available
coal (currently and/or in the future), they should be able to operate safely
with all possible inlet fuels.

4.5.4.4 Derivative Fuels from Coal

The availability and inexpensiveness of coal make it a source to derive other
forms of fuels from it. Some of these fuels are listed here.
Coke: Coke can be produced by heating coal in the absence of air, which
results in releasing volatile and liquid hydrocarbons from coal. The remain-
ing of the process is porous carbon, which is ideal for iron production in blast
furnaces. Some coke not suitable for this purpose (e.g., the size is too small)
is used in steam generators.
306

TABLE 4.3
Coal Categorization according to ASTM Standard D388
Fixed
Carbon Volatile Moisture
Coal Category (%) (%) (%) Heating Value Physical Characteristics Applications Subcategory
High- Anthracite 86–100 0–14 Very low 25,600–32,600 kJ/ Shiny black, dense, hard, Residential and Meta-anthracite
rank kg (11,000–14,000 and brittle commercial space Anthracite
coal Btu/lb) heating Semi-anthracite
Bituminous 45–86 14–40 Low 24,418–32,600 kJ/ Grayish black and Electricity Low-volatile
kg (10,500–14,000 granular generation, coke Medium-volatile
Btu/lb) production for steel High-volatile A
industry
High-volatile B
High-volatile C
Low Subbituminous 35–45 High 15–30 19,300–26,743 kJ/ Black and homogenous Electricity generation A
rank kg (8300–11,500 B
coal Btu/lb) C
Lignite (Brown 25–35 High <30 14,650–19,300 kJ/kg Various shades of brown, Electricity generation A
coal) (6300–8300 Btu/lb) quite soft, with wood B
fibers commonly
recognizable, and
laminar
- Peat <90 Yellowish to brownish Limited industrial Not listed in the
black, decomposing combustion-Other standard
plant parts typically industrial
visible applications such as
oil and water
absorber
Power Plant Engineering
Steam Generators: Fire Side 307

There are several gaseous fuels derived from coal.

Syngas: This gas is produced from the gasification process and will be
discussed later.
Producer gas: This gaseous fuel is produced as a result of the incom-
plete combustion of coal (with less than stoichiometric air) in the
presence of steam.
Water gas: Water gas is produced when steam and hot coke interact and
is mainly composed of hydrogen and carbon monoxide.
Coke oven gas: The gas is produced during the coke production pro-
cess and is mainly composed of hydrogen and methane.
Blast furnace gas: The gas is produced during steel production in blast
furnaces and is mainly composed of carbon monoxide.

In order for coal to be used as the source of thermal energy in steam genera-
tion in power plants, there should be a continuous and reliable flow of coal to
the power plant site ready to be processed and/or combusted. This requires
effective coal mining, preparation, transportation, and storage. In the follow-
ing two sections, these topics will be briefly covered.

4.5.5 Coal Extraction
The first step for coal utilization is to extract it from a coal mine. Coal min-
ing can be either underground (deep mining) or surface (open-cast or strip
mining). When coal seams are relatively close to surface, the strip mining
method can be used where the earth above the seams (known as overburden)
is removed, and then coal is extracted (Figure 4.3). Typically, draglines or
excavation shovels are used to remove the earth. However, for very large mine
operations gigantic bucket wheel excavators are used (Figure 4.4). These are
some of the largest moving machines that have ever been built (Figure 4.5).
In this method, the topsoil is systematically removed and stored to be used to
reclaim the land after the mining operation is ceased. This method is fast and

(a) (b)

FIGURE 4.3
Schematics of a dragline (a) and an excavation shovel (b) used in strip mining.
308 Power Plant Engineering

FIGURE 4.4
A bucket wheel excavator in a brown coal mine (Note the front loader at the bottom for
size comparison). (Image by Rolf Dobberstein from Pixabay, https://pixabay.com/photos/
brown-coal-energy-garzweiler-283211/.)

FIGURE 4.5
A bucket wheel excavator (Note the front loader at the center for size comparison). (Image by
Herbert Aust from Pixabay, https://pixabay.com/photos/garzweiler-brown-coal-2515764/.)
Steam Generators: Fire Side 309

inexpensive, but reclaiming lands after mining operation is over, restoring

vegetation, and handling acidic mine drainage are major challenges.
When coal seams are deep underground and are not available by surface
mining, the underground mining method should be used. There are two
main methods of underground coal mining: room and pillar mining; and
longwall mining. In the former, only part of the coal seam is mined (about
50%) and the rest is left intact to support the roof. This remaining coal may be
mined at the end of the mining operation, which results in the roof collapse
while the operation retreats. In longwall mining, the entire coal seam is exca-
vated using shearers or plows and the roof is supported by an artificial roof.
Most coal in the world and the U.S. are mined in surface mines. There were
430 surface coal mines in the U.S. producing 64% of the total coal, while the
number of underground mines was 236 mines producing 36% of the coal in
the country in 2018.27

4.5.6 Coal Preparation
After mining, coal needs to be processed. The extracted coal from mines,
called run-of-mine (ROM), contains impurities that should be removed before
it is used for combustion by end-users. The process can take place in a coal
processing facility or rarely in the power plant site. The preparation process
depends on the quality of coal and user requirements and may include the
sizing, screening, crushing, and separation of impurities. This process can
reduce the ash and sulfur content of the coal, which can significantly improve
the combustion process and reduce the negative environmental impacts.

4.5.6.1 Coal Sizing
The mined coal, run-of-mine, is made of a wide range of coal pieces, from
fine particles to very large pieces as large as or larger than 8 inches, and
needs to be screened to the specified sizes. The coal sizing is mainly com-
posed of screening and crushing processes. These processes typically take
place in the coal preparation facility but sometimes some processes are left
for the power plant site.

4.5.6.2 Screens
There are four types of screens commonly used in the coal preparation process:

• Gravity bars or grizzly

• Revolving type or trommel
• Vibrating type
• Shaker type

Annual Coal Report 2018, EIA, https://www.eia.gov/coal/annual/pdf/acr.pdf.

27
310 Power Plant Engineering

Gravity bars or grizzlies are simply a series of inclined bars with the feed end
at a higher elevation and the discharge end at a lower elevation. The size of
non-passing materials depends on the gap between the bars, their slope, and
their length. A trammel or revolving type screen is a cylinder made of wire
screens or perforated plates with a small inclination from the inlet toward
the outlet. To avoid coal breaking in the screen, this type of screen typically
rotates slowly and is used for small size coal. This type of screen has a low
screening capacity per unit of screening surface, which increases the capital
cost of the system.
Shaker screens and vibrating screens (Figure 4.6) are both installed on a
rectangular frame. Their difference is in the type of motion that they are
exposed to. In shaker screens, the screen oscillates back and forth with a
relatively low frequency and large magnitude, while in vibrating screens the
motion is a high frequency and low magnitude. The motion is created by
an unbalanced disk that is attached to an electric motor. The magnitude of
the motion can be controlled by the location of the unbalanced weight on
the disk, and the frequency is controlled by the rotational speed (rpm) of the
motor. As a part of the screening process, magnetic separators can be also
used to separate ferrous objects.
The screen (mesh) size is determined and expressed as the number of
openings in a linear inch of the screen. A 100-mesh screen has 100 openings
in every linear inch of the screen, which is equivalent to 10,000 openings in
every square inch of the screen. The higher mesh screen means a smaller
opening of the screen. The actual size of the openings depends on both the
mesh size of the screen and the diameter of the wire that the screen is made
of. The specifications of screens can be according to ASTM E11-01, W.S. Tyler,
or ISO 565:1990 standards.

FIGURE 4.6
Schematic of a vibrating screen.
Steam Generators: Fire Side 311

4.5.6.3 Coal Size Reduction

Typically the delivered coal to a power plant is clean and at the appropriate
size to be burned in the stoker furnace or to be pulverized (these combus-
tion systems will be discussed in later sections of this chapter). However, in
some cases where the coal size is too large, it needs to be further crushed.
In this case, crushers are part of the coal handling and preparation system.
Note that crushing and screening are typically associated together. The most
important parameter in the design and selection of the coal size reduction
equipment is the reduction ratio, which is defined as the ratio of the feed
particle size to the product particle size. For this purpose, the particle size for
both the feed and the product is the screen size that 80% of the particles pass.
The breaking of coal can be achieved by one or a combination of the follow-
ing mechanisms: impact, compression or crushing, and attrition. The particle
size reduction by impact occurs when an object, such as a hammer, hits large
pieces of coal at a high speed. In the compression (crushing) mechanism,
coal pieces that are trapped between two surfaces break down because of
the compressive forces of the surfaces. In the attrition-based grinding, the
friction between coal particles breaks them when they move against each
other under pressure. Note that according to Rittinger’s law (after Peter von
Rittinger, an Austrian pioneer in mineral processing, 1811–1872), the energy
needed to reduce the size of minerals is proportional to the surface area ratio
before and after size reduction. While this is not the only law to express the
energy needed for material size reduction, probably it is the most commonly
used one. Other similar laws include the Kick’s law and Bond’s law. They
state that the energy needed to reduce the size of minerals is proportional
to the volume reduction ratio and the square root of the average diameter
reduction ratio, respectively. However, none of these laws are accurate, and
typically empirical data are used in the design process.
Generally, crushers can be divided into two groups: once-through crushers
and retention crushers. In once-through crushers, as the name implies, the
feed coal goes through the crusher once and leaves the crusher regardless of
the product size. But in the latter, the feed remains in the crusher until its size
reaches a certain size so it can pass through a screen or a similar separation
process that is integrated into the crusher. Generally speaking, the former
types produce fewer fine particles but the product is more uniform in the lat-
ter types. Note that for some coal-burning methods, e.g., cyclone combustion
(refer to Section 4.6.4.5), a high percentage of fine particles is not desirable.
Among several types of crushers, the following types are commonly used
for coal crushing:

• Bradford breakers
• Hammermills
• Ring crushers
• Roll crushers
312 Power Plant Engineering

4.5.6.3.1 Bradford Breaker
Bradford breakers, also known as rotating cylinders or rotary breakers, are
retention crushers. They are made of a slowly rotating (at about 20 rpm)
large cylinder made of perforated steel plates or screen plates (Figure 4.7).
Inside the cylinder, there are lifting shelves that pick up the feed coal pieces
and drop them from higher elevations. The impact of the falling coal pieces
when they strike the screen or each other crushes them and when their
size is small enough that they can pass through the screen, they leave the
cylinder. The size of the product is determined by the mesh size of the
screen. The feed enters in one end and rocks and other unwanted unbreak-
able materials are discharged in the other end. Since the gravitational force
is relatively small, the fine particle production is limited. Other advan-
tages of this type are a large capacity, ease of unwanted material rejec-
tion, low power consumption, and relatively uniform size of the product,
which make this type the most effective crushing method for high-capacity
applications.

Screen

Lifting shelves

Falling coal
pieces

FIGURE 4.7
Schematic of a Bradford breaker.
Steam Generators: Fire Side 313

4.5.6.3.2 Hammermills
Hammermills are made of a series of pivoting hammers attached to a
rotor (Figure 4.8). The feed coal is crushed mainly by the impact force of
the hammers when they strike the feed. The impact force depends on the
hammers’ size and shape and the rpm of the rotor. The product can leave
the crusher through the grate at the bottom of the machine. The size of
the product is determined by the gap between the bars in the grate. Like
most other retention-type crushers, a considerable amount of fine particles
is produced during the size reduction process. However, they are proven
to be an economic and reliable crushing equipment for small-capacity
applications.

4.5.6.3.3 Ring Crusher or Granulator

The operation of ring crushers is similar to hammermills (sometimes they
are called the ring hammermills); except instead of swinging hammers, there
are loose rings that can rotate off-center.

4.5.6.3.4 Roll Crushers or Roller Mills

In this type of once-through crushers, the feed coal is crushed by the com-
pression and shear forces due to the rotation of rolls (Figure 4.9). There can
be one or two rolls. The crushing action takes place between the roll and the
adjustable wear plate in single-roll crushers and between two rolls rotating
in the opposite directions in double-roll crushers. The size of coal pieces in
the product depends on the size of the roll and the spacing between roll and
plate or two rolls and can be adjusted. The most important problem with this
type of crushers is the lack of size uniformity in the product.

FIGURE 4.8
Schematics of a hammermill.
314 Power Plant Engineering

Raw coal

Roll Roll

FIGURE 4.9
Schematic of a roll crusher or roller mill.

4.5.6.4 Coal Cleaning
In this section, the coal cleaning process to remove impurities to reduce
ash and sulfur contents will be covered. The coal cleaning process and the
removal of impurities can be either wet or dry. The application of the dry
process is limited to small coal particles, and the majority of coal separation
is achieved by the wet process. In the wet separation process, the difference
between either density or surface properties of the coal and the impurities
is used to separate them.
In the dense media separation method, the separation of larger size impu-
rities from ROM can be achieved by the floatation process. In this process, a
specific liquid with the density between the density of the coal and the den-
sity of impurities is used. The lower density coal pieces float over the liquid
and higher density impurities sink.
In some methods, the different speed at which different pieces settle in a
medium is used to separate them. In the jigging method, a continuous pulsa-
tion of water provides the suspension, settling, and separation processes. In
the tabling method, this is achieved on an oscillating table. Note that a simi-
lar principle is used in dry separation systems too.
For the separation of finer coal particles, the mechanical separation or the
froth flotation process may be used. In the former, the centrifugal force sepa-
rates particles based on their mass. In the froth flotation process, fine coal
particles and a specific liquid agent are mixed. The agent helps to create foam
Steam Generators: Fire Side 315

when air is blown into the mixture. The foam carrying the fine coal particles
is concentrated on the surface of the mixture. The coal particles then can be
recovered from the foam. In wet separation methods, the final product should
be dewatered by either mechanical methods, such as vibrating screens and
centrifuges, or by thermal dewatering methods, such as hot air driers.

4.5.6.5 Transportation of Coal to Power Plants

After the preparation of coal, it can be transported to users either continu-
ously or by trucks, trains, barges, or ships. The cost of transportation can be a
considerable portion of the coal cost depending on the distance between the
coal source and the power plant site as well as the means of transportation.
For a mine-mouth power plant, the cost of coal transportation is negligible.
To minimize the cost and maintain the reliability of coal transportation, a
combination of the above methods is commonly used. Typically a truck, rail
car, and barge can carry about 23, 90, and 1400 metric tons of coal (about 25,
90, and 1500 short tons), respectively.
Alternatively, coal can be transported continuously by tramways or con-
veyors. Coal can be even transported in the form of coal slurry through a
pipeline, though this is not common. In this method, coal is pulverized and
then is mixed with water. The mixture of coal and water is pumped through
the pipeline to the destination. At the destination, the water is separated and
the coal is dried ready for combustion. These continuous methods are ideal
for short distances.
According to EIA, on average about 40% of the total cost of coal is for trans-
portation in the U.S.28 As shown in Figure 4.10, about 70% of the coal con-
sumed in the U.S. is transported by trains and the rest is roughly divided

Truck
10%
Others
9%

Barge
11%
Train
70%

FIGURE 4.10
Share of different transportation modes in the total coal transportation in the U.S. (based on the
data provided by EIA.) (Annual Coal Distribution Report 2015, EIA,)

https://www.eia.gov/coal/transportationrates/.
28
316 Power Plant Engineering

equally between barges, trucks, and other methods (i.e., tramway, conveyor,
and slurry pipeline). One reason for the popularity of railroad is the flex-
ibility of the distant coal that can be economically transported, from a few
ten miles to a few thousand miles. Note that the most economic mode of coal
transportation is via rivers by barges, but it requires direct access to a river
system at the plant location. In order to improve the reliability of coal trans-
portation and to avoid delivery interruption, power plants try to make their
coal sources as diverse as possible by receiving coal from several routs and
modes simultaneously.

4.5.6.6 Storage of Coal in Power Plants

Upon arrival at the power plant, the delivered coal should be unloaded.
The unloading method depends on the transportation mode. It can be self-
unloading, such as bottom discharge or rotary dump rail cars. Other types of
unloaders, such as clamshell buckets, can also be employed.
The unloaded coal can be directly delivered to bunkers for immediate or
near future use or may be stored until the time arrives to burn it (long-term
storage). The long-term storage is required to provide fuel for the plant when
the coal delivery is interrupted or is not sufficient. The capacity of the stor-
age depends on the capacity of the power plant. This storage is typically in
the form of outdoor stockpiles where 30–90 days of coal supply for the plant
are stored. However, for smaller power plants, or larger plants when the site
experiences harsh winters or the land for outdoor storage is limited, silo stor-
age may be used.
The pile is constructed in several layers and is compacted by a tractor to
minimize the passage of air and the interchange of moisture with the atmo-
sphere. To avoid these problems and to avoid the spreading of coal dust and
coal freezing, sometimes a petroleum product is sprayed on the top and
sides of the pile. The pile should be regularly inspected to identify any hot
spot to avoid possible spontaneous combustion of coal. Whenever there is a
need, the stored coal is reclaimed by either an under-pile system (through
hoppers and feeders) or an over-pile system (by bucket wheels) and is sent
to the bunkers. The most common method to transport coal from stockpiles
to bunkers is conveyor belts, though sometimes screw and bucket conveyors
are also used. The bunkers are for short-term storage of coal and typically
can store 8 to 48 hours of coal supply for the plant, hence the other name for
the bunkers, day-bins. These bunkers directly feed the coal to the prepara-
tion equipment, e.g., pulverizers, through a hopper and a feeder. The flow
of coal pieces out of the bunkers can be challenging when coal, usually wet
coal, adheres to the hopper walls. This can result either in so-called rat-hole
where only coal directly above the opening can flow out of the bunker or
coal arch (bridge), a total blockage. These problems can be addressed by
manually ramming a long rod into the bunker, by vibrating the bin, or by
sending strong air blasts.
Steam Generators: Fire Side 317

Example 4.10
A 1000 MW coal-fired steam power plant with an efficiency of 30% needs
to have 60 days of coal storage. If the plant is fueled with the average
coal consumed in the U.S. (in terms of the heat content of coal) in 2019,
determine the capacity of the coal storage in metric tons. The average
heating value of the coal consumed in the U.S. in 2015 was 19.48 million
Btu/short tons.29, 30

Solution
Given:

• A coal-fired steam power plant fueled with the average coal

consumed in the U.S. (in term of the heat content of coal) in 2019
• Power plant capacity = 1000 MW
• Efficiency = 30%
• Number of days that the stored coal should last if the delivery of
coal is interrupted = 60 days

Find:

• Determine the capacity of the coal storage

Assumptions:

• The average heating value of coal consumed in the U.S. in

2019 = 19.26 million Btu/short tons

Analysis:
The power produced in a fossil fuel steam power plant can be deter-
mined using the following equation.

P = η m
 f HV (4.64)

Rearranging the equation, the mass flow rate of fuel can be found by this
equation

P
f =
m
η HV

The unit of coal average heating value should be converted from million
Btu/short ton to J/kg.

million Btu million Btu 1055 × 106 J 1short ton J

1 = 1 × × = 1.16 × 106
short ton short ton 1million Btu 907 kg kg

https://www.eia.gov/tools/faqs/faq.php?id=72&t=2.
29

Although EIA does not directly indicate if this is net (lower) heat content or gross (higher) heat
30

content, typically the gross heat content is used in the U.S. unless it is specified otherwise.
318 Power Plant Engineering

P 1000 × 106 kg kg
f =
m = = 149.2 = 1.29 × 107
η HV 0.3 × 19.26 × 1.16 × 106 s day

metric tonnes
= 1.29 × 10 4
day

metric tonnes
Capacity of the coal storage = 1.29 × 10 4 × 60days
day

= 7.73 × 105 metric tonnes

4.5.7 Other Solid Fuels

4.5.7.1 Biomass
Historically speaking human being’s first fuel source to create fire was bio-
mass. But due to its scarcity at the time of the industrial revolution, it was
gradually replaced by fossil fuels, particularly coal. Biomass is defined as
any living organisms that are alive or were recently alive. In this definition
“recently” is needed to exclude fossil fuels since all fossil fuels have origi-
nated from living things millions of years ago. Based on this definition, both
biological (animal-based) and botanical (plant-based) resources are con-
sidered biomass. The former is referred to as the primary biomass sources,
while the latter is known as the secondary biomass sources. They can include
crops and forest products and byproducts, animal fat, and food processing
wastes. All biomass resources are directly or indirectly created by capturing
CO2 from air via the photosynthesis process. When biomass is burned, this
CO2 is returned to the atmosphere. However, it is not accurate to consider
biomass resources as “carbon neutral” resources because the CO2 released
during their planting, cultivation, harvesting, processing, and transportation
should be taken into account. Among various renewable sources of energy,
only bioenergy can be directly converted to renewable liquid and gaseous
fuels, particularly for transportation and materials for chemical synthesis to
produce plastics and other similar products. On the negative side, significant
variations in their chemical compositions and cell structures make the design
and operation of biomass burning systems challenging. Furthermore, their
growth requires large areas of farmland (which may be created by forest con-
version), large amounts of water, and large quantities of fertilizers. Biofuels
can be solid (such as wood and charcoal), liquid (such as ethanol, biodiesel,
and various vegetable oils), or gaseous (such as syngas and methane). In the
scope of this text, we are particularly interested in solid biomass resources,
such as wood chips, sawdust, shipping pallets, lumber rejects, straw, vine
clipping, leaves, bagasse (sugar cane remains after extraction of sugar), husks
(from coconut), nutshells (from walnut, almond, etc.), peach pits, grasses,
bamboo, coffee ground, rice hulls, bark, clarifier sludge, and many others.
Steam Generators: Fire Side 319

The chemical composition of biomass can be expressed by proximate or ulti-

mate analyses. Unsurprisingly the majority of technologies that are being
used in biomass combustion systems have been originally developed for coal
and then adjusted for biomass.

4.5.7.2 Municipal Solid Waste (MSW)

On average every American produces over 4.5 lb of garbage every day. This
per capita solid waste generation pattern has been consistently unchanged
since 1990.31 Municipal solid waste (MSW) can be recycled, composted, land-
filled, incinerated, and combusted with heat recovery in waste-to-energy
plants. While increasingly more solid waste in the U.S. is being recycled or
used for energy production, still over a half of the solid waste produced annu-
ally ends up in landfills. This is not only harmful to the environment but also
increasingly more expensive. The suitable sites are becoming scarcer and far-
ther away from population centers and more expensive to build because of
more stringent regulations particularly to protect underground water. There
is no single way to tackle this problem, and every country and region should
come up with a combination of the following approaches: produce less waste,
recycle and compost as much as possible, burn combustible remaining and
recover the thermal energy for steam or hot water production, and finally
landfill the ash from combustion.
In this section, we will briefly review the properties of MSW as fuel. Solid
waste that is combusted is made of a varying mixture of paper, plastics, food
scrap, wood and yard trimmings, metals, glass, textiles, and other wastes.
The percentage of each component greatly changes from country to coun-
try and from region to region. More industrially advanced countries and
regions have higher percentages of paper and plastic in their solid wastes
because of the higher consumption of packaged goods. Also, the widespread
usage of home garbage disposals in North America has lowered the percent-
age of food remains as the high moisture component of solid wastes. Both
the higher paper and plastic contents and the lower moisture contents help to
increase the heating value of the solid wastes. On the other hand, more recy-
cling of paper and plastic reduces the heating value of the wastes and more
recycling of glassware and aluminum cans and other metals increase the
heating value. As a result of all these factors, the composition of solid wastes
changes not only with geographical locations but also with time. The time
variation can be long term or short term, even daily. The fuel composition
can also be nonhomogeneous even in the same shipping. The higher heat-
ing value of solid waste can be in the range of 7000–14,000 kJ/kg (3000–6000
Btu/lb). One major advantage of solid wastes as fuel is the low concentration
of nitrogen and sulfur in the fuel which simplify pollution control systems
(Chapter 5).

https://archive.epa.gov/epawaste/nonhaz/municipal/web/html/.
31
320 Power Plant Engineering

4.6 Combustion of Coal
Every fuel burning system for steam generators should be able to introduce
and mix fuel and air for combustion, initially ignite the mixture, sustain
the flame, handle ash, provide flue gas at appropriate conditions to heat-
transfer surfaces downstream, and respond rapidly to load changes at all
operating conditions. A steam generator should be able to perform these
tasks with minimal excess air and pollutants in the combustion products
(including unburned fuel, NOx, and SO2), high availability, and low main-
tenance while maintaining maximum efficiency, safety, and reliability and
minimum cost.
Historically, there have been the following five different major coal com-
bustion systems (ordered chronologically according to when they were
invented):

1. Hand feeding
2. Mechanical stoker
3. Pulverized coal
4. Cyclone-furnace firing
5. Fluidized-bed combustion

4.6.1 Hand Feeding
We all have seen how coal was shoveled into locomotive boilers. While there
have been many designs for hand-fed stationary steam generators, here we
will only discuss one particular design called the Dutch oven (Figure 4.11).
In Dutch ovens, the combustion process occurred in a cell adjacent and

Fuel Fuel

To steam
generater Furnace

Burning Fuel Grate

FIGURE 4.11
Schematic of a hand-fed Dutch oven.
Steam Generators: Fire Side 321

connected to the steam generator. The walls were covered by refractory and
sometimes water-cooled tubes. The solid fuels, typically wood or coal, were
fed to the fire through openings on the roof and combusted in a pile. These
ovens were suitable to burn high humidity fuels because the large burning
bed could quickly dry the incoming fresh fuel. However, it needed to be shut
down for ash removal and it could not adjust well to load variations and
changes in the fuel properties.

4.6.2 Mechanical Stokers
In all stokers, the solid fuel is distributed over a grate to burn. A wide vari-
ety of solid fuels can be combusted in this system including the majority of
coal types, biomass, and various solid wastes. They are responsive to rapidly
changing steam demands. They do not require an extensive fuel preparation
facility. In the case of coal, chunk coal is typically prepared in the coal prepa-
ration facility before being transported to the power plant site, and no clean-
ing or sizing processes is needed in the power plant location. However, their
efficiency and capacity are the lowest among modern combustion systems.
Because of these drawbacks, they are typically used for small steam genera-
tion units in industrial, utility, and cogeneration applications. The interest
in this type of solid fuel firing system has been recently revived to some
degrees for biomass and solid waste-fueled steam generators.
Stokers are composed of the fuel feeding system, grate, air distribution
system, and ash removal system, which are all integrated into the bottom
of a furnace. In all stoker combustion systems, first the fuel should be trans-
ferred from the hopper to the distributors through the gravity-based systems,
reciprocating plates, or metering chain conveyors. Then, the fuel is distrib-
uted on the grate by one of the methods that will be discussed in this section
(mass-feed, spreader, or underfeed systems). The fuel is combusted on the
grate by the introduction of the combustion air through the grate. After com-
plete combustion of the fuel, the remaining ash is discharged. The character-
istics of mechanical stoker combustion systems are determined according to
the grate type and the way the fuel is distributed over the grate. Accordingly,
these burners are categorized based on these components.

4.6.2.1 Grates
The grate provides a surface for the solid fuel to burn. It can be stationary or
moving. Early stokers had stationary grates with no continuous automatic
ash removal system. In these systems, the ash was removed manually for
example by raking after the furnace was turned off. Later, dumping grates
allowed the ash removal from a section of the furnace while combustion con-
tinued on the other sections (Figure 4.12). In inclined stationary grates, the
fuel moved along the grate by gravity (Figure 4.13). The stationary grates are
no longer used in modern furnaces.
322 Power Plant Engineering

Fire

Ash

Combustion Ash dumping

FIGURE 4.12
Schematic of a dumping grate.

Fuel ( Coal )

To steam
generator

Fire

Air

Ash pit

FIGURE 4.13
Schematic of an inclined stationary grate.

Traveling, moving, or chain grates are continuous (endless) conveyor

belts where the fuel gradually burns and the ash is removed at the end of the
belt where the grate turns around for the return run (Figure 4.14). The belt
is driven by the drive drum or sprocket at one end and passes over the idle
drum at the other end. This system allows a continuous feed of the fuel and
a continuous discharge of the ash, which means the continuous operation of
the burner is possible. This type of grate has many moving parts exposed
to harsh operating conditions including high temperatures and high sliding
contacts. This means the grate is subject to high wear, which in turn means
Steam Generators: Fire Side 323

Coal

Fire

Ash Grate

Idler shaft

Drive shaft Return rail

FIGURE 4.14
Schematic of a traveling grate stoker.

high maintenance costs. To reduce the wear and maintenance costs, the grate
moves very slowly.
In vibrating grates, the fuel moves across the grate by intermittent vibra-
tion. The frequency and timing of the vibration can be adjusted to fit the
fuel characteristics and its required residence time. Due to the simplicity and
minimal moving parts, the costs of maintenance are lower in vibrating grates
compared to traveling grates. Traveling and vibrating grates are the most
common grate types used in mechanical stoker systems. They are typically
made of cast iron bars with air holes in them. They can be either air-cooled
or water-cooled. The latter is more effective, which in turn means the system
can operate at higher operating temperatures.

4.6.2.2 Fuel Feeding Systems

There are two main ways to burn solid fuels: thin-bed combustion and sus-
pension firing. In the former, the fuel is combusted while it forms a layer
of solid fuel on a combustion surface. In the latter, the combustion process
occurs while fuel is entrained in the airflow. In some combustion systems, a
combination of two mechanisms is used.
Solid fuel in mechanical stokers can be distributed over the grate by sev-
eral mechanisms. Depending on the position of the fuel feeding system rela-
tive to the grate, stokers can be either overfeed or underfeed. The former can
be further divided into mass-feed and spreader systems.
In a mass-feed system, the fuel is continuously fed to one end of a hori-
zontal grate, typically either a vibrating or a traveling grate. The height of the
fuel bed is regulated before entering the furnace by an adjustable gate under
which the fuel passes. The thickness of the bed controls the mass flow rate
324 Power Plant Engineering

of the inlet fuel, which in turn controls the rate of combustion in the furnace.
The fuel burns on the bed while traveling across the grate with the air flow
passing through the grate. The thickness of the fuel bed reduces as it moves
further in the furnace. The remaining ash is discharged to the ash pit at the
end of the grate.
Unlike mass-feed systems, in spreader systems, the fuel pieces are pro-
jected or thrown into the furnace (Figure 4.15). The finer fuel particles are
combusted in suspension, while the larger pieces fall over a burning bed and
burn on the grate. Again, the grate is most commonly either a traveling grate
or a vibrating grate. Depending on the size, up to a half of the inlet fuel may
burn in suspension. While the entire system might be referred to as a stoker
or spreader, the fuel distribution system is also sometimes confusingly called
stoker, spreader, distributor, feeder, or spout. The fuel distributor should be
able to spread the fuel as uniformly as possible over the grate. The fuel might
be mechanically distributed by a rotor made of curved blades for uniform
fuel distribution. Alternatively, the fuel might be pneumatically injected by
the steam or air flow. Sometimes a combination of the two methods is used.
To improve the uniformity of the bed, typically several distributors are used.
Note that the direction of the fuel motion on the grate depends on the type
of the fuel distribution system always with the objective of maximizing the
fuel residence time to provide more time for combustion. While in mass-feed
systems, the fuel moves from the furnace front to its rear, away from the fuel
feed end, in spreader systems, the direction is the opposite. Due to the nature
of spreader systems, there is a potential for the high carryover of ash par-
ticulate and unburned fuel particles, depending on the fuel size. To reduce
the negative impacts of this phenomenon, both on the environment and the

Coal

Overfire air

Distributors Fire

Drive shaft

Idle shaft
Ash Return rail Grate

FIGURE 4.15
Schematic of a spreader stoker.
Steam Generators: Fire Side 325

overall efficiency of the steam generator, dust collectors are used to capture
and reinject unburnt particles to the furnace.
Another type of mechanical stoker system is underfed stokers where solid
fuel is fed under the burning bed by a screw conveyor or a ram through one
or several channels, called retorts. Among three different presented methods
to feed the fuel to the grate, only spreader stokers are used in modern steam
generators of small power plants. Other types can be only used for some
biomass-fueled steam generators, for example, steam generators fueled with
straw.

4.6.2.3 Air Systems
In mechanical stoker systems, the excess air can be as high as 50%. This air
can be supplied as undergrate (underfire) air and/or overfire air (OFA). Also,
some air may be used in the fuel distribution system in some spreader stok-
ers. The amount of excess air and the distribution of air between undergrate
and overfire air depend on the type of fuel and the type of the system.
The low-pressure undergrate air is to dry the fuel and provide combustion
air. It also cools the grate in air-cooled grates. To uniformly distribute the
undergrate air, it is important to have the fuel uniformly distributed over
the grate, in terms of both the thickness and the density of the bed. Also, for
proper distribution of the undergrate air, some systems compartmentalize
air in several air plenums.
The overfire air is introduced above the fire (just above the fuel projectile
in the case of spreaders). It is used for the staged air introduction to reduce
NOx production (refer to Section 4.6.4). It also provides turbulent mixing of
the gases above the fire for better combustion. The pressure of OFA is much
higher than the undergrate fire. Typically, the required air is provided by
forced draft (FD) fans (refer to Section 4.9). While two smaller high- and low-
pressure fans can be used to provide the undergrate and overfire air, one
high-pressure large fan is more economical.

4.6.2.4 Design Considerations
The design of a stoker system depends on several parameters including the
fuel type, fuel distribution type, grate type, desired steam production capac-
ity, size limitations, and load characteristics. First, the required heat in the
furnace can be determined based on the desired steam flow rate and its con-
ditions. Then, the grate heat release rate can be used to determine the plan
area of the grate. The grate heat release rate is the heat released from the
combustion of the input fuel divided by the active or effective area of the
grate. The value of the grate heat release rate depends on the type of fuel, fuel
distributor, and grate type. Its values are provided by the manufacturers and
can be roughly between 1 and 4 MW/m2 (about 400–1100 Btu/h ft2). The plan
area of the grate and the furnace can be determined by dividing the required
326 Power Plant Engineering

heat to the grate heat release rate. The depth (length) of the grate depends on
the distance the distributer can propel the fuel in the spreader stoker and is
limited by the grate manufacturers to typically less than 8 m (about 26 ft) to
keep maintenance requirements at an acceptable level. It also depends on the
type of the grate. Vibrating grates are typically shorter than traveling ones.
The only remaining variable that can be manipulated to achieve the desired
steam generation capacity is the width of the grate. The width of a single
grate is limited to typically 6 m (about 20 ft). To overcome this limitation, two
grates can be installed side by side in a furnace. As a result of all these limita-
tions, the plan area of a grate is typically small. Due to the limitations on the
physical size of the grate, the steam production capacity of stokers is limited
depending on the fuel type, higher for biomass compared to coal.

4.6.3 Pulverized Coal Combustion Systems

The idea of pulverized coal combustion systems is that if coal or other solid
fuels are broken down to a fine enough powder form with a high surface
area, they can burn like a gaseous fuel. This is why combustion systems in
natural gas-fueled steam generators are very similar to pulverized coal
combustion systems. While pulverized coal steam generators are considered
as one of the most important industrial and engineering achievements of the
20th century, this was a very old idea. Sadi Carnot (1796–1832) used powder
coal as the fuel to describe his cycle. Rudolf Diesel (1858–1913, German inven-
tor and mechanical engineer and the inverter of the diesel engine) tested
his first internal combustion engine with powder coal. The first commercial
application of pulverized coal was in the 1890s in the cement industry fol-
lowed by the steal industry. In cement kilns, powder coal not only provides
the heat required for the process but the ash content is also useful for the
quality of the product. Thomas Edison tried to improve this process. Later,
pulverized coal was used in steam generators for locomotives. In the 1920s,
the previous experiences gained in the utilization of pulverized coal were
used to manufacture the early pulverized coal steam generators for station-
ary power generation units with the first being operational in Milwaukee,
Wisconsin. The introduction of pulverized coal steam generators removes
many limitations on the size and capacity of steam generators imposed by
mechanical stokers. In the decade following the introduction of these steam
generators, their capacity increased ten folds, exceeding 125 kg/s (about
1 million lbm/h). The widespread utilization of pulverized coal power plants
was a milestone for large, safe, reliable, and efficient power plants of modern
era with relatively low emissions. These types of power plants have been the
predominant coal combustion technology since the second half of the 20th
century in many parts of the world. They are still the most common technol-
ogy to combust coal for utility steam generation units.
Their virtually unlimited capacity is due to their high combustion rate. In
the pulverized coal combustion process, fine coal powder provides a high
Steam Generators: Fire Side 327

surface area for combustion. During the combustion process, oxygen can dif-
fuse to the combustion zone near the particle surface and the combustion
product gases can diffuse out of the region. In pulverized coal, volatile mat-
ters can be combusted in a fraction of a second, while the entire particles
burn within a couple of seconds, which is close to the combustion times of
gaseous and liquid fuels. Also, pulverized coal steam generators can practi-
cally use all types of coal so their application is not limited to any particular
region where a specific coal type is mined. They can be also fueled by liquid
and gaseous fuels as well as other solid fuels, such as sawdust and sander
dust. Furthermore, they require less maintenance since fuel is transported
to the furnace by air. The fuel ignition and control is also simpler. They can
rapidly respond to load changes. They require less excess air that improves
the efficiency of the combustion process and reduces power consumption in
the fans (Section 4.9). Finally, they reduce operational costs by reducing the
labor cost and the maintenance cost.
Early systems were developed based on technical experiences and empiri-
cal data without much theoretical understanding. While theoretical under-
standings have significantly improved since then, still many design aspects
are according to empirical data.

4.6.3.1 Overall Firing Systems

Any pulverized fuel combustion system should be capable of providing the
required amount of thermal energy in the furnace whenever needed with
high efficiency, high reliability, and low emissions. This requires a contin-
uous flow of pulverized fuel to the burner with the rapid load-following
capability. Early pulverizers were not reliable and their response to the load
change was slow. In order to overcome this problem, early pulverized coal
combustion systems had a storage system between the pulverizers and the
burner. Understandably these systems are called bin, storage, or indirect
systems. In these systems, pulverized coal after the pulverization process
is separated from the air that carries the particles in a cyclone separator and
bag filters (Figure 4.16). The separated pulverized coal is stored in storage
bins. When the burner requires fuel, the pulverized coal is aerated again
with new transport air and pneumatically conveyed to the burner for com-
bustion. Due to the explosive nature of pulverized coal, the storage of the fuel
makes these systems vulnerable to fire hazards. Also, the particle separation
and then reaerating processes result in high power consumption in fans. The
systems are large and dirty too. Regardless of all these problems, storage
pulverized coal systems were widely used until more advanced pulverizers
were developed. They are not being used in modern power plants.
The introduction of more reliable and faster-responding pulverizers
opened the path to eliminate the storage process and the introduction of
direct firing systems. In these systems, the pulverized coal from pulver-
izers is directly fed to the burner without any storage process (Figure 4.17).
328 Power Plant Engineering

Air
Raw coal

Cyclone
separator
Coal
bunker

Bag
filter
Pulverized
coal
Raw coal
Pulverized
coal+air Pulverized
Fan coal bin
Air heater
Pulverizer To burner

FIGURE 4.16
Schematic of an indirect firing system.

Raw coal Flames

Furnace
Coal
bunker

Raw coal
Pulverized
coal+air
Fan
Air heater
Pulverizer

FIGURE 4.17
Schematic of a direct firing system.

The air used to dry and carry the pulverized coal is used for the combus-
tion. The air that transports the pulverized coal to the burner is called the
primary air. This air is typically a significant portion of the air required
for combustion. This air is provided by the primary air fans, which can be
Steam Generators: Fire Side 329

placed after or before the pulverizers. If the fans are located after the pul-
verizer, the mixture of air and pulverized coal goes through the fan. But
for the case where the fan is located before the pulverizer, the atmospheric
air passes through the fan and then goes through the air preheater and the
pulverizer.
The rest of the required air (the balance of air) is added to the burner and
is called the secondary and the tertiary air. Since the fuel combusted in the
burner is directly provided by the pulverizer, the control of the fuel flow rate
(thus the steam flow rate) starts with the control of the inlet flow rate of coal
into the pulverizers. This means the pulverizers must be able to respond to
the load change rapidly, which was only possible with the advanced pulver-
izers introduced in the 1930s and 1940s. The continuous flow of the pulver-
ized coal simplifies the system, which in turn reduces the capital costs. It also
reduces the power consumption in the fans, since there is no need for reaera-
tion, which reduces the operating costs. Moreover, the system is smaller (less
floor space requirements), safer, and cleaner and requires less maintenance
than storage systems.
Any pulverized fuel combustion system is composed of several major
components: raw coal feeder, preheated primary air supply system, air
fans, pulverizing system (pulverizer or mill), transporting piping system,
burning system, and control systems. In the rest of this chapter, all these
subsystems will be discussed in detail. The following few sections deal
with the coal pulverization process. Note that typically the transported
coal to the power plant is ready to be pulverized with no further prepara-
tion required.

4.6.3.2 Coal Feeder System

The pulverizer inlet feeder regulates the flow rate of the inlet coal to the mill.
This is an important component, particularly for direct firing systems. Note
that the steam demand and the required thermal energy in the furnace are
the ultimate control objective. Since the pulverized coal is always entrained
by the flow of hot air to control the coal inlet to the furnace both the coal
mass flow rate and the air flow rate must be regulated. Typically, there are
two ways to feed the coal and control its inlet flow rate: belt feeders and
overshot feeders. A belt feeder is a conveyor belt where the speed of the belt
regulates the fuel flow rate. They can be volumetric or gravimetric systems.
In the former, the thickness of the coal bed on the belt is controlled to control
the volumetric flow rate of the fuel. Alternatively, sensors might be used to
directly measure and control the weight of the inlet coal. An overshot feeder
is made of a rotor with redial long blades. The spaces between these blades
are filled with coal. The coal carried by the overshot feeder depends on the
rotational speed (rpm) of the rotor. A higher rpm means a higher fuel flow
rate. Note that the inlet fuel weight is also needed to determine the efficiency
of the power plant.
330 Power Plant Engineering

4.6.3.3 Pulverization-Related Coal Properties

The most important characteristic of coal for the pulverization process is its
grindability. As the name implies, the grindability is an index that indicates
how easy coal can be grinded or pulverized. The higher grindability of coal
means that the coal is easier to be pulverized. Note that grindability is dif-
ferent from hardness. While lignite is soft and anthracite is hard, they are
both hard to pulverize and have low grindability indexes. The grindability is
expressed by the Hardgrove Grindability Index (HGI). The HGI is measured
by the level of grinding in a sample when it is grinded in a miniature grinder
for a specific input work according to ASTM D409 standard. This method is
not accurate because it does not take into account the moisture in the raw coal,
which can be between 2% and 70% (measured according to ASTM D3302) and
the degree of fineness of the pulverized coal. Also, it is difficult to directly
relate this index to the operation of real pulverizers because the measurement
method does not take into account the coal particle circulation, their continu-
ous removal, and the much lower crushing force during the test. However,
while more accurate methods have been developed recently, to use the vast
data accumulated in the past decades, the HGI is still being used today.
The product sizing is very important for the operation of a pulverizing
system. As noted earlier, the mesh of a screen is defined as the number of
openings per linear inch of the screen. In order to have successful combus-
tion of pulverized coal, it is critical to have right sizing of the fuel. This means
to have a high percentage of very fine coal, say at least 80% passing through
a 200-mesh (74 μm, 7.4 × 10−5 m) screen. But this alone is not sufficient. Even a
small percentage of very large coal particles say more than 5% that is retained
on a 50-mesh (297 μm, 2.97 × 10−4 m) (less than 95% passing through a 50-mesh
screen), can result in the loss of unburned carbon, which in turn means lower
efficiency and more air pollutions. Therefore, a pulverizer should be able to
produce a very high percentage of fine particles and avoid even a small per-
centage of coarse particles. The fineness of produced pulverized coal is deter-
mined according to ASTM D197. Note that since the high-rank coal types
have higher percentages of carbon, to have complete combustion in the pul-
verized form, they need to be finer than the low-rank coal types.
Another important coal characteristic for the design and operation of pul-
verizers is its abrasiveness. The abrasiveness of coal is related to its hardness
and depends on the percentage of silica or pyrite (FeS2) and quartz (SiO4) in
the coal which can be measured according to ASTM D2492 and ASTM D2799,
respectively.

4.6.3.4 Pulverizers
The objective of pulverizers (mills) is to consistently prepare the pulverized
(powder) coal with appropriate fineness and provide a uniform flow of the
fuel for burners. The size reduction in pulverizers can be achieved by means
Steam Generators: Fire Side 331

of compression (crushing), impact, attrition, or a combination of them.

There have been several types of pulverizers: ball-and-tube, ball-and-race,
roll-and-race, and hammer mill. Since the dominant grinding mechanism
in pulverizers is directly proportional to their rotational speed, they can be
also categorized according to their rotational speed (rpm): low, medium, or
high speed.

4.6.3.4.1 Drying and Separation of Coal

In early pulverizing systems, ambient air was used for the coal pulverization
process with minimal drying capability. These units were only able to grind
low moisture coal. Later systems were equipped with hot air external driers.
In all modern units, the hot air drier is integrated into the pulverizer. The
thermal energy to heat the hot air can be recovered from combustion prod-
ucts in the air preheater. Typically the same air, known as the primary air, that
is used for drying, circulation, and separation of the pulverized coal is used
for the transportation of the fuel to the burners and for the combustion pro-
cess (in direct firing systems). Alternatively, the flue gas can be directly used
for this purpose. This was common in the storage firing systems where the
drier air was not the primary air for the combustion so the oxygen content of
the flow was not a factor. This is not common in modern power plants.
The fans that provide the required air can be ahead of the mills or after
them. In the former, the fans, also called the blowers, blow clean ambient air
and the mills operate under pressure, hence the name pressurized mills. In
the latter, the fans, called exhausters, suck the mixture of air, moisture, and
pulverized coal out of the mill and the mill operates under partial vacuum
(the suction mills). Typically, the combination of these fans is used in a bal-
anced system. These fans should be able to overcome the pressure drops
throughout the system in the pulverizer, classifier, pulverized coal transpor-
tation and distribution system, and burners. For more discussion on the fans
refer to Section 4.9.
The control of the size of pulverized coal particles is critical for the proper
operation of burners. There are two separation mechanisms for this purpose:
gravitational and centrifugal. Separators can be either internally integrated
separators or external separators. The centrifugal-based separation is typi-
cally the dominant mechanism in both of them. Generally, the former is the
preliminary means of separating large particles from the pulverized coal in
or near the grinding zone and the latter is the final means before the pulver-
ized coal is sent to the burners. In the centrifugal-based separators, the cen-
trifugal force is generated by inducing rotational motion by means of vanes
or rotating classifiers. External classifiers are commonly made of a cyclone
that the air flow can be controlled by adjustable inlet air vanes. The particle
size distribution for each classifier is provided by the manufacturer.
It should be noted that in order to keep the fuel particles suspended at all
loads, a minimum air flow rate is required regardless of the flow rate of the
pulverized coal which depends on the steam generation load. This required
332 Power Plant Engineering

minimum primary air can be as high as 70% of the primary air flow rate at
the full load to keep a minimum speed of the air within the separators. For
the rest of this section, we will take a look at some common pulverizers.

4.6.3.4.2 Ball-and-Tube Mills
Ball-and-tube mills were the dominant technology in early pulverized coal
power plants. They were typically used with bin storage firing systems. They
are made of a horizontal large cylinder internally lined with wear-resistance
blocks (Figure 4.18). The cylinder is partly filled, to a quarter to one-third of
its diameter, with forged steel or cast alloy balls. To avoid gaps between the
balls, they have varying diameters between 25 and 100 mm (1–4 in.). The coal
enters the mill from one end (in single end mills) or both ends (in double end
mills) units along with hot air. The cylinder slowly rotates on its axis at the
rotational speed of less than 40 rpm. The coal pieces are trapped between cas-
cades of tumbling balls and are broken down. The larger pieces of coal break
by impact, and the pulverization occur by attrition and crushing. When the
coal pieces are reduced to small enough particles, they are carried by the flow
of hot air from one or both ends (single or double end, respectively). The air
flow also dries the grinded coal. The system is equipped with an external clas-
sifier to further separate the large particles and return them to the cylinder.
The ball-and-tube mills have a limited drying capacity and could not handle
coal with a high moisture content. While they have high wear in the internal
components, they are typically considered low maintenance machines due
to their simplicity. They have a long coal residence time which results in the
production of more than required fine particles. This means a lower capacity

Raw coal

Pulverized coal
+ air

Axis of rotation
Clasifier
Mill

Hot air

Raw coal

Ball

FIGURE 4.18
Schematic of a ball-and-tube mill.
Steam Generators: Fire Side 333

for the same size and high capital costs as well as a higher specific power con-
sumption (kW/kg of pulverized coal) and high operating costs. Furthermore,
they are difficult to control and extremely noisy. Because of these problems,
they are not typically used with direct firing systems. However, they are ideal
for pulverizing hard to grind materials, including coal with low grindability.

4.6.3.4.3 Ball-and-Race and Roll-and-Race

As noted earlier, direct firing systems require more reliable and responsive
pulverizers than what can be provided by ball-and-tube mills. In the 1930s,
ball-and-race and then roll-and-race pulverizers were introduced to satisfy
these requirements. These units are still the most common types of pulver-
izers in modern steam power plants. They are typically in the vertical con-
figuration and hot air carries and classifies the pulverized particles. They are
sometimes called vertical air-swept pulverizers. They can operate reliably
with a variety of coal types, even very wet coal, with high availability. They
can produce a uniform fineness even with aging components. They can also
respond to the load change rapidly. They are compact and require small spe-
cific floor space, which is defined as the floor space per unit of pulverization
mass capacity. Moreover, they have a low specific power consumption (kW/
ton). They typically operate relatively quietly. Finally, they typically require
low maintenance and their maintenance is easy.
In this type of pulverizer, coal enters the center of the unit at the top. The
rolling elements roll over a surface, either race or ring, covered with coal
that is being crushed (Figure 4.19). The rolling elements can be either balls
or rolls. Depending on the design, either the rolling elements or the surface
rotates, which in turn breaks coal pieces. The grinding mechanisms are
mainly crushing and attrition. When coal particles are fine enough, they
are suspended and carried away by the flow of hot air. The larger particles
are then further separated by a classifier and returned for more grinding. So
the separation process can occur in two stages: in the grinding zone and in an
internal or external classifier. The internal classifier is much more common.

Raw coal
Crushed coal

FIGURE 4.19
Pulverization mechanisms by a round object, crushing and attrition.
334 Power Plant Engineering

Pulverized coal

Raw coal
Adjustment
spring

Stationary
ring

Grinding ball

Driving ring
Main shaft

FIGURE 4.20
Schematic of a ball-and-race pulverizer.

In ball-and-race mills, the ball-shaped rolling elements are enclosed

between two rings, Figure 4.20 (like a ball bearing). Typically the top ring is
stationary and the bottom ring is driven at a medium rotational speed (up
to about 250 rpm) which causes the rotation of the balls. The grinding pres-
sure is applied to the upper ring by an external spring. This pressure can be
adjusted to fit the requirements of the coal type and its grindability. The ball
and mills are now typically used for industrial and small utility applications.
In roll-and-race (ring-roll) pulverizers, the grinding elements are s everal roll-
ers, typically three, on a race or ring (Figure 4.21). Either the rollers are driven

Raw coal
Pulverized
coal

Grinding
roll

Main shaft

FIGURE 4.21
Schematic of a roll-and-race pulverizer.
Steam Generators: Fire Side 335

and the ring is stationary or the rollers are stationary and the ring is driven.
The rational speed of the system is much slower than ball-and-race mills.
Both ball-and-race and roll-and-race mills are sized according to the diam-
eter of the race or ring which can be up to 2.5 m (about 100 in) for ball-and-
race mills and up to 3.5 m (about 140 in) for roll-and-race mills. They can be
over 10 m high.

4.6.3.4.4 Other Types of Pulverizers

The operation of impact or hammer pulverizers is similar to hammer mills
discussed in Section 4.5.6.3.2 (Figure 4.8), but in this case, the pulverized coal
is entrained by hot air. They are also equipped with an internal or external
classifier. While these mills are suitable for small applications, they are not
used in large modern power plants. One notable characteristic of these mills
is their capability to grind rice hulls and grains that may open a new avenue
for their applications.
A particular type of impact pulverizers is called the beater (wheel) mills
that can handle very low-grade coal with very high humidity. To dry the
coal, hot combustion products are used in this type of mill. These mills can
be used in very large supercritical steam power plants (over 1000 MW) with
an efficiency at low 40%. They are common in countries with large resources
of lignite (brown) coal.

4.6.3.4.5 Selection of Pulverizers
The capacity of coal pulverizers depends on the grindability of the inlet coal
and the required fineness of the pulverized coal. The actual grindability of
the coal is a function of the coal Hardgrove Grindability Index (HGI) and its
moisture level. There are empirical diagrams that relate the HGI to the per-
centage of moisture for various types of coal.
The required size of pulverized coal depends on the coal-burning charac-
teristics and the specifications of the combustion system. The capacity of pul-
verizers, called the nominal capacity rating, is normalized and presented by
manufacturers for the coal grindability of 50 HGI and pulverized products
at 70% passing 200-mesh. The nominal capacity rating depends on the type,
size, and manufacturer of the unit.
The required mass flow rate of pulverized coal is determined from the
required steam flow rate and the combustion calculation. Generally, this
mass flow rate of pulverized coal is not equal to the nominal capacity rating
of the pulverizers because, as noted above, the nominal capacity rating is for
the specific inlet coal HGI and the fineness of the products. The equivalent
pulverizer capacity can be determined by the following equation:

Required pulverized coal mass flow rate

Equivalent pulverizer capacity =
Capacity correction factor
(4.65)
336 Power Plant Engineering

The capacity correction factor depends on the HGI of the coal and the
required fineness of the pulverized coal. The value of the factor is between
0.2 and 1.6. The higher HGI means the coal is easier to grind so a lower capac-
ity pulverizer is needed. This is achieved by a higher capacity correction fac-
tor. In contrast, if finer pulverized coal is needed (i.e., higher percent passing
through 200-mesh), a higher capacity pulverizer is needed, which in turn
means a lower correction factor. In a design, all possible current and future
inlet coal types should be considered and the worst-case scenario should be
used for the design.
Now the number of the pulverizer units can be determined as follows:

Equivalent pulverizer capacity

Number of the pulverizer units =
Nominal capacity rating of each pulverizer
(4.66)

The nominal capacity rating of a pulverizer is provided by the manufacturer.

At this point, the designer can choose between fewer larger units or more but
smaller units. The selection should be a compromise between capital costs,
power consumption, and maintenance to minimize the overall cost while
satisfying the operational requirements. It should be noted that the specific
capital cost ($/kg of capacity) of smaller units is higher than that of larger
units. It is common practice to add one extra pulverizer so the power plant
can operate at its full load even with one pulverizer out of service.
Finally, the manufacturer should provide the pulverizer and burner coor-
dination curves that interrelate the pulverized coal mass flow rates from
each pulverizer to the steam mass flow rate, primary air flow rate, air-to-fuel
ratio, and other factors. These parameters are critical for the design and selec-
tion of burners.
The performance of pulverizers is examined according to ASME
Performance Test Code (PTC) 4.2. Due to the high combustibility of pulver-
ized coal, pulverizers need to follow the suggestions presented at the National
Fire Protection Association’s NFPA 85 Standard chapter 9, “Pulverized Fuel
Systems”.

4.6.4 Burning of Pulverized Coal

A properly designed burner should receive fuel, primary air, and secondary
air at a correct ratio; highly mix them; initiate combustion; create stable and
safe flame; and achieve high combustion efficiency that approaches that of
gas and oil burners while minimizing NOx and other pollutant production.
As noted earlier, the main idea behind pulverized coal combustion sys-
tems is that if coal particles, for that matter generally any solid fuel particle,
are reduced to small enough sizes, they will burn like gaseous and liquid
fuels. The fuel residence time in pulverized coal burners is about 1–3 seconds
which approaches that of natural gas and liquid fuels and far shorter than
Steam Generators: Fire Side 337

the resident time for other coal-burning technologies that can reach 60 sec-
onds. As a result, pulverized coal burners are very similar to oil and natural
gas burners, except they do not need atomizers for liquid fuels. They can also
burn multiple fuels, including gaseous, liquid, or solid fuels.
In any burner, the fuel and air are mixed in an appropriate proportion and
the mixture enters the furnace. In pulverized coal burners, the fuel at the
rate dictated by the steam generation requirements is carried to the burner
suspended in air. This air is called the primary air (PA) and is typically about
10%–30% of the total air. This is the same air that has gone through the pul-
verizers. The temperature and humidity of this air depend on the coal char-
acteristics, coal mass flow rate, and pulverizer’s technology. The temperature
of PA is typically between 50°C and 100°C. Each pulverizer can typically
feed 2–8 burners.
The rest of the combustion air, known as the secondary air, is added to the
burner or the furnace for complete combustion. The secondary air is pro-
vided by the forced draft (FD) fans after going through the air preheater and
is at the temperature of about 250°C–450°C (refer to Section 4.9.5). In order to
avoid a complicated piping system to distribute air to the burners, the sec-
ondary air is fed to a duct system, called the windbox, outside of the furnace
wall right behind the burners (Figure 4.22). The windbox can be open ple-
num or partitioned, the latter having a more uniform air distribution among
burners. It can be located on opposite sides of the furnace or just on one side
(as in Figure 4.22).
During the combustion process, the coal particles along with air enter the
combustion zone. The heat transfer, via both radiation and convection, from
the combustion already occurring in the furnace increases the temperature
of the particles. Because of this increase in the temperature, the moisture
and volatile matters evaporate. The gaseous volatile matters combust imme-
diately, which further increases the temperature of the particles and helps
to burn the remaining carbon content. Unlike volatile matters, the carbon
content burns slowly. Eventually after burning the entire carbon content ash
will remain.
It should be noted that the primary air must be able to carry coal particles
in suspension and there is a minimum velocity of air that this can happen.
Therefore, when the load of the steam generator and thus the mass flow rate
of the fuel reduce (to as low as 25% of nominal load), the required reduction
in the mass flow rate of air is mainly achieved by control of the secondary air
mass flow rate while the flow of the primary air is mainly unchanged. The
ratio of SA to PA is critical to achieve a stable flame. If the ratio goes below a
certain level, the flame may become unstable.
The molecular interaction between fuel and air is critically important
for the successful operation of pulverized coal combustion systems. There
are two approaches to have an effective mixture of air and fuel: wall-fired
systems and corner-fired or tangential combustion systems (single flame
envelope).
338 Power Plant Engineering

Overfire air
ports

Pulverized
coal
burners

Pulverizer

Partitioned
wind box

FIGURE 4.22
Schematic of a combustion system, including, furnace, windbox, and burners.

In wall-fired systems, many burners are installed on the walls of the furnace
(Figure 4.22). Each burner creates its own individual and mostly independent
flame envelop. This means while there are significant mixing and turbulence
within each envelop, there is not much interaction between envelops and cer-
tainly no total unified turbulent flow pattern is created in the furnace. They
are also called multiple flame envelope burners. Note that depending on the
furnace design, the combustion products from various burners interact with
each other after they leave the combustion zone. The wall-fired systems can
be positioned horizontally or vertically. In horizontal wall-fired systems, the
Steam Generators: Fire Side 339

burners can be positioned on one wall (Figure 4.22) or two opposite walls. In
the vertical firing systems, also known as arch firing or downshot, the flame
enters the furnace vertically. This firing method is complicated and expen-
sive and is not used except for very special fuels, such as hard-to-burn fuels.
Tangential combustion systems will be covered in Section 4.6.4.4.
Pulverized coal burners can be grouped into the pre-NOx restriction era
designs and low NOx designs. Since NOx generation plays a very important
role in the design of burners, a brief introduction to NOx production will be
presented here.

4.6.4.1 NOx Production
NOx is the generalized name for nitric oxide (NO) and nitrogen dioxide
(NO2), which are major air polluters (for more discussion on NOx emissions
and their environmental impacts refer to Chapter 5). They are generated
from the chemical reaction of nitrogen and oxygen. Depending on the source
of nitrogen, there are two types of NOx: thermal NOx and fuel NOx. While air
nitrogen and oxygen do not react at low temperatures, at high temperatures
they can react. The produced nitrogen oxides in this case are referred to as
thermal NOx. Alternatively, if the fuel contains nitrogen in the compound
forms, they can react with oxygen during the combustion process to generate
NOx, which is called fuel NOx.
Coal typically contains 0.5%–2% nitrogen in both volatile matters and
solid forms. The nitrogen in volatile matters is nitrogen compounds, such as
hydrogen cyanide (HCN) and ammonia (NH3), which are relatively unstable.
In fuel-rich conditions, the nitrogen from these compounds can be reduced
to nitrogen atoms (N2) but they form NOx under air-rich environments.
The portion of fuel NOx that comes from nitrogen compounds in volatile
matters is typically higher than that of the nitrogen in the solid phase due
to the lower conversion rate of nitrogen to NOx in char (carbon). Also, the
combustion of char mostly occurs late in the combustion process where most
oxygen in the air is consumed and less oxygen is available for NOx formation.
The objective of any burner is to combust the fuel in the most economi-
cal manner. In the absence of environmental constraints, this means mix-
ing the fuel and air as uniform as possible and then combusting them at
the highest temperature possible. This design philosophy is to achieve the
highest combustion rate for a given volume of the furnace. While this design
can eliminate or minimize the production of CO and unburned carbon, the
NOx production level is typically unacceptable by modern standards and
regulations.
While the details of pulverized coal burner design depend on coal proper-
ties, pulverized coal characteristics, and combustion conditions, the level of
permissible NOx production is critical in their design. So the design of these
burners can be divided to pre- and post-NOx restriction era designs (roughly
before and after 1970, respectively).
340 Power Plant Engineering

4.6.4.2 Pre-NOx Restriction Era Pulverized Coal Burners

In early burners, known as circular burners, the mixture of pulverized
coal and primary air entered the burners axially at the center of the burner
through a nozzle. To better mix the fuel and primary air before leaving the
nozzle, some sort of swirl generator, such as an impeller (called coal impel-
ler), was installed in the tip of the nozzle to induce mixing. The secondary
air was admitted from the windbox through tangential register doors (vanes)
(Figure 4.23). These interlinked adjustable vanes built into the windbox had
two main functions, to control the secondary air flow rate and to induce rota-
tion to the secondary air flow so it can properly mix with the coal and primary
air mixture out of the nozzle. This induced swirl was a critical parameter
for the stability of the flame and the shape of the flame envelop. Too much
or too little swirl could hurt the combustion process. In this design, these
two functions could not be controlled independently. It turned out that these
two functions are not always complementary. To increase the air flow rate,
the register door should further open, which reduced the imparted swirl.
Despite these problems, this design was used for many decades with wide
range of capacities, between 15 and 90 MW thermal load, not just for pulver-
ized coal but for natural gas and liquid fuels too. In some designs, two or
three of these burners integrated to a single assembly.

Fuel (pulverized coal)

+ primary air Fuel (coal)
nazzle

Windbox Impeller

Lighter
Air rgister

Waterwalls

FIGURE 4.23
Schematic of a circular burner.
Steam Generators: Fire Side 341

Windbox Spin vanes

Pulverized caol
+ Primary air
SA

SA Flame

Sliding Secondry Spin vanes

air damper air

Windbox Furnace

FIGURE 4.24
Schematic of S-type burners with sliding disks and adjustable spin vanes.

To address the problem of the dependency of the secondary air flow rate
and its swirl, in later designs (called S-type burners), these two parameters
were controlled by two different components. The air flow rate was controlled
by sliding disks (air dampers) and the swirl was created and controlled by
adjustable spin vanes (Figure 4.24).
The problem with all these designs was their high NOx production. This
level of NOx emission could not meet the regulatory limits after the early
1970s. No power plant in the U.S. is using these burners nowadays.

4.6.4.3 Low NOx Burners

There are several methods to reduce NOx emissions in the combustion prod-
ucts, but avoiding their production during combustion is the least costly
method. Most of the NOx produced during coal combustion comes from
fuel (fuel NOx rather than thermal NOx). For pulverized coal combustion,
typically about three-quarters of the total NOx production can be fuel NOx.
As noted earlier, most of fuel NOx comes from nitrogen in volatile matters.
It was also noted that while a fuel-rich environment promotes the formation
of N2, an air-rich environment promotes the formation of NOx from nitrogen
compounds in volatile matters. So if the temperature and available oxygen
is controlled during the devolatilization process, the NOx production can be
significantly reduced. Note that this is only true for coal with high volatile
matters. For low volatile matter coal, other NOx reduction techniques should
be employed.
There are three main methods for NOx reduction in the combustion pro-
cess. These three methods will be briefly introduced here and elaborated later
in this section. In the first method, called dual register burners, while the
entire air is introduced to the burner, the core of the flame where the major-
ity of the devolatilization process takes place has less than the stoichiometric
air. The rest of the air is added to the flame after the initial combustion stage
342 Power Plant Engineering

at the center of the flame. The second method is called air staging where
only some of the total air is provided in the burner and the rest of the air is
introduced somewhere else in the furnace. The last method is called fuel
staging or reburning where most of the fuel (but not all of it) is initially pro-
vided in the burner and is combusted in an air-rich environment and later
the remaining of the fuel is added to create a fuel-rich environment where
the previously produced NOx is decomposed by striping oxygen from it.

4.6.4.3.1 Dual Register Burners

As noted earlier, in the pre-NOx restriction era burners, the secondary air is
introduced to the burner through a register built into the windbox. In those
units, the fuel and air are premixed before leaving the burners for combus-
tion (Figure 4.25). In dual register burners, however, there are several layers
in the flame in regard to the oxygen concentration (Figure 4.25). The core
of the flame is fuel-rich so the crucial devolatilization process takes place
with less than the stoichiometric air and significantly reduces the initial NOx
production. When the fuel moves from the inner layers of the flame to the
downstream, the rest of the air gradually diffuses to the combustion zone to
complete the combustion process. The concentration of oxygen increases fur-
ther away from the core of the flame. To achieve this distribution of oxygen,
the air is admitted through two registers separately (Figure 4.26). The flow

Secondary air Mixing zone

Flame

Fuel +Primary air

Secondary air

Flame

Fuel +Primary air

FIGURE 4.25
Premixed flame versus diffused flame.
Steam Generators: Fire Side 343

Windbox
Flame
Sliding air dampers
Adjustable Outer air
inner Inner air
spin
vanes
a b c Furnace

Pulverized Outer air

Sliding air
caol+ Inner air
dampers Adjustable
Primary
air outer
spin
Windbox vanes

FIGURE 4.26
Schematic of a dual register burners. (a) Initial combustion (devolatilization with lean oxygen),
(b) transition zone, (c) burnout zone.

of the inlet air in these registers are controlled independently. The register
that provides the air for the fuel-rich core imparts high swirl to the air to cre-
ate a stable flame in the core. The register that provides the air for the outer
combustion zone imparts moderate swirl to allow sufficient time for the mix-
ing of the air and completion of the combustion. These swirls are imparted
by series of fixed, manually controlled, and automatically controlled vanes.
They are to provide the minimum swirl needed, the permanent adjustment
needed during the commissioning, and the variation needed during the
operation, respectively.
In more advanced designs, a transition zone is also created between inner
and outer combustion zones (Figure 4.26). These designs can reduce the NOx
production up to 80% compared to that of uncontrolled burners.
In this method, the peak flame temperature also reduces, which can
help to reduce the thermal NOx production. It should be noted that since in
the core of the flame the entire air is not introduced, some fuel will remain
unburned in the form of either CO or unburned carbon/hydrocarbon. This
can cause an increase in CO and unburned carbon emissions if the system
is not properly designed. One consequence of this design is a larger fur-
nace requirement so sufficient time is provided to burnout the entire fuel.
The larger furnace also increases the waterwall tube surfaces which can
reduce the temperature of the combustion zone and can further reduce the
thermal NOx production. Typically, computational fluid dynamic (CFD)
models are used to achieve an optimum design and minimum unburned
fuel. Another approach to reducing the problem of unburned fuel is to have
finer pulverized coal, which helps to burn the fuel faster and to reduce the
required residence time. This method is also used in other NOx reduction
technologies.
344 Power Plant Engineering

In these burners, the components that are exposed to fire are typically
manufactured from high-quality stainless steel. Also, critical components
are equipped with thermocouples to monitor their operating temperatures.
Finally, this burner design can be fueled with gaseous and liquid fuels as the
primary fuel or in the dual fuel systems.
Note that in all these burners there should be a clearance between the
burners, walls, and floor. This minimum spacing is to make sure the com-
plete combustion process takes place and to minimize the interaction
between flames from different burners. Also, the flame impingement on the
wall tubes can increase the tube metal temperature to an unacceptable level
and may result in tube fouling. These clearances are to avoid these nega-
tive impacts. Moreover, at part load operations, a selection of burners can
be used to provide the required fire rate and to control the temperature of
the produced superheated steam. Firing the burners located at higher eleva-
tions in the furnace provides more radiative heat transfer to the superheater,
which in turn increases the temperature of the produced steam (more on this
topic later).

4.6.4.3.2 Air Staging or Overfire Air (OFA)

In this method like the previous one, the entire air is not provided to the
flame at the initial stages of the combustion process. But unlike the previous
method where the entire air is provided to the burner, in this method, only
a portion of the total air is provided to the burner and the rest is added
somewhere else in the furnace. In both cases, the outcome is that initially,
during the devolatilization process, less than required air is provided. The
initial air should be sufficient so the combustion temperature can reach the
temperature needed for volatile vaporization but not enough for NOx gen-
eration. Later the balance of air is introduced to complete the combustion
process and to maintain high efficiency. The reduction in NOx production
depends on how much of the air is diverted from the burners. The removed
air from the burner could be a small percentage of the total air in which case
the combustion in the burners could be with slight excess air or under slight
air deficiency. In some designs, there is much deeper staging where a quar-
ter or more of the entire air is removed from the burners. In all designs, the
remaining air is added to the furnace in the NOx ports as overfire air (OFA).
This air may be provided either through the windbox or by dedicated ducts.
The NOx ports provide OFA through the openings similar to the openings for
the burners (Figure 4.22).
Similar to the previous method, the air staging may increase unburned
fuel in the combustion products and this problem needs to be carefully con-
sidered in the furnace design. Some parameters that can impact this problem
are the number, size, location, and distribution of NOx ports. These param-
eters may have conflicting impacts on the NOx and unburned carbon pro-
duction. For instance, in terms of reduction in NOx production, the farther
the NOx ports are from the main combustion zone the better, while for the
Steam Generators: Fire Side 345

unburned fuel problem, the NOx ports closer to the combustion zone are
more beneficial. Naturally, in these cases, there should be a compromised
design to achieve optimum conditions. Also, as noted earlier, the finer pul-
verized coal can help to address the problem of unburned fuel.
In order to increase the effectiveness of NOx reduction, the first and second
methods may be combined in a single furnace. The air staging NOx reduc-
tion method can be integrated into all types of coal combustion systems,
including mechanical stokers, cyclones (refer to Section 4.6.4.5), wall-fired
pulverized burners, and other methods that will be presented in the coming
sections.

4.6.4.3.3 Fuel Staging or Reburning

In this method for NOx reduction, NOx is destroyed, i.e., decomposed, after it
is formed in the main combustion zone. First, most of the fuel (but not all) is
combusted in the burner with some excess air (similar to uncontrolled burn-
ers). Obviously the combustion products will contain a high concentration of
NOx. Then, the balance of the fuel with a small amount of air is introduced
to the flow in a way that the combustion of the newly presented fuel is under
less than stoichiometric air. In this reducing environment (because of the
lack of oxygen), the fuel combustion process can strip NOx from its oxygen
to leave N2. Finally, the balance of air is introduced to complete the combus-
tion process. While the NOx removal efficiency of this method is comparable
to the previous two methods, it is not typically as cost effective.

4.6.4.4 Corner-Fired or Tangential Burners

Corner-fired or tangential burners are a coal combustion technology that
uses the furnace to burn pulverized coal in a single flame envelope and has
been utilized since the early days of pulverized coal combustion systems. In
corner-fired burners, a mixture of pulverized coal and primary air along
with secondary air are injected horizontally from four corners of the fur-
nace. In some designs, there are four more burners in the middle of the fur-
nace walls adding up to eight burners in total. The jets from burners are
slightly diverted off diagonals (Figure 4.27a) to impart rotation in flows.
The flames from the burners intertwine to create a single flame envelope
that fills the furnace. The turbulence generated by the whirling effect creates
intense combustion at a relatively uniform temperature since there is no con-
centrated combustion in the burners.
The secondary air is admitted to the burners from the windbox (Figure 4.27b).
The burners are connected to windbox by dampers. The flow rate of the sec-
ondary air is controlled by these dampers. While the dampers at the same
height of the furnace are controlled uniformly to avoid imbalance in the jets,
great accuracy in the uniform distribution of fuel and air among the burners is
not required. For the same reason, each pulverizer feeds all burners at a single
height of the furnace.
346 Power Plant Engineering

The fuel nozzles provide the mixture of pulverized coal, primary air, and
a portion of secondary air. Some designs may have multiple nozzles for vari-
ous fuels (even including municipal solid wastes). The fuel nozzles and the
secondary air (sometimes called the auxiliary air) are positioned alterna-
tively in the corner burners, one after another (Figure 4.27b).

Secondary air
damper

Windbox

Fuel nozzle
(a)

Overfire air
nozzles

Windbox

Fuel
nozzles
Secondary air
dampers

Secondary air
nozzles

(b)

FIGURE 4.27
Schematic of a corner-fired or tangential burner. (a) Top view of a furnace, (b) a corner burner.
Steam Generators: Fire Side 347

In the previous chapter, we discussed about the mechanisms to control

the superheated steam temperature leaving the steam generator (after both
superheaters and reheaters) toward the steam turbine. Here another way to
achieve this objective will be explained. Since the early 1940s, the corner-fir-
ing systems have been equipped with tilting air and fuel nozzles. This capa-
bility can help to move the flame vertically along the height of the furnace
(Figure 4.28). By raising or lowering the flame, the heat-transfer pattern
in the furnace changes, which in turn changes the furnace exit-gas tem-
perature. By controlling the furnace exit-gas temperature, which is the super-
heater inlet gas temperature, the temperature of the outlet superheated steam
can be controlled. This control mechanism can be used to cope with the tem-
perature variations due to load change, particularly at lower loads, and the
temperature variations due to change in operational conditions. For example,
when the slag and ash deposit on the walls of the furnace increases, the heat
transfer to the waterwall tubes reduces. This will increase the furnace exit-
gas temperature, which will increase the superheated steam temperature.
To compensate for this effect, the nozzles can be tilted downward to allow
more residence time for the combustion products in the furnace and more
heat transfer to the waterwall tubes. Also, the lower portion of the furnace
has more exposure to the flame. This overall increase of heat transfer in the
furnace will balance the furnace exit-gas temperature and the temperature
of the superheated steam. The opposite can happen after the furnace walls
are cleaned by the sootblowers (Section 4.6.4.7). A similar analysis can be pre-
sented for the insulating effects of water deposits inside the waterwall tubes.

4.6.4.4.1 Low NOx Tangential Firing

First, it should be noted that the nature of combustion in the corner-firing
systems makes them an inherently low NOx generating combustion technol-
ogy. This is partly because while there is great global turbulence in the fur-
nace, there is moderate local mixing between fuel and air. This slows down
the combustion rate in the initial stages. For further reduction in the NOx
production, the air staging is the dominant technology. The air staging can

FIGURE 4.28
Schematic of a tilting corner-fired or tangential burner.
348 Power Plant Engineering

Fuel + primary air

Secondary air

FIGURE 4.29
Schematic of an offset air system or concentric firing system to reduce NOx production in
corner-firing systems.

be done in both local and global levels. In the local air staging (sometimes
called closed-coupled OFA), the air nozzles (NOx ports) to provide the bal-
ance of air are right after one or several coal nozzles. In this case, the air for
the OFA is provided through the windbox. In the global air staging, the NOx
ports are located downstream of the fuel and air nozzles, up to a few meters
above the nozzles (Figure 4.27). In this case, the air can be provided by the
windbox or a separate duct.
Another method to reduce NOx production is to slightly offset the pro-
jection of the secondary air jets from that of the fuel jets (Figure 4.29). This
delays the mixing of the secondary air and fuel and the introduction of air to
the flame envelop, which can reduce the air during the crucial initial stages
of the combustion process. This is called the offset air system or sometimes
the concentric firing system.

4.6.4.5 Cyclone-Furnace Firing
Cyclone furnaces were developed in the 1940s to accommodate low-grade coal
that could not be adequately burned in pulverized furnaces. The main problem
with these coal types was their low ash melting temperature which resulted
in molten fly ash that could cause slagging in heat-transfer surfaces. Cyclone
furnaces actually take advantage of this low ash melting temperature to estab-
lish a layer of molten slag in the furnace which reduces the fly ash to about a
quarter of that in pulverized coal furnaces. Since the size of coal particles are
much larger than that in pulverized coal furnaces, the cost of the coal prepara-
tion process, both the capital and operational costs, reduces significantly.
Steam Generators: Fire Side 349

A cyclone furnace is made of a cylinder with the diameter of typically

between 2 and 3 m, Figure 4.30 (6–10 ft). One or several (up to few tens of units)
of these furnaces are horizontally installed on the single side or opposite sides
of the vertical walls of the main furnace of the steam generator. Their heat
input capacity can be between 45 and 125 MW (150–425 × 106 Btu/h) per unit.
The inlet coal with the primary air is tangentially fed to the cylinder creat-
ing a swirling motion. The secondary air is also admitted tangentially at the
top of the cylinder at the same rotational direction to create further swirling
motion. This air induces strong turbulence to the combustion zone. A small
quantity of tertiary air is admitted at the center of the cylinder to control the
location of the main fire along the cylinder. The volatile gases and fine coal

Waterwall
tubes

Secondary air
Coal
Water-cooled
Primary air
throat
Primary
air
Toward main
Fuel furnace

Tertiary air
Slag tap
opening

Molten slag layer Slag

FIGURE 4.30
Schematic of a cyclone furnace.
350 Power Plant Engineering

particles are burned intensely with this turbulent air flow. The high tempera-
ture of the combustion melts the ash particles. The molten slag is accumu-
lated on the inner wall of the cylinder due to the centrifugal force. The larger
coal particles are drawn into this molten slag layer and are intensely burned
with the flow of turbulent air over the layer. To sustain the layer, the coal
must have a minimum percentage of ashes. The coal preparation process can
be bin or direct-fired systems, with or without pre-drying.
The combustion product gases enter the main steam generator furnace
through the throat to transfer heat to the waterwalls. The trapped slag flows
out of the cyclone through the slag tap opening down the walls of the main
furnace. The slag is quenched and solidified in a tank full of water under the
floor of the main furnace. The accumulated solid slag is periodically broken
and removed from the tank. This slag can be used for other applications,
such as building and road construction materials.
In this method, about three-quarters of the ash is converted to slag and the
rest leaves the system as fly ash. In cyclone furnaces, the main furnace size
is smaller compared to that in other types of furnaces because all combus-
tion takes place within the cylinder. Since there is less fly ash, there are less
erosion and fouling in heat-transfer surfaces. For the same reason, the size of
dust removal precipitators or filter houses significantly decreases.
The cylinder in cyclone furnaces is made of water-cooled tubes protected
by refractory linings. Depending on where and how the crushed coal and
primary air, secondary air, and tertiary air are admitted to the furnace, there
are several types of cyclone furnaces, including scroll, vortex, and radial fur-
naces, the latter being the most common one.
This type of furnaces not only can burn a wide variety of coal types, but
it can also be operated by various biomass sources, industrial and munici-
pal wastes, and liquid or gaseous fossil fuels. However, the fuel should
have a minimum amount of volatile and ash contents within certain ranges.
Co-firing and fuel blending are also possible. The recommended size of coal
particles depends on the type of coal.
Cyclone furnaces come with some disadvantages. The first and probably the
most important problem, at least for older designs, is high NOx emissions due
to high operating temperatures. To address this problem, low NOx cyclone fur-
naces have been developed using air staging technology. While the percentage
of excess air in this type of furnace is relatively low (about 10%–15%), the pres-
sure drop in the turbulent flow in the cylinder is high. This requires a high
pressure forced draft fans, which in turn increases the power consumption of
the unit. Also, while the furnace has a good performance at partial loads of up
to about 50%, below this the fluidity of the molten slag cannot be maintained.

4.6.4.6 Furnaces
A furnace is a large unobstructed volume typically enclosed with water-cooled
walls. The shape and volume of a furnace are determined to fulfill five main
functions. The furnace volume should be large enough to provide a sufficient
Steam Generators: Fire Side 351

residence (retention) time for the mixture of fuel and air so that the complete
combustion of fuel can take place. Otherwise, some combustion may occur
among tubes downstream of the furnace (called secondary combustion).
Also, the maximum flame temperature in the furnace can reach over 1650°C
(about 3000°F). The high furnace exit-gas temperature (FEGT) can create
problems in the convection pass of a steam generator for two reasons. First,
an unacceptably high FEGT can increase the tube metal temperature to a level
that can overheat the tubes and can result in tube failure. This high tempera-
ture can also soften the ash, particularly for fuels with low ash-softening tem-
peratures. This can result in fouling and slagging of heat-transfer surfaces.
This will not only reduce the heat transfer to the flows inside the tubes but can
also erode the components downstream of the furnace and increase the pres-
sure drop of the flue gas. More substantial cleaning equipment is necessary
to reduce these problems. Thus, the second function of the furnace is to cool
the flue gas to below the lowest ash-softening t emperature of all possible
fuels before sending the gas to the convection pass. Moreover, to minimize the
interaction between flames, there should be sufficient spacing between the
burners (not applicable to stoker and tangential firing furnaces). Similarly to
avoid excessive flame impingement on the furnace enclosing, which can cause
tube overheating and fouling, a minimum clearance between burners and
walls (and floors) should be provided. The furnace should be sufficiently large
to accommodate all these required clearances. Finally, as discussed before,
the furnace is typically enclosed with gas-tight welded membrane waterwall
tubes. Inside these tubes boiling water (or supercritical pressure water with no
boiling process) flows, in which heat is absorbed from the furnace via mainly
radiation. Depending on the pressure of the water/steam, all or a significant
portion of the evaporator surface area is provided by these waterwall tubes
and the furnace should be large enough to accommodate all these tubes.
The minimum volume required to meet each of these functions is different
for various steam generators and they may not necessarily match each other.
In many steam generators, controlling the FEGT is the determining factor for
differing reasons. While in coal and other solid fuel steam generators this is to
reduce ash fouling, in natural gas steam generators it is to protect convective
heat-transfer surfaces from overheating. However, the furnace volume set for
the FEGT control can result in more than needed or less than needed evapo-
rator surfaces depending on the pressure of the steam (refer to Example 3.2
where the percentage of heat transfer required in each component of a steam
generator was determined compared to the total heat transfer).
The furnace size has a significant impact on the overall capital cost of a
steam generator because it also determines the size of the boiler building and
its metal structure. The amount of ash and its properties are also very impor-
tant factors in determining the size of the furnace. Everything else being
equal, the size of the furnace can be more than double from a favorable coal
type to the worst coal type.
For the design of a furnace, the volumetric rate of heat input is not an impor-
tant design parameter; rather, the heat input per plan area is the controlling
352 Power Plant Engineering

design parameter. The heat input per plan area is defined as the rate of heat
released in the combustion process (which is equal to the mass flow rate of
fuel multiplied by the heating value of the fuel if the combustion process is
assumed complete) divided by the horizontal cross-sectional area (plan area)
of the furnace. The heat input per plan area is also an important factor for
NOx control. The lower heat input per plan area results in a larger furnace
and lower NOx production. The heat input per plan area can range from 3.5
to 6.5 MW/m2 (about 1.2–2 × 106 Btu/h-ft2).

4.6.4.7 Sootblowers
Sootblowers are devices that use a high-speed flow of steam (saturated or
superheated), liquid water, or pressurized air to remove the ash accumulated
on steam generator surfaces. These systems are used to clean furnace walls,
convective heat-transfer surfaces in superheaters and reheaters, economizer,
air preheater, and selective reduction systems (the latter two systems will
be discussed later). Devices that use water and air as the cleaning medium
are sometimes called waterlances and airlances. The most common cleaning
medium is superheated steam due to its availability and minimal impacts
on the heat-transfer surfaces. Many sootblowers are equipped with a retract-
able tube, called lance tube, with nozzles at the tip and/or side. They are
installed on the steam generator walls. Whenever cleaning is needed, they
are extended into the steam generator to direct jets of the cleaning medium
on the target area. The lance tube may rotate or oscillate to enlarge the clean-
ing area. In some designs, water nozzles are installed on a steam generator
wall to clean the opposite wall. There are systems that use sound waves at
the frequency of about 75 Hz to dislodge ash deposits unavailable by other
cleaning systems, such as within closely spaced tubes of the economizer.
Sootblowers are equipped with a control system to detect when cleaning is
needed and to safely clean steam generator surfaces with minimum medium
consumption. Various sensors are used for this purpose: heat flux sensors to
detect heat-transfer reduction due to ash deposition, emissivity sensors to detect
highly reflective ash accumulation, and temperature measurement sensors to
monitor the flue gas temperature. The pressure drop in the heat-transfer banks
and power consumption in the fans can be the indications of ash deposition but
when they detect a problem, typically it is too late for sootblowers to be effective.

4.6.4.8 Ash Handling
The combustion of any type of fuel produces some ashes, some fuels more
than others. The portion of the ash produced during the combustion that is
carried by the flue gas can cause two major problems on downstream heat-
transfer surfaces: slagging and erosion.
The molten ash can be deposited on heat-transfer surfaces, which can
reduce the heat-transfer rate and can damage the surfaces. This ash behavior
Steam Generators: Fire Side 353

is called slagging. It can also block the gas flow and add extra weight and
mechanical load to the system. To reduce slagging, the furnace exit-gas tem-
perature (FEGT) is limited to an upper limit. There are several ways to regu-
late FEGT, including recirculating flue gas from the outlet of the air preheater
to the furnace. The problem with this method is high power consumption
and high maintenance of the fans needed for the recirculation.
The solid abrasive ash particles may erode heat-transfer surfaces. The magni-
tude of this problem depends on the amount of ash in the combustion products,
the abrasiveness of the ash, and the velocity of the flue gas flow. Among these
parameters, only the velocity of the flow can be controlled for a given type of
coal. This velocity is limited and the maximum velocity depends on the amount
and properties of the produced ash and can be roughly between 10 and 20 m/s.
There are two types of coal ash collection and removal systems: dry-ash
system and slag-tap system. The dry-ash collection system, also known as
the dry-bottom system, is typically employed in pulverized coal-burning
systems, particularly when coal with a high temperature melting point is
burned. In this system, about one-quarter of the produced ash is collected
at the bottom of the furnace while the rest is entrained by the flue gas as fly
ash. The fly ash is collected in the hopper after the economizer or in the par-
ticulate control system (refer to Chapter 5). If the collected ash in the hopper
or bottom of the furnace is in large pieces, they are crushed and then pneu-
matically transported to a silo where they are separated from air in a cyclone
and/or bag (fabric) filters to be transported from the power plant site.
The slag-tap system, also known as the wet-bottom system, can be imple-
mented in both pulverized coal and cyclone combustion systems. In this sys-
tem, the high temperature of combustion melts the ash particles, which are
then accumulated on the furnace surfaces and flows down to the bottom of
the furnace where it is quenched in a water tank (hopper). When the tank is
full, a gate at the bottom opens and the ash is emptied into a conveyor sys-
tem. The slag is grinded in a clinker grinder and is sent to a dewatering tank
where the ash particles are separated and removed from the site. This system
is not popular in modern power plants because of its high NOx production
due to the high-temperature combustion.
The operating conditions of the combustion process can be adjusted to
reduce ash production, including increasing the excess air and reducing the
load. Also, the proper usage of sootblowers can reduce the impact of ash col-
lection on heat-transfer surfaces.
The ash properties, particularly its potential for slogging, directly influence
the size of the furnace (both the plan area and the height). The high potential
for slagging requires a larger and taller furnace. The spacing of the convec-
tion passes should be sufficient to avoid slagging and bridging. The slagging
potential in turn depends on the average inlet temperature of the flue gas to the
pass. The higher the average inlet temperature of the flue gas, the more spac-
ing should be provided in the heat-transfer surfaces, particularly in the super-
heater surfaces because they are exposed to the highest flue gas temperature.
354 Power Plant Engineering

The collected ash as solid waste byproducts may have commercial values.
For example, they can be used to produce gypsum (used in the production of
wallboards) or construction materials. These applications can reduce the cost
associated with landfilling of wastes. The design and specifications of ash han-
dling systems are heavily impacted by the requirements of these byproducts.

4.6.4.9 Excess Air
We know that sufficient excess air should be provided to have a complete
combustion process. The excess air can be as low as 5% for gaseous and liquid
fuel systems or as high as 60% for some stoker burning systems. High excess
air improves the combustion process, reduces unburned fuel, reduces CO
formation, and reduces slagging. However, more than the bare minimum
excess air will reduce the efficiency of the steam generator because the por-
tion of the thermal energy that is used to heat the excess air will be partly
wasted in the stack without contributing to raising steam. Obviously less
excess air than required will result in incomplete combustion and/or longer
residence time. However, sometimes, particularly during part load opera-
tions of steam generators, the level of excess air is used as a means to control
the temperature of the generated superheated steam.

4.6.4.10 Ignition Systems
We know that in order to start the combustion process, some initial thermal
energy (ignition energy) is required. During the steady-state operation of a steam
generator, this initial energy is provided by already existing fire in the furnace.
However, during start-up when the combustion has not started and when the
flame is unstable, for example, during shutdown and at very low loads, an exter-
nal source of heat is required. The ignition system’s functions are to initially light
the fuel and stabilize the flame when it cannot sustain itself.
The operation of an ignition system typically involves two main steps. In
the first step, high energy electrical spark is used to fire a limited flow of an
easy-to-combust fuel. The flow rate of the initial fuel should be small due
to the limited energy that the electrical spark can provide. When the initial
flame is stable and can sustain itself, the produced thermal energy can be
used to ignite the main fuel. If the main fuel is natural gas or most liquid
fuels, a small portion of the main fuel is used as the initial fuel. In some cases,
the entire process may take a few seconds. For hard-to-burn fuels, such as
coal, biomass, or some heavy liquid fuels, an intermediate fuel other than the
main fuel, such as natural gas, propane, or some light liquid fuels, is used for
ignition. For these fuels, it may take a few hours before the main fuel com-
bustion can sustain itself. The required energy of the initial fuel can be more
than 10% of the main fuel energy at full load steady-state operation.
Ignition systems are typically equipped with a flame safety system to
ensure the stability of the flame. In these systems, electronic flame scanners
Steam Generators: Fire Side 355

continuously monitor the flame in the furnace by detecting flame visible

light to verify the presence and stability of the flame in the furnace.

4.6.4.11 Fluidized-Bed Combustion
In fluidized-bed systems, an upward gas flow passes through a bed of parti-
cles at a high enough velocity to separate particles and keep them suspended.
At these conditions, the mixture of the gas and particles demonstrates fluid-
like behavior, hence the name fluidized bed. The main characteristic of this
process is the extreme turbulence induced in the mixture that results in the
very high rate of mixing and reactions among the reactants in the bed. For
the combustion process, the gas is air and the particles are solid fuel pieces
and noncombustible particles.
The concept of fluidized-bed systems first appeared in the literature in the
late 19th century. The chemical industry has used fluidized-bed systems in
non-combustion applications to improve the reaction rate. The research and
development on the application of fluidized-bed systems in utility steam
generators started in the 1950s. The first fluidized-bed boiler was installed in
a 30 MW unit in 1975 in West Virginia.
Fluidized-bed combustion systems come with many advantages. An
inherent characteristic of the system results from intimate mixing between
fuel and air and a very high rate of heat and mass transfers. This increases
the rate of the combustion reaction and reduces the time required for the
complete combustion, which in turn can reduce the size of the steam genera-
tor. These units are very flexible on the type of fuel they can burn. While they
are more suitable for solid fuels, they can easily handle liquid and gaseous
fuels as well. They can combust solid fuels that other combustion systems
find difficult to burn. These systems also have an attribute that other com-
bustion systems find hard to compete, particularly for fuels with high sulfur
content. They can absorb sulfur oxides during the combustion process elimi-
nating an after-combustion scrubbing system (these systems will be covered
in Chapter 5). They also operate at low temperatures, in the range of mid-
700s to mid-900s °C (about 1400°F and 1750°F), which reduces NOx produc-
tion (the reason for this low temperature operation will be discussed later).
This combination of fuel flexibility and low emissions make these systems
very attractive.
In some respects, fluidized-bed combustion systems are somewhere
between stoker burners and pulverized coal combustion systems. While
the combustion process takes place when the mass of fuel pieces form a bed
(similar to stokers), the process occurs when the fuel particles are suspended
on the air flow (similar to pulverized coal combustion systems). As a conse-
quence, the fuel size and the air velocity in fluidized-bed combustion systems
are somewhere between those of stokers and pulverized coal combustion sys-
tems. However, the combustion temperature is significantly lower in fluid-
ized beds. These characteristics of fluidized-bed combustion systems provide
356 Power Plant Engineering

them with unique attributes. The intimate contact between the fuel particles
and the air flow as well as a long fuel residence time provide a high-efficiency
combustion process at low temperatures. The presence of the bulk of fuel and
bed materials at the combustion temperature creates a mass with high ther-
mal inertia that enables the system to burn almost all fuels regardless of their
composition and properties, including low-heating value fuels, fuels with
very high ash and moisture contents, low volatile content fuels, waste fuels,
and biomass. The low operating temperature (lower than the ash-softening
temperature) helps the system to avoid the slagging problem and the fouling
of the downstream heat-transfer surfaces by soft ash carryover. This indepen-
dence from fuel ash properties further helps the fuel flexibility of the system.
The low operating temperature also allows the construction of the system
from inexpensive metals, which reduces the construction costs.
Fluidized-bed combustion systems are made of a container (the furnace)
that encloses the bed. The walls of the furnace are covered with water-cooled
tubes. The solid fuel pieces are combusted while they are held in suspen-
sion along with noncombustible particles by the high-velocity air flow. The
noncombustible bed materials can be composed of fuel ash, sulfur sorbent,
products of sulfur oxide removal processes (covered next), and/or inert
material such as sand. A certain amount of bed materials is needed to pro-
vide a sufficient bed temperature for the system. If more than the required
bed materials are accumulated in the bed, the excess material is drained. To
reduce the sensible thermal energy loss accompanying the drained material,
which can be significant for fuels with high ash contents, sometimes a heat
exchanger is used to recover the thermal energy from the material before it
is discharged. If not enough bed materials are available, for example for low
ash fuels like biomass, inert external material, such as properly sized sand,
is added to the bed.
The upward air flow is evenly distributed across the bed through a grid
of air distributers. Due to the high velocity of air, a significant portion of ash
and unburned fuel is carried away by the combustion products. These parti-
cles are collected in the separators after economizers and are returned to the
bed. This recirculation improves the combustion efficiency by reducing the
unburned fuel losses and by increasing the fuel residence time. It also helps
to maintain the bed inventory. Note that the water side of fluidized-bed steam
generators, similar to other steam generators, can be subcritical or supercriti-
cal, drum-type or once-through, and natural circulation or pumped circula-
tion. The design considerations of the superheaters, reheaters, economizer,
and air preheater are similar to other combustion systems (as discussed in
the previous chapter).

4.6.4.11.1 Chemical Processes
As noted earlier, fluidized-bed combustion systems are able to operate with
very low sulfur oxide and NOx emissions. In this section, these aspects of flu-
idized-bed combustion systems will be discussed. Fluidized-bed combustion
Steam Generators: Fire Side 357

systems uniquely suit for sulfur oxide removal. While other combustion sys-
tems can only reduce sulfur oxide emissions by using low sulfur fuels, desul-
furizing the fuel before combustion, or scrubbing them from combustion
products, fluidized-bed combustion systems are capable of removing them
within the furnace during the combustion process. For this purpose, when a
high sulfur fuel is burned in the system, some sorbent typically limestone is
added to the bed. Limestone is a sedimentary rock typically formed by the
remains of marine organisms (more on this topic in Chapter 5). It is mainly
composed of calcium carbonate (CaCO3). Limestone can be delivered to the
plant ready to be used or can be processed in the site. After limestone is
added to the bed and heated by the bed materials, it goes through the follow-
ing calcination process where lime (CaO) and carbon dioxide are produced:

CaCO 3 → CaO + CO 2 ( endothermic ) (4.67)

Then, lime reacts with sulfur oxide and excess air to produce calcium sulfate
through the following exothermic sulfation process:

SO 2 + CaO + 1/ 2 O 2 → CaSO 4 ( exothermic ) (4.68)

The produced calcium sulfate can be discarded or regenerated for further

use. Theoretically, one mole of limestone is needed for each mole of sulfur to
be removed. In practice, depending on the limestone composition and size,
the sulfur content of the fuel, and the desired percentage of sulfur removal,
more limestone is needed. Depending on the ratio of Ca to S, the combination
of the above two reactions can provide net heat gain or loss to the bed. The
rates of the above reactions are optimum at the temperatures of m id-800°C
(mid-1500°F). At much lower temperatures, the first reaction cannot proceed
to completion and at much higher temperatures the second reaction can be
reversed. Both of these effects are undesirable. The former increases lime-
stone consumption and the latter reduces the effectiveness of sulfur oxide
removal. In practice, the fluidized-bed temperature is typically at the range of
mid-700s°C to mid-900s°C (about 1400°F and 1750°F). This requires effective
temperature control throughout the entire bed. The removal of a significant
portion of sulfur oxides in the furnace and the low sulfur oxide concentra-
tion in the combustion products has the added benefit of markedly reducing
the problem of acid corrosion in the downstream equipment. This enables
designers to reduce the exhaust temperature of the flue gas, which improves
the efficiency of the cycle. Limestone can also remove some other undesirable
fuel contents such as some heavy metals.
The low operating temperature of the bed also reduces thermal NOx pro-
duction. However, it should be noted that limestone can act as a catalyst for
nitrogen oxide production from the reaction of oxygen and nitrogen, so the
consumption of limestone should be kept as low as possible. To reduce the fuel
NOx generation, air staging and using overfire air have been also employed.
358 Power Plant Engineering

4.6.4.11.2 Impact of Velocity
The most important characteristic of fluidized-bed combustion systems is
burning the solid fuel particles while suspended in a high-velocity air flow.
In this section, we will evaluate the interaction between the air flow and the
fuel particles that will lead us to two very distinct types of fluidized combus-
tion systems.
When the upward air flow passes through the bed, it exerts drag force on
the fuel particles. The magnitude of this force depends on the air velocity
and the properties of air, including air density and viscosity, and the size
and shape of the particles. At low air velocities, this force is not sufficient to
separate the solid fuel particles and they remain in contact. In this case, the
air flow passes through voids between the fuel particles and the bed is called
a fixed bed (Figure 4.31b). With the increase of the air velocity, the magnitude
of the drag force increases. When the force exerted on a particle is equal to
its weight, the particle will be suspended. This is called the minimum flu-
idization conditions and the air velocity is called the minimum fluidization
velocity (Figure 4.31c). While the particles can move relatively freely in this
condition, they have a limited movement space and there is a little change
in the bed volume. With further increase in the air velocity, the bed will be
more turbulent. Also, air bubbles will be created in the bed and the bed vol-
ume will increase (Figure 4.31d). This is called the bubbling fluidized-bed
(BFB). With even higher air velocity, the size of bubbles and the frequency

Flue gas
Bed

Air
distrbutor Air Air

Air plenum
(a) Colapsed bed (b) Fixed bed (c) Minimum
fluidization

Flue gas
+ fuel particles

Air Air

(d) Bubbling fluidized (e) Circulating fluidized

bed bed

FIGURE 4.31
Various stages of fluidization with increase in air velocity.
Steam Generators: Fire Side 359

of their creation increase. At very high air velocities, the air flow carries the
particles out of the bed (Figure 4.31e). This is called the circulating fluidized-
bed (CFB). Accordingly, depending primarily on the air velocity and the fuel
size, there are two types of fluidized-bed combustion systems: bubbling
fluidized-bed and circulating fluidized-bed.

4.6.4.11.3 Bubbling Fluidized-Bed Combustion Systems

In bubbling fluidized-bed combustion systems, the fuel particles mostly
remain at the bottom of the furnace at the typical temperature of 850°C–900°C
(1550°F–1650°F). They operate with relatively low air velocity (lower than
about 3 m/s or about 10 ft/s) and relatively large fuel particles (as large
as 50 mm or 2 in for some systems). However, a small portion of the fuel
is entrained by the air flow, which is mostly captured and returned to the
bed by separation systems, typically cyclone separators after economizers,
before the flue gas is discharged to the environment (Figure 4.32). There is
also a clear boundary between the bed and the rest of the furnace with good
mixing within the bed. The space above the bed in the furnace is called the
freeboard. This space provides the needed volume for complete combustion.
Also, it is where the NOx control overfire air (OFA) is added to the flue gas
leaving the bed.
The commercial power plants using the bubbling fluidized-bed combus-
tion technology are typically limited to smaller capacity utility plants (less
than 100 MW capacities) and industrial steam generators. They are particu-
larly suitable for special fuels such as biomass and solid waste fuels. Per kW

Convective pass
Flue gas
to stack
Fuel + sorbent Cyclone
separator

Spreader Freeboard
(overbed)
Bed Tube bundle

Air distributor
Pneumatic fuel distributer
(underbed)
Air plenum
Air

Fuel + sorbent Excess bed materials

FIGURE 4.32
Schematic of a bubbling fluidized-bed combustion system (note that both underbed and over-
bed fuel and sorbent distribution systems are shown on a single bed).
360 Power Plant Engineering

basis, these systems are less expensive compared to circulating fluidized-bed

systems.
The bed depth is typically about 1 m (3 ft) in the expanded condition and
half of that in the collapsed condition (that is an expansion ratio of about 2).
The crushed fuel and limestone (if needed, e.g., for high sulfur content fuels)
can be injected into and spread across the bed either over the bed via fuel
spreaders (like stoker spreaders) or in the bottom of the bed through air-
conveyed fuels (Figure 4.32). The former is simpler and less sensitive to fuel
composition and can accept much larger fuel pieces but less effective in sul-
fur oxide removal since most sulfur oxides bypass the limestone in the bed.
Typically heat-transfer tubes, either water- or steam-cooled, are submerged
in the bed. These boiler tube bundles or superheaters not only improve the
thermal performance of the combustion systems but also help to control the
temperature of the bed within the proper limits for the optimum combustion
and sulfur removal processes as well as the minimal NOx production.
The air needed for fluidization and a portion of the combustion air is pro-
vided by a horizontal air distribution system. There are two types of distri-
bution systems for this purpose: open bottom and flat floor air distribution
systems. The open bottom system is made of a hopper and air ducts that are
connected to many bubble caps (Figure 4.33). The large array of bubble caps
act as the nozzles where air is uniformly distributed in the bed. Air distrib-
uters are designed to resist plugging and to have a minimal pressure drop.
The actual fluidized bed is formed right above the level where air leaves the
nozzles. Below that level, the hopper is filled with non-fluidized-bed mate-
rials. This type of the air distribution system is capable of easily removing
large pieces of noncombustible objects in the fuel.
In flat floor air distribution systems, the air is also distributed via the
bubble caps (Figure 4.34). The bottom of the furnace is made of horizontal
waterwall tubes through which air is provided to the bubble caps from the
windbox below the tubes. This system is suitable when the fuel contains no
or few large noncombustible objects.
Bubbling bed combustion system designers must pay particular attention
to the interaction between the air bubbles formed in the bed and the fuel
particles. The air bubbles can cause turbulence in the bed, which increases

Bed materials
Bubble cap
(fuel+ sorbent
+ noncombustible)

Bed materials
Air duct (noncombustible)

FIGURE 4.33
Schematic of an open bottom air distribution system.
Steam Generators: Fire Side 361

To water walls

Bubble caps

Windbox

FIGURE 4.34
Schematic of a flat floor air distribution system.

the interaction between the air and the fuel particles. However, if not prop-
erly designed, they can provide a path for the air to go through the bed with-
out participating in the combustion process. Similarly, they can limit the
interaction between the combustion products and the limestone particles,
reducing the effectiveness of sulfur oxide removal. This is a major challenge
for a proper design of bubbling fluidized-bed combustion systems. This
limitation is one of the reasons for the limited capacity (size) of bubbling
fluidized-bed combustion systems. A successful design should combine the
right air bubble and fuel particle properties to provide adequate mass trans-
fer between the air inside bubbles and the gases within the bed while the
bubbles pass through the bed.

4.6.4.11.4 Circulating Fluidized-Bed Combustion Systems

As noted earlier, in circulating fluidized-bed combustion systems, the flu-
idizing air velocity is much higher than that in the bubbling fluidized-bed
systems. The air velocity of greater than 3 m/s (about 10 ft/s), typically about
5 m/s (about 16 ft/s), is high enough that not only can hold the fuel particles
in suspension but can also entrain a significant portion of them into a close
loop. Therefore, in this type of bed, there is no specific region of the fur-
nace that can be referred to as the bed or the freeboard and the particles are
present in the entire furnace with varying concentrations. Obviously, there
is also no air bubbling effect. This bed-material circulation provides a very
high mixing rate between the reactants of the reactions within the bed. These
particles are captured by separators right after the furnace and returned to
the furnace before the combustion products are sent to the convective heat-
transfer surfaces. The recycled solid particles ensure that there is a sufficient
362 Power Plant Engineering

bed inventory in the furnace. The bed materials and fuel particles are finer
in these systems than in bubbling fluidized-bed systems. The circulating
fluidized-bed systems are also more sensitive to the bed-material sizes and
have more stringent bed particle size requirements. Many aspects of circulat-
ing and bubbling fluidized-bed combustion systems are similar, including
the operating temperature range, low thermal NOx production due to this
low operating temperature, air staging via OFA nozzles to reduce fuel NOx
production, using limestone for sulfur oxide removal, fuel and limestone
mechanical or pneumatic feeding systems, typically flat floor air distribution
system from windbox, and heat-transfer surfaces submerged in the bed. The
collection of entrained solid particles can be achieved by one or a combina-
tion of U-beams and cyclone separators. U-beam separators collect the par-
ticles from the flue gas flow by redirecting the gas and trapping the particles
at the exit of the furnace. Cyclone separators can be installed downstream of
the U-beam separators to remove the leftover particles or as the sole separa-
tion system. The U-beam separators can remove up to about 97% of the par-
ticles while the cyclones can collect above 99% of the particles.
Circulating fluidized-bed systems are the dominant technology for
fluidized-bed combustion systems because of their capability to be built at
large sizes and their capability to burn a wide variety of fuels. They have
been built and installed in utility steam generator in power plants with a
capacity of up to about 700 MW.
In all fluidized-bed combustion systems we discussed so far, the pressure
of the furnace was equal or closed to the atmospheric pressure. If the fur-
nace operates at elevated pressures, fluidized-bed combustion systems can
be integrated into a combined gas turbine and steam cycle power plants.
The pressurized fluidized-bed combustion systems will be briefly covered
in Chapter 10.

4.6.4.12 Burning of Municipal Solid Wastes

While this section primarily deals with solid wastes, the presented material
can be mostly applied to biomass resources as fuel as well. As discussed in
Section 4.5.7.2, the composition and as a result, the heat content of municipal
solid wastes (MSW) vary significantly with time. This variation in the heat
content can make the design and operation of the waste-to-energy plants
very challenging. The objectives of these steam generating plants are to com-
bust a certain mass of MSWs while generating sufficient heat to raise a certain
mass flow rate of steam. The parameter relating these two design objectives
is the heating value of the fuel. If the fuel heating value drops below the
average design heating value, the steam generator will burn the design mass
flow rate of wastes but will not be able to raise the design steam flow rate.
For heating values higher than the design waste heating value, the design
steam mass flow rate will be met but the mass flow rate of MSWs will be
less than the design value. The produced steam’s design conditions depend
Steam Generators: Fire Side 363

on the application. Steam generators for utility power production operate at

high temperatures and pressures. Steam generators for process and heating
applications are typically at much lower temperatures and pressures.
The waste-to-energy plants are divided to three main categories depend-
ing on the level of preparation required for the fuel. They are in the order of
popularity as follows: mass burning, refuse-derived fuels, and solid recov-
ered fuels.

4.6.4.12.1 Mass Refuse Burning Systems

Mass burning units require the least fuel preparation process. In many cases,
only large pieces like appliances are removed from delivered wastes. Solid
wastes are transported to the plant by trucks, sometimes the same trucks
that collected them (Figure 4.35). The arriving wastes are unloaded into a
refuse pit. The pit is typically equipped with overhead cranes. The cranes
use their grapples to remove large pieces of wastes. Also, the arriving wastes
typically are not homogenous and the cranes mix them to make them as
uniform as possible. The wastes are stored in the pit until it is needed for
combustion. At that time the cranes move them to the feed hopper. Then, the
fuel is mass-fed to the furnace by feeders, typically in the form of hydraulic
rams. They also control the flow rate of the fuel to the furnace. The combus-
tion system in the furnace is typically a vibrating (reciprocating) grate stoker
system. The fuel burns on the bed over a typically inclined grate. The pri-
mary air, which is typically a little over half of the total air, is provided below
the grate, which can also act as the cooling agent of the grate. However, some

Unloading
overhead crane

Receiving area
Steam
generator

Grate
Solid
waste pit

Ash pit

FIGURE 4.35
Schematic of a mass refuse burning system.
364 Power Plant Engineering

designs use water-cooled grates. The rest of the combustion air is injected
to the furnace through the overfire air ports. When the fuel contains a high
percentage of moisture, the primary air may be preheated to act as the fuel
drying agent or an auxiliary burner may be used. The ash and noncombus-
tible parts of the fuel are collected in the ash pit. They are removed by screw
or chain conveyors. The combustion remains may be reused as construction
materials or sent to landfills. The design of the furnace and the stoker burner
are very similar to coal stokers discussed in Section 4.6.2. One major differ-
ence is the very corrosive nature of the combustion process in the furnace.
This requires protection of the waterwall tubes in the lower portion of the
furnace using refractory, ceramic tiles, and/or specially fabricated double-
layer tubes. In the latter case, the inner layer is made of carbon steel and the
outer layer is a corrosion-resistant metal. The combustion products also need
substantial treatments to bring the exhaust gas in compliance with pollution
regulations.
While the fuel preparation systems of mass burning units are simple and
inexpensive, they require a more complicated and expensive combustion
system, including the pollution control equipment and higher operation and
maintenance costs. So their economic benefits should be carefully analyzed
compared to other systems.

4.6.4.12.2 Refuse-Derived and Solid Recovered Fuel Burning Systems

Raw wastes from the source need to go through many preparation pro-
cesses to be converted to refuse-derived fuel (RDF). A solid recovered fuel
requires even more preparation processes to increase its heating value so it
can be used in industrial processes, such as cement kilns. Solid recovered
fuel can technically replace conventional fuels with minimal adjustments to
the burning system.
RDFs can be combusted as a main fuel in dedicated RDF-fired steam gen-
erators. They can be also combusted in dual- or multiple-fuel burners along
with natural gas, biomass, and/or coal. These systems are suitable mainly
when the produced electricity or steam is needed even when solid wastes are
not available. Finally, RDFs can be used as the supplementary fuel in pulver-
ized coal or cyclone combustion systems, replacing some of the main fuel.
The latter two applications require much more preparation than the dedi-
cated units. RDF-fired units can even replace old coal power plants in urban
areas in retrofitting projects.
The fuel preparation process for solid recovered and refuse-derived fuels
includes several crushing and shredding processes, several separation and
classification processes to remove glass, dirt, and other noncombustible sub-
stances, ferrous metal removal process, aluminum and other no-ferrous met-
als removal process by hand pick up or eddy current separators, and tire
shredding process (if needed). Some of the separated materials, such as fer-
rous and aluminum metallic pieces, are recycled and the rest is sent to land-
fill sites. The remaining mostly combustible substances are shredded and
Steam Generators: Fire Side 365

stored before being sent to the furnace for combustion. While some RDF-fired
fluidized-bed units, both bubbling and circulating units, have been installed,
majority of these systems have been spreader traveling grate stoker units.
RDF is metered and fed onto the furnace through feeders from the pre-
pared fuel storage area. The fuel is distributed onto the bed using air-swept
distributors with varying air pressure to make the spreading process as uni-
form as possible. Some fuel pieces combust while in suspension and the rest
has complete combustion on the grate. While the preparation system in this
type is much more complicated and expensive than mass-burning systems,
the stoker system is less expensive and the ash handling system is smaller.
This means the economic analysis can determine which system is more suit-
able for each application. Most aspects of both mass-burning and RDF-fired
systems are similar to coal-fired systems. Another approach to use solid
wastes and biomass as fuel for steam generation is the gasification process
that will be covered later.

4.7 Liquid Fuels
As shown in Figure 4.1, liquid fuels are rarely used as a primary fuel in steam
generators (for that matter any utility power generation). However, they are
still sometimes used as a backup fuel and for the ignition process. In this sec-
tion, these fuels and their combustion systems are briefly reviewed. Liquid
fuels can be hydrocarbon or alcohol.
While petroleum-based fuels are not a major energy source for power
generation, they are a vital player in other energy sectors, particularly for
transportation. Their high volumetric energy content, easy transportation by
piping systems on land and supertankers on sea, typically lower environ-
mental impacts (at least compared to coal), and a wide variety of applica-
tions due to the diversity of fuel derivatives make them indispensable for
human civilization at least in short- and mid-term future. In particular, the
recent advancements in hydraulic fracturing (fracking) technology signifi-
cantly improved the prospect of these fuels, especially in the U.S., regardless
of adverse environmental impacts.
While petroleum contains oxygen, nitrogen, sulfur, and traces of some
metals, it is primarily composed of carbon and hydrogen (hence the term
hydrocarbons). Thus, in order to categorize the families of hydrocarbons,
the following three concepts should be first understood. The structure of a
hydrocarbon molecule can be either a ring or chain structure (Figure 4.36a
and b). In a chain structure, each carbon atom bonds with only one other car-
bon atom. Also, a hydrocarbon structure can be either saturated or unsatu-
rated. In saturated structures, all carbon atoms are joined by a single bond,
while in unsaturated ones two or more carbon atoms have double or triple
366 Power Plant Engineering

H H H H H H
H H H H
H C H
H C C C C H
H C C C C H
C C
H H H H
H C H H H
H H
(a) (b) (c)

FIGURE 4.36
Examples of various hydrocarbon structures.

bonds (Figure 4.36a and c). Finally, two hydrocarbons can be an isomer if
the same numbers of carbon and hydrogen atoms have different structures
(Figure 4.36b and c).
According to these characteristics and the ratio of the number of carbon
atoms to the number of hydrogen atoms, hydrocarbons are grouped by the
following suffix identifications:

• Paraffins (or alkanes): CnH2n+2 (chain, saturated) suffix in –ane, e.g.,

methane (n = 1), ethane (n = 2), propane (n = 3), and butane (n = 4)
• Olefins (or alkenes): CnH2n (chain, unsaturated) suffix in –ylene or
–ene, e.g., ethene (n = 2), propene (n = 3), butane (n = 4), and pentene
(n = 5)
• Diolefins (or alkadienes): CnH2n−2 (chain, unsaturated) suffix in –
diene, e.g., propadiene (n = 3) and butadiene (n = 4)
• Naphthenes (or cycloalkanes): CnH2n (similar formula as Olefin)
(ring, saturated) prefix cyclo-, e.g., cyclobutane (n = 4) and cyclopen-
tane (n = 7)
• Aromatic Benzene: CnH2n−6 (ring, unsaturated), e.g., benzene (n = 6)
• Aromatic Naphthene: CnH2n−12 (ring, unsaturated)

Petroleum-based fuels are typically a mixture of various hydrocarbons; for

example, gasoline is primarily composed of 40 different hydrocarbons. The
composition of liquid fuels is typically presented on mass basis. For simplic-
ity and convenience, hydrocarbons are typically represented by an average
single hydrocarbon. For example, octane (C8H18) is used for gasoline (gas)
and dodecane (C12H26) is used for diesel.
Petroleum-based fuels are typically produced by the crude oil distilla-
tion process in a fractional distillation column. For this purpose, crude
oil is first gasified (vaporized) and then enters the bottom of the column.
Heavier hydrocarbons with higher boiling temperatures are condensed at
lower levels in the column. Other hydrocarbons are gradually condensed
and separated while the gasified oil moves upward at temperatures between
600°C and 20°C. They may also go through several refining processes such
Steam Generators: Fire Side 367

as cracking, reforming, and hydrogenation processes to produce products,

such as gasoline, kerosene, diesel, residual fuel oil, and some gaseous fuels,
at desired quantity and quality. Besides the ultimate analysis and the heating
value as the most important characteristics of these fuels, viscosity and den-
sity (expressed in the form of specific gravity) are also critical for designing
liquid fuel-fired steam generators. Residual fuel oil and in some special cases
diesel are used in power production units.
Another group of fuels that are increasingly being used as fuel for vari-
ous applications is alcoholic fuels. Alcohols are a family of hydrocarbons
where one hydrogen atom is replaced by an OH radical. Some examples
of these fuels are methanol (CH3OH) and ethanol (C2H5OH). These fuels
are gaining popularity as biofuels mostly for transportation applications.
However, they do not have many applications in the utility power genera-
tion industry.

4.7.1 Transportation and Storage of Liquid Fuels

Petroleum products can be transported to a power plant site by pipelines,

barges, rails, or trucks. The fuel should be then stored on the site in what is
called a “tank farm”. Several interconnected cylindrical steel containers are
used for this purpose so if one is out of service, the plant can continue to oper-
ate. Since the fuel used in utility power plants is typically heavy fuel with low
volatile matters, these containers do not require floating roofs. They can be
located on surface or underground. If on the surface, each container is sur-
rounded by protective walls to prevent spreading oil if there is a leakage. They
are painted with light colors to avoid overheating under the sun. For very vis-
cous fuels, such as residual fuel oil, containers and associated piping systems
should be equipped with heaters to assist the flow of fuel. The source of ther-
mal energy can be steam or electricity. The temperature of the heating process
should be carefully set and controlled. Temperatures lower than the required
temperature result in difficulty in fuel transfer, which may interrupt the flow
and cause too much power consumption in the fuel pumps. However, a higher
temperature may cause evaporation and cracking processes in the fuel. The
fuel is pumped to the furnace when it is needed for burning. The fuel flow rate
is also measured, which is used in the plant’s efficiency calculation.

4.8 Gaseous Fuels
Gaseous fuels can be natural or manufactured gases. The former is mostly
methane and ethane and the latter is commonly a mixture of CO and H2.
Similar to liquid fuels, gaseous fuels are typically made of a mixture of sev-
eral hydrocarbons. The composition (ultimate analysis) of gaseous fuels is
368 Power Plant Engineering

typically presented on molar (volumetric) basis. The heating value, density

(in the form of specific gravity), sulfur content, and flammability are other
important characteristics of gaseous fuels. Natural gas is the most common
gaseous fuel used for steam generation.

4.8.1 Natural Gas
Similar to crude oil, natural gas can be extracted from underground reser-
voirs. Some natural gas reservoirs only contain natural gas with no or lit-
tle crude oil. This type of natural gas is called non-associated natural gas.
Alternatively, oil and natural gas can coexist in which case natural gas is
referred to as associated natural gas. In this case, natural gas can be dis-
solved in oil (conveniently called dissolved gas) or can be accumulated on the
void above oil (called free gas).
After extraction of natural gas, large solid impurities such as sand are
scrubbed from the raw natural gas typically at or near the wellhead. The
next step in the processing of natural gas is the separation of crude oil (if
needed). This separation can typically happen by simply reducing the pres-
sure of the extracted mixture with or without slight cooling. This can take
place in a simple container also typically at or near the wellhead. Then,
the raw natural gas is transported to the central processing facility by low-
pressure gathering pipelines. In the processing plant, liquid water and
steam are removed by condensation or a dehydrating medium. Next, the
heavier hydrocarbons such as ethane, butane, and propane, known as natu-
ral gas liquids (NGLs), are separated and liquefied. The separation can be
achieved by their absorption by certain absorption agents and then their
recovery by heating the agent. Alternatively, the separation can be achieved
by condensation at very low temperature (at about −85°C or about −120°F).
These NGLs are very valuable and have many industrial and household
applications.
Finally, the extracted natural gas contains a high concentration of sulfur
contents and some other gases, particularly hydrogen sulfide (H2S) and car-
bon dioxide. The former can be recognized by its rotten smell. That is why
untreated natural gas is sometimes referred to as sour gas and the removal
process is called the sweetening process. The removal process typically
involves the absorption of H2S and CO2 by an amine solution so the process
is also called the amine process. The removed H2S can be treated to produce
sulfur, which is a commercially marketable byproduct.

4.8.2 Hydrogen
Nowadays hydrogen is considered as a gaseous fuel that can be produced
from hydrocarbons or water electrolysis. Hydrogen is a flammable gas with
very low ignition energy. It burns with a colorless flame. It can be used for
high-efficiency power generation in fuel cells with water as the only product.
Steam Generators: Fire Side 369

Hydrogen can be also mixed with natural gas to be burned in conventional

power generation units. While the higher reactivity of hydrogen compared to
that of methane can improve the combustion reaction and reduce unburned
hydrocarbon and CO in the flue gas, it can increase the flame temperature
and thermal NOx production. It can also change the properties of the flame
which need to be taken into account in the system design. The greater heating
value of hydrogen can reduce the mass flow rate of the combustion products,
which can be problematic for some power generation systems. In order to
increase the energy intensity of hydrogen during storage and transportation,
it can be liquefied at low temperatures and high pressures. This is known as
cryogenic hydrogen storage. Alternatively, hydrogen can be stored in metal
hydride systems.
There are other gaseous fuels such as blast furnace gas, coke oven gas,
refinery gas (in refineries made of various hydrocarbons), regenerator offgas
(in refineries made of mostly CO), landfill gas (mostly methane and CO2), and
many others. Some of these fuels are discussed in Section 4.5.4.4.

4.8.3 Transportation and Storage of Natural Gas

As noted earlier, processed natural gas can be transported to consump-
tion sites by pipelines. There is an extended network of pipelines in many
countries distributing natural gas to all major consumption centers. This is
the most economical way to transport natural gas. The diameter of these
pipes can be between 15 and 120 cm (about 6 to 48 in.). Larger pipes are
typically welded carbon steel and are used for national interstate lines.
The smaller ones can be seamless carbon steel or plastics and are used for
local distribution lines. Pipes are buried at the depth of at least 70 cm (about
30 in.) and are typically protected by cathodic protection and outer coatings.
Natural gas pressure in pipelines is increased to between 15 and 100 bar
(200 to 1500 psi) to overcome the pressure drop of the gas flow in pipes. The
high pressure also reduces the volume and increases the density of natu-
ral gas (in the order of several hundred folds) so for the same volumetric
flow rate, a higher mass flow rate can be achieved. To maintain this high
pressure and to compensate for the pressure loss, compression stations are
located at a distance of up to 150 km (about 100 miles) between the stations.
The compressors can be powered by natural gas-fueled gas turbines, gas-
fueled internal combustion engines, or electric motors. Pipeline systems
also include many valves, measuring stations, control systems, and distri-
bution pipes. Natural gas can be also liquefied and transported by ships,
rails, or trucks.
While natural gas can be economically transported by pipelines over
land, it is not easy to transport it across oceans and where pipelines are
not available. One solution for this problem is liquefied natural gas (LNG)
because liquefying natural gas can reduce its volume by about 600 folds.
This makes LNG transportation by ships and trucks economically feasible.
370 Power Plant Engineering

LNG is also very suitable for storing natural gas and for using it as a trans-
portation fuel. Natural gas can be converted to liquid form at the tempera-
ture of about −160°C (about −260°F).32 This process requires a significant
amount of energy. Some power plants store natural gas as LNG on-site for
periods of natural gas shortage. They may have their own small natural
gas liquefaction plant on-site. The largest consumers of LNG are in Asia
and Europe.
After delivery of LNG to its destination and before its consumption or
injection into pipelines, it should be regasified and converted to gaseous fuel.
The thermal energy needed for the regasification of LNG can be provided
from ambient air. Also, it can be used to provide cooling for other applica-
tions such as air conditioning, cooling of inlet air to the compressor in gas
turbine plants (refer to Chapter 9), or reducing the temperature of the con-
denser in steam power plants.
In order to provide fuel during high demand periods, some sort of energy
storage should be provided for natural gas-fired power plants. This is par-
ticularly important for cold regions where in very cold days, a high resi-
dential consumption rate reduces the gas pressure in the pipeline. In these
situations, the preference is always given to residential consumers and large
industrial consumers must reduce their pipeline natural gas consumption.
Also, natural gas pipelines are typically designed and operated at a fixed
load for economic reasons. Therefore, the power plant should be equipped
with a system to handle more or fewer gas consumptions than this fix design
flow rate. There are three ways to handle these situations:

• to store some supplementary liquid fuel in tanks at or near the power

plant site.
• to produce supplementary manufactured gas from other energy
sources.
• to store natural gas on-site.

It should be noted that thousands of miles of large-diameter pipes can store

a significant amount of natural gas that can provide fuel in an emergency.
Natural gas can be stored in above-ground large steel tanks. It can be also liq-
uefied and stored in above-ground pressurized insulated tanks. Moreover, it
can be stored in underground pipe holders. If underground natural voids are
available in a region, for example, depleted oil and/or gas wells, salt caverns,
and aquifers, natural gas can be stored in them by pumping the gas into
these voids. Natural gas can be also stored by being absorbed into a porous
solid medium. The stored natural gas can then be released by passing a flow
of hot gas through the solid substance.

https://www.eia.gov/energyexplained/natural-gas/liquefied-natural-gas.php.
32
Steam Generators: Fire Side 371

At the power plant site, the pressure of the natural gas flow is reduced from
the pipeline pressure to the pressure required by the combustion system.
This process can take place through a throttling device (constant enthalpy
pressure reduction) or through an expansion turbine. Energy wise the latter
is clearly preferred because some of the energy of expansion can be captured.
The volumetric flow rate of the natural gas is measured for the efficiency cal-
culation before the fuel is sent to burners.

4.8.4 Combustion Systems for Liquid and Gaseous Fuels

As noted in Section 4.6.3, the fundamental principle of pulverized combus-
tion systems is that if fuel particles are sufficiently fine, their combustion will
resemble the combustion of gaseous fuels. So it should not come as a surprise
that many aspects of natural gas combustion systems are similar to pulver-
ized coal combustion systems. In fact some systems can burn natural gas as
well as pulverized coal, and/or liquid fuels. Some systems can even burn
these fuels simultaneously and can switch from one fuel to another while the
burners are operating. Some of the most important characteristics of liquid
and gaseous fuel burning systems are their fast load-following capabilities
and a wide range of combustion rate.
Regardless of the type of a combustion system, the fuel delivery sys-
tem must transport the right amount of the fuel at the designed pressure
to each burner. The uniform distribution of the fuel and air among burn-
ers according to the burner design is critically important. Natural gas can
readily mix with air without any preparation device. There are two types
of natural gas burners: wall-fired burners and corner-fired burners. These
systems can be used for the combustion of natural gas, oil, or both in dual
fuel burners.

4.8.4.1 Wall-Fired Burners
In wall-fired burners, several burners located on the furnace walls create
individual flames without substantial interaction among them. The burn-
ers can be installed on one wall or opposing walls. Early wall-fired burners,
which are used for both liquid and gaseous fuels, were circular burners. In
this system, the fuel enters the burner at the center in the core of the flame,
and air is introduced tangentially via an air register, which both controls the
air flow and induces swirl in the air flow. But due to difficulty in indepen-
dently controlling the air flow rate and the swirl induced in air, these burners
are no longer used (please refer to Section 4.6.4 for more information about
these systems).
In modern liquid and gaseous burners, the air flow control mechanism is
separated from the air swirl mechanism. The air flow is controlled by sliding
disks while adjustable vanes induce swirl. This allows more control of the
372 Power Plant Engineering

air flow at a wider range. The air flow rate is also measured in each burner
to ensure a uniform distribution of the combustion air among all burners in
service.
Generally speaking, natural gas and lighter petroleum products have very
low nitrogen content and as a result, thermal NOx production is the main
NOx production mechanism. However, heavier hydrocarbons can contain a
significant amount of nitrogen so both thermal and fuel NOx contribute to
the total NOx production in heavy fuel oil-fired burners.
To reduce both thermal and fuel NOx, modern liquid and gaseous fuel-fired
burners are typically equipped with dual air registers. As the name implies,
in these systems the combustion air is divided into two separate flows, which
in turn creates two combustion zones in the flame. In the central core of the
flame, there is air deficiency compared to the stoichiometric mixture. This
slows the fuel NOx production process due to the shortage of oxygen needed
for the process and lowers the combustion temperature reducing thermal
NOx. The secondary air needed for the complete combustion is introduced to
the outer combustion zone. To further reduce NOx these burners can be also
equipped with the air staging technology where some of the combustion air
is introduced at overfire air ports. Similar to all modern steam generators,
these combustion systems are also equipped with igniters, flame detection
sensors, and other safety devices.
As noted, most aspects of liquid-fired burners and natural gas-fired burners
are similar. However, in walled-fired burners, the fuel is introduced to the fur-
nace through spuds for gaseous fuels and through atomizers for liquid fuels.
As you know by now, to increase the interaction between fuel and air, it is
vital to increase the ratio of the surface area to volume of fuel particles. For
coal, this was achieved by pulverized coal. With the same intent, liquid fuels
must be reduced to fine mist-like flows before being mixed with air. This criti-
cal process to improve combustion efficiency is called the atomization process.
The effectiveness of the atomization process is measured by the average size
of fuel particles and their size distribution (similar to pulverized coal). Fuel
atomizers can be divided into two types: mechanical atomizers or dual-fluid
atomizers. The difference between the two methods is whether the atomizing
medium, typically steam or air, is used during the atomization process.
In mechanical atomizers, the only atomizing mechanism is the fuel pres-
surization (hence the name). In these atomizers, the pressure of the fuel is
increased to as high as 70 bar (about 1000 psi). Then, the high-pressure fuel
is released to the air flow via the specially designed nozzles. Alternatively,
the atomization process can take place in a chamber where the high-pressure
fuel is tangentially introduced to the air flow. The mechanical atomizers are
relatively simple and do not need a source of a secondary flow, but the qual-
ity of produced droplets is lower than the second method described below.
In dual-fluid atomization systems, the moderately pressurized fuel is atom-
ized with the help of an atomizing agent, i.e., steam and air. These s ystems
can provide a better quality atomization process. This method not only
Steam Generators: Fire Side 373

provides finer fuel particles which in turn has a higher combustion efficiency
and lower emissions but also is safer. However, it has the disadvantage of
requiring steam, which means the loss of latent and sensible thermal energy
to the stack and the loss of feedwater. Both of these losses can be significant,
especially where water is scarce.
In these systems, the fuel is pressurized to the pressure of up to 20 Bar
(about 300 psi) and is mixed with steam or air at the pressure of up to 100
bar (about 1500 psi) higher than the pressure of the fuel. The mixture is then
introduced directly to the furnace through nozzles or to a mixing chamber
before entering the furnace. In the furnace, the temperature of the mixture
rapidly increases. The quick expansion of the atomizing agent particles due
to the rapid temperature increase atomizes the fuel to fine particles. The
ratio of the steam mass flow rate to the fuel mass flow rate can typically be
between 0.02 and 0.2 kg of steam/kg of fuel. The higher ratio is more desir-
able because it improves the quality of the atomization process. However, the
benefit must balance the losses associated with using steam.
When the atomized fuel is injected to the furnace, the fuel particles burn
in two stages. First, the volatile components of the fuel are evaporated and
burned immediately. Then, the carbon-rich porous residues are burned,
which require much longer time. Most other aspects of liquid-fired steam
generators, including ash handling systems, are similar to pulverized coal
steam generators.
The fuel delivery system in natural gas-fired burners includes a fuel man-
ifold to distribute fuel uniformly among burners. The manifold is located
outside the furnace either inside or outside of the windbox. Natural gas is typ-
ically delivered to the burners at the pressure of 0.5–1.5 bar (about 8–20 psi).
The delivered fuel enters one or multiple gas elements (also known as spuds).
These spuds are long enough to extend through the windbox. They enter to
the furnace via the burner opening where they inject the fuel through spe-
cially designed caps.

4.8.4.2 Corner-Firing Systems
As the name implies, in these combustion systems burners are located on
the corners of the furnace and each contributes to a single unified flame
envelop. Both liquid and gaseous fuels can be burned in these burners.
The burner is made of fuel and air compartments placed alternatively on
a tower. The fuel is injected into the flow of air via liquid fuel atomizers
or gaseous fuel nozzles in each fuel compartment. The combustion air
from the windbox is typically divided equally between fuel and air com-
partments (as the primary and secondary air flows). Dampers are used to
properly distribute the air among various compartments. To reduce NOx
production, these firing systems are also typically equipped with the air
stage technology where some of the combustion air is diverted to overfire
air ports on the top of the tower.
374 Power Plant Engineering

4.8.4.3 Igniters for Liquid and Gaseous-Fired Burners

Considering a wide range of characteristics that gaseous and liquid fuels can
possess, there are a variety of igniters with varying specifications. They can
be generally categorized to two groups: direct electrical igniters or electri-
cally ignited liquid- or gas-fired igniters. In the latter case, the igniter fuel can
be natural gas, liquefied petroleum gas (LPG), or light liquid hydrocarbons.
In this case, the igniter itself needs an atomizer and even a heater.
Both types of igniters can be fixed or retractable. The latter is preferred
because it does not need cooling air during the normal operation of the fur-
nace. Igniters can be also used to heat the furnace during a cold start-up and
complement or stabilize the main fire. The size and firing capacity of igniter
systems depend on the requirements of these possible functions and can be
as high as one-tenth of that of the burners in the full load operation. Note that
the cold start-up of a furnace can take up to 6 hours, so the igniters may be
operated for an extended period.

4.9 Combustion Air System

In steam generators, air is not only needed for the combustion of the fuel but
may be required in the fuel preparation process, such as the coal pulveriza-
tion process. In this section, we will discuss how this air can be provided and
regulated. We will also cover air preheaters and stacks.

4.9.1 Providing Air for Combustion

The majority of the required air in a steam generator is for the combustion
of the fuel. The fuel combustion air can be divided to stoichiometric air and
excess air. The former is the minimum required air for the complete com-
bustion process, which depends on the fuel composition. The latter is the
extra air needed to make up for the imperfect nonuniform mixing of the fuel
and air. The amount of excess air depends on the fuel composition, fuel state,
and firing system. It could be between a few percent to a half of the stoichio-
metric air. While more excess air can facilitate a more complete combustion
process, this air does not actually participate in the combustion reaction.
The thermal energy to heat this air from the inlet air temperature to the
flue gas temperature is considered a sensible heat loss. There is a balance
point where the tradeoff between the maximum combustion efficiency and
the minimum thermal losses provide the optimum operating conditions of
combustion. Besides the combustion air, the provided air should cover other
air uses, air leakage, and infiltration. The amount of this required air not
only impacts the air handling system but also the design and volume of the
furnace.
Steam Generators: Fire Side 375

The combustion process in a furnace can be at a pressure above, below,

or approximately equal to the atmospheric pressure. Similar to any other
fluid flow, in order to air and flue gas to flow through a steam generator,
the pressure drop of the flow should be overcome. The needed pressure can
be provided naturally by the draft created in the stack or mechanically by
fans. If the combustion products are drawn out of the furnace, the combus-
tion process will be under partial vacuum (suction firing). These furnaces
are typically referred to as induced-draft combustion systems. Draft here
refers to the flow of air and combustion products due to the pressure differ-
ence between the inside of the furnace and the atmospheric pressure. The
induced draft can be created by the stack, called natural draft, or by fans,
called induced-draft fans (ID fans). The main problem with this configu-
ration is that the partial vacuum in the furnace can cause air infiltration
into the furnace that reduces the efficiency of the combustion (similar to the
effect of excess air). If the inlet air is forced into the furnace, the combustion
process will be under pressure (pressurized firing). This type of furnace is
typically referred to as forced draft and the fans are called forced draft fans
(FD fans). The main disadvantage of this configuration is that the higher
pressure of the furnace compared to the atmospheric pressure can cause
the leakage of the flue gas to the environment. This loss of hot combustion
products reduces the efficiency of the steam generator and hurts air qual-
ity on the site. Often these two systems are combined to create a balanced
draft furnace. In these systems, the total pressure drop of the system is
distributed between FD fans and ID fans (or stack natural draft) in a way
that the furnace operates at or near the atmospheric pressure. This system
eliminates or significantly reduces the problems of air infiltration and flue
gas leakage.
In all these systems, the stack natural draft, due to the pressure difference
between the top and bottom of the stack, is always present. In small steam
generators with relatively small gas flows and simple furnace configura-
tions, the pressure drop is small enough that the natural draft provided by
the stack can be sufficient to provide the entire needed draft. For large mod-
ern steam generators, the complexity of the steam generator, the presence
of many components such as superheaters, reheaters, etc., and a high gas
flow rate create such a large pressure drop in the flow that the stack alone
cannot generate enough draft. In these cases, mechanical draft produced by
fans is needed for the normal operation of the steam generator. So while the
natural draft refers to a steam generator that the draft is purely provided by
the stack, in forced and induced-draft steam generators, the stack natural
draft is also present and supplements the fans in providing the total needed
draft.
The fans can be located at the furnace inlet to pressurize the inlet air
(FD fans) or at the furnace outlet to pressurize the outlet flue gas (ID fans).
Depending on the configuration and location of these components, one of the
following combinations can be utilized in a steam generator:
376 Power Plant Engineering

• Stack (induced draft)

• FD fans + stack (forced draft)
• ID fans + stack (induced draft, this combination is uncommon)
• FD fans + ID fans + stack (balanced draft)

FD fans receive the atmospheric air and provide a sufficient pressure head
to the air. In forced draft steam generators, the pressure should be adequate
to deliver the flue gas all the way to the stack by overcoming all the pressure
losses. In balanced draft steam generators, the pressure should be sufficient
to deliver the air to the furnace at about the atmospheric pressure. In pulver-
ized coal steam generators, typically there are two sets of FD fans, primary
air fans and secondary air fans.
ID fans are typically used in balanced draft steam generators to overcome
pressure losses of the flue gas flow between the furnace and the stack.
While the functionality of FD and ID fans are similar, they pressurize very
different flows. This provides FD fans with some major advantages over
ID fans. An FD fan deals with the cold clean atmospheric air. The low tem-
perature of the air flow significantly reduces the fan power consumption.
Similarly, the high density of the cold air increases the mass flow rate of the
air for the same air volumetric flow rate. Furthermore, unlike an ID fan that
pressurizes the corrosive and erosive combustion products, an FD fan deals
with the much less demanding atmospheric air flow.
While the ID and FD fans are the most important fans in any power plant,
there are other fans in these plants. In the following section, a brief general
discussion will be presented on fans.

4.9.2 Fans
Fans are devices that add energy to a gas flow to make up pressure losses
on the flow path to sustain the flow. Various types of fans are commonly
used in steam power plants for different purposes. Some of these fans are
forced draft fans, induced-draft fans, primary air fans, overfire air fans, flue
gas recirculating fans, ventilation fans, and fans in mechanical draft cooling
towers (refer to Chapter 8).
The functions of the first four types of fans are similar to provide the air
flow for the combustion process and/or remove the combustion products.
The flue gas recirculating fans are used to control the temperature of the flue
gas in the furnace. In terms of operating conditions, they are similar to ID
fans but in even more severe conditions.
Like any other building, various parts of a power plant require ventila-
tion. Depending on the requirements of a specific case, this can be achieved
by creating pressure either above or below the atmospheric pressure in the
target space. If the objective is to keep contaminations (for example, pulver-
ized coal) in a space and to prevent them from spreading to other spaces, the
Steam Generators: Fire Side 377

pressure of the space is kept below the atmospheric pressure. If the objective
is to keep contaminations out of a particular space, for example, the control
room where highly sensitive equipment is located, the pressure is kept above
the atmospheric pressure.
A typical fan has all or some of the following components:

• impeller
• housing
• driver
• inlet air screens and filters
• noise reduction devices
• gas flow control devices

The impeller, also known as the fan wheel, bladed rotor, or simply rotor,
is the component that directly interacts with the gas flow and is where the
energy is imparted in the flow. The flow leaving the impeller is collected by
the housing and is directed toward the fan outlet. The driver provides the
external energy needed to rotate the impeller.
In terms of the type of the impeller and the direction of the outlet flow with
respect to the direction of the inlet flow, fans are divided into two categories:
centrifugal fans or axial fans. Both centrifugal and axial fans are used as FD
and ID fans in steam generators.
In centrifugal fans, the gas flow enters the impeller axially (Figure 4.37). As
the gas flow goes through the impeller and energy is imparted to the flow
to increase its velocity, the direction of the flow changes to a radial flow. The
high-velocity flow is collected by the housing where the kinetic energy of the
gas flow is converted to pressure. Generally speaking, centrifugal fans are
suitable for applications where a relatively high pressure head and a low gas
flow rate are required. In axial fans, both the inlet flow and the outlet flow
are in the axial direction.
With regard to the orientation of fan blades with respect to the direction
of the rotor rotation, centrifugal fans can be categorized into three groups:
backward-inclined, forward-curved, and straight radial (Figure 4.38). As the
name implies, in backward-inclined fans, the impellers are inclined away
from the direction of the rotor rotation (Figure 4.38a). The blades can be air-
foil, curved, or flat. The latter two types are single-thickness blades. These
fans are generally very efficient and produce low noise. They can also operate
at high rotational speeds, which results in high pressure heads. While some
of these fans can operate with gases containing entrained solid particles, they
are prone to particle accumulation behind the blades. The forward-curved
fans can produce low pressure heads and are not commonly used in power
plants (Figure 4.38b). The straight radial fans are not as efficient as back-
ward-inclined fans and cannot produce high pressure heads (Figure 4.38c).
378 Power Plant Engineering

Outlet blow

Impller
(rotor or
fan wheel)

w
t flo
Inle

FIGURE 4.37
Schematic of a centrifugal fan.

(a) (b) (c)

FIGURE 4.38
Orientation of fan blades. (a) Backward-inclined, (b) forward-curved, (c) straight radial.

However, they are inexpensive to manufacture and maintain. They are also
suitable to operate with dust-laden flows with little particle accumulation
behind the blades.
In axial fans, the gas flow enters the fan axially and it remains parallel
to the axis of rotation throughout the fan while going through the blades
and leaves the fan axially. Essentially they are similar to desk fans with an
enclosed housing. These fans are typically cylindrical in shape. They can be
installed horizontally or vertically. The attack angle of the blades (also pitch
angle) in these fans can be fixed (called fixed-pitch blades), can be changed
while the rotor is stopped (called adjustable-pitch blades), or can be changed
while the rotor is rotating (called variable-pitch blades). The latter system can
have a higher efficiency because the pitch angle can be altered to optimize
the system's performance while it is operational. Generally speaking, axial
Steam Generators: Fire Side 379

fans are more suitable for applications with high gas flow rate and low pres-
sure head requirements. One problem with axial fans is the possibility of
stall in the fan. Stall can occur if the fan is pushed to operate at extreme oper-
ating conditions due to an inappropriate design and/or operation. In this
condition, the flow is separated from the fan blades, which in turn results
in the unstable operation and blade damage. We will discuss these topics in
Chapter 9 when we cover compressors for gas turbine cycles.

4.9.3 Fan Selection or Sizing

The most important parameters in the selection of fans (also referred to as
the fan sizing) are the required gas volumetric flow rate and the required
pressure head. For ID and FD fans, these two factors are determined from
steam generator calculations by including safety margins of as high as
30% for unforeseeable conditions. The volumetric flow rate is determined
from the combustion air requirements plus the air leakage, infiltration, and
other air utilizations. The pressure head is determined by the pressure drop
throughout the steam generator including in the air ducts, windbox, burner
or fuel bed, furnace, heat-transfer surfaces, and exhaust path. It should be
noted that combustion air calculations are mass-based while fan calculations
are volume-based. To convert the mass-based air flow rate to the volume-
based flow rate, the density of the inlet air is needed. Since the density of the
air depends on the ambient temperature and the local atmospheric pressure,
the worst-case scenario should be considered for the determination of the
air density. It should be borne in mind that for the given design and opera-
tion conditions, fans are constant volumetric flow rate devices and the volu-
metric flow rate is independent of the type and properties of the gas being
pressurized.
In order to determine which type of fan is more suitable for a certain appli-
cation, the parameter called specific speed can be used. The specific speed is
defined as follows:
n Q
Ns = 3 (4.69)
(H ) 4

where N s is specific speed, n is rotational speed ( 1s ), Q is volumetric flow rate

(m3), and H is pressure head (m). A higher specific speed indicates that axial
fans are more suitable for the desired application. The fan performance is
presented graphically in the fan performance curves (Figure 4.39). In these
curves, the pressure head, fan efficiency, and required shaft input power are
expressed as a function of the volumetric flow rate. Since for the same fan
geometry at different sizes, with different pitch angles, and at various rota-
tional speeds, the shape of the performance curves is similar but with differ-
ent numerical values, a family of performance curves is typically presented
in a single diagram.
380 Power Plant Engineering

rpm

Pressure head

sis tem
ce
tan
Re Sys

Volumetric flow rate

FIGURE 4.39
Performance curve of a fan for various rotational speeds.

For sensitive applications, often two or several parallel fans are used to
provide some redundancy in case one of the fans requires maintenance. In
the case of two fans, each fan can handle 50%–100% of the total load. In the
parallel arrangement, both fans provide the same pressure head, but the total
volumetric flow rate is equal to the sum of the flow rates of each fan. The vol-
umetric flow rate of the fans may or may not be equal. The parallel arrange-
ment adds to the complexity of the system operation.

4.9.4 Air Auxiliary Systems

As noted, the shaft power required to run a fan depends on the volumetric
flow rate of the flow, pressure head, and efficiency of the system. This power
can be provided by an electric motor or a steam turbine. Electric motors are
the most common type of fan drives since they are inexpensive and efficient
in a wide range of fan operation. They can be constant or variable speed,
powered with AC or DC electricity. Steam turbine drives can be more eco-
nomical for large fans where inexpensive steam is available.
Since the amount of the required air by combustion varies significantly
depending on the plant load, an effective fan control strategy is critical for
the proper operation of the system. Dampers are one way to regulate the gas
flow rate by introducing resistance to the flow. They can be located on the
air or flue gas flow path (for both ID and FD fans). They can be also used to
isolate equipment when they are not in service or during maintenance. There
are several types of dampers: louver, guillotine, round, and double blade.
They can be controlled by electrical, hydraulic, or compressed air actuators.
Dampers can also supplement variable speed motors (discussed below) to
further regulate the flow. Dampers are simple and inexpensive to manu-
facture and maintain. They can also provide a continuous range of control.
Steam Generators: Fire Side 381

However, their main problem is the waste of energy. The flow is pressurized
in the fan and then throttled to reduce the pressure in the damper, which
significantly increases the system power consumption.
An alternative for dampers to control a gas flow rate is variable inlet vanes
(VIV). Similar to dampers, they introduce resistance to the inlet flow to the
fan. But while doing this they induce rotation to the flow, which reduces the
power consumption in the fan. While their initial cost is higher than that
of dampers, their lower operational cost can easily compensate that, which
is why they are one of the most common and economical air flow control
mechanisms for fans. They also enjoy all the advantages of dampers.
Since the gas flow rate of a fan is proportional to its rotational speed,
variable speed fans can be used to control the gas flow rate. The lower volu-
metric flow rate can be achieved by reducing the rotational speed of the fan.
The variable rotational speed of the fan can be created by variable speed
motors, two-speed motors, couplings (magnetic or hydraulic), or variable
speed steam turbines. While these systems have higher initial costs, their
lower operational costs (due to lower power consumption) make them very
attractive and they are commonly used in power plants.
Fans are one of the noisiest components in modern steam power plants
(if not the noisiest). The noise is created because of the air flow interactions
with solid surfaces and can be originated from various parts of the system.
The noise can be reduced by the installation of silencers in ducts and acoustic
laggings on gas flow passages.
For all components that are long enough to have a significant thermal
expansion and contraction, a mechanism, called an expansion joint, should
be included to absorb the size variation. These components for the air deliv-
ery system include the air and flue gas ducts and the windbox. For this pur-
pose, expansion joints made of metals or non-metallic materials, such as
elastomer and composite materials, can be used. The non-metallic expansion
joints are capable of absorbing sheer movements as well as axial movements.
Expansion joints can also absorb vibrations and prevent them from spread-
ing to the entire system.

4.9.5 Air Preheater
At the outlet of the economizer, combustion products are at a tempera-
ture of about 300°C (about 600°F). This flow contains too much energy to
be discharged to the surrounding. On the other hand, the combustion air
flow after the FD fans is at slightly above the ambient temperature. The
temperature difference between these two flows provides an opportunity
for heat recovery in an air preheater to improve the efficiency of the steam
generator and the cycle. Air preheating can reduce the temperature of the
flue gas flow to about 150°C (about 300°F) and can increase the tempera-
ture of the combustion air flow up to about 300°C (about 600°F). Increasing
the temperature of the combustion air flow not only eliminates the ther-
mal energy that otherwise would have been required to heat the air in
382 Power Plant Engineering

the furnace but also improves the combustion process itself. Heating the
combustion air in pulverized coal steam generators is particularly impor-
tant since it is responsible for drying and transporting pulverized fuel. It
should be noted that while adding an air preheater improves the efficiency
of the cycle and reduces the fuel cost, this should be balanced against the
capital cost of the components and increase in the power requirement of
the fans (to overcome the pressure drop of the air preheater). The perfor-
mance of air preheaters is evaluated according to ASME Performance Test
Code (PTC) 4.3.
As noted, an air preheater is located downstream of the economizer and
forced draft fans. Since the temperature difference between the combustion
products and the air is relatively small, an air preheater needs a large heat-
transfer surface. Typically, air preheaters can be either rotary regenerative or
tubular recuperative.
Rotary regenerative air preheaters are composed of a rotor containing the
heat storage media as well as the air and flue gas ducts. The rotation of the
rotor through the ducts results in heat transfer between the cold and hot
flows by means of the heat storage media. There are two designs for regen-
erative preheaters. In the first design, the rotor rotates through stationary
ducts. Alternatively, ducts can rotate to direct cold and hot streams to fixed
heat storage media. This design is commonly referred to as the Rothemuhle
design. The former design, the rotating heat storage media and stationary
flow ducts, is the dominant type in large utility steam power plants. This
design is commonly referred to as Ljungström air preheaters after its
Swedish inventor Fredrik Ljungström (engineer, 1875–1964) who patented it
in 1930.
As shown in Figure 4.40, in a Ljungström air preheater, the motor-driven
rotor slowly rotates at the rotational speed of 1–3 rpm. As a result, the heat

Air outlet
Cold end
Hot end
Flue gas inlet

Heat transfer
media
Rotor

Rotation

Seals Housing

Flue gas outlet Air inlet

FIGURE 4.40
A rotary regenerative Ljungström air preheater.
Steam Generators: Fire Side 383

storage media alternatively get in contact with the cold and hot flows. When
exposed to the flue gas, the storage media absorb heat that increases its tem-
perature. Then, when the media goes through the combustion air flow, the
stored thermal energy is transferred to the air and the media cool down.
This design of air preheaters is also referred to as the bisector heater. Some
modern power plants use trisector or quadsector Ljungström air preheaters
to independently preheat the primary and secondary combustion air flows.
The storage media, also known as heating elements, are assembled in a
cylindrical rotor with a diameter up to 20 m. They are made of tightly spaced
formed-steel plates, sometimes with coating, to allow the cold and hot gas
flows to pass through. A maximum thermal energy storage capacity and
minimum pressure drop in the flows are important factors in designing these
units. The rotor is placed in a seal housing where one half of the rotor is always
exposed to the flue gas from the economizer and the other half is exposed to
the combustion air from the forced draft fans (in the bisector design). While
both vertical- and horizontal-shaft Ljungström air preheaters are being used,
the former is much more common due to its less cyclic stress. Note that in the
vertical-shaft design the axis of rotation is vertical but the wheel itself rotates
horizontally. The flows of the flue gas and combustion air are always counter-
flow, usually the former flowing downward to assist gravitational ash cleaning.
To avoid leakage of the high-pressure combustion air flow to the low-pressure
flue gas flow through the gaps between the rotor and the housing, a sealing
mechanism is used to separate the two sides. However, there is always some
mixing of the two flows due to several reasons, including leakage through
the sealing, carryover of gases trapped and entrained in spaces between the
energy storage media, and atmospheric air infiltration. The leakage problem
can be intensified since two sides of the rotor are exposed to different tem-
peratures that result in different thermal expansions and rotor distortion. Air
preheaters are equipped with various air or superheated steam sootblowers
and/or water-washing devices to remove ash deposits.
While Ljungström air preheaters are the most common air preheaters for
utility applications, there are recuperative air preheaters that use stationary
heat exchangers for the heat transfer between two flows. A major advan-
tage of these preheaters is their little leakage between two flows. These heat
exchangers can be tubular or plate types. In tubular counterflow air preheat-
ers, the flue gas flows inside the tubes and the air flows outside. They are
common for biomass-fueled steam generators because of the high contami-
nation of the flue gas in these plants. Plate air preheaters are typically used
in small steam generators.

4.9.6 Stack and Natural Draft

We have already discussed about natural circulation steam generators
(refer to Section 3.4.3). The nature of the natural draft created in the stack
in principle is exactly similar to natural circulation steam generators.
384 Power Plant Engineering

The temperature difference between the flue gas inside the stack and
the atmospheric air surrounding the outside of the stack creates a pres-
sure difference between the top and the bottom of the stack. This pres-
sure difference generates a driving force that results in the natural flow
of the combustion products through the stack. The same phenomenon in
a home fire place causes the fresh air to be drawn into the fire place and
forces the combustion products to be discharged through the chimney.
That is why the phenomenon is sometimes referred to as the stack or
chimney effect.
The driving force created in a stack can be determined by the following
equation:

∆PStack = ( ρamb − ρgas ) gH (4.70)

where ∆PStack is the driving force (pressure difference) created by the stack
(kPa), ρamb is the density of the ambient air outside the stack (kg/m3), ρgas is
the average density of the combustion products inside the stack (kg/m3), g
is the gravitational acceleration (m/s2), and H is the height of the stack (m).
Assuming the linear changes of the flue gas temperature inside the stack, the
ρgas is typically determined as the arithmetic average of the flue gas density
in the inlet and outlet of the stack. Note that the temperature of the flue gas
reduces while it flows up the stack due to the heat transfer to the surrounding
and the air infiltration. In the above equation, the density of the flue gas is a
function of the gas temperature in the stack inlet. The driving force increases
with increase in the flue gas temperature. However, in steam generators, the
flue gas temperature is reduced to the lowest possible to improve the overall
efficiency of the steam generator and is only limited by the dew temperature
of the flue gas to prevent condensation and corrosion from acid formation.
The temperature of the flue gas in the inlet of the stack is generally about
150°C (about 300°F). The only parameter that designers can manipulate to
increase the driving force created by the stack is the height of the stack. The
taller the stack, the greater the driving force will be. That is why typically
the tallest structure in steam power plants is the stack. Other factors that
can significantly affect the stack effect are the atmospheric pressure and the
ambient temperature. Furthermore, the pressure drop of the flue gas in the
stack affects the net available pressure head. The main parameter in deter-
mining the flue gas pressure loss in the stack is the velocity of the flue gas,
which in turn depends on the flue gas volumetric flow rate and the diameter
of the stack. Another function of a tall stack is to disperse the exhaust gas in
as large an area as possible. For this purpose, the temperature of the stack
exhaust should be high enough to create sufficient buoyancy for rising the
flue gas.
Steam Generators: Fire Side 385

4.10 Questions and Problems

4.10.1 Introduction

4.1. How did the discovery of fire improve the life of ancient humans?

4.10.2 Thermodynamics of Ideal Gases

4.2. The first and second laws of thermodynamics cannot be extended

to include processes involving chemical reactions.
a. True
b. False
4.3. Define the mass fraction and mole fraction of components of a
mixture.
4.4. If an ideal gas mixture is composed of two gases, A and B, which
one is not correct according to the Dalton model?
a. TA = TB
b. VA = VB
c. PA = PB
4.5. The temperature and pressure of a gas mixture in a 300 m3 con-
tainer are 500 K and 10 bar. If the mole fraction of gas A is 35%,
determine the temperature, pressure, volume, specific volume,
and mass of the gas A in the mixture. The molecular weight of the
kg
gas is 48 .
kmol
4.6. An ideal gas mixture is composed of three gases at the partial
pressures of 2.1, 3.0, and 1.5 bar. What is the total pressure of the
mixture?
4.7. Which equation is correct for the enthalpy of an ideal gas mixture?
j= N

a. hMix = ∑h j
j =1

j= N

b. hMix = ∑c h j j
j =1

j= N

c. hMix = ∑y h j j
j =1
386 Power Plant Engineering

j= N

d. hMix = ∑y c h j j j
j =1

4.8. What are the three most notable elements that participate in the
combustion process? Write the combustion reaction for each.
4.9. In a combustion process, … should be balanced.
a. mass
b. mole
c. mass and mole
d. volume
4.10. Balance the following two mole- and mass-based reactions for car-
bon combustion by determining the stoichiometric coefficients.
?mole C + ?mole O 2 → ?mole CO 2
? kg C + ? kg O2 → ? kg CO 2

4.11. Write the complete combustion reaction of methane (CH4) with

pure oxygen (balance the reaction).
4.12. Water in the combustion products can be in the form of steam, liq-
uid water, or even ice depending on the temperature and pressure
of the products.
a. True
b. False
4.13. What is the difference between pure nitrogen and atmospheric
nitrogen?
4.14. The molar-based composition of syngas (synthesis gas) produced
in a biomass gasification process is presented in the table below
(dry basis). Determine the mass fraction of each component and
the average molecular weight of the mixture.

Syngas (synthesis gas) composition for Problem 4.14

Component Molar fraction (%)

Nitrogen 48
Carbon monoxide 24
Carbon dioxide 10
Hydrogen 18

4.15. The molar-based composition of a gaseous fuel is presented in the

table below (dry basis). Determine the mass fraction of each com-
ponent and the average molecular weight of the mixture.
Steam Generators: Fire Side 387

Gaseous fuel composition for Problem 4.15

Component Molar fraction (%)

Nitrogen 30
Carbon monoxide 40
Carbon dioxide 15
Hydrogen 15

4.16. A designer takes the molar-based composition given in the previous

problem as the mass-based composition of the gas. Determine the
mole fraction of each component. Compare the average molecular
weight of the mixture with that calculated in the previous problem.

4.10.3 Thermodynamics of Combustion Process

4.17. Write the complete combustion of methane in air.
4.18. Define the theoretical air of a combustion process and a stoichio-
metric mixture.
4.19. Determine the stoichiometric coefficients of the complete combustion
of the following general hydrocarbon fuel with the theoretical air
C x H y + ? ( O 2 + 3.76N 2 ) → ?CO 2 + ?H 2 O + ?3.76N 2
4.20. 100% excess air means that the actual amount of air is …. times of
the theoretical air.
a. 1
b. 2
c. 3
d. 4
4.21. 90% of theoretical air or 10% deficiency of air means that the actual
amount of air is more than the theoretical air.
a. True
b. False
4.22. Explain what a rich fuel and air mixture and a lean fuel and air
mixture are.
4.23. Write the complete combustion of methane with 100% excess air.
4.24. Which one of the following expressions is different?
a. 200% theoretical air
b. 2 times stoichiometric air
c. equivalence ratio of 2
d. 100% excess air
388 Power Plant Engineering

4.25. Diesel fuel (with an average single hydrocarbon structure of C12H26)

is completely combusted in air. Write the combustion reaction
when the combustion is with theoretical air and with 100% excess
air. Determine the air-to-fuel ratio (both mole base and mass base),
and the dew point temperature of the combustion products for both
reactions. Also, determine the equivalence ratio in the second reac-
tion. The pressure of the combustion products is 1 bar.
4.26. In the previous problem, determine the mass of air and combus-
tion products for 1 kg of fuel in both reactions, with theoretical air
and with 100% excess air.
4.27. When there is a chemical reaction, why do we need a common ref-
erence point for the properties of all substances? Why is not this a
problem for systems with fixed compositions?
4.28. The enthalpy of all stable elements is zero.
a. True
b. False
4.29. The enthalpy of all stable elements is zero at the standard refer-
ence state.
a. True
b. False
4.30. Define the enthalpy of formation for a compound.
4.31. Why is the enthalpy of formation for some matters positive and for
others negative?
4.32. What is the difference between the higher heating value (HHV)
and lower heating value (LHV) of a fuel?
4.33. Define the adiabatic flame temperature.

4.10.4 Fuels

4.34. Provide two examples of the following fuel categories:

a. Natural fuels
b. Synthetic fuels
c. Solid fuels
d. Liquid fuels
e. Gaseous fuels

4.10.5 Coal

4.35. The consumption of coal for electricity generation is declining

in many countries. Why is it still important to study coal steam
generators?
Steam Generators: Fire Side 389

4.36. Briefly explain how coal resources have been formed.

4.37. Briefly discuss the coal production trends in the past few decades
in the world, the U.S., and China.
4.38. Name the five countries with the highest coal production.
4.39. What percentage of electricity is currently generated from coal in
the world, the U.S., China, and India?
4.40. What are the differences between the resources and reserves of
fossil fuel?
4.41. What are the differences between proven, probable, and inferred
coal resources?
4.42. What are the coal producing regions in the U.S.?
4.43. If the price of coal goes up, will coal reserves reduce or increase?
Why?
4.44. Explain how improvement in mining-related technologies and
coal exploration techniques affect estimations of coal reserves.
4.45. Determine the number of years that coal can last based on the
following assumptions for the global electricity consumption of
2013. Compare your result with that of Example 4.7. Identify major
sources of uncertainty of your calculation.
4.46. Name the two methods to analyze a fuel composition. What are
the applications of each analysis? What factors are reported in each
case?
4.47. What is the difference between as-received basis and dry basis of
fuel compositions?
4.48. Briefly describe how the moisture, volatile matter, fixed carbon,
and ash are measured for a proximate analysis according to ASTM
standards.
4.49. What is the difference between inherent and surface moisture
contents of coal?
4.50. How does the volatile matter content of coal affect the combustion
process?
4.51. The volatile matter content can contribute up to 50% of the total
heating content of the coal.
a. True
b. False
4.52. What are inherent impurities and extraneous impurities of coal?
4.53. Why is the ash content of coal important?
4.54. The samples of bituminous, subbituminous, and lignite coal
have about 12,840, 8710, and 4505 Btu/lb of higher heating val-
ues, respectively. The mass-based ash content of three samples
390 Power Plant Engineering

are 10.3, 11.0, and 10.7%, respectively. Determine the heat content-
based ash in lbash/Btu.
4.55. A 250 MW coal-burning power plant uses subbituminous coal
with the higher heating value of 19,850 kJ/kg as the fuel. If the
mass-based ash content of the coal is 15%, determine the coal con-
sumption (in kg/s) and the ash production (in kg/day). The higher
heating value-based efficiency of the power plant is 34%. Repeat
the problem for lignite coal with a higher heating value of 12,300
kJ/kg.
4.56. A 900 MW coal-burning power plant uses bituminous, subbitu-
minous, and lignite coal with a higher heating value of 12,840,
8,710, and 4505 Btu/lb, respectively. If the mass-based ash con-
tents of the coal are 10.3, 11.0, and 10.7%, respectively, determine
the coal consumption rate (in lb/s) and the ash production rate
(in lbash/day). The higher heating value-based efficiency of the
power plant is 38%.
4.57. Explain how the fixed carbon content of a coal sample is deter-
mined for proximate analyses without directly measuring it.
4.58. Both proximate analysis and ultimate analysis of coal are ….
a. mass-based
b. mole-based
c. volume-based
4.59. How are the mass percentages of carbon, hydrogen, and nitrogen
in a coal sample determined for ultimate analyses?
4.60. Explain how the oxygen content of a coal sample is determined for
ultimate analyses without directly measuring it.
4.61. Describe the following bases used for both the approximate and
ultimate analyses of coal:
• As-received
• As-fired
• Dry or moisture-free basis
• Dry mineral-matter-free
• Moist, ash-free
4.62. What are the applications of proximate analyses of coal?
4.63. The proximate analysis is … than the ultimate analysis and can be
used to determine the rank of coal.
a. simpler
b. more complicated
c. equally complicated
4.64. The coal rank depends on …
Steam Generators: Fire Side 391

a. the level of its carbonization (coalification)

b. the type of old vegetation it is made of
c. the degree of impurities
d. all of the above
4.65. The coal grade depends on …..
a. the level of its carbonization (coalification)
b. the type of old vegetation it is made of
c. the degree of impurities
d. all of the above
4.66. Which of the following ranks of coal are most suitable for combus-
tion in power plants (select all correct ones)?
a. Peat
b. Lignite
c. Subbituminous
d. Bituminous
e. Anthracite
4.67. Which one of the following ranks of coal has the highest percent-
age of carbon?
a. Peat
b. Lignite
c. Subbituminous
d. Bituminous
e. Anthracite
4.68. Name some gaseous fuels derived from coal.
4.69. What are the two methods of coal extraction?
4.70. Name the following machines used in surface coal mines.

(a) (b)
392 Power Plant Engineering

4.71. What are the two main methods of underground coal mining?
Briefly describe them.
4.72. What is run-of-mine (ROM)?
4.73. What are the four processes that a coal preparation system may
have?
4.74. What are the four screening systems typically used in coal prepa-
ration facilities?
4.75. Name the following coal sizing equipment (screens, revolving
type, or shaker type).
Steam Generators: Fire Side 393

4.76. How many openings does a 10-mesh screen have in every linear
inch and every square inch of the screen?
4.77. What are the differences between once-through crushers and
retention crushers?
4.78. List the four types of coal crushing equipment. Briefly
explain their operation principles and their advantages and
disadvantages.
4.79. Name the following coal crushing equipment (Hammer mill, Ring
crusher, or Bradford breaker).

(a)

(b)
394 Power Plant Engineering

4.80. What are the objectives of the coal cleaning process?

4.81. In the wet separation process, the difference between either den-
sity or surface properties of the coal and the impurities is used to
separate them.
a. True
b. False
4.82. After the preparation of coal, it can be transported to users by …
(name at least three methods). Which one is the most common
mode of transportation for coal in the U.S.?
4.83. Why do power plants try to make their coal sources as diverse
as possible by receiving coal from several routes and modes
simultaneously?
4.84. Describe how coal is stored in power plants for long-term.
4.85. A 1000 MW coal-fired steam power plant with an efficiency of 30%
needs to have 60 days of coal storage. If the plant is fueled with the
average coal consumed in the U.S. (in terms of the heat content of
coal) in 2015, determine the capacity of the coal storage in metric
tons. The average heating value of the coal consumed in the U.S.
in 2015 was 19.48 million Btu/short tons.
4.86. A 1500 MW coal-fired steam power plant with an efficiency of
33% needs to have 45 days of coal storage. The plant is fueled
with coal with an average heating value of 19.88 million Btu/
short tons. Determine the capacity of the coal storage in metric
tons.
4.87. Define biomass fuel sources.
4.88. Explain why it is not accurate to consider biomass resources as
“carbon neutral” resources.
4.89. What are some of the negative attributes of biomass energy sources?
4.90. List at least five biomass energy sources that can be combusted in
a steam generator.
4.91. Why is it increasingly more expensive to landfill MSW?
4.92. Why does modern MSW, especially in North America, have
increasingly higher energy content?
4.93. Explain the impacts of more paper and plastic, food remains,
and glassware and aluminum cans in MSW on its heating value.

4.10.6 Combustion of Coal

4.94. Among modern coal combustion systems which system does have
the lowest efficiency and capacity?
Steam Generators: Fire Side 395

4.95. Which ones are the positive attributes of stoker combustion sys-
tems (select all correct ones)?
a. Capability to burn a wide variety of solid fuels
b. High efficiency
c. Rapid response to changes in steam demands
d. Do not require extensive fuel preparation facility
e. High capacity
4.96. Stoker combustion systems are typically used for small steam
generation units in industrial, utility, and cogeneration
applications.
a. True
b. False
4.97. Why has the interest in stoker combustion systems been recently
revived?
4.98. List major components of stoker combustion systems.
4.99. What are the two types of grates in stoker combustion systems?
How do they work?
4.100. Explain how dumping, inclined stationary, traveling, and vibrat-
ing grates work.
4.101. Which system does allow the continuous operation of a stoker
burner by providing a continuous feed of fuel and a continuous
discharge of ash (select all correct ones)?
a. dumping grates
b. inclined stationary grates
c. traveling grates
d. vibrating grates
4.102. Which system does have high maintenance costs for a stoker burner?
Why? How can the wear and maintenance costs be reduced?
a. dumping grates
b. inclined stationary grates
c. traveling grates
d. vibrating grates
4.103. What are two main ways to burn solid fuels?
4.104. Describe how solid fuel in mechanical stokers can be distributed
over the grate by fuel overfeeding or underfeeding.
4.105. How are the mass-feed fuel distribution systems different from
the spreader systems in mechanical stokers?
4.106. Explain air distribution systems in mechanical stokers.
396 Power Plant Engineering

4.107.
Why are combustion systems in natural gas-fueled and pulverized
coal steam generators very similar?
4.108.
Why are pulverized coal steam generators considered as one of the
most important industrial and engineering achievements of the
20th century?
4.109.
Explain the operational principles of indirect and direct pulver-
ized coal combustion systems. What are the pros and cons of
each? Which one is used in modern steam generators?
4.110.
What are the primary air and secondary air?
4.111.
Why do direct pulverized coal combustion systems require
advanced reliable pulverizers?
4.112.
Explain why the coal inlet flow rate to the combustion system is
important. How is this flow controlled? Explain two systems for
this purpose.
4.113.
What is the grindability index of coal? Is it the same as coal hard-
ness? How is the grindability index of coal measured?
4.114.
A pulverizer should be able to produce a very high percentage
of fine particles but a very small percentage of coarse particles is
permitted.
a. True
b. False
4.115.
List the three size reduction mechanisms in pulverizers.
4.116.
Why is hot air used in all modern pulverizers rather than ambient
air?
4.117.
Describe the relationship between the location of fans and pres-
surized, suction, and balanced mills.
4.118.
What are two separation mechanisms in pulverizers? Briefly
explain their operational principles.
4.119.
Name three types of pulverizers.
4.120.
Briefly explain how ball-and-tube mills (pulverizers) work. List
their pros and cons.
4.121.
Briefly explain how ball-and-race and roll-and-race pulverizers
work. List their pros and cons.
4.122.
A properly designed burner should … (select all appropriate
ones).
a. receive fuel, primary air, and secondary air at the correct ratio
b. highly mix fuel and air
c. initiate combustion
d. create stable and safe flame
Steam Generators: Fire Side 397

e. achieve high combustion efficiency

f. minimize pollutant production
g. handle ashes
4.123. What is the essential promise of coal pulverization for combustion?
4.124. What is the function of a windbox?
4.125. In the following schematic of a furnace, show where the windbox is.

4.126.
What are two approaches to have an effective mixture of air and
fuel?
What are two mechanisms of NOx production? Explain each
4.127.
mechanism.
398 Power Plant Engineering

4.128. Why is inducing swirl in the secondary air important for the per-
formance of a burner? Why is the control of this swirl a challenge
in circular burners? How is this problem addressed in S-type
burners?
4.129. Name three techniques to reduce NOx is pulverized coal burners.
4.130. How can dual register burners reduce NOx production?
4.131. In dual register burners, there are several layers in the flame in
regard to the oxygen concentration.
a. True
b. False
4.132. Which schematic shows a diffused flame and which is a premixed
flame?

4.133. Why should there be a minimum clearance between the burners,

walls, and floor?
4.134. Why is the amount of air during the devolatilization process
important for NOx reduction?
4.135. What is the common aspect of a dual register burner and air staging?
4.136. What is the overfire air (OFA)? What is the function of a NOx port?
4.137. Why can both dual register burners and air staging increase the
unburned fuel? How is the problem addressed in each case?
Steam Generators: Fire Side 399

4.138.
Which technology can be equipped with the air staging NOx
reduction technique (select all the correct ones)?
a. mechanical stokers
b. cyclones
c. wall-fired pulverized burners
d. corner-firing burners
e. fluidized bed
4.139.
What are the similarities and differences between tangential burn-
ers and multiple flame envelope burners?
4.140.
How do the flames from the corner-fired burners intertwine to
create a single flame envelope?
4.141.
What is the function of tilting air and fuel nozzles in corner-fired
burners?
4.142.
When the slag and ash deposit on the walls of the furnace increases,
should the nozzles of corner-fired burners be tilted downward or
upward? Explain.
4.143.
Why are corner-firing systems inherently low NOx generating
combustion technologies?
4.144.
Explain the difference between the local and global air staging in
low NOx corner-firing systems.
4.145.
Explain how cyclone furnaces work? Why were they initially
developed? What are their advantages and disadvantages?
4.146.
What are five main functions that determine the shape and vol-
ume of a furnace?
4.147.
What is secondary combustion? Is it desirable?
4.148.
Why is a high furnace exit-gas temperature (FEGT) undesirable?
4.149.
What problems can ash carried by the flue gas cause on down-
stream heat-transfer surfaces?
4.150.
Explain what slagging is, how it is created, and how it can be reduced.
4.151.
What are two types of coal ash collection and removal systems?
Which combustion technologies are typically used?
4.152.
Explain why too much or too little excess air is not desirable.
4.153.
What are the functions of ignition systems?
4.154.
Explain the general ignition process in steam generators.
4.155.
What is the main characteristic of fluidized-bed combustion
systems?
4.156.
List the advantages of fluidized-bed steam generators over other
steam generation technologies.
400 Power Plant Engineering

4.157.
Explain why fluidized-bed combustion systems have high fuel
flexibility.
4.158.
What is the content of the bed in fluidized-bed combustion
systems?
4.159.
Why is a significant portion of ash and unburned fuel carried
away by the combustion products in fluidized-bed combustion
systems? How is this problem resolved?
4.160.
How are sulfur oxide emissions removed from flue gases in
fluidized-bed combustion systems? Why are the temperature of
the bed and its control important for this purpose?
4.161.
Explain different behaviors of fuel particles in a bed when the air
velocity is increased from a low velocity to a very high velocity in
a fluidized bed.
4.162.
What is the difference between a bubbling fluidized-bed and a cir-
culating fluidized-bed?
4.163.
What are two methods to distribute fuel on a fluidized bed?
4.164.
How is NOx production reduced in fluidized-bed combustion
systems?
4.165.
What is the advantage of open bottom air distribution systems
over flat floor air distribution systems in fluidized-bed steam
generators?
4.166.
Why is the varying heat content of municipal solid wastes a major
challenge for steam generation units?
4.167.
What are three types of municipal solid waste burning systems?
4.168.
Explain the fuel preparation process for mass refuse burning
systems?
4.169.
What type of combustion system is typically used in mass refuse
burning systems?
a. Mechanical stokers
b. Cyclones
c. Wall-fired pulverized burners
d. Corner-firing burners
e. Fluidized bed
4.170.
Which type of solid waste burning strategy requires the least
expensive fuel preparation process? Which one has the highest
operation and maintenance costs?
a. Mass burning
b. Refuse-derived fuels
c. Solid recovered fuels
Steam Generators: Fire Side 401

4.171. Explain the following terms for liquid fuels:

• Ring vs. chain structure
• Saturated vs. unsaturated
• Single, double, or triple carbon bonds
• Isomer hydrocarbons
4.172. Which one of the following hydrocarbons has chain structure?

H H H H H H
H H H H
H C H
H C C C C H
H C C C C H
C C
H H H H
H C H H H
H H

4.173.
Liquid and gaseous hydrocarbon fuels are typically mixture of
various hydrocarbons.
a. True
b. False
4.174.
Explain the hydrocarbons production process from crude oil (the
operating principle and the name of the system).
4.175.
What is the difference between hydrocarbon fuels and alcoholic
fuels in terms of their chemical structure?
4.176.
The composition of gaseous fuels are typically presented on molar
(volumetric) basis.
a. True
b. False
4.177.
What is the difference between associated and non-associated
natural gas?
4.178.
Explain why untreated natural gas is sometimes referred to as
sour gas.
4.179.
What is the sweetening process in raw natural gas processing?
4.180.
What is LNG? What are its applications?
4.181.
Name two sources that can be used to produce hydrogen. Explain
the production processes.
4.182.
Hydrogen is a flammable gas with very high ignition energy burn-
ing with a colorless flame.
a. True
b. False
402 Power Plant Engineering

4.183.
What are the advantages and disadvantages of mixing hydrogen
with natural gas to be burned in conventional power generation
units?
4.184.
Name two ways to store hydrogen economically.
4.185.
What are the benefits of pressurizing natural gas in pipelines?
4.186.
Why do natural gas-fired power plants require some on-site fuel
storage?
4.187.
List some methods to store natural gas.
4.188.
Describe how the combustion of liquid and gaseous fuels are simi-
lar to and different from pulverized coal combustion systems.
4.189.
Regardless of the type of a combustion system, the fuel delivery
system must transport the right amount of the fuel at the designed
conditions to each burner.
a. True
b. False
4.190.
What are the major differences between circular burners and dual
register burners?
4.191.
What is the function of an atomizer in a liquid fuel-fired combus-
tion system?
4.192.
Explain two types of atomizers and their operational principles.
Discuss the pros and cons of each system.
4.193.
What are two ignition systems for natural gas-fired combustion
systems?
4.194.
Explain the following two types of furnaces:
• Natural draft
• Mechanical draft
4.195.
Identify if the following furnaces operate at a pressure above,
below, or approximately equal to the atmospheric pressure.
a. Natural draft
b. Induced draft
c. Forced draft
d. Balanced draft
4.196.
Explain how an induced-draft (ID) fan provides the required air
for combustion.
4.197.
Why cannot natural draft provide a sufficient driving force for the
entire system in utility steam generators?
4.198.
Explain how the gas flow in ID and FD fans is different. How do
these differences impact the design and operational requirements?
4.199.
List some fans used in a typical steam power plant.
Steam Generators: Fire Side 403

4.200.
Explain the difference between centrifugal fans or axial fans.
Explain the function of each fan.
4.201.
What are three types of centrifugal fans with regard to the orien-
tation of the fan blades with respect to the direction of the rotor
rotation?
4.202.
Identify backward-inclined, forward-curved, and straight radial
fan blades in the following figure.

4.203.
What are the most important parameters in the selection of fans?
How are these parameters determined?
4.204.
What is the specific speed of a fan? How is it used in fan sizing?
4.205.
Name two ways a fan can be powered.
4.206.
What are the similarities and differences between dampers and
variable inlet vanes (VIV) to control gas flow rates in fans?
4.207.
Why are fans the noisiest components in modern steam power
plants?
4.208.
What are the functions of expansion joints?
4.209.
How can an air preheater improve the efficiency of a steam generator?
4.210.
What are two types of air preheaters? Explain the operational
principles of each type.
4.211.
What are the functions of a stack in a steam generator?
4.212.
Explain how the stack of a steam generator can produce natural
draft. What factors impact the pressure difference created by natu-
ral draft?

4.10.7 General

4.213.
Write the complete combustion of methane with 150% theoretical air.
4.214.
Describe why a higher hydrogen content in fuel increases the dif-
ference between HHV and LHV.
4.215.
How are the mass-based combustion air calculations converted to
the volume-based fan calculations?
4.216.
The as-fired mass-based analyses of a coal sample are given as
follows:
404 Power Plant Engineering

Analysis A Analysis B
C 80% Moisture 3%
H2 5% Volatiles 22%
S 1% Fixed carbon 68%
O2 3% Ash 7%
N2 1%
H2O 3%
Ash 7%

Which analysis (A or B) is proximate analysis and which one is

ultimate analysis?
4.217.
Compare an as-received coal analysis and a dry-based coal analysis.
What are the NOx production reduction mechanisms in natural
4.218.
gas-fired steam generators?
4.219.
Explain how the slagging problem and the furnace exit-gas
temperature (FEGT) are related.
4.220.
Explain why fans may be used in parallel. How does this arrange-
ment impact the performance of the system?
4.221.
How is the superheated steam temperature leaving the steam
generator (after both superheaters and reheaters) controlled?
4.222.
The ultimate analysis is more scientific and is needed for the
combustion calculation of coal.
a. True
b. False
4.223.
What are two designs for regenerative preheaters?
4.224.
How are the moisture content, volatile matter, ash, and fixed
carbon content measured for the proximate analysis?
4.225.
Explain the tangential firing systems for natural gas and pulver-
ized coal steam generators.
4.226.
Explain the categorization of different fuels according to:
• the origin of the fuel
• the physical state of the fuel.
4.227.
Provide examples of natural fuels and synthetic fuels (synfuels).
4.228.
What is the main advantage of the fluidized-bed combustion tech-
nology that other conventional coal combustion methods cannot
compete with?
4.229.
How can variable rotational speeds be created in variable speed
fans?
4.230.
Which one of the following hydrocarbons has a ring structure?
Steam Generators: Fire Side 405

H H H H H H
H H H H
H C H
H C C C C H
H C C C C H
C C
H H H H
H C H H H
H H

4.231.
List different types of coal according to their age (oldest to young-
est), carbon content, and volatile matters (highest to lowest).
4.232.
Using the following two figures, explain bin storage (top) and
direct firing (bottom) systems for burning pulverized coal.

(a)

(b)
406 Power Plant Engineering

4.233. List the six biggest global coal producers.

4.234. Hydrogen can be used for high-efficiency power generation in fuel
cells with water as a product.
a. True
b. False
4.235. Heavier hydrocarbons with higher boiling points are condensed
at the lower levels in the distillation column.
a. True
b. False
4.236. Explain how Ljungström air preheaters work.
4.237. What is the difference between fuel resources and reserves?
4.238. Describe three types of fuel resources: proven (proved or mea-
sured), probable (or indicated), and inferred.
4.239. Which technology can be equipped with the dual register NOx
reduction technique (select all the correct ones)?
a. Mechanical stokers
b. Cyclones
c. Wall-fired pulverized burners
d. Corner-firing burners
e. Fluidized bed
4.240. If the price of coal goes down, coal reserves will … because …..
4.241. List major components of the fire side of a steam generator.
4.242. How do variable speed fans control the gas flow rate? How does
the rotational speed of a fan vary?
4.243. Which one of the following hydrocarbons has saturated structure?

H H H H H H
H H H H
H C H
H C C C C H
H C C C C H
C C
H H H H
H C H H H
H H

4.244. What type of coal ash collection and removal systems is typically
used in pulverized coal-burning systems?
4.245. What is the difference between free gas and dissolved natural gas?
4.246. Explain each of the following methods to provide air for combus-
tion and pros and cons of each:
Steam Generators: Fire Side 407

a. Natural draft
b. Forced draft (FD) fan
c. Induced-draft (ID) fan
d. Balanced draft
4.247. Describe the advantages and disadvantages of dampers to
regulate a gas flow rate.
4.248. Which one is a part of the fire side of a steam generator (check all
applicable)?
a. Fuel preparation equipment
b. Stokers
c. Furnace
d. Drum
e. Burner
f. Fans
g. Superheater
h. Emission control equipment
i. Stack
j. Waterwalls
k. Ash handling equipment
4.249. Explain the titling of a burner in the tangential firing system as a
steam temperature control system.
4.250. Which type of fuel needs a more extensive preparation process?
a. Solid
b. Liquid
c. Gas
4.251. Why is typically the tallest structure in a steam power plant the
stack?
4.252. Identify the following coal-burning systems.
408 Power Plant Engineering

(a)

(b) (c)

4.253. Describe the ultimate analysis of coal.

4.254. Briefly explain the operation principle of a cyclone furnace for
coal-burning. Draw a schematic of the system. What are the
advantages and disadvantages of the system?
4.255. Which one is not a measurable coal property?
a. Grindability
b. Ease of pulverization
c. Size
d. Combustibility
4.256. What are the three most common elements that can participate in
the combustion process?
4.257. What are the products of the complete combustion of carbon,
hydrogen, and sulfur? Write the combustion reactions.
Steam Generators: Fire Side 409

4.258. Name two coal pulverizing mechanisms and briefly explain their
operational principles.
4.259. Write the complete combustion reaction for methane and hydro-
gen with pure oxygen and then balance the reaction.
4.260. Briefly explain the operation principle of the cyclone-furnace fir-
ing and its advantages and disadvantages.
4.261. What is the theoretical air or stoichiometric air of combustion?
4.262. Describe the proximate analysis of coal.
4.263. In a combustion process, the theoretical air is the minimum
amount of air to provide enough oxygen for the complete com-
bustion of all combustible atoms.
a. True
b. False
4.264. In a combustion process with theoretical air, there is free oxygen
in combustion products.
a. True
b. False
4.265. Complete the following combustion reaction:

C x H y + ( x + y / 4) ( O 2 + 3.76N 2 ) →

4.266.
Use the following schematic to describe fluidized-bed combustion
systems. What is the main advantage of the system?

4.267. The coal composition analysis can be either …..

410 Power Plant Engineering

4.268. Which technology can be equipped with fuel staging or

reburning?
4.269. How does the desulfurization of the coal combustion process take
place in fluidized-bed combustion systems?
4.270. If the price of oil goes up, oil reserves will ….
a. increase
b. decrease
4.271. 200% of theoretical air means that the actual amount of air is ….
times of the theoretical air.
a. 1
b. 2
c. 3
d. 4
4.272. A slight shortage of oxygen leads to the appearance of some CO
instead of CO2 in combustion products.
a. True
b. False
4.273. Why is the steam content of combustion products an important
factor in designing any system involving combustion?
4.274. Write the complete combustion reaction for methane
and hydrogen with oxygen from air and then balance the
reaction.
4.275. What are the main components of coal?
4.276. Coal compositions and properties depend on:
a. the type of the original vegetation
b. the level of coalification
c. the amount of impurities
d. all of the above
4.277. Why alcohols are increasingly being used as fuel for various
applications?
4.278. If the global consumption of coal remains at the current level, the
global coal resources will be sufficient for ….
a. less than 50 years
b. between 100–300 years
c. about 500 years
d. more than 1000 years
4.279. Identify the following coal preparation systems.
Steam Generators: Fire Side 411

(a)

(b)

4.280. Describe the two combustion methods: suspension firing and

thin-bed combustion.
4.281. List different types of mechanical stokers.
4.282. Which one is a requirement for any fuel burning system?
a. Introduce and mix fuel and air for combustion
b. Ignite the mixture
c. Remove combustion products
d. All the above
4.283. What are the products of the complete combustion of carbon,
hydrogen, and sulfur? Write the combustion reactions.
4.284. Provide two examples of alcoholic fuels.
4.285. Identify different types of mechanical stokers (spreader stoker,
inclined grate, traveling grate stoker, overfeed stoker, or underfed
stoker)
Steam Generators: Fire Side 413

(a)

(b)

4.286. Name two types of coal pulverizer systems and briefly explain
their operational concepts.
4.287. Explain the horizontal wall-fired burners for natural gas and pul-
verized coal.
4.288. Diesel is primarily composed of many hydrocarbons, which are
represented by the average single hydrocarbon of octane (C8H18).
a. True
b. False
4.289. List three pollutants caused by the combustion of coal.
4.290. Why is not the vertical burner arrangement popular these days?
4.291. Gasoline is primarily composed of 40 hydrocarbons, which is rep-
resented by the average single hydrocarbon of octane (C8H18).
a. True
b. False
4.292. Explain the properties of anthracite coal.
4.293. Identify the characteristics of a good fuel burning system (select
all appropriate ones).
a. Maximum excess air
b. Minimal unburned fuel in the combustion products
c. Minimal auxiliary ignition energy input
d. Minimal NOx and SO2
e. Effective handling of ashes
f. Wide and stable firing range
g. Fast response to the required firing rate change
h. High availability
i. Low maintenance
5
Emission Reduction in Steam Generators

Abstract
Our standard of living depends not only on our material possession but
also on the environment that we live. The power generation industry
plays a major role in emitting air polluters. In this chapter, we will take
a look at the nature of these air polluters, their impacts on the environ-
ment, how they are produced during the combustion process, and most
importantly how they can be mitigated. In each case, we will consider
pre-combustion, during combustion, and post-combustion emission
reduction strategies. We will start with one of the most notorious air pol-
luters, nitrogen oxide emissions, also known as NOx. It will be explained
how NOx production contributes to the formation of acid rain and par-
ticulate matter emissions, to the greenhouse effect, and to the ozone layer
depletion. We will demonstrate how selective catalytic reduction can
effectively reduce NOx emissions. Next, we will take a look at sulfur oxide
emissions and their contribution to acid rain and particulate matter pol-
lutions. It will be described how wet flue gas desulfurization scrubbers
are commonly used to reduce these emissions. Then, we will study par-
ticulate matter emissions and their removal by electrostatic precipitators
and fabric filters. Finally, we will have an extensive discussion on global
climate change and why an apparently simple concept of rising Earth’s
average temperature is so complex and can potentially change human
civilization as we know. Then, various CO2 capture systems including
oxygen-firing systems, scrubbing post-combustion CO2 capture systems,
and CO2 capture by microalgae will be discussed. Finally, we will con-
clude the chapter with a brief discussion on other emissions and environ-
mental problems associated with fossil fuel-fired steam generators.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• describe the contribution of the power generation industry to air

pollution
• identify the sources of air pollution in steam generators

415
416 Power Plant Engineering

• explain the nature of nitrogen oxide emissions, their impacts on

human health and the environment, their sources, and their mitiga-
tion strategies
• explain the nature of sulfur oxide emissions, their effects, their
sources, and their mitigation techniques
• explain particulate matter emissions, their sources, and their removal
methods
• describe global climate change, its causes, its feedback mechanisms,
and its complexities
• explain various CO2 capture systems

5.1 I ntroduction
So far in all our discussions, we repeatedly considered economic consider-
ations as one of the most important factors, if not the most important fac-
tor, in the design and operation of power generation systems. However, we
can all agree that our well-being is not limited to our material possession.
The environment that we live in is a critical factor in determining our stan-
dard of living. In this chapter, we will look at some of the most important
environmental impacts of fossil fuel power generation, and how they can be
mitigated.
The combustion process, even in the most advanced and efficient com-
bustion system, creates pollution. There are various methods to reduce or
eliminate some of this pollution. The dilemma is that the construction of
these emission control systems and providing resources for their operation
require industrial activities and processes that lead to further pollution.
A few years ago the author toured one of the nation’s largest coal power
plants where some of the most advanced air pollution reduction systems
were installed. These systems consumed a lot of chemicals that the engi-
neers working in the plant did not refer to the plant as a power plant; rather,
they sarcastically called it a “chemical plant”. Emission control systems may
also reduce the plant efficiency, which, in turn, means more fuel should be
combusted with further pollution to make up for the lost power. These con-
flicting factors require careful study and tradeoff between all the involved
factors. Otherwise, we may end up with not only a higher cost of power
production but also more negative environmental impacts. This requires
life-cycle emission analyses of the entire system.
In the U.S., air pollution is regulated by the 1963 Clean Air Act (CAA).
This act preceded the 1955 Air Pollution Control Act by providing limita-
tions to the air pollution of stationary sources, including power generation
units. The following Air Quality Act of 1967 added emission limitations for
Emission Reduction in Steam Generators 417

mobile pollutants such as vehicles. A major portion of these two acts were to
develop the National Ambient Air Quality Standards (NAAQS) to limit the
emissions of carbon monoxide, nitrogen dioxide, sulfur dioxide, particulate
matters, hydrocarbons, and photochemical oxidants (as you may note carbon
dioxide is noticeably missing in this list). The objective of these limitations is
to mitigate air pollution-related health hazards such as acid rain and smog
(again the greenhouse effect and climate change are missing). These limita-
tions are categorized as those that are threat to human health, referred to
as the primary standards, and those that are hazardous to the environment
referred to as the secondary standards. Since then several amendments have
been added to these acts. The collective consequences of these acts have been
substantial improvements in air quality, particularly in large cities and urban
areas.
Generally speaking, air pollutants are substances added to the atmo-
sphere that can hurt human health or the environment. They can be in the
form of gases, solid particles, or liquid droplets. In this section, we will
review some of the most important air pollutants and how their impacts
can be reduced. We will start with nitrogen oxide emissions, followed by
sulfur oxide and particulate matter emissions. Then, we will discuss about
climate change and greenhouse gas (GHG) emissions. We will conclude
with a brief review of some other environmental problems associated with
fossil fuel power generation. A schematic diagram of a steam plant with
some of these air pollution reduction systems is presented in Figure 5.1.
We will refer back to this figure throughout the chapter.

Flue gas

Flue gas
desulfurizer
Steam generator

Electrostatic Stack
precipitator or
Air preheater
fabric filter

Selective Ash
catalytic ID fan
reduction (SCR)
system

FIGURE 5.1
Schematic of a typical arrangement of air pollution control systems in a steam power plant.
418 Power Plant Engineering

5.2 Nitrogen Oxide Emissions

Nitric oxide (NO) and nitrogen oxide (NO2), collectively referred to as the
oxides of nitrogen or NOx (rhymes like “fox”), are two major air pollutants.
These should not be confused with nitrous oxide (N2O), which is a green-
house gas. A great majority of NOx is NO with less than one-tenth being
NO2. The combustion of fossil fuels is the most important source of NOx pro-
duction. The mechanisms for NOx formation were discussed in the previ-
ous chapter. The productions of NOx and CO contradict each other. While
the high concentration of oxygen during the combustion process reduces
the production of CO, it can increase NOx production. NOx emissions can
contribute to several environmental phenomena, including acid rain, smog,
ground-level ozone, and particulate matter emissions (we will discuss these
phenomena later in this chapter).
One of the major problems created by NOx emissions is a phenomenon
called the photochemical smog or just smog.1 As the name implies, this event
is assisted by solar radiation and is common in summer in much polluted
urban areas. Perhaps the most famous smog in history was the 1952 Great
Smog of London, which killed approximately 4000 people in just four days
(refer to FYI box 2.1 on “Capital punishment for burning coal” in Chapter 2).
The processes that lead to this severe air quality problem are complicated
and have several contributing factors. Here a rather oversimplified version
will be briefly presented. For this phenomenon to happen, first solar radia-
tion should decompose NO2 according to the following reaction:

Solar radiation + NO 2 → NO + O (5.1)

The created free oxygen then reacts with an atmospheric oxygen atom
forming ozone.

O + O 2 → O 3 (5.2)

Unlike ozone in the upper atmosphere (more on this later in the chapter),
on the ground-level ozone is a major hazard for human health and the envi-
ronment. Repeated or prolonged exposure to a high concentration of ozone
can cause respiratory diseases. This ozone and other pollutants that are not
directly released by emission sources are known as the secondary pollut-
ants. The emissions that are directly emitted by sources are referred to as the
primary pollutants.
Normally ozone can react with NO to reform NO2 via the following
reaction:

NO + O 3 → O 2 + NO 2 (5.3)

1 The word smog is a combination of smoke and fog in reference to smoky fog associated with
the phenomenon.
Emission Reduction in Steam Generators 419

Depending on the atmospheric conditions, this reaction can reach equilib-

rium. While NO is colorless, NO2 is brown and combines with other pollut-
ants to give smog a reddish-brown color. NOx emissions can also form nitric
acid (HNO3) through the following reaction and other acidic compounds that
not only contribute to smog but can also contribute to acid rain (which will be
discussed later in the chapter). However, the contribution of NOx emissions
to acid rain is less than that of SOx.

NO 2 + OH → HNO 3 (5.4)

As if this is not bad enough, the presence of hydrocarbons from incomplete

combustion makes the situation much worse. The reactions of hydrocarbons,
ozone, and other primary pollution sources form organic radials such as perox-
ylacyl nitrates (commonly known as PANs). These nitrates can contribute to par-
ticulate matter pollution. They are not only harmful on their own but can also
accelerate NO2 production and slow the disassociation of ozone (reaction 5.3).
The combination of all these processes and some others creates an atmo-
spheric condition that can negatively impact long-term human health and
the environment. However, when they coincide with another atmospheric
event called a temperature inversion or simply an inversion, they can cause
immediate threats (for more on the temperature inversion phenomenon refer
to FYI Box 5.1).

FYI BOX 5.1

TEMPERATURE INVERSION PHENOMENON
In normal atmospheric circumstances, solar radiations heat the ground.
The hot ground then heats the air layer closest to the ground, which, in
turn, heats air layers at higher elevations. This results in an air tempera-
ture profile where the temperature reduces with increase in elevation.
Since the density of air increases with decrease in its temperature, this
normal temperature profile creates a natural air circulation from the
ground to higher elevations. This flow helps to remove the pollution
over cities from the ground level. The pollution can eventually disperse
by wind at higher elevations. If this air temperature profile is reversed
for whatever reason a temperature inversion phenomenon, or simply
an inversion, occurs. In this case, a layer of hot air blankets the cold air
close to the ground level. This phenomenon stops the abovementioned
air circulation and results in the accumulation of primary and second-
ary air pollution close to the ground. This can turn into smog where
reddish-brown pollution can even block solar radiations during the day
from reaching Earth’s surface. This combination can be deadly, particu-
larly for vulnerable population, such as elderly, children, and people
with existing respiratory problems.
420 Power Plant Engineering

In summary, NOx emissions contribute to smog as both a primary pollut-

ant and a facilitator to form secondary pollutants. They can also contribute to
the formation of acid rain and particulate matter emissions, the greenhouse
effect, and ozone layer depletion. Therefore, they are the most notorious air
pollutants with devastating impacts on humans and the environment. The
fact that they can be transported for long distances from sources of emissions
makes them hazardous even for locals living far from industrial facilities.
As a consequence, they are heavily regulated, and there are strict limitations
on how much NOx industrial facilities can emit. In the rest of this section,
we will briefly review how NOx generation can be substantially reduced in
power plants.

FYI BOX 5.2

OZONE LAYER DEPLETION
The impacts of ozone in the upper atmosphere and on the ground
level are entirely different. While the former is essential to sustain
life on Earth, the latter is quite harmful for human health and the
environment. In the upper atmosphere, the ozone layer absorbs harm-
ful ultraviolet (UV) solar radiation. It should be noted that while it is
called the ozone layer, it is not a layer of pure ozone or even mostly
ozone. In fact, the ozone layer is referred to as a portion of the upper
atmosphere with a thickness of a few kilometers. This thickness var-
ies at different locations and can be up to 20 km (about 12 miles). In
this relatively thick layer, there is a high concentration of ozone. While
this concentration is over an order of magnitude higher than the aver-
age ozone concentration in the entire upper atmosphere, it is in reality
just several ppm. If all the ozone in the ozone layer is concentrated in a
layer of pure ozone, it would be just a few millimeters thick. Any sub-
stance that can ascend to the level of the ozone layer and can release
free radicals can react with ozone, and convert it to regular oxygen
atom (the reverse of the reaction in Equation 5.2). This phenomenon
is referred to as ozone depletion and can be accelerated by atomic
chlorine (Cl), nitric oxide (NO), and some other substances. The most
important contributors to ozone depletion are chlorofluorocarbons,
which were preferred refrigerant for much of the 20th century. In the
1970s and 1980s, there were major concerns over the reduced concen-
tration of ozone in the ozone layer, commonly but somewhat mis-
leadingly referred to as “ozone holes”. These concerns led to one of
the most successful international collaborations ever known as the
Montreal Protocol in 1987. The policy first banned the use of ozone-
depleting substances in industrialized countries and then provided
funds for developing countries to do so.
Emission Reduction in Steam Generators 421

5.2.1 Reduction of Nitrogen Oxide Emissions

In Section 4.6.4.1 two mechanisms for NOx production in the combustion of
fossil fuels, particularly coal, were presented as thermal NOx production and
fuel NOx production. The reduction of NOx emissions can be achieved by pre-
combustion, during combustion, and post-combustion controls. If possible,
pre-combustion fuel switching is the simplest and most inexpensive NOx
reduction strategy for fuel NOx production, particularly for coal. Generally,
subbituminous coal, which is typically produced in the western states in the
U.S., has a lower nitrogen content than that of bituminous coal, which is typi-
cally produced in the eastern states in the U.S. This significantly reduces fuel
NOx production through the combustion of these coal types. Furthermore, in
some combustion methods, the high moisture content of subbituminous coal
compared to that of bituminous coal can reduce the combustion temperature,
which, in turn, can reduce thermal NOx production.
Several techniques that can be utilized to reduce NOx production during the
combustion process, such as air or fuel staging, were extensively explained in
Chapter 4. While these technologies are effective in lowering NOx formation,
they alone typically cannot meet regulatory limitations and post-combustion
NOx reduction techniques are needed to further reduce NOx emissions. In
this section, we will focus on post-combustion NOx reduction technologies.
These technologies can be divided into two categories: selective catalytic
reduction (SCR) or selective non-catalytic reduction (SNCR). In both meth-
ods a reagent, such as ammonia (NH3), is injected into the flue gas flow to
reduce NOx to nitrogen and water. For example, in the case of ammonia as
the reagent, a combination of the following reactions takes place:

4NH 3 + 4NO + O 2 → 4N 2 + 6H 2 O (5.5)

8NH 3 + 6NO 2 → 7N 2 + 12H 2 O (5.6)

2NH 3 + NO + NO 2 → 2N 2 + 3H 2 O (5.7)

Since a great majority of NOx is NO, the first reaction is the dominant one.
It should be noted that these reactions are exothermic but the amount of
released heat is very small because of the small number of NOx molecules in
the flue gas flow. SCR systems are very effective in reducing the NOx level by
removing NOx present in combustion products. While SNCR systems are less
effective, they are less costly.

5.2.2 Selective Catalytic Reduction

SCR systems are currently the most commonly used NOx reduction tech-
nology in power generation units (and a host of other industries). They can
422 Power Plant Engineering

be applied to steam power plants, gas turbines (Chapter 9), combined cycle
power plants (CCPP) (Chapter 10), and internal combustion engines. They
are also compatible with almost every fuel type. In steam generators, they
can be used for most combustion technologies.
In SCR systems, a reagent, primarily ammonia, is injected into combus-
tion products via a network of injectors (Figure 5.2). The mixture then
passes across a catalyst. The catalyst promotes the NOx reduction process
to produce nitrogen gas and steam. These reactions are favored at the
temperature of about 250°C–400°C (about 500°F–750°F). In a utility steam
generator, this temperature corresponds to the temperature of the flue gas
after the economizer and before entering the air preheater (Figure 5.1).
However, for high-ash fuels at this point the ash-laden flue gas may clog
the catalysts. To avoid this problem, sometimes SCR systems are installed
after the air preheater and dust collector. In these systems, the temperature
of the flue gas should be increased by a heat exchanger or a burner before
entering the SCR system.
In SCR systems, first ammonia should be prepared at an appropriate con-
centration. Ammonia can be delivered to the plant as nearly pure ammonia
(since it contains no water, it is typically referred to as anhydrous ammonia),
ammonia diluted in water (aqueous ammonia), or urea (in liquid or solid
form). The latter is sometimes preferred due to the safety of its transportation
and storage. In this case, ammonia is produced by the reaction (hydrolysis) of
urea ((NH2)2CO) and water as follows:

( NH 2 )2 CO + H 2 O → 2NH 3 + CO 2 (5.8)

Ammonia Mixing vanes

injection grid
H 2O
NOx N2
NH3
N2
NOx
NOx H 2O Flue gas
NOx NOx
with no
N2 or little
gas
Flue NOx
NOx
NH3 H 2O
NOx NOx
NOx NH3

Catalyst

FIGURE 5.2
Schematic of a selective catalytic reduction (SCR) system.
Emission Reduction in Steam Generators 423

The ammonia preparation subsystem is composed of the delivered raw mate-

rial unloading, storage, and handling facility, as well as the ammonia prepa-
ration facility. The required components of the ammonia preparation facility
depend on the nature of the delivered ammonia-containing substance and can
include a water mixer, ammonia evaporator, air blower and mixer (to dilute
evaporated ammonia), and flow controllers, as well as the required piping sys-
tems and valves. The reaction in Equation 5.5 (the predominant reaction for
NOx removal) indicates that in an ideal condition, i.e., a perfect mixture where
all molecules of the reagent participate in the reaction, for each mole of NO,
one mole of ammonia is needed. However, due to the nonuniform mixture of
ammonia and flue gas, slightly more ammonia should be injected. This can
result in excess ammonia, referred to as ammonia slip, in the outlet flow from
the system, which is undesirable and should be minimized.
Whenever there is a need for NOx reduction, the prepared ammonia is
transferred to a grid of injectors where the mixture is injected into the flue
gas flow. To create the maximum uniformity in the flow, static mixers (mix-
ing vanes) can be installed after the injectors and before the catalyst. The
system can be equipped with dampers to control and stop the flow if needed.
To distribute the flow as uniformly as possible on the catalyst, flow distribu-
tors can also be used.
The catalyst is primarily made up of vanadium oxide or titanium dioxide.
The catalyst can be made from these materials or they can be coated on a
stainless steel plate or a glass fiber substrate in the shape of straight plates,
corrugated plates, or honeycomb (Figure 5.3). Like any other catalyst, the cat-
alytic materials are not consumed but accelerate the reactions, though they
deteriorate with time. The main catalyst design parameters are its surface
area and its concentration. To increase these factors and maximize the flue
gas and catalyst contact, the catalyst is commonly made of a porous material.
The catalyst can be equipped with a cleaning device, such as a sootblower,
particularly if the flue gas is heavily ash-laden.
The entire system is enclosed in a large steel container, referred to as a
reactor. The reactor should be large enough to provide the required residence
time for the NOx removal reaction to take place. Depending on the plant’s

FIGURE 5.3
Schematic of catalyst configuration for an SCR system.
424 Power Plant Engineering

configuration and space availability, the flow of flue gas in the reactor can be
vertical or horizontal.

5.2.3 Selective Non-catalytic Reduction

In SNCR systems, ammonia or urea is used to remove NOx with no catalyst.
This process takes place at a much higher temperature, typically 900°C–1100°C,
than that in SCR units. Therefore, these units are typically installed inside the
furnace at its upper section. The reactions of ammonia and NOx are according
to Equations 5.5–5.7. In the case of urea, the reaction is as follows:

2 ( NH 2 )2 CO + 4NO + O 2 → 4N 2 + 4H 2 O + 2CO 2 (5.9)

The effectiveness of SNCR systems is much less than that of SCR systems.
They can typically remove between 30% and 50% of NOx emissions from the
flue gas flow.

5.3 Sulfur Oxide Emissions

In Chapter 4, we discussed that sulfur is one of the elements in fuels that can
burn according to the following reaction and slightly contribute to its heat
content:

S + O 2 → SO 2 (5.10)

A large majority of sulfur during the combustion process is converted to sul-

fur oxide (SO2). However, a very small amount of sulfur oxide (typically less
than 1%) is further oxidized to form sulfur trioxide through the following
reaction:

2SO 2 + O 2 → 2SO 3 (5.11)

Sulfur oxides, also referred to as SOx, are colorless gases with a strong smell
(similar to the smell of a match right after being struck). When it rains in
an area with a high concentration of SO2 and SO3 in the atmosphere, water
droplets react with these gases and form diluted sulfuric acid according to
the following reactions:

2SO 2 + 2H 2 O + O 2 → 2H 2 SO 4 (5.12)

SO 3 + H 2 O → H 2 SO 4 (5.13)
Emission Reduction in Steam Generators 425

This acid along with nitric acid (formed by NOx emissions according to the
reaction in Equation 5.4) together forms acid rain. Acid rain can not only
harm human health but also cause the defoliation of trees and plants as
well as corrosion in buildings and other structures. An increase in the acid-
ity of lakes, rivers, and streams can also severely damage their ecosystems.
Sulfur oxides also contribute to particulate matter pollution by forming
particulate sulfates (these sources of pollution will be discussed later in the
chapter).
Reduction in sulfur oxide pollution can be achieved through one or a com-
bination of the following strategies: pre-combustion, during combustion,
or post-combustion. The pre-combustion sulfur oxide reduction approach
primarily means switching from high sulfur fuels, such as bituminous coal,
to low sulfur ones like subbituminous or lignite. In some plants, two types
of coal are mixed with a varying ratio to achieve a desirable mixture that can
meet regulatory limits while allowing the plant to operate efficiently and
economically. Most of the sulfur oxide emission reduction in the U.S. is cur-
rently attributed to the abovementioned fuel switching. Furthermore, crys-
talized (pyritic) sulfur can be removed from coal by a coal washing p rocess
before combustion.
Some fuel combustion technologies allow the removal of simultaneous
sulfur oxide and combustion processes. In the previous chapter, we dis-
cussed how fluidized-bed combustion systems have an inherent capability
to remove the majority of sulfur oxide emissions during the combustion pro-
cess. In the following section, we will briefly review post-combustion sulfur
oxide removal systems.

5.3.1 Reduction of Sulfur Oxide Emissions

Since sulfur oxides are acidic gases, we naturally need an alkaline reagent
to remove and neutralize them. While any alkaline substance, such as
dolomite (calcium magnesium carbonate, CaMg(CO3)2), lime (CaO), caustic
soda (sodium hydroxide, NaOH), or ammonia, can be used as a reagent
in sulfur oxide reduction systems, the most common reagent is limestone
(CaCO3). These systems can be categorized as wet, semi-dry, or dry sys-
tems. A great majority of the currently used sulfur oxide reduction sys-
tems in power generation plants are wet systems. These wet systems are
very effective in removing sulfur oxides. They can remove 85%–98% of
SO2 and SO3 from combustion products. These systems along with sev-
eral other systems that are used to remove other pollutants are collectively
referred to as scrubbers.

5.3.2 Wet Flue Gas Desulfurization

As noted, the most common reagent used in wet flue gas desulfurization
(WFGD) systems is limestone. In the most fundamental and simplest form,
426 Power Plant Engineering

limestone (mostly CaCO3) can react with sulfur oxide to form calcium sulfite
(CaSO3) and carbon dioxide through the following reaction:

SO 2 + CaCO 3 → CaSO 3 + CO 2 (5.14)

In wet scrubbers, limestone and water are mixed to form slurry. The heart
of every scrubber is an absorber tank or module where the flue gas flow
and limestone slurry can interact. Since the above reaction does not require
high temperature, the absorber module is typically located right before the
stack (Figure 5.1). Each steam generator may have its own dedicated scrubber
unit or one scrubber unit can serve several steam generators. While there are
several types of absorber modules, here we will focus on the most common
design called the spray tower. A spray tower is typically a vertical vessel
with a diameter of up to 25 m (about 80 ft) and a height of up to 50 m in which
the flue gas flow (about 165 ft) enters approximately at the middle and moves
upward (Figure 5.4). The bottom half of the absorber is filled with slurry. The
slurry is pumped to the upper portion of the tank where it is sprayed into
the ascending flue gas flow. To maximize the surface area of the interaction
between the slurry and the flue gas, some nozzles are used to convert the
flow of the slurry to fine droplets. The interaction between the flows mov-
ing at the counterflow direction results in the absorption of sulfur oxides by
slurry droplets (Equation 5.14). To further increase the interaction between
the flows and to increase the residence time, one or two perforated plates
(trays) may be installed below the slurry nozzle grid. The perforated plates
also assist in the more uniform distribution of the flue gas flow (in fact in
this function of the plates can be more important than the one described
in the previous sentence). To reduce the carryover of fine slurry droplets,
a set of separators is installed above the nozzle grid. The mixture of the
reacted and unreacted slurry drops back to the bottom of the vessel, which
is then recycled back to the nozzles via a pump (Figure 5.4). To compensate
for the reacted limestone, a fresh makeup slurry is continuously added to
the absorber tank. The slurry accumulated at the lower half of the tank not
only feeds the pump, collects the returning slurry droplets, and receives the
makeup slurry, but also provides sufficient residence time for the completion
of limestone and sulfur oxide reactions. For this reason, while the upper half
of the tank is known as the absorption zone, the lower half is referred to as
the recirculation, reaction, or oxidation zone (the reason for the latter name
will be discussed below). It should be noted that wet scrubbers can also be
helpful for the removal of particulate matters.
The clean flue gas exits at the top of the tower toward the stack. However,
the interaction between the relatively hot flue gas flow and the slurry results
in the evaporation of a significant amount of water into the flue gas, which,
in turn, reduces the gas temperature. This presence of high humidity in the
exhaust flow can cause condensation and corrosion in the stack and ducts
leading to the stack. It also creates plumes after the exhaust flow leaves the
Emission Reduction in Steam Generators 427

Flue gas with no

or little SO2 to stack

Separators
Spray tower or Limestone
absorber tank bin

Raw
Absorption Slurry limestone
zone Tray
nozzles
Pulverized
Flue gas limestone

Mixer

Recirculate
/reaction/ Pump Air
oxidation zone Ball mill
pulverizer
Fresh
slurry Slurry
tank
Slurry
Gypsum

FIGURE 5.4
Schematic of a wet flue gas desulfurization system.

stack. Furthermore, the reduced temperature of the exhaust flow decreases

its buoyancy and its ability to rise and properly intermix with the atmo-
spheric air. To avoid the problem of corrosion, the ducts and stack can be
made up of or lined with materials that can stand corrosion. However, this
cannot address the other two problems. To eliminate all these problems, the
clean humid flue gas is typically reheated after leaving the scrubber. For this
purpose, the outlet flow of the scrubber can pass through a heat exchanger
that is heated by the hot flue gas before entering the scrubber or steam from
the power cycle. Alternatively, the outlet flow of the scrubber can be mixed
with hot air from the air preheater or a portion of the flue gas that bypasses
the scrubber.
The spent reagent either can leave the process by converting it to a byprod-
uct or can be sent to a regeneration process where sulfur is extracted in the
form of elemental sulfur (a marketable byproduct). In the latter approach,
the regenerated reagent is recycled back to the scrubber. However, due to the
complexity of the regeneration process and more importantly its high cost
compared to purchasing fresh inexpensive reagent, the regeneration system
is not commonly used.
In the case of limestone slurry as the reagent, the spent limestone (cal-
cium sulfite, CaSO3 from the reaction in Equation 5.14) is converted to CaSO4
by injecting air into the lower portion of the scrubber while the mixture is
stirred by mixers (Figure 5.4). That is why this part of the tank is sometimes
428 Power Plant Engineering

referred to as the oxidation zone. After dewatering the byproduct (CaSO4), it

is industrially known as gypsum. Gypsum is a marketable byproduct that
can be used to make drywall, plaster, cement, and fertilizers.
A sulfur oxide reduction facility also requires the reagent preparation
unit. The components of this unit depend on the type of the reagent and the
state in which it is delivered to the plant. The unit can include a dry-reagent
storage tank, a reagent pulverizer, a reagent and water mixer, and a slurry
storage system (Figure 5.4).

5.3.3 Dry and Semi-dry Flue Gas Desulfurization

Chemically speaking dry scrubbers are similar to wet ones but instead of
wet slurry, a dry reagent is injected into the flue gas. In semi-dry systems,
the reagent is in the form of thick slurry with little water. After injection, the
water is immediately evaporated and a majority of the absorption reactions
takes place while the reagent is solid. In these systems typically pulverized
lime (CaO) with very fine particles is used. To collect reacted and unreacted
reagent particles, dry scrubbers should be installed at the upstream of a dust
collector. Either a filter collector or an electrostatic precipitator (ESP) can be
used for this purpose (these collectors will be discussed later). Dry and semi-
dry scrubbers are simpler and require lower capital costs compared to those
of wet scrubbers. However, due to the higher cost of the reagent in these
systems, they are commonly used in small units and for applications with a
lower concentration of sulfur oxides in the flue gas.

5.3.4 SO3 Reduction
The reaction presented in Equation 5.14 indicates that scrubbers can only
absorb sulfur oxide (SO2) and not sulfur trioxide (SO3). As noted earlier, the
concentration of sulfur trioxide in flue gas is very small compared to that
of sulfur oxide. However, the presence of a catalyst in a SCR system can
promote the conversion of sulfur oxide to sulfur trioxide. But even with
this boost, the contribution of sulfur trioxide to sulfur oxide emissions is
small, perhaps less than 4%. Nevertheless, even such a small amount of
sulfur trioxide can be problematic. Sulfur trioxide can react with steam in
the flue gas at the low temperature end of a steam generator where the
gas temperature is well above the condensation temperature of steam. This
reaction forms vapor sulfuric acid (H2SO4). This vapor can condense to very
small droplets that cannot be removed with conventional filters. They not
only cause corrosion of steam generator components but also create a vis-
ible plume, especially when a wet scrubber is used. Another problem with
SO3 is that in plants with SCR units, SO3 reacts with ammonia slip to form
solid particles that contribute to particulate emissions and the erosion of
equipment.
Emission Reduction in Steam Generators 429

Several methods have been used to reduce SO3, including the injection of
alkaline substances such as ammonia or calcium oxide in wet or dry forms,
cooling the flue gas by water injection, and using wet precipitators. However,
no predominant approach has universally emerged yet.

5.4 Particulate Matter Emissions

Most fuels produce a substantial amount of particulate matters when com-
busted. These emissions can be primary or secondary emissions. The pri-
mary emissions can be in the form of noncombustible matters (i.e., ash) or
unburned carbon particles. For example, coal can contain up to 30% non-
combustible components that are eventually converted to ash. As noted in
Chapter 4, some of this ash is collected at the furnace of steam generators as
the bottom ash, while the rest is carried from the furnace by the flue gas as
fly ash. In previous sections, we discussed how nitrogen oxides and sulfur
oxides can contribute to particulate matter emissions by forming second-
ary emissions. The amount, size, and shape of produced particulates during
combustion depend on the combusted fuel and the firing system used to
burn the fuel.
Several physical principles have been employed for the separation of solid
particles from combustion product gases, namely the gravity, centrifugal
effect, electrical fields, fabric filters, and scrubbers. In this section, two tech-
nologies that are most commonly used to remove these emissions, namely
ESPs and fabric filters, will be discussed. Both these systems can be typically
installed before the sulfur oxide scrubber or, if the plant is not equipped
with a scrubber, right before the stack (Figure 5.1).

5.4.1 Electrostatic Precipitators
ESPs use electrical fields to remove solid particles from flue gas. They charge
particulate matters with an electrical charge and then use an electrical field
to collect the charged particles. With the capability of removing over 99% of
solid particles from flue gas, these systems are very effective. Due to their
mechanical simplicity, they require low maintenance and impose little pres-
sure drop on the flow. Moreover, their performance is not impacted by condi-
tions of the flue gas flow such as the size, shape, and amount of solid particles
and the temperature and moisture content of the flow. They can be a dry type
or wet type. We will first discuss the dry type.
Like any other electrical device working based on electromagnetic fields,
ESPs need a positive electrode and a negative one. The positive electrodes
are large parallel vertical plates, also referred to as curtains (Figure 5.5).
430 Power Plant Engineering

Uncharged
particulates Collecting
electrodes

Electric
Dust-ladon fields
flue gas
Clean flue
gas

Ground

Negatively
charged Collected Discharge Collecting
particulates particulates electrodes electrodes

FIGURE 5.5
Schematic of a dry electrostatic precipitator.

These metallic electrodes are electrically grounded. The gap between two
plates can be up to 0.5 m. The negative electrode is placed between the paral-
lel plates. The solid particles in the flue gas are induced by negative charges
from the electric field near the negative electrode. For this reason, the central
negative electrode is sometimes called the discharge electrode (Figure 5.5).
The negatively charged particles are then attracted to the positive electrodes
where they adhere together to form a layer (a sheet). That is why the plates
with positive charges are also known as collecting electrodes. When a certain
amount of solid particles is collected, the collecting electrodes are mechani-
cally struck by a weight, which separates sheets of collected particulates
from electrodes. They fall into the hoppers below them and are removed
from the system.
To ensure the sufficient removal of particles, a couple of these plates may
be placed in series, the outlet flow of one being the inlet flow of the next
(Figure 5.5). An ESP is composed of many of these units in parallel. The flow
distributors are used to ensure a uniform distribution of the inlet flue gas
among these units. The entire system is enclosed in a carbon steel casing.
ESPs also require an electrical system where AC power is converted to DC
power at the voltage of about 50–100 kV.
While dry ESPs are very effective in removing most solid particulates, they
are not as effective in removing sulfuric acid mists (formed by the reaction
of SO3 and steam) and very fine particles. Wet electrostatic precipitators
(WESP) can be used to remove these emissions as well as everything that an
ESP can remove. In terms of the operational principles and physical compo-
nents, WESPs are similar to ESPs but instead of the mechanical removal of
collected particles, water spray or a water film on the collector surface is used
to remove them.
Emission Reduction in Steam Generators 431

5.4.2 Fabric Filters or Baghouses

Fabric filters or baghouses can be used to remove solid particles from flue
gas. Like any other filter (such as face masks), in these systems flue gas passes
through the porous fabric of filters where particles are trapped while gases
pass through (more on this below). Similar to ESPs, they have a high particle
removal efficiency; however, they are sensitive to the level of moisture in the
flue gas flow. They can remove even very fine particles.
These units are typically composed of many small diameter long verti-
cal bag filters commonly made of cotton cloth or glass fibers. Thousands of
them can be arranged in several compartments. Each compartment can be
isolated individually by dampers for cleaning2 and replacement of the filters.
The direction of the flue gas can be either from the inside of the filter to the
outside or the opposite. In the former, particles are collected inside the filter
and they are referred to as inside-the-bag filters. When the flue gas flows
from the outside to inside of the filter, the particles are collected outside the
filter and they are known as outside-the-bag filters (Figure 5.6).
As noted above in these filters, solid particles are trapped by the porous
fabric of the filter. This is the main filtration mechanism when the filters are
clean. When particulates are gradually accumulated, the flue gas has to pass
through this layer of porous solid particles, which is referred to as a dustcake.
The passing of the flue gas through the dustcake significantly contributes to

(a) (b)

FIGURE 5.6
Schematic of (a) an inside-the-bag filter (b) an outside-the-bag filter.

2 Some filters have a cleaning system that performs cleaning while the system is operating.
432 Power Plant Engineering

the filtration process. In fact, it may become the main separation process.
While the presence of a dustcake can assist in the filtration process, too much
particle accumulation can impose a high pressure drop on the flue gas flow.
To determine the appropriate time to clean filters, typically the pressure
drop across them is used as the determining parameter, though some units
use a predetermined number of hours of operation for this purpose. The fil-
ter cleaning mechanism depends on the type of filters. For inside-the-bag
filters, either a reverse gas flow or a mechanical shaker is used (Figure 5.7a
and b). In the former, the saturated filter compartment is isolated by isolation
dampers. Then, a dedicated fan is used to send a reversed gas flow to remove
the collected particles. Alternatively, the filters can be mechanically shaken
to dislodge dustcakes. For outside-the-bag filters, the pulse jet cleaning tech-
nique is typically used where pulses of high pressure air are sent toward the
filters to create shock waves to dislodge dustcakes (Figure 5.7c). This cleaning
method can be implemented while the filters are either isolated or in service.
In all cases, the removed dust from filters is collected by a hopper below the
filters and transferred out of the system. In all these techniques the system is
designed to leave some dust on the filters to assist the filtration process at the
beginning of the next round.
While the particulate removal systems discussed above are the most com-
monly used systems in utility power plants, there are also other methods

(a) (b) (c)

FIGURE 5.7
Schematic of various filter cleaning mechanisms. (a) Reverse gas flow, (b) mechanical shaker,
(c) pulse jet.
Emission Reduction in Steam Generators 433

for this purpose, including settling chambers, mechanical collectors such as

cyclones, and wet particulate scrubbers. These systems are used in some spe-
cial applications.

5.5 Global Climate Change and Greenhouse

Gas (GHG) Emissions
Once, not long ago, a contested and perhaps unlikely doomsday scenario
for the end of the 21st century or so, global climate change has become a
new reality in our daily life. Hardly a day passes without new evidence for
the phenomenon being presented. Likewise, every day there are big or small
events that are being attributed to climate change. If unchecked, changes in
global climate can cause disasters like of which have never been seen by the
human race. These changes can be to a large degree irreversible.
Global climate change refers to a wide variety of changes on Earth as
a result of the rising average temperature of Earth. It used to be (and still
sometimes is) referred to as global warming. However, this term might be
misleading since a rise in the average temperature may not be reflected
in a local temperature increase everywhere. In this section, we will briefly
review the causes of climate change, the contribution of the power genera-
tion industry, and the methods and technologies to address that.

5.5.1 Causes of the Climate Change

Earth receives solar radiation from the Sun and radiates energy back to space.
Climate change is all about the imbalance of the received and emitted energy
on Earth. Before we discuss this energy balance, we need to understand the
relationship between the wavelength of the radiation emitted by an object,
the temperature of the emitting object, and the greenhouse effect.
We know that any object at the temperature above the absolute zero, 0 K
or −273.15°C (0°R, Rankine or −459.67°F), emits thermal energy in the form of
electromagnetic waves. The distribution of this emitted energy is a function
of the temperature of the body emitting the energy. According to Planck’s
radiation law (named after Max Planck, German physicist, 1858–1947)3
increasing this temperature will increase the total radiated energy and will
reduce the wavelength of the maximum emitted energy.4 This means on
average a body with a higher temperature will radiate at shorter wavelengths

3 Planck’s radiation law is considered as the birth point of the quantum theory for which he
received the Nobel Prize in Physics in 1918.
4 Planck’s radiation law is for a black-body radiation but can be qualitatively applied to other

objects too.
434 Power Plant Engineering

compared to that of a lower temperature object. This helps us to understand

the nature or more precisely the wavelength of solar radiation and the energy
emitted by Earth’s surface. This indicates that considering the temperature of
the Sun (at about 5500°C) compared to Earth’s temperature, the solar radia-
tions are at much shorter wavelengths compared to that of the energy radi-
ated from Earth’s surface.5
The last piece of the puzzle that we need to know is GHGs and their behav-
iors when they are exposed to electromagnetic waves. Most of Earth’s atmo-
sphere is composed of non-greenhouse gases such as nitrogen, oxygen, and
argon (with about 78%, 21%, and 1% of the atmosphere, respectively). These
gases are equally transparent to the entire spectrum of electromagnetic radi-
ation. However, due to their molecular structure, GHGs such as water vapor
and carbon dioxide are only transparent to short wavelength radiations. They
absorb and emit radiation with long wavelengths. As will be observed next,
while a tiny percentage of Earth’s atmosphere is CO2 (about 0.04%), this along
with other GHGs, mainly water vapor, has a substantial impact on Earth.
Now let us take a look at what happens when solar energy is intercepted
by Earth. Solar radiation first needs to pass through Earth’s atmosphere
(Figure 5.8). When solar energy reaches the atmosphere, some of its energy is
reflected back into space by clouds. Due to the short wavelength of solar radi-
ation, the rest of solar radiation reaches Earth’s surface after passing through

Solar
radiation SUN
intercepted
by Earth Radiation
to space
Reflection Atmosphere with
by Earth’s high GHG
atmosphere concentration
Atmosphere with Radiation
low GHG back to Earth
concentration by atmospheric
GHG (greenhouse
effect)
Reflection Re-radiation
by lands, oceans, by Earth
glaciers, ´etc

Earth

FIGURE 5.8
Balance of energy received and emitted by Earth.

5 Solar radiation peaks at a wavelength that is about 20 times shorter than that for radiation
from Earth.
Emission Reduction in Steam Generators 435

the atmosphere without much absorption by GHGs in the atmosphere. Some

of the solar energy that reaches Earth is reflected back into space, particu-
larly by the areas covered by snow and ice. This reflected energy passes the
atmosphere mostly intact (similar to when incoming solar radiation passes
through the atmosphere). The remaining energy is absorbed by lands and
oceans. This energy heats the ground and water on Earth’s surface. They,
in turn, re-radiate energy. Due to their low temperatures (on average about
15°C or about 60°F), this radiation is at high wavelengths (in the infrared
region of the electromagnetic wave spectrum). Some of this emitted energy
is absorbed by the GHGs in the atmosphere and the rest escapes to space. The
absorbed energy heats the atmosphere, which again re-radiates energy in all
directions some into space and some back to Earth. The downward portion
of this radiation toward Earth is the greenhouse effect (Figure 5.8). The tem-
perature of Earth’s surface is determined by the balance of all these energy
transfers. If the sum of all energy flows that Earth receives is greater than
the sum of all energy flows that are emitted by Earth, Earth’s tempera-
ture will increase and vice versa. So in order to understand the trend in
Earth’s temperature we need to evaluate the magnitude of the energy flows
discussed above, at least qualitatively.
If Earth’s atmosphere was free of any GHG, the entire solar radiation inter-
cepted by Earth would have re-radiated back to space. This would have
resulted in a freezing environment on the surface of Earth. In fact, the pres-
ence of the GHGs in the atmosphere is the pre-conditions for the existence
of life on Earth. It is estimated that without the greenhouse effect the tem-
perature of Earth could have been as low as −18°C (about 0°F) rather than its
current temperature of about 15°C (about 60°F).6 An example of how Earth
would have looked like in the absence of the GHGs is the planet Mars. While
over 95% of the Martian atmosphere is CO2,7 due to the lack of other GHGs,
primarily water vapor, it has a weak greenhouse effect. As a result, the tem-
perature of the Mars’ surface is about −60°C (−76°F).8 On the flip side too
much GHGs on the atmosphere can trap so much solar radiation that make
the temperature of Earth uninhabitable. An example of a planet in such a
condition is Venus where over 96% of the atmosphere is CO2. The presence
of such a high percentage of carbon dioxide along with other GHGs, par-
ticularly water vapor, has created such a strong greenhouse effect that the
temperature of the surface of Venus is about 500°C (about 930°F).9
While the above concept may not be complicated, there are many conse-
quences of the increase in the average global temperature that make this

6 https://www.giss.nasa.gov/research/briefs/ma_01/.
7 Franz, H. B., et al. “Initial SAM calibration gas experiments on Mars: Quadrupole mass spec-
trometer results and implications.” Planetary and Space Science 138 (2017): 44–54.
8 Catling, D. C., and J. F. Kasting. Atmospheric Evolution on Inhabited and Lifeless Worlds.

Cambridge: Cambridge University Press (2017).

9 Basilevsky, A. T., and J. W. Head. “The surface of Venus.” Reports on Progress in Physics 66.10

(2003): 1699.
436 Power Plant Engineering

phenomenon very complex. These factors are collectively referred to as cli-

mate change feedbacks. They can be reinforcing or balancing feedbacks.
Here we just name a few of these sometimes conflicting feedbacks.
We noted above that the amount of energy radiated by an object depends
on its temperature. This means increase in the average global temperature
will increase re-radiation back to space, which, in turn, can decelerate the
rate of increase in the temperature. Also, we know that the surfaces of ice
and snow reflect most of solar radiation that strikes them while the surfaces
of land and deep water absorb most of solar radiation. The increase in the
global temperature accelerates melting of glaciers and ice-caps, particularly
in Earth’s North and South Poles, and replaces them with land or deep water.
This not only increases the rate of temperature increase but also releases
a tremendous amount of methane, a gas with strong GHG effects (below),
trapped in them into the atmosphere. Furthermore, as was elaborated above,
water vapor and clouds can reflect some solar radiation back to space before
entering Earth’s atmosphere while also being a strong GHG. The increase
in the global temperature increases the atmospheric air’s capability to hold
vapor, which, in turn, can promote both of these opposing effects. Other con-
flicting impacts are related to tree and plant growth. Plants and plant-like
ocean living things, such as microalgae, are responsible for the absorption
of a significant amount of carbon dioxide from the atmosphere. While the
warmer climate can improve their growth, climate change-induced droughts
can hurt them.
There are a lot of scientists who do not know about these phenomena and
there is a lot of uncertainty on quantifying what we know. This is why there
are some discrepancies, sometimes substantial ones, between different mod-
els. Many scientists are working hard to improve our understanding of a
wide variety of phenomena in the atmosphere, land, and ocean and their
interactions with climate.
Clearly, this brief discussion by no means is sufficient for us to predict what
can happen because of climate change. But we can make two certain con-
clusions. First, Earth’s climate is extremely complicated and the current cli-
mate is an intricate balance among many factors. The anthropogenic GHG
emissions can at least potentially tip this balance. If this happens, Earth will
certainly reach a new balance but there is no guarantee that the new cli-
mate will be hospitable to us, to put it mildly. Climate change has happened
many times in the past hundreds of millions of years and generally speaking
they have not been kind to their contemporary species, especially complex
species like us. The second important factor is that almost every metric that
we can actually measure indicates that we are not moving in the right direc-
tion. The eight warmest years globally on the record have been between 2010
and 2020.10 The level of ocean water increases at a higher rate (at about 3 mm/

https://www.ncei.noaa.gov/news/projected-ranks#:~:text=Global%20temperature%20
10

data%20document%20a,)%2C%20and%201998%2C%20respectively.
Emission Reduction in Steam Generators 437

year) compared to that in the past 100 years. The area covered by ice sheets
is decreasing at an alarming rate.11 In summary, climate change might be
the greatest challenge that we have ever encountered and it should be
treated as such! The enormity of the problem and its scale require a univer-
sal approach that most likely will impact many aspects of our life.
Some GHGs are water vapor, carbon dioxide, methane, nitrous oxide (this
is N2O and should not be mistaken with NOx), chlorofluorocarbons (CFCs),
hydrochlorofluorocarbons (HCFCs), hydrofluorocarbons (HFCs), ozone, per-
fluorocarbons (PFCs), sulfur hexafluoride (SF6), nitrogen trifluoride (NF3),
and aerosols (fine solid particles, such as carbon and sulfates, suspended in
air). HFCs, PFCs, SF6, and NF3 are sometimes collectively referred to as fluo-
rinated gases or F-gases. While water vapor is the most important naturally
occurring GHG, carbon dioxide is the main gas driving the current climate
change. In the U.S. over 80% of the GHG emissions by human activities is
CO2, about 10% is methane, about 3% is nitrous oxide, and the rest is a combi-
nation of other pollutants.12 It should be noted that CO2 is naturally released
to the atmosphere and absorbed from it in significant quantities by plants,
animals, volcanic activities, oceans, and Earth’s surface soil. However, they
collectively form a natural balance called the carbon cycle. What jeopardizes
this balance is human activities, particularly combustion of fossil fuels.
According to the U.S. Environmental Protection Agency (EPA), transporta-
tion, electricity generation, and industry are responsible for most of GHG
emissions in the U.S. by emitting 28%, 27%, and 22% of the emissions, respec-
tively. They are followed by commercial-residential and agricultural sources
by 12% and 10%, respectively.13 China, the U.S., the European Union, India,
Russia, and Japan are together responsible for about 70% of the global CO2
emissions.14 However, if we consider the per capita CO2 emissions, the pic-
ture is totally different where this value for China and the European Union is
less than half of that in the U.S. In the case of India, the per capita CO2 emis-
sions is about a tenth of that in the U.S.
Unlike other emissions where there is some universal consensus that they
are harmful and should be regulated, unfortunately there is no such con-
sensus on GHG emissions (at least in the U.S.). For this reason, there is a
wide range of policies regarding these emissions from no regulation at all
to policies that impose economic costs for emissions. The two most com-
mon such policies are carbon tax and cap-and-trade policies. In the former,
industries are taxed according to their carbon emission intensity. The carbon
emission intensity is defined as the emission per unit of economic activities
or product production. For example, gram (or kilogram) of carbon (or CO2)

11 There are debates on if the total volume of ice is also decreasing. You can read
about this at https://www.nasa.gov/feature/goddard/nasa-study-mass-gains-of-antarctic-
ice-sheet-greater-than-losses.
12 https://www.eia.gov/environment/emissions/ghg_report/ghg_overview.php.
13 https://www.epa.gov/ghgemissions/sources-greenhouse-gas-emissions.
14 https://www.epa.gov/ghgemissions/global-greenhouse-gas-emissions-data.
438 Power Plant Engineering

per kWh is the carbon emission intensity unit for electricity generation. In
the cap-and-trade (CAT) policy, industries are given permission to emit a
certain amount of emissions. A carbon trade market is created, so indus-
tries can sell their excess credits or purchase extra credits. As noted, the CO2
emission of power generation units is measured by a parameter called the
CO2 emission intensity or the carbon emission intensity. The CO2 emission
intensity is defined as the mass of CO2 emitted by a unit to generate 1 kWh
of electrical energy.

5.5.2 Reduction of Greenhouse Gas Emissions

The most effective and affordable means to reduce GHG emissions in the
energy sector is reducing energy consumptions by improving the effi-
ciency of energy systems and minimizing losses. This includes using more
efficient equipment and appliances, reducing building energy losses (to
reduce heating and cooling loads), and adapting a less energy-intensive
lifestyle by ordinary citizens. In the power generation industry, this is
reflected in using higher efficiency power plants, for example by increas-
ing the t emperature and pressure of the inlet steam to the turbine. Also
improving the efficiency of power plant components reduces the internal
consumption of the plant, which, in turn, increases the net output power.
Similarly using CCPP, which is a combination of a gas turbine and a steam
cycle (much more on them in Chapter 10), can substantially increase the
efficiency of power plants and reduce their CO2 emission intensity. Another
effective strategy to reduce CO2 emissions is fuel switching. For example,
replacing a conventional coal-fired steam power plant with a natural
gas-fired combined cycle (NGCC) can reduce the CO2 emission intensity
by half.

5.5.3 CO2 Capture and Sequestration Systems

The ultimate solution to combust fossil fuels to generate electricity without
emitting GHG emissions is using CO2 capture and sequestration or stor-
age (CCS) systems. In these systems, the captured CO2 can be stored by the
injection of pressurized CO2 into geological formations. Alternatively, the
captured CO2 can be used to improve recovery in oil and natural gas reser-
voirs. The storage facility can be at the power plant site or far from it. In the
latter case, the pressurized CO2 is transferred to the storage site by pipelines.
However, there are serious questions on the viability of using geological for-
mations for long-term CO2 storage. For example, for how long CO2 can be
kept in the formations and what the environmental impacts are, particularly
in case the stored CO2 leaks. An important issue is who is responsible (and
liable) if a CO2 storage system fails. In small scale systems, the separated CO2
can be used for industrial applications such as in the food industry.
Emission Reduction in Steam Generators 439

CCS systems can be divided into three categories:

• pre-combustion CO2 capture systems

• CO2 capture after combustion with pure oxygen (oxygen firing)
• post-combustion CO2 capture systems

The CO2 capture process from flue gas heavily depends on the concentra-
tion of CO2 in the flow. The lower the concentration, the more difficult and
costlier the removal of CO2 will be. In traditional combustion systems, using
air to provide oxygen for the combustion process introduces an enormous
amount of nitrogen to the combustion process (3.76 moles of nitrogen for
every mole of oxygen, Section 4.3.1). This nitrogen gas does not participate in
the combustion process (except a negligible amount that forms thermal NOx).
This nitrogen dilutes the flue gas flow and makes CO2 capture more difficult.
To eliminate this problem two approaches can be used, which will be elabo-
rated in the next two sections.

5.5.4 Pre-combustion CO2 Capture Systems

In this approach, fuel (primarily coal) is first gasified and converted to a gas-
eous fuel flow, called synthesis gas or syngas, composed of mainly carbon
dioxide, carbon monoxide, and hydrogen. Due to the high concentration of
CO2 in the syngas flow, it can be easily captured and stored. Then, nearly pure
hydrogen can be burned with little to no CO2 emissions. Understandably this
approach is referred to as the pre-combustion CO2 capture. This process is
typically used in CCPPs where hydrogen is burned in a gas turbine and then
the combustion products are used to raise steam for a steam cycle. This cycle
is known as an integrated gasification combined cycle (IGCC) and will be
covered in Chapter 10.

5.5.5 Oxygen-Firing Systems
Another approach to address the problem of low concentration of CO2 in flue
gas is to use relatively pure oxygen in the combustion process instead of air.
This technique is referred to as oxygen firing, oxy firing, or oxy-fuel com-
bustion. These systems are not currently being used in commercial power
plants. Several pilot plants are currently being tested as proof-of-concept
demonstration plants. While it might seem counterintuitive, combustion of
fuels with pure oxygen is not desirable. The presence of nitrogen from air in
conventional combustion systems limits the maximum flame temperature.
In the combustion process with relatively pure oxygen, with 95% to over 99%
purity, the flame temperature is much higher than that in the combustion
with air. The high flame temperature can cause ash slagging and fouling in
the downstream heat-transfer surfaces in steam generators, particularly in
440 Power Plant Engineering

coal-fired steam generators (refer to Chapter 4). Also, this may promote NOx
generation (more on this below). To address this problem, a portion of the
flue gas is recycled and is mixed with pure oxygen. The mixture of oxygen
and recycled flue gas (RFG) is then used for combustion in the furnace by
means of either the primary or secondary air flow (or more accurately the
primary or secondary mixture of oxygen and RFG flow). Note that the flue
gas is primarily composed of carbon dioxide and is free of nitrogen. The
flue gas is typically extracted after the particulate matter removal system
and after or before the scrubber depending on the concentration of sulfur
oxides in the flow. The ratio of the RFG flow to the oxygen flow depends on
the system design. The volumetric concentration of oxygen in the mixture is
typically higher than that in the atmospheric air (21%) and can be up to 40%.
In the design of oxygen-fired furnaces, special attention should be paid to
the fact that the combustion properties of carbon dioxide are different from
nitrogen. Therefore, the furnaces designed for air combustion may not be
used for oxygen combustion and some modifications are typically required.
The unrecycled portion of the flue gas is compressed and sent to the storage
facility. If the flow needs to be transported through a piping system, the gas
may need treatment to avoid corrosion in the pipes.
A major advantage of oxy-firing systems is that due to the lack of nitrogen from
air, thermal NOx production is almost entirely eliminated (except for a small
amount of possible air infiltration to the system). While fuel NOx production is
still present, its magnitude is significantly reduced (perhaps due to the presence
of NOx from the recycled flue gas). As a result, NOx removal systems (typically
SCR) can be eliminated. These systems also have lower sulfur oxide emissions
for the same fuel compared to conventional air-fired combustion systems.
An obvious problem with this technology is a need for pure oxygen which
requires an air separation unit. The extraction of oxygen from air can be
achieved by commercially available processes such as a cryogenic process.
However, these processes are very energy-intensive and can consume a sig-
nificant portion of the power produced by the power plant. Currently, a pro-
cess called the chemical looping combustion process is being investigated to
reduce this energy consumption.

5.5.6 Post-combustion CO2 Capture

As the name implies, in post-combustion systems CO2 is captured after the
combustion process from the flue gas flow. For this purpose, CO2 is chemically
absorbed from combustion products by means of a scrubbing process. Currently,
an aqueous solution of amines, typically monoethanolamine (MEA), is com-
monly used as a solvent. Amines are compounds based on ammonia (NH3)
where one or more hydrogen atoms are replaced by one or more organic groups.
For example, monoethanolamine has a chemical formula of C2H7NO where a
hydrogen atom in ammonia is replaced by a HOCH2CH2 group (Figure 5.9).
The concentration of amines in aqueous solutions varies depending on the type
Emission Reduction in Steam Generators 441

H H H
H C N
O C H
H H

FIGURE 5.9
Molecular structure of monoethanolamine (MEA).

of amines and the application, between 20% and 50%. Other solvents such as
ammonium carbonate are also currently being investigated.
The removal of CO2 from flue gas in a post-combustion system is typi-
cally achieved by means of two-stage processes in two separate vessels: an
absorption column and a stripping column (Figure 5.10). In the absorption
column, the solvent closely interacts with the flue gas and absorbs most of
CO2 from the flow. The solvent can also remove some SO2 and NO2 from the

Captured CO2
to compression and CO2 - free
storage facility flue gas
to stack
Cooler Water
Recovered Water washer
solvent+water
Fresh solvent

Stripper Absorber
column column
Heat exchanger
Steam
Flue gas

CO2 - rich
CO2 - lean Solvent
Solvent

Heat exchanger Pump

FIGURE 5.10
Schematic of a scrubbing post-combustion CO2 capture.
442 Power Plant Engineering

flue gas. The solvent enters the top of the column and flows downward while
the flue gas enters at the bottom and flows upward. To prevent the solvent
carryover from the absorber by the flue gas flow, a water washer is used in
the outlet flue gas flow. The mixture of the washing water and recovered
solvent is returned back to the absorber. If the temperature of the flue gas
flow is higher than a certain limit, the solvent can be degraded. To avoid the
loss of the solvent, the inlet temperature of the flue gas and solvent must be
controlled and maintained within an acceptable range.
The spent solvent is then sent to the stripping column (also referred to as a
reboiler) where the absorbed CO2 is released from the solvent by heating it.
The CO2-rich solvent enters at the top of the column and the regenerated sol-
vent, which is CO2-lean, is sent back to the absorption column from the bottom.
The heater of the column is fed by the steam extracted from the steam cycle.
The extraction of this steam from the power cycle reduces the overall effi-
ciency of the cycle. To reduce the required heat, a heat exchanger is typically
used to recover some of the thermal energy from the high-temperature lean
solvent leaving the stripping column. This recovered heat is used to increase
the temperature of the relatively low-temperature solvent entering the strip-
ping column. Some solvents can be carried over by the outlet CO2 flow from
the stripping column. This solvent can be recovered by cooling the outlet CO2
flow. The released CO2 is sent to the compression and storage facility. The
degraded solvent is separated and replaced by the fresh solvent (Figure 5.10).

5.5.7 CO2 Capture by Microalgae

The above-discussed systems are costly because they use expensive chemi-
cal scrubbers to remove CO2. In addition, they merely capture CO2 from flue
gas and the storage of the sequestered CO2 is a major challenge. As noted
before, various solutions have been presented, ranging from storage in rock
formations to deep-ocean storage, both of which have their own potentially
catastrophic ramifications. A major advantage of CO2 capture by microalgae
is that the captured CO2 is in the form of a marketable product. The algae
grown in these CCS systems can be used in a variety of ways, such as in
food supplements and animal feeds, bio-plastics and pigments, fertilizers, or
biofuels, thus negating the need for a special storage mechanism. Moreover,
algae-based systems require less energy than other CCS systems. Microalgae
are so effective at sequestering CO2 that algal biomass can grow by up to
threefold in a single day. Carbon capture systems using photosynthetic
microalgae can be a simpler and more environmentally friendly alternative
to traditional forms of CO2 capture and sequestration.
In microalgae-based CCS systems, the flue gas flow is injected into a con-
tainer full of solution where microalgae grow. Microalgae are exposed to
either solar radiation or artificial light that promotes the photosynthesis pro-
cess in which carbon dioxide, water, and minerals are converted into organic
compounds (making more algae) and oxygen. The produced algae can be
Emission Reduction in Steam Generators 443

harvested and used as an animal food source or used to produce biofuel or

other industrial products.
Microalgae growth containers can be open or closed systems. Open sys-
tems are typically concrete water channels with or without plastic liners.
They are usually shallow to increase sunlight exposure area especially
considering the fact that microalgae in the solution do not allow deep
penetration of solar radiation. They are typically equipped with guid-
ing baffles and a slow-moving paddle wheel to reduce the stress level on
microalgae which otherwise can kill or damage them. The paddle wheel
slowly circulates the water to avoid stagnation. While open systems are
simple and relatively inexpensive and can be installed on a large scale, it is
hard to measure the captured CO2. Microalgae can also be contaminated
by algae-killing bacteria.
Closed microalgae CO2 capture systems typically consist of transparent
containers, commonly referred to as photobioreactors (PBR) where light can
easily penetrate. While they do not have the problems of open systems, they
are more expensive to build on a large scale. However, they allow operational
conditions, such as thermal, fluid, and light properties, to be effectively con-
trolled to maximize the efficiency of CO2 capture and the rate of microalgae
growth. This results in smaller units and less land requirement compared
to those of open systems. A variety of closed photobioreactors have been
experimented with, including bagged, flat plate, horizontal tubular, helical
tubular, stirred, and annular containers. These systems are currently being
researched to determine their economic viability.

5.6 Other Emissions and Environmental Problems

While the above-discussed emissions are the most serious environmental
problems associated with fossil fuel power generation plants, they are not the
only ones. Some other issues are briefly discussed here.

5.6.1 Carbon Monoxide Emissions

Carbon monoxide (CO) is a colorless, odorless, and toxic gas that can be lethal
if inhaled by humans or animals. Incomplete combustion of carbon can lead
to the production of CO rather than CO2 as follows:

2C + O 2 → 2CO (5.15)

To reduce CO emissions, the catalytic oxidation process is typically used. In

this process, carbon monoxide molecules react with oxygen molecules in the
presence of a catalyst.
444 Power Plant Engineering

2CO + O 2 → 2CO 2 (5.16)

The catalyst is typically platinum or other precious metals coated on stain-

less steel plates. To achieve optimum CO removal, the system is placed at a
high-temperature section of steam generators.

5.6.2 Mercury Emissions
Coal can contain very small but sufficient amount of mercury to harm the
environment and human health if released by combustion products. The
mercury content of coal can be in the form of particulate matters or the vapor
form as elemental mercury or oxidized mercury. Typically mercury emis-
sions can be removed by a combination of flue gas desulfurization, SCR, and
fabric filter systems. Sometimes to adequately remove all forms of mercury
from combustion products, a sorbent such as activated carbon in powder
form is also injected into the flue gas flow.

5.6.3 Sight and Noise Pollution

General appearance and aesthetic aspects of power plants have been increas-
ingly scrutinized in the past few decades. Plant designers, owners, and
operators have been using various strategies to reduce the intrusive physi-
cal appearance of power generation units. They use careful landscaping by
growing lawns, trees, shrubs, and other plants for this purpose. Architects
are included in the design teams to design pleasant buildings and structures.
Also, some of the most intrusive facilities such as oil storage tanks and coal
storage fields are hidden from public view by installing them underground
or enclosing them by tall walls. Some components, such as fans, can be very
noisy. They can be problematic for neighboring communities, particularly in
urban areas. This problem can mostly be addressed by quieter equipment
and acoustic barriers. A good public relation in general and proper commu-
nication and support of local communities in particular are major factors in
hearing and addressing their concerns.

5.7 Questions and Problems

5.7.1 Introduction
5.1. Explain why the installation of emission control systems require
careful study and tradeoff between all the involved factors.
5.2. Which acts protect air quality in the U.S.?
Emission Reduction in Steam Generators 445

5.7.2 Nitrogen Oxide Emissions

5.3. Explain how the productions of NOx and CO contradict each
other.
5.4. Provide examples of environmental phenomena that NOx emis-
sions can contribute to.
5.5. Briefly explain how NOx emissions contribute to smog, acid rains,
and particulate matter emissions.
5.6. Explain how NOx production can be reduced before, during, and
after the combustion process.
5.7. What are two main post-combustion NOx reduction technologies?
Explain and compare these technologies.
5.8. Where is an SCR system installed for a high-ash fuel? What about
a low-ash fuel? Why?
5.9. What are the differences and similarities between SCR and SNCR
in terms of the regent, reactions, operation temperatures, installa-
tion location, and system configuration?

5.7.3 Sulfur Oxide Emissions

5.10. Describe how acid rain is formed by NOx and SOx.
5.11. Explain how pre-combustion NOx and SOx reduction can be
achieved. Provide an example for each case.
5.12. Provide an example of combustion systems that have an inherent
capability to remove the majority of sulfur oxide emissions during
the combustion process.
5.13. Which substance is the most common reagent used in wet flue gas
desulfurization systems?
a. dolomite (calcium magnesium carbonate)
b. lime (CaO)
c. limestone (CaCO3).
d. caustic soda (sodium hydroxide)
e. ammonia
5.14. Briefly explain the operation of wet flue gas desulfurization systems.
5.15. Why are desulfurization scrubbers typically installed right before
the stack?
5.16. What is the difference between a wet and a semi-dry flue gas
desulfurization system?
5.17. What are the typical reagents for wet scrubbers and dry scrubbers?
446 Power Plant Engineering

5.18. Explain why and how the sulfur trioxide (SO3) emission in flue gas
is harmful. How can it be removed from the flue gas flow?

5.7.4 Particulate Matter Emissions

5.19. Name several physical principles that have been employed for the
separation of solid particles from combustion product gases.
5.20. Where are electrostatic precipitators and fabric filters typically
installed?
5.21. Describe how electrostatic precipitators can separate particulate
matters from the flue gas flow.
5.22. Describe several mechanisms that are being used to remove dust-
cakes from bag filters.
5.23. What are two parameters to determine the appropriate time to
clean filters?

5.7.5 Global Climate Change and Greenhouse Gas (GHG) Emissions

5.24. Briefly explain the greenhouse effect and how it causes climate
change using the following figure.

SUN

Earth

5.25. What are climate change feedbacks? Name a few of them.

Emission Reduction in Steam Generators 447

5.26. Explain the impacts of water vapor and clouds on climate change.
Why are they considered as both reinforcing and balancing
feedbacks?
5.27. Provide several indications that we are not moving in the right
direction regarding climate change.
5.28. List some greenhouse gases (at least five gases).
5.29. What sectors are the largest contributors to greenhouse gas emis-
sions in the U.S.?
5.30. Compare the per capita CO2 emissions in the U.S., China, India,
and the European Union.
5.31. What are the two most common CO2 emission control policies?
Explain each.
5.32. What is the definition of the CO2 emission intensity for power
generation units?
5.33. What can be done with the captured CO2 by CCS systems?
5.34. How does the concentration of CO2 in the flue gas flow impact the
CO2 capture process?
5.35. Explain how oxygen-firing systems can capture CO2?
5.36. Describe the post-combustion CO2 capture systems by the scrub-
bing process. Use the following schematic diagram.

Captured CO2
to compression and CO2 - free
storage facility flue gas
to stack
Water

Stripper Absorber
column column

Flue gas
448 Power Plant Engineering

5.37. List the advantages of microalgae CO2 capture systems over other
CCS systems.

5.7.6 Other Emissions and Environmental Problems

5.38. Explain how carbon monoxide (CO) can be removed from com-
bustion products.
5.39. How can mercury and its compounds be removed from flue gas?
5.40. List some ways to improve the appearance and aesthetic aspects of
power plants.

5.7.7 Open-Ended Questions
5.41. Conduct research to identify several countries or regions where
carbon tax and cap-and-trade policies have been implemented.
What have been the outcomes so far?
5.42. Identify an underground CO2 storage demonstrational project.
Research the challenges the project has faced. Overall how suc-
cessful was the project?
5.43. Conduct research to identify the pros and cons of the carbon tax
and cap-and-trade policies.
5.44. Locate a fossil fuel power plant in the region you live (the closer
to where you live, the better). What are some emissions released
by the plant? What are their human health hazard, damage to the
environment, and contribution to climate change? Have any of
the emission reduction strategies discussed in this chapter been
implemented in the plant? If yes, try to find some specifications of
these systems. If not, propose some modifications to the plant to
reduce its environmental impacts.
5.45. Locate the largest power plants in your country or state. What
are some emissions released by the plant? What are their human
health hazard, damage to the environment, and contribution to
climate change? Have any of the emission reduction strategies dis-
cussed in this chapter been implemented in the plant? If yes, try
to find some specifications of these systems. If not, propose some
modifications to the plant to reduce its environmental impacts.

5.7.8 General
5.46. Provide an example of pre-combustion, during combustion, and
post-combustion NOx production control technologies.
5.47. What are the functions of an absorption column and a stripping
column in a post-combustion CO2 capture system?
Emission Reduction in Steam Generators 449

5.48. How is pure oxygen provided for oxygen combustion?

5.49. Explain how melting glaciers and ice-caps impact climate change
(two impacts).
5.50. Explain why Mars’s surface is very cold while Venus’s surface is
very hot.
5.51. The lower half of an absorption tank in a wet scrubber is referred
to as the … Why.
a. recirculation zone
b. reaction zone
c. oxidation zone
d. all of the above
5.52. What is the byproduct of wet scrubbers? What are its industrial
applications?
5.53. List some ways that CO2 is naturally released into the atmosphere
and absorbed from it in significant quantities.
5.54. List three alkaline substances that can be used as a reagent in sul-
fur oxide reduction systems.
5.55. What are some of the questions on the viability of using geological
formations for long-term CO2 storage?
5.56. Which one has shorter wavelengths? Why?
a. Solar radiation
b. Radiation from Earth’s surface
5.57. What are three general categories of CO2 capture and sequestra-
tion or storage (CCS) systems?
5.58. What is the function of the catalyst in an SCR system?
5.59. Why is the study of climate change very complex?
5.60. Which of the following systems is the most effective approach for
sulfur oxide reduction?
a. Wet systems
b. Semi-dry systems
c. Dry systems
5.61. What are the National Ambient Air Quality Standards (NAAQS)?
5.62. Explain pre-combustion CO2 capture systems?
5.63. What is NOx emission?
5.64. List countries with the largest contribution to the global GHG
emissions.
5.65. What type of electricity is used in electrostatic precipitators, AC
power or DC power? At what voltage?
450 Power Plant Engineering

5.66. Sulfur is one of the elements in fuels that can burn and slightly
contribute to its heat content.
a. True
b. False
5.67. Identify where SCR and scrubbers are typically installed in steam
power plants.
5.68. What are the most effective and affordable means to reduce GHG
emissions in the energy sector?
5.69. What are the advantages of electrostatic precipitators?
5.70. What is a carbon trade market?
5.71. In an SCR system, the catalytic materials are not consumed but
accelerate the reactions though they deteriorate with time.
a. True
b. False
5.72. What are the similarities and differences between WESPs and ESPs?
5.73. How is CO2 naturally released into the atmosphere and absorbed
from it? List at least four ways.
5.74. Which one of the following reactions is dominant in selective
catalytic reduction systems?
a. 4NH 3 + 4NO + O 2 → 4N 2 + 6H 2 O
b. 8NH 3 + 6NO 2 → 7N 2 + 12H 2 O
c. 2NH 3 + NO + NO 2 → 2N 2 + 3H 2 O
5.75. What are the conflicting feedbacks of tree and plant growth on
climate change?
5.76. Which one is more effective in removing NOx emissions? Which
one is less costly?
a. Selective catalytic reduction
b. Selective non-catalytic reduction
5.77. Explain what happens when solar radiation is intercepted by
Earth.
5.78. What is the problem with burning fuels with pure oxygen? How
this problem can be addressed?
5.79. Compare open or closed microalgae CCS systems. List the pros
and cons of each system.
6
Steam Turbines

Abstract
A turbine-generator set is where the ultimate product of a power plant,
electricity, is generated. In that sense, they can be considered as the heart
of the plant. In this chapter, you will learn how turbines and genera-
tors work. We will start this topic by looking at different types of blades,
namely impulse and reaction blades. You will learn how to conduct basic
relevant calculations for impulse blades. Then, you will use this knowl-
edge to conceptually deduct similar understandings for reaction blades.
Based on what you learned about turbine blades, we will discuss about
various configurations of real-world steam turbines. Furthermore, we
will review fundamental principles of other steam turbine components,
such as rotors, casings, radial and axial bearings, gland steam seals, and
many others. We will then briefly talk about electric generators and their
components. We will conclude the chapter with a quick discussion on the
control mechanisms of turbines and generators.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• distinguish impulse and reaction turbine blades and describe

characteristics of each type
• conduct basic relevant calculations for impulse blades
• conceptually deduct basic understandings for reaction blades
• explain various configurations of real-world steam turbines
• describe fundamental principles of other steam turbine components
such as rotors, casings, radial and axial bearings, and gland steam seals
• explain operation of electric generators and their components
• describe control mechanisms of turbines and generators

451
452 Power Plant Engineering

6.1 I ntroduction
From a humble origin of just a few kW power generation capacity in the late
19th century, steam turbines have grown to large sophisticated units that can
generate well over 1000 MW power. They can weigh thousands of tonnes with
over 30 m (over 100 ft) in length. In Chapter 2, we discussed that in early steam
power generation units, reciprocating engines were used to extract mechani-
cal work from steam flows. In these engines, steam expanded in a cylinder
and piston assembly and produced power by moving a piston. However, due
to limitations in their power generation capacity, steam turbines soon replaced
them. Due to the high speed of steam turbines, they can produce a large quan-
tity of power in a relatively compact size. Their high speed also suits direct
coupling with AC electricity generators. Nowadays electricity produced in
power plants is predominantly generated in either steam or gas turbines.
It should be noted that steam turbines are typically designed for maximum
continuous rating (MCR). As the name implies, this is the maximum power rat-
ing of the turbine so that it can operate continuously for long periods. However,
the turbine might be able to operate for a short period above this maximum. The
designer and manufacturer of a turbine determine these limitations.
Thermodynamically speaking, the objective of any turbine is to produce
mechanical work by reducing the pressure and enthalpy of a fluid stream.
Ideally, this process is an isentropic process (constant entropy) which can be
seen in the expansion process in the Carnot cycle (process 3–4s in Figure 2.25).
In this process, superheated steam is expanded to a saturated mixture of
steam and liquid water, which is discharged to the condenser. The power
production in the turbine depends on the length of the line connecting states
3 and 4s. This length can be increased by increasing the temperature and
pressure of the steam entering the turbine from the steam generator (state
3), by reducing the pressure of the flow leaving the turbine toward the con-
denser (state 4s), or a combination of these two actions. The inlet steam con-
ditions are limited by the materials of turbine components. The pressure of
the turbine outlet flow and the condenser is determined by the temperature
of the cooling water. The actual expansion process is always accompanied
by some irreversibilities and losses. As a result of these losses, the expansion
process is not isentropic, and the entropy increases in the process (process
3–4 in Figure 2.25). For more information on this topic, refer to Section 2.3.6.
Large utility steam turbines are commonly equipped with several tur-
bines, which can typically be a combination of a high-pressure (HP) section,
an intermediate-pressure (IP) section, and one or more low-pressure (LP) sec-
tions. They can be installed on a single shaft or double shaft. The high-tem-
perature and pressure steam from the steam generator, is sometimes referred
to as the live steam, first enters the high-pressure turbine and expands to an
intermediate pressure. The outlet steam from this turbine, which is some-
times referred to as the cold reheat, is sent back to the steam generator to
Steam Turbines 453

be reheated in the first heater. The reheated steam at a temperature equal or

higher than that of the live steam is then fed to the intermediate-pressure
turbine. If the plant is equipped with the second reheater, this process can be
repeated for that reheater and the low-pressure turbine(s). The exit flow from
this turbine is sent to the condenser for the condensation process.
In a steam turbine, the high-temperature and pressure superheated steam
flow passes through a set of nozzles (or a series of fixed blades acting as noz-
zles) where the velocity of the flow increases. Then, the flow goes through a
series of moving blades installed on a shaft. The force acted on the blades as a
result of the steam expansion causes the shaft to rotate and produce mechan-
ical work. In the next paragraph, the design and operation of steam turbines
will be briefly reviewed. If you have difficulty understanding this paragraph,
do not worry! We will elaborate on all of these terms and concepts in the rest
of this chapter. To get an idea about the size and shape of steam turbines,
Figure 6.1 shows a medium-size steam turbine.
The first step of the turbine design process is the thermodynamics analysis
of the cycle. This analysis determines the states of the turbine inlet and outlet
flows. This can determine the pressure and enthalpy drops of the working
fluid through the turbine. This drop cannot be accomplished in a single step
and should be divided into smaller pressure and enthalpy drops. Designers

FIGURE 6.1
A medium-size steam turbine. (Image by David Mark from Pixabay, https://pixabay.com/
photos/speyer-germany-city-technik-museum-84394/.)
454 Power Plant Engineering

should decide on the number of smaller steps through which the expan-
sion must occur. Each of these steps is called a stage of the turbine which
is composed of a set of stationary blades (also known as nozzles) or a set of
rotating blades (also known as buckets). These stages of expansion should
be individually designed. These stages can be impulse or reaction stages. A
flow of a fluid, either gas or liquid, can impose force on a solid surface that
interacts with the flow in two manners. It can strike the surface and exert
force on the surface because of the change in its momentum, such as when
you try to remove dust and dirt using a water hose. This is called the impact
or impulse force. Alternatively, the force can be exerted in the form of the
reaction force, such as the force created when a balloon full of air is released
to deflate and as a result, it spirals in air. We will start our discussion with
impulse turbines.

6.2 Impulse Turbines
When two objects collide, they impose forces on each other called the
impact force. Impulse blades operate based on the same concept. In these
blades, the flow of the working fluid impinges the blades of the turbine.
The blades, in turn, alter the direction of the flow. This results in the change
in the momentum of the flow (Reminder Box 6.1). According to the second
law of Newton (Fdt = mdV), this will create impulse force. In other words,
in impulse turbines, the kinetic energy of the stream is converted to the
shaft work.

REMINDER BOX 6.1

LINEAR MOMENTUM CONSERVATION
From fluid mechanics, the linear momentum conservation equation for
a control volume can be written in the following form for a steady state
flow with uniform properties across the inlets and outlets (Figure 6.2):

∑ F = ∑V
CV out out −
m ∑V m (6.1)
in in


where ∑F CV is the resultant force of the body forces and surface forces
(forces that act on the volume such as weight and surface such as pres-
sure force, respectively) exerted on the control volume (N), V is the
absolute velocity vector of the flows relative to an inertial reference
frame (m/s), and m is the mass flow rates of inlet and outlet flows (kg/s).
Steam Turbines 455

Equation 6.1 indicates that the force exerted on the control volume is equal
to the net rate of the linear momentum that accompanies the mass flows
crossing the boundary of the control volume (the control surface). Note
that in the blade analysis, we are interested in the force
 that is imposed by
the flow on the blade, which is the reaction force of FCV . So from now on

FB = − ∑ F = ∑V m − ∑V
CV in in out out (6.2)
m

For a single inlet and single outlet control volume, Equation 6.2 can be
simplified as follows:

FB = m (
V1 − V2 ) ( vector form) (6.3)
 (V1x − V2 x )
FBx = m ( for x-direction ) (6.4)
Note that the difference between vector parameters, such as flow veloc-
ity, and scalar parameters, such as the components of the flow velocity
on the main axes, are presented by a vector sign over the parameter.

6.2.1 Single Impulse Blades

Since the interaction of a fluid stream and blades is the building block of any
turbomachine, such as turbines, pumps, compressors, and fans, in the next
few examples this effect will be considered. First, let us assume a horizontal
jet strikes a stationary blade and exits it at the angle θ (Figure 6.3). Then, the
example will be repeated when the blade is moving with the velocity of VB.

Example 6.1
Determine the force imposed by the mass flow of the fluid on the fixed
blade in Figure 6.2.

FIGURE 6.2
Interaction of a fluid stream and a fixed blade.
456 Power Plant Engineering

ṁout
Vout

ṁ in

Vin ΣF CV
FB

(a)
V2
θ
V2 cos θ

FBx
V1

(b)

FIGURE 6.3
Control volume for a fluid stream and a fixed blade.

Analysis
First, an appropriate control volume for the problem should be selected
(Figure 6.3).
Assuming a constant uniform external pressure on the control volume,
a frictionless flow over the vane, no spreading of the stream, and a hori-
zontal jet, from Bernoulli’s equation,

V12 P1 V2 P
+ + Z1 = 2 + 2 + Z2 (6.5)
2g γ 2g γ

V1 = V2 (6.6)

Equation 6.6 indicates that the magnitudes of the inlet and outlet stream
velocities, V1 and V2 respectively, are equal but their directions are not.
Neglecting the weight of the fluid in the control volume, the horizontal
component of the force acting on the control volume can be calculated
using Equation 6.4 (it will be shown later that the vertical component of
the forces does not produce any work).

 (V1x − V2 x ) = m
FBx = m  (V1 − V2 cos θ ) = mV
 1 (1 − cos θ ) (6.7)

This force is called the impulse force. Let us consider three specific cases
for the angle θ:
If θ = 0°, i.e., the blade is a plane plate:

FBx = 0 (6.8)
Steam Turbines 457

In this case, the fluid slides through the plate without exerting any force
on the plate.
If θ = 90°, i.e., the blade is a vertical plate:

FBx = mV
 1 (6.9)

If θ = 180°, i.e., the flow completely turns around:

FBx = 2 mV
 1 (6.10)

It is evident that the maximum force is when the angle is 180°. In this
example, although the flow exerts a force on the blade, there is no work
done because the blade is fixed and does not move.

Example 6.2
Determine the force imposed by the mass flow on the moving blade in
Figure 6.4.
Analysis
Again in this case, the component of the force on the x-direction can be
calculated using Equation 6.4. In this case, for the frictionless flow, the
magnitude of the stream velocity relative to the blade (the velocity of
the stream seen by an observer riding on the blade) is constant (but not
its direction).

Vr 1 = Vr 2 (6.11)

So in order to find the absolute velocity of the outlet flow, first the inlet
flow velocity relative to the blade should be found.
  
V1 = Vr 1 + VB (6.12)

Vr 1 = V1 − VB (in x -direction) (6.13)

VB
ṁout
Vr 2 V2

VB
ṁ in V1
VB F Bx
Vr 1 VB

FIGURE 6.4
Interaction of a fluid stream and a moving blade.
458 Power Plant Engineering

For the outlet stream velocity vector,

  
V2 = Vr 2 + VB (6.14)

For x-direction,

V2 x = Vr 2 cos θ + VB (6.15)

Substituting Equation 6.11 and then Equation 6.13 into Equation 6.15,

V2 x = Vr 1 cos θ + VB = (V1 − VB ) cos θ + VB (6.16)

Substituting Equation 6.16 into Equation 6.41

 V1 − (V1 − VB ) cos θ − VB  = m

FBx = m  (V1 − VB )( 1 − cos θ ) (6.17)

Again in this case if θ = 0°,

FBx = 0 (6.18)

If θ = 90°,

 (V1 − VB ) (6.19)

FBx = m

If θ = 180°,

 (V1 − VB ) (6.20)

FBx = 2 m

Again in this case, the maximum force is exerted on the control volume
when θ = 180°.

Example 6.3
Determine the blade velocity (VB ) that maximizes the power output of
the blade in Example 6.2.

1  is the mass flow rate of the stream that experiences the momentum change.
In Equation 6.4, m
In this case, since the blade is moving away from the stream, not all the mass flow of the
stream enters the control volume and experiences the change in the momentum. The part of
the mass flow that actually experiences the change in the momentum is

(
 r = ρ A V1 − VB
m )
where m r is the mass flow that actually experiences the momentum change (kg/s), ρ is the
density of the fluid (kg/m3), and A is the cross section of the stream (m2). However, it will
be shown later that for an actual turbine blade all the mass flow experiences the change in
r = m
momentum. Therefore, for simplicity in this analysis, it is assumed that m  . This assump-
tion will not impact the analysis.
Steam Turbines 459

Analysis The power developed in the blade in Example 6.2 is the force
exerted on the blade multiplied by the velocity of the blade. Note that
there is no work at the y-direction because the component of the blade
velocity in this direction is zero.

W  (V1 − VB )( 1 − cos θ ) VB (6.21)

 = FBxVB = m

In Equation 6.21, the maximum power is developed when θ = 180° . This

was shown in Examples 6.1 and 6.2, and it can be easily shown for this
example too.


W  (V1 − VB ) VB (6.22)
(θ = 180°) = 2 m

Equation 6.17 shows that when the blade is stationary (VB = 0 ), the force
is maximum. However, Equation 6.21 illustrates that the power devel-
oped for the stationary blade is zero. Equations 6.17 and 6.21 also show
that when the velocities of the blade and the stream are equal (VB = V1 ),
the force and power are zero. This means that there is a blade velocity
between 0 and V1 in which the power is maximum. In order to find this
optimum velocity, the power equation (Equation 6.21) should be differ-
entiated with respect to VB and equated to zero (this is left for practice),
dW
which results in =0
dVB
V
VB , opt = 1 (6.23)
2
This indicates that the power is maximized when the speed of the
blade is one-half of the speed of the inlet stream (for a frictionless flow).
Substituting the optimum blade velocity (Equation 6.23) into Equations
6.17 and 6.21, the maximum force that can be exerted on the blade and the
maximum power that can be developed in the blade are

1
FBx , max =  1 ( 1 − cosθ ) (6.24)
mV
2

 max = 1 mV
W  12 ( 1 − cosθ ) (6.25)
4
The efficiency of the moving blade (later we will extend this to rotating
blades) can be defined as the ratio of the developed power to the power
of the inlet stream (due to its kinetic energy).

 (V1 − VB )( 1 − cos θ ) VB
m  V   V  2 
ηB = = 2 ( 1 − cos θ )  B  −  B   (6.26)
1  V1   V1  
 12
mV
2

V
For θ = 90°, the maximum efficiency  VB , opt = 1  is
 2
460 Power Plant Engineering

120

100

80
η (%)

0
0 0.2 0.4 0.6 0.8 1 1.2
VB /V1

FIGURE 6.5
Efficiency of a moving blade as a function of the ratio of the blade velocity to the
inlet stream velocity.

ηB , max (θ = 90°) = 50% (6.27)

For θ = 180°

ηB , max (θ =180°) = 100% (6.28)

As Equation 6.29 shows, in this particular case (Equation 6.28), the outlet
stream’s absolute velocity is zero. So the entire kinetic energy of the inlet
stream is converted to shaft work (using Equation 6.16).

 V  V
V2 x = (V1 − VB ) cos θ + VB =  V1 − 1  cos 180 + 1 = 0 (6.29)
 2 2

The curve in Figure 6.5 illustrates the power developed in the blade as
a function of the ratio of the blade velocity to the inlet stream velocity.

6.2.2 Actual Impulse Blades

In order for a turbine made of blades to be able to generate continuous power,
there should be a series of blades that are mounted on the circumference
of a disc. Furthermore, although the power is maximum at the stream exit
angle of 180°, in practice this angle should be less than 180° so that the stream
can actually leave the turbine (the angle θ 2 in Figure 6.6). Similarly, the inlet
stream should have a shallow angle as well (the angle θ 1 in Figure 6.6).
Steam Turbines 461

α1 V1
Ɵ1

Ɵ2

α2
V2

FIGURE 6.6
Series of impulse blades and the inlet and outlet flows.

In an actual turbine, the force exerted on a specific blade by a specific jet

is zero until the blade is on the path of the jet and is struck by the jet. The
force exerted on the blade gradually increases until it reaches a maximum
when it is fully exposed to the jet flow. Then, while the blade moves away,
the force decreases until it becomes zero again. The effect of these variable
velocities (and hence the variable forces) can be averaged (Figure 6.7). Also,
since in turbines the blades are not actually moving away from the inlet jet
and the jet always strikes at least one blade, the momentum of all mass exit-
ing the nozzle changes ( m  =m r ) . Thus, the assumption made in footnote 1
is indeed valid.
To study the power generated in the blades, the absolute and relative
velocities of the inlet and outlet streams should be studied. This can be done
through a velocity vector diagram (or triangle). In a typical velocity vector
diagram, the relative velocity of the inlet (and outlet) flow can be determined
using the inlet (and outlet) flow’s absolute velocity vector and the blade veloc-
ity. Ideally, to minimize the disturbance of the flow over the blade, the rela-
tive velocities of the inlet and outlet flows should be at the blade entrance
and exit angles. For example, in Figure 6.7, Vr1 and Vr2 are at the directions
θ 1 and θ 2, respectively. Therefore, the blade entrance and exit angles, which
determine the shape of the blade, are dictated by the relative velocities of the
inlet and outlet flows.
In the velocity vector diagram in Figure 6.7, the relationship between
absolute and relative velocity of the flows is
  
V = Vr + VB (6.30)

For the inlet stream, Equation 6.30 can be written on x and y directions as
follows:

x -direction : V1x = V1 cos α 1 = VB + Vr 1 cosθ1 (6.31)

y -direction : V1y = V1 sin α 1 = Vr 1 sin θ1 (6.32)

462 Power Plant Engineering

Similarly for the outlet stream

x -direction: V2 x = V2 cos α 2 = VB − Vr 2 cosθ 2 (6.33)

y -direction: V2 y = V2 sin α 2 = Vr 2 sin θ 2 (6.34)

where V1 is the absolute velocity of the inlet stream, Vr1 is the relative velocity
of the inlet stream with respect to the blade, VB is the velocity of the blade,
V2 is the absolute velocity of the outlet stream, Vr2 is the relative velocity of
the outlet stream with respect to the blade, θ1 is the blade entrance angle, θ 2
is the blade exit angle, α1 is the fluid inlet angle and the nozzle angle, and α 2
is the fluid exit angle. In the design of blades, typically the inlet flow (nozzle)
angle (α 1 ) and the inlet flow absolute velocity (nozzle velocity) are given, and
other parameters need to be determined from the velocity vector diagram.
From Equation 6.31

Vr 1 cosθ1 = V1 cos α 1 − VB (6.35)

V1 cos α 1 − VB
Vr 1 = (6.36)
cosθ1

From Equation 6.33, since Vr 1 = Vr 2 (a frictionless flow)

 V cos α 1 − VB 
V2 x = V2 cos α 2 = VB − Vr 2 cosθ 2 = VB − Vr 1 cosθ 2 = VB −  1  cosθ 2
 cosθ1 
(6.37)

V1
Vr1 θ α1
1

VB
θ2 α2
Vr2 V2

Vr1 V1
θ1
α1
θ2 α2 VB
V2
Vr2
VB

FIGURE 6.7
Velocity vector diagram for an impulse blade.
Steam Turbines 463

The force, power, and efficiency of the blade can be estimated by the following
equations:

 (V1x − V2 x ) = m
FBx = m  (V1 cos α 1 − V2 cos α 2 ) (6.38)

 = mV
W  B (V1 cos α 1 − V2 cos α 2 ) (6.39)

 B (V1 cos α 1 − V2 cos α 2 )

mV
ηB = (6.40)
1
 12
mV
2

Substituting Equation 6.37 into Equations 6.38 and 6.39

   V cos α 1 − VB  
 V1 cos α 1 − VB −  1
FBx = m  cosθ 2  (6.41)
   cosθ1  

   V cos α 1 − VB  
 = mV
W  B V1 cos α 1 −  VB −  1 cos θ 2   (6.42)
 cos θ 1 

   

In impulse blades, the inlet and outlet angles are typically equal (θ 1 = θ 2 ) .
Substituting this in Equations 6.37, 6.41, and 6.42

V2 x = V2 cos α 2 = 2VB − V1 cos α 1 (6.43)

 (V1 cos α 1 − VB ) (6.44)

FBx = 2 m

 = 2 mV
W  B (V1 cos α 1 − VB ) (6.45)

In order to determine the blade velocity in which the power is maximum,

the derivative of the power equation (Equation 6.45) with respect to VB should
be equated to zero.

dW
= 0
dVB

1
VB , opt = V1 cos α 1 (6.46)
2
Note that this is for a frictionless flow turbine and for real turbines with fric-
tion the optimum blade velocity is slightly lower. Substituting Equation 6.46
into Equation 6.45

 max = 1 m
W  (V1 cos α 1 )2 (6.47)
2
464 Power Plant Engineering

For the maximum efficiency

1
 max  (V1 cos α 1 )2
m
W 2 = ( cos α 1 ) (6.48)
2
ηB , max = =
1 1
 12
mV  12
mV
2 2

Also, substituting Equation 6.46 into Equation 6.43

1 
V2 cos α 2 = 2  V1 cos α 1  − V1 cos α 1 = 0 so = 90° (6.49)
2 

This means when the blade velocity is optimum, the exit absolute velocity
is perpendicular to the blade velocity vector and is parallel to the axis of
rotation of the turbine (an axial flow).
Note that from the first law of thermodynamics (energy conservation),
the produced power should be equal to the reduction in the kinetic energy
(assuming no loss of energy and all other forms of energy are unchanged).

 = 1m
W ( )
 V12 − V22 (6.50)
2

Example 6.4
Superheated steam enters an impulse moving blade with the speed of
500 m/s at the angle of 15° (the angle between the blade velocity and the
absolute velocity of the inlet flow). The blade is symmetrical and its veloc-
ity is optimized for power generation. Draw the velocity vector diagram
for the inlet and outlet flows and determine the maximum output power
of the blade per unit of mass flow rate and blade efficiency. The flow is
frictionless.
AnalysisLet us determine the blade optimum velocity first.

1 m
VB , opt = V1 cos α 1 = 0.5 × 500 × cos 15 = 241.5
2 s

From Equations 6.31 and 6.32

x -direction : V1x = V1 cos α 1 = VB + Vr 1 cos θ 1

m
Vr 1 cos θ 1 = V1 cos α 1 − VB = 500 × cos15 − 241.5 = 241.5
s

m
y -direction: V1y = V1 sin α 1 = Vr 1 sin θ 1 = 500 × sin 15 = 129.4
s
Steam Turbines 465

Dividing the last two equations:

129.4
tan θ 1 = = 0.536 so θ 1 = 28.19°
241.5

129.4 m
Vr 1 = = 274.0
sin 28.18 s

Now all the information needed to draw the inlet velocity vector
diagram is known. Let us determine similar information for the outlet
velocity vector diagram.
Since the flow is frictionless,

m
Vr 2 = Vr 1 = 274.0
s

The blade is symmetrical.

θ 1 = θ 2 = 28.19°

From Equations 6.33 and 6.34

x -direction : V2 x = V2 cos α 2 = VB − Vr 2 cos θ 2 = 241.5 − 274.0 cos 28.19 = 0

m
y -direction : V2 y = V2 sin α 2 = Vr 2 sin θ 2 = 274.0 sin 28.19 = 129.4
s

129.4
tan α 2 = = ∞ so α 2 = 90
0

Vr 2 sin θ 2 274.0 sin 28.18 m

V2 = = = 129.4
sin α 2 sin 90 s

Using Equation 6.39, the power output can be determined as follows for
the unit of mass flow rate ( m
 = 1 kg/s ):

 B (V1 cos α 1 − V2 cos α 2 ) = 1 × 241.5 ( 500 × cos15 − 129.39 × cos 90 )

 = mV
W

= 116, 627 W = 116.6 kW

Alternatively, from Equation 6.47

 max = 1 m
W  (V1 cos α 1 )2 = 0.5 × 1 × ( 500 × cos15 )2 = 116, 626 W = 116.6 kW
2
466 Power Plant Engineering

Also from Equation 6.50

 = 1m
W ( ) ( )
 V12 − V22 = 0.5 × 1 × 5002 − 129.392 = 116, 627 W = 116.6 kW
2

For the efficiency of the blade


W 116, 627 116, 627
ηB = = = = 0.933 or 93.3%
1 0.5 × 1 × 5002 125, 000
 12
mV
2

This example clearly shows that in the ideal impulse turbine, the velocity
of the flow relative to the blades in the inlet and outlet streams remains
constant but their directions change. However, the absolute velocity of
the flow reduces significantly. In actual turbines, the relative velocity of
the flows also slightly reduces due to fluid friction. In order to take the
friction into account, the velocity coefficient, kv, is defined as the ratio of
the outlet relative velocity to the inlet relative velocity.

Vr 2
kv = Vr 2 < Vr 1 (6.51)
Vr 1

Example 6.5
Repeat Example 6.4 for the velocity coefficient of 95%.
AnalysisThe inlet flow conditions are the same and the blade is sym-
metrical, so

θ 1 = θ 2 = 28.19°

m
Vr 1 = 274.0
s

VB , opt = 241.5 m/s

Since the flow has friction, the relative velocity of the flow in the outlet
is smaller than the relative velocity in the inlet. The exit relative velocity
can be found using the velocity coefficient.

m
Vr 2 = k v Vr 1 = 0.95 × 274.0 = 260.3
s

x -direction : V2 x = V2 cos α 2 = VB − Vr 2 cos θ 2 = 241.5 − 260.3 cos 28.19 = 12.1 m

m
y -direction : V2 y = V2 sin α 2 = Vr 2 sin θ 2 = 260.3 sin 28.19 = 122.9
s
Steam Turbines 467

122.9
tan α 2 = = 10.2 so α 2 = 84.4°
12.1

Vr 2 sin θ 2 260.3 sin 28.19 m

V2 = = = 123.5
sin α 2 sin 84.4 s

 B (V1 cos α 1 − V2 cos α 2 ) = 1 × 241.5 ( 500 × cos 15 − 123.5 × cos 84.4 )

 = mV
W

= 113, 711 W = 113.7 kW

Note that neither Equation 6.47 nor Equation 6.50 can be used because
of the loss.
For the efficiency of the blade

W 113, 711 113, 711

ηB = = = = 0.9097 or 90.97%
1 2 0.5 × 1 × 500 2
125, 000
 1
mV
2

As expected, the efficiency of the blade reduces due to the friction loss.

All these examples indicate that the force exerted on a blade and its output
power are functions of the inlet flow velocity. So in order to maximize the
power output of an impulse blade, the inlet velocity should be increased as
much as possible. This means that the inlet steam pressure should be con-
verted to the velocity (the kinetic energy) before it strikes the blades. For this
purpose, there are nozzles, typically in the form of a set of stationary blades
acting as nozzles, ahead of the rotating blades where the velocity of the flow
increases while the pressure reduces (Figure 6.8). The maximum flow veloc-
ity is in the outlet of the nozzles. In the case of impulse blades, the entire
steam expansion, which is manifested in the pressure drop of the stage,
occurs in the stationary blades (nozzles). Note that the enthalpy of the steam
also reduces in the nozzles while it remains unchanged through the rotating
impulse blade. Figure 6.8 illustrates that the pressure of the steam remains
unchanged through the rotating blades, which is why these types of turbines
(or stages of turbines) are called equal pressure turbines (or stages). In order
to keep the pressure unchanged in the rotating blades, the area between the
blades should remain unchanged; otherwise the blades will act as a nozzle or
diffuser, depending on whether the area reduces or increases. This is the
reason for the symmetrical shape of impulse blades. This is also why the
entrance and exit angles of these blades are equal.
The efficiency of fixed blades, rotating blades, and fixed and rotating blades
combined (a stage) of an impulse turbine is defined as follows:

∆hactual
ηfixed = (6.52)
∆hisentropic
468 Power Plant Engineering

Fixed
blades (nozzles)
Moving blades

Steam

Velocity
Pressure

FIGURE 6.8
Stationary and rotating blades in an impulse blade, the pressure and absolute velocity variation
across an impulse turbine (note that the real-world variation may not be linear as shown here
for simplicity).


W 
W
ηrotat = = (6.53)
KEoutlet fixed blade KEinlet rotating blade


W 
W 
W
ηstage = ˙ = ˙ = (6.54)
∆H stage ∆H fixed  ∆hfixed
m

6.2.3 Single-Stage Impulse Turbines

Karl Gustaf Patrik de Laval (1845–1913, a Swedish engineer) first introduced
the idea of impulse turbines in 1882 and built a small single-stage demon-
strational impulse turbine, known as the de Laval turbine, in 1887. In order
to convert the steam pressure to velocity, he developed a supersonic nozzle
for his turbine. One or several of these nozzles fed the high-velocity steam
to the rotating blades (Figure 6.9). This meant that the nozzles did not cover
all blades, and not all the blades were struck by the jets at a given time. The
nozzles were also used to control the steam flow rate through the turbine by
shutting some of the nozzles. Both the steam turbine and the nozzle bear his
name. In order to withstand the engines’ high rotational speed (up to 30,000
rpm), he employed oil-fed bearings. This speed was reduced to 3000 rpm by a
gearing system. Then, he developed a centrifugal separator to separate steam
from oil. In the early 1890s, he successfully built commercial steam turbines
Steam Turbines 469

Moving
blades
Nozzles

FIGURE 6.9
Single-stage impulse turbine or de Laval turbine.

with a capacity of first 3.7 kW (5 hp) and then 11.2 kW (15 hp) for marine appli-
cations. The problem with his engines was that due to their high rotational
speed and thus high centrifugal forces, materials available then (and now)
were not strong enough for large power production units. This problem lim-
ited the size and capacity of his turbines.

Example 6.6
1200 kg/s superheated steam from a steam generator enters a hypotheti-
cal single-stage impulse turbine at the pressure of 150 bar and the tem-
perature of 500°C. The turbine discharges the exit steam to the condenser
at the pressure of 0.2 bar. The isentropic efficiency of the turbine is 88%
and the velocity coefficient of the blade is 98%. The outlet angle of the
stationary blades (nozzles) is 18°. The rotating blades are symmetrical
and are rotating at the optimum velocity. Draw the velocity vector dia-
gram for the inlet and outlet flows and determine the blade entrance and
exit angles, the maximum output power of the blade, the rotating blade
efficiency, and the stage efficiency.
Stationary Let us determine the blade optimum velocity first. For
the inlet steam at the pressure and temperature of 150 bar and 500°C,
respectively, the enthalpy and entropy of the steam can be found from
the steam property table (superheated steam table, note that depending
on the table that you use, you may get slightly different values):
470 Power Plant Engineering

kJ
hin = 3310.8
kg

kJ
sin = 6.3479
kg K

The turbine discharges the steam to the condenser at the pressure of 0.2
bar. The isentropic efficiency of the turbine is defined as

∆h hin − hout (6.55)

ηturbine = =
∆hs hin − hout s

where the subscript s represents the isentropic expansion process

between the inlet flow and the outlet flow of the turbine. So,

pout = 0.2 bar

kJ
sout s = sin = 6.3479
kg K

By interpolation using the saturated steam property table,

kJ
hout s = 2089.4
kg

Note that the quality of steam in this state will be about 78% which is
well below the acceptable level. The steam reheating in real steam cycles
can partially address this problem.

∆h 3310.8 − hout
0.88 = =
∆hs 3310.8 − 2089.4

kJ
hout = 3310.8 − ( 3310.8 − 2089.4) × 0.88 = 2236
kg

Since in an impulse turbine, the pressure and enthalpy of the steam in

the rotating blade do not change, the pressure and enthalpy of the sta-
tionary blade exit steam are the same as the pressure and enthalpy of the
turbine exit flow.
Writing the first law of thermodynamics for the fixed blades (nozzles):

V f21 V f22
hf 1 + = hf 2 + (6.56)
2 2

V f22 V f21
= hf 1 + − h f 2 (6.57)
2 2
Steam Turbines 471

Ignoring the velocity of the inlet flow to the turbine, which is typically an
acceptable assumption,
V f22
= h f 1 − h f 2
2
 kJ  1000 [ J ] m
V f 2 = 2 ( h f 1 − h f 2 ) = 2 ( 3310.8 − 2236)   × = 1375.4
kg
  1 [ ]
kJ s

The outlet flow leaving the nozzle is the inlet flow to the rotating blades, so

m
V1 = V f 2 = 1375.4
s

Also, the angle between the blade velocity and the absolute velocity of
the inlet flow is

α 1 = 18°

The blade optimum velocity is

1 m
VB , opt = V1 cos α 1 = 0.5 × 1375.4 × cos 18 = 654.0
2 s

x -direction : V1x = V1 cos α 1 = VB + Vr 1 cos θ 1

m
Vr 1 cos θ 1 = V1 cos α 1 − VB = 1375.4 × cos 18 − 654.0 = 654.0
s

m
y -direction : V1y = V1 sin α 1 = Vr 1 sin θ 1 = 1375.4 × sin 18 = 425.0
s

Dividing last two equations:

425.0
tan θ 1 = = 0.650 so θ 1 = 33.02°
654.0

425.0 m
Vr 1 = = 780.0
sin 33.02 s

Now all the information needed to draw the inlet velocity vector dia-
gram (on a real scale) is known. Let us determine similar information
for the outlet velocity vector diagram. Since the flow has friction, the
relative velocity of the flow in the outlet is smaller than the relative
velocity in the inlet. The exit relative velocity can be found using the
velocity coefficient.

m m
Vr 2 = k vVr 1 = 0.98 × 780.0 = 764.4
s s
472 Power Plant Engineering

m
x -direction : V2 x = V2 cos α 2 = VB − Vr 2 cos θ 2 = 654.0 −764.4 cos 33.02 = 13.1
s

m
y -direction : V2 y = V2 sin α 2 = Vr 2 sin θ 2 = 764.4 sin 33.02 = 416.5
s

416.5
tan α 2 = = 31.8 so α 2 = 88.20°
13.1

Vr 2 sin θ 2 764.4 sin 33.02 m

V2 = = = 416.7
sin α 2 sin 88.20 s

 = mV
W  B (V1 cos α 1 − V2 cos α 2 )

= 1200 × 654.0 (1375.4 × cos 18 − 416.7 × cos 88.20)

= 1, 016, 371, 203 W = 1, 016.4 MW

For the efficiency of the blade,


W 1, 016, 371, 203
ηB = = = 0.8955 or 89.55%
1 0.5 × 1200 × 1375.42
 12
mV
2

For the efficiency of the stage,


W 1, 016, 371, 203 W
ηstage = =
 ∆hfixed
m  kg   kJ  1000 [ J ]
1200   ( 3310.8 − 2236 )  
 s  kg  1 [ kJ ]
= 0.7880 or 78.80%

Question: Determine the rotational speed of the rotor if the above cal-
culations were for the blade with diameter of 1 m (including the shaft
diameter and the blade height).
If the diameter of the blade is assumed to be 1 m, the rotational speed
of the shaft will be

VB 654.0 rad (6.58)

ω= = = 1308
r 0.5 s

ω 1308 revolutions
Rotational speed = = = 208.2 = 12491.2 rpm (6.59)
2π 2π s

The blade velocity and the shaft rotational speed that were calculated for
the previous example are well beyond what a typically modern turbine can
tolerate. Due to high stresses caused by centrifugal forces as well as other
Steam Turbines 473

considerations including the generator rpm and the frequency of electricity,

the rotational speed of steam turbines is typically limited to less than about
4000 rpm.2 Furthermore, flow friction losses are proportional to the square
of the flow velocity. So such a high flow velocity (Example 6.6) will result in
unacceptable efficiency reduction due to high friction losses. As noted ear-
lier, these problems severely limited the size and capacity of the de Laval
turbines. To address these problems, two methods have been used: velocity
compounding and pressure compounding.

6.2.4 Velocity-Compounded Impulse Turbines

In this type of turbines, there are two or more stages of impulse rotating
blades. So unlike de Laval turbines, the kinetic energy (and velocity) reduces
through more than one stage, which reduces the blade velocity of each
stage. This can potentially eliminate the problem of unacceptably high blade
velocity that de Laval turbines faced. Charles Gordon Curtis (1860–1953, an
American engineer) developed the first velocity-compounded impulse stage,
which is named after him, Curtis stage turbines.
In velocity-compounded impulse steam turbines, there are a nozzle stage
at the entrance of the turbine, several stages of rotating blades, and a stage
of fixed blades between rotating stages (Figure 6.10). In the nozzle stage, the
steam pressure and enthalpy are reduced and its velocity is increased. In fact
the entire pressure reduction of the turbine occurs in this nozzle stage,
and the steam pressure remains unchanged in the rest of the turbine. The
velocity and kinetic energy are maximum at the outlet of the nozzle stage.
This high velocity of steam is a major problem for this type of turbine. As
noted before, friction losses in a steam flow are proportional to the square
of the flow velocity. Therefore, the high velocity in the outlet of the nozzle
results in high friction losses, which reduces the overall turbine efficiency.
After the nozzles, the steam is fed to the first stage of the rotating blades
where some power is produced because of the momentum exchange between
the blades and the steam flow (Figure 6.10). While the velocity reduces in the
rotating blades, the pressure remains constant. The relative velocity of the
steam also remains unchanged in the rotating blades for a frictionless flow.
For an actual flow, there is a slight reduction in the relative velocity due to the
friction that can be accounted for by the velocity coefficient for each rotating
blade. For example, the velocity coefficient for the first stage of the rotating
V
blades in Figure 6.10 is defined as k v 1 = r 2 .
Vr 1
The only function of the fixed blades between the rotating stages is to
redirect the flow so it can enter the second stage of the rotating blades at a
correct angle. So for a frictionless flow, the kinetic energy, absolute velocity,

2 Note that there are turbines, such as micro gas turbines, that operate at much higher rpm,
even over 100,000 rpm. But they are typically limited to small turbines.
474 Power Plant Engineering

Moving blades Fixed

blades
Fixed
nozzles

SteamVelocity
Pressure

FIGURE 6.10
Schematic diagram of a three-stage velocity-compounded impulse turbine along with
pressure and velocity diagrams.

and pressure remain constant in these fixed stages. For a flow with friction,
the absolute velocity slightly reduces in these blades. This reduction can
be taken into account by the velocity coefficient defined for the fixed blade
stage. For example, for the fixed blade stage after the first rotating blades in
V
Figure 6.10, the velocity coefficient can be written as k v 2 = s 3 . The remaining
Vs 2
kinetic energy of the steam is extracted in the remaining stages of the rotat-
ing blades until the velocity reduces to the turbine exit velocity.
Theoretically, in these turbines, there can be any number of moving stages.
The early rotating and fixed blades where the flow has high velocity are cur-
vier and thicker compared to those in the later low velocity blades that are
flatter and thinner.
For a velocity-compounded turbine with n rotating impulse stages
since the kinetic energy of the steam is extracted in n stages, inspired
by Equation 6.46 for single-stage impulse turbines, the optimum blade
Steam Turbines 475

elocity for the frictionless flow turbine can be determined by the follow-
v
ing equation:

1
VB , opt = V1 cos α 1 (6.60)
2n

Note that in this case, the absolute velocity of the final turbine exit flow
(and not exit from each rotating blade) is perpendicular to the blade velocity
vector and is parallel to the axis of rotation of the turbine (an axial flow).
In the velocity-compounded impulse turbines, the total power production
of the turbine is divided among the rotating stages. However, the share of
each stage is not equal. The earlier high-velocity stages extract much more
power than those of the later low-velocity stages. It can be shown that the
ratio of the power extracted in each stage are as follows (form high to low
velocity blades):

Two-rotating-stage turbines: 3:1

Three-rotating-stage turbines: 5:3:1
Four-rotating-stage turbines: 7:5:3:1

This indicates that the lower velocity stages contribute little to the total
power produced in the turbine. In fact, there is no economical justification to
add stages beyond a certain number of stages, perhaps over two stages. This
problem significantly limits the applications of the velocity-compounded
turbines. Also, as noted earlier, friction losses are high, particularly in the
early stages. The pressure-compounded impulse turbines can address some
of these problems.

6.2.5 Pressure-Compounded Impulse Turbines

Similar to velocity-compounded impulse turbines, pressure-compounded
impulse turbines are composed of several rotating impulse stages (Figure 6.11).
However, unlike velocity-compounded turbines, in pressure-compounded
turbines, all stationary stages (and not just the first one) are nozzles. This
means the steam is expanded as well as redirected in these stages. This also
means all velocity increase and pressure (enthalpy) drop do not occur in the
nozzles at the entrance of the turbine. Instead, the entire pressure (enthalpy)
drop of the turbine is divided among several stages of the fixed nozzles. In
fact in this configuration, each stage is like an independent impulse stage.
This configuration eliminates both problems of velocity-compounded tur-
bines. Since the velocity increase occurs in several stages, the velocity of the
steam after the nozzle at the turbine entrance does not increase to such a high
level that it can create high friction losses. Furthermore, the power produced
in each stage can be controlled by the designer. Auguste Rateau (1863–1930,
476 Power Plant Engineering

Moving blades Fixed

blades
Fixed
nozzles

Steam
Velocity
Pressure

FIGURE 6.11
Schematic diagram of a three-stage pressure-compounded impulse turbine along with
pressure and velocity diagrams.

a French engineer) invented this type of multistage impulse turbines, which

was named after him Rateau turbines or Rateau-stages.
Typically, the enthalpy drop in pressure-compounded impulse turbines is
divided equally among the stages. This means the inlet absolute velocity to
each rotating stage is almost equal. However, the pressure drop among the
stages is not equal. Using the first law of thermodynamics for the nozzles
(neglecting the inlet absolute velocity to the first nozzle), the inlet velocity to
the moving stages can be calculated by the following equation:

2 ∆htotal
V1 = V2 =  = Vn = (6.61)
n

where V1 , V2 , … , Vn are the absolute velocities of the nozzle outlet flows and
the absolute velocities of the inlet flows to the rotating stages, ∆htotal is the
entire specific enthalpy drop of the turbine, and n is the number of stages in
the turbine. Note that in the actual design process, this equation cannot be
used because the inlet absolute velocity is required for the flow to enter the
nozzles and cannot be ignored. However, Equation 6.61 can provide a very
good starting point for calculations.
Steam Turbines 477

Essentially, each stage (combined stationary and rotational blades) is simi-

lar to a single-stage impulse turbine but with a much smaller enthalpy drop.
Therefore, all characteristics of single-stage impulse turbines can be applied for
each stage of pressure-compounded turbines. For instance, ideally, the abso-
lute velocity of the turbine exit flow from each rotating blade is perpendicular
to the blade velocity vector and is parallel to the axis of rotation of the tur-
bine. Another compounding possibility is to have a composite compounding
where several velocity-compounded stages are combined through pressure
compounding.
In summary, the advantages of pressure-compounded impulse turbines over
velocity-compounded and single-stage impulse turbines can be listed as follows:

• The steam absolute velocity is lower throughout the turbine, particu-

larly in the early stages, which results in less friction losses.
• The blade velocity, i.e., the rotational speed of the turbine, is lower.
• The share of each stage in the output power can be controlled by
designers and is commonly roughly equal among stages.
• These turbines have higher efficiency.

6.3 Reaction Turbines
Unlike impulse forces that are based on the collision of objects, in reaction
forces, there is no need for direct impact. We encounter devices and equip-
ment operating based on reaction forces in our daily life from whirling water
sprinklers to jet engine airplanes and space rockets. In these devices, the flow
pressure drops and its velocity increases through the device, which create
the reaction forces on the flow. The corresponding force exerted on the device
in the opposite direction and equal in magnitude (according to the third law
of Newton) is called the reaction force.
The first recorded turbine in history was a pure reaction turbine, known
as an aeolipile, built by Hero of Alexandria (Greek mathematician and engi-
neer who lived in Roman Egypt, c. 10–c. 70 AD) in the 1st century AD. It was
similar to a lawn sprinkler but steam tangentially exited the nozzles instead
of water (Figure 6.12). The steam was generated in the closed container at the
bottom and was transferred to the nozzles via tubes that acted as the support
for the turbine as well.
Much later in the 16th and 17th centuries, several authors described
devices, mainly roasting jacks (a machine to rotate meat roasting on a spit),
operating based on the reaction steam turbine principle. There were several
attempts to build steam turbines similar to water turbines but all of them
failed except the one developed by William Avery (an American mechanic).
He patented a device similar to the Hero’s reaction turbine. It was made of
478 Power Plant Engineering

Steam nozzle

Steam jet

Steam

Water

Fire

FIGURE 6.12
Hero of Alexandria’s steam reaction turbine (note that the steam jets are perpendicular to the
page, one outward and one inward).

a hollow cylinder that could rotate around its axis. Steam exited through
two arms that discharged it at a right angle relative to the cylinder axis at
opposite directions (Figure 6.13). For practical reasons, such as high noise
and maintenance, his steam engine was never widely used.
Sir Charles Algernon Parsons (1854–1931, a British engineer) developed the
first modern reaction turbine in 1884 with a capacity of 7.5 kW and an effi-
ciency of less than 2%. In order to address the problem of high rotational

Steam nozzle

Steam jet
Fire

(a) (b)

FIGURE 6.13
Schematic of Avery’s steam reaction turbine. (a) Front view, (b) side view.
Steam Turbines 479

speed, which limited the capacity of de Laval’s impulse turbines, Parsons’

turbines had multiple stages, which divided the expansion process to small
steps, so the steam speed never increases to an unacceptable level. The capac-
ity and performance of Parsons’ turbines were quickly improved. In 1890, the
first power plant equipped with two generators each with 75 kW electricity
generation capacity was installed. In 1899, the first-megawatt power plant was
installed in Germany employing a Parsons’ turbine. George Westinghouse
(1846–1914, an American entrepreneur and engineer) installed the first tur-
bine-based power plant in Pennsylvania. These turbines were also success-
fully installed in many ships and broke many records.
Reaction turbines, similar to impulse turbines, have both fixed and mov-
ing blades. It was discussed that in impulse turbines all enthalpy (and
pressure) drop takes place in the fixed blades and the enthalpy and pres-
sure are constant over the moving blades (except for the pressure drop due
to friction). In reaction turbines however pressure reduces both through
the fixed and moving blades. The pressure drop in fixed nozzles creates
the impulse force when the flow strikes the moving blades. The pressure
drop in the moving blades, which causes the flow acceleration (increase in
the velocity), creates the reaction force. Note that if there is no momentum
change in the blades, which means the direction of the flow does not change
in the blades (as in Hero’s turbine), the turbine will be a pure reaction tur-
bine. In reality, there is no commercial pure reaction turbine. Although
we call them reaction turbines, they are in fact a combination of reaction
and impulse turbines. A 50% reaction turbine stage is one where the total
enthalpy drop is equally divided between the fixed and moving blades.
Sometimes turbine stages are named according to the variation of pressure
through them, equal pressure for impulse stages and unequal pressure
for reaction stages.
Figure 6.14 demonstrates the variation of pressure and absolute veloc-
ity throughout a series of reaction blades. While the pressure of the steam
decreases, the absolute velocity increases as the steam passes through the
fixed blades. In the moving blades, the pressure continues to decrease and
the absolute velocity also drops (note the similarity of the velocity change
in the reaction stages and pressure-compounded turbines in Figure 6.11).
As shown in Figure 6.14, since both the fixed and moving blades are act-
ing as nozzles, the passage areas between the blades should reduce along
both stages. This results in asymmetrical blades for both moving and fixed
blades. Note that they are curved in the opposite direction because the fixed
blades should also redirect the steam so that it can enter the next stage of the
moving blades at an appropriate entrance angle.
Note that although the relative velocity increases in the moving blades (as
the flow accelerates), the absolute velocity reduces, which is in agreement
with the first law of thermodynamics. Using a similar approach that was
already used for impulse turbines, it can be shown that the blade velocity for
the maximum power outlet and the maximum power generation in reaction
480 Power Plant Engineering

Fixed blades
Moving (nozzles)
blades

Steam
Velocity
Pressure

FIGURE 6.14
Variations of pressure and velocity of steam in a three-stage reaction turbine.

turbines can be determined by the following equations (the terms in these

equations are presented in Figure 6.7):

VB , opt = V1 cos α 1 (6.62)

 max = m
W  (6.63)

Comparing Equations 6.62 and 6.63 for reaction turbines with Equations 6.46
and 6.47 for impulse turbines indicates that the reaction turbines’ maximum
rotational speed and maximum power generation are twice those in impulse
turbines for the same given inlet flow conditions.
Steam Turbines 481

6.4 Modern Utility Steam Turbines

To understand the reasons behind the configuration of modern steam tur-
bines, which is typically a combination of impulse and reaction stages, we
need to first compare and contrast the characteristics of these two types of
stages. There are several distinguishing factors that differentiate impulse
and reaction stages. In this section, we will review these factors.

6.4.1 Impulse Stages versus Reaction Stages

The first distinction is the pressure variation throughout moving blades.
We noted that while the steam pressure remains constant through the mov-
ing blades in impulse stages, it reduces in reaction stages. This means in
an impulse stage the steam pressure before and after the moving stage is
equal. However, in a reaction stage, the steam pressure after the moving
stage is lower than that before the moving stage. This pressure gradient cre-
ates a potential for steam leakage. In actual turbines, there are always some
gaps between the tip of moving blades and the turbine casing to avoid their
contact, which can be catastrophic and can destroy the turbine. Due to the
pressure difference between before and after the moving stage in reaction
stages, some steam will always go through this gap bypassing the blades.
This steam leakage negatively impacts the output power and efficiency of the
stage since the leaked steam does not contribute to the stage power genera-
tion. The magnitude of the steam leakage depends on the blade tip clearance
and the pressure gradient across the stage. While designers and manufac-
turers have tried to reduce this gap to as little as possible, there is a limit for
this reduction, particularly considering temperature variations and thermal
expansion between cold start-up and full load operation. To reduce the steam
leakage, the pressure drop across a reaction stage should be limited. For this
reason, for the same power output, reaction turbines need more stages than
that required for impulse turbines.
Now let us consider the optimum rotational speed and maximum out-
put power of impulse and reaction turbines. From dividing two sides of
Equations 6.46 and 6.62 and Equations 6.47 and 6.63,

V(B , opt ) Im 1 V1,Im cos α 1, Im

= × × (6.64)
V(B , opt ) Re 2 V1,Re cos α 1, Re

 max Im 1  V1, Im cos α 1, Im 2

W( )
 max Re = 2  V1, Re × cos α1, Re  (6.65)
W( )  

These two equations indicate that for the given inlet steam conditions
(the same V1 and cos α 1), the optimum blade velocity (and the optimum
482 Power Plant Engineering

turbine rotational speed) and the maximum power generated in the reaction
stage double those in the impulse stage.

V1,Im = V1,Re and cos α 1,Im = cos α 1,Re (6.66)

V(B , opt ) Im 1

= (6.67)
V(B , opt ) Re 2

 max Im 1
W ( )
 = (6.68)
W(max) Re 2

However, in practical applications, the limiting parameters are the blade

speed and the turbine rotational speed due to the centrifugal forces that the
blade and shaft materials can withstand. For a given blade speed, the steam
velocity and the maximum power generated in the impulse stage double
those in the reaction stage. From Equations 6.64 and 6.65,

V(B , opt ) Im = V(B , opt ) Re (6.69)

V1, Im cos α 1, Im
× = 2 (6.70)
V1, Re cos α 1, Re
 max Im
W ( )
 = 2 (6.71)
W(max) Re

This is another reason why reaction turbines need more stages than impulse
turbines to extract the same amount of power. This means that impulse
turbines can produce the same amount of power in fewer stages and in a
shorter turbine compared to those needed for reaction turbines. Note that
in Equations 6.64–6.71 the fluid is assumed to be frictionless. For real fluids,
these values might be different. However, the similar general trends can be
observed in real steam turbines too.
For the stage efficiency, it can be shown that for a frictionless fluid, reaction
stages have much higher efficiency than that of impulse stages. Since the
velocity of the steam flow is lower in reaction stages (Equation 6.70), the friction
losses are lower in these stages, which further improves their efficiency.

6.4.2 Configuration of Modern Steam Turbines

Now we can discuss the configuration of modern steam turbines. Typically,
a combination of impulse and reaction turbines is used in modern steam tur-
bines. The first few stages are typically impulse stages followed by many reac-
tion stages. To explain the reasons for these configurations, first it should be
noted that the length of blades increases with the progression of steam in the
Steam Turbines 483

turbine. In early stages (high-pressure stages), the blades are short while the
longest blades are in the last stage of the turbine. The reason is that when the
steam flow moves along the stages of the turbine, it expands. As a result, its spe-
cific volume increases and its density decreases. This is reflected in the progres-
sively increasing volumetric flow rate of the steam in the turbine. For the same
mass flow rate, to keep the velocity of the steam flow at an acceptable range,3
the area perpendicular to the flow should increase (according to the equation
m = ρ AV ). Clearly, the larger area can only be achieved with longer blades. This
is important for the selection of the type of a stage. We recalled from our earlier
discussion that in reaction stages, there are always some steam leakages from
the clearance between the tip of the blades and the casing. For short blades, the
gap can be significant compared to the total length of the blade. This means for
the same operational conditions the percentage of the total flow that bypasses
short blades is much larger than that of longer blades. Furthermore, the fact that
shorter blades are located at early stages of the turbine operating at high pres-
sures, where the density of the steam is higher, intensifies this problem (again
according to the above mass flow rate equation). This means that if reaction
stages are used in the high-pressure early stages of the turbine, a considerable
percentage of steam will bypass the blades. The leakage can severely impact the
efficiency of these stages. This is why the first few stages of large steam turbines
are typically impulse stages. These stages are followed by many reaction stages
due to their higher efficiency. The degree of reaction in the reaction stages pro-
gressively increases. Note that the longer length of reaction blades increases
their power generation, which can help to make up for the inherently lower
power generation of reaction stages (Equations 6.47 and 6.63).
In summary, in utility steam turbines the high-pressure end is composed
of few stages of short symmetrical impulse blades followed by increasing lon-
ger and more asymmetrical reaction blades at intermediate and low-pressure
sections. It should be noted that the above discussion is rather a general one
and each manufacturer can have a different design strategy on the degree
of reaction for each stage of their turbine. Some manufacturers for example
use low percentage reaction stages (perhaps 10% reaction and 90% impulse)
at the high-pressure end of their turbines. Finally, it should be remembered
that this configuration is only for large utility steam turbines. In small steam
turbines, typically just a couple of impulse stages are used due to their com-
pactness and simplicity.

6.4.3 Twisted Blades
In the study of velocity vector diagrams, we noticed that the blade velocity
(VB) has a significant impact on the shape of a blade and its performance.

3 It should be noted that generally the objective is not necessarily to keep the steam velocity
fixed but to distribute the total turbine power generation approximately uniform among all
the turbine stages. However, these two effects are interrelated.
484 Power Plant Engineering

We know that the velocity of a point on a blade can be determined by the

following equation:

VB = rω = r ( 2 πN ) (6.72)

where r is the radius of the rotation of the point or the vertical distance
between the point and the axis of rotation (m), ω is the angular velocity of the
turbine (rad/s), and N is the number of revolutions of the turbine per second
(1/s). In this equation, the angular velocity of the turbine is the same for the
entire turbine. However, the radius and as a result the blade velocity vary
throughout the blade length. The farther the point of interest is from the axis
of rotation, the greater the blade velocity at that point is. This indicates that
the velocity vector diagram varies for different sections of a blade through-
out its length. This, in turn, dictates that the optimum profile of each sec-
tion of the blade varies depending on how far it is from the base of the
blade. In general, the base of a blade should be more impulse than its tip
and the maximum degree of reaction should be in the blade’s tip. This can
be typically achieved by a twisted blade. Longer blades experience a greater
variation in their velocity along the blade’s length, which, in turn, require
more twisting. For short blades, i.e., the symmetrical impulse blades at the
high-pressure end of turbines, the change in the blade velocity can be small
enough to be negligible. That is why the blades of early turbine stages have
typically a fixed profile for the entire length of the blade with no twist. But
the blades of reaction stages are twisted, which progressively increases for
longer blades. Due to limited manufacturing tools and nonexistence of com-
puterized design tools, the blades of early turbines were usually uniform.
However, most modern steam turbines (for that matter most large turbines4)
have twisted blades, especially at lower pressure sections.

6.4.4 Blade Materials and Sealing

Steam turbine blades, particularly at the high-pressure sections of the turbine,
are exposed to high-temperature and pressure superheated steam. Since the
steam is highly purified, corrosion is not a major problem for blades. However,
blades are susceptible to creep5 and fatigue.6 With the increasing inlet flow
temperature and pressure of modern turbines, creep is particularly a major
challenge. A low coefficient of thermal expansion is also a desirable attribute
for turbine blade materials. Steam turbine blades are typically made of nickel
superalloys formed by nickel (Ni) alloyed with titanium (Ti) and aluminum
(Al) as well as sometimes ruthenium (Ru) and rhenium (Re). They may also

4 Next time that you see a wind turbine, pay attention to how twisted its blades are.
5 Creep is permanent deformation of material when exposed to long-term stresses, which are
less than its yield strength, typically at high temperatures.
6 Fatigue is material failure due to cyclic stresses.
Steam Turbines 485

be coated with a thermal protective layer of zirconium (Zr)-based ceramic to

reduce their exposure to the high-temperature steam. The research and devel-
opment activities are underway to develop blades materials that can operate
with steam at temperatures around and above 750°C (about 1400°F).
In the previous section, we noted that the clearance between a moving
stage and the turbine casting is a critical parameter in determining the steam
leakage in reaction stages. Several sealing mechanisms have been used to
minimize this gap. An important consideration in the design of these sys-
tems is that the minimum required clearance needed to avoid any rubbing
between the blade tips and the casing is larger during start-up and shutdown
than that during steady-state operation. In the past, these seals had a spring
on the back to create a fixed clearance. In these seals, the clearance had to
be large enough to accommodate all operation conditions. This resulted in
larger than needed gaps for steady-state operation and unnecessary avail-
ability losses. In one of the latest designs, called active clearance control
(ACC) seals, the clearance is controlled by steam pressure applied at the seal
rings. Other common sealing techniques are leaf seals and abradable seals.

6.4.5 Turbine Rotors
A steam turbine rotor is a very large and heavy metallic component subject
to high physical, thermal, and cyclic stresses. The rotor of a steam turbine
from the functional point of view (and not necessarily from physical appear-
ance) is composed of two parts: shaft and disk assemblies. The discs are
where turbine blades are attached to the rotor.
There are several approaches to manufacture a steam turbine rotor. In the
first method, which is sometimes referred to as integral rotors, the rotor is
manufactured from a single forged block (Figure 6.15a). In this mono-block
design, the discs are formed by machining. Due to its high material needs
and machining time as well as the high possibility of manufacturing defi-
ciencies, this approach compared to other methods is expensive. However,
when manufactured, they are very robust during operation. Also, the overall
length of the rotor is generally shorter in this design.
In the second technique, sometimes referred to as the composite construc-
tion, built-up rotors, or shrunk-on disk design, the shaft and discs are
forged and machined separately (Figure 6.15b). After construction of the com-
ponents, the discs are heated and then shrunk and keyed on the shaft. The
forging, machining, and inspection processes in this technique are relatively
simple and certainly less demanding than the previous method. However,
there is a possibility of discs becoming loose during operation, particularly
at the high-temperature sections of turbines. This problem can be intensified
in long term due to the effects of creep.
The last method can be seen as a combination of the first two methods. In
this approach, similar to built-up rotors, the manufacturing process is divided
into several segments. Each disk and its corresponding shaft are forged and
486 Power Plant Engineering

(a)

(b)

Welding

(c)
FIGURE 6.15
Different rotor manufacturing methods. (a) Integral or mono-block rotor, (b) built-up rotor,
(c) welded disk rotor.

machined together but separated from the rest of the rotor (Figure 6.15c).
These separate segments are then welded together to form a solid rotor, simi-
lar to integrated rotors, which in this case is called the welded disk rotor.
This method requires advanced welding techniques that only became avail-
able in the 1920s. The first rotor manufactured using this method was built
in Europe and installed in Japan in 1929. Since then this approach to con-
struct rotors have been the most popular one, especially for large turbines.
An advantage of this method that others cannot compete with is that differ-
ent segments can be made up of different metals according to their opera-
tional requirements. While high-temperature sections can be fabricated from
Steam Turbines 487

high-temperature resistant materials, low-temperature sections can be man-

ufactured from low-carbon steels. In this method, the rotor should be stress
relieved by a heat treatment process.
As noted above, turbine blades are attached to the shaft by means of disk
assemblies. There are three common mechanisms to fasten blades to discs: dove-
tail, fir-tree, and T-root attachments (Figure 6.16a–c). Due to their high stress,
particularly for long low-pressure blades, and the probability of high stress
concentrations at sharp corners, the design of these joints is very important.
A steam turbine rotor has another function that can be critical in certain
circumstances. If for whatever reason the flow of steam to the turbine is inter-
rupted, for example due to an emergency shutdown, the quick cooling of
turbine components especially blades can create such a large temperature gra-
dient that may distort these components. In these situations, the huge amount
of heat that is stored in the mass of the rotor gradually dissipates to allow other
parts of the turbine a timely gradual cooling process. However, this heaviness
of the rotor along with long bearing spans (below) can cause a problem. If dur-
ing the cooling process the rotor stops rotating, the shaft can bend under the
heavy load. The same can happen if the turbine does not operate for a long
period. For this reason, the rotor in large units is typically equipped with a
turning gear that rotates the rotor very slowly during the cooling process or
during a prolong storage. The same system can be used at the beginning of a
cold start-up. This system can be driven by an AC motor. However, special pro-
visions should be considered for when the unit stops due to a blackout, which
is called a black trip, and no grid electricity is available to rotate the rotor. This
can be a battery-powered DC motor or an emergency power source.

6.4.6 Turbine Casings and Bearings

Turbine casings are enclosures that contain turbine’s internal components,
most notably moving blades. Turbines’ fixed blades are also attached to
casings. The shape of a casing is dictated by the size of blades. Since the blades

Blade
Blade
Blade

Disc Disc
Disc
(a) (b) (c)

FIGURE 6.16
Turbine blade attachment to disk assemblies. (a) Dovetail, (b) fir-tree, (c) T-root.
488 Power Plant Engineering

get increasingly longer along the turbine from the high-pressure end to the
low-pressure one, the casing should follow the same pattern. This means the
steam enters at the small diameter end and exits at the large diameter end.
Even when all turbine sections are on the same shaft, each high-pressure (HP),
intermediate-pressure (IP), and one or more low-pressure (LP) sections have
their own casings. The stress that a casing is exposed to is a direct function
of the operating pressure of the turbine it encloses. Higher pressure turbines
require walls with a higher thickness. Moreover, different parts of a casing are
exposed to different temperatures since the temperature of the steam reduces
along the turbine. This temperature gradient can cause different expansions
at two ends of the casing, which can distort it. Special considerations should
be given to counter these thermally induced stresses including using specially
designed ribs. Turbine casings are typically made in two pieces: upper and
lower sections. These two sections are connected by heavy bolts. The lower
section is fixed to the foundation. During turbine maintenance, the upper sec-
tion is removed to give access to the internal components of the turbine. In
many designs, the HP and IP turbines have an inner and an outer casing.
In Section 2.3.4, we learned that in regenerative steam cycles we heat feedwa-
ter in feedwater heaters before it enters the steam generator. The steam for this
purpose should be extracted from the turbine. The steam can also be extracted
from the turbine for the turbine driving the feedwater pump (Chapter 7) and
for other auxiliary steam needs. The turbine casing should be equipped with
various outlets at different pressures for steam extractions. These extraction
lines are all equipped with check valves (non-return valves) to prevent the
reverse flow back to the turbine. These valves are closed when the turbine is
shutdown. The lines also have isolating valves and condensate drain lines.
The bearings that support the turbine shaft are also enclosed within the
casing. In this section, we will briefly discuss about the radial bearings but the
axial (thrust) bearings will be discussed later in this chapter. The turbine shaft
is supported by journal bearings, also known as plain bearings or sliding
bearings. These bearings do not have any rolling element; instead the shaft (or
the journal) slides over a film of lubrication oil formed between the journal and
bearing sleeve (or shell). While the construction of these bearings may seem
simple, their theory, design, and operation to ensure safety and reliability can
be complicated. Obviously, it is critical to make sure that the oil film is reliably
present during turbine operation. The loss of this layer can be disastrous and
extremely costly. While in many applications the bearings are self-lubricating,
in steam turbines an oil pump is used to pump the lube to the bearings. This
pump is typically a positive displacement oil pump driven by the turbine
shaft. This ensures that the pump operates and the oil is available whenever
the shaft is rotating. However, a backup oil pump is needed for start-up and
emergencies. Similar to the turning gear discussed in the previous section,
special consideration should be given to the system’s safe operation during a
black trip. The lubrication system also includes an oil tank to provide makeup
oil and an oil cooler to reduce the oil temperature heated by the bearings.
Steam Turbines 489

6.4.7 Gland Steam Seal Systems

An important aspect of turbine casings is their sealing. The turbine shaft
almost always extends out of the casing on both ends. This can leave a gap
between the shaft and the casing. At high and intermediate turbine sections
the steam pressure is higher (often much higher) than the atmospheric pres-
sure, which can lead to steam leakage out of the casing to the atmosphere.
At low-pressure turbine sections, the steam pressure can drop below the
atmospheric pressure (note that a condenser typically operates at vacuum
pressures). In this case, atmospheric air can leak into the casing, which means
the loss of vacuum and efficiency as well as the introduction of air into the
steam that later should be removed in the condenser (Chapter 7). Clearly both
of these phenomena are undesirable and negatively impact the performance
of the turbine. Furthermore, the leakage of air into the turbine can cause ther-
mal stress when the cold air gets in contact with hot blades.
The most universally used sealing system to avoid leakage is a gland steam
sealing system. A gland seal is made of several labyrinth seals. Labyrinth
seals create a high-resistance path against the flow of steam or air by forming
a maze. To create this maze small groves and thin metallic strips are machined
on the shaft and fixed support, respectively (Figure 6.17a). These strips are
slightly pressed into the grooves by a spring system behind the fixed section.
The result is the creation of a high-resistance flow path (Figure 6.17b).
A typical gland steam seal is made of three labyrinth seals (Figure 6.18). Let
us first discuss how the gland steam seal system works when the turbine shaft
crosses the casing where the pressure inside the turbine is higher than the
atmospheric pressure. Technically, during the turbine full load operation, this
is the case for all sealing points except the low-pressure end of the low-pres-
sure turbine right before the condenser. In these high pressure sealing points,
the first labyrinth seal significantly reduces steam leakage by restricting its

Grooves Shaft
Shaft

Steam leakage through seal

Strips

Fixed support Fixed support

Spring
(a) (b)

FIGURE 6.17
Schematic of a labyrinth seal for a gland steam seal system. (a) Grooves and stripes on the shaft
and support, (b) high-resistance flow path.
490 Power Plant Engineering

3 2 1

Atmosphere

Turbine

Steam
Steam

Leaked steam and air to gland Leaked steam

steam exhaust system to leak-off valve

FIGURE 6.18
Gland steam seal operation when the turbine pressure is above the atmospheric pressure.

path (Figure 6.18). However, some steam still leaks through this seal. Note
that the amount of the leaked steam in this case is not comparable with that
without the seal. This steam is high-quality steam and is collected and sent to
low-pressure sections of the cycle, typically the main condenser (the bottom
right outlet in Figure 6.18). The pressure of this leaked steam is maintained
slightly above the atmospheric pressure, perhaps 0.5 bar higher, by a valve
called the leak-off valve (Figure 6.19). Since the pressure of the steam after
the first seal is still higher than the atmospheric pressure, a small amount of
steam leaks through the second labyrinth seal. This steam is collected (the
bottom left outlet in Figure 6.18) by the gland steam seal exhaust system
(Figure 6.19). In this system, a blower, called the gland steam exhauster,

Gland
steam condenser Mixture of leaked steam and air
Gland steam
exhaust system

Gland steam
exhauster (fan) HB LP Turbine Shaft

Leaked
steam Steam at pressure
slighty above atmospheric
pressure
Pressure regulating
Leak-off control valve
valve

FIGURE 6.19
Schematic of a complete gland steam seal system including the exhaust system.
Steam Turbines 491

collects the leaked steam by creating slight vacuum. A small amount of air
may also leak to this point through the third labyrinth seal. This leaked air
is also collected by the gland steam exhaust system. This mixture of steam
and air cannot be sent to the main condenser due to the presence of air in it
(we will talk about why this is undesirable in Chapter 7). Therefore, a dedi-
cated gland steam condenser is used to condense and remove steam from the
mixture. To recover the thermal energy of the gland steam, the relatively cold
condensate (condensed water) from the main condenser is used as the cool-
ing water in the gland steam condenser. The condensed steam leaving the
gland steam condenser is then sent back to the main condenser. The remain-
ing air and other noncondensable gases are then discharged to the environ-
ment via the exhauster (Figure 6.19).
Now let us review how the gland steam seal works when the turbine shaft
crosses the casing where the pressure inside the turbine is lower than the
atmospheric pressure. As noted above, in the turbine full load operation is
only the case for the low-pressure end of the low-pressure turbine; however,
in part load operation and particularly during start-up and shutdown, this
operating condition may be the case for more sealing points. In this case, since
the steam within the turbine is in vacuum, an external source of steam at the
pressure of slightly above the atmospheric pressure is needed. This steam can
be provided from the steam collected at the high-pressure gland steam seals
right after the first labyrinth seal (Figure 6.18). As you recall from the previous
discussion, this steam is pure steam (and not mixed with the leaked air) and
its pressure is maintained at slightly above the atmospheric pressure by the
leak-off valve. If this steam is not sufficient, which can be the case in start-up
and low load operation, some steam can be extracted from the high-pressure
turbine for this purpose. The pressure of this fresh steam is reduced to the
required pressure by a control valve (Figure 6.19). To prevent air leakage into
the turbine, this low-pressure steam is fed to the gland seal between the first
and second labyrinth seals (Figure 6.20). Since the pressure of this steam is
higher than both atmospheric air and the steam inside the turbine, this flow
is divided into two flows: one going through the first seal toward the turbine
and the other going through the second seal toward the third seal. The former
is safely mixed with the steam inside the turbine. The latter is the flow that
prevents air from leaking into the turbine. This portion of the steam along with
some air that leaked across the third seal is collected between the second and
third seals by the gland steam exhaust system in the same manner previously
explained (Figure 6.20). As noted, gland steam seal systems are the most com-
mon sealing mechanisms in utility turbines. However, smaller turbines may
be equipped with other sealing systems such as carbon seals or water seals.

6.4.8 Axial Thrust in Steam Turbines

When the steam flow passes through the blades of a turbine, it imposes
both tangential and axial forces on the blades. The tangential forces (Fx
in Equation 6.4) cause the rotation of the turbine rotor. The axial forces
492 Power Plant Engineering

3 2 1

Atmosphere

Turbine

Leaked steam and air Low pressure

steam

FIGURE 6.20
Gland steam seal operation when the turbine pressure is below the atmospheric pressure.

create the axial thrust that must be dealt with. If unopposed, it would be
difficult, if not impossible, to maintain the axial position of the rotor and
to balance its rotation. In the previous section, we discussed how journal
bearings are used to radially keep the rotor in place. Unfortunately, journal
bearings cannot absorb any axial thrust and other means are needed for
this purpose. In this section, the sources of the axial thrust in impulse and
reaction stages will be reviewed. Then, some strategies to counter them
will be discussed.
The axial thrust in turbines can be created for two reasons: the change in
the axial momentum and the pressure drop across a turbine stage or more
specifically across the moving blades of a stage. Let us first consider the axial
momentum change in an impulse turbine blade. In Equation 6.4, we showed
that the x-component of the force imposed by the flow on a blade generates
output power. We did not discuss the y-component of the force because it
does not contribute to power generation; rather it creates the axial thrust. By
writing the equation for the y-component of the force (similar to Equation 6.4)
and applying it to the blade in Figure 6.7 (similar to Equation 6.38) the follow-
ing equation can be derived for the axial force on an impulse blade:

 (V1y − V2 y ) = m
FAxial = Fy = m  (Vr1 sin θ1 − Vr2 sin θ 2 ) (6.73)

You recall from Section 6.2.2 that in impulse blades θ1 = θ 2 and if the flow
is assumed frictionless, Vr1 = Vr2 . This indicates that the axial thrust due to
momentum change in impulse stages is zero. Similarly for a reaction stage, it
can be shown that the axial component of the momentum is unchanged and
the axial thrust due to momentum change is zero. It should be noted that in
both cases for real steam with friction, the velocity and thus the momentum
slightly decrease, which means the actual axial thrust due to momentum
change is not zero but is still relatively small.
Steam Turbines 493

Now let us take a look at how the pressure drop across a turbine stage
contributes to the axial thrust. The moving blades on a turbine stage and its
disk assembly can be treated as a plane perpendicular to the turbine’s axis of
rotation. The flow of steam creates a pressure field before and after this plane.
The difference between these two pressure fields is manifested in the form
of the axial thrust. The magnitude of this axial thrust depends on the overall
pressure difference and the area of the plane. Note that all these discussions
are about the moving blades. The fixed blades are attached to the turbine cas-
ing and cannot impose any thrust on the rotor.
In Section 6.2.2 (Figure 6.8), we learned that in an impulse stage the pressure
only varies in the nozzles (fixed blades) and remains unchanged on the moving
blades. Therefore, the axial thrust as a result of the pressure change through
the moving blades in impulse stages is negligible. This means that since the
contribution of both of the above discussed axial thrust sources is small, for an
impulse stage the axial thrust is generally small and does not create a major
problem. However, this is not the case for reaction stages. In Section 6.3 (Figure
6.14), we discussed that in reaction stages the steam pressure reduces both in
the fixed blades and moving blades. This pressure gradient creates a signifi-
cant axial thrust in reaction stages. For a given pressure drop across a stage,
the true magnitude of the axial thrust depends on the length of the turbine
blades. We know that the blades in high-pressure turbine stages are relatively
short due to the low specific volume of the steam in these stages. As a result,
the axial thrust in high-pressure stages is relatively small regardless of the
pressure drop through the moving blades. However, in intermediate-pressure
stages and particularly low-pressure stages the combination of long blades and
the pressure drop across them creates a substantial axial thrust.
To counteract axial thrust in steam turbines two methods are commonly used:
dummy pistons and double-flow turbines. A dummy piston is a disk (or a pis-
ton) that is integrated as a part of the turbine rotor, typically at the high-pressure
end of the turbine (Figure 6.21). The disk is exposed to steam with two different
pressures on two sides. The force excreted on the disk by this pressure gradient
balances the axial thrust. In the design of a turbine, the diameter of the disk can
be varied to create a sufficient force to cancel out the axial thrust. The two sides
of the disk are separated by a labyrinth seal (as in Figure 6.17). This method is
typically used for turbines with a relatively small axial thrust such as impulse
turbines, high-pressure turbine sections, and small turbines. It may also be used
to supplement the second approach discussed below in large turbines.
In the second method, the turbine is designed as two identical turbines
that are facing each other at their high-pressure end (Figure 6.22a). The steam
enters at the center of the turbine and is divided into two flows. Each flow
expands through one half of the turbine. The two steam flows move in the
opposite directions and exit the turbine at two opposing ends. These two tur-
bines create two essentially identical axial thrusts but in the opposite direc-
tions, which can cancel each other out. Moreover, this design reduces the flow
rate of each half, which, in turn, reduces the length of the blades. These shorter
blades not only make the operating conditions of the blades less challenging
494 Power Plant Engineering

Labyrinth seal Casing

Rotor
Steam
pressure
thrust
on dummy Steam thrust
piston on blades

Dummy Steam Blades

piston expansion

FIGURE 6.21
Schematic of a dummy piston (disc).

but also reduce the overall axial thrust of each turbine. Understandably this
turbine design is known as a double-flow, split-flow, or two-flow turbine.
Sometimes a combination of a single-flow and double-flow turbines are also
used (Figure 6.22b). These turbines are typically used for large LP and IP
steam turbines.

Steam

(a)

Steam

(b)

FIGURE 6.22
Schematic two configurations for double-flow steam turbines.
Steam Turbines 495

6.4.9 Turbine Arrangements
There is a wide variety of steam turbine arrangements. Various manufac-
turers design their turbines according to their design philosophy and the
specific requirements of each project. In this section, we will review some
common utility turbine configurations.
We learned that modern utility steam turbines are typically composed of
a combination of impulse and reaction stages. The first few stages, typically
the first two or three stages, are impulse. They are followed by many reaction
stages. These stages are typically divided into either high-pressure (HP) and
low-pressure (LP) sections or high-pressure (HP), intermediate-pressure (IP),
and low-pressure (LP) sections, modules, or cylinders. These divisions are for
practical reasons such as extractions for reheating or other auxiliary steam
requirements, size limitations, and manufacturing constraints. These turbine
sections typically have their own casings. However, sometimes HP and IP or
IP and LP sections are housed within the same casing. These turbine sections
can be single- or double-flow arrangements. Particularly low-pressure sections
are almost universally double-flow arrangements to reduce their axial thrust.
We have already learned that the specific volume and as a result the volu-
metric flow rate of a turbine increase with pressure reduction along the tur-
bine. This is especially the case for low-pressure turbine sections. This can
result in a high flow velocity in low-pressure turbines, which can increase fric-
tion losses (recall that these losses are a function of velocity square). Moreover,
since these turbine’s exhaust flow is discharged to the condenser, a high flow
velocity results in the loss of high kinetic energy of the flow to the condenser.
In extreme cases, the steam velocity may reach the speed of sound and chock-
ing can occur. Likewise, the very low steam flow speed is undesirable because
of increase in the turbulence and possible steam recirculation both of which
increase losses. To add to these complexities, turbine operational conditions
can be heavily impacted by ambient conditions. This is due to the depen-
dency of the turbine backpressure, which is provided by the condenser, to
the temperature of the cooling water (much more on this topic in Chapter 8).
Therefore, there is a delicate balance for an optimum design of low-pressure
turbine sections. For all these reasons and also to manage the height of the
blades in LP turbine sections, one, two, or even three parallel double-flow low-
pressure turbine sections can be employed in utility turbines. Furthermore,
a few last stages of LP sections typically operate at the pressure lower than
the saturation pressure at their operating temperature. This means they have
to deal with the two-phase flow of a saturated mixture of water and steam.
The condensed water droplets and dissolved impurities can cause erosion and
solid deposition on the blades. One way to reduce these problems is to add
moisture removal orifices to the casing to extract the condensed steam, which
is then bled to the condenser or one of the low-pressure feedwater heaters. In
any case, the moisture content at the turbine outlet flow is typically limited to
a maximum 12% (i.e., the mixture with minimum 88% quality).
496 Power Plant Engineering

In terms of the number of shaft, the most common design, referred to as

the tandem compound design, is a single-shaft design where all turbine sec-
tions and the generator are on the same shaft. Alternatively, different tur-
bine sections can be on two or more shafts coupled with several generators.
This design is known as the cross compound and is less common than the
tandem compound design.

6.5 Turbine Control
We learned that the steam pressure reduces in each stage of a steam tur-
bine. In impulse stages, this pressure reduction takes place in fixed blades
(nozzles) while in reaction stages both fixed and moving blades contribute
to the reduction in the steam flow pressure. The magnitude of the pres-
sure drop depends on the turbine load. The maximum pressure drop in a
turbine happens at the MCR or the full load operation. When the turbine
load reduces, the pressure drop across the turbine also reduces. Assuming
a constant condenser pressure (more on this assumption in Chapter 7), this
means that with a reduction in the load the pressure in the inlet of the tur-
bine reduces. Depending on how the steam generator responds to this pres-
sure change, there are two types of operating modes: sliding-pressure and
constant-pressure.
In the sliding-pressure operating mode, there is no pressure control
between the steam generator and the turbine. In this mode whenever there
is a need to increase the turbine load, the fuel flow rate of the steam gen-
erator is increased. The higher firing rate increases the mass flow rate of the
steam generated in the steam generator, which, in turn, increases the steam
mass flow rate through the turbine. In this mode, the steam generator pres-
sure can vary with load variation. This pressure is typically controlled and
maintained by a variable-speed feedwater pump. In Chapter 7, we will see
that variable-speed feedwater pumps are driven by either a variable-speed
motor or a steam turbine, which allows them to change the output pressure
of the pump by adjusting its rotational speed. In this operating mode, the
feedwater pump output pressure at low loads can be reduced, which can sig-
nificantly decrease the power consumption of the pump. Since in this mode
load changes are achieved by manipulating the steam generator’s operating
conditions and the turbine follows the steam generator’s lead, it is sometimes
referred to as the turbine-follow operating mode. During the start-up and
shutdown procedures, this operation mode allows a gradual increase in the
turbine pressure while the steam generator heats up. This reduces the ther-
mal stress on the turbine blades, which can increase their life expectancy
and reduce required maintenance. Due to the time needed to adjust the fuel
flow rate, especially for coal-fired steam generators, and more importantly
the massive thermal inertia of steam generators, it takes a relatively long time
Steam Turbines 497

to adjust the mass flow rate and the pressure of the generated steam. This
means the response of the sliding-pressure operating mode to turbine load
change is slow. Regardless of this problem, many supercritical once-through
steam cycles and combined cycle power plants (Chapter 10), particularly
those that are not used for peak-load electricity generation, are operated in
this mode. The sliding-pressure operating mode is very stable, safe, and easy
to implement.
In the constant-pressure operating mode, as the name implies, the pressure
of the steam generator is kept constant at the level needed for the MCR. In
order to control the pressure and mass flow rate at the turbine inlet, a control
valve is used at the entrance to the turbine. In this mode, even at part load
operation, the steam generator operates at its full load pressure. Depending
on the load, the control valve throttles the steam pressure to the needed pres-
sure at the turbine inlet. In this case, since the high-pressure steam is always
available, in order to increase the load, the control valve at the turbine inlet
can be opened and the turbine load can be almost immediately increased.
In essence at part load operation, the steam at high pressure is stored in the
steam generator and whenever needed, the turbine can quickly tap into the
stored steam. While this characteristic improves the rapid load-following
capabilities, it negatively impacts the cycle efficiency at part load operation.
The reason is that a significant amount of energy is consumed in the feedwa-
ter pump to pressurize the water only to throttle the steam later to drop the
pressure. Note that after the initial load increase, the steam generator should
catch up by increasing the firing rate to increase the steam mass flow rate. For
this reason, the constant-pressure operating is commonly called the steam
generator-follow (or boiler-follow) operating mode. If the load increase is
administered too quickly, due to the sluggish nature of the steam generator
response, the steam pressure and mass flow rate can drop before the steam
generator can catch up. This delay can create instability in the cycle. The sta-
ble operation under this mode during load changes requires careful imple-
mentation. During start-up, the generated steam in the steam generator is not
allowed to enter the turbine until its temperature and pressure are approxi-
mately at their design values. This rapid exposure of the turbine blades to
high-temperature steam causes a considerable thermal stress on them, which
can reduce their life. The constant-pressure operating mode is typically used
in drum-type steam generators since a significant amount of steam can be
stored in the drum. Some cycles use a combination of these two approaches,
which is referred to as the coordinated or combined operating mode.
We just learned that in the constant-pressure operating mode a control
valve is used to regulate the steam mass flow rate to the turbine. Before we
conclude this section, let us briefly discuss how these control strategies work.
There are two general approaches for this purpose: full arc admission and
partial arc admission. In full arc admission systems, all inlet steam to the tur-
bine is distributed along the entire circumference of the first stage. To control
the steam flow in this case, the entire flow should be throttled. This, as noted
above, results in a significant energy loss. In partial arc admission systems,
498 Power Plant Engineering

steam is admitted to different segments (arcs) of the first stage separately via
several independent control valves. This system allows some valves to be
closed in part loads while others are fully open. This control strategy results
in only some segment of the first stage to be exposed to the entering steam.
This control system is more efficient since it is not required to throttle the
entire steam flow. Note that generally all sliding-pressure systems use full
arc admission systems, and no control valve is needed (since the steam mass
flow rate is controlled by the firing rate in the steam generator).

6.6 Generators
Electric generators are devices where the ultimate product of a power plant is
generated. They receive mechanical energy from the turbine and convert that
energy to electricity. They generate three-phase AC power at the frequency
of 50 or 60 Hz, depending on the grid in which they are connected to. The
generated electricity has to go through one more component before it is ready
in its final form. Depending on their power generation capacity, the gener-
ated electricity in the generator can have a voltage of 10,000–27,000 V. The
voltage of power transmission lines is typically much higher than the output
voltage of the generator. Therefore, the electricity generated by the generator
is transferred to a step-up transformer via the generator terminals. Finally,
the electricity at an appropriate voltage is delivered to the grid. Power plants
in general and turbines in particular are rated based on the output of their
generator. In utility power plants, generators are directly connected to the
same shaft as the turbine. That is why they are sometimes referred to as
turbogenerators (or turbine generators). In smaller units, they can be con-
nected to the turbine via a speed-reducing gearing system. Modern genera-
tors are very efficient machines with an efficiency between 98% and 99%.
Like any other equipment that converts mechanical energy to electrical
energy or vice versa, a generator needs two main components. One com-
ponent generates electric and magnetic forces (EMF) to form an electro-
magnetic field, which induces electricity in the other component. Generally
speaking, the electromagnetic field can be created by a permanent magnet or
an electrical coil (known as a field coil). The process of electromagnetic field
creation is called the excitation process. In electricity generators, this field is
formed by a rotor, and electricity is generated in a stator. The field can typi-
cally have two or four poles.
The rotor is the rotating part of a generator. It includes the rotor winding (field
winding) that is formed on the shaft. It creates a rotating electromagnetic field for
the stator. For this purpose, the rotor needs an excitation power supply. This is DC
power that passes through the rotor winding to generate the needed electromag-
netic field. There are two common types of exciters: static and rotating exciters.
Steam Turbines 499

In static exciters, electricity to power the rotor winding is taken from the genera-
tor’s terminals (before the electricity is sent to the main transformer). The volt-
age of the tapped electricity is first reduced in a small transformer. Then, AC
power is converted to DC power in a rectifier. This electricity is transferred to
the rotor winding via the graphite brushes and slip rings. In rotating exciters, a
small additional generator is connected to the generator rotor. In this case, since
this generator rotates with the rotor winding, it does not need brushes. That is
why they are also known as brushless exciters. While static exciters do not need
a dedicated generator, the graphite brushes should be periodically replaced. Both
these excitation methods are being used for all generator sizes.
The stator or armature7 is the stationary portion of generators. It is attached
to the casing, which is bolted to the foundation. Similar to the rotor, the stator
has a winding called the stator winding or armature winding where electricity
is generated. However, this winding is actually composed of three indepen-
dent windings, one for each phase of generated electricity. The rotating electro-
magnetic field created by the rotor winding induces alternative voltage in the
stator windings. Each of these windings is connected to a generator terminal.
In order to connect a generator to the grid, the voltage of the generated electric-
ity and the grid voltage should be exactly the same. Recalling that the voltage of
AC power as a function of time is typically sinusoidal, i.e., V = Vmax sin (ωt + θ ),
the grid voltage and the generated electricity must have the same shape,
maximum voltage (Vmax ) , frequency (ω ) , and phase (θ ). In fact these condi-
tions should be satisfied to connect any two AC electricity producing devices
to a shared load. The process of connecting a generator to the grid is referred
to as synchronization and can be done automatically by a device known as
synchroscope (the details of this process are out of the scope of this text).
The passage of electricity from the rotor and stator windings creates sig-
nificant thermal energy (which is a source of energy loss in generators). This
thermal energy should be removed from the generator. The generator cooling
can be achieved by circulating ambient air through both windings, which is
known as an open ventilation system. However, dust and contaminations
in air can damage the winding in long term. Alternatively, air can be used
as a cooling medium in a closed cycle. In this system, air is cooled in a heat
exchanger and recirculated back to the windings. The most common cooling
system in large generators is hydrogen cooling systems. In these systems
hydrogen, typically at the pressure of about 5 bar, is circulated through the
windings. Hydrogen is used as the cooling medium due to its high cooling
capacity and low friction losses. In both closed air and hydrogen cooling
systems, the generator should be equipped with proper sealing to avoid the
cooling medium loss. The required hydrogen for the system is provided by
hydrogen bottles. To avoid any contact between hydrogen and air, which may
create fire or explosion hazards, CO2 gas is used to purge air before hydrogen
injection and to remove hydrogen before air introduction to the generator.

7 In general an armature is the component in motors and generators that carries AC electricity.
500 Power Plant Engineering

6.7 Control of Generators
The frequency of electricity produced in a generator is directly proportional
to the rotational speed of the generator, according to the following equation:

P×N
f= (6.74)
120

where f is the frequency (Hz), P is the number of generator poles (always an

even number equal to or greater than 2), and N is the generator rotational
speed (rpm). For example, the rotational speed of a generator with two poles
should be 3600 or 3000 rpm, respectively, to produce electricity with the fre-
quency of 60 or 50 Hz. Large generators typically have two poles. They are
known as full-speed generators. Smaller generators can have four poles typi-
cally with a reduction gearbox. Their rotational speed is 1800 or 1500 rpm for
the frequency of 60 or 50 Hz, respectively, which is why they are referred to as
half-speed generators. On a side note, since the rotation speed of the turbine-
generator set can only vary in a tight margin (just a few percent, perhaps ±5),
units operating with the frequency of 60 and 50 Hz are not interchangeable.
Since the frequency of electricity in the grid must be maintained in a
very tight range, e.g., ±0.1 Hz, the rotational speed of generators must be
closely controlled. Speed control systems of generators can be categorized
into two groups based on how they respond to load increase: isochronous
and droop. In the former, the rotational speed of the generator is kept con-
stant with load variations while in the latter the speed can reduce when load
increases. In utility turbine-generator units that are synchronized with the
grid, the droop speed control is used. Turbines that are used as mechani-
cal drives or isolated units for electricity generation (also referred to as the
island-operating mode when the generator is not connected to the grid) are
controlled by the isochronous control mode. The difference between these
two-speed control systems is in how they maintain the rotational speed of a
generator when load changes.
Since load (power) is equal to torque times rotational speed, for a fixed input
torque from the turbine if the load of a generator is increased, the rotational
speed should reduce. Obviously, this is not acceptable for a generator. In the iso-
chronous rotational speed control system, when load increases, the control sys-
tem immediately detects this and tries to maintain the rotational speed (hence
the frequency of the produced electricity). For this purpose, a governor is used.
This can be achieved by increasing the input torque from the turbine. In a
steam turbine, this is accomplished by a higher steam flow rate to the turbine.8
In other words, the set point of the speed controller is fixed by the frequency
of electricity. When the actual rotational speed differs from the set point, the
8 In a gas turbine, this is done by a higher fuel flow rate to the combustor (Chapter 9).
Steam Turbines 501

turbine compensates the difference in the speed by changing the inlet flow of
energy (in this case the steam flow rate). Usually this control system does not
operate smoothly during a load change. The cruise speed control of your auto-
mobile is an isochronous speed control system. One can observe the unsmooth
operation of the system when the vehicle’s cruise speed control tries to main-
tain the speed in an uphill drive by applying too much pressure on the engine.
Generally, the isochronous speed control works fine for an isolated gen-
erator. However, if two or more parallel generators are all controlled by this
method, load variations will be challenging. Since each generator tries to
maintain its rotational speed, when load increases, each generator will try to
respond first. They will “fight” for frequency control, and eventually one gen-
erator will take the entire load. This will result in the frequency oscillation
and instability in the grid. In the grid where many generators are connected
in parallel, only one generator, typically the largest baseload generator, oper-
ates in the isochronous speed control mode to fix the grid frequency and the
rest of the generators follow the frequency set by the leading generator.
In a synchronized generator, the frequency of produced electricity and
hence the actual rotational speed of the generator rotor are fixed by the fre-
quency of the grid (i.e., the generator rotational speed is locked to the grid
power frequency) and the operator has no control over it. Instead, the opera-
tor can control the set point for the speed controller. Therefore, to increase
the load, the operator can increase the speed set point. The speed controller
detects that the actual speed (which corresponds to the grid frequency) is
less than the set point and tries to compensate it by allowing more input
energy (steam) to the system. However, the actual rotation speed cannot be
varied, so the load will increase. Note that the rate of change in the set point
determines the rate of load change and the turbine power output change.
From the electrical point of view, when load increases, the current drawn
from the stator increases. If no action is taken, the voltage in the generator
terminals will drop. This is absolutely unacceptable and the output voltage
should always remain constant. To prevent this from happening, all genera-
tors are equipped with an automated voltage regulator (AVR). The function
of this regulator is to measure, monitor, and control the generator terminal
voltage. The AVR measures the terminal voltage and compares it with the set
point. When a discrepancy is detected, the AVR takes a corrective action by
changing the rotor current. For example, when the load increases, the voltage
in the terminals drops. So the AVR immediately increases the rotor winding
current to maintain the voltage in the stator winding at the set value.
Before we conclude this chapter, let us briefly discuss some other measure-
ment and control devices in a turbine-generator set. Considering the com-
plexity of both the turbine and the generator and the importance of their
connectivity to other plant components, it is not surprising that the safe
and efficient operation of these systems requires many sensors and mea-
surement systems. The parameters that these devices measure are used to
monitor and control the entire system. Here is the list of just some of these
502 Power Plant Engineering

devices/systems and/or parameters they measure: load control, speed con-

trol, vibration monitoring, steam pressure gauges, thermometers to measure
steam temperature in various locations, thermometers to measure lube oil
temperatures, condenser pressure gauge, synchronization system, gover-
nor, stress monitoring sensors, component remaining-life determination
systems, and many more. The performance of steam turbines is governed
by ASME PTC 6. For generators, a variety of standards developed by the
Institute of Electrical and Electronics Engineers (IEEE) and the International
Electrotechnical Commission (IEC) are used.

6.8 Questions and Problems

6.8.1 Introduction
6.1. How can the power production in a turbine be increased?
6.2. How and why are the inlet and outlet flow conditions to a turbine
limited?
6.3. Briefly explain the steps of the steam turbine design process.

6.8.2 Impulse Turbines
6.4. Write the conservation of momentum equation for a control volume.
6.5. In an impulse blades, which parameter remains unchanged?
a. The magnitude of the stream absolute velocity
b. The magnitude of the stream relative velocity
c. The direction and magnitude of the stream absolute velocity
d. The direction and magnitude of the stream relative velocity
6.6. Derive the equation for the force imposed by the mass flow on the
moving blade in the following figure. When is this force zero?

VB
ṁout
Vr 2 V2

VB
ṁ in V1
VB F Bx
Vr 1 VB

6.7. For a single moving blade in the above figure, for what velocity
of the blade (VB) as a function of the inlet stream velocity the effi-
ciency is maximum? What is the value of this maximum efficiency?
Steam Turbines 503

6.8. Explain why in an actual turbine blade the stream exit angle of
180° is impractical and this angle should be less than 180°.
6.9. What is a velocity vector diagram? Why is this diagram important
for the design of turbine blades?
6.10. In the following velocity vector diagram, the inlet flow angle (α1)
and the inlet flow absolute velocity are given. Derive the equa-
tions for the maximum power developed by the blade and its
maximum efficiency. Assume that the blades’ inlet and outlet
angles are equal (θ1 = θ 2 ).

Vr1 θ1 V1
α1
VB

VB Vr1 V1
θ1 α1
θ2 α2
V2 VB
θ2 α2 VB Vr2
Vr2 VB
V2

6.11. Superheated steam enters an impulse moving blade with the

mass flow rate of 500 kg/s and the speed of 800 m/s at the angle
of 13° (the angle between the blade velocity and the absolute
velocity of the inlet flow). The blade is symmetrical. Draw
the velocity vector diagram for the inlet and outlet flows and
determine the maximum output power of the blade (i.e., the
blade velocity is optimum) and the blade efficiency. The flow is
frictionless.
6.12. Repeat Problem 6.11 for the velocity coefficient of 96%.
6.13. Why are impulse turbines also referred to as equal pressure turbines?
6.14. Why are impulse blades symmetrical in shape?
6.15. Draw the pressure and velocity diagrams for a single-stage
impulse turbine.
6.16. What was the major problem with de Laval turbines that pre-
vented their applications in large-size turbines? How could this
problem be addressed?
6.17. What are the similarities and differences between de Laval tur-
bines, Curtis turbines, and Rateau turbines?
6.18. Explain how velocity-compounded impulse turbines work. What
are their drawbacks? How can pressure-compounded impulse
turbines address these problems?
6.19. Similar to velocity-compounded turbines, in pressure-compounded
turbines, all stationary stages are nozzles.
504 Power Plant Engineering

a. True
b. False
6.20. Which statement is not correct about pressure-compounded
impulse turbines?
a. The enthalpy drop is divided equally among the stages.
b. The inlet absolute velocity to each rotating stage is almost equal.
c. The pressure drop among the stages is equal.
6.21. Draw the pressure and velocity diagrams for a two-stage pres-
sure-compounded impulse turbine.
6.22. Which statement is not the advantage of pressure-compounded
impulse turbines over velocity-compounded and single-stage
impulse turbines?
a. In pressure-compounded impulse turbines, the steam abso-
lute velocity is lower throughout the turbine, particularly in
the early stages, which results in less friction losses.
b. In pressure-compounded impulse turbines, the blade velocity,
i.e., the rotational speed of the turbine, is higher.
c. In pressure-compounded impulse turbines, the share of each
stage in the output power can be controlled by designers and
is commonly roughly equal among stages.
d. Pressure-compounded impulse turbines have higher efficiency.

6.8.3 Reaction Turbines
6.23. Explain how early pure reaction turbines worked.
6.24. How do reaction and impulse turbines differ in terms of pressure
variation through each stage?
6.25. Which statement is correct (select all the correct ones)?
a. In reaction turbines, pressure reduces through both fixed and
moving blades.
b. The pressure drop in fixed nozzles creates the impulse force
when the flow strikes the moving blades.
c. The pressure drop in the moving blades creates the reaction
force.
d. All of the above.
6.26. In a 50% reaction turbine stage, the total enthalpy drop is …
a. equally divided between the fixed and moving blades
b. is greater in the moving blades
c. is greater in the fixed blades
d. not equally divided between the fixed and moving blades
Steam Turbines 505

6.27. Draw the variation of pressure and absolute velocity diagrams

throughout the following reaction blades.
6.28. What are the similarities of the velocity change in the reaction
stages and pressure-compounded turbines?
6.29. Determine if the following blades are asymmetrical or symmetrical.
• Fixed blades in a reaction turbine
• Moving blades in a reaction turbine
• Fixed blades in a pressure-compounded impulse turbine
• Moving blades in a pressure-compounded impulse turbine
• Fixed blades in a velocity-compounded impulse turbine
• Moving blades in a velocity-compounded impulse turbine
(except the first fixed stage)
6.30. What are the function(s) of fixed blades in a velocity-compounded
impulse turbine?
6.31. The reaction turbines’ maximum rotational speed and maximum
power generation are … those in impulse turbines for the same
given inlet flow conditions.
a. same as
b. half
c. twice
d. just a fraction of

6.8.4 Modern Utility Steam Turbines

6.32. Why is there a potential for steam leakage in a reaction stage
across the moving stage?
6.33. Why are there always some gaps between the tip of moving blades
and the turbine casing?
6.34. The magnitude of the steam leakage across a moving stage in reac-
tion stages depends on ….
6.35. For the same power output, reaction turbines need … stages than
that for impulse turbines.
a. more
b. less
c. same
d. more, less, or same
6.36. Why do reaction stages have less friction losses compared to those
for impulse stages?
6.37. Reaction stages have much … efficiency than that of impulse stages.
a. lower
506 Power Plant Engineering

b. higher
c. same
d. depends on the design and operating conditions
6.38. Why some blades are twisted?
6.39. Which statement is not correct?
a. The radius and as a result the blade velocity vary throughout
the blade length.
b. The optimum profile of each section of the blade varies
depending on how far it is from the base of the blade.
c. The base of a blade should be more impulse than its tip.
d. The maximum degree of reaction should be in the blade’s base.
6.40. In two sentences briefly explain what creep and fatigue are. Why
are they important for steam turbine blades?
6.41. What is the main characteristic of active clearance control (ACC)
seals?
6.42. What are three techniques to construct a steam turbine rotor?
Briefly explain each method. What are the pros and cons of each?
6.43. What is the function of a turbine rotor during an emergency
shutdown?
6.44. In the following figure, identify three methods for a turbine blade
attachment to disk assemblies, i.e., dovetail, fir-tree, and T-root.
Blade
Blade
Blade

Disc Disc
Disc

6.45. What is the function of a turning gear?

6.46. What is a black trip? Why is it important for a steam turbine?
6.47. Which statement is not correct about a steam turbine casing?
a. The shape of a casing is dictated by the size of blades.
b. The casings enclose turbine’s internal components.
c. The fixed blades are attached to the casing.
d. The steam enters at the large diameter end and exits at the
small diameter end of the casing.
6.48. Why do steam turbines have steam extraction outlets?
Steam Turbines 507

6.49. What type of bearing is used to support the main shaft of a steam
turbine? Briefly explain how they work.
6.50. Explain how and why the sealing between the turbine shaft and
the casing is important for high-pressure and low-pressure steam
turbine sections. What are the problems that leakage can cause in
each case?
6.51. Explain how gland steam seal systems work when the steam pres-
sure in the turbine is above and below the atmospheric pressure.
6.52. Why does a gland steam seal system require a dedicated condenser?
6.53. What are two mechanisms that generate axial thrust?
6.54. Discuss the magnitude of the axial thrust in the following cases:
• Axial thrust due to the change in the axial momentum in
impulse stages
• Axial thrust due to the pressure drop across a turbine stage in
impulse stages
• Axial thrust due to the change in the axial momentum in reac-
tion stages
• Axial thrust due to the pressure drop across a turbine stage in
reaction stages
6.55. Explain two methods to deal with axial thrust in steam turbines.
6.56. Compare the magnitude of axial thrust between high-pressure
and low-pressure stages of a reaction turbine.
6.57. What are two methods commonly used to counteract axial thrust
in steam turbines? Briefly explain the operational principles of
each method.
6.58. How can double-flow turbines substantially reduce axial thrust
(two reasons)?
6.59. Explain why commonly several parallel low-pressure turbine
sections are employed in large utility power plants.
6.60. Compare tandem compound and cross compound steam turbines.
6.61. Describe what happens to the inlet pressure of a turbine when its
load reduces.
6.62. What are two methods to control the inlet pressure to a turbine?
Briefly explain each method.
6.63. Which statement is not accurate for steam cycles with the sliding-
pressure operating mode?
a. There is no pressure control between the steam generator and
the turbine.
b. The steam generator pressure is typically controlled and main-
tained by a variable-speed feedwater pump.
508 Power Plant Engineering

c. During the start-up procedure, this operation mode allows a

rapid increase in the turbine pressure while the steam genera-
tor heats up.
d. It takes a relatively long time to adjust the mass flow rate and
the pressure of the generated steam.
6.64. Why is the response of the sliding-pressure operating mode to tur-
bine load change slow?
6.65. Which statement is correct for the constant-pressure operating
mode of steam turbines?
a. In order to control the pressure and mass flow rate at the tur-
bine inlet, a control valve is used at the entrance to the turbine.
b. Even at part load operation, the steam generator operates at its
full load pressure.
c. Since the high-pressure steam is always available, in order
to increase the load, the control valve at the turbine inlet can
be opened and the turbine load can be almost immediately
increased.
d. All of the above.
6.66. Which statement is not correct for the constant-pressure operating
mode of steam turbines?
a. The pressure of the steam generator is kept constant at the
level needed for the MCR.
b. Depending on the load, the control valve throttles the steam
pressure to the needed pressure at the turbine inlet.
c. The rapid load-following capability negatively impacts the
cycle efficiency at part load operation.
d. At part load operation, the steam at high pressure is stored
in the steam generator and whenever needed, the turbine can
quickly tap into the stored steam.
6.67. Which one is more stable, safer, and easier to implement?
a. Constant-pressure operating mode
b. Sliding-pressure operating mode
6.68. Why is the life expectancy of blades shorter in the constant-pres-
sure operating mode compared to that in the sliding-pressure
operating mode?
6.69. Which is more efficient in part load operation?
a. Full arc admission
b. Partial arc admission
Steam Turbines 509

6.8.5 Generators
6.70. The generated electricity in a utility generator is ….
a. three-phase AC power
b. at the frequency of 50 or 60 Hz
c. the voltage of 10–27 kV
d. all of the above
6.71. Which part of a generator creates the electromagnetic field?
a. Rotor
b. Stator
c. Exciter
d. Permanent magnet
6.72. What are the two common types of exciters? Briefly explain how
they work. What are their pros and cons?
6.73. What is the function of a rectifier in the excitation process?
6.74. Which one has three independent windings
a. Rotor winding
b. Stator winding
6.75. In the synchronization process, the grid voltage and the generated
electricity must have the same ….
a. shape
b. maximum voltage
c. frequency
d. phase
e. all of the above
6.76. What are the three generator cooling methods? Which one is the
most common in utility generators?

6.8.6 Control of Generators and Turbines

6.77. A generator producing 60 Hz electricity has four poles. Determine

the rotational speed of the generator (in rpm).
6.78. Explain why generators operating with the frequency of 60 and
50 Hz are not interchangeable.
6.79. The frequency of electricity in the grid must be maintained in a
very tight range.
a. True
b. False
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6.80. What does distinguish isochronous and droop speed control

systems?
6.81. Describe how the rotational speed of a generator and hence the
frequency of the produced electricity is maintained in droop and
isochronous rotational speed control systems.
6.82. Explain why the isochronous rotational speed control mode is not
appropriate for generators that are synchronized to the grid.

6.8.7 General
6.83. A generator producing 50 Hz electricity has two poles. What is the
rotational speed of the generator (in rpm)?
6.84. Explain why in an actual turbine blade, the stream inlet angle of
180° is impractical and this angle should be less than 180°.
6.85. Why do static exciters require more maintenance?
6.86. The voltage of the generated electricity in a utility generator is …
the voltage of the grid it is connected to.
a. greater than
b. smaller than
c. equal to
d. equal to or smaller than
6.87. Compare the magnitude of axial thrust between an impulse stage
and a reaction stage.
6.88. Explain why typically impulse blades are not twisted.
6.89. Explain what the synchronization process is and how it can be
achieved.
6.90. Even when all turbine sections are on the same shaft, each high-
pressure (HP), intermediate-pressure (IP), and one or more low-
pressure (LP) sections have their own casings.
a. True
b. False
6.91. What metal alloy is steam turbine blades typically made of?
6.92. Why can the sliding-pressure operating mode increase the life
expectancy and reduce required maintenance of steam turbines?
6.93. Which one can more rapidly change the turbine load?
a. Constant-pressure operating mode
b. Sliding-pressure operating mode
6.94. Explain how the pressure drop across a turbine stage and the
change in the axial momentum can create axial thrust.
Steam Turbines 511

6.95. In the constant-pressure operating mode during part-load opera-

tion, a significant amount of energy is consumed in the feedwater
pump to pressurize feedwater only to throttle the steam later to
drop the pressure.
a. True
b. False
6.96. Why are steam turbine casings vulnerable to thermal gradient-
induced distortion?
6.97. Describe how labyrinth seals work.
6.98. Why is axial thrust very small in impulse turbine stages?
6.99. In a pressure-compounded impulse turbine, each stage is similar to a
single-stage impulse turbine but with a much smaller enthalpy drop.
a. True
b. False
6.100. Draw the pressure and velocity diagrams for a two rotating-stage
Curtis turbine.
6.101.
Why is the design of a turbine blade attachment to disk assemblies
challenging?
6.102. Which part of a generator produces electricity?
a. Rotor
b. Stator
c. Exciter
d. Permanent magnet
6.103. How can a dummy piston absorb axial thrust?
6.104. Why do generators require cooling?
6.105. What is the excitation process in generators?
6.106. What is the source of electricity in static and rotating exciters?
6.107. Which type of rotational speed control mode is appropriate
for isolated generators (those that are not synchronized to the
grid)? Why? What is the other application of this mode for grid-
connected generators?
6.108. Turbines’ fixed blades are attached to …
a. shafts
b. casings
c. disk assemblies
d. bearings
6.109. How is a turning gear powered during a normal shutdown and a
black trip?
512 Power Plant Engineering

6.110. Explain double-flow turbines.

6.111. In the following figure, identify three manufacturing methods for
steam turbine rotors, i.e. integral or mono-block rotor, built-up
rotor, and welded disk rotor.

6.112. What are the functions of a steam turbine rotor?

6.113. Explain a typical utility turbine configurations in terms of impulse
and reaction stages.
6.114. Describe why corrosion is not a major problem for steam turbine
blades.
6.115. Which statement is not accurate for steam cycles with the sliding-
pressure operating mode?
Steam Turbines 513

a. The steam generator pressure is fixed with load variation.

b. Whenever there is a need to increase the turbine load, the fuel
flow rate of the steam generator is increased.
c. The feedwater pump output pressure at low loads can be
reduced, which can significantly decrease the power con-
sumption of the pump.
d. Load changes are achieved by manipulating the steam genera-
tor’s operating conditions and the turbine follows the steam
generator’s lead.
6.116. What is the function of a thrust bearing?
6.117. Explain how the frequency of generated power is maintained in
droop or isochronous rotational speed control systems.
6.118. How is the fire hazard of using hydrogen as the cooling medium
in generators mitigated?
6.119. Why do gland steam seal systems need a source of steam when the
turbine pressure is below the atmospheric pressure? What are the
sources of the steam?
6.120. Which statement is not correct?
a. The farther the point on a blade is from the axis of rotation, the
greater the blade velocity at that point is.
b. The velocity vector diagram varies for different sections of a
blade throughout its length.
c. Longer blades experience a greater variation in their velocity
along the blade’s length.
d. Longer blades require no twisting.
6.121. Why can steam turbine blades be coated with a thermal protective
layer?
6.122. Explain how journal bearings, also known as plain bearings or
sliding bearings, work.
6.123. Why is the axial thrust small in high-pressure turbine stages?
6.124. In which type of steam turbines dummy pistons cannot be used to
counteract axial thrust?
a. Utility turbines
b. Impulse turbines
c. High-pressure turbine sections
d. Small turbines
6.125. What is the difference between a full-speed generator and a half-
speed generator?
514 Power Plant Engineering

6.126. The reaction turbines’ maximum rotational speed and maximum

power generation are equal to those in impulse turbines for the
same given inlet flow conditions.
a. True
b. False
6.127. Explain why some steam always bypasses moving blades in a
reaction stage. How does this impact the stage efficiency?
6.128. Name three components of an extraction line?
6.129. What is the maximum continuous rating (MCR) of a turbine?
6.130. The minimum required clearance needed to avoid any rubbing
between the blade tips and the casing is larger during start-up
and shutdown than that during steady-state operation.
a. True
b. False
6.131. Why is the clearance between a moving stage and the turbine
casting a critical parameter?
6.132. What are the two techniques to regulate the steam mass flow rate
to the turbine?
6.133. Typically the enthalpy drop in pressure-compounded impulse
turbines is divided equally among the stages.
a. True
b. False
6.134. In a de Laval turbine what were the two functions of nozzles?
6.135. Why is hydrogen gas used as a cooling medium in generators?
6.136. Explain why in an impulse stage the steam pressure before and
after the moving stage is equal.
6.137. While the steam pressure … through the moving blades in impulse
stages, it … in reaction stages.
a. increases – remains constant
b. reduces – remains constant
c. remains constant – increases
d. remains constant – reduces
6.138. What are the function(s) of fixed blades in a pressure-compounded
impulse turbine?
6.139. Why is the response of the constant-pressure operating mode to
turbine load change faster compared to that in the sliding-pres-
sure operating mode?
6.140.
Compare velocity-compounded impulse turbines with pressure-
compounded impulse turbines.
Steam Turbines 515

6.141. In reaction turbines pressure reduces only through moving blades.
a. True
b. False
6.142. Explain how the reduction in the flow velocity due to fluid friction
is taken into account in turbine blade calculations (compared to a
frictionless fluid).
6.143. What are the two methods to create an electromagnetic field in
generators?
6.144. There is no commercial pure reaction turbine and although we
call them reaction turbines, they are in fact a combination of reac-
tion and impulse turbines.
a. True
b. False
6.145. Which statement is correct about Hero’s turbine?
a. There is no momentum change in the turbine.
b. The direction of the flow does not change in the nozzles.
c. The turbine is a pure reaction turbine.
d. All of the above.
6.146. How many stages of nozzles are there in velocity-compounded
impulse turbines? What about moving blade stages?
6.147. Why are impulse stages sometimes called equal pressure and
reaction stages called unequal pressure?
6.148. For short symmetrical impulse blades at the high-pressure end
of turbines, the change in the blade velocity through the blade
length can be small enough to be negligible.
a. True
b. False
6.149. Why did turbines replace early reciprocating steam engines?
6.150. Describe why in a reaction stage the steam pressure after the mov-
ing stage is lower than that before the moving stage.
6.151. Why is the constant-pressure mode for the operation of steam
turbines commonly called the steam generator-follow (or boiler-
follow) operating mode?
6.152. Which statement is correct?
a. The blades of early turbine stages have typically a fixed profile
for the entire length of the blade with no twist.
b. The blades of reaction stages are twisted.
c. The twist of blades progressively increases for longer blades.
516 Power Plant Engineering

d. Most modern steam turbines have twisted blades, especially at

lower pressure sections.
e. All of the above.
6.153. Describe how Hero’s and Avery’s reaction turbines worked.
6.154. Both velocity-compounded impulse turbines and pressure-
compounded impulse turbines have several rotating impulse stages.
a. True
b. False
6.155. Why is the cycle efficiency at part load operation low in the con-
stant-pressure operating mode for steam turbines?
6.156. In the following velocity vector diagram, the inlet flow angle (α1),
the inlet flow absolute velocity, and the blade velocity are given.
Derive the equation for the power developed by the blade. Assume
that the blades’ inlet and outlet angles are equal (θ1 = θ 2 ).

α1 V1
Ɵ1

Ɵ2

α2
V2

6.157. What is the objective of any turbine? How do they achieve this goal?
6.158. In an impulse stage with a frictionless flow, when the blade veloc-
ity is optimum, the exit absolute velocity is perpendicular to the
blade velocity vector and is parallel to the axis of rotation of the
turbine (axial flow).
a. True
b. False
6.159. Explain the configuration of a de Laval turbine.
6.160. A horizontal jet strikes a stationary blade and exits it at the angle
θ (figure below Figure 6.2). Derive the equation for the force
imposed on the blade. For what value of θ is the force maximum?
Steam Turbines 517

6.161.
The following equation can be used to determine the power devel-
oped when a horizontal jet strikes a moving blade (figure above).
Determine for which values of VB the power is zero and maximum.

 =m
W  (V1 − VB )(1 − cosθ ) VB

6.162. In the above question derive the equation for the efficiency of the
blade. Determine the efficiencies when the blade angle is 90° and
180°.
6.163. Why are nozzles (nozzles stages) used in steam turbines?
6.164. In an impulse blade the magnitudes of the inlet and outlet stream
absolute velocities remain unchanged.
a. True
b. False
6.165. Provide an example of impulse forces and reaction forces from
your daily life.
6.166. Superheated steam enters an impulse moving blade with the mass
flow rate of 700 kg/s and the speed of 600 m/s at the angle of 17°
(the angle between the blade velocity and the absolute velocity of
the inlet flow). The blade is symmetrical. Draw the velocity vector
diagram for the inlet and outlet flows and determine the maxi-
mum output power of the blade (i.e., when the blade velocity is
optimum) and the blade efficiency. The flow is frictionless.
6.167. Repeat the previous problem for the velocity coefficient of 94%.
7
Condensate-Feedwater Systems

Abstract
In this chapter, we will complete our journey following the working fluid
in a steam power cycle. We will look at the cycle components from the
outlet of the turbine to the inlet of the steam generator. The first piece
of equipment that will be discussed is a condenser. You will learn that
while in principle a steam power plant can operate without a condenser,
why all modern plants are equipped with one. We will extensively cover
different types of condensers and their components. Then, after a brief
general discussion on pumps, we will talk about condensate pumps and
feedwater pumps. Then, we will review how closed feedwater heaters
and deaerators help to improve the performance of a steam cycle and to
protect the steam generator. Finally, we will learn about water treatment
systems for makeup water and feedwater.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• list components of condensate-feedwater systems from the outlet of

the turbine to the inlet of the steam generator
• explain the functions of a condenser, its types, and components
• describe the principle of pumps and the procedure for their sizing
• express the functions of condensate pumps and feedwater pumps
and important considerations for their design
• describe the functions of open feedwater heaters and deaerators as
well as their components
• explain various water treatment systems for makeup water and
feedwater

519
520 Power Plant Engineering

7.1 Introduction
We have been following the flow of the working fluid in the steam cycle. We
started with the steam generator (both water side and fire side) and then the
turbine. In this chapter, we will continue following the working fluid from
the outlet of the turbine to the inlet of the steam generator around the power
plant cycle. Unlike previous chapters where we dealt with very specific com-
ponents, namely steam generators and turbines, in this chapter, we will con-
sider a wide variety of equipment and systems. Some of the components that
we will evaluate are condensers, feedwater heaters, deaerators, feedwater
and condensate pumps, and water treatment systems. The cooling side of
condensers will be studied in the next chapter.

7.2 Condensers
We noted in Section 2.3 that the outlet flow of the turbine cannot be
pumped back to the steam generator because we do not have a compres-
sor capable of pressurizing a two-phase flow of saturated vapor and liq-
uid. Even if we had, such a compressor would have consumed most of the
work produced in the turbine (recall that work required in a compressor is
determined by w =
∫ v dp).
We can reject the steam to the environment and use freshwater as the inlet
to the steam generator. These cycles are referred to as non-condensing steam
power plants. But high-quantity water to make up for the discharged steam
may not be available. Even if the water is available, the cycle needs well-
treated high-quality water, which needless to say requires expensive treat-
ments. Some early steam power plants used this strategy. But none of modern
steam power plants are non-condensing with only one exception. In some
cogeneration or combined heat and power (CHP) plants (more on these plants
in Chapter 10) steam (typically near-saturated steam) is sent for process needs
and no condensation is needed. So generally we need to recycle and condense
high-quality valuable steam to liquid water. These plants, which are essen-
tially modern steam power plants of all types (with the exception discussed
above), are referred to as condensing steam power plants.
So the condenser’s main function is to condense the saturated mixture of
steam and water leaving the turbine and to recover highly treated high-
value feedwater and recycle it back to the cycle. While accomplishing this
objective, a condenser can perform an even more important task, which can
significantly improve the efficiency of the system. We know that the power
produced in a turbine depends on the enthalpy difference between the tur-
bine inlet and outlet flows. Lowering the enthalpy of the turbine outlet flow
Condensate-Feedwater Systems 521

would increase the power output. This can be achieved by reducing the pres-
sure at the outlet of the turbine. The pressure in the condenser is equal to the
saturation pressure of the condensing steam, which, in turn, is a function of
the condenser cooling water temperature. If the temperature of the cooling
water is low enough, which is commonly the case, the low-saturation pres-
sure provides a backpressure that is lower than the atmospheric pressure
(vacuum) for the turbine to exhaust to. For example, at the temperature of
100°F the saturation pressure is about 1 psia. Now if we release the steam to
the environment, the outlet pressure would be about 14.7 psia but if we use
a condenser with the condensation temperature of 100°F, the outlet pressure
would be about 1 psia. Which one produces more work? Clearly the lower
pressure steam at the outlet can produce more work in the turbine. However,
one may say a few tens of kPa pressure decrease in the turbine outlet flow is
very small compared to many thousands of kPa pressure in the turbine inlet
and may not make a big difference! But it is not over yet! At low pressures, the
enthalpy change per unit of pressure change is much higher than that at high
pressures. This means the power production in the turbine (and cycle effi-
ciency) per unit of pressure change can be increased much more effectively
by reducing the pressure of the condenser than by increasing the pressure of
the steam generator. When the steam pressure is reduced from 0.35 to 0.06 bar
at the temperature of 80°C, the enthalpy reduces from 2645.6 to 2650.1 kJ/kg.
This indicates that by this pressure reduction the available enthalpy in the
turbine will increase by 15.52 kJ/kg/bar. If the steam pressure is increased
from 160 to 180 bar at the temperature of 480°C, the enthalpy increases from
3234.4 to 3203.2kJ/kg. In this case, the available enthalpy in the turbine will
increase by 1.56 kJ/kg/bar. This is about an order of magnitude lower than
the previous case. A similar effect can be seen in Example 2.8 (Section 2.3.2.4).
Therefore, providing a lower backpressure for the turbine (i.e., vacuum in
the condenser) can significantly improve the output work in the turbine and
its efficiency.
Considering the definition of the efficiency of a power cycle, reducing the
temperature and pressure of the condenser, and hence improving the efficiency
of the cycle, reduces the amount of heat that needs to be rejected to the environ-
ment. This means a smaller and less capital intensive condenser and circulat-
ing water system. Therefore, reducing the pressure of the condenser not only
improves the cycle efficiency but also reduces the capital cost of the system.
In summary, based on what is discussed here and in Section 2.3.2.4 for a
Rankine cycle, to improve the power output and efficiency of a steam power
plant, we should try to reduce the backpressure of the turbine by reducing
the temperature of the condensation process in the condenser. This requires
lowering the temperature of the condensation, which, in turn, means lower-
ing the temperature of the cooling water to as low as possible temperature
considering the availabilities and limitations of a specific site. In the next
chapter, we will discuss how the temperature of the condensation process in
the condenser can be minimized. In this section, we will focus on how the
condensation process takes place in the condenser.
522 Power Plant Engineering

In addition to condensing steam to be reused in the cycle and providing

a low backpressure for the turbine, condensers are where noncondens-
able gases are removed from the condensate water. The condensed steam
in a condenser is called condensate. Also, condensate drains from various
sources, such as feedwater heaters, turbine driving the feedwater pump, and
ejectors (more on these later in this chapter), are collected in the condenser.
From a practical point of view, a condenser is simply a heat exchanger
where thermal energy is transferred from spent steam from the last stage
of the lowest pressure turbine to cooling water (there are some exceptions
to this statement that will be discussed in Chapter 8). As a result of this heat
transfer, the latent heat of steam is transferred to cooling water, and steam
is condensed. In this section, we will only consider the steam part of the
condenser. The entire Chapter 8 is dedicated to cooling water and its compo-
nents. It should be noted that due to the large latent heat of water, the magni-
tude of the cooling water flow rate at the condenser is enormous.
Condensers can be divided into three general categories: direct-
contact condensers, surface condensers, and air-cooled condensers. In
direct-contact condensers, the steam and cooling water flows are directly mixed
while in s urface condensers heat transfer occurs through a surface/wall that
separate two flows. In air-cooled condensers the latent heat of steam is directly
rejected to the atmosphere in an air-cooled heat exchanger with no intermedi-
ate cooling water. Since this type of condenser has more commonalities with
cooling in circulating water systems, it will be covered in the next chapter.

7.2.1 Direct-Contact Condensers
In direct-contact condensers, also known as open condensers, the conden-
sation is achieved by mixing the spent steam flow and the cooling water
flow. This type of condenser is not usually used in conventional modern util-
ity steam power plants. However, there are some power generation units that
use these condensers such as dry-cooling tower steam power plants (refer
to Chapter 8), geothermal plants (Chapter 15), and ocean thermal energy
Conversion (OTEC) (Chapter 14).
In direct-contact condensers, the mixing of cooling water and steam occurs
either by spraying water into the flow of steam through nozzles or by allow-
ing water to flow through a series of trays while steam rises through water
curtains. The former is referred to as spray-type condensers (Figure 7.1). In
this case, the water flows downward, and, depending on the direction of the
steam flow, the condenser can be either counterflow or parallel flow. The lat-
ter is referred to as tray-type condensers. In both cases, the idea is to increase
the surface area of interaction between cooling water and steam. As noted in
the previous section, the saturation pressure of water at the condenser tem-
perature is well below the atmospheric pressure. While this is very desirable
for the performance of the turbine, the vacuum condenser pressure means
that the mixture of the cooling water and condensed steam cannot flow out
of the condenser unassisted.
Condensate-Feedwater Systems 523

Closed cooling
tower
Noncondensable
gases

Spray
condenser

Hotwell
To feedwater heater

Circulating water
Condensate extraction
pump

FIGURE 7.1
Schematic of a direct-contact spray condenser along with a closed cooling tower.

One way to compensate for this pressure difference is using gravity. In

this method, the condenser should be installed at a high evaluation, hence
the name high-level barometric condensers. The condenser is connected to
a vertical tailpipe. The pipe is long enough that at the bottom of the pipe the
pressure of the condenser plus the pressure created by the water column in
the pipe minus the pressure drop of the flow in the pipe is slightly greater
than the atmospheric pressure. The tailpipe drains saturated or nearly satu-
rated water to a container called the hotwell. Alternatively, a pump called a
condensate extraction pump can be used to pressurize the flow (Figure 7.1). In
this case, the system is called a low-level barometric condenser. Barometric
condensers are not used in current utility power plants while they are still
common in some other industrial applications. Note that these condensers,
similar to other types of condensers, must be equipped with a mechanism to
remove noncondensable gases (discussed later in this chapter).
In all types of direct-contact condensers, the condensate flow after the con-
denser is divided into two flows (Figure 7.1). Some of the condensate is sent
to the power cycle (to be more accurate to feedwater heaters). The mass flow
rate of this flow is typically equal to the mass flow rate of the turbine outlet.
The rest of the condenser outlet flow is sent to a cooling tower to be cooled
before being returned to the condenser. This flow is commonly known as the
circulating water. We already know that the ratio of the latent heat of water
to its sensitive heat is very high. Because of this property of water, the ratio
of the circulating water mass flow rate to the feedwater mass flow rate is very
high, perhaps about 25.
Since the cooling water flow and the exhausted steam flow from the tur-
bine are mixed in direct-contact condensers, the cooling water should be as
pure as the feedwater. This is why a closed cooling tower (Figure 7.1) should
be used with direct-contact condensers to maintain the quality of the cooling
water (more on these cooling towers later in the next chapter).
524 Power Plant Engineering

7.2.2 Surface Condensers
Almost all conventional utility steam power plants use surface condensers
where there is no direct mixing of the spent steam flow and the cooling water
flow. In these condensers, thermal energy is transferred through metal walls
(i.e., tube walls). Surface condensers used in steam power plants are typically
shell-and-tube heat exchangers. The cooling water flows inside tubes and
the condensing steam flows outside tubes. The cooling water can be from nat-
ural or human-made bodies of water, such as a river, ocean, lake, or pond, or
cooling tower. We will deal with the cooling water system in the next chapter.
A surface condenser is composed of a cylindrical or cubical carbon-steel
vessel (shell) and many tubes within that shell along with some other compo-
nents all integrated to a single unit (Figure 7.2). Tubes are supported to tube
sheets on both ends. These tube sheets also separate the flow of the steam
and the cooling water flow. These two flows must be always kept separate;
otherwise, the cooling water, with little to no treatment, would contaminate
the steam flow, which can cause fouling and corrosion in boiler tubes and
turbine blades. Similarly, any air leakage to the steam flow is undesirable and
should be stopped (the reason will be later discussed in this section when we
talk about noncondensable gases). To create a leak-tight connection, the tubes
are rolled to the tube sheets at both ends by physically expanding them into
the holes on the tube sheets (Figure 7.3). To ensure no leakage, some groves
can be made in the tube sheet holes that the tubes can expand into. Also, the
tubes can be welded to the tube sheets.
Since the tubes are exposed to untreated cooling water, their operating
environment is more challenging than that of the shell. The tube material

Saturated steam
from turbine

Shell Steam dome

Divided
water box
Cooling water in

Divided
water box
Cooling water
out Tube support
plate

Tube sheet
Tube sheet
Hotwell
Condensate to
feedwater system

FIGURE 7.2
Schematic of a three-pass surface condenser.
Condensate-Feedwater Systems 525

Groove
Tube sheet

Tube rolled to
tube sheet

Rolling process Tubes

Rolling device

Welding

Tube welded to
tube sheet

Welding

FIGURE 7.3
Tube attachments to a tube sheet.

depends on the type and quality of cooling water. The worst case is when
seawater is used for a once-through system (discussed in the next chapter)
in which titanium tubes are used. For other less-challenging environments,
stainless steel tubes are popular. The leakage of cooling water to condensate
in the condenser is not uncommon in steam power plants. It is hard to iden-
tify the site of the leakage and to fix it. Therefore, it is critical to choose the
tube material very carefully considering the quality of the current and pos-
sible future cooling water.
Early condensers in the first half of the 20th century had <10,000 m2 (about
100,000 ft2) of heat-transfer surface areas. The tubes were about 4 m (about
13 ft) long and were uniformly and tightly distributed over tube sheets.
Modern condensers for large steam power plants can have over 100,000 m2
(about 1,000,000 ft2) of heat-transfer surface areas with a tube length of 10 to
over 15 m (about 30–50 ft). The tube arrangement is also different in modern
condensers (more on these differences later in this section).
On two sides of the condenser, there are water boxes. The cooling water
enters the water box on one side of the condenser. Figures 7.2 and 7.4 i llustrate
several configurations of condensers in terms of the number of passes for the
cooling water flow. The number of water box divisions is a function of the
526 Power Plant Engineering

number of passes. Depending on the number of passes and configuration,

the cooling water may leave the condenser on the same water box that it
entered or on the opposite water box. In one-pass condensers, cooling water
enters at one water box and leaves on the opposite water box (Figure 7.4a). In
this case, both water boxes are undivided. Two or more pass condensers have
one or both water boxes divided. In a two-pass condenser, the cooling water
enters at the divided water box and is distributed among one half of tubes
(Figure 7.4b). The flow is then turned around at the undivided water box and
is returned to the divided water box at the opposite direction through the
other half of the condenser tubes.
A condenser can typically have up to three passes of cooling water. The
number of passes impacts the effectiveness of the condenser and its dimen-
sions. Increasing the number of passes reduces the required flow rate of cool-
ing water, which, in turn, reduces the pumping power and the size of the

Undivided
water box

(a)

(b)
FIGURE 7.4
Schematic of a one-pass (a) and a two-pass (b) surface condenser (for name of components and
flows refer to Figure 7.2).
Condensate-Feedwater Systems 527

water transportation system from the cold water source (a cooling tower or
a natural body of water) to the condenser. However, it increases the tem-
perature of the cooling water leaving the condenser and as a result the tem-
perature of the condensing steam. This means a higher backpressure for the
turbine and a lower overall efficiency of the cycle. It also increases the ther-
mal pollution of the natural body of water in once-through cooling systems.
In order to allow the condenser partial operation while cleaning or repairing,
the water boxes are typically partitioned to two parallel lines. The tubes on
each part can be independently operated while the tubes on the other one
are out of service. It should be noted that the inner walls of tubes require
periodic cleaning, particularly for poor quality cooling water.
Now let us consider the steam flow in a surface condenser. Surface con-
densers typically receive the exhausted steam at the top from the bottom of
the lowest pressure turbine. The steam flow enters the space above the tube
bundles, called the steam dome, via a hood (Figure 7.2). The steam entrance
to the condenser is typically equipped with a perforated impaction plate to
protect tubes from the impact of the high-speed two-phase saturated mix-
ture of water and steam flow from the turbine.
The condenser can be supported on the ground and connected to the tur-
bine by means of an expansion joint to absorb the thermal expansion of the
system. Alternatively, the condenser can be bolted to the turbine outlet duct.
In essence, in this case, the condenser is hanging from the turbine. In this
arrangement, the turbine support system should be able to handle the stress
due to the load of the condenser. The condenser is connected to the ground
via a spring support mechanism.
As noted above, early condensers had a uniform and tight tube arrange-
ment. The uniform arrangement however did not allow steam to penetrate
deep into the tube bundle and only front tubes were fully exposed to steam
flow and participated in the condensation process. This arrangement also
caused a high pressure drop in the steam flow, which, in turn, increases the
turbine backpressure. To address these problems, the tubes in modern con-
densers are divided into several separate bundles. Each bundle is formed
with some passages through which steam can reach inner tubes in the bun-
dles (Figure 7.5). Also, most condensers are designed to guide the steam flow
around the shell so that steam can penetrate the bundle from all directions
and converge toward the center. These condensers are known as radial flow
condensers. When the steam moves deeper in the bundle, more steam con-
dense on tube outer surfaces and drip to the hotwell. This reduces the steam
volumetric flow rate but since the area of the heat transfer also reduces while
the steam flow moves toward the center of the shell (due to a smaller area
perpendicular to the flow), the steam velocity remains relatively unchanged.
This is important for a balanced pressure drop, hence uniform steam flow
throughout the condenser, and to avoid cross-flow. To assist with the distri-
bution of steam along the tube bundle, condensers are generally equipped
with some cross baffles.
528 Power Plant Engineering

Saturated steam from Saturated steam from

turbine turbine

Expansion
joint

FIGURE 7.5
Schematic of tube arrangement in modern surface condensers.

All condenser tubes can be located in a single shell where the entire
exhausted steam from the turbine is received through a hood. In this case,
the entire condenser operates at a single pressure. While the cooling water
flows through condenser tubes, its temperature increases. The pressure of
a single-shell condenser is equal to the saturation pressure of steam at the
highest temperature of the cooling water. This is a lost potential for a lower
backpressure that could have been achieved by the lower temperature cool-
ing water. Many large steam power plants are equipped with multiple identi-
cal shells (typically up to three), hence the name multiple-shell condensers.
Each shell receives the steam through a separate hood from the exhaust of
the low-pressure turbine. Depending on the cooling water arrangement,
these shells can operate at same pressure or different pressures. In a par-
allel arrangement, the cooling water is divided among the shells. Since all
shells receive the cooling water at the same temperature, they all have the
same pressure. Usually in this design the steam domes and hotwells are also
connected to balance the pressure. In a series arrangement, the entire cool-
ing water flow goes through the first shell, then the second one, and so on.
Since the temperature of cooling water increases while advancing from one
shell to the next, the shell pressures are accordingly increased. To distinguish
between these two arrangements, the former is referred to as a multiple-
shell condenser, while the latter is known as a multiple-pressure condenser.
Condensate-Feedwater Systems 529

The steam side of the condenser is typically equipped with several steel
tube support plates known as baffles to prevent tube vibration (induced
by high velocity) and to provide several passages of steam to distribute the
steam flow through tube surfaces. Finally, the condensate is accumulated in a
water reservoir at the bottom of the condenser called a hotwell. The hotwell
should be large enough to provide some storage capacity for the condensate.
The stored condensate should be sufficient to allow the cycle to operate for a
few minutes (around 2–5 minutes). This storage capacity is to accommodate
the short-term variation of the condensate flow rate. The condensate from the
hotwell is extracted by a condensate pump.

7.2.3 Noncondensable Gases and Deaeration Process in Condensers

A small percentage of noncondensable gases always accompanies the
exhausted steam leaving the turbine. They can be formed by the decomposi-
tion of water or by water reaction with system components. Air can also leak
to the flow in the condenser or low-pressure stages of turbine where there is
vacuum. When the steam condenses in the condenser, these gases remain in
the shell side. If they are not properly removed, they can interrupt the per-
formance of the condenser in several ways. The heat-transfer surfaces, that is
the outer surface of tubes, can be covered by gas bubbles. Since the thermal
conductivity of the gases is several orders of magnitude lower than that of
water, this layer can significantly reduce the overall coefficient of heat trans-
fer of the condenser tubes. This can negatively impact the performance of the
condenser by raising the temperature and pressure of the condensation pro-
cess, which, in turn, increases the backpressure of the turbine. Furthermore,
raising the concentration of noncondensable gases increases their partial
pressure. For a given condensation temperature and pressure, increase in
the partial pressure of noncondensable gases increases the total pressure of
the condenser (and the backpressure of the turbine).
The process of the removal of noncondensable gases is called the deaera-
tion process. In steam power plants, the deaeration process takes place in
two equipment: the condenser and the open feedwater heater (the latter
will be discussed later). Modern condensers typically have a maximum oxy-
gen content of 10–20 ppm at the outlet condensate water from the condenser
when operating at full load.
In radial flow condensers when the steam flow penetrates the tube bundle
toward its center, there is less steam in the flow; therefore, the concentra-
tion of noncondensable gases increases. At the center of the condenser, the
flow is primarily composed of noncondensable gases. To reduce the specific
volume of these gases and the power needed to pump them out of the con-
denser, they need to be further cooled. Some of the tubes at the center of the
bundle are dedicated to the cooling of noncondensable gases. These gases
are separated from the steam by means of some baffles, which guide them to
the venting system. Since the pressure of the gases in the condenser is lower
530 Power Plant Engineering

Steam nozzle

Steam Mixture of
noncondensable
gases and steam

Nozzle - diffuser

Noncondensable
gases

FIGURE 7.6
Schematic of a steam jet air ejector (SJAE).

than the atmospheric pressure, in order to discharge them to the atmosphere,

they should be pressurized. For this purpose, either a compressor or an ejec-
tor can be used, the latter being more common in large steam power plants.
Steam jet air ejectors (SJAE), sometimes also referred to as jet pumps, edu-
cators, or jet compressors, utilize high-pressure steam to pressurize a flow.
Figure 7.6 illustrates the schematic diagram of an ejector. It is composed of
a steam nozzle and a nozzle-diffuser assembly (similar to a Venturi). The
steam nozzle injects the incoming high-pressure steam at high velocity into
the nozzle-diffuser. In the nozzle, the velocity is increased and pressure is
reduced (according to the Bernoulli equation). This low pressure draws the
noncondensable gases from the condenser and the exchange of momentum
between the high-velocity steam flow and noncondensable gases accelerates
the flow of gases. Before the flow leaves the ejector the kinetic energy of the
flow is converted to the pressure in the diffuser. Ejectors are self-priming,
simple, and reliable devices. They have no moving parts and so require little
maintenance and no lubrication. They can be made from a wide variety of
materials from stainless steel to PVC and fiberglass. To provide an adequate
pressure increase, up to three stages of ejectors can be used. Typically after
each ejector there is a heat exchanger to cool the flow and condense the steam,
which is returned to the condenser.

7.3 General Discussion on Pumps

In this chapter, several important pumps used in steam power plants will
be discussed. Since pumps are one of the most commonly used compo-
nents in steam power plants, here we will first have a brief discussion
about pumps in general. Then, we will review their applications in steam
power stations. Some of the most important pumps used in a typical steam
Condensate-Feedwater Systems 531

power plant are the condensate pump, condensate booster pump, feed-
water pump, and circulating water pump along with many other auxil-
iary and service pumps.
Pumps are devices that add energy to a flow of liquid to increase its pres-
sure. While pumps can be categorized based on several characteristics, such
as their applications, geometry, or pumped liquid, the most important cate-
gorization is based on how energy is imparted to the fluid. Generally, pumps
can be either dynamic or displacement. In dynamic pumps, the energy addi-
tion to the flow is continuous and the pressure of the flow is increased indi-
rectly. In these pumps, the added energy accelerates the flow and increases
its velocity. This velocity is then converted to pressure. Unlike dynamic
pumps, in displacement pumps, the energy addition to the flow is inter-
mittent where the flow is directly pressurized in a closed space with mov-
ing boundaries. Displacement pumps can be reciprocating, such as piston,
plunger, or diaphragm pumps, or rotary types such as vane, piston, screw,
gear, lobe, or peristaltic pumps.
Dynamic pumps (Figure 7.7) depending on the direction of the flow
through the pump relative to the direction of the shaft rotation, can be
radial, axial, or mixed flow.1 These pumps can have a single stage or mul-
tiple stages. Each stage has moving blades (vanes), typically referred to
as impellers, and fixed blades or diffusers. An impeller imparts energy
to the flow and accelerates it. Impellers can be with or without a shroud
(also known as enclosed or open impellers, respectively). Impellers can

Impeller

Stationary
diffuser vanes

FIGURE 7.7
Schematic of a dynamic radial pump.

1 While some special effect pumps, such as jet pumps, are also considered as dynamic pumps,
we will not cover them in this section.
532 Power Plant Engineering

receive the flow from one side (single suction) or both sides (double suc-
tions). A diffuser converts the resulting kinetic energy from the impeller
to pressure. In radial flow pumps, the flow from the diffuser is typically
discharged to a casing with an increasing area, called a volute, to maintain
a constant flow velocity. Pumps can have a horizontal or vertical shaft.
Pump casings are usually manufactured in two or more parts and depend-
ing on how these parts are connected, a pump can have an axially or radi-
ally split casing.
In the design and selection of pumps, special attention should be paid to
avoid the cavitation problem. In a liquid flow, if the flow pressure drops below
the saturation pressure of the fluid at the operating temperature (the vapor
pressure), the liquid starts to boil. For pumps, due to the suction effect of the
impellers, the lowest pressure is in the inlet of the pump. If the flow pressure
drops below a certain limit, some liquid is evaporated and vapor bubbles are
formed in the inlet flow. The formation of these small vapor-filled cavities
is called cavitation. When the flow gets close to the impeller, its pressure
increases and the vapor bubbles collapse, which can generate shock waves.
The cavitation and the subsequent shock waves increase noise, vibration, and
erosion of surfaces in pumps, particularly impellers. A parameter called the
net positive suction head (NPSH) is used to avoid cavitation. The required
net positive suction head (NPSHR) is the pressure needed at the pump inlet
to avoid cavitation. The available net positive suction head (NPSHA) of an
application should be always above the NPSHR with a safe margin.
The design principles of these pumps are similar to those of steam tur-
bines (refer to Chapter 6) and involve using velocity vector diagrams. While
essential for designing and manufacturing of pumps, for most users what
they need is the pump selection (or sizing). For this propose, first a parameter
called the specific speed is used to identify the type of the required pump.
The specific speed is defined as follows:

N Q
Ns = 3 (7.1)
(H ) 4

where N is the rotational speed of the pump in revolutions per minute

(rpm), Q is the flow rate (m3/s), and H is the total head (m). The specific speed
N Q
is actually the simplified version of a dimensionless parameter, 3 , that
( gH ) 4
can be found from the dimensional analysis of parameters impacting the per-
formance of a pump. The value of the specific speed can help to identify the
geometry (shape) of the pump impeller. A high value of the specific speed,
which indicates a high flow rate and/or a low head, indicates a requirement
for an axial pump, while a low value of the specific speed indicates a need
for a radial pump.
Condensate-Feedwater Systems 533

When the geometry of the impeller is determined, pump performance

curves that are provided by pump manufacturers can be used to identify
the specific appropriate pump and its operating conditions. A pump per-
formance curve in the simplest form illustrates the relationship between
the head that a pump can create as a function of the volumetric flow rate
(Figure 7.8). The curve shows that with increase in the volumetric flow rate,
the head decreases (means less pressure rise in the flow). Typically the per-
formance curve comes with the efficiency, required power input, and the
required NPSH curves as a function of the flow rate (Figure 7.8). Pump man-
ufacturers typically group the performance curves of a series of pumps with
the same geometry but different sizes into a single diagram. These curves
are typically presented according to the diameter of the impellers. Note that
when two or more pumps operate in parallel, as is very common in steam
power plants, the performance curve of the system can be created by adding
up the flow rate of all pumps for each given head.
There are a variety of standards issued by several institutions that
regulate pump manufacturing and applications, including the American
Petroleum Institute (such as API 610/ISO 13709), American Society of
Mechanical Engineers (such as ASME B73 series), and Hydraulic Institute
(HI) standards and guidebooks. We will occasionally refer back to this
introduction to pumps later whenever we talk about a specific pump used
in a steam power cycle.

Hea
d
Head/Efficiency/Power/NPSH

y
nc
cie
Effi

r
powe
Input

NPSH

Volumetric flow rate

FIGURE 7.8
Performance curve of a typical pump.
534 Power Plant Engineering

7.4 Condensate Pumps
It was noted in Section 2.3.4.1 that steam power plants are equipped with one
open feedwater heater. Since in an open feedwater heater the flows of steam
and water are mixed, the two flows should be at the same pressure. This
means that the pressure of the working fluid cannot be increased to the pres-
sure of the steam generator in a single pump. The pressurization of the con-
densed steam (condensate) in a steam power plant takes place in two pumps.
In this section, we will cover the first pump called the condensate pump and
later we will discuss about the second pump called the feedwater pump.
A condensate pump, also known as a condensate extraction or circulating
pump or simply extraction pump, receives saturated or slightly subcooled
condensate water from the hotwell of the condenser at vacuum pressures
and delivers the flow to the open feedwater heater at the pressure of steam
bled from the turbine. The pressure increase in the condensate pump should
be sufficient to compensate the pressure drop through the low-pressure feed-
water heaters and other components in between.
Since the condensate in the condenser’s hotwell is saturated water, the slight
drop in the pressure of the flow will cause the condensate to re-evaporate.
This means unless the required NPSH of the condensate pump is provided,
the pump can suffer from cavitation in its inlet. While thermodynamically
speaking the outlet flow of the condenser should be saturated liquid, to pre-
vent cavitation, the outlet condensate is typically slightly subcooled. This
will increase the condenser load and the required heat addition in feedwater
heaters and will slightly reduce the overall efficiency of the cycle.
To meet the NPSH requirement, condensate pumps are typically located
under the condenser below the floor of the turbine hall. The elevation dif-
ference between the condenser outlet and the pump inlet should be high
enough so that the static pressure in the pump inlet due to the column of
water can exceed the required NPSH with a safe margin at all operating con-
ditions. To create the needed level difference, the condensate pump can be
installed in a pit underneath the condenser. The pit can be dry or wet. In a
dry-pit condensate pump, the condensate from the hotwell is transferred to
the pump inlet by a piping system. To minimize the pressure drop in the
condensate pump inlet flow, large diameter pipes are used to reduce the flow
velocity. Also, a direct route with minimum fittings is used. Alternatively,
the condensate pump can be submerged in a wet-pit filled with condensate
water. Another configuration that is very common in modern steam power
plants is a can-type condensate pump. In this design, a vertical pump is sub-
merged in the condensate water collected in a suction can (or barrel), which
is vertically installed at the bottom of the hotwell.2 This design requires the
least floor space. Furthermore, submerged condensate pumps do not need a

2 Similar to pumps used to extract water from water wells.

Condensate-Feedwater Systems 535

priming system. In all designs, the hotwell is equipped with a level sensor.
When the water level in the hotwell reaches a predetermined low level, to
avoid cavitation the system is tripped.
Condensate pumps, depending on the needed head, can be single stage
or multistage. They can be vertical or horizontal pumps with a single- or
double-suction impellers. An impeller is made of a material with high ero-
sion resistance, such as stainless steel, sometimes with a coating to resist pos-
sible cavitation. To maximize the available head, the inlet of the pump is at
its bottom. To reduce the required NPSH, condensate pumps are typically
low rotational speed (rpm) pumps. The efficiency of these pumps is at mid to
high 80%. The flow rate of condensate pumps can be controlled by means of a
variable speed drive, a control valve in the outlet flow, or the recirculation
of the flow to the condenser from the pump discharge. To avoid air leakage
to the inlet flow, where pressure is below the atmospheric pressure, the inlet
is equipped with a specially designed sealing. While some plants may have
only one condensate pump, typically there is a stand-by pump as a backup
so that the cycle can operate at the full capacity while one of the pumps is
out of service. In the latter case, the plant can be equipped with two, three, or
four pumps each capable of handling the entire, one-half, or one-third of the
designed condensate flow rate, respectively. The condensate flow is distrib-
uted among these pumps by a suction header and collected by a discharge
header.
Many modern steam power plants, particularly supercritical ones, are
equipped with a unit called a condensate polishing plant (CPP, refer to
Section 7.8.5). The process requirements of this unit favor dividing the func-
tion of a single condensate pump between two pumps. In these plants, most
of the needed pressure head is provided by a second pump called a conden-
sate booster pump. This pump is usually located after the CPP. Since the
condensate pump provides a sufficient NPSH at the inlet of the condensate
booster pump, the condensate booster pump is typically a conventional cen-
trifugal pump.

7.5 Feedwater Heaters
In Section 2.3.4 we discussed that heating subcooled water from the outlet of
the feedwater pump to saturated water in an economizer involves significant
irreversibility. This irreversibility that can negatively impact the efficiency
of the cycle is due to the large temperature difference between the working
fluid and combustion products. While ideally a regenerative steam cycle can
be used to minimize this irreversibility, this cycle is not practical. Therefore,
steam power plants are equipped with several feedwater heaters to reduce
this loss. Since their introduction in the 1920s, feedwater heaters have gained
536 Power Plant Engineering

steady popularity and now are the major components in majority of modern
steam power plants.
The function of feedwater heaters is to step by step increase the tempera-
ture of feedwater before being fed to a steam generator. Although even with
feedwater heaters the inlet feedwater to the steam generator is not saturated
liquid and an economizer is still needed, the size of the economizer is much
smaller than what it would have been if no feedwater heater is used. In all
feedwater heaters, heat is transferred from steam extracted (bled) from the
turbine to the working fluid. The steam is bled from the turbine and is piped
to the appropriate feedwater heater. The steam bled from low-pressure stages
of the turbine is sent to low-pressure feedwater heaters. This steam increases
the temperature of the condensate water. To provide sufficient temperature
difference between the bled steam and the feedwater in high-pressure feed-
water heaters, the high-pressure steam at high temperature is sent to high-
pressure feedwater heaters. To avoid any possibility of backflow of water or
steam from entering the turbine through these extraction points, the piping
systems are equipped with non-return check valves and automatic valves
that are closed in abnormal operating conditions such as a turbine trip or a
high water level in heaters. Depending on the mechanism for the heat trans-
fer, feedwater heaters can be closed or open. Before covering the details of
these feedwater heaters you are advised to review the relevant materials in
Section 2.3.4.

7.5.1 Closed Feedwater Heaters

Closed feedwater heaters are shell-and-tube heat exchangers3 where con-
densate/feedwater flows inside the tubes and steam from the turbine flows
outside of them. The steam from the turbine enters the shell at one end and
leaves at the other end. Depending on the pressure of the bled steam, it can be
superheated steam at high pressure or saturated steam. Due to heat transfer
to the water, most of the extracted steam condenses and the outlet flow can
be a mixture of condensate, vapor, and noncondensable gases.
Some closed feedwater heaters are located right after the condensate pump
and before the open feedwater heater. They operate at low pressures, hence
the name low-pressure (LP) feedwater heaters. The extracted steam in these
feedwater heaters can be saturated or slightly superheated steam. The rest
of the feedwater heaters are located after the feedwater pump and before
the steam generation. They operate at high pressures and accordingly are
called high-pressure (HP) feedwater heaters. If the cycle is equipped with
a condensate booster pump, feedwater heaters located between this pump
and the feedwater pump operate at intermediate pressures. These feedwater

3 For a useful introduction to shell and tube heat exchangers, please refer to http://thermope-
dia.com/content/1121/.
Condensate-Feedwater Systems 537

heaters are referred to as intermediate pressure (IP) feedwater heaters. The

extracted steam for HP and IP feedwater heaters is typically superheated.
Most components of closed feedwater heaters are similar to the compo-
nents of a condenser. The shell is typically cylindrical in shape capped by
divided or undivided water boxes on one end or both ends (Figure 7.9). These
heat exchangers can be installed horizontally or vertically. The orientation of
the unit is usually determined by space availability. Tubes are usually made
of stainless steel and can be U-shaped or straight, the former being more pop-
ular. The U-tube feedwater heaters are two-pass heat exchangers connected
by a single tube sheet on one side of the shell (Figure 7.9). In the straight tube
configuration, tubes typically have two passes.
To provide several passes in the steam flow and allow the steam interac-
tion with the entire surface of tubes, closed feedwater heaters are equipped
with several baffles. Baffles are plates that fit inside the shell and cover most
of the shell intersection except one segment cut or two opposing segments
cuts (Figure 7.10). These cuts are alternatively rotated to induce a zig-zag flow
pattern in the steam flow. Since tubes go through baffles via tightly fit holes,

Tube sheet
Baffles
Feedwater Steam from U-tube
in turbine
Divided
water box

Feedwater Condensate
out

FIGURE 7.9
Schematic of a U-tube feedwater heater.

(a) (b)

FIGURE 7.10
Schematic of baffle arrangements in closed feedwater heaters
538 Power Plant Engineering

they also support tubes and prevent the flow induced vibration in the tubes.
Increasing the number of baffles increases the heat--transfer coefficient at the
expense of increasing the flow pressure drop.
The heat-transfer mechanism in the shell side of a feedwater heater primar-
ily depends on the state of the bled steam. In all feedwater heaters, steam is
condensed. If the bled steam is superheated, the flow is also desuperheated.
In many feedwater heaters, the condensed bled steam (often referred to as the
heater drain) is cooled down to subcooled water by further heat transfer to
the working fluid. In very low-pressure feedwater heaters, since the drain is
at a very low temperature, there is not much opportunity for this heat trans-
fer and the drain subcooling may be skipped. Depending on the dominant
heat-transfer mechanism, a feedwater heater can be divided into three sec-
tions: desuperheater, condenser, and drain cooler. While all closed feedwa-
ter heaters have a condenser section, they may have either, both, or none of
the other two sections. Typically the desuperheating and drain-cooling zones
are separated from the condensing zone by a shroud or wrapper. Sometimes
the drain cooling takes place in a separate heat exchanger.
Now let us consider the feedwater side of closed feedwater heaters. In
a typical feedwater heater, the feedwater enters the lower water box and
is distributed among the tubes fixed to the tube sheet. The feedwater is
first heated in the drain cooler by the condensed steam accumulated at the
bottom of the shell. Then, the feedwater receives heat from condensing
steam and superheated steam in the condensing and desuperheating zones,
respectively. Finally, the heated feedwater returns to the upper section of
the water box and exits the feedwater heater. In the shell side, the bled
steam enters the feedwater heater through one or more inlets. Upon enter-
ing, the steam is guided to the tube bundle by impingement plates. These
plates also protect the tubes from steam flow erosion. The steam passes
through the desuperheater and condenser zones and gives up its energy to
the feedwater inside the tubes. The condensed steam falls to the bottom of
the shell to the drain-cooling zone. To remove noncondensable gases, the
condensing zone of a closed feedwater heater should be equipped with a
vent. The lowest pressure feedwater heater is sometimes located in the inlet
neck of the condenser in the transition duct between the turbine and the
condenser.
As noted in Section 2.3.4.2, the heater drain in the shell side of a closed feed-
water heater is at a pressure lower than that of the feedwater/condensate flow
in the tubes. This means the outlet flows of the shell and the tubes cannot be
directly mixed. To address this problem, two approaches can be used: drains
pumped forward or drains cascaded backward. In the former, the condensed
bled steam is pressurized in a small pump to the pressure of the feedwater
flow and mixes with the tube-side outlet flow in a mixing chamber. In a drain
cascaded backward system, the condensed bled steam is throttled through a
steam trap (Section 2.3.4.2) to a lower pressure and drained to either the next
lower pressure closed feedwater heater, the open feedwater heater, or the
Condensate-Feedwater Systems 539

condenser. Drains pumped forward feedwater heaters slightly improve the

cycle efficiency because they avoid the irreversibility of the throttling pro-
cess. However, drains cascaded backward feedwater heaters are simpler and
less expensive. For this reason, drains cascaded backward feedwater heaters
are much more common. Some designs use the backward cascading system
for all feedwater heaters, so each feedwater heater successively drains to the
next lower pressure heater except for the lowest pressure feedwater heater
in each LP and HP feedwater heater stages (Figure 7.11). This last heater is a
drain pumped forward feedwater heater that pumps all the collected drains
to the feedwater or condensate lines. In this case, the heat content of the
drains is not lost to the condenser. The drain pump operating condition is
severe since the inlet water is near-saturated liquid (similar to the condensate
pump). To provide a sufficient NPSH, vertical can-type pumps are typically
used for this application.
The decision about the number of closed feedwater heaters is primarily
made based on economic considerations, particularly the balance between
the capital cost and the plant efficiency. The size of the plant is a significant

Steam turbine
Steam generator

LP closed
feedwater heater 2
Condenser

HP closed LP closed
feedwater feedwater heater 1
heater Deaerator
Steam trap
Drain pump

Steam trap

FIGURE 7.11
Schematic of a typical feedwater heater arrangement (condensate and feedwater pumps are
not shown).
540 Power Plant Engineering

factor in this balance. Typically smaller units have fewer feedwater heaters.
Large utility scale steam power plants can have up to eight closed feedwa-
ter heaters. To determine the pressure of the bled steam from the turbine
for each feedwater heater an optimization process is required. However, a
rule of thumb for a rough estimate is to divide the temperature difference
between the condenser outlet and the steam generator inlet into equal incre-
ments. Then, the steam is extracted from the turbine at the pressure equal to
the saturation pressure of each temperature increment.
Feedwater heaters are typically designed and manufactured according to
the Tubular Exchanger Manufacturers Association (TEMA) standards.4
The performance of closed feedwater heaters is evaluated using the ASME
PTC 12.1 Feedwater Heater Standard.

7.5.2 Steam Trap
As noted in the previous section, a steam trap is used to throttle the outlet
condensed steam from a drain cascaded backward closed feedwater heater to
lower pressure. As the name implies, a steam trap not only reduces the flow
pressure but also traps the steam accompanying the condensate. A steam trap
allows the flow of condensate and noncondensable gases to pass but holds on
to the steam until it condenses. A steam trap in essence is composed of a valve
that opens when a certain condition(s) is met. Steam traps typically operate in
cycles. That means the valve in the trap is closed until the sufficient condensate
is collected and then the valve is opened to allow the condensate to discharge.
To determine the condensate discharge timing, the following three principles
or a combination of them can be used: mechanical traps, thermodynamic traps,
or thermostatic traps. These traps use the condensate level, thermodynamic
and fluid property differences between steam and condensate, and the tem-
perature difference between steam and condensate, respectively, to determine
the amount of accumulated condensate and to respond by opening the valve.5

7.6 Open Feedwater Heaters

As noted in Section 2.3.4.1, in an open feedwater heater, also known as a
direct-contact feedwater heater, the feedwater and bled steam are directly
mixed to increase the temperature of the feedwater. Because of this direct

4 The Tubular Exchanger Manufacturers Association, Inc. (TEMA), established in 1939, is the
trade association of shell and tube heat exchanger manufacturers. The latest (Tenth Edition)
of the standards were published in 2019. http://www.tema.org/.
5 For more information on steam traps, you can refer to the following freely available hand-

book: “The industrial steam trapping handbook” https://www.emerson.com/documents/

automation/yarway-steam-traps-en-us-3587464.pdf or the following video https://www.
youtube.com/watch?v=IiRyxcCBTa0.
Condensate-Feedwater Systems 541

mixing, the pressure of two flows, the extracted steam and the feedwater,
must be equal. This means in an open feedwater heater the pressure of the
feedwater cannot be higher than that of the extracted steam. Therefore, for
each open feedwater heater, a pump is needed to pressurize the feedwa-
ter. Because of this, all steam power plants (except some nuclear ones) are
equipped with only one open feedwater heater, which follows by the main
feedwater pump. Even small industrial units, which may not have any closed
feedwater heater, have an open feedwater heater. This is because open feed-
water heaters also function as the site where gases are removed from feed-
water. In fact, these heaters are typically known as deaerating heaters or
simply deaerators (DA). In large utility steam power plants, the open feed-
water heater is typically located in the middle of closed feedwater heaters,
between LP and HP heaters. The exact location of a deaerator relative to other
feedwater heaters and its operational conditions are determined to maximize
the condensate deaeration (next paragraph).
Previously we discussed how noncondensable gases are removed from the
condenser. While this process effectively removes almost all noncondens-
ables in gaseous form, it cannot do anything with gases dissolved in the
condensate. These gases are mainly oxygen and carbon dioxide with much
less amount of nitrogen, argon, hydrogen, methane, and ammonia. They can
enter the working fluid by makeup water, cooling water leakage in the con-
denser, or the air leakage to the system where the fluid pressure is lower than
the atmospheric pressure at piping connections (e.g., in flanges) or sealing of
rotating devices. The solubility of these gases in water reduces with tem-
perature increase. For example, while the oxygen solubility is about 0.07 g of
oxygen per kg of water at the temperature of 0°C, at the temperature of 100°C
the solubility reduces to about zero. This means the condensate at the con-
denser has the maximum amount of dissolved gases. With gradual increase
in the water temperature in low-pressure feedwater heaters, the solubility of
the condensate reduces and some of the dissolved gases are released. The
presence of these gases in the feedwater is undesirable. Particularly oxygen is
problematic because it can react with metals like iron and copper and can cor-
rode metal surfaces. The reactions can also generate metal ions that are sol-
uble in water and can contaminate feedwater. Also, carbon dioxide increases
water acidity, which again increases corrosion. Furthermore, some of these
gases, such as hydrogen and methane, are combustible and their presence in
the steam generator can be hazardous. An open feedwater heater can provide
ideal conditions for the removal of gases, especially considering the mixing
process that takes place within the heater. The operating temperature of the
heater, at around 100°C, is selected to maximize the release and removal of
noncondensable gases. Physically speaking, the deaerator is installed at high
elevation in the boiler room to provide a sufficient head at the inlet of the
following feedwater pump to avoid cavitation (refer to Section 7.7).
An open feedwater heater can have several other functions. The makeup
water is added to the cycle with the open feedwater heater. Chemicals that
542 Power Plant Engineering

are needed for water treatment are commonly added to the feedwater within
the heater or somewhere nearby. Moreover, the heater, sometimes in connec-
tion with the feedwater tank, functions as the container in which the fluctua-
tion in the needed feedwater flow rate is accommodated.
Condensate heating and deaeration can be achieved by three mecha-
nisms. In the first mechanism, the water is sprayed into a container filled
with steam. The interaction between water droplets and steam results in
heat transfer from the steam to the water and the removal of dissolved
noncondensable gases from the feedwater. The large surface area of water
droplets immensely facilitates both processes. In the second mechanism,
steam is injected into the feedwater collected at the bottom of the deaerator.
The upward moving of steam bubbles agitates the water which results in
water heating and deaeration. In the last mechanism, feedwater descends
through a stack of horizontal trays while steam rises in the opposite direc-
tion. The interaction between the cascading water flow and the rising
steam increases the water temperature and removes most noncondens-
able gases. Based on these three mechanisms, three types of deaerators
are common in modern steam power plants: the spray deaerators, spray-
scrubber deaerators, and spray-tray deaerators. In these deaerators, some
combinations of the abovementioned mechanisms are used for water heat-
ing and deaeration.6

7.6.1 Spray Deaerators
A spray deaerator is a cylindrical horizontal pressure vessel (Figure 7.12).
Inside the vessel there is a small shrouded area at the top of the heater. The
bottom of the shrouded area is typically (but not always) made of a per-
forated plate. Steam enters through the shrouded area via this plate from
the main body of the container. The condensate from the last low-pressure
feedwater heater is sprayed into the steam within the shrouded area. The
mixing of steam and water increases the temperature of the condensate
and releases some noncondensable gases. Water droplets fall on the per-
forated plate and fall down to the preheating area of the heater through
the holes on the plate. While dropping, water droplets pass through the
steam filling the container and continue heating up. Water droplets first
land in an area of the heater called the preheater, which is separated from
the deaerating area of the heater by a baffle (Figure 7.12). The extracted
steam from the turbine is distributed by pipes to the submerged steam
sprays that inject steam into the entire body of water at the lower part of

6 For an excellent presentation of how deaerators work, please watch the following visual
discussion at “How Deaerators Work (Engineering)” https://www.youtube.com/
watch?v=M_jOsTWVIH8.
Condensate-Feedwater Systems 543

Extracted steam
Noncondensable from turbine Condensate from last low
gases outlet pressure feedwater
heater
Shrouded
area
Deaerator
zone
Perforated
Steam plate

Condensate Preheater
zone

Steam
distribution
pipes

Steam sprays Baffle

Feadwater
to feedwater
pump

FIGURE 7.12
Schematic of a spray deaerator.

the heater. The steam bubbles up through the water by which the heat-
ing and deaerating processes are accomplished. After the preheating, the
water flows under the baffle to the other side of the container, called the
deaerator zone, for further heating and deaerating. As noted, in both the
preheater and deaerator zones the steam is injected into the water. After
sufficient heating and deaerating, the water, which is now called the feed-
water, leaves the heater via an outlet at the bottom of the deaerator area.
The released noncondensable gases along with some steam are vented to
the atmosphere through an outlet (Figure 7.12).

7.6.2 Spray-Scrubber Deaerators
In spray-scrubber deaerators, the inlet water, usually just the fresh makeup
water, is first sprayed into the steam accumulated at the upper portion of
the heater (Figure 7.13). The sprayed water is then collected by a tray right
below the sprays. The condensate is typically fed to the tray directly. Both
condensate and makeup water are then directed by a pipe to the bottom of a
can called a scrubber. The extracted steam enters the heater at the top and is
transferred to sprays submerged at the bottom of the scrubber. The steam is
sprayed into the water inside the scrubber and bubbles up through the water.
The rising steam violently agitates the water inside the scrubber and scrubs
the water, facilitating the heat-transfer process and the removal of noncon-
densable gases. The remaining steam leaves the scrubber and is collected at
the upper section of the heater. The heated and deaerated feedwater is col-
lected at the lower section of the heater and is discharged through an outlet
at the bottom to the feedwater pump (Figure 7.13).
544 Power Plant Engineering

Noncondensable
Makeup water
Extracted steam gases
from turbine Condensate from last
low pressure feedwater
heater

Tray
Steam
Bubble

Condensate

Feedwater to
feedwater pump

FIGURE 7.13
Schematic of a spray-scrubber deaerator.

7.6.3 Spry-Tray Deaerators
Spray-tray deaerators are composed of a series of horizontal stainless steel
trays. The top trays are referred to as the heating trays or first-stage trays
and the bottom ones are known as the air separating, deaeration, or second-
ary trays. The inlet water flow is sprayed on the top tray through the steam
filling the container. The extracted steam flow is directed to the bottom of
the tray stack. The steam ascends through trays while the water descends
(counterflow). The high surface area between two flows facilitates the heat
transfer and noncondensable gas removal processes. This type of deaerator
is typically installed above (or sometimes inside) a much larger feedwater
tank (the function of this tank is discussed below). The heated and deaerated
feedwater falls to the feedwater tank below. The feedwater tank itself may
have inlet steam and submerged distribution sprays for further heating and
deaeration within the tank. Sometimes the deaerator system is used to refer
to both the deaerator and the feedwater tank.

7.6.4 Other Functions of Deaerators

As discussed above, dissolved noncondensable gases are removed from con-
densate by a deaerator. These gases are vented to the atmosphere through a
dedicated outlet. Unlike the condenser, the pressure at the deaerator is above
Condensate-Feedwater Systems 545

the atmospheric pressure, so no pressure increase device, such as a steam

ejector or compressor, is needed to vent the gases. When these gases are dis-
charged to the atmosphere, steam cannot be separated effectively. So it is
inevitable that some steam escapes through the deaerator along with noncon-
densable gases. The escaped steam forms very visible plume upon leaving
the system. While the released steam should be minimized because it is a
source of thermal loss, the effective removal of gases should also be ensured.
Typically a deaerator is equipped with a safety relief valve installed at the
highest elevation of the system.
We have already discussed some components and processes that result
in losses of the working fluid. For example, saturated water is continuously
blown down from the drum to maintain the quality of feedwater. Also, steam
leaves the plant accompanying noncondensable gases released to the atmo-
sphere from the condenser and in the open feedwater heater. Therefore, to
maintain the required feedwater flow rate throughout the power cycle and to
compensate for the lost feedwater, makeup water must be added to the feed-
water. This makeup water is supplied by the water treatment facility (refer
to Section 7.8.3). This water either directly enters the deaerator or is mixed
with the condensate before being fed to the deaerator. The makeup water
contains a significantly higher level of dissolved noncondensable gases than
that of the condensate. So the deaeration process in the open feedwater heater
is even more critical for this fresh working fluid. In some deaerator designs,
such as some spray-scrubber deaerators, the makeup water goes through
extra steps of heating and deaeration to properly treat the water.
The deaerator can remove almost all CO2 and most oxygen from the feedwa-
ter. However, the deaerated water still contains about 7 part per billion (ppb) of
dissolved oxygen. This remaining oxygen cannot be removed mechanically in
the deaerator and must be removed chemically. For this purpose, volatile oxy-
gen absorbers (also known as oxygen-scavenging chemicals or oxygen scav-
enger agents), such as sodium sulfite with the chemical formula of Na2SO3 (for
low-pressure steam generators), hydrazine with the chemical formula of N2H4,7
or erythorbic acid with the chemical formula of C6H8O6, can be added to the
deaerated feedwater. The makeup water may also require some chemical treat-
ments depending upon the water treatment mechanism (refer to Section 7.8.3).
The addition of the abovementioned chemicals can take place on the makeup
water line, at the deaerator, after the CPP (refer to Section 7.8.5), at the feedwa-
ter tank, or after the deaerator before the steam generator.
The final function of the deaerator is to accommodate the variation of the
feedwater flow due to plant load changes. Consider a sudden increase in
the load. The increase in the load requires a higher steam flow rate through
the turbine and a higher rate of steam generation in the steam generator.
In the absence of an accumulator, the extra water flow rate should be drawn
from the condenser hotwell. While the hotwell is sized to provide some

7 Hydrazine is considered a carcinogen, which limits its applications.

546 Power Plant Engineering

margin for this purpose, if the load change is large enough, the hotwell
may not be able to cope and get dry. This may starve the steam generator
and may damage some components. This condition will continue until the
excessively drawn condensate is returned to the condenser and condensed
back to the hotwell and the cycle reaches a new equilibrium condition. The
opposite can happen when the plant’s load reduces. To avoid these condi-
tions, a large enough tank should be located before the steam generator to
temporarily accommodate the fluctuations in the feedwater flow rate. To
perform this function the deaerator should be either sufficiently large or, as
noted for the case of spray-tray deaerators, installed above a large feedwater
tank. The feedwater tank is where the highly treated water from the deaera-
tor is stored.

7.7 Feedwater Pumps
A steam generator feedwater pump, also known as a boiler feed pump,
takes the heated and deaerated feedwater from the outlet of the deaerator
(the open feedwater heater) and pressurizes it. At the outlet of the feedwater
pump, the feedwater pressure is at its highest throughout the entire cycle.
In cycles with a drum-type steam generator, this pressure should be high
enough to overcome all pressure drops between the pump and the steam
generator drum and deliver the feedwater to the drum at the required pres-
sure. In cycles with a once-through steam generator, the pressure after the
pump should be sufficient to deliver superheated steam to the turbine at an
appropriate pressure.
Since the deaerator outlet is saturated or near-saturated water, the inlet
pressure to the feedwater pump is approximately equivalent to the saturation
pressure of water at the operating temperature of the deaerator. Therefore,
similar to the condensate pump, the feedwater pump is susceptible to cavita-
tion. To provide the required NPSH in the inlet of the pump, there should
be a sufficient elevation difference between the deaerator and the feedwater
pump inlet. For this purpose, the deaerator is typically installed at a high
elevation in the turbine room structure and the feedwater pump is installed at
the floor level. The available NPSH for the feedwater pump that is equal to the
height difference between the water level in the deaerator heater or the feed-
water tank and the pump inlet pipe centerline lessens the pressure drop in
the piping system between two components. The head should be higher than
the required NPSH of the pump with an acceptable safety margin for tran-
sient operating conditions. In some designs to reduce the severity of the main
feedwater pump operation conditions, another pump is used upstream of the
main feedwater pump. This pump is referred to as the steam generator feed-
water booster pump (also the boiler feed booster pump). Its function is to
Condensate-Feedwater Systems 547

provide sufficient pressure in the inlet of the main feedwater pump to meet its
required NPSH. This is a low head pump with a low rotational speed (rpm),
which reduces its required NPSH. The booster pump can be powered by the
same driving system as the main pump through a speed reduction gear.
Feedwater pumps are typically horizontally installed centrifugal pumps.
They can be single stage or multistage pumps. Similar to condensate pumps,
several feedwater pumps can be used in parallel with one pump as a reserve.
In some steam power plants, this pump is driven by a variable speed electric
motor. But for some large units, the pump is so large that its power consump-
tion can significantly increase the internal electricity consumption of the plant
and reduce its net power generation. To increase net electricity production
and to improve the overall efficiency of the cycle, in most medium- and large-
size steam power plants, the feedwater pump is driven by a steam turbine.
This steam turbine should not be mistaken with the main steam turbine that
is coupled with the generator. This turbine is dedicated to driving the feed
water pump and is a relatively small turbine. This turbine is typically a vari-
able speed steam turbine so that the feedwater flow rate can be controlled
without throttling the flow; thus the irreversibilities associated with the throt-
tling process are avoided. The turbine can be an impulse or impulse-reaction
multistage turbine. For more effective speed control it may receive steam at
different pressures. The flow rates of these steam flows are controlled by con-
trol valves to achieve the desired speed and pump flow rate. The discharge
flow of the turbine can be exhausted to either the main condenser, a small
dedicated condenser, or a low-pressure closed feedwater heater. Note that
during the start-up when steam from the steam generator is not available yet,
an alternative approach to starting the turbine should be considered such as
an auxiliary steam generator. Many aspects and components of this turbine
are similar to the main steam turbines covered in Chapter 6.

7.8 Treatment of Feedwater and Makeup Water

While steam power plants operate in a closed cycle and the working fluid
circulates over and over, the chemical properties and the composition of the
working fluid continuously vary throughout the cycle. This variation is due
to the fact that water and steam can dissolve or chemically react with what
they contact. Water can also decompose to positive and negative ions (H+ and
OH−). Dissolved solids in water, expressed as water hardness, can be depos-
ited in cycle components when the temperature and velocity of flows change.
This can be particularly problematic during phase change processes. The
deposition of scale forming impurities on heat-transfer surfaces can form
an insulating scale layer, which negatively impacts the rate of heat trans-
fer. Similarly, depositions can also happen in turbines, pumps, and piping
548 Power Plant Engineering

systems. The presence of these layers reduces the efficiency of components.

Their removal and surface cleaning increase maintenance costs and plant
outages. Low-quality feedwater can also accelerate corrosion and erosion
processes in system components, which again increase required maintenance
and the frequency of component replacements. Therefore, it is critical to
ensure that the working fluid quality is always within acceptable limits. The
hardness of feedwater can be typically expressed by its electric conductivity
with the unit of microsiemens per centimeter (μS/cm). The required conduc-
tivity of feedwater in a steam generator depends on many factors, including
steam generator type and operating pressure, turbine steam requirements,
and the rate of blowdown. The feedwater quality is more critical for once-
through steam generators than that for drum-type steam generators, because
they do not have a drum to remove dissolved and suspended solids. In
these steam generators, all impurities in the feedwater would be deposited
on tubes’ inner surfaces. Both ASME and Electric Power Research Institute
(EPRI) have guidelines for feedwater and steam chemistry control; however,
the best source of information in this regard is equipment manufacturers.
Some of the feedwater quality factors are dissolved and suspended solids,
dissolved oxygen, pH, and oil content. The control of water chemistry in a
steam power plant can be achieved by many processes in many components
and can be grouped as follows:

• Blowdown in the drum

• Mechanical and chemical deaeration in the deaerator heater
• Chemical control of pH
• Makeup water treatment
• Condensate polishing

The first two items have already been covered. In this section, the remaining
items will be discussed.

7.8.1 Chemical Control of pH
The chemical control of pH can be achieved by adding chemicals, such as
alkalizers including ammonium hydroxide, to the feedwater before the
steam generator. This is commonly referred to as an all-volatile treatment
(AVT). The addition of chemicals is commonly done at the condensate pump
outlet or at the downstream of the CPP (refer to Section 7.8.5). Alternatively,
chemicals, such as certain phosphate compounds, can be added to the drum.
Drum-type steam generators have an option to chooose between adding
chemicals both to the upstream of the steam generator and in the drum or
just to the upstream of the steam generator. However, since once-through
steam generators do not have a drum, the chemicals can only be added to
the upstream of the steam generator. The pH level can be determined by
Condensate-Feedwater Systems 549

measuring pH or conductivity. The latter is more accurate and is preferred

in steam power plant applications. The measurements for the feedwater pH
control are typically taken from the condensate pump outlet and the econo-
mizer inlet flows.

7.8.2 Makeup Water Treatment

In our discussion on deaerator heaters, we learned that makeup water is
added to feedwater in the deaerator. The makeup water should compensate
for the working fluid losses throughout the cycle. These losses can include
the steam generator blowdown, leakage from fittings and sealing, and steam
accompanying noncondensable gases discharged from the condenser and
the deaerator heater. In typical steam power plants, the majority of the feed-
water is composed of recycled condensate. A very small portion of the feed-
water, typically about 1% of the total feedwater flow rate depending on the
system design and its age, is provided by the makeup water. However, for
cogeneration units, when steam is directly used in industrial processes, the
share of makeup water may increase all the way to fully replace the entire
feedwater. To maintain the quality of the feedwater, it is imperative to prop-
erly treat the makeup water.
The most important factor in determining the characteristics of the makeup
water treatment facility is the source of raw water. The availability of a water
source is a critical factor in identifying a site to build a steam power plant in
the feasibility study phase. Water sources can be the city potable water sup-
ply, recovered water from other uses, surface water (such as lake or river),
underground water (from shallow or deep wells), or rainwater. The avail-
able water should be analyzed to determine the range of all its impurities,
including dissolved and suspended solids and gases. Dissolved solids are
primarily composed of various salts of sodium, magnesium, calcium, and
silica oxide as well as some carbonates, bicarbonates, and hydrates. The
required makeup water treatment facility and its specifications depend on
the required makeup water quality and the composition and properties of
raw water. In large utility steam power plants, the water treatment facility
can be so extensive that a building, the water treatment building, typically
adjacent to the boiler room is dedicated to containing all needed equipment.

7.8.3 Makeup Water Treatment Systems

The objective of any makeup water treatment facility is to produce water free
of dissolved and suspended solids. This water is referred to as demineralized
water. Note that the removal of gases takes place later in the deaerator heater.
In this section, we will briefly review the makeup water treatment processes.
First raw water goes through the pre-treatment processes. This starts with the
clarification process where the water is placed in settling tanks, also referred
to as clarifier vessels. In these tanks, coarse suspended solids, such as sand,
550 Power Plant Engineering

mud, dirt, and debris, are separated and deposited by gravity. To remove finer
particles and to accelerate the sedimentation process, special chemicals, such
as iron sulfide, may be added to coagulate particles, which are then deposited.
The water is also chlorinated to kill microorganisms and avoid the biofouling
of system components. The filtration process is another method to remove
suspended solid particles, which is used to supplement the abovementioned
method. Filters with different media have been used for the filtration process.
Sand filters are the most common filters where solid particles in the water are
trapped by the fine pores within a sand bed. These filters are vertical cylin-
drical vessels typically fabricated from carbon steel. In these filters, the water
flow enters the filter at the top and leaves at the bottom. To stop the media
(sand) from being carried away by the exit flow, a strainer or trap is installed
at the exit. As with any other filter, after operating for a long enough time, the
filter will be nearly saturated with captured solids and will not be able to per-
form effectively. With increase in the trapped solid particles, the pressure drop
across the filter increases. To determine how saturated the filter is, the pressure
difference between the inlet and outlet flows of the filter is measured. When
this pressure drop reaches a predetermined value, it is time to clean the filter.
For this purpose, the flow of water is reversed. In this process, known as the
backwashing process, the bed is expanded by the reverse water flow and the
collected solid particles are released, carried away, and discharged to a waste
collection system. At this point, the clean filter is ready to be operated again.
Another type of filter is activated charcoal filters. They are used to remove
microorganisms, organic compounds, and residential chlorine from the previ-
ous stages of water treatment.
The next step is the water softening stage where water hardness is reduced
by removing calcium and magnesium salts. Also, the water alkalinity level
is reduced by removing carbonates and bicarbonates. Some other impurities,
such as silica, are reduced too. Several processes can be used for water soften-
ing, including the lime-soda softening. In the lime-soda softening process,
lime (calcium carbonate, CaCO3) and soda ash (Sodium carbonate, Na2CO3)
are added to the water. They react with abovementioned impurities and form
products that are insoluble in water and are deposited. If the temperature of
the water is near the ambient temperature, the process is called the cold lime-
soda softening. At elevated temperatures, above 100°C, the process is more
effective and is referred to as the hot lime-soda softening. The cold process
is more common in steam power plants. The lime-soda processes are labor
intense and handling of the produced mud (sludge) is a challenge. Other pro-
cesses for water softening are sodium or hydrogen ion exchange. Ion exchange
processes will be explained next for the demineralization process.

7.8.4 Water Demineralization
The next step in the makeup water purification process is the demineral-
ization process where almost all dissolved solids in the water are removed
Condensate-Feedwater Systems 551

and the demineralized water is produced. There are several approaches for
this purpose: ion exchange demineralizers, reverse osmosis units, and
evaporators.

7.8.4.1 Ion Exchange Demineralizers

Ion exchange units are one of the main components of any demineraliza-
tion facility. An ion exchange unit is a vessel that contains resins. Ion
exchange resins are chains of hydrocarbons with some sites where actual
ion exchange agents are attached to the polymer matrix. Resins are white
or yellowish porous beads with diameters less than 1 mm. Based on the
charge of ion exchange agents, there are two types of resins: cation resins
and anion resins. Cation resins have positive charges and anion resins have
negative charges. The types of ions in resins depend on their applications.
For example, the cation and anion resins used for water softening typically
have sodium ions (Na+) and chloride ions (Cl−), respectively. This process is
referred to the sodium ion exchange. However, the cation and anion resins
used for the water demineralization process typically have hydrogen ion
(H+) and hydroxide ion (OH−), respectively. The cation resins can remove
positively charged calcium, magnesium, and sodium ions from the water
by replacing them with hydrogen ions in the resins and releasing H+. For
example, sodium and calcium ions are removed from the water according to
the following reactions:

(H)Re sin + Na+ → (Na)Re sin + H+ (7.2)

2(H)Re sin + Ca++ → (Ca)Re sin + 2H+ (7.3)

Similarly, the anion resins can capture negatively charged ions of chlo-
rides, bicarbonates, sulfates, and silicate by releasing hydroxide ions (OH−).
The cation resins can be either strong-acid cation (SAC) exchange resins or
weak-acid cation (WAC) exchange resins. Similarly, the anion resins can be
either strong-base anion (SBA) exchange resins or weak-base anion (WBA)
exchange resins.
Each type of resins is placed in a vertical vessel to form a resin bed. A cat-
ion ion exchange bed is followed by an anion ion exchange bed. To remove
any remaining dissolved solids from the water, the individual ion exchange
vessels are typically followed by a mixed-bed ion exchange vessel where
both cation and anion resins are simultaneously present (Figure 7.14). A com-
bination of vessels containing WAC, SAC, WBA, and SBA resins, as well as
mixed-bed vessels are used in a typical makeup water demineralization unit
(Figure 7.14).
552 Power Plant Engineering

Raw water

Demineralized
Weak-acid Strong-acid Weak-base Strong-base water
cation cation anion anion Mixed bed

FIGURE 7.14
Schematic of a typical water demineralization plant.

Resins’ capability to bond with ions in water is not unlimited and it is

depleted after capturing a certain amount of ions. Fortunately, the reactions in
both types of resins are reversible and resins can be regenerated to return to
their initial form to be reused. To determine when the resins are exhausted and
need regeneration, the conductivity of the outlet flow is measured. When this
conductivity exceeds a certain limit, it is an indication that resins are not able
to effectively remove dissolved solids and they should be regenerated. For the
regeneration of cation resins, the flow of hydrochloric or sulfuric acid passes
through the bed. For anion resins, caustic soda (sodium hydroxide) flow is used.
Throughout the regeneration process, ions that are removed from the water
by resins are exchanged with the original ions. In mixed-bed ion exchange
units, before regeneration, resins must be separated and are transferred to dif-
ferent vessels. The separation process takes advantage of the different densities
of cation and anion resins. A backwash water flow is used to separate resins
hydraulically. The velocity of the water flow should be selected carefully to
reduce the cross-contamination of resins. A resin regeneration facility should
be equipped with the chemical storage tanks as well as metering pumps and
appropriate piping systems to produce chemicals with proper concentrations.
The facility may have the dedicated vessels to regenerate resins outside of the
ion exchange vessels and the tanks containing fresh resins ready to replace
depleted resins.
Similar to sand-bed filters discussed previously, ion exchange beds can trap
suspended solid particles from the water flow. These particles along with frac-
tured resin beads can reduce the porosity of the bed and increase its pressure
drop. To detect this problem, the pressure difference across the bed is mea-
sured. If the water conductivity exceeds its limits before an excessive pressure
drop is detected, the regeneration process will also physically clean the resins.
Condensate-Feedwater Systems 553

If the pressure drop exceeds its limits earlier, some beds are equipped with an
ultrasonic cleaner to clean the resins by means of a mechanical process.
As noted earlier, resins are made of polymers and as a result, they are very
sensitive to temperature. The high temperature of the water flow can damage
or even melt the resins. Therefore, the water flow is allowed to pass through
ion exchange beds up to a certain temperature limit. The operating tempera-
ture of resins depends on the resin type and is specified by the manufacturer.
It can be as low of 50°C or as high as 130°C.
Typically several demineralizer units operate in parallel with one unit
always in standby. As soon as a unit requires regeneration, the standby unit
replaces that unit. A makeup water purification unit needs many supporting
components, including a tank containing new resins to replace damaged res-
ins, a resin transportation system, and resin traps to avoid resins from being
carried over by the water flow. Also, the discharge flows from the regenera-
tion processes should be neutralized with a balanced pH before being sent to
a wastewater collection and processing unit. All these systems are automati-
cally operated in harmony by a control system.

7.8.4.2 Reverse Osmosis (RO) Units

To understand the reverse osmosis (RO) process, let us first briefly review
the direct osmosis process. This phenomenon happens when two water solu-
tions with different concentrations of dissolved maters are separated by a
semipermeable membrane (Figure 7.15). By its nature, the semipermeable
membrane does not permit dissolved solids to cross and only water can pass
through the membrane. The direction of this water flow is to equalize the
concentration of the water at the two sides of the membrane. This means
the water will flow from the solution with a low concentration to the one
with a high concentration. The osmosis process takes place due to the partial
pressure difference of the water between the two sides of the membrane.
Note that the total pressures of the solutions are equal. This pressure dif-
ference is referred to as the osmotic pressure (Figure 7.15). In essence, the
osmotic pressure is the pressure needed to stop the osmosis process. The
fundamental base for reverse osmosis units is that if we apply a pressure
higher than the osmotic pressure at the opposite direction, the water will
flow from the high concentration solution to the low concentration solution
through the semipermeable membrane. Using this approach, pure water can
be accumulated on one side of the membrane while impurities are collected
on the other side.
Note that in this water purification method the entire raw water cannot be
purified and some water with high concentration of dissolved solids should
be rejected. The inlet water is referred to as the feed. The portion of the feed
that passes through the membrane (purified water) is called permeate. The
water that does not pass through the membrane and is rejected from the sys-
tem is known as the retentate or concentrate. The high rate of the retentate is
554 Power Plant Engineering

Semipermeable
membrane

Pressure

Direction of Direction of
osmotic external
pressure pressure

Osmosis process Reverse

osmosis process

FIGURE 7.15
Schematic of principles of osmosis and reverse osmosis processes.

a major disadvantage of RO systems because a significant portion of the feed

water is wasted as the retentate.
The concept of water purification using reverse osmosis principle has been
known for a while, at least since the 1950s. However, it has only gained popular-
ity in the past couple of decades, mostly due to the affordability and improved
longevity of membranes produced by modern manufacturing methods. An ideal
membrane should be able to handle a high flow rate of water while maintain-
ing the solid crossover at a minimum level. It should also withstand the high-
pressure gradient between its two sides. For this purpose, in many membranes
a thin layer of membrane is placed on a thicker layer of a porous substrate. Most
membranes are currently manufactured from synthetic polymers. Membranes
can be also made of metal plates with very fine pores or microporous ceramic.
Membranes can be arranged in four configurations: plate and frame, tubu-
lar, spiral wound, and hollow. An important factor in selecting the mem-
brane configuration is the ratio of the area of the membrane to the overall size
of the system. The spiral wound configuration is commonly used in utility
applications (Figure 7.16). In this configuration, the membrane is sandwiched
between two supporting porous layers. The membrane sheet is sealed on
three sides and rolled. The membrane is then placed in a cylindrical pressure
vessel in a way that the unsealed edge of the membrane is next to one end of
the vessel. The raw water at high pressure enters the shell side of the vessel.
The permeate passes through the membrane and leaves the system at the
unsealed edge of the membrane either at the side of the feed entrance or on
the opposite side. The retentate is also collected and leaves the system at the
opposite side of the feed entrance (Figure 7.16).
Condensate-Feedwater Systems 555

Retentate
Feed (raw water)

Permeate

FIGURE 7.16
Schematic of a reverse osmosis system with spiral wound configuration.

When saturated by impurities, membranes can be cleaned by automatic

flushing cycles. Membranes in RO units are susceptible to plugging if the feed
water contains suspended solids or living organisms. To protect membranes,
the feed water to RO units should be pretreated. The pre-treatment processes
may include some of the following processes: sand filtration, cartridge filtra-
tion, activated carbon filtration, pH control, water softening, and killing bio-
logical organisms using an ultraviolet lamp. To ensure that all dissolved solids
are removed, usually a mixed bed ion exchange demineralizer is used after
RO units. Finally, the treated makeup water by RO units can be acidic and may
require pH treatment before being added to the feedwater in the deaerator.

7.8.4.3 Evaporators
In some old utility power plants and nuclear-powered ships and submarines,
evaporators are used to produce makeup and drinking water. These units
may use steam from the main steam generator to evaporate water and then
re-condense the generated steam. Alternatively, they may use flash-type
steam generators (refer to Chapter 15).

7.8.4.4 Other Components of Makeup Water Systems

The makeup water system may have other components. The extent of these
components and their specifications varies in different units and depends
on the characteristics of the available raw water source and the power cycle
requirements. If there is uncertainty involved with the availability of raw water,
it can be necessary to have a raw water storage tank along with a raw water
transfer pump. This tank is usually made of carbon steel. Typically there is also
a makeup water storage tank (also referred to as a demineralized water storage
556 Power Plant Engineering

tank). This typically stainless steel tank is commonly located next to the water
treatment building. At downstream of the tank, the demineralized makeup
water pumps are located to send makeup water to the deaerator as needed. This
tank is equipped with level indicator sensors. When the water level is low, the
makeup water treatment facility starts to produce demineralized water.

7.8.5 Condensate Polishing
We know that both feedwater and makeup water are highly purified. While
feedwater can be contaminated by metallic ions from components, generally
the feedwater quality is high enough for many steam power cycles, particularly
those with drum-type steam generators. However, some cycles, such as those
with once-through steam generators or some nuclear reactors, require higher
feedwater quality. In once-through steam generators, feedwater quality is criti-
cal because the entire feedwater evaporates in tubes, with no drum to collect
dissolved solid, and any impurity would end up on the inner surface of tubes.
Moreover, sometimes cooling water leakage in the condenser can contaminate
feedwater to an extent that its quality is not acceptable anymore, particularly if
seawater is directly used as cooling water. In these cases, feedwater itself needs
to be treated. This process is called the condensate polishing process and takes
place in the CPP. Condensate polishing plants are typically equipped with
mixed-bed ion exchange units to remove both dissolved and suspended sol-
ids. As noted previously, ion exchange resins are made of polymers and can be
damaged or melted at high temperatures. Therefore, the placement of the CPP
on the pass of the feedwater and the specifications of resins are very impor-
tant factors to ensure that the feedwater temperature is appropriate for resins.
Also, the vessels must be equipped with a trap or strainer to prevent resin escape
along with the outlet feedwater which can deposit on steam generator tubes
and cause damage. A CPP may be equipped with a cartridge filter to further
remove suspended solids. Depending on the requirements of the power cycle,
either the entire feedwater or a portion of it may be directed to the CPP.

7.9 Questions and Problems

7.9.1 Condensers
7.1. Why cannot the outlet flow of the turbine be directly pumped
back to the steam generator (at least two reasons)?
7.2. You have two options: to increase the pressure of the steam gen-
erator by 3 psia or reduce the pressure of the condenser by 3 psia.
In order to improve the efficiency of the power plant, which one
will be your choice? Why?
Condensate-Feedwater Systems 557

7.3. Explain why the pressure in the condenser is partial vacuum and
how this affects the power output of the turbine.
7.4. Name three types of condensers.
7.5. What are two mechanisms for mixing cooling water and steam in
direct-contact condensers?
7.6. The saturation pressure of water at the condenser temperature is
well above the atmospheric pressure.
a. True
b. False
7.7. Why should barometric condensers be installed at high elevations?
7.8. What is the difference between high-level and low-level baromet-
ric condensers?
7.9. Why is the ratio of the circulating water mass flow rate to the feed-
water mass flow rate very high in direct-contact condensers?
7.10. Why are direct-contact condensers always used along with dry
cooling towers?
7.11. In surface condensers the cooling water flows …….. tubes and the
condensing steam flows ……. tubes.
a. inside – outside
b. outside – inside
7.12. In the following schematic, label the main components.
558 Power Plant Engineering

7.13. What are the functions of the following condenser components?

Where are they located?
a. Tube sheets
b. Hotwell
c. Water boxes
d. Steam dome
e. Perforated impaction plate
f. Baffles
7.14. What were the problems with a uniform and tight tube arrange-
ment in early surface condensers? How are these problems
addressed in modern surface condensers?
7.15. How is the capacity of the hotwell in a condenser determined?
7.16. How can noncondensable gases interrupt the performance of a
condenser if they are not properly removed?
7.17. What are the two equipment in steam power plants where the
deaeration process takes place?

7.9.2 Application of Pumps in Steam Power Plants

7.18. Name types of pumps according to how energy is imparted to the
fluid. Briefly explain each type.
7.19. In which type of pumps, the energy addition to the flow is inter-
mittent where the flow is directly pressurized in a closed space
with moving boundaries?
a. Dynamic pumps
b. Displacement pumps
c. Both dynamic and displacement pumps
7.20. What are the functions of the following pump components?
a. Impellers
b. Diffusers
c. Volute
7.21. Label the parts of a dynamic radial pump in the following
schematic.
Condensate-Feedwater Systems 559

7.22. Explain why, when, and where cavitation takes place in a pump.
Why is it undesirable? Which parameter is used to avoid cavitation?
7.23. What is the specific speed of a pump? Explain how the specific speed
can be used to identify the geometry (shape) of the pump impeller.
7.24. A high value of specific speed indicates that a/an …… pump is
required while a low value indicates a need for a/an …… pump.
a. axial – radial
b. radial – axial
c. radial – radial
d. axial – axial
7.25. Describe what parameters are presented in pump performance
curves? How are they used to size a pump?

7.9.3 Condensate Pumps
7.26. What is a condensate pump?
560 Power Plant Engineering

7.27. Why are condensate pumps vulnerable to cavitation in their inlet?

How can this problem be addressed?
7.28. How can the flow rate of condensate pumps be controlled?
7.29. What is the function of a condensate booster pump?

7.9.4 Feedwater Heaters
7.30. What is the function of feedwater heaters?
7.31. How is steam for feedwater heaters provided?
7.32. Explain how the possibility of backflow of water or steam from
entering the turbine through extraction points is avoided.
7.33. What are the two types of feedwater heaters?
7.34. Where are the locations of high-pressure (HP), intermediate pres-
sure (IP), and low-pressure (LP) feedwater heaters in a steam plant?
7.35. How can baffles improve heat transfer in closed feedwater heat-
ers? What other effects, positive and negative, do they have?
7.36. What are the three sections of closed feedwater heaters? Explain
heat-transfer processes in each section.
7.37. How can the drain from a closed feedwater heater be handled?
Explain both approaches. Compare them in terms of the cycle effi-
ciency and capital cost.
7.38. What is the function of a steam trap? Where is it installed?
7.39. What are the three mechanisms used in steam traps?

7.9.5 Open Feedwater Heaters

7.40. Explain why for each open feedwater heater a pump is needed to
pressurize feedwater.
7.41. In large utility steam power plants, where is an open feedwater
heater typically located? Why?
7.42. List some of the problems that the release of dissolved gases in
feedwater can cause (three problems).
7.43. List five functions of an open feedwater heater.
7.44. What are the three mechanisms for feedwater deaeration? Briefly
describe each mechanism.
7.45. Name three common deaerators and briefly explain how they work.
7.46. What is the function of a feedwater tank?
Condensate-Feedwater Systems 561

7.9.6 Feedwater Pumps

7.47. What is the function of a feedwater pump? Where is it located?

7.48. Why is a feedwater pump susceptible to cavitation?
7.49. Why are some power plants equipped with a steam generator
feedwater booster pump? What is the main characteristic of this
pump?
7.50. How can a feedwater pump be powered?
7.51. In a turbine-driven feedwater pump, how is the exhaust steam
from the turbine handled?

7.9.7 Treatment of Feedwater and Makeup Water

7.52. Why does the quality of feedwater vary throughout a steam cycle?
7.53. Briefly explain the importance of feedwater quality control for
long-term operation of a steam cycle.
7.54. List five feedwater quality control strategies.
7.55. Where can the chemicals to control pH be added to feedwater?
7.56. How and where can the pH level be measured?
7.57. What are some water sources that can be used as makeup water?
7.58. What are three water demineralization technologies?
7.59. What are ion exchange resins? Name two types of resins. How can
they remove dissolved solids from water?
7.60. What is a mixed-bed ion exchange vessel? How does it work?
7.61. Explain the direct osmosis and reverse osmosis phenomenon.
7.62. In the following figure identify which one is an osmosis process.
and which one is a reverse osmosis process. Describe each process.

Pressure

7.63. Name three desirable characteristics of a semipermeable membrane.

7.64. Using the following figure explain how a spiral wound reverse
osmosis system works.
562 Power Plant Engineering

7.65. What is the objective of a condensate polishing plant? Explain why

drum-type steam generators do not typically need it but once-
through steam generators need one.

7.9.8 General
7.66. Name the equipment that immediately follows the open feedwater
heater in a typical steam cycle.
7.67. Explain the objective of jet pumps or steam jet air ejectors (SJAEs)
in a large steam power plant.
7.68. Explain the configuration of the tubes in the following condenser.
Condensate-Feedwater Systems 563

7.69. Why is an extraction pump right after the condenser typically

located deep in a pit in the plant’s floor?
7.70. Explain why the steam outlet from turbine ……….
• is not discharged to the environment.
• is not pumped to the inlet of the steam generator.
7.71. Which plant controls and maintains the quality of the feedwater
in the power plant with a once-through steam generator?
7.72. Which one is correct about closed feedwater heaters?
a. They are shell-and-tube heat exchangers.
b. They usually have U-tube bundles.
c. They can be horizontal or vertical.
d. All of the above.
7.73. List two components that the deaeration process occurs in a large
steam power plant.
7.74. Explain why the rejection of the outlet flow of the turbine to the
environment and using freshwater as the inlet to the steam gen-
erator is not a good idea.
7.75. What are two support mechanisms for surface condensers?
7.76. What are the differences between a makeup water treatment sys-
tem and a condensate polishing plant?
7.77. Name three types of open feedwater heaters.
7.78. What is the function of a condensate polishing plant? When is it
used? Where is it located?
7.79. Explain what happens when resins in an ion exchange unit are
saturated. How can the system performance be restored?
7.80. Why is only one open feedwater heater used in steam power plants?
7.81. What is the difference between a deaerator and an open feedwater
heater?
7.82. Which one is more efficient, an open feedwater heater or a close
feedwater heater? Why?
7.83. Why are feedwater heaters used in steam power plants?
7.84. What is the component that sometimes accompanies an open feed-
water heater (literally)? What is the function of this component?
7.85. Explain what all-volatile treatment (AVT) of water is.
7.86. Where does the deaeration process of feedwater take place?
a. Closed feedwater heater
b. Open feedwater heater
c. Feedwater pump
d. Steam trap
564 Power Plant Engineering

7.87. What are the main sources of steam/water losses in a steam power
plant?
7.88. Due to the large latent heat of water, the magnitude of the cooling
water flow rate at the condenser is enormous.
a. True
b. False
7.89. What are non-condensing steam power plants?
7.90. What are the characteristics of dynamic or displacement pumps?
7.91. In a reverse osmosis water treatment system, what are the follow-
ing flows?
a. Permeate flow
b. Retentate or concentrate flow
c. Feed flow
7.92. Why do we have two types of resins, cation resins and anion
resins?
7.93. Why are in a surface condenser the operating environment of the
tubes more severe than those of the shell?
7.94. What are the main equipment in a water demineralization facility?
7.95. Ion exchange resins are made of polymers and as a result they are
very sensitive to temperature.
a. True
b. False
7.96. Why are condensate pumps typically low rotational speed pumps?
7.97. Why is an open feedwater heater used as a deaerator too?
7.98. A high value of specific speed indicates a …... flow rate and/or
a …… head.
a. high – low
b. high – high
c. low – high
d. low – low
7.99. Describe how a leak-tight connection between condenser tubes
and tube sheets can be created.
Condensate-Feedwater Systems 565

7.100.
Using the following figure explain the principles of reverse osmo-
sis water treatment systems.

Pressure

7.101. What are the required net positive suction head (NPSHR) of a
pump and the available net positive suction head (NPSHA) of an
application? How are they used in the designing/sizing of pumps
to avoid cavitation?
7.102. The poor removal of noncondensable gases negatively impacts the
performance of condensers by …...
a. raising the temperature and pressure of the condensation
process.
b. covering the outer surface of tubes with gas bubbles.
c. raising the concentration of noncondensable gases, which
increases their partial pressure.
d. all of the above.
7.103. What is the difference between multiple-shell condensers and
multiple-pressure condenser?
7.104. What is the function of a condensate or extraction pump and
where is it located?
7.105. What are the sources of dissolved gases in the condensate water?
7.106. Explain how a deaerator can temporarily accommodate fluctua-
tions in the feedwater flow rate.
7.107. How does the jet pump or steam jet air ejector (SJAE) in a large
steam power plant operate?
7.108. How can ion exchange resins be regenerated?
566 Power Plant Engineering

7.109. List at least three mechanisms of heat transfer in a condenser.

7.110. What is the difference between high-pressure (HP) and low-
pressure (LP) feedwater heaters? Where are they located?
7.111. List at least three components of the condensate-feedwater system.
7.112. What is the source of the steam required for feedwater heaters
(which equipment)?
7.113. What are the sources of noncondensable gases in steam in the
condenser?
7.114. In a surface condenser, the cooling water is ……. tubes and con-
densing steam is …….. tubes (inside or outside).
7.115. How is the temperature of an open feedwater heater determined
(thermodynamically)?
7.116. Why is the flow of steam radial (the steam flows from all sides of
the tube-nest to the center) in modern condensers?
7.117. List two types of feedwater heaters. Which type works as a deaera-
tor as well as a feedwater heater?
7.118. Name some of the most important pumps used in a typical steam
power plant.
7.119. In a steam power plant equipped with feedwater heaters, the inlet
feedwater to the steam generator is saturated liquid and an econo-
mizer is no longer needed.
a. True
b. False
7.120. Why do not some cogeneration or combined heat and power (CHP)
plants need the condensation process?
7.121. Explain why an open feedwater heater is an ideal site for the
deaeration process.
7.122. W hat is the main difference between open and closed feedwater
heaters in terms of the number of pumps required in the cycle?
7.123. What is the function of a boiler feedwater pump and where is it
located?
7.124. What are the main components of a water pre-treatment facility?
7.125. In which type of pumps, the energy addition to the flow is con-
tinuous and the pressure of the flow is increased indirectly?
a. Dynamic pumps
b. Displacement pumps
c. Both dynamic and displacement pumps
7.126. Explain how radial flow condensers work.
Condensate-Feedwater Systems 567

7.127. Why are condensate pumps typically located under the condenser
below the floor of the turbine hall?
7.128. Which statement is not correct about surface condensers?
a. In surface condensers there is a direct mixing of the spent
steam flow and the cooling water flow.
b. Surface condensers are typically shell-and-tube heat exchangers.
c.
In surface condensers the cooling water flows inside tubes and
the condensing steam flows outside tubes.
d. In surface condensers the cooling water can be either from nat-
ural or human-made bodies of water, such as a river, ocean,
lake, or pond, or cooling tower.
7.129. Explain why low-level barometric condensers do not need to be
installed at a high elevation?
7.130. Explain why typically there is only one open feedwater heater in a
steam power plant.
7.131. Explain two important functions of the condenser.
7.132. What are the two main functions of an open feedwater heater?
7.133. What is the net positive suction head (NPSH) of a pump? How is it
used in the designing/sizing of pumps to avoid cavitation?
7.134. In surface condensers, why are water boxes typically partitioned?
7.135. Which statement is not accurate about the function of condensers?
a. The condenser’s main function is to condense the saturated
mixture of steam and water leaving the turbine and to recover
highly treated high-value feedwater and recycle it back to the
cycle.
b. If the temperature of the cooling water is low enough, which
is commonly the case, the low saturation pressure provides a
backpressure that is lower than the atmospheric pressure for
the turbine to exhaust to.
c.
Providing a high backpressure for the turbine can significantly
improve the output work in the turbine and its efficiency.
d. Condensers are where noncondensable gases are removed
from the condensate water.
e. Condensate drains from various sources, such as feedwater
heaters, the turbine driving the feedwater pump, and ejectors,
are collected in the condenser.
7.136.
In a steam power generation plant, what are the two advantages of
using the condenser instead of discharging the low-pressure steam
exhausted from the low-pressure steam turbine to the environment?
568 Power Plant Engineering

7.137. What is the function of a pump?

7.138. What is the objective of the hotwell in a condenser?
7.139. What type of condenser is more common in utility steam power
plants?
a. Direct-contact condenser
b. Surface condenser
8
Cooling Systems (Circulating Water Systems)

Abstract
In this chapter, we will take a look at the last process in steam power
plants. We will learn how low-temperature heat extracted from steam
during the condensation process in a condenser is eventually trans-
ferred to the environment. We will start with once-through cooling
systems and their components. We will investigate how these systems
can harm the environment, and why despite being the most effective
of all cooling systems, they are the least employed in new steam power
plants. We will then discuss wet (evaporative) cooling towers. Due to
their popularity, we will extensively cover various types of wet cooling
towers and their related components with particular attention to natural
draft and mechanical draft cooling towers. Finally, we will discuss about
dry cooling towers and some hybrid cooling systems. We will conclude
with a brief discussion on why dealing with the environmental impacts
of these systems is complicated, and there is no simple straightforward
solution.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• compare and contrast various cooling systems to remove low-

temperature thermal energy from a condenser and discharge the
heat to the environment
• explain once-through cooling systems, their components, and envi-
ronmental impacts
• describe wet (evaporative) cooling towers and their components
• express operational principles of various mechanical draft and
natural draft cooling towers
• explain dry cooling towers and various hybrid cooling systems
• describe inherent complexities of dealing with environmental effects
of cooling systems

569
570 Power Plant Engineering

8.1 Introduction
In Chapter 7, we learned that a condenser is where the low-temperature heat
is removed from the working fluid. We discussed that this heat is typically
transferred to the cooling water, which flows inside the condenser tubes.
Also, it was discussed that how reducing the temperature and pressure of
the condenser can improve the efficiency of a steam power plant. In this
chapter, we will learn how this heat is eventually transferred to the environ-
ment. This system is typically referred to as the circulating water system.
The naming might be somewhat confusing and should not be mistaken for
the working fluid that is repeatedly circulated around the main cycle. Also,
not all steam power plants have a separate cooling water loop. As we will dis-
cuss later, some power plants directly condense steam without a circulating
water system. That is why the main title for this chapter is “cooling systems”
rather than “circulating water systems”.
The function of a steam cycle cooling system and a circulating water sys-
tem is to provide cooling for the condenser at the lowest possible temperature
and to discharge the extracted heat from the condenser to the environment
while meeting all relevant environmental regulations. Generally speaking,
the heat rejection to the environment can be achieved by means of the follow-
ing different approaches:

• once-through circulating water systems

• closed circulating water systems – wet cooling towers
• combined once-through and wet cooling towers
• closed circulating water systems – dry cooling towers
• hybrid wet and dry cooling towers

In once-through circulating water systems, as the name implies, the cool-

ing water is withdrawn from a natural body of water such as ocean, river, or
lake. This water is circulated through the condenser and absorbs the latent
heat of the exhaust steam flow from the turbine. The heated water is then
returned to the original source of water at a higher temperature than that
when it was withdrawn. While this approach can typically provide the low-
est temperature possible in the condenser, it can cause substantial damages
to the environment. In many countries, new power plants are moving away
from this approach.
In closed circulating water systems, the cooling water exiting the con-
denser is cooled down in a cooling tower and is returned to the condenser.
This type of circulating water system is the most popular system in util-
ity steam power plants. The cooling tower in closed systems can be wet or
Cooling Systems 571

dry. A particular case for dry systems is air-cooled condensers. As the name
implies, air-cooled condensers are systems where the condenser and the
cooling tower are combined and the latent heat of the condensing steam is
directly discharged to the environment with no intermediate cooling water.
In a combined system, the once-through cooling system is assisted or at cer-
tain periods is replaced by a cooling tower.

8.2 Once-Through Circulating Water Systems

In this cooling system, the power plant is built near a sea, ocean, large river,
large lake, or aquifer. The water source can be freshwater or saltwater. A large
amount of water is taken from the water source and is pumped through a sur-
face condenser. The temperature of the cooling water increases due to the tur-
bine exhaust steam condensation. Then, almost the same amount of water is
returned to the source at a few degrees Celsius higher temperature. Among all
cooling systems, once-through circulating water systems, also known as direct
cooling systems, are the simplest, least expensive, and most effective in mini-
mizing the condenser temperature. These advantages made this type of cooling
system very popular in older power plants. Until the 1970s, a majority of steam
power plants used a once-through cooling system.1 However, these systems can
severely damage local ecosystems on various levels. Fish, shellfish, and other
relatively large marine life can be captured and killed by being trapped in fish
screens in their intake structures. Microorganisms, fish eggs, fish larvae, and
smaller marine life that can pass through screens can be hurt or killed by chem-
icals added to clean cooling water or by thermal shock within the condenser
due to a sudden temperature change. They can also be physically hurt going
through equipment, particularly pumps. Furthermore, increasing the tempera-
ture of water in the source can degrade an entire local ecosystem by reducing
the oxygen dissolved in water (for more on the relationship between the oxygen
level in water and its temperature refer to Section 7.6). The higher temperature
of water can also alter marine life behaviors, including their growth rates and
reproduction patterns, particularly for cold-blooded living things since their
body temperature depends on water temperature. Moreover, it has become
increasingly more difficult to find suitable sites near natural bodies of water to
build power plants. Finally, climatic changes due to global climate change make
many power plants equipped with once-through cooling systems vulnerable to
water shortage due to short-term and long-term draught.

1 https://www.eia.gov/todayinenergy/detail.php?id=14971.
572 Power Plant Engineering

In the U.S., the Clean Water Act 2 is to regulate water pollutions and protect
water resources. Section 316 of the act regulates water thermal pollution and
intake structures of cooling water. The latest addition to the law is Section
316(b) that became law in 2014 and states that “the location, design, construc-
tion, and capacity of cooling water intake structures (CWIS) at regulated
facilities …. [must] reflect the best technology available (BTA) for minimizing
adverse environmental impact”.3
Due to all the above-mentioned problems and the regulatory requirements,
in the U.S. new power plants rarely use once-through cooling systems and
some existing power plants have moved to replace their once-through sys-
tems with other alternatives.

8.2.1 Components of Once-Through Systems

The first part of a once-through cooling water system is the intake struc-
ture where water is extracted from a natural body of water. We know that
the density of water is at its maximum at the temperature of 4°C and with
temperature increase water density reduces. This means the higher tempera-
ture water stays on the surface and the deeper we go, the water temperature
deceases. As a result, the water intake structure, which is typically made of
reinforced concrete, is designed to withdraw inlet water from the bottom of
the water source usually by means of a curtain wall (Figure 8.1). The configu-
ration of the structure and its design heavily depend on the site. Shoreline
structures should be able to withstand possible local storms. The intake is
always equipped with a screening system to intercept debris from the inlet
water flow and stop them from entering the system. This mechanism typi-
cally includes a bar rack and a rotating screen.
The vertical bar rack is to remove large debris. It is equipped with a travers-
ing trash rake to clear its pass from debris (Figure 8.1). The vertical rotating
(or traveling) screen is a continuously linked metal mesh frame that loops
around two rollers at the top and bottom. At any given time, a certain num-
ber of panels are exposed to the cooling water flow. After they catch certain

2 The Federal Water Pollution Control Act (FWPCA), typically referred to as the Clean Water
Act (CWA), was first enacted in 1948 as the first major law to protect water resources. But what
we know today as the foundations of the current CWA was passed in the U.S. Congress in
1972. At the time about 70% of the nation’s bodies of water were unsafe for swimming or fish-
ing. The act passed the House by a vote of 366 to 11. The vote in the Senate was unanimously
and all 74 Senators voted to approve it. President Richard Nixon vetoed the act on the ground
that it is too expensive (the act came with a $24 billion price tag!). In an excellent example of
bipartisanship, in a matter of few hours both the Senate and the house overrode the presi-
dent’s veto making the act the law of the land (in the Senate the vote was 52 to 12 and in the
House the vote was 247 to 23). The U.S. Environmental Protection Agency (EPA) is in charge
of implementing, enforcing, and revising/updating the act (to read more on the history of
this act, refer to https://waterkeeper.org/news/bipartisan-beginnings-of-clean-water-act/).
3 https://www.federalregister.gov/documents/2014/08/15/2014-12164/national-pollutant-

discharge-elimination-system-final-regulations-to-establish-requirements-for.
Cooling Systems 573

Rotating Driving
screen motor Bar rack
Curtain wall

Natural
To circulating body of
water pump water

Intake
channel

FIGURE 8.1
Schematic of an intake structure to a once-through circulating water system.

amount of debris (determined by the pressure drop across the screens), the
motor-driven roller rotates to bring clean screens in front of the inlet water.
Alternatively, they can run slowly and continuously. The screens already
covered with debris are backwashed to clean them up. A dedicated screen-
wash pump(s) provides water needed for this purpose. While these screens
are typically equipped with a fish collection system, inevitably some fish are
trapped and die in the system. Considering the size of these meshes, typically
about 1 cm (about 0.4 in), small organisms can easily pass through screens.
They are designed to only remove pieces that can clog condenser tubes.
After the screening process, the cooling water free from relatively large
debris is fed to a series of parallel water pumps through intake channels.
These motor-driven pumps have a relatively low head and high flow rate.
They are typically single-stage vertical centrifugal pumps. The outlets of the
pumps are combined in a single flow and are sent the condenser through
a large diameter conduit (as large as 2 m diameter, about 6 ft). The cooling
water enters the condenser via its inlet water box and is distributed among
condenser tubes. Since a large increase in the cooling water temperature
is undesirable (and usually restricted by environmental regulations), the
condenser in power plants with a once-through cooling system is typically
single-pass. The cooling water picks up the thermal energy released by the
condensing steam in the condenser shell side and leaves the condenser at a
higher temperature by about 5°C–15°C (about 10°F–30°F). The heated water
is returned to the original body of water downstream of the extraction point
via a discharge tunnel. In order to avoid local hot spots, the returned water
should be properly distributed and mixed with the water within the reser-
voir. Depending on the specific conditions of the water source, mostly dic-
tated by environmental requirements, the returned water may be distributed
by means of long pipes equipped with nozzles on the water surface or sub-
merged in the water. The thermal energy of the returned water is dissipated
by mixing with water in the source or by surface evaporation.
574 Power Plant Engineering

If the inlet cooling water has a high concentration of microorganisms, some

chemicals are added to avoid the growth of these organisms on the surfaces
of components. Finally, it should be noted that the materials that components
are made of are heavily dependent on the inlet cooling water quality. For
example, due to the corrosiveness of seawater, all components dealing with
this water should be made up of materials that can withstand the salinity of
the water.

8.2.2 Cooling Ponds and Lakes

An alternative for once-through cooling systems that to some degree can
avoid their environmental consequences is using artificially made bodies of
water. In the simplest form, hot water can be just discharged to a manmade
lake where its temperature is reduced by heat transfers to the environment
by means of natural evaporation, convection (by wind), or radiation (to the
sky). Cold water is then pumped back to the condenser. This cooling process
requires no mechanical components (other than a makeup water pump). Due
to the slow nature of heat-transfer processes, a large lake is needed to provide
a large enough heat-transfer area and a long water residence time. In some
designs, water is directed to a series of canals where water slowly moves and
its temperature reduces. To assist heat transfer and to accelerate the cool-
ing process, water can be sprayed into air by nozzles to form water drop-
lets to increase the surface area. The efficiency of the cooling process can be
increased by making finer droplets; however, this increases the carryover of
water droplets by wind (drift). While these systems require more equipment,
they can substantially increase the heat-transfer rate and thus reduce the area
required for the lake. The lake in these systems can be used for a secondary
utilization, for example as a recreational facility. An example of this type of
power plants is 1600 MW Mount Storm Power Plant in Grant County, West
Virginia with a 4.9 km2 (1,200 acres) cooling lake (Figure 8.2).

8.3 Closed Circulating Water Systems – Wet Cooling Towers

In closed (or closed-loop) circulating water systems, the heated cooling water
in the condenser is cooled down in a cooling device before being returned to
the condenser. The cooling device is typically a cooling tower. Closed-loop
cooling towers can be dry-type, wet-type, or some combination of two types.
Furthermore, a once-through cooling system can be combined with a cooling
device. In this section and next we will review all these systems.
As the name implies, in this type of cooling tower, the cooling process of
circulating water is achieved by bringing the water into intimate contact with
ambient air. These cooling towers are also known as evaporating cooling
Cooling Systems 575

FIGURE 8.2
Mount Storm Power Plant in Grant County, West Virginia. (By Raeky – Own work, Public
Domain, https://commons.wikimedia.org/w/index.php?curid=3658660.)

towers. Similar to once-through cooling systems, evaporative closed-loop cir-

culating water systems are always used with surface condensers. Generally
speaking, regardless of its type in a typical wet cooling tower, hot water
from a condenser enters the tower. The water is distributed uniformly over a
medium, called the fill, which facilitates the mixing of air and water (Figure
8.3). The hot water falls by gravity through the fill. In the fill, the air flow
and the hot water are intimately mixed and the water temperature reduces.
The primary heat-transfer mechanism in these cooling towers is the evapo-
ration of a portion of the circulating cooling water. The latent heat of the
evaporated water is provided by lowering the temperature of the remaining
circulating water. The share of this heat-transfer mechanism from the total
heat transfer depends on the ambient air humidity. If the temperature of the
ambient air is lower than that of the inlet circulating water, sensible heat
transfer from the cooling water to the air also assists the cooling process. The
share of this secondary heat-transfer process depends on the temperature
difference between the circulating water and the ambient air and can be up
to 40% of the total heat transfer. The cold water is collected at the bottom of
the tower, which can be pumped back to the condenser. On the other hand,
the ambient air enters the side of the tower through louvers and mixes with
hot water throughout the fill. The air then leaves at the top of the tower. So in
wet cooling towers the air at the ambient temperature and humidity enters
the tower and the hotter and more humid air leaves the tower (Figure 8.3).
576 Power Plant Engineering

Generator
Steam turbine
Drift
eliminator
Hot humid air out
Water
distribution
system
Hot water
Water flow
Condenser
Fills

Air flow
To condensate
pump
Ambient
air in

Louvers Makeup
water
Cold
water out
Cold water collection
basin

FIGURE 8.3
Schematic of a counterflow wet cooling tower.

While wet cooling towers certainly do not need nearly as much water
extraction from a natural body of water as once-through systems need, still
a natural source of water is needed to provide the makeup water to com-
pensate for water evaporation. Furthermore, while in once-through systems
almost the entire extracted water is returned to the source, albeit at a higher
temperature, in evaporative systems some water is lost during the evapora-
tion process and cannot be returned to the source.
Wet cooling towers are more costly, both initial and operation costs.
However, due to the reasons explained in the previous section, most new
steam power plants of all types use these cooling systems. In the U.S., they
have been the dominant cooling system since the 1980s.

8.3.1 Water Flow-Related Components in Wet Cooling Towers

In this section, the components of wet cooling towers that are needed in the
cooling water circuit will be discussed.

8.3.1.1 Water Transportation and Distribution System

First, the hot water exiting the condenser must be transferred to the cooling
tower via a piping system. The specifications of the piping system depend on
the type of the tower, the layout of the site, and the ground topography at the
site. The piping system can be elevated or buried. Buried piping systems are
Cooling Systems 577

protected from elements that substantially reduce piping loadings, thermal

expansions, and freezing problems. On the contrary, elevated piping systems
are easier and less expensive to install and repair.
At the tower, the hot water should be elevated by a riser to the roof of the
tower or a high enough level that it can be distributed over the fill. This can
be achieved by a single or double riser. A double riser includes two risers for
the easier distribution of the incoming hot water flow. For rectangular towers,
the risers are typically located at the two ends of the structure. The risers can
be external pipes or internal concrete channels. The hot water can be delivered
to either open or closed hot water distribution basins (Figure 8.4a) or a water
distribution piping system (Figure 8.4b). In the former system, commonly used
in crossflow towers (discussed below), the water is evenly distributed over the
fill through metering orifices by gravity. In the latter, typically used in counter-
flow towers, a network of pipes delivers the hot water to distribution headers
and eventually to spray nozzles. These nozzles shower the water over the fill
(Figure 8.4c). While cast iron, steel, redwood stave, or concrete pipes can be used
in the system, fiber-reinforced plastic pipes are more common.

8.3.1.2 Fill bank
A fill bank is critical components in the performance of wet cooling towers as
it is the site where the hot water from the condenser and the air flow interact
and heat and mass transfers take place. While there are some cooling towers
with no fill where the water is directly spayed into the air flow for non-power
plant applications, all cooling towers for utility power plants are typically
equipped with the fill. A well-designed fill should be able to maximize the
contact surface area and contact time between the water and air flows while
minimizing the air pressure drop. Depending upon the relative direction
of the water and air flows, a fill bank (and generally cooling towers) can be
crossflow or counterflow. In both types, the water flow is vertical and down-
ward. In the counterflow configuration, the air flow is vertical and upward at
the opposite direction to the water flow (Figure 8.3). In the crossflow configu-
ration however the air flow is horizontal (perpendicular to the water flow)
(Figure 8.5).
There are two categories of the fill: the film type and the splash type.
The film-type fill creates a large air and water contact surface by forming
vertical sheets of water (Figure 8.6). This type of the fill is more effective in
cooling the water. As a result, it can generate the same amount of cooling
in a smaller volume compared to other types. The fill is made of vertical
surfaces that water can adhere to. Due to its high resistance to corrosion
and fouling, high strength, lightness, fire resistance, and formability, PVC
(polyvinyl chloride) is the dominant material to make the film-type fill
(Figure 8.6). This type of the fill is susceptible and sensitive to uneven dis-
tribution of air and water flows, hence may not be suitable when the cooling
water is contaminated.
578 Power Plant Engineering

Hot water from

condenser

Open
Metering basin
orifices
(a)

Distribution header

Nozzles

Riser

(b)

(c)

FIGURE 8.4
Hot water distribution systems in a wet cooling tower: (a) schematic of a gravity d istribution
system, (b) schematic of a spray distribution system, (c) an actual spray water distribution sys-
tem. (By Jan Beránek – Own work, CC BY-SA 4.0, https://commons.wikimedia.org/w/index.
php?curid=79463485.)
Cooling Systems 579

Water Water
basin basin

Hot water
from condenser

Louvers
Air
flow

Drift
eliminators
Water
flow

Cold water to
condenser

Collection
basin
Fill banks

FIGURE 8.5
Schematic of a counterflow wet cooling tower.

In the splash-type fill, the large contact surface area is formed by breaking
up the hot water flow into small droplets (Figure 8.7). To create this effect,
the splash fill is composed of horizontal parallel bars, called splash bars, at
different levels. The hot water vertically cascades through these bars under
gravity and splashes into pieces within the air flow. The mass and heat trans-
fers take place between the air flow and water droplets as well as between
the air and bars’ wet surfaces. The splash fill has a low air pressure drop,
needs a low water head, and is not susceptible to blockage. However, it is
very sensitive to bars’ alignments. A slightest slope or sagging in the bars
can interrupt the splashing process. The most common material for bars is
reinforced plastic or plastic-coated metals. However, bars made of treated
redwood, stainless steel, or aluminum are also being used.
Theoretically, both types of the fill can be used for counterflow and
crossflow cooling towers. However, in practice, crossflow cooling towers are
most commonly used with the film type while counterflow cooling towers
can use both types. Generally speaking, counterflow cooling towers are more
efficient. Both types are commonly used in utility steam power plants.
580 Power Plant Engineering

FIGURE 8.6
Film-type fill along with the water distribution system and water nozzles in a cooling tower
for a steam power plant. (By Juhan Harm – originally posted to Flickr as Iru EJ, #4, CC BY 2.0,
https://commons.wikimedia.org/w/index.php?curid=9485786.)

Hot water in

Air flow

Cold water out

FIGURE 8.7
Schematic of a splash-type fill.

8.3.1.3 Cold Water Basin

After passing through the fill, the now cold circulating water is collected
at the cold water basin at the bottom of the tower. This concrete basin has
several other functions. One of these functions is to feed the cold water to
the circulating water pump inlet so that the water can be pumped back to
Cooling Systems 581

the condenser. A screen is placed at the outlet from the basin to stop debris
from entering the pumps. The basin also forms the main foundation of the
tower structure. Moreover, the basin functions as the site for a temporary
circulating water storage. The basin size is determined in a way that it can
store the sufficient water for a few hours of system operation if the flow of
makeup water is interrupted. Also, the basin should be able to accommodate
water flow fluctuations during transient operations. When the cooling tower
is shutdown, the entire circulating water in the system as well as possibly the
back flow of the circulation water pumps is accumulated in the basin, so it
should be large enough to accommodate all these flows. Furthermore, typi-
cally water needed for the fire protection system of the power plant is taken
from the basin and it acts as the water storage tank for the purpose.
When water and air interact in the fill, the circulating water washes out
fine solid particulates in the air. These materials are settled at the bottom of
the basin and should be continuously or periodically removed. For this pur-
pose, some basins are equipped with a concrete sump pit with a dedicated silt
removal pump. Some chemical agents can be added to accelerate this process.
Other chemicals may also be added to control corrosion and the growth of
algae and slime. The amount of chemical addition should be carefully moni-
tored because excessive chemicals in the water can evaporate and negatively
impact the surrounding environment, particularly local vegetation.
The basin is equipped with a blowdown (or bleeding) outlet. The reason
why we need blowdown in an evaporative cooling tower is exactly the same
as why we need it in a steam generator drum. When circulating water evapo-
rates in a tower, it leaves most suspended and dissolved solids behind. These
solids are accumulated in the basin and if not treated, they can reach an
unacceptable level. The blowdown flow may require appropriate treatments
before it can be released to the environment.
The basin is where circulating water makeup is added to compensate for all
water losses. These losses are primarily from water evaporation (about 1%–3%
of the total circulating water flow rate), blowdown (about 0.2%), and water drift
(about 0.001%) (we will talk about the last one in the next section). The flow rate
of the makeup water is controlled by a water level sensor, typically a float switch
and an electric probe. The basin is also equipped with connections for overflow,
drain, cleanout drain, and quick-fill. There is also a bypass pipe to send the hot
circulating water returning from the condenser directly to the basin. This line
is used in very cold conditions to reduce ice formation in the tower.

8.3.2 Air Flow-Related Components in Wet Cooling Towers

So far we have learned about the flow of circulating water in a cooling tower
and the related components. In this section, we will consider the air flow
through a cooling tower and its components. The first thing that we need to
explain and can impact all other components is how the air flow is driven
through a wet cooling tower. In this regard, cooling towers can be mechanical
582 Power Plant Engineering

draft, natural draft, or hybrid draft. In mechanical draft cooling towers,

the pressure drop of the air flow through the cooling tower is compensated
by fans. In natural draft cooling towers, the driving force for the air flow is
provided by the density difference between hot moist air inside the cooling
tower and outside ambient air. In hybrid draft cooling towers, a combination
of these two approaches is used to provide the air flow through the tower.

8.3.2.1 Mechanical Draft Cooling Towers

Historically, mechanical draft cooling towers were the workhorse of steam
power plants for many decades (until the commercial introduction of hyper-
bolic natural draft cooling towers which will be covered next). In these cooling
towers, a single fan or more often several fans provide the driving force needed
to move the required volume of air through the tower. Compared to natural
draft cooling towers, mechanical draft cooling towers are typically more com-
pact with a smaller footprint and hence less land requirements. They also have
less initial and construction costs. Since the driving force is provided by a
controllable external source independent of ambient conditions, these cooling
towers are less sensitive to changes in ambient conditions. However, running
the fans consumes a huge amount of power and they require frequent mainte-
nance, which mean a very high operating cost. Fans are also very noisy.
Depending on the location of the fans, mechanical draft cooling towers can
be forced draft or induced draft. In forced draft (FD) cooling towers, fans
(known as FD fans) are located upstream of the cooling tower where they
blow the ambient air flow through the tower (Figure 8.8a). These towers can
suffer from several inherent problems. In these cooling towers, air velocity in
the inlet is much higher than that of the outlet. This can create a low-pressure

Air
flow out

Hot water Hot water

in in

Water
flow

Air flow in
Cold water Cold water
out (a) (b) out

FIGURE 8.8
Schematic of forced draft (a) and induced draft (b) cooling towers.
Cooling Systems 583

zone in the inlet that can draw the moist outlet air back into the tower. This air
recirculation can severely deteriorate the thermal performance of the tower. It
is also challenging to achieve a uniform air distribution in these towers. Since
these towers operate at pressures slightly higher than the atmospheric pres-
sure, the air can leak from the tower before fully participating in the cooling
process, which can increase the load of the fans. Finally, in cold ambient con-
ditions, since the fans are located in the inlet cold flow, they are prone to icing
when the inlet air is moist (either natural moisture or moisture in the recycled
air). However, since the fans operate with dry and relatively cold air (com-
pared to the outlet air flow from the tower), they consume less power (recall
that the required power is directly proportional to the air specific volume and
cold air has a lower specific volume) and require less maintenance.
In induced draft (ID) cooling towers, fans (known as ID fans) are installed
on the top of the tower and draw the air flow through the tower (Figure 8.8b).
The air flow enters at the lower sides of the tower. In these towers, since the
outlet air velocity is several times higher than the inlet air velocity, the air
recirculation is unlikely to happen. In these towers, the pressure of the air
inside the tower is slightly lower than the atmospheric pressure, so air leak-
age from the tower is not a problem. Also, since the fans are installed on the
exiting hot air stream, the fans are protected from icing and the air distribu-
tion is more uniform than that in FD towers. However, since the fans are
working with the hot humid air flow, they consume more power and require
more frequent maintenance (Figure 8.8b). Regardless of these drawbacks,
a large majority of steam power plants that are equipped with mechanical
draft cooling towers use induced draft fans (Figure 8.9).

FIGURE 8.9

An induced draft cooling tower. (By Cenk Endustri – Own work, CC BY-SA 3.0, https://
commons.wikimedia.org/w/index.php?curid=16049857.)
584 Power Plant Engineering

8.3.2.2 Components of Induced Draft Cooling Towers (Air Flow)

The water flow-related components of induced draft cooling towers were dis-
cussed in the previous sections. In this section, we will focus on the air flow-
related components of these cooling towers. The air flow enters the cooling
tower horizontally at its sides. If the air flow enters the tower from both sides
through a fill bank on each side, it is called the double-flow tower. Sometimes
one side is too close to an obstacle, such as a building, to allow free air flow.
In these cases, a single-flow cooling tower is used.
In many designs, the air flow enters the tower through louvers. Louvers
are closely spaced horizontal slates sloped downward at the side of the tower
(Figure 8.8b). Their function is to retain the water inside the tower and avoid
water droplets splashing out of the tower. All splash-type cooling towers are
equipped with louvers while film-type fill banks may or may not have lou-
vers. The air flow then passes through the fill banks.
Right above the fill bank in counterflow towers and next to the side of the
fill bank in crossflow towers, there are drift eliminators. The function of
these drift eliminators is to remove tiny unevaporated water droplets carried
by the air flow from the fill. If uncaptured, these droplets (known as drift)
escape the tower without contributing to the cooling process within the tower
and reduce the effectiveness of the tower. Moreover, they can not only cre-
ate plume over the tower but also land on nearby structures and make them
wet. In some cases, such as when drift is deposited on power lines, it can
create operational hazard. In winter weather they can form excessive icing
problems. To remove drift from the air exiting the fill bank, drift eliminators
are designed to impose one or a few sudden changes in the air flow direction
(called passes) (Figures 8.3 and 8.5). While the air and vapor flows can easily
follow the directional changes created by the drift eliminator passes, heavier
water droplets, due to their greater momentum, cannot follow the pattern
and impinge on the surfaces of the drift eliminator. The separated water is
then returned to the tower. Drift eliminators can be made of the similar mate-
rial as that of the fill, commonly a variety of plastics. They can be installed
separate from the fill or they can be integrated into the fill. The design of
both louvers and drift eliminators should be in a way that they can provide
the desirable functionalities while keeping air pressure drops at as low as
possible. Modern drift eliminators can remove the great majority of the drift
from the exiting air flow, allowing very little amount of water droplets, as low
as 0.001% of the total circulating water flow rate, leaving the tower.
In induced draft cooling towers for utility steam power plants, typically sev-
eral fans are installed on the roof of the tower. Since these fans should han-
dle a high volume of air at a low-pressure head, in a majority of towers large
multiblade propellers are used. These fans can have blades with the radius of
0.3–5 m (about 1–15 ft). In essence, they are the larger version of ceiling fans.
They are exposed to the hot humid and corrosive air flow leaving the tower.
To tolerate this challenging environment, the fans used in cooling towers are
Cooling Systems 585

custom designed for this particular application. While cast aluminum has
been the most common material for the blades (and are still being used), other
materials, such as fiberglass, plastic, and stainless steel, are also being used.
These fans are driven by electric motors. Their rotational speed depends
on their blade length (larger fans turn slower). To achieve the desired rota-
tional speed, a speed reduction is needed on the power transmission sys-
tem between the motor shaft and the fan shaft. Some units use a single
speed motor to drive the fans. In this case, regardless of the ambient con-
ditions and load, the same volumetric flow rate is drawn from the tower.
This means at part-load operations or low ambient temperatures, the fans
provide more volumetric air flow than what is really needed, which can
unnecessarily increase power consumption in the motors. There are several
strategies to regulate the air flow rate through the fans. Some cooling tow-
ers use multiple-speed (typically two-speed) motors (again similar to ceiling
fans). For example, the fans can operate at high speed during the day but at
night, when typically both the load and the ambient temperature are low,
they can be switched to low-speed operation. The fan operation at low speed
also reduces the noise level, which can be particularly problematic during
night. Some units are equipped with variable speed motors to accurately
control the air flow based on the need and to minimize power consumption.
Furthermore, in some cases fans with adjustable pitch blades are used alone
or in combination with two-speed motors. The ability to control the air flow
rate is also important for icing control in cold weather. Since ice formation
depends on the air flow rate, it can be reduced to address the icing problem.
Typically, the fans are installed inside a fan cylinder made of fiber-reinforced
plastic to provide a smoother air flow pattern with less noise as well as for
personnel protection. If the height of the cylinder is not high enough, a fan
guard may be required. The proper selection of the cylinder height can help
to reduce the possibility of air recirculation. To transfer fan loads to the tower
structure, the fans are installed on a fan deck.
The typically concrete structure of cooling towers must be able to withstand
a variety of heavy loads. The casing of cooling towers is designed to enclose
the tower and keep water within the tower and reduce water drift. The cas-
ing is typically made of corrugated steel or reinforced plastic plates. These
plates are overlapping and are sealed to avoid air and water leakage. The side
air entry plenums are integrated into the casing. Note that not all cooling
towers have a casing. The structure should be equipped with access ladders
or stairways, safety handrails, and access doors to internal components.
Typically, induced draft cooling towers are designed and manufactured
in single units or cells. For utility power plants, several cells are combined
to form a single multicell tower. The cells can be arranged in a rectilinear,
rectangular, round, or octagonal configuration. Typically, these cooling tow-
ers are field erected. The configuration, orientation, and site layout should
be selected carefully to minimize the air recirculation phenomenon and/or
the interference of other local thermal sources, such as other cooling towers
586 Power Plant Engineering

or stacks, on the performance of the tower. The local wind speed and its
direction as well as local topography must be taken into consideration in the
process of the system site placement.

8.3.2.3 Natural Draft Cooling Towers

As the name implies, in natural draft cooling towers there is no mechanical
device to move air through the tower. Instead, the driving force to overcome
the pressure drop in the air flow pass is provided by the density difference
between the hot air inside the tower (with lower density) and relatively the
cold ambient air (with higher density). These units are also known as atmo-
spheric cooling towers. Previously we showed that the driving force due to
the density difference can be determined by the following equation:

∆P = ( ρOut − ρin ) gh (8.1)

where ∆P is the driving force created by the density differential (Pa), ρOut is the
average ambient air density (kg/m3), ρin is the average hot air density inside
the tower (kg/m3), g is the gravitational acceleration (m/s2), and h is the height
of the column of hot air inside the tower (the distance between the fill top
and the highest point of the tower) (m). In this equation, the magnitude of the
density difference ( ρOut − ρin ) is small. Therefore, to create an enough pressure
difference to overcome the pressure drop on the air flow through the tower,
the height of the tower should be sufficiently high. For this reason, it is not
unusual to have a cooling tower taller than 150 m (about 500 ft) (Figure 8.10).

FIGURE 8.10
Sheer size of a natural draft cooling tower (use the high-voltage power lines in fore-
ground as reference). (Image by Marc Pascual from Pixabay, https://pixabay.com/photos/
nuclear-energy-central-electricity-4600565/.)
Cooling Systems 587

The idea of using natural draft cooling towers is not new. There is some
evidence that even as early as the early 1900s it was known that tall tow-
ers can be used for evaporative cooling purposes. However, economically
building a tall enough tower that could withstand severe loads was a
major challenge. A breakthrough came with the introduction of hyperbolic
structures to natural draft cooling towers. In the 1880s, Vladimir Shukhov
(a Russian polymath, 1853–1939) discovered that hyperbolic structures can
provide extraordinary structural strength. A hyperbolic structure is a surface
formed by rotating a hyperbola around its central axis (Figure 8.10). In the
late 1910s, a Dutch engineer named Frederik van Iterson (1877–1957) patented
the idea of using hyperbolic structures in natural draft cooling towers. At the
same time the first hyperbolic natural draft cooling tower was built in the
Netherlands. With the advancements in construction technologies, concrete
hyperbolic cooling towers gradually became popular in Europe because they
could provide the needed structural integrity with minimal construction
materials. However, they were not commonly used in the U.S. until the early
1970s. Note that the shape of these towers does not have much to do with
the flow of air inside the tower though the shape is desirable when it comes
to the effect of wind on the tower (wind load). Nowadays, most large utility
size steam power plants (both fossil fuel and nuclear plants) are equipped
with this type of cooling towers. Due to their sheer size and height, they are
the most visible component of steam power plants (Figure 8.11). In fact, with
the typical column of plume rising from them, they have become the public

FIGURE 8.11
Natural draft cooling towers as the most visible structures of steam power plants. (Image by
Bruno/Germany from Pixabay, https://pixabay.com/photos/industry-power-plant-2663191/.)
588 Power Plant Engineering

FIGURE 8.12
Similarities of plume from a cooling tower and smoke from a stack. (Image by Monika P. from
Pixabay, https://pixabay.com/photos/power-plant-industry-flame-2012377/.)

symbol (both positive and negative) of these power stations.4 Speaking of

plume, it should be noted that when the ambient relative humidity is high
(close to saturation), typically in cold humid winter days, some of the exiting
water vapor can be condensed to fine water droplets that appear as visible
fog or plume. The fog will remain visible until the hot moist air flow is suffi-
ciently mixed with the ambient air and becomes sub-saturated. In many sites,
this is considered sight pollution and undesirable5 (Figure 8.12). If released
in low elevations, fog can create icing problems on structures located down-
wind of the tower. To reduce or eliminate this effect, the relative humidity of
the exiting air should be reduced. For this purpose, the less humid air can be
mixed with the exiting air and/or it can be heated before being discharged.
In some units, where combustion products have gone through an extensive
cleaning process and flue gas is free of contaminations, the stack structure is
eliminated. Instead, the flue gas is discharged into the natural draft cooling
tower (Figure 8.13). This strategy can not only save the cost of stack construc-
tion but also heat up the moist air in the tower, which can reduce the plume
problem.

4 While for some they are a symbolic sign of industrial development, for others they are purely
a source of sight pollution. It might be difficult to find another empty industrial structure (!)
that can provoke such emissions (good or evil) depending on who you are talking to!
5 The author has even heard from some people unfamiliar with steam power plants that

pointed to the plume rising above a natural draft cooling tower as an evidence of how pollut-
ing these power plants are (mistaking water vapor with smoke from combustion, Figure 8.11).
Cooling Systems 589

FIGURE 8.13
Clean flue gas exhaust into a natural draft cooling tower. (By Regionalplaner – Own work, CC
BY-SA 3.0, https://commons.wikimedia.org/w/index.php?curid=26638533.)

While there are some natural draft cooling towers constructed by steel
structures that are used in steam power plants, a majority of them are made
of reinforced concrete (Figure 8.14). Using a steel structure in cooling tow-
ers can be due to the long construction time of concrete towers, high cost of
concrete, or low strength of local soils. Inside these towers at the bottom, the
water-cooling components are located. The internal components of natural
draft cooling towers, including hot water distribution systems, water nozzles,
fill banks, drift eliminators, and cold water basin, are very similar to those of
the previously discussed mechanical draft cooling towers (Figure 8.15). The
fill can be crossflow or counterflow. The fill in crossflow units is located out-
side the tower around the periphery of its base. In counterflow units, the fill
is located inside the tower. The rest of the tower, which is a great majority of
its volume, is just a round empty shell (Figure 8.16). These cooling towers are
superbly reliable. Due to their great height, these towers are equipped with
aircraft warning lights on their top.
Compared to mechanical draft cooling towers, natural draft cooling towers
require much greater initial investments. However, they consume substan-
tially less power to operate and need much less maintenance. This means
they require a long amortization period, so a higher capital cost can be paid
off by a lower operational cost. The nature of their operation dictates that the
air flow rate cannot be varied with a change in load and ambient conditions.
590 Power Plant Engineering

FIGURE 8.14
A natural draft cooling tower with a steel structure. (Image by 2427999 from Pixabay, https://
pixabay.com/photos/power-plant-power-plant-electricity-1367316/.)

Air out

Hyperbolic
structure

Drift eliminator

Hot water
in

Fill
Air in

Collection Cold water out

basin

FIGURE 8.15
Schematic of the internal components of an evaporative natural draft cooling tower.
Cooling Systems 591

FIGURE 8.16
Vast empty volume inside a natural draft cooling tower. (Image by MichaelMep from Pixabay,
https://pixabay.com/photos/architecture-cooling-tower-3321995/.)

That is why these cooling towers are more suitable for large units where usu-
ally large load fluctuations are not expected. They are also more effective in
climates with relatively high relative humidity. At very cold climate to avoid
ice formation in the air inlet duct to the tower and around it, the hot water
flow rate to the pipes near the air inlet can be increased.

8.3.2.4 Hybrid Hyperbolic Cooling Towers

Hybrid hyperbolic cooling towers, also known as fan-assisted hyperbolic
cooling towers or simply hybrid draft cooling towers, are a combination of
hyperbolic natural draft cooling towers and mechanical draft cooling tow-
ers. From far they look like hyperbolic cooling towers, just shorter and with
smaller base diameters. This lower height comes at the expense of required
additional fans. These typically forced draft fans, which are installed around
the tower base, assist the tower to achieve the needed driving force with a
shorter height (Figure 8.17). The fans are usually operated when the plant
produces its peak power and/or at high ambient temperatures. The design
also eliminates the possibility of moist air recirculation and provides some
592 Power Plant Engineering

FIGURE 8.17
A fan-assisted hyperbolic cooling tower (hybrid hyperbolic cooling tower) (the photo
shows an abandoned one!). (Image by Peter H. from Pixabay, https://pixabay.com/photos/
fan-cooling-propeller-cooler-turn-3645379/.)

air flow rate control. Hybrid towers are typically used when the building of a
tall hyperbolic tower is not acceptable or the release of the plume leaving the
cooling tower at low elevations is not permissible.

8.4 Combined Once-Through and Wet Cooling Towers

Once-through cooling systems can be combined with wet cooling towers to
reduce their environmental impacts and/or extend their operation period. In
one such combined system, sometimes referred to as an open wet cooling
tower, a cooling tower is placed at the pass of the hot water leaving the con-
denser. In this design, similar to a once-through cooling system, the cooling
water is withdrawn from a natural body of water. However, the tempera-
ture of the hot water from the condenser is first reduced in the evaporative
cooling tower before being returned to the water source. While this com-
bined system cannot reduce marine life fatality within the cooling system, it
can substantially reduce the thermal pollution in the natural body of water.
Another strategy for combined cooling systems, known as a helper cooling
tower, is to divide the cooling load between a once-through system and a
wet cooling tower. The contribution of each unit generally can be from 0% to
100% of the load. When the once-through cooling system cannot be used, for
example during a fish reproduction season, or its use is limited, for example
when available water in the source is limited due to drought, the cooling
tower can take a larger share of the cooling load.
Cooling Systems 593

8.5 Closed Circulating Water Systems – Dry Cooling Towers

Unlike wet cooling towers, where circulating water interacts with air and its
evaporation is a major cooling mechanism, in dry cooling towers circulating
water does not come in contact with ambient air at all. The only heat-transfer
mechanism is sensible heat transfer by conduction and convection. In these
cooling towers, the circulating water flows inside tubes while air passes outside.
Since the heat-transfer coefficient of the water flow is much higher than that of
the air flow, the total heat transfer is dictated and limited by the low heat trans-
fer at the air side. To accelerate the heat-transfer process, typically finned tubes
are used in dry cooling towers to extend heat-transfer surfaces on the air side.
The most important advantage of dry cooling towers is that they do not
need a major water source to directly transfer heat to (like once-through
cooling systems) or to make up for evaporated water (like evaporative cool-
ing systems). This means the site for steam power stations equipped with a
dry cooling system can be selected independent of the availability of water
resources. These power plants can be located in regions where water is not
abundantly available or environmental regulations restrict the usage of avail-
able water for cooling purposes. This opens up increasingly large regions for
the installation of new steam power plants or for the rehabilitation or exten-
sion of existing power plants that would be unavailable otherwise, particu-
larly sites close to consumption centers or fuel resources. Compared to wet
cooling systems, dry cooling systems need less maintenance, no chemicals
for water treatment, and no equipment cleaning. Furthermore, they face nei-
ther the icing problem nor produce plume. Their greatest disadvantage is
that the condenser temperature is not nearly as low as that of once-through
or evaporative cooling systems. The outlet water temperature of dry cooling
towers can be up to about 20°C (about 35°F) higher than that of evapora-
tive cooling towers. This lower condenser temperature leads to a lower cycle
efficiency, which, in turn, means that more thermal energy needs to be dis-
charged in the condenser and eventually in the cooling system. This results
in larger cooling towers requiring larger equipment and more land for the
installation. For this reason, the initial costs of dry cooling towers are sub-
stantially higher than those of wet cooling towers. Another major problem
with dry cooling systems is their sensitivity to ambient conditions, particu-
larly ambient temperature.
Until the 1990s there were just a handful of steam power plants with dry
cooling systems. However, since then the number of power plants using dry
cooling towers has considerably increased primarily due to increased environ-
mental restrictions and water shortages in many regions. In fact, since 2000 sub-
stantially more new power plants have been built with dry cooling towers than
with once-through cooling systems. Similar to wet cooling towers, dry cooling
towers can be mechanical draft or natural draft types. There are two types of
dry cooling towers: direct cooling towers and indirect cooling towers.
594 Power Plant Engineering

8.5.1 Direct Dry Cooling Towers or Air-Cooled Condensers

In this type of cooling systems, the condenser and the cooling tower are inte-
grated into a single component. That is why these systems are commonly
referred to as air-cooled condensers. In these systems, many air-cooled
finned tubes condense the exhausted steam from the turbine (Figure 8.18).
The steam is distributed among the tubes by a very large diameter header
to reduce the pressure drop in the steam flow. Since the cooling system also
acts as the condenser, it should provide some of its functions, including
the separation and removal of noncondensable gases. The condensate is
collected by the condensate header and is returned to the power cycle by
the condensate pump. The air flow through the tubes can be provided by
mechanical draft fans (typically forced draft) or natural draft cooling towers
(Figure 8.18).

8.5.2 Indirect Dry Cooling Towers

Indirect dry cooling towers are equipped with a condenser as well as a cool-
ing tower. These cooling towers can be used with either a direct-contact con-
denser or a surface condenser. In the former, as described previously, the
cold water from the cooling tower is mixed with the saturated steam from
the turbine. This is possible only because the cold water is not contaminated
in the cooling tower by direct contact with the ambient air. The condensate
from the condenser can be pumped by a single condensate pump, which is
then divided between the flow to the cooling tower (the larger portion) and
back to the feedwater system (the smaller portion) (Figure 8.19). Alternatively,

Steam header Steam duct

Saturated steam
from LP turbine

Finned tubes

Condensate header

To condensate pump

FIGURE 8.18
Schematic of a mechanical draft air-cooled condenser (or a direct dry cooling tower).
Cooling Systems 595

LP Turbine
Natural draft
dry cooling tower

Saturated steam
Finned tubes

Direct
contact
condenser

Condensate/circulating
pump

Condensate to
Circulating power cycle
water

FIGURE 8.19
Schematic of an indirect dry cooling tower.

two pumps, the condensate pump and the circulation pump, can pressurize
the two flows individually.
When an indirect dry cooling tower operates with a surface condenser,
there is an intermediate cooling water loop but there is no mixing between
the condensate and the cooling water. The irreversibilities due to two indi-
rect heat-transfer processes, one in the condenser and one in the dry cooling
tower, negatively impact the efficiency of the cycle. In order to reduce these
irreversibilities and improve the efficiency of the cooling system and the
overall cycle, a refrigerant, such as ammonia, can replace water as the second-
ary heat-transfer medium. The refrigerant evaporates in the condenser and
condenses in the cooling tower. The phase change process can significantly
improve the heat-transfer coefficients in both the condenser and the cooling
tower and reduce the condenser temperature. In both the above-mentioned
types of indirect dry cooling towers, the tower is composed of finned tubes
with the air flow provided either by a natural draft tower or induced draft
fans.
As noted, dry cooling towers are not efficient and are particularly vulnerable
to high ambient temperatures. To assist these units on hot summer days, a
supplementary evaporative strategy can be included in these systems such as
spraying water over the outer surface of tubes in the cooling tower or adding
a standby wet cooling tower.
596 Power Plant Engineering

8.6 Hybrid Wet and Dry Cooling Towers

A hybrid wet and dry cooling tower integrates these two cooling systems
into a single unit with the objective of reducing water consumption and/or
plume. Depending on the primary objective, these units may also be referred
to as water conservation cooling towers or plume abatement cooling
towers. In hybrid cooling towers, the dry cooling section is located at the top
of the wet cooling section (Figure 8.20). Hot water first enters the dry section,
which is made of a series of sloped parallel finned tubes. The temperature
reduction in this section is achieved by means of sensible heat transfer and
is limited by the ambient dry bulb temperature. If the ambient temperature
is low enough that the water temperature can be reduced to the desired tem-
perature, the water is directly bypassed to the cold water basin without going
through the wet section of the tower. Otherwise, the water leaving the dry
section is fed to the wet section for further cooling. In the former case, the
water consumption is almost zero (other than little evaporation from the cold
basin) and in the latter case water consumption can be substantially reduced
because of precooling of the water in the dry section. The inlet air flow is
admitted separately to the dry and wet sections. The air leaving the wet sec-
tion is saturated with humidity. When this flow is mixed with hot dry air
leaving the dry section (Figure 8.20), it is desaturated and the air leaving the
cooling tower will have the relative humidity of <100% which is less likely to
create visible fog (plume) than that in a wet cooling tower. The share of each

Dry cooling
section

Hot water
in Hot water
in
Fill
Water
nozzles Wet cooling
section

Basin

FIGURE 8.20
Schematic of a hybrid wet and dry cooling tower.
Cooling Systems 597

section of a hybrid tower from the total heat-transfer load depends on the
ambient conditions and the primary concern of the system (water consump-
tion reduction or visible fog reduction).

8.7 Challenge of Environmental Problems

Cooling towers are an excellent example to demonstrate how complicated it is
to deal with environmental problems and how they need a holistic approach.
We learned that once-through cooling systems can hurt the local environ-
ment and ecosystem by directly killing marine life and thermally and pos-
sibly chemically polluting local water sources. By using wet cooling towers,
water extraction from natural sources and return of heated water are elimi-
nated; however, this comes with the loss of a certain percentage of water to
evaporation, which must be made up by a natural source of water. While this
percentage is relatively small (about 1%–3% of the total circulating water flow),
considering a large volume of circulating water, it is unbelievably significant.
According to the U.S. Geological Survey, thermal power plants (both fossil
and nuclear plants) use about 41% of the total water withdrawals from nat-
ural water resources for all uses. This accounted for 34% of total freshwater
withdrawals, and 48% of fresh surface-water withdrawals. A majority of this
extracted water is used for cooling in evaporative cooling towers. To elimi-
nate any water consumption, dry cooling towers can be used. But as noted, a
power plant with a dry cooling tower has low efficiency. This means for the
same power generation, the power plant requires to combust more fuel in the
steam generator. So although no water is used for cooling purposes, more
flue gas and heat are rejected to the environment. Similar arguments can be
made for most problems and there is not really a single solution. For every
problem, a compromise between many conflicting factors should be reached
to optimize the system in question.

8.8 Questions and Problems

8.8.1 Introduction
8.1. What is the objective of a circulating water system in a steam
power cycle?
8.2. Name the approaches for the heat rejection to the environment in
steam power plants.
8.3. What is the function of a cooling tower in a steam power cycle?
598 Power Plant Engineering

8.8.2 Once-Through Circulating Water Systems

8.4. Name some water sources that can be used in once-through circu-
lating water systems.
8.5. How are debris removed from inlet cooling water to a once-
through circulating water system? How are these devices cleaned?
8.6. Label the main components of a once-through circulating water
system in the following figure.

Natural
body of
water

8.7. Why is the condenser in power plants with a once-through cool-

ing system typically single-pass?
8.8. Explain why in a once-through cooling system the returned water
should be properly distributed and mixed with the water within
the reservoir.
8.9. Describe how heat is transferred to the environment in cooling
ponds and lakes. How can the effectiveness of the cooling process
be improved?

8.8.3 Closed Circulating Water Systems – Wet Cooling Towers

8.10. Which one has higher humidity?

a. Air entering a wet cooling tower
b. Air exiting a wet cooling tower
8.11. Which cooling system requires a higher flow of cooling water and
which one consumes more water?
a. Once-through cooling systems – evaporative cooling systems
b. Once-through cooling systems – once-through cooling systems
c. Evaporative cooling systems – once-through cooling systems
d. Evaporative cooling systems – evaporative cooling systems
8.12. Which cooling system is the most common in new steam power
plants of all types?
a. Evaporative cooling systems
b. Once-through cooling systems
c. Combination of two systems
Cooling Systems 599

8.13. What is the difference between evaporating cooling towers and

dry cooling towers?
8.14. What are the primary and secondary heat-transfer mechanisms in
wet cooling towers? Explain how the share of each heat-transfer
mechanism from the total heat transfer is impacted by the ambi-
ent air properties.
8.15. Name two ways to distribute the hot water flow over the fill in a
wet cooling tower. Briefly describe each method.
8.16. What are the pros and cons of elevated systems for hot water
transportation systems from a condenser to a cooling tower?
What about buried piping systems?
8.17. What are the functions of the cold water basin in evaporative
cooling towers?
8.18. List three ways the air flow can be driven through a wet cooling
tower. Briefly explain each method.
8.19. What are the advantages and disadvantages of mechanical draft
cooling towers?
8.20. Compare forced draft and induced draft cooling towers. Which
one is the dominant type in utility steam power plants?
8.21. What is the function of the following components of induced draft
evaporative cooling towers?
a. Louvers
b. Drift eliminators
c. Fans
8.22. Why are some fans in mechanical draft cooling towers multiple-
speed or variable speed?
8.23. Explain how the pressure drop in the air flow pass is overcome in
natural draft cooling tower.
8.24. Why do natural draft cooling towers always require a tall structure?
8.25. Describe why natural draft cooling towers have hyperbolic
structures.
8.26. The shape of natural draft cooling towers does not have much to
do with the flow of air inside the tower.
a. True
b. False
8.27. When and why do wet cooling towers create visible fog or
plume? When and why this plume disappears in the ambient air?
What problems can plume create? How can the effects be reduced?
8.28. In what conditions can the flue gas flow be discharged into the
natural draft cooling tower?
600 Power Plant Engineering

8.29. When are fan-assisted hyperbolic cooling towers used?

8.30. How is the physical appearance of natural draft cooling towers
and fan-assisted hyperbolic cooling towers different?

8.8.4 Combined Once-Through and Wet Cooling Towers

8.31. Briefly explain open wet cooling towers and helper cooling towers.
8.32. Provide two examples of circumstances when helper cooling
towers are used.

8.8.5 Closed Circulating water Systems – Dry Cooling Towers

8.33. In dry cooling towers, which flow side is equipped with finned
tubes? Why?
8.34. What is the most important advantage of dry cooling towers? List
other advantages.
8.35. Why has the number of power plants equipped with dry cooling
towers substantially increased recently?
8.36. Explain how air-cooled condensers work.
8.37. Describe why the cold water from the cooling tower can be mixed
with the saturated steam from the turbine in indirect dry cooling
towers.
8.38. Which type of cooling systems can be used with direct-contact
condensers? Why?
a. Once-through cooling systems
b. Evaporative cooling towers
c. Indirect dry cooling towers
8.39. Which types of dry cooling towers can be equipped with a condenser?
a. Indirect dry cooling towers
b. Direct dry cooling towers

8.8.6 Hybrid Wet and Dry Cooling Towers

8.40. Explain how a hybrid wet and dry cooling tower work. Describe
the process at low and high ambient temperatures.
8.41. What are two possible objectives of hybrid wet and dry cooling
towers?
8.42. Explain how a hybrid wet and dry cooling tower can reduce plume.
8.43. The share of dry and wet sections of a hybrid tower from the total
heat-transfer load depends on the ambient conditions and the pri-
mary concern of the system (water consumption reduction or vis-
ible fog reduction).
Cooling Systems 601

a. True
b. False

8.8.7 General
8.44. A steam power station is to be built near a river with sufficient water
for directly cooling of the plant’s condenser. Which type of circu-
lating water system do you recommend for this plant (if there is no
limit on water removal/return from/to the river)? Draw a schematic
diagram of this system showing main components and streams.
8.45. A steam power station is to be built near a river with sufficient water
for directly cooling of the plant’s condenser. However, during fall
seasons due to the reproduction of a certain type of fish and their
sensitivity to water temperature variations, the environmental
regulation prohibits increasing the water temperature of the river.
Which type of circulating water system do you recommend for
this plant?
8.46. Draw a schematic diagram of a direct-contact spray-type con-
denser and indirect dry cooling tower showing all main compo-
nents and steams. Explain which one is higher: the recalculating
water mass flow rate or the water mass flow rate of the cycle
(the cycle working fluid)? Why?
8.47. List advantages and disadvantages of the mechanical force draft
(FD) system in a wet cooling tower. Which of the force draft (FD)
or induced draft (ID) systems is used in modern mechanical draft
cooling systems?
8.48. How do evaporative cooling towers work?
8.49. Identify which of the following schematics represent mechanical
force draft (FD) system and induced draft (ID) system in a wet
cooling tower.
602 Power Plant Engineering

8.50. Why are splash-type fills sensitive to bars’ alignments?

8.51. List three sources of water losses in a wet cooling tower.
8.52. All natural draft cooling towers are made of concrete structures.
a. True
b. False
8.53. Explain a hot water transportation system from a condenser to a
cooling tower.
8.54. Compare once-through cooling systems, wet cooling towers, and
dry cooling towers in terms of their environmental impacts.
8.55. Compare natural draft, mechanical draft, and fan-assisted hyper-
bolic cooling towers.
8.56. The share of the evaporative heat-transfer mechanism from the
total heat transfer in wet cooling towers depends on the ambient
air …... (check all correct items.)
a. humidity
b. temperature
c. pressure
d. composition
8.57. Which circulating water system is the simplest, least expensive,
and most effective in minimizing the condenser temperature?
8.58. In a wet cooling tower, explain:
• Why the drain (bleed off) is needed.
• Why the drift eliminator is needed.
8.59. Which federal act protects water resources in the U.S.?
8.60. Explain how a hybrid wet and dry cooling tower can reduce water
consumption.
8.61. List problems that unevaporated water droplets can create if
uncaptured by drift eliminators in induced draft cooling towers.
8.62. How can supplementary evaporative strategies be used to assist
dry cooling towers?
8.63. Why are some natural draft cooling towers constructed with steel
structures?
8.64. Explain why some fans in mechanical draft cooling towers have
adjustable pitch blades?
8.65. Compare dry and wet cooling towers.
8.66. Explain how the natural circulation cooling towers operate. Why
are they typically the tallest structure in a steam power plant?
Why are they hyperbolic in shape?
Cooling Systems 603

8.67. Name two hot water distribution systems over the fill in a wet
cooling tower.
8.68. What are two types of the fill used in evaporative cooling towers?
8.69. What are the pros and cons of forced draft fans and induced draft
fans?
8.70. How is the large contact surface area formed in splash-type wet
cooling towers?
8.71. Name two types of the fill in terms of the relative direction of the
water and air flows. Briefly explain each type.
8.72. Explain why dry cooling towers are not efficient and particularly
vulnerable to high ambient temperatures?
8.73. Determine which one of the following schematics is a counterflow
configuration and a crossflow configuration.

(a) (b)

8.74. Explain how atmospheric cooling towers work.

8.75. Explain how direct dry cooling towers work.
8.76. Which one has lower temperature?
a. Air entering a wet cooling tower
b. Air exiting a wet cooling tower
8.77. What is the function of a cooling tower?
8.78. What are the advantages and disadvantages of natural draft cool-
ing towers?
8.79. Explain why in some indirect dry cooling towers operating
with a surface condenser as a refrigerant, such as ammonia, can
replace water as the secondary heat-transfer medium. What are its
benefits?
604 Power Plant Engineering

8.80. The share of the sensible heat-transfer mechanism from the

total heat transfer in wet cooling towers depends on the ambient
air …...
a. humidity
b. temperature
c. pressure
d. composition
9
Gas Turbines

Abstract
Gas turbine power generation units are an essential technology for util-
ity electricity generation. Their contribution to electricity generation is
second only to steam power cycles. They are also critical for many other
industries, most notably the aviation industry. We will start this chap-
ter with an extensive study of thermodynamic principles of the Brayton
cycle as an ideal thermodynamic cycle representing gas turbine units.
We will consider the impacts of various parameters on the performance
of the cycle and how the cycle can be improved by adding auxiliary com-
ponents. We will also study how actual gas turbine units deviate from
the ideal cycle. We will conduct many calculations of simple and modi-
fied ideal and non-ideal Brayton cycles by means of air-standard and cold
air-standard analyses. Then, we will briefly review the history of gas
turbine developments and their applications in various industries. We
will discuss components of gas turbine units for electricity generation,
including compressors, combustion chambers, turbines, and compressor
inlet air cooling systems. We will conclude the chapter with evaluating
start-up and shutdown sequences, normal operation, and control of gas
turbine units.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• describe ideal Brayton cycle

• explain impacts of operating conditions on the performance of
Brayton cycle
• describe various modifications in the simple Brayton cycle to improve
its performance
• identify distinctions between ideal Brayton cycle and actual gas tur-
bine power plants
• calculate the thermodynamic performance of various forms of
Brayton cycles
• explain the history of gas turbine developments

605
606 Power Plant Engineering

• list gas turbine applications in various industries and identify how

their characteristics match the requirements of each industry
• explain types of compressors for gas turbine units and their
performance
• explain various combustor types and their emission control
technologies
• describe gas turbine blade specifications and their cooling systems
• identify various control modes for gas turbines

9.1 Introduction
Gas turbines, sometimes also referred to as combustion turbines or fire
turbines (the latter were common in older publications), are power generation
units with a gaseous working fluid involving steady-state flow processes. In
gas turbine cycles, a rotary machine (which also confusing can be called a gas
turbine) extracts thermal energy of a high pressure and temperature flow of
combustion products and converts it to mechanical rotational power, electric-
ity, and/or thrust. They are commonly used in the aviation industry to pro-
vide propulsion for commercial and military airplanes. They are also widely
used to generate electricity in utility power plants, backup power units, and
emergency power units. Historically speaking, gas turbines are considered a
new technology among conventional power generation technologies. Unlike
steam power generation units and internal combustion engines that were
introduced in the 18th century and developed in the 19th century, gas tur-
bines were not introduced until the 20th century and early c ommercial units
started to appear in the late 1930s and the early 1940s. Gas turbine technology
advanced quickly in the second half of the 20th century. However, the intro-
duction and widespread utilization of combined cycle power plants (CCPPs)
in the late 20th century led to the significant contribution of gas turbines to the
electricity generation industry. A more comprehensive study of the history of
gas turbines and their applications will be presented later in this chapter.
Gas turbines have a high power-to-weight ratio, which makes them ideal
power systems to propel aircrafts. For utility electricity generation, gas
turbines’ quick start-up and shutdown, and rapid load-following character-
istics as well as their relatively low capital costs perfectly suit the needs of
peak-load power generation units. However, they can also be used as baseload
power plants due to the relatively high efficiency of modern gas turbines as
well as their low maintenance, high availability, and high capacity factor. Their
other favorable characteristics are no need for water (which is critically impor-
tant in regions where water is not readily available), simple design and con-
struction, short delivery and installation time, and remote control capability.
Despite these positive attributes, standalone gas turbines have the follow-
ing several inherent disadvantages: high-temperature exhaust flow, strong
Gas Turbines 607

dependency of both power output and efficiency on ambient conditions, and

inability to consume solid fuels. The high temperature of the gas turbine
exhaust flow means high-grade energy is wasted. This problem can be
overcome by using modified gas turbines or more commonly by using the
exhaust flow to raise steam (Chapter 10). The power output and efficiency
of gas turbines and other cycles based on gas turbines strongly depend on
ambient conditions, particularly ambient temperature. The power output and
efficiency of a gas turbine reduce when the ambient temperature increases.
This problem can be addressed by using compressor inlet air cooling sys-
tems (Section 9.5.4.1). Gas turbines are most commonly fueled by natural gas,
but they can also be fueled by other fuels, such as heavy oil (fuel oil), die-
sel, propane, or manufactured fuels, such as hydrogen, biogas, and syngas
(synthesis gas). The latter fuel is produced by gasification of coal or biomass
to enable gas turbines to be fueled indirectly by solid fuels (Chapter 10).

9.2 Thermodynamic of Gas Power Cycles

As the name implies, unlike phase-changing working-fluid power cycles, in
gaseous working-fluid power cycles, the phase of the working fluid does not
change, and the working fluid always remains in the gaseous phase. These
power cycles can be of two types: internal combustion engines and external
combustion engines. In the former, the working fluid participates in the com-
bustion process, and hence, the composition of the working fluid changes
throughout the system. In the latter, the heat is transferred from an exter-
nal source of thermal energy, possibly combustion or nuclear reactions, to
the working fluid so the composition of the working fluid does not change.
External combustion engines have little applications in large power genera-
tion systems with gaseous working fluids. An example of such a cycle is the
application of gas turbines in nuclear power plants (refer to closed gas tur-
bine cycles below). Although most gaseous working-fluid power cycles are
internal combustion engines, the term usually refers to reciprocating inter-
nal combustion engines typically used in transportation applications.
While in this section the thermodynamic principles to study a gas turbine
cycle will be covered, the initial discussion about the air-standard power
cycles is general for all gaseous working-fluid power cycles, including piston
and cylinder systems involving boundary movement work, such as spark-
and compression-ignition internal combustion engines. The main difference
between a gas turbine unit and a piston and cylinder unit is that in gas tur-
bines the processes are continuous, while in piston and cylinder units, the
processes are intermittent.
Gas turbine power generation cycles need four processes: a compression
process in a compressor, a heat transfer from a high-temperature thermal
energy source to the working fluid in a combustor or a heat exchanger, an
608 Power Plant Engineering

expansion process in a turbine to produce work, and a heat transfer from

the working fluid to the environment (a low-temperature thermal reservoir).
Gas turbines (and gaseous working-fluid power cycles in general) can be
operated based on open or closed cycles. Open systems involve intake and
exhaust of the working fluid (air). The great majority of gas turbines for
all applications are open power systems. In these systems, the compressor
receives fresh air from the atmosphere (stream 1 in Figure 9.1) and pressur-
izes it (stream 2). The temperature of the compressed air is then increased
in the combustor, also known as the combustion chamber, by the injec-
tion of fuel (stream 3) and its combustion. The high-temperature and pres-
sure combustion products (stream 4) then enter the turbine (gas turbine)
where they expand and produce work. Finally, the outlet of the turbine is
exhausted to the atmosphere (stream 5). If the gas turbine cycle is used as a
power generation unit, a portion of the work produced in the turbine is used
to run the compressor and the rest is available for electricity generation in
the generator or for an external mechanical work utilization. If the gas
turbine is for propulsion, e.g., in an aircraft, the turbine produces enough
power to run the compressor and the rest of the combustion products go
through a nozzle, which convert the high-temperature and pressure flow
to a high-velocity flow to produce thrust. It is evident that none of these
systems need a heat exchanger to reject heat to the environment. The heat
rejection to the environment is achieved by discharging the turbine outlet
to the atmosphere.
In closed-cycle gas turbines, the working fluid, which theoretically can be
any gas, is recirculated and there is no inlet or exhaust of the working fluid
(Figure 9.2). In these cycles, the turbine exhaust stream goes through a heat
exchanger where heat is rejected to the surrounding from the working fluid
before returning to the compressor. Note that closed-cycle gas turbines are
not internal combustion engines because the working fluid does not partici-
pate in the combustion process.

Atmospheric air
5 1

Compressor

Turbine

4
2 High pressure air
High temperature and
pressure combustion 3
products Fuel
Combustion
chamber

FIGURE 9.1
Schematic of an open direct gas turbine system.
Gas Turbines 609

Nuclear reactor

Turbine
Compressor

Heat exchanger
or aircooler

Cooling medium

FIGURE 9.2
Schematic of a closed direct gas turbine cycle.

In Figures 9.1 and 9.2, the source of high-temperature thermal energy is

a combustion process in the combustion chamber and a gas-cooled nuclear
reactor, respectively. In both systems, the outlet of the combustion chamber
or the reactor is directly fed to the turbine. These systems are called direct
systems since the heat is directly transferred to the working fluid from the
heat source.
A gas turbine cycle can also be an indirect cycle (Figures 9.3 and 9.4). In
this cycle, the outlet flow of the combustor or the reactor, which is called the
secondary fluid, is used to heat the working fluid of the cycle (the primary
fluid) through a heat exchanger (an air heater). The secondary fluid can be

Turbine
Compressor

Heat exchanger
or heater

Secondary fluid
Combustor or
nuclear reactor

FIGURE 9.3
Schematic of an open indirect gas turbine system.
610 Power Plant Engineering

Cooling medium
Heat exchanger
or aircooler

Compressor

Turbine

Heat exchanger
Secondary
fluid
Combustor or
nuclear reactor

FIGURE 9.4
Schematic of a closed indirect gas turbine system.

water, liquid metal, or helium among others. Indirect cycles are used to pre-
vent the release of contaminants, e.g., radioactive matters, to the environment
if the source of thermal energy is a nuclear reactor. Alternatively, they can
help the cycle to use fuels, such as coal or crude oil, which are not suitable for
direct combustion in gas turbines. This concept was heavily investigated in
the 1950s and 1960s with several large-scale proof-of-concept plants installed.
However, they could not compete with conventional gas turbines and steam
cycles, and commercial units were never materialized.
In summary, in indirect cycles, the working fluid is separated from the
high-temperature heat source. In closed cycles, the working fluid is separated
from the atmosphere (as the low-temperature heat sink).
In all configurations of gas turbine plants, several factors, such as the
combustion process, heat transfer, temperature and pressure gradients,
and friction, make the study of actual systems very complicated, which
requires detailed computer numerical simulations. An elementary thermo-
dynamic study of these power systems requires significant simplifications.
An air-standard analysis, also called an air-standard power cycle analysis,
is used for this purpose, which is based on a set of simplifications.

REMINDER BOX 9.1

AIR-STANDARD ANALYSIS
In order to qualitatively examine the effects of various parameters on
the performance of gaseous working-fluid cycles, the air-standard anal-
ysis can be conducted with the following assumptions:
Gas Turbines 611

• The working fluid is air which always behaves according to the

ideal gas model.
• All processes are internally reversible.
• They operate in a closed cycle.

The last assumption means that there are no inlet and exhaust flows, and
a fixed amount of air goes through the cycle as the working fluid. There
is also no combustion process. The combustion process is replaced by a
reversible heat transfer process from the high-temperature heat source,
and the exhaust process is replaced by a reversible heat transfer process
to the low-temperature heat sink.
It should be noted that these assumptions, particularly avoiding com-
bustion, introduce significant errors to analyses. The estimated proper-
ties and system performance indicators such as efficiency and specific
work may differ substantially from those of actual systems operating at
the same conditions. Therefore, these analyses should be only used for
qualitative comparisons of cycles. Since all irreversibilities are absent in
these idealized cycles, their performance should be treated as an upper
limit for the performance of actual systems that cannot be achieved but
can be approached.
In a particular kind of air-standard cycle called a cold air-standard
analysis, the specific heats of air are assumed to remain constant
throughout the cycle at their ambient temperature values (300 K).
Obviously, this assumption introduces further errors to analyses and is
commonly avoided for noneducational purposes.

REMINDER BOX 9.2

IDEAL GAS LAW
In Reminder Box 4.1, we learned that for ideal gases, we can write the
following equations:

pV = nRT = mRT (9.1)

pv = RT (9.2)

R
R= (9.3)
M

m
n= (9.4)
M
612 Power Plant Engineering

R = 8.314 kJ/kmol.K = 1.986 Btu/lbmol.°R

= 1545 ft lbf/lbmol.°R
Rair = 0.2870 kJ/kg K = 0.06855 Btu/lb R (Table A.5)

For these gases, specific internal energy (u) and specific enthalpy (h)
depend only on temperature. The specific heat at constant pressure (Cp )
and volume (Cv ) can be defined as

dh
Cp = (9.5)
dT
du
Cv = (9.6)
dT
Both Cp and Cv are affected by the molecular structure of the gas. For mon-
atomic gases, such as argon (Ar) and helium (He), the specific heats can be
assumed constant with the temperature. But they increase with an increase
in the gas temperature for diatomic and triatomic (faster for the latter).
It can be shown that the relationship between Cp and Cv is

C p − Cv = R (9.7)

Also, the specific heat ratio, k, is

Cp
k= (9.8)
Cv
The changes in specific enthalpy and internal energy from state 1 to
state 2 are

∫
T2
h2 − h1 = Cp (T ) dT (9.9)
T1

u −u = ∫
T2
2 1 Cv (T ) dT (9.10)
T1

In order to determine the integrals in Equations 9.9 and 9.10, the specific
heats as a function of temperature are needed. There are three common
methods to determine the changes in specific enthalpy and internal energy.

Method 1
The values of specific heats as a function of temperature are presented
in the form of equations or sometimes tables or graphs (you can find
them in many thermodynamic textbooks). For instance, for air, the fol-
lowing equation estimates the variation of the specific heat at constant
pressure for the temperature range of 300 and 1000 K:
Gas Turbines 613

Cp
= 3.653 − 1.337 × 10−3 × T + 3.294 × 10−6
R
× T 2 − 1.913 × 10−9 × T 3 + 0.2763 × 10−12 × T 4 (9.11)

By substituting Equation 9.11 into Equation 9.9 and finding the integral,
the change in the specific enthalpy can be determined.

Method 2
Many thermodynamic textbooks present the specific enthalpy and
internal energy of various ideal gases as a function of temperature in
tables, such as Tables A.7 (SI) and A.7 (typically using equations similar
to Equation 9.11).

Method 3
By assuming constant specific heats (as in cold air-standard analyses),
Equations 9.9 and 9.10 can be simplified as

h2 − h1 = Cp (T2 − T1 ) (9.12)

u2 − u1 = Cv (T2 − T1 ) (9.13)

This assumption is acceptable for monoatomic gases and cases that the
variation of the gas temperature is small so the changes in specific heats
are negligible. But for other cases, this assumption may introduce a sig-
nificant error to calculations. However, it is very helpful in developing
qualitative expressions for cycles under investigation.
Similarly, if the specific heats are taken as constants, the change in
specific entropy is
T2 v T p
s2 − s1 = Cv ln + R ln 2 = Cp ln 2 − R 2 (9.14)
T1 v1 T1 p1
Since constant entropy (isentropic) processes play a major role in the
analysis of gas turbine cycles, it is important to review the relationship
among pressure, temperature, and specific volume in such processes
when Cp and Cv are constant.

k /( k − 1)
p2  T2 
=  (9.15)
p1  T1 
k
p2  ν 1 
=  (9.16)
p1  ν 2 
614 Power Plant Engineering

k −1
T2  ν 1 
=  (9.17)
T1  ν 2 
The process 1-2 is an isentropic process. Similarly, if air property tables
are used for retrieving properties, the following equation can be used
for the isentropic process 1-2:

p2 pr2
= (9.18)
p1 pr1

where pr is the relative pressure.

9.2.1 Brayton Cycle as an Ideal Cycle for Gas Turbine Power Systems

The idealized cycle for simple gas turbines is called a Brayton cycle (sometimes
also referred to as a Joule cycle). This cycle is an air-standard power cycle that
involves four reversible processes (Figures 9.5 and 9.6): two constant-pressure
(isobaric) processes and two reversible adiabatic (and hence constant entropy
or isentropic) processes. Figure 9.6 shows the T-s and P-v diagrams of a Brayton
cycle. Process 1-2 is an isentropic compression in the compressor, and process
3-4 is an isentropic expansion in the turbine. Process 2-3 is a constant-pressure
(isobaric) heat transfer from the high-temperature heat source to the working
fluid, which typically replaces the combustion process. Process 4-1 is an isobaric
heat transfer from the working fluid to the low-temperature heat sink, which
typically replaces the exhaust of combustion products to the environment. The
heat transfer processes are at constant pressure because all irreversibilities,

2 Heat exchanger
3

Turbine

Compressor

1 4
Heat exchanger
QL

FIGURE 9.5
Schematic of a Brayton cycle.
Gas Turbines 615

3
QH

C WTurb
P=
2
4
WComp C
P=
1 QL

a b S

P
QH

2
d 3
S=
C WTurb
WComp
S=
C

c 4
1

FIGURE 9.6
T-s and P-v diagrams of a Brayton cycle.

including pressure drops in air flows, are ignored. Since all processes in this
cycle are reversible, the areas in the diagrams in Figure 9.6 represent work and
heat transfer per unit of mass involved in the cycle as follows:

T-s diagram:
qL = area 1-4-b-a-1
qH = area 2-3-b-a-2
qNet = qH − qL = wNet = area 1-2-3-4-1
P-v diagram:
wComp = area 1-2-d-c-1
wTurb = area 4-3-d-c-4
wNet = wTurb − wTurb = qNet = area 1-2-3-4-1

The work produced and consumed in the turbine and the compressor,
respectively, can be estimated by reducing the energy rate balance equation
616 Power Plant Engineering

(the first law of thermodynamics) for a control volume assuming adiabatic

processes (no heat losses), and negligible change in potential and kinetic
energies.

W  ( h3 − h4 ) wTurb = h3 − h4 (9.19)
 Turb = H 3 − H 4 = m

W  ( h2 − h1 ) wComp = h2 − h1 (9.20)
 Comp = H 2 − H 1 = m

where W  Turb is the power production in the turbine, W  Comp is the power con-
sumption in the compressor (both in W or Btu/h), H is the rate of enthalpy
change in the gas flow (W or Btu/h), h is the specific enthalpy of the working
fluid (J/kg or Btu/lbm), and m  is the mass flow rate of the working fluid (kg/s
or lbm/h). Similarly, the heat transfers to and from the cycle are

 ( h3 − h2 ) qH = h3 − h2 (9.21)
Q H = H 3 − H 2 = m

 ( h4 − h1 ) qL = h4 − h1 (9.22)
Q L = H 4 − H 1 = m

From the balance of energy rate equation

 Net = W
W  Turb − W
 Comp = Q H − Q L = Q Net (9.23)

The thermal efficiency of a power cycle can be found as follows:

W w q − q q h −h
ηTh = Net = Net = H L = 1 − L = 1 − 4 1 (9.24)
QH q H q H q H h3 − h2

The back work ratio (BWR) of gas turbine plants is defined as the ratio of the
power consumption in the compressor to the power production in the turbine.

W Comp h2 − h1
BWR =  = (9.25)
WTurb h3 − h4

This parameter is an indication of how much of the work produced in the

turbine is consumed internally in the cycle and how much is available exter-
nally. As we will see in the following examples, the back work ratio of gas
turbine power systems is much higher than that of steam power plants.
In steady-state devices involving shaft work, such as turbines and com-
pressors, the work per unit of mass can be calculated by

∫
w = ν dp (9.26)

The magnitude of the difference between specific volume during the compres-
sion and expansion processes determines the output power and efficiency of
Gas Turbines 617

the cycle. In gaseous working-fluid cycles, the difference between specific

volume in the compression and expansion processes is a result of a limited
temperature difference of these two processes (unlike steam cycles where
the main reason for the different specific volumes is the phase change of
the working fluid). Therefore, in gas turbines, the power consumption in the
compression process is significant. In fact, in gas turbine power plants, one-
third to three-quarters of the power produced in the turbine can be con-
sumed in the compressor (compared to 1%–2% in steam cycles). Thus, the
isentropic efficiencies of the turbine and the compressor in gas turbine cycles
are very important because the lower efficiencies mean less power is pro-
duced in the turbine and more power is consumed in the compressor.
For isentropic processes 1-2 and 3-4, using air property tables
p2 pr 2
= (9.27)
p1 pr 1
p3 pr 3
= (9.28)
p 4 pr 4

where Pr is the relative pressure for isentropic processes given in ideal gas
property tables.
Using the assumption of constant specific heat,
k −1
T2  P2  k
= (9.29)
T1  P1 
k −1

T3  P3  k
(9.30)
=
T4  P4 

where k is the specific heat ratio of air. Note that in a cold air-standard cycle,
k is constant because Cp and Cv are constant. In above equations, the ratio of
P 
the compressor outlet pressure to the compressor inlet pressure  2  is called
 P1 
the compressor pressure ratio (PR), also known as the compression ratio
(CR). Since the processes 2-3 and 4-1 are isobaric processes (assuming no
pressure losses in the heat transfer processes):
P2 P3
P2 = P3 and P1 = P4 ⇒ = (9.31)
P1 P4
This means that in the absence of frictional pressure drops, the pressure
ratios of the compressor and turbine are equal. In a cold-standard air Brayton
cycle using Equations 9.29 and 9.30

T2 T
= 3 → (T2T4 ) = (T1T3 ) (9.32)
T1 T4
618 Power Plant Engineering

Example 9.1
Currently, one of the world’s largest and most efficient gas turbines
is model 9HA.02 introduced by General Electric (GE) in 2014 with the
power production of 470 MW and the efficiency of 41.5%. The compres-
sor pressure ratio is 21.8. The turbine inlet temperature (TIT) is 1700 K.
Air enters the cycle with the mass flow rate of 978 kg/s at the tempera-
ture of 300 K and the pressure of 100 kPa. Assuming that the gas turbine
operates as an air-standard Brayton cycle, determine the compressor
and turbine outlet temperatures (in K), the energy transfer per second in
each component (in kW), the net power generation (in kW), the back work
ratio, and the efficiency of the cycle (a) using the air property table data
and (b) assuming constant specific heats for air. Compare your results
from parts (a) and (b) with the same data provided by the manufacturer.
Solution
Given: An air-standard Brayton cycle operates at the given compressor
inlet air temperature, pressure, and mass flow rate; turbine inlet air tem-
perature; and CR.
Find: Determine the compressor and turbine outlet temperatures,
energy transfer per second in each component, the net power generation,
the back work ratio, and the efficiency of the cycle.
Schematic diagrams: Figure 9.7.
Assumptions:
1. The cycle is an air-standard Brayton cycle; therefore, all processes
are internally reversible. The heat transfer processes are at con-
stant pressure, the expansion and compression processes are isen-
tropic, and the working fluid is air and behaves as an ideal gas.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.

T
3
1700
pa
0k
80
21

P=
2 4
pa
0 0k
300 P=1
1

FIGURE 9.7
Schematic diagram of the Brayton cycle in Example 9.1.
Gas Turbines 619

3. For part (b), the cycle is a cold air-standard Brayton cycle (con-
stant Cp and k).

Analysis:
(a) Using air property table data
Table A.7 (SI) can be used to find the properties of air at four
states of the cycle.
State 1: For the air temperature 300 K, from Table A.7 (SI)

h1 = 300.19 kJ/kg and Pr 1 = 1.3860

State 2: For the isentropic compression in the compressor with

p
the pressure ratio 2 = 21.8 from Equation 9.18
p1

p2 pr 2
= → pr 2 = (21.8)(1.3860) = 30.21
p1 p r 1

For pr 2 = 30.21 and interpolating between temperatures of 700

and 710 K in Table A.7 (SI)

h2 = 722.91 kJ/kg and T 2 = 708.95 K

State 3: For the air temperature 1700 K, from A.7 (SI)

h3 = 1880.1 kJ/kg and Pr 3 = 1025

State 4: For the isentropic expansion in the turbine from

Equation 9.18

p3 pr 3 1025
= → pr 4 = = 47.02
p 4 pr 4 21.8

For pr 4 = 47.02 and interpolating between temperatures of 790

and 800 K in Table A.7 (SI)

h4 = 818.30 kJ/kg and T 4 = 796.67 K

The heat transfer rates are

 ( h4 − h1 ) = (978) [ kg/s] (818.30 − 300.19) [ kJ/kg ]

Q L = m
= 506, 712 kW

 ( h3 − h2 ) = (978) [ kg/s] (1880.1 − 722.91) [ kJ/kg ]

Q H = m
= 1, 131, 732 kW
620 Power Plant Engineering

The power consumption in the compressor and the power

production in the turbine are

 ( h2 − h1 ) = ( 978) [ kg/s] (722.91 − 300.19)[kJ/kg]

 Comp = m
W
= 413, 420 kW

 ( h3 − h4 ) = ( 978) [ kg/s] (1880.1 − 818.30) [ kJ/kg ]

 Turb = m
W
= 1, 038, 440 kW

The correctness of the answers can be checked by the balance of

energy (the first law of thermodynamics).

inlet energy = outlet energy → Q H + W

 Comp = Q L + W
 Turb

1, 131, 732 + 413, 420 = 506, 712 +1, 038, 440 → 1, 545, 152
= 1, 545, 152
From the balance of energy rate

 Net = W
W  Turb − W
 Comp = 1, 038, 440 − 413, 420 = 625, 020 kW

The back work ratio (BWR) is

W Comp 413, 420

BWR =  = = 0.398
WTurb 1, 038, 440

Finally, the efficiency of the cycle is

W 625, 020
ηTh = Net = = 0.552
QH 1, 131, 732

(b) Using constant specific heats for air

The specific heat ratio of air and various terms that are used in
Equation 9.15 as well as the Cp of air is

k k −1
Cp = 1.004 kJ/kg K , k = 1.4, k − 1 = 0.4, = 3.5, = 0.2857
k −1 k

First, the temperature of air at states 2 and 4 should be deter-

mined using Equation 9.15

k −1
 T2   P2  k
 T  =  P 
1 1

 T2 
 = ( 21.8 )
0.2857
 → T2 = 723.6 K
300 
Gas Turbines 621

k −1
 T4   P4  k
 T  =  P 
3 3

0.2857
 T4   1 
  =  → T4 = 704.8 K
1700   21.8 

The energy transfer rates in the components are as follows:

Q L = m
 ( h4 − h1 ) = mC
 p (T4 − T1 )

= ( 978) [ kg/s] (1.004) [ kJ/kg K ] (704.8 − 300) [K] = 397, 478 kW

Q H = m
 ( h3 − h2 ) = mC
 p (T3 − T2 )

= ( 978) [ kg/s] (1.004) [ kJ/kg K ] (1700 − 723.6) [ K ] = 958, 739 kW

 Comp = m
W  ( h2 − h1 ) = mC
 p (T2 − T1 )

= ( 978) [ kg/s] (1.004) [ kJ/kg K ] (723.6 − 300) [ K ] = 415, 938 kW

 Turb = m
W  ( h3 − h4 ) = mC
 p (T3 − T4 )

= ( 978) [ kg/s] (1.004) [ kJ/kg K ] (1700 − 704.8) [ K ] = 977, 199 kW

 Net = W
W  Turb − W
 Comp = 977, 199 − 415, 938 = 561, 261kW

Finally, the back work ratio and efficiency are

W Comp 415, 938

BWR =  = = 0.426
WTurb 977, 199

W 561, 261
η = Net = = 0.585
QH 958, 739

Table 9.1 compares all the results of the air-standard Brayton cycle (part a)
and the cold air-standard Brayton cycle (part b).
The comparison of the results indicates the significant effect of the
constant specific heat assumption for the cold air-standard analysis
on the calculated cycle parameters. The result for the back work ratio
points out that about 40% of the power produced in the turbine is con-
sumed in the compressor, which is much higher than that of steam
power plants (about 1%–2%). The reason for this was explained earlier
in this chapter.
622 Power Plant Engineering

TABLE 9.1
Comparison of the Results of Parts a and b in Example 9.1
Parameter Air-Standard Brayton Cycle Cold Air-Standard Brayton Cycle
T2 (K) 709 724
T4 (K) 797 705
Q L (MW) 507 397
Q H (MW) 1132 959
W Comp (MW) 413 416
 Turb (MW)
W 1038 977
 Net (MW)
W 625 561
BWR (%) 39.8 42.6
ηTh (%) 55.2 58.5

TABLE 9.2
Comparison of Selected Parameters of the Air-Standard Brayton Cycle
and the Cold Air-Standard Brayton Cycle with the Actual Gas Turbine
Specifications in Example 9.1
Net Power Efficiency Exhaust Exhaust
Parameter Output (MW) (%) Temperature (K) Energy (MW)
Actual gas 470 41.5 892 712
turbine
Air-standard 625 (33%) 55.2 (33%) 797 (−11%) 507 (−29%)
Brayton cycle
Cold air-standard 561 (19%) 58.5 (40%) 705 (−21%) 397 (−44%)
Brayton cycle

Table 9.2 compares some selected parameters of the air-standard

Brayton cycle and the cold air-standard Brayton cycle with the actual gas
turbine specifications reported by the manufacturer. The percentages of
the error of the theoretical results compared to the actual parameters are
presented in parentheses.
Table 9.2 indicates that errors introduced by the air-standard analysis
are substantial, and the results of the analysis should be always used
qualitatively. These errors are partly due to the assumptions of the air-
standard analysis, especially ignoring irreversibilities, and partly due
to the simplifications in the gas turbine cycle and the absence of some
components of the real cycle in the simplified cycle. Moreover, surpris-
ingly, the percentage of the error in the net power output is greater for the
air-standard analysis compared to that for the cold air-standard analysis.
The reason is that the greater errors in the calculation of W Turb and W
 Comp
for the cold air-standard cycle were canceled out when the net power was
calculated so incidentally more accurate result is obtained in the case of
the cold air-standard analysis.
Gas Turbines 623

9.2.2 Effects of Compressor Pressure Ratio on Efficiency

and Specific Work Output of Brayton Cycle
As stated, the results of the cold air-standard analysis of an ideal Brayton
cycle can be qualitatively applied to the practical applications of gas turbine
power plants. In this section, the effects of the compressor pressure ratio on
the efficiency and specific power output of the cycle will be evaluated. For a
cold air-standard cycle, qL and qH are

qL = ( h4 − h1 ) = Cp (T4 − T1 ) (9.33)

qH = ( h3 − h2 ) = Cp (T3 − T2 ) (9.34)

Substituting Equations 9.33 and 9.34 into Equation 9.24 and rearranging it

Cp (T4 − T1 )
ηTh = 1 − = 1 − (9.35)
Cp (T3 − T2 )

Considering Equations 9.29 and 9.30

k −1 k −1
 T2   P2  k T   P  k
 =  and  4  =  4 
 T1   P1   T3   P3 

Since (Equation 9.31)

P2 P3
=
P1 P4

Thus,

T2 T3
= (9.36)
T1 T4

Rearranging Equation 9.36

T4 T3
= (9.37)
T1 T2

T4 T
− 1 = 3 − 1 (9.38)
T1 T2
624 Power Plant Engineering

Replacing Equation 9.38 in Equation 9.35:

T1
ηTh = 1 − (9.39)
T2

Replacing Equation 9.29 in Equation 9.39:

1
ηTh = 1 −  ( k − 1)  ( basedon the coldair − standardanalysis ) (9.40)
 P2   k 
 P 
1

Equation 9.40 shows that the efficiency of the cold air-standard Brayton cycle
is only a function of the CR of the compressor and the specific heat ratio of
the working fluid. The higher CR results in the higher efficiency of the cycle.

Example 9.2
Using Equations 9.39 and 9.40, determine the efficiency of the Brayton
cycle in Example 9.1.
Solution
Given, find, schematic diagrams, and assumptions are exactly similar to
Example 9.1.
Analysis
Substituting the pressure ratio into Equation 9.40

1 1
ηTh = 1 −  ( k − 1) 
= 1− = 0.585
 k 
21.80.2857
 P2 
 P 
1

Similarly, from Equation 9.39

T1 300
ηTh = 1 − = 1− = 0.585
T2 723.6

The result is the same as what was found in Example 9.1 based on the cold
air-standard analysis but it is different from the air-standard analysis.

This can also be shown graphically. Figure 9.8 illustrates two Brayton cycles,
1-2-3-4-1 and 1–2′-3′-4-1. The CR of the latter is greater than that of the former.
For the same qL, the latter has higher qH and thus higher efficiency (according
to Equation 9.24). Note that the area under the T-s diagram for a reversible
process is equal to the heat transfer during the process.
Gas Turbines 625

T
3´

3´´ 3

4
2´
2 4´´
1

FIGURE 9.8
Effect of the compressor pressure ratio on the efficiency of the cycle.

The improvement of efficiency with an increase in the pressure ratio of the

compressor can also be explained based on the fact that the average tempera-
ture of the heat transfer to the cycle from the high-temperature heat source is
higher in the cycle with the higher CR. Note that the area enclosed by the cycle
in the T-s diagram represents the net work per kilogram of the working fluid
(specific work) produced by the cycle. So in this case, since the area enclosed
by the cycle increases, the net specific work of the cycle also increases.
Obviously, the CR of a compressor is technologically limited; however, even
before this limitation is reached, another parameter limits the increase in the
CR (currently in modern compressors between 20 and 40). As Figure 9.8 illus-
trates, increasing the compressor outlet pressure from P2 to P2’ increases the
TIT from T3 to T3′. But in actual gas turbines, the maximum temperature of
the cycle (TIT) is limited by metallurgical considerations of the blades of the
initial stages of the turbine. Thus, for a fixed maximum temperature of the
cycle, if the pressure ratio is increased, instead of the cycle 1-2-3-4-1, we will
have the cycle 1-2′-3″-4″-1 (not 1-2′-3′-4-1). This new cycle has a higher average
temperature of the heat transfer to the cycle, which in turn means a higher
efficiency of the cycle. However, the area enclosed by the cycle 1-2′-3″-4″-1 is
smaller than that of cycle 1-2-3-4-1 (Figure 9.8). This means the Brayton cycle’s
specific work reduces with increasing pressure ratio of the compressor for
a constant TIT. This will result in larger equipment for the same net power
output and a higher initial cost of the system.

Example 9.3
Determine the net specific power output of a Brayton ideal cycle as a
function of the inlet temperature of the compressor and the maximum
temperature of the cycle (TIT) using the cold air-standard assumptions.
Note that in a Brayton cycle, both the inlet temperature of the compres-
sor (T1) and the maximum temperature of the cycle (T3) are independent
variables of a given Brayton cycle.
626 Power Plant Engineering

Solution
Given
The cycle operates based on a cold air-standard Brayton ideal cycle.
Find
Determine the net specific power output of the cycle.
Schematic diagrams: Figure 9.8
Assumptions
The cycle is a cold air-standard Brayton cycle operating at the steady-
state condition.
Analysis
The power outputs of the turbine and compressor are

 Turb = H 3 − H 4 = m
W  ( h3 − h4 ) = mC
 p (T3 − T4 )

 
   
 T   1   1 
= mC  pT3 1 −
 pT3 1 − 4  = mC  = mC
 pT3 1 −
 T3  T3  ( k − 1)/ k 
    P3  
 T4     
  P4  

 Comp = H 2 − H 1 = m
W  ( h2 − h1 ) = mC
 p (T2 − T1 )

 
 
 T1   1 
= mCpT2 1 −  = mCpT2 1 −
 
( k − 1)/ k 
 T2 
  P2  
   
  P1  

The net power output of the cycle is

   
   
 Net    1   1 
W = WTurb − WComp = mCpT3 1 −

( k − 1)/ k 
− mCpT2 1 −

( k − 1)/ k 

  P3     P2  
       
  P4     P1  

P2 P3
Since =
P1 P4

 
 
 Net  1 
W  p (T3 − T2 ) 1 −
= mC
( k − 1)/ k 
  P2  
   
  P1  
Gas Turbines 627

Let us rearrange the above equation as a function of the inlet temperature

of the compressor (T1) and the maximum temperature of the cycle (T3).

 P (
k − 1)/ k

T2 = T1  2 
 P1 

 
 Net  
W 1
wNet = = Cp (T3 − T2 )  1 − 
( k − 1)/k 
m   P2 
  P  
 1 

 
 ( k − 1)/k   
P  1
= Cp  T3 − T1  2   1− ( ) 
  P1     P2 
k − 1 / k 
  P  
 1 

   
   ( ) 
 k − 1 / k 
wNet

= Cp T3  1 −
1  + T1  1 −  P2   (9.41)
  P2 
( k − 1)/k    P1   
   
   P  
1 

Note: The efficiency of the cycle can be found as

 
 
 1 
 p (T3 − T2 ) 1 −
mC ( k − 1)/ k 
  P2  
   
WNet WTurb − WComp   P1  
ηTh = = =
QH QH  p (T3 − T2 )
mC

1
= 1− (9.42)
 P2 ( )
k −1 /k

 
 P1 

As expected, this equation for the cold air-standard Brayton cycle effi-
ciency is the same as Equation 9.40.

Equation 9.41 illustrates that unlike the efficiency of the cycle, the net spe-
cific work output of the cycle depends on T1, T3, the pressure ratio of the
compressor, and k and Cp of the working fluid. Also, a careful investigation
628 Power Plant Engineering

of Equation 9.41 shows that the compressor pressure ratio appears in both
 P2 ( )
k −1 /k
1
1− and 1 −   terms. The higher-pressure ratio increases
 P2 ( )
k −1 /k
 P1 
 
 P1 
the specific work in the former term and decreases it in the latter term.
Everything else being equal, this indicates that there should be a pressure
ratio that maximizes the net specific work output of the cycle. To find the
pressure ratio that maximizes the net specific work output of the cycle for
a fixed T1, T3, and the working fluid, the derivative of the net specific work
output with respect to the pressure ratio in Equation 9.41 should be equated
to zero, which results in

 P2  2( k −1)/k  T
   = 3 (9.43)
 P1  opt T1

This means that other factors being equal, the pressure ratios that the opti-
mum efficiency and specific work output can be achieved are different.
This has a profound impact on the design of gas turbines. If a gas turbine is
designed and operated for a baseload power generation, the optimization of
the cycle efficiency is the most important factor to consider. In this case, the
compressor pressure ratio should be as high as possible (limited by the TIT).
However, for peak-load power generation plants, since the cycle operates for
a relatively short period of time, the cycle specific work is more important
than the cycle efficiency. In this case, the compressor pressure ratio should
be determined using Equation 9.43. This requires a design compromise and
trade-off to determine the desired pressure ratio of the cycle. Note that while
the cycle efficiency is directly related to the operational cost (i.e., fuel cost)
of the system, the net specific work output is proportional to the size and
hence the capital cost of the system. This discussion can also be applied to
gas turbines in transportation applications, especially aircraft propulsion,
where the power-to-weight ratio is one of the most important design consid-
erations. Furthermore, substituting Equation 9.29 into Equation 9.43
2
 T2  T3
 T  = T → (T2 ) = T1T3 ( at the maximum net specific work output ) (9.44)
2

1 1

Substituting Equation 9.32 into Equation 9.44

T2 = T4 (at the maximum net specific work output) (9.45)

This means that the specific work output is optimum when the output tem-
perature of the compressor is equal to the output temperature of the turbine.
Gas Turbines 629

Example 9.4
Repeat Example 9.1 for the compressor pressure ratio of 5–40 with the
increment of 5, and draw the diagram of each parameter as a function
of the pressure ratio. Consider the cycle as a cold air-standard Brayton
cycle.
Solution
Given: Same as Example 9.1
Find: Same as Example 9.1
Schematic diagrams: Same as Example 9.1
Assumptions: Same as Example 9.1.
Analysis
The best way to do this example is to create an Excel spreadsheet for
Example 9.1. Table 9.3 and Figure 9.9 illustrate the efficiency, net power
output, and back work ratio as a function of the compressor pressure
ratio in Example 9.1.
As expected, the efficiency continuously increases with increas-
ing compressor pressure ratio, while the net power output reaches a
maximum at the pressure ratio of about 20 and then gradually reduces
with further increase in the pressure ratio. This can be verified using
Equation 9.43 to find the compressor pressure ratio with the maximum
net power output.

 P2  2( k −1)/k  T
   = 3
 P1   T1
opt

k/2( k − 1)
 P2   T3 
 P  =  T 
 1 opt 1

TABLE 9.3
Efficiency, Net Power Output, and Back Work Ratio of the Brayton Cycle
as a Function of the Compressor Pressure Ratio in Example 9.1
Pressure T2 T4 QL QH W Comp W Turb  Net BWR
W η Th
Ratio (K) (K) (MW) (MW) (MW) (MW) (MW) (%) (%)
5 475 1073 759 1203 172 615 443 27.9 36.9
10 579 881 570 1101 274 805 530 34.1 48.2
15 650 784 475 1031 344 899 555 38.3 53.9
20 706 722 415 976 399 960 561 41.5 57.5
25 753 678 371 930 444 1004 559 44.3 60.1
30 793 643 337 891 484 1038 554 46.6 62.2
35 828 616 310 856 519 1065 546 48.7 63.8
40 861 593 287 824 551 1087 537 50.6 65.1
630 Power Plant Engineering

600 70

500 60
Net Power Output (MW)

50
400
40
300

%
30
Net Power (MW)
200
Efficiency (%) 20
100 bwr (%)
10

0 0
0 10 20 30 40 50
Pressure Ratio

FIGURE 9.9
Variation of efficiency, net power output, and back work ratio as a function of compressor
pressure ratio in Example 9.1.

1.4/2 (1.4 − 1)
 P2   1700 
  =  = 20.81
 P1 opt  300 

Also, the diagram shows that the net power output varies a little when
the pressure ratio changes about the maximum point and the diagram is
almost flat around this point. This characteristic of the gas turbine plants
gives designers a wide range of the compressor pressure ratio to choose
from while the power output is almost at its optimum point.
Figure 9.10 illustrates the variation of other parameters as a function of
the compressor pressure ratio. The explanation of these diagrams is left
as an exercise.
Now let us answer this question: Considering the values of the com-
pressor pressure ratio, is the gas turbine under investigation in this
example designed for peak-load or baseload operation?
Comparing the compressor pressure ratio of the actual gas turbine
plant and the compressor pressure ratio to achieve the maximum power
output (21.8% versus 20.8, respectively) clearly indicates that the unit
is designed for the maximum power output and not for optimum effi-
ciency. However, these units are typically utilized for baseload power
generation and not peak-load power generation. In order to understand
this apparent contradiction, it should be kept in mind that these large gas
turbines are usually installed as a part of CCPPs (Chapter 10). Therefore,
the objective of designers is to optimize the overall efficiency of the
whole plant rather than individual components.
Gas Turbines 631

1400 1200
QH QL WT
WC T2 T4
1200 1000
Energy Transfer (MW)

1000

Temperature (K)
800
800
600
600
400
400

200 200

0 0
0 10 20 30 40 50
Pressure Ratio

FIGURE 9.10
Variation of various operating parameters as a function of the compressor pressure ratio in
Example 9.1.

9.2.3 Brayton Cycle with Irreversibilities and Losses

The main differences between an actual gas turbine plant and an ideal
Brayton cycle are

• Irreversibilities due to the combustion process in the combustor

• Irreversibilities in the compressor and turbine
• Frictional pressure drops in flow passages and the combustion
chamber

The effects of combustion irreversibilities, though the most important cause

of departure from an ideal cycle, cannot be evaluated by the air-standard
analysis and were covered in Chapter 4. The irreversibilities in the compres-
sor and turbine, the second most important losses in gas turbines, are mainly
due to frictional effects and are manifested in entropy increase. In real gas
turbines (Figure 9.11), process 1-2 replaces the isentropic process 1-2s and pro-
cess 3-4 replaces the isentropic process 3-4s. In order to take these irrevers-
ibilities into account, the isentropic (also known as adiabatic) efficiencies of
the turbine and the compressor are defined by comparing the work or power
involved in the nonideal cycle with that of the ideal cycle.

ηComp =
(wComp )s = (W Comp )s = h2 s − h1 (9.46)
wComp  Comp
W h2 − h1
632 Power Plant Engineering

T
3
4
4S

2S 2

FIGURE 9.11
Ideal Brayton cycle versus nonideal gas turbine cycle (with irreversibilities).

wTurb W Turb h −h
ηTurb = = = 3 4 (9.47)
(
( wTurb )s W Turb )h3 − h4 s
s

The isentropic efficiencies of the compressor and the turbine are very impor-
tant factors in the gas turbine performance because low efficiencies mean
less power production in the turbine and more power consumption in the
compressor. The combined effect of these two can significantly reduce the
net power output and efficiency of the system. As will be discussed later in
the history of gas turbines, this was one of the reasons that the development
of gas turbines did not progress until the 1930s. Today’s modern compressors
and turbines can have isentropic efficiencies of 80%–90%. The irreversibili-
ties in the compressor and turbine are the only ones that are considered in
the nonideal gas turbine analysis in this chapter.
Due to flow friction, the pressure drops across the two heat transfer pro-
cesses, from P2 to P3 and from P4 to P1, as shown in Figure 9.11. This means
the pressure ratio across the compressor (the ratio of the outlet flow pressure
to the inlet flow pressure) is higher than the pressure ratio across the turbine
(the ratio of the inlet flow pressure to the outlet flow pressure). These losses
are less important than the two aforementioned irreversibilities and will not
be taken into account in analyses presented in this chapter.
Other losses such as mechanical losses, bearing friction, heat losses from
the combustion chamber and other components, and air used for turbine
blade cooling (discussed later in this chapter) are typically less important
and are not considered in the presented analyses.
It can be shown that the specific power output and efficiency of nonideal
Brayton cycles are functions of the compressor pressure ratio, compressor
inlet temperature, maximum cycle temperature (TIT), isentropic efficiencies
of the turbine and the compressor, and properties of the working fluid. This
is unlike the efficiency of the ideal Brayton cycle, which is only a function of
the pressure ratio and properties of the working fluid.
Gas Turbines 633

Example 9.5
Reconsider Example 9.1, but this time instead of the isentropic compression
and expansion processes, the compressor and turbine have the isentropic
efficiency of 90%. Compare the results with the results from Example 9.1.
Solution
Given
An air-standard Brayton cycle operates at the given compressor inlet
air temperature, pressure, and mass flow rate; turbine inlet air tempera-
ture; CR; and isentropic efficiencies of compressor and turbine.
Find
Determine the compressor and turbine outlet temperatures, energy
transfer per second in each component, the net power generation, the
back work ratio, and the efficiency of the cycle.
Schematic diagrams: Figure 9.11.
Assumptions
1. The cycle is an air-standard Brayton cycle; therefore, the heat
transfer processes are at constant pressure, and the working
fluid is air and behaves as an ideal gas.
2. The expansion and compression processes are not isentropic,
and entropy increases through the processes.
3. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.
4. For part (b), the cycle is a cold air-standard Brayton cycle
(constant Cp and k).
Analysis
(a) Using air property table data
From Example 9.1

h1 = 300.19 kJ/kg

h2 s = 722.91 kJ/kg

h3 = 1880.1 kJ/kg

h4 s = 818.30 kJ/kg

Note that states 2 and 4 are now 2s and 4s. Using Equations 9.46
and 9.47, the specific enthalpy of states 2 and 4 can be found.

h2 s − h1 722.91 − 300.19
ηComp = → 0.90 = → h2 = 769.88 kJ/kg
h2 − h1 h2 − 300.19

h3 − h4 1880.1 − h4
ηTurb = → 0.90 = → h4 = 924.48 kJ/kg
h3 − h4 s 1880.1 − 818.3
634 Power Plant Engineering

The temperature of the compressor and turbine outlet flows can

be found by interpolating in Table A.7 (SI).

T 2 = 752.4K

T 4 = 892.4 K

As expected, due to irreversibilities, both temperatures have

increased compared to the isentropic processes in Example 9.1
(Table 9.1).
The heat transfer rates are

 ( h4 − h1 ) = ( 978 )( 924.48 − 300.19 ) = 610, 556 kW

Q L = m

 ( h3 − h2 ) = ( 978 )( 1880.1 − 769.88 ) = 1, 085, 795 kW

Q H = m

The power consumption in the compressor and the power

production in the turbine are

W  ( h2 − h1 ) = ( 978 )( 769.88 − 300.19 ) = 459, 357 kW

 Comp = m

W  ( h3 − h4 ) = ( 978 )( 1880.1 − 924.48 ) = 934, 596 kW

 Turb = m

Alternatively, the power developed in the turbine and the power

input to the compressor can be calculated as follows:

ηComp =
(W )Comp
s
 Comp
W

W Turb
ηTurb =
(
WTurb ) s

From Example 9.1

(W )
Comp
s
= 413, 420 kW

(W )
Turb
s
= 1, 038, 440 kW

So,

 Comp =
W
(W )Comp
s
=
413, 420
= 459, 356 kW
ηComp 0.9

 Turb = ηTurb W
W (
 Turb ) s
= 0.9 × 1, 038, 440 = 934, 596 kW
Gas Turbines 635

 Net = W
W  Turb − W
 Comp = 934, 596 − 459, 357 = 475, 239 kW

The back work ratio (BWR) is

W Comp 459, 357

BWR =  = = 0.492
WTurb 934, 596

Finally, the efficiency of the cycle is

W 475, 239
ηTh = Net = = 0.438
QH 1, 085, 795

(b) Using constant specific heats for air

From Example 9.1

T2 s = 723.6 K

T4 s = 704.8 K

The temperatures of the compressor and turbine outlet flows

are

T2 s − T1 723.6 − 300
ηComp = → 0.90 = → T2 = 770.7 K
T2 − T1 T2 − 300

T3 − T4 1700 − T4
ηTurb = → 0.90 = → T4 = 804.3 K
T3 − T4 s 1700 − 704.8

The rest of the calculations are exactly similar to Example 9.1. Table 9.4
lists and compares the results based on the air-standard and cold air-
standard analyses with the compressor and turbine isentropic effi-
ciencies of 90%, and the results for the air-standard analysis when the
compression and expansion processes are isentropic.
The comparison of the air-standard Brayton cycle with isentropic and
non-isentropic compression and expansion processes indicates that the
temperatures of the compressor outlet and turbine outlet are higher in
the non-isentropic cycle. This is expected because in the non-isentropic
processes, the entropy of the working fluid increases due to irrevers-
ibilities. These increases in entropy are manifested in an increase in the
temperatures. The most interesting difference is the reduction of Q  H in
the nonideal cycle, which means less heat input (i.e., less fuel consump-
tion) is needed in the combustor. The reason is the higher temperature
of the combustor inlet flow, which requires less heat to reach the same
T3. However, the overall performance of the cycle is markedly degraded
as is evident in the significant reduction of the efficiency and net power
output.
636 Power Plant Engineering

TABLE 9.4
Comparison of the Results for the Air-Standard and Cold Air-Standard
Analysis with the Compressor and Turbine Efficiency of 90%, and the
Air-Standard Analysis with the Isentropic Compression and Expansion
Air-Standard
Brayton Cycle
with Isentropic
Compression Air-Standard Cold Air-Standard
and Expansion Brayton Cycle with Brayton Cycle with
Parameter Processes ηComp = η Turb = 90% ηComp = η Turb = 90%
T2 (K) 709 752 771
T4 (K) 797 892 804
Q L (MW) 507 611 495
Q H (MW) 1132 1086 912
W Comp (MW) 413 459 462
 Turb (MW)
W 1038 935 879
 Net (MW)
W 625 475 417
BWR (%) 39.8 49.2 52.6
ηTh (%) 55.2 43.8 45.7

Table 9.5 compares some selected parameters of the air-standard

Brayton cycles with isentropic and non-isentropic expansion and com-
pression processes with the actual gas turbine specifications reported by
the manufacturer. The percentage of error of theoretical results compared
to the actual parameters is presented in parentheses. The comparison
indicates a remarkably lower error in the results when the non-isentropic
expansion and compression processes are used.
Note: To investigate the effects of the isentropic efficiencies of the
compressor and turbine, this example can be repeated for the isentropic
efficiencies of 85% for both compressor and turbine. The comparison of
the results in Table 9.6 indicates that by increasing the efficiencies of the

TABLE 9.5
Comparison of Results of Selected Parameters for the Actual Gas
Turbine, Nonideal Brayton Cycle, and Ideal Brayton Cycle
Net Power Exhaust Exhaust
Output Efficiency Temperature Energy
Parameter (MW) (%) (K) (MW)
Actual gas turbine 470 41.5 892 712
Air-standard Brayton 625 (33%) 55.2 (33%) 797 (−11%) 507 (−9%)
cycle – isentropic
processes
Air-standard Brayton 475 (1%) 43.8 (6%) 892 (0%) 611 (−14%)
cycle with
ηComp = ηTurb = 90%
Gas Turbines 637

turbine and compressor from 85% to 90%, the cycle net power output and
efficiency can be improved by 20% and 16%, respectively. Similarly, the
back work ratio significantly reduces.
Figure 9.12 illustrates the cycle efficiency and net power output as a
function of the isentropic efficiencies of the compressor and turbine at
the range of 65%–100% for a cold air-standard nonideal Brayton cycle.
The diagram shows that how quickly the efficiency and net power
of the cycle drop with a reduction of the isentropic efficiencies of the

TABLE 9.6
Comparison of the Results for Nonideal Brayton Cycle with Isentropic
Efficiencies of 85% and 90%
Air-Standard Brayton Cycle Air-Standard Brayton Cycle
Parameter with ηComp = η Turb = 85% with ηComp = η Turb = 90%
T2 (K) 778 752
T4 (K) 940 892
Q L (MW) 682 611
Q H (MW) 1058 1086
W Comp (MW) 486 459
 Turb (MW)
W 883 935
 Net (MW)
W 396 475
BWR (%) 55.1 49.2
ηTh (%) 37.5 43.8

70 600

60 500
50
400
Efficiency (%)

40
300
30
200
20

10 100

0 0
100 95 90 85 80 75 70 66
Isentropic efficiency of compressor and turbine

Efficiency of cycle Cycle net power output

FIGURE 9.12
Efficiency and net power output of nonideal Brayton cycle as a function of the isentropic
efficiencies of the compressor and turbine (cold air standard analyses).
638 Power Plant Engineering

compressor and turbine. When the isentropic efficiencies of the com-

pressor and turbine reach about 65%, the cycle cannot produce any out-
put power, and almost all power produced in the turbine is consumed
in the compressor.

The performance of the Brayton cycle can be improved by reducing QH and

WComp as well as increasing WTurb. By incorporating a regenerator, intercoolers,
and reheaters, respectively, these objectives can be achieved. In the following
sections, the modified Brayton cycles by integrating these components will
be explained.

9.2.4 Brayton Cycle with Regenerator

As previously mentioned, one of the problems of gas turbine power systems
is that the high-temperature thermal energy is exhausted to the environ-
ment. Using a regenerator is one way of dealing with this problem. In gas
turbine cycles, the temperature of the turbine exhaust (T4 in Figure 9.6) is typ-
ically higher than the temperature of the compressor outlet (T2). For instance
in Example 9.1, T4 and T2 are 797 and 709 K, respectively. A heat exchanger,
commonly counter-flow surface-type known as a regenerator or recupera-
tor, can be used to transfer heat from the turbine outlet to the combustor
inlet. Increasing the inlet temperature of the combustor means less fuel is
required for the combustion process, which in turn improves the efficiency
of the cycle.
In a gas turbine with a regenerator (also known as a regenerative gas tur-
bine cycle), the turbine exhaust gas enters the hot section of the regenerator
at T4, and as a result of heat transfer, its temperature reduces to Ty. In the cold
section of the regenerator, the high-pressure air from the compressor enters
at T2, and its temperature increases to Tx across the regenerator. Having a
higher temperature difference between the outlet flow of the turbine and
the outlet flow of the compressor provides a better heat transfer potential in
the regenerator. Recalling Equation 9.45 for the Brayton cycle with a maxi-
mum net power output (T2 = T4 ) , it can be concluded that in a Brayton cycle
designed for the maximum net power output, there is no or little benefit for
integrating a regenerator to the cycle.
In a regenerative Brayton cycle with an ideal counter-flow heat exchanger
(Figure 9.13), the outlet temperature of the turbine (T4) and the inlet tem-
perature of the combustor (Tx) are equal. So the combustor only requires to
increase the temperature from Tx to T3 rather than T2 to T3 in a simple non-
regenerative cycle. In the T-s diagram in Figure 9.13, by using a regenerator,
the heat transfer from the high-temperature source reduces from area 2-3-
d-a-2 to area x-3-d-c-x and the heat rejected to the low-temperature source
Gas Turbines 639

Turbine Compressor
Combustor

x 2
3
y 1
4

Regenerator or
recuperator
(a)
3
T

x
Tx 4
x´
Tx´
Ty´ 2 y´
Ty y
1

a b c d s
(b)

FIGURE 9.13
Schematic (a) and T-s diagram (b) of Brayton cycle with a regenerator.

reduces from area 1-4-d-a-1 to area 1-y-b-a-1. Both of these effects (less heat
required in the combustor and less heat rejection to the environment) help
to reduce fuel consumption and significantly improve the efficiency of the
cycle. The same conclusion can be reached by considering the increase in
the average temperature of the heat transfer from the high-temperature heat
source and the decrease in the average temperature of the heat transfer to
the low-temperature heat sink. It should be noted that theoretically the net
power production of the cycle remains unchanged because the area enclosed
640 Power Plant Engineering

by the cycle does not change. However, in reality, the pressure drop in the
heat exchanger slightly reduces the power output.
It can be shown that the efficiency of the Brayton cycle with a regenerator
can be calculated by Equation 9.48:

 ( k − 1) 
T  P   k 
ηth = 1 − 1  2  (9.48)
T3  P1 

In this modified cycle, the efficiency depends on both the compressor

pressure ratio and the ratio of the minimum temperature of the cycle to
the maximum temperature of the cycle (the compressor and turbine inlet
flow temperatures, respectively) as well as the properties of the working
fluid (k).
Equation 9.48 shows that increasing the compressor pressure ratio reduces
the efficiency of the regenerative Brayton cycle (unlike the simple Brayton
cycle). This can be seen in Figure 9.13, where increasing compressor pressure
ratio results in a lower-temperature difference between outlet flows of the
turbine and compressor. This means there is less opportunity for heat recov-
ery in the regenerator.
Due to the limited size of real heat exchangers, it is impractical to have the
exit temperature of the cold flow (Tx) to be equal to the temperature of the
incoming hot flow (T4). Similarly, it is impossible to have T2 = Ty. The higher
temperature difference between the flows causes more irreversibilities in the
heat transfer process. In order to account for this irreversibility, the effective-
ness of the regenerator can be defined as

hx′ − h2
ηReg = (9.49)
h4 − h2

Note that hx′ − h2 is the change of enthalpy in the cold stream in the real heat
exchanger and h4 − h2 is the change of enthalpy in the cold stream in the ideal
heat exchanger. A similar relationship can be expressed for the effectiveness
of the regenerator based on the change of enthalpy in the hot stream.

h4 − hy ′
ηReg = (9.50)
h4 − h2

For a cold-standard air cycle (constant specific heat)

Tx′ − T2 T4 − Ty ′
ηReg = = (9.51)
T4 − T2 T4 − T2

The effectiveness of the regenerator is an indication of the departure of the

real regenerator from the ideal one. It should be noted that in a real heat
Gas Turbines 641

exchanger, T4 and Tx cannot be equal so the effectiveness of the regenerator

cannot be 1 (100%) and typically is within the range of 60%–80%. A larger
heat exchanger will result in a closer T4 and Tx and higher regenerator effec-
tiveness but a higher initial cost of the heat exchanger. Also, a larger heat
exchanger causes a higher flow pressure drop across the regenerator, which
adversely affects the overall performance of the system.

Example 9.6
In the cycle explained in Example 9.1, a regenerator with the effectiveness
of 70% is incorporated into the cycle. Determine the energy transfer per
second in each component (in kW), the net power generation (in kW), the
back work ratio, and the efficiency of the cycle using data from the air
property table.

Solution
Given
A regenerative air-standard Brayton cycle operates at the given com-
pressor inlet air temperature, pressure, and mass flow rate; turbine inlet
air temperature; CR; and regenerative effectiveness.
Find
Determine the energy transfer per second in each component, the net
power generation, the back work ratio, and the efficiency of the cycle for
the regenerator effectiveness of 70%.
Schematic diagrams: Figure 9.13.

Assumptions
1. The cycle is an air-standard Brayton cycle; therefore, all pro-
cesses are internally reversible. The heat transfer processes are
at constant pressure, the expansion and compression processes
are isentropic, and the working fluid is air and behaves as an
ideal gas.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to each component.

Analysis:
From Example 9.1

h1 = 300.19 kJ/kg

h2 = 722.91 kJ/kg

h3 = 1880.1 kJ/kg

h4 = 818.30 kJ/kg
642 Power Plant Engineering

The first step is to determine hx′ and hy′ using Equations 9.50 and 9.51.

hx′ − h2 h4 − hy ′
ηReg = =
h4 − h2 h4 − h2

hx′ − 722.91
0.7 = → hx′ = 789.68 kJ/kg
818.30 − 722.91

818.30 − hy ′
0.7 = → hy ′ = 751.53 kJ/kg
818.30 − 722.91

The heat transfer rates are

( )
 hy − h1 = ( 978 )  kg/s  ( 751.53 − 300.19 )  kJ/kg  = 441, 411 kW
Q L = m

 ( h3 − hx ) = ( 978 )  kg/s  ( 1880.1 − 789.68 )  kJ/kg  = 1, 066, 431 kW

Q H = m

Comparing Q L and Q H of the regenerative Brayton cycle with those of the

simple cycle (506, 712 and 1, 131, 732 kW, respectively, for the simple cycle)
shows about 15% and 6% reduction, respectively.
The power consumption in the compressor and the power produc-
tion in the turbine, and hence the net power output and back work ratio,
remain unchanged.

 Comp = 413, 420 kW

 Turb = 1, 038, 440 kW

 net = 625, 020 kW

BWR = 0.398

The efficiency of the cycle is

W 625, 020
ηth = net = = 0.586
QH 1, 066, 431

which is higher than the efficiency of the simple cycle at 0.552.

9.2.5 Brayton Cycles with Compressor Intercoolers

Before we discuss about compressor intercooling and turbine reheating, it
will be very informative and helpful to review the Ericsson cycle.
Gas Turbines 643

REMINDER BOX 9.3

ERICSSON CYCLE
In the Brayton cycle, the turbine and compressor are both reversible and
adiabatic (isentropic) processes. If we replace these two components
with two reversible and isothermal processes (Figure 9.14), the cycle
is called the Ericsson cycle (after John Ericsson, 1803–1899, a Swedish
engineer who first proposed the cycle), which consists of two constant-
temperature processes and two constant-pressure processes (all revers-
ible). The efficiency of this cycle is higher than that of the Brayton cycle
and with a regenerator is equal to the Carnot cycle operating between
the same high- and low-temperature thermal energy sources. However,
this cycle is not practical because both compressor and turbine are high
flow rate devices that involve work. Therefore, it is practically impos-
sible to have a large quantity of heat transfer in these devices (to keep
the temperature constant). They are both adiabatic processes by nature.

T
QH Wturb

3 4

2 1
Wcomp QL
s

FIGURE 9.14
T-s diagram of Ericson cycle.

To modify the Brayton cycle to get closer to the Ericsson cycle, multiple
steps of compression with intercooling and multiple steps of expan-
sion with reheating are used. The efficiency of this cycle is closer to
that of the Ericsson cycle (thus the Carnot cycle) than that of the simple
Brayton cycle.

The objective of incorporating intercoolers into gas turbine plants is to

reduce power input to the compressor that will increase both the net power
output and efficiency while reducing the back work ratio of the cycle. The
work of equipment involving a steady-state flow process, e.g., a compressor
644 Power Plant Engineering

and turbine, can be calculated using w = ∫ vdp. For an air-standard power

cycle with an ideal gas as the working fluid ( Pv = RT ),

w= ∫ RT dPP (9.52)
This equation indicates that in a compressor, higher-temperature air requires
more power input than lower-temperature air for the same CR (due to the
higher specific volume of air flow). According to the ideal gas equation,
the temperature of air flow increases as it goes through the various stages
of the compressor. This means to create the same air pressure increase, more
power input is needed at the later stages of the compressor (stages with higher
air pressure and temperature) than that at the earlier stages of the compres-
sor (stages with lower air pressure and temperature). Therefore, it is desirable
to keep the air flow temperature as low as possible while it proceeds through
the compressor and its pressure increases. Theoretically, it is ideal to lower
the air flow temperature by continuous cooling of the flow in the compressor
(as in the Ericson cycle where the air flow temperature is maintained con-
stant at the compressor inlet temperature). However, due to the high air flow
rate, small heat transfer surface, and complexity of the compressor, this is not
practical.1 The practical method is to separate the compression and cooling
processes by compressing air in several steps with the air cooling process
between the steps. The cooling process is achieved through heat exchangers
known as intercoolers.
Figure 9.15 shows the Brayton cycle with a two-step compressor intercooler
where the air flow is compressed from state 1 to state 2 in the first step of the
compressor. Then, relatively high-temperature air is sent to the intercooler
and cooled down to state 3 and is sent back to the second step of the compres-
sor for further compression. In the T-s diagram of the cycle in Figure 9.15, the
increase in the net power production is represented by the area 2-3-4-2’-2.
Since the constant-pressure lines in the T-s diagram converge slightly with
reducing entropy,

h2′ − h1 > ( h2 − h1 ) + ( h4 − h3 ) (9.53)

which again indicates that less power input is required for the compression
process in the cycle with the intercooler.
The diagram also shows that along with an increase in the net power pro-
duction of the cycle, the heat transfer to the cycle from the high-temperature
reservoir increases (area a-4-2’-b-a) because the temperature of the com-
bustor inlet flow is lower. This means more heat (and fuel) is needed to
increase the air flow temperature to the desired TIT. However, the lower

1 The same reasons that in steam turbines continuous regeneration is not practical and feedwa-
ter heaters are used.
Gas Turbines 645

Turbines
Compressors
1

7
2
8 3

6
4 Intercooler
5

Reheat Combustor
combustor
(a)

T 7´

5
WT 7
WT
QH 6 Q
H 8

2´
6´
4 QL
2
WC
3 WC
1
QL
a b s
(b)

FIGURE 9.15
Schematic of modified Brayton cycle with two steps of compression with intercooling and two
steps of expansion with reheat (a) and T-s diagram of the cycle (b).

air temperature at the outlet of the compressor improves the potential for
the waste heat recovery from the turbine exhaust to the compressor outlet
through a regenerator.
In practice, intercoolers can be air-cooled or water-cooled heat exchangers,
the latter being more common. Large gas turbines can be equipped with sev-
eral steps of compression with intercoolers in between. The decision about
the number of intercoolers and their operational conditions is based on eco-
nomic considerations.
646 Power Plant Engineering

9.2.6 Brayton Cycles with Turbine Reheaters

Theoretically, what a reheater does in the turbine is similar to what the
intercooler does in the compressor but in this case to increase the air spe-
cific volume across the turbine. Note again that the power generation in the
turbine is given by w = ∫ v dp . In this case, it is desirable to increase the aver-
age temperature of the expansion process in the turbine. The best scenario
is to heat the air flow continuously while it is going through the turbine to
maintain the air temperature at the TIT (as in the Ericsson cycle). But this
is not practically possible so the expansion and heating processes should
be separated. For this purpose, the expansion process occurs in steps with
reheating between the steps. In Figure 9.15, the high-pressure air from the
compressor enters the combustion chamber at state 4 and is heated to state 5
before being fed to the high-pressure turbine. Then, the air flow at moderate
pressure (state 6) is extracted from the high-pressure turbine and sent to the
reheat combustion chamber where it is reheated to state 7 before entering the
low-pressure turbine. Because the constant-pressure lines in the T-s diagram
diverge slightly with increasing enthalpy,

h5 − h6′ < ( h5 − h6 ) + ( h7 − h8 ) (9.54)

which again indicates that more power is produced in the turbine in the cycle
with the reheater. Note that the performance of the cycle would have been
even better if the air could be heated all the way to state 7′ in the combustor
but this is not practical due to the limitations in the TIT. Therefore, turbine
reheaters improve the specific power output of the cycle at the expense of
additional heating. Note that the additional combustion in the reheat com-
bustor requires excess air; therefore, the outlet flow of the first combustor
should contain enough air for this purpose. This means that the overall air-
to-fuel ratio in reheat gas turbines should be high enough to support com-
bustion in both combustors. Since the temperature of the turbine exhaust is
higher in the reheat gas turbine cycle compared to that of the simple cycle
(T8 > T6′), there is more potential for waste heat recovery through a regenera-
tor or the integration of a gas turbine into CCPP (Chapter 10). Furthermore,
dividing the combustion processes (and fuel injection) between two com-
bustors helps in the reduction of NOx production. In Example 9.7, we will
explore at what pressure of the reheater the specific net work output of the
turbine will be maximized.

Example 9.7
In an ideal Brayton cycle, the two-step turbine is equipped with a
reheater that increases the temperature of the low-pressure turbine inlet
flow to the temperature of the high-pressure turbine inlet flow. For the
fixed given states of the first turbine inlet and the second turbine outlet,
determine the pressure of the reheater that maximizes the specific net
Gas Turbines 647

work output of the turbine (both steps combined). The turbines operate
according to the cold air-standard assumptions.
Solution
Given
An ideal two-step turbine with a reheater operating at the fixed first
turbine inlet and second turbine outlet states.
Find
Determine the pressure of the reheater that maximizes the power
output of the turbine.
Schematic diagrams: Figure 9.15.
Assumptions
1. The turbine analysis is based on the cold air-standard assump-
tions; thus, the reheater operates at constant pressure, the
expansion processes in both steps are isentropic, and the
working fluid is air and behaves as an ideal gas with constant
Cp and k.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to both steps of the turbine.
3. The temperature of the low-pressure turbine inlet flow is equal
to the temperature of the high-pressure turbine inlet flow
(T5 = T7).
Analysis:
The turbine total specific work output is

wTurb = ( h5 − h6 ) + ( h7 − h8 )

 T   T 
wTurb = Cp (T5 − T6 ) + Cp (T7 − T8 ) = CpT5  1 − 6  + CpT7  1 − 8 
 T5   T7 

Since T5 = T7

 T   T 
wTurb = CpT5  1 − 6  +  1 − 8   (9.55)
  T5   T7 

Since the expansion processes are isentropic and k is constant

k −1 k −1
 T6   P6  k T   P  k
 =  and  8  =  8 
 T5   P5   T7   P7 
Substituting in Equation 9.55

 k −1   k − 1 
  P6  k    P8  k 
wTurb = CpT5 1 −    + 1 −   
  5     7  
P P
648 Power Plant Engineering

Since there is no pressure drop in the reheater so P6 = P7 .

 k −1   k − 1 
  P6  k    P8  k 
wTurb = CpT5 1 −    + 1 −    (9.56)
  5     6  
P P

For the given states of the first turbine inlet and the second turbine out-
let, all the parameters in this equation are fixed except P6. So in Equation
9.56, the specific work of the turbine is only a function of the reheater
pressure. To find the reheater pressure that maximizes the turbine spe-
cific work, the derivative of Equation 9.56 with respect to p6 should be
equated to zero.

 k −1
  k −1 

∂wTurb ∂    P6  k    P8  k  
= CpT5  1 −   + 1−  
∂ P6 ∂ P6   P5     P6   
     
−1 −1
 
 k − 1    P6  k  1   P8  k  P8  
= CpT5  − +
 k    P5   P5   P6   p62  
 

 k −1 k −1

 k − 1  1   P6  k  P8  k 
= CpT5   −   +   =0
 k  P6   P5   P6  
 
k −1 k −1
P  k P  k
− 6  + 8 =0
 P5   P6 

Thus,

P6 P8
= or P6 = P5 P8
P5 P6

P6 P8 P8
So = = (9.57)
P5 P7 P5

(Pressure Ratio)stage = (Pressure Ratio)total (9.58)

It can be shown that a similar relationship exists for a higher number
of turbine steps and reheaters. The pressure ratio of each step can be
estimated by

(Pressure Ratio)stage = N (Pressure Ratio)total (9.59)

where ( Pressure Ratio)stage is the pressure ratio of each individual step,

(Pressure Ratio)total is the pressure ratio of the whole turbine (combined
Gas Turbines 649

steps), and N is the number of steps in the turbine. Note that the number
of reheaters is equal to N−1. So in order to have a pressure ratio of 16 in
(
a two-step turbine, two turbines with a pressure ratio of 4 = 16 are )
required.
P P
Also, from T5 = T7 and 6 = 8 , it can be concluded that T6 = T8. This
P5 P7
means that in the optimum condition, the temperature decrease and
enthalpy drop in the steps of the turbine are equal and the power pro-
duced in steps is equally distributed.
It can be shown that if the assumption of T5 = T7 is relaxed and the
temperature of the low-pressure turbine inlet flow is allowed to be lower
than or equal to the temperature of the high-pressure turbine inlet flow,
Equation 9.57 will become

k
 T  k −1
P6 = P5 P8  7  (9.60)
 T5 

A similar cold air-standard analysis can be conducted for a two-step com-

pressor with an intercooler. In this case, the temperature of the inlet flow
to the high-pressure compressor is greater than or equal to the tempera-
ture of the inlet flow to the low-pressure compressor. For the fixed given
states of the first compressor inlet and the second compressor outlet, it can
be shown that the pressure of the intercooler that minimizes the power
input of the compressor can be calculated by the following equation:

k
 T  k −1
P2 = P1 P4  3  (9.61)
 T1 

If T3 = T1

P2 = P1 P4 (9.62)

So,

P2 P4 P4
= = (9.63)
P1 P3 P1

(Pressure Ratio)stage = (Pressure Ratio)total (9.64)

It can be shown that a similar relationship exists for a higher number of
compressor steps and intercoolers. The pressure ratio of each step can be
estimated by

(Pressure Ratio)stage = N (Pressure Ratio)total (9.65)

where ( Pressure Ratio)stage is the pressure ratio of each individual
step, ( Pressure Ratio)total is the pressure ratio of the whole compressor
650 Power Plant Engineering

(combined steps), and N is the number of steps in the compressor. So in

order to have a pressure ratio of 16 in a two-step compressor, two com-
( )
pressors with a pressure ratio of 4 = 16 are required. Similar to the tur-
bine with a reheater, in a compressor with an intercooler operating at the
optimum condition, the temperature and enthalpy increases in the steps
of the compressor are equal and the power input for each step is equal.

Example 9.8
In Example 9.1, a two-step compressor with an intercooler between two
steps and a two-step turbine with a reheater between the steps are inte-
grated into the Brayton cycle instead of the single-step compressor and
turbine, respectively. All steps of the compressor and turbine are isentro-
pic. Assuming T3 = T1 and T5 = T7 (Figure 9.16), conduct a cold air-standard
analysis on this modified Brayton cycle to determine the net power out-
put and efficiency of the cycle if the pressures of the intercooler and
reheater are selected so the cycle operates at the optimum power output.
Conduct the analysis once without a regenerator and once with an ideal
regenerator (with an effectiveness of 100%).
Solution
Given
An ideal air-standard Brayton cycle is modified by incorporating a
two-step turbine with a reheater and a two-step compressor with an
intercooler. The cycle operates at the given conditions. The pressures of
the intercooler and reheater are selected so the cycle operates at the opti-
mum power output.
Find
Determine the net power output and efficiency of the cycle with and
without an ideal regenerator.
Schematic diagrams: Figure 9.16

5 7

6
4´ 8

4 8´
2
3 1

FIGURE 9.16
T-s diagram of a Brayton cycle with two steps of compression with intercooling, two steps of
expansion with reheat, and a regenerator for Example 9.8.
Gas Turbines 651

Assumptions:
1. The cycle analysis is based on the cold air-standard assump-
tions; thus, the reheater and intercooler operate at constant
pressures, and all steps of the compression and expansion pro-
cesses are isentropic. Also, the working fluid is air and behaves
as an ideal gas with constant Cp and k.
2. The steady-state control volume mass and energy balance anal-
yses with no kinetic and potential energy changes are applied
to both steps of the turbine and the compressor.
3. The temperature of the low-pressure turbine inlet flow is equal to
the temperature of the high-pressure turbine inlet flow (T5 = T7).
4. The temperature of the high-pressure compressor inlet flow is
equal to the temperature of the low-pressure compressor inlet
flow (T1 = T3).
5. For the cycle with the regenerator, the effectiveness of the regen-
erator is 100%.

Analysis:
Cycle with No Regenerator
Let us first consider the compressor. Since T1 = T3 (Figure 9.16) and the
pressure of the intercooler is selected for minimum power input to the
compressor, the pressure ratios of the two steps of the compressor can be
estimated by Equation 9.63

P2 P4 P4
= = = 21.8 = 4.7
P1 P3 P1

k −1
 T2   P2  k
 = 
 T1   P1 

 T2 
 = (4.7)
0.2857
 → T2 = 466.8 K
 300 

Also,

T4 = T2 = 466.8 K

The outlet temperature of the compressor in this case is much less than
that of Example 9.1 (723.6 K ).
The power input required for the compression is

 Comp = m
W  ( h2 − h1 ) + m
 ( h4 − h3 ) = mC
 p (T2 − T1 ) + (T4 − T3 )

= ( 978)(1.004) ( 466.8 − 300) + ( 466.8 − 300)

= 327, 566 kW
652 Power Plant Engineering

Comparing this result with the result of Example 9.1 ( 415, 938 kW ) shows
a significant reduction in the power input of the compressor.
Similarly for the turbine, since T5 = T7 and the pressure of the intercooler
is selected for a maximum power output of the turbine, the pressure
ratios of the two steps of the turbine can be estimated by Equation 9.57.

P6 P8 P8 1
= = = = 0.214
P5 P7 P5 21.8
k −1
 T6   P6  k
 = 
 T5   P5 

 T6 
 = ( 0.214 )
0.2857
 → T6 = 1094.3 K
1700 

Also,

T8 = T6 = 1094.3 K

The total power produced in the turbine is a sum of the power produced
in each step.

 Turb = m
W  ( h5 − h6 ) + m
 ( h7 − h8 ) = mC
 p (T5 − T6 ) + (T7 − T8 )

= ( 978)(1.004) (1700 − 1094.3) + (1700 − 1094.3)

= 1, 189, 488 kW

Comparing this result with the result of Example 9.1 ( 977, 199 kW ) shows
a significant increase in the power output of the turbine. The net power
output of the cycle is

 Net = W
W  Turb − W
 Comp = 1, 189, 488 − 327, 566 = 861, 922 kW

As expected, the net power output of the modified cycle is much higher
than that in the simple Brayton cycle in Example 9.1 ( 561, 261kW ).
To determine the efficiency of the cycle, the heat added to the cycle is
required.

Q H = m
 ( h5 − h4 ) + m
 ( h7 − h6 ) = mC
 p (T5 − T4 ) + (T7 − T6 )

= ( 978)(1.004) (1700 − 466.8) + (1700 − 1094.3)

= 1, 805, 638 kW

The heat added to the cycle in the modified cycle is much higher than
the simple cycle in Example 9.1 ( 958, 739 kW ) because of the lower
Gas Turbines 653

temperature of the inlet flow to the combustor and the heat required in
the reheater. Finally, the back work ratio and efficiency are

W Comp 327, 566

BWR =  = = 0.275
WTurb 1, 189, 488

W 861, 922
η = Net = = 0.477
QH 1, 805, 638

It is evident that the back work ratio is significantly reduced in this cycle
compared to the cycle in Example 9.1 ( 0.426). The results show that the
compressor outlet temperature in the modified cycle (466.8 K) is much
lower than that of the simple cycle (723.6 K). Also, the turbine outlet tem-
perature in the modified cycle (1094.3 K) is much higher than that of the
simple cycle (704.8 K). This indicates that there is a much higher potential
for waste heat energy recovery through a regenerator in the modified cycle.
Cycle with Regenerator
In the regenerative cycle with a regenerator’s effectiveness of 100%, the
temperature of the combustor inlet is equal to the temperature of the
turbine exhaust

T4′ = T8 = 1094.3 K .

The heat added to the cycle in this case is

 ( h5 − h4′ ) + m
Q H = m  ( h7 − h6 ) = mC
 p (T5 − T4′ ) + (T7 − T6 ) 

= ( 978 )( 1.004 ) ( 1700 − 1094.3 ) + ( 1700 − 1094.3 ) 

= 1, 189, 488 kW

Recall that in the regenerative gas turbine, the net power output remains
unchanged, so the efficiency of the regenerative modified cycle is

W 861, 922
η = Net = = 0.725
QH 1, 189, 488

As these examples point out, utilizing a multistep turbine with reheaters and
a multistep compressor with intercoolers increases the net power output of the
cycle and improves the potential for heat recovery for regeneration. Thus, incor-
porating a regenerator can significantly improve the efficiency of these cycles.
Using large number of compression and expansion steps helps the Brayton
cycle to get closer to the Ericsson cycle (Figure 9.17) but economic consider-
ations (increase in the capital costs), compressors and turbines losses, and
pressure drops limit the number of these steps to two or three steps.
654 Power Plant Engineering

Reheat turbines
T

Intercooled compressors

FIGURE 9.17
T-s diagram of a Brayton cycle with a large number of compression and expansion steps
(approaching an Ericsson cycle).

9.3 Brief History of Gas Turbines

As noted in the introduction of this chapter, gas turbines are the youngest
power generation technology among conventional power generation systems
with less than a century of development history. While the concept of gas
turbine cycles was known for a long time, the practical efforts to build a
working gas turbine were proved to be futile until the early 20th century.
Regardless of this short history, gas turbines have been able to achieve
impressive improvements in their power generation capacity and efficiency,
from 4 MW and 18% of the first-utility gas turbine to over 500 MW and over
40% efficiency of modern heavy-duty gas turbines.
As with many other devices and engineering ideas, the first known idea
of a device that resembled a gas turbine appeared in Leonardo da Vinci’s
(1452–1519, Italian polymath, perhaps the greatest mind of whole history)
drawing of a chimney jack (also known as a smoke or roasting jack) in his
Codex Atlanticus.2 His design used hot combustion products from fire to

2 The Codex Atlanticus (Atlantic Codex) is the largest collection of Leonardo’s famous hand-
writings and notes bonded in 12 volumes, currently preserved at the Biblioteca Ambrosiana
in Milan. The collection included 1119 pages that Leonardo created in the span of over 30
years. Many of them dealt with the engineering design of tools and machines, one of his
many outstanding talents. The collection was arranged on large pages in the 16th century to
protect the original documents. That large size was at the time used for atlases and that is
how the collection got its name. You can view all pages of the Codex at http://www.codex-
atlanticus.it. Other surviving notes can be found at the Royal Library at Windsor Castle, the
Louvre, the Biblioteca Nacional de España, the Victoria, Albert Museum, and several other
locations. Probably the most well-known collection is the Codex Leicester currently owned
by Bill Gates. He purchased the collection in 1994 for about $30 million. The collection is dis-
played annually in cities around the world.
Gas Turbines 655

run a turbine rotor mounted in the chimney of a fireplace. The single-stage

reaction axial turbine had four overlapping blades that looked like modern
propellers. The power produced by the turbine is transferred by a gear and
pulley mechanism to turn a roasting spit. The design had an excellent inher-
ent self-control characteristic. With a higher intensity of the fire, the turbine
could produce more power and turn the roasting meat faster, which was
what one needed to avoid burning of the meat. Reportedly, this device was
commonly used in Europe after Leonardo.
The first patent for a true gas turbine was registered in 1791 in England by
John Barber (1734–1793, an English inventor) to power a carriage.3 However,
the early gas turbine designs were not able to produce any net power. Franz
Stolze (1836–1910, a German inventor and explorer) introduced the idea of
using an axial turbine and compressor on a single shaft for gas turbines.
Charles Algernon Parsons (1854–1931, a British engineer) continued the work
done by his predecessors and patented his design in Britain. The first gas
turbine patent in the U.S. was registered in 1899 by Charles Gordon Curtis
(1860–1953, an American engineer).4 Regardless of these efforts, none of these
designs was able to generate a meaningful output power primarily due to
the lack of proper understanding of compressor and turbine blade aerody-
namics. While several experimental units were built and tested with varying
degrees of success, none of these attempts resulted in building a gas turbine
for continuous operation.
The first gas turbine that could produce net power was built by Jens William
Ægidius Elling (1861–1949, a Norwegian inventor) in 1903 (Figure 9.18).
Between this first experimental gas turbine and when the first commer-
cial gas turbine was built, various “hybrid” gas turbines were tested and
widely used in several industries. In one such design, a steam generator was
integrated into a gas turbine. One of the main challenges in the early gas
turbines was that while the combustion chamber could produce high-tem-
perature gas flow, due to material limitations of turbine blades at the time,
most of gas energy was wasted via the turbine cooling system. To address
this problem, a steam generator was integrated into the combustion cham-
ber. In this design, air was compressed in the compressor before being sent
to the combustor. The combustion products were used to raise steam in an
evaporator and superheater. The gas was then fed to the gas turbine at a
relatively low temperature. The outlet of the turbine was finally used in an
economizer before being exhausted. Tens of these units were deployed in the
1930s and 1940s. Other efforts included integrating gas turbines to industrial
facilities in the form of turbochargers. In these units, air was compressed in
a compressor and was sent to industrial processes where high-temperature
3 For an excellent detailed history of gas turbines, refer to Eckart, Dietrich. Gas Turbine
Powerhouse: The Development of the Power Generation Gas Turbine at BBC-ABB-Alstom.
Walter de Gruyter, 2013.
4 Both Parsons and Curtis are best known for their innovations on steam turbines (refer to

Chapter 6).
656 Power Plant Engineering

FIGURE 9.18
The first gas turbine that could produce net power by Jens William Ægidius Elling. (By
Photographer anonymous – Norsk Teknisk Museum, Public Domain, https://commons.
wikimedia.org/w/index.php?curid=13255410).

air was needed, such as blast furnaces in steel manufacturing factories or

some processes in refineries. Then, the exhaust high-temperature gas flow
from these processes was expanded in the turbine which in turn powered
the compressor.
The idea of using gas turbines as a sole source of propulsion for an aircraft
was first patented in 1930 by Frank Whittle (1907–1996, an English engineer
and an air officer of the Royal Air Force (RAF) of Britain). In August 1939, a
few days before the beginning of World War II, the first gas turbine-powered
airplane was tested. It was a single-engine He178 military fighter that took
off at Rostock-Marienche, Germany.
The first gas turbine for utility power generation was installed in
Switzerland in July 1939 for an emergency power station by Brown,
Boveri & Compagnie (BBC), with an electricity generation capacity of 4
MW and an efficiency of 17.4%5 (all the performance data are for the inlet
air temperature of 20°C). While there were more mature and proven tech-
nologies available at that time, two factors that were taken into account
before making the decision about the plant were space needed for the sys-
tem and required maintenance. Both factors were pushed by the concerns
about war right before World War II. The low space was needed so that the
system could be installed in a bomb-proof cavern underground. The pro-
posed gas turbine was able to meet both requirements which overweighed

5 The world’s first industrial gas turbine set – GT Neuchâtel, A historic mechanical engineering
landmark, https://www.asme.org/wwwasmeorg/media/resourcefiles/aboutasme/who%20
we%20are/engineering%20history/landmarks/135-neuchatel-gas-turbine.pdf.
Gas Turbines 657

its low efficiency and the risk involved with the new technology. The sys-
tem was a single-shaft simple cycle fueled with light fuel oil. The system
had a TIT of 550°C and a back work ratio of about 75%. To reduce the high
temperature of the combustion to the acceptable TIT, 400% excess air (500%
theoretical air) was used. The pressure ratio of the 23-stage air compressor
was about 4.4 with an impressive isentropic efficiency of about 85%. The
7-stage turbine had an efficiency of about 88%. The unit remained in ser-
vice for 62 years before retiring in 2002. This unit is currently at display in
Birr, Switzerland, and is designated as a Historic Mechanical Engineering
Landmark by ASME (American Society of Mechanical Engineers) entitled
“World’s first successful electricity-generating gas turbine to go into com-
mercial operation.”5
A decade later in 1949, the first-utility gas turbine was installed in the U.S.
by General Electric Company (GE) with the capacity of 3.5 MW in Oklahoma.
This unit is also designated as the ASME historic landmark and is currently
on display at Greenville (SC) where GE, the largest gas turbine manufacturer
in the world, is currently manufacturing its latest gas turbines.
After World War II, BBC6 was the leading company in the small but
profitable gas turbine market; however, gradually GE took over. The major
northeast blackout of 1965 that left tens of millions of people without
power for hours in several states in the U.S. and Ontario in Canada pro-
vided an unexpected boost for the gas turbine industry in North America.
Furthermore, the prefabrication of gas turbines and the use of standard
components substantially reduced the manufacturing and installation
time of gas turbine units as well as their costs. Later, the introduction of
remote operation of units helped to increase the popularity of gas tur-
bines. In the meantime, advancements in high-temperature alloys and
turbine blade cooling technologies resulted in an increase in the TIT and
compressor pressure ratio, which in turn increased the power production
capacity and efficiency of gas turbine units. By the early 1960s, the TIT
was improved to about 800°C. In the following 20 years, this temperature
increased by about 300°C and by another over 200°C a decade later. By
the 1970s, hundreds of units with the capacity of several GW were sold
every year. The electricity generation capacity of units increased by more
than fivefolds between the early 1970s and the 1990s. Larger and more
efficient gas turbine units were built using two-shaft units equipped with
reheater, intercooler, and regenerator. In the 1980s and 1990s, the growing
concerns on air quality forced gas turbine manufacturers to move toward
low-emission designs, particularly low NOx units. The greatest develop-
ment for the modern gas turbine technology has been the introduction
and widespread utilization of CCPPs. These cycles will be extensively

6 BBC merged with the Swedish company ASEA in the 1980s to form ABB. About 2000, Alstom,
a French company, acquired power generation section of ABB. Eventually in 2015, General
Electric (GE) purchased Alstom power generation business.
658 Power Plant Engineering

discussed in Chapter 10. While the first combined cycle was installed in
1967, their popularity came in the 1980s and the 1990s. Since then, natu-
ral gas fuel CCPPs have been one of the fastest growing technologies for
utility electricity generation. Modern large heavy-duty gas turbines are
mostly designed for integration to CCPPs. In the 21st century, gas tur-
bines with the capacity of over 500 MW, TIT of 1600°C, and efficiency of
over 40% have been built. A historic breakthrough for the power gener-
ation industry in general and the gas turbine technology in particular
was in 2012 when a CCPP unit built by Siemens in Germany was able to
achieve an efficiency of 60.75%, breaking the “magic” efficiency barrier
of 60%. Currently, the aim of the industry is to increase the TIT to 1700°C
to achieve the efficiency of above 43% in simple gas turbines and over 64%
in CCPPs.

9.4 Applications of Gas Turbines

As noted earlier, gas turbines are the driving force in several industries.
Generally, the gas turbine market is divided to aviation and non-aviation
sectors. Aviation gas turbines are further divided into commercial and mili-
tary applications. Non-aviation gas turbines are also divided into electricity
generation units, mechanical drives, and marine applications. Currently,
the majority of manufactured gas turbines, in terms of both the number
of produced gas turbines and their monetary values, are for the aviation
industry. While small in size, the military aviation sector is considered as a
driving force for research and development in the field. In the non-aviation
sector, the majority of gas turbines (about 80% in the monetary value) are
for electricity generation, followed by mechanical drive applications (about
17%) and marine applications. It is predicted that the market value of gas
turbines sold in both aviation and non-aviation applications will rise at least
for the next decade.7 In the rest of this section, various applications of gas
turbines will be briefly reviewed before focusing on the gas turbines for
electricity generation.

9.4.1 Transportation Applications
As noted in the introduction to this chapter, gas turbines have an exception-
ally desirable power-to-weight ratio. This ratio is a critical characteristic for
propulsion systems in transportation applications. The high power-to-weight
ratio of gas turbines means that for the same power output, they are lighter,

7 http://www.fi-powerweb.com/.
Gas Turbines 659

smaller, and more compact than other systems, which leaves more space and
weight for cargo and passengers. This makes them very popular not only for
airplane propulsion systems but also to provide power for civilian and mili-
tary helicopters, ships, and trains. While in this text we are primarily inter-
ested in gas turbines for electricity generation applications, it is beneficial to
have some insights to other applications, particularly aviation gas turbines
for two main reasons. First, many advancements in the field, such as a higher
TIT and compressor pressure ratios, are initially developed for and intro-
duced to aviation gas turbines. Second, some aviation gas turbines have been
modified to be used for electricity generation, which are commonly referred
to as aeroderivative gas turbines.
Unlike other gas turbine applications, the ultimate objective of avia-
tion gas turbines is not to generate shaft work, rather to produce thrust,
albeit sometimes via shaft work production. There are three common con-
figurations for aviation gas turbines: turboprop, turbojet, and turbofan jet
engines. Turboprop engines are in principle similar to electricity genera-
tion gas turbines where the objective is to generate shaft work. In these
engines, combustion products from the combustion chamber are expanded
in the turbine to the atmospheric pressure (Figure 9.19). A portion of the
produced work is used to power the compressor, and the remaining is used
to run a propeller via a reduction gear to generate thrust for the aircraft.
These engines are suitable for airplanes flying at relatively low speed (about
700 km/h) and low altitude. At these conditions, they can achieve better
fuel efficiency per passenger than other engines. While many turboprop
engines are made every year, due to their usually small size, their share
of the aviation gas turbine market, in terms of the monetary value, is very
small.
In turbojet engines, the turbine extracts sufficient energy from combus-
tion products to run the compressor. Therefore, the turbine exhaust flow
is at substantially higher pressure than the atmospheric pressure, which is

Compressor
Turbine

Propeller Combustor

FIGURE 9.19
Schematic of a turboprop engine.
660 Power Plant Engineering

used to produce the entire thrust for the airplane. For this reason, besides
a gas turbine (also called the gasifier or the gas generator section), these
engines are equipped with a nozzle, common known as a propelling noz-
zle, downstream of the turbine to accelerate the flue gas leaving the turbine
(Figure 9.20). The high-velocity flow upon leaving the nozzle can produce
thrust. Furthermore, since the inlet flow to the compressor is at high velocity
(due to the relative velocity of the aircraft with respect to surrounding air),
a diffuser is added to the upstream of the compressor. The diffuser deceler-
ates the inlet air flow and converts its kinetic energy to pressure, which in
turn reduces the load of the compressor. To produce even greater thrust,
some turbojet engines are equipped with an afterburner between the tur-
bine and the nozzle to add more energy to combustion products before the
expansion process in the nozzle. While turbojet engines powered many
early jet airplanes, due to their low efficiency, they are not used in the major-
ity of modern airplanes.
In essence, turbofan engines, also known as fanjet engines, are a combina-
tion of turbojet and turboprop engines. Similar to turbojet engines, they have
a gas turbine engine at the core. However, they also have a large-diameter
ducted fan at the front powered by the gas turbine (Figure 9.21). The fan
accelerates air which bypasses the core gas turbine and directly contributes
to the produced thrust. While typically the core gas turbine provides the
needed thrust during cruising, the combination of both the core engine and
the fan provide the thrust during takeoff. Turbofan engines are more efficient
and quieter than turboprop engines and are used in the majority of commer-
cial and military airplanes. They may also be equipped with an afterburner.
Most advanced turbofan engines are equipped with two or three shafts,
commonly referred to as 2-spool and 3-spool engines, respectively. In 2-spool
turbofan engines, the fan and low-pressure stages of the compressor are on

Compressor Turbine
Nozzle

Diffuser Afterburner
Combustor

FIGURE 9.20
Schematic of a turbojet engine.
Gas Turbines 661

Bypass
flow
Combustor

Turbine
Compressor
Fan

FIGURE 9.21
Schematic of a turbofan engine.

the same shaft as the low-pressure turbine, while the high-pressure stages
of the compressor and turbine are on a different shaft. In this design, since
the fan and low-pressure stages of the compressor have drastically different
diameters, they have different optimal rotational speeds (rpm). This means
either the fan or the low-pressure stages of the compressor operate at nonop-
timal conditions. To address this problem, in 3-spool turbofan engines, the
fan is separately driven by the low-pressure turbine. While 3-spool turbofan
engines are more efficient, they are more complex, heavier, and more expen-
sive. Currently, about one-half of the manufactured aviation gas turbines in
terms of the number of produced engines and over 90% in terms of their
value are of this type.8
Turboshaft engines are gas turbines that generate shaft work for trans-
portation applications, such as helicopters, locomotive, auxiliary power units
(APUs), tanks, hovercrafts, and marine applications including ships and
boats. In marine applications, gas turbines are also used for shipboard use.
Sometimes the usage of the term “turboshaft engines” is extended to include
power generation applications.
Finally, gas turbines are also very common in military applications. Other
than military jet airplane, they are used in marine applications, helicopters,
and even in tanks (Figure 9.22).

8 http://www.fi-powerweb.com/Aviation-Gas-Turbines.html.
662 Power Plant Engineering

FYI BOX 9.1

UTILIZATION OF GAS TURBINES IN TANKS
Leonardo da Vinci has been credited as the first person to conceive
the concept of a mobile-armored military fighting vehicle in 15th cen-
tury although there is no record that he actually made one. Tanks were
first used in World War I by British and German armies. These tanks
were powered by spark-ignition internal combustion engines fueled by
gasoline, thus the name “gasoline or petrol engines”. For example, in
1917–1918, German A7V tanks used two four-cylinder petrol engines
with the power of 75 kW (about 100 hp) each. In World War II, tanks
were main tools in Germany’s Blitzkrieg tactics. During and after World
War II, diesel engines were the primary power source of tanks (with the
output power of up to about 1100 kW (about 1500 hp)). Even now, diesel
engines are used to power many modern tanks. The idea of using gas
turbines to power tanks (Panther tanks in particular) was first intro-
duced in Germany in 1944, but the end of World War II stopped fur-
ther development. First actual use of gas turbines in tanks was in a
Swedish tank, Stridsvagn 103B. In the initial design (in the mid-1950s),
the tank was powered by a diesel engine but the tank was proved to be
underpowered. So a complementary gas turbine (made by Boeing) was
added, though later it was replaced by a second diesel engine. By the
1980s, the dominant mentality in the U.S. Army was that diesel engines
reached their technological limits. The gas turbine technology was the
main candidate to replace diesel engines mainly due to its desirable
power density (power-to-weight ratio), as it was proven in the aviation
industry. As a result, M1 Abrams tanks began to be produced in the
U.S. in 1980 (Figure 9.22). They were powered by AGT-1500 gas turbines
capable of producing 1120 kW (about 1500 hp).

FIGURE 9.22
M1 Abrams tank with gas turbine propulsion system. (Image by Alexander Lesnitsky from
Pixabay, https://pixabay.com/photos/tank-abrams-m1-us-tank-abrams-tank-1530098/.)
Gas Turbines 663

These gas turbines significantly improved the reliability and maneuver-

ability of tanks. These tanks were able to reach the top speed of about
70 km/h (about 45 mph) in a few second. There were also much quieter
than diesel-powered tanks (they were nicknamed “whispering death”).
They also enjoyed other advantages such as their capability to be fueled
by a range of fuels (unlike diesel engines which are very sensitive to
fuel type and its quality), excellent cold-starting performance, light
weight which allowed added armor and more protection, less moving
parts which resulted in less maintenance and repair, and lower cost.
However, their efficiency was lower than that of diesel engines so their
fuel consumption was higher. To improve the efficiency of the cycle,
they were equipped with a recuperator to recover some wasted thermal
energy from the exhaust flow to heat compressed air and reduce fuel
consumption. This tank has been improved in the proceeding models,
including M1A1 Abrams and M1A2 Abrams, using the new generation
of gas turbines (LV 100–50), which are lighter, more efficient, and more
reliable. Gas turbines are still being produced and are in service in the
U.S. Army.

9.4.2 Mechanical Drive Applications

Gas turbines are commonly used to provide shaft work for a variety of
applications. These units are known as mechanical drive applications but
sometimes are referred to as industrial gas turbines. They are widely used
in petrochemical plants and other industrial plants to power large pumps
and compressors. They are also commonly used in offshore drilling rigs
fueled with flare gas. Today, many nations have a national pipeline network
to distribute natural gas. In order to have a continuous flow of gas in the
pipeline, the pressure of natural gas needs to be boosted in a compression
station every 80 km (about 50 miles) or so. Natural gas-fueled gas turbines are
used to drive large compressors in these stations. These are usually small-
or medium-sized gas turbines with the power production capacity of 2–25
MW. Since their objective is to maximize the shaft output power, their design
principles are very similar to electricity generation gas turbines. As a result,
commonly aeroderivative or small heavy-duty gas turbines (these gas tur-
bines will be discussed later) are modified for these applications. Since in
many applications, output power is needed at a wide range of speeds or units
need to be operated at part-load conditions, gas turbines in mechanical drive
applications often have split-shaft designs. Some stages of the turbine are con-
nected to the compressor, and the remaining stages provide output power.
The former section is called the gasifier section, and the latter is referred
to as the power section. This way the gasifier section operates at optimal
conditions for the compressor and the power section operates according to
664 Power Plant Engineering

needs of the external load. In some cases to improve the unit efficiency, they
are equipped with a heat recovery heat exchanger (recuperator) to provide a
required processing steam or as a regenerator.

9.4.3 Gas Turbines for Electricity Generation

From its first conception, gas turbines have been a major player in the elec-
tricity generation industry. The largest segment of non-aviation applications
of gas turbines is the utility electricity generation industry. Their quick start-
up (as low as several minutes) and fast load-changing capability make them
particularly suitable as utility power plants for peak-load power generation.
However, nowadays they are being used for intermediate and some baseload
duties, as well as CCPPs. They are also popular as backup and emergency
units as well as APUs. More recently, they are being utilized in distributed
power generation. Gas turbines are also used for starting large power plants
when the grid cannot provide initial electricity needed for start-up. Similarly
in this situation, when electricity from the grid is not available, gas turbines
can provide electricity needed for the safe plant shutdown, for example, for
lubrication and cooling of sensitive components. Based on the basic design
of gas turbines, they can be categorized into two groups: aeroderivative and
non-aeroderivative gas turbines.

9.4.3.1 Aeroderivative Gas Turbines

Aeroderivative gas turbines, as the name implies, are gas turbine units for
ground applications that use the modified design and components that are
originally created for aviation applications. As noted earlier, most research
and development activities on gas turbines are dedicated to aviation applica-
tions and most innovations are first introduced to these applications. Many
of these developments are eventually used by other gas turbine applications;
however, it makes sense to directly adapt these advancements to electric-
ity generation gas turbines. The concept of using airplane gas turbines for
ground applications is not new, and since the 1960s, aeroderivative gas tur-
bines have been used for electricity generation. Recent tremendous improve-
ments in turbofan engines have just accelerated this trend.
To convert a turbojet and turbofan engines to an aeroderivative ground
gas turbine, several modifications should be implemented. The fan, diffuser,
and bypass flow duct should be removed. A few extra stages of blades should
be added to the low-pressure section of the compressor (in front of the com-
pressor) to make up for the compression effects of the fan and the diffuser.
A few stages of expansion should be added. This is typically achieved by
adding new stages at the low-pressure section of the turbine. The new tur-
bine section is connected to the generator by a shaft that is independent of
the existing turbine sections from the original turbofan engine (referred to
as the gas generator). For this reason, the added turbine is usually referred
Gas Turbines 665

to as a free-power turbine. This configuration helps the compressor and tur-

bine from the original design and the free-power turbine to operate at their
optimum rotational speeds. The combustion chamber should be modified so
it can burn the fuel available for the ground application, commonly natural
gas or diesel fuel. However, these units cannot burn heavy fuels, and if these
are the only available fuels, heavy-duty gas turbines should be used (below).
Aeroderivative gas turbines have typically high efficiency of up to about 46%
and can be typically used for the power output range of between 20 and 100
MW. These units have high potential for the incorporation of regenerators or
heat recovery systems. Since aeroderivative gas turbines can start in a very
short time, in a couple of minutes from standstill to their full load, and can eas-
ily handle rapid load changes, they are ideal as peak-load units to stabilize the
grid as well as for emergency and backup units. Their other favorable character-
istics are their low capital cost, low maintenance, and simple remote operation.

9.4.3.2 Non-Aeroderivative Gas Turbines

Unlike aeroderivative gas turbines, these gas turbines are specifically designed
for ground electricity generation applications. Therefore, these gas turbines
are designed with requirements of electricity generation applications in
mind. For example, for these units, size and weight are not considered design
constraints. However, other parameters, such as long life (durability), high
availability, high efficiency, low emissions, fuel flexibility, and less noise level,
are considered critical for this type of gas turbines. Unlike aeroderivative gas
turbines, in these gas turbines, the external diameter of the unit (its frontal
area) is not limited so they can have a large frontal area. This reduces the
velocity of the inlet air flow, which in turn lowers the noise level of these units
compared to aeroderivative gas turbines. As noted in the historical review of
gas turbines, these units were developed parallel to aviation and aeroderiva-
tive gas turbines. In their early development stages, they commonly used
technologies that were developed for steam power plants but gradually they
moved toward aeroderivative gas turbine technologies. Nowadays they share
and exchange latest technologies with aeroderivative gas turbines.
The capital cost per kilowatt of these units is a function of their electricity
generation capacity. Therefore, they are categorized according to their size to
the following groups:

• Large-sized gas turbines

• Medium-sized gas turbines
• Small-sized gas turbines
• Micro gas turbines

Large-sized gas turbines are commonly referred to as heavy-duty or frame-

type gas turbines. Generally, these gas turbines have an electricity generation
666 Power Plant Engineering

capacity of above 100 MW. Currently, the largest units in this category have the
rating of above 500 MW. These units are extensively used for peak-load and
sometimes baseload electricity generation. They can achieve high pressure
ratios of 40 with up to 25-stage axial compressors. They can also have a TIT up
to low 1600°C using the latest blade cooling technologies. The components of
these gas turbines will be extensively discussed in the coming sections.
Medium-sized gas turbines have a rating of roughly between 5 and 100
MW. For the higher range of power generation capacity, roughly between 20
and 100 MW, this type of gas turbines shares the market with aeroderiva-
tive gas turbines. Small-sized gas turbines commonly have the rating below
5 MW. Both medium- and small-sized gas turbines share many aspects of
large gas turbines. They can be used for peak-load utility applications, distrib-
uted electricity generation, emergency and backup power units, and axillary
power units. Generally speaking, smaller gas turbines are less complex but
less efficient than larger gas turbines due to lower TITs and less-efficient com-
ponents. To improve their efficiency, they may be used as cogeneration units.

9.4.3.3 Micro Gas Turbines

Micro gas turbines, or simply microturbines, have a power rating of less
than 500 kW. They can be fueled by a variety of fuels, including natural gas,
diesel, biodiesel, petrol, and propane. In the late 1990s, there were great
expectations that microturbines can revolutionize the distributed power
generation sector. However, they have not been able to meet those expec-
tations. For widespread applications for distributed electricity generation,
microturbines must operate efficiently with low emissions at reasonable
capital costs. However, they are still expensive relative to other technologies.
Their efficiency is about 15%–18% (in simple configuration with no regenera-
tion or heat recovery), which results in high emissions. The emission level
is critical for urban applications since these units need to operate close to
population centers. Other requirements for microturbines are low mainte-
nance, rapid start-up and load change, quiet operation, and compactness.
To improve their efficiency, they can be equipped with a regenerator or a
heat recovery system. They commonly have a radial compressor and turbine
on single- or double-shaft rotating at very high speed, in some cases above
100,000 rpm. Regardless of these disappointing results, there are hopes that
in the future, microturbines can greatly contribute to electricity generation.

9.5 Gas Turbine Components

In this section, we will review the most important components of gas t urbines
for electricity generation.
Gas Turbines 667

9.5.1 Compressors
Compressors are one of the three main components of gas turbines where
the inlet air flow is pressurized. As previously noted, a significant portion
of the power generated in the turbine is used to drive the compressor so the
slightest inefficiency in the compressor design and manufacturing can have
substantial impacts on the overall performance of the system. Compressors
used in the gas turbine units can be either axial or centrifugal. Almost all
large- and medium-sized gas turbines, including aeroderivative units, use
axial compressors, while centrifugal compressors are more common for
small-sized gas turbines and microturbines.

9.5.1.1 Axial Compressors
In axial compressors, as the name implies, the direction of the inlet and out-
let flows, and the flow through the compressor are all parallel to the axis of
rotation (the axial direction). As noted in Section 9.3, from the beginning, gas
turbines used axial compressors. The very first-utility gas turbine, installed in
Switzerland in 1939, was equipped with a 23-stage axial compressor with the
pressure ratio of 4.4. In modern gas turbines, the pressure ratio of compres-
sors can be as high as 45. However, large-utility compressors typically have
more moderate pressure ratios of 14–35 (refer Section 9.2.2 for the reason).
The isentropic efficiency of these compressors is from high 80s to low 90s.
Similar to axial steam turbines (Chapter 6), axial compressors have alterna-
tive rows of moving blades (or vanes), known as the rotor, and fixed blades,
known as the stator. An axial compressor for a gas turbine is made of several
stages (for large gas turbines between 14 and 25), and each stage has one mov-
ing blade row attached to the main shaft and one fixed blade row attached to
the casing. The air pressure is slightly increased in each stage. The moving
blades impart energy to the passing air flow, which accelerates the flow and
increases its velocity and kinetic energy. Then, the diverging fixed blades
deaccelerate the flow by acting like a diffuser that converts the kinetic energy
of the flow to pressure (unlike turbine fixed blades that are converging and
act as a nozzle). The fixed blades also adjust the direction of the flow so it
can enter the next stage of moving blades at an optimum angle. The pres-
sure ratio of each stage of modern compressors can be between 1 and 1.5.
Aeroderivative compressors are typically operated on the higher end of the
range and utility compressors on the lower and middle end of the range. This
incremental pressure increase helps these compressors to achieve very high
efficiency. Besides all the fixed blade rows between the moving blade rows,
there is a row of fixed vanes, commonly known as inlet guide vanes (IGVs),
before the first moving row to induce a swirl motion in the inlet air flow so
the flow enters the first stage at an optimum angle. The pitch angle of these
vanes is typically variable. Similar to the IGV, the initial few rows of fixed
blades, up to five rows, are typically equipped with variable pitch blades.
668 Power Plant Engineering

This capability helps them to adjust the flow direction so the air flow enters
moving rows at an optimum angle during part-load operation and when the
flow density varies due to change in ambient conditions. Finally, after the
last row of moving blade, there is another row of fixed vanes, known as exit
guide vanes (EGVs), to provide one final diffusion process and also to con-
trol the air flow so it can enter the combustion chamber at desired conditions,
especially a proper velocity.
Fundamentally, the design of compressor blades is very similar to the
design of steam turbine blades, as discussed in Chapter 6. The main differ-
ence is that compressor blades impart energy to the flow rather than extract-
ing energy from it. Figure 9.23 shows the variation of velocity and pressure
throughout various fixed and moving rows of an axial compressor. This is
very similar to Figure 6.14 for a reaction steam turbine; only here the pres-
sure increases while the flow advances axially through the compressor. Note
that, similar to a reaction steam turbine, the velocity decreases in the fixed
rows and pressure continuously increases in both moving and fixed rows.
Also note that since no energy is added in fixed rows, the total pressure
(which is the sum of pressure and kinetic energy) remains constant, while

Moving blades Fixed blades

IGV

EGV
Pressure
Velocity

FIGURE 9.23
Variation of velocity and pressure throughout various fixed and moving rows of an axial
compressor.
Gas Turbines 669

the pressure increases even in fixed blades because of conversion of kinetic

energy to pressure (via the diffusion process). The rule of thumb on the dis-
tribution of the load on various stages of the compressor is that the total
energy (enthalpy) that needed to be added to the flow should be (roughly)
equally distributed among stages. This may not be reflected in equal pres-
sure increase in stages.
To evaluate the distribution of pressure increase in fixed and moving rows
within each stage, a parameter called the degree of reaction is used. The
degree of reaction is defined as the ratio of increase in the flow pressure in
the moving blades to the pressure increase in the entire stage (i.e., the sum of
pressure increase in the moving and fixed blades). A 100% degree of reaction
means that the entire pressure increase of the stage occurs in the rotor, i.e.,
an impulse stage. A common degree of reaction for axial compressors used
in aeroderivative gas turbines is 50%. For heavy-duty gas turbines, higher
degree of reaction is typically used. A higher degree of reaction means that
more kinetic energy is converted to pressure in the rotor so the flow leaving
the rotor and entering the stator is at lower velocity. Note that the fixed blades
should change the direction of the flow so the flow can enter the moving
blades at an optimum angle. Therefore, a lower velocity is more desirable
in the stator because it reduces turbulence in fixed blades and improves the
overall efficiency of the compressor. However, this requires more stages of
compression for a given pressure increase, which in turn increases the size
and weight of the compressor. For ground gas turbines, the size and weight
are not critically important factors, so high degrees of reaction are common,
whereas for aviation gas turbines, these two factors are critical, so lower
degrees of reaction are more common.
As it is clear in Figure 9.23, the height of blades increasingly reduces along
the axis of the compressor (the higher-pressure blades are shorter). This is to
maintain the velocity of the air flow at various stages of the compressor. Since
the pressurized air is denser, to keep velocity constant, the area of the flow
and as a result the height of blades should reduce (according to this equation,

V = m/ρA).
The early axial compressors had untwisted blades with a symmetrical pro-
file that did not change throughout various stages. However, this has sub-
stantially changed in the past few decades. Particularly, the applications of
computational fluid dynamics (CFD) have provided tools to design optimum
blades for axial compressors. Modern compressor blades are on one side con-
cave and on the other side convex (Figure 9.24). Since the compressor rotates
toward the concave side, this side is the front of blades and is called the pres-
sure side, while the convex side is behind blades and is called the suction
side. These blades are typically made of special alloys of stainless steel and
usually are coated by metal and/or ceramic protective coatings.
To design the profile of an airfoil (aerofoil) for an axial compressor,
velocity vector diagrams can be used. The principles of velocity vector dia-
grams for axial compressor blades are similar to those described for steam
670 Power Plant Engineering

Pressure side
Air flow

Direction of
rotor motion

Suction side

FIGURE 9.24
Pressure and suction sides of a moving blade row.

turbine blades (in Chapter 6). Note that nowadays these diagrams are usually
used for preliminary design steps and detailed designs of modern compres-
sor blades are based on the radial equilibrium theory.9
Traditionally, the shape of compressor blades is designed based on pre-
existing airfoils. The most well-known and common airfoil profile catego-
rization is called NACA. In the first half of the 20th century, the National
Advisory Committee for Aeronautics (NACA)10 developed and tested many
airfoils. The curvature of these airfoils is expressed in the form of several
numerical values. Accordingly they can be recreated using these parameters.
These profiles have been published, and their properties, particularly their
drag and lift coefficients, have been used to design airfoils in many indus-
tries, including axial compressor blades. For each airfoil, these parameters,
most notably drag and lift coefficients, vary with the angle of attack of the
airfoil with respect to the direction of the unaltered flow, the Reynolds num-
ber, and the roughness of the airfoil. Nowadays, there are many other airfoil
databases that are available for this purpose. Note that the drag and lift coef-
ficients are defined by the following equations:

FD
CD = (9.66)
1 AρV 2
2

FL
CL = (9.67)
1 AρV 2
2

where CD and CL are the drag and lift coefficients, respectively; FD and FL are
the drag and lift forces, respectively; ρ is the fluid density; A is the character-
istic area of the airfoil; and V is the velocity of the fluid flow.

9 This topic is out of scope of this text. For more information on the topic, refer to turbomachin-
ery design textbooks.
10 The National Advisory Committee for Aeronautics (NACA) was an agency in charge of the

U.S. federal government’s activities related to aeronautic in the first half of the 20th cen-
tury. In the late 1950s, it was replaced by the newly formed National Aeronautics and Space
Administration (NASA).
Gas Turbines 671

9.5.1.2 Centrifugal Compressors
In centrifugal compressors, the flow of air through the compressor is radial
(hence the other common name radial compressors). This type of compres-
sor is common for small gas turbines and microturbines. A combination of
axial and centrifugal compressors, sometimes referred to as axi-centrifugal
compressors, are also used in some small gas turbines (typically for units
at the higher end of the capacity range for small gas turbines) where the air
flow first goes through several axial stages followed by a centrifugal one.
While centrifugal compressors are generally less efficient than axial com-
pressors, they have a higher-pressure ratio per stage, which makes it pos-
sible to achieve high enough pressure for the combustion chamber with even
one-stage compression. They can also be safely operated with a wide range
of operating conditions, which is an important attribute for load-following
units. Furthermore, they are relatively simpler to design and manufacture,
more reliable, and shorter in length compared to axial compressors with the
same pressure ratio. Finally, they are less sensitive to solid deposit buildup
on blades.
In centrifugal compressors, the axial air flow enters the center (known as the
eye) of the rotor (also known as the impeller) (Figure 9.25). These compressors
may or may not be equipped with IGVs. The flow direction is rotated by 90°,
from the axial flow to the radial flow, while going through the inducer section
of the impeller. The flow is then accelerated due to the energy imparted to the
flow on the exducer section of the rotating impeller. The impeller also acts
as a diffuser since with an increase in the radius, the area normal to the air
flow increases. The impeller can be either shrouded (also referred to as open)

Scroll

Diffuser vanes Eye

Impeller

Exducer

Inducer

FIGURE 9.25
Schematic of a centrifugal compressor.
672 Power Plant Engineering

or unshrouded (closed). Depending on the orientation of vanes, impellers

can be radial, backward-curved (or backward-swept), or forward-curved (or
forward-swept) (Figure 4.38). Backward-curved impellers are more common
than the other two types. The flow leaving the impeller is further diffused
through the diffuser, which is made of diverging vanes. The conversion of
kinetic energy to pressure is often equally divided between the impeller and
the diffuser. The flow from the diffuser is exhausted to the scroll, volute, or
collector where it is led to the outlet of the compressor and eventually to the
combustion chamber.

9.5.1.3 Compressor Performance
Like every other component, compressors must be designed to operate
with their maximum efficiency at design conditions and operate safely at
off-design conditions. Most other systems can safely operate at off-design
conditions, albeit at lower efficiency than their design conditions. However,
if not properly designed, the operation of compressors at certain off-design
conditions can lead to catastrophic consequences. Off-design conditions in a
compressor can be encountered not only during part-load or overload opera-
tion of gas turbine units, but also during start-up and shutdown sequences
(discussed later in this chapter), variation in ambient conditions (particularly
ambient temperature), or any other unexpected operational conditions. Note
that the discussions in this section are applicable for both axial and centrifu-
gal compressors.
In order to understand the performance of a compressor at off-design
conditions, we need to introduce the performance curve of compressors.
The performance curve of a compressor shows the relationship between
the pressure rise (head) across the compressor and the mass flow rate of the
gas passing through the compressor (similar to that of pumps discussed in
Section 7.3). The axes in performance curves are sometimes expressed as
dimensionless numbers or percent of design values relevant to each param-
eter. It can be shown that the relationship between pressure head and mass
flow rate at an ideal condition with no losses is linear (Figure 9.26). To get an
actual performance curve, clearly flow losses should be taken into account.
The most important losses are frictional, incident, and clearance losses. The
frictional losses are due to fluid friction while passing through the compres-
sor and are a function of the square of the air flow velocity. Note that even in
the optimum operating condition, friction losses are present. The magnitude
of these losses rises with an increase in velocity (and mass flow rate). The
incident losses are due to misalignment of the gas flow with respect to the
surfaces of the blades (both moving and fixed blades). They are sometimes
referred to as shock losses. This naming might be misleading because there
is no relationship between these losses and the shock phenomena that occur
in supersonic compressible flows. Since in the optimum condition the blade
contours are designed to be parallel to the flow direction, these losses are
Gas Turbines 673

Surge point
Theoretical curve
Pressure head

Losses

Actual curve

Mass flow rate

FIGURE 9.26
Performance curve for an ideal and actual compressor.

minimal at the design condition. The clearance or leakage losses are due to
the gas flow through the gap between the blade tips and the casing (scroll).
The actual typical performance curve, also known as the performance map,
is also shown in Figure 9.26. Due to the complexity of the flow in real com-
pressors, these curves are always created from experimental values from
compressor performance tests. The performance curves are typically created
for various shaft speeds and include the islands of constant efficiencies.
Before continuing our discussion on the compressor performance curve,
let us consider incident losses in more detail and how they contribute to stall
in compressors. Figure 9.27 shows an airfoil in the flow of air with varying
attack angles (the angle between the unaltered flow and the blade) and the
diagram of the lift and drag forces as a function of the attack angle. As the

Lift
Lift and drag forces

Attack
angles
Drag

Attack angle

FIGURE 9.27
Relationship between attack angles and lift and drag forces.
674 Power Plant Engineering

diagram shows the increase in the attack angle, both lift and drag forces
increase. At a certain attack angle (perhaps around 20°), the lift force
reaches a maximum. If the attack angle is further increased, the flow sepa-
ration occurs, which results in a sharp decline in the lift force and a signifi-
cant rise in the drag force. This separation limits the pressure increase
in each stage of a compressor and is the reason for compressors needing
many stages of compression. This phenomenon is known as the blade
stall. Stall can happen whenever an airfoil and gas are in relative move-
ments. Stall has been the cause of some high-profile airplane accidents,
including Air France Flight 447 in 2009 killing all 228 passengers and crew
on board and Colgan Air Flight 3407 crashed in New York in 2009 killing
50 people.
In compressor blades, stall typically happens locally and is due to a mass
flow rate either much higher or much lower than the design mass flow rate.
In Figure 9.28, let us assume blade A is the first one to stall due to the exces-
sive angle between the blade and the air flow. Note that stall can occur in the
entire length of the blade or just a portion of it. Due to the flow separation in
the suction side of the blade, this stalled blade cannot impart sufficient kinetic
energy into the air flow. This means the air pressure cannot be increased as
expected and air cannot flow through the passage between this blade and
the adjacent one. The blocked air has to be diverted around the blades next to
the stalled blade, which in turn will stall them. This mechanism moves stall
around the stage at the rotation rate of about half of the rotation speed of the
shaft. This stall mechanism can cover several blades of a stage at once and is
called rotating or propagating stall.
It should be noted that a compressor can have one or more stages stalled,
while other stages are unstalled. For example, consider a case when the air
flow rate reduces compared to the design flow rate. In the first stage of com-
pression, for almost the same power induced to the flow, there will be less

Air flow in stalled

blades
(redirected )
Air flow in unstalled
blades

Direction of
rotation

Pressure Suction
side side

FIGURE 9.28
Rotating or propagating stall of a compressor stage.
Gas Turbines 675

air flow. This results in a higher-pressure rise in the stage than that in the
design condition, which in turn increases the air density and reduces the air
volumetric flow rate. This will result in even more pressure rise in the second
stage, and so on. The accumulation of this effect causes the final stages of the
compressor to stall, while the early stages are unstalled. Similar phenomena
can occur when the air flow rate is higher than that in the design point (but
in the opposite direction). While stall negatively impacts the efficiency of a
compressor and may cause some noise, a compressor can operate with one or
more stages stalled.
As noted, stall is due to local flow separation in blades. If the flow separa-
tion is expanded to an entire stage, it is known as the compressor surge.
Similar to stall, surge hinders the ability of the stage to pressurize the flow.
However, unlike stall that the air flow could be diverted to other blades,
surge in a compressor stage results in most of the air flow not being able to
pass through the stage. As a consequence of this temporary blockage, the
pressure of the flow right after the surged stage abruptly drops. If this pres-
sure is lower than the pressure of the already-compressed air downstream
of the surged stage, the air flow will reverse. This means after the surged
stage the air flow will be from the compressor outlet toward its inlet. But
this effect is temporary because the discontinuation of the air flow and the
air flow reversal gradually reduces the pressure downstream of the surged
stage. This will eventually rebuild a sufficient pressure gradient to restore
the air flow. However, if corrective actions are not taken, this will lead to
another cycle of surge. As you can imagine, in this situation the compressor
cannot deliver the required compressed air. But the consequences of com-
pressor surge can be much more serious. As a result of the air flow reversal,
all the forces imposed on the blades are reversed, which can create excessive
vibration and noise. It can also damage compressor bearings. In a worst-case
scenario, continuous surge can overwhelm bearings that results in the axial
movement of the shaft and the collision of fixed and moving blades and the
destruction of the compressor.
Beyond the compressor, the shortage of oxygen in the combustion
chamber can cause flameout or incomplete combustion, which results in
unburned fuel in the combustion products. The visible effect of the pres-
ence of unburned fuel in the exhaust is sudden explosive combustion in the
exhaust flow where there is enough air available to complete the combustion
process.11 Compressor surge can have very serious consequences for avia-
tion gas turbines. In some cases, the engine stall was initiated by the engine
striking a bird. For example, the U.S. Airways Flight 1549 accident in 2009,
which later became known as the “Miracle on the Hudson”, was caused by
gas turbine stall due to a Canadian geese striking the engine.

This is more significant in aviation gas turbines. There are many videos in youtube.com
11

showing this phenomenon in airplane engines.

676 Power Plant Engineering

Surge margine

Pressure head
Design points

D
B Operating Operating line
range

Unstable
operation
C Performance
curve for certain
rotational speed
A

Mass flow rate

Choke line Increase in rotional speed

FIGURE 9.29
Compressor performance curve, surge margin and choke line.

The compressor surge can also be explained using the compressor per-
formance curve (Figure 9.29). Starting from the bottom-right corner of the
curve (point A), if we reduce the air mass flow rate, the outlet pressure of the
compressor increases. As long as the pressure increases, the compressor can
push the inlet air out and can continue a stable operation. However, at point
B, the pressure is maximum, and if the air mass flow rate reduces beyond this
point, the outlet pressure starts to reduce. Theoretically, for mass flow rates
lower than the mass flow rate of point B, the compressor can surge. When the
mass flow rate further reduces beyond point B, the mass flow rate and the
outlet pressure reduce simultaneously. This means the compressor cannot
push the air out because the pressure that it can generate is lower than the
pressure of the air already pressurized. This can result in the air flow reversal
in the compressor. In reality, considering many parameters that can impact
the performance of the compressor, there is a surge margin. Manufacturers
include a surge limit in the performance curve of compressors, which is at
or near the point where the slope of the curve is zero. As noted, the perfor-
mance map includes the performance curves for the compressor operating at
various shaft rotational speeds. The surge line can be created by connecting
surge points for various performance curves. Similarly, connecting design
operating points at various shaft speeds will form the compressor operating
line. The operating line of a compressor must be always to the right of the
surge line with a certain safety margin.
The compressor performance curve in Figure 9.29 indicates that for a
given rotational speed of the compressor, reducing the air mass flow rate can
result in the compressor surge. Similarly for a given mass flow rate, increas-
ing the rotational speed can cause surge (moving from point C to point D in
Figure 9.29).
Gas Turbines 677

So far we learned that the performance of a compressor is limited at a low

mass flow rate by compressor surge. On the other end, the performance of
a compressor is limited at high air mass flow rates by compressor choke.
The choke phenomenon occurs for a compressible fluid flowing through a
nozzle or any other restrictions. When the pressure difference between the
upstream and downstream of the restriction rises, the flow rate through
the restriction, and hence the flow velocity, increases. This continues until
the fluid velocity reaches the speed of sound (Mach number = 1). This is the
maximum flow and velocity achievable for a given condition and reducing
the pressure of downstream will not increase the flow rate anymore. The
flow in this condition is called the choked flow.
In the compressor performance curve, the choke line shows when the flow
through the compressor is choked (Figure 9.29). For a given compressor oper-
ating at a given rotational speed, the fluid mass flow rate is maximum at the
choke point and it cannot be increased beyond this point. This point is also
referred to as stone wall. While operating a compressor at choke conditions
can significantly reduce its efficiency, unlike compressor surge, it does not
lead to a physical damage to the compressor.
Referring back to Figure 9.29, we can observe that the surge margin defines
the lower limit of the air mass flow rate through a compressor and the choke
line defines its upper limit. The operating line of a compressor can be located
between these two lines. For a given rotational speed, the compressor’s sta-
ble operating range can be only between the stall and choke points. Note
that designers try to choose a compressor in which the operating line is as
close to the surge margin as possible while keeping a safe distance from
the surge margin. Remember that when the operating line is away from the
surge margin, it means the pressure increase of the flow is less than what
the compressor can potentially provide, which in turn indicates oversizing
the compressor (i.e., lower loading per stage).
Using multiple-shaft (twin- or triple-spool) gas turbine configurations,
variable inlet guide vanes (VIGVs), and variable stator vanes (VSVs) can help
to reduce the possibility of surge. However, even with these provisions and
an appropriate compressor design, at least during the system start-up and
shutdown, the compressor would cross the surge margin and will tempo-
rarily operate at the unsafe region of the performance map. To avoid surge
during start-up and shutdown, compressors are equipped with bleed valves.
These valves are located on the casing in the intermediate stages of the com-
pressor. Their function is to extract (bleed) air half a way through the com-
pressor. We already noted that how at low mass flow rates, overcompression
of the air flow at the early stages of a compressor causes later stages to stall.
Using bleed valves, we allow the air mass flow rate at the early stages of the
compressor to be higher than that in later stages, which will delay surge. To
remove dirt and other fouling materials from the surface of blades and to
reduce the possibility of surge, the compressor blades are frequently washed
with a specific solvent and demineralized water at a low rotational speed.
678 Power Plant Engineering

9.5.2 Combustion Chambers
A combustion chamber or a combustor is where the high-pressure air from
the compressor is mixed with fuel and is combusted. The heat generated
in the combustion process increases the temperature of combustion prod-
uct gases, which are then sent to the turbine to produce power. Combustion
chambers are designed to operate at the highest possible efficiency so that
they can transfer the maximum possible thermal energy to the air flow for a
given fuel rate while satisfying the emission limits imposed by appropriate
regulations. Accordingly, the efficiency of a combustion chamber is defined
as the ratio of the increase in the enthalpy of the flow through the combustor
to the heat content of the fuel. Either the lower or higher heating value of the
fuel can be used to determine its heat content depending on the predeter-
mined standard or convention.

ηComb =
∆hGas
=
( m Air + m Fuel ) hOutlet hot gases − m Air hInlet air (9.68)
Heat content of inlet fuel  Fuel LHV
m

The pressure drop in combustion chambers should be reduced to the lowest

possible so the pressure ratio in the expansion process in the turbine can be
as close to the pressure ratio of the compressor as possible. The pressure drop
in a combustion chamber can be up to 10% of the compressor outlet pres-
sure and is proportional to the square of air velocity through the chamber.
Furthermore, the temperature uniformity in the outlet flow from the com-
bustion chamber is critical because an uneven distribution of flow tempera-
ture in the inlet of the turbine can cause severe thermal stress on the turbine.
Also, we know that the TIT is limited by the maximum temperature of the
combustion chamber. This means in an uneven temperature distribution,
the average TIT will be less than what it could have been if the tempera-
ture distribution was more uniform. Combustion chambers should also be
capable of operating at a wide range of operating conditions while maintain-
ing acceptable combustion stability and efficiency. Moreover, effective use
of available space is important, particularly in aviation applications and by
extension aeroderivative gas turbines.
As noted in the examples in Section 9.2.1, the temperature of the air flow
increases throughout the compressor. This temperature which is the inlet
temperature to the combustion chamber depends on the pressure ratio of the
compressor. Furthermore, the combustion chamber inlet temperature will
be higher if the unit is equipped with a regenerator. Due to these factors, the
combustion chamber inlet temperature can vary significantly. However, the
outlet temperature of the combustion chamber is limited by the TIT and can
be somewhere between 900°C and 1700°C.
The combustion temperature within the combustion chamber is typically
above 1800°C and can be as high as 2000°C. This high-temperature flow
cannot be directly sent to the turbine since its temperature exceeds the TIT.
Gas Turbines 679

To reduce the temperature of the combustion products to the temperature

acceptable for the turbine, the flow rate of the inlet air must be much higher
than that required for the stoichiometric combustion process. This results in
excess air of as high as 300% or even higher. This high air flow rate means the
very high velocity of air (as high as 180 m/s). This extremely high air veloc-
ity can create two problems for combustion chambers. First, as noted above,
the pressure drop within the combustor is proportional to the square of air
velocity. The high air flow rate means the high air velocity, which results in
a significant and unacceptable pressure loss in the combustor. To avoid this
undesirable effect, a diffuser is needed in the inlet to the combustion cham-
ber to reduce the air velocity. The second problem of high air velocity is that,
even with the diffuser (which can reduce the air velocity to about 25 m/s), the
air velocity is still high enough to blow away the flame (think of extinguish-
ing the flame of a candle by blowing). In order to sustain stable combustion,
the flame should be protected from the whole air flow and allow only a frac-
tion of the air flow to come in contact with the combustion process. This can
be achieved by creating a region where the air velocity is in an acceptable
magnitude.
Based on their emission level, combustion chambers for gas turbines are
generally categorized as diffusion-type combustors and low-emission/NOx
combustors. In the following section, we will cover the working principles
of diffusion-type combustors and their different types. Then, we will dis-
cuss how low-emission/NOx combustors have evolved from diffusion-type
combustors.

9.5.2.1 Diffusion-Type Combustion Chambers

There are several types of diffusion combustion chambers but they share the
same fundamental operation principles. So we first discuss how a generic
diffusion-type combustion chamber works, and then we will evaluate the
unique aspects of each specific type. In order to achieve an acceptable TIT
while maintaining stable combustion, the incoming air to the combustor is
divided to three main parts: primary air, secondary air, and dilution air. The
primary air directly participates in the combustion process. The secondary
air creates recirculation needed to sustain the flame. Finally, the dilution air
is used for cooling the chamber and to reduce the temperature of combustion
products. The combustion process takes place in a container called the flame
tube (or combustion liner). Figure 9.30 shows an old combustor design that
we will use to explain the operation of diffusion-type combustion chambers.
Later, we will explain how modern combustion chambers have evolved from
this design.
The primary air enters the flame tube at the left end of the tube, possibly
after going through swirl vanes to impart circulation into the air flow. The
primary air is typically sufficient for the near stoichiometric combustion pro-
cess. Depending on the level of excess air, the primary air can be one-fifth to
680 Power Plant Engineering

Combustion product circulation

Flame tube Air casing

Swirler

Fuel To turbine
injector

Primary
air
Flame

Secondary Dilution
air holes air holes
Primary Secondary
zone zone

FIGURE 9.30
Schematic of a straight-through diffusion-type combustion chamber.

one-third of the total inlet air flow. The fuel is injected into the primary air
to form the primary zone where the flame is anchored and most of the com-
bustion process takes place. Note that in these combustors, air and fuel are
mixed in the primary zone (we will later discuss that in modern combustors,
the air and fuel flows are premixed before entering the combustion area). The
rest of the inlet air is directed to the space between the flame tube and the
air casing. In the case of Figure 9.30, the air casing is a concentric container
enclosing the flame tube.
To have a stable and self-sufficient flame, a mechanism should be devised
to protect the flame; otherwise, combustion products will be quickly carried
away by the air flow, and a permanent presence of an ignitor is required. For
this purpose in the downstream of the primary zone, some of the remaining
air (about 20% of the total air flow rate) is admitted into the flame tube as
the secondary air via specifically designed secondary air holes. The second-
ary air interacts with the primary air flow to create a pattern of vortexes
to recirculate a portion of the high-temperature combustion products back
to the primary zone to ignite the fresh air and fuel mixture and to sustain
the flame.
As noted earlier, the temperature of the combustion products is much
higher than the TIT. The next stage is the dilution zone (sometimes referred
to as the secondary zone) where the remaining air is used to moderate the
temperature of the combustion gases before being sent to the turbine. The
admission of most of the inlet air flow in the dilution zone helps to provide
a more uniform flow temperature at the inlet of the turbine. It also shortens
the length of the flame, which in turn reduces the length of the flame tube
and helps in having a more compact combustor. Over half of the entire air
Gas Turbines 681

flow is introduced to the flame tube in this zone. About one-third of this
air is directly admitted through one or more rows of holes or slots and
mixes with the combustion products. The rest of the air flow first provides
cooling for the walls of the flame tube before mixing with the combustion
products. The cooling of the walls is critical since the intense combustion
within the flame tube can increase the temperature of the walls, via radia-
tion, to temperatures well above those the tube material can tolerate. For
this purpose, air is passed through specially designed holes to form a layer
of cooling air along the inner walls of the flame tube to separate them from
the hot combustion products. This is called film cooling. To reduce the air
flow required for cooling, sometimes the cooling air passes through pas-
sages built into the wall before being injected into the chamber for film
cooling. Later, we will see that this is desirable because it leaves more air for
emission control processes. Furthermore, in modern combustors, the walls
may be coated with ceramic materials or covered with refractory bricks or
metallic tiles to provide more protection against high-temperature combus-
tion products. Also, some newer combustors use steam flow in the passages
to provide cooling.
It is important to make sure that all fuel is completely burned before the
secondary zone since the cooling effect of dilution air will mostly stop prog-
ress in the combustion reaction. All unburned fuel, primarily in the form of
CO, can remain in the flow if they reach the secondary zone. This is undesir-
able since it reduces the combustor efficiency and contributes to emissions
in the exhaust. To avoid these problems in some designs, primarily older gas
turbines, when the combustion process cannot be completed in the primary
zone, a small portion of the remaining air is injected into the intermediate
zone (also known as the burning zone) to complete the combustion reaction.
Before explaining various types of combustion chambers, it should be
noted that generally combustors can be straight-through flow or reverse flow.
In the straight-through-type combustors, the air flows parallel to the flame in
the same direction (Figure 9.30). In reverse flow-type combustors, the air flow
is in the opposite direction of the flame. This means in Figure 9.31 that the

To turbine

Air flow inlet

FIGURE 9.31
Schematic of a reverse flow diffusion-type combustion chamber.
682 Power Plant Engineering

air flow enters the combustor at its right end. While the former is popular in
large aviation and aeroderivative gas turbines, both configurations are used
in electricity generation units. There are four types of diffusion combustion
chambers: can, annular, can-annular, and silo-type. We will cover these com-
bustors in the following sections.

9.5.2.2 Can Combustors
Can combustors are sometimes referred to as tubular combustors or simply
multiple-chamber (or multiple-can) combustors. In these combustors, sev-
eral individual cans (between 6 and 16) are placed between the compressor
and the turbine around the shaft connecting them (Figure 9.32). Each can
is made of a flame tube surrounded by a concentric air casing. The air flow
from the compressor is divided into several flows and directed to each can
via a dedicated duct. Each can receives fuel from a common fuel line and
has its own fuel injection system. The flame tubes are connected by connect-
ing tubes (also referred to interconnectors, crossover, or cross-fire tubes) to
equalize the pressure between cans. Also, typically only two of the cans are
equipped with an igniter so the connecting tubes help to initiate the combus-
tion among all cans during start-up. The basic working principles of these
combustors were discussed in Section 9.5.2.1. Most early aviation gas tur-
bines used this type of combustors. The main reason is that these combustors
are relatively easy and inexpensive to test. Note that due to the complexity
of combustors, their development was and to some degree still is primar-
ily based on experimentations. For these combustors, tests can be conducted
on a single can, and then, the results can be extended to the whole system.
Furthermore, they provide easy maintenance access to cans and their fuel
injection systems. However, they need a long flame tube, which results in

Connecting
tubes
To turbine

Compressed Air casing

air from
compressor
Flame tube

(a) (b)

FIGURE 9.32
Schematic of a can combustor a) side view b) front view.
Gas Turbines 683

high weight and volume with a large frontal area. These combustors are not
used in modern gas turbines and are currently only used for some small gas
turbines with centrifugal compressors.

9.5.2.3 Annular Combustors
Similar to can combustors, annular combustors are located between the
compressor and the turbine, and placed around their common shaft.
However, unlike can combustors, they have a single flame tube created
by an inner and outer concentric casing forming a ring-shaped combustor
around the shaft (Figure 9.33). These combustors are open to the compres-
sor on one end and to the turbine on the other end. Their combustion pro-
cess and air distribution are similar to what was explained in Section 9.5.2.1
except that they have many fuel injectors creating flames in a single contin-
uous space. They can achieve excellent combustion performance at a very
short length, which makes them compact, light, and relatively inexpensive
to manufacture. These attributes make them an ideal choice for aviation
gas turbines. Due to their streamlined shape, they have a low-pressure
drop. Moreover, they have a small surface area, compared to other com-
bustors. This means they require less air for cooling, which in turn leaves
more air for a complete combustion process and emission control system.
Furthermore, since there is only a single flame tube, they do not require
a propagation system, similar to the interconnecting tubes for can com-
bustors explained in the previous section, and can avoid problems associ-
ated with it. Due to all these positive attributes, they are very common in
airplane gas turbines and are also used in some electricity generation gas
turbines. However, they have some drawbacks. They are structurally weak
due to heavy buckling loads on the large inner and outer ring-shaped walls.

Outer casing

From To turbine
Flame tube
compressor

Inner
casing

(a) (b)

FIGURE 9.33
Schematic of an annular combustor: (a) side view and (b) front view.
684 Power Plant Engineering

It is also difficult to create an even fuel distribution around the flame tube,
which makes the temperature distribution in the outlet flow to the turbine
less uniform. Finally, these combustors are more expensive to develop since
to test them, unlike can combustors, an entire combustor should be built
and full-load air and fuel flows should be provided. These combustors are
typically straight-through.

9.5.2.4 Can-Annular Combustors
Can-annular combustors, also known as tubo-annular combustors, are a
crossover between can combustors and annual combustors. Similar to can
combustors, they have several (usually 5–16) cans acting as the flame tubes
placed uniformly around the shaft between the compressor and the turbine.
Each can have its own fuel injection system and is connected to adjacent cans
by interconnectors to equalize the pressure among the cans and to propagate
the flame during start-up (note that typically only two cans are equipped
with igniters). However, can-annular combustors, similar to annual combus-
tors, have a common annular air casing. This hybrid nature of can-annular
combustors helps them to enjoy mechanical strength and ease of mainte-
nance of can combustors and compactness of annular combustors. Many
large-utility gas turbines use this type of combustion chamber. The oper-
ation principles of these combustors are similar to what was explained in
Section 9.5.2.1. These combustors can be straight-through or reverse flow. The
former is used for some aircraft gas turbines, while the latter is more popular
with electricity generation gas turbines.

9.5.2.5 Silo-Type Combustors
This type of combustor is the oldest technology used for gas turbines. The
first-utility gas turbine, explained in Section 9.3, used this type of combustor.
Unlike other types of combustors discussed so far where the combustor is
physically located between the compressor and the turbine, these combus-
tors are made of one or two large cylindrical chambers placed next to the
rest of the gas turbine system. The high-pressure air from the compressor is
transferred to the combustor via air ducts, and high-temperature combus-
tion products are transferred from the combustor to the turbine through
combustion product ducts. Early combustors had vertical chambers, which
resembled silos, hence the name. However, later both vertical and horizontal
combustors became popular so they are sometimes referred to as side com-
bustors too. Their operational principles are similar to what was described
in Section 9.5.2.1. They may have a louver cooling system where the dilu-
tion air flow enters the flame tube via overlapping cylindrical tube seg-
ments. Alternatively, they may have holes on the walls where the air flow is
admitted. Historically, these combustors have been predominantly used in
European gas turbine designs.
Gas Turbines 685

Since these combustors require large space, they are only used for large
ground applications where the size of the system is not an important fac-
tor. They can be straight-through flow or reverse flow type. Due to the large
diameter of combustors, they have a relatively low velocity of the flow, which
results in a low-pressure drop in these combustors. They are also simple to
design and manufacture, easy to maintain, and durable. They can also burn
low-quality fuels. Regardless of these advantages, they were typically used
in old European gas turbines, and a great majority of modern gas turbines
are equipped with either annual or can-annual combustors. The main rea-
son for abandoning silo combustors was the high air flow needed for the
cooling of the walls which limited employment of the NOx emission reduc-
tion technologies.

9.5.2.6 Low Emission and Low NOx Combustors

As explained in Section 9.5.2.1, in diffusion combustors, the fuel combustion
process in the primary zone is under near stoichiometric air. This means a
very high flame temperature, which in turn requires a high quantity of mix-
ing air flow in the delusion zone and for the cooling of the walls. As noted
in Chapter 5, one mechanism for NOx generation is thermal NOx production,
which is promoted at high-temperature environments. Therefore, the high-
temperature combustion in diffusion combustors means high NOx produc-
tion. Until the late 1970s, there was no meaningful regulation to limit gas
turbine emissions. In 1977, in the U.S. the Environmental Protection Agency
(EPA) started to put a legal cap on emissions that gas turbines can release to
the environment under the Clean Air Act (CAA). Initially, only NOx emis-
sion was regulated but later with an increase in other emissions as a result of
NOx control technologies (discussed below), carbon monoxide and unburned
hydrocarbons were also regulated. The early NOx limit was 75 volumetric
parts per million (vppm) at 15% oxygen (dry basis) for single gas turbines
and the gas turbine portion of combined cycles. This was substantially lower
than about 500 vppm NOx level of the gas turbine exhaust flows for pre-1970s
units. Since then, these regulations have become more and more stringent
and currently are a part of the National Emission Standards for Hazardous
Air Pollutants (NESHAP). By the mid-1980s, the NOx level of about 30 vppm
was common. Currently, large modern-utility size gas turbines have a single-
digit NOx emission, as low as 5 vppm. The goal is to reduce it to lower than
2 vppm. Before continuing this section, it might be a good idea to review
Section 4.6.4.1 on the mechanisms of NOx generation in the combustion pro-
cess. Note that since the majority of gas turbines are fueled with natural gas,
the primary concern is thermal NOx production and fuel NOx is not typically
an important factor. Thus, most NOx reduction approaches for gas turbines
are focused on reducing the flame temperature. This is a dilemma for gas
turbine designers because we know that a higher TIT improves the efficiency
of a gas turbine. So the objective here is to reduce the maximum temperature
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of the combustion process without compromising the outlet temperature of

the combustor.
Gas turbine NOx reduction approaches can be divided into two groups:
those that reduce NOx production during the combustion process and those
that remove NOx from combustion products after its production during the
combustion process. The most common approach to remove NOx from com-
bustion products is the selective catalytic reduction (SCR) system that was
discussed in Chapter 5. The most common techniques to reduce NOx produc-
tion during combustion are as follows:

• injection of water or steam into the combustor

• dry low NOx (DLN) combustion
• catalytic combustion

In the following sections, we will discuss these technologies. But before

it should be noted that there are other NOx reduction technologies for gas
turbines but they are not common. One such method is to combust a rich
air and fuel mixture in the primary zone followed by rapid cooling of the
gases and finally the lean combustion of remaining fuel by the addition
of more air in the dilution zone. This method is sometimes referred to as
the rich-burn/quick-quench/lean-burn (RQL) technique. The shortage of
oxygen in the primary zone does not allow complete combustion, which
reduces the peak flame temperature. Another method is to burn a very
lean air and fuel mixture in the primary zone, which again reduces the
peak flame temperature. However, the method that may result in flame
instability. In another approach, exhaust combustion products can be recir-
culated into the combustion process. This, however, needs either compres-
sion of high-temperature exhaust gases or cooling and then compression
of gases, both of which can be costly. Finally, in the late 1970s, sequential
or staged combustion was used to reduce NOx. In this method, the com-
bustion process is divided into two separate processes in two different
combustors. These systems are very similar to reheat gas turbines where
each combustor was followed by a turbine but in this case, no fresh fuel is
injected into the second combustor. In the first high-pressure combustor,
the fuel was partially burned for a moderate increase in the outlet flow
temperature. This flow is then expanded in the high-pressure turbine to an
intermediate pressure. The combustion process is completed in the second
low-pressure combustor, and the outlet flow is then expanded in the low-
pressure turbine. This two-stage combustion is able to substantially reduce
the maximum flame temperature. This technique was first implemented in
the world’s first large-scale compressed air energy storage system (CAES)
in Germany in 1977 (refer to Chapter 16 compressed air energy storage
(CAES) systems). This system was able to reduce the overall NOx produc-
tion by about half.
Gas Turbines 687

9.5.2.6.1 Injection of Water or Steam to Combustors

The injection of water or steam into the primary zone to reduce the flame
temperature, also known as wet NOx control, was the first method employed
to reduce NOx production and was used even before regulatory restrictions.
In early gas turbines, the steam generated during the water cooling of the
combustion chamber was injected into the flame to increase the combustion
product mass flow rate and thus power generation. It was the most popu-
lar method to reduce NOx in the 1980s and 1990s. The injection of a mas-
sive amount of water or steam (the injected flow rate can get close to the
mass flow rate of fuel) into the flame reduces the flame temperature, which
in turn reduces NOx production. This technique can reduce NOx emis-
sions by almost an order of magnitude. The injection of water or steam also
increases the mass flow rate of the gas passing through the turbine, which
can increase its power generation. However, this method introduces thermo-
dynamic losses, which reduce the efficiency of gas turbines due to the reduc-
tion in the TIT, incomplete combustion, and thermodynamic irreversibilities.
The incomplete combustion not only reduces the system efficiency but also
increases other emissions, particularly CO. In fact, before the introduction
of the wet NOx reduction method, the level of CO emission in the exhaust
of gas turbines was so low that CO emission was not initially regulated by
EPA in the late 1970s. However, with a significant increase in CO emission
as a result of water or steam injection, the CO emission was also regulated
later. This method also needs a huge amount of demineralized water. This
volume of water may not be available on many sites. Even if water is available
in a site, a water purification plant requires a significant capital investment
and increases the operational cost. This method also increases maintenance
requirements and the system noise. All these problems led to the develop-
ment of DLN combustors. Wet NOx reduction is still used in some gas tur-
bines, usually as a power augmentation technique as well as a NOx control
method, especially in some applications such as peak-load power plants
where output power is more important than efficiency.

9.5.2.6.2 Dry Low Emission Combustors

As noted in the previous section, simply reducing the flame temperature
on its own cannot satisfactorily address the emission problem in gas tur-
bines. While the reduction of the combustion temperature may reduce NOx
production,it increases CO emission. So when evaluating the emission
reduction strategies, NOx, CO, and unburned hydrocarbon emissions must
be taken into account, typically in the form of the CO/NOx ratio. The solution
came in the form of a combination of several techniques collectively initially
referred to as DLN combustors but later, with the inclusion of the reduction
of other emissions, it is now more commonly called dry low-emission (DLE)
combustors or DLN/DLE combustors. These combustors achieve low emis-
sions by employing lean combustion of a premixed air and fuel mixture in a
staged combustion process.
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We have already discussed the benefit of lean combustion to reduce the

flame temperature. In these combustors, the excess air of about 100% is usu-
ally used. The premixing of air and fuel before the combustion process is
to provide a homogeneous air and fuel mixture to avoid local high-tem-
perature spots. Otherwise, these hot spots can promote NOx production.
The mixing can take place either before the air and fuel mixture is fed into
the combustor or inside the combustor. While a combustion chamber can
be designed and manufactured to provide an acceptable CO/NOx ratio to
meet regulatory restrictions at the design condition, it is quite a challenge
to design a combustor that can meet the requirements at all possible operat-
ing conditions, including part- and transient-load operation, start-up and
shutdown, and varying ambient temperatures. Meeting emission limita-
tions while keeping combustion stable and accommodating all operating
conditions require the design of special components with appropriate oper-
ational procedures.
It should be noted that generally speaking, gas turbines have a constant
volume air flow rate since the rotational speed of the compressor is constant
(at least in a single-shaft configuration). This means when the fuel flow rate
changes to accommodate the required load, the air-to-fuel ratio changes.
Therefore, the combustion chamber should be able to operate with a vary-
ing air-to-fuel ratio. For this purpose, staged combustion is used. Depending
on the type of the combustor, different companies came up with different
designs to address this problem. However, they all share some common
design features. All DLN/DLE combustors are equipped with multiple fuel
nozzles. At various operating conditions, a predetermined mixture of air
and fuel is directed to different fuel nozzles to ensure a stable flame with an
acceptable emission level. Note that for dual-fuel combustors, these require-
ments must be achieved for both gaseous fuel (typically natural gas) and
liquid fuel (commonly diesel or heavy oil). Other factors that should be con-
sidered in designing operational procedures, other than emission levels,
are ensuring combustion stability, minimizing noise level, and optimizing
maintenance requirements. It is important to remember that unlike the water
or steam injection system, in DLN/DLE combustors the NOx control mecha-
nism does not introduce significant thermodynamic losses.
It should be noted that having a very lean air and fuel mixture means more
air should be directed toward the combustion process. As a consequence,
there is less air available for the cooling of the flame tube walls. This is why
the DLN/DLE method favors combustors with fewer surfaces that require
cooling. This is one of the main reasons that silo-type combustors are no
longer used in modern gas turbines, whereas annular and can-annular com-
bustors are ideal in this regard.

9.5.2.6.3 Catalytic Combustion Chambers

As noted earlier, a very lean air and fuel mixture can cause an unstable
combustion process. One solution to this problem is to have the combustion
Gas Turbines 689

process in the presence of a catalyst. This type of combustion chambers is

known as catalytic combustors (sometimes also somewhat misleadingly is
referred to as flameless combustors). The catalyst facilitates the combustion
process without being consumed during the process. This allows the stable
combustion of a leaner air and fuel mixture than that of current commer-
cially available technologies. The technology should not be mistaken with
catalytic converters that can be used to remove emissions from the exhaust
flow of gas turbines. This technology is currently under development.
While it is being utilized in some small gas turbines and some experimental
units, the technology has not entered the mainstream gas turbine market.
However, it is a promising method to achieve extremely low NOx combus-
tion, as low as 2 vppm, in gas turbines. In current designs, only an initial
portion of fuel combustion (less than half of the combustion) takes place on
the catalyst stage, and most of the fuel burns (60%–80%) in the following
combustion zone.

9.5.2.7 Other Components of Combustion Chambers

For a combustion chamber to operate properly, many components should be
incorporated into the design. In this section, some of these components will
be briefly discussed.
In the fuel system, first the fuel flow should be pressurized and delivered
to the combustor. Then, it should be distributed among fuel injectors where
the fuel is injected into the flame. Natural gas is typically delivered in high
enough pressure that can be directly injected into the primary zone with no
need for a compressor. If natural gas pressure is not high enough, a fuel com-
pressor is used to pressurize the fuel flow. The fuel pressure should be higher
than the air pressure in the combustor, by about 3–5 bar, so the natural gas
flow can be easily injected into the air flow.
Liquid fuels are first pressurized, typically in positive displacement
pumps. The fuel flow is then delivered to fuel injectors by a common fuel
supply line. The fuel distribution system is typically equipped with control
valves to ensure an even distribution of fuel among all fuel injectors. In order
to control combustion temperature at various loads, the fuel supply line is
commonly equipped with an accurate flowmeter.
Fuel injectors are used to supply fuel into the flame tube. The design of
fuel injectors heavily depends on fuel phase, liquid or gaseous. Gaseous fuel
injectors are made of orifices that can impart swirl in the fuel flow. For liquid
fuels, the fuel may be vaporized in a heated vaporizer before being injected
to the combustor. Alternatively, the fuel can be atomized through a fuel spray
nozzle. In the latter case, the fuel is converted to fine droplets so they can
be quickly evaporated and combusted in the primary zone. The fuel atomi-
zation can be achieved by pressure nozzles where the high-pressure fuel is
injected through fine orifices or by air-spray nozzles where a high-velocity
air flow atomizes the fuel (also known as aero liquid fuel spray nozzles).
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Many combustors for ground gas turbines should be able to operate using
both gaseous and liquid fuels, separately or simultaneously. They can switch
between fuels while running (called duel fuel combustors) or after changing
the nozzles (called double fuel combustors). The former is typically similar
to air-spray nozzles.
During gas turbine start-up, an igniter is needed to start the combustion
process and to support the flame until the combustor can sustain the flame.
All igniters use electric sparks to initiate combustion. They may use the
similar principle as typical automotive spark plugs though there are other
designs too. They may create sparks with the frequency of 1–2 Hz at 2000–
25,000 V. In annular combustors, there are typically two igniters at the oppo-
site sides of the combustor. Similarly, can-annular combustors have two
ignitors at two opposing cans and the fire propagates via cross-fire tubes
to other cans. Flame detectors are used to ensure the presence of the flame
during start-up, shutdown, and normal operation by detecting ultraviolet
radiation from the flame. Typically, there are two detectors placed opposite
each other.
Another component that is related to a combustor, though may not be
considered as a part of it, is a duct that transfers combustion products from
the combustor to the turbine. This is more challenging for can-annular
combustors where the circular intersection of the cans must be converted
to the rectangular one of the turbine. These connectors are subject to high
thermal fatigue, buckling stress, and cracking and should be manufactured
in a shape and from a material that can stand this harsh environment. They
may be coated for thermal protection and have cooling air holes on their
body.

9.5.3 Gas Turbines
Like steam turbines, the function of a turbine in a gas turbine cycle is to
extract energy from the flow of the working fluid. It should be noted that
the term “gas turbine” may confusingly refer to the entire cycle or just the
turbine itself. In this section, we will typically use the term “turbine” or “gas
turbine” when we are referring to the single component and use the term
“gas turbine cycle” or “unit” when we are referring to the entire cycle. In gas
turbines, the turbine receives the high-pressure and temperature combus-
tion products from the combustion chamber, extracts energy from the flow,
and discharges the relatively low pressure and temperature flow to the atmo-
sphere in the case of single gas turbines or to the bottoming cycle in the case
of CCPPs. In electricity-generating gas turbines, the turbine extracts as much
power as possible from the gas flow. This power is used to run the compres-
sor and the generator. In aviation gas turbines, depending on the type of the
engine, the turbine may extract the maximum power from the gas flow (in
turboprop engines) or just enough to run the compressor and fan (in turbojet
and turbofan engines).
Gas Turbines 691

Historically, gas turbine designs were an extension of steam turbine

designs. They followed the similar design principles. However, the operating
conditions of modern gas turbines are much more challenging than those of
steam turbines. In fact, gas turbine blades are arguably exposed to one of the
harshest environments in any engineering field. Unlike steam turbines that
are exposed to extremely pure steam, gas turbines have to directly deal with
corrosive combustion products. Gas turbines also operate at much higher
temperatures than steam turbines. The tip of gas turbine blades can rotate at
the velocity of over 400 m/s (roughly about 1500 km/h or 900 mph). Turbines
used in gas turbine units can be axial or radial turbines. Generally speaking,
axial turbines are more efficient than radial ones. The majority of large- and
medium-sized gas turbines use axial flow turbines, while radial turbines are
used in some small gas turbines.
Radial-inflow turbines, also known as inward-flow radial turbines, are in
principle similar to centrifugal compressors but expand the flow rather than
compressing it. Many early gas turbines were equipped with this type of tur-
bines. But currently they are only used in some small gas turbines, micro gas
turbines, and turbochargers besides being shorter, these turbines can gener-
ate much more power in a single-stage than axial turbines.

9.5.3.1 Axial Gas Turbine Blades

In axial flow gas turbines, the flow throughout the turbine is parallel to its
axis of rotation. Similar to axial flow steam turbines, these turbines are com-
posed of several stages. Each stage has a row of fixed blades (also known as
nozzles or vanes) and a row of moving blades (also referred to as rotor or
buckets). These rows can be impulse, reaction, or a combination of the two.
As explained in Chapter 6 for steam turbines, in impulse turbine stages, the
entire conversion of pressure (enthalpy) to velocity (kinetic energy) occurs
within the fixed blades so in the moving blades velocity drops (due to the
extraction of energy from the flow), while the pressure remains constant.
Therefore, the fixed blades are formed in nozzle shape, and the moving
blades are symmetrical. In pure reaction stages, the entire pressure drop and
velocity drop occur in the moving blades. So the fixed blades are symmetri-
cal with the only function of redirecting the flow to the proper angle for the
moving blades, while the moving blades are converging to form nozzles. In
the combined impulse and reaction stages, the pressure reduction is divided
between the moving and fixed blades. Since there is little pressure drop
across the moving blades in impulse stages, there are little blade tip leakage
losses. This makes impulse stages ideal for the high-pressure stages of steam
turbines. However, in gas turbines, the flow pressure is much lower than that
in steam turbines (typically up to 40 bar for gas turbines versus sometimes
above 300 bar for supercritical steam turbines), so typically impulse stages
are not used in gas turbines. Gas turbine blades are typically a combina-
tion of reaction and impulse. The blades, both moving and fixed, are twisted
692 Power Plant Engineering

to accommodate the varying velocity of the blades along their length. This
requires different blade profiles to ensure all sections along the blade length
are extracting a similar magnitude of energy from the flow. The degree of
reaction is used to identify a stage type. The degree of reaction varies from
stage to stage in gas turbines. Also in a single blade, the degree of reaction
increases from the hub (root) of the blade to its tip. However, generally speak-
ing, the blades are designed to have the degree of reaction of about 50% at the
mean diameter of the blade. In the inlet to the turbine, there are nozzle guide
vanes where the inlet flow is directed to the moving blades at a correct angle.
The moving blades are attached to the turbine shaft, while the fixed blades
are installed on the casing. Both moving and fixed blades are arranged to
form nozzles (converging passage) between adjacent blades.
Modern turbines used in gas turbine cycles are very efficient machines.
They typically have a higher than 90% efficiency. The major losses in tur-
bines are friction flow losses in the moving and fixed blades, gas leakage
from blade tips, and energy loss through the exhaust flow.
As noted above, in reaction stages, the pressure drops along the moving
blades, which results in a pressure gradient across the moving stage. This
pressure difference can cause some gas flow to bypass the blades (or leak) via
the gap between the blade tips and the turbine casing. This leakage, some-
times referred to as the tip clearance loss, not only results in lost power gen-
eration potential but also can disturb the main flow through the stage. Note
that the tip clearance varies due to different thermal expansion coefficients of
the blades and the casing. One way to reduce this leakage is to add a shroud
to the blade tips. Generally, turbine stages can be shrouded or shroudless.
The shrouds are interlocked pieces that connect the blade tips to form a ring
around the blade tips. The shrouds also substantially reduce the vibration of
blades that otherwise can lead to blade failure, particularly for low-pressure
long blades.
Since turbine blades operate at a high-temperature environment, they are
exposed to creep. At low temperatures, the strain (deformation) of a mate-
rial is only a function of the stress level in the material and is independent
of time (duration of stress). However, at high temperatures, the strain can be
a time-dependent parameter. What this means is that blades can experience
failure in the long-term even if the stress is below the allowable stress of their
material. The turbine blades should be made of low creep alloys. These alloys
should also have high ductility (ability to undergo plastic elongation before
failure), low coefficient of thermal expansion, high thermal conductivity, as
well as high corrosion, oxidization, erosion, and thermal fatigue resistance.
The blade corrosion can be accelerated at high temperatures in the presence
of sulfates or vanadium compounds. The blades can be eroded by tiny par-
ticles that passed through the filters or pieces separated from the combustor
walls. One of the most important causes of blade failure is thermal fatigue as
a result of cyclic temperature variations, such as start-up, shutdown, or major
load changes. The maintenance and inspection intervals are heavily impacted
Gas Turbines 693

by the number of these thermal cycles. On top of all these properties, the
alloys must have manufacturability and machinability characteristics so the
delicate complex blade surfaces needed for the optimal aerodynamic perfor-
mance of blades can be achieved. Modern turbine blades, especially early
stages that are exposed to the highest temperature and the harshest environ-
ment, are being made of nickel-based superalloys by casting techniques such
as directionally solidified and single-crystal alloys. In directionally solidified
casting, alloy crystals are formed along the blade length, which improves its
desired properties, particularly its creep resistance. Currently, blades made
of nonmetallic materials, such as reinforced ceramics, are being developed.
The blades are either directly or via the turbine disk connected to the
turbine shaft. The shaft and the disks are cooled by the high-pressure air
flow through air channels. The blades are attached to the turbine disks by a
specially designed mechanism discussed in Section 6.4.5 (Figure 6.15). This
attachment mechanism requires an accurate machining process to ensure an
even load distribution among all surfaces. In some mechanisms, the blades
are loose when the turbine is not rotating, but when the turbine is spinning,
the centrifugal forces fix the blades in place.

9.5.3.2 Turbine Blade Cooling

So far we have established that increasing the TIT and the compressor pres-
sure ratio improves the power output and efficiency of gas turbine units.
The early stages of turbines are the most important limit for increasing the
TIT. There are two main strategies to increase the TIT without damaging
the turbine blades. Clearly, one strategy is to fabricate blades using high-
temperature-resistant materials. While materials used to manufacture blades
have been progressively able to tolerate higher inlet gas flow temperatures,
there is always a limit on this temperature from the material point of view.
Another strategy is to allow the gas flow temperature to increase while pro-
tecting the blades from being exposed to this high-temperature flow. Two
common methods for this purpose are coating blades with protective sur-
faces and using cooling techniques to reduce the temperature of blades.
These two methods keep the blade temperatures within the limits while the
gas flow temperature can exceed those limits.
The protection coating, such as ceramic coating, is applied to the surface of
blades to protect them from chemical and corrosion attacks as well as to act
as the thermal barrier. This allows further increase in the TIT and the blade
life expectancy. A wide variety of cooling techniques are employed to cool
down the high-temperature parts of turbines. The cooling can be applied
to moving and fixed blades, shrouds, and all components that are exposed
to the high-temperature gas flow. The medium for the cooling system can
be high-pressure air, steam, or water. In air-cooled blades, the high-pressure
air flow is bled from the compressor (in some systems from several stages
of the compressor) and directed toward the components that need cooling.
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Note that the high-pressure air leaving the compressor is at a high temperature,
so it may need cooling before being sent to the turbine. For cooling of moving
blades, the high-pressure air flow passes through dedicated channels along
the shaft and is distributed among the blades. For cooling of fixed blades,
the air is distributed via the turbine casing. The cooling process impacts the
flow through the blades and the flow temperature. The magnitude of impacts
depends on the cooling medium, its temperature and flow rate, and the cool-
ing mechanism. Overall, the cooling process can slightly reduce the efficiency
of the turbine. However, the loss due to this lower turbine efficiency is more
than compensated by the overall cycle efficiency improvement as a result of
the higher TIT. The cooling process can be achieved through the following
several cooling mechanisms: convection cooling, film cooling, transpiration
cooling, multiple small-hole cooling, and water or steam cooling. Note that
small gas turbine units commonly use uncooled turbine blades, which is one
of the reasons for their low efficiency.
Convection cooling systems require channels inside the component that
needs cooling, often serpentine ones, where high-pressure air flow cools
down the component by convective heat transfer. This method is com-
monly used in current gas turbines. Another method is film cooling. This
technique works similar to a protective coating layer where air is injected
into the blade surface via specially designed nozzles to form an insulating
film of air to separate the blade surface and the high-temperature gas flow.
Often a combination of convection cooling and film cooling is utilized. In
transpiration cooling systems, the blade is made of a porous material and
cooling air passes through the holes to cover the entire blade surface and
keep it cooled. While this is an effective cooling method, the small holes
are susceptible to clogging. A similar concept is used in multiple small-
hole cooling systems where the cooling air is injected into the blade sur-
face via many holes. These holes are larger than pores in the transpiration
cooling, which is why this method is less vulnerable to hole clogging. The
most recent blade cooling technology is using water or steam as the cooling
medium. In these techniques, tubes (commonly copper tubes) are embed-
ded in the blades. The water or steam flow, usually from the bottoming
steam cycle in CCPPs, passes through these tubes and provides very effec-
tive cooling. The water flow may need preheating to avoid thermal shock
in the blades. The outlet cooling medium, always steam since water also
evaporates while passing through the tubes, can be either returned to the
steam cycle (known as closed-loop cooling) or injected into the gas flow
(open-loop cooling).

9.5.3.3 Gas Turbine Arrangements

As noted, turbine blades extract energy from the gas flow and transfer the
energy to the turbine shaft. The rotational power of the turbine should
be used to drive the compressor and either the generator (in electricity
Gas Turbines 695

generation applications) or other external power uses. There are several

arrangements on how the power is transferred from the turbine to the com-
pressor and the generator. The objectives of these different configurations
are to allow various components to operate at their optimum rotational
speeds and/or to improve the load-following capability of the power gen-
eration unit.
In the single-shaft configuration, the turbine, compressor, and generator
are all on the same shaft spinning with the same rotational speed. This
fixed rotational speed is dictated by the constant frequency of the electric-
ity generated by the generator or the specification of the required external
power. Note that in this discussion when we refer to the turbine and the
compressor being on the same shaft, it means either the turbine and the
compressor share a common shaft or their shafts are connected via a self-
aligning coupling. While inherently simple, in this configuration the com-
pressor and the turbine cannot operate at their optimum rotational speeds.
On the contrary, in multiple-shaft configurations, there is much more flex-
ibility on the rotational speed of various components. There are a variety of
arrangements for multiple-shaft configurations. For example, the compres-
sor and the high-pressure turbine can be on the same shaft, while the low-
pressure turbine and the generator (or the external load that may require
a variable rotational speed) can be on the separate shaft (Figure 9.34a). The
combination of the former two components and the combustor is often
referred to as the gas generator, while the latter turbine is referred to as
the free-power turbine or simply the power turbine. In this configuration,
the high-pressure turbine and compressor can be operated at their opti-
mum rotational speed, while the rotational speed of the low-pressure tur-
bine is fixed by the requirements of the external load (e.g., the generator).
In another configuration, the high-pressure turbine and the high-pressure
compressor can be on one shaft, and the low-pressure turbine, the low-
pressure compressor, and the generator on another shaft. So each com-
pound can run with the rotational speed that optimizes its performance.
Another advantage of multiple-shaft configuration is that during system
start-up, only the gas generator portion needs to be driven by the starter,
such as an electric motor or a diesel engine, which reduces the inertia that
should be overcome. Again note that in all these configurations, the genera-
tor can be replaced by an external load. High-pressure ratio gas turbines,
particularly aeroderivative gas turbines, can have two- or three-shaft con-
figurations, which are typically referred to as double- or triple-spool units.
In these units, typically high-, intermediate-, and low-pressure sections of
the turbine and the compressor are on the same shaft since their optimum
rotational speeds match. Note that in all of the aforementioned configura-
tions, to overcome radial and axial forces imposed on each portion of the
system, shafts are mounted on a variety of bearings installed on casings. To
provide lubrication for these bearings, several pumps, called the lubrication
skid, are used.
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Fuel Reheater Fuel

Combustor
Air

Generator

Exhaust
Compressor High pressure
turbine Low pressure
turbine
(a)

Low pressure
Low pressure turbine
compressor Exhaust

Generator

Fuel Reheater

High pressure
turbine

High pressure
Compressor
Fuel

(b)

FIGURE 9.34
Schematic of various configurations of gas turbine units.

9.5.4 Auxiliary Systems and Components

In this section, some of the auxiliary components of gas turbine power-
generating units will be discussed.

9.5.4.1 Compressor Inlet Air Cooling Systems

From our discussion earlier in this chapter, for the specific work consump-
tion in a compressor, we can write (considering the ideal gas assumption)
Gas Turbines 697

T   ( k −1)/k 
P
wComp = h2 − h1 = Cp (T2 − T1 ) = CpT1  2 − 1 = CpT1  2  − 1 (9.69)
 T1    P  
 1 

This means that for a given compressor pressure ratio, the power required to
pressurize the unit of mass of air increases if the inlet air temperature rises.
Note that this is for an ideal compressor with 100% isentropic efficiency. For
a nonideal compressor, the right side of the equation should be divided to
the isentropic efficiency of the compressor. The same conclusion can be made
using Equation 9.52.
The net total power generation in a gas turbine cycle and the mass flow rate
through the system can be determined by the following equations:

 Net = W
W  Turb − W  ( wTurb − wComp ) (9.70)
 Comp = m

 = ρV (9.71)
m

where W  Net is the net total power generation of the unit (kW), W  Turb is the
power generation in the turbine (kW), wTurb is the specific work generation in
the turbine (kJ/kg), W  Comp is the power consumption in the compressor (kW),
wComp is the specific work consumption in the compressor (kJ/kg), m  is the air
mass flow rate (kg/s), ρ is the air density (kg/m3), and V is the air volumetric
flow rate (m3/s).
We know that in a compressor for the given operating conditions, the volu-
metric flow rate of the fluid through the compressor is constant. Therefore,
the air mass flow rate only varies with changes in the air density as follows:

p
pv = = RT (9.72)
ρ

p
ρ= (9.73)
RT

This indicates that with an increase in the compressor inlet temperature, the
mass flow rate of the air through the compressor reduces. So an increase in
the compressor inlet temperature, i.e., the ambient temperature, will reduce
the air mass flow rate through the compressor and will increase the power
needed to pressurize a unit of mass of air in the compressor.12 Both these
effects negatively impact the power generation and efficiency of the gas tur-
bine unit. In actual gas turbines with every 1°C increase in the temperature
of the compressor inlet flow, the power output of gas turbines can reduce
by 0.5%–1%. To worsen the problem, this loss of power happens during the

12 Note that this is true for all air-breathing engines.

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hottest time of the day, when in hot regions, the demand is maximum and
the price of electricity is the highest.
Like every other situation when high temperature is a problem, the solu-
tion is the cooling process. The utilization of compressor inlet air cooling
systems started in the early 1990s in some pioneering units. However, they
are nowadays standard options that one can choose when purchasing a gas
turbine unit. There are two ways for this purpose: refrigeration systems and
evaporative cooling systems. In refrigeration systems, sometimes referred to
as indirect cooling systems, cooling coils are installed in the compressor inlet
duct, inside of which a coolant flows and cools down the inlet air flow. The
cooling can be provided by an absorption or mechanical (vapor compression)
refrigeration system. The refrigerant can be directly circulated in the coils or
water as a secondary cooling fluid can receive cooling from the refrigerant in
a heat exchanger and then flows through the cooling coils. Alternatively, for
gas turbines that burn liquid natural gas (LNG) as fuel, the thermal energy
needed to evaporate the fuel can be extracted from the compressor inlet air
flow. These systems can reduce the inlet air flow temperature to below the
ambient wet-bulb temperature. However, it should be noted that in this case,
air humidity will be condensed, which requires significant energy. Also, the
compressor inlet temperature cannot be lower than 8°C (about 45°F) because
at lower temperatures there is a possibility of ice formation, which can dam-
age compressor blades. These refrigeration systems have high capital costs,
high costs of operation and maintenance (O & M), and high power consump-
tion. Furthermore, the cooling coils in the compressor inlet duct can impose
a small but significant pressure drop in the inlet air flow. This pressure drop
negatively impacts the performance of the system, even when the cooling
system is not operational, for example, during winter. A variation of refriger-
ation cooling systems is thermal energy storage systems. These systems have
all parts of conventional refrigeration systems plus a container to store ice,
cold water, or other heat transfer liquids. In these systems, the refrigeration
system operates during off-peak periods (commonly at night). The generated
ice or cold water (or another liquid) is stored in the storage system. Then, in
mid-day peak periods, when the ambient temperature goes up, the energy
storage media are used for the compressor inlet air cooling. This system usu-
ally can only provide a few hours of cooling during hot hours of the day.
A much more common compressor inlet air cooling technology is evapo-
rate cooling system. As the name implies, in evaporate (or direct cooling)
systems, water is evaporated by the compressor inlet air flow. The latent heat
required for this evaporation is drawn from the air. This process produces
air at lower temperatures with higher humidity at the outlet compared to
those in the inlet. The minimum theoretical air temperature can be achieved
when the outlet flow is saturated air. This temperature is equal to the web-
bulb temperature of the ambient air. In practice, this temperature cannot be
reached. The effectiveness of the system is defined to indicate how close the
outlet temperature is to the lowest possible temperature. This is one of the
Gas Turbines 699

most important limitations of evaporative cooling systems. The level of cool-

ing that they can produce depends on the ambient humidity. Their capac-
ity to cool down the compressor inlet flow diminishes with an increase in
the ambient humidity. These systems are ideal for hot dry regions. However,
generally speaking, in these regions, water is a very valuable commodity.
Evaporative systems are significantly less expensive to install and operate
than those for refrigeration cooling systems.
There are two main types of evaporative cooling systems, media-type
evaporative systems and fog cooling systems. In media cooling systems,
blocks of honeycomb-like medium made of fibrous corrugated materials
(similar to the fill in wet cooling towers) are assembled in the inlet duct of
the compressor, commonly after but sometimes before the air filter. Water
is distributed among them at the top via the water distribution piping sys-
tem. Water and air flows pass through the media in a cross-flow fashion, and
water evaporates into the air flow. The internal channels of the media maxi-
mize the surface area of the interaction between water and air flows to maxi-
mize water evaporation. This process is similar to what we described for a
wet cooling tower in Chapter 8. The difference is that in this case, the objec-
tive is to reduce the temperature of the air flow rather than the temperature
of the water flow. The unevaporated water is discharged into a tank at the
bottom of the media block. Then, the collected water is pumped back again
to the top of the media. To compensate for the evaporated water, makeup
water is continuously added to the tank. To maintain water quality, a certain
percentage of the water in the tank is bled. Also, to avoid carryover of water
droplets, a drift eliminator is typically installed right after the media. The
media cause some pressure drop in the compressor inlet air flow. Some sys-
tems are designed in a way that during winter, the media can be removed
to eliminate this pressure drop when the system is not operational. These
systems have a modest cooling effectiveness of about 85%.
In the past couple of decades, fog cooling systems have gained popularity
as a compressor inlet air cooling technology. In order to increase the sur-
face area of water and to facilitate its rapid evaporation, in fog cooling sys-
tems water is atomized to extremely small droplets. To achieve fast enough
evaporation, the size of droplets is commonly 5–20 μm.13 This level of water
atomization can be achieved using compressed air nozzles. Alternatively and
more commonly, extremely high-pressure water can be sprayed through spe-
cially designed nozzles into the compressor inlet air flow. These nozzles can
atomize water either by creating swirl in high-pressure water or by passing it
through an orifice followed by impacting the water flow to a pin. The water
pressure is increased, typically by piston pumps, to 70–200 bar (about 1000–
3000 psi) before being sent to nozzles. The body of these nozzles are com-
monly made of stainless steel but the orifice is made of an erosion-resistant
material, such as ruby. A network of these nozzles is created by assembling

1 μm = 1×10−6 m.
13
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horizontal and vertical piping systems in the compressor inlet duct after fil-
ters. The exact location of the system depends on the air passage before the
compressor and the time required for full evaporation of water droplets. The
analysis of the two-phase flow and the evaporation process is quite compli-
cated, and CFD methods are used for this purpose.
In evaporative systems, the control unit receives the data from the ambient
temperature and humidity sensors and – based on the gas turbine operating
conditions – determines the amount of water needed to be injected into the
inlet air flow. There are two mechanisms to control the water flow rate: first,
using several pumps in which the number of operating pumps determines
the water flow rate; and second, a limited number of variable speed pumps.
The latter system can provide smoother and more continuous control.
Fog cooling systems can achieve the lowest temperature possible with
evaporative systems due to their high effectiveness of 95% or higher. These
systems also enjoy low-pressure drop in the compressor inlet, minimal alter-
nation required in the existing structure, and low installation time. Overall,
fog cooling systems typically have the highest return for the investment and
the shortest payback period among all cooling systems. They can even have
a positive impact on the NOx reduction of the gas turbine unit.
In fog cooling systems, the injected water directly goes through the com-
pressor and the rest of the gas turbine system. Therefore, to avoid compres-
sor blade fouling, the injected water needs to be demineralized. This is also
needed to avoid the plugging of orifices in nozzles. If the power plant does
not have a sufficient excess capacity to produce demineralized water (in the
case of CCPPs), a dedicated water purification system, commonly a reverse
osmosis system (refer to Chapter 7), is needed. In early fog cooling systems,
there were some concerns about the effects of unevaporated water drop-
lets on the compressor blades and possible erosion in the blades. However,
long-time experience with the operation of these systems proved their safe
operation. These systems may even have some positive impacts due to the
compressor blade washing effect.
Recently, some cooling systems have even taken a step forward by excess
fogging to provide compressor intercooling. For this purpose, water is over-
sprayed into the air flow. This means some water droplets enter the com-
pressor unevaporated. When the air flow is compressed in the early stages
of the compressor, the air temperature goes up. The high-temperature air
has more capacity to absorb water vapor so the remaining water droplets
will evaporate, which can provide further cooling within the compressor.
Another approach with a similar effect is to inject water between compressor
stages.
Many criteria should be considered when choosing the technologies and
design parameters for the compressor inlet cooling system. Besides instal-
lation and operating costs, other factors including local climatic conditions,
desired power gain, and NOx reduction requirements should all be taken
into account.
Gas Turbines 701

9.5.4.2 Regenerators
As discussed in Section 9.2.4, a regenerator can be used in a gas turbine cycle
to recover some of the thermal energy in the turbine exhaust flow by heat-
ing the compressed air from the compressor before entering the combustor.
This can reduce the fuel consumption in the combustor for the same power
output, which leads to a higher overall efficiency. A variety of heat exchang-
ers can be used as a regenerator, including shell-and-tube, plate-fin, and
ceramic heat wheel. The latter, in principle, is similar to a Ljungström air pre-
heater (Chapter 4). While regenerators have been used since the beginning
of gas turbine development, modern large-utility gas turbines are not typi-
cally equipped with a regenerator. There are several reasons for this. First,
with an increase in the compressor pressure ratio, the temperature differ-
ence between the turbine outlet flow and the combustor inlet flow reduces.
Therefore, in gas turbines with a high compressor pressure ratio, there is
less potential for heat recovery by a regenerator. Also, most current large
gas turbines are installed as combined cycle power plants where the ther-
mal energy leaving the gas turbine unit is fully recovered by the bottoming
steam cycle. So there is no need for a regenerator. Finally, regenerators are
bulky and expensive, and require frequent maintenance.

9.5.4.3 Other Auxiliary Components

In this section, a few other auxiliary components that are typically used in
gas turbine units will be covered. Let us start with the air inlet to the com-
pressor. Typically, the inlet air flow is not directly in front of the compressor.
There might be several reasons for this, including size consideration particu-
larly the length of the system and the fact that the inlet should be sufficiently
away from the stack to prevent the recirculation of exhausted combustion
products to the compressor. The inlet air first goes through a filter house. The
filteration process is to remove foreign particles, both solid and liquid par-
ticles, in the inlet air flow. If these particles are allowed to enter the compres-
sor, they can cause erosion, corrosion, and fouling in compressor blades and
other downstream components. Several filteration mechanisms are utilized
in gas turbine units. This mechanism along with the type of the filter, its fiber
size, and the packing density of the media that the filter is made of deter-
mines the characteristics of the filter. The design of a filter is always a com-
promise between the effectiveness of particle removal and the air pressure
loss across the filter. Depending on how the filtering media are attached to
the fixed structure, filters are divided into three types: rectangular, bag, and
cartridge filters. In rectangular-type filters, the continuous filtering media
are attached to a flat rectangular supporting structure (in principle similar
to a typical residential air conditioner filter but much larger with metal-
supporting structure). In bag filters, as the name implies, the filtering media
are formed in the shape of a garbage bag, and then many of these bags are
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connected to a structure to form the filter. In cartridge or cylindrical filters,

individual cylindrical filters (very similar to automobile air filters but larger)
are connected to a vertical or horizontal supporting plate.
The filtration process in these filters can take place on the surface of the
media or deep within the fabric of the media (surface- and depth-loaded
filters, respectively). Rectangular and bag filters are typically depth-loaded,
while cartridge filters can be depth- or surface-loaded. This distinction is
very important to determine how to revive a filter when it is saturated by
collected particles after a long period of operation. In a new filter, air can
easily pass through clear passages within the filter media with little pres-
sure drop. With the operation of the filter, the collected particles gradually
plug these passages, and as a result, the pressure drop increases. This pres-
sure drop across the filter is measured by a pressure gauge. When the mea-
sured pressure drop reaches a sufficiently high predetermined value, the
filter is saturated and can no longer function as intended. For depth-loaded
filters, the only option is to replace the filters. Surface-loaded filters can be
cleaned and reused. For this purpose, a flow of relatively high-pressure air
is sent through the filter by a series of dedicated air nozzles in the opposite
direction of the normal air flow. The cleaning air flow continues for a frac-
tion of a second, which is why these self-cleaning filters are also referred
to as pulse filters. To allow a continuous flow of combustion air during the
cleaning process, typically a small portion of the filters is cleaned at any
given time. Since typically a single filtering stage cannot be effective in
capturing particles of all sizes, gas turbine filters can be composed of two
or three stages of different types of filters. The decision about the number
of stages, their type, and specifications of each stage depends on the level
of particles in the local air that needed to be removed, including sand, dust,
and organic materials.
Typically, weather louvers (also referred to as weather hoods) are installed
in the inlet to the filter house to stop very large pieces and water droplets
during rain from entering the filters. After the filter house, there is typically a
trash screen to protect the compressor from filters and its parts in an unlikely
event that a filter gets loose and is dislodged. The filter house is connected to
the compressor via an air duct, sometimes a relatively long one with several
changes in the direction of the air flow. To reduce the noise and vibration
induced by the air flow and possibly to reduce the pressure drop in the duct
by streamlining the flow, the duct may be equipped with intake silencers.
The outlet of the turbine must be sent to the bottoming cycle in combined
cycles or discharged to the environment. The exhaust duct may also be
equipped with some types of a silencing device. Even gas turbines in com-
bined cycles may have a dedicated stack independent of the bottoming cycle
in case they are operated without the bottoming cycle in a single cycle mode.
In this case, there is a damper that directs the combustion products to either
the stack or the bottoming cycle. The design principle of gas turbine stacks is
similar to that of steam cycles but about an order of magnitude shorter.
Gas Turbines 703

9.6 Operation of Gas Turbine Units

The combustion process and its control is the most important task in every
fossil fuel power plant. This is even more important for internal combus-
tion power plants, such as gas turbines, because the combustion process is
not only the source of thermal energy for the system but also formulates
the working fluid of the cycle. In general, the control of combustion can be
achieved by manipulating the flow rates of fuel and air. Since gas turbines
are essentially constant volumetric flow rate machines, the control of the
combustion is primarily achieved by changing the fuel flow rate. Therefore,
regardless of the type of the gas turbine and its application, the fuel flow
rate is the most important factor to control the load. The fuel flow rate is
controlled under three modes or loops: frequency or speed control mode,
temperature control mode, and start-up mode. The fuel flow rate of a gas
turbine unit is always controlled under one of these modes. In the start-up
(and shutdown) mode, the start-up sequence controls the fuel flow rate. In
the speed mode, the fuel flow rate is set to achieve the required load at the
predetermined rotational speed of the shaft (which is tied to the frequency
of the generated electricity), while in the temperature mode, the TIT controls
the fuel flow rate. At any given conditions, the fuel flow rate is estimated by
one of these control modes and then the setpoint of the fuel control valve is
set to the minimum of these estimated values.

9.6.1 Start-up Sequence
We know that in order for a gas turbine unit to operate, the compressor
should pressurize the inlet air, which is followed by the combustion process
in the combustor.14 Then, the high-temperature combustion products expand
in the turbine to generate shaft power. A part of this power is used to run
the compressor. What this means for the start-up process is that to run the
compressor, turbine power is needed but the turbine cannot generate power
unless the compressor runs. Therefore, gas turbine units are not self-starting
machines. Like your car’s engine, gas turbines need a starter (an external
source of power) to start. The starter for gas turbine units is typically an
electric motor or a diesel engine. The former can be either a dedicated elec-
tric motor or a generator, which can function as a motor during start-up. In
either case, obviously, electricity is required to run the starter. In a normal
start-up, this electricity is provided by the grid. But if the electricity is not
available from the grid, i.e., during a blackout, units with an electric motor as
the starter cannot be started. Starting a gas turbine while no electricity from
the grid is available is called a black start. Therefore, only gas turbines with

14 Before reading this section on the gas turbine control mechanisms, please make sure you
review Section 6.6 on the operation of a generator and its synchronization to the grid.
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a diesel engine starter can have a black start. So while most gas turbines have
an electric motor starter, in every power grid there are several gas turbines
with a diesel engine as the starter. In a blackout, these units are first started
to provide the electricity needed for the other units to start. This is one of
the main reasons that recovering from a blackout can take many hours if
not days.
The first step in a start-up sequence is to activate all the systems required
for starting the unit, such as the lubrication oil system, fuel pump (for liq-
uid fuels), fuel compressor (if needed for gaseous fuels), igniters, valves, sen-
sors and instruments, computers, control systems, and other electronics. In
a black start, these systems must be powered by a backup battery pack or
a small power generation unit. After completion of this step, the starter is
engaged to the main shaft to crank the unit. In multiple-shaft units, the gas
generator (the portion of the unit with the compressor, combustor, and high-
pressure turbine) is cranked. At a certain rotational speed, the fuel is injected
into the combustion chamber and igniters start the combustion process. As
noted earlier, typically only two igniters initiate the fire on the opposite cor-
ners of the combustor, which is then propagated to the entire combustor.
The ignition process is completed when the flame detectors detect fire in the
entire combustor. Otherwise, if the flame is not detected in a predetermined
time period, about 1 minute, the system is purged by the air flow to ensure
all unburned fuel is removed before trying again. After the flame establish-
ment, the combustion continues for about 1 minute for the system to warm
up. Then, the rotational speed is increased by increasing the fuel flow rate.
To prevent compressor surge, the bleed valves are opened. This continues
until a certain point when the turbine can run the system without the starter.
This is usually referred to as a self-sustaining condition. At this point, the
starter is disengaged. The acceleration continues until the rotational speed of
the system reaches its design value. The next step is to connect the generator
to the grid. To achieve this connection, which is typically referred to as the
generator synchronization (refer to Section 6.6), the electricity generated by
the generator and the grid electricity should have the same characteristics.
These characteristics are manifested in frequency, voltage, and phase. Since
the frequency of the electricity generated by the generator is a function of
the rotational speed of the generator, the synchronization takes place at the
generator’s design rotational speed by closing the main breaker. After the
synchronization of the generator, the start-up procedure is completed and
the unit is under the normal operation control system. As will be discussed
in the next section, in the next step the generator can be loaded to the desired
power generation level.
These steps are commonly known as the start-up sequence and can be
implemented manually or automatically through a local or remote control
system. The sequence can be normally completed in less than 20 minutes,
as low as a couple of minutes in some systems. In an emergency and when
quick power generation is needed, gas turbines can be started much faster.
Gas Turbines 705

However, the fast start-up should be only reserved for exceptional circum-
stances since it can increase the required system maintenance due to much
higher thermal stress involved in the processes. After the completion of the
start-up sequence, the unit enters “normal operation” mode. But before dis-
cussing the normal operation of gas turbines, let us briefly cover the shut-
down sequence.
The normal shutdown procedure is similar to the start-up sequence but in a
reverse order: the generator load reduction, the generator desynchronization,
closing of fuel valves, opening of bleed valves to avoid compressor surge,
reduction of system rotational speed, and the starter engagement. The starter
runs the system at a very low rotational speed to allow uniform cooling of
the shaft and avoid it bowing (refer to Section 6.4.5 for the same process for
steam turbines). The shaft cooling process is very slow and can take many
hours. The system can be restarted during the cooling process. Note that in
the case of an emergency shutdown, the removal of load, generator desyn-
chronization, and fuel valve closure take place at the same time at once.

9.6.2 Normal Operation
As explained in the previous section, when the generator is synchronized to
the grid, the start-up sequence is considered complete and the unit is oper-
ated under the normal operation control mode. The most important part of
the normal operation control mode is the mechanism to increase or decrease
the load or electricity generation in the generator. In Section 6.5, we learned
that in steam power cycles, the change in the load is directly achieved by the
change in the steam flow rate (via the steam control valve), which in turn is
indirectly controlled by the fuel flow rate. However, in gas turbine units, the
load change is directly achieved by varying the fuel flow rate. The fuel flow
rate can be varied by changing the degree of openness of the fuel valves. The
increase in the power generation by opening the fuel valves is commonly
termed “raise” in power by operators. The increase in the fuel flow rate can
continue until the desired electricity generation is reached and the “raise”
order is stopped automatically by the control system or manually by the
operator. This is called the frequency or speed control mode.
We know that adding more fuel to the combustion process in the combus-
tor increases the TIT. As discussed earlier, the TIT is limited by the maxi-
mum allowable temperature of the blade material of the early stages of the
turbine. If the desired load is high enough, the speed control mode can
increase the fuel flow rate to the extent that the TIT reaches its limit. Further
raise in power generation can result in the TIT exceeding its limit. Clearly,
this cannot be allowed. As soon as the TIT exceeds a predetermined setpoint,
the temperature control mode takes over the control of the unit from the
speed control mode. The temperature control mode maintains the TIT at its
setpoint. It is evident that the gas turbine in normal operation is always con-
trolled by the speed mode unless the TIT reaches the maximum allowable
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temperature (the setpoint). A gas turbine can generate its maximum power
when it is controlled under the temperature control mode.
In some units, especially units with heat recovery systems, the air flow
rate through the compressor is used to supplement the control of the system.
The air flow rate can be controlled either by the variation of the compressor
rotational speed (in multirotor units) or by changing the VIGVs of the com-
pressor. The variation of the air flow rate is mainly employed to maintain
the gas turbine exhaust temperature at part-load operations of the system to
optimize the overall efficiency of the combined gas turbine and heat recovery
system. Moreover, VIGVs are used to reduce the air flow rate during start-up
to prevent compressor surge.

9.6.3 Gas Turbine Control Systems

We have learned so far that a gas turbine is a sophisticated machine with
many interlinked components. The control system acts like the brain of the
machine. It receives and processes all the information and data from a vari-
ety of sources, including instruments measuring the performance parameters
of components, and uses complex algorithms to make decisions on how to
operate the gas turbine safely, economically, and within environmental regu-
lations while optimizing its performance. The control system performs start-
up, shutdown, and normal operation procedures (both full-load and part-load
operations). While the control system operates the unit automatically, it also
interacts with operators and provides them with information to monitor the
performance of components and the system, particularly any abnormal con-
ditions, potential problems, and alarms. When and if needed, operators can
override the automatic operation to manually control the unit. A gas turbine
control system is typically a single integrated system that can perform many
other tasks besides the control of the unit operation. It can detect problems
or potential problems, perform diagnostic procedures to identify the root
of problems, protect the system and its component, and create maintenance
schedules. Finally, a modern control system can determine the operating con-
ditions for short-term, long-term, and life cycle overall optimization of the
unit, usually in real time. The optimization process takes into account many
factors, including fuel costs, time-dependent price of generated electricity,
labor costs, financial factors (such as interest rates), maintenance, and many
other factors with the objective of the maximum system profitability.

9.6.4 Instruments and Sensors

It would be beneficial if you review our discussion on common instrumen-
tations in the power generation industry in Section 3.6. While that section
focused on steam power plants, almost all those instruments are equally
applicable and commonly used in gas turbine units. In this section, we will
focus on how those instruments are used in gas turbines. The readings from
Gas Turbines 707

these instruments are used to operate, protect, and optimize the unit and its
components. In many systems, the protective systems operate independently
and have a set of dedicated instruments, while other systems may share some
sensors. One attribute of these protective systems is the high degree of redun-
dancy incorporated to them to improve their reliability. It is not uncommon
to see double or even triple redundancy in these systems. Too low or too high
readings in these sensors can result in alarms to operators, unit unloading, or
even emergency shutdown (trip) of the unit. Some of the most important pro-
tective systems are for protection against shaft overspeed and excessive TIT.
The former protects the shaft rotation speed from exceeding typically 110% of
the design shaft rotational speed. The importance of the TIT protection system
cannot be overstated, and because of that, a set of dedicated thermocouples
(other than those that are used for the fuel flow rate control in the temperature
control mode) are used for this purpose. Some other protective systems are
to protect the unit against flame loss, excessive vibration in bearings, extreme
lubrication oil temperature and pressure, compressor surge, and fuel loss.
Some other important temperatures that need to be measured and moni-
tored are the compressor inlet and outlet flows, lubrication oil, and bearings.
Pressure transducers are used to measure the pressure of air or combustion
products at the inlet and outlet of the filter, compressor, and turbine. The
pressure of fuel and lubrication oil is also monitored in several locations. All
major bearings are equipped with vibration measurement sensors to detect
any unusual and excessive vibration and provide timely warning to opera-
tors to take necessary corrective actions. Gas turbines can also be equipped
with many other sensors, including flame detectors, flowmeters, humidity
meters, torque meters, and emission meters.

9.6.5 Maintenance of Gas Turbines

Like every complicated machine, power plants in general and gas turbines in
particular need continuous planned and unplanned maintenance. The main-
tenance procedure of every power plant is highly customized to its require-
ments, and only manufacturers can provide such a guideline. Here, we will
very briefly review how the maintenance philosophy has evolved in the past
few decades. While this discussion is presented for gas turbines, it is equally
applicable to other power generation technologies too.
The most fundamental form of maintenance is to operate a system until
something goes wrong or something breaks down and needs repair or
replacement. This maintenance strategy is referred to the corrective mainte-
nance, breakdown maintenance, or the fix-as-fail strategy. The main idea in
this maintenance strategy is to minimize the maintenance cost by allowing
components to operate as much as possible until they must be repaired or
replaced. While power plant operators should be always prepared for correc-
tive maintenance, it is not used as a maintenance strategy in modern plants
because an untimely failure of a part can severely reduce the availability of
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the unit, which can have significant financial ramifications. Also, the failure
of a component can destroy or damage other components that can increase
costs beyond replacing or repairing just one component.
Experience manufacturers and operators gained by corrective mainte-
nance led to the development of the preventive maintenance strategy.15 In
this strategy, specific guidelines are developed for routine inspections of
components and systems so a potential problem can be detected as early as
possible before an actual failure happens with consequences mentioned in
the previous paragraph. This strategy, while much more effective than cor-
rective maintenance, is still a reactionary strategy. This means even in the
preventive maintenance strategy, we wait for a sign of trouble before we take
any action to mitigate it, which can be often too late. Also, both these strate-
gies aim at reducing maintenance costs and increasing the unit availability
and not the optimization of the system performance.
The problems with preventive maintenance strategy led to the predictive
maintenance strategy, which is currently being used in almost all modern power
plants. This strategy is based on the fact that there is a correlation between the
performance of the unit and the possibility of the failure of system components.
The long maintenance history of units helps to create an algorithm that estab-
lishes these correlations. To implement this strategy, the operation of the unit
is continuously monitored and used for maintenance predictions. An example
of this strategy was explained earlier for the correlation between turbine blade
life expectancy and the number of unit start-up, shutdown, and load changes.
Modern preventive maintenance systems are now integrated into the overall
unit control system. These systems take into account a wide variety of factors to
optimize the performance of the system and maximize its profitability.

9.6.6 Standards for Gas Turbine Performance Tests

There is no standard for the design and manufacturing of gas turbines, and
each manufacturer has developed its own approach based on its unique
experience. However, there are national standards for performance tests of
gas turbines. These standards are to ensure the safe and reliable operation
of systems and the comparability of reported specifications by manufac-
turers. These standards define a set of detailed rules and conditions under
which the performance tests for gas turbine units must be conducted and
reported. In the U.S., these standards are developed and maintained by the
ASME and the American Petroleum Institute (API). The ASME B133 stan-
dard series includes many volumes on a wide variety of gas turbine-related
topics, such as fuels, control and protection systems, exhaust and sound
emissions, auxiliary equipment, and electrical equipment. The ASME PTC 22
standard is focused on the evaluation of the units’ thermal performance tests.

The regular inspections for your car recommended by the manufacturer is an example of the
15

preventive maintenance strategy.

Gas Turbines 709

Similarly, ISO 2314 can be used for the acceptance tests of gas turbines. The
ASME PTC 51 is for the testing of gas turbine inlet air-conditioning equip-
ment. Generally, ASME standards are applicable for both utility and indus-
trial gas turbines. The API standard 616 can be only applied to gas turbines
that are used in the petroleum, chemical, and gas industry.

9.7 Questions and Problems

9.7.1 Introduction

9.1. List some of the applications of gas turbine units.

9.2. List the three disadvantages of gas turbine engines and the means
to address these problems.
9.3. Why are gas turbines ideal power systems to propel aircrafts?
9.4. Which characteristics of gas turbines make them to perfectly suit
the needs of peak-load power generation units?
9.5. Gas turbine units are only suitable for peak-load power generation.
a. True
b. False
9.6. Which item is not a characteristic of gas turbine cycles?
a. quick start-up and shutdown
b. rapid load-following
c. low power-to-weight ratio
d. relatively low capital costs
9.7. Which one is an inherent disadvantage of standalone gas turbines?
a. high-temperature exhaust flow
b. inability to consume solid and liquid fuels
c. relatively low efficiency
d. high fuel cost

9.7.2 Thermodynamic of Gas Power Systems

9.8. Compare open versus closed and direct versus indirect gas tur-
bine cycles.
9.9. List assumptions for an air-standard analysis and a cold air-
standard analysis.
9.10. Describe the four processes of a Brayton cycle. Draw T-s and P-v
diagrams for a simple Brayton cycle.
710 Power Plant Engineering

9.11. In the following T-s diagram for a Brayton cycle, name the four
processes and show them in the cycle.

2
4

a b S

2
d 3

c 4
1

9.12. In the above P-v diagram for a Brayton cycle, show the areas that
represent the work per unit of mass involved in the compressor and
turbine.
9.13. In the above T-s diagram for a Brayton cycle, explain how the effi-
ciency of the cycle can be determined.
9.14. Why is the difference between specific volume in the compression
and expansion processes important in gas turbines?
9.15. Why is the back work ratio of gas turbines much higher than that
of steam cycles?
9.16. The results of the cold air-standard analysis of an ideal Brayton
cycle can be only qualitatively applied to the practical applications
of gas turbine power plants.
a. True
b. False
Gas Turbines 711

9.17. The efficiency of the cold air-standard Brayton cycle is only a

function of ….
a. the compression ratio of the compressor
b. the specific heat ratio of the working fluid
c. both a and b
d. neither a or b
9.18. What does TIT stand for? Why is it important?
9.19. Increasing the compressor outlet pressure …. the turbine inlet
temperature (TIT).
a. increases
b. decreases
c. does not change
d. can increase or decrease
9.20. Determine the efficiency of a simple Brayton cycle with the com-
pressor pressure ratio of 10 and 20. The working fluid of the cycle
is air.
9.21. Air enters a compressor of a gas turbine at the temperature of 25°C
and leaves the compressor at 400°C. If the cycle operates as an
ideal Brayton cycle, determine the efficiency of the cycle.
9.22. The area under the T-s diagram for a reversible process …. equal to
the heat transfer during the process.
a. is
b. is not
9.23. Explain what happens to the efficiency and specific work of a
Brayton cycle if we increase the compressor pressure ratio with
and without a limit on the TIT.
9.24. Increasing the compressor pressure ratio of a Brayton cycle with a
limited TIT, …. the cycle efficiency and …. the cycle specific work.
a. increase – decrease
b. decrease – increase
c. increase – increase
d. decrease – decrease
9.25. Using the following two equations justify how the efficiency and
net specific work of a simple Brayton cycle change as a function of
the compression ratio of the compressor.

   
    ( k −1)/k  
wNet = Cp T3  1 −
1  + T1  1 −  P2  

 ( k − 1)/k
  P 
   P2   1  
 P  
  1  
712 Power Plant Engineering

1
ηTh = 1 −
 P2 ( )
k −1 /k

 
 P1 

9.26. The above equations indicate that everything else being equal,
there should be a pressure ratio, which maximizes the net specific
work output of the cycle.
a. True
b. False
9.27. If a gas turbine is designed and operated for baseload power
generation, the optimization of the cycle …. is the most important
factor to consider.
a. efficiency
b. mass flow rate
c. specific work
d. TIT
9.28. Explain why for peak-load power generation plants the cycle spe-
cific work is more important than the cycle efficiency.
9.29. The specific work output is optimum when the output temperature
of the compressor is equal to the output temperature of the turbine.
a. True
b. False
9.30. A gas turbine with a turbine inlet temperature of 1200°C oper-
ates at a site with an ambient temperature of 25°C. Determine the
compressor pressure ratio that maximizes the net power output
of the cycle.
9.31. List the three most important irreversibilities in gas turbines.
Rank them according to their magnitude.
9.32. In a Brayton cycle designed for the maximum net power output,
there is a limit for integrating a regenerator to the cycle.
a. True
b. False
9.33. What are the similarities and differences between the Ericsson
cycle and the Brayton cycle?
9.34. An Ericsson cycle is composed of … and ….
a. two reversible and adiabatic processes – two reversible and
constant-pressure processes
b. two isentropic processes – two reversible and isothermal
processes
c. two reversible and constant-pressure processes – two revers-
ible and isentropic processes
Gas Turbines 713

d. two reversible and isothermal processes – two reversible and

constant-pressure processes
9.35. The efficiency of the Ericsson cycle is ….. that of the Brayton cycle
and with a regenerator is …. to the Carnot cycle operating between
the same high- and low-temperature thermal energy sources.
a. higher than – equal
b. equal – lower than
c. higher than – lower than
d. lower than – equal
9.36. Explain how and why compressor intercooling and turbine reheat-
ing can improve the performance of a gas turbine cycle.
9.37. In the following T-s diagram for a gas turbine with an intercooler,
explain why

h2′ − h1 > ( h2 − h1 ) + ( h4 − h3 ) .

T 7´

5 7

6
8

2´
6´
4
2

3 1

a b s

9.38. In the above diagram, describe why heating all the way to state 7′
in the combustor is beneficial but impractical.
9.39. Explain why reheat gas turbines have more potential for waste
heat recovery through a regenerator or the integration of the gas
turbine into a combined cycle power plant.
9.40. Why can using reheaters in gas turbines help in the reduction of
NOx production?
9.41. In an intercooled gas turbine with one intercooler, determine the
pressure ratio of each stage of the compressor that minimizes the
power input of the compressor if the total combined pressure ratio
of the compressor is 25. The temperature of the inlet flow to the
high-pressure compressor is equal to the temperature of the inlet
flow to the low-pressure compressor.
714 Power Plant Engineering

9.42. In a reheat gas turbine with three steps of expansion, determine the
pressure ratio of each stage of the turbine that maximizes the specific
net work output of the turbine if the total combined pressure ratio of
the turbine is 27. The turbine inlet flow temperatures are equal.

9.7.3 Applications of Gas Turbines

9.43. What are the three types of non-aviation gas turbines?
9.44. What is the critical characteristic for propulsion systems for trans-
portation applications? Why?
9.45. What are the three common configurations for aviation gas tur-
bines? Explain the principle operation of each type. What are their
applications?
9.46. Identify the type of each of the following aviation gas turbines. Which
one is used in the majority of commercial and military airplanes?

(a)

(b)

9.47. What are the advantages of turbofan engines over turbojet

engines?
9.48. Why are advanced turbofan engines equipped with two or three
shafts?
9.49. Explain how mechanical drive gas turbines are used in pipeline
networks to distribute natural gas.
9.50. What is the main difference between aviation gas turbines and
stationary gas turbines? What are their similarities and differ-
ences in terms of their components?
9.51. Describe why gas turbines in mechanical drive applications often
have split-shaft designs.
9.52. What are the differences between aeroderivative and non-
aeroderivative gas turbines? Explain the advantages and disad-
vantages of each type.
9.53. Explain the required processes to convert an aviation gas turbine
to an aeroderivative gas turbines.
9.54. What are the design objectives specific for non-aeroderivative gas
turbines?
9.55. List the criteria that microturbines should meet for their success-
ful widespread utilization.

9.7.4 Gas Turbine Components

9.56. What is the difference between axial and centrifugal compressors?
What type of gas turbine units each type is commonly used?
9.57. What are the functions of the rotor and the stator in an axial
compressor?
9.58. Why is an axial compressor for a gas turbine made of several
stages? What is the pressure ratio of each stage in modern
compressors?
9.59. What are the functions of inlet guide vanes (IGVs) and exit guide
vanes (EGVs) in compressors in modern gas turbine units?
9.60. Draw the velocity and pressure diagrams throughout various
fixed and moving rows of an axial compressor.
9.61. Define the degree of reaction for an axial compressor. Explain why
heavy-duty gas turbines have a higher degree of reaction com-
pared to aeroderivative gas turbines.
9.62. In the following diagram, show the pressure and suction sides.
716 Power Plant Engineering

Air flow

Direction of
rotor motion

9.63. What are the advantages and disadvantages of centrifugal com-

pressors compared to axial compressors?
9.64. Name various components of a centrifugal compressor in the fol-
lowing schematic.

9.65. List some conditions that can lead to the off-design operation of a
compressor.
9.66. Draw a simple performance curve of an ideal and real compressor.
What factors differ these two curves?
9.67. What are three types of losses in an actual compressor?
9.68. Explain what the blade stall phenomenon is in compressors. How
does it limit the pressure increase in each stage of a compressor?
9.69. A compressor can have one or more stages stalled, while other
stages are unstalled.
a. True
b. False
9.70. Explain how and why compressor surge happens. Use the follow-
ing compressor performance curve in your explanation.
Gas Turbines 717

Pressure head

Mass flow rate

9.71. In an air compressor … has the most damaging effect. Why?

a. stall
b. surge
c. choke
9.72. How can compressor surge be avoided during gas turbine start-up?
9.73. What is compressor choke? When does it happen?
9.74. Why do gas turbines generally need high excess air? Explain how
this high excess air impacts the operation of combustors.
9.75. Explain how diffusion-type combustion chambers work.
9.76. What is the difference between straight-through-type and reverse
flow-type diffusion combustion chambers?
9.77. What are the functions of primary, secondary, and dilution air
flows in diffusion-type combustion chambers?
9.78. Name various parts of a diffusion-type combustion chamber in
the following schematic.

To turbine
718 Power Plant Engineering

9.79. What are two functions of connecting tubes in a can combustor?

9.80. Explain why can combustors were very popular with early gas
turbines and now rarely used in modern large gas turbines.
9.81. How are can combustors and annular combustors similar? What
are their differences?
9.82. Explain how silo combustors are different from other combustion
chambers. What are their pros and cons? Why are they uncom-
mon in modern gas turbines?
9.83. Name the three most common NOx control technologies during
the combustion process for gas turbines?
9.84. What are the advantages and disadvantages of wet NOx reduction
technologies?
9.85. Briefly explain the operation of DLN/DLE combustors.
9.86. In DLN/DLE combustors why are air and fuel premixed before
the combustion process?
9.87. What is the difference between duel fuel combustors and double
fuel combustors?
9.88. Generally speaking, gas turbines have a constant volume air flow
rate. Why?
a. True
b. False
9.89. How many igniters do can-annular combustors have? How does
the flame propagate to other cans?
9.90. Explain why typically impulse stages are not used in gas turbines.
9.91. Explain the tip clearance losses in gas turbines.
9.92. Why are some turbine stages shrouded?
9.93.
What are the two main strategies to increase the TIT without dam-
aging the turbine blades?
9.94. What are the two functions of turbine blade coating?
9.95. What are the cooling medium for turbine blade cooling systems?
9.96.
Explain how each of the following turbine blade cooling systems
works.
a. convection cooling
b. film cooling
c. transpiration cooling
d. multiple small-hole cooling
e. water or steam cooling
Gas Turbines 719

9.97.
Explain the effect of ambient temperature on the performance of
a gas turbine cycle and its reason(s) and how the problems can be
overcome.
9.98.
An increase in the compressor inlet temperature, i.e., the ambient
temperature, will reduce the air mass flow rate through the com-
pressor and will increase the power generation in the turbine.
a. True
b. False
9.99.
Compare evaporative cooling systems and refrigeration systems
for compressor inlet air cooling systems.
9.100.
What is the most important limitation of evaporative cooling sys-
tems when used for compressor inlet air cooling of gas turbines?
9.101.
Describe the following two evaporative compressor inlet air
cooling systems. List their pros and cons.
a. media-type evaporative cooling systems
b. fog cooling systems
9.102.
Explain why in fog cooling systems, the injected water needs to be
demineralized water.
9.103.
Explain why compressor inlet air cooling systems are used in gas tur-
bine units. Name the two types of the compressor inlet air cooling.
Explain their operation principles. List pros and cons of each system.
9.104.
Explain why modern-utility gas turbine units are not typically
equipped with a regenerator.
9.105.
Briefly explain how each of the following filtering mechanisms
works.
a. Rectangular filters
b. Bag filters
c. Cartridge filters

9.7.5 Operation of Gas Turbine Units

9.106.
Explain why in gas turbine units the load change is primarily
achieved by the fuel flow rate control.
9.107.
List the three gas turbine control modes. Describe the load control
mechanism for each mode.
9.108.
Explain why some gas turbines are equipped with an electric
motor as starter, while others have a diesel engine for this purpose.
9.109.
What is a black start of a power generation unit?
9.110.
Explain why recovering from a blackout can take many hours if
not days.
720 Power Plant Engineering

9.111.
Briefly explain a general gas turbine unit start-up sequence.
9.112.
Why is a starter needed during the gas turbine unit shutdown
sequence?
9.113.
Explain how the control system of a typical gas turbine unit
changes the unit load.
9.114.
Compare the speed control mode and TIT control mode of a gas
turbine.
9.115.
Which one is not a function of a gas turbine unit control system?
a. the control of the unit operation
b. detect problems or potential problems
c. perform diagnostic procedures to identify the root of problems
d. protect the system and its component
e. create maintenance schedule
f. short-term, long-term, and life cycle optimization
g. all of the above are the functions of a control system
9.116.
Name some protective systems in a gas turbine unit.
9.117.
List the three maintenance strategies that can be used in a power
generation unit. Explain the evolution of these strategies. What
is the objective of each strategy? What are their advantages and
disadvantages? Which one is currently used in modern power
plants?

9.7.6 General
9.118.
List inherent disadvantages of standalone gas turbines. How can
they be addressed?
9.119.
Describe how catalytic combustors operate. Why are they being
investigated for modern combustors?
9.120.
What are the typical upper limits for the pressure ratio and TIT of
large gas turbines?
9.121.
Using the following schematic diagram, explain the combustion
process in the combustion chamber of a gas turbine.

To turbine
Gas Turbines 721

9.122.
Using the following equation, explain how the ambient tempera-
ture impacts the specific work consumption in a compressor.

  P  ( k −1)/k 
wComp = CpT1   2  − 1
  P1  

9.123.
Explain how combustors can work.
9.124.
Which type of gas turbines has the largest share of gas turbine
market?
a. aviation
b. non-aviation
c. military
9.125.
What are the functions of the gasifier section and the power
section in an industrial gas turbine?
9.126.
Why is corrective maintenance the least effective maintenance
strategy? How can the preventive maintenance address some of
these problems?
9.127.
Explain how single-shaft and split-shaft gas turbines are different
(be specific about equipment connected to shafts).
9.128.
Choose items that describe the characteristics of a gas turbine
plant correctly (there are more than one correct choice).
a. quick start-up, shut down, and load change
b. high capital cost per unit of power output
c. short delivery and installation time
d. low power output-to-weight ratio
e. simple design and construction
f. relatively low efficiency
g. high exhaust temperature
h. power output and efficiency independent of ambient
conditions
i. no need for water
9.129.
Explain how and why rotating or propagating stall occurs in air
compressors.
9.130.
Is the following statement correct? Why?
“All inlet air is not directly used in the combustion process in a
gas turbine”.
9.131.
Explain why military applications are so important for gas tur-
bine development while it is a very small portion of the global
market.
722 Power Plant Engineering

9.132.
Which type of compressor inlet air cooling systems needs water?
a. Evaporative cooling
b. Mechanical refrigeration system cooling
9.133.
Using the following figure, explain the relationship between the
angle of attack and the drag and lift forces.
Lift
Lift and drag forces

Drag

Attack angle

9.134.
Explain how can-annular combustors are a crossover between can
combustors and annular combustors.
9.135.
A Brayton cycle is an air-standard power cycle that involves four
reversible processes: two constant-pressure (isobaric) processes
and two reversible adiabatic and hence isentropic processes
a. True
b. False
9.136.
Define the drag and lift coefficients for an airfoil.
9.137.
What is the definition of compression ratio (CR)?
9.138.
Name the two main applications of stationary gas turbines.
9.139.
Evaporative systems are significantly less expensive to install and
operate than refrigeration cooling systems.
a. True
b. False
9.140.
Explain fuel supply systems of gas turbines for liquid fuels.
9.141.
Describe aeroderivative gas turbines for power generation.
9.142.
Is corrective maintenance the least expensive maintenance
strategy in long term? Why?
9.143.
What type of gas turbines has very high shaft rotational speed, in
some cases above 100,000 rpm?
a. Large-sized gas turbines
b. Medium-sized gas turbines
c. Small-sized gas turbines
d. Micro gas turbines
Gas Turbines 723

9.144.
In the following T-s diagram, explain how using a large number
of compression and expansion steps helps the Brayton cycle to get
closer to the Ericsson cycle.

9.145.
If a gas turbine is designed and operated for baseload power
generation, the compressor pressure ratio should be as high as
possible (limited by the TIT).
a. True
b. False
9.146.
Typically in what type of gas turbines are centrifugal compressors
used?
9.147.
What are the pros and cons of the preventive maintenance strat-
egy? How can predictive maintenance address these problems?
9.148.
Explain incident or shock losses in a compressor. How are these
losses intensified at off-design conditions?
9.149.
List some ways and components that can be used to avoid com-
pressor surge during gas turbine operation.
9.150.
Briefly explain a general gas turbine unit shutdown sequence.
9.151.
In the following T-s diagram, which cycle has the lowest compres-
sor pressure ratio?

T
3´

3´´ 3

4
2´
2 4´´
1

s
724 Power Plant Engineering

a. 1-2-3-4-1
b. 1-2’-3’’-4’’-1
c. 1-2’-3’-4-1
9.152.
In the above diagram, which cycle has the lowest efficiency?
a. 1-2-3-4-1
b. 1-2’-3’’-4’’-1
c. 1-2’-3’-4-1
9.153.
In the above diagram, which cycle has the lower specific work?
a. 1-2’-3’’-4’’-1
b. 1-2’-3’-4-1
9.154.
In the following T-s diagram for a gas turbine with an intercooler,
explain why

h5 − h6′ < ( h5 − h6 ) + ( h7 − h8 ) .

T 7´

5 7

6
8

2´
6´
4
2

3 1

a b s

9.155.
One of the problems of gas turbine power systems is that the low-
temperature thermal energy is exhausted to the environment.
a. True
b. False
9.156.
What is a regenerator or recuperator in regenerative gas turbines
and what is its function?
9.157.
Define the efficiency of a combustor.
9.158.
Explain why wet NOx reduction technologies are not commonly
used in modern gas turbines.
9.159.
If improperly designed, the operation of compressors at certain
off-design conditions can lead to catastrophic consequences.
a. True
b. False
Gas Turbines 725

9.160.
What is the ultimate objective of aviation gas turbines?
9.161.
Describe clearance losses in compressors.
9.162.
Other factors being equal, the pressure ratios that the optimum
efficiency and specific work output can be achieved are different.
a. True
b. False
9.163.
What is the function of a compressor in a gas turbine plant?
9.164.
Explain refrigeration systems (indirect cooling systems) for the
compressor inlet flow cooling.
9.165.
Draw the T-s diagram of a gas turbine with the compressor
intercooling system, and compare it with a simple gas turbine
cycle.
9.166.
Increasing the compressor outlet pressure decreases the turbine
inlet temperature (TIT).
a. True
b. False
9.167.
How are isentropic (also known as adiabatic) efficiencies of the
turbine and compressor defined?
9.168.
Name the two major types of gas turbines in terms of their
applications.
9.169.
Operating at similar conditions, theoretically, which power cycle
generally has a greater efficiency, a steam power plant or a gas
turbine plant?
9.170.
If in the Brayton cycle the isentropic turbine and compressor are
both replaced with reversible and isothermal processes, the cycle
is called the …. cycle.
a. Ericsson
b. Rankine
c. Carnot
d. regenerative Brayton
9.171.
In a reheat gas turbine with one reheater, determine the pressure
ratio of each stage of the turbine that maximizes the specific net
work output of the turbine if the total combined pressure ratio
of the turbine is 16. The temperature of the low-pressure turbine
inlet flow is equal to the temperature of the high-pressure turbine
inlet flow.
9.172.
What is the function of an afterburner?
9.173.
Compare evaporative cooling systems and refrigeration systems
for compressor inlet air cooling systems in terms of their costs.
726 Power Plant Engineering

9.174.
The magnitude of the difference between specific volume during
the compression and expansion processes determines the output
power and efficiency of a cycle.
a. True
b. False
9.175.
Compare the efficiency of two simple Brayton cycles: one with the
compressor pressure ratio of 5 and the other with the compressor
pressure ratio of 25. The working fluid of the cycles is air.
9.176.
Name some military applications of gas turbines.
9.177.
The comparison of the air-standard Brayton cycle with isentropic
and non-isentropic compression and expansion processes indi-
cates that the temperatures of the compressor outlet and turbine
outlet are higher in the non-isentropic cycle.
a. True
b. False
9.178.
In the following P-v diagram for a Brayton cycle, name the four
processes and show them in the diagram.
P

2
d 3

c 4
1

9.179.
In the above P-v diagram for a Brayton cycle, show the areas that
represent the net work per unit of mass of the cycle and the com-
pressor and turbine work per unit of mass.
9.180.
The higher compression ratio of a gas turbine cycle results in the
lower efficiency of the cycle.
a. True
b. False
9.181.
Why is an Ericson cycle practically impossible?
9.182.
Draw the T-s diagram for a regenerative gas turbine.
9.183.
Why is it beneficial for the study of gas turbines for electricity gen-
eration applications to have some insights to other applications
particularly aviation gas turbines?
Gas Turbines 727

9.184.
The area under the T-s diagram for a reversible process is …. to the
heat transfer during the process.
a. equal
b. greater
c. smaller
d. not equal
9.185.
Explain why gas turbines with intercoolers have more potential
for waste heat recovery through a regenerator.
9.186.
What are turboshaft engines?
9.187.
What is creep? Why is it important for gas turbine blades?
9.188.
Gas turbine units are being used for both baseload and peak-load
power generation.
a. True
b. False
9.189.
Explain why the continuous cooling of the air flow in the compres-
sor is not practical.
9.190.
What are the two methods to keep turbine blade temperatures
within their limits while the gas flow temperature can exceed
those limits?
9.191.
Draw the schematic diagram and the T-s diagram of a modified
Brayton cycle with multiple stages of compression with inter-
cooling and multiple stages of expansion with reheaters and a
regenerator.
9.192.
What is the main difference between aviation gas turbines and
stationary gas turbines, in terms of their components?
9.193.
Which one is an inherent disadvantage of standalone gas turbines?
a. High-temperature exhaust flow
b. Strong dependency of both power output and efficiency on
ambient conditions
c. Inability to consume solid fuels
d. All of the above
9.194.
What is the definition of the back work ratio? Why is it important?
9.195.
Explain how 2-spool and 3-spool gas turbine engines work.
9.196.
Describe the impact of fatigue on gas turbine blades.
9.197.
Select all items that indicate the characteristics of gas turbine
cycles.
a. No need for water
b. Simple design but high construction cost
c. Short delivery and installation time
728 Power Plant Engineering

d. Low availability
e. Remote control capability
f. Relatively high efficiency
g. High fuel cost
h. Quick start-up and shutdown
i. Rapid load-following
j. Low power-to-weight ratio
k. Relatively low capital costs
l. Low maintenance
m. High capacity factor
9.198.
What is the difference between an air-standard analysis and a
cold air-standard analysis?
9.199.
I n an intercooled gas turbine with three steps of compression,
determine the pressure ratio of each stage of the compressor
that minimizes the power input of the compressor if the total
combined pressure ratio of the compressor is 27. The tem-
perature of the inlet flow to the high-pressure compressor is
equal to the temperature of the inlet flow to the low-pressure
compressor.
9.200.
Why is the power-to-weight ratio the most important characteris-
tic for propulsion systems in transportation applications?
9.201.
What alloys are modern turbine blades made of?
9.202.
An Ericsson cycle consists of two constant-temperature processes
and two constant-pressure processes (all reversible).
a. True
b. False
9.203.
What is the function of a compressor intercooler?
9.204.
What are groups of non-aeroderivative gas turbines according to
their power ratings? What is their approximate size range?
9.205.
Increasing the compressor pressure ratio of a Brayton cycle with
no limit in the TIT, … the cycle efficiency and ….. the cycle specific
work.
a. increase – decrease
b. decrease – increase
c. increase – increase
d. decrease – decrease
9.206.
Air enters a compressor of a gas turbine at the temperature of 35°C
and leaves the compressor at 425°C. If the cycle operates as an
ideal Brayton cycle, determine the efficiency of the cycle.
Gas Turbines 729

9.207.
For a given inlet temperature to the compressor, the inlet temper-
ature to the turbine, and the working fluid, derive the equation
for the compressor pressure ratio that maximizes the net specific
work output of a cold air-standard Brayton cycle.
9.208.
In a cold air-standard Brayton cycle, the compressor inlet air tem-
perature and pressure are 280 K and 100 kPa, respectively. The
pressure ratio of the compressor is 10. If the turbine inlet tempera-
ture (TIT) is 1400 K, determine (1) the temperature of the compres-
sor outlet and the turbine exhaust, (2) net specific work produced
in the cycle, (3) the thermal efficiency of the cycle, and (4) the back
work ratio of the cycle, once using the air property table data and
then assuming the constant specific heats for air.
9.209.
Repeat the previous problem for the compressor pressure ratio
between 5 and 40 with an increment of 5. Draw the diagram of
the efficiency, net specific work output, and back work ratio as a
function of the compressor pressure ratio. Consider the cold air-
standard Brayton cycle.
9.210.
Repeat the cold air-standard analysis for Problem 9.208 with the
isentropic efficiencies of the turbine and compressor equal to 80%.
9.211.
Repeat Problem 9.208 for the regenerative cold air-standard
Brayton cycle with 100% efficient regenerator.
9.212.
Repeat Example 9.1 if the compressor and turbine have the isen-
tropic efficiency of 85%. Compare the results with the results from
Example 9.1.
9.213.
In the cycle explained in Example 9.1, a regenerator with the effec-
tiveness of 100% is incorporated to the cycle. Determine the energy
transfer per second in each component, the net power generation,
the back work ratio, and the efficiency of the cycle using data from
air property table and the cold air-standard analysis.
9.214.
In the nonideal air-standard Brayton cycle, explained in Example
9.5, a regenerator is incorporated to the cycle with the effectiveness
of 100%. Determine the heat transfer per second in heat exchang-
ers and the efficiency of the cycle using constant specific heats
for air. Repeat your calculation for the regenerator effectiveness of
70%, and compare your results for two cases.
9.215.
In an ideal Brayton cycle, a two-step turbine is equipped with a
reheater. The temperature of the low-pressure turbine inlet flow is
lower than or equal to the temperature of the high-pressure tur-
bine inlet flow. For the fixed given states of the first turbine inlet
and the second turbine outlet, derive the equation for the pressure
of the reheater that maximizes the power output of the turbine
(both steps combined). The turbines operate according to the cold
air-standard assumptions.
730 Power Plant Engineering

9.216.
In an ideal Brayton cycle, a two-step compressor is equipped
with an intercooler. The temperature of the inlet flow to the high-
pressure compressor is greater than or equal to the temperature of
the inlet flow to the low-pressure compressor. For the fixed given
states of the first compressor inlet and the second compressor
outlet, derive the equation for the pressure of the intercooler that
minimizes the power input of the compressor (both steps com-
bined). The compressors operate according to the cold air-stan-
dard assumptions.
9.217.
A 200-MW gas turbine operates based on the Brayton cycle. The
ambient pressure is 1.1 bar, and the combustion chamber pres-
sure is 22 bar. Determine the thermal efficiency of the cycle (%)
and the rate of heat rejection to the environment (MW). Assume
the working gas is an ideal gas and the ratio of the specific heats
of the working gas is 1.4. Compare the results with those of the
Carnot cycle with the same power generation capacity operating
between the heat source and sink at temperatures 1200°C and
25°C, respectively.
9.218.
In a steam power plant, the difference between the specific volume
of the working fluid in the compression and expansion processes
is greater than that in a gas turbine (remember that the specific
volume of steam is in the order of 103 times greater than that of
liquid water). Therefore, generally, everything else being equal,
the efficiency of steam power plants is higher than that of gas
turbines:
a. True
b. False
10
Combined Cycle Power Plants
and Cogeneration Plants

Abstract
In the previous chapters, we learned about steam power plants and gas
turbine units. In this chapter, we will investigate how we can combine
them to achieve an efficiency that is unimaginable for individual plants.
First, we will discuss about how a steam cycle and a gas turbine unit
can be combined to form a combined cycle power plant (CCPP). We will
learn how to calculate the efficiency of a CCPP using efficiencies of its
steam cycle and gas turbine unit. Then, we will briefly review various
components and configurations of combined cycles. We will place a par-
ticular emphasis on the functions and various types of heat recovery
steam generators (HRSG) as the interface between the steam cycle and
the gas turbine. Finally, we will conclude the chapter by briefly discuss-
ing cogeneration plants, also known as combined heat and power (CHP)
plants, and integrated gasification combined cycles (IGCC).

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to
• describe combined cycle power plants (CCPPs) and their working
principles
• calculate efficiency of a CCPP using efficiencies of its steam cycle and
gas turbine unit
• explain various components and configurations of combined cycles
• explain functions and various types of heat recovery steam genera-
tors (HRSGs)
• describe cogeneration plants (combined heat and power, CHP)
• explain integrated gasification combined cycles (IGCC)

731
732 Power Plant Engineering

10.1 Introduction
Technically speaking, combined cycle power plants (CCPPs) can refer to any
combination of two or more power generation cycles. However, in the power
generation industry, the term specifically refer to when a gas turbine power
unit (Brayton cycle) and a steam power plant (Rankine cycle) work together
(Figures 10.1). The term “combined cycle” might be somewhat misleading.
In CCPPs, the two cycles are not combined, as being integrated, rather they
work alongside each other. The exhaust flow of one cycle is the inlet flow of
the other cycle. Since in a great majority of cases they are fueled by natural
gas, they are also commonly referred to as natural gas combined cycles
(NGCC). Other less common terms that are used for these plants are com-
bined cycle gas turbine (CCGT) or the binary of the Brayton and Rankine
cycles.
In Chapter 9, we learned that the temperature of the gas turbine exhaust
flow is high, which results in the loss of high-grade energy. Depending on the
size and design of a gas turbine (Figure 10.1a), its exhaust temperature can be
typically between 450°C and 650°C (about 840°F–1200°F) with the mass flow
rate of up 1000 kg/s. On the other hand, the temperature of the superheated
steam generated in a typical fossil fuel burning steam generator (Figure 10.1b)
can be typically between 500°C and 650°C (about 930°F–1200°F). The principl
idea of combined cycles is to take advantage of this temperature overlap of
the working fluids of the two cycles to avoid the high-grade energy loss in the
exhaust of gas turbines (Figure 10.1c). From the Carnot cycle point of view, a
combined cycle takes advantage of a high-temperature heat addition (TH) of
a Brayton cycle and a low-temperature heat rejection (TL) of a Rankine cycle.
In a combined cycle, one or more gas turbine units function as a topping
cycle, and a steam cycle works as a bottoming cycle (Figure 10.2). To recover
thermal energy from the gas turbine exhaust flow, the steam generator of the
Rankine cycle is replaced by a heat recovery steam generator (HRSG), also
known as a heat recovery boiler. Combined cycles are capable of achieving
extraordinarily high efficiency. The combination of gas turbines, which are
typically peak-load power generation units, and steam cycles, which are gen-
erally baseload power generation units, provides flexibility for these cycles
to perform in a variety of demand conditions, both as peak-load and basel-
oad power plants. They have also relatively low capital costs, small footprint,
rapid installation period, and low emissions.
Due to their superior efficiency and since they typically burn natural gas
as fuel, combined cycles have extraordinarily low-carbon emissions. Their
low emissions and small footprint provide them with the flexibility to be
installed close to electricity consumption centers even within cities.
The concept of a combined cycle or its variation can be used for replac-
ing, retrofitting, or repowering existing or retiring power plants. These can
take place in several levels and to different extents. For example, gas turbine
Combined Cycle Power Plants 733

Exhaust
Compressor
Gas turbine

Generator

Combustion
chamber

Air

Intel fuel
(a)
Steam turbine

Generator

Exhaust

Steam

Steam generator

Condenser

Air

Fuel
Cooling tower
Feedwater
pump
(b)
Steam turbine
Generator

Exhaust

Steam
Heat recovery
steam generator

Condenser

Feedwater pump

Cooling tower
Compressor
Gas turbine Generator

Combustion
chamber

Intel fuel

(c)

FIGURE 10.1
Schematic of (a) single gas turbine unit, (b) single steam power plant, and (c) combined cycle
power plant (CCPP).
734 Power Plant Engineering

Combustion
chamber

Gas turbine
1 2 3

Gas turbine
unit

Generator
Compressor 5 HRSG

Steam
4 turbine
7
6
Steam cycle

Condenser
9 8 Generator

Pump
(a)

3
T
Gas turbine

2
4
7
1 5

6 Steam cycle
8
9

s
(b)

FIGURE 10.2
Schematic (a) and T-s diagram (b) of a combined cycle power plant.

units can be added to an existing steam power plant to use their exhaust flow
to fully or partly replace the ambient air for the combustion process in the
steam generator. Alternatively, the entire steam generator can be replaced by
a gas turbine-HRSG assembly with the rest of the steam cycle intact. Even the
entire power cycle can be replaced by a combined cycle but using an existing
cooling system, power transmission lines, etc.
Generally speaking, in a CCPP, the atmospheric air is first pressurized in
the compressor (Figure 10.1c). The high-pressure air flow is then heated in
Combined Cycle Power Plants 735

the combustion chamber by burning fuel, typically natural gas. The high
temperature and high-pressure combustion products are expanded in the
gas turbine to generate electricity in the generator. The exhaust flow of the
gas turbine enters the HRSG. In the steam generator, the thermal energy is
transferred from the gas turbine exhaust flow to the working fluid of the
steam cycle, i.e., feedwater. The superheated steam from the steam generator
then expands through the steam turbine and generates further electricity.
The saturated mixture of steam and liquid water is condensed in the con-
denser and is pumped back to the HRSG.
Sadi Carnot (1796–1832, a French engineer and one of the founders of
thermodynamics as a branch of science) was the first person who laid the
foundation of combined cycles when he wrote about how the hot outlet
air flow of an engine can be used to create low-temperature steam instead
of being thrown out. A more specific concept was introduced in the early
20th century. Early experimental CCPP units were installed in the 1950s.
Early commercial units were commissioned in the early 1960s, which was
followed by the installation of tens of units in the 1970s. This was primar-
ily due to the fact that improvements in the gas turbine blade technology
allowed a significant increase in the turbine inlet temperature (TIT). This in
turn resulted in a high enough temperature of the turbine exhaust, which
made an effective integration of the HRSG economically feasible. However,
a breakthrough in the widespread utilization of CCPPs came in the 1990s
when very large and efficient gas turbines with power generation capaci-
ties of up to about 250 MW (extraordinarily large units with those days’
standards) were introduced. This pattern still continues with gas turbine
units with capacities up to about 500 MW. Currently, CCPPs are quickly
replacing other forms of fossil fuel power generation systems particularly
when natural gas is available as fuel. Even with the high contribution of
electricity generated from renewable energy sources, combined cycles are
playing and will continue to play a vital role in providing power to smooth
their intermittent nature (more on this topic in Chapter 16). They are even
being integrated into solar thermal energy power plants to supplement
these units.

10.2 Efficiency of Combined Cycle Power Plants

The efficiency of a CCPP as a function of the efficiency of its gas turbine unit
and steam cycle can be determined as follows (Figure 10.3):

W  W +W  St
ηCCPP =  CCPP = GT (10.1)
QGT, in QGT,in
736 Power Plant Engineering

WCCPP

WGT WSt
QGT in QGT out QSt out
GT QSt in
ST
Gas turbine Steam cycle

FIGURE 10.3
Flows of heat and work in a combined cycle power plant.

where ηCCPP is the efficiency of the combined cycle, W  GT is the output power of

the gas turbine unit (W), WSt is the output power of the steam cycle (W), and
Q GT, in is the time rate of the input thermal energy of fuel in the combustion
chamber of the gas turbine (W).
The efficiency of the gas turbine and steam cycle are

W
ηGT =  GT (10.2)
QGT, in

W
ηSt =  St (10.3)
QSt, in

where ηGT is the efficiency of the gas turbine unit, ηSt is the efficiency of the
steam cycle, and Q St, in is the time rate of the input thermal energy to the steam
cycle from the outlet of the gas turbine (W). Assuming that no energy is lost
between the exhaust of the gas turbine and the inlet of the HRSG (which is a
very reasonable assumption considering their physical proximity),

Q St, in = Q GT, out (10.4)

Substituting Equation 10.4 in 10.3,

W
ηSt =  St (10.5)
QGT, out

Rearranging Equations 10.2 and 10.5,

 GT = ηGTQ GT, in (10.6)

 St = ηStQ GT,out (10.7)

W
Combined Cycle Power Plants 737

From the energy conservation law (the first law of thermodynamics) for the
gas turbine cycle,

 GT = Q GT,in − Q GT, out (10.8)

Substituting Equation 10.8 in 10.2,

Q GT, in − Q GT, out

ηGT = (10.9)
Q GT, in

Rearranging Equation 10.9,

ηGTQ GT, in = Q GT, in − Q GT, out (10.10)

Q GT, out = Q GT, in − ηGTQ GT, in = Q GT, in ( 1 − ηGT ) (10.11)

Substituting Equation 10.11 in 10.7,

 St = η StQ GT, in ( 1 − ηGT ) (10.12)

Substituting Equations 10.6 and 10.12 in Equation 10.1,

ηGTQ GT, in + ηStQ GT, in ( 1 − ηGT )

ηCCPP = (10.13)
Q GT, in

ηCCPP = ηGT + ηSt − η GTη St (10.14)

As noted, CCPPs can achieve an extraordinarily high efficiency. Until recently,

the efficiency of above 60% seemed unachievable for any type of thermal power
generation technology. In May 2012, a 570 MW CCPP designed and built by
Siemens in southern Germany, called Irsching Power Station, was eventually
able to break the 60% efficiency barrier by achieving the efficiency of 60.75%.

Example 10.1
The largest and most efficient gas turbine that is currently available in
the market is the GE 9HA.01 gas turbine with an efficiency of 41% manu-
factured by GE Power. When combined with a steam cycle, the efficiency
of the cycle increases to 61%. Determine the efficiency of the steam cycle
that is used in this CCPP.

ηCCPP = ηGT + ηSt − ηGTηSt

738 Power Plant Engineering

0.61 = 0.41 + ηSt − 0.41 × η St

ηSt = 0.3390 = 33.90%

Example 10.2
A 500 MW CCPP has an efficiency of 55%. If the efficiency of the gas turbine
cycle is 36%, determine the power output of the gas turbine and the steam
cycle (in MW), the mass flow rate of natural gas burned in the combustion
chamber of the gas turbine (in kg/s), and the thermal energy exhausted by
the HRSG (in MW). The heating value of natural gas is 45 MJ/kg.

W 500
Q GT, in = CCPP = = 909.1MW
ηCCPP 0.55

 GT = ηGT × Q GT, in = 0.36 × 909.1 = 327.3 MW

 St = W
W  CCPP − W
 GT = 500 − 327.3 = 172.7 MW

Q GT, in = m
 Fuel × HV

Q GT, in 909.1
 Fuel =
m = = 20.2 kg/s
HV 45

Q St, out = Q GT, in − W

 GT − W
 St = 909.1 − 327.3 − 172.7 = 409.1MW

10.3 Configuration of Combined Cycle Power Plants

As noted, any CCPP is composed of a gas turbine unit and a steam cycle.
Since the HRSG is the interface between these two cycles, we will treat it
separate from the cycles. In this section, we will briefly discuss the two cycles
since they are very similar to standalone steam cycles and gas turbines that
were covered extensively in the previous chapters. Then, because of the
unique characteristics of HRSGs, in the next section, we will discuss them in
more detail. In terms of how these two cycles are assembled, there are several
common configurations. For example, each gas turbine can have a dedicated
HRSG and steam cycle, or a pair of gas turbines each can have an HRSG but
share a single steam cycle.
The gas turbine section of combined cycles is exactly the same as stand-
alone gas turbines. In fact, most gas turbine manufacturers offer their
Combined Cycle Power Plants 739

systems as standalone units or combined cycles. During the system opera-

tion, the backpressure imposed by the pressure drop in the flue gas flow in
the HRSG slightly reduces the efficiency of the gas turbine compared to that
of the standalone unit. Some cycles have a stack right after the gas turbine
and before the HRSG (this stack is separate from the main stack after the
HRSG). This stack allows the gas turbine to operate without the steam cycle
being in service. There is a diverter damper that controls whether the flue
gas flow is sent to the stack or the HRSG.
Between the gas turbine and the HRSG there is an interconnection that
connects the exhaust of the gas turbine unit to the inlet duct of the HRSG.
The function of the inlet duct is to uniformly distribute the flue gas at the full
length of heat-transfer surfaces. The flue gas flow passes through the HRSG
and raises steam before being discharged to the atmosphere. The steam from
the HRSG is sent to the turbine-generator assembly to generate electricity.
The gas turbine and steam turbine can be connected to the same generator
or have their dedicated ones. The saturated steam from the turbine is con-
densed in the condenser by the cold water from the cooling system, typi-
cally a cooling tower. The condensate from the condenser is pumped by the
condensate (extraction) pump to the deaerator (open feedwater heater). The
deaerated feedwater is pumped back to the HRSG by the feedwater pump.
Combined cycles are typically equipped with one or more closed feedwa-
ter heaters before or after the deaerator. It should be noted that the struc-
tures and foundations of the gas turbine, HRSG, and stack are separated by
expansion joints.

10.4 Heat Recovery Steam Generators (HRSGs)

Since the ultimate objective of both HRSGs and conventional fossil fuel-
steam generators is to absorb the maximum amount of thermal energy from
a flue gas flow, they share many common components. However, they have
some significant differences too. The first and most consequential one is the
lack of the furnace in HRSGs. Although they may have a supplementary fir-
ing system, they do not have a dedicated space for fuel burning. From the
heat-transfer point of view, this means that the main heat-transfer mecha-
nism for heat transfer from the flue gas flow to the water or steam flow inside
tubes is convection and the contribution of radiation is small. One result is
that HRSGs do not have waterwall tubes as the boiler (evaporator). Instead,
a certain section of heat-transfer surfaces (tube bundles) is dedicated for this
purpose. While some combined cycles are fueled with fuel oil or synthetic
gases (more on this topic later in this chapter), a majority of CCPPs are natu-
ral gas-burning units. This simplifies some of the required components.
HRSGs can be drum-type or once-through. While the former is currently
more common, the latter is becoming popular due to their rapid start-up
740 Power Plant Engineering

and better load-following characteristics. These steam generators can be

natural or force circulation often used in horizontal and vertical configura-
tions, respectively.
HRSGs can be equipped with a supplementary firing system, called a duct
burner, to increase the temperature and the mass flow rate of the flue gas
before or while going through the HRSG. Accordingly, a duct burner can be
installed at the entrance of the HRSG or within the HRSG. Commonly, the
flue gas flow from the gas turbine(s) is rich in oxygen and contains sufficient
oxygen to support the secondary combustion process in the duct burner.
Otherwise, some fresh air may be added to the flue gas for this purpose.
Using a duct burner provides more control over the operation of the steam
generator. This allows to compensate for the variations of temperature and
mass flow rate of the gas turbine outlet flow due to changes in the ambient
conditions or during part-load operation. This is particularly critical if the
temperature of the generated steam has a narrow window of acceptable
variations. However, adding a duct burner not only increases the capital
cost of the plant, but also the direct burning of fuel reduces the overall effi-
ciency of the cycle.
In terms of the direction of the flue gas through the steam generator, HRSGs
can be horizontal or vertical. In the horizontal configuration, the vertical
heat-transfer surfaces are located on the horizontal flue gas flow (Figure 10.4).
The tubes can be supported from the top or bottom. This configuration pro-
vides a simpler and more accessible (for maintenance) layout. In the vertical
configuration, the heat-transfer surfaces are arranged horizontally with the
flue gas flow passing through them at the vertical direction. The tubes are
supported vertically by a support structure hanging from top. While slightly
more compact, the vertical configuration requires more steel structure and
more complex layout of heat exchangers. For these reasons, the horizontal
configuration is more common in current HRSGs.
According to the steam pressure in the HRSG, combined cycles can be
divided to two different types: single-pressure and multiple-pressure (double
pressure or triple pressure) HRSGs. In the following sections, we will discuss
these HRSGs.

10.4.1 Single-Pressure HRSGs
Single-pressure drum-type HRSGs are in principle very similar to conven-
tional fossil fuel-steam generators discussed in Chapter 3. Their major com-
ponents are the economizer, boiler (evaporator), drum, and superheater. They
may or may not be equipped with reheaters. The superheater and reheater
are close to the flue gas entrance. This means the lowest level heat-transfer
surfaces in the vertical configuration or the ones closest to the gas turbine
in the horizontal configuration. The economizer is typically right before the
stack.
Combined Cycle Power Plants 741

Heat recovery
steam generator Gas turbine
stack
Gas turbine
Compressor

Generator

Air
Steam
Fuel Combustor turbine

High pressure Condenser

feedwater
heater
Cooling
tower
Condensate
pump

Feedwater
pump
Low pressure
Deaerator feedwater heater
(open feedwater
heater)

FIGURE 10.4
Schematic of a combined cycle power plant.

The temperature as a function entropy diagram of the water flow inside

the tubes and the flue gas flow outside of the tubes are shown in Figure 10.5.
As can be observed in the diagram, in the economizer compressed liquid
from the feedwater heaters is heated to near-saturated liquid before being
fed to the drum. The temperature of the water leaving the economizer
and entering the drum is slightly lower than the saturation temperature
of the feedwater (the temperature of the boiling water in the drum). This
temperature difference, called the approach temperature, is to ensure that
even at part-load operation the boiling process does not occur in the econo-
mizer, which can damage the heat-transfer surfaces of the economizer. The
approach temperature can vary between 5°C and 20°C (about 10°F and 35°F),
with about 10°C (about 18°F) being a common value. A larger approach tem-
perature results in less heat-transfer surface area in the economizer, which
must be compensated by more heat-transfer area in the evaporator.
742 Power Plant Engineering

Gas turbine
T exhauset
Approach Flue gas
temperature
Water/Steam
Pinch temperature
Superheated
steam to steam
turbine
Stack

Feedwater
from feedwater
heaters

Evaporator s
Economizer Superheater

FIGURE 10.5
T-s diagram of a single-pressure HRSG.

The boiling process takes place in the evaporator-drum assembly followed

by the steam superheating process in the superheater. The superheated steam
is then sent to the turbine at the pressure up to about 180 bar and the temper-
ature of up to about 600°C. The superheated steam temperature is controlled
by an attemperator (refer to Section 3.6.2), which in this case is typically
referred to as a desuperheater.
The temperature of the flue gas flow outside the tubes continuously
decreases. As expected, the temperature of the flue gas is always higher
than that of the water. These two temperatures are closest at the saturation
temperature of the water at a point, called the pinch point (refer to Section
2.3.5.2). The difference between the flue gas temperature leaving the evapo-
rator and the water boiling temperature is called the pinch temperature.
Reducing the pinch temperature decreases the temperature difference
between the two flows, which in turn reduces the irreversibilities in the heat-
transfer processes and increases the efficiency. However, a steam generator
with a lower pinch temperature requires a larger heat-transfer area (and a
more expensive one) to achieve same heat transfer compared to that of a
steam generator with a higher pinch temperature. Therefore, the selection
of an appropriate pinch temperature, typically 5°C–17°C, involves a tradeoff
between the system size versus the efficiency or more to the point the initial
cost versus the operating cost.

10.4.2 Multiple-Pressure HRSGs
A close observation of Figure 10.5 indicates that there is a significant tem-
perature difference between two flows in most of single-pressure HRSGs.
This temperature difference causes a high level of irreversibility in the
steam generator and a high temperature of the flue gas leaving the steam
Combined Cycle Power Plants 743

generator both of which negatively impact the efficiency. To reduce these

negative impacts, multiple-pressure HRSGs can be utilized in CCPPs.
Figure 10.6 shows that in a multiple-pressure HRSG, the temperature differ-
ence between the two flows is much smaller than that in a single-pressure
HRSG (Figure 10.5) throughout the steam generator. These HRSGs have sig-
nificantly higher efficiencies compared to those of single-pressure HRSGs.
Dual- and triple-pressure HRSGs are currently being employed, with the
latter being the most common among the three types of HRSGs. While hav-
ing more pressure levels can slightly increase the cycle efficiency, the gain
cannot justify the increase in the capital cost and increased in the complex-
ity of the system. The number of pinch points for these steam generators is
equal to the number of pressure levels.
Triple-pressure HRSGs have three loops with high pressure (HP), interme-
diate or medium pressure (IP or MP), and low pressure (LP). Increasing the
high pressure and/or decreasing the low pressure improve the efficiency of
the HRSG. However, the latter increases the required heat-transfer surfaces
and piping size, which in turn increases the capital cost of the unit. This
means there are economic limits on how low this pressure can be. In the
most complex configuration, each pressure level has a dedicated economizer,
boiler (including evaporator and drum), superheater, feedwater pump, and
possibly reheater. These cycles also typically have three steam turbines each
corresponding to a pressure level. The outlet flows from the HP and/or IP
turbines are typically mixed with the inlet flow of the next lower pressure
steam turbine. Furthermore, in some plants a single high-pressure feedwater
pump is used, where the feedwater for the low-pressure circuit is provided
by reducing the water pressure in a valve.
There are a wide variety of configurations for HRSGs. In some designs,
the LP economizer is eliminated, or the LP and IP levels share the same

T
Flue gas

High pressure
loop

Intermediate
pressure loop
Low pressure
loop
s

FIGURE 10.6
T-s diagram of a triple-pressure HRSG.
744 Power Plant Engineering

economizer while in others the HP and/or LP economizer, superheater, or

reheater are divided into two or even three sections. The overall objective is
to have a closed match between the flue gas temperature, and those of the
water/steam flows across the steam generator in a most economically sound
way. The layout of these heat-transfer surfaces is according to their outlet
temperature. The surfaces with higher temperatures are closer to the flue
gas inlet flow from the gas turbine. For example, the superheaters of inter-
mediate and low-pressure circuits may be located downstream of the high-
pressure boiler (evaporator). It is not uncommon to have over 20 heat-transfer
surfaces to be distributed along an HRSG.

10.5 Cogeneration Plants
As the name implies, cogeneration plants, also known as combined heat
and power (CHP)1 plants, are able to generate both electricity and heat, in
the form of steam or hot water, using a single source of fuel (Figure 10.7). The
thermal efficiency (but not the electrical efficiency) of these plants is much
higher than that of individual systems. Their efficiency can be determined
by the following equation:

 Elec + Q Cogen (10.15)

W
ηCogen =
Q In

where ηCogen is the overall efficiency (the thermal and electrical efficiencies
combined) of the cogeneration plant, W  Elec is the generated electrical power
in the plant (W), Q Cogen is the time rate of the generated thermal energy in
the plant (W), and Q In is the time rate of the input thermal energy (from fuel
combustion) of the plant (W). The thermal energy generated in these plants
can be used to provide either steam or hot water for industrial applications,
such as food processing and paper manufacturing, or thermal energy for
building heating systems. Small- and medium-size cogeneration plants have
gained remarkable popularity in the past few decades to provide superheated
or saturated steam for indusial processes or to provide heat (and of course
electricity) for space heating in large complexes, such as airports or university
campuses.
Technically speaking, cogeneration plants can be based on gas turbine
power plants, steam power plants, internal combustion engines, or fuel cells.
The main design objective of these plants can be different from that of typical

1 Recently, the idea of trigeneration or combined cooling, heat, and power (CCHP) are also
being investigated.
Combined Cycle Power Plants 745

LP turbine
HP turbine
Steam
generator Generator

Thermal
load

Condenser

Feedwater Mixing Extraction

pump chamber pump

FIGURE 10.7
Schematic of a typical extraction cogeneration plant.

power plants. In some applications, the main objective is to provide ther-

mal energy (typically steam) at desired conditions at all times rather than to
maximize electricity generation and its efficiency. The design of these units
can be challenging since the electrical and thermal loads may not coincide.
For this reason, there is a wide variety of configurations depending on the
requirements of a specific application.
These plants can be topping cycles or bottoming cycles. In topping cycles,
electricity is generated first and then the remaining thermal energy is recov-
ered from the plant exhaust flow for the thermal load. In these plants the
thermal needs can be provided by the outlet flow of a steam turbine (known
as back-pressure CHP plants, below), can be extracted from the stages of a
steam turbine (referred to as extraction CHP plants, below), or can be recov-
ered from the flue gas from the combustion process of a power generation
unit. The former two types are based on steam power plants while the latter
is used in gas turbines or internal combustion engines.
In bottoming cycles, the thermal energy for electricity generation is recov-
ered from the exhausted energy of the thermal load. In these plants, the
thermal load is directly provided by an HRSG (or boiler) or a furnace. This
is typically used when thermal energy at a high temperature is needed for
process requirements.
746 Power Plant Engineering

10.5.1 Back-Pressure CHP Plants

In these cycles, either the outlet flow of the turbine is used as a source of
thermal energy or thermal energy rejected in the condenser is used for this
purpose. In the former configuration, there is no condenser to create low
pressure at the outlet of the turbine, which significantly reduces the effi-
ciency of the power generation portion of the unit. Similarly, if a condenser
is used as a source of thermal energy, the temperature of the condenser and
as a result its pressure increases, which again increases the backpressure of
the steam turbine. Increasing the temperature and pressure of the needed
thermal energy will increase the backpressure of the turbine, which in turn
will reduce its efficiency. In these plants, typically some provisions should
be considered to ensure that the heat load is always met regardless of the
turbine operational conditions. For example, a bypass line can be included
across the turbine to directly send the superheated steam to the thermal load.
Commonly, a desuperheater is employed to control the temperature of the
steam outlet flow before being sent to the external thermal load.

10.5.2 Extraction CHP Plants

This type of CHP plant is very similar to conventional steam power plants,
but in this case, the steam required to provide thermal energy is extracted
from the steam turbine (Figure 2.7) (similar to the steam extracted for feed-
water heaters). Obviously, extracting steam from the turbine reduces the
power output of the turbine. This configuration is very flexible for varying
thermal energy requirements.

10.6 Integrated Gasification Combined Cycles

As noted in Chapter 9, one of the limitations of gas turbine units is that they
cannot be fueled by solid fuels, such as coal, biomass, solid municipal waste,
or even a mixture of solid fuels. Integrated gasification combined cycles
(IGCC) are a way to overcome this limitation by integrating a gasifier and a
combined cycle. In these cycles, solid fuel is first converted to gaseous fuel,
called syngas (synthesis gas), by the gasification process (Figure 10.8). In the
simplest term, the gasification process involves partial combustion of the
solid fuel with oxygen in the presence of steam. The required oxygen is pro-
duced in an air separation unit (ASU), which is a part of the plant. The exact
composition of the produced syngas depends on the type of feedstock (fuel),
the used gasification process, and its conditions. The gases that contribute
to the heating value of the syngas are hydrogen, carbon monoxide, and to
lesser degree methane. The generated syngas is then fed to the combustion
Combined Cycle Power Plants 747

Steam turbine

Generator
Exhaust

Heat recovery
Condenser steam generator

Steam
Cooling tower Compressor
Feedwater pump Generator
Gasifire

Air separation Gas turbine

unit
Air
Oxygen Combustor
Air

Syngas

Gas cleanup

Nitrogen Coal

FIGURE 10.8
Schematic of an integrated gasification combined cycle (IGCC).

chamber of the gas turbine in a CCPP. These units have a great potential to
use precombustion carbon dioxide capture systems with much lower costs
compared to that of conventional post-combustion carbon dioxide capture
systems (for more information refer to Chapter 5). A typical plant can include
several stages of syngas cleaning such as the particulate, mercury, and sulfur
removal processes. The processes in a gasifier require certain temperature
ranges. To achieve these temperatures several heat recovery heat exchangers
are typically employed in the gasifier.
IGCC plants can achieve efficiency at the low 40%, which is significantly
higher than that of other coal-based power generation units, particularly if
carbon dioxide capture systems are included. However, their high capital cost
is a substantial obstacle for their widespread use. Several proof-of-concept
and demonstrational plants have been constructed since the 1990s with vary-
ing degrees of success. The performance tests of these plants can be conducted
according to ASME PTC 47 standard (IGCC Power Generation Plants).
748 Power Plant Engineering

10.6.1 Gasification Process
Syngas is a gaseous fuel mainly made of carbon monoxide (CO), hydrogen
(H2), carbon dioxide (CO2), nitrogen (N2), and some hydrocarbons (such as
CH4, C2H4, and C2H6), and trace amounts of H2S, NH3, and tar. The use of
syngas as a fuel is not a new technology. For example, during World War
II, the shortage of transportation fuels led to the conversion of millions of
vehicles to syngas-fueled engines in Europe where wood or coal was used
as the feedstock. Syngas can be generated from biomass, coal, or natural gas.
These feedstocks are primarily composed of carbon, hydrogen, and oxygen
with lesser amounts of nitrogen and sulfur. The exact chemical composition
of syngas depends on the feedstock and the gasification process. Syngas pro-
duced from solid feedstocks typically has a low concentration of hydrogen,
while syngas from gaseous feedstocks is typically rich in hydrogen.
The main approaches to generate syngas are the gasification and reform-
ing processes. Gasification is a series of thermochemical processes that con-
vert solid feedstocks to syngas whereas reforming is to produce syngas from
gaseous feedstock, such as natural gas, or liquid feedstock. Confusingly, the
term gasification is commonly used to refer to both an entire conversion and
one of its processes. In this text, we use the term as it represents the entire
process. Generally, gasification includes drying, pyrolysis, combustion,
cracking, and possibly water-gas shift processes. Each of these processes
takes place at a specific temperature range, from 100°C to 1500°C (about
210°F–2700°F). The overall processes in gasification require heat (endother-
mic). The heat can be provided by the partial combustion of the feedstock
(known as autothermal or partial oxidation) or by an external heat source
(allothermal).
In the drying or dehydration process, the moisture is removed from the
feedstock. In the pyrolysis or devolatilization process, the feedstock is decom-
posed to CO, CO2, CH4, C2H4, steam, char, and tar. This process takes place at
the temperature of 200°C–300°C (about 400°F–570°F) in an oxygen-free envi-
ronment. The combustion process is, as noted, to provide the heat required
for the processes. To avoid complete combustion, less than s toichiometric
oxygen is provided to burn some volatiles and char. In the next step, the tar
produced in the pyrolysis process decomposes to CO, CO2, CH4, C2H4, and
carbon. Tar is a dark brown liquid primarily composed of hydrocarbons and
water (with a broad chemical formula of CHxOy). Finally, the produced gases
may go through the water-gas shift reaction to increase the concentration of
hydrogen by carbon monoxide conversion. The unit where these processes
occur at is referred to as the gasifier. Some of the typical reactions that take
place during the various stages of gasification are

C + O 2 → CO2 (char combustion)

1
C+ O 2 → CO(char partial combustion)
2
Combined Cycle Power Plants 749

1
CO + O 2 → CO 2 (carbon monoxidecombustion)
2
1
H2 + O 2 → H 2 O (hydrogen combustion)
2

1
CH 4 + O 2 → CO + 2H 2 (methane partial combustion)
2

C + CO 2 → 2CO (Boudouard reaction)

C + H 2 O → CO + H 2 (water-gas reaction or steam reforming reaction)

CO + H 2 O → CO 2 + H 2 (water-gas shift reaction)

C + 2H 2 → CH 4 (methane production reaction)

CH 4 + H 2 O → CO + 3H 2 (steam methane reforming reaction)

CH 4 + CO 2 → 2CO + 2H 2 (dry reforming reaction)

Some of these reactions take place at the same section of the gasifier, while
others are physically separated. While there are several types of gasifiers,
the most common ones are fluidized-bed and fixed-bed gasifiers. The for-
mer types can be bubbling, circulating, or dual fluidized beds (refer to
Section 4.6.4.11 for more information on this topic). In fixed-bed gasifiers, the
feedstock enters at the top of the container. Depending on the location of the
air flow entrance and its direction relative to the feedstock flow, fixed-bed
gasifiers can be updraft or downdraft.

10.6.2 Pressurized Fluidized-Bed Combustion

Combined Cycle Power Plants
Another proposed approach to use solid fuels in a gas turbine and a steam
cycle is pressurized fluidized-bed combustion (PFBC). In this approach, a
bubbling fluidized bed (Section 4.6.4.11.3) is fed by a pressurized air flow
from the compressor of a gas turbine unit. The fluidized bed produces steam
as in conventional fluidized beds, which is sent to a steam cycle. The high-
pressure and temperature combustion products are sent to a gas turbine
after cleanup processes to generate further electricity. While both a steam
cycle and a gas turbine are present in this design, it is not a combined cycle
in a sense discussed so far. The steam cycle and the gas turbine unit oper-
ate independently using a shared steam generator-combustion chamber.
This technology has not been commercialized yet.
750 Power Plant Engineering

10.6.3 Binary Vapor Cycles

For the sake of completeness, let us very briefly review one last combined
cycle. A binary vapor power plant is composed of two Rankine cycles, one
working at high-temperature end of the cycle (topping cycle) and the other at
low-temperature end of the cycle (bottoming cycle). These two cycles oper-
ate using different working fluids, possibly water and organic fluids, each
suitable for the operating temperature of one of the Rankine cycles. The con-
denser of the high-temperature Rankine cycle is the vapor generator of the
low-temperature Rankine cycle. Binary vapor cycles are able to take advan-
tage of exchanging heat with a high-temperature thermal energy source at
the topping cycle and exchanging heat with a low-temperature energy source
at the bottoming cycle. A variation of this concept is very popular in geother-
mal power plants (Chapter 15).

10.7 Questions and Problems

10.7.1 Introduction

10.1. Explain the principl idea of combined cycle power plants.

10.2. In a combined cycle power plant, which cycle functions as a top-
ping cycle and which one as a bottoming cycle?
a. Brayton cycle – Rankine cycle
b. Brayton cycle – Brayton cycle
c. Rankine cycle – Brayton cycle
d. Rankine cycle – Rankine cycle
10.3. To recover thermal energy from the gas turbine exhaust flow, the
steam generator of the Rankine cycle is replaced by a …...
10.4. Combined cycle power plants are suitable for ……..
a. peak-load power generation
b. baseload power generation
c. both peak-load and baseload power generation
d. neither peak-load nor baseload power generation
10.5. Explain why even with the high contribution of electricity generated
from renewable energy sources, combined cycles are playing and
will continue to play a vital role in the power generation industry.
10.6. Draw a schematic diagram of a simple combined cycle power
plant showing all main components and streams.
Combined Cycle Power Plants 751

10.7.2 Efficiency of Combined Cycle Power Plants

10.7. The first thermal power cycle that was able to exceed the efficiency
of 60% was a combined cycle power plant designed and built
by Siemens in southern Germany in May 2012 (Irsching Power
Station). The efficiency of this combined cycle was 60.75%. If the
efficiency of the gas turbine cycle was 40%, determine the effi-
ciency of the steam cycle.
10.8. In the previous problem, the output power of Irsching Power
Station is 570 MW. Determine the power output of the gas turbine
and the steam cycle (in MW), the mass flow rate of natural gas
burned in the combustion chamber of the gas turbine (kg/s), and
the thermal energy exhausted from the HRSG (MW). The heating
value of natural gas is 43 MJ/kg.
10.9. In a combined cycle with an efficiency of 57%, the efficiency of the
steam cycle is 29%. Determine the efficiency of the gas turbine
cycle.
10.10. Which one of these combinations of a gas turbine and a steam
cycle can form a combined cycle with an efficiency of 56%?
a. A gas turbine with an efficiency of 38% and a steam cycle with
an efficiency of 28%
b. A gas turbine with an efficiency of 38% and a steam cycle with
an efficiency of 29%
c. A gas turbine with an efficiency of 39% and a steam cycle with
an efficiency of 28%
d. A gas turbine with an efficiency of 33% and a steam cycle with
an efficiency of 23%
10.11. A 160 MW gas turbine has the efficacy of 34%. This gas turbine
operates once standalone and once combined with a steam cycle
with an efficiency of 25%. Determine the exhausted thermal
energy in each case.

10.7.3 Configuration of Combined Cycle Power Plants

10.12. In CCPPs, the backpressure imposed by the pressure drop in the

HRSG slightly reduces the efficiency of the gas turbine compared
to that of the standalone unit. True or false? Why?
10.13. In the following schematic of a combined cycle power plant, name
the major components of the cycle.
752 Power Plant Engineering

10.7.4 Heat Recovery Steam Generators (HRSGs)

10.14. What is the most important difference between heat recovery

steam generators and conventional fossil fuel-steam generators?
10.15. What is the dominant heat-transfer mechanism in HRSGs? Why?
10.16. Which component does not exist in HRSGs?
a. Superheater
b. Economizer
c. Evaporator tube bundles
d. Waterwall tubes
10.17. Which type of HRSGs is currently more popular (drum-type or
once-through)? Which type is gaining momentum? Why?
10.18. What is the function of a duct burner in an HRSG?
10.19. What are the advantages and disadvantages of adding a duct
burner to an HRSG?
Combined Cycle Power Plants 753

10.20. What is the approach temperature in an HRSG? Why is it impor-

tant to consider this temperature difference in the design?
10.21. What is the pinch temperature? From an efficiency point of view,
which one is better, a higher pinch temperature or a lower one?
What about the size of the HRSG?
10.22. Which statement is not correct about the pinch temperature?
a. Reducing the pinch temperature, decreases the temperature
difference between the flue gas and steam flows.
b. Reducing the pinch temperature, increases the irreversibilities
in the heat-transfer processes and reduces the efficiency.
c. A steam generator with a lower pinch temperature requires a
larger heat-transfer area.
d. The selection of an appropriate pinch temperature involves a
tradeoff between the system size versus the efficiency.
10.23. Explain why many HRSGs have multiple pressures?

10.7.5 Cogeneration Plants

10.24. What does CHP stand for?

10.25. How can the design objective of a cogeneration plant be different
from a conventional power plant?
10.26. Define the thermal efficiency and the electrical efficiency of a
cogeneration plant.
10.27. List some applications of thermal energy in a cogeneration plant.
10.28. What is a topping CHP plant? How is it different from a bottoming
CHP plant?
10.29. What are the differences between back-pressure CHP plants and
extraction CHP plants?

10.7.6 Integrated Gasification Combined Cycles

10.30. Explain how an integrated gasification combined cycle works.

10.31. What is the major advantage of an IGCC plant over a conventional
power plant in terms of the integration of carbon dioxide capture
systems?
10.32. Describe the configuration of the following integrated gasification
combined cycle (IGCC) power plant.
754 Power Plant Engineering

10.33. Describe the gasification of a solid feedstock. What are the pro-
cesses involved?
10.34. Why does an IGCC plant need an air separation unit (ASU)?
10.35. Explain how a pressurized fluidized-bed combustion unit can be
integrated into a gas turbine unit and a steam cycle.
10.36. What are the different types of gasifiers?
10.37. Explain how a binary vapor power plant works.

10.7.7 General

10.38. Why is using the term “combined cycle” somewhat misleading?

10.39. What is syngas composed of?
10.40. A typical gas turbine and steam cycle have an efficiency of 40%
and 30%, respectively. Determine the efficiency of a combined
cycle made of these two cycles.
10.41. In combined cycle power plants, the two cycles are truly integrated.
a. True
b. False
Combined Cycle Power Plants 755

10.42. List some of the advantages of combined cycle power plants.

10.43. What is the advantage of multiple-pressure HRSGs over single-
pressure ones?
10.44. Explain combined cooling, heat, and power (CCHP) plants.
10.45. What is the function of a desuperheater in an HRSG?
10.46. Provide some examples of how combined cycles can be used for
replacing, retrofitting, or repowering existing or retiring power
plants.
10.47. Describe the configuration of the following combined cycle power
plant (CCPP).

10.48. A large approach temperature results in less heat-transfer surface

area in the economizer, which must be compensated by more
heat-transfer area in the evaporator.
a. True
b. False
10.49. Can solid fuels be used to fuel gas turbines? Based on your answer,
explain integrated gasification combined cycles (IGCC).
756 Power Plant Engineering

10.50. Name three types of power plants in the following figure.

(a)

(b)

10.51. The efficiency of a combined cycle composed of a gas turbine with

the efficiency of 35% and a steam cycle with the efficiency of 27%
is equal to …...
a. 9.45%
b. 52.55%
c. 62%
d. 71.45%
10.52. Why do some CCPPs have a stack right after the gas turbine and
before the HRSG?
10.53. Combined cycle power plants are capable of achieving extraordi-
narily high efficiency.
a. True
b. False
10.54. Draw the T-s diagram of a combined cycle power plant.
10.55. Why do combined cycles have extraordinarily low-carbon emission?
10.56. What are the functions of the inlet duct in an HRSG?
10.57. Explain combined heat and power (CHP) plants.
10.58. A gas turbine with the efficiency of 41% is combined with a steam
cycle with the efficiency of 31% to form a combined cycle power
plant. Determine the efficiency of the combined cycle.
10.59. A heat recovery steam generator is the interface between the gas
turbine unit and the steam cycle in a CCPP.
a. True
b. False
10.60. Very briefly explain the principle of power generation by inte-
grated gasification combined cycle (IGCC) power plants.
10.61. The combination of gas turbines, which are typically peak-load
power generation units, and steam cycles, which are generally
baseload power generation units, provides flexibility for these
cycles to perform in a variety of demand conditions, both as
peak-load and baseload power plants.
a. True
b. False
11
Solar Energy and Photovoltaic Solar Units

Abstract
Solar energy is the origin of most of the energy resources that our life
literally depends on. In this chapter, we will learn a great deal about the
direct use of solar energy. Generally speaking, the direct use of solar
energy can be divided into three main categories, solar photovoltaic
units, high temperature solar thermal energy systems, and low tem-
perature solar thermal energy systems. In this chapter, we will discuss
about the first application in the list, solar photovoltaic systems. This
chapter will start with why and how solar energy varies both spatially
and temporally on Earth. Then, the conventional and emerging solar
photovoltaic systems will be extensively covered. In the first half of the
chapter, we will follow solar energy from its creation on the Sun, crossing
the void between the Sun and Earth’s atmosphere, and traveling through
the atmosphere until its interception by the surface of Earth. We will
particularly focus on how the geometric relationship between the Sun
and Earth and the atmospheric conditions impact solar energy on Earth.
In the second half of the chapter, we will study solar photovoltaic elec-
tricity generation. We will start with a historical review of these systems
and their applications in various industries. Then, we will discuss about
semiconductors as the building blocks of solar cells and their unique
properties as well as the internal operation of solar cells from the micro-
scopic point of view (at the subatomic level). We will learn how solar
radiation and electricity generation in solar cells are interrelated. We will
then focus on the macroscopic point of view of solar cells, and how their
microscope characteristics can explain their macroscopic behaviors. We
will learn how to determine solar cell characteristics using I-V diagrams
and calculate their performance. Next, financial models to support solar
PV units will be explained. We will discuss how the size of grid-con-
nected solar PV arrays can be calculated. Finally, we will learn different
types of solar photovoltaic cells of first, second, third generations and
their characteristics. We will conclude the chapter by studying the man-
ufacturing processes for currently dominant crystalline silicon-based PV
units.

759
760 Power Plant Engineering

LEARNING OUTCOMES
After successful completion of this chapter you will be able to:

• explain factors that impact solar irradiance variation on Earth

• describe parameters that impact irradiance at the certain loca-
tion including latitude, time of day and year, and atmospheric
conditions
• determine solar irradiance outside the atmosphere and in a given
location on Earth
• explain semiconductors and their behaviors at the subatomic level
• describe solar cell internal working principles at the subatomic
level
• determine the relationship between light and power generation in
solar cells
• calculate the performance of solar cells and their characteristics
using I-V diagram
• list balance of plant for PV systems and their specifications, includ-
ing batteries, inverters, mounting systems, etc.
• explain financial models to support solar PV units
• calculate the size of grid-connected solar PV arrays
• name different types of solar photovoltaic cells of first, second, and
third generations and their characteristics
• describe manufacturing processes for crystalline silicon-based PV cells

11.1 Nature of Solar Energy

The Sun is, directly or indirectly, the origin of a great majority of energy
resources that we use everyday, from biomass, wind energy, and ocean wave
energy to fossil fuels and of course solar energy.
In order to identify suitable sites for the installation of solar energy sys-
tems, we need to evaluate how much solar energy a specific region receives.
For this purpose, solar irradiance, also called solar energy flux or intensity,
is defined as the incident solar energy or power, also referred to as insolation,
received by a unit of area. The amount of solar irradiance varies with both
time and location. In this section, we will study the factors that affect solar
irradiance. Solar radiation is generated on the Sun, travels through space
between the Sun and Earth, passes through the atmosphere, and shines on a
Solar Energy and Photovoltaic Solar Units 761

FIGURE 11.1
Dimensional relationship between Earth and the Sun.

specific area. Therefore, to understand how solar irradiance varies on Earth,

we will evaluate the following factors:

• Solar energy production on the Sun

• Solar radiation traveling from the Sun to Earth (extraterrestrial radi-
ation as received above the atmosphere)
• Geometric relationship between the Sun and Earth
• Solar radiation traveling through the atmosphere

11.1.1 Solar Energy Production on the Sun

The Sun is located at the center of the solar system where the majority of the
energy needed to sustain life on Earth is originated. This energy is generated
by the thermonuclear reactions at its core where hydrogen atoms are fused
into helium. The estimated rate of this reaction is about 600 billion kg per sec-
ond, of which 4 billion kg per second is converted into energy (Example 11.1).
The diameter of the Sun is about 110 times greater than that of Earth and it is
330,000 heavier than Earth1 (Figure 11.1). While most known elements exist
in the Sun, the great majority of the Sun is made of hydrogen and helium
(with the ratio of about three to one). The energy produced at the center of
the Sun is estimated at about 3.8 × 1026 W. The Sun is so massive that it takes
tens of thousands of years for the thermal energy created at its core to trans-
fer to its surface. While it is estimated that the temperature of the core of the
Sun is over 15 million degree Celsius, this temperature gradually reduces
through many layers of gases. On the surface of the Sun, the temperature is
about 5500°C. This high-temperature surface is where the solar radiation is
originated from.

1 About 99% of the mass of the Solar System is concentrated on the Sun.
762 Power Plant Engineering

Example 11.1
If the energy generated in the fusion reaction on the Sun is 3.8 × 1026
W, determine the rate of the conversion of mass to energy on the Sun
in kg/s.
Solution
According to the mass-energy equivalence equation (Albert Einstein’s
famous formula),

E = mc
 2 (11.1)

where c is the speed of light, c = 3 × 108 m/ s

PSun 3.8 × 1026

=
m = 9
2 = 4.22 × 10 kg/s
c2 (
3 × 108 )
The Sun was formed about 4.5 billion years ago and is expected to continue
to shine for another 5 billion years. While some theories have related the
historic climate changes on Earth, such as ice ages, to the variation of solar
radiation,2 in the past few thousand years the Sun has been calm. The Sun
has a cycle of solar magnetic activity (referred to as solar sunspot activity)
roughly every 11 years. However, the variation of solar radiation as a result
of this cycle is <0.1%.3 Overall, while the variation of energy released by the
Sun can have significant impacts on the long-term climate change on Earth,
for the practical purposes of solar energy utilization on Earth it can be safely
assumed constant.

11.1.2 Extraterrestrial Radiation
Solar radiation generated by the surface of the Sun travels the void between
the Sun and Earth unaltered. The average distance between the Sun and
Earth is about 1.5 × 1011 m (93 million mi), which is also referred to as one
astronomical unit (1 AU). The value of solar irradiance outside Earth’s atmo-
sphere when the distance between the Sun and Earth is approximately one
AU is called the solar constant (which includes all solar spectrum not just
visible light). Note that the solar constant (sometimes referred to as GSC) is not
a fixed physical constant (such as the gravitational constant or the speed of
light) and a range of values has been reported for it, from 1360 to 1370 W/m2.
Because of this variation, some references stop using the term solar constant

2 Ehrlich, R. “Solar resonant diffusion waves as a driver of terrestrial climate change.” Journal
of Atmospheric and Solar-Terrestrial Physics 69.7 (2007): 759–766.
3 https://www.nasa.gov/centers/goddard/news/topstory/2008/solar_variability.html.
Solar Energy and Photovoltaic Solar Units 763

and now use the term total solar irradiance (TSI) instead. The f ollowing
example shows how we can determine the value of the solar constant. The
current estimated value for the solar constant by NASA is 1360.8 ± 0.5 W/m2.4
This value is relatively constant with a small variation due to the solar
sunspot activity.

Example 11.2
We know that the Sun releases 3.8 × 1026 W of radiation. If the aver-
age distance between the Sun and Earth is 1.5 × 1011 m, determine
the solar power received on Earth per unit of area (solar irradiance
in W/m 2).
Solution
When solar radiation arrives at Earth’s atmosphere, it is uniformly dis-
tributed on the surface of a sphere with the radius of the average distance
between the Sun and Earth.

Total solar radiation PSun 3.8 × 1026

I= = = = 1345 W/m 2 (11.2)
( )
2
Surface of sphere 4πr 2
4 × 3.14 1.5 × 1011

If we repeat the calculations with more accurate values of solar radia-

tion and the Sun and Earth distance, a much more accurate value of
1361.8 W/m 2 can be achieved.

Example 11.3
Jupiter is about 5.2 times farther away from the Sun than Earth.
Determine the solar constant on Jupiter.
Solution

Total solar radiation PSun 3.828 × 1026

I= = = = 50.4 W/m 2
( )
2
Surface of sphere 4 πr 2
4 × 3.14 5.2 × 1.496 × 1011

This means the solar constant on Jupiter is 3.7% of that on Earth. This
was a major challenge for the designers of the spacecraft Juno, which
was launched in 2011 to orbit Jupiter. To address this problem Juno is
equipped with the largest solar array ever installed on a spacecraft.

In the above examples, we assumed Earth rotates around the Sun in a cir-
cle with the radius of the average distance of the Sun and Earth. However,
Earth’s orbit around the Sun is slightly elliptical (with the eccentricity of
0.0167), which means Earth is sometimes farther away from the Sun than the

4 https://atmospheres.gsfc.nasa.gov/climate/index.php?section=136.
764 Power Plant Engineering

average distance and sometimes closer. The seasonal changes in weather pat-
terns may be mistakenly attributed to these differences in the distance that
solar radiation should travel. Clearly, this is not correct for several reasons.
First, if this was the case, both northern and southern hemispheres should
have summer or winter at the same time. However, we know that when it is
summer in the northern hemisphere, in the southern hemisphere it is winter
and vice versa. Also, it turns out that Earth is closest to the Sun in January
(perihelion) when it is winter in the northern hemisphere and is farthest in
July (aphelion). The following example determines the impact of the ellipti-
cal orbit of Earth around the Sun on solar irradiance outside the atmosphere.

Example 11.4
The ratio of the longest distance between the Sun and Earth to the short-
est distance is 1.034. Determine the ratio of solar irradiance outside the
atmosphere for these two cases.
Solution
2 2
I1  r2   1 
= = = 0.935
I 2  r1   1.034 

This means the variation of solar irradiance on Earth due to the changes
in the distance from the Sun to Earth is only about 6.5%, which clearly
cannot cause drastic seasonal changes.
To determine the solar constant, solar irradiance is measured outside
Earth’s atmosphere by satellites and then adjusted for one AU. Now we can
determine how much of the Sun’s total radiation is intercepted by Earth.

Example 11.5
Determine what percentage of the Sun’s total radiation is intercepted by
Earth. Use the solar constant of 1361.8. Earth’s mean radius is 6371 km
(3958.8 mi).
Solution
The area that intercepts solar radiation on Earth is equal to the area of a
disk with the radius of Earth.

( )
2
2
Area of a disk with radius of Earth = πrEarth = 3.14 6.371 × 106 = 1.27 × 1014 m 2

Radiation intercepted by Earth = 1361.8 × 1.27 × 1014 = 1.74 × 1017 W

Percentage of the Sun′s total radiation intercepted by Earth

Radiation intercepted by Earth 1.74 × 1017

= =
Total solar radiation 3.828 × 10 26

= 4.53 × 10−10 = 4.53 × 10−8 %

Solar Energy and Photovoltaic Solar Units 765

Example 11.6
The area of the solar array installed on Juno orbiting Jupiter is 72 m2.
Determine the amount of solar radiation intercepted by this satellite when
it orbits Jupiter. What if it orbits Earth, Mars, or Saturn? The Sun releases
3.828 × 1026 W of radiation. The average distance between the Sun and
Jupiter, Earth, Mars, and Saturn is 5.2, 1, 1.52, and 9.5 AU, respectively.
Solution
If the satellite orbits Jupiter:

Total solar radiation PSun 3.828 × 1026

I= = = = 50.4 W/m 2
( )
2
Surface of sphere 4 πr 2
4 × 3.14 5.2 × 1.496 × 1011

Solar radiation intercepted by solar array = I × A = 50.4 × 72 = 3626.1 W

If the satellite orbits Earth:

Total solar radiation PSun 3.828 × 1026

I= = = = 1361.8 W/m 2
( )
2
Surface of sphere 4 πr 2
4 × 3.14 1.496 × 1011

Solar radiation intercepted by solar array = I × A = 1361.8 × 72 = 98050.9 W

If the satellite orbits Mars:

Total solar radiation PSun 3.828 × 1026

I= = = = 589.4 W/m 2
( )
2
Surface of sphere 4 πr 2
4 × 3.14 1.52 × 1.496 × 1011

Solar radiation intercepted by solar array = I × A = 589.4 × 72 = 42438.9 W

If the satellite orbits Saturn:

Total solar radiation PSun 3.828 × 1026
I= = = = 15.1 W/m 2
( )
2
Surface of sphere 4 πr 2
4 × 3.14 9.5 × 1.496 × 1011

Solar radiation intercepted by solar array = I × A = 15.1 × 72 = 1086.4 W

This means the solar radiation received on Mars, Jupiter, and Saturn is
43.3%, 3.4%, and 1.1% of that on Earth. Now you can explain why it is
very challenging to use solar photovoltaic (PV) arrays to power space
missions in the solar system beyond Jupiter.

11.1.3 Solar Radiation and Geometric Relationship of the Sun and Earth

So far we learned about the variation of the energy released by the Sun and
how the distance between Earth and the Sun impacts the irradiance outside
Earth’s atmosphere. The actual irradiance that a certain location on Earth
receives depends on the following four factors:
766 Power Plant Engineering

FIGURE 11.2
Illustration for the cosine emission law.

• Latitude of the location

• Time of the day
• Time of the year
• Atmospheric conditions

In this section, we will learn about the first three factors while the last one
will be discussed in the next section. The topic of this section is very impor-
tant because it will help to identify suitable regions to install solar energy
units as well as to determine the best orientation and installation conditions.
Let us start with the cosine emission law, also known as Lambert’s cosine
law, named after its discoverer Johann Heinrich Lambert (1728–1777, a Swiss
polymath5). It states that the irradiance a surface actually receives is directly
proportional to the cosine of the angle between the direction of the light and
the direction perpendicular to the surface (Figure 11.2).

I s = I cosθ (11.3)

It simply means when a surface is not normal to the direction of the light, the
irradiance (radiation per unit of area) received by the surface reduces because
the same amount of radiation will be distributed on a larger surface (surface
A rather than An in Figure 11.2 where An = A cosθ ). This law is critical for us
because for the rest of this section we will try to determine the spatial and
temporal factors that impact the angle θ.
We know that Earth orbits around the Sun, which takes 365.256 days for
every complete rotation. Also, Earth rotates around its own axis every 86,400
(=24 × 60 × 60) seconds, which results in the day and night cycle. If the axis
of rotations for these two rotations were parallel, there would be no season

5 A polymath is a person with a wide variety of knowledge in many fields such as art, science,
engineering, and philosophy. The best example of a polymath is probably Leonardo Da Vinci,
the all-time genius.
Solar Energy and Photovoltaic Solar Units 767

Ecliptic
axis (EA)
Axial
tilt
=23.5
°
Earth polar
Equator axis (PA)

Ecliptic
plane (EP)

FIGURE 11.3
Rotation of Earth around itself and the Sun.

on Earth and the duration of day and night would always be fixed and equal
(12 hours each). Fortunately for us humans, this is not the case6 and the axis
of rotation of Earth around itself, sometimes referred to as Earth’s polar axis
(PA), is tilted. In order to explain this, let us represent the axis of rotation of
Earth around the Sun, called the ecliptic axis (EA), by a line passing through
the center of Earth and perpendicular to the orbit of Earth around the Sun,
called the ecliptic plane (EP), as shown in Figure 11.3. This line, the ecliptic
axis, is parallel to the axis of the rotation of Earth around the Sun. The angle
between the polar axis and the ecliptic axis is a fixed angle currently at about
23.5°.7 This angle is referred to as Earth inclination, axial tilt, or obliquity.
When Earth rotates around the Sun, the direction of the ecliptic axis does not
change but the axis of rotation of Earth around itself rotates around the eclip-
tic axis. As a result, Earth is sometimes tilted toward the Sun and some-
times titled away from it.
Typically on June 20–22 each year, Earth is most tilted toward the Sun,
which is called the June solstice. In this day, the northern hemisphere is most
exposed to solar radiation, which has two major impacts. First, the duration
of the exposure of all regions in the northern hemisphere is the longest. That
means the longest day and the shortest night of the year. Second, the angle
between solar rays and the normal line to the surface of Earth (horizon) is
the smallest possible. The actual value of this angle depends on the location
(the latitude) of each site, but everywhere it is the closest solar radiation gets
to the normal line. This indicates that according to the cosine emission law,

6 Not having seasons would have been catastrophic for human civilization, just search the
internet.
7 This angle varies between 22.1° and 24.5° on a 41,000-year cycle.
768 Power Plant Engineering

the highest solar irradiance can be observed. Both these impacts increase
the solar energy gain in the northern hemisphere and that is why this day
is the beginning of summer in the northern hemisphere and is referred to as
the summer solstice in the northern hemisphere (the winter solstice in the
southern hemisphere).
After the summer solstice, with the continued rotation of Earth around the
Sun, Earth is less tilted toward the Sun. On a day between September 21 and
24, which is called the autumnal equinox (also fall, September, or Southward
equinox), Earth is tilted neither toward nor away from the Sun. In this day,
the length of day and night is almost the same. From this day on Earth starts
to tilt away from the Sun. In the northern hemisphere, this means the end of
summer and the beginning of fall.
Earth is the most tilted away from the Sun usually on December 21 or 22,
which is called the December solstice (also the winter solstice in the north-
ern hemisphere or the summer solstice in the southern hemisphere). In the
northern hemisphere, the longest night and the shortest day of a year are
experienced in this day. Also, solar rays are the farthest from the normal line
to the surface of Earth. For these two reasons, in the northern hemisphere,
solar energy gain is the lowest on this day, which is why the winter solstice
marks the beginning of winter. Finally, usually on March 20 or 21, called the
vernal equinox (also spring or March equinox), Earth orientation is simi-
lar to the autumnal equinox but in the opposite direction, which marks the
beginning of spring in the northern hemisphere.
As it can be clearly observed in Figure 11.4, the exposure of the southern
hemisphere to the Sun is opposite to that of the northern hemisphere so, as

23.5°

23.5° 23.5°
September 21- 24
Autumnal equinox

December 21- 22 June 20- 22

Winter solstice Sun Summer solstice
23.5°

March 20- 21
Spring equinox

FIGURE 11.4
Schematic of the Sun and Earth relative positions during solstices and equinoxes.
Solar Energy and Photovoltaic Solar Units 769

noted earlier, when it is winter in the northern hemisphere, it is summer in

the southern hemisphere and vice versa. Also notice that the orientation of
the equator in June and December solstices is similar (but opposite direc-
tion), so there is no meaningful seasonal variation on the equator and the
length of day and night does not change much. However, the farther we go
toward the North or South Poles, there are more dramatic changes in seasons
and the duration of day and night. Now you should be able to explain why
the North and South Poles are the coldest places on Earth and why they do
not experience 24-hour cycle of day and night.

11.1.4 Apparent Movement of the Sun across the Sky

All the concepts introduced so far are being used in theoretically determin-
ing the relative position of the Sun and Earth (which are beyond the scope of
this text). For qualitative discussions of this text, it is more useful to consider
the apparent movement of the Sun across the sky from the perspective of an
observer on Earth (this view is referred to as the geocentric model).
Figure 11.5 illustrates the apparent movement of the Sun across the sky
from the view point of an observer in the northern hemisphere. As shown in
the figure, the Sun rises in the east or south-east. With the passage of time,
it moves toward south and upward on the horizon. At solar noon, it reaches
the highest point on the horizon due south. Then, in afternoon, the Sun
again moves downward and to west. The Sun’s path on the horizon depends
on the season. It appears higher in summer and lower in winter (Figure 11.5).
The Sun’s path appears the highest in the summer solstice and the lowest in
the winter solstice. In the two equinoxes, the Sun’s path appears in the mid-
dle of the two extremes in the two solstices. The actual height in these cases

Summer
solstice Autumnal/Spring
equinox
r
me
m

Winter E
Su

solstice
er
int

E
W

N S N S
W
23
.5

23
°

.5°
W

FIGURE 11.5
Apparent movement of the Sun across the sky from the view point of an observer in the
northern hemisphere.
770 Power Plant Engineering

SUN

Solar energy
receiving device

Tilt angle

Horizon
(a)

(b)

FIGURE 11.6
Schematic of the tilt angle of a solar energy receiving device (a) and tilted solar panels
in a solar farm (b). (Image by Andreas Troll from Pixabay, https://pixabay.com/photos/
solar-field-solar-photovoltaic-191683/.)

depends on the latitude of the location.8 Clearly, the maximum solar inci-
dent occurs when the Sun is more directly overhead during the summer
solstice. In contrary, the minimum solar incident occurs during the winter
solstice. During the two equinoxes, the solar incident is about average. Again
note that all these discussions are for the northern hemisphere and the oppo-
site happens for the southern hemisphere.
All these discussions lead us to the main question of this section: what is
the orientation and tilt angle that maximize the solar energy intercepted by a
device. The tilt angle for a solar energy receiving device is the angle between
the surface of the device and the horizon in a given location (Figure 11.6).

8 The latitude is the angle between the line that connects a location to the center of Earth and
the equatorial plane. It is 0° for the equator, 90° N or +90° for the North Pole, and 90° S or −90°
for the South Pole. It is expressed in degrees, minutes (1′ = 1/60°), and seconds (1″ = 1/60′).
It is the first number in the latitude-longitude coordinate. For example, the coordinate of
Sacramento, California, is 38.5816° N, 121.4944° W.
Solar Energy and Photovoltaic Solar Units 771

First of all, it should be noted that the solar incident will be maximum
when the device is always directly facing the Sun and its surface is
always perpendicular to solar rays (according to the cosine emission law).
Considering the motion of the Sun, this can only happen if the device can
follow the Sun across the sky. This requires a Sun tracking device, which
will be discussed later. For fixed solar energy receiving devices, such as most
solar photovoltaic (PV) panels and solar water heaters, the device should
be always orientated toward true south in the northern hemisphere (true
north in the southern hemisphere). This is because the Sun’s entire path
across the sky, from sunrise to sunset, takes place in the south direction
albeit at different heights depending on the time of the year and the latitude
of the location. In order to understand the concept of true north, we need to
know the difference between the Geographic Poles and the Magnetic Poles.
The points where the axis of rotation of Earth around itself intersects the
surface of Earth in the northern and southern hemispheres are called North
Pole and South Pole, respectively. These poles are slightly off the Magnetic
Poles and that is why they are sometimes referred to as the Geographic
Poles or Terrestrial Poles. Therefore, if you use a compass to identify the
northern direction, what you have is the magnetic north, which is differ-
ent than the true north. This difference can be significant. It depends on
the location and varies with time. To take this difference into account, the
magnetic declination is defined as the angle between the direction of the
true north and the magnetic north. For example, the magnetic declination in
the state of California is between +11° to +15° and in the state of New York
is between −12° and −13°. Here a positive magnetic declination means to
find the magnetic north, you need to turn counter clockwise from the true
north (Figure 11.7). You can find the magnetic declination of your location at
http://www.magnetic-declination.com/ or a simple internet search.

Geographic North
Magnetic North

0
Magnetic declination

270 90

180

FIGURE 11.7
Definition of the magnetic declination and its positive direction.
772 Power Plant Engineering

Tilt angle

Sun Earth

Latitude

Autumn & spring

equinoxes
Tilt angle = Latitude

FIGURE 11.8
When the tilt angle is equal to the latitude of the site, the surface of the device will be perpen-
dicular to Sun’s rays on the two equinoxes.

The tilt angle of a device is a little more complicated. If the objective is

to maximize the annual intercepted solar energy, the best tilt angle is
equal to the latitude of the site. In this case, the surface of the device will
be perpendicular to Sun’s rays on the two equinoxes (Figure 11.8). But if it
is desired to have more energy in summer, for example, for photovoltaic
panels installed in a hot region where the peak load happens in summer,
the tilt angle of the device should be smaller than the latitude. On the con-
trary, if more energy is required in winter, for example, for a solar water
heater in a cold region where more thermal energy is required in winter,
the tilt angle should be greater than the latitude. As a rule of thumb, for
summer the tilt angle of the latitude minus 15° and for winter the tilt angle of
the latitude plus 15° is typically used. Also, a seasonal change of the tilt angle
is recommended to improve the intercepted energy by up to about 5%.9 Note
that while these suggested values can roughly maximize the performance of
solar energy systems, all sorts of deviations from them are inevitable in many
installations. Although in these cases the outputs will not be optimum, some
deviations will not significantly reduce the system outputs. This is important
since in some applications these parameters are out of control of designers.
For example, the orientation of a building and the slope of its roof cannot be
altered to install a solar energy unit. There are some other factors that can
influence the orientation and tilt angle of solar energy receiving devices and
we will get back to this topic once again at the end of the next section.

9 You can find a lot of useful information about the tilt angle of solar devices at https://www.
solarpaneltilt.com/.
Solar Energy and Photovoltaic Solar Units 773

11.1.5 Traveling of Solar Radiation through the Atmosphere

So far we learned how we can determine the solar irradiance outside the
atmosphere and how the geometric relationship of the Sun and Earth
impacts the irradiance in a given location. Now solar radiation should enter
the atmosphere and travel through it before striking the surface of Earth.
Throughout this passage, solar energy is attenuated by means of three mech-
anisms, namely reflection, absorption, and scattering. About one-third of
extraterrestrial solar energy is reflected by the atmosphere back to the sky.
Some of the radiation that actually enters the atmosphere is absorbed by the
gases that make up the atmosphere. When solar radiation travels through
the atmosphere, it interacts with various gases and each gas selectively
absorbs certain wavelengths in the solar spectrum depending on the specific
absorption bands of the gas (we will discuss about the nature of solar radia-
tion and its spectrum later). Most absorption is due to the contribution of
water vapor and carbon dioxide, each absorbing light at several wavelength
ranges. Ozone (O3) in the atmosphere is mostly responsible for the absorption
of ultraviolet solar radiation, while nitrogen and oxygen absorb very short
wavelength portion of solar radiation. These absorptions create gaps in the
solar spectrum received on the surface of Earth (Figure 11.9).

2.5
UV Visible Infrared

2
Irradiance (W/m²/nm)

Sunlight without atmospheric absorption

1.5

5778K blackbody
1
Sunlight at sea level
H2O

0.5 H2O Atmospheric

absorption bands
O2
H2O CO2
O3 H2O H2O
0
250 500 750 1000 1250 1500 1750 2000 2250 2500
Wavelength (nm)
FIGURE 11.9
Solar spectrum received on the surface of Earth and gaps due to atmospheric absorptions (the
light area represents the solar spectrum above the atmosphere and the dark area represents the
solar spectrum at sea level). (By Nick84- File:Solar_spectrum_ita.svg, CC BY-SA 3.0, https://
commons.wikimedia.org/w/index.php?curid=24648395.)
774 Power Plant Engineering

The magnitude of the absorption of solar radiation by the atmosphere is

directly proportional to the distance that the radiation travels through the
atmosphere. To take this factor into account we define a parameter called the
air mass coefficient or simply air mass (AM). In the definition of air mass,
we consider the vertical thickness of the atmosphere as a benchmark. The air
mass is the ratio of the actual distance radiation travels through the atmo-
sphere to the thickness of the atmosphere. This ratio determines the solar
spectral power distribution and partly the solar irradiance received on the
surface of Earth. A larger air mass means more attenuation of solar radia-
tion and a lower solar irradiance. Air mass 0 or AM0 refers to the solar
spectrum above the atmosphere with irradiance equal to the solar constant
(from Example 11.2 about 1361.8 W/m 2). AM1 is the solar spectrum when
radiation passes through the atmosphere normal to Earth’s surface. This is
the case when the Sun is directly overhead in a location. When solar radia-
tion travels through the atmosphere in any pass other than normal to Earth,
the air mass will be larger than 1 and can be determined using the following
equation (Figure 11.10):

H H 1
AM = = = (11.4)
h H cosθ cosθ

Sometimes the word “Global” (or G) is added, such as AM1.5 Global or

AM1.5G, to indicate that diffuse radiation is also included (albeit typically
its share is small). Later we will see that AM1.5 is used as the standard test
condition to measure and express the performance of solar photovoltaic
units.

SUN

Atm
osp
her
θ e
h=H cos θ H

Earth

FIGURE 11.10
Schematic showing concept of air mass (AM).
Solar Energy and Photovoltaic Solar Units 775

Example 11.7
Determine the angle of solar radiation and the line perpendicular to the
surface of the Earth for solar radiation at the standard test conditions (STC).
Solution
For the STC, we have AM1.5.

1
AM =
cos θ

1 1
cos θ = =
AM 1.5

 1 
θ = cos −1  = cos −1 ( 0.67 ) = 48.2°
 1.5 

If we repeat the example for AM2.5, the angle will be 66.4°. This is
expected because a larger angle of solar radiation and the line perpendic-
ular to the surface of Earth result in the light traveling a longer distance
through the atmosphere.

The last attenuation mechanism is the scattering of solar radiation by gases

and aerosols such as vapor (cloud), dust, and particulate matters in the atmo-
sphere. When solar rays reach Earth’s atmosphere, they are nearly parallel
(almost parallel but not quite, this topic will be covered later). While passing
through the atmosphere, some of these rays are laterally scattered. The details
for the scattering process depend on the size of particles and the wavelength
of light. If the wavelength is larger than the particle size, the process is called
the Rayleigh scattering and if the wavelength is smaller than the particles,
the process is called Mie scattering. The scattering is stronger for the shorter
wavelength portion of the solar spectrum. The scattering of the shorter wave-
length light is the reason for the blue color appearance of the sky in clear days
and reddish color when the Sun is low in the sky at dawn and dusk. The level
of scattering depends on the number of particles in the atmosphere and their
sizes. This in turn depends on the cloudiness of the region and the dust level,
which is higher, for example, in large cities and industrial regions.
Solar radiation we observe on Earth can be divided into two types: direct
radiation and diffuse radiation. Direct radiation, also referred to as beam
radiation, is near parallel radiation that passes through the atmosphere
unscattered. Diffuse, indirect, or sky radiation (also simply skylight) is the
portion of solar radiation that is scattered by the atmosphere. Unlike direct
rays that come straight from the actual Sun position, diffuse rays come from
various directions from all over the sky. The sum of direct and diffuse radia-
tion is called global radiation. The contribution of diffuse radiation to global
radiation can vary widely from a small portion to more than a half depend-
ing on the location and time. Even in a clear day at noon about 10% of total
776 Power Plant Engineering

radiation is diffuse radiation. Near sunrise and sunset most of solar incident
is diffuse radiation. In a cloudy day, depending on how overcast the sky is,
majority or almost entire radiation can be diffuse radiation. Note that in a
cloudy day all three attenuation mechanisms are stronger so more radiation
is reflected or absorbed and most of the remaining solar radiation is diffuse
radiation. In winter, beside the reasons explained in the previous section,
typically more cloud coverage also contributes to reduced solar radiation. In
an annual basis, the share of diffuse radiation can typically vary from about
20% to a little over 50% of the total solar energy. Typically for regions with
higher annual solar irradiance, the share of direct radiation is higher.
To take into account the impacts of the atmosphere on solar radiation, the
clearness index is defined as the ratio of the average global irradiance on
Earth’s surface in a certain site during a given period to the corresponding
irradiance outside the atmosphere. The clearness index can have any value
from 0 to 0.70 depending on the aforementioned factors.
Now we can revisit our discussion on the orientation and tilt angle of solar
energy receiving devices. It should be noted that most solar energy units,
such as most solar photovoltaic units and water heaters, can operate with
both direct and diffuse radiation (but not all, particularly concentrated
solar energy systems can only operate with direct radiation). However, the
optimum tilt angle for direct radiation for a given location is not the same as
the optimum tilt angle for diffuse radiation. As noted above, diffuse radia-
tion comes from all directions in the sky so if the receiving surface is tilted
to one side, it will not be able to receive diffuse radiation from the part of
the sky behind the surface. Therefore, for pure diffuse light, the optimum
case is when the surface is parallel to the ground (horizon) facing the sky,
because in this case it can “see” the entire sky and can receive diffuse radia-
tion from all directions. However, since in regions with significant available
solar energy, the majority of solar radiation is direct radiation, the rule of
thumb previously discussed (the south-facing orientation and the tilt angle
of latitude ±15°) is still valid.

11.1.6 Measurement of Solar Irradiance

Like the measurement of many other parameters, in order to measure solar
irradiance, a detector is needed. This detector converts solar irradiance to a
measurable parameter, which can be calibrated to determine the solar irradi-
ance in the desired location. Typically two classes of detectors are used: ther-
mopile and photovoltaic. In thermopile detectors, a series of thermocouples
(called a thermopile) are exposed to solar radiation under a glass cover and
the voltage between the two ends of the thermopile is measured. The mea-
sured voltage depends on the temperature difference between the junctions
of the thermocouples, which in turn depends on the magnitude of incident
solar radiation (for more on thermocouples refer to Chapter 3). Photovoltaic
detectors are much simpler and can be based on a photovoltaic solar cell or
Solar Energy and Photovoltaic Solar Units 777

FIGURE 11.11
A pyranometer to measure GHI. (By Hukseflux Thermal Sensors – Hukseflux Thermal Sensors,
CC BY 4.0, https://commons.wikimedia.org/w/index.php?curid=59851751.)

a photodiode. They are also referred to as solarimeter or solar sensor where

the short-circuit current produced by a crystalline silicon solar cell under a
glass cover is measured as an indication of solar irradiance (we will discuss
much more on these cell and their characteristics later).
These detectors are used in two types of sensors: pyranometers and pyr-
heliometers. A pyranometer is typically installed horizontally facing the sky
(Figure 11.11), so the detector measures global irradiance, which in this case is
called global horizontal irradiance or GHI. A pyranometer can also be used
to measure diffuse radiation (in this case the sensor is sometimes referred to
as a diffusometer, diffusionmeter, or scatterometer) if it is equipped with a
shadow ring or a shadow ball that casts a narrow strip or a disk of shadow on
the sensor all day long using a Sun tracking system. The measured diffuse
solar radiation is called diffuse horizontal irradiance or DHI.
Pyrheliometers are used to measure direct solar radiation. In a pyrheli-
ometer the detector is installed at the end of a tube that limits the view of
the detector to a small angle of about 5° (Figure 11.12). Pyrheliometers are
also equipped with a Sun tracking system so the open-end of the tube is
always directed at the Sun. Therefore, in a pyrheliometer the detector mea-
sures direct solar radiation along with diffuse light within its view angle.
The measured solar radiation is called direct normal irradiance or DNI.

11.1.7 Insolation Maps
Thus far we learned that many factors influence incident solar irradiance in
any location and learned, at least qualitatively, their impacts. But in order to
start any practical design, we need to have the actual value of solar irradi-
ance for the site of the project of interest. Of course, we can always use a
pyranometer to measure local irradiance, but we need to have the annual
778 Power Plant Engineering

FIGURE 11.12
A pyrheliometer to measure DNI. (By Hukseflux Thermal Sensors – Hukseflux Thermal
Sensors, CC BY 4.0, https://commons.wikimedia.org/w/index.php?curid=59851747.)

solar irradiance. Considering the uncertainties involved in the measure-

ments and, to some degrees, unpredictable and random nature of local cli-
mate, we need a few years of measurements. Clearly this is beyond the scope
of most real-world projects.
Fortunately, the solar irradiance at many locations have been measured
and recorded for a long period of time. These data are reported as the t ypical
meteorological year (TMY).10 However, these data sets are not typically orga-
nized in a user friendly manner and typically used by software developers to
generate more accessible information via specialized software tools, such as
System Advisor Model (SAM, refer to Section 11.2.8). Besides these tools, solar
irradiance for some cities can be found in many resources.11 One of the best
tools for this purpose, at least for initial designs, is solar energy maps, also
known as insolation maps. One such map is presented in Figure 11.13, where
average daily solar irradiance is presented in the global scale. As expected,
generally regions close to the equator have higher solar incidents and regions
further north or south have lower incidents. However, it can be observed that
even for areas with similar latitudes, there are significant variations in solar
irradiance.
A wide variety of similar maps are available at the National Renewable
Energy Laboratory (NREL) website (https://www.nrel.gov/gis/solar.html) for
the U.S. in annual and monthly bases as well as for each individual state. The
insolation map in Figure 11.14 might be a good starting point (you can access

10 In the U.S., the National Renewable Energy Laboratory (NREL) has published long-term
solar data along with weather data as the typical meteorological year, version 3 (TMY3) at
https://nsrdb.nrel.gov/data-sets/archives.html. The user manual for the TMY3 data sets can
be accessed at https://www.nrel.gov/docs/fy08osti/43156.pdf
11 NREL has published average irradiance information for many cities in the U.S. in a report

entitled “Solar Radiation Data Manual for Flat-Plate and Concentrating Collectors” accessible
at https://www.nrel.gov/docs/legosti/old/5607.pdf
Solar Energy and Photovoltaic Solar Units

FIGURE 11.13

Global solar insolation map. (Source: The U.S. Energy Information Administration, https://www.eia.gov/energyexplained/solar/where-solar-is-found.
php.)
779
780

FIGURE 11.14

The U.S. average daily insolation map available at https://www.nrel.gov/gis/assets/images/solar-annual-ghi-2018-usa-scale-01.jpg. (Source: the
Power Plant Engineering

National Renewable Energy Laboratory (NREL).)

Solar Energy and Photovoltaic Solar Units 781

the online map, which is much more readable, via the provided link). The
map is color-coded from dark color for very high solar energy to light color for
very low energy and many colors in between. You can also find an interactive
insolation map at the Department of Energy (DOE) website.12 Note that these
maps are presenting daily average of solar irradiance in kWh/m2/day and to
find the annual irradiance the values should be multiplied by 365. However,
some maps may directly provide annual irradiance so a particular attention
should be paid to what a map presents, e.g., global horizontal irradiance (GHI)
or direct normal irradiance (DNI), and the unit of solar irradiance in the map.

11.2 Solar Photovoltaic Power Generation

If we could envision an ideal electricity production technology, it could have
been very much like solar photovoltaic systems. They directly convert solar
radiation into electricity. The primary source of energy, i.e., solar radiation,
is renewable and virtually limitless (considering the scale of human needs).
Their operation does not emit any pollutants or produces any radioactive
materials. Even if life-cycle emissions, including raw materials, manufactur-
ing processes, operation, and end-of-life disposal, are all taken into account,
they are one of the most environmentally friendly power generation tech-
nologies. The energy payback for manufacturing of solar panels is typically
between 1 and 2 years. Solar panels are solid-state devices, and there are no
working fluid or moving parts involved. This makes the technology very
safe and low maintenance with no mechanical wear out. Therefore, they
can be utilized in location where continuous and regular maintenance may
not be available or convenient such as remote areas or residential buildings.
This provides a great opportunity for electrification of rural remote areas
where grid connection is not available, particularly in developing countries.
Moreover, they are ideal for decentralized distributed power generation.
They can also be built in a variety of capacities ranging from a few microwatt
for small handheld devices to many hundred MW units for utility power
production. They can be built and installed in modular units to meet the
power demand from a small residential building to a large community. They
are uniquely suitable for integration to buildings. In terms of financial viabil-
ity, the cost of solar panels has reduced substantially in the past few years.
Currently, there are dozens of countries where the cost of electricity from
solar panels is less than other available sources even without any incentive.
The current dominant solar panel technology in the market is silicon crystal-
line panels. Silicon is the second most abundant element on Earth. Simply
put, the solar photovoltaic power generation can be described as simple,
elegant, convenient, dependable, and in many cases affordable.

https://www.energy.gov/maps/solar-energy-potential.
12
782 Power Plant Engineering

Regardless of all these extraordinary attributes, the contribution of solar

photovoltaic energy to overall global electricity production is small. To sig-
nificantly alter this picture, the cost of photovoltaic panels should be fur-
ther reduced. Also, the variable nature of solar energy and its impacts on the
electrical grid should be addressed. This includes predictable variations, i.e.
the day and night cycle, which creates the problem of a duck curve (refer to
Chapter 16), and local long- and short-term unpredictable events, from a few
rainy days to a passing cloud and even a solar eclipse.

11.2.1 History of Solar Photovoltaic Power Generation

Forty years after Alessandro Volta (1745–1827, an Italian physicist and chem-
ist) demonstrated that electricity can be generated by non-living things (refer
to FYI Box 1.1 on electric fishes and human encounter with them) through
electrochemical reactions using his voltaic piles, it was discovered that light
energy can also produce electricity. This phenomenon was coined the photo-
voltaic effect by combining the word light in Greek (phôs) and Volta’s name.
The effect was first discovered by Alexandre-Edmond Becquerel (1820–1891, a
French physicist13) in 1830. He was actually conducting experiments on a bat-
tery. In his experiments he noticed that when the electrode plates were illumi-
nated by light, the current produced by the battery was increased. Therefore,
while he did not really make an actual photovoltaic cell, he accidentally dis-
covered that at right conditions light can have electrical effects. Later in 1873
Willoughby Smith (1828–1891, an English electrical engineer) observed that
conductivity of selenium increased when exposed to light, showing sele-
nium is a semiconductor. A few years later, in 1877, William Grylls Adams
(1836–1915, an English scientist) and his student Richard Evans Day were able
to produce electricity on a cell made of selenium and platinum for the first
time. In 1883, Charles Fritts (1850–1903, an American engineer) built the first
working solar cell that was able to generate a meaningful amount of electric-
ity. His cell, known as the selenium cell, was made of selenium coated with a
very thin layer of semi-transparent gold on one side and an iron plate on the
other side. He connected several of his cells and installed them on a rooftop
in New York, making it the first rooftop-installed solar photovoltaic device.
His invention was never commercialized for electricity production due to
its high cost and low efficiency, about 1%. However, it was used in light sen-
sors, for example, in cameras. Just to understand the timing of his invention,
when he announced his discovery the early coal steam power plants were
just entering the market. From then to mid-20th century there were many

Being a prominent physicist was a tradition in the Becquerel’s family. His father and son were
13

also very well-known physicists with many accomplishments. His son Henri received the
1903 Nobel Prize in Physics along with Marie and Pierre Curie for the discovery of radioactiv-
ity. Alexandre-Edmond Becquerel was 19 years old when he discovered photovoltaic effect.
He conducted some pioneering research on photography, particularly colored photos, and
solar spectrum.
Solar Energy and Photovoltaic Solar Units 783

patents filed related to solar photovoltaic cells.14 In the meantime, many

physicists studied the photovoltaic (photoelectric) effect and the theoretical
understanding of the phenomenon increased significantly. Among them was
Albert Einstein who received the 1921 Nobel Prize in Physics for his work
on “the law of the photoelectric effect” (and not for relativity).15 While these
early progresses created great expectations, commercial solar photovoltaics
were never materialized until the second half of the 20th century.
The major breakthrough on photovoltaic power generation came after the
invention of transistors in the early 1950s because both transistors and solar
cells work based on the properties of semiconductors especially silicon (we
will extensively discuss about these material later). Transistors were first
developed at the Bell Laboratories in New Jersey, then a subsidiary of AT&T
which was founded by Alexander Graham Bell the famous inventor of tele-
phone (1847–1922, a Scottish-born American scientist and engineer).16,17 In the
early 1950s, a team of Bell Labs scientists18 accidentally reinvented the concept
of photovoltaic solar cells while studying the impact of light on s ilicon-based
semiconductors to improve the performance of transistors. They then tried
to use their solar cells to power remote rural telephone amplifiers located in
humid environments. The efficiency of the cell was initially about 2%, but
after some experiments and optimizations, it was improved to about 6%. The
systems was able to generate sufficient electricity to power typical electrical
equipment of those days and was considered, albeit briefly, for electricity gen-
eration in remote rural areas. While the public announcement of the inven-
tion created a lot of excitements, the prohibitively high cost of the system
eliminated any meaningful application (somewhere between $250 and $1000
per watt).19 Even if we consider the lower range of the cost, a small typical
6 kW residential unit would have cost about $1,500,000. They were also very
fragile. Later, one of the major players in the improvement of solar cells was
Hoffman Electronics Corporation founded by Leslie Hoffman (1906–1971, an
American entrepreneur). Between 1957 and 1960, they were able to improve

14 Just search for solar cell in Google Patent (https://patents.google.com) by limiting the period
to 1850–1940 to review some.
15 At the time some committee members believed the relativity is still controversial and

unproven. So they awarded him the prize for the work he published in 1905. Some have specu-
lated that the committee wanted to award him the second Nobel Prize when the relativity was
“properly” proven. The second prize was never awarded perhaps because he never accepted
the well-established quantum theory. By the way, he did not attend the award ceremony
partly because his name was in the target list of the Europe’s anti-Semite groups. For more
information refer to “Why Einstein never received a Nobel prize for relativity” https://www.
theguardian.com/science/across-the-universe/2012/oct/08/einstein-nobel-prize-relativity.
16 The Bell Laboratories are currently a subsidiary of the Finnish company Nokia.
17 The three American physicists who invented transistors, John Bardeen, Walter Brattain, and

William Shockley, received the 1956 Nobel Prize in Physics for this invention and its subse-
quent improvements.
18 The team consisted of three American scientists, Daryl Chapin (1906–1995), Calvin Fuller

(1902–1994), and Gerald Pearson (1905–1987).

19 Compared it to current cost of less $1/W.
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FIGURE 11.15
Hoffman KP706 Trans Solar Radio (1959) running on batteries or with a Hoffman solar cell
array on the top (https://en.wikipedia.org/wiki/Les_Hoffman#/media/File:Hoffman_model_
KP706_Transolar_Radio_1959.jpg). (By Engradio at English Wikipedia, CC BY-SA 3.0, https://
commons.wikimedia.org/w/index.php?curid=31304864.)

the efficiency of solar cells from 8% to about 14% and markedly reduced the
cost. The company manufactured and sold a solar cell powered radio called
the Hoffman Trans Solar Radio in 1959 (Figure 11.15).20
By the late 1950s a niche new application appeared in which the hefty cost
of early solar cells was not an issue. In 1957, the Soviet Union launched the
world’s first satellite, Sputnik 1. The transmitters on board of the satellite
were powered with batteries, and they stopped operating when the batteries
ran out 21 days after its launch. This was followed by Sputnik 2 and the first
American spacecraft, Explorer 1. They both used batteries as the power source
and stopped transmitting signal after 1 week and 4 months, respectively. In
all these cases, the satellites stayed in the orbit for a duration much longer
than they could transmit the signals.21 To address this problem, a continuous
supply of power was required. Considering the operating conditions of a sat-
ellite and its direct exposure to solar radiation, solar photovoltaic cells were
an ideal solution. Solar cells were used to power a satellite for the first time in
Vanguard 1 launched in March 1958.22 This small 1.5 kg (3 lb) and 0.165 m (6.4
inches) diameter sphere made of aluminum was equipped with six solar cells
manufactured by Hoffman Electronics Co. each 25 cm2 (5 cm×5 cm) installed
around the sphere. With the efficiency of about 10% (at the operating tem-
perature of 28°C), the cells were made of single crystalline silicon and pro-
duced total power of about 1 W.23 While the produced power was very small,
it was sufficient to power the transmitter on board. The solar cells were able
to power the transmitter for more than 6 years (Figure 11.16).24

20 Reportedly the radio was sold $79.95 (those days dollar).

21 Sputnik 1 and 2 stayed in the orbit for 3 months and 162 days, respectively. Explorer 1 was in
the orbit for about 12 years.
22 Vanguard 1 was the fourth satellite ever launched and the second American.
23 https://nssdc.gsfc.nasa.gov/nmc/spacecraft/display.action?id=1958-002B.
24 The satellite also had a battery powered radio transmitter though it stopped sending signal

in <4 months of launching due to the battery depletion.

Solar Energy and Photovoltaic Solar Units 785

FIGURE 11.16
Vanguard 1 satellite equipped with six solar cells. (Source: https://nssdc.gsfc.nasa.gov/image/
spacecraft/vanguard1.jpg.)

FIGURE 11.17
Explorer 6. (Source: https://nssdc.gsfc.nasa.gov/planetary/image/explorer_6.jpg.)

Since then many spacecraft was powered by solar cells,25 for example:

• Explorer 6 (launched in 1959) had closed to 10,000 solar cells manu-

factured by Hoffman Electronics (Figure 11.17).
• Telstar (launched in 1962) had solar cells that produced about 14 W
of power (Figure 11.18).
• The Hubble Space Telescope (launched in 1990) was equipped with
enough solar cells to produce 5.5 kW peak and 2.1 kW average electri-
cal power (in two wings each about 8 m or about 25 ft) (Figure 11.19).
• Finally and most notably, the International Space Station has 262,400
solar cells covering 2500 m2 (27,000 ft2) arranged in eight solar arrays
with the wingspan of 73 m (240 ft) (Figure 11.20). They could generate
up to 120 kW of electrical power (enough to provide power to more
than 40 homes).

But not all satellites were powered by solar cells. Probably the most notably, the Gemini and
25

Apollo series did not have solar cells.

786 Power Plant Engineering

FIGURE 11.18
Telstar satellite. (Source: https://www.nasa.gov/sites/default/files/thumbnails/image/
665926main_telstar_full.jpg.)

FIGURE 11.19
Hubble space telescope. (Source: https://www.nasa.gov/sites/default/files/thumbnails/
image/hst-sm4.jpg.)

FIGURE 11.20
International space station. (Source: https://www.nasa.gov/sites/default/files/thumbnails/
image/iss056e201248.jpg.)

Solar photovoltaic cells proved to be an ideal power source for extraterres-

trial applications due to their high power-to-weight ratio, which is a criti-
cal criterion for this application. Furthermore, the high cost of early solar
cells was not a major factor for this application. Since then solar cells have
been the power source for many space exploration missions. This applica-
tion provided a reliable driving force to push solar cell technologies forward.
Solar Energy and Photovoltaic Solar Units 787

FIGURE 11.21
A solar cell-powered calculator. (Image by DG-RA from Pixabay, https://pixabay.com/photos/
algebra-arithmetic-calculator-casio-2154417/.)

In many cases (some will be discussed later), new (and expensive) technolo-
gies were first developed for this application and then after a substantial cost
reduction was adapted for other applications.
The advancement in the solar cell manufacturing processes gradually
reduced the cost of solar cells to the order of $100/W. While this price was
still too high for widespread use of solar cells, it helped their gradual deploy-
ments in remote applications where no other source of conventional electric-
ity production was economically available, including road and railroad signs
as well as offshore and telecommunication devices. The rapid advancement
of semiconductors for electronic devices in the 1970s provided a significant
boost for the solar cell industry. The oil crisis of the late 1970s helped to pro-
vide strong supports for research and development in the field, at least for a
while. In the early 1980s, the global installed capacity of photovoltaic power
generation units reached about 20 MW. In the 1980s another popular niche
market opened up for the utilization of solar cells in low-powered devices
particularly handheld calculators (Figure 11.21).
During the 1990s and 2000s, the efficiency of solar cells continuously
improved and their cost reduced. In 1985, 1994, and 2006, the records for the
efficiency of solar cells were broken at 20%, 30%, and 40%, respectively.26

When dealing with these records, one should be very careful about the conditions they were
26

recorded. For example, these reported records were for concentrated solar radiation. The
highest recorded efficiency for unconcentrated solar radiation was 34.5% in 2016.
788 Power Plant Engineering

In 1992, Sacramento Municipal Utility District (SMUD) in California initiated

the first residential distributed solar power program designed for general
public. Many states and countries started to provide similar systematic incen-
tives. In the meantime, the development in axillary systems, such as invert-
ers, helped to lay the foundation for the applications of solar photovoltaic
cells in areas with access to the grid, which reduced or eliminated the reli-
ance on battery storage systems. Until 1999 when the capacity of the installed
solar cell units reached 1.2 GW, almost the entire capacity was off-grid units.
However, large-scale utility solar power generation units, which followed res-
idential applications, had a much higher rate of increase. By 2004, the capacity
of grid-connected units overtook that of off-grid units. Nowadays the great
majority of the units are grid-connected. This created the cycle of increased
installed units and increased unit production, which brought down the man-
ufacturing costs due to the economy of scale. This in turn encouraged more
installation. The reduction in the required raw materials (per unit of power
production) and progress in manufacturing technologies in the past decade
have pushed down the cost to the level that, even without any incentive, now
the electricity generated by photovoltaic cells is the least expensive source of
electricity in increasing number of countries and regions.
The diagram in Figure 11.22 illustrates the global installed solar photovol-
taic unit capacity between 1996 and 2018, both existing and new capacities for
each year. In 1996, the total global capacity of photovoltaic power generation
was merely 0.7 GW. By 2006 this increased by 10 folds (it took 11 years). In
order to increase the capacity by another 10 folds, only 5 years was needed.

600

500
Installed Capacity (GW)

400

300

200

100

0
1996
1997
1998
1999
2000
2001
2002
2003
2004
2005
2006
2007
2008
2009
2010
2011
2012
2013
2014
2015
2016
2017
2018

Previous Year’s Capacity Annual Addition

FIGURE 11.22
Global installed solar photovoltaic capacity between 1996 and 2018, both existing and new
capacities for each year. (Based on the data provided by IEA, https://iea-pvps.org/wp-content/
uploads/2020/04/IEA_PVPS_Snapshot_2020.pdf)
Solar Energy and Photovoltaic Solar Units 789

By 2011 the installed capacity increased to 71 GW, which was 78% greater
than that of the prior year. By 2018, the global installed capacity increased to
505 GW in which 100 GW was new units installed in that year. This indicates
an exponential growth of the installed solar photovoltaic power generation
units with over 30% annual growth rate between 1996 and 2018. This means
the installed capacity was doubled roughly every 2 or 3 years.
Considering the abundance of solar energy, California has always been a
natural leader in the field. But in the international level, in the early 2010s,
the leadership came from an unexpected country, Germany (considering the
fact that Germany is located in northern Europe where solar energy is not
among the highest in Europe) and Japan. Germany’s progress was extraor-
dinary in the early 2010s, but the increase in the installed capacity has been
stagnant in the past few years since it seems that the country has reached to
the saturation point in terms of economic viability. Since 2015 China has had
the largest capacity of installed solar units, with very wide margins in the
past couple of years. Currently China has over a third of the global installed
capacity. In 2018, the six highest contributors to the new install capacity of
solar cells were China (45%), India (11%), the U.S. (11%), Japan (7%), Australia
(4%), and Germany (3%). However, Germany still has the highest installed
capacity per capita (W/person). In 2018, there were eight countries that the
share of photovoltaic solar units in their annual electricity production mix
exceeded 5%. Regardless of all these rapid progresses, the global share of
electricity from photovoltaic solar units is still <3%.27
It is expected that the current growth rate in the global installed solar pho-
tovoltaic units will continue in the future. The ongoing reduction in the cost
of these units is the most important factor. The continued incentives pro-
vided for these power production units will further encourage their utili-
zation. However, in many countries the price of the electricity from solar
cells is already competitive with the electricity from traditional power plants
(called the grid parity) even without the financial incentives. The significant
investments by some of the largest emerging economies, particularly China
and India, are a major driving force for this trend. The fact that solar panels
are providing an alternative affordable path toward electrification of rural
areas in some parts of the world is another encouraging factor. The global,
national, and regional plans to combat global CO2 emission and local pollu-
tions are also major factors for promotion of this technology.
In the U.S., according to the Solar Energy Industries Association, the capac-
ity of installed solar units was about 69 GW in 2019.28 From the beginning
of the industry, California has been the leading force with the installed
capacity of about 26 GW. This followed by North Carolina and Arizona with
about 6 and 4 GW capacity, respectively. Nevada, Florida, Texas, New Jersey,
and Massachusetts followed all with about 3 GW capacity.

https://www.iea.org/reports/solar-pv.
27

https://www.seia.org.
28
790 Power Plant Engineering

11.2.2 Applications of Photovoltaic Solar Units

In the previous section, some applications of solar photovoltaic electricity gen-
eration were discussed from the historical point of view. In this section, vari-
ous applications and some categorizations in modern units will be presented.
Solar electricity generation units can be distributed generation units or
utility-scale plants. Distributed generation (also known as decentralized)
units are located at or near the load so the produced electricity is directly
transferred to the consumer without going through the grid. In contrary,
utility-scale PVs (sometimes also referred to as solar farms) are much like
central power plants where a huge amount of electricity is produced and
then distributed among many consumers via the grid. For most of the history
of the utilization of photovoltaic power, distributed units were dominant.
However, in the U.S., since the early 2010s, utility-scale units have generated
more power than distributed units.
Photovoltaic units can be off-grid or on-grid (or grid connected). As the
name implies, off-grid units do not have any interconnection with the grid.
In these units the generated electricity needs to be used or stored as soon as
it is produced. Normally they are equipped with a battery storage system.
When the power production exceeds the consumption, the excess electric-
ity is stored in the battery bank. When the solar energy is not available (e.g.,
at night) or when the produced power is not sufficient to meet the demand,
the electricity is pulled from the batteries. Note that the power produced by
the solar cells and the power from the batteries are direct current (DC) but the
power needed by consumers should be alternative current (AC). Therefore, an
inverter is needed to convert DC power to AC power (refer to Section 11.2.5.2).
While off-grid units were very popular in early solar systems, their current
applications are limited to locations where the grid is not available, such as
rural regions and remote applications, or situations when electricity from the
grid is not available, for example in emergency and backup power units.
On-grid photovoltaic systems are interconnected to the grid. While they
can be equipped with a battery storage unit, they are not required to have
one. In these units, the grid acts as a gigantic virtually unlimited storage sys-
tem. When the generated electricity is more than the consumption, the excess
power is sent to the grid. When the generated power is not sufficient, the
required balance is pulled from the grid. There are various financial mecha-
nisms to determine the cost of power exchange with the grid (refer to Section
11.2.6). Also, an inverter is required to convert the produced DC power to
AC power. As previously noted, currently the majority of solar photovoltaic
power generation capacity is connected to the grid.
As noted in the introduction, one major advantage of photovoltaic cells
is their modularity and scalability, from less than a watt to hundreds of
megawatts. In the scale that is of the interest for this text, these units can be
divided to small-scale residential applications, mid-size industrial or com-
mercial applications, and many-megawatt utility units.
Solar Energy and Photovoltaic Solar Units 791

Solar photovoltaic units can be installed on a building structure or can be

ground-mounted. While building-mounted units are typically in the form
of distributed generation, ground-mounted units can be large-scale utility
units. There are many potential lands to install ground-mounted solar pan-
els, including deserts, semi-desert areas, brownfields, lands prone to shal-
low flooding, shades for parking lots and other areas, or even floating units.
Ground installations have the advantage of easy maintenance.
Building-mounted units can be added to existing buildings or can be inte-
grated to new building designs (also known as building integrated photo-
voltaics or BIPV). When rooftop-mounted solar units are added to existing
buildings, their sole function is to generate electricity but in integrated build-
ings they may have several energetic and architectural functions. Building
integrated units may also address the visual impacts and aesthetic aspects
of rooftop modules that some may find objectionable. When PV units are
installed on commercial or industrial buildings, they have an added ben-
efit that the period of typical occupation of buildings, i.e., during daytime,
matches the power production period from solar units.
Solar PV modules can be fixed or equipped with sun tracking systems.
Building-mounted units are almost universally fixed, but ground-mounted
units can be fixed or have tracking units. Other than utility-scale and building-
mounted units, photovoltaic panels can be assembled on small-scale units with
the power generation capacity of a few kW. They are typically used to replace
diesel power generators in emergency units, for example, in disaster areas or
in construction sites. Smaller micro-scale units can be used to power outdoor
security cameras, road signs, etc., as well as personal military applications or
outdoor recreational applications. These units are not typically equipped with
inverters, and DC power is directly used by consuming devices.

11.2.3 Principles of Solar Photovoltaic Cell Operation

Now that you have good understanding of the historical background, the
current state of solar photovoltaic systems, and the variety of their applica-
tions, we can discuss about physical principles behind their operation. These
fundamentals are not only helpful in the understanding of internal opera-
tion of cells but also essential in the understanding of the impacts of various
parameters on their performance. As noted in Section 11.2.1, the development
of PV cells and transistors has been intertwined because both used similar
building blocks, semiconductors. Thus, we will first discuss the semiconduc-
tors’ structure and their photovoltaic properties. Then, we will explain how
these properties help solar cells to generate electricity.

11.2.3.1 Semiconductors
Depending on how well a substance can conduct electrons (and heat), it can
be categorized as a conductor, insulator, or semiconductor. At one end, there
792 Power Plant Engineering

are metals with very high conductivity (and very low resistivity) and at the
other end there are insulators with very low conductivity (and very high
resistivity). The conductivity (and resistivity) of these two ends can differ
by the factor of 1030. Semiconductors have conductivity between conductors
and insulators at the room temperature. At very low temperatures and high
temperatures they behave as insulators and conductors, respectively.
In order to explain such a wide range of conductivity of materials, we need
to study their subatomic structure. While atoms are made of differing num-
ber of electrons, protons, and neutrons, most properties of materials, particu-
larly their conductivity, are determined by the number of electrons in their
atom. We know that in every atom, protons and neutrons form the nucleus
and electrons orbit this nucleus. From quantum mechanics, it is proven
that for a single atom, electrons can only occupy defined orbits with certain
energy levels. These energy levels are expressed according to their energy
in electron-volt (eV). Electrons can only “jump” from one energy level to a
higher or lower energy level by absorbing or releasing a photon. The energy
difference between the two energy levels must be equal to the energy of the
absorbed or released photon. When there are many atoms bonded together to
form a bulk of a substance, due to the interaction of the atoms, we will have
a range of energy levels that electrons can have. These ranges of acceptable
energy levels for electrons are called energy bands (also known as allowed
bands or simply bands) (Figure 11.23). The gaps between these bands are
called forbidden bands, forbidden gaps, or band gaps. Note that electrons
naturally fill these bands from the lowest energy level upward and are orga-
nized in a manner that results in the minimum energy. While an atom can
have many bands depending on the number of electrons it has, the follow-
ing two bands mostly determine the properties of the atom. The band that
has the maximum energy level and is occupied by some electrons (i.e., fully
or partially filled with electrons) is called the valence band. The next band,

Conduction
C band
Electron energy

Valence
band
V
Foebidden
bands
Energy
bands

FIGURE 11.23
Electron energy levels in an atom.
Solar Energy and Photovoltaic Solar Units 793

which is empty (otherwise this band would have been the valence band), is
called the conduction band (Figure 11.23). When two atoms bond, the elec-
trons in the valence band of one atom form bonds with the electrons in the
valence band of the other atom.
The electrons in the valence band are bonded to the nucleus and cannot
move freely. Electrons can conduct electricity (and heat) only when they are
elevated from the valence band to the conduction band. Technically speaking
the electrons occupying the conduction band are not bonded to the nucleus
of the atom so they belong to the whole bulk of the substance rather than to a
particular atom. That means they can freely move across the body and trans-
fer electricity and conduct heat. Therefore, the conductivity of a substance is
a function of the relative range of energy levels of the valence and conduc-
tion bands. If these two bands overlap (i.e., when there is no forbidden gap)
or the gap between them is very small (i.e., a very narrow forbidden gap), the
substance is a good conductor (Figure 11.24). In this case, either all electrons
of the valence band can freely move to the conduction band or they can be
easily elevated. In insulators, the gap is so large (larger than 3 eV) that hardly
any electron can be elevated so the conduction band is almost empty and
there is no free electron in the material. In semiconductors, the gap is moder-
ate (<3 eV), so some electrons can elevate to the conduction band. Therefore,
semiconductors have medium conductivity. The band gap for some semicon-
ductors that are used in the manufacturing of solar cells at the room temper-
ature is as follows: silicon 1.1 eV, germanium 0.7 eV, gallium arsenide 1.4 eV,
and cadmium telluride 1.4 eV.
At right conditions, such as high temperatures, sufficient electrons can be
moved to the conduction band that the semiconductor behaves like a con-
ductor. At very low temperatures, hardly any electrons can be elevated so it

Insulator
Semiconductor
Conductor
C
C C
Electron energy

Overlap
Large Small
gap gap
V
V V
}

Foebidden
Energy bands
bands

FIGURE 11.24
Band gap for conductors, semiconductors, and insulators.
794 Power Plant Engineering

becomes like an insulator. Semiconductors can be elemental or compound.

While elemental semiconductors are made of a single element, compound
semiconductors have two or more species. The examples of elemental semi-
conductors are the elements in Group IV of the periodic table: carbon (C), sili-
con (Si), germanium (Ge), and tin (Sn); and in Group VI: sulfur (S), selenium
(Se), and tellurium (Te). The compound semiconductors can be composed of
two elements (binary), e.g., gallium arsenide (GaAs), three elements (ternary),
e.g., copper gallium diselenide (CuGaSe), or four elements (quaternary), e.g.,
copper indium gallium selenide (CuInGaSe). The binary semiconductors can
be grouped according to the groups the elements belong in the periodic table;
for example, gallium arsenide (GaAs) is a III-V semiconductor. Other exam-
ples are II-VI, I-VII, IV-VI, V-VI, and II-V semiconductors.
Most semiconductors have a crystalline structure. Let us consider silicon
crystalline, which is the main building block of the most common type of
solar cells. Silicon’s atomic number (proton number) is 14, which means in
an uncharged form a silicon atom has 14 electrons. These electrons occupy
first, second, and a part of the third energy bands with 2, 8, and 4 electrons
in each, respectively. That means the valence band contains four electrons.
In its pure crystalline form each of the electrons in the valence band forms a
bond with a similar electron from another atom. This creates a lattice crys-
talline structure where each silicon atom is surrounded with four other
atoms and shares two electrons with each neighbor. Figure 11.25 shows this
arrangement for the pure crystalline silicon in three-dimensional and two-
dimensional drawings (Figure 11.25a and b, respectively). As the drawings
illustrate, in this structure there is no free electron (i.e., electrons that occupy
the conduction band). In reality this structure only exists at very low temper-
atures (close to absolute zero). However, due to a relatively small energy gap
(about 1.1 eV), at room temperatures some electrons can be transferred to the
conduction band (Figure 11.25c). The higher the temperature, the more elec-
trons can be promoted, which in turn increases the conductivity of silicon.
As Figure 11.25c illustrates, when an electron is promoted to the conduc-
tion band, the bond between the two silicon atoms will have a shortage of an
electron. This absence of an electron, which translates to a positive charge,
is called a hole. Holes, similar to free electrons, can move in the crystalline
structure and carry charges, which increase the conductivity of silicon. This
process is known as the electron-hole pair generation process. When an
electron and a hole rejoin, the process is known as the electron-hole pair
recombination process. In order to understand how holes impact conductiv-
ity, imagine two consecutive shelves in your bookshelf with some books. In
this analogy, the lower and upper shelves represent the valence and conduc-
tion bands, respectively, and the books represent the electrons. When the
lower level shelf is full of books and the upper level shelf is empty, none of
the books in the lower shelf can move. But if we move one book to the upper
shelf, not only that book (representing an electron promoted to the conduc-
tion band) can move in the upper shelf, but also the books in the lower shelf
Solar Energy and Photovoltaic Solar Units 795

(a)
Nucleus

Valence
electron

(b)
Conduction (free)
electron

Hole

Valence
election
(c)

FIGURE 11.25
Atomic structure of silicon crystalline (a) three-dimensional structure with no electron
promoted to conduction band (b) simplified two-dimensional representation with no pro-
moted electron (c) simplified two-dimensional representation with one electron promoted to
conduction band.

can move because of the space left by the removed book (representing the
hole). Note that even in the latter case what is really moving is the electrons
in the valence band (or books in the lower shelf). But it is simpler to assume
the holes (the space left by the removed book) are moving.
Elements or compounds that exhibit an appropriate semiconductor ability
in their pure form are called direct or intrinsic semiconductors; for example,
gallium arsenide (GaAs) and cadmium telluride (CdTe) with the band gap of
796 Power Plant Engineering

1.4 and 1.5 eV, respectively, are considered direct semiconductors. The mean-
ing of “appropriate semiconductor ability” will be discussed later. For now,
just note that in order for a semiconductor to be suitable for solar cells, it
should have a certain band gap (about 1.4 eV being the optimum value). Some
other semiconductors do not have this favorable ability. For example, pure
silicon crystalline has a band gap of 1.1 eV, which is too small (again we will
later talk about why a too small band gap is not favorable). To remedy this
problem, a very small and controlled amount of certain impurities can be
added to a pure semiconductor. The process of adding the impurity is called
the doping process, and this type of semiconductors is known as indirect,
extrinsic, or doped semiconductors. Adding the impurity adds an energy
level (and not an energy band), similar to the ones in individual atoms,
between the valence and conduction bands. Depending on the type of the
impurity, also known as the doping agent or the dopant, the added energy
level can be close to the bottom of the conduction band or the top of the
valence band (Figure 11.26). If the energy level is near the bottom of the con-
duction band (just below it), it is called the donor level and it helps to send

Free electron

Silicon nucleus Silicon nucleus

Valence electron Hole

P5 B3
Phosphorus
nucleus Boron nucleus

Free electron
Electron energy

C
Electron energy

C
Donor level
Acceptor level
V Hole
V

(a) (b)

FIGURE 11.26
Doping silicon crystalline with (a) phosphorus to create an n-type semiconductor (b) boron to
create a p-type semiconductor.
Solar Energy and Photovoltaic Solar Units 797

many more electrons to the conduction band than that of a pure semicon-
ductor. If the energy level is near the top of the valence band, it is called the
acceptor level. In this case, many electrons are promoted from the valence
band to the acceptor level, which leaves positively charged holes (electron
deficiencies) behind. These holes in turn can conduct electricity or heat. In
indirect semiconductors, it is easier to control the properties of the semicon-
ductor. Both direct and indirect semiconductors can be used to manufacture
solar cells. However, indirect semiconductors need a much thicker layer to
absorb the incoming light than that of the direct semiconductors (will be
discussed later in this chapter).
In the case of silicon crystalline, we can dope the crystalline lattice with
phosphorus, which has five electron in the valence band.29 Four of these
electrons bind with the electrons in the neighboring silicon atoms and one
electron remains free and available for conduction (Figure 11.26a). Since
the dominant charge carrier in this case is negatively charged electrons, it
is called n-type semiconductors. In the same fashion, silicon can be doped
with boron with three electrons in the valence band.30 In this case, each of
the three electrons binds with one electron from the neighboring silicon
atoms, but the fourth bond will have one electron deficiency, i.e., a hole
(Figure 11.26b). The holes are the dominant charge carriers in this case. Since
they have positive charge, this type is called p-type semiconductors. In
these two semiconductors, phosphorus and boron atoms are known as the
donor atoms and acceptor atoms, respectively. The conductivity of doped
semiconductors depends on the type and amount of the doping agent. Note
that while only a trace amount of the dopant is added, the improvement in
conductivity is dramatic. In terms of the number of atoms, the dopant-to-
silicon ratio of 1:105 is typical.
While in both n-type and p-type semiconductors light can create electron-
hole pairs, the creation of the pairs will not be translated to electricity gen-
eration until we can separate electrons and holes and we can transfer them
to different locations. This separate accumulation of holes and electrons cre-
ates a difference in charge (voltage) and the flow of electrons in an external
circuit, i.e., electricity. In order to be able to separate electrons and holes in
solar cells, a p-n junction is needed. The p-n junction is created when a layer
of a p-type semiconductor is in physical contact with a layer of n-type semi-
conductor (Figure 11.27). When the connection is established, the negatively
charged free electrons in the n-type semiconductor migrate to the p-type
semiconductor where they join the positively charged holes. Note that since
the distance the electrons and holes can diffuse is limited, the impacted area
is limited to the area near the junction. The diffusion of the electrons across
the junction will leave a positive net charge in the n-type semiconductor

29 Phosphorus is in Group V (group 15 in the modern notation) of the periodic table and has an
atomic number of 15 and the electrons arrangement in the energy bands is 2, 8, and 5.
30 Boron is in Group III (group 13 in the modern notation) of the periodic table and has an

atomic number of 5 and the electrons arrangement in the energy bands is 2 and 3.
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P n P n P n

p-n junction Electric

field

FIGURE 11.27
Schematic of a p-n junction to separate electrons and holes in electron-hole pairs.

and will create a negative net charge in the p-type semiconductor. These
two fixed electrical charges in two opposite sides of the junction will cre-
ate an electric field around the junction. If an electron-hole pair is created
within this electric field, the electron will be immediately attracted to the
n-type semiconductor (where there is a positive net charge) and the hole to
the p-type semiconductor. Now we have all we need to explain how a solar
cell convert solar radiation to electricity.

11.2.3.2 Operation of Solar Cells

In its simplest form a typical solar cell is a very thin layer of crystalline sili-
con with two electrodes (also known as the contacts) on the front and back
surfaces (Figure 11.28). A p-n junction is developed within the single layer
of silicon. So actual solar cells do not have two pieces of p-type and n-type
semiconductors that are physically connected. Instead there is a single piece

SUN

Direction of electric
field

p-n junction
Front contact
(electroade)
n-type
p-type semiconductor
Load semiconductor
Electric field

Back/rare contact
(electroade)

FIGURE 11.28
Schematic of what happens when sunlight strikes the surface of a solar cell.
Solar Energy and Photovoltaic Solar Units 799

of silicon where the doping agent changes from p to n to create the p-n junc-
tion. The n-side is much thinner than the p-side (typically about 1 μm vs. a
few hundred μm). The n-side is on the front of the cell and is exposed to solar
radiation. The electrodes’ function is to collect the electric charges at two
opposite surfaces of the cell. The electrode on the surface of the n-side col-
lects the electrons to send them to the load, and the electrode on the p-side
returns the electrodes to complete the circuit.
When a solar cell is exposed to sunlight, the light first strikes the n-side.
Due to its thinness, the light can easily penetrate the n-type and strikes the
p-n junction and beyond. The energy of photons of the light can be absorbed
by some electrons, which in turn can excite and promote them to create free
electrons in the n-type semiconductor and free holes in the p-type semi-
conductor (Figure 11.28). Another way to look at this phenomenon is that
the photons create electron-hole pairs. If the photon absorption takes place
in the electric field around p-n junction or near it, the electric field in the
p-n junction separates the electrons from the holes. The electrons are forced
toward the n-type semiconductor and the holes toward the p-type. As noted
above, in the electric field within the p-n junction, the n-side has positive
charges. The electrons diffuse through the n-type to the electrode on the
front surface of the cell. Similarly the holes diffuse through p-type to the
electrode on the back surface of the cell. This accumulation of positive and
negative charges on the surfaces of the cell creates a potential difference
(voltage). If connected to a load this voltage can create a flow of electrons,
i.e., electrical current, in which the electrons flow from the electrode of the
n-type to the electrode in the p-type where they recombine with the holes.
If a photon is absorbed away from the electric field, it may or may not be
able to contribute to power production depending on where the absorption
takes place.
Now let us take a look at the mechanism of how light can promote elec-
trons and create electron-hole pairs. We know that sunlight is made up of
the flow of very small energy particles called photons. The energy of each
photon is only a function of the light wavelength and independent of other
light parameters including its intensity. For visible light, the wavelength
depends on its color. For the same color light, the energy of the photons
is the same but more intense light has simply more photons. The photon
energy, typically between 1 and 3.5 eV, is inversely proportional to its wave-
length (or directly proportional to its frequency). The energy of a photon
as a function of its frequency and wavelength can be determined by the
following equation:

E = hv = hc/λ (11.5)

where E is energy of the photon (J), h is the Planck constant (h = 6.626 ×

10−34 Js), v and λ are the frequency (Hz) and wavelength of the photon (m),
respectively, and c is the light speed c = 2.998 × 108 m/s.
800 Power Plant Engineering

Example 11.8
We know that the wavelength of solar radiation spectrum on Earth
ranges from about 300 nm to about 2500 nm. For the light with the wave-
length of 300, 1130, and 2500 nm,

a. determine the photon energy of the part of solar radiation with

the above wavelength in J and eV.
b. determine the number of photons per second in each case if the
light energy that is 0.1 W.

Solution

hc 6.626 × 10−34 × 2.998 × 108 J

E 300 = = = 6.62 × 10−19
λ 300 × 10−9 photon

−19  eV  eV
= 6.62 × 10 × 6.242 × 10 18
 J  = 4.13 photon
 

hc 6.626 × 10−34 × 2.998 × 108 J

E1130 = = = 1.76 × 10−19
λ 1130 × 10−9 photon

−19  eV 
= 1.76 × 10 × 6.242 × 10 18
 J  = 1.10 eV/photon
 

hc 6.626 × 10−34 × 2.998 × 108 J eV

E2500 = = = 7.95 × 10−20 = 0.50
λ 2500 ×10−9 photon photon

0.1 photons
Number of photons for wavelernth of 300 nm = = 1.51 × 1017
6.62 × 10−19 s

0.1 photons
Number of photons for wavelernth of 1130 nm = = 5.69 × 1017
1.76 × 10−19 s

0.1 photons
Number of photons for wavelernth of 2500 nm = −20
= 1.26 × 1018
7.95 × 10 s

We know from quantum mechanics that if an electron descends from a

higher energy band to a lower energy band, it releases a photon with energy
equal to the band gap between the two bands. Inversely, in order for an elec-
tron to be promoted from the valence band to the conduction band, it needs
to receive energy equal to the band gap energy.
When a photon from sunlight strikes the p-n junction of a solar cell,
depending on the energy of the photon and the band gap of the semiconduc-
tor, three scenarios may take place. If the photon energy is equal to the band
gap, it dislodges and promotes an electron from the valence band to the con-
duction band creating an electron-hole pair. If the photon energy is greater
than the band gap, an electron will be excited and the band gap energy will
Solar Energy and Photovoltaic Solar Units 801

be absorbed from the photon’s energy. However, the difference between

the photon energy and the band gap will be wasted and converted to heat
(known as the thermalization loss). If the photon energy is less than the band
gap, the photon will not be able to excite any electron and its energy will be
converted to heat without any contribution to power production (known as
the transmission loss).
This indicates that to minimize the thermalization and transmission losses
and to achieve the maximum possible efficiency in a solar cell, the best case
scenario is to have incoming light that its photons have energy equal to the
band gap of the semiconductor the solar cell is made of. The following exam-
ple clearly shows this fact.

Example 11.9
Determine the maximum electrical power (in W) that can be generated if
the light with the wavelength of 300, 1130, and 2500 nm strikes a solar cell
made of crystalline silicon (with the band gap of 1.1 eV). Also, determine
the maximum theoretical efficiency that can be achieved in the cell for
each case.
Solution
We know that the photons of the light can excite electrons and create
electron-hole pairs only if their energy is larger than the band gap of the
semiconductor. So we first need to determine the photon energy of each
light (Example 11.8).

J eV
E300 = 6.62 × 10−19 = 4.13
photon photon

J eV
E1130 = 1.76 × 10−19 = 1.10
photon photon

J eV
E2500 = 7.95 × 10−20 = 0.50
photon photon

Therefore, the photons of the light with the wavelength of 300 and
1130 nm will be able to create electron-hole pairs, while the photons of
the light with the wavelength of 2500 nm do not have sufficient energy to
dislodge the electrons.
The maximum electrical energy for the light with the wavelength of
300 and 1130 nm will be generated if all photons are absorbed and each
proton can excite one electron (and creates an electron-hole pair). The
energy of each electron will be equal to the band gap of the crystalline
silicon. So the maximum electrical energy will be equal to the number of
photons in each case multiplied by the band gap of the semiconductor.

Maximum possible generated electrical power

= Number of photons × Band gap of the semiconductor
802 Power Plant Engineering

We already determined the number of photons for each wavelength in

the previous example.

 photons   eV  −19  J  −2
Pmax, 300 = 1.51 × 1017   × 1.1  photon  × 1.6 × 10  eV  = 2.7 × 10 W
 s  

 photons   eV  −19  J 
Pmax,1130 = 5.69 × 1017   × 1.1   × 1.6 × 10  = 0.1 W
 s   photon   eV 
Pmax, 2500 = 0 W

For the maximum efficiency in each case

Maximum power 0.027

ηmax, 300 = = = 0.27 = 27%
Light energy 0.1
Maximum power 0.1
ηmax,1130 = = = 1 = 100%
Light energy 0.1
ηmax, 2500 = 0%

The efficiency of the cell can also be calculated using the following
equation:

Light power = Number of photons × Energy of each photon

Maximum possible generated electrical power

= Number of photons × Band gap of the semiconductor

Maximum power
ηmax =
Light energy

Number of photons × Band gap of the semiconductor

=
Number of photons × Energy of each photon

Band gap of the semiconductor

=
Energy of each photon
Band gap of the semiconductor 1.1
ηmax, 300 = = = 0.27 = 27%
Energy of each photon 4.13
Band gap of the semiconductor 1.1
ηmax,1130 = = = 1 = 100%
Energy of each photon 1.1

In summary, for silicon solar cells, if the energy of light’s photon is <1.1
(the wavelength of >1130 nm), the generated power and the efficiency of
the cell will be zero. If the energy of photons is equal to the band gap (the
wavelength equal to 1130 nm), the maximum possible efficiency of the
cell will be 100%. If the energy of photons is higher than the band gap
(the wavelength of <1130 nm), the maximum possible efficiency of the cell
will be <100%. The more the difference between the photons’ energy and
the band gap, i.e., the shorter the wavelength, the lower the efficiency of
Solar Energy and Photovoltaic Solar Units 803

the cell will be. Note that this is the maximum theoretical efficiency and
in real solar cells cannot be achieved due to many forms of losses includ-
ing various mechanisms for recombination of electron-hole pairs.

Since the spectrum of the solar radiation contains a range of wavelengths

and is relatively constant, we cannot choose the light that its photons’ energy
matches the band gap. The only way we can control the effect of the difference
between the photons’ energy and the band gap is to choose a semiconductor
with a more favorable band gap. If the band gap is too small, most photons
will have sufficient energy to excite electrons and they will contribute to elec-
tricity generation in the cell. However, since the band gap is small, for most
photons (particularly low-wavelength high-energy photons) only a small por-
tion of their energy contributes to power generation, and most of their energy
is wasted in the form of thermal energy. If the band gap of the semiconductor
is too high, the opposite will take place. While less electrons will contribute
to electricity generation (mostly high-energy photons will be able to excite
electrons), for those that contribute a higher portion of their energy will be
converted to electricity. These two opposing phenomena, i.e. the number of
electrons that contribute to power production and the percentage of their
energy that is converted, indicate that there must be an optimum point where
their impacts are balanced to maximize energy conversion and efficiency.
This optimum band gap for the solar radiation spectrum is about 1.4 eV.
Another important factor that significantly impacts the manufacturing
and operation of solar cells is whether the semiconductor used in the fabrica-
tion of the cell is a direct or indirect semiconductor. Imagine we have two
semiconductors one direct and the other indirect with the same thickness. If
the same light strikes them both, the absorption of the light in the indirect
semiconductor will be much lower than that of the direct semiconductor. In
practice this means solar cells manufactured out of indirect semiconductors
(such as crystalline silicon) must be thick enough to absorb the incoming
light; otherwise, much of the light can simply pass through the cell with-
out contributing to power production. This is particularly important for the
absorption of long wavelength light because semiconductors are weaker
absorber of these wavelengths. As a result, crystalline silicon solar cells are
typically a few 100 μm thick, while direct semiconductor cells are typically
just a few micron thick. In later sections we will come back to this point when
we discuss recent high-efficiency solar cells.

11.2.3.3 Losses in Solar Cells

In this section, we will try to understand which factors can contribute to the
loss of efficiency in a solar cell and how we can reduce the impacts of those
parameters. These losses can be divided into two general groups. The first
group is related to light absorption. If the light energy is not absorbed by
the semiconductor atoms, the unabsorbed energy is considered as the lost
804 Power Plant Engineering

energy. The second group of losses occurs after light is absorbed by the cell,
but some other factors prevent its conversion to electricity. Understanding
these losses can help us in minimizing them and also identifying the limits
in their reductions.
Some of the incoming light to the surface of the solar cell will be reflected
and some will be blocked by the electrodes on the surface. The reflection can
be particularly problematic for silicon-based solar cells because the polished
surface of silicon is very reflective and can mirror a substantial portion of the
incoming light. The reflection of the surface of solar cells can be reduced by
covering the surface of the cell with an antireflective coating or by texturing
the surface. As will be discussed later, shadowing a solar unit, even a very
small portion of it, can have profound and disproportional impacts on the
efficiency of the unit. Furthermore, the electrodes on the surface of cells can
block the incoming light from penetrating the semiconductor and contribut-
ing to power generation.
We previously discussed that in solar cells the incoming light creates electron-
hole pairs. These pairs, in turn, when separated by the electric field in the p-n
junction, generate electricity. So the efficiency of a solar cell highly depends on
the creation and persistence of these pairs. However, these pairs can be recom-
bined eliminating their possible contributions to power generation. Therefore, it
is critically important to evaluate the mechanisms for the recombination of elec-
tron-hole pairs and minimize the possibility of the occurrence of this recom-
bination. This phenomenon can be characterized by two parameters, carrier
lifetime or diffusion length. These two parameters refer to the average time of
existence and the average traveled distance of the pairs from when they are cre-
ated until they are recombined, respectively. They can be in the order of 10−3 to
10−6 seconds and 50 to 500 μm, respectively, for silicon crystalline. They strongly
depend on the impurity in both the semiconductor material and the dopant as
well as imperfections in the crystalline structure of the semiconductor. They are
also very strong functions of the temperature of the cell.
The diffusion length is a very important design and performance param-
eter for solar cells. Note that when a photon is absorbed and creates an
electron-hole pair, the pair must travel to the electric field in the p-n junc-
tion. Therefore, the diffusion length determines the area that the produced
pairs can effectively contribute to power generation. Typically the thickness
of a solar cell should be in the order of the diffusion length of the semi-
conductor. A thicker cell will not improve power generation but rather will
adversely impact the efficiency because some photons will be absorbed far
away from the p-n junction where the produced pairs will have very little to
no chance of survival before they reach the electric field in the p-n junction.
On the other hand, it was discussed earlier that each semiconductor material
requires a certain thickness to fully absorb the incoming light. The combined
impact of this thickness and the diffusion length determines the suitability
of a semiconductor for solar cell manufacturing and the limitations in the
maximum efficiency they can achieve.
Solar Energy and Photovoltaic Solar Units 805

Other sources of losses include

• internal resistance of the cell

• imperfection in the semiconductor structure created during manu-
facturing processes
• slight electrical mismatch among cells and modules that causes
losses when cells are connected
• electric losses in connecting cables
• losses in auxiliary components such as the inverter

These losses will be covered later. Furthermore, note that the efficiency of a
PV module is typically lower than the efficiency of the cells that make up the
module. This is because when the cells are organized to form a module, there
are areas between the cells and between the cells and the frame that are left
uncovered by cells. While these unused areas are taken into account in deter-
mining the area of the module, they do not contribute to the power generation
of the unit. To evaluate the magnitude of this effect, a parameter called the
packing factor is defined as the ratio of the total area of the cells on the panel
to the total area of the panel (sum of both covered and uncovered areas).

11.2.4 Electricity Generated in Photovoltaic Solar Cells

So far we have learned about semiconductors and their unique properties as
well as the internal operation of solar cells primarily from the microscopic
point of view (at the atomic level). From now on we will mainly focus on the
macroscopic point of view of solar cells and how their microscope character-
istics can explain their macroscopic behaviors. In this section, we will dis-
cuss the characteristics of the generated electricity in solar cells. We will look
at how the generated power and the efficiency of cells can be determined.

11.2.4.1 Current-Voltage Curve of Solar Cells

Previously we learned how photons can create electron-hole pairs that are
separated in the electric field on the p-n junction. We also discussed how these
electric charges are collected by the electrodes on the two surfaces of the cell
to create electrical potential (voltage) that can power a load. In this section, we
will discuss how load resistance can influence the power generation of the cell.
The performance of electricity generating devices is conventionally charac-
terized by their current-voltage curve (also known as characteristic curve).
The current-voltage diagram (often referred to as the I-V curve) illustrates the
current drawn from a solar photovoltaic unit31 as a function of the voltage
measured between the two electrodes. This curve not only provides a detailed

It can be for a solar cell or module, which will be discussed later.

31
806 Power Plant Engineering

Light

Solar cell or panel Ammeter (I)

Variable
Voltmeter resistance
(V) (R)

FIGURE 11.29
Schematic of a setup to create a characteristic curve (I-V curve) of a solar cell by varying the
load’s resistance and measuring current and voltage.

understanding of the system behavior, that is the relationship between c urrent

and voltage, when connected to a load but can also be used to determine the
electricity generation by the system and its efficiency as well as the optimum
operational current and voltage. In this diagram, the current is a function of
the area of the cell. In order to eliminate this area dependency, sometimes the
current is normalized by dividing the current to the area of the cell. In this
case, the vertical axis is the current density with the unit of A/m2.
A current-voltage curve of a solar cell or panel can be easily created by two
simple multimeters, one as a voltmeter and the other as an ammeter (also known
as an ampere meter), and a variable electrical resistance as the load assembled
as shown in Figure 11.29. The I-V diagram can be drawn by changing the resis-
tance and recording the current and voltage for the given solar photovoltaic
system at the given solar irradiance and temperature of the experiment.
While using the resistive load is the most basic and least expensive method
to develop the I-V curve, using a source measure unit (SMU) (also known as
source-meter) can provide more data relevant to the performance of the solar
cell under investigation with higher accuracy (but at a higher cost). Most
SMUs can be programmed to create the I-V curve automatically.
Figure 11.30 shows an I-V curve for a typical solar cell. In this curve, two
points of interest are when the curve intersects the vertical axis (current) and
horizontal axis (voltage). The intersection of the curve and the voltage axis is
the maximum voltage that a cell can produce. This voltage can be measured
when the current drawn from the unit is zero. This is the current when the
circuit is open (equivalent to a load with infinite resistance), thus the name the
open-circuit voltage (VOC). Practically the VOC is measured by connecting a
voltmeter directly to the electrodes of the cell (with no load).32 The intersection

Because the resistance of a voltmeter is very large, connecting a voltmeter directly to an

electricity generating device will measure the VOC.

Solar Energy and Photovoltaic Solar Units 807

Isc
Current
Maximum power
point (MPP)
IMPP

Current (I)

Power

Voltage (V) Voc

VMPP

FIGURE 11.30
Current-voltage (I-V) and power-voltage curves for a solar photovoltaic power generating
device showing VOC, ISC, MPP, P MPP, VMPP, and IMPP.

of the I-V curve and the current axis represents the current when the r esistance
of the load is reduced to zero so it is called the short-circuit current (ISC). This
is the maximum current that the system can generate and can be measured by
directly connecting an ammeter to the two electrodes of the system.
A close observation of the I-V curve in Figure 11.30 indicates that while the
voltage varies with the load, the current is nearly constant for most of the
voltage range. The fact that solar cells can maintain an almost constant flow
of current regardless of the load is a unique aspect of solar cells operation.33
However, at a certain voltage the current starts to rapidly decline.
Like any other power generating device, here we are mostly interested in
the magnitude of electrical energy generated in the solar units. Recalling the
following equation to determine the power as a function of the current and
voltage, the generated power curve can be easily determined from the I-V
curve (Figure 11.30).

P = Current × voltage = IV (11.6)

where P represents power (W), I is current (in A or Amp), and V is voltage (V).
As expected while at the open-circuit voltage and short-circuit current the
voltage and current are maximum, respectively, the generated power at these
two points is zero. In the I-V curve, this starting with zero power generation
and returning to zero again indicates that there must be a point where the
power generation is maximum. In this curve starting from the short-circuit
point, the voltage increases while the current is nearly constant (Figure 11.30).
33 In later chapters, we will see that for example batteries are constant voltage devices and for
fuel cells the current continuously varies with voltage.
808 Power Plant Engineering

Ir1

Ir1> Ir2 > Ir3

Current (I)
T1= T2 = T3
Ir2

Ir3

Voltage (V)

FIGURE 11.31
Impacts of solar irradiance on I-V curve.

This means the power almost linearly increases as a function of the voltage.
This trend continues until the point where the current starts to reduce with
increase in voltage. With the sharp decrease in the current, the increase in
the power quickly stops and it reduces rapidly. The point with the maximum
power generation is called the maximum power point (MPP), and its cur-
rent, voltage, and power are shown as IMPP, VMPP, and PMPP, respectively (some-
times the subscript MP is used instead of MPP) (Figure 11.30). Note that in
Figure 11.30 the power at the maximum power point is equal to the area of the
rectangle shown by dashed line. Note that the current generated by a solar
cell depends on the size of the cell but the voltage is independent of the size
and is only a function of the material and operating conditions of the cell.
At this point let us evaluate the impacts of the incoming light intensity and
the cell temperature on the I-V curve of a solar cell. The short-circuit cur-
rent is directly proportional to irradiance. While the reduction in irradiance
reduces the open-circuit voltage, the impact is not significant34 (Figure 11.31).
For example, if we double the light irradiance, the general shape of the I-V
curve will remain unchanged. However, the height of the horizontal section
of the curve will nearly double and the VOC will slightly increase.
The open-circuit voltage is inversely proportional to the cell temperature.
If the cell temperature decreases, the VOC increases linearly (Figure 11.32).
However, the variation of the short-circuit current with the temperature of
the cell is typically negligible. The deterioration of the performance of a solar
cell at higher operation temperatures can be explained based on the rate of
the recombination of electron-hole pairs. The higher the cell temperature, the
faster the rate of the recombination is. This more rapid rate of recombination
will decrease the carrier lifetime and diffusion length, which in turn reduces
the voltage of the cell.
In summary, both the solar irradiance and operating temperature of a
solar cell have significant impacts on the performance of the system. These

The change in the VOC is logarithmically proportional to irradiance.

34
Solar Energy and Photovoltaic Solar Units 809

Current (I)
T3 T2 T1 T < T < T
1 2 3

Ir1= Ir2 = Ir3

Voltage (V)

FIGURE 11.32
Impacts of cell temperature on I-V curve.

dependencies influence the operation of solar photovoltaic systems and how

they are tested.
We know that the solar irradiance and the operating temperature of solar
cells vary considerably both daily and seasonally. The I-V curves presented
in Figures 11.31 and 11.32 indicate that the maximum power point of a solar
unit changes with these two parameters. To ensure that the system is always
operated around its maximum power point regardless of the load, the solar
irradiance, and the operating temperature, many units are equipped with a
maximum power point tracking circuit. This circuit automatically adjusts
the output current and voltage so the system operates close to the MPP all
the time.
Another implication of these variations is that in order to be able to com-
pare the performance of various solar units, they need to operate at the
comparable irradiance and operating temperature. This is more important
with today’s international trades. We need to have uniform standard condi-
tions to test and present the performance of solar units. These conditions are
called the standard test conditions (STC) and they include the following
conditions:

• solar irradiance: 1000 W/m2

• operating temperature: 25°C (77°F)
• air mass: AM 1.5 sunlight

The solar radiation with these specifications is referred to as 1 (one) Sun

(or 1 full sun). Note that the solar irradiance determines the intensity of the
incoming light and the air mass determines the spectrum of the light. Since
solar radiation is variable by nature, the standard test conditions must be
810 Power Plant Engineering

recreated in the laboratory environment where the intensity of light, its

spectrum, and the cell temperature can be readily controlled. To recreate
an indoor light source that can mimic the natural solar light, typically the
xenon, halogen, or tungsten lamps (the former being much more popular)
and more recently light-emitting diodes (LEDs) with or without filters are
used. These artificial light generating units are called solar simulators. The
most important factors that impact the appropriate performance of solar
simulators are their spectral match to the target light, and their ability to
uniformly maintain this match through the entire surface of the cell under
investigation during the entire time period of the experiment. Sometimes
to improve the accuracy of the artificial light, the correction procedure is
applied to reduce spectral mismatch. These factors are standardized via
ASTM E927 or IEC 60904-9.35
The maximum power generation (the power rating) at the standard test
conditions is referred to as the peak power and is expressed with the unit
of watt-peak (WP). Notice that the power generation in the standard test con-
ditions does not necessarily correspond to the actual power generation by
the unit. The instantaneous power generation can be more and less than the
peak power rating of a unit.
Sometimes for some solar systems, a specification sheet is provided
instead of or along with an I-V curve by manufacturers. This specification
sheet provides IMPP, VMPP, ISC, VOC, and P MPP as well as the physical charac-
teristics of the module including its weight and dimension. Note that all
these parameters are referring to the DC power directly from the PV mod-
ule and do not take into account the conversion of DC power to AC power.
Furthermore, it can include some parameters to indicate how the cell per-
formance parameters are affected by the operating temperature of the unit.
These parameters include the temperature coefficient of the open-circuit
voltage, temperature coefficient of the short-circuit current, and the tem-
perature coefficient of the maximum power. They can be expressed with
units of V/°C, A/°C, and W/°C, respectively. Alternatively, they may be
presented as percentage of change per unit of temperature change (%/K)
(this topic will be discussed later). A simple internet search for “solar panel
spec sheet” can provide you with many samples of specification sheets for
a variety of solar panels.
Note that these values are not reflecting the actual performance of the solar
panel when it operates under real-world conditions. Other than the variation
in the incoming solar irradiance and the cell temperature, the losses in the
auxiliary systems such as wiring losses and the inverter loss (Section 11.2.5.2)
as well as other miscellaneous losses such as dust covering the surface of the

The ASTM E927 standard is titled as “Standard Classification for Solar Simulators for Electrical
35

Performance Testing of Photovoltaic Devices” which was last revised and adapted in 2019.
The International Electrotechnical Commission counterpart is IEC 60904-9 (Photovoltaic
devices – Part 9: Solar simulator performance requirements).
Solar Energy and Photovoltaic Solar Units 811

panel further reduce the panel efficiency. These losses may add up to a sig-
nificant loss, between 10% and 20% of the panel rating, and should be taken
into account in sizing of solar photovoltaic systems.

Example 11.10
A solar PV module specification sheet lists the open-circuit volt-
age, short-circuit current, and maximum power as 22 V, 8 A, and
130 W, respectively. The temperature coefficient of these parameters is
−0.3%/°C, 0.04%/°C, and −0.4%/°C, respectively. Determine the open-
circuit voltage, short-circuit current, and maximum power if the module
operating temperature is 55°C.
Solution
Note that the values that are reported in the specification sheet are all
for STC. So the temperature difference is measured in reference to 25°C.

∆VOC VOC,2 − VOC,Ref

= = −0.003VOC,Ref
∆T T2 − TRef

VOC,55 ° C − VOC,25° C
= −0.003VOC,25° C
55 − 25

VOC,55° C = −0.003 × 22 ( 55 − 25 ) + 22 = 20.02 V

IOC,55° C = 0.0004 × 8 ( 55 − 25 ) + 8 = 8.096 A

POC,55° C = −0.004 × 130 ( 55 − 25 ) + 130 = 114.4 W

11.2.4.2 Connecting Solar Cells

So far we learned that the current and voltage generated by a solar cell
depend on the type of the semiconductor used to manufacture the cell (and
its quality), the intensity of the incoming light and its spectrum, the size of
the cell, and the load connected to the cell. Considering these factors, a typi-
cal single solar cell can produce a very small amount of power. For a typical
single silicon solar cell, the generated current and voltage are in the order
of 8 A and 0.5 V. This is equivalent to a third of the voltage of an AA battery
and the power of about three AA batteries. Clearly, this is not sufficient for
a majority of applications, and solar cells must be interconnected to increase
their power generation capacity to a reasonably high level. Like any other
electrical device, solar cells can be connected in parallel or series connec-
tions. In this section, we will see how these connections will change the
current, voltage, and power generation of connected cells.
When solar cells are connected in series, it is called a series string.
Figure 11.33 illustrates this configuration along with the I-V curves of a
812 Power Plant Engineering

One cell Two cells Three cells

V1 V2 V3

Current (I)
I I

V= V1 + V2 + V3
Voltage (V)

FIGURE 11.33
Solar cells connected in series and I-V curves of a single cell and when two or three similar cells
connected in series.

single cell and when two or three similar cells are connected in series. In this
connection, the current through all the cells remains the same but the total
voltage is equal to the sum of the voltage of all cells, as the following equa-
tions indicate. Thus, this configuration is used when an increase in voltage is
desirable. Note that if the cells are not similar, while the total voltage will be
still the sum of the all voltages, the current will be primarily determined by
the lowest current produced by the cells.

I = I1 = I 2 =  = I n (11.7)
m= n

V = V1 + V2 + …+ Vn = ∑V (11.8)
m= 1
m

In a parallel configuration, while voltage is the same for all cells, the total
current is equal to the sum of the currents generated by all cells (equations
below). Therefore, this configuration is used when an increase in current is
desirable. Figure 11.34 illustrates this configuration along with the I-V curves
of a single cell and when two or three similar cells are connected in parallel.
Note that if the cells are not similar, while the current will be still the sum
of all the currents, the voltage will be primarily determined by the lowest
voltage.

V = V1 = V2 =  = Vn (11.9)

m= n

I = I1 + I 2 +  + I n = ∑I (11.10)
m= 1
m

As noted earlier, a single solar cell produces a small voltage, so it is ideal to be

able to increase the voltage by connecting several solar cells in series. A series
string of typically up to 72 cells (usually 60 cells) is placed in an aluminum
Solar Energy and Photovoltaic Solar Units 813

I2
Three cells

Current (I)
Two cells
I3

One cell
I= I1 + I2 + I3
V Voltage (V)

FIGURE 11.34
Solar cells connected in parallel and I-V curves of a single cell and when two or three similar
cells connected in parallel.

FIGURE 11.35
A solar module (panel).

frame and covered by a protective cover on the front, and a backing plate
to form an individual unit called a solar module or simply a solar panel
(Figure 11.35). The size of solar panels is usually about 1.5 m2 (or sometimes
larger) with the peak power output of between 120 and 300 W.
The solar modules can be connected in series, parallel, or a combination
to form a system of modules with a desirable output, which is called a solar
array (Figure 11.36). This collection of solar panels (or a solar array) is what
you can see on the rooftop of residential applications.
814 Power Plant Engineering

FIGURE 11.36
A solar array.

Example 11.11
Five series strings each containing four similar solar cells are connected
in parallel. If each cell has the current and voltage of 8.5 A and 0.55 V,
respectively, determine the current, voltage, and power generation of the
entire system.
Solution
Each series string: Istring = 8.5 A and Vstring = 0.55 × 4 = 2.2 V
Entire system: Isystem = 5 × 8.5 = 42.5 A and Vsystem = 2.2 V

Psystem = 2.2 V × 42.5 A = 93.5 W

Pcell = 8.5 × 0.55 = 4.675 W

Psystem = ( 5 × 4 ) × 4.675 = 93.5 W

Example 11.12
Two solar panels are connected once in series and once in parallel.
The VOC and ISC of the cells are given as follows. Determine the VOC and
ISC when they are connected in series and parallel configurations.

VOC,1 = 0.55 V

I SC,1 = 8 A

VOC,2 = 0.5 V

I SC,2 = 7 A
Solar Energy and Photovoltaic Solar Units 815

Solution
Series: (Note that in a series configuration, the short-circuit current is
dictated by the minimum of the two short-circuit currents.)

VOC = VOC,1 + VOC,2 = 1.05 V

I SC = Minimum ( I SC,1 and I SC,2 ) = 7 A

Parallel: (Note that in a parallel configuration, the open-circuit voltage is

dictated by the minimum of the two open-circuit voltages.)

I OC = I OC,1 + I OC,2 = 15 A

VSC = Minimum (VSC,1 and VSC,2 ) = 0.5 A

11.2.4.3 Effects of Shadow on Performance of Solar Systems

Before we start to discuss the efficiency of solar systems, it might be appro-
priate to evaluate the effects of shading on the performance of solar panels
and arrays. Let us assume we have a set of parallel solar cells. Shading a half
of the cells in the set will approximately reduce the generated power by half
compared to that of the unshaded set. That is because while the total current
roughly reduces by half, the voltage remains mostly unchanged (remember
that the open-circuit voltage of a solar cell is not significantly affected by the
light intensity and the cell size). In this case, the percentage of power loss is
nearly directly proportional to the number of cells in shadow. Basically in
this case, the shaded cells will not contribute to the total current while the
illuminated ones will be almost unaffected and continue to generate current.
Now let us assume a set of two solar cells that are connected in series.
What will happen if one of the solar cells is shaded? Intuitively your answer
might be: the system power generation will reduce by half compared to what
it could generate when both cells were illuminated. It turns out that when
even one cell is shaded in a set of many cells connected in series, the power
generation drastically reduces. Remember that in solar cells in series, the cur-
rent passing through all cells is the same. Basically the current of the entire
system will be dictated by the cell with the lowest current. In this case, the
shaded cell with the small current generation will severely limit the current
of the entire block and substantially reduce the power generation of the sys-
tem. This effect can also increase the temperature of the shaded cell signifi-
cantly. This means when designing and installing solar photovoltaic systems,
a careful attention should be paid to avoid partial shading of the system. To
lesser extents, the partial covering of solar modules by dust, dirt, or snow can
create similar problems.
To eliminate the adverse effect of shading in solar cells connected in
series, a bypass diode can be used. If a diode is placed over the affected cell,
it can provide a bypass for the current to avoid the severe limiting impact
816 Power Plant Engineering

of the low current of the shaded cell. So in this case, only the power of the
shaded cell will be lost and the rest of the system will remain intact. Due
to the cost as well as manufacturing and operation problems, the bypass
diodes are not mounted on each cell; rather, they are typically installed in
the module level.

Example 11.13
Five series strings each containing four similar solar cells are con-
nected in parallel. Each cell has a current and voltage of 8.5 A and 0.55 V.
Determine the current, voltage, and power generation of the entire
system if one of the cells is totally shaded.
Solution
One of the five legs of the parallel cells will not generate any power.
Each series string: Istring = 8.5 A and Vstring = 0.55 × 4 = 2.2 V
Entire system: Isystem = 4 × 8.5 = 34 A and Vsystem = 2.2 V

Psystem = 2.2 V × 34 A = 74.8 W

Pcell = 8.5 × 0.55 = 4.675 W

Psystem = ( 4 × 4 ) 4.675 = 74.8 W

11.2.4.4 Efficiency of Solar Photovoltaic Units

We know that the efficiency of a power generating unit is directly propor-
tional to how effectively the input energy is converted to the desirable form of
energy. The efficiency determines the amount and the cost of the consumed
fuel in conventional power plants. However, in solar photovoltaic units the
input energy, i.e., solar radiation, is free. So you may be wondering why we
care about their efficiency. The efficiency of a power generation unit is also
proportional to the size of the unit, in this case, the area of the solar modules,
required to generate the given amount of electricity. The size of the unit not
only is proportional to the material needed to manufacture the unit but also
the cost of the balance of the plant (refer to Section 11.2.5), such as support
structure, as well as the required land. We will discuss about these param-
eters more in depth later when we cover the cost of the solar units. For now, it
suffices to realize that the efficiency of solar units is important. The efficiency
of a solar photovoltaic unit is defined as follows:

Generated electricity I × VMPP

ηSolar unit = = MPP (11.11)
Incoming solar energy Pin
Solar Energy and Photovoltaic Solar Units 817

In this equation, the generated electricity and incoming solar energy are
typically expressed per unit of area. In previous sections, we learned that
the generated power in a solar unit is a function of many factors including
the solar irradiance, light spectrum, cell temperature, and load. Therefore,
to make the reported efficiencies for various units universally uniform and
comparable, they are always determined at the STC and for the maximum
power point. The following example will demonstrate how the efficiency of a
solar panel can be determined.

Example 11.14
A real-world solar panel manufacturer claims that the efficiency of its
solar panels is about 16%. Evaluate this claim if the voltage and current
at the maximum power point for the panels are 17.6 V and 7.39 A, respec-
tively. The size of the panel is 0.608 m × 1.367 m. All the given values are
at the STC.
Solution
PMPP = 17.6 × 7.36 = 129.54 W

This is the peak power generation per panel. The next step is to deter-
mine the power per unit of area of the panel.

A = 0.608 × 1.367 = 0.8311 m 2

PMPP 129.54
= = 155.8 W/m 2
A 0.8311

This is the power that one square meter of solar cell produces if the inten-
sity of the incoming light is 1000 W/m2 (at the STC), so the efficiency of
the solar panel is

155.8
ηSolar unit = = 0.1558 ≈ 16%
1000

This means as long as the given characteristics of the solar panels are
accurate, the claim of the manufacturer is valid.
Note that again this is not the actual efficiency of the solar panel when
it operates under real-world conditions since many real-world losses
are not taken into account in its determination. To take these losses into
account, an external efficiency of typically between 80% and 90% is used
in the sizing of solar panels.

Example 11.15
The best efficiency for the commercially available solar panels is about
24%. Determine the required area of solar panels to generate 1 kW peak
power using these panels.
818 Power Plant Engineering

Solution
Generated electricity per area
ηSolar unit = = 0.24
1000

Generated electricity per area = 240 W/m 2

Required electricity 1000

Required area = = = 4.2 m 2
Generated electricity per area 240

Example 11.16
The typical efficiency of the commercially available solar panels is about
16%. Determine the required area of solar panels to generate 1 kW peak
power using these panels. Compare the result with the answer for the
previous example.
Solution
Generated electricity per area
ηSolar unit = = 0.16
1000
Generated electricity per area = 160 W/m 2

Required electricity 1000

Required area = = = 6.25 m 2
Generated electricity per area 160

This type of solar panels requires much more area for the same power
generation compared to the solar panels in the previous example.
However, since the per-area cost of this type is much cheaper than that
of the previous type, overall this type might be more economical.

Example 11.17
The estimated installed global solar photovoltaic panels in 2018 were 505
GW. Assuming the average efficiency of 17%, determine the total area of
these panels.
Solution

Required electricity 505 × 109

Area = = = 3 × 109 m 2 = 3000 km 2
1000 × ηSolar unit 1000 × 0.17

This is less than the area of Rhode Island (at about 4000 km 2). This is
about 0.03% of the total area of the U.S.

Example 11.18
As discussed in Section 11.2.1, the efficiency of early solar cells was very
low, in the order of 1%. Determine the required cell area to power a house
that consumes 10 kW using these early solar cells.
Solar Energy and Photovoltaic Solar Units 819

Solution

Required electricity 10, 000

Area = = = 1000 m 2
1000 × ηSolar unit 1000 × 0.01

As expected the required area is unreasonably high.

11.2.4.5 Fill Factor of Solar Photovoltaic Cells

Previously we learned that while the maximum current and voltage are at
VOC and ISC, respectively, the current and voltage that provide the maximum
power are lower than VOC and ISC. The parameter that related the short-circuit
current and open-circuit voltage to the maximum power is called the fill
factor (FF). The fill factor is defined as the ratio of the maximum power to the
product of the open-circuit voltage and short-circuit current.

PMPP I × VMPP
FF = = MPP
I SC × VOC I SC × VOC

Using this parameter, the efficiency of a solar unit can be defined as

PMPP FF × I SC × VOC
ηSolar unit = =
Pin Pin

The fill factor can be expressed as the ratio of the areas of two rectangles
in the I-V curve (Figure 11.37). The fill factor is equal to the ratio of the area of
the rectangle with the sides of IMPP and VMPP (the area of OADEO) to the area
of the rectangle with the sides of ISC and VOC (the area of OBCFO). The fill fac-
tor is an indication of the quality of the material and the manufacturing pro-
cess. While for high-quality solar cells the value of the fill factor can exceed
0.8, it can be as low as 0.4 for lower quality solar cells.

ISC MPP
F C
E
D
Current (A)

O Voltage (V) A B VOC

FIGURE 11.37
Fill factor definition on I-V curve.
820 Power Plant Engineering

Example 11.19
Determine the fill factor for a solar panel with the following I-V curve
(Figure 11.38).
Solution
I MPP = 7.4 A

VMPP = 17.5 V

I SC = 8 A

VOC = 22 V

I MPP × VMPP 17.5 × 7.4

FF = = = 0.736 or 73.6%
I SC × VOC 8 × 22

Example 11.20
A solar module has the short-circuit current of 8 A and the open-circuit
voltage of 30 V. Determine the maximum generated power for two fill
factors of 0.4 and 0.75.

PMPP = FF × I SC × VOC

5
Current (A)

0
0 10 20

Voltage (V)

FIGURE 11.38
I-V curve for Example 11.19.
Solar Energy and Photovoltaic Solar Units 821

PMPP,1 = FF × I SC × VOC = 0.4 × 8 × 30 = 96 W

PMPP,1 = FF × I SC × VOC = 0.75 × 8 × 30 = 180 W

This shows how impactful is the fill factor in the power generation of the
module.

11.2.4.6 Modeling of Solar Photovoltaic Cells

Being able to express the behaviors of solar cells in the form of mathematical
equations is a very powerful tool for both understanding of their internal
operation and for their numerical modeling. Solar cells are typically modeled
in the form of an equivalent circuit, which includes a current source (with
the generated current proportional to light intensity), a diode, and a parallel
resistant that are connected with another resistant in series (Figure 11.39).
The two parallel and series resistances, which are sometimes referred to
as the parasitic resistances, are called the parallel or shunt resistance (RSH)
and series resistance (RS), respectively. The series resistance primarily repre-
sents the losses in the wiring system and electrical contacts. A poor solar cell
design and manufacturing can contribute to high values for this resistance.
The shunt resistance is mainly due to manufacturing defects from the low-
quality manufacturing processes of semiconductor crystal, which causes the
generated current in the cell to bypass the external circuit. These losses are
sometimes referred to as the current leakage across the p-n junction. This
equivalent circuit clearly indicates that the low values of RS and the high
values of RSH are desirable. It can be shown that the value of RS is equal to the
slope of the I-V diagram at the open-circuit voltage and the value of RSH is
equal to the slope of the I-V diagram at the short-circuit current. The creation
of the I-V curve using the measurements for a given solar cell or module and
the determination of RSH and RS can be used as a diagnostic tool to identify
the losses in the unit and ways to improve its performance.
The development of a mathematical representation of this model requires
a clear understanding of a diode and its mathematical formula (the Shockley
diode equation), which is beyond the scope of this text. It suffices to say
that using this model it can be shown that the current generated by a cell

Power
RSH Diode source
RS

FIGURE 11.39
Schematic of a typical solar cell equivalent circuit including a current source (from photovol-
taic phenomenon), a diode, and two resistances.
822 Power Plant Engineering

is linearly proportional to the incoming light intensity. On the contrary, the

open-circuit voltage is only logarithmically proportional to the incoming
light intensity while it is linearly dependent on the cell temperature.

11.2.5 Balance of Plant for PV Systems

Before we start our discussion on sizing PV units, it is useful to get familiar
with some components of PV installations besides PV modules and arrays.
We discussed that solar photovoltaic units can directly convert light to elec-
tricity. However, in order for PV units to function, they need some auxiliary
equipment to support their performance. These components are sometimes
referred to as the balance of plant (BOP) or the balance of system (BOS). The
supporting components are substantially small in number, size, and some-
times cost compared to other power generation technologies. Nevertheless,
they are critical for the proper deployment of these units for the majority of
applications. The major auxiliary components are as follows:

• batteries to store electricity

• charge controller to control the battery charging process
• inverter to convert DC power to AC power
• wiring systems to transfer electricity from PV to other components
and to consumers
• electrical monitoring and protection systems to ensure the safe
operation of the array
• mounting systems to physically support modules’ installation
• cooling and sun tracking systems

Note that not all these subsystems are required for a given PV system for a
specific application.

11.2.5.1 Batteries and Charge Controllers

Batteries are used to store electricity when electricity generation exceeds con-
sumption so they can supply electricity when there is no generation or gener-
ated electricity is less than demand. Batteries are devices that store electricity
via electrochemical reactions. The different types of batteries and their inter-
nal operation are discussed in Chapter 16. Here, we will briefly review those
aspects of batteries that are directly relevant to PV units.
As explained before, the grid-connected PV arrays practically use the grid
as a giant storage system. So they are not typically equipped with batteries.
However, if the solar system is intended to provide backup power, they need
to have a battery storage system. Also with the introduction and increasing
use of the time-of-day or time-of-use rate by utilities, it may financially make
sense to add batteries to PV units to avoid the high cost of electricity during
Solar Energy and Photovoltaic Solar Units 823

peak-load periods. In contrast, for off-grid PV units and those used to pro-
vide backup power, a battery storage system must be a part of the system.
While currently lead acid batteries are the dominant type for PV
applications, lithium ion batteries are gradually being introduced to this
market. Both sealed-type and flooded-type lead acid batteries are used for
this application (different types of batteries will be discussed in Chapter 16).
The stored energy-to-mass ratio is an important factor for determining the
location of the battery bank. Since the bank is typically a heavy component,
it is not usually installed on the roof or attic of buildings to avoid adding an
excessive weight load to building structures. Instead battery banks are com-
monly located in basements or ground floors.
Another component that always accompanies a battery bank is a charge
controller, also known as a battery regulator or charge regulator. As the
name implies, a charge controller controls the level of charging or discharg-
ing of a battery bank. Both excessive charging and discharging a battery
bank can reduce battery life. Overcharging a battery can also cause signifi-
cant safety problems. Charge controllers are relatively inexpensive electronic
components.
Previously we learned that power generated by a PV system depends on the
load connected to it and is maximum at the maximum power point (MPP).
Many PV solar arrays are equipped with an electronic component called the
maximum power point tracking (MPPT) device that makes sure the PV unit
always operates at or near MPP. Sometimes the maximum power point track-
ing system and the charge controller are integrated into a single system.
Earlier we discussed about a bypass diode to reduce the negative impact of
partial shading of an array. Another diode that is typically used in PV units
is called the blocking diode. This diode is used to stop the current from flow-
ing to PV modules when they are not producing any power, for example, dur-
ing night time. It should be noted that batteries have relatively low efficiency.
So it is preferable to consume the generated power directly from a PV array
(if possible) rather than storing it in a battery bank and then using it.

11.2.5.2 Inverters
While some appliances can be designed to operate with DC power, such as
some pumps and fans, most electric devices need AC power to operate. This
means DC power that is either generated in PV modules or drawn from a
battery bank should be first converted to AC power before being supplied to
consuming devices. An inverter is certainly required when generated power
is sent to the utility grid.
Inverters are available in a wide range of sizes from large inverters that
can support a big solar farm to medium size for solar arrays on residential
and commercial buildings to very small units that can support individual
panels. The latter type, which is sometimes referred to as micro inverters, is
now the most popular one in building-mounted PV units. The inverter cost
824 Power Plant Engineering

is a significant portion of the total cost of a PV array. Depending on the size

of the unit, the inverter cost can be from one-fifth to half of the total cost.
The larger the unit is, the lower the share will be. Sometimes a maximum
power point tracking system and an inverter are integrated into a single sys-
tem. Similarly inverters are typically equipped with a monitoring system to
ensure the output power is at an appropriate voltage and frequency. This
monitoring system is critical for grid-connected PV arrays to ensure that the
voltage, frequency, phase, and waveform of generated power match those of
the grid. This is called synchronization process. The monitoring system also
disconnects the PV system from the grid whenever it is required, such as
when there is no power in the grid. Inverters are very efficient devices with a
typical efficiency of above 95%.

11.2.5.3 Wiring Systems
The wiring system provides electrical connections among modules within
an array and between the array and the inverter, load, and grid. In building-
mounted PV units the generated power in the PV array is connected to the
existing wiring of the building via the main electrical panel and does not
require a dedicated distribution system. In grid-connected units, a bidirec-
tional electric meter is also needed to measure both the imported power
from the grid and the power exported to the grid. This measurements are
required to determine the annual financial dealing with the utility (refer to
Section 11.2.6). In the U.S., all wiring systems must comply with the National
Electric Code (NEC), article 690.

11.2.5.4 Mounting Systems
A solar PV mounting system is a series of mechanical components that keep
PV modules in place and connect them to a main support structure, either
a building structure or a concert foundation (in ground-mounted systems).
For building-mounted units, regardless of their specific mechanism, they
should be minimally intrusive and should not compromise the integrity of
the building structure. Furthermore, when a solar array is added to an exist-
ing building, the impacts of the added weight of the system on the structure
should be evaluated to ensure the building can withstand the added load.
Whenever outer surfaces of the building are penetrated, a proper waterproof-
ing technique should be used to protect the building from moisture damage.
Ground-mounted units are typically less challenging because they are
typically designed for the unit and are independent of any existing structure
and the weight management is less complicated. In this case, modules can be
installed on a rack or on a single post. While the former systems are much
more common, the latter systems can be used with sun tracking systems. Note
that ground-mounted units have the added advantages of relatively easier con-
trol of the tilt angle as well as the relative ease of system maintenance.
Solar Energy and Photovoltaic Solar Units 825

11.2.5.5 Other Components
Solar modules need to be exposed to maximum solar radiation possible
to generate maximum possible power; however, this exposure has an
unintended consequence, i.e., heating of modules. With increase in the
temperature of modules, their efficiency reduces and the rate of cell deg-
radation increases. To address this problem, various active or passive cool-
ing techniques can be used, including forced air circulation, forced water
circulation, water spray, and water immersion cooling.36 Sometimes the
removed thermal energy is used for other purposes in combined heat and
power (CHP) systems.37 These technologies are typically used for large
units particularly when light concentration systems are used (refer to
Section 11.2.12.2).
In order to maximize the exposure of solar units to solar radiation, some
units are equipped with sun tracking systems. 38 These units can be catego-
rized according to the number of axes they have, namely one-axis or two-
axis systems. A higher number of axes increases the received solar radiation
at the expense of higher costs of the system.

11.2.6 Cost of Solar PV Units and Financial Models

In this section, we will take a look at some economic aspects of solar PV
systems. Our focus will be primarily on the cost of PV units and financial
models to exchange generated solar electricity from PV units with utilities in
residential and commercial sectors (but not utility level power generation).

11.2.6.1 Cost of Solar PV Units

The cost of any power generation unit can be categorized into initial or capi-
tal costs and operating costs. Operating costs include fuel cost, maintenance
costs, and fixed costs. For PV systems, the fuel cost is zero and the mainte-
nance cost is typically very low. Nowadays manufacturers of typical com-
mercial PV modules guarantee that their modules can generate at least 95%
and 85% of their rated power when the module is new and after 25 years,
respectively. However, there are some other operating costs such as cleaning
modules to remove dust and dirt from their surfaces. The fixed costs (also
known as soft costs) are associated with tax, insurance, permits, etc. They are
becoming a major portion of the total cost of systems especially with steady
reduction in the cost of other components.

36 Siecker, J., K. Kusakana, and B.P. Numbi. “A review of solar photovoltaic systems cooling
technologies.” Renewable and Sustainable Energy Reviews 79 (2017): 192–203.
37 Jia, Y., G. Alva, and G. Fang. “Development and applications of photovoltaic–thermal systems:

A review.” Renewable and Sustainable Energy Reviews 102 (2019): 249–265.

38 Nadia, A.L.R., N.A.M. Isa, and M.K.M. Desa. “Advances in solar photovoltaic tracking

systems: A review.” Renewable and Sustainable Energy Reviews 82 (2018): 2548–2569.

826 Power Plant Engineering

The capital cost of a solar PV unit can be divided to the cost of PV modules
and the costs of other components. The latter can be a significant portion
of the total cost. Particularly with recent reduction in the cost of PV modules,
the cost of the rest of the system can account to over a half of the total cost.
The initial cost of PV systems can be divided to the area-dependent costs and
area-independent costs. Some of the area-dependent costs are

• PV modules
• land (for ground-mounted units)
• foundation
• module support structure

Some of area-independent costs are

• inverter
• battery bank and charge controller
• wiring
• connection to the grid
• electrical protection devices
• metering and monitoring devices

When we are talking about the capital costs of PV units, it should be always
remembered that due to their low utilization factors, these units are opera-
tional only for a few hours a day. Therefore, while the initial cost of PV units
is expressed per peak watt, their actual cost is much higher. So when com-
paring various power generation technologies, it is more meaningful to com-
pare the cost of generated power ($/kWh) rather than the capital cost ($/kW).
Historically the cost of PV modules has continuously reduced. The capital
cost of commercial solar cells was over $200 per peak watt in the late 1950s.
By the mid-1970s, this reduced by about ten folds. By the early 1980s, the
solar module cost reached $10 per peak watt. In the early 2010s, the cost of PV
modules was reduced by a half in just a couple of years. Currently this cost is
as low as $0.50/Wp. The cost of some other components such as inverters has
also reduced, while others have remained relatively stable such as mounting
and support systems.
So far much of PV cell cost reductions have been achieved by lowering
the manufacturing costs. But this reduction has slowed down and new
approaches are being pursued in using new materials (much more on this
topic is discussed later in this chapter). The current dominant strategy is to
install relatively low-efficiency inexpensive PV modules rather than more
expensive but more efficient modules. But this may change in future.
Overall, all these cost reductions have helped to increase the utilization of
PV units in a variety of applications. In many countries, they can compete
Solar Energy and Photovoltaic Solar Units 827

with fossil fuel-based electricity generation units with the help of govern-
ment incentives. But in tens of countries, they have reached grid parity. That
means the price of electricity from PV modules is equal or less than that of
electricity from conventional power plants even without incentives.

11.2.6.2 Financial Models for Exchanging Generated

Solar Electricity with Utilities
It was noted that government financial incentives are playing a crucial role
in promoting solar PV units. For grid-connected units powering commercial
and residential buildings, these incentives are typically offered in the form of
financial models for exchange of generated electricity with the utility. Some
of more common models will be discussed in this section. Note that all these
discussions are for grid-connected PV units. For off-grid units, the owner has
no relation with the utility.
There are currently several established financial models for the relationship
between the owner of a residential or commercial building that is equipped
with solar PV units and the utility that traditionally provides power for the
building. The following list represents the most common models currently
being used:

• net metering
• remote metering
• feed-in tariff
• power purchase agreement

In all these models, a PV unit generates electricity that is used in a building.

When the produced energy is more than the needs of the building, the excess
energy is sent to the grid managed by a utility. When the generation is not
sufficient to cover the building needs, power is received from the grid. These
models (except the power purchase agreement model) just differ on how this
exchange of power between the building and the utility is accounted for and
financial gains and losses are determined.

11.2.6.2.1 Net Metering
In this model the building or the site owner makes the investment on the
design, purchase, installation, and operation of the PV system and generates
electricity. After the building consumes its needs, the excess electricity is sold
to the utility at the retail price. Also, the needed electricity for the building is
purchased at the retail price. The balance evaluation is typically done annu-
ally, which determines the building’s annual utility bill based on the credit
received from selling electricity and the charge for the electricity pulled from
the grid. Note that in a traditional market, the utility purchases electricity at
a wholesale price, which is much lower than the retail price. So the provided
828 Power Plant Engineering

incentive in this model is that the building owner can sell the power at the
price much higher than what was possible otherwise. Also, the annual bal-
ance helps to even out high electricity production in summer with low power
generation in winter. So the building does not need to meet the daily load for
everyday of a year but just the daily annual average. Basically a credit from
1 month can roll over to cover the expenses in another month. The implemen-
tation of this model is relatively simple and just need a bidirectional meter to
keep track of the exported electricity to the grid and the imported electricity
from the grid. If annual credits and charges are equal, they cancel out each
other.39 However, note that the owner also pays for a connection fee to the
utility to provide access to the grid and the grid maintenance. You may ask,
“is it possible to make money if you install a large enough PV array?”. The
answer is typically no. The amount of power one can produce in this model
is limited to the annual consumption of the building. This depends on the
laws of a specific state or country. Sometimes one can generate a little more
than what consumes, say 10% more. If a building produces more than what
is allowed, the excess power can be sold to the grid but at the wholesale price
and not the retail price. There are many varieties of this model that are being
implemented in different states and countries. Due to the high cost of main-
taining the two-way interconnection between the house and the grid as well
as the loss of revenue because of local power generation, utilities are claiming
that this model is not financially sustainable.
A derivative of the net metering model is called the remote net metering
model. The only difference between the two models is that in the remote net
metering model more than one building can be in the same account. That
means the credit for generating solar electricity in one building that exceeds
the consumption of the building can be used to offset the electricity bill of a
different building owned by the same person or company.

11.2.6.2.2 Feed-in Tariff Model

In the feed-in tariff (FIT) model while the building owner purchases electric-
ity from the utility at the retail price, the excess electricity is sold to the utility
at a higher price compared to the retail price. This higher price is guaranteed
for several years (typically up to 25 years) and then gradually the provided
incentive reduces and the selling price goes done. The timing and rating of the
reduction in the incentive is typically determined by the number or percentage
of adapters. So the earlier the solar system is installed, the more incentive the
owner can receive. The idea is that the early incentive can help owners to pay
for the high cost of system installation. Also, the more popular the program
becomes, the lower the capital cost of the system will be (hopefully!), due to the
economy of scale. Therefore, more people can buy into the program even with
less incentive. The main idea is that eventually solar PV units can compete

Note that the owner may be required to pay a monthly bill for the monthly energy usage and
39

then the total balance is settled annually.

Solar Energy and Photovoltaic Solar Units 829

with conventional power generation units (called the grid parity or socket
parity) even without any incentive. Unlike the net metering model where the
energy generation of the system is limited, in this model the limitations are for
the generation capacity of units. Another major side benefit of this model is
that it encourages energy conservation efforts so the building owner has more
electricity to sell. While this model was first developed in the U.S. in the late
1970s, it is currently more popular outside the U.S., particularly in Europe.

11.2.6.2.3 Power Purchase Agreement

Unlike the previous two models that the building owner invests on the sys-
tem (and owns the PV system) and the contract is between the owner and
the utility, in the power purchase agreement (PPA) the leasing contract is
between the building owner and a third-party company (and not necessarily
the utility). The company is responsible for all aspects of the development
and operation of the PV unit with no or little investment from the building
owner. The building purchases its consumption from the PV unit managed
by the developer at a cost lower than the grid retail price. The price is either
fixed for a number of years (typically for 10–25 years) or increases at a rate
lower than the predicted rate of increase for power from the grid. Typically
in this model there is no limit on the size of the unit and the developer sells
the excess power to the utility according to a separate contract. If the build-
ing consumption is more than what the PV unit generates, the excess energy
is provided from the grid at the retail price (similar to if there was not PV
unit). Note that all incentives for the system are collected by the developer. At
the end of the contract, the building owner can extend it, ask for the system
removal, or purchase it from the developer. In this model, building own-
ers can reduce their electricity cost and increase the value of their property
with no or little investment or risk. However, one certainly cannot make
any money in this model and the saving level is much lower compared to
that of the previous two models. Also, it should be noted that unlike the net
metering and feed-in tariff models that are regulated by the state or national
policies, power purchase agreements are contracts between two parties. The
power purchase agreement model is not available in all regions. As you can
see, unlike the previous two models that were bookkeeping methods only
for financial aspects of the system, the PPA has much broader impacts.
The choice of a financial model in each region is typically limited to the
option provided by the local and national policies. The choice between own-
ing a PV units and leasing it (via a PPA) is all about a high gain at a high
capital cost and risk or a low gain with no or little initial cost and risk.

11.2.7 Sizing of Solar PV Systems

The first step in designing any electricity generation system, including PV
systems, is to identify required energy production by the system (in kWh)
and possibly the system power (in kW). In utility level power generation units
830 Power Plant Engineering

the required energy is determined by a complicated study of the current and

predicted future demands in the target region. In residential and commercial
units required energy is determined by an energy audit of the building of
interest. The building energy audit field has grown to a large industry on its
own. While the building energy audit topic is beyond the scope of this text, a
very brief introduction is presented in the next section. After the energy con-
sumption of the building is determined, the available solar incident must be
calculated. The next stage is to size the solar PV array. Finally, the supporting
auxiliary components are needed to be selected. These steps will be covered
in this section.

11.2.7.1 Load Determination for Residential and Commercial Applications

There are three main methods to determine electricity consumption for resi-
dential and commercial buildings. In the first method, direct measurements
are used. The electricity consumption of each appliance can be measured
for a certain period of time using a wattmeter. The overall building energy
consumption is determined by adding the consumption of all appliances.
Alternatively, the consumption of each appliance can be determined by read-
ing its electrical characteristics from its label along with the duration of its
operation. For some appliances, the consumption can be identified from
available online tools. Finally, the monthly utility bills can be used to deter-
mine the annual energy consumption of a building. Clearly this last method
can only be used for grid-tied buildings because it does not provide any
information regarding daily variation of the demand. One of these methods
or a combination of them can be utilized to determine the daily, monthly, or
annual electrical energy consumption and the maximum electrical power
requirement of the building.
The first two methods not only help us to determine the energy consump-
tion of the building, they can also be used for the building energy audit.
While not directly part of a solar PV system design, typically the design
process starts with an energy audit to understand the building energy per-
formance, the energy consumption for the building air conditioning system
and appliances, and the occupants’ behaviors and habits relevant to energy
consumption. The audit can help to identify areas where improvements are
possible. Most often reducing the energy consumption is more economical
than to invest in a PV system to produce the extra electricity. It is usually less
expensive for example to replace an old refrigerator with a new more efficient
one than to install enough PV modules to produce electricity to power the
old one.
The energy consumption and power of an appliance can be directly mea-
sured using a device called wattmeter. The measurements can be directly
read from the device (Figure 11.40) or, for more advanced units, the device
can be connected to internet and the data can be recorded and accessed
Solar Energy and Photovoltaic Solar Units 831

FIGURE 11.40
A simple local wattmeter. (By Gareth.randall – Own work, Public Domain, https://commons.
wikimedia.org/w/index.php?curid=7745495.)

remotely. Note that even when not operating, electrical equipment typically
consume power in the stand-by mode. Just by plugging them in, they usu-
ally consume power. While the consumed energy in this case is small, due
to the long period of consumption and the large number of devices, they can
quickly add up to substantial energy consumption and cost. That is why they
are sometimes referred to as power vampires.
Alternatively, the power and energy consumption of appliances can be
calculated from their electrical specifications. A majority of electrical equip-
ment come with a label showing their rated power consumption (Figure 11.41).
Sometime instead of power, the rated voltage and current of the device are

FIGURE 11.41
Electrical specification label for a typical coffee maker.
832 Power Plant Engineering

listed. In this case, the rated power can be easily determined by multiplying
the voltage and current. For a device with a known rated power, we only need
to know the duration of the use for the device to determine its energy con-
sumption. The following example can help to understand how this method
can be used to determine the annual energy consumption of a building.

Example 11.21
A building energy audit resulted in the following table. Determine the
annual electricity consumption of the building.

Number of Rated Usage Hours

Device Device Power (W) per Day (h)
Fluorescent lights 6 20 4
Air condition unit 1 250 8
Computer 2 150 5
Microwave 1 450 0.5
Coffee maker 1 900 0.5

Analysis
The annual electricity consumption of each group of appliances can be
determined by multiplying their rated power, usage hours, and number,
as reflected in the table below.

Usage Annual Electricity

Number Rated Hours per Consumption
Device of Device Power (W) Day (h) (kWh/year)
Fluorescent lights 6 20 4 480
Air condition unit 1 250 8 2000
Computer 2 150 5 1500
Microwave 1 450 0.5 225
Coffee maker 1 900 0.5 450
Total: 4655

For some home appliances, such as refrigerators and freezers, it is more dif-
ficult to determine their electricity consumption because it is not easy to
determine how many hours the system actually operates. For these cases, the
energy consumption can be determined from information provided by the
manufacturer or other independent information providers, such as Energy
Star website (energystar.gov).
To get the annual energy consumption of a building, the utility bills pro-
vide the easiest and most direct way. By adding the monthly consumptions,
the annual electricity consumption can be determined. While for most
Solar Energy and Photovoltaic Solar Units 833

grid-tied units the annual consumption rate is used, for designing units that
are operational seasonally or off-grid units, monthly or even daily consump-
tion might be more relevant.

Example 11.22
A house is equipped with ten light bulbs each with a rated power of 40 W.

a. If on average each light is on for four hours a day, determine the

annual electrical energy consumption and the cost of the con-
sumed electricity. The average cost of electricity for the building
is $0.15/kWh.
b. If the light bulbs are replaced with LED lights with the rated
power of 9 W, determine the annual saving.

Solution
a.

 h   day 
Annual electricty consumption of each light bulb = 40 [ W ] × 4   × 365  
 day   year 
= 58, 400 [ Wh ] = 58.4 [ kWh ]

Annual electricty consumption of all light bulbs = 10 × 58.4 [ kWh ] = 584 [ kWh ]

 $ 
Annual electricty cost of all light bulbs = 584 [ kWh ] × 0.15  = $87.6
 kWh 

 h   day 
Annual electricty consumption of each LED light = 9 [ W ] × 4   × 365  
 day   year 
= 13, 140 [ Wh ] = 13.14 [ kWh ]

Annual electricty consumption of all LED lights = 10 × 13.14 [ kWh ] = 131.4 [ kWh ]

 $ 
Annual electricty cost of all lights = 131.4 [ kWh ] × 0.15  = $19.71
 kWh 

Annual saving = $87.6 − $19.71 = $67.89

Example 11.23
The following table shows the monthly electricity consumption of a resi-
dential building. Determine the annual and average monthly electricity
consumption of the building.
834 Power Plant Engineering

Month Monthly Electricity Consumption (kWh)

January 893.2
February 846.3
March 762.3
April 692.3
May 741.3
June 1053.5
July 1486.1
August 1393
September 1019.2
October 1003.8
November 940.1
December 764.4

Solution
Adding the right column and averaging it, you can find that the annual
and average monthly electricity consumption of the building is 11,592
and 966 kWh, respectively. According to the U.S. Energy Information
Administration (EIA), the average annual residential electrical energy
usage in the U.S. was slightly <11,000 kWh per household in 2018.40,41

Example 11.24
A solar farm with the rated capacity of 3 MW can generate power at
this rate for on average 5.5 hours a day. Determine the annual electricity
generation of the system in MWh.
Solution

 h   day 
Annual electricty generation = 3 [ MW ] × 5.5   × 365  
 day   year 
= 6022.5 MWh

11.2.7.2 Sizing Grid-Connected Solar PV Arrays

Before we discussed about sizing of PV arrays using the calculated electric-
ity demand, it should be noted that for grid-connected PV units, the design
is typically based on the annual electricity consumption of the building. The
daily and seasonal variations of the demand do not affect the design. This
is because the grid can even out these variations. Also, typically the finan-
cial calculations with the utility are on the annual basis. Also, note that the

https://www.eia.gov/tools/faqs/faq.php?id=97&t=3.
40

The highest average annual consumption was reported in Tennessee at 15,394 kWh per
41

household and the lowest was in Hawaii at 6213 kWh per household.
Solar Energy and Photovoltaic Solar Units 835

annual electricity generation of a building should not exceed its annual con-
sumption. The reason for all these was discussed in Section 11.2.6, where we
covered various financial models between a PV unit owner and the utility.
Furthermore, depending on the specific conditions and requirements of each
project, the solar array may be designed for the replacement of 100% demand
of the building, which is an ideal case, or a portion of the load. Some factors
that may limit the design load for a PV array are the limitation in the capital
cost that the owner can or want to invest in the system and the availability of
space for the installation of the modules.
From our discussion earlier, we know that solar panels are tested and their
performance is reported for the STC. In this discussion, we assume that the
solar intensity is constant and is equal to 1000 W/m2. Let us assume that the
annual electrical energy required to power a house is 10,000 kWh. While
from the consumer point of view, the electricity generation is important, for
sizing the system we need to determine the power (the time rate of energy
consumption). Notice that the generated electricity depends on both the size
of the system and the duration of its operation. If we could provide solar
radiation every hour of every day, we could determine the required power
generation from the PV array by dividing the annual energy by the number
of hours in a year.

Required power of PV array if solar radiation wasalwaysavailble

 kWh 
10, 000  
 year 
= = 1.14kW
 h   day 
24   × 365  
 day   year 

However, clearly this is not the case and the solar radiation is not available
all the time at 1000 w/m2. This leads us to the concept of sunlight hour, also
known as full sun hour or sun hour. This is the number of hours that if we
had the solar radiation with the intensity of 1000 W/m2, it would have the
same amount of energy as the actual solar radiation in an average 24 hours.
So if a region has an average daily solar intensity of 5500 Wh/(m2×day), the
sunlight hour of the region is

 Wh 
5500  2 
Sunlight hour =  m × day  = 5.5 h
W
1000  2 
day
m 

As it is evident, the sun hour for a given location is numerically the same as
kWh
the annual solar energy when it is expressed in 2 as in the isolation
m × day
836 Power Plant Engineering

maps discussed in Section 11.1.7 and in Figures 11.13 and 11.14. Now we can
determine the required power (capacity) of the unit as follows:

Annual required energy generation

Required power ( capacity ) of the unit =
Sunligth hour × 365

 kWh 
10, 000  
 year 
= = 4.98 kW
 h   day 
5.5   × 365  
 day   year 

As expected, the actual required power of 4.98 kW is much higher than

1.14 kW we calculated above if the solar energy was always available. This
is because you need a larger system so it can generate the same amount of
energy at a much shorter operation period.
The next step is to determine the number of solar panels we need so we
can form an array with the desired power production capacity. In order to do
this, we first need to determine the solar module manufacturer. Then, from
the specification sheet of a specific panel of interest that the manufacturer
provides, the power generation capacity of each panel can be determined. Let
us assume each solar panel generates 150 W of power. So theoretically about
33 solar panels are required (=4.98/0.15). However, this calculation neglects
that the actual operating conditions may not match the testing laboratory
environment. For instant, dust and stain on the surface of solar panels can
prevent some of solar radiation from penetrating the cell. Also, not all the
power generated by the array is available for the user. For example, some of
the generated electricity is lost in the inverter and connecting cables. To take
all these factors into account, an external efficiency is used in the calcula-
tions. This external efficiency can typically be between 75% and 90%, in this
case, assuming an external efficiency of 80%

Required power ( capacity ) of the unit

Number of required solar panels =
Power of each panel × external efficiency

4.98
= = 41.5
0.15 × 0.8

This number can be round down or up depending on the specific require-

ments of each project.
In designing a real-world PV array, some of the following factors also need
to be taken into account, which makes calculation much more complicated:

• The availability of rooftop space, the orientation of each surface, and

the roof angle
Solar Energy and Photovoltaic Solar Units 837

• The nearby trees, building, or any other obstacles that may cast a
shadow on some part of the modules
• The long-term impact of modules’ aging
• The local air pollution and dust in the atmosphere that may reduce
the direct solar light and increase indirect (diffused) light
• The accumulation of dust and dirt on the surface of modules and the
frequency of their cleaning
• The possible accumulation of snow in the winter and the possible
snow removal schedule

Example 11.25
A PV array is expected to power a house with annual electricity con-
sumption of 8000 kWh. If the house is located in San Francisco and the
external efficiency of the array is 85%, determine the required nameplate
power of the array in kW.
Solution
Based on the isolation map in Figure 11.14, the solar intensity in San
Francisco is in the range of 5.00–5.25 kWh/m2/day. Let us consider the
lower value of the range. The sunlight hour for San Francisco is

5000 h
Sunlight hour = = 5.0
1000 day

Required power ( capacity ) of the unit ( with no external losses )

Annual required energy generation

=
Sunligth hour × 365

8000
= = 4.38 kW
5.0 × 365

Taking the external efficiency of the array into account,

4.38
Required nameplate power ( capacity ) of the array = = 5.16 kW
0.85
Example 11.26
a. Determine the maximum rated power of a building-mounted
PV array installed on a building with an annual electricity con-
sumption of 12,500 kWh. The net metering contract with the
regional utility limits the annual electricity generation by resi-
dential applications to 10% more than the annual electricity con-
sumption of the building. The local sunlight hour is 4.5 hours
and the external efficiency of the system is 86%. (b) How many
solar PV modules are required if the panel specification indi-
cated the power rating of each panel is 250 W? (c) Determine the
838 Power Plant Engineering

power generation if the homeowner can only afford half of the

panels. Round down the calculated number of the modules.
Solution
a. Maximum annual energy generation = 1.1 × 12, 500 = 13, 750 kWh

Maximum power ( capacity ) of the unit

Annual required energy generation

=
Sunligth hour × external efficiency × 365

13, 750
= = 9.73 kW
4.5 × 0.86 × 365

b. Number of required solar panels

Required power ( capacity ) of the unit

=
Power of each panel

9.73
= = 38.9 ≈ 39 modules
0.25
Note that we have already taken the external efficiencies into
account in the previous section.
 38.9 
c. You can simply half the number of modules  = 19.4 .
 2 
So 19 modules are needed in this array. We can also half the
electricity requirement and then repeat the calculation.

11.2.7.3 Consideration in Sizing Off-Grid Solar PV Arrays

It was discussed that grid-tied arrays are designed based on the annual elec-
tricity consumption of the target consumer regardless of seasonal and daily
variations. For off-grid PV units, however, the daily demand variation is an
important design parameter. In this case, the design philosophy will dictate
the sizing of the PV array and the battery bank to ensure that the maximum
demand is always met. This typically means meeting both daily electrical
energy consumption and maximum power demand. For example, assume
an off-grid house with two appliances, one with rated power of 0.5 kW and
the other 1 kW. Each appliance is operated on average 2 hours a day. If only
one appliance is operated at a time, the PV array energy load is 3 kWh/day
(2 × 0.5 + 2 × 1) and the maximum power demand is 1 kW. So in this case, not
only the average electrical energy consumption of each appliance should be
determined but their peak electric power also needs to be taken into account.
Even whether the consumption occurs during the day time or night should
be considered. This is important because a PV array equipped with a bat-
tery bank can be operated on several modes: PV-to-load, PV-to-battery, or
battery-to-load. The overall efficiency of the system is different in each of
Solar Energy and Photovoltaic Solar Units 839

these modes, particularly because the efficiency of storing and releasing

electricity in the battery bank needs to be accounted for (refer to Chapter 16
on round trip efficiency of batteries). To further complicate the design, some
appliances may use AC power while others may operate using DC power.

Example 11.27
In an off-grid PV array designed for a remote house, both DC- and
AC-powered appliances are utilized. If the efficiency of various parts of
the system is as follows, determine the overall efficiency of the system
in PV-to-DC load, PV-to-AC load, PV-to-battery-to-DC load, and PV-to-
battery-to-AC load modes.

• the efficiency of the distribution system 95%

• the efficiency of the battery pack 78%
• the efficiency of the inverter 90%

Solution
The efficiency of PV-to-DC load mode = 0.95%
The efficiency of PV-to-AC load mode = 0.95 × 0.90 = 85.5%
The efficiency of PV-to-battery-to-DC load mode = 0.95 × 0.78 = 74.1%
The efficiency of PV-to-battery-to-AC load mode = 0.95 × 0.78 × 0.90 =
66.69%

11.2.8 Commercial Software Tools to Simulate

Performance of Solar PV Units
Considering the complexity involved in designing and evaluating the perfor-
mance of solar arrays, computational tools have long been used for these pur-
poses. There are currently many commercial packages that are being used
in the industry and academia. Some of these software tools are exclusively
developed for PV units and some have many built-in components, which
include PV units. They have a wide variety of approaches, complexity, and
details. Some of the common software packages are as follows:

• System Advisor Model (SAM)42

• PVsyst
• HOMER
• RETScreen
• Helioscope

This software was initially designed as Solar Advisor Model (SAM) by National Renewable
42

Energy Laboratory (NREL), and later other renewable power generation systems were
gradually added. SAM is available free of charge to the public at https://sam.nrel.gov/ and is
commonly used for educational purposes.
840 Power Plant Engineering

• TRANSYS
• ESP-r
• PV F-Chart
• SolarDesignTool
• PV*SOL
• SOLARGIS
• INSEL
• SolarPro
• PV DesignPro-G
• SOLSIM
• PVLib
• iHOGA
• iGRHYSO

11.2.9 Different Types of Solar Photovoltaic Cells

In the previous sections, we learned about how solar PV cells work and their
performance calculations. In the following sections, various types of solar
cells will be discussed along with their manufacturing methods. There are
several ways to categorize solar cells, one of which is the so-called genera-
tion of cells. There are three generations of solar cells. The first generation
is crystalline silicon-based cells that are currently dominating the market.
The second-generation cells, also referred to as thin film solar cells, are
made of direct semiconductor. They are commercially available and have a
small share of the market. The third-generation PV cells are a reference to
many emerging technologies that are in various stages of development.

11.2.10 First Generation: Crystalline Silicon-Based PV Cells

As noted in Section 11.2.1, crystalline silicon solar cells were the first practi-
cal cells that were developed and they are still the workhorse of the solar
PV power generation industry. Currently, over 90% of the manufactured
solar modules are the crystalline silicon type. A majority of modules you
may see installed in rooftops are of this type. Over many decades their effi-
ciency has significantly improved and the price has remarkably reduced.
In the early 1980s the highest efficiency of crystalline silicon cells in the labo-
ratory environment was about 16% and the highest efficiency of commercial
modules was about 10%. These efficiencies for modern solar units are in the
range of 21%–26% and 17%–20%, respectively. These efficiencies are close to
the maximum theoretical efficiency that can be achieved using silicon at the
STC at about 28%. The life expectancy of more than 25 years and the cost of
$0.50$1/Wp are currently the industry standard.
Solar Energy and Photovoltaic Solar Units 841

FIGURE 11.42
Flaky appearance of a polycrystalline cell (a) compared to uniformly black surface of a mono-
crystalline cell (b). ((a) Image by Hans Braxmeier from Pixabay, https://pixabay.com/photos/
solar-cells-technology-current-62559/, (b) Image by Valentin J-W from Pixabay, https://pixabay.
com/photos/solar-cells-energy-solar-energy-4518991/.)

The reasons for their current dominance can be explained based on sev-
eral determining factors. Silicon is the second most abundant element in
the Earth’s crust after oxygen and it is the most abundant semiconductor.
This abundance provides virtually unlimited supply of the raw material
to produce solar cells. Furthermore, silicon is a relatively safe element and
poses little safety concerns during the entire life cycle of solar units, from
manufacturing to operation to end-of-life disposal. More importantly, the
band gap of silicon (about 1.1 eV) is suitable for photovoltaic electricity gen-
eration. Another reason for undisputable dominance of crystalline silicon
cells is that their technology has a lot in common with the electronic com-
ponents, such as transistors and integrated circuits (also referred to as ICs or
microchips). Solar cells have immensely benefited from rapid advancements
in the electronic industry. The crystalline silicon-based solar modules can
provide power with good performance for a very long period of time with-
out significant decline in their performance by environmental elements and
other external factors. A long period of laboratory and field experiences have
proved their high stability and reliability. However, they suffer from inflex-
ibility and very energy-intensive manufacturing processes.
There are two types of crystalline silicon photovoltaic solar PV cells: mono-
crystalline silicon cells and polycrystalline silicon cells. Monocrystalline solar
cells, also referred to as single crystal silicon cells, are made of a single crystal-
line of silicon. They are black in color and uniform in texture (Figure 11.42b).
They are one of the most efficient types of PV cells with the best cell efficiency
of about 26% in the laboratory environment and about 20% for typical commer-
cial modules, which can go up to about 22% for high-end products. They have
currently about 25% of the market share for the crystalline silicon PV market.43
Polycrystalline silicon cells, also known as multi-crystalline cells, are
the dominant type with over three-quarters of the market share for the

Shubbak, M.H. “Advances in solar photovoltaics: Technology review and patent trends.”
43

Renewable and Sustainable Energy Reviews 115 (2019): 109383.

842 Power Plant Engineering

crystalline silicon PV market. They are made of many small silicon crystals
and this gives them a flaky look (Figure 11.42a). Since they are made of less
pure silicon and their manufacturing process is less energy-intensive, they
are less expensive than monocrystalline cells. For the same reason, they are
less efficient than monocrystalline cells. For polycrystalline PV units, the best
cell efficiency in laboratory conditions has been about 22% and the commer-
cial modules have up to 17% efficiency.

11.2.10.1 Manufacturing of Crystalline Silicon PV Cells

The manufacturing processes of solar PV modules involve a wide vari-
ety of processes. These processes will be briefly reviewed in this section.
Figure 11.43 illustrates these manufacturing steps.
The manufacturing of crystalline silicon requires extremely pure silicon,
in the order of 99.9999% purity.44 This level of purity is achieved in several
stages. The first stage is to convert naturally bonded silicon to metallurgical-
grade silicon. As noted earlier, silicon is the second most abundant element
in the nature. Silicon is naturally found as silicon dioxide (SiO2), also known
as quartz crystal, silica, or more commonly sand. In order to remove oxygen
from silicon dioxide (referred as the reduction process), sand and coal (coke)
are heated in an electric arc furnace. At the temperature about 1800°C (about
3270°F), the following reduction reaction takes place:

2SiO 2 + 4C → 2Si + 4CO (11.12)

The product of this process is silicon with a purity of about 98%, called
metallurgical-grade silicon (MGS or MG-Si). As noted above, this level of
purity is not sufficient for the manufacturing of PV cells. To increase the
purity of silicon, metallurgical-grade silicon is ground into fine particles
and then dissolved in hydrochloric acid (HCl) in a fluidized-bed reactor to
produce trichlorosilane (SiHCl3) through the following silane process at the
temperature of about 300°C (about 570°F) at the presence of a catalyst.

Si + 3HCl → SiHCl 3 + H 2 (11.13)

The purity of trichlorosilane is increased through the distillation process.

Then, the highly pure trichlorosilane goes through the modified Siemens
process, also known as the chemical vapor deposition (CVD) process, in a
Siemens reactor. The reactor operates at partial vacuum and typically con-
tains U-shaped slim rods of pure silicon (several meters long) that are heated
to a temperature of around 1000°C (about 1830°F). Within the reactor, a series

44 The fineness of metal is commonly represented by “number of 9s”. For example, the 99.9999%
pure silicon is shown as 6 nines or 6N. The purity of silicon required for the electronic indus-
try is typically 9 nines or 9N.
Silicon dioxide Fine MG-Si particles
(Sio2) Distillation
Oxygen removal process Metallurgical - grade dissolved in HCL Trichlorosilane
Silicon (MG-Si) (98%) 1
Electric arc furnace Fluidized bed, Silane SiHCl3
HCL
Coal (coke) (1800°C) process (300°C)

Boron (p-type) For monocrystalline Si

Silicon melting
Molten pure silicon 2a
1 Chemical vapor deposition (CVD) Induction furnace
High purity Polysilicon
(1500°C)
trichlorosilane Siemens reactor (99.9999%)
For multicrystalline Si
(1000°C) Silicon melting
Molten pure silicon 2b
Induction furance
(1500°C)
Czochralski process Ingot
2a (monocrystalline
Silicon melt silicon) Mechanical and
(1500°C) Ingot slicing chemical polishing Texturing process
Polished
Solar Energy and Photovoltaic Solar Units

Silicon wafers 3
Dimond wire cutter wafers KOH and NaOH
Silicon casting or directional
(80°C)
solidification Multicrystalline
2b
Solidification curcible silicon brick

Antireflective coating + front and back

n-doping process passivation process contacting Contact firing process Edge isolation process Interconnection
3 4
Phosphorus PECVD Direct fire
diffusion (900°C)
(800°C)

Module assembly Solar PV Testing Finished final

4 panel PV panel
FIGURE 11.43

A general overview of manufacturing processes for crystalline silicon cells.

843
844 Power Plant Engineering

of complicated reactions take place in the presence of hydrogen, which

eventually results in the deposition (recrystallization) of highly pure silicon
on the rods. These reactions can be simplified in the form of the following
reversed silane process.

SiHCl 3 + H 2 → Si + 3HCl (11.14)

In order to produce doped silicon, a very small but carefully controlled

amount of gases containing the dopants are also injected into the reactor. In
general, different dopants can be added depending on the type of the desired
semiconductor. For n-type semiconductors, phosphorus (P) or arsenic (As)
containing gases are added, while for p-type semiconductors boron (B) con-
taining gases are added. For PV cell production typically p-type is required.
The produced pure silicon, called polysilicon (not to be confused with
polycrystalline silicon cells), is sufficiently pure for PV cell manufacturing.
However, it does not have a suitable crystal structure because the structure is
made of too many crystal grains; therefore, further processes are required to
achieve a desirable structure. The processes to achieve this structure differ-
entiate the monocrystalline silicon cells from multi-crystalline silicon cells.
It should be noted that the described process to produce polysilicon is a very
energy-intensive process and involves very toxic, explosive, and corrosive
gases, handling of which adds to the cost of the process. There are other
processes that require less energy but the purity of the produced silicon is
generally lower than this process.
To produce monocrystalline silicon, first polysilicon is melted in an induc-
tion furnace using a very strong electromagnetic field at the temperature of
1400°C–1500°C (about 2250°F–2730°F) under an inert gas environment such
as argon. To create a single crystal of silicon, a small seed crystal attached to a
rod is inserted into the molten silicon. The crystal silicon is gradually formed
around the seed crystal. To grow a uniform silicon rod, the seed crystal
slowly rotates. The orientation of the seed crystal determines the orientation
of the entire produced silicon rod, which is called an ingot. When the ingot
is grown to the desired size, it is slowly polled out of the bath. This solidifi-
cation process takes place under a controlled temperature distribution. The
speed of the rotation and withdrawal is controlled to achieve an ingot with a
desired size. Each ingot can grow up to 30 cm diameter and a couple of meters
length and may weigh several hundred kilograms (Figure 11.44). The process
may take several days and since the silicon must be kept at the molten condi-
tion for such a long time, the process is very energy-intensive. This process is
called the Czochralski process after its inventor Jan Czochralski (1885–1953,
a Polish chemist) who invented the process in 1918.45 Another process to pro-

45 He discovered the process when he mistakenly dipped his pen into molten tin rather than ink
and quickly withdrew it. He observed a long thread of solid metal attached to the pen which
he later confirmed as a single crystal.
Solar Energy and Photovoltaic Solar Units 845

duce highly pure, properly oriented single crystalline silicon is called the
float-zone process where a vertical silicon rod is melted locally (in zones).
In the production of polycrystalline silicon, the slow and energy-intensive
Czochralski process is avoided. Instead, the pure polysilicon produced from
the Siemens process is melted and then solidified to cubical ingots or bricks
(the size can be up to 70 × 70 × 25 cm, about 2.3 × 2.3 × 0.8 ft). This process
can be achieved through silicon casting or directional solidification. In the
casting process, silicon is melted in a graphite crucible and is then cast in a
growth crucible. In the directional solidification process, both melting and
solidification processes take place in the same crucible. The orientation of
crystals is controlled by allowing silicon to slowly solidify from the bottom
of the crucible. The final product is a cubical multi-crystalline ingot that is
formed from many small crystal grains.
Both the monocrystalline and multi-crystalline silicon manufacturing pro-
cesses result in forming silicon ingots. From this point on again the manufac-
turing processes for both types are similar. The next step is to mechanically

FIGURE 11.44
Monocrystalline silicon ingots. (CC BY-SA 3.0, https://commons.wikimedia.org/w/index.
php?curid=314282.)
846 Power Plant Engineering

cut ingots into very thin slices of silicon called silicon wafers. For this
purpose, diamond wire cutters are used. Every sawing process inevitably
involves converting some material into dust. The magnitude of this loss is
a function of the diameter of the wire, in this case between 100 and 140 μm.
This may not look significant but if we compare it to the thickness of the
produced wafers, typically between 150 and 200 μm, it is clear that a signifi-
cant portion of silicon ingots will be converted to dust. This means about
50% of the silicon produced via very energy-intensive processes can be lost,
which can constitute to more than 30% of the total cost. This mechanical
sawing process is one of the bottlenecks of the manufacturing processes of
crystalline silicon cells because any attempt to reduce the thickness of wafers
to reduce the silicon consumption increases the possibility of breakage and
increases the percentage of the sawing material loss. Later we will learn how
new manufacturing processes try to eliminate this process. Note that the
workers are not exposed to the produced dust and the highly pure silicon
dust is recycled.
In the next step individual wafers with the side of about 15 cm (about
0.5 ft) are chemically and mechanically polished to remove contaminants
and surface damages caused by the sawing process. The surface of wafers at
this point is shiny and mirror-like that can reflect a significant portion of the
incoming light. To reduce this effect, two processes are used: texturing the
surface and adding an antireflection coating to the surface.
In the texturing process, the wafers are placed in a potassium hydroxide
(KOH or caustic potash) or sodium hydroxide (NaOH or caustic soda) solu-
tion at a temperature of about 80°C (about 180°F). Through a chemically vio-
lent reaction, some of the silicon atoms are removed from the surface and
the previously smooth surface is converted to a surface covered with micro-
scopic pyramids. These pyramids significantly reduce the reflectiveness of
the cell surface by so-called light trapping.
We learned that in the Silane process we typically add boron-containing
gas so the wafer that we start the cell manufacturing process with is already
a p-doped semiconductor. The next step in this process is to create the p-n
junction. For this purpose, we need an n-doping process. This process takes
place in a furnace where the batches of silicon wafers are exposed to a
phosphorus-containing gas at the temperatures between 800°C and 900°C
(about 1470°F–1650°F). In this environment, phosphorous can diffuse suffi-
ciently into the front of the wafers to create the n-type silicon. Note that the
thickness of the n-type semiconductor layer on the surface of cells is less than
1 μm so the phosphorus diffusion is effective for this region. Due to its high
temperature, this is another relatively energy-intensive process.
The next step is to add an antireflective coating to the front surface of wafers
to further reduce the reflectiveness of the cell surface and increase light
absorption. The coating material is typically silicon nitride that is deposited
by the plasma-enhanced chemical vapor deposition (PECVD) process. This
coating gives PV cells their characteristic blue appearance (in polycrystalline
Solar Energy and Photovoltaic Solar Units 847

cells). Since this coating process can also be integrated to the surface passiv-
ation process, let us briefly talk about this process.
The surface of crystalline silicon wafers contains some reactive silicon
atoms. These silicon atoms, also referred to as unsaturated atoms, have
only three bonds with their neighboring atoms and one electron remains
unpaired (we learned earlier that silicon atoms have four electrons in their
valence band). This unpaired electron (referred to as the dangling bond) can
bond with other atoms, which changes the properties of silicon semiconduc-
tor and creates a defect that can cause recombination of electron-hole pairs
and can negatively impact the performance of the cell. To avoid this problem,
hydrogen atoms can form a bond with this unpaired electron. This process
is called the surface passivation process. While there are several sources of
hydrogen to achieve this effect, the most common one is to use hydrogenated
silicon nitride for the antireflective coating process. Using this coating causes
some hydrogen atoms to be trapped during the deposition process. In order
for these hydrogen atoms to diffuse into the surface of silicon and react with
unsaturated silicon atoms, a high-temperature environment is needed. This
high-temperature process can be completed during the firing process to cre-
ate the cell back electrode (will be discussed below). The advantage of this
method for the passivation process is that no additional process is needed and
all the required processes are needed for the manufacturing of cells anyway.
The next step is to apply the front and back electrodes (contacts). For the
front contact, narrow strips of silver paste is screen printed and then dried.
For the rear contact, first the surface is almost entirely covered with a thick
layer of aluminum paste. Some small areas are left uncovered. These areas
are covered with silver paste in the next step. They are later used as soldering
pads to interconnect cells to form modules. Finally, cells go through the fir-
ing process where they are exposed to direct fire at the temperature of about
900°C (about 1650°F). This process serves several purposes. The paste for
the contacts hardens and diffuses to the silicon wafer by fire to create good
contact. The hydrogen passivation process is also completed. Another func-
tion of the firing process is to create the back surface field. To explain this
field, we need to know that aluminum can act as the dopant to form a p-type
silicon semiconductor. When aluminum (from aluminum paste) diffuses into
the rear surface of the wafer, a thin layer of p-type is formed, which is called
p+ (p-plus) layer. This creates a p+-p junction, which performs like a p-n junc-
tion. This new junction enhances the performance of the cell by repelling the
small number of electrons that exist in the p-type silicon (known as minority
charges)46 from reaching the rear surface of the cell and recombining with
the holes there. Finally, the firing process can help to improve the perfor-
mance of cells by what is called the gettering process. While the silicon used
to manufacture wafers is very pure, still there are very small about of impu-

The electrons in the p-type and holes in the n-type are generally referred to as the minority
46

charges.
848 Power Plant Engineering

Protective glass

Frame Frame

EVA Interconnection
Cells

FIGURE 11.45
Schematic of a finished solar PV panel.

rity that can negatively impact the performance of cells. At the high tempera-
ture of the firing process these metal impurities can move freely in the silicon
crystal structure. Since these metals have higher solubility in aluminum than
silicon, some of them will diffuse to aluminum in the rear layer paste where
they will not be harmful anymore. As you can see, while the firing is an
energy-intensive process, it can help in several improvements of the cells.
The last stage of cell manufacturing is called the edge isolation process to
eliminate any electrical contact (shortcut) between the front and rear surfaces
so all electrons are forced to pass through the external load. To ensure the
quality of manufactured cells, they pass through a quality control process
before being sent to the module assembly line.
As noted earlier, in order to produce a meaningful about of power, cells are
electrically connected to create a panel or module. This is also important for
the protection of cells because individual cells are very fragile. The electri-
cal connection of a cell string is accomplished by means of flat wires, called
tabs, connecting the front contact of one cell to the rear contact of the next cell
(Figure 11.45). The strings are then laminated between two sheets of ethyl
vinyl acetate (ETA) on two sides. They are then further protected by a glass
sheet on the front and a foil on the back. Finally, the entire unit is placed in
an aluminum frame ready to be shipped to customers.
It should be noted that the explained manufacturing processes are a gen-
eral description of what typically happens in the industrial manufacturing of
solar PV panels; however, each manufacturer may have a different variation
of some aspects of these processes.

11.2.10.2 Alternative Manufacturing Methods of Silicon Crystalline Cells

We learned in the previous section that a huge percentage of silicon ingots
is lost during the ingot sawing process. There are alternative methods
to produce silicon wafers that can avoid this process. The ribbon silicon
technology is a technique that directly produces multi-crystalline silicon
wafers at the desired thickness (so no need for sawing) by pulling a sheet
Solar Energy and Photovoltaic Solar Units 849

(ribbon) of silicon from a silicon melt. There are several mechanisms to form
ribbon silicon. In the edge-defined film-fed growth (EFG) technology molten
silicon is pulled through an octagonal graphite mold or shaper. The produced
silicon is in the shape of a long thin-walled octagonal shell with no free edge.
This shell can be cut by laser to a desirable size. In the string ribbon technol-
ogy, the ribbon is formed between two hot wires while being pulled out of
the molten silicon crucible. In the ribbon growth on substrate (RGS) process,
a sheet of silicon is formed on a substrate. Due to high rate of cooling, the
solidification process is fast so a high rate of production can be achieved.
The separation of silicon ribbon and the substrate takes place because of the
different rate of contraction of the two surfaces.
In all these techniques, since almost the entire highly pure silicon is con-
verted to silicon wafers, the cost can be significantly reduced. Some of these
methods are already cost competitive with traditional methods; however, the
quality of the produced wafers in some methods cannot compete with that
of the conventional manufacturing methods and the efficiency of final PV
modules is lower. Also, their widespread adaptation to the capital-intensive
PV cell manufacturing industry may take a while.

11.2.10.3 Concluding Remarks on Crystalline Silicon

PV Units and Their Future
Now that we learned about the difference in manufacturing processes
for monocrystalline and polycrystalline silicon cells, we can briefly dis-
cuss why monocrystalline cells are more efficient. We learned that while
monocrystalline cells have one single silicon crystal in their structure, poly-
crystalline cells are made of many crystals. This means that in polycrystal-
line cells there are many grain boundaries in the structure between crystals
at various orientations. These defects can obstruct the flow of electrons and
holes and provide sites for pair recombination. This is the main reason for
poorer performance and lower efficiency of polycrystalline silicon PV cells
compared to those for monocrystalline PV cells. Also, this is why larger crys-
talline sizes are more desirable in polycrystalline silicon wafers.
An important take away from our discussion on the manufacturing of
silicon solar cells is that it involves several very energy-intensive processes,
which means a lot of energy is consumed in the manufacturing of these cells.
Therefore, it is a legitimate question to ask if produced cells can produce enough
electricity in their lifetime to make up for the energy consumed during their
manufacturing and if so, how many years this may take. The answer to this
question leads us to the concept of the energy payback period, which is the
number of years that an electricity generation system must operate to generate
energy that was used to fabricate the system. For crystalline silicon solar units,
of course, this time is a function of solar light intensity in the location of the
system and actual manufacturing processes. The energy payback time for cur-
rent crystalline silicon solar units is about 13 years. So considering the long life
of solar modules (between 25 and 30 years) and the fact that their performance
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slightly degrades with time, electricity they can generate in their lifetime is
many times more than the energy consumed in their manufacturing.
While the best efficiency of silicon-based cells in laboratory environments
and commercial modules were about 17% and 10% in the early 1980s, respec-
tively, these efficiencies for current units are 20% and 26%, respectively.
As impressive as this improvement is, the current efficiencies have been stag-
nant for a long time and there is not much hope for further improvements
since the best efficiency is very close to the maximum theoretical efficiency
possible. So while there is room for some improvements in some aspects of
manufacturing processes, no major breakthrough is expected. This is why
new technologies are being researched and developed.
Overall it seems that considering the very well-established manufactur-
ing infrastructure of the solar crystalline silicon technology, these units will
continue their current dominance at least in near future. Currently, the lower
cost of polycrystalline silicon units can make up for their inferior perfor-
mance. So in most projects for a given capital investment, it economically
makes sense to install more units of less efficient but inexpensive polycrys-
talline silicon units. However, this may change in the future if for example,
the share of the cost of land in the total cost of installed systems increases
dramatically so it is more profitable to have more efficient units for a given
land area. Similarly, a change in the price of energy used in the manufactur-
ing of units may alter the current balance.

11.2.11 Second Generation: Thin Film Solar PV Cells

Previously we learned that solar cells made of indirect (extrinsic or doped)
semiconductors, such as crystalline silicon cells, need the thickness of a cou-
ple of 100 μm to be able to absorb most of incoming solar energy. So from the
manufacturing point of view, at least in terms of the cost of raw materials, it
is desirable to have thinner wafers. However, practically there is a limit on
how thin these cells can be. This limitation leads us to investigate solar cells
made of direct (intrinsic) semiconductors with the band gap of 1.4–1.8 eV.
Direct semiconductor cells can achieve similar absorption as that in crystal-
line silicon cells with a much thinner absorber (typically <5 μm compared to
about 200 μm in crystalline silicon cells). These cells are generally referred to
as thin film solar cells or second-generation solar cells (2G).
In these cells, thin layers (or films) of semiconductor materials are depos-
ited over a substrate. This substrate is commonly made of glass to achieve
the best performance but can also be made of plastic or metal. Due to their
thinness, depending on the substrate, these PV cells can be very light and
flexible. Moreover, their performance is not heavily impacted by increase in
the operating temperature. They also demonstrate better performance in low
light intensity and indirect (diffused) light, such as light on cloudy days, than
that in conventional solar cells. Their manufacturing processes consume
much less material compared to that of crystalline silicon and are much less
energy-intensive. That means their energy payback period is very short (less
Solar Energy and Photovoltaic Solar Units 851

than a year). However, generally speaking, their efficiency is lower than that
of conventional solar cells. While some thin film solar cells have achieved an
efficiency comparable to or higher than that of polycrystalline silicon cells,
their high efficiency has not been reflected in commercial cells yet.
While they can be used in any application that crystalline silicon modules
are being used, they are particularly suitable for building integrated PV units
(BIPV), semi-transparent cells, and applications where flexibility is impor-
tant. They have been even proposed for wearable solar systems. While about
a quarter of the global market was for thin film solar units in the mid-1990s,
currently that share is <10%. This reduction is primarily due to the significant
reduction in the cost of crystalline silicon modules in the past two decades.
The most common types of thin film solar cells are

• cadmium telluride (CdTe)

• copper indium gallium selenide (CIGS)
• amorphous silicon (a-Si)
• Gallium arsenide (GaAs)

In the following sections, we will review these cells.

11.2.11.1 Cadmium Telluride (CdTe) Solar PV Cells

Cadmium telluride is a direct II–VI compound semiconductor with a band gap
of about 1.5, which is very close to the optimum band gap to absorb maximum
energy from the solar spectrum. It is very stable and can operate for years with-
out any meaningful degradation. Their efficiency is not significantly impacted
by high operating temperatures, low light intensity, and diffused light. The
manufacturing cost of CdTe cells is currently less than that of conventional PV
cells due to lower material consumption, less energy-intensive processes, and
manufacturing simplicity. Some very large solar farms used this type of mod-
ule, such as the Desert Sunlight Solar Farm and the Topaz Solar Farm both in
California, with 550 MW power generation capacity each.
Early cadmium telluride cells were developed in the 1970s and since then
their performance and efficiency have continuously improved. Currently,
their cell laboratory condition efficiency is about 22% exceeding that of poly-
crystalline silicon cells. However, the efficiency of commercial modules is
much lower at about 11%.47,48 While this type of solar cell is the most popular
non-silicon PV cell type, its market share at about 6% is still very small com-
pared to that of conventional silicon cells.49
47 He, S., et al. “Study of CdTe/ZnTe composite absorbing layer deposited by pulsed laser depo-
sition for CdS/CdTe solar cell.” Materials Science in Semiconductor Processing 67 (2017): 41–45.
48 Shubbak, M.H. “Advances in solar photovoltaics: Technology review and patent trends.”

Renewable and Sustainable Energy Reviews 115 (2019): 109–383.

49 Sinha, T., D. Lilhare, and A. Khare. “A review on the improvement in performance of CdTe/

CdS thin-film solar cells through optimization of structural parameters.” Journal of Materials
Science 54 (2019): 1–17.
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One of the problems with CdTe units is that tellurium is a very rare element
with very limited annual production, which can impose severe limits on wide-
spread applications of this technology. The discovery of new sources of tellurium
and recycling of old CdTe panels might to some extent address this problem.
Another problem typically associated with this type of PV cells is the toxic-
ity of the materials used in their fabrication. Both cadmium and tellurium are
highly toxic, particularly cadmium, which is a heavy metal. However, crys-
talline cadmium telluride used to manufacture solar units is much less toxic
and is stable. Thus, the operation of these units poses little risk though safety
considerations must be carefully integrated to manufacturing processes. End-
of-life recycling of CdTe modules is currently a standard practice both for the
recovery and reuse of valuable materials and for safety reasons. One may even
argue that using cadmium in the manufacturing of solar units might be ben-
eficial for the environment because cadmium is a byproduct of zinc production
and if it is not used, it can be landfilled and can pollute the environment.
Unlike conventional solar cells that both p- and n-type semiconductors are
made of the same crystalline silicon doped with different materials, CdTe cells
are made of layers of dissimilar p- and n-type semiconductors. The p-n junction
in these cases is referred to as homojunction and heterojunction, respectively.
The first layer (the surface that light strikes first) is a transparent super-
strate commonly made of glass (Figure 11.46). The next layer is the front con-
tact (electrode), which collects electrons. Since the incoming light needs to
pass through this layer, it is referred to as a transparent conducting oxide
(TCO). This layer is typically made of tin oxide (SnO2), which replaces metal
contacts in conventional cells. Then, there is a very thin layer (in the order
of 0.1 μm) of doped cadmium sulfide (CdS), which forms the n-type semicon-
ductor layer. To form the p-n junction, a layer of doped CdTe with a thickness
of about 5 µm is added as the p-type semiconductor. The rear contact layer is
then overlaid to collect positive charges. Finally, to protect the module from
environmental elements, it is laminated and encapsulated.
The manufacturing processes used in the fabrication of CdTe are relatively
inexpensive. For this reason along with low material and energy consump-
tions, CdTe cells are one of the least expensive PV modules in the market.
The manufacturing processes generally involve various methods that deposit
Light

Glass Superstrate
Front contact (TCO, SiO2)
n-type (Cds)

p-type (CdTe)

Rear contact

FIGURE 11.46
Schematic of a CdTe cell with various layers.
Solar Energy and Photovoltaic Solar Units 853

a thin layer of a substance on a surface, such as close-spaced sublimation,

physical- or chemical vapor deposition, or sputter deposition.

11.2.11.2 Copper Indium Gallium Selenide (CIGS) Solar PV Cells

This type of thin film solar cells is a solid solution50 of copper, indium, gal-
lium, and selenium (diselenide), often referred to as CIGS solar cells. It is
a I–III–VI semiconductor. Both indium and gallium are from the group III
elements in the periodic table. The relative amount of indium and gallium in
the solution determines the band gap of the semiconductor and can be used to
control its precise value. The composition can vary from pure copper indium
selenide (CuInSe2) to pure copper gallium selenide (CuGaSe2) with the band
gap of about 1 and 1.7 eV, respectively, and any mixture in between. This is
why these cells are sometimes referred to as CI(G)S or CIS. Sometimes even
indium and gallium are replaced by aluminum (another group III element).
Also, a compound of sulfur (disulfide), which is a group VI element (similar to
selenium), can be added to form what is called CIGSS. Similar to CdTe, CIGS
is a direct semiconductor with very high light absorption capability. With a
thin layer of just a couple of microns, it can nearly absorb the entire solar light
spectrum. This thinness of cells reduces the consumption of materials and
energy required for the manufacturing processes. It also allows the manufac-
turing of flexible cells if the used substrate is flexible. CIGS cells have superior
performance compared to crystalline silicon cells when exposed to indirect
light. They are ideal for integration into building structures.
The development of CIGS cells started in the 1970s and their performance has
improved over the following years. Their cell efficiency in the laboratory condi-
tions is about 23%, but the efficiency of commercial modules is lower at about
15%. However, similar to CaTe cells, there are some concerns about the toxicity
of some of the elements used in their manufacturing and the scarcity of indium.
Recently, the share of CIGS units has been about 2% of the global PV market.
Similar to CdTe cells, CIGS cells have heterojunction and are made of sev-
eral layers deposited separately. However, unlike CdTe cells, CIGS cells have
a substrate made of glass, plastic, or metal. For cells that flexibility is not
desired, typically soda-lime glass with a thickness of a couple of millimeters
is used as the supporting substrate. A critical characteristic of the suitable
substrate is the compatibility of its thermal expansion coefficient with other
cell layers. A thin layer (about 1 μm) of molybdenum is added on the substrate
as the rear contact (Figure 11.47). This layer is not only conductive enough to
collect positive charges but also is a reflective layer that reflects unabsorbed
light back into the cell. On top of that, the CIGS layer with the thickness of 2 to
4 µm is deposited as the polycrystalline p-type semiconductor. All elements
can be deposited either at once in a single step (called co-evaporation) or in
a two-step or even three-step process. To form the p-n junction, a very thin

In a solid solution several solid elements, typically metals, are mixed, but they do not chemi-
50

cally react and atoms are present in their original forms.

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Light

Front contact (TCO)

n-type (CdS)

p-type (CIGS)

Rear contact
Substrate

FIGURE 11.47
Schematic of a CIGS cell with various layers.

layer of cadmium sulfide (CdS) is deposited as the n-type semiconductor with

a thickness of about 0.05 μm. The front contact made of aluminum doped zinc
oxide is then overlaid, which later is covered with an antireflection layer. Both
the CdS layer and the front contact should be transparent to allow light pas-
sage to the p-n junction. Finally, the module is laminated and encapsulated
ready to be shipped to the installation site. Note that unlike crystalline silicon
modules that are manufactured as individual cells and then connected in
series to form a panel, thin layer units can be made in a single piece. For this
reason, there are several laser-scribing processes between the above steps to
internally form individual cells connected in series. A variety of manufactur-
ing processes have been used to deposit different layers by manufacturers
including co-evaporation, precursor reaction processes, various sputtering
methods, screen-printing, spray coating, and electrodeposition. It should be
noticed that some manufacturing processes may require some extra steps.

11.2.11.3 Amorphous Silicon (a-Si)

The third type of thin film solar cells is amorphous silicon cells. As the name
implies, like crystalline silicon cells (sometimes referred to as c-Si), they are
made of silicon with a non-crystalline structure (i.e., in small grains) with
band gap of about 1.7 eV. Therefore, unlike other common thin film cells, they
do not have the problem of using scarce and sometimes toxic materials. Since
amorphous silicon is a direct semiconductor, it can be deposited in very thin
layers of a few microns. Thus, the consumption of silicon is just a couple
of percent of what is needed for conventional silicon cells. The manufactur-
ing processes also consume much less energy. All these attributes result in
very inexpensive and environmentally friendly cells. However, with the cell
efficiency of about 14% in a laboratory environment and commercial unit
efficiency of about 7%, their efficiency is much lower compared to other
technologies. They also suffer from low stability during their initial oper-
ation. During the initial few months of their operation (roughly about the
first 1000 hours of operation), their efficiency reduces by about 20% and then
stabilizes. The reported performance data and module ratings are typically
Solar Energy and Photovoltaic Solar Units 855

Superstrate
Front contact (TCO, SnO2)
p-type (a-Si doped with boron)
Intrinsic (i-Si)
n-type (a-Si doped with phosphorous)
Rear contact

FIGURE 11.48
Schematic of an amorphous silicon cell with various layers.

for after this initial period and reflect the stable operation. One reason for
this rapid degradation is that in amorphous silicon atoms some the valence
electrons are not paired creating what is called dangling bonds. These bonds
degrade the performance of cells. Similar to the passivation process explained
earlier, hydrogen atoms can be used to reduce this problem.
This type of cell has been used since the 1970s for powering small elec-
tronic devices such as handheld calculators. In recent years, a-Si cells have
had about 2% of the global solar PV market. Unlike CdTe and CIGS cells, a-Si
cells are homojunction similar to c-Si cells. However, instead of p-n junction
as in conventional silicon PV cells, a-Si cells have a p-i-n structure. In this
case, an intrinsic (undoped) a-Si layer (i-Si) is sandwiched between very thin
layers of p- and n-type doped a-Si and the electric field is created in the i-Si
layer (Figure 11.48). To manufacture this type of cell, a transparent conduct-
ing oxide (TCO) layer, typically tin oxide (SnO2), is deposited on the super-
strate as the front contact. While a glass superstrate can provide the best
performance, due to typically low-temperature manufacturing processes,
plastic superstrates can be also used to make flexible cells. Then, several lay-
ers of silicon are deposited. Since there is no opportunity for the growth of
crystalline grains, the deposited layers are amorphous silicon. The first layer,
immediately after the TCO, is doped with boron to form the p-type layer.
This layer is followed by an undoped silicon layer (intrinsic Si) and then the
phosphorus doped n-type silicon layer. Finally, the rear contact is deposited,
which also functions as the reflective surface. Various chemical vapor deposi-
tion (CVD) or sputtering methods have been used to deposit different layers.

11.2.11.4 Gallium Arsenide (GaAs)

Another type of thin film solar cell is made of gallium arsenide, which is a
III–V direct compound semiconductor with a crystalline structure similar to
c-Si. The efficiency of this type of PV technology far exceeds even monocrys-
talline silicon modules. With an efficiency of about 29%, they are the most
efficient single-junction solar cells ever made. However, their manufacturing
costs are very high and they only suit applications where efficiency and low
weight are much more important factors than cost. For this reason and their
resistance against space radiations, since the 1990s they have been used for
space applications. They are also used in multi-junction solar cells.
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11.2.12 Third Generation: Emerging Solar Cell Technologies

The third-generation solar cells are a combination of a wide variety of
technologies that are currently under investigation. Some of them, such as
multi-junction solar cells and concentrated solar cells, are extensions of the
second-generation technologies, while some are based on entirely new con-
cepts, such as organic solar cells, perovskite solar cells, dye-sensitized solar
cells, and quantum dot solar cells. In this section, these emerging technolo-
gies will be briefly reviewed.

11.2.12.1 Multi-Junction Solar Cells

Previously we learned how the band gap of semiconductors has an opposing
impact on which wavelength of photons can be absorbed and what portion
of the absorbed photons can be converted to electricity. We also noticed that
for the solar spectrum, there is an optimum band gap that can provide maxi-
mum efficiency for a single p-n junction cell. Multi-junction solar cells (also
referred to as tandem or cascade cells), as the name implies, can help us to
overcome this theoretical limitation by stacking several layers of p-n junc-
tions. The technologies developed for thin film solar cells allow us to place
several very thin layers of transparent semiconductors in a way that light
can pass through them. Each p-n junction in the stack is made of different
semiconductor materials and is designed to optimally absorb a certain range
of the solar spectrum. While several technologies can be used to create the
stack of p-n junctions, including organic solar cells (will be discussed later
in this chapter), multi-junction solar cells typically refer to those cells made
by thin film cell technologies. Currently, multi-junction solar cells are very
expensive and are only used commercially in space applications. Some of the
most high-profile space missions are using this type of cells including Mars
rovers, Spirit and Opportunity, and Juno spacecraft exploring Jupiter.
In a multi-junction solar cell, the first layer is the one that absorbs the more
energetic photons (with lower frequencies) in the blue portion of the spectrum
by the semiconductor with the largest band gap. The photons with an energy
level lower than the band gap of this semiconductor pass through mostly intact.
This process continues with the next layers of semiconductors with the band
gap lower than the previous layer but higher than the next layer to absorb the
yellow and red/infra-red portions of the spectrum. There are various semicon-
ductors proposed and used for different layers of multi-junction solar cells. One
of these combinations is gallium indium phosphide (GaInP2), gallium arsenide
(GaAs), and germanium (Ge) (ordered from top to bottom) with the band gaps
of about 1.9, 1.4, and 0.7 eV, respectively. This three-junction combination has
achieved an efficiency of about 38% with non-concentrated solar radiation. The
highest efficiency that has ever been achieved for a solar cell operating under
non-concentrated solar radiation has been 39% for a four-junction cell.
The manufacturing of multi-junction solar cells is very challenging and
expensive. Particularly, removing the generated current from each layer is a
Solar Energy and Photovoltaic Solar Units 857

major challenge. There are two design concepts for stacking various layers.
In one design the layers are deposited on top of each other so the middle
layer functions as an n-type on one surface and p-type on the other surface.
In this design, referred to as the monolithic design, the cell behaves similar
to two cells in series. The challenge, in this case, is to match the generated
current in various layers (recall that in cells connected in series, the overall
current is determined by the lowest current in the string). Another design
concept is to make the cell individually and then mechanically connect them.
This design, sometimes referred to as mechanical stacking, does not face the
problem of current mismatch but requires transparent contacts.
As noted above, multi-junction solar cells are very expensive to manu-
facture (per unit of area). One way to reduce the impact of this problem is
to concentrate light before it strikes the cell surface. This way a cell with a
small surface can generate much more than what it can produce with non-
concentrated light. This leads us to our next topic.

11.2.12.2 Concentrating PV (CPV) Units

Exposing a solar cell to concentrated solar radiation can help to improve
the performance of solar PV systems by increasing the power output per
unit of area of the cell and increasing its efficiency. At the same tempera-
ture, the cell efficiency is much higher with concentrated light than that with
non-concentrated light. Concentrating devices can be integrated into high-
efficiency solar cells such as multi-junction cells. The highest efficiency ever
achieved for a solar cell is 46%, which is recorded in a four-junction cell illu-
minated with concentrated light. Light concentration can be achieved by var-
ious designs of mirrors, such as dish mirrors, parabolic mirrors, or heliostat
arrays (refer to Chapter 12), or lenses, such as array of small lenses or trough
Fresnel lenses.51 The concentration ratio of 500 (500 Sun) is not unusual.
Based on their concentration ratio, these units can be divided into low con-
centration PVs (LCPV), medium concentration PVs, and high c oncentration
PVs (HCPV). Note that by using concentrated light while the required area
of the cell substantially reduces, the area of the concentrating device that is
exposed to the incoming light remains unchanged compared to non-concen-
trating cells.
These systems have some major drawbacks other than their expensive
price tag. When exposed to concentrated light, the temperature of PV cells
can increase, which negatively impacts their performance. The impact on the
cell performance depends on the magnitude of temperature increase, which
is a function of the concentration ratio and the type of the cell. While low con-
centration ratio systems may be operated without cooling, for higher concen-
tration ratios an active or passive cooling system is required that adds to the
overall cost of the system. Another limitation is that in order to operate prop-
erly, these units must be always directed toward the Sun, which typically

Fresnel lenses concentrate light gradually by thin glasses rather than one-step thick lens.
51
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requires a one-axis solar tracking system for LCPVs or a two-axis solar track-
ing system for HCPVs. Furthermore, unlike non-concentrated units that
can operate with both direct and diffused light, CPV units can only oper-
ate with direct sun radiation. Therefore, they are only effective for regions
with mostly clear skies with high solar irradiance. For regions with low solar
intensity, many cloudy days, or high air pollution, non-concentrated PV units
may perform better than concentrated ones. Also, the high impact of optical
losses means that they require more frequent cleaning to remove dust from
the module surface. As a result of these problems, concentrated solar units
have a very small share of the market at about 0.1%–0.2%.
Another mechanism to enhance the performance of solar cells is by using
bifacial cells. While it is not a light concentration method, in this method the
amount of light that a cell is exposed to increases. In these cells, the back
layer of cells is transparent, similar to the front layers so they can produce
power regardless of which side is receiving the incoming light. Mirrors can
be used to reflect solar radiation to the back of these cells.

11.2.12.3 Organic Solar Cells

Organic solar cells, as the name implies, are made of organic materials
(i.e., carbon-based compounds). In this case, materials are primarily long-
chain polymers (plastics) that function as semiconductors. This technology
has many advantages over other cell types, including very low energy and
material consumption for manufacturing processes (i.e., very short energy
payback period), very low negative environmental impacts, no scarcity or
toxicity of materials, very high light absorption, lightweight, easy end of
end-of-life disposal, and flexible structure. However, they suffer from low
efficiency and stability. Their efficiency in the laboratory conditions is about
12%, and the efficiency of early commercial units is merely about 6%. These
cells also age rapidly in a span of just a few years compared to a few decades
for conventional technologies. While their manufacturing processes have not
matured yet, there are great potentials for fast and inexpensive manufactur-
ing processes for these solar cells. The major advantage of this technology is
that it can be made from a solution, which makes it possible to manufacture
them with inexpensive printing or coating methods on plastic substrates.
This technology has not been commercialized yet and still is in the basic
research stage. However, there have been great progresses on all fronts,
which have improved their efficiency, lifetime stability, and manufacturing
methods. This technology is one of the most promising technologies for the
future of the solar PV industry.

11.2.12.4 Perovskite Solar Cells

Perovskite solar cells (PSC) are made of materials with a perovskite structure.
Perovskite materials are a group of crystallines with the general formula of
ABX3 (A, B, and X are elemental atoms or compound molecules where A has
Solar Energy and Photovoltaic Solar Units 859

a much larger size than that of B). This is a new technology with impressive
progress in the past decade. The efficiency of these cells in laboratory condi-
tions is currently about 22%, which indicates an about 6 fold increase in less
than a decade. Several perovskite crystallines have been used as the absorber
in these cells, the most common of which is methylammonium lead trihalide,
CH3NH3PbX3 where X is a halogen element and can be iodine (I), bromine
(Br), or chlorine (Cl).52 This perovskite crystalline can be inexpensively man-
ufactured. One of the major advantages of these cells is that their band gap
can be controlled by the halogen atoms in the crystalline structure. The pres-
ence of lead (Pb) atom in the structure, which is a hazardous heavy metal, is
one of the concerns for this specific crystalline. One of the main promises of
this technology is that it can be manufactured by relatively simple and inex-
pensive printing or coating processes from a solution, similar to organic solar
cells. However, perovskite solar cells suffer from a short lifetime and low
stability under outdoor operating conditions (again similar to organic solar
cells). While this technology has not been commercialized yet, it has a great
potential to make a significant impact on the industry and currently many
research groups are working to improve its performance.

11.2.12.5 Dye-Sensitized Solar Cells

Dye-sensitized solar cells (DSSC), sometimes referred to as Grätzel cells after
its co-inventor Michael Grätzel (1944, a Swiss chemist) who invented the tech-
nology along with Brian C. O’Regan (an American chemist), can be made as
translucent and flexible cells. These attributes open many new applications,
particularly in building integrated photovoltaics (BIPV). The best efficiency
they have achieved is about 15%. They can be manufactured using print-
ing processes. While most of the materials needed in their manufacturing
are inexpensive, they still need a small amount of platinum and ruthenium.
They currently suffer from a short lifetime and involvement of some haz-
ardous materials in their manufacturing processes. While they are far from
commercialization, the progress in the field are expected to continue. This is
another promising future technology for solar cells.

11.2.12.6 Quantum Dot Solar Cells

The quantum dot technology has been developed based on recent advance-
ments in nanotechnology (based on the principles of quantum mechanics).
Quantum dots are nanoparticle semiconductors. Unlike bulk semiconductors
whose band gap is only determined by the material type, in quantum dots the
band gap depends on both the material and the size of particles. This allows
adjusting the band gap by changing the size of the particles, which provides
flexibility to develop appropriate materials to fabricate solar cells. Some of the

Al-Amri, A.M., B. Cheng, and J.-H. He. “Perovskite methylammonium lead trihalide hetero-
52

structures: Progress and challenges.” IEEE Transactions on Nanotechnology 18 (2018): 1–12.

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previously discussed semiconductors, such as cadmium telluride (CdTe) and

cadmium sulfide (CdS), have been successfully utilized to make quantum
dots. They have been used to manufacture multi-junction solar cells. While
currently the highest efficiency they have achieved is about 13%, theoretically
they can achieve extremely high efficiency with inexpensive fast printing man-
ufacturing methods. While far away from commercialization, they can pro-
vide a pathway for future highly efficient affordable solar PV units.

11.2.12.7 Hybrid PV Systems
Solar PV units can be combined with a variety of other power generation
systems to improve their performance. They can be integrated to other elec-
tricity generation systems to provide smoother power production. In off-
grid applications, this can result in no electricity storage unit (i.e., battery
bank) or smaller required storage capacity. They can be combined with die-
sel generators, fuel cells, or hydro turbines so these units can provide the
required power when PV units are not operational. A hybrid solar PV array
and wind turbine system can be used so they can complement each other.
Alternatively, solar PV units can be combined with other thermal units to
use the solar thermal energy absorbed by solar arrays. These systems are
referred to as hybrid solar photovoltaic/thermal (PV/T) units. While pro-
viding thermal energy, they also help to cool PV modules to improve their
efficiency and reduce their rate of degradation. The produced thermal energy
can be utilized for space heating or cooling, heat pumps, water desalination
units, thermoelectric units, or solar greenhouses.

11.2.12.8 Comparison of Various Solar Cell Technologies and Their Future

Figure 11.49 clearly illustrates the efficiency of various solar cell technologies
between 1975 and 2018. Please try to follow the trends in the improvement of
the efficiency of each type that we have learned about. The three generations
of solar cells along with multi-junction cells are distinguished with differ-
ent colors. Also, notice the difference between the efficiencies when cells are
exposed to concentrated or non-concentrated light and the fact that for the
same technology, the former always has a higher efficiency. The diagrams
indicate that generally speaking, the conventional cell technologies expe-
rienced a significant and continuous increase in their efficiency in the last
quarter of the 20th century and then their efficiencies have been primarily
flat. Many new technologies in the past decade have experienced similarly
steep increase in their efficiency. This growth is expected to continue until
these technologies are mature. However, this diagram does not show whether
these improvements are accompanied by increase in the cost of systems. This
is a very important factor that can determine the economic viability of each
technology. Regardless of impressive improvements in new technologies, it is
expected that in the short-term future, crystalline silicon units will continue
to dominate the market. However, new technologies will gradually gain some
Solar Energy and Photovoltaic Solar Units

FIGURE 11.49
Efficiency of various solar cell technologies between 1975 and 2018. (Source: NREL, https://www.nrel.gov/pv/assets/images/efficiency-chart.png.)
861
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small share of the market until one or several technologies can prove their
technical viability and economic parity with traditional technologies.

11.3 Extra Learning Resources

11.3.1 Nature of Solar Energy

• Seeing Equinoxes and Solstices from Space (a video from NASA)

https://www.youtube.com/watch?v=FmCJqykN2J0
• You can find the magnetic declination of your location at http://
www.magnetic-declination.com/
• You can find a lot of useful information about the tilt angle of solar
devices at https://www.solarpaneltilt.com/.
• You can find a lot of useful information about various aspects of
solar energy at https://www.builditsolar.com/.
• In the U.S., National Renewable Energy Laboratory (NREL) has
published the long-term solar data along with weather data as the
typical meteorological year version 3 (TMY3) at https://rredc.nrel.
gov/solar/old_data/nsrdb/1991-2005/tmy3/. The user manual for
TMY3 data sets can be accessed at https://www.nrel.gov/docs/
fy08osti/43156.pdf
• NREL has published irradiance data for many cities in the U.S. in
a report entitled “Solar Radiation Data Manual for Flat-Plate and
Concentrating Collectors accessible at https://www.nrel.gov/docs/
legosti/old/5607.pdf
• A wide variety of insolation maps are available at NREL website,
https://www.nrel.gov/gis/solar.html
• You can also find interactive insolation maps at the Department
of Energy (DOE) website at https://www.energy.gov/maps/
solar-energy-potential

11.3.2 Solar Photovoltaic Power Generation

• Courses on various aspects of solar PV systems:

• Solar Energy Basics (Coursera.org)53
• Introduction to solar cells (Coursera.org)

This course provides useful information on the structure of the industry and certification
53

process.
Solar Energy and Photovoltaic Solar Units 863

• Photovoltaic solar energy (Coursera.org)

• Physics of silicon solar cells (Coursera.org)
• Organic Solar Cells – Theory and Practice (Coursera.org)
• Series of courses on Solar Energy (edx.org offered by TUDelft)
• This website contains an amazing collection of videos and photos
of industrial production processes: https://www.pveducation.org/
• This website contains incredibly informative virtual instruments to
illustrate impacts of various parameters on the performance on PV
cells: https://infinitypv.com/learn/virtual-tools
• If you are interested in the certification processes for the PV industry,
here are some resources to start with:
• National Roofing Contractors Association (NRCA) http://www.
nrca.net/
• North American Board of Certified Energy Practitioners
(NABCEP) Associate Handbook: http://www.nabcep.org/wp-
content/uploads/2018/01/ASSOCIATE-HANDBOOK-1.2018.1.pdf
• North American Board of Certified Energy Practitioners
(NABCEP) Photovoltaic Associate™ (PVA™) Program: https://
www.nabcep.org/certifications/associate-program/, http://
www.nabcep.org/wp-content/uploads/2018/01/NABCEP-PV-
Associate-JTA-9-13-17.pdf
• Some useful short YouTube videos (there are plenty more and
counting. Try your luck on each topic):
• How Solar Panels Work: https://www.youtube.com/watch?v=
JxOTulMExWU&
• How Does a Transistor Work? https://www.youtube.com/watch
?v=IcrBqCFLHIY&feature=youtu.be&t=1m0s
• How It’s Made – Solar Panels: https://www.youtube.com/
watch?v=qZgWC-Cxd44
• Wafer manufacturing process: https://www.youtube.com/
watch?v=3TOpg1niATg
• Solar cell manufacturing and solar panel production by Suntech:
https://www.youtube.com/watch?v=fZ1SC-vUe_I
• Juno: Making Solar Power History: https://www.youtube.com/
watch?v=ka6OERznXh4
• How It’s Made – Foldable Solar Panels: https://www.youtube.
com/watch?v=Lk--SiDQU40
• Roll and roll to roll coater – making a solar cell: https://www.
youtube.com/watch?v=qe1l3kRMeeU
• Constructing a Dye-Sensitized Solar Cell: https://www.youtube.
com/watch?v=17SsOKEN5dE
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11.4 Questions and Problems

11.4.1 Nature of Solar Energy

11.1. Define solar irradiance.

11.2. What is the origin of solar energy?
11.3. The energy released by the Sun for the practical purposes of solar
energy utilization on Earth can be safely assumed constant.
a. True
b. False
11.4. The solar constant is a fixed physical constant.
a. True
b. False
11.5. We know that the Sun releases 3.828 × 1026 W of radiation. If the aver-
age distance between the Sun and Earth is 1.496 × 1011 m, determine
the solar power received on Earth per unit of area (solar irradiance
in W/m2).
11.6. The solar irradiance outside Earth’s atmosphere is measured by a
satellite to be 1363.4 W/m 2. If at the moment of the measurement,
the satellite is 149.5 million kilometers from the Sun, determine the
total radiation released by the Sun.
11.7. Explain why the seasonal changes in weather patterns cannot be
attributed to the distance that solar radiation should travel between
the Sun and Earth.
11.8. Explain why it is very challenging to use solar PV arrays to power
space missions in the solar system beyond Jupiter.
11.9. Earth is closest to the Sun in January and is farthest in July.
a. True
b. False
11.10. The axes of rotation of Earth around itself and around the Sun are
parallel.
a. True
b. False
11.11. What is the ecliptic axis (EA)?
Solar Energy and Photovoltaic Solar Units 865

11.12. Show Earth’s polar axis (PA), ecliptic axis (EA), ecliptic plane (EP),
and inclination in the following figure.

11.13. What is Earth’s axial tilt? What is its numerical value?

11.14. Explain why Earth is sometimes tilted toward the Sun and some-
times titled away from it.
11.15. When is the northern hemisphere most exposed to solar radiation?
11.16. Which one is not correct about the June solstice in the northern
hemisphere?
a. On this day, the northern hemisphere is most exposed to solar
radiation.
b. Earth is most tilted away from the Sun.
c. It is the longest day and the shortest night of the year.
d. The angle between solar rays and the normal line to the surface
of Earth (horizon) is the smallest possible.
e. It is when the highest solar irradiance can be observed.
11.17. When is Earth tilted neither toward nor away from the Sun?
11.18. If the axial tilt of Earth was 0°, …...
a. days would be always longer than nights
b. days would be always shorter than nights
c. the duration of days and nights would be varied
d. days and nights would be always 12 hours
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11.19. Explain why the duration of day and night changes throughout a
year.
11.20. When it is winter in the northern hemisphere, it is ….. in the south-
ern hemisphere.
a. spring
b. fall
c. winter
d. summer
11.21. On which days are the length of day and night almost the same?
11.22. Explain why the North and South Poles are the coldest places on
Earth.
11.23. The maximum solar incident occurs when the Sun is directly over-
head during the …….
a. summer solstice
b. winter solstice
c. vernal equinox
d. autumnal equinox
11.24. What is the tilt angle for a solar energy receiving device? Show it in
a schematic diagram.
11.25. For fixed solar energy receiving devices, the device should be always
orientated toward true ….. in the northern hemisphere
a. west
b. east
c. north
d. south
11.26. What is the difference between the magnetic north and the true
north? How can each one be determined?
11.27. Solar collectors are either non-concentrating or concentrating.
a. True
b. False
11.28. Define the magnetic declination.
11.29. If the objective of a solar device is to maximize the annual inter-
cepted solar energy, the best tilt angle is equal to the latitude of the
site.
a. True
b. False
Solar Energy and Photovoltaic Solar Units 867

11.30. For photovoltaic panels installed in a hot region where the peak load
happens in summer, the tilt angle of the device should be ……. the
latitude.
a. smaller than
b. larger than
c. equal to
11.31. Define the air mass coefficient or air mass (AM).
11.32. Air mass 0 or AM0 refers to the solar spectrum on the surface of
Earth with irradiance equal to the solar constant.
a. True
b. False
11.33. The solar spectrum when radiation passes through the atmosphere
normal to Earth’s surface is …..
a. AM0
b. AM1
c. AM1.5
d. AM2
11.34. In the following figure which sun shows AM1?

SUN

Atm
osp
her
e

Earth

11.35. What is the air mass coefficient for the STC?

a. AM2
b. AM1.5
c. AM1
d. AM0
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11.36. What is the angle of solar radiation and the line perpendicular to the
surface of Earth for AM2.5?
11.37. What is direct radiation or beam radiation? How is it different from
diffuse or indirect radiation?
11.38. What is global radiation?
11.39. Define the clearness index.
11.40. Explain why for pure diffuse light, the optimum tilt angle of solar
energy receiving devices is when the surface is parallel to the ground
(horizon) facing the sky.
11.41. Name two classes of detectors used to measure solar irradiance.
Explain the working principles of each type.
11.42. What is global horizontal irradiance (GHI)? How is it measured?
11.43. What is diffuse horizontal irradiance (DHI)? How is it measured?
11.44. How can direct normal irradiance (DNI) be measured?
11.45. Using the insolation maps in this chapter, identify the regions in the
U.S. that are receiving the highest and lowest irradiance.
11.46. Describe what solar energy maps or insolation maps are and how
they can be used.

11.4.2 History of Solar Photovoltaic Power Generation

11.47. What makes solar photovoltaic power generation an ideal electricity

production technology?
11.48. Why are solar photovoltaic cells an ideal power source for extrater-
restrial applications?
11.49. The first spacecraft powered by solar cells was ….
a. Sputnik 1 – USSR
b. Explorer 1 – U.S.A.
c. Vanguard 1 – U.S.A.
d. Explorer 1 – U.S.A.
11.50. Which one is not a factor in the growth of solar photovoltaic power
generation in the past two decades?
a. The reduction of manufacturing costs.
b. The increase of the cost of electricity generated by conventional
fossil fuel power plants.
c. The incentives provided in federal (national) and state (regional)
levels.
d. Growing environmental concerns about fossil fuel-based elec-
tricity generation.
Solar Energy and Photovoltaic Solar Units 869

11.51. Which country has the largest added installed capacity of

photovoltaic power generation units in 2018?
11.52. Which country has the largest total installed capacity of
photovoltaic power generation units in 2018?
11.53. Which country has the largest total installed capacity of
photovoltaic power generation units per capita in 2018?

11.4.3 Applications of Photovoltaic Solar Cells

11.54. Explain the concept of grid parity for an electricity generation unit?
11.55. What is distributed or decentralized electricity generation?
11.56. Which one has the largest contribution to the electricity produced
from photovoltaic cells in the U.S.?
a. Grid-connected units
b. Off-grid units
11.57. Which type of PV units currently has the greatest share of the
market?
a. Distributed generation
b. Utility-scale generation
11.58. Which one is not a characteristic of ground-mounted photovoltaic
units?
a. They can be utility-scale power generators.
b. They are easier to maintain.
c. They can be installed in otherwise unused lands.
d. They are typically at or near the load.
e. They can be equipped with sun tracking systems.
11.59. Which ones are characteristics of building-mounted photovoltaic
units?
a. They can be utility-scale power generators.
b. They are easier to maintain.
c. They can be installed on otherwise unused rooftop of buildings.
d. They are typically at or near the load.
e. They can be equipped with sun tracking systems.
11.60. Which one must have a battery storage system?
a. An on-grid unit
b. An off-grid unit
c. Both a and b
d. Neither a nor b
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11.61. Which one can have a battery storage system?

a. An on-grid unit
b. An off-grid unit
c. Both a and b
d. Neither a nor b
11.62. Which one needs an inverter in a residential application?
a. An on-grid unit
b. An off-grid unit
c. Both a and b
d. Neither a nor b

11.4.4 Principles of Solar Photovoltaic Cell Operation

11.63. Define the following terms.

• Energy bands
• Forbidden bands
• Valence band
• Conduction band
11.64. Which band has higher energy?
a. Conduction band
b. Valence band
11.65. Label the following diagram using energy bands, forbidden bands,
conduction band, and valence band.

C
Electron energy

V
Solar Energy and Photovoltaic Solar Units 871

11.66. Which of the following electron energy diagrams shows conductor,

semiconductor, and insulator?

C
C C
Electron energy

V
V V
{

11.67. Which type of material has a large band gap between the conduc-
tion and valance bands?
a. Conductor
b. Semiconductor
c. Insulator
11.68. In which type of material the conduction and valance bands can
overlap?
a. Conductor
b. Semiconductor
c. Insulator
11.69. Describe the atomic structure and conductivity of silicon using the
following figure.

Nucleus

Valence
electron
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11.70. Explain the electron-hole pair generation process.

11.71. Describe the difference between direct and indirect semiconductors.
11.72. Explain how n-type and p-type semiconductors are different.
11.73. What type of semiconductors is shown in the following schematic?

a. n-type
b. p-type
11.74. What is the typical ratio of the number of atoms of silicon to that of
dopants in a doped silicon semiconductor?
a. 10
b. 103
c. 105
d. 106
11.75. An electron-hole pair is created on the p-n junction of a solar cell.
The electron moves toward …...
a. n-side
b. p-side
c. does not move
d. can move on either side
11.76. A substance is a semiconductor if its band gap is …....
a. zero
b. very small
c. very large
d. within a certain range
11.77. Why do we need a p-n junction in a solar cell?
11.78. Explain how an electric field is formed in a p-n junction in a solar
cell. What is the function of this electric field?
Solar Energy and Photovoltaic Solar Units 873

11.79. In the following schematic identify which side is the n-type semi-
conductor. Why?

11.80. Describe the internal structure and components of a solar PV cell.

11.81. What are the functions of the two electrodes (contacts) in a solar
PV cell?
11.82. Which one is thinner in a silicon PV cell, the n-type semiconductor
or the p-type semiconductor? Why?
11.83. Explain what happens when sunlight strikes a solar PV cell.
11.84. Which side of a solar PV cell does light strike first?
11.85. The energy of each photon is only a function of the light …...
a. wavelength
b. intensity
c. size
d. origin
11.86. A photon from sunlight strikes the p-n junction of a solar cell.
Depending on the energy of the photon and the band gap of the
semiconductor, three scenarios may take place. Describe these
scenarios. Which one is the best case scenario (minimal energy
losses)?
11.87. Photon A has higher energy than photon B. Which one has a larger
wavelength?
a. A
b. B
c. Either a or b
11.88. Explain how the band gap of a semiconductor that a solar cell is
made of and the energy of the light photons impact the power
production and the efficiency of the cell.
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11.89. A photon strikes a solar cell, when can the cell produce maximum
output?
a. When the photon energy is larger than the band gap.
b. When the photon energy is smaller than the band gap.
c. When the photon energy is equal to the band gap.
d. When the photon energy is not equal to the band gap.
11.90. A helium-neon laser beam has a wavelength of 633 nm. Determine
the photon energy of solar radiation in J and eV. Determine the num-
ber of photons per second in the light if the light energy is 1 W.
11.91. In the previous problem, determine the maximum possible elec-
tric power that can be generated if a solar cell made of crystalline
silicon is illuminated with this light (with the band gap of 1.1 eV).
Also, determine the maximum theoretical efficiency possible in
the cell.
11.92. Derive an equation to directly determine the energy of photons in
eV as a function wavelength in μm.
11.93. Using the equation from the previous problem, determine the maxi-
mum electrical power (in W) that can be generated if the light with
the wavelength of 0.3 and 2.5 μm strikes a solar cell made of crystal-
line silicon (with the band gap of 1.1 eV). Also, determine the maxi-
mum theoretical efficiency that can be achieved in the cell for each
case.
11.94. Determine the wavelength of a photon that has energy equal to the
band gap of crystalline silicon in μm. The band gap of crystalline
silicon is 1.1 eV.
11.95. Determine the wavelength of a photon in μm that has energy equal
to the optimum band gap of the semiconductor that operates under
the solar spectrum (about 1.4 eV).
11.96. Determine the number of photons per second in the light with the
wavelength of 2.5 μm if the light energy is 10 W.
11.97. In the previous problem, determine the maximum possible elec-
tric power that can be generated if a solar cell made of crystalline
silicon (with the band gap of 1.1 eV) is illuminated with this light.
Also, determine the maximum theoretical efficiency possible in
the cell.
11.98. Determine the number of photons per second in the light with the
wavelength of 880 nm if the light energy is 1 kW. Also, determine the
maximum theoretical efficiency that can be achieved in the cell for
two cases; when the cell is made of germanium (with the band gap
of 0.7 eV) and gallium arsenide (with the band gap of 1.4 eV).
11.99. What are two general groups of losses in solar cells?
Solar Energy and Photovoltaic Solar Units 875

11.100. Why using a very low band gap semiconductor may not improve
the efficiency of a solar cell while it can help to absorb photons
with a wide range of wavelengths?
11.101. Why using a very large band gap semiconductor may not improve
the efficiency of a solar cell while it can help to convert more energy
of the photons that are absorbed?
11.102. How do the surface reflection and blockage contribute to losses in
solar cells?
11.103. What are two factors that contribute to the recombination of elec-
tron and hole pairs in a solar cell?
11.104. The carrier lifetime or diffusion length of a solar cell is very strong
functions of the temperature of the cell.
a. True
b. False
11.105. Why should typically the thickness of a solar cell be in the order of
the diffusion length of the semiconductor?
11.106. Define the packing factor of a solar panel. Why is this factor
important?

11.4.5 Electricity Generated in Photovoltaic Solar Cell

11.107. Explain how the load’s resistance can influence the power genera-
tion of a PV cell.
11.108. What is current density? What is its unit? Why is it often used in
creating solar cell characteristic curves?
11.109. Why is the current-voltage curve of a solar cell important? What
can we learn from them (be specific on the parameters)?
11.110. What is a source measure unit (SMU)?
11.111. How can the open-circuit voltage (VOC) be measured?
11.112. Explain what the short-circuit current is and how it can be
measured.
11.113. Which statement is correct about the short-circuit current?
a. The current when the load is maximum.
b. The current when the voltage is maximum.
c. The current when power generation is maximum.
d. It is the maximum current of a solar cell.
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11.114. In the following I-V curve for a solar cell, label points A to E.

E
D C

B A V

Answer the following questions, 11–115 to 11–117, using the above

curve.
11.115. Which parameter is associated with point E?
a. open-circuit voltage (VOC)
b. short-circuit current (ISC)
c. current of the maximum power point (Impp)
d. voltage of the maximum power point (Vmpp)
e. maximum power point (MPP)
11.116. Which points correspond to the current and voltage of the maxi-
mum power point, respectively?
a. A and C
b. B and D
c. C and E
d. A and D
e. D and A
11.117. Which point corresponds to the short-circuit current?
a. A
b. B
c. C
d. D
e. E
11.118. What is the function of a maximum power point tracking circuit?
11.119. What are solar simulators? Why and when are they used?
Solar Energy and Photovoltaic Solar Units 877

11.120. The maximum power point is a state of a solar cell operation when
…..
a. both the current and voltage are maximum.
b. either the current or voltage is maximum.
c. the term current × voltage (IV. is maximum.
d. the term current/voltage (I/V) is maximum.
11.121. Explain why in the power-voltage curve the generated power
varies nearly linearly between V = 0 and V = VMPP.
11.122. Which statements are not correct?
a. The power generation at ISC and VOC is zero.
b. ISC is the maximum possible current that a solar cell can achieve.
c. The maximum power that a solar cell can produce is equal to
ISC × VOC.
d. The maximum power that a solar cell can generate is either at
ISC or VOC.
11.123. The following diagram shows the I-V curve of a solar photovoltaic
system at an operating temperature of 45°C. Determine the follow-
ing parameters: the short-circuit current (A), the open-circuit volt-
age (V), the maximum power generation (W), the current of the
maximum power point (A), and the voltage of the maximum power
point (V). Also, draw the generated power curve in the diagram.

5
Current (A)

0
0 10 20
Voltage (V)
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11.124. If the light intensity reduces, the current generated by a solar cell
will ….
a. increase
b. decrease
c. mostly remain unchanged
11.125. If the light intensity reduces, the voltage of the cell will ….
a. increase
b. decrease
c. mostly remain unchanged
11.126. A solar PV module specification sheet lists the open-circuit
voltage and short-circuit current as 22 V and 8 A, respectively.
The temperature coefficient of these parameters are −0.08 V/°C
and 0.003 A/°C, respectively. Determine the open-circuit voltage
and short-circuit current if the module operating temperature
is 55°C.
11.127. The following values are provided from a specification sheet
provided by a manufacturer of a solar PV module at the STC.
Determine the open-circuit voltage, short-circuit current, and max-
imum power if the module operating temperature is 42°C.

VMPP = 30 V

I MPP = 8.5 A

VOC = 37 V

I SC = 9 A

Temperature coefficient of VOC = −0.3%

Temperature coefficient of ISC = 0.05%
Temperature coefficient MPP = −0.4%
11.128. Which of the following conditions is set by the standard test
conditions (STC) for solar cells? (check all applicable conditions)
a. 0.85 kW/m²
b. 1 kW/m²
c. AM 2
d. AM 1.5
e. 25°F
f. 25°C
Solar Energy and Photovoltaic Solar Units 879

11.129. Select all the important factors in the accuracy of a solar simulator.
a. Intensity match
b. Temperature match
c. Spectral match
d. Electricity generation match
e. Temporal uniformity
f. Short-circuit uniformity
g. Spatial uniformity
11.130. For a solar simulator, a light intensity match is a sufficient factor to
achieve an accurate result from the efficiency test.
a. True
b. False
11.131. What are the generated current and voltage for a typical single
silicon solar cell?
11.132. Five similar solar cells each with the current and voltage of 8 A and
0.5 V are connected in series. What is the current and voltage of the
entire system, respectively?
a. 8 A and 0.5 V
b. 8 A and 2.5 V
c. 40 A and 0.5 V
d. 40 A and 2.5 V
11.133. Five similar solar cells each with the current and voltage of 8 A and
0.5 V are connected in series. What is the power generation of the
entire system?
a. 4 W
b. 10 W
c. 20 W
d. 40 W
11.134. Eight series strings each containing five similar solar cells are con-
nected in parallel. If each cell has a current and voltage of 8 A and
0.5 V, determine the current and voltage of the entire system.
11.135. Eight series strings each containing five similar solar cells are con-
nected in parallel. If each cell has the current and voltage of 8 A
and 0.5 V, what is the power generation of the entire system?
a. 4 W
b. 20 W
c. 32 W
d. 160 W
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11.136. A solar panel with 36 similar solar cells produces 18 V. How many
cells are required in the panel if the desired voltage is 120 V (note
that in a solar panel, the cells are typically connected in series)?
a. 18
b. 36
c. 60
d. 72
11.137. Two solar panels are made of similar cells, one with 60 cells and
the other with 72 cells. The two solar panels are connected once in
series and once in parallel. The VOC and ISC of each individual cell
are given as follows. Determine the VOC and ISC when they are con-
nected in series and in parallel configurations.
VOC = 0.55 V

I SC = 8 A
11.138. How can the adverse effects of partial shadowing be eliminated?
a. By connecting the cells in series
b. By placing the entire system in the shadow
c. By mounting a bypass diode
d. By mounting a bypass resistor
11.139. Explain the function of a bypass diode in a solar panel.
11.140. A bypass diode can be mounted in a solar cell or panel to …...
a. increase current
b. increase voltage
c. increase power generation
d. reduce the effect of high temperature
e. reduce the effect of shadow
11.141. Eight series strings each containing five similar solar cells are con-
nected in parallel. Each cell has a current and voltage of 8 A and
0.5 V. Determine the current and voltage of the entire system if one
of the cells is totally shaded.
11.142. Eight series strings each containing five similar solar cells are con-
nected in parallel. Each cell has a current and voltage of 8 A and
0.5 V. What is the power generation of the entire system if one of
the cells is totally shaded?
a. 128 W
b. 140 W
c. 156 W
d. 160 W
Solar Energy and Photovoltaic Solar Units 881

11.143. Ten similar solar cells each with the current and voltage of 7 A and
0.6 V are once connected in parallel and once in series. What are the
rough power generation of the entire system if two of the cells are
shaded in the parallel and series configuration, respectively?
a. 42 and 0 W
b. 0 and 42 W
c. 0 and 33.6 W
d. 33.6 and 0 W
11.144. Determine the efficiency of a solar panel if the voltage and cur-
rent at the maximum power point for the panel are 30 V and 8 A,
respectively, at the STC. The area of the panel is 1.5 m2.
11.145. The solar cells on Vanguard satellite could generate about 1 W
electricity with an area of about 10 cm2. Determine the efficiency
of the cells if the extraterrestrial solar irradiance is assumed
1360 W/m2.
11.146. A solar panel with an area of 1.8 m2 has been rated 250 W at the
STC. What is the efficiency of the panel?
a. 45%
b. 25%
c. 18%
d. 13.9%
11.147. Determine the efficiency of a 100 cm2 solar cell that can generate
0.5 W electricity if the intensity of the incoming light is 0.7 kW/m2.
11.148. What is the definition of the efficiency of a solar cell or panel?
11.149. Determine the efficiency of a solar cell if the short-circuit current,
open-circuit voltage, and fill factor at the STC are 15 A, 40 V, and
0.8, respectively. Assume the area of the panel to be 2.5 m2.
11.150. In a solar cell, the current is …… dependent on incoming light
density.
a. linearly
b. logarithmically
c. exponentially
d. They are independent.

11.4.6 Balance of Plant for PV Systems

11.151. List components of the balance of plant (BOP) for a solar PV system?
11.152. Explain the function of a charge controller in an off-grid solar PV
installation.
11.153. What is the function of an inverter?
882 Power Plant Engineering

11.154. Which component is not required in a grid-tied PV unit?

a. Inverter
b. Battery
c. Mounting system
d. Monitoring system
11.155. The cost of inverters can be between ….. of the total system cost.
a. 5%–20%
b. 15%–25%
c. 20%–50%
d. 40%–65%
11.156. List different types of invertors.
11.157. What are the functions of a bidirectional electric meter?
11.158. Why are some PV systems equipped with a cooling system?
11.159. What is the function of sun tracking systems? List two types of sun
tracking systems.

11.4.7 Financial Models for Exchanging Generated

Solar Electricity with Utilities

11.160. In the net metering model ……

a. we always need two electric meters
b. we do not need any electric meter
c. we always need a bidirectional meter
d. we always need one meter that cannot be a bidirectional meter
11.161. In the net metering model, the annual electricity generation of a PV
unit in a building ……
a. is unlimited
b. is limited by the annual electricity consumption of the building
c. is limited by an agreed upon amount fixed in the contract
d. is limited by the size of the unit
11.162. The price of electricity sold to the utility in a net metering model
is … (select all correct items).
a. fixed and guaranteed for a number of years
b. fixed at a value less than the retail electricity price
c. increased at a rate less than the predicted rate of increase for the
electricity provided by the utility
d. equal to the retail price of electricity
Solar Energy and Photovoltaic Solar Units 883

11.163. A manufacturing firm has an office in a high-rise building with

no possibility of installing a PV array and a manufacturing facility
in suburb with a large space to install a PV array. Which financial
model provides the best economic return for the company? Explain
how the model works in this situation.
11.164. Who owns the PV unit in a power purchase agreement?
a. The building owner
b. The third-party developer
c. The state or federal government
11.165. Which factor is guaranteed in all three common financial models
for PV systems?
a. the price of the electricity sold to the utility
b. the price of the electricity purchased from the utility
c. the access to the grid to exchange electricity
d. the ownership of the PV system
11.166. Which of these financial models requires a battery storage system?
a. Feed-in tariff model
b. Net metering model
c. Power purchase agreement
d. None of the models

11.4.8 Sizing of Solar PV Systems

11.167. A house is equipped with 10 LED lights with the rated power of
10 W. If on average each light is on for 4 hours a day, determine
the annual electrical energy consumption and the cost of the con-
sumed electricity. The average cost of electricity for the building is
$0.15/kWh.
11.168. Determine the annual electrical energy consumption and the cost
of the consumed electricity for a coffee maker with the rated volt-
age and current of 120 V and 9 A, respectively. The coffee maker is
operated on average 45 minutes a day and the average cost of elec-
tricity for the building is $0.15/kWh. Compare the cost with that of
the previous problem and comment on the results.
11.169. The following table shows the specifications of appliances in a
house resulted from a building energy audit. Determine the annual
electricity consumption of the building.
884 Power Plant Engineering

Device Number of Device Rated Power (W) Usage Hours per Day (h)
LED lights 10 8 3.5
Air condition unit 1 400 6
Computer 2 200 4
Microwave 1 500 0.5
Coffee maker 1 950 0.5

11.170. The following table shows the monthly electricity consumption of

a residential building. Determine the annual and average monthly
electricity consumption of the building.

Month Monthly Electricity Consumption (kWh)

January 1276
February 1209
March 1089
April 989
May 1059
June 1505
July 2123
August 1990
September 1456
October 1434
November 1343
December 1092

11.171. A solar PV module manufacturer has listed an efficiency of 20%

in the published specification. But the installed PV system had an
actual efficiency of 17%. Assuming that the reported efficiency by
the manufacturer is honest, explain the discrepancy and list some
of the important factors.
11.172. A solar panel has an efficiency of 19% listed in its specification
sheet. What would be the likely efficiency of the unit in actual
operating conditions?
a. 25%
b. 22%
c. 15%
d. 8%
11.173. An annual electricity consumption of a house is 11,000 kWh. If
the owner wants to produce 70% of that energy from a solar array
with an external efficiency of 77%, determine the annual electrical
energy that the solar array needs to generate.
Solar Energy and Photovoltaic Solar Units 885

11.174. How much energy a 5 kW array can generate weekly if it is located
in an area with an average solar intensity of 6.5 kWh/m2/day?
Assume the external losses are negligible.
11.175. A residential unit in Kentucky is equipped with a 6 kW solar
array. What is the annual electricity generation if the external effi-
ciency of the unit is 82% (in kWh/year)? Use the sunlight hour of
4 h/day.
a. 244.9
b. 1197.2
c. 1795.8
d. 7183.2
e. 8760
11.176. In an off-grid PV array designed for a remote house, both DC- and
AC-powered appliances are utilized. If the losses of generated
electricity in various parts of the system are as follows, determine
the overall efficiency of the system in PV-to-DC load, PV-to-AC
load, PV-to-battery-to-DC load, and PV-to-battery-to-AC load
modes.
• 3% loss in the distribution system
• 25% loss in the storage and recovering of power in the battery
bank
• 7% loss in the inverter

11.4.9 First Generation: Crystalline Silicon-Based PV Cells

11.177. What type of solar cells is referred to as the first generation?

11.178. Which ones are the characteristics of crystalline silicon PV
modules? (check all the correct ones)
a. High reliability
b. Abundance of raw materials
c. High flexibility
d. High efficiency
e. High stability
f. Energy-efficient manufacturing process
11.179. Name two types of crystalline silicon photovoltaic solar cells.
11.180. Which type of crystalline silicon PV cells has higher efficiency?
a. Polycrystalline
b. Monocrystalline
886 Power Plant Engineering

11.181. What type of solar modules is shown in this figure?

a. Monocrystalline silicon modules
b. Polycrystalline silicon modules
c. Amorphous silicon modules
d. Cadmium telluride modules

(Image by Hans Braxmeier from Pixabay, https://pixabay.com/photos/solar-cells-technology-

current-62559/)

11.182. Briefly explain the manufacturing processes for polycrystalline

silicon and monocrystalline silicon solar cell.
11.183. Explain why metallurgical-grade silicon is not suitable to directly
manufacture silicon wafers.
11.184. Explain why polysilicon is not suitable to directly manufacture
silicon wafers and what the further required processes are.
11.185. Briefly explain the similarities and differences of the manufac-
turing processes for polycrystalline silicon and monocrystalline
silicon solar PV modules.
11.186. Explain why silicon wafer thickness cannot be reduced below
certain limits from both performance and manufacturing points
of view.
11.187. Explain how the ribbon silicon technology reduces losses in the
manufacturing of multi-crystalline silicon wafers.
11.188. Define the energy payback period. Why is it important? What is its
value for current crystalline silicon solar units?
11.189. Which technology has higher semiconductor consumption during
the manufacturing process?
a. First generation
b. Second generation
Solar Energy and Photovoltaic Solar Units 887

11.4.10 Second Generation: Thin Film Solar PV Cells

11.190. Which technology has lower energy consumption during the

manufacturing process?
a. First generation
b. Second generation
11.191. The energy payback period for thin film solar cells or second-
generation solar cells is very short.
a. True
b. False
11.192. Select the characteristics of thin film solar cell technologies.
a. Low thickness
b. Flexibility
c. Short energy payback period
d. Low cost
e. High efficiency
11.193. Which one of the following solar PV types is considered a second-
generation technology? (check all correct answers)
a. Monocrystalline silicon cells
b. Polycrystalline silicon cells
c. CIGS
d. CdTe
e. a-Si
11.194. What is the difference between a heterojunction and a homojunc-
tion (p-n junction)?
11.195. CdTe cells are considered a …. PV technology.
a. first-generation
b. second-generation
c. third-generation
11.196. Identify the p-n junction of the following CIGS solar cell.

Light

Front contact
CdS

CIGS

Rear contact
Substrate
888 Power Plant Engineering

11.197. The manufacturing of which type of solar cells is more energy

intensive?
a. Monocrystalline silicon modules
b. Polycrystalline silicon modules
c. Cadmium telluride modules
11.198. Which type of solar cells is more efficient?
a. Monocrystalline silicon modules
b. Polycrystalline silicon modules
c. Amorphous silicon modules
11.199. Rank the following solar PV cells based on their efficiency (highest
to lowest).
a. Monocrystalline silicon modules
b. Polycrystalline silicon modules
c. Amorphous silicon modules
11.200. Which one of the following materials is used in the second-
generation PV units? (check all correct answers)
a. Monocrystalline silicon cells
b. Polycrystalline silicon cells
c. CIGS
d. CdTe
e. a-Si
11.201. Which one of the following solar PV types has a heterojunction
(p-n junction)? (check all correct answers)
a. Monocrystalline silicon cells
b. Polycrystalline silicon cells
c. CIGS
d. CdTe
e. a-Si
11.202. Rank the following thin film solar cell technologies according to
the efficiency of commercial modules.
a. CIGS
b. CdTe
c. a-Si
Solar Energy and Photovoltaic Solar Units 889

11.203. Rank the following type of solar cells according to their share of
market from the highest to lowest.
a. Monocrystalline silicon
b. Multi-crystalline silicon
c. CIGS
d. CdTe
e. Amorphous silicon

11.4.11 Third Generation: Emerging Solar Cell Technologies

11.204. A multi-junction solar cell is made of the following semiconductors

Semiconductor A with a band gap of 0.7 eV
Semiconductor B with a band gap of 1.4 eV
Semiconductor C with a band gap of 1.9 eV
What is the required order of the semiconductors (top to bottom)?
a. A-B-C
b. C-B-A
c. A-C-B
d. C-A-B
11.205. What are the major benefits of organic solar cells?
a. Rapid manufacturing
b. Inexpensive manufacturing
c. High efficiency
d. Flexibility
e. Short energy payback period
f. Stability
11.206. Which solar PV cell type currently has the highest efficiency in the
cell level in laboratory conditions?
a. Multi-crystalline silicon
b. Monocrystalline silicon
c. Amorphous silicon
d. CdTe
e. CIGS
f. Multi-junction
g. Organic
h. Perovskite
i. Quantum dot
890 Power Plant Engineering

11.4.12 Open-Ended Questions

11.207. Conduct a search for solar cell in Google Patent (https://patents.

google.com) by limiting the period to 1850–1940. Report at least
three of them. How many patents did you find? What is the oldest
patent? Pick one patent, read through it and then prepare a short
report on the subject of the patent. Compare your choice with a
recent relevant patent.
11.208. Based on what you learned in this chapter, how do you think the
future of commercial solar PV technologies will look like? In the
next 10 years? Next 20 years? Next 50 years? By the end of the 21st
century?
11.209. You are asked to design a PV array for a recreational vehicle (RV).
What type of solar cells will you choose? Justify your answer.
11.210. You are asked to design a PV system for on foot disaster relief first
responders. What type of solar cells will you choose? Justify your
answer.

11.4.13 General

11.211. The following curves show the current of a solar cell versus its
voltage. Determine the short-circuit current, open-circuit voltage,
maximum power, and filling efficiency of the cell. How the output
power can be improved?

1.75

1.5

1.25

0.75

0.5

0.25
0
0

0.05

0.1

0.15

0.2

0.25

0.3

0.35

0.4

0.45

0.5

0.55

0.6

11.212. Explain why about half of silicon is lost during the manufacturing
of monocrystalline and polycrystalline silicon solar cells. How does
the ribbon silicon manufacturing process address this problem?
Solar Energy and Photovoltaic Solar Units 891

11.213. The efficiency of solar cells ….. with increase in the operating
temperature.
a. increases
b. decreases
c. remains unchanged
d. independent
11.214. Identify the p-n junction(s) of the following a-Si solar cell.

Superstrate
Front contact
a-Si doped with boron
i-Si
a-Si doped with phosphorous
Rear contact

11.215. What type of solar modules is shown in this figure?

a. Monocrystalline silicon module
b. Polycrystalline silicon module
c. Amorphous silicon module
d. Cadmium telluride module

(Image by Valentin J-W from Pixabay, https://pixabay.com/photos/solar-cells-energy-solar-

energy-4518991/)

11.216. Which solar cell type currently has the highest efficiency for
commercial modules for residential applications?
a. Multi-crystalline silicon
b. Monocrystalline silicon
c. Amorphous silicon
d. CdTe
e. CIGS
f. Multi-junction
g. Organic
h. Perovskite
i. Quantum dot
892 Power Plant Engineering

11.217. What are the typical efficiencies for commercial multi-crystalline

silicon and monocrystalline silicon modules? Explain why they are
different.
11.218. In the below I-V curve for a solar cell identify the points that
correspond to the following parameters:

E
D C

B A V

a. Voc:
b. ISC:
c. MPP:
d. VMPP:
e. IMPP:
11.219. In the above I-V curve which point corresponds to the open-circuit
voltage?
a. A
b. B
c. C
d. D
e. E
11.220. In the above I-V curve which parameter is associated with point B?
a. open-circuit voltage (VOC)
b. short-circuit current (ISC)
c. current of the maximum power point (IMPP)
d. voltage of the maximum power point (VMPP)
e. maximum power point (MPP)
Solar Energy and Photovoltaic Solar Units 893

11.221. In the above I-V curve which point corresponds to the maximum
current?
a. A
b. B
c. C
d. D
e. E
11.222. In the above I-V curve which points correspond to the maximum
current and voltage, respectively?
a. A and C
b. B and D
c. C and E
d. A and E
e. D and A
11.223. Five series strings each containing four similar solar cells are con-
nected in parallel. If each cell has the current and voltage of 8.5 A
and 0.55 V, what is the power generation of the entire system?
a. 4.675 W
b. 18.7 W
c. 23.375 W
d. 93.5 W
11.224. For a solar water heater in a cold region where more thermal energy
is required in winter, the tilt angle of the device should be ……. the
latitude.
a. smaller than
b. larger than
c. equal to
11.225. Explain the difference between elemental and compound
semiconductors.
11.226. What type of solar units would you recommend for a residential
application where the rooftop space is limited but financing the
project is relatively easy?
a. Multi-crystalline silicon modules
b. Monocrystalline silicon modules
c. Amorphous silicon
d. CdTe modules
e. CIGS modules
f. Multi-junction modules
894 Power Plant Engineering

11.227. Which model is designed to encourage early adaptors?

a. Feed-in tariff model
b. Net metering model
c. Power purchase agreement
d. None of the models
11.228. How much usable energy an 80 kW array can monthly gener-
ate, if it is located in an area with an average solar intensity of
4.5 kWh/m2/day and it has an external efficiency of 88%?
11.229. List the benefits of using silicon to manufacture solar modules.
11.230. Which one of the following solar PV types has a homojunction
(p-n junction)? (check all correct answers)
a. Monocrystalline silicon cells
b. Polycrystalline silicon cells
c. CIGS
d. CdTe
e. a-Si
11.231. Monocrystalline silicon cells are considered a …. PV technology.
a. first-generation
b. second-generation
c. third-generation
11.232. With an increase in the operating temperature of a solar module,
its efficiency ….
a. increases
b. decreases
c. remains unchanged
d. becomes zero
11.233. A solar array has a rated power generation capacity of 125 kW. If
the area of the panels is 800 m2, calculate the generated electricity
per area for the array (in W/m²).
11.234. The power production of a solar cell at I = ISC is …….
a. maximum
b. zero
c. nonzero
d. negative
11.235. Define the carrier lifetime and diffusion length of electron-hole
pairs in a solar cell.
Solar Energy and Photovoltaic Solar Units 895

11.236. What type of silicon solar modules has bluish flakey surface?
a. Multi-crystalline silicon
b. Monocrystalline silicon
c. Amorphous silicon
11.237. Which financial model might be most suitable for a homeowner
with limited or no financial means to invest in a PV system?
a. Feed-in tariff model
b. Net metering model
c. Power purchase agreement
d. None of the models
11.238. Which application provided an early market for solar cell technology
and still is a driving force for the most advanced modern solar cells?
a. Residential applications
b. Distributed power production
c. Low-powered devices such as calculators
d. Space exploration
11.239. What is the June solstice?
11.240. Which type of crystalline silicon PV cells is less expensive?
a. Polycrystalline
b. Monocrystalline
11.241. What is the intensity of light at one full sun?
11.242. Which one of the following solar PV types is considered a first-
generation technology? (check all correct answers)
a. Monocrystalline silicon cells
b. Polycrystalline silicon cells
c. CIGS
d. CdTe
e. a-Si
11.243. A solar panel with 36 similar solar cells produces 135 W at 18 V and
7.5 A. Determine the current, voltage, and generated power if the
number of cells in the panel increases to 60 cells (note that in a solar
panel the cells are typically connected in series).
11.244. Explain various types of losses in solar cells.
11.245. What type of silicon solar modules has uniform black surface?
a. Multi-crystalline silicon
b. Monocrystalline silicon
c. Amorphous silicon
896 Power Plant Engineering

11.246. Five series strings each containing four similar solar cells are con-
nected in parallel. Each cell has a current and voltage of 8.5 A and
0.55 V. What is the power generation of the entire system if one of
the cells is totally shaded?
a. 70.125 W
b. 74.8 W
c. 88.825 W
d. 93.5 W
11.247. Which statement is not correct about the open-circuit voltage?
a. The voltage when the load is zero.
b. The voltage when the current is zero.
c. The voltage when power generation is maximum.
d. It is the maximum voltage of a solar cell.
11.248. Explain the difference between the net metering model and the
feed-in tariff model in terms of the limits for electricity generation
and/or the capacity of the PV unit.
11.249. What type of solar units is more suitable for a residential applica-
tion where there is ample rooftop space but the capital investment
is limited?
a. Multi-crystalline silicon modules
b. Monocrystalline silicon modules
c. Amorphous silicon modules
d. CdTe modules
e. CIGS modules
f. Multi-junction modules
11.250. List the drawbacks of organic solar cells.
11.251. The optimum tilt angle of solar energy receiving devices for direct
radiation for a given location is the same as the optimum tilt angle
for diffuse radiation.
a. True
b. False
11.252. How can a pyranometer be converted to a diffusionmeter?
11.253. Which one of the following materials are used in the first-generation
PV units? (check all correct answers)
a. Monocrystalline silicon
b. Polycrystalline silicon
c. CIGS
d. CdTe
e. a-Si
Solar Energy and Photovoltaic Solar Units 897

11.254. Why is it important for a solar simulator to have the spectrum that
matches the spectrum of natural light?
11.255. The power production of a solar cell at V = VOC is …….
a. maximum
b. zero
c. nonzero
d. negative
11.256. Explain what holes are in the atomic structure of semiconductors.
11.257. Which one can directly generate AC power?
a. Utility-scale PV units
b. Ground-mounted PV units
c. Building rooftop PV units
d. Micro-size PV units
e. All of the above
f. None of the above
11.258. What are conductor, insulator, and semiconductor?
11.259. Which of the following thin film solar cell technologies has the
highest efficiency for commercial modules?
a. CIGS
b. CdTe
c. a-Si
11.260. An electron-hole pair is created on the p-n junction of a solar cell.
To which side the hole will be attracted?
11.261. In the southern hemisphere, the solar devices orientated toward
true …...
a. west
b. east
c. north
d. south
11.262. Explain why there are seasons.
11.263. If the cost of installing a multi-crystalline solar array is $2 per peak
watt, determine the total cost of installing a 5 kW array.
11.264. Which of the following thin film solar cell technologies has the
lowest efficiency for commercial modules.
a. CIGS
b. CdTe
c. a-Si
898 Power Plant Engineering

11.265. Explain why the generated electricity in a solar cell is zero at the
open-circuit and short-circuit conditions.
11.266. The photovoltaic effect was first observed by …… in …….
a. Alessandro Volta 1790
b. Alexandre-Edmond Becquerel – 1830
c. Willoughby Smith – 1873
d. Albert Einstein 1921
e. Bell Labs – 1948
f. Hoffman Electronics Corporation – 1957
11.267. What are the desirable characteristics of silicon that make it an
ideal choice for the manufacturing of solar cells?
11.268. What is a doping agent or a dopant in an indirect semiconductor?
11.269. When it is summer in the northern hemisphere, in the southern
hemisphere it is winter and vice versa.
a. True
b. False
11.270. What is the air mass coefficient for a solar PV panel installed on a
moon landing spacecraft (when it is landed on the moon)?
a. AM2
b. AM1.5
c. AM1
d. AM0
11.271. Is the solar constant a physical constant? In other word, can the
solar constant vary?
11.272. CIGS cells are considered a …. PV technology.
a. first-generation
b. second-generation
c. third-generation
11.273. Explain if there is a limit to annual electricity generation for a PV
unit in the net metering model.
11.274. List the major advantages of organic solar cells over conventional
cells.
11.275. Which band has lower energy?
a. Conduction band
b. Valence band
11.276. Explain why the sky is blue.
11.277. What is extraterrestrial solar radiation?
Solar Energy and Photovoltaic Solar Units 899

11.278. The first-generation solar cells use direct semiconductors.

a. True
b. False
11.279. Explain why in the I-V curve, the generated power varies nearly
linearly over the section of the curve where the current is constant.
11.280. Utility-scale PV units ….. (check all the correct statements).
a. are always connected to the grid
b. generate DC power
c. currently generate the majority of solar electricity
d. always require a battery
11.281. Provide two examples of elemental semiconductors and compound
semiconductors.
11.282. Eight similar solar cells each with the current and voltage of 7 A
and 0.6 V are connected in parallel. What are the current and volt-
age of the entire system, respectively?
a. 7 A and 0.6 V
b. 7 A and 4.8 V
c. 56 A and 0.6 V
d. 56 A and 4.8 V
11.283. Eight similar solar cells each with the current and voltage of 7 A
and 0.6 V are connected in parallel. What is the power generation
of the entire system?
a. 4.2 W
b. 8.4 W
c. 33.6 W
d. 268.8 W
11.284. AM0 refers to the solar spectrum above the atmosphere.
a. True
b. False
11.285. AM1 is when the Sun is directly overhead in a location.
a. True
b. False
11.286. Explain what the solar constant is.
11.287. The efficiency of initial solar cells made in Bell Lab was at best 6%.
Calculate the electricity that 1 m2 of these cells could generate at
the STC.
900 Power Plant Engineering

11.288. What are the rated voltage and current of a typical commercial
solar module with 72 cells? (Select the closest choice to what you
expect.)
a. 35 V and 8 A
b. 72 V and 4 A
c. 30 V and 16 A
d. 8 V and 30 A
11.289. Which type of crystalline silicon solar modules consumes more
energy to manufacture? Explain why.
11.290. What are the typical current and voltage of a single cell made of
crystalline silicon?
a. 120 V and 8 A
b. 40 V and 16 A
c. 5 V and 4 A
d. 0.5 V and 8 A
11.291. In the following figure identify the Sun’s summer and winter passes.

N S

11.292. There is no meaningful seasonal variation on the equator and the

length of day and night does not change much.
a. True
b. False
11.293. Explain why the North and South Poles do not experience the
24-hour cycle of day and night.
11.294. Albert Einstein received the 1921 Nobel Prize in Physics for his
work on the …...
a. general relativity
b. special relativity
c. photoelectric effect
d. development of the first solar cell
Solar Energy and Photovoltaic Solar Units 901

11.295. When it is autumn in the southern hemisphere, it is ….. in the

northern hemisphere.
a. spring
b. fall
c. winter
d. summer
11.296. What percentage of the global electricity production is currently
generated by solar photovoltaic units?
11.297. Select the characteristics of organic solar cells.
a. Rapid and inexpensive fabrication
b. High efficacy
c. Long lifetime
d. Low stability
e. Flexibility
f. Short energy payback period
11.298. The winter solstice in the northern hemisphere is the summer sol-
stice in the southern hemisphere.
a. True
b. False
11.299. The distance between the Sun and Mars is about 1.52 times greater
than that of the Sun and Earth.54 Determine the solar constant on
Mars.
11.300. When are the longest day and the shortest night of the year in the
northern hemisphere?
11.301. In the northern hemisphere, solar devices are orientated toward …...
a. west
b. east
c. north
d. south
11.302. What is the cosine emission law?
11.303. On-grid PV units ….. (check all the correct statements).
a. are always connected to the grid
b. generate DC power
c. currently generate the majority of solar electricity
d. always require a battery

https://www.nasa.gov/audience/foreducators/k-4/features/F_Measuring_the_Distance_
54

Student_Pages.html.
902 Power Plant Engineering

11.304. When was the first spacecraft powered by solar cells launched?
a. 1957
b. 1958
c. 1959
d. 1962
11.305. What is the difference between beam radiation and diffuse
radiation (sky radiation)? How they impact solar power generation
systems?
11.306. AM2 refers to the solar spectrum for solar radiation that has trav-
eled through the atmosphere for a distance twice the thickness of
the atmosphere.
a. True
b. False
11.307. The minimum solar incident occurs during the ……...
a. summer solstice
b. winter solstice
c. vernal equinox
d. autumnal equinox
11.308. Explain why there is no meaningful winter or summer on the
equator?
11.309. Which one has the largest contribution to the electricity produced
from photovoltaic cells?
a. Distributed solar electricity production
b. Utility-scale solar electricity production
11.310. What is Earth’s polar axis (PA)?
11.311. Earth’s orbit is slightly elliptical, which causes various seasons.
a. True
b. False
11.312. If the axial tilt of Earth was 0°, …...
a. winters would be much longer
b. there would be no season
c. there would be only two seasons
d. the duration of seasons would be unstable
11.313. When is the angle between solar rays and the normal line to the
surface of Earth (horizon) the smallest possible in the northern
hemisphere?
Solar Energy and Photovoltaic Solar Units 903

11.314. The solar irradiance in most of the northeast U.S. is in the range of
4–5 kWh/m2/day. What is the range of the annual full sun hours
for the region?
a. 1640–1825
b. 1460–1825
c. 1046–1285
d. 1604-1528
11.315. A solar array with a installed capacity of 12 kW is located in west-
ern Arizona. Assuming the system efficiency of 84%, how many
kWh electrical energy the array can annually generate?
11.316. The second-generation solar cells use direct semiconductors.
a. True
b. False
11.317. Earth’s orbit is slightly elliptical with the ratio of the major axes to
the minor axes of 0.0167.
a. True
b. False
11.318. Air mass 0 or AM0 refers to the solar spectrum above the atmo-
sphere with irradiance equal to the solar constant.
a. True
b. False
11.319. Which type of PV units currently has the greatest share of the
market?
a. On-grid
b. Off-grid
11.320. The solar array installed on Juno has the rated power of 435 Watt
when operated on the orbit of Jupiter. Determine its rated power at
the STC if all operational characteristics remain constant.
11.321. Determine the size of a solar array for a satellite with a power
requirement of 125 W if the satellite orbits Earth, Mars, Jupiter, and
Saturn. The efficiency of the cells used to build the array is 28%.
Ignore all losses.
11.322. The area of the solar array installed on Juno orbiting Jupiter is
72 m2 and has the rated power of 435 W when operated on the orbit
of Jupiter. Determine the efficiency of the array.
904 Power Plant Engineering

11.323. In the following diagram, what are A and B representing,

respectively?

Electron energy
A

a. Valence band – Band gap

b. Conduction band – Band gap
c. Band gap – Conduction band
d. Conduction band – Valence band
12
Solar Thermal Energy

Abstract
In this chapter, we will study how solar thermal energy can be u tilized.
We will start with a brief discussion on low-temperature solar thermal
energy systems for water heating. We will introduce unglazed, flat plate,
and evacuated tube water heaters. Then, after a brief review of the history
of solar thermal energy utilization, we will learn about different types of
high-temperature solar thermal energy systems. We will consider two
types of solar thermal power plants and their components. Next, we will
focus on solar thermal power plants with a central receiver and their
components, including heliostats, the arrangement of heliostat fields, and
central receivers. Then, we will learn about solar thermal power plants
with distributed or dispersed collectors and their types and components,
including line-focus and point-focus collectors. Finally, we will consider
heat transfer fluids and power generation units for solar thermal power
plants. We will conclude the chapter with a brief discussion on the nega-
tive environmental effects of these power plants.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to

• explain low-temperature solar thermal energy systems: unglazed,

flat plate, and evacuated tube water heaters
• describe high-temperature solar thermal energy systems, their types
and components
• identify different types of high-temperature solar thermal energy
systems and their components
• explain solar thermal power plants with a central receiver and their
components, including heliostats, arrangement of heliostat fields,
and central receivers

905
906 Power Plant Engineering

• explain solar thermal power plants with distributed or dispersed

collectors and their components, including line-focus and point-
focus collectors
• describe negative environmental effects of solar thermal power
plants

12.1 Introduction
We know that the direct use of solar energy can be divided into three main
categories, solar photovoltaic units, high-temperature solar thermal energy
systems, and low-temperature solar thermal energy systems. In the pre-
vious chapter, we learned how solar energy can be directly converted to
electrical energy using photovoltaic cells. We also learned that these units
have many advantages, which have facilitated their tremendous growth
in recent years. However, they have some significant drawbacks the most
important of which is their inherently low efficiency. Probably, many of you
have a pleasant memory of the Sun warmth on your skin on a chilly day. In
this section, we will explore how solar thermal energy can be exploited to
generate useful energy particularly electricity. Aside from the benefits of
all forms of renewable resources, solar thermal energy systems enjoy two
distinguishing advantages. First, their integration into thermal energy sys-
tems is relatively simple and inexpensive. Also, they share many common
components with well-developed fossil fuel conventional power plants,
which allows significant technology transfer between the two industries.
In this chapter, we will focus on high-temperature solar thermal energy
systems. Low-temperature solar thermal energy systems for buildings are
not for electricity generation and technically beyond the scope of this text.
However, for the sake of completeness of the coverage of various solar ther-
mal energy applications and since using these units reduces the consump-
tion of electricity, we will start this section with a very brief review of this
application. Then, we will focus on the applications of solar thermal energy
in electricity generation.

12.2 Low-Temperature Solar Thermal Energy

Applications for Buildings
In the U.S., over a half of energy usage in residential applications is for space
heating and air conditioning and a quarter is used for water heating, lighting,
Solar Thermal Energy 907

and refrigeration.1 Solar energy can help to substantially reduce these con-
sumptions. Building energy systems can be passive or active. In passive sys-
tems, building structures, envelopes, and windows are used to absorb solar
thermal energy and to allow light to enter the interior of buildings to reduce
energy usage for heating and artificial lighting. Blinds or overhangs also can
be used to reduce heating load in summer. Passive solar energy methods are
beyond the scope of this text and are studied in building and air condition-
ing system design fields.
Active solar thermal energy systems use a collector to absorb solar energy.
The collected heat is then transferred to the desired space by a working fluid.
They may have a pump or fan to circulate the working fluid and a storage
tank to store thermal energy for when solar energy is not available.
The working fluid in active systems can be air or liquid. Air-based sys-
tems can be advantageous because air as a nontoxic working fluid does not
evaporate, freeze, or degrade. However, due to the low density, heat-transfer
coefficient, and specific heat of air, it requires a larger system with more fan
power for the same thermal performance than those of liquid-based systems.
For this reason, air solar collectors have a small share of the market.
Solar water heaters (SWHs) use water or a mixture of water as the work-
ing fluid. This technology has been around for over a century, so it is a well-
developed and mature technology. These units can be domestic hot water
(DHW) systems for standalone buildings or central heating systems (or district
heating systems) for several (or many) buildings. These units are very popular
in some countries where a significant portion of buildings are equipped with
these units including Greece, Turkey, Israel, Australia, Japan, and China.
The categorization of SWHs is typically based on their solar collector.
These collectors can be nonconcentrating or concentrating. In general,
solar collectors can be divided into the following four groups (along with
the temperature increase in them and whether they are nonconcentrating or
concentrating)

• Unglazed water heaters, up to 10°C (18°F) temperature increase

(nonconcentrating)
• Flat-plate water heaters, up to 50°C (90°F) temperature increase
(nonconcentrating)
• Evacuated tube water heaters, up to 155°C (280°F) temperature
increase (nonconcentrating or concentrating)
• Parabolic trough water heaters, up to 280°C (500°F) temperature
increase (concentrating)

1 https://www.eia.gov/energyexplained/use-of-energy/homes.php#:~:text=Electricity%20
and%20natural%20gas%20are%20the%20most%2Dused%20energy%20sources%20in%20
homes&text=Natural%20gas%2C%20which%20was%20used,the%20residential%20
sector%20in%202019.
908 Power Plant Engineering

The most important factors in selecting an appropriate collector are the

desired temperature of the produced hot water and the range of the ambi-
ent temperature. With an increase in the temperature of produced hot water
and/or decrease of the ambient temperature, the temperature difference
between the working fluid and the surrounding increases, which in turn
increases the heat loss via various heat-transfer mechanisms. There is an
operating temperature that balances the heat gain and loss. The operating
temperature of a solar heater cannot increase beyond that temperature. In the
following sections, we will briefly review these SWHs.

12.2.1 Unglazed Solar Water Heaters

Unglazed collectors are typically made of flexible (foldable) plastic collectors
with no protective cover. They can be usually rolled out to provide relatively
hot water for applications where low-temperature water is required. The lack
of protective cover while reduces optical losses, makes unglazed collectors
vulnerable to heat losses when the temperature difference between water
and surrounding air increases. This limits the usage of these very inexpen-
sive units to very low-temperature rise applications, such as water heaters for
swimming pools.

12.2.2 Flat-Plate Solar Water Heaters

Flat-plate collectors are the most common type of collectors used in SWHs
for residential and commercial buildings mainly due to their simple, reliable,
safe, and low-maintenance design. They are used to provide domestic hot
water and thermal energy for space heating. While air can be used as the
heat-transfer medium for space heating applications, a majority of current
systems use liquid for this purpose.
As the name implies, these SWHs have a copper, aluminum, or steel flat-plate
absorber (collector) that receives and absorbs direct and diffuse solar radiation,
which increases the temperature of the absorber. The parallel rows of copper
or steel tubes are embedded in the plate. They are in good contact and are
thermally bonded with the absorber. The heat-transfer fluid flows in the tubes
to remove thermal energy from the plate. The fluid is distributed among the
tubes at the top by a header and collected from them at the bottom by another
header though there might be more than one pass. To maximize absorption
and minimize reflection and re-radiation of solar radiation, the absorber is
coated with a dark-colored selective coating. The entire unit is placed in a typi-
cally metallic or plastic housing to provide mechanical strength and to protect
it from environmental elements. The front of the housing is covered by a trans-
parent surface made of special glass or plastic to reduce heat loss by convec-
tion while allowing solar radiation to pass through albeit with some reflection
Solar Thermal Energy 909

loss. The back and sides of the housing are insulated to reduce conduction heat
loss. If freezing is not a major problem in winter, typically water is used as the
heat-transfer fluid due to its availability, low cost, nontoxicity, good thermal
characteristics (conductivity and specific heat), low corrosion, and low viscos-
ity. Otherwise, water is mixed with antifreeze liquid (typically propylene or
ethylene glycol). In the latter case, a heat exchanger is needed to separate the
heat-transfer fluid from domestic water. The produced hot fluid can be either
used directly or stored in a storage tank to be used when solar radiation is not
available. The circulation of the heat-transfer fluid can be achieved by natural
circulation or forced circulation. In natural circulation, also known as ther-
mosiphon or passive SWHs, water is circulated because of the density differ-
ence between unheated cold water and hot water. In this type, a storage tank
(sometimes more than one tank) is added to the top of the unit (Figure 12.1). In
forced-circulation systems, a pump is used for this purpose.
Typically, solar heaters are designed for a maximum daily average solar
irradiance. This means they can only provide the required hot water in the
day with the maximum daily average solar irradiance. In this way, they are
fully functional throughout the year but require a backup or auxiliary heat
source, such as an electric heater or a natural gas burning heater for when
solar radiation is not sufficient to meet the demand. When designing these
systems, special attention should be paid to the protection of the system when
there is high solar irradiance but no hot water consumption, which can result
in very high temperatures, well above the boiling temperature of the heat-
transfer fluid (this circumstance is commonly referred to as the stagnation).

FIGURE 12.1
A natural-circulation solar water heater (SWH). (By Gilabrand at English Wikipedia, CC BY 2.5,
https://commons.wikimedia.org/w/index.php?curid=7954929.)
910 Power Plant Engineering

12.2.3 Evacuated Tube Solar Water Heaters

In these systems, to practically eliminate conductive and convective heat losses,
the absorber and tubes are enclosed in a glass vacuum tube (Figure 12.2). They
are able to raise the temperature of water to much higher than that of flat-
plate systems. Usually, solar thermal energy absorbed in the absorber can
be transferred out of the tube by means of either a direct flow system or a
heat pipe. In direct flow systems, the heat-transfer liquid flows inside cop-
per tubes attached to the collector plate and carries the thermal energy to
the storage tank. In heat pipe systems, the thermal energy is transferred by a
phase changing v olatile fluid. This fluid receives heat from the absorber and
evaporates. Then, it moves upward to the condenser section of the pipe, which
is located in the header that the evacuated tube is connected to. The heat is
transferred from the vapor to the circulating water and the condensed fluid
flows down the evacuated tube by gravity for further heat transfer. We will
study parabolic trough water heaters later in this chapter since they are also
used for power generation systems.

12.2.4 Efficiency and Operation of Solar Water Heaters

The efficiency of SWHs is defined as the ratio of the annual thermal energy
supplied by the system to the annual solar radiation intercepted by the collec-
tor. Another parameter that is used to express the performance of SWHs with
regards to the building they serve is called the solar fraction. It is defined as
the ratio of the thermal energy supplied by the solar thermal energy system
to the total corresponding thermal energy needs of the building.

FIGURE 12.2
An evacuated tube SWH. (Image by Vijaya Narasimha from Pixabay, https://pixabay.com/
photos/solar-water-heater-shimoga-india-331314/.)
Solar Thermal Energy 911

Solar thermal energy systems are almost universally stationary (with no

sun tracking system). Therefore, similar to other fixed solar energy systems,
they can operate most efficiently facing true south in the northern hemi-
sphere. While the tilt angle for a year-round operating system (for optimum
annual output) should be equal to the latitude of the site, these units often
need the maximum output in winter so the tilt angle equal to the site’s lati-
tude plus 15° is common (refer to Chapter 11).

Example 12.1
In a building, a solar air heater provides 8000 kWh of thermal energy
needed for space heating and a natural gas burning furnace provides the
remaining 2500 kWh. Determine the solar fraction of the system.
Solution

Thermal energy supplied by solar water heater

Solar fraction =
Total annual thermal energy consumption

8000
= = 0.762
8000 + 2500

12.3 Introduction and Brief History of High-

Temperature Solar Thermal Energy Utilization
Using solar thermal energy is not a new idea. Probably the first recorded
use of solar thermal energy for an industrial application (or more precisely
a military one) goes back over 22 centuries ago to ancient Greece. Legend
has it that during the Siege of Syracuse2 by the Roman navy (about 213 BC)
Archimedes of Syracuse (287 – 212 BC, a Greek polymath) designed and built
a device to reflect and focus sunlight (similar to concentrated solar power
plants) perhaps using polished metal shields on Roman ships surrounding
the port of Syracuse. Apparently, this resulted in some ships catching fire
and being destroyed. There have been many debates on the feasibility of the
device with those days’ technology. Some experiments have been conducted
to repeat the performance of the weapon with mixed results. Regardless of
the accuracy of the legend, the city defenders were defeated, and the city
remained an important Roman city for many centuries. As for Archimedes,
he was killed by a Roman soldier when the city fell.
In more recent history, Horace de Saussure (1740–1799, a Swiss scientist
and explorer) built the first modern solar oven in 1767. Augustin Mouchot
(1825–1912, a French inventor) in the 1860s and 70s designed a parabolic
collector, steam generator, and steam engine that could power a variety of

2 The city of Syracuse is currently part of Sicily, Italy.

912 Power Plant Engineering

machines. He also wrote one of the early books on solar thermal energy
entitled “Solar Heat and its Industrial Applications”. However, the low effi-
ciency of his designs and increasingly more available inexpensive coal even-
tually domed his inventions. Similarly, in 1912 Frank Shuman (1862 –1918, an
American engineer) used semi-circle troughs to raise steam to power a water
pump in Africa. The first large-scale solar collector was the Odeillo solar fur-
nace built in southern France on the border with Spain in 1969 (Figure 12.3).
The collector included over 60 steerable heliostats that reflected solar rays
on a parabolic mirror installed on a relatively tall building (Figure 12.4). The
mirror with a diameter of about 50 m, in turn, reflected and concentrated the

FIGURE 12.3
Odeillo solar furnace in France. (Image by Marc Pascual from Pixabay, https://pixabay.com/
photos/solar-oven-odello-odeillo-france-921116/.)

Solar rays
Focus

Heliostats

Centeral
Parabolic tower
mirror

FIGURE 12.4
Schematic of Odeillo solar furnace.
Solar Thermal Energy 913

rays on a 0.4 m diameter area on a central tower. The facility was not designed
to raise steam or to produce power but rather has been used as a furnace to
research materials at very high temperatures (up to 3500°C, about 6300°F).
The first experimental solar thermal power plant, Solar One, was built in
Barstow, California, in 1981 followed by its redesign and modification as
Solar Two in 1995. A major breakthrough came from Europe where the first
commercial solar thermal power plants, Planta Solar 10 (PS10) and Planta
Solar 20 (PS20), were constructed in Seville in southern Spain, in 2007 and
2009, respectively. Since then, many large-scale commercial plants have been
completed all over the world. The largest plant in the world is a 510 MW plant
in Morocco followed by the Ivanpah Solar Power Facility in California with a
power generation capacity of 392 MW. The cost of solar thermal power plants
per kWh has substantially reduced in the past few decades. This continuous
cost reduction along with the possibility of integrating relatively inexpensive
thermal energy storage systems make solar thermal energy power plants a
major candidate to play a meaningful and important role in the future renew-
able energy infrastructure.
Generally speaking, solar thermal power plants consist of the follow-
ing main components: solar collectors, receivers, heat-transport sys-
tems, energy storage systems, and energy conversion systems. Collectors
directly receive solar rays and redirect them toward a receiver (Figure 12.5).
Since they have to always face the receiver regardless of the position of
the Sun, collectors are universally equipped with a tracking mechanism.
The receiver, as the name implies, receives concentrated solar rays from the

Solar radiation

Solar collectors

Concentrated radiation

Receiver

Heated heat transfer fluid

Thermal
power plant

Electricity

FIGURE 12.5
Parts of a solar thermal energy power plant.
914 Power Plant Engineering

collectors. This thermal energy is then transferred to the heat-transfer fluid.

The heat-t ransfer fluid provides interconnection between the solar thermal
energy collection section of the plant and its electricity generation section.
The power generation unit in solar thermal power plants can be similar to
conventional power plants. A solar thermal power plant may or may not
have a thermal energy storage system. If the plant is equipped with a ther-
mal energy storage system, the excess solar thermal energy is stored in the
daytime and then is used to produce electricity when direct solar energy is
not available.
We know that to have an efficient power generation unit, we require a high-
temperature thermal reservoir. Solar radiation in its natural form cannot pro-
duce nearly high enough temperature that can be meaningfully exploited.
For that reason, all solar thermal energy power plants are equipped with
devices to collect and concentrate solar radiation. This concentrated solar
radiation can provide a high-temperature heat source for power generation.
That is why these plants are commonly referred to as concentrated solar
power (CSP), concentrating solar power, or concentrated solar thermal
power plants.
For the concentration of solar radiation, either mirrors or lenses can be
used. Due to their lower costs and easy assembly in large numbers, mirrors
are much more commonly used in thermal solar power plants. The tempera-
ture of thermal energy when solar radiation is concentrated depends on the
concentration ratio of the solar collector. The concentration ratio of a device
is the ratio of the surface area of the device perpendicular to solar rays to
the area of the Sun’s image created by the device (i.e., the area that receives
the concentrated radiation).3 If rays in solar radiation were perfectly paral-
lel to each other, they could be concentrated on a single point, as shown in
Figure 12.6a. In this case, based on the above definition of the concentration

(a) (b)

FIGURE 12.6
Schematic of concentration of parallel rays (a) and diffusing real solar radiation (b).

3 This definition is called the geometric concentration ratio. There is another definition called
optical concentration ratio, which is based on solar radiant flux. Here we will use the geomet-
ric concentration ratio.
Solar Thermal Energy 915

ratio, the maximum concentration ratio could approach infinity (note that the
area of a point is zero). But in reality, Sun’s rays are not perfectly parallel, so
concentrated Sun’s rays are distributed in an area (not a point) as shown in
Figure 12.6b. This means there is a theoretical limit to the concentration ratio
that a solar collector can achieve. However, practical concentration ratios for
typical solar collectors are much lower than this limit. Some reasons for the
lower than the maximum concentration ratio are

• diffused portion of incoming solar radiation

• lower than perfect reflection coefficient of reflecting surfaces
• imperfection on the surface of reflectors
• errors in the tracking device

There are two design philosophies for the design of solar energy collec-
tion and concentration systems both requiring a large number of solar col-
lectors. What distinguishes these two philosophies is how they transfer
the collected high-temperature thermal energy to the heat-transfer fluid
so the energy can be sent to the energy conversion system. In one design
approach, many solar collectors reflect and concentrate solar radiation to
a central receiver, typically on a central tower, where the energy is trans-
ferred to the heat-transfer fluid. These plants are referred to as central
receiver or tower power plants. In the other approach, each solar collec-
tor unit collects and concentrates solar radiation on a receiver dedicated
to that unit and transfer the energy to the heat-transfer fluid. The high-
temperature heat-t ransfer fluid is collected from all receivers and sent to
the power conversion system. These systems are referred to as distributed
or dispersed solar thermal energy collection systems. Note that in both
cases, the amount of solar energy in the concentrated form is not greater
than its initial form (as expected from the first law of thermodynamics).
Just the same amount of energy is concentrated in a smaller area. For the
next several sections, we will focus primarily on the major components of
solar thermal power plants. We will start with power plants with a central
receiver followed by distributed plants.

12.4 Solar Thermal Power Plants with a Central Receiver

These plants are composed of a large number of individual mirrors, called
heliostats, that reflect solar radiation to a central receiver on the top of
a tower, hence the name central receiver or tower solar thermal power
plants.
916 Power Plant Engineering

12.4.1 Heliostats
Heliostats4 are steerable reflecting mirrors that receive solar radiation directly
from the Sun. Considering the sheer number of heliostats and their size,
their cost can be a significant portion of the total cost a solar thermal power
plant (even as high as one-half of the total cost). Therefore, their appropriate
design is not only critical for the performance of the plant but also for its cost.
A heliostat is composed of one or several reflective surfaces, a support struc-
ture, and a Sun tracking system.
Traditionally, the reflective surfaces of heliostats are made of glass with a
thin layer of silver on the back as the reflective layer. This layer is covered
with a metal coating, typically copper, for the protection of the reflective layer.
These mirrors are in principle similar to household mirrors and are referred
to as second-surface mirrors since light has to pass through the glass before
reaching the reflective layer (which is the second layer, hence the name). In
second-surface mirrors, the passage of light and its reflection through the
glass layer distort the reflected light (Figure 12.7). Also, a slight reflection
of light by the front of the glass creates a faint secondary image (sometimes
referred to as a “ghost image” or “ghosting effect”). While these problems are
not usually important for mirrors used in heliostats, for some applications,
they are not acceptable. In these cases, front-surface or first-surface mirrors
are used where the reflective layer is applied to the front surface of the glass.
To reduce light absorption by the glass layer of heliostat mirrors, low-iron
glass (also called extra-clear glass) is used. The reflective surface of a helio-
stat can be a few square meters to over 100 m2. For the ease of manufactur-
ing, transportation, and replacement (in the case of glass breakage), large
heliostats are made of a series of smaller mirrors. Ideally mirrors used in
heliostats should be slightly curved (concave). However, since the differ-
ence is not significant, to reduce cost, typically flat mirrors are used. These

Ghost reflection

Ɵ Ɵ Actual reflection

Reflective surface
Glass Reflective surface
Glass

(a) (b)

FIGURE 12.7
Schematics of first-surface (a) and second-surface (b) mirrors.

4 The word Heliostat is derived from “helios”, the Sun in Greek, and stat, a short form for the
word stationary.
Solar Thermal Energy 917

glass mirrors should be robust and have excellent reflectance and durability.
However, they are generally expensive and vulnerable to breakage. They are
also heavy, which not only increases their installation cost but also requires
a stronger and more expensive heliostat support structure and tracking sys-
tem. To address these problems and reduce the cost and weight of mirrors,
heliostat reflective surfaces can be formed by silvered polymer mirrors or
aluminum mirrors. These new designs however still suffer from lower reflec-
tivity, lack of robustness, deterioration after prolong exposure to sunlight,
and/or high manufacturing costs. There is ongoing research on improving
these alternative reflective surfaces. Another factor that impacts the effective-
ness of these mirrors is their cleanliness. The excessive amount of dirt on
these surfaces can significantly increase their reflective losses. This problem
can be intensified by dusty environments and occasional sandstorms, which
are typical in hot arid regions suitable for these plants.
Aside from reflective surfaces, each heliostat has a support structure that
maintains the integrity of mirrors and transfers the load to the pedestal.
The pedestal in turn transfers the load to the foundation. These components
should be designed to not only stand heavy mirrors but wind, snow, and
seismic loads.

12.4.1.1 Heliostat Control Systems

As noted, heliostats typically reflect solar radiation to a central receiver
although this is not always the case, for example, the Odeillo solar furnace
discussed in Section 12.3. Unlike solar PV panels, the function of heliostats
is not to collect the maximum amount of solar energy on the surface of the
mirror but to reflect the maximum amount of solar energy to the central
receiver. For this reason, unlike solar PV panels, the reflecting surfaces of
heliostats are not always perpendicular to the incoming solar radiation
(though this may occasionally happen), as shown in Figure 12.8. According to
the cosine emission law (Chapter 11), this significantly reduces the effective

SUN

Receiver

α
α
Heliostat

Horizon

FIGURE 12.8
Schematic of reflection of solar radiation on a heliostat.
918 Power Plant Engineering

area of heliostats and decreases the intercepted solar radiation. It should be

noted that solar thermal energy systems can only use direct solar radiation.
Due to the random direction of diffused solar rays, they cannot be accurately
reflected to the receiver. The optimal orientation of each heliostat depends on
the position of the Sun relative to Earth (which in turn depends on the date
and time), the location of the site, and the position of the heliostat relative to
the tower. Geometrically speaking, the process of heliostat orientation con-
trol is simple. The mirror should be always perpendicular to the bisector of
the angle between the line connecting the mirror to the central receiver and
the Sun’s rays (Figure 12.8).
This simple geometrical principle is the backbone of all computerized
heliostat control systems. In older control systems, light sensors were used
to detect the direction of the Sun. However, most modern systems use com-
putational methods to determine the direction of the Sun rays based on the
day, time, and location. Then, the location of the central receiver is used to
determine the optimum orientation of each mirror. Based on the difference
between the current and optimum orientations of the heliostat, the computer
sends corrective signals to motors, typically step motors, to turn the heliostat
in an appropriate direction. This procedure is repeated at a predetermined
interval to ensure that heliostats are always optimally orientated. Typically
a closed-loop control system is used to detect all possible errors and correct
them (for more on closed-loop control systems refer to Chapter 3).
The control mechanism of a solar collector can be generally single- or two-
axis (dual-axis) with one or two degrees of freedom, respectively. Typically,
a single-axis system only follows the Sun vertically, while a two-axis system
follows the Sun both vertically and horizontally. Since heliostats must always
reflect solar radiation to the central receiver accurately, they are universally
equipped with two-axis control systems.
The accuracy of the heliostat control system is critical. In a case of even
slight error in the angle of reflection, considering the relatively large distance
between heliostats and the central receiver, the target can be missed with a
large margin. This not only results in the loss of efficiency but also can cause
damage to equipment and structure or hurt personnel (considering the very
high temperature of the point where the reflection hits a surface). Another
challenge is to maintain the accuracy of the control system during windy
conditions. In a case of emergency, the control system should be able to rap-
idly redirect solar beams from the receiver to a safe direction.

12.4.1.2 Heliostat Field
In the previous section, we learned that a large number of heliostats should
be used to reflect sunlight toward the central receiver (Figure 12.9).
The number of needed heliostats depends on the power output of the plant
and the desired concertation ratio. The arrangement of these heliostats in a
heliostat field is a surprisingly challenging task. In the first thought, it might
Solar Thermal Energy 919

FIGURE 12.9
A heliostat field and central tower. (Image by Samuel Faber from Pixabay, https://pixabay.com/
photos/sun-solar-energy-solar-power-plant-4020112/.)

be logical to place them in a circular pattern around the central receiver each
with a small angle to the next one. However, we recall from our discussion
in Chapter 11 that north-facing heliostats, even with a sun tracking system,
receive much less energy than south-facing ones. Clearly, this is only valid in
the northern hemisphere, and in the southern hemisphere it is the opposite.
For the rest of this section, all discussions are for sites in the northern hemi-
sphere. Therefore, it makes sense to try to place all heliostats in the northern
part of the field facing south (Figure 12.10). In fact, in most small plants this

FIGURE 12.10
Arrangement of heliostats in the heliostat field for the PS20 power plants with 1255 heliostats.
(By Koza1983 – Own work by the original uploader, CC BY 3.0, https://commons.wikimedia.
org/w/index.php?curid=7008971.)
920 Power Plant Engineering

is the case. However, in large plants with a larger number of heliostats, placing
all heliostats in the northern section of the field results in more of them being
farther away from the central receiver. The sunlight reflected from these far-
away heliostats must travel more distance through air to reach to the receiver,
which causes more attenuation of their energy. We can reach the point that
placing heliostats in the eastern, western, and eventually southern parts of the
field can yield more energy than just placing them farther on the northern side
(Figure 12.11). The optimum solution can be achieved by balancing the energy
losses due to the cosine emission law and the energy losses due to the place-
ment of the heliostats far from the receiver. It should be noted that the latter
losses depend on the local air quality (especially particulates and smoke in the
atmosphere) and the possibility of sandstorm, fog, etc., in the region.
Other important considerations in determining the arrangement of helio-
stats are their shadowing and blocking effects on each other. At a certain time
of a day, some heliostats can cast shadow on other heliostats by not allowing
solar radiation to reach them. Also, some heliostats can block the reflection of
other heliostats from reaching the receiver. These two losses can be reduced
by increasing the spacing between rows and columns of heliostats. However,
this strategy increases the distance of heliostats and the receiver with its
own negative impacts discussed above as well as increase in the area of the
required land. Similar to many other engineering problems, there are conflict-
ing parameters that require an optimum compromise. One strategy to reduce
these problems is to place heliostat in a staggered pattern (Figure 12.12).
Another important factor in the size and shape of the field is the height of
the receiver’s tower. A taller tower can increase the visibility of the receiver by
the heliostats but can increase the distance the reflected lights have to travel

FIGURE 12.11
Arrangement of heliostats in a heliostat field. (Image by Christo Ras from Pixabay, https://
pixabay.com/photos/solar-farm-solar-photovoltaic-4683339/.)
Solar Thermal Energy 921

Heliostat

Receiver

FIGURE 12.12
Schematic of heliostats in a staggered pattern.

and increase the negative impact of the tower shadow on the performance of
the heliostats. Furthermore, it should be noted that the above discussion is for
when there is a flat land surrounding the central tower, which is not uncommon
considering suitable sites are typically located in hot deserts. However, some-
times, the local topography can significantly impact the possible arrangement.
It can be seen that there are many factors, including costs, to take into
account in the layout design of a heliostat field. An optimum design can be
often reached by a computerized optimization model considering all these
sometimes-conflicting parameters.

12.4.2 Central Receivers
The functions of a central receiver are to receive concentrated solar radiation
from heliostats, absorb the thermal energy, and transfer that heat to the heat-
transfer fluid. As noted above, to perform the first function, to intercept
reflected solar radiation, a receiver should be located on a tall tower. Central
receivers can be divided into three categories: external, cavity, and volumetric
receivers. In the following sections, we will review these types of receivers.

12.4.2.1 External Receivers
In external receivers, the heat-transfer surfaces are openly placed on the top
of the tower. The heat exchanger surfaces, typically tubes (that is why they
are also referred to as external tubular receivers), are completely exposed to
the elements. In essence, they are similar to furnaces of fossil fuel steam gen-
erators where the furnace is enclosed by waterwall tubes. However, in this
case, external surfaces (the outer perimeter of the enclosure) are exposed to
the heat source. The absorbed heat from concentrated solar radiation is trans-
ferred to the heat-transfer fluid flowing inside the tubes. They are typically
composed of flat or curved panels with parallel vertical tubes interconnected
922 Power Plant Engineering

FIGURE 12.13
Schematic of a cylindrical external central receiver.

by the fluid distribution and collection headers at two ends (Figures 12.13
and 12.14). These panels are typically assembled in a cylindrical or cubical
shape though other configurations have also been proposed.5 Due to their
simplicity, they are most commonly used receivers. Their shape helps these
receivers to intercept concentrated light from all directions, which makes
them suitable for heliostat fields that surround the central tower. However,
they suffer from various forms of heat loss, mainly radiation, reflection, and
convection. The former two losses can be reduced by applying special coat-
ing or painting to the heat-transfer surfaces. These coverings can absorb a
wide spectrum of solar energy but radiate little heat. The radiation losses are
5 Wang, W.-Q., et al. “Optical efficiency improvement of solar power tower by employing and
optimizing novel fin-like receivers.” Energy Conversion and Management 184 (2019): 219–234.
Solar Thermal Energy 923

FIGURE 12.14
External central receivers. (Image by Michael4Wien from Pixabay, https://pixabay.com/
photos/sun-electricity-production-renewable-4535891/.)

a function of the operating temperature of the receiver. The latter loss is par-
ticularly intensified on windy days although it occurs by natural convection
too. They have also more limitations on how much thermal energy they can
receive and the temperature they can tolerate compared to other receivers.
Ivanpah plant (discussed in Section 12.3) used this type of receivers.

12.4.2.2 Cavity Receivers
Cavity receivers, as the name implies, are in the form of a cavity, the inside
of which is lined with tubes (Figures 12.15 and 12.16). The concentrated solar
radiation from heliostats enters the cavity via an opening in the front of
the receiver. The thermal energy is absorbed by the heat-transfer surfaces
and is transferred to the heat-transfer fluid flowing inside the tubes. Due
to the enclosed nature of the receiver, the energy reflected or radiated by
the heat-transfer surfaces is more likely to be intercepted and absorbed by
other surfaces rather than being lost. Also, since the heat-transfer surfaces are
protected from environmental elements (particularly wind), these receivers
have less convectional losses. For a given projected area, they can provide
more heat-transfer surface area than external receivers. A limitation of cav-
ity receivers is that a single cavity can only intercept solar radiation from
one side (the direction of the opening) so they best suit fields with heliostats
located in the north part of the field. For other types of fields, more than
one cavity receivers are needed to cover the entire field. The opening of the
receiver should be large enough to accommodate the entire reflected radia-
tion from the farthest heliostats.
924 Power Plant Engineering

Concentrated
radiation

Insulator

Concentrated
Coated metal
radiation sheet

Heat transfer Copper tubes

fluid inside
tubes

FIGURE 12.15
Schematic of a cavity receiver.

12.4.2.3 Volumetric Receivers
Unlike the previous two receiver types where the solar radiation is absorbed
by heat-transfer surfaces and is then transferred to the heat-transfer fluid on
the other side of the surfaces, volumetric receivers absorb concentrated radia-
tion by the entire body of the receiver medium (Figure 12.17). These receivers
are made of a porous medium that is exposed to solar radiation and absorbs
heat. The heat-transfer fluid (typically air) flows through the medium at the
same time to transfer heat away from the receiver. Several media have been
used as the heat absorber in these receivers, including honeycomb, foam, and
wire meshwork made of metals or ceramics. These receivers can be open or
Solar Thermal Energy 925

FIGURE 12.16
A cavity receiver. (Image by sgrunden from Pixabay, https://pixabay.com/photos/solar-
energy-solar-tower-sun-5366189/.)

Heat exchanger
(heat from air to
heat transfer fluid)
Atmospheric air flow

Concentrated Fan
radiation Absorber
(heat from
medium to air)
(a)
Absorber
Hot air to power
generation unit

Concentrated
Cold air from radiation
power generation unit Receiver windows

(b)

FIGURE 12.17
Schematics of volumetric receivers. (a) open receiver, (b) closed receiver.
926 Power Plant Engineering

closed systems. In open systems, the ambient air directly flows through the
medium, with no pressurization, by a fan (Figure 12.17a). In closed systems,
the pressurized air flow is used as a coolant in the receiver (Figure 12.17b).
In this case, the medium is placed behind a transparent window to allow
solar light in while avoiding air leakage. Due to manufacturing limitations in
the size of these windows, commonly, several windows are used in a single
receiver. These receivers are the youngest of the three types of receivers, and
currently, a wide variety of concepts and designs are being suggested, ana-
lyzed, and tested.

12.4.2.4 Thermal Losses in Receivers

The losses in receivers can be divided into three groups:

• failure to intercept concentrated radiation from heliostats

• failure to absorb the intercepted light (by reflection losses)
• losing the absorbed thermal energy (by radiation or convection
losses)

We have already discussed the latter two losses for each type of receiver.
The losses because of failure to intercept concentrated radiation from helio-
stats, also referred to as spillage losses, are technically a part of collector
losses. These losses occur because the concentrated radiation reflected from
heliostats misses their target, which is heat-transfer surfaces of the receiver.
These losses are primarily due to errors in the heliostat control system but
can be intensified by wind impacts. Increasing the size of the part of the
receiver that directly incepts the reflected light can reduce spillage losses but
can increase heat-transfer losses.

12.5 Solar Thermal Power Plants with

Distributed or Dispersed Collectors
Similar to power plants with a central receiver, solar thermal power plants
with distributed or dispersed collectors have a large number of collectors.
However, distributed collectors do not reflect and concentrate solar radia-
tion to a central receiver, rather they have local dedicated receivers for each
collector or a series of collectors. So solar radiation collection, concentra-
tion, and absorption all take place in the same unit. The heat-transfer fluid
collects thermal energy from all receivers and transfers the energy to a
power generation unit. Alternatively, each collector can have its own power
generation unit.
Solar Thermal Energy 927

There are two types of collectors-concentrators that can be used in these

plants:

• line-focus collectors-concentrators
• point-focus collectors-concentrators

12.5.1 Line-Focus Collectors
A line-focus concentrator is a long trough or conduit with a parabolic or semi-
circle cross section (Figure 12.18). They are also known as trough, parabolic,
or parabolic trough concentrators. The inside of the trough is lined with
reflective surfaces. The reflective surfaces can be made of a single-piece glass
mirror, strips of parallel mirrors, polymers with a silver layer inside, and
most commonly polished metal sheets. A parabolic trough system is made
of a series of modules, each a few meters to over 10 m, connected to form
rows each hundreds of meters long. These mirrors concentrate solar rays at
their optical focal line. The concentration ratio of these reflective surfaces is
substantially lower than that for central receiver systems, which results in a
lower temperature on the receiver. To receive this concentrated light, a straight
pipe with a special coating to maximize absorption runs along the focal line.
The heat-transfer fluid functions as a coolant for this pipe and transfers the
thermal energy to a power generation unit (or an energy storage system).
Since in parabolic trough concentrators the receiver is fixed relative to
the reflective surface, they can even operate without a sun tracking system
(Figure 12.19). In this case, a row of collectors is installed on a west-east axis
facing south. The direction of reflective surfaces can be seasonally adjusted
according to the height of the Sun in the sky. While simple and inexpensive,
fixed parabolic trough concentrators are inefficient in intercepting incoming
solar rays and are not typically used. More commonly these concentrators

Absorber
(tube)

Focal point

Collector- concentrator Collector- concentrator

FIGURE 12.18
Schematic of a parabolic trough concentrator.
928 Power Plant Engineering

FIGURE 12.19
A parabolic trough concentrator. (By Z22 - Own work, CC BY-SA 3.0, https://commons.wikime-
dia.org/w/index.php?curid=27881587.)

are equipped with a single-axis sun tracking system (with one degree of free-
dom). In this case, the trough is installed on a north-south axis so the collec-
tors can follow the Sun as it moves across the sky from east to west.
These concentrators have been around for over a century. The plant pro-
posed by Frank Shuman discussed in Section 12.3 was an early example.
They have also been extensively used for nonelectricity generation solar
thermal energy applications where relatively high-temperature energy
is needed. Parabolic trough solar thermal power plants have been com-
mercially in service for many years. Currently, a majority of major solar
thermal power plants are of this type, including some of the largest plants
in the world, including most of the Ouarzazate Solar Power Station, the
largest solar thermal power plant in the world with a total capacity of 510
MW in Morocco, the 361 MW Solar Energy Generating Systems (SEGS),
and the Genesis Solar Energy Project and the Mojave Solar Project each
with the capacity of 280 MW, all in California as well as the 280 MW
Solana Generating Station in Arizona. Similarly, the Extresol, Andasol, and
Solnova solar power stations each with about 150 MW power generation
capacity and the 100 MW Valle Solar Power Station, all in Spain, used this
technology.
Another line-focus concentrator, called compact linear Fresnel reflectors
(CLFR), uses long narrow strips of mirror to reflect and concentrate solar
radiation on two points (Figure 12.20). Each strip is individually controlled
to reflect light to the receivers. The main advantage of these systems is that
receivers can be fixed and do not need to move with reflective surfaces, as in
Solar Thermal Energy 929

Absorbers

Linear Fresnel reflectors

FIGURE 12.20
Schematic of a line-focus compact linear Fresnel reflector-collector-concentrator.

conventional trough collectors. Also, they have an inherently low resistance

to wind, which substantially reduces the cost of their support system. Several
designs of these systems have been tested but no large-scale unit has been
built yet.

12.5.2 Point-Focus Collectors
Point-focus concentrators are typically in the shape of a parabolic dish in
which the inside of the dish is covered by reflective surfaces (Figure 12.21).
These surfaces focus the incoming solar rays on its focal point, hence the
name. They are also referred to as dish concentrators. Fresnel lenses have
also been used with a similar objective, i.e., to concentrate solar rays in a
point. These collectors can achieve a high concentration ratio, which in turn
means they can provide a high temperature at the receiver. These systems
are typically equipped with a two-axis solar tracking system, which also pro-
motes a high solar gain.
It should be noted that in both line- and point-focus concentrators, reflec-
tive surfaces should be directly pointed at the Sun (similar to PV panels but
unlike heliostats). The receiver in these units is placed on the focal point of

FIGURE 12.21
Schematic of a dish concentrator.
930 Power Plant Engineering

the dish and is fixed to the dish. This practically eliminates relative move-
ments of the receiver with respect to the dish, which reduces spillage losses to
almost zero. The receiver in dish concentrators can be in the forms discussed
earlier for central receivers. Cavity receivers particularly suit these collectors.
However, in these units the power generation unit, a Stirling engine (more on
this engine below), is commonly installed as a receiver.
Each disk and receiver along with their associate systems is mounted on
an individual pedestal and foundation. This modular nature of point-focus
solar thermal systems, especially if the system is equipped with an engine,
can give significant flexibility in the construction and operation of these
units. Similar to heliostats, the size of these units is limited by forces the
support structure can tolerate. While several companies have developed and
tested individual modules for dish solar thermal power units, a large-scale
plant has not been built yet.

12.6 Heat-Transfer Fluid
After reflected radiation is intercepted and absorbed by the receiver, it should
be transferred to the heat-transfer fluid. The heat-transfer fluid functions as
the coolant for the receiver and the heat source for the power generation sys-
tem. The heat-transfer fluid can be the working fluid of the power generation
unit or an intermediate fluid that transfer thermal energy to the working
fluid of the cycle. Several fluids have been used for this purpose, including
pressurized water, molten salt, liquid metal, or air. The properties of the
fluid, such as its heat-transfer properties, specific heat, viscosity, and density,
can impact the design and size of the receiver. Aside from the heat-transfer
surfaces and the fluid itself, the system includes a network of pipes or ducts
as well as pumps, fans, or compressors.
Using pressurized water as the heat-transfer fluid provides some unique
benefits. In this case, the heat-transfer fluid and the working fluid of the
power cycle are the same. This reduces the number of required equipment.
In this approach, the pressurized liquid is heated in the receiver and is con-
verted to superheated or saturated steam, which is then sent to the steam
turbine. In principle, the receiver functions as a steam generator. A major
advantage of this system is that the already existing technologies developed
in more than a century for conventional steam power plants can be adapted
for the new application. The receiver can raise steam using either a drum-
type steam generator or a once-through steam generator (refer to Chapter 3
for more information on these steam generators). A major disadvantage of
these systems is that steam cannot be typically used for energy storage with
a high efficiency. Also, the operation of the steam turbine is challenging since
the variable solar gain in the receiver can result in ever-changing conditions
Solar Thermal Energy 931

of the generated steam. Regardless of these disadvantages some of the most

recent concentrated solar power systems are using this technology, including
Ivanpah power facility and Mojave Solar Project in California, and PS10 and
PS20 in Spain.
Another option for the heat-transfer fluid is using a molten salt mixture.
For this purpose, a mixture of different nitrate salts (referred to as a eutec-
tic mixture), such as sodium nitrate, potassium nitrate, or calcium nitrate,
can be used. The melting temperature of the mixture can be controlled by
varying the ratio of various salts to match the requirements of the optimum
operation of the receiver and the steam generator. A mixture of 60% sodium
nitrate and 40% potassium nitrate has been commonly used. The relatively
high specific heat of these molten salts helps them to carry and store a large
amount of thermal energy for a given mass and volume. Unlike receiv-
ers that use pressurized water/steam as a coolant/heat-transfer fluid, mol-
ten salt systems can operate at near atmospheric pressures. In these units,
the “cold” molten salt flow at the temperature of about 300°C (about 570°F)
enters the heat exchanger in the receiver and is heated up to the temper-
ature of about 600°C (about 1110°F). A major advantage of these systems
is that they can be readily integrated into an energy storage system. The
high-temperature molten salt flow can be directly sent to the steam genera-
tor or can be stored for later use. A major drawback for these systems is
the high melting temperature of the salt mixture, which means the fluid
will be solidified below this temperature, for example when the plant is not
operational. To avoid this problem, all components and pipes that are in
direct contact with the molten salt mixture are equipped with electric heat-
ers to maintain their temperature above the freezing temperature of the
mixture at all times. The Solar Two project in California and more recently
the Solana Generating Station, a solar thermal power plant with the name-
plate capacity of 250 MW in Arizona, and Crescent Dunes plant, a 110 MW
unit in Nevada, have used this system. Andasol solar power station and
Extresol plant in Spain, each with about 150 MW power generation capac-
ity, also used this technology.
Liquid metals, particularly liquid sodium, has been demonstrated to be
effective heat-transfer fluid for solar thermal power plants. These systems
have the advantages and disadvantages very similar to molten salt systems.
In the case of liquid sodium, the fact that sodium can violently react with
air and water and create fire hazards should be carefully considered in the
system design.
Heat-transfer oils, such as synthetic oils, have been also used as the heat-
transfer fluid in some plants. While they enjoy most benefits of molten salts,
they have an added benefit of lower corrosiveness. However, they have a
tendency to decompose at high temperatures, which limits the maximum
temperature in which they can operate. They are also flammable and have
low viscosity at low temperatures. To address the latter problem, electric
heating elements should be installed on piping systems.
932 Power Plant Engineering

Finally, gases, mainly air, can be used to transfer thermal energy from the
receiver to the power generation unit. While the heated air can raise steam in
a steam generator to power a steam power plant, this system is more aligned
with gas turbines (Brayton cycles) where the flow of hot air directly runs a
gas turbine. Aside from being freely available, stable, and nontoxic, a major
advantage of air is that there are no physical limits on the operation tem-
perature of the air flow. The air temperature in the receiver can exceed 700°C
(about 1300°F). While technically all types of receivers can use air as the cool-
ant, this system is typically associated with volumetric receivers. The air flow
to the receiver can be at near atmospheric pressure or can be pressurized. A
drawback of this system is that due to the low specific heat and density of air,
a large volume flow rate of air is required.

12.7 Power Generation Units

We learned that generally speaking, solar collectors-concentrators gather
solar radiation and concentrate it on the receiver. The receiver intercepts and
absorbs the concentrated radiation and transfers it to the heat-transfer fluid.
The fluid transfers the heat away from the receiver. In this section, we will
discuss how this energy can be converted to electricity in a central power gen-
eration unit. This unit can operate based on a Rankine cycle, Brayton cycle,
or a combined cycle. The basic thermodynamic principles of all these cycles
are as discussed for fossil fuel energy sources in previous chapters. The main
difference is that the source of thermal energy is not the combustion of fos-
sil fuels but solar thermal energy. Clearly, this difference will influence the
design of some components, particularly the steam generator or combustion
chamber; however, most of the cycle will remain unchanged. In this section,
we will review the major differences for each cycle.
For a Rankine cycle used in a solar thermal energy plant, the important
difference between this cycle and the cycle used for a fossil fuel power plant
is in the steam generator. The configuration and design of a steam genera-
tor in a solar thermal plant depend on the heat-transfer fluid. If pressurized
water is used as the heat-transfer fluid, the same water is also the working
fluid of the Rankine cycle. As a result, the receiver also functions as the steam
generator. For central receiver plants, commonly the entire power genera-
tion unit, except the cooling tower, is located inside the central tower. If the
heat-transfer fluid other than water is used, a separate steam generator is
needed where the thermal energy of the hot heat-transfer fluid is used to
raise superheated or saturated steam. As noted earlier, either a drum-type
or once-through steam generator can be used. For example, in a parabolic
trough system, most collectors can act as the boiler (evaporator) that pro-
vides boiling water to the drum and the rest of the collectors work as the
Solar Thermal Energy 933

superheater. The design and operation of the condenser, turbine, and feed-

water system are similar to their counterparts in fossil fuel power plants
although they have to be costume designed for the operating conditions of
each case. As for the cooling tower, both wet and dry cooling towers have
been used. However, considering environments that these units are typically
installed, dry cooling towers are more common. Note that using a dry cool-
ing tower will inevitably reduce the efficiency of the cycle (as discussed in
Chapter 8), which requires larger components than those for a cycle with a
wet cooling tower for the same capacity.
As previously noted, steam does not suit energy storage systems. Therefore,
when water/steam is used as the heat-transfer fluid, typically the plant does
not include an energy storage facility. In plants with steam cycles to overcome
problems caused by the intermittent nature of solar energy, the plant is typi-
cally equipped with a supplementary natural gas steam generator. Whenever
power is needed to be generated while solar energy is not available, natural
gas is combusted to produce steam for the power plant. While burning fuel
reduces the environmental benefits of using renewable solar energy, it sub-
stantially increases the reliability of the plant in meeting the peak demands
of the grid (this topic will be extensively discussed in Chapter 16). Currently,
the Rankine cycle is the only cycle that has been used in large commercial
solar thermal power plants.
Due to the simplicity of the Brayton cycle, there is currently a great deal
of research on adapting this technology for solar thermal energy systems.
In these systems, the air flow is first pressurized in a compressor. The
high-pressure air flow is then sent to the receiver, typically a volumetric one,
where it absorbs solar thermal energy from the collectors. Finally, the high-
temperature and pressure air expands through the gas turbine and generates
power. A major advantage of these plants is that they do not need any water,
a typically scarce commodity in deserts where most solar thermal power
plants are located, to operate. Note that even with a dry cooling tower, steam
power plants need a significant amount of water as makeup feedwater.
There have been proposals to use a combined cycle as the power genera-
tion unit in a solar thermal power plant, but no actual system has been built
so far based on this concept. It has also been suggested to use the solar ther-
mal energy technology to repower retiring or even currently operating fossil
fuel steam power plants to reduce their fossil fuel consumption.

12.7.1 Stirling Engines
In all the above power generation cycles, a central unit is used to convert
thermal energy gathered by the entire solar collection system to electricity.
There is one important exception for these central power units where every
individual solar collector has its own power generation unit (engine). This
engine is known as a Stirling engine, which is typically installed on the focal
point of a dish collector.
934 Power Plant Engineering

P T
3 QH
3 4

t
tan
QH

tan
ns

ns
co

co
=
Regeneration

=
TH

V
on
=
c

sta
2 nt 2 1
TL 4
= const
ant QL
1
QL V s
Regeneration

FIGURE 12.22
T-s and P-v diagrams of a Stirling thermodynamic cycle.

Stirling engines are external “combustion”6 engines that operate on a closed

regenerative cycle. They operate based on a Stirling thermodynamic cycle
(Figure 12.22). Thermodynamically, a Stirling cycle is composed of two isother-
mal processes (constant temperature) and two isochoric processes (constant vol-
ume). The engine was invented by Robert Stirling (1790–1878, a Scottish inventor
and church minister). In an ideal case, the efficiency of a regenerative Stirling
cycle is equal to that of a Carnot cycle operating between the same thermal res-
ervoirs. They are efficient and relatively simple with low-maintenance require-
ments. These characteristics make them an ideal choice for dish solar thermal
power units, where the receiver and the power generation unit (including the
generator) are integrated into a single unit. They may also have an integrated
natural gas burner to generate electricity when solar radiation is not available.

12.7.2 Thermal Energy Storage

The topic of energy storage systems is critical in the context of renewable
energy sources, particularly solar systems. For this reason, an entire chap-
ter (Chapter 16) is dedicated to this topic (especially the concept of the duck
curve). However, since thermal energy storage (TES) systems are currently
associated with solar thermal energy systems, this particular energy storage
system will be briefly discussed in this section. Here it suffices to note that in
order for solar systems to make a significant impact on our electricity genera-
tion mix, we need to produce electricity from these systems even when solar
energy is not available, for example at nighttime or cloudy days. This also
includes early morning and evening peak periods when solar energy is not

6 In solar applications, “combustion” is irrelevant and here is only used in reference to the dif-
ference between Stirling engine and internal combustion engines. In this context, what really
matters is that the same working fluid goes through the cycle over and over (closed cycle).
Solar Thermal Energy 935

fully available. For this purpose solar thermal energy power plants should be
either equipped with thermal energy storage systems or have a backup fos-
sil fuel burning (typically natural gas) combustion system. We have already
briefly discussed the latter.
As the name implies, thermal energy storage systems store thermal energy
when there is excess thermal energy available. This excess thermal energy
can be at least partially collected at off-peak periods during the day. However,
typically the solar collection system, the receiver, and the heat-transfer sys-
tem should be designed with more capacity than that of the power genera-
tion unit. In this way, the extra thermal energy that is collected but not used
by the power generation unit can be stored.

12.8 Environmental Impacts of Solar Thermal Energy Plants

While solar thermal energy is considered a renewable and sustainable
energy source, it can have some adverse environmental impacts. Heliostat
fields can occupy tens of square kilometers of land, which can cause visual/
sight pollution particularly if the site is close to national parks or protected
regions. These plants are typically installed in hot deserts that may look like
a great place to install a power plant because of the lack of wildlife but in fact,
many of these environments have a fragile ecosystem that can be easily dis-
turbed. For example, when the Ivanpah Solar power project was being con-
structed in the Mojave Desert in California, there was a serious concern that
it can impact desert tortoises, an endangered species. These problems can be
significantly worse for central receiver power plants. The central receiver in
these plants can get extremely hot, and it can emit very bright light (Figures
12.14 and 12.16). This light can attract insects, which can not only kill them
but can also attract birds to the area. Highly concentrated rays between helio-
stats and the receiver can easily burn and kill birds that collide with them. In
the case of the Rankine cycle, the usage of water for makeup water and wet
cooling towers in dry regions is another concern. However, these problems
can be addressed, at least to some degrees, by careful planning and in-depth
environmental studies before or during the construction phase.

12.9 Questions and Problems

12.9.1 Low-Temperature Solar Thermal Energy Applications for Buildings

12.1. Explain how nonconcentrating collectors for solar water heating

systems work.
936 Power Plant Engineering

12.2. Solar systems for heating water or air usually have … (nonconcen-
trating/concentrating) collectors.
12.3. Describe the following solar water heaters.
a. Unglazed collector
b. Flat plate
c. Evacuated tube
d. Parabolic trough
12.4. Provide an application of unglazed and flat-plate collectors.
12.5. Explain how the fluid is circulated in a natural-circulation SWH.
12.6. What are the two types of evacuated tube collectors? Explain how
each one works.
12.7. A total annual thermal energy needed for water heating in a
building is 2500 kWh. If a SWH annually provides 1800 kWh of
that energy, determine the solar fraction of the system.

12.9.2 Solar Electricity Generation

12.8. What are the main components of a solar thermal power plant?
12.9. Name the main components of a solar thermal power plant in the
following schematic diagram.

Solar rays

12.10. What is the definition of the concentration ratio of a device?

12.11. Explain why in reality concentrated Sun’s rays are distributed in
an area (not a point).
12.12. List factors that contribute to the reduced concentration ratio of
real solar collectors.
Solar Thermal Energy 937

12.13. Which of the following schematics illustrates a real solar collector?

12.14. What are two design philosophies for the design of solar energy
collection and concentration systems? Explain them.
12.15. What is the function of a heliostat?
12.16. What are the functions of the following components of a heliostat?
• Mirror
• Support system
• Pedestal
• Control system
12.17. What is the difference between first-surface and second-surface
mirrors? What are the pros and cons of each?
12.18. What are mirrors in heliostats made of?
12.19. Explain how PV solar panels and heliostats are different in terms
of their orientation relative to solar radiation.
12.20. Describe how the control system of a heliostat determines its
orientation.
12.21. What are single- and two-axis (dual-axis) control mechanisms of
solar energy collectors? How do they work? Which one is used for
heliostats?
12.22. Why is the accuracy of the heliostat control system critical?
12.23. What is the ideal location and direction of heliostats in a heliostat
field? Explain why in large plants we may need to move away
from this ideal.
12.24. Explain various parameters that impact the arrangement of helio-
stats in a heliostat field.
12.25. Compare the heliostat fields in Figures 12.10 and 12.11.
938 Power Plant Engineering

12.26. What are various losses in heliostat fields?

12.27. Why are heliostats typically placed in a staggered pattern?
12.28. How can the height of the central tower impact the performance of
the solar radiation collection system?
12.29. What are the different types of central receivers? Explain each
type and pros and cons of each?
12.30. Name each of the following receiver.

(b)

(a) (c)

12.31. Can thermal power plants operate with diffuse solar radiation?
Why?
12.32. Which one of the following solar collectors can operate with a sin-
gle-axis (with one degree of freedom) sun tracking system?
a. Point-focus collectors-concentrators
b. Line-focus collectors-concentrators
c. Heliostats
Solar Thermal Energy 939

12.33. What are thermal losses in a receiver? Explain how the reduction
of one loss can increase another.
12.34. What are two types of collectors-concentrators that can be used in
distributed collector plants?
12.35. Which one of the following solar collectors has the lowest tempera-
ture? Why?
a. point-focus collectors-concentrators
b. line-focus collectors-concentrators
c. heliostats
12.36. Compare line-focus and point-focus concentrators. What are their
similarities and differences?
12.37. Which one of the following solar collectors is the most common
one?
a. Point-focus collectors-concentrators
b. Line-focus collectors-concentrators
c. Heliostats
12.38. Explain how compact linear Fresnel reflectors (CLFR) work.
12.39. Which one is not correct for dish concentrators?
a. They can achieve a high concentration ratio.
b. They can provide a high temperature at the receiver.
c. They are typically equipped with a two-axis solar tracking
system.
d. They are line-focus concentrators.
12.40. List some fluids that have been used as the heat-transfer fluid in solar
thermal power plants. Compare the characteristics of each fluid.
12.41. What are the advantages and disadvantages of using high-pressure
water as the heat-transfer fluid in a solar thermal power plant?
12.42. What are the advantages and disadvantages of using a molten salt
mixture as the heat-transfer fluid in a solar thermal power plant?
12.43. Explain how air can be used as the heat-transfer fluid in a solar
thermal power plant. What power cycle is typically used in this
case?
12.44. Explain how a Rankine cycle can be used as a power generation
unit in a solar thermal power plant. Describe how steam can be
generated for the power cycle. Can energy storage systems be
readily integrated to the system? Why?
12.45. What are the advantages and disadvantages of using a Brayton
cycle as a power generation unit in a solar thermal power plant?
940 Power Plant Engineering

12.46. Which type of solar thermal power plants best suits for a Stirling
engine?
a. Point-focus collectors-concentrators
b. Line-focus collectors-concentrators
c. Heliostats
12.47. How can the intermittent nature of solar energy be addressed in
solar thermal power plants? (two approaches)
12.48. List some negative environmental impacts of solar thermal power
plants. How can they be addressed?

12.9.3 General

12.49. Which one of the following solar collectors has the lowest concen-
tration ratio?
a. Point-focus collectors-concentrators
b. Line-focus collectors-concentrators
c. Heliostats
12.50. Explain why the radially staggered layout is the most cost-effective
layout for heliostats to minimize losses.
12.51. How can the local air quality (especially particulates and smoke
in the atmosphere) and the possibility of sandstorm, fog, etc., in a
region impact arrangement of a heliostat field?
12.52. Flat-plate collectors are used mainly for producing domestic hot
water and, in some cases, building space heating.
a. True
b. False
12.53. Explain the shadowing and blocking as two sources of energy
losses between heliostats and the receiver.
12.54. What are the typical maximum temperatures that each of the
following systems is best suited to provide?
• Unglazed collector
• Flat plate
• Evacuated tube
• Parabolic trough
12.55. What are the advantages of using a Stirling engine in a solar ther-
mal power plant?
12.56. What are the major sources of energy losses between heliostats
and the receiver?
Solar Thermal Energy 941

12.57. Space heating and hot water heating collectively can typically
amount to about … of the average homeowner’s energy bill.
a. 10%
b. 55%
c. 90%
d. 95%
12.58. Solar thermal energy can serve a wide variety of applications.
Provide some examples.
12.59. In nonconcentrating collectors for solar water heating systems, the
collector area (the area that intercepts the solar radiation) is the
same as the absorber area (the area absorbing the radiation).
a. True
b. False
12.60. Name the following distributed collectors.

(a)

(b)
942 Power Plant Engineering

12.61. How and why is the orientation of solar PV panels and heliostats
different (or similar)? Why?
12.62. Why typically slightly parabolic heliostats are not used for solar
thermal power plants while they have a better performance?
12.63. Describe passive solar heating systems.
12.64. A solar thermal power plant always has a thermal energy storage
system.
a. True
b. False
12.65. The number of needed heliostats for a solar thermal power plant
depends on ….
12.66. What is the spillage loss?
12.67. Illustrate how heliostats are positioned around a central receiver
in a small solar thermal power plant. What about a large power
plant? What is the determining factor in the shape and size of the
heliostat field?
12.68. For a real solar collector, the maximum concentration ratio could
approach infinity. Why?
a. True
b. False
12.69. How are central and distributed solar thermal energy collection
systems different?
12.70. Explain the thermodynamic cycle for a Stirling engine.
12.71. Which one of the following solar collectors has most spillage
losses?
a. Point-focus collectors-concentrators
b. Line-focus collectors-concentrators
c. Heliostats
12.72. List various components of a heliostat.
12.73. In concentrating collectors the area intercepting the solar radiation
is greater, sometimes hundreds of times greater, than the absorber
area.
a. True
b. False
12.74. What is the spillage energy loss in central receivers? How can this
loss be minimized?
Solar Thermal Energy 943

12.75. Solar thermal power plants use … solar collector systems because
they can produce high-temperature heat.
a. Concentrating
b. Nonconcentrating
c. Flat
12.76. Why unglazed collectors are more suitable for low-temperature
applications?
12.77. Compare natural-circulation systems and forced-circulation sys-
tems for SWHs.
12.78. Solar water heaters (SWHs) represent a particularly cost-effective
means of reducing one’s energy costs.
a. True
b. False
12.79. What are the advantages and disadvantages of using liquid met-
als and oils as the heat-transfer fluid in a solar thermal power
plant?
12.80. Explain the opposing impacts of the size of the receiver on the
spillage loss and thermal losses of a central receiver of a solar
thermal power plant.
12.81. Passive solar space heating happens when the Sun shines through
the windows of a building and warms the interior.
a. True
b. False
12.82. Draw T-s and P-v diagrams of a Stirling cycle.
12.83. Why are thermal energy storage (TES) systems critical for solar
thermal power plants?
12.84. Explain concentrating collectors for solar thermal systems.
12.85. Why do we need a storage system in a solar thermal power plant?
12.86. Active solar heating systems use a collector and a fluid that absorbs
solar radiation. Fans or pumps circulate air or heat-absorbing liq-
uids through collectors, which in turn transfer the heated fluid
directly to a room or to a heat storage system.
a. True
b. False
12.87. List major components of a solar thermal power plant. Describe
the function of each component.
944 Power Plant Engineering

12.88. Which one can produce higher temperature, point-focus systems

or line-focus systems? Why? Which one is better suited for inte-
gration with a Stirling engine?
12.89. In concentrating collectors, the area intercepting the solar radia-
tion is …. than the absorber area.
a. greater
b. smaller
c. equal
12.90. List several types of receivers. What are the advantages and disad-
vantages of each?
12.91. In a solar collector, the amount of solar energy in the concentrated
form is greater than its initial form.
a. True
b. False
12.92. What is the functions of a central receiver?
12.93. Describe the operation and advantages of linear Fresnel collectors.
12.94. Solar collectors are either nonconcentrating or concentrating.
a. True
b. False
12.95. What are the various power production systems in a solar thermal
power plant?
12.96. Why is the absorber surface in flat-plate systems often black
painted?
13
Wind Energy

Abstract
Wind energy has been one of the fastest-growing energy sources for elec-
tricity generation. In this chapter, we will learn about the evaluation of
wind energy, the operation of wind turbines, and their components. After
a brief review of the history of utilizations of wind energy, we will learn
how to determine wind energy using wind properties, particularly wind
speed. Then, we will derive Betz’s law to determine the upper theoretical
limit for the efficiency of wind turbines. Next, we will discuss about some
instruments that can be used to measure wind properties and will get
familiar with statistical analysis of wind data collected through field mea-
surements. Then, we will consider different categorizations of wind tur-
bines and study each of them. We will learn what distinguishes lift or drag
force wind turbines. We will discuss the characteristics of vertical axis and
horizontal axis wind turbines and their applications. We will also review
land-based and offshore wind turbines, grid-tied and stand-alone wind
turbines, and small and hybrid wind turbines. Next, we will learn how we
can use wind turbine power curves and the information they can provide.
We will discuss how wind turbine power output can be controlled by stall-
regulated, pitch-regulated, and variable speed control systems. Finally, we
will discuss the major components of wind turbines. We will conclude the
chapter with a brief discussion on environmental impacts of wind turbines.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to

• describe a brief history of utilization of wind energy

• determine wind energy using wind properties and wind maps
• derive and use Betz’s law to determine the maximum theoretical
efficiency of wind turbines
• explain wind property measurement instruments and their
characteristics
• conduct simple statistical analyses of real wind data using the
Weibull distribution
945
946 Power Plant Engineering

• determine wind speed as a function of height

• identify characteristics of lift and drag force wind turbines and
conduct relevant simple calculations
• explain characteristics of vertical-axis and horizontal-axis wind
turbines, land-based and offshore wind turbines, grid-tied and
stand-alone wind turbines, and small and hybrid wind turbines
• describe power curves for wind turbines and information they can
provide
• explain different methods to control wind turbine power output
• describe major components of wind turbines and their functions

13.1 Introduction
Probably, two decades ago, even the most optimistic observers could not
predict that in such a short period, wind energy can become a nonnegotiable
part of the global electricity generation industry. The study of incredible and
successful evolution of wind energy can provide a road map for other renew-
able energy sources. To a certain degree, wind energy has moved from a
novelty in the power generation industry to a form of a conventional power
generation technology. In many parts of the world, one cannot have a day
without seeing them integrated to landscapes. According to the IRENA (the
International Renewable Energy Agency), the global installed capacity of
wind turbines has increased from about 180 GW in 2010 to over 600 GW in
2019, over 330% growth in a decade.1 The installed capacity of wind turbines
in the U.S. in 2019 was 2.6 and 42 times greater than what it was in 2010
and 2000, respectively.2 China, the U.S., Germany, and India have the largest
wind turbine installations in the world.
Wind energy is a domestic renewable source of energy that is available in
most of the world. Wind turbines can be installed relatively quickly in farms
and lands that are already being used for other purposes. They do not need
water for power generation. Most important of all, they are cost-effective and,
in many cases, can compete with electricity generated from other sources. On
the negative side, like most other renewable energy sources, wind energy has
a variable nature and can be unpredictable. Regions with high wind energy
are commonly far away from consumption centers, which require expansion
of the grid to transmit the generated electricity (particularly challenging for
offshore units). They also have real and perceived negative environmental
impacts as well as aesthetic and noise pollution. This has led to so-called

1 https://www.irena.org/wind.
2 https://www.eia.gov/electricity/data.php#gencapacity.
Wind Energy 947

“NIMBYism” (not in my back yard) in some communities where members of

the community like the general concept, just not in their region.

13.2 History of Wind Energy

Wind energy is one of the oldest sources of energy that human being has
been able to harness for practical applications to grind grain, pump water
for irrigation or flood prevention, or run sawmills. Wind energy has been
used to propel boats and ships for thousands of years. The first documented
practical design for nontransportation applications of wind energy was
called the Persian windmill (Figure 13.1a). This windmill was made of verti-
cal wooden sails connected to a vertical shaft and was driven by the drag
force of wind (Figure 13.1b). The system was enclosed in a building, which
covered one half of the wheel from the incoming wind flow to prevent its
effect on slowing the motion of the plates moving toward the wind. These
windmills and their Chinese counterparts were used for grain grinding and
water pumping.
The developments of windmills in Europe started in the late 13th century.
Unlike their eastern earlier counterparts, early European windmills had a
horizontal shaft.3 In the next 500 years, these windmills evolved to relatively

Incoming wind
flow

Building Building

Windmill arms
(a) (b)

FIGURE 13.1
A Persian windmill. (a) An actual windmill from southeastern Iran, (b) schematic top view
of the wheel. (By MorvaridiMeraj – Own work, CC BY-SA 4.0, https://commons.wikimedia.
org/w/index.php?curid=73206407.)

3 Perhaps, the most romanticized appearance of this type of windmills in the literature was in
Don Quixote (by Miguel de Cervantes Saavedra, Spanish novelist and poet, 1547–1616), when
Don Quixote attacked windmills that he believed to be wild giants.
948 Power Plant Engineering

FIGURE 13.2
Windmills in Kinderdijk in the southern Netherlands (built in the 1730s for water drainage).
(Image by Ellen26 from Pixabay (https://pixabay.com/photos/mills-kinderdijk-holland-
3888276/).)

efficient power production units that included many features of modern

wind turbines. Along with watermills, they powered many industrial plants
in pre-industrial Europe. One advantage of these windmills compared to
watermills was that their operation was not stopped due to water freezing.
Many of these units are still operational, primarily as tourist attractions
(Figure 13.2).
Wind energy was one of the main sources of power until the Industrial
Revolution. The utilization of these windmills gradually declined after the
introduction of steam engines. The next step in the development of wind-
mills was in the U.S. in the 19th century. The application of wind energy to
pump water was always one of the most common ways to use wind energy.
However, small-size windmills were perfected in the U.S. in the second half
of the 19th century (Figure 13.3). They were first wind-powered machines
that were manufactured industrially and took advantage of the economy of
scale. These multi-blade units were usually 1–3 m (about 3 to 9 ft) in diam-
eters with typically less than 0.75 kW (about 1 hp) output power, although
very large units were also built with the diameter up to 18 m (about 60 ft).
They were initially made of wood but later using steel blades significantly
improved their performance. Probably one of the most important reasons for
the success of these units was their robust control system that used vanes to
orientate the rotor with no human attention.
Wind Energy 949

FIGURE 13.3
A windmill to pump water. (Image by Lisa Johnson from Pixabay, https://pixabay.com/photos/
windmill-turbine-wind-water-pump-1110079/.)

Using wind energy to generate electricity was first tried almost simultane-
ously in Scotland and the U.S. in the late 1880s. Charles Brush (1849–1929,
an American engineer and inventor) in Cleveland, Ohio, and James Blyth
(1839–1906, a Scottish electrical engineer) in Scotland both successfully pro-
duced electricity using wind energy. The devices they developed were a
horizontal-axis wind turbine and a vertical-axis wind turbine, respectively.
The wind turbine built by Brush had a rotor with a diameter of 17 m (56 ft)
and 144 blades (Figure 13.4). The unit generated the output power of 12 kW
(DC), which was used to charge a battery bank or to provide electricity for
his laboratory. While the unit output power was impressive for its time, it
was small compared to the output power of over 100 kW for the same size
in modern wind turbines. This unit featured a large tail to follow the wind
direction or turn it out of the wind if needed and a gearbox to increase the
shaft rotational speed.
950 Power Plant Engineering

Another important development was in 1891 when Dane Paul la Cour

(a Danish scientist, 1846–1908) used electricity produced by wind energy to
produce hydrogen through electrolysis. He was the first one to recognize
the favorable effects of improving the aerodynamic efficiency of blades and
increasing their circumferential velocity.

FYI BOX 13.1

A WIND ENERGY PIONEER
Charles F. Brush (1849 –1929) was born and raised in a farm in Cleveland,
Ohio. At the age of 12, he was experimenting with simple electric equip-
ment. He built his first arc lamp, which produced light by generating
an electric arc between two electrodes when he was in high school. He
designed and patented his electric generator (dynamo) in the mid-1870s
to power his arc lamp. By the early 1880s, his arc lamps provided public
light in many North American cities, including New York, Philadelphia,
and Montreal before Edison’s incandescent lamps. However, eventually,
his lamps could not compete with more advanced lamps and in 1889 he
sold his company, which eventually became part of General Electric. He
built a mansion in Cleveland where he lived and worked. He tested and
showcased his inventions in his home, including his wind turbine. His
wind turbine provided electricity for his residence for 20 years.

Regardless of the relative success of these attempts, none of them became

commercial mainly due to inexpensive electricity from fossil fuels. In the 20th
century, research and development on wind turbines continued, although
the pace of progress was directly proportional to the cost of fossil fuels. In
this period, several experimental units were tested, including a 100 kW unit
in 1931 in the former Soviet Union, a 1.25 MW unit in 1941 in the U. S. (world’s
first megawatt-size unit), an 800 kW unit in 1956 in France, and a 200 kW unit
in the 1960s in Denmark. These units were mostly for remote off-grid appli-
cations. The oil crisis of 1973 significantly boosted the development of wind
turbines through government supports. This resulted in various designs
with a capacity of 1 kW to 3.2 MW, both horizontal and vertical axes. These
designs took advantage of developments in the design of military aircrafts.
The highlight of these designs was NASA’s 100 kW MOD-0 built in 1975 to 3.2
MW MOD-5B built in 1997. While this golden period did not last long mainly
due to the rapid decline of oil price, it set stage for many of technologies that
are used in modern wind turbines.
California in the U.S. and Denmark in Europe were the pioneers in the
development of wind farms in the early 1980s with turbine sizes between
20 and 100 kW. Then, Germany followed by Spain were major players in the
early 2000s but later the U.S. took back its leadership position. Nowadays
Wind Energy 951

FIGURE 13.4
Charles Brush’s wind turbine in Cleveland, Ohio (Note the large tail and 144 blades. Compare
the size of the unit with the size of the person standing on the ground on the right side of the
unit.). (By Unknown author – Robert W. Righter (1996) Wind Energy in America: A History,
University of Oklahoma Press, p. page44 Retrieved on 27 December 2008. ISBN: 0806128127,
Public Domain, https://commons.wikimedia.org/w/index.php?curid=5599364.)

China and the U.S. are leading the world with the largest wind turbine farm
installations in the world.

13.3 Wind Formation
In this section, we will discuss about the origin of wind and how we can
evaluate its energy. Wind is the flow of air from a region with a higher atmo-
spheric pressure to a region with a lower atmospheric pressure. This pressure
gradient in the atmosphere is as a result of the rising and sinking of air in the
atmosphere. The rising of air causes a low pressure near the surface of Earth
and the sinking of air causes a high pressure at the ground level. The effect
of air movement on pressure at high elevations is opposite, i.e., when air is
952 Power Plant Engineering

rising, the pressure at high elevations increases and vice versa. The question
is why air rises or sinks. To answer this question, imagine two regions A
and B are next to each other and the temperature of the surface of Earth in
region A is higher than that in region B. The temperature of air over region A
increases as a result of heat transfer from Earth’s surface to air. The density of
air decreases when its temperature increases so the hot air rises in region A
and the pressure on the surface decreases. The opposite process takes place
in region B, so air sinks and the pressure increases on the ground level. Thus,
as a consequence of this pressure difference, cold air flows (or wind blows)
from region B (high pressure) to region A (low pressure). It should be noted
that this process at higher elevations causes the flow of hot air in the opposite
direction (from region A to region B). As long as the temperature difference
between the surface of Earth in regions A and B exists, wind will continue
to blow. In short, wind is generated by uneven heating of Earth’s crust by
solar radiation and is considered as an indirect form of solar energy. The
temperature of the Earth’s crust in a region depends on the amount of solar
energy received by the region. This effect can be global or local.
Earth’s surface at the equator receives a greater amount of solar radiation
compared to North or South poles. This uneven heating of the Earth’s crust
on the global scale causes a flow of cold air from the poles to the equator
on the surface of Earth (also known as atmospheric circulation or planetary
wind) and the flow of hot air at the upper atmosphere at the opposite direc-
tion. It should be noted that the direction of planetary wind is affected by the
rotation of Earth and the Coriolis effect.
The non-uniform temperature distribution between land and water as well
as hills and mountainsides causes local wind. Due to the higher specific heat
of water compared to that of ground, during the day, the temperature increase
of land surface caused by solar radiation is greater than that of water surface.
This process causes sea breeze or onshore breeze where wind blows from
water toward shore. At the night, the faster cooling of land compared to water
causes wind in the reverse direction (called land breeze or offshore breeze).
A similar process (i.e., the faster heating of mountains than that of valleies)
causes wind toward mountains during the day and cold wind toward low-
lands at night (called valley breeze and mountain breeze, respectively).

13.4 Power of Wind
The kinetic energy of an object with a mass of m moving with the velocity
of V is

1
KE = m V 2 (13.1)
2
Wind Energy 953

where KE is kinetic energy (kg.m2/s2 or Joule), m is mass (kg), and V is veloc-

ity (m/s). In the case of wind energy, since we deal with the mass flow rate
of air (mass per unit of time) instead of a fixed mass, Equation 13.1 can be
rewritten in the following form for the time rate of kinetic energy (energy per
unit of time) or power:

˙ 1
KE = P =  2 (13.2)
mV
2
˙
where KE is the time rate of the kinetic energy (J/s or W), P is wind power
(W), and m is mass flow rate (kg/s). For wind with uniform velocity over area
A perpendicular to the wind direction, assuming a constant and uniform air
density (incompressible flow), the mass of air crossing area A can be calcu-
lated from the continuity equation.

 = ρ AV (13.3)
m

where ρ is the uniform density of air (kg/m3) and A is the area perpendicular
to the wind direction (m2). Substituting Equation 13.3 in Equation 13.2,

1 1
P= ρAVV 2 = ρAV 3 (13.4)
2 2
A more common parameter to express wind power is wind power density,
which is defined as wind power per unit of area.

P 1
PD = = ρV 3 (13.5)
A 2
It is easier to compare the wind power of various locations using this param-
eter. Note that although the units of power density for wind energy and irra-
diance for solar energy are the same, the reference areas are different. In
solar energy, the area is on Earth’s surface, while in wind energy, the area is
perpendicular to the wind direction.

Example 13.1
A horizontal-axis wind turbine with a radius of 10 m operates in a loca-
tion with a uniform wind speed of 10 m/s. Determine the power of wind
for an area equal to the swept area of the turbine and per unit of area.
Analysis
For wind at the standard temperature and pressure (STP), 1 bar (14.5 psi)
and 15ºC (59ºF),

1 1
P= ρAV 3 = × 1.22 × π × (10)2 × 103 = 191540 W
2 2
954 Power Plant Engineering

2500

2000
V = 5 m/s
Wind power (kW)

1500 V = 10 m/s
V = 15 m/s
1000

500

0
0 5 10 15 20
Radius (m)

FIGURE 13.5
Diagram of wind power as a function of the radius of area perpendicular to the wind direction.

P 1 1
= ρV 3 = × 1.22 × 103 = 610 W/m 2
A 2 2

Figure 13.5 illustrates wind power as a function of the radius of the area
perpendicular to the wind direction for three wind speeds.

13.5 Maximum Theoretical Efficiency of Wind Turbines

In the previous section, we learned how we can use Equation 13.2 to deter-
mine the kinetic energy of wind. In this section, we will evaluate what
portion of this energy can be theoretically extracted by a wind turbine. If
a wind turbine could extract all wind energy, the kinetic energy and as a
result the velocity of wind after the wind turbine become zero (according
to the first law of thermodynamics). This means the mass flow rate of air
through the wind turbine becomes zero (according to the conservation of
mass law), which in turn means the output power of the wind turbine is
zero. Therefore, the outlet velocity of wind from the turbine has two oppo-
site effects. While reducing the exit velocity will increase the output power
per unit of mass of the air going through the turbine, it will reduce the air
mass flow rate. This means there should be an optimum air outlet veloc-
ity that maximizes the output power of the wind turbine. This optimum
velocity, which places a limit to the maximum efficiency of wind turbines,
can be determined by Betz’s law. To derive this law, the concepts of the
conservation of mass, momentum, and energy are used to find the upper
limit for the efficiency of an ideal rotor.
Wind Energy 955

FYI BOX 13.2

HISTORY OF BETZ’S LAW
Three scientists discovered the maximum efficiency of a wind turbine
independently in a short period of time. Frederick W. Lanchester (1868–
1946, an English scientist and engineer) in 1915, Nikolay Yegorovich
Zhukovsky (1847–1921, a Russian scientist), and Albert Betz (1885–1968,
a German scientist) both in 1920. All three of them had significant con-
tributions to the science of aerodynamics. In fact, Zhukovsky sometimes
is called the founding father of modern aerodynamics, while Betz was a
pioneer of wind turbines.

Vt Ve
Vi

Ideal rotor

FIGURE 13.6
Schematic for the derivation of Betz’s law.

In the following analysis to derive Betz’s law, the wind turbine is a

horizontal-a xis turbine; however, this assumption will be relaxed later.
Assume that an ideal turbine is placed in a flow of air to extract energy
from the air flow (Figure 13.6). An ideal rotor, also called an actuator disk,
has no hub with an infinite number of blades with no drag force. In this
analysis, the aerodynamics of the blades are not taken into account. A
control volume can be placed around the disk where air enters the con-
trol volume at the velocity of Vi and exits at the velocity of Ve. The flow of
air in the inlet, exit, and throughout the control volume is axial and no
flow crosses the boundary of the control volume except in the inlet and
exit. The inlet and exit to the control volume are far upstream and down-
stream of the turbine, respectively, where the air pressure is unaffected
by the presence of the turbine and they are equal to the ambient pressure
( Pi = Pe = Pamb ) .
The velocity of the outlet flow is less than the velocity of the inlet flow
and the difference between the kinetic energy of the inlet and outlet flows
is equal to the energy captured by the wind turbine (according to the first
956 Power Plant Engineering

law of thermodynamics). Assuming that the changes in potential energy and

heat transfer are negligible and no work is added or extracted expect in the
rotor, using Equation 13.2,

1 1 1
P=
2
 Vi 2 − m
m
2
 Ve 2 = m
2
( )
 Vi2 − Ve2 (13.6)

Since the air flow is assumed frictionless, and there is no nonconservative

force, the second law of Newton can be used to find the force exerted on the
rotor.
∆V m
F = ma = m =  (Vi − Ve ) (13.7)
∆V = m
∆t ∆t

The power extracted by the rotor because of this force is

 (Vi − Ve ) Vt (13.8)
P = FV = m

where Vt is the air velocity when crossing the rotor. Equating Equations 13.6
and 13.8 gives

1
Vt = (Vi + Ve ) (13.9)
2
Thus, the velocity of air at the turbine can be calculated by averaging the
inlet and exit air flow velocities. Substituting the mass flow rate of the air
through the rotor from Equation 13.3 in Equation 13.6 gives:

1
P=
2
( )
ρAVt Vi 2 − Ve 2 (13.10)

Combining Equations 13.9 and 13.10 gives

1 1
P=
2 2 (
ρA  (Vi + Ve ) Vi 2 − Ve 2 ) (13.11)
Equation 13.11 reconfirms the discussion at the beginning of this section.
The velocity of the air flow at the outlet appears as a positive value in one
term and a negative value in the other, which means there should be an opti-
mum for this parameter that maximizes the output power of the turbine. In
order to find the optimum value of the exit velocity, the derivative of P with
 dp 
respect to Ve should be equal to zero  = 0 , which gives
 dVe 

3Ve2 + 2VeVi − Vi2 = 0 (13.12)

Wind Energy 957

Factoring out Vi2 gives

2
V  V 
3  e  + 2  e  − 1 = 0 (13.13)
 Vi   Vi 

Solving the quadratic Equation 13.13 gives the exit to inlet air velocity ratio
that maximizes the output power of the wind turbine.

 Ve  1 1
 V  = 3 or Ve ,opt =
3
Vi (13.14)
i opt

Substituting Equation 13.14 in Equation 13.11 gives the maximum turbine

output power.

8
Pmax = ρAVi 3 (13.15)
27

The efficiency, also known as the power coefficient (Cp) of the wind turbine
can be calculated by dividing this output power of the turbine to the power
of the wind in Equation 13.4, which gives

Pwind turbine 1
ηwind turbien = Cp = or Pwind turbine = Cp Pwind = CpρAi3 (13.16)
Pwind 2

The maximum power coefficient of the ideal wind turbine can be calculated
as follows:

8
Pmax ρAVi 3 16
ηmax = Cp , max = = 27 = ~ 0.593 (13.17)
Pwind 1 27
ρAVi 3
2

Figure 13.7 illustrates the power coefficient of the ideal wind turbine as a
function of the ratio of upstream wind velocity to downstream wind velocity
with the maximum efficiency identified.
This means that no ideal rotor disc wind turbine can convert more than
59.3% of wind kinetic energy to mechanical energy. In reality, there are other
losses in real wind turbines, e.g., viscous drag forces on blades, creation of
vertices in the flow of air, mechanical losses in the internal components of
the turbine, and losses during the conversion of mechanical energy to electri-
cal energy, that further reduce the efficiency. Understanding this maximum
theoretical power coefficient can help to appreciate the power coefficient of
modern wind turbines that is in the range of 0.4–0.5, which is 65%–85% of
958 Power Plant Engineering

0.7
Efficiency (Power coefficient)

(1/3, 16/27)
0.6

0.5

0.4

0.3

0.2

0.1

0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1

Velocity ratio (Ve/Vi)

FIGURE 13.7
Efficiency (power coefficient) of an ideal wind turbine as a function of the ratio of upstream
wind velocity to downstream wind velocity.

the Betz limit.4 Although in deriving the Betz limit the configuration of a
horizontal-axis wind turbine is used, this law is universal and can be used
for any type and size wind turbine.

Example 13.2
Determine the blade diameter of a turbine with the rated (design) out-
put power of 7.5 MW when the rated (design) wind speed is 12 m/s. The
power coefficient of the turbine is 0.55. Repeat your calculation for the
power coefficient equal to the Betz limit and 0.45.
Analysis
From Equation 13.16

1 1  πD2  3
Prated = Cp Pwind = Cp ρ AV 3 = Cp ρ  V
2 2  4 

8 Prated
D=
CP ρπV 3

For the density of air equal to 1.23 kg/m3

4 It should be noted that in this analysis the area is the cross-section area of the rotor perpen-
dicular to the wind direction. If the wind turbine is equipped with a cowl that acts as a funnel
to concentrate the air flow before guiding into the rotor, the inlet area of the cowl should be
used.
Wind Energy 959

8 × 7, 500, 000
D= = 127.85 m
0.55 × 1.23 × 3.14 × 12 3

An actual 7.5 MW wind turbine has a typical rotor diameter of about

125 m. The second section of the example is left for practice.

13.6 Wind Energy Evaluation

Every wind energy project starts with the evaluation of wind energy in the
region of interest and the identification of suitable site(s). In this section, we
will first introduce the wind classification to identify when wind energy is
good enough for power generation. Then, we will study how wind energy
can be evaluated.

13.6.1 Wind Classification
Wind can be classified based on the wind speed or power density. Table 13.1
shows four wind categories based on wind speed at 10 and 50 m above the
ground.

13.6.2 Wind Property Measurements

Equation 13.4 shows that wind energy and as a result the output power of
wind turbines are proportional to a cube of wind speed. This emphasizes
the importance of accurate measurements of wind speed and direction for
the analysis of wind energy potentials. In wind speed measurements, the
horizontal component of wind velocity is the most important parameter in
determining wind energy. However, for some wind turbines the vertical
component of the wind velocity is also important because it may negatively
affect the wind turbine performance. Note that during the measurement of
wind properties, their spatial and temporal variation should be taken into
account. For example, when a cup anemometer is used to measure wind
speed, it does not measure the wind speed in a single point but measures

TABLE 13.1
Classification of Wind Speed at the height of 10 m and 50 m
Wind Speed at Height of Wind Speed at Height of
Wind Power Category 10 m (33 ft) in m/s (mph) 50 m (164 ft) in m/s (mph)
poor 0–4.5 (0–10) 0–5.5 (0–12.3)
Moderate 4.5–5.5 (10–12.3) 5.5–7.0 (12.3–15.7)
Good 5.5–6 (12.3–13.4) 7–7.5 (15.7–16.8)
Excellent >6 (>13.4) >7.5 (>16.8)
960 Power Plant Engineering

FIGURE 13.8
A meteorological tower. (Image by Hans Braxmeier from Pixabay, https://pixabay.com/photos/
weather-station-anemometer-5580/.)

the average wind speed of the area that is covered by the cups. Instruments
to measure wind properties can be in situ measurement instruments, such
as anemometers, or remote sensing instruments, such as sonic detection and
ranging (or SODAR, based on sound waves) and light detection and ranging
(or LIDAR, based on light waves). Instruments used for in situ measurements
are typically installed on a meteorological tower. The common instruments
on a meteorological tower are instruments to measure wind speed and direc-
tion as well as those to measure ambient conditions including temperature,
pressure, and relative humidity (Figure 13.8). Typical meteorological towers
are 60 m (about 200 ft) in height.
Anemometers are the most popular instruments to measure wind speed.
There are three types of anemometers: cup, propeller, and sonic anemom-
eters. The principle operation of cup (Figure 13.9) and propeller anemometers
(Figure 13.10) is similar to vertical and horizontal wind turbines, respectively.
Unlike the former that only measures wind speed and needs a wind vane to
measure wind direction (Figure 13.9), the latter can measure both speed and
direction of wind. In both instruments, the frequency of the generated AC
signal in the device is proportional to the wind speed. Sonic anemometers
deploy ultrasound waves to create a three-dimensional velocity vector of
wind and directly measure its direction.
The classification of anemometers is based on their accuracy and technol-
ogy according to the standard published by the International Electrotechnical
Commission (IEC 61400-12-1 standard). Note that a wind speed and direction
measurement instruments are used not only for estimating wind energy in
a certain area at the preliminary stage of any wind turbine project but for
providing data for controling the later operation of wind turbines.
Wind Energy 961

FIGURE 13.9
A cup anemometer. (Image by Dragan Stanojevic from Pixabay, https://pixabay.com/photos/
anemometer-apparatus-wind-5532291/.)

FIGURE 13.10
A handhold propeller anemometer. (Image by Bernabe Colohua from Pixabay, https://pixabay.
com/photos/anemometer-kelner-temperature-wind-5160777/.)
962 Power Plant Engineering

13.6.3 Statistical Analysis of Wind Data

Thus far we learned that in real-world wind velocity varies both temporally
(from sudden gusts to seasonal variations) and spatially and is a stochastic
property. To take into account these random variations, the first answer that
may come to mind is to use the average wind speed to represent a specific
wind. But this approach has a major problem. The cube of the average veloc-
ity is not equal to the average of the velocity cube.

(V ) ≠ (V )
avg
3 3
avg
(13.18)

If we use the average wind velocity to estimate wind energy, it can be very
misleading. If we have n readings for the velocity of wind, the average wind
velocity is

∑ V (13.19)
n
i
V= 1
n

But the mean velocity that correctly represents wind energy (known as the
mean energy velocity, VE ) can be estimated from the following equations:
1/3

∑V 
n
3
i (13.20)

VE =  1 
 
n

Example 13.3
In a region for points A to E, wind velocity is measured ten times. The
wind velocity data in the region are listed in Table 13.2. For each set of
data determine the average wind velocity and the mean energy velocity.
As the table illustrates in all cases using average wind velocity will
underestimate the wind energy sometimes with significant errors.

TABLE 13.2
Wind Velocity Data for Example 13.3
Wind Velocity V1 V2 V3 V4 V5 V6 V7 V8 V9 V10 V VE
A 0 2 4 6 8 10 12 14 16 18 9.0 11.7
B 0 0 0 0 0 18 18 18 18 18 9.0 14.3
C 0 0 0 0 0 0 0 0 0 18 1.8 8.4
D 0 18 18 18 18 18 18 18 18 18 16.2 17.4
E 6 4 10 8 2 4 18 12 12 10 8.6 10.7
Wind Energy 963

20
k=1
Probability (%)

15 k = 1.5
k=2
10 k = 2.5
k=3
5 k = 3.5
k=4

0
0 5 10 15 20
Wind speed (m/s)

FIGURE 13.11
Weibull probability density function for λ = 6m/s.

In typical actual wind data, the wind average velocity is about 25% less than
the mean energy velocity. This translates to the actual wind energy being
twice the energy calculated by this average velocity (1.253). Therefore, wind
energy depends on the nature of the time variation of the wind speed and
the average wind speed is not the right parameter to evaluate wind energy.
Although wind speed is seemingly random and unpredictable, in reality
to large extent it follows a predictable pattern that can be expressed by a
probability distribution. The most common continuous probability distribu-
tion used to model wind speed is the Weibull distribution (after Waloddi
Weibull (1887–1979) Swedish engineer, scientist, and mathematician and win-
ner of the American Society of Mechanical Engineers gold medal in 1972).
The probability density function (PDF) of the Weibull distribution is
k
k −1 V
 kV − 
f (V ; k , λ ) =     e λ
for V > 0 (13.21)
 λ  λ 

where V is wind speed (m/s), k is the shape factor (dimensionless), and λ is

the scale factor (m/s). In this equation, k and λ depend on the type of wind
and its characteristics. For a given k and λ, the probability density function (f)
can predict the likelihood of occurrence of a certain wind speed.

Example 13.4
For wind in a region, the shape factor and scale factor of the Weibull dis-
tribution that fits the distribution of the wind are 2 and 6 m/s, respectively.
Determine the probability of having the wind speed of 10 m/s and how
many hours a year the wind with the speed of 10 m/s is likely to blow.
964 Power Plant Engineering

Analysis
In this case V = 10 m/s, k = 2, λ = 6 m/s, substituting these values in the
probability distribution function in Equation 13.21

2
2−1  10 
 2   10  − 
f ( 10; 2, 6 ) =     e  6
= 0.0345
 6  6 

Hours a year with the wind speed of 10 m/s = 0.0345 × 24 × 365 = 302.22 h
That means for this wind there is only 3.45% chance of having wind
with the speed of 10 m/s or about 302 hours a year (about 12.5 days a year).
You can use WEIBULL(V , k , λ , FALSE) function in Excel to calculate the
probability distribution function (in this case WEIBULL(10, 2, 6, FALSE)).
Note: A specific case of the Weibull distribution when k = 2 is called
the Rayleigh distribution (after John W. S. Rayleigh (1842–1919)
English physicist and winner of Nobel Prize for Physics in 1904) and
is commonly used as a simpler approximation of the wind speed
distribution.

Figure 13.11 illustrates the Weibull probability density function for

λ = 6 m/s and k between 1 and 4 with an increment of 0.5. As the name
implies, the shape factor determines the shape of the curve. In the same
way, Figure 13.12 illustrates the effect of the scale factor on the Weibull
probability density function for k = 2. Again, as the name suggests, in this
case, the general shape of the curve is fixed and only the size (scale) of the
curve changes.

λ=3
20
Probability (%)

λ=4
15 λ=5
λ=6
10
λ=7
λ=8
5
λ=9
0
0 5 10 15 20
Wind speed (m/s)

FIGURE 13.12
Weibull probability density function for k = 2.
Wind Energy 965

For the study of wind energy, it is of special interest to be able to pre-

dict the probability of having wind at a certain range of the wind speed
is. This is important because wind turbines can produce their full power
(the rated power) above a certain wind speed (the rated wind speed). So it
is vital to be able to determine what fraction of the wind distribution occurs
above the rated wind speed. For this purpose, the probability density curve
(Figures 13.11 and 13.12) can be used. The area under the curve between
the upper and lower limits in this curve is equal to the probability of hav-
ing wind at the specified range. A simpler method is to use the cumulative
distribution function (CDF) of the Weibull distribution:
k
V
− 
F (V ; k , λ ) = 1 − e λ
(13.22)

where F is the probability of wind with a speed of smaller than or equal to V.

Example 13.5
In Example 13.4, determine the probability of having the wind speed
between 3 and 10 m/s and how many hours a year wind with the speed
of 3 and 10 m/s is likely to blow.
Analysis
2
 3
− 
F ( 3; 2, 6 ) = 1 − e  6
= 0.221

2
 10 
− 
F ( 10; 2, 6 ) = 1 − e  6
= 0.938

Probability of having wind speed between 3and10 m/s

= F ( 10; 2, 6 ) − F ( 3; 2, 6 ) = 0.938 − 0.221 = 0.717

Hoursa year with the wind speedof between 3and10 m/s

= 0.717 × 24 × 365 = 6280.92 h

That means it is likely that about 262 days a year, the wind speed
would be between 3 and 10 m/s. You can use WEIBULL(V , k , λ , TRUE)
function in Excel to calculate the CDF (for example in this case
WEIBULL(10, 2, 6, TRUE) − WEIBULL(3, 2, 6, TRUE)).

To determine wind energy in a specific location, wind speed is typically

recorded every 1–3 seconds for a given elevation (the height of the measur-
ing point from the ground level). Then, the data are typically divided into
10-minute (or sometimes an hour) intervals. In each interval, the average
966 Power Plant Engineering

speed, standard deviation, maximum, and minimum values are determined

and recorded, and the raw information is discarded. These averages are used
to find the factors of the Weibull distribution. In this process, it is assumed
that in each interval the wind speed is steady, and its value is equal to the
average of the interval. The data are recorded for two to three years for an
acceptable accuracy. For various analyses, different time periods might be
needed, for example, hourly, daily, monthly, seasonal, or even annual. For
each period of interest, wind speed histograms are generated and used to
determine the wind speed distribution. The details of this c alculation is
beyond the scope of this text.

13.6.4 Variation of Wind Speed as a Function of Height

As explained in the previous section, the wind speed measurement is usu-
ally done on a single elevation (at least in preliminary stages of wind power
assessment). On many occasions, this elevation is not at the level of the hub of
the intended turbine. In this section, we will explain how wind speed infor-
mation in one elevation can be used to predict the same properties in other
elevations. The variation of wind speed as a function of height is known as
wind shear. Generally speaking, the wind speed increases with an increase
in height, but the magnitude of this variation depends on the ground rough-
ness and obstacles, such as buildings and trees. The most widely used
method for this purpose is the wind power law.
γ
V2  h2 
= (13.23)
V1  h1 

where V2 and V1 are the wind speeds at the heights of h2 and h1, respectively,
and γ is the wind shear exponent (also known as the Hellmann exponent).
This exponent depends on the roughness of the terrain and its obstacles. The
most commonly used wind shear exponent when wind speed is available at a
 1
single height in open flat terrains is 0.14  or  . This exponent can be as high
 7
as 0.6 for rough terrains with many obstacles. Also, the wind shear expo-
nent changes at different hours of the day. During night hours, the exponent
is higher. This means during a night when power demand is lower, wind
turbines produce more power. This can be a problem because the price of
electricity is lower at off-peak hours. Figure 13.13 illustrates the relationship
between wind speed and height for various Hellmann exponents.

Example 13.6
A wind turbine can be installed at the hub height of 15 m or 60 m. If the
location of the installation is open flat terrain, determine the power ratio
of the turbine at two elevations.
Wind Energy 967

160
140
120
100
Height (m)

γ=0.14
80
γ=0.2
60
γ=0.4
40
γ=0.6
20
0
0 10 20 30 40
Wind speed (m/s)

FIGURE 13.13
Relationship between wind speed and height for various Hellmann exponent.

Solution
Using Equation 13.23, the ratio of the average wind speed at the hub
height of 60 m to that of the height of 15 m can be estimated as follows
(for an open flat terrain γ = 0.14):

0.14
Vavg, 2  60 
=  = 1.21
Vavg, 1  15 

Using Equations 13.4 and 13.16

1
P= CpρAV 3
2
3
P2 CP , 2 ρ 2 A2  V2 
= × × ×
P1 CP , 1 ρ1 A1  V1 

Since the same wind turbine is compared (constant CP and A) and the
density of the air can be considered constant in two elevations,

3 3γ
P2  V2  h 
= =  2  (13.24)
P1  V1   h1 

( ) ≠ (V )
3 3
As previously stated generally Vavg ; however, in many cases
avg

the only known information about wind speed is the average wind
speed, so this average wind speed is used to estimate the wind energy.
Obviously, using this approximation can introduce significant errors to
968 Power Plant Engineering

the estimation. The magnitude of the error depends on the parameters

of the Weibull distribution. Typically, this approximation is used to com-
pare wind energy in the same area, such as this example, so:

3 3
P2  V2   Vavg, 2 
=  = 3
 = 1.21 = 1.79
P1  V1   Vavg, 1 

13.6.5 Effect of Variations of Density and Relative Humidity of Air

Equation 13.4 shows that the density of air directly affects wind power den-
sity. The density of air varies with the elevation and temperature. This effect
should be particularly taken into account when the power law (Equation
13.23) is used. The density of air decreases approximately by 1% when the
elevation increases from 10 m to 100 m. As a rule of thumb, the power of wind
drops by 10% for every 1000 m increase in the elevation. Also, the density of
air is affected by relative humidity of air. When the ambient relative humidity
increases from 10% to 90%, the density of air decreases by about 0.5%.

13.6.6 Wind Energy Maps

The results of wind property measurements have been reflected in the
global, national, and local wind power density maps. These maps are pre-
pared using weather data, terrain topography, and computer modeling. The
National Renewable Energy Laboratory (NREL) and the U.S. Department of
Energy provide detailed wind energy maps for the U.S. for utility-scale (land-
based and offshore), community-scale, and residential-scale wind turbines
at various heights at national and state levels (Figure 13.14). Many nations
and regions have similar wind resource maps available to the public. These
maps should be used with caution as they are usually software-driven and
just provide a rough estimation of wind energy in general. The wind energy
of areas that are identified as suitable in these maps should be evaluated with
local wind measurements. Thus, these maps should be only used as a tool to
identify potential regions with good wind resources. The next step before
local wind property measurements can be to use wind data from a neighbor-
ing airport or weather station to determine the rough values of wind energy.

13.7 Wind Turbine Categorization

Wind turbines can be categorized in several ways according to

• interaction of blades with wind (lift force or drag force)

United States - Annual Average Wind Speed at 30 m
Wind Energy

Wind Speed
m/s
>10.5
10.0
9.5
9.0
8.5
8.0
7.5
7.0
6.5
6.0
5.5
The average wind speeds indicated on this map are model-derived
5.0
estimates that may not represent the true wind resource at any 4.5
given location. Small terrain features, vegetation, buildings, and 4.0
atmospheric effects may cause the wind speed to depart from the
map estimates. Expert advice should be sought in placing wind
< 4.0
turbines and estimating their energy production.

Source: Wind resource estimates developed by AWS Truepower,

LLC. Web: http://www.awstruepower.com. Map developed by
NREL. Spatial resolution of wind resource data: 2.0 km.
Projection: Albers Equal Area WGS84.

21-FEB-2012 2.1.1

FIGURE 13.14

Wind power density map for the U.S. (The National Renewable Energy Laboratory (NREL) and the U.S. Department of Energy, https://windexchange.
energy.gov/maps-data/325.)
969
970 Power Plant Engineering

• axis of rotation (horizontal- or vertical-axis wind turbines)

• connection to the grid (grid-connected or stand-alone)
• nature of rotational speed (constant or variable)
• power output capacity (small or large)
• number of blades
• location (land-based or offshore)

In the following sections, some of these categories will be discussed.

13.7.1 Lift-Force Dominant Wind Turbines and

Drag-Force Dominant Wind Turbines
When a fluid flows over an object or an object moves through a fluid (or
both), the fluid exerts a net force on the object. The net force acting on the
object can be divided into two components, parallel and perpendicular to
the velocity of the fluid relative to the object (Figure 13.15). As a conven-
tion, the former is called the drag force, and the latter is called the lift force,
though this does not mean that the lift force is always upward. Note that
both forces can have normal components to the axis of rotation of blades,
which creates torque to rotate them. Typically, both of these components
exist in a turbine and based on which one is dominant, turbines are called
lift or drag force turbines.
In order to simplify the study of these two forces, the following two dimen-
sionless parameters are defined:

FD
CD = (13.25)
1
ρ AVrel
2
2

Chord line

α
Drag
Angle of attack
Wind
Fixed blade
FIGURE 13.15
Schematic of lift and drag forces.
Wind Energy 971

FL
CL = (13.26)
1
ρ AVrel
2
2
where CD and CL are coefficients of drag and lift, respectively, FD and FL are
the drag and lift forces, respectively, and Vrel is the velocity of the fluid rela-
tive to the object. For a stationary object, Vrel will be equal to the velocity of
the flow (wind).
In drag-force dominant devices, the component that interacts with wind, in
this case blades, stand against the wind and the wind force produces torque.
Since these devices move with the flow, their speed relative to wind can-
not exceed the wind speed. They have low efficiency (power coefficient, see
Example 13.7) and material required to build blades is substantial. As a result
nowadays there is no commercial large drag force wind turbine for electricity
production. But Persian turbines discussed in Section 13.2 (Figure 13.1) were
purely drag force turbines.
Lift-force dominant devices do not stand against the wind but interact with
it like an airplane wing. Their speed relative to wind can exceed wind speed
and thus they are more efficient. They need much less material for fabrication
than that for drag force wind turbines. Almost all modern wind turbines are
lift force dominant.

Example 13.7
A flat plate is vertically placed on a cart (Figure 13.16). The cart is placed
in a wind in a way that the plate is perpendicular to the wind direction.
If as a result of the wind force the cart moves with a speed equal to one-
third of the wind speed, determine the maximum power coefficient of
this device. Assume the drag coefficient of the flat plate is 1.2.
Analysis
From Equation 13.25,
1
FD = CD ρ AVrel
2

2

1
V wind
V plate = 3 V wind

FIGURE 13.16
Schematic of a flat plate in wind for Example 13.7.
972 Power Plant Engineering

Since the direction of the wind and the plate movement are the same,

Vrel = Vwind − Vplate

If Vwind = Vplate, the force will be zero, and if VPlate = 0 , the force is
maximum.

1
( )
2
P = FDVplate = CD ρ A Vwind − Vplate Vplate
2
Vwind
Since Vplate = ,
3
2
1  V  V 2
P= CD ρ A  Vwind − wind  × wind = CD ρ AVwind
3

2  3  3 27

From Equation 13.16 for the power coefficient (Cp),

2
CD ρ AVwind
3
4
CP = 27 = CD
1 27
ρ AVwind
3
2

Assuming the drag coefficient of the flat plate is 1.2,

4
CP = CD = 0.178
27

This power coefficient (efficiency) is significantly lower than those of

modern wind turbines in the range of 0.4–0.5.

Example 13.8
Persian turbines, discussed in Section 13.2, are purely drag force tur-
bines. For a Persian windmill shown in Figure 13.17, determine the drag
force and the torque produced by a wind with the speed of 10 m/s. The

VWind = 10 m/s

10 RPM

FIGURE 13.17
Schematic of the Persian windmill in Example 13.8.
Wind Energy 973

height and radius of the wheel are 2 and 1 m, respectively, the rotational
speed of the wheel is 10 rpm, and CD is 1.2.
Analysis
For the sake of simplicity, let us find the drag force only in the state shown
in Figure 13.17. In this case, there is no lift force and the net force exerted
by the wind on the windmill is a pure drag force. From Equation 13.25,

1
FD = CD ρ AVrel
2

2

The drag coefficient for a rectangular plate is about 1.2. In this case, the
wind velocity and the velocity of the wheel are at the same direction, so

Vrel = Vwind − Vwheel = Vwind − rω

where r is the radius of the wheel at a certain point on the plate and can
vary from r = 0 to r = 1 m. For simplicity, let us assume r is equal to one
half of the wheel radius. This means we assume the entire wind drag
force is imposed on the middle of the plate.

Rω
Vrel = Vwind −
2
2
1  Rω 
FD = CD ρ A  Vwind − 
2  2 

2 π × rpm 2 π × 10
ω= = = 1.05 rad/s
60 60
2
1  1 × 2 π × 10 
FD = × 1.2 × 1.22 × ( 2 × 1) ×  10 −  = 131.5 N
2  2 × 60 

Assuming the uniform effect of wind on the plate, the torque can be
calculated as follows:

R
T = FD × = 131.5 × 0.5 = 65.7 N .m
2
Note that this is the maximum torque on the plate. When the plate moves
forward, the amount of torque exerted on the plate reduces; however, at
the same time the next plate moves toward the wind and the drag force
of the wind starts to push that plate.
Now you can see why one half of the wheel is covered (Figure 13.17).
If the whole wheel was placed on the wind, the torque exerted on the
opposite plates would cancel each other, and the wheel would not move.
So the main idea in this design is to have unbalanced torque on two sides
of the wheel. In a cup anemometer, this effect is produced by different
shapes of the two sides of the cup that is exposed to the wind, when it
moves toward the wind and away from it (next example).
974 Power Plant Engineering

FD,2
1

2
FD,1

FIGURE 13.18
Schematic of an anemometer for Example 13.9.

Example 13.9
In an anemometer shown in Figure 13.18, determine the drag forces on
cups 1 and 2 and discuss how this anemometer can measure wind speed.
Assume when the cup moves toward the wind (the back of the cup is
toward the wind), CD is 0.38 and when it moves away from the wind (the
front of the cup is toward the wind), CD is 1.4.
Analysis
Again, let us study the problem in the state shown in Figure 13.18. In this
case, while the wind exerts forces on both cups at the same direction, the
produced torques by the cups on the opposite sides of the arm are against
each other. The forces on the cups can be calculated using Equation 13.25.
The only difference is the different values of the drag coefficients for the
two sides of the cups and the velocity of wind relative to the cups. Since
cup 2 moves toward the wind (the back of the cup is toward the wind),
its CD is 0.38 and cup 1 moves away from the wind (the front of the cup is
toward the wind), its CD is 1.4. The forces acting on two cups can be esti-
mated as follows:

1 1
CD, 1 ρ A (Vwind − Rω ) = × 1.4 × ρ A (Vwind − Rω )
2 2
FD, 1 =
2 2

1 1
CD, 2 ρ A (Vwind − Rω ) = × 0.38 × ρ A (Vwind + Rω )
2 2
FD, 2 =
2 2

Note that for cup 2, the directions of the wind and the cup rotation are
opposite. It can be shown that there is a direct relationship between ω
and V, which makes anemometers useful in measuring wind speed. The
manufacturers of anemometers provide an accurate empirical relation-
ship between ω and V, which can be used to calibrate them.

Before concluding this section, let us introduce an important parameter

called the blade tip-speed ratio. For an observer on the tip of a blade look-
ing at wind, the wind relative velocity (Vrel) has two components, the wind
velocity parallel to the axis of rotation (Vwind) and the velocity due to the
Wind Energy 975

motion of the observer itself (because of the blade rotation), which is perpen-
dicular to the wind velocity (Vtip = ω R). The tip-speed ratio (λ) of a blade is
the ratio of the speed of the tip of the blade to the speed of the free wind (the
wind unaffected by the blade).

λ = ω R / Vwind

where R is the radius of the blades (m) and ω is the angular velocity of
the blades (rad/s). It has been shown that the power coefficient of a wind
turbine strongly depends on its tip-speed ratio. If the tip-speed ratio is too
small, the turbine cannot effectively extract wind energy. If it is too large,
the blades induce turbulence to the flow of air, which disturbs the wind flow
and reduces the output power. Lift blades typically have a high tip-speed
ratio (about 7).

Example 13.10
For a wind turbine with a blade radius of 10 m that rotates with the rota-
tional speed of 15 rpm at wind with a speed of 12 m/s, draw the velocity
diagram at the tip of the blade and determine the velocity of wind rela-
tive to the blade.
Analysis

m
Horizontal component = Vwind = 12
s

1 m
Vertical component = Vtip = 10 × 15 × 2π × = 5π = 15.7
60 s

m
Vrel = (V 2
wind
2
+ Vtip )
= (12 2
)
+ 15.7 2 = 19.8
s

 Vtip   15.7 
γ = tan −1  = tan −1  = 52.6°
 Vwind   12 

Vwind

Vtip
Vrel

FIGURE 13.19
Velocity diagram for Example 13.10.
976 Power Plant Engineering

13.7.2 Vertical-Axis Wind Turbines

In vertical-axis wind turbines (VAWT), as the name implies, the axis of rota-
tion of turbines is perpendicular to the direction of the wind and the local
horizon. They were very popular in the early days of wind turbines both for
the large-scale and small-scale applications, such as Persian windmills and
James Blyth’s turbine (Section 13.2). But nowadays, mainly due to their low
efficiency, there are not many commercial large-scale VAWTs while a few
small-scale VAWTs are commercially available. The most important advan-
tage of VAWTs is their insensitivity to the direction of wind. These wind tur-
bines do not need to be aligned at the wind direction and can produce power
regardless of the wind direction. In contrast, horizontal-axis wind turbines
need to be oriented to face wind, which is accomplished by yaw adjustments
(Section 13.10). Normally, the yaw mechanism can follow the wind direction
efficiently; however, the performance of horizontal-axis wind turbines can
deteriorate when the wind direction changes rapidly. VAWTs are not sensi-
tive to a rapidly changing wind direction, which makes them a suitable can-
didate for certain applications, particularly when turbulent and gusty winds
are involved. Also in VAWTs the generator and other components are on the
ground level, which makes them easy to install and maintain. Furthermore,
the elimination or at least reduction of cyclic stresses due to change in the
direction of the gravity relative to the direction of the blade motion, which
can be damaging in long-term for horizontal-axis wind turbines, is another
important feature of VAWTs. Moreover, typically VAWTs do not require a
pitch adjustment mechanism, which simplify their control. Some VAWT
designs are easier to manufacture than their horizontal-axis counterparts.
They can be also packed in smaller areas, even beneath horizontal-axis wind
turbines.
Traditionally, VAWTs are considered to have a lower efficiency compared
to horizontal-axis wind turbines; however, some new VAWT designs have
efficiency close to horizontal-axis wind turbines. Other than their lower
theoretical and practical efficiencies, VAWTs suffer from the following
disadvantages. Since they are commonly installed at low elevations, they
are exposed to lower speed winds, which reduces their output power. The
continuous change in the angle of attack causes the torque on blades to
pulsate, which can cause high stress in components as well as undesirable
variations in produced electricity. They require an extensive support sys-
tem, which increases their footprint and limits their utilization in agricul-
tural lands. They are also vulnerable to fatigue failure and stall. While in
the past few decades, large capacity VAWTs have not been popular, recently
there has been a resurgence of VAWTs particularly for small wind turbines.
Also R&D activities on developing large size VAWTs have significantly
increased. There are many types of VAWTs, but the three most popular
ones are Savonius (Figure 13.20), Darrieus (Figure 13.21), and H rotor (or
Giromill) VAWTs.
Wind Energy 977

FIGURE 13.20
Schematic of a Savonius VAWT and an actual unit. (Image by Bernd Wolf from Pixab7ay,
https://pixabay.com/photos/savonius-rotor-vertical-wind-turbine-3084781/.)

FIGURE 13.21
Schematic of a Darrieus VAWT and an actual unit. (By guillom – Own work, CC BY-SA 3.0,
https://commons.wikimedia.org/w/index.php?curid=466915.)
978 Power Plant Engineering

13.7.3 Horizontal-Axis Wind Turbines

In horizontal-axis wind turbines (HAWTs), the axis of rotation of turbines
is parallel to the wind direction and the local horizon. Almost all modern
wind turbines, large or small, are horizontal axis. Their two main advantages
are high efficiency and tall towers. The efficiency (or power coefficient) of
HAWTs is extraordinarily high. This is primarily because they are able to
extract wind energy through the entire blade length of all blades at all times
(unlike VAWTs that blades in their return path oppose the rotation of the
rotor). Also with their tall towers, they can be installed at high elevations
where more powerful winds are available. While they are relatively expen-
sive and are highly visible, their advantages overwhelmingly compensate for
their disadvantages. For the rest of this chapter, we will mainly focus on this
type of wind turbines.
These turbines almost universally have three blades (although there are
some exceptions such as turbines in Figure 13.22). Theoretically, there is no
limit for the number of blades in a wind turbine and wind turbines with
one, two, three, four, or even more blades have been built (Figures 13.3,
13.4, 13.22 and 13.23); however, the turbines with three blades are the most
popular ones due to their higher efficiency and lower vibration as well as
from aesthetic standpoint. For HAWTs, the number of blades is typically an

FIGURE 13.22
Horizontal-axis wind turbines with two blades. (Image by skeeze from Pixabay, https://pixa-
bay.com/photos/windmills-farm-technology-energy-705282/.)
Wind Energy 979

FIGURE 13.23
A horizontal-axis wind turbine with six blades. (Image by Shutterbug75 from Pixabay, https://
pixabay.com/photos/air-battery-blade-breeze-charge-1238449/.)

odd number. The main reason is an uneven force of wind on blades if the
number of blades is even. When the two opposite blades are in the vertical
position, the lower blade is affected by the tower, which reduces the wind
force on the blade, while the upper blade is fully exposed to the wind. This
effect can cause a cyclic stress on the structure of the blades that can damage
them in long run.
While a great majority of existing horizontal-axis wind turbines are land-
based units, offshore wind turbines are quickly gaining popularity. Until
2019 almost 30 GW offshore wind turbines were installed globally. While
this installed capacity was small compared to the installed capacity of land-
based wind turbines at about 600 GW, the rate of growth for offshore wind
turbines has to be exponential in the past few years. They are one of the most
promising power generation technologies in near future. They do not need
any land for installation while enjoying faster and steadier winds that blow
over oceans. Also, they are not subjected to scrutiny for sight and noise pol-
lutions since they are typically installed far from shores. However, since they
980 Power Plant Engineering

operate at harsh environments, it is more difficult to design, build, install,

and maintain them. Also, it is more challenging to transmit generated elec-
tricity to shores and consumption centers. All of these factors make them
more expensive than land-based wind turbines.

13.7.4 Grid-Connected and Stand-Alone Wind Turbines

Electricity produced by wind turbines can be easily supplied to the grid as long
as the quality of produced electricity in terms of frequency and voltage meets
the country-specific requirements. However, the highly intermittent nature
of power produced from wind energy can be problematic when the share of
renewable energy sources, particularly wind and solar energy, increases. The
high degree of penetration of wind energy may require substantial energy
storage systems (refer to Chapter 16) and a significant upgrade of the grid.
Stand-alone wind turbines have fewer electrical constraints. They can pro-
duce AC electricity just like grid-connected wind turbines. Alternatively,
they may produce variable frequency power, which can be used to charge a
battery bank. The DC output of the batteries can be directly used in certain
applications or it can be converted to AC power through an inverter.

13.7.5 Small and Hybrid Wind Turbines

Installing a small wind turbine for distributed, community, and residential
applications can be very tempting and is becoming popular, especially in
regions with frequent power outages. However, the economic feasibility of
small wind turbines should be carefully assessed. In a region with appar-
ently significant wind, the effects of natural and manmade obstacles can
significantly reduce wind speed and thus its energy at low elevations. As a
result, the wind turbine can produce its rated power only for a short period.
Figure 13.24 shows a residential wind turbine. These turbines can have rated
power between several hundred watts and 100 kW. They may be also used
for telecommunication and water pumping. Also, local height limits for the
installation of wind turbines should be taken into account. An attractive
option is integrating a wind turbine and some solar PV panels in a hybrid
unit. Figure 13.23 shows a small wind turbine and a solar PV panel in a
hybrid unit. Alternatively, wind turbines can be used with mini- and micro-
hydro units, bioenergy systems, diesel engines, or gas turbines.

13.8 Operation of Wind Turbines and Power Curves

The most common way of presenting the performance of wind turbines is
through a power performance curve (or simply power curve). In this curve,
Wind Energy 981

FIGURE 13.24
A residential wind turbine. (By Tobi Kellner – Own work, CC BY-SA 3.0, https://commons.
wikimedia.org/w/index.php?curid=25275689.)
Power

Rated
wind speed
Cut-in Cut-out
wind speed wind speed

Wind speed

FIGURE 13.25
A typical power curve of a wind turbine.

the power output of a wind turbine is presented as a function of wind speed

(Figure 13.25). The following three wind speeds are of main interest and
importance in power performance curves.
Cut-in (start-up) wind speed: This is the wind speed that the wind tur-
bine starts to produce electricity and is usually between 3 and 5 m/s (about
7–11 ft/s). At wind speeds lower than the cut-in speed, the force imposed by
the wind is not sufficient to overcome the internal inertia of the wind turbine
and the wind turbine will not turn.
Rated wind speed: This is the minimum wind speed that a wind tur-
bine can produce its rated power and is commonly between 10 and 15 m/s
(about 22–34 ft/s). A lower rated speed is more desirable because it means the
982 Power Plant Engineering

turbine can operate at its rated power for a longer period of time and results
in a larger capacity factor and more power generation.
Cut-out wind speed: At this speed, the turbine stops operation to pro-
tect its components from overloading and is typically about 25 m/s (about
55 ft/s). This can be done either by increasing the pitch of blades in pitch-
regulated wind turbines (Section 13.9.2) or by turning the turbine 90°
along its vertical axis (the tower that the turbine is installed on), so the
turbine’s rotational axis is perpendicular to the wind direction. The latter
method was used in early wind turbines and is still being used in small
turbines. Alternatively, blades can be turned to the feather position by a
spring-loaded mechanism to protect the turbine. In this case, the turbine
blades are parallel to the wind direction and the turbine is not operational.
Another important wind speed is the survival wind speed. This is the
wind speed above which the entire structure of the wind turbine, particu-
larly the tower, may be at the risk of failure. This speed is typically between
50 and 60 m/s (about 110 and 135 ft/s).
The maximum or near-maximum wind speed at a given site should not
be selected as the rated wind speed of the wind turbine because in this case
the wind turbine will produce its rated power for a short period and most
of the time its full capacity will remain unused. From an economic stand-
point, the rated wind speed should be selected at a lower than maximum
wind speed, which results in a smaller turbine and generator.

13.9 Control of Wind Turbine Power Output

In order to understand the control mechanisms of wind turbines, we need
to recognize the objectives of these mechanisms. For this purpose, let us
revisit the power curve of a typical wind turbine and discuss how the func-
tion of the control system changes with the variation of wind speed. The
power curve of a typical wind turbine in Figure 13.25 indicates that between
the rated and cut-out wind speeds the wind turbine should roughly pro-
duce its rated power. However, according to Equation 13.16, the power out-
put of the turbine will increase with the cube of wind speed. To keep the
output power of the turbine at a constant level and avoid overheating of
the generator at this range, the power coefficient of the turbine should be
reduced so that the turbine can produce its rated power (since A and ρ are
fixed in Equation 13.16). A similar case can be made when the wind speed
is between the cut-in and rated wind speeds but this time the objective
is to increase CP so that more power can be produced. In summary, the
turbine operates at variable power between the cut-in wind speed and the
rated wind speed and at constant power above the rated wind speed up to
the cut-out wind speed. The wind turbine control system should be able to
Wind Energy 983

maximize the output power in the former range and maintain the power in
the latter range.
Generally speaking, for a given wind turbine, the power coefficient can be
controlled by adjusting tip-speed ratio, blade pitch, or rotor rotational speed.
Using these three parameters have led to the introduction of the following
three control strategies for wind turbines: stall-regulated, pitch-regulated,
and variable speed (for tip-speed ratio, blade pitch, and rotor rotational
speed, respectively). In the following sections, we will briefly review these
control strategies.

13.9.1 Stall-Regulated and Pitch-Regulated Wind Turbines

Before discussing these control systems, we need to define the pitch of blades.
The pitch or blade angle of a turbine blade is the angle between the chord line
and the plane of the rotor (the plane of the rotation). Note that the chord of a
blade is a line connecting the leading edge and the trailing edge of the blade.
Figure 13.26 illustrates the pitch and the angle of attack of the blade. The
attack angle is the angle between the chord line and the wind velocity vec-
tor with respect to the blade. The pitch is only a function of the design and
geometry of the blade but the angle of attack depends on the design of the
blade, its rotational speed, and the wind speed.
In terms of the pitch of blades, wind turbines can be either fixed pitch or
variable pitch. Fixed-pitch wind turbines are simple and inexpensive because
their blades are locked to the turbine rotor and they do not need a mecha-
nism to change the pitch of the blades. These turbines are stall-regulated,
also known as the Danish Concept, after where it was first pioneered.

Pitch

Turbine hub

Wind velocity Attack angle

relative to blade

Blade velocity

Chord line
Wind velocity

FIGURE 13.26
Schematic of a wind turbine blade along with pitch and attack angle.
984 Power Plant Engineering

They are the oldest and simplest design for wind turbine control. The
rotational speed in these turbines is held nearly constant. At higher wind
speeds, the attack angle of blades changes due to the change in the vector
diagram shown in Figure 13.26. This results in the separation of the air flow
from the blades. This separation increases the drag force and decreases the
power output, which protects the generator from overloading. At very high
wind speeds, the turbine eventually stalls so the name stall-regulated wind
turbines (for more on stall refer to Chapter 9). Basically in these turbines, the
output power of the turbine at wind speeds higher than the rated speed is
controlled (reduced) passively. This concept was first developed in 1957 and
most wind turbines until the 1980s were based on this design. Later this
design was further improved by controlling stall by means of varying the
blade pitch angle by a few degrees, which is called the active-stall control.
Although stall-regulated wind turbines were robust and inexpensive, the
output power of the turbine reduces at wind speeds higher than the rated
speed. The active-stall and pitch-control concepts were introduced to over-
come this problem.
In pitch-regulated wind turbines, the pitch of the blades varies greatly
with a change in the wind speed to achieve the rated power output at above
the rated wind speed by reducing CP. This is accomplished by increasing
the pitch, which reduces the angle of attack. In large wind turbines, the
pitch is controlled by a mechanism that rotates the blades based on the
signals received from the control system. The control system estimates
the required pitch angle based on the wind speed measured by the wind
speed measurement instrument (an anemometer). In smaller wind tur-
bines, the pitch is controlled using spring-loaded blades that react to cen-
trifugal forces. The pitch-regulated wind turbines were able to maintain
the output power at the rated power when the wind speed was higher than
the rated wind speed and they had also good performance at wind speed
lower than the rated speed; however, they had a problem in gusty winds.
In a sudden gust, the pitch-control system could not react fast enough
to compensate for the effect, and this caused a short strong variation in
produced power, which reduced the quality of electricity and imposed a
shock to the structure. To overcome the problem, variable speed wind tur-
bines were introduced.

13.9.2 Constant Speed and Variable Speed Wind Turbines

In terms of rotational speed, wind turbines can have constant or variable
rotational speeds. Most modern large wind turbines are variable speed. The
nature of the rotational speed of a wind turbine is determined by the type of
electric generator connected to it. If the electric generator is directly connected
to the grid, in order to maintain the constant frequency of produced electric-
ity, the rotational speed of the wind turbine should be kept constant. The rota-
tional speed of the generator depends on the desired frequency of generated
Wind Energy 985

electricity (60 Hz in the U.S. and Japan and 50 Hz in Europe and Asia) and the
number of poles in the generator (for more on this refer to Chapter 6).

f × 60
Rotational speedof generator ( rpm ) = (13.27)
1
× numberof poles in generator
2

The number of poles in a generator is the number of magnetic north and

south poles in the generator and is always an even number, commonly two
or four. Therefore, the rotational speed of the generator can be either 3000 or
1500 rpm for electricity with the frequency of 50 Hz and 3600 or 1800 rpm
for electricity with the frequency of 60 Hz. Obviously, a wind turbine cannot
rotate with this rotational speed, and a gearbox is needed to convert the slow
and constant rotation of the rotor to the higher speed of the generator.
Since in this configuration, generated electricity is directly fed to the grid
and no power electronics is required, it is simple and inexpensive. However,
even with pitch angle regulation, the turbine cannot smooth out the sudden
variation of wind speed above the rated wind speed. The concept of variable
rotational speed wind turbines can fix this problem.
There are two dominant concepts for this purpose. In the first design, the
generator is still coupled to the grid and the rotational speed of the turbine
can be adjusted by about 10% to smooth out the sudden variation of wind
speed along with pitch control. This design however has a complete vari-
ability of rotational speed at wind speeds below the rated wind speed. The
rotational speed can be doubled between the cut-in speed and rated speed,
which results in smooth operation and reduced noise. More than half of
newly manufactured wind turbines follow this design.
In the second design, the generator is completely decoupled from the grid.
In some designs, the gearbox has been eliminated altogether and the rotor
shaft is directly connected to the generator shaft. In this design, the rotational
speed can triple between the cut-in speed and the rated speed. The electric-
ity generated in the generator has a variable frequency and it should be con-
verted to DC power and then back to AC power at the grid frequency through
the frequency transverter, which requires a considerable amount of power
electronics. This design improves the quality of produced power and reduces
the sensitivity of the turbine to a disturbance in the grid. A great majority of
the new large wind turbines are designed based on one of these two concepts.

13.10 Wind Turbine Components

In this section, some major components of wind turbines (mainly in HAWTs)
will be covered. Typically, a large wind energy conversion system (WECS) is
986 Power Plant Engineering

composed of the blades, hub, gearbox, generator, control system, nacelle, and
tower. Figure 13.27 illustrates the main components of a wind turbine. We
have already discussed some of these systems.
The rotor system of a wind turbine mainly consists of the blades, hub, and
pitch motors. Blades of very large wind turbines can be over 100 m in length
(Figure 13.28). These enormous components should endure extremely harsh
atmospheric conditions. Also, they should be able to tolerate the cyclic stress
caused by the bending force of the blades’ own weight for hundreds of mil-
lion cycles in the turbine’s lifetime. To design these engineering marvels, the
most advanced materials such as carbon-fiber composites are used.

Nacelle Gearbox

Hub Hub

Blade Brake Generator

Blade

Tower

FIGURE 13.27
Schematic of main components of a large wind turbine.

FIGURE 13.28
A wind turbine blade at construction stage. (Image by Bishnu Sarangi from Pixabay, https://
pixabay.com/photos/wind-mill-turbine-rolling-stock-3674248/.)
Wind Energy 987

Spar cap
Blade shell

Leading edge
Tailing edge

Spar cap

FIGURE 13.29
Cross-section of a wind turbine blade.

Wind turbine blades are composed of a central beam called the spar that
supports the blade along its length. The spar can have an enclosed profile.
Alternatively, it can have one or two shear webs with two spar caps at two
ends (Figure 13.29). Similar to steam turbine blades (discussed in Chapter 6),
the blade velocity (rω) varies along the blade length and is directly propor-
tional to the radius. This variation results in different velocities of the wind
relative to the blade and different angles of attack. As a result, the wind tur-
bine blades are twisted.
This central piece is covered with a shell made of fiberglass and epoxy
resin on both upwind and downwind toward the leading edge and tailing
edge, respectively. The blade is connected to the rotor hub by a metallic cyl-
inder either directly (in fixed pitch) or through the pitch-control mechanism
(Figure 13.30). In the latter, the pitch motors are located inside the hub. The
blades are also equipped with a lighting system (to warn aircrafts) and vari-
ous sensors to measure stress, strain, noise, etc.

FIGURE 13.30
Connection of blades to the hub before (a) and after installation (b). (a: Image by Hans Linde
from Pixabay, https://pixabay.com/photos/windr%C3%A4der-pinwheel-site-2759645/. b:
Image by Steppinstars from Pixabay, https://pixabay.com/photos/windmill-wind-wind-
turbine-electric-62257/.)
988 Power Plant Engineering

The hub is connected to the generator via a shaft. Depending on if the

wind turbine is fixed or variable speed, a gearbox may be placed between the
hub and the generator to regulate the rotational speed of the generator. The
gearbox converts the low rotational speed of the rotor to the high rotational
speed required by the generator. Also, the shaft is typically equipped with a
brake to stop the rotation of the shaft (and blades) for maintenance or when
the wind speed is above the cut-out speed.
In HAWTs, it is very important to align the turbine so that its axis of rota-
tion is always parallel to the wind direction. The angle between the axis of
rotation of the turbine and the wind direction is called the yaw angle. If
this angle is not zero, the effective wind velocity will be equal to the normal
component of the wind speed to the rotor plane. For small turbines, the yaw
angle is usually controlled passively by a vane. In large wind turbines, the
yaw angle is controlled by a motor. The yaw control mechanism is in charge
of aligning the wind turbine according to the wind direction measured by
wind sensors. The yaw motor and its related system are located at the top of
the tower, which turns the whole turbine, the rotor, and the nacelle, accord-
ing to the wind direction about the tower axis.
The nacelle is a streamlined enclosure at the top of the tower that contains
most mechanical and electrical components of the wind turbine, including
the generator and gearbox (Figure 13.30). The turbine tower supports the
entire system at the desired height. Typically for large HAWTs, the diameter
of the turbine blades is roughly equal to the height of the hub. The bottom of
the wind turbine blades should be at least several times higher than any
obstacles near the turbine.

FYI BOX 3.3

AN INNOVATIVE DESIGN FOR WIND
TURBINES BASED ON MAGNUS EFFECT
The Magnus effect, which was discovered by a German scientist
Heinrich Gustav Magnus (1802–1870), states that if a cylinder or sphere
rotates in the wind blowing at the direction perpendicular to the axis of
rotation of the cylinder, a lift force will be generated that is perpendicu-
lar to both the axis of rotation of the cylinder and the wind direction.
Have you ever wondered why the ball in soccer, golf, baseball, volley-
ball, tennis, and other games played with a ball curves away from its
principal projectile path? Now you know. The first design based on this
concept was introduced in 1912 but still, there is no commercial product
based on this concept. However, several prototypes have been fabri-
cated. These machines look like HAWTs but instead of airfoil blades,
they have cylindrical blades. The cylinders rotate about their axis of
symmetry by an electrical motor in the hub. This electric motor uses the
power generated in the generator. For the start-up, there is a battery that
can run the cylinders for several seconds.
Wind Energy 989

13.11 Environmental Impacts of Wind Turbines

While wind energy is considered a renewable and sustainable source of
electricity, like any other technology, it has some negative environmental
impacts. The most important impact of wind turbines on wildlife is their
effects on flying animals, such as birds and bats. They can kill or hurt these
animals due to direct collision with blades or the variation in air pressure
near turbines. Using advanced technologies and adjustments in operational
procedures have proved successful in reducing these impacts. It should be
noted that the life-cycle carbon emission of wind turbines is one to two
orders of magnitudes less than that for fossil fuel power plants. These pollu-
tions could possibly have killed much more birds and bats compared to those
by wind turbines. Also, this number of casualties is small compared to those
killed by other human activities, such as collision with buildings or even cats.
Noise and sight pollutions have also caused some concerns in some people
and communities. However, they have not been proven to have real harmful
impacts on people’s health. Complaints about noise seem to be a direct func-
tion of how friendly the relationship between residents and turbine owners
is. Finally, the land use for wind turbine installations needs to be taken into
account in the design of large projects. The installation of wind turbines in
agricultural lands, where the space between turbines can be effectively used,
and in brown lands where other activities are not possible have been pro-
posed and successfully implemented.

13.12 Questions and Problems

13.12.1 Introduction

13.1. List pros and cons of wind energy.

13.2. Which countries have the largest wind turbine farm installations
in the world?

13.12.2 Wind Formation
13.3. Explain how wind is created.
13.4. Why is wind considered as an indirect form of solar energy?
13.5. What are the similarities and differences between planetary wind
and local wind?
13.6. Explain how sea breeze and land breeze are created? Why are they
in the opposite direction?
990 Power Plant Engineering

13.12.3 Power of Wind and Wind Energy Evaluation

13.7. What is wind power density? How is it different from wind
power?
13.8. A horizontal-axis wind turbine with a radius of 15 m operates in
a location with a uniform wind speed of 5 m/s. Determine the
power of wind for an area equal to the swept area of the turbine
and per unit of area. Compare your answer with the value you
read from the diagram in Figure 13.5.
13.9. Determine the blade diameter of the turbine with a rated (design)
output power of 1.5 MW when a rated (design) wind speed is
10 m/s. The power coefficient of the turbine is 0.50. Repeat your
calculation for the power coefficient equal to the Betz limit and
0.45. Compare your results with the size of an actual wind turbine
with the same capacity.
13.10. Why is an accurate measurement of wind speed critically impor-
tant for wind energy estimation?
13.11. In wind speed measurements, which component of wind veloc-
ity is the most important parameter in determining wind energy?
Why?
a. Horizontal component
b. Vertical component
13.12. Name two types of instruments to measure wind properties.
13.13. In the following meteorological tower, what types of wind speed
measurement instruments are used?
Wind Energy 991

13.14. What are three types of anemometers? Explain how each one
works.
13.15. Define the mean energy velocity.
13.16. In a region for points A to C wind velocity is measured five times.
The wind velocity data in the region are listed in the following
table. For each set of data determine the average wind velocity
and the mean energy velocity.

Wind Velocity V1 V2 V3 V4 V5 V VE
A 1 2 5 6 8
B 2 10 9 6 3
C 12 7 3 9 4

13.17. If the wind average velocity is 20% less than the mean energy
velocity, the actual wind energy will be … times ..... (greater/
smaller) than the energy calculated by the average velocity.
13.18. Which continuous probability distribution is commonly used to
model wind speed?
13.19. Explain what the shape factor and scale factor of the Weibull
distribution represent.
13.20. For wind in a region, the shape factor and scale factor of the
Weibull distribution that fits the distribution of the wind velocity
are 3 and 8 m/s, respectively. Determine the probability of having
the wind speed of 12 m/s and how many hours a year the wind
with the speed of 12 m/s is likely to blow.
13.21. Describe the process to determine the shape factor and scale fac-
tor of the Weibull distribution for the measured wind speeds for a
given region (you need to search for this question).
13.22. What is wind shear?
13.23. What is the wind power law? Why do we need it?
13.24. A wind turbine can be installed at the hub height of 100 m or 150 m.
If the location of the installation is open flat terrain, determine the
power ratio of the turbine at the two elevations.
13.25. Two different wind turbines with diameters of D1 = 7.5 m
and D2 = 30 m are installed at the hub height of 15 m or 60 m,
respectively. If the location of the installation is open flat terrain,
determine the power ratio of the turbines at two elevations. The
power coefficients of the two turbines are the same.
13.26. Show that wind power density doubles from the height of
10 m–50 m for the wind shear exponent of 0.14.
992 Power Plant Engineering

13.27. Explain the effects of variations of density and relative humidity

of air in wind power.
13.28. What type of information can wind maps provide?

13.12.4 Wind Turbine Categorization

13.29. Explain lift force and drag force in a blade. Explain how lift force
and drag force are different.
13.30. Show lift force and drag force in the following diagram.

Wind

13.31. The speed of drag-force dominant devices relative to wind cannot

exceed the wind speed. Why?
a. True
b. False
13.32. Explain why drag-force dominant wind turbines have low effi-
ciency (power coefficient).
13.33. Persian turbines were purely …. force turbines.
a. lift
b. drag
13.34. Which one is more efficient?
a. Drag-force dominant wind turbines
b. Lift-force dominant wind turbines
13.35. For a Persian windmill, determine the drag force and the torque
produced by wind with a speed of 8 m/s. The height and radius of
the wheel are 3 and 1.5 m, respectively, the rotational speed of the
wheel is 7 rpm, and CD is 1.1 (make appropriate assumptions).
13.36. Define the tip-speed ratio of a blade. Explain how this ratio impacts
the performance of the blade.
13.37. For a wind turbine with a blade radius of 25 m that rotates with
the rotational speed of 12 rpm at wind with a speed of 9 m/s,
draw the velocity diagram at the tip of the blade and determine
the velocity of wind relative to the blade.
13.38. What are positive and negative attributes of vertical-axis wind
turbines?
Wind Energy 993

13.39. What are the three most popular types of VAWTs?

13.40. What are the two main advantages of HAWTs?
13.41. Explain why the efficiency (or power coefficient) of HAWTs is
high.
13.42. Why do HAWTs almost universally have three blades?
13.43. A great majority of existing horizontal-axis wind turbines are …
wind turbines.
c. land-based
d. offshore
13.44. Describe the pros and cons of land-based wind turbines compared
to offshore wind turbines.
13.45. Compare grid-tied and stand-alone wind turbines.
13.46. What are the advantages of hybrid wind turbines and solar PV
panels?

13.12.5 Operation and Control of Wind Turbines

13.47. Define the following wind speeds in power curves for wind
turbines.
a. Cut-in (start-up) wind speed
b. Rated wind speed
c. Cut-out wind speed
13.48. In the following power curve, for a wind turbine, show cut-in,
rated, and cut-out speeds.
Power

Wind speed

13.49. Explain how a wind turbine can be turned off at wind speeds
above the cut-out wind speed.
13.50. What is the survival wind speed?
994 Power Plant Engineering

13.51. Describe why the maximum or near-maximum wind speed at a

given site should not be selected as the rated wind speed of the
wind turbine.
13.52. Explain how the function of a wind turbine control system varies
between the cut-in wind speed and the cut-out wind speed.
13.53. How can the power coefficient be controlled (three methods)?
13.54. Define the pitch and the angle of attack of a blade.
13.55. In the following schematic, show the pitch and the angle of attack.

Wind velocity
relative to blade

Blade velocity

Chord line
Wind velocity

13.56. Name three wind turbine power control strategies.

13.57. Explain each of the following wind turbine power control strate-
gies and their characteristics: stall-regulated, pitch-regulated, and
variable speed.

13.12.6 Wind Turbine Components

13.58. What is the function of the spar in a wind turbine blade?

13.59. Why are wind turbine blades twisted?
13.60. How are blades connected to the hub?
13.61. What is the function of the brake? When is it used? Where is it?
13.62. What is the yaw angle of a wind turbine? Why is it important?
How is it controlled in small and large wind turbines?
13.63. List some negative environmental impacts of wind turbines. How
can they be addressed?
13.64. Name the components of a HAWT in the following schematic.
Wind Energy 995

13.12.6 General

13.65. Compare planetary wind and local wind. How are they created?
13.66. Describe how stall-regulated wind turbines control the power
output of the turbine. What are their pros and cons?
13.67. At wind speeds, lower than the rated wind speed, the force
imposed by the wind is not sufficient to overcome the internal
inertia of the wind turbine and the wind turbine will not turn.
a. True
b. False
13.68. Name two types for each of the following categories of wind
turbines.
• Interaction of blades with wind
• Axis of rotation
• Connection to the grid
996 Power Plant Engineering

• Nature of rotation speed

• Power output capacity
• Location
13.69. Define coefficients of drag and lift.
13.70. What is the main reason that VAWTs are not used in modern wind
turbines?
13.71. A wind turbine can be installed at the hub height of 75 m or 100 m.
If the location of the installation is open flat terrain, determine the
power ratio of the turbine at two elevations.
13.72. Where can wind maps for the U.S. be found?
13.73. Explain how the variable frequency power of a stand-alone wind
turbine can be used if the system is equipped with a battery
bank.
13.74. Describe how pitch-regulated wind turbines control the power
output of the turbine. What are their pros and cons?
13.75. Which type is more expensive?
a. land-based wind turbines
b. offshore wind turbines
13.76. Theoretically, there is no limit for the number of blades in a wind
turbine and wind turbines with one, two, three, four or even more
blades have been built.
a. True
b. False
13.77. The cube of the average velocity is not equal to the average of the
velocity cube.
a. True
b. False
13.78. Explain how valley breeze and mountain breeze are created?
Why are they in the opposite direction?
13.79. Why wind energy varies at different locations and elevations?
13.80. How are vertical-axis and horizontal-axis wind turbines differ-
ent? Compare their positive and negative characteristics.
13.81. Determine the blade diameter of a turbine with the rated (design)
output power of 10 MW when the rated (design) wind speed is
14 m/s. The power coefficient of the turbine is 0.55. Repeat your
calculation for the power coefficient equal to the Betz limit and
0.45. Compare your results with the size of an actual wind turbine
with the same capacity.
Wind Energy 997

13.82. The maximum or near-maximum wind speed at a given site

should be selected as the design wind speed of the wind
turbine.
a. True
b. False
13.83. Describe how variable speed wind turbines control the power out-
put of the turbine. What are their pros and cons?
13.84. Wind is generated by uneven heating of Earth’s crust by solar
radiation.
a. True
b. False
13.85. Two different wind turbines with diameters of D1 = 70 m and
D2 = 140 m are installed at the hub height of 100 m and 150 m,
respectively. If the location of the installation is open flat t errain,
determine the power ratio of the turbines at two locations.
The power coefficients of the two turbines are the same.
13.86. What are wind classifications? What is the wind speed range for
each class?
13.87. What is the Betz limit? Determine the value of this limit.
14
Ocean Renewable Energy

Abstract
Oceans are gigantic energy storage systems with a variety of renew-
able energy sources, namely wave energy, tidal energy, ocean thermal
energy, ocean current energy, and salinity gradient energy. We will start
our discussion with wave energy. We will learn about the origin of wave
energy and conduct simple calculations to determine wave energy. Then,
we will review various types of wave energy converters, including point
absorbers, oscillating water columns, attenuators, overtopping devices,
oscillating wave surge converters, and submerged pressure differential
devices. Then, we will cover tidal energy systems, including gravita-
tional potential energy and current energy, and their simple energy cal-
culations. We will conclude the chapter with a brief discussion on ocean
thermal, current, and salinity gradient energy.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to

• explain origin of wave energy and conduct simple calculation to

determine wave energy and power
• describe various types of wave energy converters, including point
absorbers, oscillating water columns, attenuators, overtopping
devices, oscillating wave surge converters, and submerged pressure
differential devices
• explain different tidal power generation plants and their characteristics
• determine tidal energy potential by simple calculations
• explain working principles of ocean thermal, current, and salinity
gradient energy

999
1000 Power Plant Engineering

14.1 Introduction 1
Oceans cover over 70% of Earth’s surface that act as a giant energy storage
system. Among various forms of renewable energy sources, the energy poten-
tials of oceans and seas are special because they have stored a great amount
of energy in different forms, such as wave, tidal, thermal, and current energy.
Practical experiences in the commercial applications of sea energy, such as
tidal electricity generation, has proved that, in long term, these technologies
can compete with conventional power plants.2 In this chapter, ocean energy
sources are classified and reviewed in five groups, namely wave energy, tidal
energy, ocean thermal energy, ocean current energy, and salinity gradient
energy. These sources of ocean energy will be discussed in the following
sections.

14.2 Wave Energy Sources

Waves are the most well-known symbol of ocean energy. Waves are pro-
duced by wind effects on the water surface. That is why wave power is indi-
rectly considered as a type of solar energy. The idea of harnessing wave
energy has been around for a long time. Early patents on wave energy
conversion devices started in the late 18th century. However, wave energy
converters (WECs) were first seriously considered in the 1970s during the
oil crisis. Those efforts were gradually ceased due to decrease in the oil
price and disappointing results of experimental units. During the two past
decades, the interest in WECs has been renewed. One of the most important
advantages of wave energy compared to other forms of energy derived from
solar energy is the high density of the wave energy. In fact, wave energy can
be considered as a concentrated form of solar and wind energy. For instance,
in latitude 15° N, the average density of direct solar, wind, and wave ener-
gies are 0.17, 0.58, 8.42 kW/m2, respectively.3 Also, the availability of wave
energy is much higher than other forms of renewable energy. In addition,
unlike solar and wind energy, wave energy does not require large lands
and it is more available where it is required, such as remote islands that are
not connected to the grid and where the cost of electricity is usually high.

1 This chapter is adapted from the following paper published by the author with the permis-
sion from the copyright holder (Elsevier).
Zabihian, F. and A.S. Fung. “Review of marine renewable energies: Case study of Iran.”

Renewable and Sustainable Energy Reviews 15.5 (2011): 2461–2474, with permission from Elsevier.
2 Andre, H. “Ten years of experience at the “La Rance” tidal power plant”. Ocean Management

4(2–4) (1978): 165–178.

3 McCormick, M. Ocean Wave Energy Conversion. First ed., New York: Wiley (1981).
Ocean Renewable Energy 1001

The predictability of waves is another important factor to consider. While

wind can be predicted only hours in advance, waves are predictable days
in advance.

14.2.1 Energy and Power of Wave

The amount of wave energy depends on the wavelength (or period) and
height. Wave energy is a combination of potential energy due to its height
and kinetic energy arising from the movements of water particles. Wave
energy converters can produce electricity from both forms. The characteris-
tics of waves highly depend on wind conditions that created them, such as its
speed, period, and fetch, as well as on seabed status.
The wave height is the most important factor for wave energy determi-
nation. While typically the height of wave may refer to its peak-to-peak
(trough-to-crest) height (H in Figure 14.1), for wave energy calculations typi-
cally the significant wave height is used. The significant wave height (SWH)
is defined as the average wave height (peak-to-peak) of the highest one-third
of the waves. It may be shown as Hs, H1/3, or Hm0 (here we will use Hs). Using
the significant wave height provides more realistic energy calculations. For a
H
sinusoidal wave with the peak-to-peak height of H, Hs is equal to .
2
The average energy of a wave per unit of area in deep water, where the
water depth is greater than one-third of the wavelength, can be estimated by
the following equation4:

ρ gH s2
E= (14.1)
16

Amplitude

H HS

FIGURE 14.1
A sinusoidal wave.

4 Falnes, J. “A review of wave-energy extraction”. Marine Structures 20 (4) (2007): 185–201.

1002 Power Plant Engineering

where E is the average energy of the wave per unit of area (J/m2), ρ is the
density of seawater (kg/m3), g is the acceleration of gravity (m/s2), and Hs
is the significant wave height (m). This energy is equally divided between
the wave’s kinetic and potential energy. For the power of a wave per unit of
wavefront width, the equation is3

ρ g 2TH s2
P= (14.2)
64π
where P is the power of the wave per unit of wavefront width (W/m) and T
is the wave period (s). When evaluating wave power in a certain area, it is
important to find the ranges of significant wave height and period at which
most wave power occurs, because these ranges should be considered for
determining the design point of a WEC.

Example 14.1
For a sinusoidal wave with an amplitude of 2 m and a period of 9 s, deter-
mine wave energy and power. Assume the density of water is 1000 kg/m3.
Solution
H
= 2 m → H = 4 m
2
H 4
Hs = = = 2.83 m
2 2

The wave energy and power can be calculated by Equations 14.1 and 14.2
as follows:

ρ gH s2 1000 × 9.8 × 2.832

E= = = 4905.5 J/m 2
16 16

ρ g 2TH s2 1000 × 9.82 × 9 × 2.832

P= = = 34447 W/m
64π 64π

14.2.2 Different Wave Energy Converters

The wave energy application has a long history. The first patent about WECs
was recorded in 1799 in France.5 The first actual unit was constructed in
1910 in France using an oscillating water column system. Since then, a great
number of systems and mechanisms has been proposed. Many of these con-
cepts are in the R&D stage, which means they require considerable time
before they can be commercialized. However, there are a few systems that

5 Clement, A., P.F.A. McCullen, A. Fiorentino, F. Gardner, K. Hammarlund, G. Lemonis, et al.

“Wave Energy in Europe: Current status and perspectives”. Renewable and Sustainable Energy
Reviews 6(5) (2002): 405–431.
Ocean Renewable Energy 1003

are mature enough to be in the precommercialization stage or even the early

market entry level. The two leading countries in this field are Portugal and
the U.K. In addition, Australia, Denmark, and Ireland are heavily invest-
ing in this sector. As noted, in the 1970s, there was great interest in renew-
able energy sources in general and wave energy in particular. However,
this interest did not result in any system with acceptable technical and
economic characteristics. One of the main reasons was ambitious targets
that were set for programs. For instance, in the U.K. the objective was to
develop 2 GW wave power generation capacity by 1983, which resulted in
oversize designs with unacceptably high costs. Based on this experience,
recently developed systems have been designed as small individual units,
usually <500 kW, which can be installed in large numbers to generate a
large amount of electricity. These devices can be divided into three main
categories: shoreline, near shore, and offshore systems. Shoreline systems
require neither sophisticated mooring mechanisms nor underwater elec-
trical cables or high-pressure pipelines to transfer generated power to the
shore. Their installation and maintenance are also easier. However, suitable
sites to implement such plants are limited and the available wave energy in
those sites is lower than that in offshore sites. In addition, due to the unique
conditions of each shoreline, most likely the mass production and economy
of scale cannot be applied to shoreline systems, which may cause higher
installation costs.
Nearshore systems can be helpful for coastal protection since after wave
energy is extracted, the waves are calmer and less harmful for coastal regions.
For a long time, shoreline plants attracted attention, because they were less
vulnerable to the wild nature of ocean storms. However, the real potential
energy of waves can only be achieved in offshore locations. That is why the
trend of progress in this industry is toward offshore locations, where not
only there is more power, but also much more suitable sites. Nevertheless,
the reliability and accessibility of offshore plants should be significantly
improved before their commercialization can be realized.
WECs can be also identified by how they convert wave energy to the
desired product. The extracted energy from waves has low velocity and high
force. One method to apply this energy is to transform it to high-speed rotat-
ing motion before it can be used in a generator to produce electricity. This
requires a complicated mechanical system that increases capital and mainte-
nance costs of the plant and reduces system reliability due to many moving
parts, which decreases the capability of the system to withstand strong storms.
Alternatively, wave energy can be converted to high-pressure fluid. This high-
pressure fluid can be then used to either generate electric power in a turbine-
generator or produce desalinated water in conventional reverse osmosis (RO)
membranes.
Another method is to use a linear generator directly driven by a WEC. In
such a system, the reciprocating motion of a buoy is transferred to a per-
manent magnet, which is placed inside a stator. The reciprocating motion
1004 Power Plant Engineering

of the magnet induces electric current in the stator and produces electric
power. Since in this system, no mechanical or hydraulic conversion system is
required, it is mechanically less complicated and requires less maintenance.
However, due to variation in both frequency and voltage of the generated
electricity, it requires a more complex electrical system before it can be con-
nected to the grid.
Based on how wave energy is extracted, WECs can be classified into six
main categories, namely a point absorber, oscillating water column, attenu-
ator, overtopping device, oscillating wave surge converter, and submerged
pressure differential device. Although this categorization is not exhaustive,
it includes a great majority of WECs. In this section, some approaches that
are deemed to be more promising are briefly presented. Then, some actual
systems developed based on each approach are explained.

14.2.2.1 Point Absorbers

One of the most commonly used approaches to exploit wave energy at or near
water surface is using the height variation in waves by floats. The floating
part interacts with passing waves in all directions and converts wave energy
to other forms of energy by heaving and/or pitching motions (Figure 14.2).
Depending on the used mechanism, the produced energy can be in the forms
of shaft power, air pressure, or liquid pressure, which can be directly con-
verted to electricity or converted to electrical energy in a shoreline or off-
shore facility. Also, the extracted energy can be used to pressurize seawater
(Figure 14.2). Then, the generated high-pressure seawater can be used to run
reverse osmosis water desalination systems.

Float Heaving
motion

Piston pump

Seabed

FIGURE 14.2
Schematic of a point absorber wave energy converter.
Ocean Renewable Energy 1005

14.2.2.2 Oscillating Water Columns/Chambers

Another very common concept is an oscillating water column or chamber
(OWC). This system has had one of the longest development periods among
all WECs. It consists of a partially submerged cell, which is open to seawater at
the bottom. When waves pass through the system, the water column rises and
falls inside the cell, acting as a piston, causing the air above the water surface
to oscillate. This oscillation in turn compresses and depressurizes the enclosed
air above the water column (Figure 14.3). Some designs use concentrating
walls to concentrate wave energy into the air chamber. The high-pressure air
can be then used to run a turbine to generate electricity. The cross section of
the air passage is narrowed before it enters the turbine to accelerate the air
flow and increase system efficiency. In this system, the air alternatively flows
in two directions. Originally the air flow was rectified by a system of check
valves. This system was replaced by a Wells turbine when it was invented
by Alan Wells (1924–2005, a British structural engineer) in the late 1970s. The
Wells turbine spins in the same direction regardless of the air stream direc-
tion due to its symmetrical blades. The disadvantages of this turbine are its
relatively low efficiency and poor starting characteristics. Alternatively, some
designs use a high-efficiency bi-directional airflow turbine with variable pitch
blades. OWCs can be also integrated to breakwaters and coastal defenses.

14.2.2.3 Attenuators
Wave energy can be exploited by the relative motion of two or more floating
structures. In this system, relative yaw and/or pitch motions between sec-
tions can be used to move double-action pumps. In one design, the system

Rising and Air in/out

falling of water (to/from turbine)
column

Seabed

FIGURE 14.3
Schematic of an oscillating water column (OWC) wave energy converter.
1006 Power Plant Engineering

Side view
Wave
direction

Wave
Hydraulic pumps

Anchor
Seabed

Top view
Wave
direction

Hydraulic pumps

FIGURE 14.4
Schematic of an attenuator wave energy converter.

consists of several cylindrical segments. The relative motion of the segments,

induced by waves, is converted to high-pressure fluid by hinged joints. These
joints can capture both horizontal and vertical motions of the s egments
(Figure 14.4). This high-pressure fluid can be then smoothed in accumula-
tors to be used to drive electrical generators via hydraulic motors. The gen-
erated electricity can be transmitted to the shore through a seabed cable.
These machines operate parallel to the wave direction and should be able to
effectively ride the waves. Since they have a lower area against the wave, they
are subjected to lower force induced by the waves. This technology is one of
the most promising WEC technologies. These systems are expected to be one
of the market leaders in the future. The first full-scale grid-connected system
and the first multi-MW wave energy Converter farm were tested using this
type in 2004 and 2008, respectively (Figure 14.5).
Figure 14.6 illustrates a similar system that makes use of the relative motion
of its parts. However, in this case, the hydraulic pumps are activated due to
the motion of two pontoons relative to a fixed central part.
The schematic of another type of attenuator wave energy converters is
shown in Figure 14.7. This system is based on a very old concept, and the
first patent for this type of WECs was registered in the late 19th century. This
nearshore multi-point absorption system consists of a series of hemisphere-
shaped floats that are connected by arms to a central fixed section. The
heaving motions of the half-submerged floats are transferred to pistons by
arms to compress oil into the machine’s common transmission system. The
high-pressure oil drives a hydraulic motor and a generator to generate elec-
tricity. Since the system length covers several wavelengths, the wave energy
can be harnessed continuously.
Ocean Renewable Energy 1007

FIGURE 14.5
An attenuator wave energy converter. (By P123 – Own work, Public Domain, https://commons.
wikimedia.org/w/index.php?curid=4859717.)

Pontoon Hydraulic pumps

Pontoon

Wave direction

Seabed

FIGURE 14.6
Schematic of an attenuator wave energy converter with two pontoons.

Fixed central part

A
A
Wave
direction

Floats

Piston pumps

Heaving
motion A-A view

Float

FIGURE 14.7
Schematic of a multi-point absorption system wave energy converter.
1008 Power Plant Engineering

14.2.2.4 Overtopping Devices
The problem with all aforementioned systems is that, because of having many
movable components, they are vulnerable to storms. Therefore, systems with
minimal movable parts are desirable. One of the most successful WECs in
this regard is overtopping devices. They can capture water from waves and
hold it in a reservoir. The electricity can be then generated when the water
from the reservoir returns to the sea via a low-head turbine. The only mov-
ing component is the turbine. This system makes use of the well-developed
technology employed in conventional hydropower stations. Overtopping
devices can be installed onshore or offshore and can be used in all weather
conditions.
In onshore systems, waves are guided into a gradually narrowing chan-
nel, which amplifies waves, until they spill over to an above-the-sea level
reservoir (Figure 14.8). The water stored in the reservoir can then produce
electricity when it returns to the sea via a low-head turbine.
Figure 14.9 illustrates a schematic of an offshore overtopping device where
a water head is generated when seawater overtops a reservoir. In some
designs, there is no reservoir, and the overtopped water is guided directly
to the turbine. Some designs may also integrate wave reflecting wings to
increase the quantity of overtopped water (Figure 14.10). In some systems, an
artificial beach in front of the device is used to catch water at different eleva-
tions through various inlets, which guides the water to the turbine through
divided levels.

Above-the-sea level
reservior
Hydro
turbine
Shoreline

Narrowing channel Wave direction

FIGURE 14.8
Schematic of an onshore overtopping device.

Water reservior Wave overtopping

Wave direction

Turbine

FIGURE 14.9
Schematic of an offshore overtopping device.
Ocean Renewable Energy 1009

FIGURE 14.10
A small-scale prototype of an offshore overtopping device with reflecting wings. (By Erik
Friis-Madsen at English Wikipedia, CC BY 3.0, https://commons.wikimedia.org/w/index.
php?curid=11336506.)

14.2.2.5 Oscillating Wave Surge Converters

These machines rely on extracting wave energy from wave surges and
the movement of water particles. Figure 14.11 shows a fully submerged
and anchored array of buoys that are moved by passing waves. They are
connected to pumps that convert wave energy to pressurized seawater. The
high-pressure seawater is then transferred to shore to produce either electric-
ity or desalinated water. In a similar design, inspired by the swaying motion
of sea plants, an ocean wave energy system captures wave energy by the
movement of buoyant blades as waves pass.

Wave direction

Buoys
Motion of
buoys

Seabed

Pump

FIGURE 14.11
Schematic of an oscillating wave surge converter using buoys.
1010 Power Plant Engineering

Wave direction

Piston pump

Seabed

Swing plates

FIGURE 14.12
Schematic of an oscillating wave surge converter using plates.

In another design with the same concept, a series of plates are anchored
on the seabed or shoreline (Figure 14.12). The wave energy is captured by the
oscillation of the plates around their base, which then drives a piston pump
to produce high-pressure oil. Being submerged provides some advantages
for these devices over other systems, including protection from storms, self-
tuning to the wave conditions and directions, and no visual impact. Another
proposal uses a cam (called Salter cam), which vibrates due to the wave
passage and can theoretically capture up to 90% of the wave energy.

14.2.2.6 Submerged Pressure Differential Converters

The rise and fall of the water level due to waves can create a differential
pressure at the seabed. The devices based on the submerged pressure differ-
ential concept make use of this gradient to pump fluid to generate electricity.
They are typically installed nearshore on the seabed. An example of a system
based on this concept consists of a large air tank (with 10–20 m diameter)
with a flexible upper section. The wave motions create a variable pressure,
which in turn causes the upper section of the tank to move up and down and
create high-pressure air flow.
It should be noted that some of the existing and proposal devices cannot
be fitted to the aforementioned categorizations. Also, newer ideas to extract
wave energy are being proposed from time to time, for instance specially
designed turbines that are turned directly by waves and shape/volume
changing flexible structures. Furthermore, many of the abovementioned sys-
tems have been designed to combine a WEC and an offshore wind turbine to
simultaneously harness wave and wind energy.

14.2.3 Concluding Remarks on Wave Energy Converters

The main issue with the development of wave energy systems is their
high cost. In order to reduce the cost of WECs, these systems need more
demonstrations to gain the needed real-world practical experience in instal-
lation, operation, and maintenance, particularly in harsh ocean environ-
ments. In terms of environmental impacts, these systems have minimal
Ocean Renewable Energy 1011

negative effects on the ecosystem of installation sites. One study showed

that neither species abundance nor biodiversity was reduced in the region
after installation of WECs.6 There were also positive signs that the area could
recover after a disturbance during construction, even with ongoing research
activities. Moreover, there was not any concern about the extinction of local
marine organisms. However, long-term environmental analysis is required
to evaluate the impacts of these systems. Some methods are being tested to
improve the environmental performance of WECs. For instance, the differ-
ences between the concrete foundation with and without holes were investi-
gated. The idea was that holes could provide shelter for many marine mobile
species and could have a positive impact on colonizing species.5

14.3 Tidal Energy
Tidal energy is one of the most available forms of energy from oceans.
Unlike most other renewable energy sources, which directly or indirectly are
derived from solar energy, this energy is created by the gravitational forces
of the Moon and the Sun on the waters of Earth and the rotation of Earth.
One of the advantages offered by tidal energy over solar and wind energy is
its predictability. While tidal energy in the world bodies of water is signifi-
cant, only a fraction of this energy is exploitable because it occurs in gulfs
and estuaries. The leading countries in harnessing tidal energy are Canada,
France, the U.K., South Korea, and the U.S. Basically, tidal energy can be in
the form of either the gravitational potential energy of the water-level differ-
ence during ebb and flood or the kinetic energy of tidal currents, which are
briefly explained in the following sections.

14.3.1 Tidal Gravitational Potential Energy

Traditionally, tidal potential energy can be extracted by constructing a
arrage against seawater and using the height difference of seawater and
b
the water behind the barrage, caused by tides, to operate turbines installed
in the barrage wall. The power that a tidal power generation plant can pro-
duce depends on both the tidal range and the capacity of the basin. The
tidal energy is directly proportional to the square of the tidal range. This
difference is almost 1 m (about 3.3 ft) in open oceans. But in coastal areas, it
depends on shore conditions and can be as high as 16 m (about 52 ft). Also,
with a higher capacity of basins, available energy will increase. Furthermore,

6 Leijon, M., C. Boström, O. Danielsson, S. Gustafsson, K. Haikonen, O. Langhamer, et al.

“Wave energy from the North Sea: Experiences from the Lysekil research site.” Surveys in
Geophysics 29(3) (2008): 221–240.
1012 Power Plant Engineering

if basins are large enough, the problem of interrupted electricity generation

can be partially solved by their proper arrangement. There are other factors
to consider when selecting a suitable site, like the distance of the site from
the electricity grid, the current application of the basin, and distance from
sea waves and storms.
Tidal power has been around since at least the tenth century and was used
to move mills in England, France, and several other countries. Although
there have been many modern designs and/or experimental pilot projects
to harvest tidal energy, only about a dozen or so commercial tidal electricity
generation plants have been constructed in the world. The Rance Tidal Power
Station in France is the world’s first and one of the largest tidal power plants
with a capacity of 240 MW and an annual output of 600 GWh and it has been
operating since 1966.2 North America’s only tidal power plant, the Annapolis
Royal Generating Station with a capacity of 20 MW and an annual output of
30 GWh, was opened in Nova Scotia, Canada in 1984.
The concept of the utilization of tidal potential energy is similar to hydro
dams, where electricity is generated by the static pressure of water. However,
unlike hydro dams, due to different possibilities for the flow direction in tur-
bines, several different schemes have been employed or proposed for exploit-
ing energy from the tides. These schemes are categorized as follows:

• single-pool ebb system

• single-pool flood system
• single-pool two-way operation system
• two-pool ebb and flood tide system
• two-pool one-way system (high and low pools)

In the first design, the basin is filled during the flood through gates. When
the basin is full, the gates are closed until the desired water head is created
due to the decline in the sea level. Then, the basin is emptied by the water
flowing through turbines, which in turn generates electricity (Figure 14.13).

Dam
Basin

Sea (Ebb)
Flow
Turbine
direction

Dam

FIGURE 14.13
Schematic of a single-pool ebb system.
Ocean Renewable Energy 1013

This method has been used in tidal mills for a long time and some of them
are still operational. The same scheme has been employed in the Annapolis
Royal Tidal Power Generating Station. In this plant, the minimum required
water head is 1.6 m. When this head is available, ~400 m3/s of water flow
passes through the turbines. The plant generates electricity for 5 hours and
then it is off for 7 hours.
The system and mechanism for the second scheme is similar to the first
one. The only difference is that the water flows through the turbine when the
basin is filling (Figure 14.14). The efficiency of this scheme is much lower than
that of the first one.
In the third scheme, by taking advantage of a bi-directional turbine, electric-
ity can be generated both when the water flows into the pool at flood and when
it flows out of the pool at ebb. This method has been successfully employed in
the Rance Tidal Power Station (Figure 14.15). At this power plant, the ampli-
tude between low and high tides can reach up to 13.5 m. A 750 m structure
was constructed to block a 22 km2 area with the capacity of 180 million m3 of
seawater. Twenty-four specially designed axial flow turbines (also known as
bulb sets) were used, each unit with a capacity of 10 MW. Although the capi-
tal cost of this plant was high, the overall average cost of electricity has been
lower than the Electricite de France’s (EDF) average generation costs.2 One
of the features of this power station is that when the high pool is nearly full,
additional water can be pumped into it using excess electricity in the grid.
While this water is pumped into the basin at a few meters of head, later falls
through a much larger head generating energy and returns several times the
energy required for pumping. This also increases system flexibility to meet
the requirements of the grid. Essentially, in this case, the plant acts as both an
energy storage system and a power generation unit.
In the fourth scheme, a combination of the first and second schemes are
used, where one of the two pools operates based on the single-pool ebb
system and the other one based on the single-pool flood system. The fifth
scheme requires two pools, high and low, which are physically adjacent. The

Sea (flood)
Dam

Flow Basin
direction
Turbine

Dam

FIGURE 14.14
Schematic of a single-pool flood system.
1014 Power Plant Engineering

FIGURE 14.15
The Rance Tidal Power Station in France. (Image by Gwenaële Moignic from Pixabay, https://
pixabay.com/photos/rancid-ille-et-vilaine-st-malo-352956/.)

high pool is filled each high tide and the low pool is emptied each low tide.
Electricity is generated when water flows from the high pool to the low pool
through the turbine (Figure 14.16). This type of tidal power station can gen-
erate electricity almost continuously and has high flexibility in the time of
electricity generation.
It should be noted that using the aforementioned systems have signifi-
cant barriers. Firstly, these methods require a river estuary or a bay with an
extremely high tidal range. Sites with such a high tidal range are very lim-
ited. Also, the ecosystem in river estuaries is very sensitive and constructing
a barrage to exploit tidal energy may cause considerable negative impacts
on the environment. Another problem with traditional tidal power genera-
tion that should be considered is that the neap tidal average range is typi-
cally about one-third of the tidal range of average spring tides. At the Rance
River tidal power plant, electricity generation during neap tides is only

Sea (flood)

Dam Dam
High pool
Sea (ebb)

Flow Gate Flow

Flow Gate direction
direction direction
Low pool
Dam Dam

Turbine

FIGURE 14.16
Schematic of a two-pool one-way system.
Ocean Renewable Energy 1015

80,000 MWh/day, compared to 1,450,000 MWh/day during an equinoctial

spring tide, a ratio of 18:1, which causes a disturbance in the grid control.1
Tidal power plants can be operated in either grid-tied or off-grid modes. In
the former, the selection of the plant configuration and its operational condi-
tions depends on grid requirements, either peak load or baseload. If these
power plants are operated as peak-load electricity producers, the best scheme
is a two-pool one-way system (Scheme 5) with a flexible power generation
time. Also, during off-peak hours water can be pumped to store energy and
produce more power later when needed most.
The required conditions for economic power generation from tidal poten-
tial energy include a high tidal range and a basin with a narrow enough
mouth so that it can be dammed and deep enough so that turbines can be set
below the level of the low tide. In order to estimate tidal power generation
potentials, many parameters should be considered. However, the potential
energy of a tidal energy system in each tidal cycle (one ebb and one flood) can
be simplified and estimated by the following equation:

E = ηρ ghq (14.3)

where E is the potential energy of the tidal system in each tidal cycle
(J/cycle), η is the efficiency of the system (hydro turbine), ρ is the density
of seawater (kg/m3), g is the acceleration of gravity (m/s2), h is the mean
level difference between water in the basin and sea (m), and q is the vol-
ume of seawater that flows through the turbine at each cycle (m3). It should
be noted that Equation 14.3 should be applied each time the basin is filled
or emptied through the turbine and power is generated. For instance, in
the first scheme, the water goes through the turbine only when the basin
is emptied, but in the third scheme power is generated in both directions.
The volume of seawater that flows through the turbine at each cycle of ebb
and flood in a simple case when the basin area is uniform can be calculated
using Equation 14.4.

q = AH (14.4)

where A is the area of the basin (m2) and H is the maximum tidal range
(m). Finally, the average tidal range is equal to one half of the maximum
H
tidal range h = . This is due to the fact that as the flow passes through the
2
turbine, the difference between water in the basin and the sea level reduces.
Therefore, there is less hydraulic head available for the turbine.

Example 14.2
In a site with a basin area of 170 km2 and a tide range of 3.9 m, deter-
mine the tidal power generation potential of the site for the first scheme
(in MW). Assume the efficiency of the turbine is 100%.
1016 Power Plant Engineering

Solution
The basin capacity and the average tidal range can be estimated as
follows:

q = AH = 170 × 106 × 3.9 = 6.63 × 108 m 3

H 3.9
h= = = 1.95 m
2 2

The tidal power generation potential can be estimated by using Equation

14.3 as follows:

E = ηρ ghq = 1 × 1000 × 9.8 × 1.95 × 6.63 × 108

= 1.27 × 1013 J/Cycle = 1.27 × 107 MJ/Cycle

Since there are two complete cycles of high and low tides every day, the
total potential energy per day is equal to 2.54 × 107 MJ/day . Then, the
mean tidal power generation potential can be estimated as follows:

2.54 × 107
Power generation potential = 2.54 × 107 MJ/day = = 293 MW
86, 400
As noted earlier, this is the simplest estimation with several assump-
tions. This is a good method to obtain some rough estimations of the
tidal power generation potential, especially for sites with relatively large
basins. But real-world evaluations require more accurate calculations by
considering the actual conditions for each specific site. Due to the afore-
mentioned problems, currently the main focus in tidal power generation
is on the kinetic energy of tidal currents.

14.3.2 Tidal Kinetic Energy

During floods and ebbs, water flows from oceans to coastal regions and back
to oceans, respectively. These currents have substantial kinetic energy. Tidal
current generators in principle are similar to wind turbines. But because of
the much higher density of water in comparison to air, they can operate with
much lower current velocity. In order to use tidal kinetic energy, the current
speed of between 2 and 3 m/s is required.7 A current speed of lower than
2 m/s does not have significant energy and it is not economical to extract
this energy. Handling the current speed of higher than 3 m/s, on the other
hand, can be problematic for turbines. An energy flux of a tidal current with
the speed of 3 m/s is ~14 kW/m2.8 Most suitable sites to harvest tidal cur-

7 Rourke, F.O., F. Boyle, and A. Reynolds. “Tidal energy update 2009.” Applied Energy 87(2)
(2010): 393–409.
8 Bryden, I.G. and S.J. Couch. “ME1-marine energy extraction: Tidal resource analysis”.

Renewable Energy 31(2) (2006): 133–139.

Ocean Renewable Energy 1017

rent power are typically located in water depths of 20–30 m, which are about
1 km from shores.9 In these sites, the tidal current speed is magnified by topo-
graphical features, such as the shape of seabed and a narrow channel.
Since the kinetic energy of tidal currents is directly proportional to the
square of the current speed, it is essential to measure and analyze this speed
to evaluate the suitability of candidate sites. In the tidal current energy evalu-
ation, the variation of current velocities during a tidal cycle, which is stron-
gest in the middle of the cycle, should be considered. In addition, the neap
and spring tidal current velocities can vary considerably.
Tidal current energy converters can be divided into three main categories:
horizontal axis turbines, vertical axis turbines, and oscillating hydrofoils.
These systems can be either fixed to a seabed-mounted structure or fl oating.
In the former systems, the turbine can be supported by a gravity structure or
can be mounted on a pile penetrating into the seabed (similar to a off-shore
wind turbine). Floating systems can be either fixed or flexible. Flexible
mechanisms enjoy an advantage of being self-aligned to the tidal current
direction. Almost all technologies used for tidal current kinetic energy
extraction are similarly used for run-of-river hydroelectricity (ROR) units
where the flow of rivers is used to produce power.

14.3.2.1 Horizontal Axis Turbines

In these devices, the rotational axis of the turbine is parallel to the current
stream (axial flow turbine) and it consists of several blades mounted on a rotor.
The rotational power extracted from tidal current is transferred to a generator
via a gearbox to generate electricity. This type of tidal energy converters can
be housed in a duct to concentrate the stream and increase the current speed.
Some designs of these systems include several features, such as a large open-
center turbine designed to provide a safe passage for marine life, lubricant-
free (oil, grease, and other lubricating fluid) designs, and very low levels of
mechanical noise to ensure minimal impacts on marine life. Many designs
typically have three blades (very similar to HAWTs in Chapter 13). While
some systems are fixed to the seabed, others are floating devices. The mooring
system of the latter allows an optimal orientation of the system relative to the
tidal current direction. Some designs use bi-directional turbines. Horizontal
axis turbines are the most popular approach to harness tidal current energy.

14.3.2.2 Vertical Axis Turbines

The rotational axis of these devices is perpendicular to the tidal current
stream. These systems can be similar to VAWTs (Chapter 13). In some designs,
the oscillating motion of a hydrofoil connected to an arm is converted to
hydraulic pressure, which in turn can generate electricity.

9 Westwood, A. “Ocean power: Wave and tidal energy review”. Refocus 5(5) (2004): 50–55.
1018 Power Plant Engineering

14.4 Ocean Thermal Energy

About 70% of solar energy reaching Earth is absorbed by oceans. This causes
the ocean surface water to be warmer than that at the bottom. This means
the process of collecting and storing solar energy is free. On the other hand,
because ocean water temperature at night, day, and in different seasons only
slightly varies, this energy is more stable than other forms of solar energy
and can be used for baseload power generation systems. The most important
parameter in the application of this energy is the temperature difference
between surface water and deep water. At the depth of about 1000 m, the
water temperature can reduce by as much as 20°C. The essence of using
this energy is to run a thermal engine between this heat sink and source
to generate power. Due to the small temperature difference between warm
and cold water, the efficiency of such an engine is very low. For instance, if
the temperature difference is considered to be 20°C, the ideal cycle (Carnot
cycle) efficiency can vary from about 6% to 7%. The actual efficiency of a
real system could be around 3%. Thus, a high rate of flow is required to pro-
duce a reasonable amount of energy. Therefore, for a temperature difference
of <20°C, this energy cannot be considered, since the required energy for
pumping the water is more than the produced electrical energy. In addition,
the depth at which cold water is available should be considered, because this
water must be pumped to the surface to be used. Usually <1000 m is a suitable
depth.10 There are two methods to bring cold deep seawater to the surface.
Deep water can be pumped to the surface or it can be desalinated at the sea
bottom. Since the density of desalinated water is lower, it will float up to the
surface automatically. The other important factor is the distance of this deep
water to the coast. Since produced electricity should be transferred to the
coast, this distance should be as short as possible. Alternatively, the plant
can be located on the coast. In this case, cold and warm water should be
transferred to the plant. In another design, the plant’s output can be used to
produce hydrogen or other fuels, which can be transferred to the shore. In all
these cases, the distance of deep water from the shore is an important param-
eter. Furthermore, there are other factors like tide and storm impacts as well
as ship movement patterns in the area that should be considered.
Ocean thermal energy conversion (OTEC) systems have some other
positive attributes, like potable water production, utilization of output cold
water for air conditioning systems, utilization of nutrient-rich deep water in
aquaculture to raise seafood, and mineral extraction. Furthermore, commer-
cial fishing is expected to benefit from these systems. Cold water from the
depths of oceans is rich in nutrients and living organisms (planktons) and

Pelc, R. and R.M. Fujita. “Renewable energy from the ocean”. Marine Policy 26(6) (2002):
10

471–479.
Ocean Renewable Energy 1019

when brought to the surface, would attract a wide range of sea life. However,
there are some concerns about the ecological effects of OTECs.
First attempts to exploit ocean thermal energy were started in the 1800s. The
first plant was proposed in 1881 and a 22 kW plant was constructed in 1930.
Since then, many plants have been proposed and some of them have been
built as pilot plants. Currently, Japan, the U.S., India, Cuba, and Indonesia are
actively involved in the development of this technology.
OTEC plants based on their locations are categorized as floating, land-
based, or shelf-based plants. They can be also categorized based on their
operating system, closed or open cycles. The main difference between an
open cycle and a closed cycle is their operating fluid. In a closed cycle, a low-
boiling temperature fluid, like ammonia, is used in a Rankine cycle. On the
other hand, in an open cycle, ocean warm surface water is evaporated in a
low-pressure vessel (vacuum chamber) and used as working fluid. The main
advantage of the latter system is the production of drinking water at the end
of the cycle. In addition, closed and open cycles can be integrated to form
hybrid cycles. These open, closed, and hybrid cycles that are used in OTEC
systems are very similar to those used in geothermal plants and will be dis-
cussed in more details in Chapter 15.

14.5 Ocean Current Energy

Ocean currents are considered to be a form of indirect solar energy because
they are generated by wind and temperature differences in oceans due to
solar heating. The Gulf Stream and Florida Straits Current are a few exam-
ples of ocean currents. In this approach, ocean currents are used to run tur-
bines. These turbines are usually installed in the flow path, so they do not
need any dam. Similar to tidal stream generators, these systems, in principle,
are similar to wind turbines. However, ocean current power has two major
advantages over tidal current power, namely relatively constant and one
directional flow. Laboratory tests have proven that this technology is feasible.

14.6 Salinity Gradient Energy

In this scheme, the osmotic pressure difference between fresh and salty water,
equivalent to up to 240 m of hydraulic head, is used to produce energy. This
concept has the highest energy density among ocean-based power resources.
Also in another approach, the different rate of evaporation of fresh and salty
water can be used to move a low-pressure turbine. Although the high cost
1020 Power Plant Engineering

is an obstacle, the feasibility of these systems has been confirmed in labora-

tory conditions. In addition, there have been considerable developments in
their commercial application due to the introduction of new less expensive
and cost-effective membranes to the market (for RO water treatment systems,
Chapter 7). In order to employ salinity gradient energy, water with very high
salinity density (up to 280 g/L) as well as freshwater is required.

14.7 Questions and Problems

14.7.1 Introduction

14.1. Why are the energy potentials of seas and oceans special among
various forms of renewable energy sources?
14.2. Name five forms of the energy potentials of seas and oceans.

14.7.2 Wave Energy Sources

14.3. List advantages of ocean wave energy sources.
14.4. Why is wave energy considered an indirect form of solar energy?
14.5. Why can wave energy be considered as a concentrated form of
solar and wind energy?
14.6. Rank the flowing energy sources according to their average den-
sity (descending order).
a. Solar energy
b. Wind energy
c. Wave energy
14.7. What are wave properties that impact its energy? What are two
forms of wave energy? Which one can be exploited by wave
energy converters?
14.8. The average energy of a wave per unit of area in deep water
depends on ……...
a. wave speed
b. wave height
c. wave period
d. fetch
e. seabed status
f. all of the above
Ocean Renewable Energy 1021

14.9. What is the difference between wave height and significant wave
height? Which one is used to determine wave energy?
14.10. Determine the significant wave height for a wave with the (trough-
to-crest) height of 3.5 m.
14.11. For a sinusoidal wave with an amplitude of 1.5 m and a period
of 6 s, determine wave energy and power. Assume the density of
water is 1000 kg/m3.
14.12. Explain why the interest in wave energy in the 1970s did not
result in any system with acceptable technical and economic
characteristics.
14.13. What are three types of WECs in terms of their distance from the
shoreline? What are the pros and cons of each type?
14.14. How can the extracted energy from waves be converted to useful
forms of energy?
14.15. What are different forms of WECs according to how wave energy
is extracted?
14.16. Explain how point absorber WECs work. How can the extracted
wave energy be used?
14.17. How does an oscillating water column (OWC) wave energy
converter work?
14.18. Explain how attenuator WECs work.
14.19. Using the following schematics explain how these attenuator wave
energy converters work.

Wave
direction

Anchor
Seabed

14.20. What is the unique characteristic of overtopping devices? Explain

how these systems work.
14.21. Explain how oscillating wave surge converters operate with two
examples.
14.22. Describe the concept behind submerged pressure differential
converters.
1022 Power Plant Engineering

14.7.3 Tidal Energy

14.23. Explain the origin of tidal energy.

14.24. What are the advantages of tidal energy over other sources of
renewable energy?
14.25. Explain why unlike most other renewable energy sources, tidal
energy is not directly or indirectly derived from solar energy.
14.26. What are two forms of tidal energy?
14.27. Explain how tidal potential energy can be traditionally extracted.
14.28. What are the most important factors in determining a suitable site
for tidal energy?
14.29. How do the size of the basin and tidal range impact the amount of
available tidal energy?
14.30. How are hydro dams and traditional tidal power plants similar
and different?
14.31. What are five types of tidal power plants according to the number
of pools and their arrangements? Explain the operational prin-
ciple, advantages, and disadvantages of each type.
14.32. Explain how a tidal power plant can also function as an energy
storage system.
14.33. What are the barriers for traditional tidal power plants?
14.34. How does the seasonal variation of tide impact traditional tidal
power plants?
14.35. List different types of tidal current energy systems.
14.36. In a site with a basin area of 50 km2 and a tide range of 7 m, deter-
mine the tidal power generation potential of the site. Assume the
efficiency of the turbine is 95%.

14.7.4 Ocean Thermal, current, and salinity gradient Energy

14.37. Explain the essence of ocean thermal energy systems.
14.38. Why can ocean thermal energy systems be used for baseload
power generation?
14.39. Why is the efficiency of ocean thermal energy systems low?
14.40. List important parameters for the suitability of a site for ocean
thermal energy.
14.41. What are two methods to bring cold water from deep water to the
surface?
14.42. Which water is provided from deep water for an OTEC system?
a. Cold water
b. Hot water
Ocean Renewable Energy 1023

14.43. How can OTEC systems benefit ecosystems?

14.44. How can OTEC systems be categorized based on their operating
system? Explain each system.
14.45. Explain how ocean currents are created. How can their energy be
used?
14.46. What are the advantages of ocean currents over tidal currents?
14.47. Explain how salinity gradient energy systems work.

14.7.5 General
14.48. The amount of wave energy depends on the wavelength and its
height.
a. True
b. False
14.49. For a sinusoidal wave with an amplitude of 7 m and a period of
10 s, determine wave energy and power. Assume the density of
water is 1000 kg/m3.
14.50. Tidal energy is a solar energy-base source of energy.
a. True
b. False
14.51. How are tidal current energy systems similar to wind turbines?
14.52. In a site with a basin area of 350 km2 and a tide range of 5 m, deter-
mine the tidal power generation potential of the site. Assume the
efficiency of the turbine is 94%.
14.53. Wave energy is a combination of potential energy due to its height
and kinetic energy arising from the water particle’s movements.
a. True
b. False
14.54. Determine the significant wave height for a wave with (trough-to-
crest) height of 175 cm.
14.55. Unlike most of the other renewable energy sources, which directly
or indirectly are derived from solar energy, tidal energy is created
by the gravitational forces of the Moon and the Sun on the waters
of Earth and the rotation of Earth.
a. True
b. False
15
Geothermal Energy

Abstract
We will first learn about the origin of Earth, its different inners layers and
their characteristics, and the sources of its energy. We will then discuss
how geothermal energy can be assessed. We will take a look at geother-
mal energy applications, particularly for heating purposes either directly
or via heat pumps. Next, we will briefly review the history of geothermal
energy utilizations and their current status. We will discuss different
types of geothermal resources and their characteristics. Then, we will
learn about various methods employed to find geothermal resources fol-
lowed by a discussion on the drilling process to access geothermal energy
resources and equipment used for this purpose. Next, we will study how
geothermal energy is converted to electricity in power generation units.
We will discuss about vapor-dominated, liquid-dominated, and binary
cycles. Finally, we will learn about enhanced or engineered geothermal
systems (EGS). We will conclude the chapter with a brief review of the
environmental impacts of geothermal energy systems.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to

• explain the origin of Earth, its inner structure, and its energy
• describe the application of geothermal energy for heating purposes
either directly or via heat pumps
• characterize geothermal resources
• identify various methods used in the exploration of geothermal
resources
• describe drilling methods and equipment to access geothermal
resources
• explain different types of power generation units for the conversion
of geothermal energy to electricity (vapor-dominated, liquid-
dominated, and binary cycles)

1025
1026 Power Plant Engineering

• explain enhanced or engineered geothermal systems (EGSs)

• identify the environmental effects of geothermal power generation
systems

15.1 Introduction
Geothermal energy is a source of thermal energy provided by the inner core
of Earth. Unlike most other energy sources, particularly renewable energy
sources, this energy is not originated from the Sun. This characteristic of geo-
thermal energy provides a unique advantage for geothermal-based energy
systems that other renewable energy systems may find hard to c ompete.
Geothermal energy sources are not intermittent, and unlike many other
renewable energy sources, they do not suffer from daily, seasonal, and unpre-
dictable variations. They are available around the clock all year. As a result,
they can be used as baseload power generation units with a capacity factor of
typically between 70% and 90%.
While the thermal energy flow from the Earth’s interior to the surface, at
about 4.5 × 1013 W (or about 1.4 × 1021 J/year), is huge,1 the energy density on
the Earth’s surface is not significant. On average, the geothermal energy den-
sity on the Earth’s surface is about 0.09 W/m2, which is very small compared
to the average solar energy density on the Earth’s surface at about 1,000 W/m2
(Chapter 11). However, in many locations, this energy is concentrated to
the level that can provide a usable energy source. Overall, considering the
magnitude and distribution of geothermal energy, it is not capable of single
handedly addressing the world energy problem, but it can make a significant
contribution in many locales. While, broadly speaking, geothermal energy is
inexhaustible in the human scale, in a particular site, this may not be the case.
The rate of thermal energy extraction from a geothermal energy reservoir
is typically higher than the rate of energy replenishment from the Earth’s
interior. The experience has shown that after a few decades of operation, a
geothermal field can be exhausted although the energy can be resorted if
the field is left unused for some time after the exhaustion or used intermit-
tently. A major advantage of this energy source is that it does not need any
substantial new technology development. Geothermal power plants share
most components with conventional steam power plants. While geothermal
power plants have some negative environmental impacts, compared to fos-
sil fuel power stations, these impacts, particularly CO2 emission, are very
small even if their construction is taken into account. Geothermal energy
can be used not only to generate electricity but also can provide heating for
residential, commercial, and industrial applications. In the past, this energy

1 This is about twice the total annual global energy consumption at about 6 × 1020 J.
Geothermal Energy 1027

was only economically available in few sites, but with development of new
technologies, currently and certainly in the near future, it will be available
more widely (more on this later).

Example 15.1
The thermal energy flow from the Earth’s interior to its surface is about
4.5 × 1013 W (or about 1.4 × 1021 J/year). Determine the density of ther-
mal energy transfer to the surface of Earth. Earth’s diameter is about
12,800 km.
Solution

( )
2
Earth ′s surface area = 4πr 2 = 4 × 3.14 12, 800 × 103 / 2 = 5.1 × 1014 m 2

4.5 × 1013 W
Density of thermal energy on the surface of Earth =
5.1 × 1014 m 2

= 8.8 × 10−2 W/m 2

15.2 Origin of Thermal Energy of Earth and Its Potentials

Human beings have always fantasized about what is underneath us almost as
much as what is above us.2 However, almost everything that we know about
the Earth’s interior comes from indirect measurements. The current deepest
artificial hole in the world is the 12,262 m deep Kola Superdeep Borehole in
Russia drilled in 1989 with the diameter of 23 cm. This is <0.2% of the Earth’s
radius and about one-third of the Earth’s outer crust.
The current scientific consensus is that Earth was formed about 4.5 bil-
lion years ago (the age of the universe is estimated to be about 13.8 billion
years). Like most stars, planets, or even galaxies, Earth was formed by clouds
of dust and gas (called nebula) that originated from the Sun. These clouds
gradually attracted more matters (particles) by their gravity. This increased
their mass and gravity and the process continued. The gravitational energy
of these particles was converted to heat and was stored in the molten body
of matter. The originally molten surface of Earth was gradually cooled by
thermal energy radiation to space and eventually formed the hard solid outer
crust of Earth. Most of this energy from the early days of Earth was stored
in the Earth’s interior, which is still being dissipated to the surface. However,
this energy source (and several others) has a relatively small contribution to
the overall geothermal energy. The greatest source of Earth’s thermal energy
is the nuclear reactions of radioactive components of Earth, such as uranium,

2 Think of the fact that Jules Verne (1828–1905, French novelist) wrote both “Journey to the
Center of the Earth” (1864) and “From the Earth to the Moon” (1865).
1028 Power Plant Engineering

potassium, and thorium. There is significant uncertainty on the total energy

of Earth and the contribution of each of these mechanisms. But two things
are certain: the temperature of the Earth’s core is very high and there are suf-
ficient radioactive materials on the Earth’s interior that geothermal energy
will be available for a very long time, probably for billions of years.
Earth has three main layers that each can be divided into sublayers
(Figure 15.1). In the center, there is the core, which is divided into two distinct
layers, the inner core and the outer core. The inner core is the central part of
Earth with the radius equal to about 20% of the Earth’s radius. The inner core
is made of mostly iron and some nickel in a solid form at the temperature of
about 5500°C (almost as high as the temperature of the surface of the Sun) and
pressure of several million atmospheres. The outer core is made of similar
materials but in a liquid form at a temperature of about 6000°C. The thickness
of this layer is about 35% of the Earth’s radius. The movement of molten metal
in this layer provides violent convection3 so effective that there is a small
temperature gradient in this layer. The next layer is the mantle, which is the
thickest layer of Earth with a thickness equal to about 45% of Earth’s radius
(roughly 85% of the Earth’s volume). The current scientific understanding is
that the mantle is made of circulating viscous fluid. The temperature and
fluid viscosity in the mantle decrease with increase in the radius. Close to the
hard Earth’s surface, the mantel is in the form of molten rock (lava). Finally,
the surface layer of Earth, called the crust, is the thinnest layer of all with the
thickness of typically between 5 and 50 km (<1% of the Earth’s radius and
<1% of the Earth’s volume). The crust is solid (but not in a single piece) and
made of rocks and sediments. The crust is divided to several tectonic plates
(or lithospheric plates). These plates gradually move relative to each other4

Oceans

Crust

Uper mantle

Lower mantle

Outer core

Inner core

FIGURE 15.1
Schematic of different layers of Earth (not to scale).

3 The movement of the outer core also causes Earth’s magnetic field.
4 You can visualize the tectonic plates as several icebergs floating on the viscous fluid of the
upper mantel layer.
Geothermal Energy 1029

with a velocity of a few centimeters per year. While in the lower layers of the
mantel, similar to the outer core, the dominant heat-transfer mechanism is
convection, in the upper mantel and in the crust heat is transferred primarily
by conduction. It should be emphasized here that since we have never been
able to reach to the lower layers of the crust, let alone the mantel or the core,
most of what we know about Earth comes from indirect measurements and
their interpretations by scientists. Therefore, there is no single universally
accepted theory on how the Earth’s interior behaves and why.
One may ask that if we cannot directly observe the inner working of Earth,
how we know what we know. The answer is the science of seismology, which
will be discussed later in this chapter.
Considering the temperature of the Earth’s core (about 6000°C) and Earth’s
radius (6400 km), the numerical average of the temperature gradient in the
Earth’s interior is about 1°C/km. If this numerical average was also practi-
cally true, considering our limited ability to dig into the Earth’s crust, no
geothermal energy source would be within our reach. However, unlike the
lower mantle and upper core layers where the heat transfer is primarily con-
vection, in the upper mantel and crust layers, the heat transfer is dominantly
conduction. This means close to the Earth’s surface, the t emperature gradient
is generally much higher than the rest of the Earth’s interior. However, even
this is not sufficient to bring geothermal resources to a depth available with
current drilling technologies. As noted, below the Earth’s crust, there are
molten rocks (magma) and the thickness of the crust varies. Wherever this
magma can get close to the surface, there is a potential for a higher tempera-
ture gradient and the possibility of reaching high-temperature geothermal
reservoirs close to the Earth’s surface. In The Geysers (we will extensively
talk about it later in this chapter), the magma is believed to be at least 7 km
below the surface.5 These locations are typically on the boundaries between
tectonic plates. These are typically sites where boiling mud pool, hot springs,
fumaroles, and/or geysers exist. These boundaries are also the sites of a
majority of earthquakes and volcanic activities. It should be noted that there
are some local hot spots that do not fit this general rule.

15.3 Geothermal Energy Assessments

Broadly speaking, geothermal resources can be categorized to two major
groups, deep and shallow geothermal energy resources. Deep resources
are typically at high temperatures and located below 1 km underground,
while shallow resources are typically at low temperatures and closer to the
surface.

5 https://geysers.com/The-Geysers/Steam-to-Electricity.
1030 Power Plant Engineering

While the temperature of a geothermal reservoir is critically important

in evaluating the available energy (considering thermal energy availability
according to the second law of thermodynamics), it is not the only factor
to be considered. The precise evaluation of available geothermal energy in
a specific site depends on several factors, including temperature gradient
as a function of the depth, the volume of the reservoir, the characteristic of
the reservoir rock, and the depth that can be reached using available drill-
ing technologies considering the temperature increase with the increasing
depth. In its simplest form, the equation to determine the available geother-
mal energy in a specific site can be expressed as follows:

QRes = mC (TRes − TO ) = ρVC (TRes − TO ) (15.1)

where QRes is the available geothermal energy in a specific reservoir (kJ), m

is the mass of the rocks within the reservoir (kg), V is the volume of the
rocks from the depth that the minimum usable temperature is reached to the
maximum depth that can be reached economically using available drilling
technologies (m3), ρ is the density of the rocks (kg/m3), C is the specific heat
of the rocks (kJ/K-kg), TRes is the temperature of the reservoir (°C or K), and
TO is the temperature specified by the end-user (°C or K). For example, in elec-
tricity generation applications, this is the temperature of the condenser, while
in space heating applications, this is the target space temperature. As noted,
this is a simplified equation that involves several fundamental assumptions
including no temperature gradient in the reservoir (the temperature does not
vary with depth) and a uniform rock formation in the entire reservoir (so a
constant density and specific heat). This equation indicates that the tempera-
ture of the reservoir is not the only factor in specifying a suitable geothermal
reservoir. Particularly the volume (or more accurately the mass) of the rocks
making up the reservoir have a substantial impact on energy availability.
It should be noted that estimating geothermal energy involves a significant
uncertainty depending on the accuracy of measurements and changes as
more advanced technologies become economically available. Also, the entire
thermal energy of a reservoir may not be available for extraction. For these
reasons, similar to fossil fuel resources discussed in Chapter 4, one may
encounter terms such as geothermal energy resources, reserves, etc.

15.4 Applications of Geothermal Energy

Geothermal energy resources are being used for several distinct applica-
tions. These applications require different source temperatures, which
in turn determines the type (and to a large extent the depth of required
resources). Clearly, geothermal energy can be used as the source of thermal
Geothermal Energy 1031

energy for electricity-generating plants. This application needs the highest

temperature reservoirs among all other applications. Geothermal energy can
be also used where thermal energy is needed without conversion to other
energy forms. For this purpose, geothermal energy can be directly used, or
can be used via a heat pump. Geothermal electricity generation applications
will be discussed for the rest of this chapter. While using geothermal energy
to provide heat is out of the scope of this text, a brief discussion will be pre-
sented here.
While high-temperature heat sources are essential for some applications,
most importantly for electricity generation, a significant portion of the
energy needs of a society is for low-temperature thermal energy. Actually in
some countries, most energy consumption is in this sector. In the U.S., about
45% of the residential energy consumption is being used for space heating
while the share of water heating is about 20%.6 Geothermal energy can play
a significant role in providing this low-grade thermal energy. Geothermal
energy stored in relatively shallow underground water sources (typically up
to 100 m below surface) can be hot enough to be used for direct space heating.
This water can be directly pumped to a heat exchanger in the target space.
Alternatively, if the circulation of underground water in the living space
is not desirable, for example, due a high level of contaminations in water,
an intermediate fluid can be used. This fluid receives thermal energy from
underground water in a heat exchanger and then transfers that heat to the
space. In both cases, using a district heating approach is common. Similarly,
geothermal energy can be used to produce hot water for residential and com-
mercial applications. A similar approach can be used to provide hot water for
industrial processes, heating large greenhouses, or feeding geothermal baths
(as tourist attractions).
The direct use of geothermal energy is not available in many locations.
Even if it is available, it may need a substantial initial investment both to get
access to the reservoir and to pump underground water to surface applica-
tions. An alternative approach is to use heat pumps. The operation and com-
ponents of heat pumps are very similar to air conditioning systems. Similar
to air conditioners, they have four main components: compressor, condenser,
expansion valve, and evaporator.
In a refrigerator, the vapor refrigerant is pressurized in the compressor,
and its temperature increases. Then, the vapor is cooled and condensed in
the condenser located in an open area out of the space needed for cooling by
transferring heat to the atmosphere. The pressure of the condensed refriger-
ant is then reduced in the expansion valve through the throttling process.
Finally, the low-pressure liquid refrigerant is evaporated in the evaporator
located inside the space and takes the latent heat of evaporation from the
space and provides the desired cooling. Heat pumps have the same compo-
nents and operate exactly in the same fashion. The only difference is that

6 https://www.eia.gov/energyexplained/use-of-energy/homes.php.
1032 Power Plant Engineering

in heat pumps the evaporator is located outside and the condenser is inside
the space. In winters, heat pumps remove heat from the cold outside air and
transfer the heat to the air inside the space. In majority of cases, a heat pump
and an air conditioner are integrated into a single unit where the function
of indoor and outdoor heat exchangers as the condenser and evaporator can
be switched based on the season. These conventional heat pumps are also
referred to as air source heat pumps. The performance of heat pumps is
expressed by the coefficient of performance (COP).

QH Q H
COP = =  (15.2)
W W

where COP is the coefficient of performance, QH (or Q H ) is the heat trans-

ferred (or its time rate) to the indoor space (kJ or kW), and W (or W  ) is the
work (or power) consumed in the compressor (kJ or kW). The COP of a heat
pump is a function of the temperature difference between the inside space
and the ambient temperature. This means when the ambient temperature
drops and more heating is needed, heat pumps have less capability to do
so. This is where geothermal heat pumps can help. We know that the tem-
perature of the ground below about 6 m (about 20 ft) is almost constant
regardless of the ambient temperature at a given time. The exact value of
this temperature varies from location to location and can be between 10°C
and 16°C, depending on the average annual ambient temperature of the site.
In geothermal heat pumps, also known as ground-source heat pumps, the
evaporator is in the form of a heat exchanger buried underground where
it is protected from ambient temperature variations. The pipes of the heat
exchanger can be buried in a shallow horizontal pattern or in a vertical deep
borehole. Sometimes underground aquifers may be used as a heat source. An
attractive option is using water-flooded abandoned mines as the source of
geothermal energy. Note that these systems not only help to provide heating
in winter with less input electricity but also can reduce electricity consump-
tion for cooling when the system operates as an air conditioner. Since in win-
ter the system extracts heat from the reservoir and in summer adds heat to
the reservoir, the reservoir can sustain its function for a long period.

15.5 Past and Present of Geothermal Energy

15.5.1 History of Geothermal Energy Utilizations
Geothermal energy has been used for thousands of years in the form of ther-
mal baths for recreation or their perceived therapeutically properties. There
are evidence that Romans used thermal spas in the city of Hierapolis (now is
Geothermal Energy 1033

known as Pamukkale, literally meaning “cotton castle”, in Denizli in south-

western Turkey) since the 7th century BC.7 The existence of hot springs in
Larderello (south of Florence) in Tuscany in central Italy were reported by
Romans over 2000 years ago. Similarly, the city of Bath, Somerset, England
was founded and named by Romans for its thermal baths. Similar sites
existed in many other cultures. Probably the early practical applications of
geothermal energy were for space heating and cooking over 700 years ago.
Much later, hot springs were used to extract chemicals.
The first attempts to produce mechanical work from geothermal energy
were in Larderello, Italy, in the late 19th century. The site is extraordinary
because the temperature of about 200°C can be reached in just a couple hun-
dred meters underground. In the early 20th century, for the first time, elec-
tricity was generated from a geothermal source in the same site.8 Its capacity
was gradually increased to 127 MW by the mid-1940s. Until the late 1950s,
the plant remained the only electricity-generating geothermal plant. With
the capacity of about 800 MW, it is still one of the largest geothermal power
plants in the world and the largest in Europe.
In the U.S., The Geysers geothermal complex, located in northern California
(116 km north of San Francisco), houses the largest geothermal power gen-
eration facility in the world with a capacity of about 1600 MW. The site was
first discovered by modern-day Americans in the mid-19th century9 and was
named The Geysers.10 For many decades, the site was used as a resort. In the
1920s, some attempts to use the field for electricity generation failed until
1960 when the first geothermal power plant with the capacity of 12 MW was
built. By 1988, over 30 power generating units were installed in the field with
the total capacity of almost 2000 MW. Since then nine units have been non-
operational (seven units has been dismantled all together). Currently 22 units
with the capacity of about 1600 MW are operational.

15.5.2 Current Status of Geothermal Energy

Figure 15.2 shows the global and the U.S. installed geothermal electric-
ity generation capacity (MW) between 2010 and 2019. The global installed

7 The carbonate mineral formations in the shape of cascading pools created by the flow of
mineral-rich water is still a major tourist attraction. Nowadays Turkey’s largest geothermal
power plant, Kızıldere Geothermal Power Plant with the electricity generation capacity of 95
MW, is located nearby.
8 The generated electricity was reportedly used to light four or five light bulbs (depending

on the source). The pioneering project was led by a local prince named Piero Ginori Conti
(1865–1939, an Italian businessman and politician).
9 Native Americans lived in the region for thousands of years and used the hot water in ther-

mal baths and for cooking before the arrival of European settlers.
10 The name “The Geysers” might be inappropriate and misleading. Unlike real geysers, such as

those in Yellowstone National Park, where the mixture of boiling water and steam is rejected
to the air, there are no such eruptions in The Geysers. The more appropriate term might be
“The Fumarole” because in this field steam vents though openings.
1034 Power Plant Engineering

16000

14000
Global eothermal installed capacity

12000

10000
(MW)

8000 World The U.S.

6000

4000

2000

0
2008 2010 2012 2014 2016 2018 2020

FIGURE 15.2
Global and the U.S. installed geothermal electricity generation capacity (MW) between 2010
and 2019. (Based on the data provided by International Renewable Energy Agency (IRENA)
and the U.S. EIA.)

geothermal electricity generation capacity is currently about 14 GW, which

is much higher than what it was just a decade ago at about 10 GW (an aver-
age 4% annual increase).11 While this capacity compared to those of the wind
and solar electricity production capacity (each at roughly about 600 GW) is
small, in certain countries and regions it can make a significant contribution
to overall electricity generation. In 2017, globally about 80 billion kWh of elec-
tricity was generated by geothermal power plants. Geothermal power plants
are distributed among 27 countries in all five continents. The top ten coun-
tries with the largest installations are (in 2019), the U.S. (2555 MW), Indonesia
(2131 MW), Philippines (1928 MW), Turkey (1515 MW), New Zealand
(965 MW), Mexico (936 MW), Kenya (823 MW), Italy (800 MW), Iceland (753
MW), and Japan (525 MW). Among these countries, Kenya and Iceland are
very important on how geothermal energy can make a significant contri-
bution to electricity generation in certain favorable circumstances. Kenya is
the first and only African country with any meaningful geothermal power
production facilities. Geothermal electricity generation makes up over 30%
of the country’s installed electricity generation capacity and produces about
half of the country’s electricity. If you refer back to Table 1.1, it is clear that
Kenya has one of the lowest per capita electricity consumptions in the world
with the annual consumption of 197 kWh/capita. The fact that one half of
this electricity comes from geothermal energy indicates how impactful this

Renewable Capacity Statistics 2020. “International Renewable Energy Agency (IRENA).” (2020).
11

https://www.irena.org/-/media/Files/IRENA/Agency/Publication/2020/Mar/IRENA_RE_
Capacity_Statistics_2020.pdf.
Geothermal Energy 1035

energy is in Kenya. A similar case, in term of the widespread utilization of

geothermal energy, is Iceland where about a quarter of its installed capacity
is geothermal power plants. Interestingly, regarding electricity consumption
per capita Iceland is at the other end of the spectrum (compared to Kenya).
With the annual electricity consumption of 53,301 kWh/capita, Iceland has
the highest per capita electricity consumption in the world.
In the U.S., the capacity of geothermal power generation was 2555 MW in
2019, which indicates about 6% increase compared to a decade ago. While
the U.S. has the largest installed geothermal power generation capacity in
the world, the geothermal electricity generation contribution to the total
electricity generation in the country is <0.5%.12 California and Nevada are
responsible for over two-thirds and a quarter of the total geothermal electric-
ity generation in the U.S., respectively. The rest of the country produces about
5% of the electricity generated from geothermal resources.13

15.6 Characteristics of Geothermal Resources

We learned that in order to have an exploitable geothermal energy source,
magma (melted rocks) should be able to penetrate the Earth’s crust to heat
rocks close to the Earth’s surface. Depending on the presence of water or lack
of it, geothermal reservoirs can be divided into two categories: hydrothermal
and dry rocks.

15.6.1 Hydrothermal Geothermal Reservoirs

In these reservoirs, the ground is made of porous rocks, such as sandstone,
volcanic ash, and limestone, where water can be stored to form an aquifer
(Figure 15.3). The water is heated by deep hot rocks. The hot water should be
able to circulate to heat the entire reservoir. For this reason, rock porosities
should be interconnected to allow water permeation through the rocks. So in
the aquifer, the water is heated indirectly by magma. Then, due to the density
difference between hot and cold water, the heated water is driven upward.
This process is referred to as the hydrothermal convective circulation.
So to have a hydrothermal geothermal reservoir, we need hot rocks heated
by magma and an aquifer with permeable rocks sufficiently close to the
Earth’s surface that is accessible by drilling. However, these are not enough
and one more element is needed. The aquifer should be sandwiched between
two layers of impermeable rocks above and below the reservoir so water
or steam cannot escape downward or upward (Figure 15.3). The top layer,

https://www.eia.gov/energyexplained/geothermal/use-of-geothermal-energy.php.
12

https://www.eia.gov/energyexplained/geothermal/use-of-geothermal-energy.php.
13
1036 Power Plant Engineering

Ground level Fumaroles/geysers/hot springs

Rain water Geothermal plant

Artificial well

Natural Impermeable (cap)

fault rocks

Hydrothermal
convective Permeable rocks-Aquifer
circulation

Impermeable hot rocks

Magma

FIGURE 15.3
Schematic of a hydrothermal geothermal reservoir.

known as the cap rocks or seal, also acts as an insulating layer, due to the
rocks’ low conductivity, to keep thermal energy within the reservoir. Natural
faults in the cap rocks can release some of the thermal energy to the atmo-
sphere. Depending on the location of the fault, the released energy can be
in the form of hot water (in hot springs), steam (in fumaroles), or a high-
pressure mixture of vapor and liquid (in geysers).
Hydrothermal geothermal reservoirs can be at the temperature of
100°C400°C accessible within kilometers from the surface. At The Geysers,
the deepest well is about 4 km deep, while the average well depth is about
2.6 km.14,15 Hydrothermal geothermal reservoirs are the only ones that are
currently commercially being exploited. While the temperature of a reservoir
is critical, the pressure of the water is also very consequential. We know in
a column of water, deeper waters are at higher hydrostatic pressures.16 The
same principle applies to hydrothermal reservoirs. The deeper reservoirs
have higher pressures. There is a certain depth below which hydrostatic
pressure exceeds the saturation pressure of water at the given temperature.
For that temperature, if the depth of the reservoir is more than that specific
depth, the water will be at the compressed liquid state (rather than vapor
phase). Otherwise, for shallower reservoirs, the water will be at a super-
heated (or saturated) steam state.

14 https://geysers.com/The-Geysers/Geysers-By-The-Numbers.
15 Note that in this text when we refer to The Geysers, we actually refer to the portion of the field
that is operated by Calpine, the company which operates majority of the plants.
16 For every 10 m column of water, the hydrostatic pressure increases by about 1 bar or 100 kPa.
Geothermal Energy 1037

Example 15.2
For water at the temperatures of 200°C and 300°C, determine the depth
below which the water will be compressed liquid.
Solution
The pressure and specific volume of saturated liquid water at 200°C and
300°C can be found from the water property tables:

PSat@T = 200° C = 1554.9 kPa

vSat Liq@T = 200° C = 0.001157 m 3 /kg
PSat@T = 300 °C = 8587.9 kPa
vSat@T = 300° C = 0.001404 m 3 /kg

The hydrostatic pressure of a column of water can be found from the fol-
lowing equation:
gh Pv
P = ρ gh = →h=
v g

 m3 
1554.9 × 103 [ Pa ] × 0.001157  
hT = 200° C =  kg  = 183.5 m
m
9.8  2 
s 

 m3 
8587.9 × 103 [ Pa] × 0.001404  
hT = 300° C =  kg  = 1230.3 m
m
9.8  2 
s 

So for pure water at the temperature of 300°C, if the height of the column
of water is higher than about 1.2 km, the water will be at the compressed
liquid state. Clearly, this calculation is over simplified. For example, the
geothermal water is never pure water. However, it provides a conceptual
understanding for the following topic.

Depending on the pressure of a reservoir and the phase of water in it,

hydrothermal geothermal fields can be categorized as vapor-dominated
or liquid-dominated. Compared to vapor-dominated reservoirs, liquid-
dominated reservoirs are generally located deeper underground.

15.6.2 Hot Rock Geothermal Reservoirs

In the previous section we learned that in order to have a hydrother-
mal geothermal reservoir, the minimum requirements are to have a hot
1038 Power Plant Engineering

underground formation and an aquifer. These requirements severely limit

suitable sites to exploit geothermal energy. In contrast, in most parts of the
Earth’s surface hot rocks at high temperatures can be found where other
requirements for hydrothermal reservoirs are not met, particularly the
presence of water and permeable rocks. In early days of the conception of
the idea of using these resources they were called hot dry rocks (HDR) or
petrothermal geothermal reservoirs. But later explorations indicated that
in a majority of cases they are not really dry but just impermeable. They
are currently referred to enhanced or engineered geothermal systems
(EGSs). The methods to use these resources will be covered later in this
chapter.

15.7 Exploration for Geothermal Resources

The first and probably the most important step to utilize geothermal resources
for electricity generation is to locate a suitable site. This includes determin-
ing the magnitude of the thermal energy, ensuring the presence of water
in the sufficient quantity, and identifying if the ground has adequate per-
meability. The ultimate objective is to determine if the potential geothermal
source can be economically exploited with reasonable environmental effects
(determined by considering all regulations) with an acceptable certainty. The
process of identifying geothermal resources is not a straightforward and lin-
ear process. Considering potentially unlimited areas to explore and the high
cost of a complete exploration process, exploring for geothermal resources is
conducted in several steps. In each step, more promising sites are picked for
further comprehensive and more expensive exploration techniques. For this
purpose, geochemical and geophysical measurement techniques are exten-
sively used in coordination with statistical and numerical tools. The maps
of geothermal resource can also provide some insight to potential available
resources (Figure 15.4).
The very first step in this process is to identify a potential site for a detailed
investigation by field surveys and geochemical methods. This identification
can be as simple as looking for typical surface signs of geothermal fields,
such as geysers, hot springs, boiling mud pools, fumaroles, etc. While this
was how some of the most prominent geothermal sites, like The Geysers and
Larderello, were discovered, there are many more sites that do not demon-
strate such visible signs. A good place to start is regions with recent or dis-
tant past volcanic activities. However, it should be remembered that not all
geothermal sites have a history of volcanic activities. The records of past geo-
logical mapping and drill records can be also used for this purpose. One can
also look for the evidence of the presence of other manifestations of geother-
mal energy. For example, the composition of local geological formations can
Geothermal Energy

FIGURE 15.4

A geothermal energy map of the U.S. (Source: The National Renewable Energy Laboratory, NREL, https://www.nrel.gov/gis/assets/images/
1039

geothermal-identified-hydrothermal-and-egs.jpg.)
1040 Power Plant Engineering

indicate the existence of hot springs in the past.17 The composition of surface
water streams and the presence of some substances, such as boron and cer-
tain isotopes, can also indicate their interaction with hot rocks. All above-
mentioned methods are inexpensive tools to create a preliminary picture of
underground conditions. If the overall picture is sufficiently promising, it
can trigger more extensive and expensive geophysical studies. One of these
tools is magnetic surveys of magnetic anomalies of local rocks by magne-
tometers mounted on airplanes, helicopters, or drones (hence the name aero-
magnetic studies). When rocks interact with geothermal water sources, their
magnetic activities are reduced, and this characteristic can be an indication
of a potential geothermal reservoir. Similarly, resistivity and gravity studies
can be used to determine rocks’ electrical resistance and gravitational fields,
respectively.
Another important tool is a seismic analysis. This technique was originally
developed for exploring oil and natural gas sources. Since this method is also
used to understand the inner structure of Earth (as the science of seismology),
we will briefly discuss how it works. For this purpose seismic waves with low
frequencies are created at a certain point by either explosive seismic sources,
such as gelatin dynamite explosion, or nonexplosive seismic sources, such
as seismic vibrators. They can generate two types of waves, P-waves (pres-
sure or primary waves) and S-waves (shear or secondary waves). In P-waves,
the vibration of particles is parallel to the direction of the wave propagation.
They are longitudinal waves, similar to sound waves, and move by compres-
sion and expansion. They can pass through both solids and liquids. In con-
trast, S-waves are transverse waves where particles vibrate perpendicular to
the direction of the wave propagation (similar to waves created in a string of
a guitar). They can only pass through solids.
The low-frequency waves created by the wave generator can easily
propagate throughout Earth interior and are reflected and refracted while
going through different environments and discontinuities between them.
The velocity of these waves depends on the nature of the medium they
are traveling in. These waves after passing through the Earth’s interior are
recorded by some recording devices, such as seismometers and accelerom-
eters in land and hydrophones in water. The timing and characteristics of
the recordings help to determine the structure and properties of the Earth’s
interior.
It should be noted that the results of none of these techniques is conclusive
and a holistic approach should be employed for their interpretation. When
and if there is convincing evidence with high enough probability that a site
has a potential geothermal reservoir, one can proceed to the next step. In this
step, many small diameter boreholes (<15 cm or about 0.5 ft) are drilled to
the depth of about 2 km. Considering the extremely high cost of drilling, the

The evidence that in the past certain bacteria, which thrive in hot springs, lived in a region
17

can be used for this purpose.

Geothermal Energy 1041

number of holes and their layout should be strategically chosen. The subsur-
face temperature gradient is measured by lowering a temperature sensor into
the hole and the specific heat of rocks is determined in the laboratory using
samples taken during drilling. These two parameters help to determine the
local heat flow rate.18 When it is confirmed that a geothermal reservoir meets
all the requirements with a very high certainty, the next step is to drill a well
to gain access to geothermal energy.

15.8 Drilling for Geothermal Resources

While most power generation components of a geothermal power plant are
similar to other steam power generation units, drilling boreholes is the most
distinguishing feature of geothermal power units. With typically about one
half of the total cost of geothermal power stations, drilling boreholes are the
most expensive part of geothermal projects. Drilling is not only needed to
extract steam or hot water but is required for reinjection of water to the filed.
Furthermore, as noted earlier, drilling test boreholes is an important part of
identifying and evaluating potential geothermal sites. To a large extent the
technology and equipment used for geothermal systems are similar to those
for oil and gas industry, although the environment is more challenging for
geothermal well drilling. While this similarity allows a considerable technol-
ogy sharing between the two industries, it also creates competition between
them.
Every conventional drilling system requires several major processes. The
heart of any drilling system is the part that interacts with ground and cut
into rocks and soil. This part that is always located at the end of the drilling
mechanism and is placed at the bottom of the well is called the drill bit, rock
bit, or just bit. The breaking and penetrating mechanism can be hammering,
jackhammering, or rotary cutting. The latter can use helical screws or rolling
cutters (Figures 15.5 and 15.6). In any case the bit should be made of a hard-
ened alloy or other extremely hard materials, such as tungsten carbide or
diamond. During the drilling process, a particular attention should be paid
to avoiding blow out when a high pressure and temperature pocket of gases
is hit and uncontrollably discharged.
The power needed to break rocks should be generated and then is trans-
mitted to the bit by a drill string. The drill string is an interlinked shaft that
receives rotational energy on its surface end and delivers the energy to the bit

Please note that the methods presented in this section are by no means complete. For more
18

information on this topic, one may refer to Chapters 6 and 7 of the following book: Glassley,
W.E. Geothermal Energy: Renewable Energy and the Environment. Boca Raton, FL: CRC Press
(2014).
1042 Power Plant Engineering

FIGURE 15.5
A drill bit. (By Rama – Own work, CC BY-SA 2.0 fr, https://commons.wikimedia.org/w/index.
php?curid=346128.)

FIGURE 15.6
A drill rig with auger for shallow wells. (Image by Hans Braxmeier from Pixabay, https://
pixabay.com/photos/drill-construction-equipment-site-57557/.)
Geothermal Energy 1043

so that it can break rocks and penetrate ground. This means the entire shaft,
which can be potentially a few kilometer long, should rotate. This requires
a huge amount of power, which can be in the order of a few MWs. The mag-
nitude of this power depends on the type of rocks and how deep the well
is. It should be noted that it is more difficult and takes more energy to break
rocks as the depth of the well increases. This is true even if the type of rocks
does not change. This is due to increase in the pressure imposed on rocks
(called confining pressure) at deeper parts of the well. The time needed to
drill a unit of length also increases the deeper the bit penetrates the ground.
It should be also noted that the diameter of the bit and consequently the
size of the borehole reduces in several steps the deeper the bit penetrates
the ground, possibly from 90 to 25 cm (about 3–0.8 ft). In some drilling rigs,
instead of using a drill string, the high-pressure drilling fluid (discussed
next) is used to run a screw-like mechanism that powers the bit.
The pieces of broken rocks, sand, and dirt then should be transported out
of the well. This can be achieved by the rotation of cutting mechanism, high-
pressure air, or drilling fluid. The fluid, also known as drilling mud, is typi-
cally pumped to the bottom of the well within the drill pipe (string) and is
returned back along with drill cuttings via the space between the string and
well walls. The drilling fluid also functions as the lubricant and coolant for
the drill string and the bit. Furthermore, the mud fluid stabilizes the wells by
forming a thin protective layer on them. The fluid is typically a mixture of
water, clay, and some additives. The returned mud fluid is discharged into a
storage pit where after deposition and settling of drill cuttings, it is recycled
to the well. A pump is needed to circulate the drilling fluid with a special
design to handle the mud fluid. For deep wells where the returned fluid can
be at high temperatures, a fluid cooling system may be also needed.
After the well drilling process is completed, pipes or casings (liners), typi-
cally made of steel, are placed in the well. Then, the space between them and
the walls are filled with concrete or similar materials. This process is known
as grouting. The grouting process is to stabilize the walls to ensure the struc-
tural integrity of the borehole and to physically and thermally seal the well
from it surrounding. This is to prevent the contamination of local aquifers in
the case of leakage. It also helps to avoid cross contamination between aqui-
fers at different levels if they are not naturally interconnected, particularly
when one is used as a source of drinking water. The diameter of the casing
reduces with increase in the well depth, probably from 75 to 20 cm (about
2.5–0.7 ft). For the geothermal water production section of the well, depend-
ing on the type of rocks, special provision should be made to allow hot water
or steam to enter the casing. If the rocks are sufficiently stable, the section is
left open with no linings, otherwise perforated pipes are used to permit the
water to enter the pipe while also supporting the walls. On the ground level,
the pipe is connected to the wellhead, typically by welding.
Drilling equipment used for wells with the depth of a few 100 m is the same
as those used for water well drilling (Figure 15.6). For this purpose, typically
1044 Power Plant Engineering

augers with a helical screw and a hardened bit mounted on a truck is used.
The rotation of the screw moves the removed pieces upward to the surface.
Drilling deeper wells is obviously more challenging and requires more
advanced drilling systems. The most visible part of a drilling rig is its tower
that is used to lower, withdraw, or add to the drilling string and its pipe
(Figure 15.7). Other components of drilling rigs are discussed above. Early
geothermal wells were all vertical but with the advancement of the direc-
tional drilling technology, wells can be initially vertical and then can be
expanded horizontally at desired directions.
Almost every aspect of the drilling process becomes more demanding
with increased well depth: it is more difficult to shatter rocks, a longer
drill string should be rotated, and the mud fluid needs to be pumped for
a longer distance. All these effects as well as temperature increase, not
only increases the time and energy needed per unit of length of drilling,
but also increases the maintenance and part replacement frequency, which
in turn increases the drilling time and cost. All these indicate that the cost
of drilling a unit of length of a well is an exponential function of the
well depth. This dependency severely limits how deep a geothermal well
can be for economic exploitation of its energy. There are some ideas and
patents that are being investigated to eliminate or reduce this exponential

FIGURE 15.7
A drill rig and its tower. (Image by Bruce Tunget from Pixabay, https://pixabay.com/photos/
onshore-drilling-rig-geothermal-1928358/.)
Geothermal Energy 1045

dependency and make it more linear. In one such idea, the bit is replaced
by an intense flame jet where thermal stress rather than mechanical stress
breaks rocks. Another idea is to rehabilitate abandoned oil and gas wells for
geothermal power production.

15.9 Geothermal Power Generation Units

In real world, a single geothermal well cannot produce enough hot water or
steam to feed a power plant with more than a few MW capacity. Typically
several wells are drilled to form a geothermal field to provide sufficient fluid
for a sizable power station. Geothermal power plants typically have power
generation capacity between 20 and 120 MW. This range of capacity is small
compared to fossil fuel or nuclear steam power plants, with typical capacity
of many hundreds of MWs. However, building larger units require a large
number of wells scattered in a large field. Collecting and transferring hot
water or steam from such a field is typically more costly than building sev-
eral smaller units (rather than one large unit).
In the previous section, we discussed that the drilling process is com-
pleted by placing a wellhead over the well on the ground level. This well-
head is connected to an above-ground piping network that collects hot water
or steam from several wells and transfers them to the power plant. The flow
rate of fluid from each well is controlled by a valve right after the wellhead.
Due to the high pressure of water or steam in the reservoir, the flow can
exit the well with no pump required. The pressure of the reservoir when
the valve after the wellhead is closed is called the shut-off pressure or the
closed-in pressure. When the valve is opened steam flows through the pip-
ing network. Due to low density and high specific volume of the extracted
steam, relatively large diameter pipes are needed to transfer the flow in the
network.
The type and configuration of a geothermal power plant depend on the
temperature, pressure, and composition of the geothermal water or steam.
Generally there are three types of power generation units that are c urrently
being used to generate electricity from geothermal energy: vapor-dominated,
liquid-dominated, and binary cycle units (Figure 15.8). In both vapor-
dominated and liquid-dominated systems the working fluid of the power
cycle (the flow passing through the turbine) is the geothermal steam extracted
from the well. Their difference is the state that the fluid is harvested from the
well. In vapor-dominated systems, also known as dry steam power plants,
the geothermal fluid is in the vapor state. In liquid-dominated or wet steam
power plants, the geothermal fluid is in the liquid state. In binary cycles, the
power cycle is a closed one where the working fluid receives heat from the
hot water flow from the geothermal well.
1046 Power Plant Engineering

Power plant

Production Injection
well well

Steam
(a)

Power plant
Steam

Separator
Water

Production Injection
well well

(b)

Power plant

Heat exchanger

Production Injection
well well

(c)

FIGURE 15.8
Schematic of (a) vapor-dominated (b) liquid-dominated (c) binary cycle units.

15.9.1 Vapor-Dominated Geothermal Units

As noted in the previous section, in vapor-dominated or dry geothermal
power plants, the geothermal reservoir generates dry steam (with no water
droplets in it). Depending on the temperature and pressure of the reservoir,
this could be superheated steam or supercritical steam (if the pressure is
above about 221 bar). This type of geothermal fluid is the most desirable type
Geothermal Energy 1047

both in terms of the processes (and the equipment) needed in the power gen-
eration unit and the efficiency of the unit. However, there are very few loca-
tions on Earth that have vapor-dominated geothermal reservoirs and most of
these sites have already been exploited. Most high-profile geothermal fields
are vapor-dominated, such as The Geysers (the U.S.), Larderello (Italy), and
Matsukawa (the first geothermal power plant in Japan built in 1966), though
there are others in these countries and in Mexico and Indonesia. The steam
temperature entering the power generation system can be between 180°C and
250°C and the pressure of typically <8 bar. For example, the average steam
temperature and pressure in The Geysers are about 190°C and 6 bar, respec-
tively.19 In one of the geothermal units at The Geyser, to generate 55.1 MW of
electrical power, about 380,000 kg/h of steam is extracted from the wells at
the temperature of 170°C and the pressure of 7.8 bar. This is about 105 kg/s
of the steam flow or about 6.9 kg of steam for each kWh of generated electricity.
The average steam production per well at The Geysers is about 16,300 kg/h,20
which indicates that on average each well can support about 2.4 MW units.
Compared to conventional fossil fuel and nuclear steam power plants, the effi-
ciency of geothermal power plants is relatively low, rarely exceeding 20%, due
to low temperatures of the inlet steam to the turbine.
Dry steam geothermal power plants are similar to simple steam power
plants operating based on a Rankine cycle except there is neither a steam
generator nor a feedwater pump. In the reservoir, steam coexists with water,
so the steam leaves the reservoir and enters the pipe within the well as satu-
rated steam, typically at the temperature between 180°C and 250°C and pres-
sure between 35 and 80 bar (flow 1 in Figures 15.9 and 15.10). While steam
ascends the well and passes through the valve after the wellhead and the
piping network in the field, its pressure drops (a throttling process with a
constant enthalpy). At the entrance to the power generation unit (flow 2), the
steam pressure reduces to below 8 bar and it is superheated steam. If the flow
is contaminated with solid particles, a separator, typically a centrifugal one,
is needed to separate the particles from the steam. The steam then enters a
turbine (flow 3), typically an axial multistage one, where it expands and gen-
erates mechanical work, which is converted to electricity in a generator. The
saturated mixture of steam and liquid water (flow 4) leaves the low-pressure
stage of the turbine and enters the condenser, which is typically located right
at the bottom of the turbine. The condenser can be a direct contact type or a
surface one (Figures 15.9 and 15.10, respectively).
In a direct contact condenser, the exhausted steam from the turbine (flow
4 in Figure 15.9) is mixed with the cold water from the cooling tower (flow 9)
(for more information refer to Chapter 8). The saturated water is collected at
the bottom of the condenser in the hotwell (flow 5). The condensate is then
pumped to the cooling tower by the condensate pump (flow 6). The cooling

https://geysers.com/The-Geysers/Geysers-By-The-Numbers.
19

https://geysers.com/The-Geysers/Geysers-By-The-Numbers.
20
1048 Power Plant Engineering

2
Steam turbine
3
Generator Separator
Superheated
steam

10
Valve
Saturated mixture of
4 water and steam Ground level
11 9
Wellhead

Compressor Saturated
1 steam
(or ejector) 5 Direct Cooling
contact tower
condenser
8
Condensate
pump 6

7
Circulating
pump

Geothermal
reservoir

FIGURE 15.9
Schematic of a vapor-dominated geothermal power plant with a direct contact condenser.

tower is typically a wet (evaporative) tower, though for area where makeup
water is not readily available, a dry cooling tower can also be used. Both nat-
ural draft and mechanical draft cooling towers are widely used in geother-
mal power plants (refer to Chapter 8). Note that in units with a wet cooling
tower, most of the condensate is evaporated in the cooling process to pro-
vide the required cooling for the condensation of the turbine exhaust flow.
Therefore, most of the condensate (flow 8), as high as 80% of the total flow,
is pumped by the circulating pump(s) back to the condenser (flow 9). The
leftover of the condensate (flow 10), as low as just 20% of the total condensate
(and the extracted steam from the wells), is reinjected to the well after (as
in Figure 15.9) or before the cooling tower. While direct condensers are less
expensive and more effective in reducing the condenser pressure compared
to that for surface condensers, they release all noncondensable gases to the
atmosphere (flow 11). These gases include hydrogen sulfide (H2S), which is a
highly toxic and flammable gas, and its release to the atmosphere can harm
Geothermal Energy 1049

Separator
2
Steam turbine

3
Generator
Cooling tower
14

Valve
Surface
condenser 13 Ground
4
level
8 9
11 Wellhead

12
1
5
7
15 10

Ejector (or
compressor) Circulating Reinjection
6 pump pump
Condensate H2S removal
H2S removal pump unit
unit
Elemental sulfur Geothermal reservoir
Atmosphere

FIGURE 15.10
Schematic of a vapor-dominated geothermal power plant with a surface condenser.

the environment and is prohibited in most regions. So most modern geother-

mal units are equipped with a surface condenser.
If a surface condenser is used, similar to this type of condensers in fossil
fuel steam power plants (refer to Chapter 7), the cooling water flows inside
the condenser tubes (flow 11, in Figure 15.10) and the exhausted steam from
the turbine (flow 4) flows outside the tubes. The cooling water from the basin
of the cooling tower (flow 10) is pressurized in the circulating water pump(s)
and is sent to the condenser (flow 11). The outlet flow of the turbine (flow 4) is
condensed by losing its latent heat to the cooling water and is collected at the
bottom of the condenser in the hotwell (flow 5). This condensate is then pres-
surized by the condensate pump to the pressure of the cooling water (flow
6) and after removal of H2S (will be discussed below) (flow 7) is mixed with
the cooling water leaving the condenser (flow 8). The mixture of the cooling
water and the condensate (flow 9) is then recycled back to the hot water dis-
tribution system of the cooling tower. In this case, similar to the cycle with
the direct contact condenser, a small portion of the flow is reinjected back
to the reservoir (flow 13). For this purpose, the cooling tower basin is typi-
cally divided into two sections. The reinjection pumps are installed on one
section of the cooling tower basin (flow 12). In Chapter 7, we discussed how
1050 Power Plant Engineering

the accumulation of noncondensable gases in the condenser can increase the

back pressure of the turbine and significantly reduce the cycle efficiency.
This problem is much more significant because the geothermal steam from
the wells contains a substantial amount of noncondensable gases, perhaps
0.5% of the total mass of the extracted steam. To remove these gases, the
condenser is always equipped with either a steam-jet ejector or a compres-
sor. In the case of steam-jet ejectors, often a two-stage ejector is used. The
steam needed for the ejectors is taken from the inlet of the turbine (flow 14).
To partially condense and recover this steam, an intercondenser and an after-
condenser are typically placed between the two stages of the ejector and after
the second ejector, respectively (not shown in Figure 15.10). A small portion
of the cooling water is diverted to these condensers and their condensate is
returned to the main condenser (flow 15). As noted above, noncondensable
gases contain H2S, which cannot be released to the atmosphere and should
be removed. There are several processes for H2S removal. Commonly, the
Stretford process21 is used for this purpose. In the Stretford process, hydro-
gen atoms are removed from H2S by the oxidation process in which elemental
sulfur is left behind. The process can remove over 90% of hydrogen sulfide
from noncondensable gases and the marketable commercial grade sulfur is
produced as a byproduct.
Generally speaking, the design principles and manufacturing methods
for components of geothermal power plants are identical or very similar
to those of conventional steam power plants. In fact, since the temperature
and pressure that the components are exposed to are lower in geothermal
power plants, they experience less physical stresses. However, since the
concentrations of particulates, dissolved solids, and noncondensable gases
are much higher in geothermal fluids than those in feedwater of conven-
tional steam plants, material sections for the construction of components
of geothermal systems are more challenging. Stainless steel and aluminum
are common construction materials for various components of geothermal
plants.

15.9.2 Liquid-Dominated Geothermal Units

As noted in the previous section, dry steam power plants are the simplest
and most efficient geothermal units. However, the number of geothermal
reservoirs that can directly provide dry steam are very limited throughout
the world. Previously we discussed that if a geothermal reservoir is deep
enough, it will contain compressed or saturated liquid rather than saturated
steam. This type of geothermal reservoirs is much more common compared
to dry steam reservoirs. In liquid-dominated geothermal reservoirs, liq-
uid water is provided by a geothermal field typically at the temperature

The process was first discovered in the late 1950s in a laboratory located at Stretford, a region
21

in the Greater Manchester, England, hence the name.

Geothermal Energy 1051

of 150°C–300°C. This water is also referred to as brine due to its high dis-
solved solids. Geothermal water can flow through the well to the surface
either naturally due to the pressure of the reservoir or by pumps. Before
the geothermal fluid can be sent to the turbine, it should be converted to
steam (at least a portion of it). The conversion takes place via a flashing pro-
cess. The flashing process is technically a simple throttling process where
the flow pressure reduces at a constant enthalpy process. This process can
take place within the well when the fluid ascends through the well pipe.
However, generally this is undesirable because when the fluid is flashed
and is partly evaporated, the already high concentration of dissolved solids
in the hot water further increases in the remaining liquid. This may result
in excessive scaling of the pipe in the well, which can reduce the geother-
mal flow through the pipe or even plug the pipe altogether. To avoid this
problem, usually the well operates under pressure (so no flashing process
in the well) and most of the flashing process occurs on the surface inside a
specially designed vessel. For this reason, the pressure drop of the flow in
the well should be reduced. Since the pressure drop depends on the velocity
of the flow in the pipe, reducing the pressure drop requires a lower veloc-
ity. However, this means a lower hot water flow rate from the well, which
reduces the productivity of each well. Thus, a compromise is needed in the
design of the system.
If the hot water is flashed in the well, the mixture of liquid and vapor (wet
steam) flow enters the power plant. We know that the presence of water
droplets in the turbine is very undesirable and can reduce the efficiency of
the turbine and damage its blades. For this reason, the wet steam flow first
passes through a separator, such as a cyclone separator. In the separator, the
high-density liquid droplets are collected on the walls and accumulated at
the bottom of the separator to be eventually reinjected to the well. The low-
density dry steam stays in the middle of the separator and leaves through an
outlet on the top toward the turbine.
If the flashing is needed to take place outside the well and within the
power plant, both the flash process and the separation process are accom-
plished in a single container called the flash tank or separator. The func-
tion of a flash tank is similar to a boiler – to evaporate a portion of liquid
water to steam. But how they achieve this objective is different between a
boiler and a flash tank. In a boiler, the temperature of water is increased by
heat addition until it reaches the saturation temperature at the pressure of
the boiler and the water starts to boil. In contrary, in a flash tank, the pres-
sure of water is reduced to below the saturation pressure of the water at its
temperature, so it starts to boil. Lowering the pressure will result in more
steam in the flow but at a lower temperature. The tank also functions as
a separator of liquid and vapor (similar to a drum). The dry steam leaves
from the top of the tank and is sent to the turbine while the saturated brine
is sent to a collection system to be reinjected to the reservoir. The ratio of
dry steam to saturated brine is typically low, perhaps 1:4. In some plants,
1052 Power Plant Engineering

this spent brine is used for low-grade energy uses, such as district heating
systems. The rest of the power plant is very similar to dry steam power
plants just with a lower t emperature and pressure steam inlet to the tur-
bine (commonly 150°C–300°C and 5–8 bar), which in turn means a lower
efficiency of the plant. Similar to dry steam plants, these units are equipped
with brine treatment facility to remove dissolved solids and solid particu-
lates. Also, to remove entrained water droplets, the steam flow may pass
through a steam scrubber.

Example 15.3
Saturated geothermal water (assume the water is pure) at the temperature
of 220°C is flashed in a flash tank at the pressure of 7 bar. Determine the
steam to liquid water ratio in the tank and the temperature of the tank.
Also, determine how much hot water should be extracted to generate 1 kg
of steam. Determine the ratio of the enthalpy of steam to the enthalpy of
liquid water in the tank. What percentage of the total energy of the hot
inlet water is converted to steam energy which is sent to the turbine?
Analysis
For the inlet brine from thermodynamic property tables:

T1 = 220°C
h1 = h f @ T = 220° C = 943.6 kJ/kg

Since the water and steam are at the saturated condition in the tank,

TTank = TSat@P = 7 bar = 164.9°C

Since the flash process in the tank is thermodynamically a throttling

process,

h2 = h1

h f 2 @ P = 7 bar = 697.0 kJ/kg

h fg 2 @ P = 7 bar = 2065.8 kJ/kg

hg 2 @ P = 7 bar = 2762.8 kJ/kg

x2 =
(h1 − hf 2 ) = ( 943.6 − 697.0) = 0.119
h fg 2 2065.8

As per the definition of the steam quality, for every kg of the inlet flow,
0.119 kg of steam is generated, and the rest is spent brine that needs to be
returned to the reservoir. So
Geothermal Energy 1053

0.119
Steam to liquid water mass ratio = = 0.136
1 − 0.119

1 − 0.119
Spent brine to steam mass ratio = = 7.38
0.119

The amount of hot water that should be extracted to

1
generate 1 kg of steam = = 8.38 kg
0.119
0.119 × 2762.8
Ratio of enthalpy of steam to enthalpy of water = = 0.535
(1 − 0.119) × 697.0
Ratio of the total enthalpy of steam to the total enthalpy of inlet water

0.119 × 2762.8
= = 0.349 = 34.9%
0.119 × 2762.8 + ( 1 − 0.119 ) × 697.0

This indicates that about 34.9% of the energy of the hot water extracted
from the well is sent to the turbine and the rest is reinjected to the reservoir.

Example 15.3 indicated that for the given conditions to generate 1 kg of steam,
8.38 kg of hot water should be extracted from the reservoir in which 7.38 kg
should be reinjected back to the well. Similarly it showed that about 65% of
energy that the extracted hot water contains is reinjected to the reservoir.
While these values are specific for this case, generally similar values can be
observed for most liquid-dominated geothermal power systems where most
of extracted water (both in terms of mass and energy) is reinjected.
As noted above, the efficiency of this type of geothermal power plants is
lower than that of dry steam power plants. Also, most of the extracted brine
from the reservoir must be reinjected to the well as spent brine. Both these
factors mean that flash steam geothermal power plants require much larger
equipment and piping systems than those for a dry steam power plant, which
significantly increase the initial cost of the system. One way to increase the
rate of energy that can be extracted from the hot water is to reduce the pres-
sure of the flash process.

Example 15.4
Repeat Example 15.3 for the flash tank pressure of 7, 5, and 3 bar. For each
case, determine the temperature of the tank, the quality of steam and
water mixture in the tank, the steam to liquid water ratio in the tank,
the mass of the extracted hot water to generate 1 kg of steam, the spe-
cific enthalpy of the generated steam for 1 kg of the inlet hot water, the
percentage of the total energy of the hot inlet water that is converted to
steam energy, which is sent to the turbine.
Analysis
1054 Power Plant Engineering

TABLE 15.1
Results for Example 15.4
Hot Water
Steam- Steam Mass to
Quality Specific to Generate Enthalpy Extracted
Pressure Temperature of Enthalpy Liquid 1 kg Steam of Steam Energy
of Tank of Tank (°C) Mixture (kJ/kg) Ratio (kg) (kJ) (%)
7 164.9 0.119 2763 0.136 8.38 330 35.0
5 151.8 0.144 2748 0.168 6.95 396 41.9
3 133.5 0.177 2725 0.215 5.66 481 51.0

Example 15.4 shows that reducing the pressure of the flash tank increases
the mass of produced steam. However, the temperature of the generated
steam is reduced. Overall, this pressure reduction improves the energy of
the extracted steam but the reduction in the steam temperature can reduce
the positive impact of this increase in the extracted energy.
One way to address this problem is to use double-flash systems. Double-
flash liquid-dominated geothermal power stations are equipped with two
flash tanks, one high-pressure tank and one low-pressure tank. The geo-
thermal hot water is first flashed in the high-pressure tank (similar to single
flash systems). The high-pressure dry steam is sent to the high-pressure tur-
bine. The unflashed water (in liquid phase) then enters the low-pressure
flash tank for further flashing. The low-pressure dry steam is sent to the
low-pressure turbine and low-pressure unflashed water is reinjected to the
reservoir. These cycles are commonly equipped with two turbines designed
to operate with high- and low-pressure steam flows. Double-flash units can
be typically used for geothermal reservoirs with relatively high-quality
water.

15.9.3 Binary Cycles
While globally the number of liquid-dominated geothermal reservoirs is
much greater than vapor-dominated reservoirs, they still require relatively
high-temperature resources. There are even a larger number of liquid-
dominated geothermal reservoirs that have temperature between 80°C
and 170°C, which is too low for power plants operating based on the water
flashing process. At these low-hot water temperatures, the portion of the
extracted hot water that can be flashed into dry steam is so low that produc-
ing a meaningful dry steam flow requires a prohibitively large flow of the
geothermal fluid.
The challenge of using vast low-grade thermal energy reservoirs of all
sorts, such as low-temperature geothermal resources, ocean thermal energy
(Chapter 14), solar energy (Chapter 12), or waste thermal energy, can be
Geothermal Energy 1055

addressed by closed cycles operating based on a Rankine cycle. While these

cycles are known as binary cycles in the geothermal industry, they are
more generally known as Organic Rankine Cycles (ORC). Needless to say
that these cycles are only used in association with low-temperature liquid-
dominated geothermal resources. Their operational principle is exactly sim-
ilar to that of conventional steam power cycles, but they do not use water
as the working fluid. The most important characteristic of the working
fluid for these cycles is their low boiling temperatures. The low evapora-
tion temperature of the working fluid allows the boiling and superheating
processes in the steam generator to be achieved using low-temperature
thermal energy sources. As the name implies, the working fluid of ORCs
is an organic fluid, i.e., a carbon-based fluid. Various hydrocarbons, such as
isopentane (C5H12), isobutane (C4H10), and propane (C3H8) with the boiling
temperatures of about 28°C, −12°C, and −42°C, respectively, have been used.
A major problem with these fluids is their inflammability, which can create
hazardous operating conditions. Alternatively, hydrofluorocarbon refriger-
ants, such as R-134a (Freon 134a, CF3CH2F) or R245fa (C3H3F5), with the boil-
ing temperatures of about −26°C and 15°C, respectively, can be used.22 A
particularly interesting concept is to use a working fluid that is a mixture of
two compounds with different boiling temperatures, such as an ammonia
and water solution. Since two fluids boil at different temperatures, they can
receive heat at much wider range of temperatures. For example, ammonia
(NH3) with a boiling temperature of −33°C can be evaporated at the lower
temperature end of the heat exchanger while the water can boil at the high-
temperature end of the heat exchanger. This cycle is called the Kalina Cycle
(named after its inventor Alexander Kalina, a Russian-American scientist
and engineer) and has a potential to achieve an efficiency substantially
higher than typical ORCs. Several small-scale units based on the concept
have been built and operated with varying level of successes. Kalina Cycles
are not currently commercial and further developments are needed before
their widespread use.
In ORCs, the low-grade thermal energy source, in this case, low-temperature
water from a geothermal reservoir, passes through series of heat exchang-
ers, typically shell-and-tube ones, and transfers heat to the working fluid
typically flowing inside the tubes. In one particular design, the inlet and
outlet temperatures of geothermal water were 135°C and 60°C, respectively.
To minimize the possibility of scaling, typically these heat exchangers are
designed as single-pass and counterflow heat exchangers with no baffle.
Considering the very limited temperature difference between the w orking

In older experimental units Chlorofluorocarbons (CFCs), such as R-11 (Freon 11, CCl3F) and
22

R-12 (Freon 12, CCl2F2) with the boiling temperatures of 24°C and −30°C, respectively, and
hydrochlorofluorocarbons (HCFCs), such as R-21 (CHCl2F) and R-22 (CHClF2) with the boil-
ing temperatures of 9°C and −41°C, respectively, were used in ORCs. However, their use has
been banned by the Montreal Protocol and the Copenhagen Protocol, respectively.
1056 Power Plant Engineering

fluid and the hot water, the key to the success of these cycles is high-efficiency
heat exchangers. It is important that the well and the water surface transpor-
tation system are designed and operated to eliminate possibility of water
flashing before the heat exchanger. The superheated working fluid is then
fed to a multistage axial or radial turbine-generator assembly followed by a
surface condenser. The cooling load of the condenser can be provided by any
method discussed in Chapter 8. The condensed working fluid is pumped
back to the heat exchanger by a feed-fluid pump. The design and operation of
all these components are similar to those of conventional steam power plants
only at much lower temperatures and pressures. Their construction materi-
als should be compatible with the working fluid.
As noted, these power units operate on a completely closed cycle, which
can provide them with several major advantages. Since the hot geother-
mal water is not the working fluid for the power cycle, it can simply pass
through the heat exchanger and then directly reinjected to the reservoir by
a pump without coming to contact with the environment or releasing any
noncondensable gases. This minimizes any possible negative environmen-
tal impact of the water extraction process and eliminates a need for a water
treatment facility. This also protects all components of the cycle, except the
heat exchanger, from the corrosive nature of the geothermal water. This is
why binary cycles are most suitable for geothermal reservoirs with a very
high concentration of impurities. The closed cycle operation of the unit also
provides an opportunity to pressurize the working fluid, either at subcritical
or supercritical pressures, for the optimal thermodynamic operation of the
system. Another advantage of this cycle is that units can be built in a modu-
lar form. Moreover, there are currently attempts to combine dry steam and
flash-type geothermal power generation units with binary cycles to further
improve the overall efficiency and power output of the system by using the
output of the turbine and the liquid product of the flash tank as the sources
of thermal energy for the binary cycle.

15.10 Enhanced Geothermal Systems

We discussed that if we dig deep enough (typically 3–10 km), we can reach
a ground temperature of above 130°C in almost every location and above
250°C in many locations. However, even if the technological challenges and
cost of drilling to such a depth is addressed, these resources may not be
readily available in most sites for two reasons. First, the required water to
absorb geothermal energy and transfer it to the surface may not be naturally
available. Second, the natural interconnected rock porosity to create needed
permeability may not be in place. A way to exploit these resources is to use
Geothermal Energy 1057

enhanced or engineered geothermal systems (EGSs). Among various types

of geothermal reservoirs, these resources are largest and most dominant
type with availability almost all over the world. The most readily available
sources are those that have temperature of 150°C–290°C reachable at moder-
ate depth.
Since the ground in these resources are typically impermeable, first rocks
should be hydraulically stimulated to become permeable before water can
pass through them. Depending on the conditions of rocks, either the hydrau-
lic shearing (hydro-shearing) or hydraulic fracturing (hydro-fracturing or
simply fracking) processes can be used to enhance their porosity and perme-
ability. The hydraulic shearing is used when the rock formation has sufficient
existing permeability, and no new fracture is needed. This process only acti-
vates preexisting fractures. When the rocks are impermeable, the hydraulic
fracturing process is used to induce new fractures. Both methods are based
on a similar physical phenomenon to create pathways within rock forma-
tions so water can flow and absorb their thermal energy.
The first step in applying these techniques is to drill a well in the site.
Then, the fracturing fluid, typically water, is pumped to the rock forma-
tion where the potential geothermal reservoir exists. The fluid pressure
should be high enough either to create fractures in the rocks (in hydraulic
fracturing) or to force the rocks to slip along the existing discontinuities in
their structure (in hydraulic shearing). However, one cannot simply inject
the high-pressure water flow to the entire wellbore. This not only increases
the cost of the process, but also can induce factures on portions of the well
where permeability is undesirable. For example, if fractures are formed in
the sections of the well where no geothermal energy exists, it can lead to
loss of water or dilution of hot water with cold water flows. So, the stimu-
lation process should be targeted on a specific and predetermined region.
For this to occur, the targets should be first determined. There are several
physical and optical methods for this purpose.23 When the segment of the
borehole is identified, several techniques can be used to target the fractur-
ing process to that specific region. In one technique, some devices, known
as packers, are placed right below and above the region. By inflating or pres-
surizing the packers, the target area can be isolated. Another method is to
cover the borehole with a solid casing except the target area that is covered
with perforated casing, which only allows that region to be exposed to the
high-pressure fluid.
An important consideration during the process is to ensure that the
pathways created by the induced fractures stay open after the pressure is
removed after the completion of the fracking process. In some cases, loose

These methods are out of the scope of this text. But one can find more information about these
23

methods in Chapter 13 of the following book: Glassley, W.E. Geothermal Energy: Renewable
Energy and the Environment. Boca Raton, FL: CRC Press (2014).
1058 Power Plant Engineering

rock fragments formed during the process keep the new fractures open but
commonly sand, ceramic spherules, or other materials, known as a proppant
(propping agents), with a specific size (in the order of 1 mm) and hardness are
mixed with the fracturing fluid for the purpose.
The required volume of the stimulated region depends on the size of
the desired power output and the rock temperature. Considering the typi-
cally low conduction coefficient of rocks, a stimulated zone should be large
enough, typically in the order of several km3, to provide a sufficiently large
heat-transfer surface area. Also, the volume should be large enough that it
can provide sufficient geothermal energy for the intended life of the system,
typically 20–30 years. Such a large area cannot be stimulated by a single well
and several wells should be drilled in appropriate distances. The layout of
the wells should be selected very carefully. The wells should be spaced in
a way that their stimulated zones are interconnected while they can cover
maximum volume of the geothermal field. When the entire volume is stimu-
lated and the geothermal field is ready, one or more of the wells are used to
inject water (or less commonly brine or seawater) into the field (hence the
name the injection wells). The water flow passes through pathways within
the rocks and is heated by heat transfer from them. The hot water is then
collected at one or more wells, known as the production wells, and pumped
to the surface. The power production units can be a flash steam power plant
or an ORC exactly similar to those of liquid-dominated geothermal reser-
voirs. In order to avoid over-exhaustion of the field and to sustain its thermal
energy for the entire life of the system, the injected water flow rate should
be controlled to minimize the rock temperature reduction while providing
enough thermal energy at the highest possible temperature for the electric-
ity generation unit.
The concept of enhanced geothermal systems (then was called hot dry
rocks, HDR) was first introduced in the 1970s. While several pioneering
EGS projects were attempted, they were not seriously considered until the
1990s when the fracking technologies were perfected for the oil and gas
industry. The geothermal industry has been taking advantage of many
advancements in the technologies developed for the oil and gas industry.
The two industries share most equipment and techniques. However, the
conditions for EGSs are much more challenging than those for oil and gas
projects. For example, wells are deeper, the rock temperature is higher, and
rocks are harder in geothermal projects. Due to their high costs, there are
currently just a handful of commercial/pilot EGSs operating worldwide.
Much more research and development are needed before their commercial
widespread use can become a reality. However, if and when this happens,
considering their availability almost everywhere on the planet it can be a
game changer. EGSs are very important for the continuation of the growth
in the geothermal industry, especially since many of sites with readily
available geothermal energy have already been developed or are being
developed.
Geothermal Energy 1059

15.11 Other Ideas and Concepts for Geothermal Energy

So far we covered the methods that are either currently being commercially
used or seriously being investigated. There have been many other ideas and
concepts that have been introduced to use geothermal energy. Some of these
ideas have been completely abandoned and some are still being considered
at least on the paper. One of the more feasible ideas is to integrate geothermal
energy into a conventional fossil fuel steam power plant. Two approaches can
be used for this purpose. One approach, referred to as geothermal-preheat
hybrid plants, is to use geothermal fluid (water or steam) to heat feedwater in
feedwater heaters of a conventional steam power plant to reduce the steam
bleeding from the turbine for the preheating of feedwater. Depending on
the temperature of the geothermal fluid, it can be used for high-pressure
feedwater heaters after the deaerator and/or low-pressure feedwater heat-
ers before the deaerator. Another approach, referred to as geothermal-fossil
superheated hybrid plants, is to take steam coming either directly from the
reservoir (in vapor-dominated reservoirs) or from the flash tank (in liquid-
dominated reservoirs) and superheat it in a fossil fuel-fired superheater
before sending it to the turbine.
There are also several proposals to integrate geothermal energy plants
with oil and gas production facilities. They include a variety of systems to
coproduce oil and gas along with geothermal energy as well as using already
existing exhausted oil and gas wells for geothermal applications. The latter
could be particularly intriguing considering millions of abandoned wells all
over the world including some deep ones. There have been also some sugges-
tions to integrate geothermal units with CO2 sequestration facilities.
Geopressured (geopressurized) resources are brines with very high dissolved
solids trapped very deep underground (3–9 km) below Earth’s surface at the
temperature of 150°C–200°C. Due to chemical processes during decomposi-
tion of organic matters at a confined space, their pressure is extremely high,
up to 1000 bar, and they are saturated with methane (the main component of
natural gas). There are vast geopressured resources in the Gulf of Mexico and
its northwestern coasts. While these resources are not currently commercially
being used and are in the research and development stage, they have a great
potential because of their temperature, pressure, and stored natural gas.
There are some ideas that are not being pursued now due to their technical
and/or environmental challenges. One of these ideas was called total-flow
geothermal systems where geothermal hot water was directly fed to a spe-
cially designed turbine. Such a turbine that can tolerate extremely corrosive
two-phase flow has never been developed and there is serious doubt that it
can ever be developed.
In the early 1970s, a bizarre idea was introduced to use a nuclear explosion
to create fractures in rock formations. The idea was a part of an overall proj-
ect called the Project Plowshare to use nuclear explosions for nonmilitary
1060 Power Plant Engineering

applications. There was even a more strange idea of creating an artificial geo-
thermal reservoir as a thermal energy storage system by an underground
nuclear explosion in deep salt formations to create molten salt. Fortunately,
none of these ideas was materialized due to environmental concerns, though
many nuclear explosions were experimented for other applications such as
large excavation projects.

15.12 Environmental Impacts
One of the major concerns both in terms of the geothermal plants’ long-term
operations and their environmental impacts is the management of reinjected
water. It was noted in earlier that over 80% of the extracted dry geother-
mal steam can be consumed primarily in the cooling tower (due to evapora-
tion and drift) and also in the steam-jet ejector. Only about 20% of the total
extracted flow may be reinjected back to the reservoir (a similar pattern can
be observed for most other technologies). No reservoir can sustain such a
large rate of net steam or hot water extraction in long-term. Eventually the
water storage within the reservoir will be depleted and the reservoir’s pres-
sure will drop. Note that a useful life of a geothermal reservoir can span for
many decades so it may take a few decades to observe this pressure drop.
The reservoir pressure reduction can also affect local hot springs and gey-
sers, which can negatively affect the local tourism industry and create public
resistance against geothermal installations. Furthermore, the reduced res-
ervoir pressure can cause geothermally induced land surface subsidence,
particularly in liquid-dominated reservoirs. The Geyser geothermal com-
plex is a perfect example in this regard. Throughout the first two decades
of its operation, The Geyser geothermal field was relentlessly exploited
with no regards to the magnitude of the net steam production (the differ-
ence between steam extraction and water reinjection) as it was customary
in many plants at the time. The situations in The Geysers were particularly
dire since several i ndependent companies operated the power plants without
much coordination. By the late 1980s, this led to a severe steam pressure drop
of the reservoir, which threatened the operation of the complex. To address
the problem, through a well-coordinated project known as the Southeast
Geysers Effluent Pipeline (SEGEP), treated wastewater from nearby commu-
nities were transferred to the field via a 65 km pipeline and was continuously
injected to the field. After the implementation of the project between 1995
and 1997, the steam pressure was recovered relatively fast. Nowadays the
field has 322 production wells and 54 injection wells24 where about 35 million

https://geysers.com/The-Geysers/Geysers-By-The-Numbers.
24
Geothermal Energy 1061

liters of wastewater25 is annually injected to the reservoir instead of being

released to the environment. This solution has another positive impact that
will be discussed next. This is an example of how a technical and environ-
mental problem is addressed by a creative solution.
As noted earlier, geothermal water and steam are originated from typically
ancient water entrapped underground and interacted with rock formations
for a very long time. As a result, geothermal fluids contain extremely high
concentrations of noncondensable gases and dissolved solids. A great major-
ity of noncondensable gases is carbon dioxide with lower concentrations of
methane (CH4), hydrogen, nitrogen, ammonia (NH3), sulfur dioxide (SO2),
radon, and hydrogen sulfide (H2S). The latter has been specially publicized
due to its rotten-egg-like smell and to lesser extent ammonia due to it toxic
and noxious effects. While dissolved solids are typically reinjected to the res-
ervoir, noncondensable gases are released in the condenser and must be dealt
with. We previously discussed how hydrogen sulfide is removed and a com-
mercial byproduct is produced from it. Other gases are typically released
to the environment. While a substantial amount of CO2 is released to the
environment, in most cases it is a fraction of CO2 emission by conventional
fossil fuel power plants. Radon emission is also troublesome since it is known
that it causes lung cancer. One of the unintended positive effects of using
wastewater to recharge The Geysers field has been substantial improvement
in the quality of extracted steam, which has reduced both the environment
effects of the operation and equipment maintenance requirements. It has also
improved the effectiveness of the condenser (due to lower amounts of non-
condensable gases) and has increased the output of the turbine while reduc-
ing the steam requirement of the ejector.
While geothermal installations generally have much smaller footprint
compared to most conventional steam power plants and especially other
renewable resources, the well drilling process can cause significant surface
disturbances, including the handling of the drilling fluid and drilling noises.
The operation of the system can also sometimes be noisy. Particular attention
must be paid to avoid contamination of underground aquifers, especially
potable water resources, both during drilling and system operation.
A high-profile geological potential effect of geothermal systems, which has
received intense public scrutiny, is geothermal-induced earthquakes. In some
sites where geothermal projects were implemented a meaningful and some-
times significant spike in small earthquakes have been observed. At least
one project was cancelled in Basel, Switzerland, in the fear of geothermal-
induced earthquakes. The pressure reduction in a reservoir can intensify the
possibility of geothermal-induced earthquakes. This can be particularly wor-
risome in EGSs based on the similar experiences in the oil and gas fracking
industry. While never a major earthquake has been attributed to geothermal

https://geysers.com/water.
25
1062 Power Plant Engineering

activities, it is essential that seismic activities are monitored in the vicinity of

any geothermal installation to observe any unusual increase in the number
and/or magnitude of these activities.
In summary, geothermal systems are extremely complex and involve many
uncertainties. Therefore, in the feasibility study, design, drilling, construc-
tion, and operation of these facilities a holistic approach must be exercised to
minimize their potential negative impacts.

15.13 Questions and Problems

15.13.1 Introduction
15.1. What is the unique advantage for geothermal-based energy
systems that other renewable energy systems may find hard to
compete?
15.2. Geothermal energy in general is practically exhaustible in human
time scale.
a. True
b. False
15.3. Why can geothermal power plants be used as baseload power gen-
eration units?
15.4. Geothermal power plants can be used as …… units.
a. baseload power generation
b. peak-load power generation
c. both baseload and peak-load power generation
15.5. The geothermal energy density on the Earth’s surface is ……..
compared to the average solar energy density.
a. small
b. large
c. similar
15.6. Considering the magnitude and distribution of geothermal energy,
it is capable of addressing the world energy problem.
a. True
b. False
15.7. Geothermal energy in a particular site is inexhaustible in the
human time scale.
a. True
b. False
Geothermal Energy 1063

15.8. The density of thermal energy transfer to the surface of Earth is

about 9 × 10−2 W/ m 2. Determine the total thermal energy flow
from the Earth’s interior to its surface. Earth’s diameter is about
12,800 km.
15.9. Explain how Earth was formed.
15.10. What are the origins of geothermal energy?
15.11. Name the inner layers of Earth. What are their relative thicknesses?
What are the dominant heat-transfer mechanisms in each layer?
15.12. Why does the temperature of the Earth’s interior get very high
very close to the Earth’s surface in some locations?

15.13.2 Geothermal Energy Assessments

15.13. What are two major groups of geothermal sources in terms of
their depth? What are their characteristics?
15.14. What are the factors for evaluating the available energy of a
geothermal reservoir?
a. The temperature of the reservoir
b. The volume of the rocks
c. The mass of the rocks
d. The properties of rock formations
e. All of the above
15.15. Write the equation to determine the available geothermal energy
in a specific site. What are the assumptions for the equation?
15.16. How can the end-user type impact the available geothermal
energy in a specific site?

15.13.3 Applications of Geothermal Energy

15.17. What are the applications of geothermal energy?

15.18. How can the end user of geothermal energy impact the suitability
reservoir for an application?
15.19. What are low-temperature thermal energy consumptions in resi-
dential applications?
15.20. What percent of energy consumption in a typical American house
is used for low-temperature applications?
15.21. Explain two approaches for direct geothermal space heating.
15.22. Why are sometimes heat pumps used for geothermal heating
applications?
15.23. Explain how heat pumps work. Compare heat pumps and refrigerators.
1064 Power Plant Engineering

15.24. What is the definition of the coefficient of performance (COP) in

a heat pump? How can it be determined? What factor impacts its
value?
15.25. The COP of a heat pump is a function of the temperature differ-
ence between the inside space and the ambient temperature.
a. True
b. False
15.26. What is the main advantage of ground-source heat pumps over air
source heat pumps?
15.27. How can an underground evaporator benefit a heat pump?
15.28. Ground-source heat pumps can reduce electricity consumption
both in winter and in summer.
a. True
b. False

15.13.4 Characteristics of Geothermal Resources

15.29. What are two types of geothermal reservoirs in terms of the

pressure of water?
15.30. Explain how hydrothermal geothermal reservoirs are formed.
15.31. What are the requirements for an underground formation to form
a hydrothermal geothermal reservoir?
15.32. Describe how hot springs, fumaroles, and geysers are formed.
15.33. Why are cap rocks needed to form a hydrothermal geothermal
reservoir?
15.34. Label various parts of a hydrothermal geothermal reservoir in the
following schematic.
Geothermal Energy 1065

15.35. Explain why some hydrothermal geothermal reservoirs are in

liquid state while others are in vapor state.
15.36. What are two types of hydrothermal geothermal reservoirs?
15.37. Explain enhanced or EGSs and how they are different from hydro-
thermal geothermal reservoirs. Why are they no longer called hot
dry rocks (HDR)?

15.13.5 Exploration for Geothermal Resources

15.38. What are the objectives of exploration for geothermal resources?

15.39. The process of identifying geothermal resources is a straightfor-
ward and linear process.
a. True
b. False
15.40. What are typical surface signs of geothermal fields?
15.41. Where are good places to start exploration for geothermal
resources?
15.42. List some methods for the exploration of geothermal sources.
15.43. What are some physical and geological evidence that may indicate
the presence of a potential geothermal reservoir in a region?
15.44. Explain how seismic analyses can be used to understand the inner
structure of Earth.
15.45. What are two types of seismic waves? What are their characteris-
tics? How are they used in seismic studies?
15.46. Identify which types of seismic waves can pass through solid and
liquid media.
a.
S-waves
b. P-wave
15.47. Why does exploration for geothermal resources need a holistic
approach?

15.13.6 Drilling for Geothermal Resources

15.48. To a large extent the technology and equipment used for the devel-
opment of geothermal fields are similar to those used in the oil
and gas industry.
a. True
b. False
1066 Power Plant Engineering

15.49. Explain each of the following parts of a drilling rig.

• drill bit
• drilling fluid
• drill string
• casings (liners)
• tower
15.50. The power needed to break rocks depends on …….
15.51. What is the confining pressure on a rock formation? How does it
change? How does it impact the power needed for drilling geo-
thermal wells?
15.52. What are the functions of drilling mud? What is it made of? How
is it recycled?
15.53. Explain why the cost of drilling a unit of length of a well is an
exponential function of the well depth.

15.13.7 Geothermal Power Generation Units

15.54. Why are geothermal power plants relatively small in capacity
(typically)? What is their capacity range?
15.55. What is shut-off pressure or the closed-in pressure of a geothermal
well?
15.56. What are three types of power generation units that are currently
being used to generate electricity from geothermal energy?
15.57. What is the working fluid of the power cycle operating based on
vapor-dominated and liquid-dominated geothermal systems?
15.58. What is the main difference between vapor-dominated and liq-
uid-dominated systems?
15.59. What is the typical range of efficiency for vapor-dominated geo-
thermal power plants? Why is this efficiency relatively low?
15.60. What are the similarities and differences between dry steam geo-
thermal power plants and simple steam power plants?
15.61. While steam in a geothermal reservoir is saturated, the inlet flow
to the turbine is superheated steam. Why?
15.62. Which one is more common?
a. Liquid-dominated geothermal reservoirs
b. Vapor-dominated geothermal reservoirs
15.63. Explain how a vapor-dominated geothermal power plant works.
15.64. Describe the operation of liquid-dominated geothermal power
plants.
Geothermal Energy 1067

15.65. In geothermal power plants with a wet cooling tower, explain why
only a small fraction of extracted water or steam can be reinjected
back to the geothermal reservoir.
15.66. In a liquid-dominated geothermal well, how can liquid water be
converted to steam?
15.67. Why is the flashing process within the well undesirable?
15.68. What is the function of a separator before the turbine in a liquid-
dominated geothermal system?
15.69. How are a flash tank and a boiler similar and different?
15.70. Hot water from a geothermal reservoir enters a flash tank at the tem-
perature and pressure of 240°C and 35 bar, respectively. The pres-
sure of the tank is 7 bar. Determine the ratio of mass of the spent
brine to the mass of steam in the tank. Assume the water is pure.
15.71. In the previous problem, determine the ratio of the enthalpy of
steam to the enthalpy of liquid water in the tank and the ratio of the
enthalpy of steam to the enthalpy of inlet hot water from the well.
15.72. Hundred kilograms of saturated liquid geothermal water (assume
the water is pure) at the temperature of 180°C is flashed in a
flash tank at the pressure of 8 bar. Determine the steam to liquid
water mass ratio in the tank. Also, determine the ratio of the total
enthalpy of steam to the total enthalpy of liquid water in the tank.
What percentage of the total energy of the hot inlet water is con-
verted to steam energy, which is sent to the turbine?
15.73. Saturated geothermal liquid water (assume the water is pure) at
the temperature of 180°C is flashed in a flash tank at the pressure
of 8, 6, and 4 bar. For each case, determine the temperature of the
tank, the quality of steam and water mixture in the tank, the steam
to liquid water mass ratio in the tank, the mass of the extracted
hot water to generate 1 kg of steam, the enthalpy of steam sent to
the turbine for 1 kg of the inlet hot water, and the percentage of
the total energy of the hot inlet water that is converted to steam
energy, which is sent to the turbine.
15.74. How can the steam extraction in a flash tank be increased?
15.75. How can double-flash systems improve the performance of liquid-
dominated geothermal power plants?
15.76. Explain why double-flash units can be typically used for geother-
mal reservoirs with relatively high-quality water.
15.77. Explain how binary cycles or Organic Rankine Cycles work. What
are the advantages of these cycles?
15.78. What makes the Kalina Cycle a unique and attractive option for
geothermal plants?
1068 Power Plant Engineering

15.13.8 Enhanced Geothermal Systems

15.79. Explain why dry rocks cannot be used as a source of geothermal
energy in their natural form. What needs to be done to use them
for this purpose?
15.80. What is the essence of enhanced or EGSs?
15.81. What are two methods to hydraulically stimulate hot rocks for
geothermal applications? Where is each method used?
15.82. Explain how the hydraulic shearing and hydraulic fracturing
processes work.
15.83. Why is exposing the entire borehole to the high-pressure water
flow during the hydraulic shearing and hydraulic fracturing pro-
cesses undesirable? How can the high-pressure water flow be tar-
geted only to the region with geothermal potentials? Explain two
different methods.
15.84. What is the function of proppant (propping agents)?
15.85. What are the parameters to determine the size of the stimulated
area in an enhanced or engineered geothermal field?
15.86. Explain why a single injection well and a production well are not
typically sufficient to extract energy from an enhanced or engi-
neered geothermal field.
15.87.
What are the functions of injection and production wells in an
enhanced or engineered geothermal field?
15.88. Why are EGSs very important for the continuation of the growth
in the geothermal industry?

15.13.9 Other Ideas and Concepts for Geothermal Energy

15.89.
Explain two approaches to form a hybrid geothermal and fossil
fuel steam power plant.
15.90. What are geopressured resources? How are they formed? List
their energy forms. What are challenges to exploit them?
15.91.
What was the Project Plowshare? What were the geothermal
energy related parts of the project? Explain why they were never
implemented.
15.92. Explain some of the environmental impacts of geothermal energy
resources. How can some of them be addressed?
15.93.
How was the problem of steam pressure drop addressed in The
Geyser geothermal field? What were the positive side impacts of
the solution?
15.94. Explain the problem of geothermal-induced earthquakes.
Geothermal Energy 1069

15.13.10 General
15.95. Can geothermal power plants operate for peak-load power genera-
tion? Why?
15.96. How are seismic waves created?
15.97. Geothermal power plants have a small carbon footprint even
when their construction is taken into account.
a. True
b. False
15.98. Describe the formation and geological structure of a typical
geothermal field.
15.99. Where is the oldest geothermal power plant in the world located?
15.100. What are the similarities and differences between the following
two types of hydrothermal geothermal systems?
• Vapor-dominated systems
• Liquid-dominated systems
15.101. Geothermal fields are installations with many boreholes.
a. True
b. False
15.102. Most high-profile geothermal fields are ……...
a. vapor-dominated
b. liquid-dominated
c. binary systems
15.103. Explain how a flash tank works.
15.104. The nature of the Earth’s center is relatively unknown. Why?
a. True
b. False
15.105. What is the depth of the deepest well on Earth?
15.106. Where is the oldest geothermal power plant in the U.S. located?
15.107. The complexity of geothermal systems requires a holistic
approach for their exploration before a geothermal power plant
can be built?
a. True
b. False
15.108. Which one has a higher efficiency: geothermal power plants or
conventional fossil fuel power plants? Why?
15.109.
What type of geothermal energy systems are largest source of
geothermal energy of any kind?
1070 Power Plant Engineering

15.110. How have scientists been able to study the nature of the Earth’s
inner space?
15.111. What is the purpose the fracturing process in EGSs?
a. Widens the existing fractures
b. Connect them
c. Creates new ones
d. All of the above
15.112. Scientists have been able to study the nature of Earth’s inner space
using the science of seismology.
a. True
b. False
15.113. Why geothermal power plants have steam pipes with larger
diameters compared to those in conventional fossil fuel power
plants?
15.114. What are hydrothermal geothermal systems?
15.115. What is the most important mechanism for the origin of geother-
mal energy?
15.116. The United States continues to lead the world in geothermal elec-
tricity production.
a. True
b. False
15.117. What are enhanced (engineered) geothermal systems (EGS)?
15.118. Geothermal energy is renewable because the Earth’s interior will
continue to cool and provide the source of energy.
a. True
b. False
15.119. What are the two types of seismic waves?
15.120. Which statement is not correct?
a. A major advantage of geothermal energy systems is that they
do not need any substantial new technology development.
b. power plants share most components with conventional steam
power plants.
c. Geothermal power plants have negative environmental
impacts comparable to those of fossil fuel power stations.
d. Geothermal energy systems can be used not only to generate
electricity but also can provide heating for residential, com-
mercial, and industrial applications.
Geothermal Energy 1071

15.121. Explain how geothermal-fossil fuel superheated hybrid plants and

geothermal-preheat hybrid plants work.
15.122. List two mechanisms for the origin of geothermal energy. Explain
them.
15.123. The current well depth record is the Kola research borehole at
12.262 km in Russia.
a. True
b. False
15.124. List pros and cons for geothermal power plants.
15.125. Organic Rankine Cycles (ORC) have corrosion problem only in the
heat exchanger and well casing. Why?
a. True
b. False
15.126. Geothermal power plants have …. capacity factors. Why?
a. relatively high
b. relatively Low
c. zero
d. 100%
15.127.
Energy released by the decay of natural radioactive isotopes (ura-
nium, thorium, and potassium) is the most important source of
geothermal energy.
a. True
b. False
15.128. Briefly explain the principles of enhanced (engineered) geother-
mal systems.
15.129. Geothermal power plants use relatively similar technology to con-
ventional steam power plants.
a. True
b. False
15.130. What is the difference between Organic Rankine Cycles (ORC)
and binary power plants?
15.131. The cost of drilling a unit of length of a well is an exponential
function of the well depth.
a. True
b. False
15.132.
Why geothermal power plants have larger cooling towers com-
pared to those of conventional fossil fuel power plants?
1072 Power Plant Engineering

15.133. In liquid-dominated geothermal systems, water can flow …… out

of wells.
a. naturally
b. by pump
c. both a and b
d. neither a nor b
15.134. In the following schematic, name various layers of Earth.

1 5.135. Which types of seismic waves can pass through solid media?
a. S-waves
b. P-wave
15.136. Hot water from a geothermal reservoir enters a flash tank at the
temperature and pressure of 200°C and 30 bar, respectively.
The pressure of the tank is 5 bar. Determine the ratio of mass
of the spent brine to the mass of steam in the tank.
15.137. In the previous problem, determine the ratio of the enthalpy of
steam to the enthalpy of liquid water in the tank and the ratio of
the enthalpy of generated steam to the enthalpy of the inlet hot
water from the well.
15.138. Considering the magnitude and distribution of geothermal
energy, it is not capable of single handedly addressing world
energy problems, but it can make a significant contribution in
many locales.
a. True
b. False
15.139.
Why geothermal power plants have larger turbine, condenser,
etc., compared to those of conventional fossil fuel power plants?
Geothermal Energy 1073

15.140. W hile broadly speaking geothermal energy is inexhaustible in

the human time scale in a particular site this may not be the
case.
a. True
b. False
15.141. Which types of seismic waves can pass through liquid media?
a. S-waves
b. P-wave
15.142. In principle, geothermal energy is available everywhere and not
just in active volcanic areas.
a. True
b. False
15.143.
What type of hydrothermal geothermal plants are The Geysers
and Larderello in Italy?
16
Energy Storage Systems

Abstract
Energy storage systems are a desirable addition for a conventional fos-
sil fuel-based electricity generation infrastructure and an essential one
for future renewable energy-based infrastructure. There are a wide
variety of technologies to store energy depending on the form of energy
that is being stored. In this chapter, the most important and promising
technologies will be discussed. We will start the chapter with a discus-
sion on why energy storage matters in the context of the current fossil
fuel dominant electricity generation industry and the future renewable
energy dominant industry. We will then introduce several parameters to
characterize various energy storage technologies. The rest of the chapter
is dedicated to explanations of different energy storage technologies. In
each case, the operational principles of the technology and its advantages
and disadvantages will be explained and in most cases, simple calcu-
lations will be presented. First, energy storage via raising mass and in
pumped hydroelectric plants will be covered. Then, we will learn about
compressed air energy storage systems. Next, flywheel energy storage
systems will be explained. Battery storage systems, including lead-acid
and lithium-ion batteries, as one of the most promising technologies, will
be discussed next. Finally, supercapacitors and superconducting coils as
direct electricity storage systems will be covered followed by a brief dis-
cussion on thermal energy storage systems.

LEARNING OUTCOMES
After successful completion of this chapter, you will be able to:

• explain the importance of energy storage in current fossil fuel-

dominant electricity generation infrastructure and future renewable
energy-dominant infrastructure
• characterize energy storage technologies
• explain gravitational energy storage systems in the form of raising
mass and in pumped hydroelectric plants, and conduct simple rel-
evant calculations

1075
1076 Power Plant Engineering

• explain flywheel energy storage systems, and conduct simple rel-

evant calculations
• describe battery storage systems, including lead-acid and lithium-
ion batteries, and conduct simple relevant calculations
• explain the principles of supercapacitors and superconducting coils
as direct electricity storage systems
• describe thermal energy storage systems

16.1 Introduction
Like every other commodity, electricity should be available whenever and
wherever it is needed by consumers. In Chapter 1, we discussed how the
electrical grids, including high-voltage transmission lines and local distribu-
tion lines, are used to fill the spatial gap between electricity generation units
and consumers. They have allowed us to locate power plants far away from
consumption centers. However, we learned that electricity is probably the
only product that cannot be readily and economically stored. Without energy
storage systems, electricity must be produced at the moment of demand.
So the ultimate objective of energy storage systems is the temporal move-
ment of electrical energy. We also learned that electrical demand varies both
regularly, such as predictable hourly, daily, and sessional variations, and
irregularly (unpredictable variations). So the electricity generation industry
must be able to collectively generate enough electricity to meet this varying
demand all the time; otherwise, there will be a blackout or brownout.
Since the early days of widespread electrification, electricity storage systems
have always been a desirable feature for the electricity generation infrastruc-
ture but not a necessity (after all humanity has enjoyed electricity for many
decades without much (if any) meaningful electricity storage). But as will be
elaborated in the next section, it is hard to envision a future renewable-based
electrical infrastructure without large-scale energy storage systems.

16.1.1 Energy Storage: Fossil Fuel-Based versus Renewable

Energy-Based Electrical Infrastructure
Before discussing the function of energy storage systems in a fossil fuel-
based electrical infrastructure, we should keep in mind that fossil fuels are
created from solar energy that millions of years ago was stored in ancient
plants and other living organisms. Over the course of a long time, perhaps
hundreds of millions of years, the remains of these organisms have evolved
to chemical energy that we now use as fossil fuels. So in order for a fossil fuel-
based electrical infrastructure to operate, we do not necessarily need energy
Energy Storage Systems 1077

storage systems since fossil fuels are energy storage media. Therefore, what
we need are energy conversion systems that can convert chemical energy in
fossil fuels to electricity in a sufficient quantity at the appropriate time. A
fossil fuel-based electrical infrastructure only needs to have two attributes to
function. First, its electricity generation capacity should be sufficiently large
to meet the maximum demand (plus some extra capacity to cover planned
and unplanned power plant outages). Second, it should have a proper mix-
ture of baseload and peak-load power plants, where the former generate
the minimum electricity requirements and the latter can rapidly follow the
load to cover the difference between the baseload and the demand. So with
an appropriate design and operating strategy, the entire infrastructure can
operate perfectly with no storage facility. In fact, if peak-load power genera-
tion units were as efficient and inexpensive (in terms of the cost of a unit of
the generated electricity, and not just capital cost) as baseload power plants,
energy storage units would have been undesirable. This is because, as we
will see later, the round trip efficiency of energy storage systems is always
less than unity (for some systems significantly less). This means by storing
energy and using it at a later time, we lose some portion of the energy. For
everything else equal, it makes more sense to generate electricity in real-
time rather than storing it. Of course, we know that the cost of a unit of
electricity is much lower in baseload power plants than that of peak-load
power stations.
In a real fossil fuel-based electrical infrastructure, while energy storage is
not necessary, it can be desirable with two objectives. The excess inexpensive
electricity that is generated during off-peak periods (typically at night) can be
stored in an energy storage system and then can be recovered at peak peri-
ods. This plan only makes sense when the cost of the energy storage system
and losses due to the round trip efficiency of energy storage are more than
offset by the difference between peak and off-peak electricity costs. Another
objective of energy storage systems is to reduce the overall required power
generation capacity. In this strategy, instead of building a new power plant
or using old inefficient plants, an energy storage facility is used to meet the
peak demand. So the basic idea is to operate existing power plants for a lon-
ger period of time (at a higher capacity factor) rather than installing new
power plants. Of course, this is only meaningful if the cost of building and
operating an energy storage system is less than that of a new power genera-
tion unit. This is called peak shaving. Generally, peak shaving is any action
or strategy that reduces the peak load (maximum demand). Peakshaving can
be in the form of a reduction in the consumption during peak period, for
example, by turning off some lights or adjusting the temperature setting for
air-conditioning systems. Alternatively, it can be achieved by moving some
electricity uses to off-peak periods without reducing the overall energy con-
sumption, for example, by doing laundry during off-peak periods.
In a renewable energy-based electrical infrastructure, while demand varia-
tion (and its associated uncertainties) are still present, there is a new layer of
1078 Power Plant Engineering

variations and even greater uncertainties with electricity generation. Unlike

fossil fuel power plants, in which the source of energy (i.e., fossil fuels) is
available on demand, in renewable energy systems, with a few notable excep-
tions such as geothermal and biomass-fueled units, the source of energy
is intermittent. This includes predictable and unpredictable variations.
Electricity can only be generated if and when renewable energy sources are
available. Generally, the availability of renewable energy sources and their
intensity do not necessarily match the variations in the demand. The prob-
lem with the intermittent nature of renewable energy sources may not be
tangible when their contributions to the total electricity generation are small.
But with an increase in their share, the problem becomes evident. California
is a perfect example in this regard. According to the Solar Energy Industries
Association (SEIA), California has the largest solar photovoltaic installations
in the U.S., with about 28,000 MW installed capacity, partly thanks to 40%
cost reduction of PV units in the past five years.1 In 2019, with over 1,100,000
installations, over 20% of electricity in the state was generated by these PV
units. As discussed in Chapter 11, these units start to generate electricity in
morning. Their power production increases until midday and then declines
until they cease to produce electricity after sunset. While they significantly
contribute to the summer midday peak period, they cannot generate electric-
ity during the evening and early night peak periods. This problem is some-
times referred to as the so-called duck curve problem (the term is typically
used in the industry2). This curve refers to a graph very similar to the load
profile but instead of showing the total electricity demand, it shows the dif-
ference between the total demand and the electricity generation by renew-
able energy sources. In Figure 16.1, the dashed curve is the total demand,
the dotted curve is the electricity generation by renewable sources (in this
case primarily from solar PV units), and the solid curve is the duck curve
(total demand minus power from renewable resources), which supposedly
looks like the back of a duck! This curve actually shows the amount of elec-
tricity that needs to be generated by nonrenewable resources. This curve
illustrates that PV units have been able to successfully eliminate the midday
peak in California and reduce dependency on fossil fuel power generation
during the day. However, the early morning peak and especially the late eve-
ning peak are intact, except for a small reduction due to wind, geothermal,
and biomass-fueled units. While solar energy has been able to significantly
reduce the overall fossil fuel consumption for electricity generation, it has
almost no impact on the peak-load power generation. This means conven-
tional fossil fuel power plants cannot be retired, and if they are retired, some
replacement should be installed to cover peak demands. Power plants just
operate for a shorter period of time (with lower capacity factors).

1 https://www.seia.org/state-solar-policy/california-solar.
2 The term is reportedly first used by the California Independent System Operator (California
ISO or CAISO).
Energy Storage Systems 1079

Difference between Total demand

total demand and power
from renewables
Power

Electricity from
renewables

0 12 24
Hour of day

FIGURE 16.1
A duck curve.

This new dynamic can create major disturbance and financial problems
for conventional power plants, particularly baseload power plants, including
geothermal ones. This phenomenon began in California in 2013 when solar
energy systems started to make a meaningful impact in the total electricity
generation in the state, which has worsened every year since then. This prob-
lem is certainly going to become more intense with increased popularity
of PV units as it is expected that about 15,000 MW more PV units is to be
installed over the next 5 years.
A different problem but with a very similar nature is due to the unpre-
dictability of renewable energy resources, for example, on cloudy days. A
dramatic manifestation of this problem was materialized in the solar eclipse
of August 21, 2017. California lost up to 6 GW of power at its peak and took
several months of planning and collaboration of 17 western states to “survive
solar eclipse unscathed”, as described by a local news agency.3
While diversifying renewable energy sources can lessen this problem, the
future society fully (or at least mostly) powered by renewable energy sources
cannot be reached unless energy can be somehow stored. This is why the
development of energy storage technologies is so important in shaping the
future of the electricity generation industry.
Another reason that certain energy storage systems are critical for the
future of the energy industry is their utilization in transportation applica-
tions. In Chapter 1, we learned that the transportation systems are one of the
major energy consumers. These systems need to carry the energy required
for their operation. The sustainable future of these systems depends on the
development of affordable energy storage systems and/or renewable envi-
ronmentally friendly fuels. While these systems are not the focus of this text,

3 htt ps://www.sfgate.com/busi ness/article/California-power-grid-sur vives-solar-

eclipse-11948034.php.
1080 Power Plant Engineering

some energy storage systems that have the potential to be used in transporta-
tion applications will be covered in the coming sections.

16.2 Characterization of Energy Storage Technologies

As we will see in the coming sections, energy storage systems operate based
on a wide variety of technologies and physical principles. So it is not surpris-
ing that there are many ways to characterize them. In this section, some of
these categorizations will be discussed, which will help us to evaluate and
compare various technologies.
The principle idea of energy storage systems is to store energy when energy
production (e.g., electricity generation) or available energy (such as solar ther-
mal energy) either is or can be more than the demand. For example, when
electricity generated from PV units or wind turbines is more than the demand
or when some capacity of a combined cycle power plant is unused due to the
lack of demand, there is a potential for these systems to generate electricity in
excess of the demand. The stored energy can be then used when the demand
is more than the generation. Therefore, when characterizing energy storage
systems, the efficiency, economy, and reliability of the energy storage process,
the energy recovery process, and the entire process should be considered.
One of the most important parameters to evaluate an energy storage sys-
tem is its efficiency or more accurately its round trip efficiency, also known
as turnaround efficiency or overall efficiency. As the name implies, this is
the ratio of the recovered energy (energy output) to the energy input in an
energy storage system. While the definition seems simple and straightfor-
ward, there are some complexities that need to be clarified when determin-
ing this efficiency. One such factor is how the system boundary is defined
and what components are included in the system when the efficiency is deter-
mined. For example, some electrical energy storage systems can only store DC
power, such as batteries. The inclusion of the AC-to-DC and DC-to-AC invert-
ers can have a significant impact on the value of the round trip efficiency.
Another important factor in determining this efficiency is the duration of the
energy storage. For example, while the short-term thermal energy storage can
be quite efficient, long-term thermal energy storage can reduce the round trip
efficiency due to thermal losses (even in well-insulated systems). While these
issues are present for all energy storage technologies, their intensity strongly
depends on each individual system. This leads us to another attribute of
energy storage systems, the timescale they can effectively store energy.
Speaking of time, there are other factors while time-related; they have
a totally different nature than the timescale as discussed above. As noted
above, an energy storage system must be charged when excess energy is
available and discharged when there is a need for energy. Since both the
Energy Storage Systems 1081

charge time and discharge time are typically in the same order, only the
discharge time is used as their representative. This time is characterized by
a parameter known as self-discharge time (SDT). This is the time takes for
a fully charged device to release its energy up to a certain minimum energy
level. We will see in the coming sections that most of the energy storage
systems, for a variety of economic and/or technical reasons, either cannot
be fully discharged or are undesirable to do so. The percentage of the total
stored energy that can be typically discharged is referred to as the depth of
discharge (DOD). If DOD of an energy storage device is 75%, it means that
from its fully charged state, the device can only release 75% of the stored
energy and the remaining 25% cannot be recovered. Note that this does not
mean that the remaining energy is wasted because when recharging the
device, one needs to provide sufficient energy to charge it from 25% to 100%.
So a low DOD does not negatively impact the round trip efficiency. However,
a low DOD reduces the energy density and specific energy of the device (will
be covered next). It should also be noted that the SDT and DOD are not neces-
sarily linearly related.
In terms of the time required to store and deliver energy, energy storage
devices can be divided into three groups: very short, short, and long stor-
age periods, which may refer to a fraction of a second, seconds to minutes, and
hours to days, respectively. The discussion about each of these groups leads
up to the various applications of energy storage systems. The first application
of energy storage systems is to maintain the quality of electrical power. We
know that ideally the voltage (and current) of electrical power as a function of
time should be sinusoidal with a predetermined magnitude and frequency.
The quality of electricity refers to how close the actual maximum voltage, fre-
quency, and waveform of the power are to those of the ideal case. Some systems
are sensitive to the quality of electricity, and low-quality power can negatively
impact their performance or even physically damage them. For this reason,
some consumers have specifically designed systems to condition the input
power from the grid. To compensate for any instantaneous anomaly, electric-
ity storage systems with very quick response time are needed. These systems
are equipped with power-monitoring systems to detect any problem and react
to rectify it in a split second by storing or discharging some electricity.
The second application of energy storage devices with a short discharge
time is to provide power when switching from one electricity source to
another. For instance, imagine a hospital that is equipped with a diesel gen-
erator as a backup power generator. If for whatever reason electricity from
the grid is discontinued, for example, during a blackout, it will take a few
seconds for the generator to start and speed up to the nominal rotational
speed. During these few seconds, an energy storage system is needed to
avoid discontinuity in the flow of electricity; otherwise, critical equipment
in the hospital will shut down. The last group of energy storage systems is
those that can take from a few hours to few days to discharge their stored
energy. Many energy storage systems of interest in this text are of this type.
1082 Power Plant Engineering

Other important parameters to characterize energy storage systems are

their specific energy and energy density. The specific energy or energy-to-
mass ratio of an energy storage system is the amount of energy that can be
stored per unit of mass of the system (with the unit of kWh/kg or MJ/kg).
The energy density or energy-to-volume ratio of an energy storage system
is defined as the amount of energy that can be stored per unit of volume of
the system (with the unit of kWh/m3 or MJ/m3). Similarly, the specific cost is
the cost of an energy storage system to store the unit of energy (with the unit
of $/kWh or $/MJ). The combination of these factors for a specific application
determines the energy storage capacity (with the unit of kWh or MJ) achiev-
able for the given conditions. The required capacity depends on a specific
application, from a couple of tens of kWh for automotive applications to a few
kWh to many tens of kWh for distributed storage applications, to several mil-
lions of kWh for utility-size storage applications. In the same way, the specific
power (or power-to-mass ratio) with the unit of W/kg and the power density
(or power-to-volume ratio) with the unit of W/m3 can be defined. These two
parameters depend not only on the energy stored in the system and its mass
or volume but also on how quickly this energy can be discharged.
A critically important factor is the system longevity, which is typically
expressed by the number of consecutive charge and discharge cycles before the
system performance is significantly deteriorated. This parameter for some tech-
nologies is a strong function of the DOD. This life cycle for various energy stor-
age technologies can be from a few hundreds to a few hundreds of thousands.
Finally, in terms of physical principles used to store energy, energy storage
systems can be generally divided into three groups: e lectrical, mechanical,
and thermal energy storage systems. They can directly store electricity in
batteries, supercapacitors, or superconducting coils. Alternatively, they
store energy in the form of kinetic energy (such as flywheels), gravitational
potential energy (such as hydro power or elevated mass), high-pressure air,
or spring potential energy. They can also store energy in the form of ther-
mal energy. Sometimes nonthermal energy storage systems are collectively
referred to as electrical–mechanical energy storage systems. In the remain-
der of this chapter, various energy storage technologies will be discussed.

16.3 Gravitational Energy Storage Systems

16.3.1 Energy Storage by Raising Mass
Probably the simplest way to store energy that one can come up with is to use
the available energy to raise an object to a higher elevation. Then, whenever
the energy is needed, the object can be brought to the original elevation
and the stored energy can be recovered. An example of these systems is old
Energy Storage Systems 1083

antique gravity-powered clocks, also known as weight-driven clocks. The

stored energy can be determined by the following equation:

PE = mgh (16.1)

where PE is the stored potential energy (J), m is the mass of the object (kg), g is
m
the gravitational constant  2  , and h is the height that the object is raised (m).
s 
While simple, this approach may not be able to have a significant contribution
to the large-scale energy storage due to their low energy density. Energy storage
in springs also faces a similar problem. Because of this problem, these systems
have been only used in very small applications, such as clocks and watches,
sensors and instruments, and toys. The following example may provide some
insight into the problem. However, recently there have been some innovative
proposals for these systems.

Example 16.1
An object with a mass of 1500 kg is raised to the height of 100 m.
Determine how much energy is stored in the object in the form of gravi-
tational potential energy. Determine for how long that energy can power
an average American household.
Analysis
The gravitational potential energy can be simply determined by
Equation 16.1.

PE = mgh = 1500 × 9.81 × 100 = 1, 471, 500 J = 0.409 kWh

In 2018, an average American household consumed 10,972 kWh/year4 of

electricity.

kWh
Average U.S. home electricity consumption = 10, 972
year

10, 972 kWh kWh

= = 0.0209
min year min
( 365 × 24 × 60)
year

Time the potential energy can power an average American household

0.409 kWh
= = 19.6 min
kWh
0.0209
min
4 https://www.eia.gov/tools/faqs/faq.php?id=97&t=3#:~:text=In%202018%2C%20the%20
average%20annual,about%20914%20kWh%20per%20month.
1084 Power Plant Engineering

Just to help you to visualize what we are talking about in this example,
1500 kg is approximately the mass of a midsize car and 100 m is a little
taller than the Statue of Liberty. So if you raise your midsize car to the
height of the Statue of Liberty, you can store sufficient energy to power
your house for about 20 minutes or run your 1000-W iron for 24 minutes.
To store sufficient energy to fully power an average house in the U.S., one
needs to raise about 2.5 Boeing 737-MAX (with a mass of about 45,000 kg)
to the height of 100 m. Alternatively, for this purpose, one can raise a
midsize car to the height 16.6 times the highest point of the Empire State
Building in New York City. Of course, this is with the assumption that
all the processes are 100% efficient. It can be shown that to store electrical
energy produced by a power plant with the capacity of 1000 MW (a mid-
size power plant) in an hour, almost 2.5 million midsize cars (with the
mass of about 1500 kg each) are needed to be raised to the height of 100 m.
A similar concept can be used for pumping water for energy storage.

16.3.2 Pumped Hydroelectric Energy Storage Systems

Pumped hydroelectric energy storage (PHES) systems, also referred to as
pumped storage hydroelectricity (PSH), can be considered as an extension
of the concept discussed in the previous section. Only in this case, the object
that is being raised to store gravitational potential energy is water. This
energy storage method requires two reservoirs: one lower-elevation water
reservoir and one higher-elevation water reservoir. When excess electricity
is available, usually inexpensive electricity during off-peak periods, or when
excess renewable energy sources are available, water is pumped from the
lower reservoir to the higher reservoir. When electricity is needed during
peak periods, the water flows from the higher reservoir to the lower reservoir
through a turbine, which converts the potential energy of the water flow to
rotational kinetic energy and eventually electricity. Among various energy
storage technologies, PHES units are the only ones currently making a
meaningful contribution to the electricity generation industry. Currently,
the energy storage capacity of pumped hydro plants in the world exceeds
125 GW in several hundred large plants (operating or under construction).5
China, Japan, and the U.S. are leading countries in terms of the pumped
hydro storage capacity, while China also has many new plants currently
under construction. In the U.S., there are over 40 plants with a similar num-
ber being in the licensing process or under construction. The installed capac-
ity of the pumped hydro plants in the U.S. is over 21 GW, accounting to about
2% of the country’s electricity generation capacity. This is almost the entire
large-scale utility energy storage capacity of the nation (less than 5% for other
storage technologies). The early utilization of pumped hydro storage systems
was reported in Europe. In the U.S., the first unit was installed in the 1930s

5 https://www.hydro.org/wp-content/uploads/2018/04/2018-NHA-Pumped-Storage-Report.
pdf.
Energy Storage Systems 1085

in Connecticut. A majority of the plants were built in the 1970s. The largest
currently operational pumped hydro storage facility in the world is the Bath
County Pumped Storage Station on the border of Virginia and West Virginia
with a power generation capacity of about 3000 MW. The plant is actually
the second largest hydropower plant in the U.S. The second largest pumped
hydro storage facility in the U.S. (and the fourth largest hydropower plant) is
the Ludington Pumped Storage Plant in Michigan with a capacity of about
1900 MW. These two plants were both established in the 1970s, and both are
exclusively energy storage facilities. However, pumped hydro systems can
also be integrated to conventional dam hydropower plants. An example of
such a systems is in the Grand Coulee Dam, in Washington on the Columbia
River, the largest hydropower plant in the U.S., with an electricity generation
capacity of about 6800 MW. The power generation capacity includes 314 MW
of pumped hydro storage turbines.
Considering all the positive attributes of these plants, their popularity
should not come as a surprise. These plants primarily share the same tech-
nologies that conventional hydropower plants are using for over a century.
They can store a very large amount of energy using currently mature and
widely available technologies. They have high round trip efficiency, eas-
ily exceeding 80% in some cases. They have a very long service life period
sometimes over a century with a virtually unlimited number of “charging
and discharging” cycles (borrowing the term from batteries; in fact, pumped
hydro energy storage units are sometimes referred to as “water batteries”).
Furthermore, they provide operational flexibility due to the flexible speed
in which they store and release energy. Similar to hydro power plants, they
can rapidly (in a matter of seconds) respond to load variations. This char-
acteristic makes them ideal for peak-load power generation. They can also
be a helpful tool in water management. Generally, these plants require high
initial costs. However, overall, they are the only cost-effective and cost-com-
petitive energy storage system for the large-scale energy storage. There are
several major sources of energy loss in typical pumped hydro energy storage
units. The most important source of energy loss is inefficiencies in the pump-
turbine and motor-generator sets. Also, water evaporation and seepage to
ground in the upper reservoir contribute to energy losses. These two losses
also exist in the lower reservoir, but they do not directly contribute to energy
losses, although the lost water should be compensated.
While they are more cost-effective in larger installations, they have been
installed in smaller capacities, a few MWs, too. These systems have poten-
tials to be used as decentralized energy storage systems in urban regions
or even individual buildings. The concept can also be used to store energy
in the ocean in underwater containers. When excess electricity is available,
water is pumped out of the containers, and when energy is needed, ocean
water is allowed to fill the containers via a turbine. These units are ideal to
store electricity from offshore wind turbines.
1086 Power Plant Engineering

16.3.2.1 Energy and Power in Pumped Hydroelectric Energy Storage Plants

The gravitational potential energy stored in the elevated water in the
upper reservoir can be determined by the following equation (similar to
Equation 16.1 but here m is the mass of the stored water):

PE = mgh = ρVgh (16.2)

where PE is the potential energy stored in the elevated water (J), m is the
mass of the stored water (kg), V is the volume of the stored water (m3), ρ is
 kg  m
the density of water  3  , g is the gravitational constant  2  , and h is the
m  s 
height difference between the upper and lower reservoirs (m). Clearly, this
energy is not entirely available, and some portion of the energy will be lost
to various losses (discussed below). The power that is needed to pump the
water from the lower reservoir to the upper reservoir can be calculated by the
following equation:

ρQ P gh
PP = (16.3)
ηP

where PP is the power needed to pump the water (W), Q P is the flow rate of
 m3 
water in the pumping mode   , and ηP is the efficiency of the system in
 s 
the pumping mode. Similarly, the power generated by the flow of the water
flowing from the upper reservoir to the lower reservoir can be determined
by the following equation:

PT = ηT ρQ T gh (16.4)

where PT is the power generated by the flowing water (W), Q T is the flow rate
 m3 
of water in the turbine mode   , and ηT is the efficiency of the system in
 s 
the turbine mode. Alternatively, the power needed for pumping the water
in the pumping mode and the power generated by the water in the turbine
mode can be determined by the following equations:

 P (16.5)
PP = ρQgh

 T (16.6)
PT = ρQgh

hP = h + hl , P (16.7)
Energy Storage Systems 1087

hT = h − hl , T (16.8)

where h is the height difference between the upper and lower reservoirs (m),
hP is the head of the pump (m), hT is the head of the turbine (m), hl , P is the head
loss during the pump mode (m), and hl , T is the head loss during the turbine
mode (m). It should be noted that the system efficiencies during the pump
mode and the turbine mode are not necessarily equal (the same applies to
the head losses). Typically, the power generation capacity (the output power
in the turbine mode) is greater than the input power during the pump mode.
To make up for this imbalance, the time period of the energy storage (i.e., the
time that the system operates in the pump mode) is typically longer than the
power generation period (i.e., the time that the system operates in the turbine
mode). For the sake of consistency and accuracy, these units are rated for
their power generation capacity.

Example 16.2
The Bath County pumped hydro storage plant, the largest of its kind in
the world, has a storage capacity of 24,000 MWh. Assuming a total effi-
ciency of 100%, determine the mass (in kg) and volume (in m3) of water if
the elevation difference between the upper and lower reservoirs is 380 m.
Analysis

PE = 24, 000 MWh = 8.64 × 1013 J

PE = mgh = ρVgh

PE 8.64 × 1013
m= = = 2.32 × 1010 kg
gh 9, 8 × 380

PE 8.64 × 1013
V= = = 2.32 × 107 m 3
ρ gh 1000 × 9, 8 × 380

In reality, the upper reservoir has a storage capacity of about 44 million

m3 and the lower reservoir has a storage capacity of about 35 million m3.
In this calculation, it is assumed that no energy loss is occurred in the
system. Also, clearly, the reservoirs cannot be fully emptied and there is
always some residue water in both reservoirs. On top of these assump-
tions, the actual calculations are more complicated since the turbine and
pump heads vary when the reservoirs are being filled (or emptied). Let us
consider this problem from a different angle in the next example.

Example 16.3
In the Bath County pumped hydro storage plant, the upper reservoir
has a surface area of 1.07 km2. Determine the change in the elevation
1088 Power Plant Engineering

of the surface of the reservoir when it is fully filled compared to that

when it is empty. The volume of the pumped water to fill the reservoir
is 2.32 × 107 m 3.
Analysis

VUp = AUp dUp (16.9)

where VUp is the volume change of the upper reservoir (m3), AUp is the
surface area of the reservoir (m2), and dUp is the variation in the level of
the reservoir (m).

AUp = 1.07 km 2 = 1.07 × 106 m 2

VUp 2.32 × 107

dUp = = = 21.7 m
AUp 1.07 × 106

Depending on how the level of water in the lower reservoir changes, the
head available in the turbine mode varies. For example, in this case, the
lower reservoir has a surface area of 2.25 km2.

VLow = ALow dLow

VLow 2.32 × 107

dLow = = = 10.3 m
ALow 2.25 × 106

This shows that the available heads in the upper and lower reservoirs
are varying with different rates. The maximum turbine heat is available
when the upper reservoir is full and the lower reservoir is at the low-
est level. With water gradually flowing from the upper reservoir to the
lower reservoir through the turbine, the level of water in the upper res-
ervoir reduces and the level of water in the lower reservoir increases.
The overall impact is the reduction in the available head. The rate of this
reduction increases if the surface areas of the reservoirs become smaller.
It should be noted that in this discussion, we assumed that the surface
areas of reservoirs are constant. This assumption is generally not accu-
rate. In many cases, the reservoir is like an inverted pyramid. So the vari-
ations in the water level are not linear and actual calculations are rather
complex requiring the study of local topography.

Example 16.4
The Bath County pumped hydro storage plant is equipped with six
turbine-pump units. Each unit can generate 500.5 MW of power in the
turbine mode. The volumetric flow rate of the water in the turbine mode
is 850 m3/s. Determine the efficiency of the system in the turbine mode
(h = 380 m).
Energy Storage Systems 1089

Analysis

PT = ηT ρQ T gh

PT = 500.5 × 6 = 3003 MW = 3.003 × 109 W

PT 3.003 × 109
ηT =  = = 0.949
ρQT gh 1000 × 850 × 9.8 × 380

16.3.2.2 Reservoirs in Pumped Hydroelectric Energy Storage Plants

As noted earlier, in order to have a pumped hydro storage plant, we need to
have a high-elevation reservoir and a low-elevation reservoir. How these two
reservoirs are created primarily determines the system operation and costs.
The easiest and most straightforward approach is to integrate a pumped stor-
age system to a conventional hydropower plant, typically an existing one.
Since the storage system takes advantage of the already-existing components
of the plant, a limited number of new components are required, which sig-
nificantly reduces the cost associated with establishing the plant. These units
are referred to as pump-back plants. While these hydropower plants operate
like a conventional hydroplant by storing the naturally flowing river water,
they can store excess electricity by pumping some water from downstream
back to behind the dam. This increases the stored water behind the dam and
allows the plant to operate for a longer period of time. Of course, this energy
storage method cannot be used if the dam is already full by river water.
As noted in the previous section, the Grand Coulee Dam is equipped with
a pumped storage facility. While the dam and its two powerhouses were
completed between 1933 and 1942 (with the third powerhouse installed in
1973), the pumped storage units were added between 1973 and 1984. There
are six pump-turbine units, each with about 50 MW power generation capac-
ity. This capacity is about 5% of the total capacity of the facility (at about 6800
MW). At least in one tidal energy system, the Rance Tidal Power Station in
France, this type of energy storage system was also incorporated into the unit
(refer to Chapter 14).
Most major pumped hydro storage plants are exclusively designed and
operated for energy storage purpose (and not integrated into conventional
hydropower plants). In these plants, lower and upper reservoirs should be
formed. These reservoirs should have a sufficient capacity to accommodate
sufficient water corresponding to the desired energy storage. It should be
noted that since these reservoirs are repeatedly filled and emptied, they are
much smaller than those needed for conventional hydropower plants, where
the entire water for a season must be stored. The most important charac-
teristic of the reservoirs is their vertical and horizontal locations relative to
each other. The vertical distance between two reservoirs should be increased
1090 Power Plant Engineering

as much as possible to maximize the energy storage for the unit of mass
of water. On the contrary, the horizontal distance between two reservoirs
should be minimized to reduce the pressure drop in the piping system.
They also need a reliable source of water to initially fill the reservoirs and
provide the makeup water to compensate for water losses to ground and
evaporation. The most important challenge that pumped hydro storage sys-
tems are facing is finding a site with desirable characteristics, as outlined
above, which can be economically exploited. These suitable sites are generally
limited and often located in areas with natural beauty and/or sensitive eco-
systems, which makes receiving a license to construct the system challenging.
Either or both reservoirs can be natural or artificially made. Natural res-
ervoirs can be in the form of rivers, lakes, seas, or oceans. These systems,
where at least one of the reservoirs is a natural body of water, are referred to
as open-loop systems. When none of the reservoirs is connected to a natural
body of water and the water is only circulated between the two artificial res-
ervoirs, the system is referred to as a closed-loop system.
Reservoirs can be aboveground or underground. Aboveground reservoirs
can be created by excavating earth or by enclosing an area by building dams.
Underground reservoirs can take an advantage of naturally existing under-
ground cavities, abandoned mines, or underground military facilities as a
lower reservoir. A wide variety of mining sites have been considered for this
purpose, including metal mines and particularly coal mines considering the
existence of a huge number of them.
In the most common configuration, the upper- and lower-level reservoirs
are connected via a pipeline. In some designs, the water flow from the upper
reservoir is first directed to a horizontal conduit or an open channel called a
pressure tunnel. At the entrance to the intake from the upper reservoir, typi-
cally a trash bar or screen is installed to stop debris from entering the pipe-
line. The powerhouse, where the pump-turbine and motor-generator units
are located, is placed at the lower end of the penstock, as close to the level of
the lower reservoir as possible (Figure16.2). Somewhere along the penstock,

Upper reservior

Penstock
Dam Generator

Trash bars
Turbine

Lower reservior

FIGURE 16.2
Schematic of a pumped hydro energy storage plant.
Energy Storage Systems 1091

before the powerhouse, a valve house is located to control the water flow
rate to the turbine. Also, a surge tank is installed to protect the line from the
sudden change in the pressure.

16.3.2.3 Turbine-Pump Assembly
Before we talk about the turbine-pump assembly for pumped hydro plants,
let us have a brief discussion on the different types of hydro turbines in gen-
eral. Water wheels have provided power for human activities for centuries.
During the Industrial Revolution, they were replaced by hydro turbines.
Similar to steam turbines, hydro turbines can be either impulse or reaction.
Water wheels are the oldest impulse turbines. The most common impulse
hydro turbine is a Pelton turbine, named after its inventor Lester Allan
Pelton (1829–1908, an American inventor). This turbine type is composed
of many buckets attached to a runner (Figure 16.3). The water is directed
toward buckets through one or more free nozzles (jets). The nozzles increase
the velocity of the water flow so the flow can impart its kinetic energy to
the buckets when it hits them. Note that these turbines are not submerged
and spent water is collected at the bottom of the turbine casing and is then
discharged. The flow rate of water is controlled by a spear installed inside
the nozzles. By moving the spear forward or backward, the water flow rate
can be decreased or increased, respectively. Pelton turbines can best oper-
ate with high heads and low flow rates with a capacity typically up to 400
MW. An alternative design that can operate with a medium head is called

Buckets Braking jet

Penstock

Buckets

Water Nozzle
Jet of water

Spear

FIGURE 16.3
Schematic of a Pelton turbine.
1092 Power Plant Engineering

Turgo turbine. Another design that operates based on the impulse principle
is called cross-flow turbine, which is similar to “squirrel cage” blowers.
Reaction hydro turbines have two main types depending on the relative
direction of the inlet and outlet flows and their designs. Both types are fully
submerged. Perhaps the simplest design is Kaplan turbines, named after Viktor
Kaplan (1876–1934, an Austrian engineer). These turbines are similar to large
ship or boat propellers with three to six fixed or variable pitch blades. These
axial flow turbines are suitable for low head and high flow rate applications.
Francis turbines, named after its inventor James Francis (1815–1892, a
British-American engineer and inventor), are the most commonly used hydro
turbines today. They can have a capacity ranging from several kWs to 800
MW with a diameter of up to 10 m. These turbines are typically installed in
a vertical orientation where the water flow enters the turbine radially and
leaves axially. These turbines are typically suitable for applications with
intermediate heads, though the head range for their operation has a substan-
tial overlap with those for Kaplan and Pelton turbines.
Early pumped hydro storage plants were equipped with a pump and a
turbine to pump water to higher elevation and then to convert the stored
energy back to electricity. Since the mid-20th century, these two components
have typically been integrated into a single turbine-pump assembly. In the
pump mode, these units operate as a motor-driven pump, and in the tur-
bine mode, they function as a turbine generator. Typically, these units are
single-speed, single-stage Francis pump turbines. After decades of opera-
tion history, these units have evolved to reliable systems with high efficiency
at the full-load operation. However, they suffer from low efficiencies at the
part-load operation. Even more importantly, in the pump mode, they cannot
operate at the part load. Imagine that a pumped storage unit is equipped
with two 50-MW single-speed pump-turbine units. If the excess electricity
available for the storage is 70 MW, only 50 MW of the energy can be stored
and the remaining 20 MW should be discarded. This is particularly prob-
lematic if the storage system is coupled with renewable energy sources with
typically unpredictable intermittent nature. To address this problem, most
new plants and almost all proposed units are equipped with variable-speed
(or adjustable-speed) pump-turbine systems. These systems can store a wide
range of power in the pump mode by adjusting the rotational speed of the
motor pump. Also, they can use this capability to adjust the speed for maxi-
mum efficiency in the part-load operation in the turbine mode.

16.4 Compressed Air Energy Storage Systems

Compressed air energy storage (CAES) systems use high-pressure air as the
medium to store energy. Using compressed air to store and deliver energy
Energy Storage Systems 1093

is not a new idea. In the late 1890s in some European cities, energy was dis-
tributed in urban regions via pressurized air pipelines. Similarly, for over a
century, compressed air-powered transportation systems, such as cars and
locomotives, have been proposed, tested, and even commercially employed.
The first utility-scale CAES system was established in Huntorf, Germany, in
1978 with the electricity generation capacity of 290 MW and the energy stor-
age capacity of 580 MWh. The second plant was commissioned in McIntosh,
Alabama, in 1991 with an electricity generation capacity of 110 MW and the
energy storage capacity of 2860 MWh. The third and latest plant was commis-
sioned in Gaines, Texas, in 2012 with a power generation capacity of 2 MW.
In its simplest form, a CAES system requires a compressor to pressur-
ize the air flow, a container (a very large one) to store the high-pressure air,
and a turbine to expand the high-pressure air. In this system, when there is
available excess electricity, the motor-driven compressor pressurizes air and
stores the high-pressure air in the container. Whenever electricity is needed,
the high-pressure air is expanded by flowing through the turbine to generate
electricity in the generator. The functions of the motor and the generator are
typically achieved by a single device, which is connected to the compressor
and turbine via two clutches. These clutches allow the device to function as
a motor for the pump or a generator for the turbine.
While the concept of increasing pressure of air to store energy (in the same
way that pumped hydro plants increase water elevation to store energy) may
look simple and straightforward, thermodynamically there are complica-
tions that need to be addressed.6 In Chapter 9, we learned that the power
generated during the expansion of a gas and the power needed to compress
a gas depend on the specific volume of the gas (for the same pressure dif-
ference). We also learned that compressing a gas results in increase in its
temperature. In essence, the electricity used to pressurize the air flow is con-
verted to internal energy of the air flow, which is manifested in the form of
increase in the air temperature. If the high-pressure air is stored for a long
time and the air is cooled down by heat transfer to the environment, the cold
air cannot generate electricity that is remotely close to the energy used to
compress the same air. Thermodynamically, this problem can be addressed
in several ways. The most efficient approach is to store high-pressure air in a
very-well-insulated container so it can retain its internal energy at a constant
temperature. However, as will be discussed later, underground conventional
containers are challenging to insulate. An alternative approach but the simi-
lar concept is to remove the thermal energy from the hot compressed air and
store the energy in a thermal storage medium. The thermal energy is then
transferred back to the air before it is sent to the turbine for expansion. The
thermal storage medium can be a packed bed of sand or other materials, hot

6 Since thermodynamically and conceptually compressed air energy storage systems are to
some degree similar to gas turbines, it might be useful to refresh your mind on gas turbines
covered in Chapter 9.
1094 Power Plant Engineering

oil, or molten salts (Chapter 12). The efficiency of these storage systems can
be in the low to mid 70%. These storage systems also prevent freezing of the
turbine during the expansion process. Note that in the expansion process,
the air temperature reduces for the same reason that the air temperature
increases during the compression process. This concept is in the research
and development stage. The above two methods are referred to as the adia-
batic storage systems since they avoid heat loss to the environment.
A more practical approach is to store the compressed air with no thermal
energy storage. In this approach, the hot compressed air gradually losses
its energy to the environment (typically rock formations surrounding the
underground storage space). Alternatively, the partially pressurized air in
the compressor can be cooled in intercoolers. When the electricity is needed,
the compressed air is heated, typically by a natural gas furnace, before being
sent to the turbine (Figure 16.4). In some plants, two compressor intercoolers
(three stages of compression) and two heat addition processes (three stages
of expansion) have been used. This system is thermodynamically very simi-
lar to a gas turbine cycle; just the compression and expansion processes are
decoupled (timewise); and they do not take place simultaneously. You recall
from Chapter 9 that in a gas turbine, a significant portion of the power gen-
erated in the turbine is consumed in the compressor. In CAES systems, the
power needed to compress air is provided when extra electricity is avail-
able; therefore, the entire power generated by the turbine in the peak period
is available for consumption. From a technical and implementation point of
view, this approach is the most practical method. However, burning natural
gas reduces the efficiency of the storage system and increases its operational

Electricity
in/out
Clutch
Turbine

Generator
-motor
Compressor
Natural Burner
gas
Off-peak
periods Peak periods

Cavern

FIGURE 16.4
Schematic of a diabatic or hybrid compressed air energy storage system.
Energy Storage Systems 1095

cost. Also, it partly eliminates the environmental benefits of storing electric-

ity from renewable energy sources. Despite these problems, this technology
is the only CAES system that has commercially been implemented. These
plants are typically referred to as diabatic or hybrid CAES systems.

16.4.1 Compressed Air Containers

Unlike pumped hydro energy storage systems, CAES systems do not need
two reservoirs with elevation difference and can be implemented with a
single container in a flat region. However, they require enclosed air-tight
containers. As the next example indicates, in order to have an even moder-
ate energy storage capacity, a very large container is needed that can with-
stand high internal stress due to high air pressure. For this purpose, typically
underground enclosed spaces, such as salt and hard-rock caverns, aquifers,
or abandoned mines, have been proposed and used. In order to grasp the
sheer size of containers needed to store compressed air in utility-size com-
pressed air energy storage systems, let us have a real-world example.

Example 16.5
The world’s first utility-size CAES system is the Huntorf plant built in
1978 in Germany (then West Germany). The plant has a power genera-
tion capacity of 290 MW and the energy storage capacity of 580 MWh.
It takes 8 hours to fully charge the container. Assuming the ambient
temperature and pressure of 25°C and 1 bar, respectively, the stored
air pressure of 50 bar, and the turbine and compressor isentropic effi-
ciency of 65%, determine how many hours the plant can operate at the
full load, the temperature of the compressor and turbine outlet flows,
the mass and volume of stored air, the mass flow rates of the compres-
sor and the turbine, and overall efficiency of the system. Assume that
the temperature of the compressed air is returned to its initial tem-
perature before expansion by burning natural gas so the temperature
of the compressor exit flow is equal to the temperature of the turbine
inlet flow. Also, there is no pressure drop in the container and the
compressed air temperature in the container is equal to the ambient
temperature. Use the ideal gas assumption with the constant specific
heat.
Givens

T1 = 25°C

P1 = 1 bar

P2 = 50 bar

Power generation capacity = 290 MW

1096 Power Plant Engineering

Energy storage capacity = 580 MWh

ηTurb = ηComp = 0.65

Analysis
The equations and parameters used in this example are all explained in
Chapter 9.

Energy storage capacity

Hours the plant can operateat full load =
Power generation capacity

580
= =2h
290

The specific heat ratio and Cp of air are

k −1
Cp = 1004 J/kg K, k = 1.4, = 0.2857
k

First, the temperature of air at states 2 and 4 should be determined

k −1
 T2   P2  k
 = 
 T1   P1 

0.2857
 T2s   50 
 =  → T2s = 911.2 K
 25 + 273   1 

h2 s − h1 T2 s − T1 911.2 − ( 25 + 273)
ηComp = = → 0.65 = → T2 = 1241.5 K
h2 − h1 T2 − T1 T2 − ( 25 + 273)

Since it is assumed that the temperature of the compressor exit flow is

equal to the temperature of the turbine inlet flow and since there is no
pressure drop in the container,

T2 = T3 = 1241.5 K

k −1
 T4s   P4  k
 = 
 T3   P3 

0.2857
 T4s   1 
 =  → T4s = 406.0 K
 1241.5   50 
Energy Storage Systems 1097

h3 − h4 T −T 1241.5 − T4
ηTurb = = 3 4 → 0.65 = → T4 = 698.4 K
h3 − h4 s T3 − T4 s 1241.5 − 406.0

WTurb = mStoredCp (T3 − T4 )

WTurb
Massof storedair = mStored =
Cp (T3 − T4 )

580 × 3600 × 106

= = 3.8 × 106 kg
1004 ( 1241.5 − 698.4 )

mRT
Volume of stored air = VStored =
P
3.8 × 106 × 287 × ( 25 + 273)
= = 6.55 × 10 4 m 3
50 × 105

mStored
Compressor air mass flow rate = m
 Comp =
Charging time

3.8 × 106
= = 133.0 kg/s
8 × 3600

mStored
Turbineair mass flow rate = m
 Turb =
Charging time

3.8 × 106
= = 531.9 kg/s
2 × 3600

 Turb = m
W  TurbCp (T3 − T4 ) → m
 Turb

W Turb 290 × 106

= = = 531.9 kg/s
Cp (T3 − T4 ) 1004 (1241.5 − 698.4)

WTurb = 580 × 3600 × 106 = 2.09 × 1012 J

WComp = mStoredCp (T2 − T1 ) = 3.8 × 106 × 1004 × (1241.5 − 298) = 3.63 × 1012 J

WTurb 2.09 × 1012

ηOverall = = = 0.576 = 57.6%
WComp 3.63 × 1012
1098 Power Plant Engineering

The actual Huntorf plant uses a salt cavern with a volume of approxi-
mately 300,000 m3. It is equipped with a three-stage compressor with
two intercoolers between stages and a two-stage turbine with a reheater
between them. The compressed air is heated before the turbine by a
natural gas burner. The reheater also uses a lower-pressure natural gas
burner. The latest state-of-the-art components at the time from the gas
turbine industry were utilized in this plant.
Note that in the above calculation, we did not include the energy of the
combusted natural gas in our efficiency calculations. The actual round
trip efficiency of the plant is about 42%. It should be noted that the vol-
ume of the needed container is a strong function of the compressed air
pressure. For example, if we increase the air pressure in the container to
100 and 150 bar, the container volume reduces to 24,150 and 13,632 m3,
respectively. This means in this case, doubling and tripling the pressure
reduce the volume by 2.4 and 4.8 times, respectively.

In the previous section, we discussed air temperature variations and how

it can be handled. Now we can consider the air pressure and volume in air
storage containers. A compressed air container can be constant volume or
constant pressure. In a constant-volume container, as the name implies, the
container’s volume is constant while air pressure can vary. This means the
boundaries of the container are fixed. These containers are typically sim-
ply underground voids with fixed walls. While these containers are physi-
cally simple, they can pose some challenges in the system operation. During
charging of the container with high-pressure air, with an increase in the
mass of the air stored in the container, the pressure of the air in the container
increases. This means the compressor has to overcome a higher pressure in
its outlet, which results in the compressor operation in off-design conditions
with a lower-than-optimum efficiency. A similar case occurs when the sys-
tem is discharging where the turbine has to operate with reducing pressure,
the longer it runs. In these containers, the varying pressure also imposes a
cyclic stress on the walls of the container effects of which should be carefully
studied in the feasibility study for any such project.
Constant-pressure containers are typically connected to a water pond or
lake on the surface. The air pressure in the space is kept constant by water
displacement at the bottom of the space. During air storage, water is pushed
out of the space, and during discharge, water enters the space.
When studying a potential underground space, parameters such as its
size, geometry, and the possibility of air leakage, and the impacts of cyclic
stress and fatigue on walls should be investigated. While existing under-
ground spaces can provide convenient containers for compressed air stor-
age systems, finding suitable potential sites, their characterization, and
their modification can be challenging, including drilling to gain access to
the space. Currently, the use of pipelines and underwater air energy storage
systems are also under investigation. The latter are particularly attractive
because they are just some flexible large air bags made of plastic-anchored
Energy Storage Systems 1099

underwater. A major advantage of these systems is that they operate under

the constant pressure, the value of which depends on the depth of the storage
system. These systems can be installed next to offshore wind farms to store
their excess electricity generation.

16.5 Flywheel Energy Storage Systems

Flywheel energy storage (FES) systems are essentially made of a rotating
disc (called a flywheel), and they store energy in the form of rotational kinetic
energy. The same principle has been employed for centuries to smooth out
the rotation of objects or generated power from potter’s wheels and toys to
early steam engines to internal combustion engines. In the latter applica-
tion, a flywheel stores energy during the power stroke and releases some
of that energy in the parts of rotation with no power production with the
ultimate objective of creating a uniform power output. Having an engine
with more cylinders (and thus more uniform power output) reduces the size
of the required flywheel. There have been proposals (and actual vehicles) to
entirely power a vehicle by a flywheel. In essence, they are like electric cars
except that they store energy in a flywheel rather than a battery pack. In
one such design that was implemented in Europe in the 1950s, a bus, called
gyrobuses, was fully powered by a motor-driven flywheel. In this case, the
flywheel was “charged” at terminals or stops by connecting the motor to an
electric source. While this particular design was only used for a few years,
since then several bus and locomotive prototypes have been designed and
built in Europe and the U.S. Flywheels have been also used as regenerative
braking systems in nonelectric hybrid cars as well as subway cars and eleva-
tors. NASA has developed FES units for space missions. In power genera-
tion industry, flywheels can be employed both by end-users and at the utility
level. End-users can use flywheels as uninterrupted power supplies typically
to supplement battery packs or to provide high load for a short period in
some tests and research laboratories. In fact, some of the largest flywheels
have been installed in physics laboratories around the world (Example 16.6).
For utility-level applications, a few tens to several hundred flywheels have
been employed to provide up to several tens of MW power. These units are
typically used to maintain the quality of the grid power or as transitional
power sources when the grid power is interrupted. There are only a handful
of such plants typically as demonstrational and pilot plants.
FES systems are typically composed of four main components: flywheel,
bearings, motor-generator set, and housing. Early systems typically used
massive steel disks with mass ranging from many hundred kilogram to a
few ten thousand kilogram rotating with the rotation speed of a few hun-
dred to several thousand rpm. Newer more advanced systems are typically
1100 Power Plant Engineering

equipped with cylindrical rotors made of carbon-fiber composite connected

to a shaft by a hub made of a metal, such as titanium. Carbon-fiber flywheels
are lighter and stronger than metal disks and can store much higher energy.
The rotor or disk should be supported by bearings. Early flywheels used
mechanical bearings, typically ball bearings. These bearings needed peri-
odical inspection and replacement every few years. They also limited the
maximum rotational speed that the rotor could spin. In modern systems, the
flywheel is levitated by magnetic bearings. These bearings along with light
carbon-fiber rotors and vacuumed housings (below) reduce friction to almost
zero and substantially reduce system maintenance.
The FES system uses excess electricity to speed up the rotation of the rotor
and extracts kinetic energy of the rotor when electricity is needed. For this
purpose, all flywheels are equipped with a combined motor-generator set
that can function as either a motor or a generator during charging and dis-
charging periods, respectively. The flywheel and the motor-generator assem-
bly can be connected via a central shaft. The entire system, typically (but not
always) including the motor-generator assembly, is enclosed in a housing.
The housing is typically vacuumed to eliminate the effect of drag force on the
flywheel due to air friction. For this purpose, the housing should be properly
sealed to avoid air leakage and is equipped with a vacuum pump. The hous-
ing should be strong enough to protect the adjacent environment (both per-
sonnel and equipment) from high-speed flying pieces of the system in case of
system failure. With all technological advancements for the abovementioned
components, modern flywheels can rotate at an extremely high speed of up
to 100,000 rpm.
Generally, FES systems can have a round trip efficiency of about 90%. They
are also very reliable. They can operate for several decades with a minimal
required maintenance. More importantly, they can have several hundred
thousands of charge–discharge cycles with no performance deterioration.
They can also be quickly charged and discharged. Furthermore, their perfor-
mance is not affected by ambient conditions, and they have minimal negative
environmental impacts.
The kinetic energy of a rotating flywheel can be determined by the follow-
ing equation:

1 2
KE = Iω , (16.10)
2

where KE is the kinetic energy stored in the flywheel (J), I is the moment
of inertia of the object (kg.m2), and ω is the angular velocity of the object
(radian/s or rad/s). The moment of inertia for a solid disk (cylinder) and that
for a hoop about their symmetry axes are

1
IDisk = mR 2 (16.11)
2
Energy Storage Systems 1101

I Hoop = mR 2 (16.12)

where m is the mass (kg) and R is the radius (m).

Example 16.6
The Joint European Torus (JET) in Oxfordshire, UK, is the world’s larg-
est operational magnetically confined plasma physics experiment to
research on energy from nuclear fusion. To provide power needed for
experiments (which can exceed 700 MW for a very short period), two
flywheels are installed in the facility. Each flywheel weighs about
775,000 kg and has a diameter of 10 m. The flywheel spins with a rota-
tional speed of up to 225 rpm.7 Determine the maximum energy that can
be stored in the flywheel (in GJ). During the experiment, the speed of the
flywheel reduces to half of the maximum rpm in 20 seconds. Determine
the energy released by the flywheel during the experiment (in GJ) and
the average power (in MW).
Analysis
The maximum energy that can be stored in the flywheel is when it spins
at the maximum speed of 225 rpm.

2
1 1  10 
IDisk = mR 2 = × 775, 000 ×   = 9, 687, 500 kg ⋅ m 2
2 2 2

rpm × 2 π 225 × 2 π rad

ω= = = 23.6
60 60 s

1 2 1
KE = Iω = × 9, 687, 500 × 23.62 = 2.69 × 109 J = 2.69 GJ
2 2

During the experiment, the speed of the flywheel reduces by half, so

rad
ω1 = 23.6
s

rad
ω 2 = 11.8
s

1 1
∆KE =
2
( ) ( )
I ω12 − ω 22 = × 9, 687, 500 × 23.62 − 11.82 = 2.02 × 109 J = 2.02 GJ
2

∆KE 2.02 × 109

Average power = = = 0.1008 GW = 100.8 MW
t 20

The actual system can provide a maximum power of 400 MW.

7 http://aei.pitt.edu/94542/1/jet_joint..__50695.pdf.
1102 Power Plant Engineering

Example 16.7
A power plant with a capacity of 1500 MW operates for 30 minutes at the
full load. Determine the number of flywheels from Example 16.6 that are
needed to store this much energy.
Analysis

Energy produced by the power plant = 1500 × 0.5 = 750 MWh = 2.7 × 1012 J

Total energy storage 2.7 × 1012

n= = = 1004 Flywheels
Energy stored in each flywheel 2.69 × 109

According to Equation 16.10 in order to increase the energy stored in a

flywheel, one can increase the rotational speed of the flywheel and/or its
moment of inertia. The moment of inertia can be increased by increasing the
mass of the flywheel and more importantly its radius. In the first generation
of FES systems, the strategy to increase the stored energy was to build mas-
sive rings using materials with high density. While this approach increased
the moment of inertia of the flywheel, it severely limited the rotational speed
of the flywheel. Using large disks made of high-density materials at high
speed not only increases the load on bearings but also imposes an enormous
centrifugal force on the disk, which can result in its disintegration. It can be
shown that the maximum rotational speed and the maximum stored energy
per unit of mass (maximum specific energy) for a flywheel are a function of
σ 
the ratio of the allowable stress to the density of its material   . This means
ρ
a material with high strength and low density is desirable to maximize the
ratio of σ/ρ. It should be noted that other parameters such as resistance to
cyclic loads are also important.

Example 16.8
Compare high-strength steel alloy ASTM A514 with carbon nanotube
(CNT) in terms of the maximum specific energy they can achieve when
used to make FES systems. The tensile strengths of the steel alloy and
CNT are 760 and 60,000 MPa, respectively, and their densities are 7800
and 1300 kg/m3, respectively.
Analysis
The maximum specific energy these materials can achieve when used to
make FES systems is a function of the ratio of the tensile stress to density.

σ  760, 000
  = = 97.4
ρ
 Steel 7800
Energy Storage Systems 1103

σ  60, 000, 000

  = = 46, 153.9
ρ
 CNT 1300

This indicates why currently flywheels for FES systems are being made
of CNT rather than steel.

16.6 Battery Storage Systems

Batteries are energy storage devices that directly store electricity by means
of electrochemical reactions. In Chapter 1, we discussed about the Parthian
battery, which has been speculated that was used to generate a very small
amount of electricity. We also learned that in the 1800s, Alessandro Volta
pioneered perhaps the first electricity generation device.
Generally, batteries can be non-rechargeable (also known as primary,
single-use, or disposable batteries) or rechargeable (secondary batteries).
Non-rechargeable batteries are those “charged” during manufacturing.
When the stored energy is depleted, since the electrochemical reactions are
irreversible, these batteries have no use and should be disposed of. Alkaline
and zinc-carbon batteries are the most common type of primary batteries and
are widely used to power many household and industrial small electronic
devices, from sensors to toys. Since these batteries cannot be used to store
and recover energy repeatedly, they are out of the scope of this text and will
not be covered any further. There is a wide variety of rechargeable batteries
in terms of size, shape, and technology with many applications in our daily
life. Some common applications that we are all familiar with are cordless
electric devices and tools; automotive applications such as starting units for
conventional internal combustion engines and power source for electric and
hybrid cars; portable electronic devices such as laptops, tablets, smartphones,
and cameras; backup and emergency power applications; energy storage for
renewable energy systems, particularly PV units in remote applications; and
particularly of interests for this text large-scale utility-level energy storage.
The amount of energy that can be stored in a battery is referred to as the
capacity of the battery. It is measured as the delivered power at the rated volt-
age of the battery with the unit of amp-hour (A·h). In any battery energy stor-
age system, the fact that they store and generate DC power should be kept
in mind because it means in the majority of applications, certainly those in
connection with the grid need to be equipped with an inverter (Chapter 11).
The most common and the oldest type of these batteries are lead-acid
batteries.8 For this reason, we will start with this type of battery and explain

8 The first lead-acid battery was invented by Gaston Planté (1834 – 1889, a French physicist).
1104 Power Plant Engineering

the basic principles of their operation. Later, we will introduce other battery
types and explain how they are similar to and different from lead-acid batteries.

16.6.1 Lead-Acid Batteries
Most batteries are composed of several typically identical units, called cells.
Since each cell can generate a limited voltage and current, the cells can be
connected in series or parallel to achieve the desired output voltage and cur-
rent. Every battery cell needs three main components to operate: an anode
electrode (the negative terminal), a cathode electrode (the positive terminal),
and an electrolyte. The surfaces of the electrodes are the site of electrochemi-
cal reactions where negative and positive charges are created. The electrolyte
is typically a liquid mixture of a salt in a solvent. The main characteristic of
an electrolyte is that while it allows the passage of certain ions, it does not
permit the flow of electrons. The choice of the electrolyte is directly a func-
tion of the desired electrochemical reactions. To increase the surface area of
the sites of electrochemical reactions, both the anode and cathode electrodes
are made of highly porous materials. In lead-acid batteries, the electrolyte
solution consists of typically 63% water and 37% sulfuric acid (mass base)
with a specific gravity of 1.28.9 Note that when sulfuric acid and water are
mixed, the solution is primarily made of the bisulfate negative ions HSO −4 ( )
and hydrogen positive ions (H+ or protons). Batteries also need current col-
lectors to guide electric charges to the terminals.
While dividing a cell into these three components can help in explain-
ing the physical structure of a cell, to understand electrochemical reactions
within a cell, it is more appropriate to divide it into two half-cells in series.
Each half-cell is composed of one electrode and the electrolyte adjacent to it.
To explain the electrochemical reactions that take place in a lead-acid bat-
tery, let us consider a case when the battery is fully charged and is discon-
nected from any load. In this case, the anode is a lead (Pb) plate, the cathode
is a lead oxide (PbO2) plate, and the electrolyte is a solution of water and sul-
furic acid (H2SO4). When a load is connected to the battery and the battery is
discharging, lead in the anode reacts with the negative ions in the electrolyte
and releases electrons via the following half-reaction:

Pb(s) + HSO −4 (aq) → PbSO 4 (s) + H+ (aq) + 2e− (anode half reaction) (16.13)

Note that in the above reaction equation, the parentheses indicate the phase
of reactants and products (“s” for solid and “aq” for aqueous). The electrons
generated in this electrochemical reaction give the lead electrode negative
charge, which is why it is called the anode or the negative terminal. They
flow through the external load to the cathode forming an electrical current.

9 For a liquid, specific gravity, also known as relative density, is the ratio of the density of the
liquid to the highest density of water, which is at the temperature of 4°C.
Energy Storage Systems 1105

The generated positive ions pass through the electrolyte to the cathode where
they react with the lead oxide via the following half-reaction:

PbO 2 (s) + HSO −4 (aq) + 3H+ (aq) + 2e−

→ PbSO 4 (s) + 2H 2 O (cathode half reaction) (16.14)

Note that if no load is connected to the battery, the negative charges will accu-
( )
mulate in the anode and will repel negative ions HSO −4 from the anode. This
will stop the reaction from taking place until the load is connected and the elec-
trons are removed from the anode. The voltage created by these accumulated
electrons is referred to as the open-circuit voltage (OCV). Combining the two
half-reactions above, the overall cell reaction can be written as follows:

Pb ( s ) + PbO 2 ( s ) + 2H 2 SO 4 (aq )

→ 2PbSO 4 ( s) + 2H 2 O (overall cell reaction) (16.15)

The chemical energy of the reactants in this reaction is higher than that of
the products. The difference between the energy level of the reactants and
products is the electrical energy generated by the battery (according to the
first law of thermodynamics). The amount of generated electricity depends
on the electrochemical reaction that takes place within the battery and the
number of molecules reacting. The voltage created per each released electron
during the reaction is called the electromotive force (EMF). This voltage is
equal to the OCV. The EMF is only a function of the reaction taking place in
the battery, which in turn is dictated by the material used for the electrodes
and the electrolyte. However, it is independent of the size and shape of the
battery. For lead-acid batteries, the EMF is about 2.1 V. We will see later that
when a current is drawn from a battery, its voltage reduces.
Equations 16.13 and 16.14 indicate that with more energy extraction from the
battery (battery being discharged), more Pb and PbO2 are converted to PbSO4
in the anode and cathode, respectively, and more sulfuric acid is converted
to water in the electrolyte. The latter means while the battery is discharged,
the electrolyte becomes more diluted (i.e., the mixture of more water and less
acid). For each mole of the converted Pb (and PbO2), two moles of sulfuric acid
is converted to water. The lowest concentration will be when the battery is
fully discharged. For this reason, the concentration of acid in the electrolyte
can be used as an indication of the level of charge of the battery. For this pur-
pose, the density (or more commonly specific gravity) of the solution is mea-
sured using a hydrometer.10 Since the density of water is lower than that of the
acid, a high density of the solution means there are more acid and less water
in the solution. The composition of the electrolyte can play an important role
10 For example, in battery-powered submarines to determine how much longer they can pos-
sibly stay under water.
1106 Power Plant Engineering

in the operation of batteries at very low temperatures since a higher concen-

tration of acid means the electrolyte will freeze at lower temperatures. So in
these environments, it is advisable to keep a battery fully charged.
When a battery is partly or fully discharged, it can be recharged by con-
necting its terminals to an external source of electricity (called a charger).
It should be noted that a DC power source is needed to charge a battery.
During the charging process, the reactions expressed in Equations 16.13 and
16.14 are reversed. This results in the conversion of PbSO4 to Pb in the anode
and PbO2 in the cathode. In the electrolyte, water is converted to sulfuric
acid. Batteries should be protected from overcharging, which can result in
water electrolysis and the generation of hydrogen and oxygen. If these gases
have a way to escape (e.g., in unsealed batteries), the water level should be
checked regularly and losses should be replaced.
The electrical power generated by a battery depends on the voltage differ-
ence between its terminals and the current drawn from it by the load. The
voltage depends on the electrochemical reaction taking place in the bat-
tery. The current, however, depends on the quantity of the reaction, which
in turn is a function of the surface area of the electrodes. To increase the
surface area of the electrodes, as noted earlier, they are made of porous sub-
stances. In lead-acid batteries, the electrodes are formed by grids or matrixes
made of hardened lead or a lead alloy filled with paste-like metallic Pb and
PbO2 (in a fully charged state). Several electrode plates are assembled in a
parallel formation (physically) connected in series (electrically). They are
housed in a compartment to form a cell. A collection of cells makes a bat-
tery. To avoid the electrodes touching each other and creating electrical
short circuit, a separator is placed between them. In fact, batteries are typi-
cally manufactured using electrodes in their discharged state so that they
do not degrade during their shelf time before they are actually installed for
a certain application. So batteries you see in stores are typically discharged
and must be recharged after or right before they are installed.
In old lead-acid batteries, the electrolyte was typically a liquid solution
so they were referred to as wet or flooded cells or batteries. However,
the electrolytes for more recent lead-acid batteries are gel-like paste and
hence, these batteries are named gel batteries or dry cells. Alternatively,
the electrolyte can be absorbed in a fiberglass substrate. In this case,
the battery is known as absorbed glass mat (AGM). These batteries are
t ypically sealed to avoid the escape of hydrogen and oxygen, for example,
generated in the case of overcharging. The generated gases are recom-
bined to form water, which means these batteries do not need the addi-
tion of water or other chemicals. That is why they are sometimes referred
to as maintenance-free batteries. However, the excessive accumulation
of gases can result in overpressurization of the battery casing and pos-
sible explosion. To release the gases in these situations, sealed batteries
are typically equipped with a one-way valve, which is why they are also
referred to as valve-regulated lead-acid (VRLA) batteries. They have a
Energy Storage Systems 1107

longer shelf life with less possibility of leakage. They are particularly suit-
able for applications where batteries operate under severe stress, vibra-
tion, and temperature variations.
As noted, when a battery is not connected to any load, the voltage differ-
ence between its terminals is equal to the OCV (and the EMF). However, this
voltage reduces when the battery is used to power a device. This is due to the
internal resistance of the battery. Let us consider a battery with the OCV of
VOC and the internal resistance of r that is connected to an external resistance
(load) of R (Figure 16.5).
For the circuit in Figure 16.5,

V = VOC − Ir = IR (16.16)

VOC
I= (16.17)
(R + r )
where V is the voltage difference between two terminals of the battery (V),
VOC is the open-circuit voltage (and the EMF) (V), I is the current (A), r is the
internal resistance of the battery (Ω), and R is the external resistance of the
load (Ω). Equation 16.16 indicates that the voltage difference between the two
terminals of the battery is always less than the OCV (and the EMF) whenever
a load is connected to the battery. The difference between these two volt-
ages can be reduced by reducing r or increasing R. The current is maximum
when R = 0, which is the case in a short circuit. The capacity of a battery is
the amount of electrical energy that it can provide. We know that electrical
power (P in W or kW) and energy (E in Wh or kWh) can be calculated from
the following equations:

P = VI (16.18)

E = VIt (16.19)

where t is the time that the battery can operate (hour). Technically speaking,
E in the above equation is the energy storage capacity of a battery. However,

Voc r

Battery

FIGURE 16.5
Schematic of a battery connected to a load.
1108 Power Plant Engineering

as discussed before, the voltage of a battery is pretty much fixed by its elec-
trochemical reactions and is known for each battery type. For this reason,
typically the capacity of batteries is expressed by the current multiplied by
time with the unit of A.h. It should be noted that the value of this parameter
varies with the rate of battery discharge. A higher rate of discharge decreases
the capacity of a battery. Also, the capacity of a battery reduces at lower tem-
peratures. To have a uniform definition, the capacity of batteries is typically
measured at 20°C in a 20-hour interval. This parameter, typically referred
to as “capacity 20hr” (capacity at 20hr), can be determined by multiplying
20 hours to the maximum consistent current that a new battery can generate
for a 20-hour period.

Example 16.9
For a battery with the OCV of VOC and the internal resistance of r, deter-
mine the value of the external resistance R that can maximize the power
drawn from the battery.
Analysis
We know that the power drawn from the battery is equal to the volt-
age difference between the battery terminals multiplied by the cur-
rent (P = VI). From Equations 16.16 and 16.17, it is clear that increasing
R decreases the current but increases the voltage. These two conflicting
impacts indicate that there should be a value for R that maximizes the
power. To determine this value, we can differentiate power as a function
of R and equate that to zero

2
R VOC
P = VI = I 2 R =
(R + r )
2

dP VOC ( R + r ) − 2 ( R + r ) R VOC
2 2 2
= = 0
(R + r )
2
dR

(R + r ) − 2 (R + r ) R VOC
2 2 2
VOC = 0

(R + r ) − 2R = 0

R = r

Example 16.10
The voltage between two terminals of a battery is 24 V without a load and
23 V when a current of 20 A is drawn from the battery. Determine the
internal resistance and OCV of the battery as well as the resistance and
Energy Storage Systems 1109

power consumption of the load. If the capacity of the battery is 100 A.h,
for how long the battery can provide the given current?
Analysis

VOC = 24 V

V 23
V = IR R = = = 1.15 Ω
I 20
VOC VOC 24
I= r = −R = − 1.15 = 0.05 Ω
(R + r ) I 20

P = VI = 23 × 20 = 460 W

100
Capacity = It = 20t t = = 5 h
20

Example 16.11
In the previous example, determine the resistance of the load that can
draw the maximum power from the battery. What is the value of the max-
imum power? For how long the battery can provide the given current?
Analysis

R = r = 0.05 Ω

VOC 24
I= = = 240 A
( R + r ) ( 0.05 + 0.05)

V = VOC − Ir = 24 − 240 × 0.05 = 12 V

P = VI = 12 × 240 = 2880 W

100
Capacity = It = 20t t = = 0.42 h
240

Example 16.12
In the previous example, determine the maximum current that the bat-
tery can provide.
Analysis
The maximum current can be achieved for a short circuit when R = 0:
1110 Power Plant Engineering

VOC 24
I= = = 480 A
(R + r ) (0 + 0.05)

Example 16.13
A multimeter is directly connected to two terminals of a battery. As a
voltmeter, it reads 12 V, and as an ammeter, it reads 200 A. Determine the
internal resistance and VOC of the battery.
Analysis

VOC = 12 V

VOC V 12
I max = r = OC = = 0.06 Ω
r I max 200

Example 16.14
A power plant with a capacity of 1500 MW operates for 30 minutes at the
full load. This energy is stored in a battery pack made of batteries, each
with a capacity of 90 A.h and a voltage of 24 V. Determine the number of
batteries needed for this purpose.
Analysis

Energy produced by the power plant = 1500 × 0.5 = 750 MWh = 2.7 × 1012 J

Energy stored in each battery pack = V ( It ) = 24 × 90 = 2160 Wh

= 2160 × 3600 = 7.78 × 106 J

Energy stored in the battery pack = nV ( It )

Energy stored 2.7 × 1012

n= = = 3.47 × 105 Batteries
V ( It ) 7.78 × 106

This is the challenge with battery storage systems. In order to store

energy generated in a midsize power plant in just half an hour, about
350,000 batteries are needed.

Example 16.15
In Example 16.6, how many batteries with a capacity of 65 A.h and the
voltage of 12 V are needed to store the same amount of energy (for each
flywheel when its speed is reduced by half).
Energy Storage Systems 1111

Analysis

Energy stored in each flywheel = 2.02 × 109 J

Energy stored in each battery pack = V ( It ) = 12 × 65 = 780 Wh

= 780 × 3600 = 2.8 × 106 J

Energy stored in the battery pack = nV ( It )

Energy stored 2.02 × 109

n= = = 718Batteries
V ( It ) 2.8 × 106

While these many batteries may seem manageable and certainly less
expensive, they cannot replace the flywheel. The flywheel can release
this much energy in a matter of seconds (10 seconds in this case), whereas
it may take hours for the batteries to release their energy.

Lead-acid batteries can have a round trip efficiency of 50%–95%. They can
also have 10–40 Wh/kg specific energy and 50–90 Wh/L energy density.
These values are relatively low but the low cost of lead-acid batteries along
with high current they can generate makes them popular in many appli-
cations. These batteries can have a very long service life too if operated
properly.
In automotive applications, lead-acid batteries are used for starting, light-
ing, and ignition (SLI). These applications require a high surge current, par-
ticularly during an engine start-up. As noted above, a high-current density
can be achieved when the internal resistance of the battery is low. For this
reason, these batteries are made of thin electrode plates.
The service life of a battery strongly depends on the number of complete
discharge (called deep discharge) and charge cycles the battery can go
through. The thicker electrode plates generally can have more cycles since
they contain more reacting substances. Thin electrolyte lead-acid batteries
can only have a couple of hundreds of deep discharges. However, in auto-
motive applications, batteries are typically recharged after slight discharge
and they are rarely fully discharged. Therefore, thin electrolyte batteries per-
fectly fit these applications.
There are other applications where batteries have to go through many
deep discharge cycles. These applications include batteries for electric cars
and, more importantly for this text, energy storage systems. These batter-
ies are generally referred to as deep-cycle lead-acid batteries. They have
much thicker electrolyte plates compared to automotive batteries, which
means they have more active electrode materials but lower peak currents
1112 Power Plant Engineering

(due to their high internal resistance). Some deep-cycle batteries have tubular
or cylindrical positive electrodes to increase their surface area and power
density.
Lead-acid batteries have been very well developed for many decades and
are mature technologies for large-scale energy storage systems. However,
other battery types are also being used or investigated with the potentials
to reduce system initial and operation costs as well as the size with better
efficiency and reliability. In the following sections, some of these batteries
will be reviewed.

16.6.2 Lithium-Ion Batteries
Lithium-ion batteries, also known as Li-ion batteries or LIBs, were com-
mercially developed in the early 1990s after decades of research and devel-
opment. These batteries have a high round trip efficiency, very high energy
density, long service life, and slow self-discharge. Their drawbacks are their
high cost and some safety concerns.11 Regardless of their disadvantages, due
to their favorable characteristics, they soon became standard batteries in por-
table electronic devices, such as cell phones, laptops, and tablets, and later for
electric and hybrid vehicles. These batteries have demonstrated promising
potentials for utility-level energy storage systems.
In lithium-ion batteries, the cathode and anode electrolytes (the posi-
tive and negative electrolytes, respectively) are made of some lithium com-
pounds, such as lithium cobalt oxide, LiCoO2, and graphite, respectively. The
electrolyte is a lithium salt solution that allows the passage of Li+ ions while
blocking electrons. The choice of the cathode material depends on the desir-
able characteristics of a battery, for example, energy density versus safety and
service life. The operating cell voltage of these batteries is 3–4 V with the OCV
of 4.1 V. Their energy density and specific energy are about 400 Wh/L and 150
Wh/kg, respectively, up to about an order of magnitude higher than those of
lead-acid batteries. Their round trip efficiency is about 80%–90%. Typically,
lithium-ion batteries are made in the form of standard cells and then are
assembled in packs to achieve desirable current, voltage, and storage capacity.
While currently, lithium-ion batteries are too expensive for widespread
applications for large-scale energy storage systems, there are great hopes
and potentials for them. In the past few years, there have been some pilot
plants of large-scale energy storage systems using these batteries. For
example, in 2017 the world’s largest lithium-ion battery storage system
was installed in South Australia with a storage capacity of 129 MWh (100
MW power) sufficient to power 30,000 homes for an hour.12 The facility was
11 When these batteries are overheated, they can ignite or even explode. Probably the most high-
profile manifestation of this problem was recalling of about 2.5 million Samsung products in
Galaxy series.
12 htt ps://www.bbc.com/news/world-australia-42190358#:~:text=The%20world's%20

largest%20lithium%20ion,caused%20by%20local%20hot%20weather.
Energy Storage Systems 1113

designed and constructed by Tesla using the same technology that is used
in electric cars’ batteries. There are some unorthodox proposals on using
this type of battery. In one such proposal, lithium-ion batteries used in elec-
tric and hybrid automobiles are repurposed for large-scale energy storage
systems when vehicles are retired. Nowadays electric and hybrid cars are
gaining popularity. The fact that most of today’s electric and hybrid cars
will be retired in a decade or so provides a unique source of batteries for
this proposal. It should be noted that the large-scale energy storage industry
does not require the level of reliability that is needed for electric-powered
transportation systems. Another similar proposal is to use batteries cur-
rently in service electric and hybrid cars to provide distributed energy stor-
age capability at residential units. In this concept, residents of a home can
draw all or part of their electricity consumption during peak periods from
energy stored in their car’s batteries and then recharge the batteries during
off-peak periods.

16.6.3 Molten-Salt Batteries
Molten-salt batteries are a group of batteries with molten salt as the electro-
lyte. This concept can be applied to both non-rechargeable and rechargeable
batteries. In the non-rechargeable form, a molten-salt battery can be stored at
room temperature in its solid inactive state for decades. To operate the bat-
tery, it should be heated to a certain temperature. For this reason, this type of
battery is also known as thermal batteries.
Rechargeable molten-salt batteries are considered as a promising technology
for large-scale energy storage systems. They generally have high efficiency,
high energy and power densities, long service and cycle life, and potential for
low cost. The two most developed batteries are sodium-sulfur and sodium-
nickel chloride batteries. Here, the former will be discussed as a case study.
In sodium-sulfur (NaS) batteries, the anode, cathode, and electrolyte are
made of sodium (liquid), sulfur (liquid), and alumina (solid), respectively.
Sodium-sulfur cells are typically built in a large vertical cylinder shape.
The molten sodium electrode is in the core of the cell surrounded by the
solid electrolyte. The electrolyte is alumina ceramic (known as β-alumina
or β-Al2O3) containing a variety of mobile ions. The outer layer is made
of the molten sulfur electrode enclosed by the external metallic walls of
the battery. To keep the electrodes molten, the cell operates at an elevated
temperature of about 350°C although the most advanced low-temperature
batteries can operate at a temperature of as low as 100°C. The operating
cell voltage of these batteries is 1.8–2 V with the OCV of 2.1 V. Their energy
density and specific energy can be as high as 350 Wh/L and 200 Wh/kg,
respectively, which is comparable with those of lithium-ion batteries. Some
of the largest battery energy storage installations in the world are of this
type of battery. The technology is even being considered (and tested) for
space applications.
1114 Power Plant Engineering

16.6.4 Nickel-Based Batteries
In all nickel-based batteries, the cathode electrode is nickel oxide hydrox-
ide (NiO(OH)) and the electrolyte is potassium hydroxide solution. However,
using different anodes results in different types of batteries. In nickel-metal
hydride (NiMH) batteries, the anode electrolyte can be selected from a wide
variety of hydrogen-absorbing alloys, such as certain alloys of cerium, nickel,
aluminum, vanadium, zirconium, and cobalt. Nickel-cadmium (NiCd) and
nickel-zinc (NiZn) batteries have metallic cadmium and zinc, respectively,
as the anode electrode. Some nickel-based batteries had a significant portion
of the portable electronic device market until the 1990s. But they lost most of
this market in competition with lithium-ion batteries although NiMH batter-
ies are still being used in some devices and some hybrid vehicles. However,
some of these batteries are being considered and used for large-scale energy
storage systems, particularly NiCd batteries.

16.6.5 Other Battery Types

Considering a variety of materials that can be used as the electrodes and
electrolyte in batteries, it should not come as a surprise that there are many
concepts and battery types at different stages of research and development
or commercialization. Here, we just list some of them in case one would like
to look them up:

• Solid-state batteries
• Liquid-metal batteries
• Flow batteries, such as vanadium redox batteries (VRBs)
• Silver zinc batteries (AgZn)
• Lithium iron phosphate batteries (LFP)
• Lithium sulfur batteries (LiS)
• Aluminum ion batteries
• Magnesium ion batteries
• Carbon batteries
• Metal-air electrochemical cells

16.7 Direct Electricity Storage Systems

In all energy storage systems we discussed so far, electrical energy was con-
verted to other forms of energy before being stored, for example, gravitational
potential energy (in PHES systems), air pressure (in CAES systems), kinetic
Energy Storage Systems 1115

energy (in FES systems), and chemical energy (in batteries). Unlike these sys-
tems, in direct electricity storage systems, electrical energy is directly stored
in electromagnetic fields with no need for the conversion of electrical energy
to other forms of energy for storage. Two devices that can be used for this
purpose are supercapacitors and superconducting coils.

16.7.1 Supercapacitor Energy Storage Systems

The operational principles of supercapacitors or ultracapacitors are similar
to those of conventional capacitors that have been widely used for over a
century in electronic devices. Every capacitor is composed of an electrical
insulator, called a dielectric, sandwiched between two positive or negative
conductors. The positive and negative charges accumulated on the conduc-
tors form an electric field in the space between them, which stores electrical
energy. This electric field forces the molecules (or atoms) of the dielectric to
align themselves at the opposite direction of the field, which weakens the
field. This allows more charges to be stored in the conductors. A dielectric
can be a layer of plastic, ceramic, or just air.
The ability of a capacitor to store electrical charges is characterized by its
capacitance (C), measured in Farads (F),13 and is expressed by the following
equation (Figure 16.6):

Q
C= (16.20)
V

where C is the capacitance (F), Q is the charge stored in each conductor (posi-
tive or negative) (coulomb, C), and V is the voltage across two conductors (V).
The electrical energy stored in a capacitor can be determined by the follow-
ing equation:

1
E= CV 2 (16.21)
2
where E is the stored electrical energy (J). To increase the energy stored in a
capacitor, we can increase the voltage in which the conductors are connected
to. But any electrical insulator (used as a dielectric) will become a conductor
if it is exposed to a strong enough electromagnetic field. So the voltage across
two conductors is limited and the maximum voltage depends on the type of
the dielectric and the distance between the conductors (or the thickness of
the dielectric). So the only way that the energy stored in a capacitor can be
realistically increased is by increasing its capacitance. Now let us see how we
can increase the capacitance. For a parallel-plate capacitor (Figure 16.6), the
capacitance is expressed by the following equation:

13 After English scientist Michael Faraday (1791–1867) who was pioneer in the fields of electro-
magnetism and electrochemistry. He is considered one of greatest scientists of all time.
1116 Power Plant Engineering

d ɛ

FIGURE 16.6
Schematic of a capacitor.

εA
C= (16.22)
d

where ε is the permittivity of the dielectric (F/m), A is the area of the con-
ductors (m2), and d is the distance between the conductors (m). This equa-
tion indicates that to increase the capacitance of a capacitor, we can either
increase the area of the conductors, increase the permittivity of the dielectric,
or decrease the distance between the conductors.
In supercapacitors, conductors are composed of metallic thin plates coated
with a porous material, typically a carbon-based material such as activated
carbon, graphene, or CNTs. The pores significantly increase the effective area
of the conductors. The most important phenomenon that causes a substan-
tial increase in a supercapacitor’s capacity to store electricity is how the gap
between the conductors is filled. Unlike conventional capacitors that have a
relatively thick dielectric, the space between conductors in supercapacitors is
filled with an electrolyte. In the middle, there is a very thin separator made of
a porous insulator, such as paper; polymer film; or carbon, glass, or ceramic
fibers, to allow the passage of electrolyte’s ions. The electrolyte is a liquid solu-
tion of salts in water or organic solvents that contains positive and negative
ions. This electrolyte fills the pores of the conductors. When a supercapacitor
is connected to a source of electricity and is charged, the electric field cre-
ated between the conductors separates the positive and negative ions on two
sides of the separator. This is called an electric double layer. Consequently,
supercapacitors are commonly referred to as double-layer capacitors or elec-
tric double-layer capacitors (EDLC). Therefore, the energy storage process in
supercapacitors involves both electrostatic and electrochemical processes.
It should be noted that in supercapacitors, the gap between conductors is
dramatically less than that in conventional capacitors. The thickness of an
electric double layer can be just a few molecules. This not only increases
the capacitance on its own, but also allows a huge area of conductors to be
compressed in a small space, which further increases the capacitance. A side
impact of the reduced gap is a lower permissible maximum voltage for super-
capacitors compared to that for conventional capacitors. However, the overall
Energy Storage Systems 1117

impact is substantial increase in the electrical energy that can be stored in

supercapacitors.
The overall impact of the abovementioned factors is that supercapacitors
have much higher specific energy and energy density than conventional
capacitors (we are talking about up to billions of times more!). However, even
the best supercapacitors have specific energy substantially smaller than some
other energy storage systems. The characteristic that distinguishes superca-
pacitors from some other energy storage systems is their ability to charge and
discharge almost instantaneously. In other words, while their specific energy
is low, their specific power is very high. Moreover, they can go through charg-
ing and discharging cycles hundreds of thousand times in the span of 10 years
or more with an extraordinary round trip efficiency of up to 98%. These attri-
butes make them an ideal choice for applications where frequent and rapid
charging and discharging are needed, such as power quality management
and regenerative braking. They are also useful as a voltage stabilizer for wind
turbines and solar photovoltaic units when there is a brief fluctuation in
power generation. It should be noted that supercapacitors require DC power
to charge and they discharge DC power so AC/DC and DC/AC inverters are
needed when they operate with AC power from the grid.

Example 16.16
Large commercial supercapacitors can have a capacitance of several
thousand Farad. Consider a 0.15 kg supercapacitor with the capacitance
of 4000 F that is charged with a 5 V electricity. Determine the energy
stored in the supercapacitor (in J) and its specific energy (in Wh/kg).
Compare the stored energy in the supercapacitor with that in a lead-acid
battery with a capacity of 65 A.h and a voltage of 12 V.
Solution

1 1
ESupercapacitor = CV 2 = × 4000 × 52 = 5 × 10 4 J
2 2

ESupercapacitor 5 × 10 4
Specific energy of supercapacitor = =
mSupercapacitor 0.15

J Wh
= 3.33 × 105 = 92.6
kg kg

EBattery = V ( It ) = 12 × 65 = 780 Wh = 780 × 3600 = 2.8 × 106 J

This example shows that even the largest single supercapacitors can only
store a small fraction of what a lead-acid battery can store. While the
specific energy of this supercapacitor is greater than that of lead-acid bat-
teries, it is still much smaller than that for lithium-ion batteries.
1118 Power Plant Engineering

16.7.2 Superconducting Coils Energy Storage Systems

We know that electric coils store electrical energy when an electric current
passes through them by means of creating an electromagnetic field. The
magnitude of this energy depends on the current and the inductance of the
coil, and can be found by the following equation:

1 2
E= LI (16.23)
2
where E is the stored electrical energy (J), L is the coil inductance (Henry, H),
and I is the current passing through the coil (A). A problem with conven-
tional coils is that they lose a significant amount of energy due to their
electrical resistance against the current. The efforts to reduce electrical resis-
tance and thus the loss of energy in electric coils lead us to the concept of
superconductivity. In the early 20th century, Kamerlingh Onnes (1853–1926,
a Dutch physicist and Nobel laureate) discovered that when the temperature
of some materials is brought to lower than a certain temperature, the resis-
tance abruptly drops to almost zero. This temperature, called the transition
or critical temperature, is typically in the cryogenic range, i.e., lower than
−150°C.
In superconducting magnetic energy storage (SMES) systems, electrical
energy can be stored in a coil made of a superconductor operating at a very
low temperature. This device can store energy with very little to no loss.
These systems enjoy many of the characteristics of supercapacitors, such as
almost instantaneous charge and discharge, very high efficiency, long life
span, and almost unlimited charge and discharge cycles with no perfor-
mance degradation. For these reasons, they share some applications with
supercapacitors. However, since they require a substantial cooling facility
to reduce the temperature of the coil, they are not suitable for small-scale
applications. Similar to supercapacitors, superconducting coils operate with
DC power so inverters are needed when they are used to operate with power
from the grid.

16.8 Thermal Energy Storage Systems

Thermal energy storage systems were briefly discussed in Chapter 12. In
this section, we will cover these systems more extensively beyond just solar
thermal power generation units. Thermal energy storage systems store the
excess thermal energy whenever it is available and provide the stored energy
when it is needed. The duration of the storage can be in the order of a few
hours, days, or even months. An example of long-term thermal energy stor-
age is when solar thermal energy in summer is stored for heating purposes
Energy Storage Systems 1119

in winter. However, in the power generation industry, thermal energy stor-

age systems are used for the short-term applications, typically for hours or
perhaps for a couple of days. Thermal energy storage is generally less expen-
sive than storing energy after its conversion to electricity. Clearly, the proper
insulation of piping systems and equipment is critical in an effective thermal
energy storage system. Thermal energy storage systems also include the stor-
age of “coldness” in the form of ice and cold water.
It should be noted that while these systems are currently used primar-
ily in solar thermal energy systems, they are being seriously considered for
other applications as well. One important example is baseload power plant
where the load variation is very difficult if not impossible, such as geother-
mal and nuclear power plants. These units find it difficult to compete with
inexpensive electricity generated by solar PV systems during the daytime.
So the idea is to store the generated thermal energy when it is not financially
viable to generate electricity and use that energy during peak periods at the
late evening and early night. The technical and financial feasibilities of these
applications are currently under investigation.
Thermal energy can be stored in a single-phase medium (in the form of
sensible heat), a phase-changing medium (in the form of the latent heat of
evaporation or melting), or a chemically active mixture (in the form of the
heat of chemical reactions). In single-phase thermal energy storage systems,
also referred to as sensible heat energy storage systems, heat is stored and
recovered by changing the temperature of the storage medium. The specific
energy and energy density of these systems can be increased by increasing
the temperature difference between the fully charged and the fully dis-
charged system. A drawback of this type of thermal energy storage system is
that the temperature of the energy they release during the discharge varies.
Also, the impact of the thermal expansion of the medium should be consid-
ered in the design. The heat storage medium of molten salts, organic thermal
oils, liquid metals, large blocks of porous solid materials, and bed of solid
materials, such as sand and rock, has been utilized for these systems.
In phase-changing thermal energy storage systems, also referred to as
latent heat energy storage systems, heat is stored and recovered by chang-
ing the phase of the storage medium. This phase change can be from solid
to liquid (melting), and vice versa (solidification), or from liquid to vapor
(evaporation), and vice versa (condensation). Since typically for most materi-
als, the latent heat (per unit of mass) is large, these systems can achieve high
specific energy and energy density. A major advantage of latent heat energy
storage systems is that since the phase change takes place at an isothermal
process, they can provide thermal energy at a constant temperature during
the discharge process.
In steam accumulators or the so-called steam storage steams, a combi-
nation of sensible and latent heat energy storage is used. In these systems,
superheated steam enters a tank, called an accumulator, partly filled (com-
monly by about a half) with cold water. Some steam is accumulated on top of
1120 Power Plant Engineering

the water and increases the pressure of the accumulator. The rest of the steam
condenses and increases the temperature of the water to the saturation tem-
perature of water at the tank pressure. The condensed steam also increases
the level of the water in the tank. By adding more steam, the amount of stored
steam, the pressure of the tank, the temperature of the water, and the water
level in the tank are all increased. The charging process continues until the
pressure of the steam reaches a design pressure. When thermal energy in
the form of steam is needed, saturated steam is discharged from the upper
section of the accumulator (where steam is present). The removal of steam
reduces the pressure of the tank to lower than the saturation pressure of
the saturated water, which results in water boiling and production of more
steam. The process continues until the accumulator is fully discharged and
is returned to its initial conditions. The 11 MW PS10 Solar Power Plant, the
world’s first commercial solar thermal power plant, commissioned in 2007 in
Spain used this type of thermal energy storage systems.
As noted, thermal energy storage can also be in the form of cold water
(sensible energy) storage or ice/ice-slush (latent energy) storage. To produce
cold water or ice, refrigeration systems operate during off-peak periods, com-
monly at night. The stored cold water or ice is used for cooling purposes
during peak periods without adding to the peak load. In power generation,
this approach has been used for compressor inlet air cooling systems for gas
turbines.
In chemical reaction thermal energy storage systems, a reversible chemical
reaction with high heat absorption and release at different directions of the
reaction is used to store thermal energy. The thermal energy storage takes
place during the endothermic reaction, and the thermal energy is released
during the exothermic process. This method has a potential for high specific
energy storage but has not been commercialized yet.

16.9 Questions and Problems

16.9.1 Introduction

16.1. How are spatial and temporal gaps between electricity generation
and consumption filled?
16.2. Which statement is accurate?
a. Electricity is probably the only product that cannot be readily
and economically stored.
b. Electricity should be available whenever and wherever it is
needed by consumers.
Energy Storage Systems 1121

c. The electricity generation industry must be able to collectively

generate enough electricity to meet varying demand all the
time; otherwise, there will be a blackout or brownout.
d. All of the above.
16.3. Why can a fossil fuel-based electrical infrastructure operate with-
out electricity storage?
16.4. Explain why if peak-load power generation units were as efficient
and inexpensive as baseload power plants, energy storage units
would have been undesirable for a fossil fuel-based electrical
infrastructure.
16.5. What are the two objectives of energy storage systems in a fossil
fuel-based electrical infrastructure?
16.6. What is peak shaving? What are the two strategies for peak shav-
ing? Provide an example for each strategy.
16.7. What makes the management of renewable energy-based electri-
cal infrastructure more challenging than that of fossil fuel-based
one?
16.8. What is the duck curve problem? What problem is manifested by
this curve?
16.9. In California, while solar energy has been able to significantly
reduce the … for electricity generation, it has almost no impact on
the … power generation.
a. peak load – overall fossil fuel consumption
b. overall fossil fuel consumption – peak-load
c. baseload – peak-load
d. peak load – baseload
16.10. Explain why the development in energy storage technologies is
so important in shaping the future of the electricity generation
industry.

16.9.2 Characterization of Energy Storage Technologies

16.11. What is the principle idea of energy storage systems?

16.12. Define the round trip efficiency. Why is it important?
16.13. Explain why and how the system boundary definition and what
components are included in the system impact the efficiency of an
energy storage system. Provide an example.
16.14. How does the duration of the energy storage impact the round trip
efficiency of the system? Provide an example.
16.15. What is the self-discharge time (SDT) of an energy storage system?
How is it related to the depth of discharge (DOD)?
1122 Power Plant Engineering

16.16. A low depth of discharge … the round trip efficiency of some

energy storage systems.
a. reduces
b. increases
c. does not impact
16.17. A low DOD … the energy density and specific energy of an energy
storage device.
a. reduces
b. increases
c. does not impact
16.18. In terms of the time required to store and deliver energy, energy
storage devices can be divided into three groups. Name these
groups. What is the time scale of each group? Provide an example
for each group.
16.19. Explain how energy storage systems can be used to maintain the
quality of electrical power.
16.20. What is the quality of electricity? What are the important factors
for the quality of electricity?
16.21. What is the most important characteristic of energy storage sys-
tems used for maintaining power quality?
16.22. How can electricity storage systems provide power when switch-
ing from one electricity source to another?
16.23. What is the specific energy or energy-to-mass ratio of an energy
storage system? What is its unit? What about the energy density or
energy-to-volume ratio?
16.24. How is the system longevity defined for an energy storage
system?
16.25. In terms of physical principles used to store energy, energy storage
systems can be generally divided into ….
16.26. What form of energy is stored in the following energy storage
technologies?
• Batteries
• Flywheels
• Supercapacitors
• Hydropower plants
• Springs
• Superconducting coils
• Elevated masses
• Thermal energy storage systems
Energy Storage Systems 1123

16.9.3 Gravitational Energy Storage

16.27. Assume you live in the twentieth floor of an apartment complex.

In order to reduce your electricity bill, you would like to store
your peak-load period electricity consumption during the night
time when the cost of electricity is substantially lower by raising
0.5 × 0.4 × 0.1 m concrete blocks from ground to your apartment.
Determine the number of blocks you need if your average peak-
load electricity consumption is 10 kWh/day. Assume each floor
is 3 m high and there is no energy loss. The density of concrete is
2400 kg/m3.
16.28. A power plant with a capacity of 1000 MW (a midsize power plant)
operates for an hour at the full load. How many midsize cars (with
a mass of about 1500 kg each) are needed to be raised to the height
of 100 m to store this much energy?
16.29. Among various energy storage technologies, … energy storage
units are the only ones currently making a meaningful contribu-
tion to the electricity generation industry.
16.30. Which energy storage technology shares similar technologies
with conventional hydropower plants?
16.31. What are the advantages of pumped hydro storage plants?
16.32. What are the major sources of energy losses in pumped hydro
storage plants?
16.33. In a pumped hydro plant, the system efficiencies during the pump
mode and the turbine mode are equal.
a. True
b. False
16.34. Why is the energy storage time in a pumped hydro plant typically
longer than the power generation period?
16.35. Pumped hydro plants are rated for their power ….
a. storage capacity
b. generation capacity
16.36. The Grand Coulee Dam is equipped with a pumped hydro storage
system. The surface area of the lake behind the dam is 324 km2. The
water surface level is 116 m above the turbine. During the pump
mode, enough water is pumped to raise the water level behind the
dam by 5 cm. Determine the gravitational potential energy stored
by this water in J and MWh.
16.37. In the previous problem, the Grand Coulee Dam is equipped with
six pump-turbine assemblies with a total capacity of 314 MW. If
the system operates for five hours in the pump mode, determine
1124 Power Plant Engineering

the rise in the level of water behind the dam (in cm). The efficiency
of the system in the pump mode is 88%.
16.38. A fossil fuel power plant with a capacity of 2000 MW (a relatively
large fossil fuel power plant) operates for two hours at the full
load. This energy is stored in the Grand Coulee Dam. Determine
the rise in the level of the upper reservoir.
16.39. A dam is equipped with a pumped hydro storage system. The sur-
face area of the lake behind the dam is 250 km2. The water surface
level is 60 m above the turbine. During the pump mode, enough
water is pumped to raise the water level behind the dam by 30 cm.
Determine the gravitational potential energy stored by this water
in J and MWh.
16.40. In the previous problem, the pump-turbine assembly has a total
capacity of 220 MW. If the system operates for four hours in the
pump mode, determine the rise in the level of water behind the
dam (in cm). The efficiency of the system in the pump mode
is 86%.
16.41. Explain how pumped hydro plants can be integrated to conven-
tional hydropower plants. How do they operate?
16.42. What are pump-back plants?
16.43. What is the difference between open-loop and closed-loop
pumped hydro plants?
16.44. Explain the components of the system connecting the upper and
lower reservoirs in a pumped hydro plant.
16.45. What is the most common impulse hydro turbine? Explain its
operational principle.
16.46. What are the components of a Pelton turbine? What is the function
of each component?
16.47. At what heads and flow rates Pelton turbines operate their best?
16.48. Conduct research to understand and explain Turgo turbines and a
cross-flow turbine.
16.49. Explain how Kaplan turbines work. At what heads and flow rates
Kaplan turbines operate their best?
16.50. Which type of turbines is the most commonly used hydro turbine
today?
16.51. What is the problem with single-speed pump-turbine units in
pumped hydro units? How is this problem solved in newer
units?
16.52. In the following schematic of a pumped hydro plant, name the
four components.
Energy Storage Systems 1125

16.9.4 Compressed Air Energy Storage Systems

16.53. Explain a compressed air energy storage (CAES) system in its sim-
plest form.
16.54. Explain why if the high-pressure air is stored for a long time and the
air is cooled down by heat transfer to the environment, the cold air
cannot generate electricity that is remotely close to the energy used
to compress the same air. How can this problem be addressed?
16.55. What is the concept behind the adiabatic compressed air energy
storage systems? Name the two approaches for this purpose. How
do they work?
16.56. Explain how diabatic or hybrid compressed air energy storage sys-
tems work.
16.57. The world’s second utility-size compressed air energy storage
system was built in 1991 in McIntosh, Alabama. The plant has
a power generation capacity of 110 MW and the energy storage
capacity of 2860 MWh. Assuming the ambient temperature and
pressure of 20°C and 1 bar, the stored air pressure of 45 bar, the
turbine and compressor isentropic efficiency of 82%, determine
how many hours the plant can operate at the full load after it is
fully charged, the temperature of the compressor and turbine out-
let flows, the mass and volume of the stored air, and the mass
flow rate of the turbine. Assume that the temperature of the com-
pressed air is returned at its initial temperature before expansion
by burning natural gas so the temperature of the compressor exit
flow is equal to the temperature of the turbine inlet flow. Also,
there is no pressure drop in the container, and the compressed air
temperature in the container is equal to the ambient temperature.
Use the ideal gas assumption with a constant specific heat.
16.58. A compressed air energy storage system has a power generation
capacity of 2000 MW and the energy storage capacity of 30,000
MWh. Assuming the ambient temperature and pressure of 20°C
and 1 bar, the stored air pressure of 100 bar, and the turbine and
1126 Power Plant Engineering

compressor isentropic efficiency of 85%, determine how many

hours the plant can operate at the full load after it is fully charged,
the temperature of the compressor and turbine outlet flows, the
mass and volume of the stored air, and the mass flow rate of the
turbine. Assume that the temperature of the compressed air is
returned to its initial temperature before expansion by burning
natural gas so the temperature of the compressor exit flow is equal
to the temperature of the turbine inlet flow. Also, there is no pres-
sure drop in the container and the compressed air temperature in
the container is equal to the ambient temperature. Use the ideal
gas assumption with a constant specific heat.
16.59. Repeat the previous problem by varying the pressure from 20 to
200 bar with an increment of 20 bar, and determine the volume of
the needed container for each case.
16.60. Explain how constant-volume or constant-pressure compressed
air containers work. What are the advantages and disadvantages
of each container?
16.61. Describe how underwater air energy storage systems work.

16.9.5 Flywheel Energy Storage Systems

16.62. Explain how flywheel energy storage systems work. What form of
energy is stored in them?
16.63. List some of the applications of flywheel energy storage systems.
16.64. What are the main components of flywheel energy storage
systems?
16.65. How is friction in bearings and friction due to air drag force elimi-
nated in flywheels?
16.66. Why is a flywheel housing typically vacuumed?
16.67. In a concept car (prototype), the car manufacturer Volvo installed
a 6-kg flywheel with a diameter of 20 cm and a spinning speed
of 60,000 rpm to store energy through regenerative braking.14
Determine the energy that the flywheel can store (in kJ).
16.68. A power plant with a capacity of 1500 MW operates for 30 minutes
at the full load. Determine the number of flywheels from the pre-
vious problem that are needed to store this much energy.
16.69. As a designer, you have an option to choose between an aluminum
alloy and concrete to manufacture a flywheel for an energy stor-
age system. Which material will you choose? Justify your answer.
The tensile strengths of aluminum alloy and concrete are 483 and

14 https://newatlas.com/volvo-flywheel-kers-testing/27273/.
Energy Storage Systems 1127

4 MPa, respectively, and their densities are 2800 and 2600 kg/m3,

respectively.
16.70. Explain why making flywheel disk out of high-density materials
is not a good idea. What parameter should be considered for the
selection of material? What type of materials are currently being
used for this purpose?

16.9.6 Batteries

16.71. What are primary and secondary batteries?

16.72. What are some applications of rechargeable batteries?
16.73. How is the capacity of a battery expressed? What is its unit?
16.74. What are the three main components of every battery cell?
16.75. Why are the anode and cathode electrodes in a lead-acid battery
made of highly porous materials?
16.76. What is the electrolyte in a lead-acid battery?
16.77. What are the compositions of the anode and cathode of a lead-acid
battery when the battery is fully charged?
16.78. Using the following overall cell reaction, explain how a lead-acid
battery works.
Pb ( s) + PbO 2 ( s) + 2H 2 SO 4 (aq ) → 2PbSO 4 ( s) + 2H 2 O
16.79. For each mole of the reacted Pb (and PbO2), … moles of sulfuric
acid is converted to water.
a. 0.5
b. 1
c. 2
d. 4
16.80. What is the open-circuit voltage (OCV) of a battery?
16.81. How can the density (or more commonly specific gravity) of the
electrolyte be used to indicate the level of charge in a battery?
How can the specific gravity of the electrolyte be measured?
16.82. In cold weather, why is it advisable to keep a lead-acid battery
fully charged?
16.83. What is the electromotive force (EMF) of a cell?
16.84. The charging process of a lead-acid battery results in the conver-
sion of … to … in the anode and to … in the cathode.
a. PbSO4 – PbO2 – Pb
b. PbO2 – Pb – PbSO4
1128 Power Plant Engineering

c. PbSO4 – Pb – PbO2
d. Pb – PbO2 – PbSO4
16.85. In the charging process of a lead-acid battery, in the electrolyte,
sulfuric acid is converted to water.
a. True
b. False
16.86. Why should batteries be protected from overcharging?
16.87. Explain why in some lead-acid batteries, the water level should be
checked regularly.
16.88. Explain how electrodes are manufactured for lead-acid batteries.
16.89. Describe the internal structure of lead-acid batteries.
16.90. What is the form of the electrolyte in the following battery types?
• wet or flooded batteries
• gel or dry batteries
• absorbed glass mat batteries
16.91. Why are some batteries referred to as maintenance-free batteries?
16.92. Why are some batteries referred to as valve-regulated lead-acid
(VRLA) batteries?
16.93. When a battery is used to power a device, its voltage compared to
the open-circuit voltage ….
a. increases
b. decreases
c. remains unchanged
16.94. Explain how the capacity of batteries is typically expressed. What
is its unit? Which factors impact this capacity?
16.95. What does the capacity at 20hr mean for a lead-acid battery?
16.96. A battery has an open-circuit voltage of 20 V, an internal resis-
tance of 0.22 Ω, and a capacity of 150 A.h. Determine the poten-
tial difference between the terminals and the duration of the
operation of the battery if the current is (a) 1 A, (b) 5 A, (c) 10 A,
and (d) 50 A.
16.97. The maximum voltage a battery can provide is 30 V, and the maxi-
mum current it can provide is 100 A. Determine the internal resis-
tance and VOC of the battery.
16.98. A power plant with a capacity of 2000 MW operates for 2 hours
at the full load. This energy is stored in a battery pack made of
batteries each with a capacity of 70 A.h and a voltage of 12 V.
Determine the number of batteries needed for this purpose.
16.99. What is the round trip efficiency of lead-acid batteries?
Energy Storage Systems 1129

16.100. What types of lead-acid batteries are used in automotive applica-

tions? Why do they suit this application?
16.101. What is the definition of a deep discharge?
16.102. Why are thin electrolyte lead-acid batteries suitable for automotive
applications? Explain why their relatively low number of complete
cycles is not a problem for these applications.
16.103. How is the thickness of electrode plates in a battery related to its
service life?
16.104. Provide the two examples for batteries that have to go through
many deep discharge cycles.
16.105. What are deep-cycle lead-acid batteries? Which applications are
they suitable for?
16.106. Deep-cycle lead-acid batteries have more active electrode materi-
als but lower peak current. Why?
a. True
b. False
16.107. What are the advantages and disadvantages of lithium-ion
batteries?
16.108. Describe how batteries from retired electric cars can be used for
the large-scale energy storage.
16.109. How can currently in service electric and hybrid cars provide a
distributed energy storage capability at residential units?
16.110. Why are molten-salt batteries sometimes referred to as thermal
batteries?
16.111. What are the advantages of molten-salt batteries?

16.9.7 Direct Electricity Storage Systems

1 6.112. In direct electricity storage systems, how is electricity stored?

16.113. What are the components of a capacitor?
16.114. Explain how and why a dielectric can increase electrical energy
stored in a capacitor.
16.115. Can we increase the energy stored in a capacitor by changing the
voltage in which the conductors are connected to? What is the
limit for increasing this voltage?
16.116. How can the capacitance of a capacitor be increased?
16.117. Explain why and how the capacitance of supercapacitors is sub-
stantially higher than that of conventional capacitors.
16.118. Which statement is not correct?
1130 Power Plant Engineering

a. Even the best supercapacitors have specific energy substan-

tially smaller than some other energy storage systems.
b. Supercapacitors can charge and discharge almost instantaneously.
c. While supercapacitors’ specific energy is high, their specific
power is very low.
d. Supercapacitors have a round trip efficiency of up to 98%.
16.119. For what type of applications are supercapacitors ideal for?
16.120. Why are inverters needed when supercapacitors operate with the
grid?
16.121. Consider a 0.2 kg supercapacitor with the capacitance of 10000 F
that is charged with a 4 V electricity. Determine the energy stored
in the supercapacitor (in J) and its specific energy (in Wh/kg).
Compare the stored energy in the supercapacitor with that in a
lead-acid battery with a capacity of 200 A.h and a voltage of 24 V.
16.122. Explain how electrical energy can be stored in electric coils. What
is the main source of energy loss in them? How can superconduct-
ing coils address this loss?
16.123. What are the pros and cons of superconducting magnetic energy
storage (SMES) systems?

16.9.8 Thermal Energy Storage Systems

16.124. Thermal energy storage is generally less expensive than storing

energy after its conversion to electricity.
a. True
b. False
16.125. Explain how and why thermal energy storage systems are being
considered for some baseload power plants.
16.126. What are different types of thermal energy storage systems
according to the medium used for storage?
16.127. How is thermal energy stored in single-phase thermal energy
storage systems? What are some drawbacks of these systems?
16.128. List some media that have been used in single-phase thermal
energy storage systems.
16.129. How is thermal energy stored in phase-changing thermal energy
storage systems? What are some advantages of these systems?
16.130. Explain how steam accumulators store thermal energy in the form
of both sensible and latent heat energy.
16.131. Explain how chemical reaction thermal energy storage systems
work.
Energy Storage Systems 1131

16.9.9 General

16.132. Why do we need energy storage?

• In a fossil fuel-based infrastructure
• In a renewable energy-based infrastructure
16.133. Why is the reversible pump-turbine and motor-generator set typi-
cally used in pumped hydro plants?
16.134. In most energy storage systems, electrical energy is converted to
other forms of energy before being stored. In the following energy
storage systems, determine the form of energy that is stored.
• Pumped hydroelectric energy storage systems
• Compressed air energy storage systems
• Flywheel energy storage systems
• Batteries
• Supercapacitors
• Superconducting coils
16.135. The power density and energy density of energy storage systems
are the same.
a. True
b. False
16.136. Which one is a better choice to achieve the maximum specific
energy in a flywheel energy storage system: high-strength steel
alloy ASTM A514 or titanium. The tensile strengths of the steel
alloy and titanium are 760 and 370 MPa, respectively, and their
densities are 7800 and 4500 kg/m3, respectively.
16.137. Determine how many midsize cars (with a mass of about 1500 kg
each) should be raised to the height of 100 m to store sufficient
energy to fully power an average house in the U.S. for a day. What
about Boeing 737-MAX (with a mass of about 45,000 kg each)?
Assume no energy losses.
16.138. A flywheel energy storage system uses a 2-kg disk with a diam-
eter of 120 cm that spins with a rotational speed of 60,000 rpm.
Determine the energy stored in the flywheel in kJ.
16.139. In a pump-back plant, the surface area of the lake behind the dam
is 65 km2. During the pump mode, enough water is pumped to
raise the water level behind the dam by 20 cm. The water surface
level is 95 m above the turbine. Determine the gravitational poten-
tial energy stored by this water in J and MWh.
16.140. In the previous problem, the pump-turbine assembly has a total
capacity of 5 MW. If the system operates for three hours in the
1132 Power Plant Engineering

pump mode, determine the rise in the level of water behind the
dam (in cm). The efficiency of the system in the pump mode
is 89%.
16.141. Determine the energy stored in the supercapacitor with the capac-
itance of 1000 F that is charged with a 9 V electricity (in J).
16.142. A power plant with a capacity of 1500 MW operates for 30 minutes
at the full load. This energy is stored in the dam in Problem 139.
Determine the rise in the level of the upper reservoir.
16.143. A flywheel is made of carbon fiber with a density of 2000 kg/m3.
The flywheel is a cylinder with a diameter of 50 cm and a height of
40 cm. Determine the energy that can be stored in the flywheel if
it spins with the rotational speed of 90,000 rpm (in MJ).
16.144. Any action or strategy that reduces the peak load is called ….
16.145. Explain the functions of energy storage systems in a renewable-
based energy infrastructure.
16.146. Which one(s) is electrical–mechanical storage system?
a. Pumped hydro
b. Compressed air
c. Spring, torsion bars, mass elevation
d. Flywheels
e. Batteries
f. Thermal energy storage systems
g. Superconducting coils
16.147. Which one(s) is the sources of losses in pumped hydroplants?
a. Motor and pump losses
b. Seepage into ground
c. Leakage from pipes and equipment
d. Evaporation in upper reservoir
e. Generator and turbine losses
f. All of them
16.148. What is the oldest type of battery?
16.149. What is the difference between the power density and the energy
density of energy storage systems?
16.150. In the utility level, two types of energy storage are electrical–
mechanical storage and thermal storage.
a. True
b. False
Energy Storage Systems 1133

16.151. Explain why the temperature of the outlet flow from a compressor
is much higher than the temperature of the inlet flow. Why is it a
good idea to store this thermal energy in CAES systems? How can
the thermal energy be stored and used?
16.152. What are the three main components of every battery?
16.153. Provide an application of energy storage systems that requires
short charging/discharging times (seconds to minutes).
16.154. The discharging process of a lead-acid battery results in the con-
version of … to … in the anode and … to … in the cathode.
a. PbSO4 – PbO2 – PbSO4 – Pb
b. PbO2 – PbSO4 – Pb – PbSO4
c. PbSO4 – Pb – PbSO4 – PbO2
d. Pb – PbSO4 – PbO2 – PbSO4
16.155. What are the advantages of the adiabatic storage of compressed
air?
16.156. In the discharging process of a lead-acid battery, in the electrolyte,
sulfuric acid is converted to water.
a. True
b. False
16.157. The voltage of a battery depends on the … taking place in the bat-
tery. The current however depends on the …, which in turn is a
function of the … of the electrodes.
16.158. What type of batteries is the most developed and used one?
16.159. Energy storage systems operate based on a wide variety of tech-
nologies and physical principles.
a. True
b. False
16.160. Why do we need a storage system in a solar thermal power plant?
16.161. In the following diagram, explain each component.

Voc r

Battery
1134 Power Plant Engineering

1 6.162. In the above circuit, what is the equation to find I?

16.163. What are deep-discharge lead-acid batteries?
16.164. The voltage produced by a battery when there is no load (open-
circuit voltage) is 14 V. In the above circuit, if r = R = 0.01 Ω, deter-
mine the current I and the voltage across battery terminals.
16.165. There are several ways to characterize the numerous energy
storage technologies. One of these characterizations is the time
interval of storing energy or delivering it to a load (charging or
discharging the device).
a. True
b. False
16.166. What is the adiabatic storage of compressed air?
16.167. Explain why batteries used in nonelectric vehicles are not suitable
for energy storage systems.
16.168. Which one(s) is a direct electrical energy storage system?
a. batteries
b. superconducting coils
c. compressed air systems
d. flywheels
e. ultracapacitors
16.169. Pumped hydro plants are typically rated according to their power
output (MW) not input power.
a. True
b. False
16.170. What does CAES stand for?
16.171. Explain the operation of lead-acid batteries.
16.172. Which one is not a characteristic of high-speed flywheels?
a. high energy density
b. high maintenance
c. long life
d. high efficiency
16.173. What are various types of energy storage systems in solar thermal
power plants?
16.174. Why are battery cells connected in series or parallel inside a bat-
tery pack?
16.175. What form of energy is stored in the following energy storage
systems?
• Pumped hydro
Energy Storage Systems 1135

• Compressed air
• Spring and mass elevation
• Flywheels
16.176. How can the difference between the open-circuit voltage of a bat-
tery and its operating voltage be reduced?
1 6.177. The following reaction is given for a battery. What type of battery
is this? Using the given electrochemical reactions, describe how
this battery works.

Pb ( s) + PbO 2 ( s) + 2H 2 SO 4 (aq ) → 2PbSO 4 ( s) + 2H 2 O

16.178. Where is compressed air typically stored in a large-scale energy
storage system?
16.179. Pumped hydro is a gravitational potential energy storage system.
a. True
b. False
16.180. Why do not we raise solid objects to store gravitational potential
energy in them as an energy storage strategy?
16.181. What is the main application of deep-discharge lead-acid batteries?
16.182. In pumped hydro plants, why is a minimum horizontal distance
between lower and upper reservoirs important?
16.183. Compressed air systems are suitable for large-scale energy storage
systems.
a. True
b. False
16.184. Why do we need a vacuum pump in flywheel energy storage systems?
16.185. Explain how ultracapacitors can directly store electricity.
16.186. The voltage of a battery is fixed by its electrochemical reactions
and is known for each battery type.
a. True
b. False
16.187. Describe the two main methods for thermal energy storage in
solar thermal power plants.
16.188. Explain what a duck curve is. Why is it important? How is it
related to energy storage systems?
16.189. Describe why in the past ultracapacitors were not suitable for
energy storage. What has changed in this regard recently?
16.190. What is the main difference between the applications of b atteries
in nonelectric vehicles and energy storage systems? Why are deep-
discharge lead-acid batteries used for the latter applications?
1136 Power Plant Engineering

16.191. Explain the difference between energy and power density in

energy storage systems.
16.192. In a fossil fuel-based energy infrastructure, why do we need
energy storage?
16.193. Explain how superconducting coils can be used as direct electric-
ity storage systems.
16.194. What is an example of electrochemical energy storage systems?
16.195. What are the pros and cons of pumped hydro plants?
16.196. The energy stored in a flywheel rotating at a speed of ω and
moment of inertia I is ….
16.197. Energy management or load leveling allows energy generated
when the demand is low to be released hours later at times of peak
demand. This application requires an energy storage system with
long charging/discharging times.
a. True
b. False
16.198. Why often pumped hydro plants are adjunct to standard hydro-
power plants?
16.199. What is the short circuit of a battery? What is its unit?
16.200. What are the three types of energy storage systems based on how
long is required to charge and discharge them?
16.201. What is the unit of energy storage capacity of a battery?
16.202. In a pump hydro storage system, both or one of the lower and
upper reservoirs can be natural (river or lake) or artificially
excavated.
a. True
b. False
16.203. What is the most developed and used energy storage system for
large plants?
16.204. A power plant with a capacity of 1000 MW (a midsize power plant)
operates for an hour at the full load. How many Being 747 (with
a mass of about 180,000 kg each) are needed to be raised to the
height of the tip of Eifel tower (at 324 m) to store this much energy?
16.205. Provide an application of energy storage systems that requires
long charging/discharging times (minutes to many hours).
16.206. Why do pumped hydro plants need two reservoirs: lower and
upper ones?
Appendix 1: Supplemental Tables

Reproduced by permission of Taylor and Francis Group, LLC, a division of
Informa plc.)

Contents of Supplemental Tables Page

A.1 Properties of Saturation: Temperature (Water)
A.2 Properties of Saturation Pressures (Water)
A.3 Properties of Superheated Steam
A.4 Properties of Compressed Liquid (Water)
A.1 (SI) Properties of Saturation: Temperature (Water)
A.2 (SI) Properties of Saturation Pressures (Water)
A.3 (SI) Properties of Superheated Steam
A.4 (SI) Properties of Compressed Liquid (Water)
A.5 Gas Constant Values
A.6 Critical Constants
A.7 Ideal Gas Properties of Air
A.7 (SI) Ideal Gas Properties of Air

1137
TABLE A.1
1138

Saturation Temperature (Water)

Specific Volume
(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)
Temp. Press. Sat. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
°F psi Liquid vf Vapor vg Liquid u f Evap. ufg Vapor ug Liquid h f h fg Vapor hg Liquid s f s fg Vapor sg
32 0.08859 0.016022 3305 0.01 1021.2 1021.2 0.01 1075.4 1075.4 0.00003 2.1870 2.1870
32.018 0.08866 0.016022 3302 0.00 1021.2 1021.2 0.01 1075.4 1075.4 0.00000 2.1869 2.1869
35 0.09992 0.016021 2948 0.2.99 1019.2 1022.2 3.00 1073.7 1076.7 0.00607 2.1704 2.1764
40 0.12166 0.016020 2445 0.8.02 1015.8 1023.9 8.02 1070.9 1078.9 0.01617 2.1430 2.1592
45 0.14748 0.016021 2037 13.04 1012.5 1025.5 13.04 1068.1 1081.1 0.02618 2.1162 2.1422
50 0.17803 0.016024 1704.2 18.06 1009.1 1027.2 18.06 1065.2 1083.3 0.03607 2.0899 2.1259
60 0.2563 0.016035 1206.9 28.08 1002.4 1030.4 28.08 1059.6 1087.7 0.05555 2.0388 2.0943
70 0.3632 0.016051 867.7 38.09 995.6 1033.7 38.09 1054.0 1092.0 0.07463 1.9896 2.0642
80 0.5073 0.016073 632.8 48.08 988.9 1037.0 48.09 1048.3 1096.4 0.09332 1.9423 2.0356
90 0.6988 0.016099 467.7 58.07 982.2 1040.2 58.07 1042.7 1100.7 0.11165 1.8966 2.0083
100 0.9503 0.016130 350.0 68.04 975.4 1043.5 68.05 1037.0 1105.0 0.12963 1.8526 1.9822
110 1.2763 0.016166 265.1 78.02 968.7 1046.7 78.02 1031.3 1109.3 0.14730 1.8101 1.9574
120 1.6945 0.016205 203.0 87.99 961.9 1049.9 88.00 1025.5 1113.5 0.16465 1.7690 1.9336
130 2.225 0.016247 157.17 97.97 955.1 1053.0 97.98 1019.8 1117.8 0.18172 1.7292 1.9109
140 2.892 0.016293 122.88 107.95 948.2 1056.2 107.96 1014.0 1121.9 0.19851 1.6907 1.8892
150 3.722 0.016343 96.99 117.95 941.3 1059.3 117.96 1008.1 1126.1 0.21503 1.6533 1.8684
160 4.745 0.016395 77.23 127.94 934.4 1062.3 127.96 1002.2 1130.1 0.23130 1.6171 1.8484
170 5.996 0.016450 62.02 137.95 927.4 1065.4 137.97 996.2 1134.2 0.24732 1.5819 1.8293
180 7.515 0.016509 50.20 147.97 920.4 1068.3 147.99 990.2 1138.2 0.26311 1.5478 1.8109
190 9.343 0.016570 40.95 158.0 913.3 1071.3 158.03 984.1 1142.1 0.27866 1.5146 1.7932
(Continued)
Appendix 1
TABLE A.1 (Continued)
Saturation Temperature (Water)
Specific Volume
Appendix 1

(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)

Temp. Press. Sat. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
°F psi Liquid vf Vapor vg Liquid u f Evap. ufg Vapor ug Liquid h f h fg Vapor hg Liquid s f s fg Vapor sg
200 11.529 0.016634 33.63 168.04 906.2 1074.2 168.07 977.9 1145.9 0.29400 1.4822 1.7762
210 14.125 0.016702 27.82 178.10 898.9 1077.0 178.14 971.6 1149.7 0.30913 1.4508 1.7599
220 17.188 0.016772 23.15 188.17 891.7 1079.8 188.22 965.3 1153.5 0.32406 1.4201 1.7441
230 20.78 0.016845 19.386 198.26 884.3 1082.6 198.32 958.8 1157.1 0.33880 1.3901 1.7289
240 24.97 0.016922 16.327 208.36 876.9 1085.3 208.44 952.3 1160.7 0.35335 1.3609 1.7143
250 29.82 0.017001 13.826 218.49 869.4 1087.9 218.59 945.6 1164.2 0.36772 1.3324 1.7001
260 35.42 0.017084 11.768 228.64 861.8 1090.5 228.76 938.8 1167.6 0.38193 1.3044 1.6864
270 41.85 0.017170 10.066 238.82 854.1 1093.0 238.95 932.0 1170.9 0.39597 1.2771 1.6731
280 49.18 0.017259 8.650 249.02 846.3 1095.4 249.18 924.9 1174.1 0.40986 1.2504 1.6602
290 57.53 0.017352 7.467 259.25 838.5 1097.7 259.44 917.8 1177.2 0.42360 1.2241 1.6477
300 66.98 0.017448 6.472 269.52 830.5 1100.0 269.73 910.4 1180.2 0.47320 1.1984 1.6356
310 77.64 0.017548 5.632 279.81 822.3 1102.1 280.06 903.0 1183.0 0.45067 1.1731 1.6238
320 89.60 0.017652 4.919 290.14 814.1 1104.2 290.43 895.3 1185.8 0.46400 1.1483 1.6123
330 103.00 0.017760 4.312 300.51 805.7 1106.2 300.84 887.5 1188.4 0.47722 1.1238 1.6010
340 117.93 0.017872 3.792 310.91 797.1 1108.0 311.30 879.5 1190.8 0.49031 1.0997 1.5901
350 134.53 0.017988 3.346 321.35 788.4 1109.8 321.80 871.3 1193.1 0.50329 1.0760 1.5793
360 152.92 0.018108 2.961 331.84 779.6 1111.4 332.35 862.9 1195.2 0.51617 1.0526 1.5688
370 173.23 0.018233 2.628 342.37 770.6 1112.9 342.96 854.2 1197.2 0.52894 1.0295 1.5585
380 195.60 0.018363 2.339 352.95 761.4 1114.3 353.62 845.4 1199.0 0.54163 1.0067 1.5483
390 220.2 0.018498 2.087 363.58 752.0 1115.6 364.34 836.2 1200.6 0.55422 0.9841 1.5383
400 247.1 0.018638 1.8661 374.27 742.4 1116.6 375.12 826.8 1202.0 0.56672 0.9617 1.5284
(Continued)
1139
1140

TABLE A.1 (Continued)

Saturation Temperature (Water)
Specific Volume
(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)
Temp. Press. Sat. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
°F psi Liquid vf Vapor vg Liquid u f Evap. ufg Vapor ug Liquid h f h fg Vapor hg Liquid s f s fg Vapor sg
425 325.6 0.019014 1.4249 401.24 717.4 1118.6 402.38 802.1 1204.5 0.59767 0.9066 1.5043
450 422.1 0.019433 1.1011 428.6 690.9 1119.5 430.2 775.4 1205.6 0.6282 0.8523 1.4806
475 539.3 0.019901 0.8594 456.6 662.6 1119.2 458.5 746.4 1204.9 0.6586 0.7985 1.4571
500 680.0 0.02043 0.6761 485.1 632.3 1117.4 487.7 714.8 1202.5 0.6888 0.7448 1.4335
525 847.1 0.02104 0.5350 514.5 599.5 1113.9 517.8 680.0 1197.8 0.7191 0.6906 1.4007
550 1044.0 0.02175 0.4249 544.9 563.7 1108.6 549.1 641.6 1190.6 0.7497 0.6354 1.3851
575 1274.0 0.02259 0.3378 576.5 524.3 1100.8 581.9 598.6 1180.4 0.7808 0.5785 1.3593
600 1541.0 0.02363 0.2677 609.9 480.1 1090.0 616.7 549.7 1166.4 0.8130 0.5187 1.3317
625 1849.7 0.02494 0.2103 645.7 429.4 1075.1 654.2 492.9 1147.0 0.8467 0.4544 1.3010
650 2205 0.02673 0.16206 685.0 368.7 1053.7 695.9 423.9 1119.8 0.8831 0.3820 1.2651
675 2616 0.02951 0.11952 731.0 289.3 1020.3 745.3 332.9 1078.2 0.9252 0.2934 1.2186
700 3090 0.03666 0.07438 801.7 145.9 947.7 822.7 167.5 990.2 0.9902 0.1444 1.1346
705.44 3204 0.05053 0.05053 872.6 0 872.6 902.5 0 902.5 1.0580 0 1.0580
Appendix 1
TABLE A.2
Saturation Pressure (Water)
Specific Volume
Appendix 1

(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)

Press. Temp. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
psi °F Liquid vf Vapor vg Liquid u f u fg Vapor. ug Liquid h f hfg Vapor hg Liquid s f s fg Vapor sg
0.50 79.56 0.016071 641.5 47.64 989.2 1036.9 47.65 1048.6 1096.2 0.09250 1.9443 2.0368
1.0 101.70 0.016136 333.6 69.74 974.3 1044.0 69.74 1036.0 1105.8 0.13266 1.8453 1.9779
1.5 115.65 0.016187 227.7 83.65 964.8 1048.5 83.65 1028.0 1111.7 0.15714 1.7867 1.9438
2.0 126.04 0.016230 173.75 94.02 957.8 1051.8 94.02 1022.1 1116.1 0.17499 1.7448 1.9198
3.0 141.43 0.016300 118.72 109.38 947.2 1056.6 109.39 1013.1 1122.5 0.20089 1.6852 1.8861
4.0 152.93 0.016358 90.64 120.88 939.3 1060.2 120.89 1006.4 1127.3 0.21983 1.6426 1.8624
5.0 162.21 0.016407 73.53 130.15 932.9 1063.0 130.17 1000.9 1131.0 0.23486 1.6093 1.8441
7.5 179.91 0.016508 50.30 147.88 920.4 1068.3 147.90 990.2 1138.1 0.26297 1.5481 1.8110
10 193.19 0.016590 38.42 161.20 911.0 1072.2 161.23 982.1 1143.3 0.28358 1.5041 1.7877
14.696 211.99 0.016715 26.80 180.10 897.5 1077.6 180.15 970.4 1150.5 0.31212 1.4446 1.7567
15 213.03 0.016723 26.29 181.14 896.8 1077.9 181.19 969.7 1150.9 0.31367 1.4414 1.7551
20 227.96 0.016830 20.09 196.19 885.8 1082.0 196.26 960.1 1156.4 0.33580 1.3962 1.7320
25 240.08 0.016922 16.306 208.44 867.9 1085.3 208.52 952.2 1160.7 0.35345 1.3607 1.7142
30 250.34 0.017004 13.748 218.84 869.2 1088.0 218.93 945.4 1164.3 0.36821 1.3314 1.6996
35 259.30 0.017078 11.900 227.93 862.4 1090.3 228.04 939.3 1167.4 0.38093 1.3064 1.6873
40 267.26 0.017146 10.501 236.03 856.2 1092.3 236.16 933.8 1170.0 0.39214 1.2845 1.6767
45 274.46 0.017209 9.403 243.37 850.7 1094.0 243.51 928.8 1172.3 0.40218 1.2651 1.6673
50 281.03 0.017269 8.518 250.08 845.5 1095.6 250.24 924.2 1174.4 0.41129 1.2476 1.6589
55 287.10 0.017325 7.789 256.28 840.8 1097.0 256.46 919.9 1176.3 0.41963 1.2317 1.6513
60 292.73 0.017378 7.177 262.06 836.3 1098.3 262.25 915.8 1178.0 0.42733 1.2170 1.6444
65 298.00 0.017429 6.657 267.46 832.1 1099.5 267.67 911.9 1179.6 0.43450 1.2035 1.6380
(Continued)
1141
TABLE A.2 (Continued)
1142

Saturation Pressure (Water)

Specific Volume
(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)
Press. Temp. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
psi °F Liquid vf Vapor vg Liquid u f u fg Vapor. ug Liquid h f hfg Vapor hg Liquid s f s fg Vapor sg
70 302.96 0.017478 6.209 272.56 828.1 1100.6 272.79 908.3 1181.0 0.44120 1.1909 1.6321
75 307.63 0.017524 5.818 277.37 824.3 1101.6 277.61 904.8 1182.4 0.44749 1.1790 1.6265
80 312.07 0.017570 5.474 281.95 820.6 1102.6 282.21 901.4 1183.6 0.45344 1.1679 1.6214
85 316.29 0.017613 5.170 286.30 817.1 1103.5 286.58 898.2 1184.8 0.45907 1.1574 1.6165
90 320.31 0.017655 4.898 290.46 813.8 1104.3 290.76 895.1 1185.9 0.46442 1.1475 1.6119
95 324.16 0.017696 4.654 294.45 810.6 1105.0 294.76 892.1 1186.9 0.46952 1.1380 1.6076
100 327.86 0.017736 4.434 298.28 807.5 1105.8 298.61 889.2 1187.8 0.47439 1.1290 1.6034
105 331.41 0.017775 4.234 301.97 804.5 1106.5 302.31 886.4 1188.7 0.47906 1.1204 1.5995
110 334.82 0.017813 4.051 305.52 801.6 1107.1 305.88 883.7 1189.6 0.48355 1.1122 1.5957
115 338.12 0.017850 3.884 308.95 798.8 1107.7 309.33 881.0 1190.4 0.48786 1.1042 1.5921
120 341.30 0.017886 3.730 312.27 796.0 1108.3 312.67 878.5 1191.1 0.49201 1.0966 1.5886
125 344.39 0.017922 3.588 315.49 793.3 1108.8 315.90 875.9 1191.8 0.49602 1.0893 1.5853
130 347.37 0.017957 3.457 318.61 790.7 1109.4 319.04 873.5 1192.5 0.49989 1.0822 1.5821
135 350.27 0.017991 3.335 321.64 788.2 1109.8 322.08 871.1 1193.2 0.50364 1.0754 1.5790
140 353.08 0.018024 3.221 324.58 785.7 1110.3 325.05 868.7 1193.8 0.50727 1.0688 1.5761
145 355.82 0.018057 3.115 327.45 783.3 1110.8 327.93 866.4 1194.4 0.51079 1.0624 1.5732
150 358.48 0.018089 3.016 330.24 781.0 1111.2 330.75 864.2 1194.9 0.51422 1.0562 1.5704
160 363.60 0.018152 2.836 335.63 776.4 1112.0 336.16 859.8 1196.0 0.52078 1.0443 1.5651
170 368.47 0.018214 2.676 340.76 772.0 1112.7 341.33 855.6 1196.9 0.52700 1.0330 1.5600
(Continued)
Appendix 1
TABLE A.2 (Continued)
Saturation Pressure (Water)
Specific Volume
Appendix 1

(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)

Press. Temp. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
psi °F Liquid vf Vapor vg Liquid u f u fg Vapor. ug Liquid h f hfg Vapor hg Liquid s f s fg Vapor sg
180 373.13 0.018273 2.533 345.68 767.7 1113.4 346.29 851.5 1197.8 0.53292 1.0223 1.5553
190 377.59 0.018331 2.405 350.39 763.6 1114.0 351.04 847.5 1198.6 0.53857 1.0122 1.5507
200 381.86 0.018387 2.289 354.9 759.6 1114.6 355.6 843.7 1199.3 0.5440 1.0025 1.5464
225 391.87 0.018523 2.043 365.6 750.2 1115.8 366.3 834.5 1200.8 0.5566 0.9799 1.5365
250 401.04 0.018653 1.8448 375.4 741.4 1116.7 376.2 825.8 1202.1 0.5680 0.9594 1.5274
275 409.52 0.018777 1.6813 384.5 733.0 1117.5 385.4 817.6 1203.1 0.5786 0.9406 1.5192
300 417.43 0.018896 1.5442 393.0 725.1 1118.2 394.1 809.8 1203.9 0.5883 0.9232 1.5115
350 431.82 0.019124 1.3267 408.7 710.3 1119.0 409.9 795.0 1204.9 0.6060 0.8917 1.4978
400 444.70 0.019340 1.1620 422.8 696.7 1119.5 424.2 781.2 1205.5 0.6218 0.8638 1.4856
450 456.39 0.019547 1.0326 435.7 683.9 1119.6 437.4 768.2 1205.6 0.6360 0.8385 1.4746
500 467.13 0.019748 0.9283 447.7 671.7 1119.4 449.5 755.8 1205.3 0.6490 0.8154 1.4645
550 477.07 0.019943 0.8423 458.9 660.2 1119.1 460.9 743.9 1204.8 0.6611 0.7941 1.4551
600 486.33 0.02013 0.7702 469.4 649.1 1118.6 471.7 732.4 1204.1 0.6723 0.7742 1.4464
700 503.23 0.02051 0.6558 488.9 628.2 1117.0 491.5 710.5 1202.0 0.6927 0.7378 1.4305
800 518.36 0.02087 0.5691 506.6 608.4 1115.0 509.7 689.6 1199.3 0.7110 0.7050 1.4160
900 532.12 0.02123 0.5009 523.0 589.6 1112.6 526.6 669.5 1196.0 0.7277 0.6750 1.4027
1000 544.75 0.02159 0.4459 538.4 571.5 1109.9 542.4 650.0 1192.4 0.7432 0.6471 1.3903
1250 572.56 0.02250 0.3454 573.4 528.3 1101.7 578.6 603.0 1181.6 0.7778 0.5841 1.3619
1500 596.39 0.02346 0.2769 605.0 486.9 1091.8 611.5 557.2 1168.7 0.8082 0.5276 1.3359
(Continued)
1143
1144

TABLE A.2 (Continued)

Saturation Pressure (Water)
Specific Volume
(ft. 3/lbm) Internal Energy (Btu/lbm) Enthalpy (Btu/lbm) Entropy (Btu/lbm·°R)
Press. Temp. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
psi °F Liquid vf Vapor vg Liquid u f u fg Vapor. ug Liquid h f hfg Vapor hg Liquid s f s fg Vapor sg
1750 617.31 0.02450 0.2268 634.4 445.9 1080.2 642.3 511.4 1153.7 0.8361 0.4748 1.3109
2000 649.20 0.02565 0.8813 662.4 404.2 1066.6 671.9 464.4 1136.3 0.8623 0.4238 1.2861
2250 652.90 0.02698 0.15692 689.9 360.7 1050.6 701.1 414.8 1115.9 0.8876 0.3728 1.2604
2500 668.31 0.02860 0.13059 717.7 313.4 1031.0 730.9 360.5 1091.4 0.9131 0.3196 1.2327
2750 682.46 0.03077 0.10717 747.3 258.6 1005.9 763.0 297.4 1060.4 0.9401 0.2604 1.2005
3000 695.52 0.03431 0.08404 783.4 185.4 968.8 802.5 213.0 1015.5 0.9732 0.1843 1.1575
3203.6 705.44 0.05053 0.05053 872.6 0 872.6 902.5 0 902.5 1.0580 0 1.0580
Appendix 1
TABLE A.3
Properties of Superheated Steam
Vapor (psia)
Appendix 1

P psi (T Sat. °F) 14.696 (211.99) 20 (227.96) 30 (250.34)

T °F v u h s v u h s v u h s
Sat. 26.80 1077.6 1150.5 1.7567 20.09 1082.0 1156.4 1.7320 13.748 1088.0 1164.3 1.6996
150 24.10 1054.5 1120.0 1.7090 17.532 1052.0 1116.9 1.6710 11.460 1047.3 1111.0 1.6185
160 24.54 1058.2 1125.0 1.7171 17.870 1056.0 1122.1 1.6795 11.701 1051.6 1116.5 1.6275
170 24.98 1062.0 1129.9 1.7251 18.204 1059.9 1127.2 1.6877 11.938 1055.8 1122.0 1.6364
180 25.42 1065.7 1134.9 1.7328 18.535 1063.8 1132.4 1.6957 12.172 1059.9 1127.5 1.6449
190 25.85 1069.5 1139.8 1.7405 18.864 1067.6 1137.4 1.7036 12.403 1064.0 1132.9 1.6533
200 26.29 1073.2 1144.7 1.7479 19.191 1071.4 1142.5 1.7113 12.631 1068.1 1138.2 1.6615
210 26.72 1076.9 1149.5 1.7553 19.515 1075.2 1147.5 1.7188 12.857 1072.1 1143.5 1.6694
220 27.15 1080.6 1154.4 1.7624 19.837 1079.0 1152.4 1.7762 13.081 1076.1 1148.7 1.6771
230 27.57 1084.2 1159.2 1.7695 20.157 1082.8 1157.4 1.7335 13.303 1080.0 1153.9 1.6847
240 28.00 1087.9 1164.0 1.7764 20.475 1086.5 1162.3 1.7405 13.523 1084.0 1159.0 1.6921
250 28.42 1091.5 1168.8 1.7832 20.79 1090.3 1167.2 1.7475 13.741 1087.9 1164.1 1.6994
260 28.85 1095.2 1173.6 1.7899 21.11 1094.0 1172.1 1.7543 13.958 1091.7 1169.2 1.7064
270 29.27 1098.8 1178.4 1.7965 21.42 1097.7 1177.0 1.7610 14.173 1095.6 1174.2 1.7134
280 29.69 1102.4 1183.1 1.8030 21.73 1101.4 1181.8 1.7676 14.387 1099.4 1179.2 1.7202
290 30.11 1106.0 1187.9 1.8094 22.05 1105.0 1186.6 1.7741 14.600 1103.2 1184.2 1.7269
300 30.52 1109.6 1192.6 1.8157 22.36 1108.7 1191.5 1.7805 14.812 1106.9 1189.2 1.7334
310 30.94 1113.2 1197.4 1.8219 22.67 1112.4 1196.3 1.7868 15.023 1110.7 1194.1 1.7399
320 31.36 1116.8 1202.1 1.8280 22.98 1116.0 1201.0 1.7930 15.233 1114.4 1199.0 1.7462
330 31.77 1120.4 1206.8 1.8340 23.28 1119.7 1205.8 1.7991 15.442 1118.2 1203.9 1.7525
340 32.19 1124.0 1211.6 1.8400 23.59 1123.3 1210.6 1.8051 15.651 1121.9 1208.8 1.7586
(Continued)
1145
TABLE A.3 (Continued)
1146

Properties of Superheated Steam

Vapor (psia)

P psi (T Sat. °F) 14.696 (211.99) 20 (227.96) 30 (250.34)

T °F v u h s v u h s v u h s
Sat. 26.80 1077.6 1150.5 1.7567 20.09 1082.0 1156.4 1.7320 13.748 1088.0 1164.3 1.6996
350 32.60 1127.6 1216.3 1.8458 23.90 1126.9 1215.4 1.8110 15.859 1125.6 1213.6 1.7646
360 33.02 1131.2 1221.0 1.8516 24.21 1130.6 1220.1 1.8168 16.067 1129.3 1218.5 1.7706
370 33.43 1134.8 1225.7 1.8574 24.51 1134.2 1224.9 1.8226 16.273 1133.0 1223.3 1.7765
380 33.84 1138.4 1230.5 1.8630 24.82 1137.8 1229.7 1.8283 16.480 1136.7 1228.1 1.7822
390 34.26 1142.0 1235.2 1.8686 25.12 1141.4 1234.4 1.8340 16.686 1140.3 1233.0 1.7880
400 34.67 1145.6 1239.9 1.8741 25.43 1145.1 1239.2 1.8395 16.891 1144.0 1237.8 1.7936
420 35.49 1152.8 1249.3 1.8850 26.03 1152.3 1248.7 1.8504 17.301 1151.4 1247.4 1.8047
440 36.31 1160.1 1258.8 1.8956 26.64 1159.6 1258.2 1.8611 17.709 1158.7 1257.0 1.8155
460 37.13 1167.3 1268.3 1.9060 27.25 1166.9 1267.7 1.8716 18.116 1166.1 1266.6 1.8260
480 37.95 1174.6 1277.8 1.9162 27.85 1174.2 1277.2 1.8819 18.523 1173.4 1276.2 1.8364
500 38.77 1181.8 1287.3 1.9263 28.46 1181.5 1286.8 1.8919 18.928 1180.8 1285.9 1.8465
520 39.59 1189.1 1296.8 1.9361 29.06 1188.8 1296.3 1.9018 19.333 1188.2 1295.5 1.8564
540 40.41 1196.5 1306.4 1.9457 29.66 1196.1 1305.9 1.9114 19.737 1195.5 1305.1 1.8661
560 41.22 1203.8 1315.9 1.9552 30.26 1203.5 1315.5 1.9210 20.140 1203.0 1314.8 1.8757
580 42.04 1211.2 1325.5 1.9645 30.87 1210.9 1325.2 1.9303 20.543 1210.4 1324.4 1.8851
600 42.86 1218.6 1335.2 1.9737 31.47 1218.4 1334.8 1.9395 20.95 1217.8 1334.1 1.8943
620 43.67 1226.1 1344.8 1.9827 32.07 1225.8 1344.5 1.9485 21.35 1225.3 1343.8 1.9034
640 44.49 1233.5 1354.5 1.9916 32.67 1233.3 1354.2 1.9575 21.75 1232.8 1353.6 1.9123
660 45.30 1241.0 1364.2 2.0004 33.27 1240.8 1363.9 1.9662 22.15 1240.4 1363.3 1.9211
680 46.12 1248.6 1374.0 2.0090 33.87 1248.3 1373.7 1.9749 22.55 1247.9 1373.1 1.9298
(Continued)
Appendix 1
TABLE A.3 (Continued)
Properties of Superheated Steam
Appendix 1

Vapor (psia)

P psi (T Sat. °F) 14.696 (211.99) 20 (227.96) 30 (250.34)

T °F v u h s v u h s v u h s
700 46.93 1256.1 1383.8 2.0175 34.47 1255.9 1383.5 1.9834 22.95 1255.5 1383.0 1.9384
720 47.75 1263.7 1393.6 2.0259 35.07 1263.5 1393.3 1.9918 23.35 1263.2 1392.8 1.9468
740 48.56 1271.4 1403.4 2.0342 35.66 1271.2 1403.2 2.0001 23.75 1270.8 1402.7 1.9551
760 49.37 1279.0 1413.3 2.0424 36.26 1278.8 1413.0 2.0082 24.15 1278.5 1412.6 1.9633
780 50.19 1286.7 1423.2 2.0504 36.86 1286.5 1423.0 2.0163 24.55 1286.2 1422.5 1.9714
800 51.00 1294.4 1433.1 2.0584 37.46 1294.3 1432.9 2.0243 24.95 1294.0 1432.5 1.9793
850 53.03 1313.9 1458.1 2.0778 38.96 1313.8 1457.9 2.0438 25.95 1313.5 1457.6 1.9988
900 55.07 1333.6 1483.4 2.0967 40.45 1333.5 1483.2 2.0627 26.95 1333.2 1482.8 1.0178
950 57.10 1353.5 1508.8 2.1151 41.94 1353.4 1508.6 2.0810 27.95 1353.2 1508.3 2.0362
1000 59.13 1373.7 1534.5 2.1330 43.44 1373.5 1534.3 2.0989 28.95 1373.3 1534.0 2.0541
1100 63.19 1414.6 1586.4 2.1674 46.42 1414.5 1586.3 2.1334 30.94 1414.3 1586.1 2.0886
1200 67.25 1456.5 1639.3 2.2003 49.41 1456.4 1639.2 2.1663 32.93 1456.2 1639.1 2.1215
1300 71.30 1499.3 1693.2 2.2318 52.39 1499.2 1693.1 2.1978 34.92 1499.1 1692.9 2.1530
1400 75.36 1543.0 1747.9 2.2621 55.37 1542.9 1747.9 2.2281 36.91 1542.8 1747.7 2.1833
1500 79.42 1587.6 1803.6 2.2912 58.35 1587.6 1803.5 2.2572 38.90 1587.5 1803.4 2.2125
1600 83.47 1633.2 1860.2 2.3194 61.33 1633.2 1860.1 2.2854 40.88 1633.1 1860.0 2.2407
1800 91.58 1727.0 1976.1 2.3731 67.29 1727.0 1976.1 2.3391 44.86 1726.9 1976.0 2.2944
2000 99.69 1824.4 2095.5 2.4237 73.25 1824.3 2095.4 2.3897 48.83 1824.2 2095.3 2.3450
2200 107.80 1924.8 2218.0 2.4716 79.21 1924.8 2218.0 2.4376 52.81 1924.7 2217.9 2.3929
2400 115.91 2028.1 2343.4 2.5170 85.17 2028.1 2343.3 2.4830 56.78 2028.0 2343.3 2.4383
(Continued)
1147
TABLE A.3 (Continued)
1148

Properties of Superheated Steam

Vapor (psia)
P (T Sat.) 40 (267.26) 50(281.03) 60(292.73)
T v u h s v u h s v u h s
Sat. 10.501 1092.3 1170.0 1.6767 8.518 1095.6 1174.4 1.6589 7.177 1098.3 1178.0 1.6444
200 9.346 1064.6 1133.8 1.6243 7.370 1060.9 1129.1 1.5940 6.047 1057.1 1124.2 1.5680
210 9.523 1068.8 1139.3 1.6327 7.519 1065.4 1135.0 1.6029 6.178 1061.9 1130.5 1.5774
220 9.699 1073.0 1144.8 1.6409 7.665 1069.9 1140.8 1.6115 6.307 1066.6 1136.6 1.5864
230 9.872 1077.2 1150.3 1.6488 7.810 1074.2 1146.5 1.6198 6.432 1071.2 1142.6 1.5952
240 10.043 1081.3 1155.6 1.6565 7.952 1078.6 1152.1 1.6279 6.556 1075.7 1148.5 1.6036
250 10.212 1085.4 1161.0 1.6641 8.092 1082.8 1157.7 1.6358 6.677 1080.1 1154.3 1.6118
260 10.380 1089.4 1166.2 1.6714 8.231 1087.0 1163.1 1.6434 6.797 1084.5 1160.0 1.6198
270 10.546 1093.4 1171.4 1.6786 8.368 1091.1 1168.5 1.6509 6.915 1088.8 1165.6 1.6275
280 10.711 1097.3 1176.6 1.6857 8.504 1095.2 1173.9 1.6582 7.031 1093.0 1171.1 1.6351
290 10.875 1101.2 1181.7 1.6926 8.639 1099.2 1179.2 1.6653 7.146 1097.2 1176.5 1.6424
300 11.038 1105.1 1186.8 1.6993 8.772 1103.2 1184.4 1.6722 7.260 1101.3 1181.9 1.6496
310 11.200 1109.0 1191.9 1.7059 8.904 1107.2 1189.6 1.6790 7.373 1105.4 1187.3 1.6565
320 11.360 1112.8 1196.9 1.7124 9.036 1111.2 1194.8 1.6857 7.485 1109.5 1192.6 1.6634
330 11.520 1116.6 1201.9 1.7188 9.166 1115.1 1199.9 1.6922 7.596 1113.5 1197.8 1.6700
340 11.680 1120.4 1206.9 1.7251 9.296 1119.0 1205.0 1.6986 7.706 1117.4 1203.0 1.6766
350 11.838 1124.2 1211.8 1.7312 9.425 1122.8 1210.0 1.7049 7.815 1121.4 1208.2 1.6830
360 11.996 1128.0 1216.8 1.7373 9.553 1126.7 1215.1 1.7110 7.924 1125.3 1213.3 1.6893
370 12.153 1131.7 1221.7 1.7432 9.681 1130.5 1220.1 1.7171 8.032 1129.2 1218.4 1.6955
380 12.310 1135.5 1226.6 1.7491 9.808 1134.3 1225.0 1.7231 8.139 1133.1 1223.5 1.7015
(Continued)
Appendix 1
TABLE A.3 (Continued)
Properties of Superheated Steam
Vapor (psia)
Appendix 1

P (T Sat.) 40 (267.26) 50(281.03) 60(292.73)

T v u h s v u h s v u h s
390 12.467 1139.2 1231.5 1.7549 9.935 1138.1 1230.0 1.7290 8.246 1136.9 1228.5 1.7075
400 12.623 1143.0 1236.4 1.7606 10.061 1141.9 1235.0 1.7348 8.353 1140.8 1233.5 1.7134
420 12.933 1150.4 1246.1 1.7718 10.312 1149.4 1244.8 1.7461 8.565 1148.4 1243.5 1.7249
440 13.243 1157.8 1255.8 1.7828 10.562 1156.9 1254.6 1.7572 8.775 1156.0 1253.4 1.7360
460 13.551 1165.2 1265.5 1.7934 10.811 1164.4 1264.4 1.7679 8.984 1163.6 1263.3 1.7469
480 13.858 1172.7 1275.2 1.8038 11.059 1171.9 1274.2 1.7784 9.192 1171.1 1273.2 1.7575
500 14.164 1180.1 1284.9 1.8140 11.305 1179.4 1284.0 1.7887 9.399 1178.6 1283.0 1.7678
520 14.469 1187.5 1294.6 1.8240 11.551 1186.8 1293.7 1.7988 9.606 1186.2 1292.8 1.7780
540 14.774 1194.9 1304.3 1.8338 11.796 1194.3 1303.5 1.8086 9.811 1193.7 1302.6 1.7879
560 15.078 1202.4 1314.0 1.8434 12.041 1201.8 1313.2 1.8183 10.016 1201.2 1312.4 1.7976
580 15.382 1209.9 1323.7 1.8529 12.285 1209.3 1323.0 1.8277 10.221 1208.8 1322.2 1.8071
600 15.685 1217.3 1333.4 1.8621 12.529 1216.8 1332.8 1.8371 10.425 1216.3 1332.1 1.8165
620 15.988 1224.8 1343.2 1.8713 12.772 1224.4 1342.5 1.8462 10.628 1223.9 1341.9 1.8257
640 16.291 1232.4 1353.0 1.8802 13.015 1231.9 1352.4 1.8552 10.832 1231.5 1351.7 1.8347
660 16.593 1239.9 1362.8 1.8891 13.258 1239.5 1362.2 1.8641 11.035 1239.1 1361.6 1.8436
680 16.895 1247.5 1372.6 1.8977 13.500 1247.1 1372.0 1.8728 11.237 1246.7 1371.5 1.8523
700 17.196 1255.1 1382.4 1.9063 13.742 1254.8 1381.9 1.8814 11.440 1254.4 1381.4 1.8609
720 17.498 1262.8 1392.3 1.9147 13.984 1262.4 1391.8 1.8898 11.642 1262.0 1391.3 1.8694
740 17.799 1270.5 1402.2 1.9231 14.226 1270.1 1401.7 1.8982 11.844 1269.7 1401.2 1.8778
760 18.100 1278.2 1412.1 1.9313 14.467 1277.8 1411.7 1.9064 12.045 1277.5 1411.2 1.8860
780 18.401 1285.9 1422.1 1.9394 14.708 1285.6 1421.7 1.9145 12.247 1285.2 1421.2 1.8942
1149

(Continued)
1150

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 40 (267.26) 50(281.03) 60(292.73)
T v u h s v u h s v u h s
800 18.701 1293.7 1432.1 1.9474 14.949 1293.3 1431.7 1.9225 12.448 1293.0 1431.2 1.9022
850 19.452 1313.2 1457.2 1.9669 15.551 1312.9 1456.8 1.9421 12.951 1312.7 1456.4 1.9218
900 20.202 1333.0 1482.5 1.9859 16.152 1332.7 1482.2 1.9611 13.452 1332.5 1481.8 1.9408
950 20.951 1352.9 1508.0 2.0043 16.753 1352.7 1507.7 1.9796 13.954 1352.5 1507.4 1.9593
1000 21.700 1373.1 1533.8 2.0223 17.352 1372.9 1533.5 1.9975 14.454 1372.7 1533.2 1.9773
1100 23.20 1414.2 1585.9 2.0568 18.551 1414.0 1585.6 2.0321 15.454 1413.8 1585.4 2.0119
1200 24.69 1456.1 1638.9 2.0897 19.747 1456.0 1638.7 2.0650 16.452 1455.8 1638.5 2.0448
1300 26.18 1498.9 1692.8 2.1212 20.943 1498.8 1692.6 2.0966 17.449 1498.7 1692.4 2.0764
1400 27.68 1542.7 1747.6 2.1515 22.138 1542.6 1747.4 2.1269 18.445 1542.5 1747.3 2.1067
1500 29.17 1587.4 1803.3 2.1807 23.332 1587.3 1803.2 2.1561 19.441 1587.2 1803.0 2.1359
1600 30.66 1633.0 1859.9 2.2089 24.53 1632.9 1859.8 2.1843 20.44 1632.8 1859.7 2.1641
1800 33.64 1726.9 1975.9 2.2626 26.91 1726.8 1975.8 2.2380 22.43 1726.7 1975.7 2.2179
2000 36.62 1824.2 2095.3 2.3132 29.30 1824.1 2095.2 2.2886 24.41 1824.0 2095.1 2.2685
2200 39.61 1924.7 2217.8 2.3611 31.68 1924.6 2217.8 2.3365 26.40 1924.5 2217.7 2.3164
2400 42.59 2028.0 2343.2 2.4066 34.07 2027.9 2343.1 2.3820 28.39 2027.8 2343.1 2.3618
(Continued)
Appendix 1
TABLE A.3 (Continued)
Properties of Superheated Steam
Vapor (psia)
Appendix 1

P (T Sat.) 80 (312.07) 100 (327.86) 140 (353.08) 180 (373.13)

T v u h s v u h s v u h s v u h s
Sat. 5.474 1102.6 1183.6 1.6214 4.434 1105.8 1187.8 1.6034 3.221 1110.3 1193.8 1.5761 2.533 1113.4 1197.8 1.5553
250 4.902 1074.5 1147.1 1.5720
260 4.998 1079.3 1153.3 1.5806
270 5.093 1083.9 1159.3 1.5890
280 5.186 1088.5 1165.2 1.5970
290 5.277 1092.9 1171.1 1.6049
300 5.367 1097.4 1176.8 1.6125 4.228 1093.1 1171.4 1.5822
310 5.456 1101.7 1182.5 1.6199 4.303 1097.7 1177.4 1.5900 2.978 1089.2 1166.4 1.5414
320 5.544 1106.0 1188.0 1.6271 4.377 1102.3 1183.3 1.5976 3.037 1094.3 1173.0 1.5499
330 5.631 1110.2 1193.5 1.6341 4.449 1106.7 1189.1 1.6050 3.094 1099.3 1179.4 1.5581
340 5.717 1114.3 1199.0 1.6409 4.521 1111.1 1194.8 1.6121 3.150 1104.1 1185.7 1.5661
350 5.802 1118.5 1204.3 1.6476 4.592 1115.4 1200.4 1.6191 3.205 1108.9 1191.9 1.5737 2.429 1101.7 1182.6 1.5368
360 5.886 1122.5 1209.7 1.6541 4.662 1119.7 1205.9 1.6259 3.259 1113.5 1198.0 1.5812 2.475 1106.9 1189.3 1.5450
370 5.970 1126.6 1215.0 1.6605 4.731 1123.9 1211.4 1.6326 3.312 1118.1 1203.9 1.5884 2.520 1111.9 1195.8 1.5529
380 6.053 1130.6 1220.2 1.6668 4.799 1128.0 1216.8 1.6391 3.364 1122.6 1209.7 1.5954 2.563 1116.7 1202.1 1.5605
390 6.135 1134.6 1225.4 1.6730 4.867 1132.1 1222.2 1.6455 3.415 1127.0 1215.5 1.6022 2.606 1121.5 1208.3 1.5678
400 6.217 1138.5 1230.6 1.6790 4.934 1136.2 1227.5 1.6517 3.466 1131.4 1221.2 1.6088 2.648 1126.2 1214.4 1.5749
410 6.299 1142.5 1235.7 1.6850 5.001 1140.3 1232.8 1.6578 3.517 1135.7 1226.8 1.6153 2.690 1130.8 1220.4 1.5818
420 6.380 1146.4 1240.8 1.6908 5.068 1144.3 1238.1 1.6638 3.567 1139.9 1232.3 1.6217 2.731 1135.3 1226.3 1.5886
(Continued)
1151
TABLE A.3 (Continued)
1152

Properties of Superheated Steam

Vapor (psia)
P (T Sat.) 80 (312.07) 100 (327.86) 140 (353.08) 180 (373.13)
T v u h s v u h s v u h s v u h s
430 6.460 1150.3 1245.9 1.6966 5.134 1148.3 1243.3 1.6697 3.616 1144.1 1237.8 1.6279 2.771 1139.8 1232.1 1.5951
440 6.541 1154.2 1251.0 1.7022 5.199 1152.3 1248.5 1.6755 3.665 1148.3 1243.3 1.6339 2.811 1144.2 1237.8 1.6015
450 6.621 1158.0 1256.0 1.7078 5.265 1156.2 1253.6 1.6812 3.713 1152.4 1248.6 1.6399 2.850 1148.5 1243.4 1.6078
460 6.700 1161.9 1261.1 1.7133 5.330 1160.1 1258.8 1.6868 3.762 1156.5 1254.0 1.6458 2.889 1152.8 1249.0 1.6139
470 6.780 1165.7 1266.1 1.7188 5.394 1164.1 1263.9 1.6923 3.810 1160.6 1259.3 1.6515 2.928 1157.0 1254.6 1.6199
480 6.859 1169.6 1271.1 1.7241 5.459 1168.0 1269.0 1.6978 3.857 1164.7 1264.6 1.6572 2.966 1161.3 1260.1 1.6257
490 6.938 1173.4 1276.1 1.7294 5.523 1171.8 1274.0 1.7032 3.904 1168.7 1269.9 1.6627 3.005 1165.4 1265.5 1.6315
500 7.017 1177.2 1281.1 1.7346 5.587 1175.7 1279.1 1.7085 3.952 1172.7 1275.1 1.6682 3.042 1169.6 1270.9 1.6372
600 7.794 1215.3 1330.7 1.7838 6.216 1214.2 1329.3 1.7582 4.412 1212.1 1326.4 1.7191 3.409 1210.0 1323.5 1.6893
620 7.948 1222.9 1340.6 1.7930 6.340 1221.9 1339.3 1.7675 4.502 1219.9 1336.6 1.7286 3.481 1217.9 1333.9 1.6990
640 8.102 1230.5 1350.5 1.8021 6.464 1229.6 1349.2 1.7767 4.592 1227.7 1346.7 1.7379 3.552 1225.8 1344.1 1.7084
660 8.255 1238.2 1360.4 1.8111 6.588 1237.3 1359.2 1.7857 4.682 1235.6 1356.8 1.7470 3.623 1233.8 1354.4 1.7177
680 8.408 1245.9 1370.4 1.8199 6.711 1245.0 1369.2 1.7946 4.771 1243.4 1367.0 1.7560 3.693 1241.7 1364.7 1.7268
700 8.561 1253.6 1380.3 1.8285 6.834 1252.8 1379.2 1.8033 4.860 1251.2 1377.1 1.7648 3.763 1249.6 1374.9 1.7357
720 8.714 1261.3 1390.3 1.8371 6.957 1260.5 1389.3 1.8118 4.949 1259.0 1387.2 1.7735 3.833 1257.5 1385.2 1.7445
740 8.866 1269.0 1400.3 1.8455 7.079 1268.3 1399.3 1.8203 5.037 1266.9 1397.4 1.7820 3.903 1265.4 1395.4 1.7531
760 9.018 1276.8 1410.3 1.8538 7.201 1276.1 1409.4 1.8286 5.125 1274.7 1407.5 1.7904 3.972 1273.4 1405.7 1.7615
780 9.170 1284.6 1420.3 1.8619 7.324 1283.9 1419.5 1.8368 5.214 1282.6 1417.7 1.7986 4.041 1281.3 1415.9 1.7699
800 9.321 1292.4 1430.4 1.8700 7.445 1291.8 1429.6 1.8449 5.301 1290.5 1427.9 1.8068 4.110 1289.3 1426.2 1.7781
1000 10.831 1372.3 1532.6 1.9453 8.657 1371.9 1532.1 1.9204 6.173 1371.0 1531.0 1.8827 4.793 1370.2 1529.8 1.8545
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 80 (312.07) 100 (327.86) 140 (353.08) 180 (373.13)
T v u h s v u h s v u h s v u h s
1100 11.583 1413.5 1584.9 1.9799 9.260 1413.1 1584.5 1.9551 6.605 1412.4 1583.6 1.9176 5.131 1411.7 1582.6 1.8894
1200 12.333 1455.5 1638.1 2.0130 9.861 1455.2 1637.7 1.9882 7.036 1454.6 1636.9 1.9507 5.467 1454.0 1636.1 1.9227
1300 13.081 1498.4 1692.1 2.0446 10.461 1498.2 1691.8 2.0198 7.466 1497.7 1691.1 1.9824 5.802 1497.2 1690.4 1.9544
1400 13.830 1542.3 1747.0 2.0749 11.060 1542.0 1746.7 2.0502 7.895 1541.6 1746.1 2.0129 6.137 1541.2 1745.6 1.9849
1500 14.577 1587.0 1802.8 2.1041 11.659 1586.8 1802.5 2.0794 8.324 1586.4 1802.0 2.0421 6.471 1586.0 1801.5 2.0142
1600 15.324 1632.6 1859.5 2.1323 12.257 1632.4 1859.3 2.1076 8.752 1632.1 1858.8 2.0704 6.804 1631.7 1858.4 2.0425
1800 16.818 1726.5 1975.5 2.1861 13.452 1726.4 1975.3 2.1614 9.607 1726.1 1975.0 2.1242 7.470 1725.8 1974.6 2.0964
2000 18.310 1823.9 2094.9 2.2367 14.647 1823.7 2094.8 2.2121 10.461 1823.5 2094.5 2.1749 8.135 1823.2 2094.2 2.1470
2200 19.802 1924.4 2217.5 2.2846 15.842 1924.3 2217.4 2.2600 11.315 1924.0 2217.1 2.2228 8.800 1923.7 2216.8 2.1950
2400 21.294 2027.7 2342.9 2.3301 17.036 2027.5 2342.8 2.3054 12.169 2027.3 2342.5 2.2682 9.465 2027.0 2342.2 2.2404
(Continued)
1153
TABLE A.3 (Continued)
1154

Properties of Superheated Steam

Vapor (psia)
P (T Sat.) 200 (381.86) 300 (417.43) 350 (431.82) 400 (444.70)
T v u h s v u h s v u h s v u h s
Sat. 2.289 1114.6 1199.3 1.5464 1.5442 1118.2 1203.9 1.511 1.3267 1119.0 1204.9 1.4978 1.1620 1119.5 1205.5 1.4856
400 2.361 1123.5 1210.8 1.5600 1.4915 1108.2 1191.0 1.4967
410 2.399 1128.2 1217.0 1.5672 1.5221 1114.0 1198.5 1.5054
420 2.437 1132.9 1223.1 1.5741 1.5517 1119.6 1205.7 1.5136 1.2950 1112.0 1195.9 1.4875
430 2.475 1137.5 1229.1 1.5809 1.5805 1125.0 1212.7 1.5216 1.3219 1117.9 1203.6 1.4962 1.1257 1110.3 1193.6 1.4723
440 2.511 1142.0 1234.9 1.5874 1.6086 1130.3 1219.6 1.5292 1.3480 1123.7 1211.0 1.5045 1.1506 1116.6 1201.7 1.4814
450 2.548 1146.4 1240.7 1.5938 1.6361 1135.4 1226.2 1.5365 1.3733 1129.2 1218.2 1.5125 1.1745 1122.6 1209.6 1.4901
460 2.584 1150.8 1246.5 1.6001 1.6630 1140.4 1232.7 1.5436 1.3979 1134.6 1225.2 1.5201 1.1977 1128.5 1217.1 1.4984
470 2.619 1155.2 1252.1 1.6062 1.6894 1145.3 1239.1 1.5505 1.4220 1139.9 1232.0 1.5275 1.2202 1134.1 1224.4 1.5063
480 2.654 1159.5 1257.7 1.6122 1.7154 1150.1 1245.3 1.5572 1.4455 1145.0 1238.6 1.5346 1.2421 1139.6 1231.5 1.5139
490 2.689 1163.7 1263.3 1.6181 1.7410 1154.8 1251.5 1.5637 1.4686 1150.0 1245.1 1.5415 1.2634 1144.9 1238.4 1.5212
500 2.724 1168.0 1268.8 1.6239 1.7662 1159.5 1257.5 1.5701 1.4913 1154.9 1251.5 1.5482 1.2843 1150.1 1245.2 1.5282
510 2.758 1172.2 1274.2 1.6295 1.7910 1164.1 1263.5 1.5763 1.5136 1159.7 1257.8 1.5546 1.3048 1155.2 1251.8 1.5351
520 2.792 1176.3 1279.7 1.6351 1.8156 1168.6 1269.4 1.5823 1.5356 1164.5 1263.9 1.5610 1.3249 1160.2 1258.2 1.5417
530 2.826 1180.5 1285.0 1.6405 1.8399 1173.1 1275.2 1.5882 1.5572 1169.1 1270.0 1.5671 1.3447 1165.0 1264.6 1.5481
540 2.860 1184.6 1290.4 1.6459 1.8640 1177.5 1281.0 1.5940 1.5786 1173.7 1276.0 1.5731 1.3642 1169.8 1270.8 1.5544
550 2.893 1188.7 1295.7 1.6512 1.8878 1181.9 1286.7 1.5997 1.5998 1178.3 1281.9 1.5790 1.3833 1174.6 1277.0 1.5605
560 2.926 1192.7 1301.0 1.6565 1.9114 1186.2 1292.3 1.6052 1.6207 1182.8 1287.7 1.5848 1.4023 1179.2 1283.0 1.5665
570 2.960 1196.8 1306.3 1.6616 1.9348 1190.5 1297.9 1.6107 1.6414 1187.2 1293.5 1.5904 1.4210 1183.8 1289.0 1.5723
580 2.993 1200.8 1311.6 1.6667 1.9580 1194.8 1303.5 1.6161 1.6619 1191.6 1299.3 1.5960 1.4395 1188.4 1294.9 1.5781
590 3.025 1204.9 1316.8 1.6717 1.9811 1199.0 1309.0 1.6214 1.6823 1196.0 1304.9 1.6014 1.4579 1192.9 1300.8 1.5837
Appendix 1

(Continued)
TABLE A.3 (Continued)
Properties of Superheated Steam
Appendix 1

Vapor (psia)
P (T Sat.) 200 (381.86) 300 (417.43) 350 (431.82) 400 (444.70)
T v u h s v u h s v u h s v u h s
600 3.058 1208.9 1322.1 1.6767 2.004 1203.2 1314.5 1.6266 1.7025 1200.3 1310.6 1.6068 1.4760 1197.3 1306.6 1.5892
620 3.123 1216.9 1332.5 1.6864 2.049 1211.6 1325.4 1.6368 1.7424 1208.9 1321.8 1.6172 1.5118 1206.1 1318.0 1.5999
640 3.188 1224.9 1342.9 1.6959 2.094 1220.0 1336.2 1.6467 1.7818 1217.4 1332.8 1.6274 1.5471 1214.8 1329.3 1.6103
660 3.252 1232.8 1353.2 1.7053 2.139 1228.2 1347.0 1.6564 1.8207 1225.8 1343.8 1.6372 1.5819 1223.4 1340.5 1.6203
680 3.316 1240.8 1363.5 1.7144 2.183 1236.4 1357.6 1.6658 1.8593 1234.2 1354.6 1.6469 1.6163 1231.9 1351.6 1.6301
700 3.379 1248.8 1373.8 1.7234 2.227 1244.6 1368.3 1.6751 1.8975 1242.5 1365.4 1.6562 1.6503 1240.4 1362.5 1.6397
720 3.442 1256.7 1384.1 1.7322 2.270 1252.8 1378.9 1.6841 1.9354 1250.8 1376.2 1.6654 1.6840 1248.8 1373.4 1.6490
740 3.505 1264.7 1394.4 1.7408 2.314 1261.0 1389.4 1.6930 1.9731 1259.1 1386.9 1.6744 1.7175 1257.2 1384.3 1.6581
760 3.568 1272.7 1404.7 1.7493 2.357 1269.1 1400.0 1.7017 2.0104 1267.3 1397.5 1.6832 1.7506 1265.5 1395.1 1.6670
780 3.631 1280.6 1415.0 1.7577 2.400 1277.3 1410.5 1.7103 2.0476 1275.6 1408.2 1.6919 1.7836 1273.8 1405.9 1.6758
800 3.693 1288.6 1425.3 1.7660 2.442 1285.4 1421.0 1.7187 2.085 1283.8 1418.8 1.7004 1.8163 1282.1 1416.6 1.6844
820 3.755 1296.6 1435.6 1.7741 2.485 1293.6 1431.5 1.7270 2.121 1292.0 1429.4 1.7088 1.8489 1290.5 1427.3 1.6928
840 3.818 1304.7 1446.0 1.7821 2.527 1301.7 1442.0 1.7351 2.158 1300.3 1440.0 1.7170 1.8813 1298.8 1438.0 1.7011
860 3.879 1312.7 1456.3 1.7900 2.569 1309.9 1452.5 1.7432 2.194 1308.5 1450.6 1.7251 1.9135 1307.1 1448.7 1.7093
880 3.941 1320.8 1466.7 1.7978 2.611 1318.1 1463.1 1.7511 2.231 1316.7 1461.2 1.7331 1.9456 1315.4 1459.4 1.7173
900 4.003 1328.9 1477.1 1.8055 2.653 1326.3 1473.6 1.7589 2.267 1325.0 1471.8 1.7409 1.9776 1323.7 1470.1 1.7252
920 4.064 1337.0 1487.5 1.8131 2.695 1334.5 1484.1 1.7666 2.303 1333.3 1482.5 1.7487 2.0094 1332.0 1480.8 1.7330
(Continued)
1155
TABLE A.3 (Continued)
1156

Properties of Superheated Steam

Vapor (psia)
P (T Sat.) 200 (381.86) 300 (417.43) 350 (431.82) 400 (444.70)
T v u h s v u h s v u h s v u h s
940 4.126 1345.2 1497.9 1.8206 2.736 1342.8 1494.7 1.7742 2.339 1341.6 1493.1 1.7563 2.0411 1340.4 1491.5 1.7407
960 4.187 1353.3 1508.3 1.8280 2.778 1351.1 1505.3 1.7817 2.375 1349.9 1503.7 1.7639 2.0727 1348.7 1502.2 1.7483
980 4.249 1361.6 1518.8 1.8353 2.819 1359.3 1515.8 1.7891 2.411 1358.2 1514.4 1.7713 2.1043 1357.1 1512.9 1.7558
1000 4.310 1369.8 1529.3 1.8425 2.860 1367.7 1526.5 1.7964 2.446 1366.6 1525.0 1.7787 2.136 1365.5 1523.6 1.7632
1020 4.371 1378.0 1539.8 1.8497 2.902 1376.0 1537.1 1.8036 2.482 1375.0 1535.7 1.7859 2.167 1373.9 1534.3 1.7705
1040 4.432 1386.3 1550.3 1.8568 2.943 1384.4 1547.7 1.8108 2.517 1383.4 1546.4 1.7931 2.198 1382.4 1545.1 1.7777
1060 4.493 1394.6 1560.9 1.8638 2.984 1392.7 1558.4 1.8178 2.553 1391.8 1557.1 1.8002 2.229 1390.8 1555.9 1.7849
1080 4.554 1403.0 1571.5 1.8707 3.025 1401.2 1569.1 1.8248 2.588 1400.2 1567.9 1.8072 2.261 1399.3 1566.6 1.7919
1100 4.615 1411.4 1582.2 1.8776 3.066 1409.6 1579.8 1.8317 2.624 1408.7 1578.6 1.8142 2.292 1407.8 1577.4 1.7989
1200 4.918 1453.7 1635.7 1.9109 3.270 1452.2 1633.8 1.8653 2.799 1451.5 1632.8 1.8478 2.446 1450.7 1631.8 1.8327
1300 5.220 1496.9 1690.1 1.9427 3.473 1495.6 1688.4 1.8973 2.974 1495.0 1687.6 1.8799 2.599 1494.3 1686.8 1.8648
1400 5.521 1540.9 1745.3 1.9732 3.675 1539.8 1743.8 1.9279 3.148 1539.3 1743.1 1.9106 2.752 1538.7 1742.4 1.8956
1500 5.822 1585.8 1801.3 2.0025 3.877 1584.8 1800.0 1.9573 3.321 1584.3 1799.4 1.9401 2.904 1583.8 1798.8 1.9251
1600 6.123 1631.6 1858.2 2.0308 4.078 1630.7 1857.0 1.9857 3.494 1630.2 1856.5 1.9685 3.055 1629.8 1855.9 1.9535
1800 6.722 1725.6 1974.4 2.0847 4.479 1724.9 1973.5 2.0396 3.838 1724.5 1973.1 2.0225 3.357 1724.1 1972.6 2.0076
2000 7.321 1823.0 2094.0 2.1354 4.879 1822.3 2093.2 2.0904 4.182 1822.0 2092.8 2.0733 3.658 1821.6 2092.4 2.0584
2200 7.920 1923.6 2216.7 2.1833 5.280 1922.9 2216.0 2.1384 4.525 1922.5 2215.6 2.1212 3.959 1922.2 2215.2 2.1064
2400 8.518 2026.8 2342.1 2.2288 5.679 2026.1 2341.4 2.1838 4.868 2025.8 2341.1 2.1667 4.260 2025.4 2340.8 2.1519
(Continued)
Appendix 1
TABLE A.3 (Continued)
Properties of Superheated Steam
Appendix 1

Vapor (psia)
P (T Sat.) 450 (456.39) 500 (467.13) 550 (477.07) 600 (486.33)
T v u h s v u h s v u h s v u h s
Sat 1.0326 1119.6 1205.6 1.4746 0.9283 1119.4 1205.3 1.4645 0.8423 1119.1 1204.8 1.4551 0.7702 1118.6 1204.1 1.4464
500 1.1226 1145.1 1238.5 1.5097 0.9924 1139.7 1231.5 1.4923 0.8850 1134.0 1224.1 1.4755 0.7947 1128.0 1216.2 1.4592
510 1.1417 1150.4 1245.5 1.5170 1.0106 1145.4 1238.9 1.4999 0.9056 1140.1 1232.0 1.4836 0.8118 1134.5 1224.6 1.4679
520 1.1605 1155.7 1252.3 1.5239 1.0283 1150.9 1246.1 1.5073 0.9196 1146.0 1239.6 1.4914 0.8283 1140.7 1232.7 1.4762
530 1.1788 1160.8 1258.0 1.5307 1.0456 1156.3 1253.1 1.5144 0.9361 1151.7 1246.9 1.4989 0.8443 1146.8 1240.5 1.4841
540 1.1969 1165.8 1265.5 1.5372 1.0625 1161.6 1259.9 1.5212 0.9522 1157.2 1254.1 1.5061 0.8598 1152.6 1248.0 1.4917
550 1.2146 1170.7 1271.9 1.5436 1.0792 1166.7 1266.6 1.5279 0.9679 1162.6 1261.1 1.5131 0.8749 1158.2 1255.4 1.4990
560 1.2320 1175.6 1278.2 1.5498 1.0955 1171.8 1273.1 1.5343 0.9834 1167.8 1267.9 1.5198 0.8896 1163.7 1262.5 1.5060
570 1.2492 1180.3 1284.4 1.5559 1.1115 1176.7 1279.5 1.5406 0.9985 1173.0 1274.6 1.5263 0.9040 1169.1 1269.5 1.5128
580 1.2662 1185.0 1290.5 1.5618 1.1273 1181.6 1285.9 1.5467 1.0133 1178.0 1281.1 1.5327 0.9181 1174.3 1276.3 1.5194
590 1.2830 1189.7 1296.5 1.5675 1.1429 1186.4 1292.1 1.5527 1.0280 1183.0 1287.6 1.5388 0.9320 1179.5 1282.9 1.5253
600 1.2996 1194.3 1302.5 1.5732 1.1583 1191.1 1298.3 1.5585 1.0424 1187.9 1293.9 1.5448 0.9456 1184.5 1289.5 1.532
610 1.3160 1198.8 1308.4 1.5788 1.1735 1195.8 1304.3 1.5642 1.0566 1192.7 1300.2 1.5507 0.9590 1189.5 1295.9 1.5381
620 1.3323 1203.3 1314.2 1.5842 1.1885 1200.4 1310.4 1.5698 1.0706 1197.4 1306.4 1.5565 0.9722 1194.4 1302.3 1.5440
630 1.3484 1207.8 1320.0 1.5896 1.2033 1205.0 1316.3 1.5753 1.0845 1202.1 1312.5 1.5621 0.9853 1199.2 1308.6 1.5497
640 1.3644 1212.2 1325.8 1.5948 1.2181 1209.5 1322.2 1.5807 1.0982 1206.7 1318.5 1.5676 0.9982 1203.9 1314.8 1.5554
650 1.3803 1216.6 1331.5 1.6000 1.2327 1214 1328.0 1.5860 1.1118 1211.3 1324.5 1.5730 1.0109 1208.6 1320.9 1.5609
660 1.396 1221 1337.2 1.6051 1.2472 1218.4 1333.8 1.5912 1.1252 1215.9 1330.4 1.5783 1.0235 1213.3 1326.9 1.5664
670 1.4116 1225.3 1342.9 1.6101 1.2615 1222.9 1339.6 1.5963 1.1386 1220.4 1336.3 1.5836 1.0360 1217.9 1332.9 1.5717
(Continued)
1157
1158

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 450 (456.39) 300 (417.43) 350 (431.82) 400 (444.70)
T v u h s v u h s v u h s v u h s
680 1.4272 1229.6 1348.5 1.6151 1.2758 1227.3 1345.3 1.6014 1.1518 1224.9 1342.1 1.5887 1.0483 1222.5 1338.9 1.5769
690 1.4426 1233.9 1354.1 1.6199 1.2899 1231.7 1351.0 1.6063 1.1649 1229.4 1347.9 1.5938 1.0606 1227.0 1344.8 1.5821
700 1.4580 1238.2 1359.6 1.6248 1.3040 1236.0 1356.7 1.6112 1.1779 1233.8 1353.7 1.5987 1.0727 1231.5 1350.6 1.5872
720 1.4884 1246.7 1370.7 1.6342 1.3319 1244.7 1367.9 1.6208 1.2037 1242.6 1365.1 1.6085 1.0968 1240.4 1362.2 1.5971
740 1.5186 1255.2 1381.7 1.6435 1.3594 1253.3 1379.1 1.6302 1.2291 1251.3 1376.4 1.6180 1.1205 1249.3 1373.7 1.6067
760 1.5485 1263.7 1392.6 1.6525 1.3867 1261.8 1390.1 1.6394 1.2543 1260.0 1387.6 1.6273 1.1439 1258.1 1385.1 1.6161
780 1.5782 1272.1 1403.5 1.6614 1.4138 1270.3 1401.1 1.6483 1.2793 1268.6 1398.8 1.6364 1.1671 1266.8 1396.3 1.6253
800 1.6077 1280.5 1414.4 1.6701 1.4407 1278.8 1412.1 1.6571 1.3040 1277.1 1409.8 1.6452 1.1900 1275.4 1407.6 1.6343
820 1.6369 1288.9 1425.2 1.6786 1.4673 1287.3 1423.0 1.6657 1.3285 1285.7 1420.9 1.6539 1.2128 1284.1 1418.7 1.6430
840 1.666 1297.3 1436.0 1.6870 1.4938 1295.7 1433.9 1.6742 1.3528 1294.2 1431.9 1.6625 1.2353 1292.7 1429.8 1.6517
860 1.695 1305.6 1446.8 1.6952 1.5201 1304.2 1444.8 1.6825 1.377 1302.7 1442.9 1.6708 1.2577 1301.2 1440.9 1.6601
880 1.7238 1314.0 1457.5 1.7033 1.5463 1312.6 1455.7 1.6906 1.4010 1311.2 1453.8 1.6791 1.2800 1309.8 1451.9 1.6684
(Continued)
Appendix 1
TABLE A.3 (Continued)
Properties of Superheated Steam
Vapor (psia)
450 (456.39) 500 (467.13) 550 (477.07) 600 (486.33)
Appendix 1

P (T Sat.) T v u h s V u h s v u h s v u h s
900 1.7524 1322.4 1468.3 1.7113 1.5723 1321.0 1466.5 1.6987 1.4249 1319.7 1464.7 1.6872 1.3021 1318.4 1462.9 1.6766
920 1.7810 1330.8 1479.1 1.7191 1.5982 1329.5 1477.4 1.7066 1.4487 1328.2 1475.6 1.6951 1.3240 1326.9 1473.9 1.6846
940 1.8094 1339.2 1489.8 1.7269 1.6240 1337.9 1488.2 1.7144 1.4723 1336.7 1486.6 1.7030 1.3459 1335.5 1484.9 1.6925
960 1.8377 1347.6 1500.6 1.7345 1.6497 1346.4 1499.0 1.7221 1.4958 1345.2 1497.5 1.7107 1.3676 1344.0 1495.9 1.7003
980 1.8660 1356.0 1511.4 1.7420 1.6753 1354.9 1509.9 1.7296 1.5193 1353.7 1508.4 1.7183 1.3893 1352.6 1506.8 1.7079
1000 1.8941 1364.4 1522.2 1.7495 1.7008 1363.3 1520.7 1.7371 1.5426 1362.3 1519.3 1.7259 1.4108 1361.2 1517.8 1.7155
1020 1.9221 1372.9 1533.0 1.7568 1.7262 1371.8 1531.6 1.7445 1.5659 1370.8 1530.2 1.7333 1.4322 1369.7 1528.8 1.7230
1040 1.9501 1381.4 1543.8 1.7641 1.7515 1380.4 1542.4 1.7518 1.5890 1379.3 1541.1 1.7406 1.4536 1378.3 1539.7 1.7303
1060 1.9780 1389.9 1554.6 1.7712 1.7768 1388.9 1553.3 1.7590 1.6121 1387.9 1552.0 1.7478 1.4749 1386.9 1550.7 1.7376
1080 2.0058 1398.4 1565.4 1.7783 1.8020 1397.4 1564.2 1.7661 1.6352 1396.5 1562.9 1.7550 1.4961 1395.6 1561.7 1.7448
1100 2.034 1406.9 1576.3 1.7853 1.8271 1406.0 1575.1 1.7731 1.6581 1405.1 1573.9 1.7620 1.5173 1404.2 1572.7 1.7519
1150 2.103 1428.4 1603.5 1.8025 1.8896 1427.5 1602.4 1.7904 1.7152 1426.7 1601.3 1.7793 1.5699 1425.9 1600.2 1.7692
1200 2.172 1450.0 1630.8 1.8192 1.9518 1449.2 1629.8 1.8072 1.7720 1448.5 1628.8 1.7962 1.6222 1447.7 1627.8 1.7861
1250 2.240 1471.8 1658.3 1.8355 2.0137 1471.1 1657.4 1.8235 1.8285 1470.3 1656.5 1.8126 1.6742 1469.6 1655.5 1.8026
1300 2.308 1493.7 1685.9 1.8515 2.075 1493.1 1685.1 1.8395 1.8848 1492.4 1684.2 1.8286 1.7260 1491.7 1683.4 1.8186
1350 2.376 1515.8 1713.7 1.8670 2.137 1515.2 1712.9 1.8551 1.9409 1514.6 1712.2 1.8443 1.7775 1514.0 1711.4 1.8343
1400 2.444 1538.1 1741.7 1.8823 2.198 1537.6 1741.0 1.8704 1.9967 1537.0 1740.2 1.8596 1.8289 1536.5 1739.5 1.8497
1450 2.512 1560.6 1769.8 1.8972 2.259 1560.1 1769.2 1.8853 2.0525 1559.6 1768.5 1.8746 1.8801 1559.1 1767.8 1.8647
1500 2.580 1583.3 1798.2 1.9119 2.320 1582.8 1797.5 1.9000 2.1080 1582.3 1796.9 1.8892 1.9312 1581.9 1796.3 1.8794
1600 2.715 1629.3 1855.4 1.9403 2.442 1628.9 1854.8 1.9285 2.219 1628.4 1854.3 1.9178 2.033 1628.0 1853.7 1.9080
1800 2.983 1723.7 1972.1 1.9944 2.684 1723.3 1971.7 1.9827 2.440 1722.9 1971.2 1.9720 2.236 1722.6 1970.8 1.9622
2000 3.251 1821.3 2092.0 2.0453 2.926 1820.9 2091.6 2.0335 2.660 1820.6 2091.2 2.0229 2.438 1820.2 2090.8 2.0131
2200 3.519 1921.8 2214.9 2.0933 3.167 1921.5 2214.5 2.0815 2.879 1921.1 2214.2 2.0709 2.639 1920.8 2213.8 2.0612
1159

2400 3.787 2025.1 2340.4 2.1388 3.408 2024.7 2340.1 2.1270 3.098 2024.4 2339.7 2.1164 2.840 2024.0 2339.4 2.1067
(Continued)
1160

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 800 (518.36) 1000 (544.75)
T v u h s v u h s
Sat. .5691 1115.0 1199.3 1.4160 0.4459 1109.9 1192.4 1.3903
550 0.6154 1138.8 1229.9 1.4469 0.4534 1114.8 1198.7 1.3966
560 0.6287 1145.6 1238.6 1.4555 0.4669 1123.6 1210.0 1.4077
570 0.6415 1152.0 1247.0 1.4637 0.4795 1131.7 1220.5 1.4179
580 0.6539 1158.3 1255.1 1.4714 0.4915 1139.4 1230.4 1.4275
590 0.6659 1164.3 1262.9 1.4789 0.5030 1146.7 1239.8 1.4365
600 0.6776 1170.1 1270.4 1.4861 0.5140 1153.7 1248.8 1.4450
610 0.6890 1175.8 1277.8 1.4930 0.5245 1160.3 1257.4 1.4531
620 0.7002 1181.3 1285.0 1.4997 0.5348 1166.7 1265.7 1.4609
630 0.7111 1186.7 1292.0 1.5062 0.5447 1172.9 1273.7 1.4682
640 0.7218 1192.0 1298.9 1.5125 0.5543 1178.9 1281.5 1.4754
650 0.7324 1197.2 1305.6 1.5186 0.5637 1184.7 1289.1 1.4822
660 0.7428 1202.3 1312.3 1.5245 0.5730 1190.4 1296.5 1.4889
670 0.7530 1207.4 1318.8 1.5304 0.5820 1196.0 1303.7 1.4953
680 0.7631 1212.3 1325.3 1.5361 0.5908 1201.4 1310.8 1.5015
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 800 (518.36) 1000 (544.75)
T v u h s v u h s
690 0.7730 1217.2 1331.7 1.5416 0.5995 1206.8 1317.7 1.5076
700 0.7829 1222.1 1338.0 1.5471 0.6080 1212.0 1324.6 1.5135
720 0.8023 1231.6 1350.4 1.5577 0.6247 1222.3 1337.9 1.5249
740 0.8212 1241.0 1362.6 1.5680 0.6410 1232.3 1350.9 1.5359
760 0.8399 1250.3 1374.6 1.5779 0.6569 1242.1 1363.7 1.5464
780 0.8583 1259.4 1386.5 1.5875 0.6725 1251.7 1376.2 1.5566
800 0.8764 1268.5 1398.2 1.5969 0.6878 1261.2 1388.5 1.5664
820 0.8943 1277.4 1409.8 1.6061 0.7028 1270.6 1400.6 1.5760
840 0.9120 1286.4 1421.4 1.6150 0.7176 1279.9 1412.7 1.5853
860 0.9295 1295.2 1432.8 1.6238 0.7323 1289.1 1424.6 1.5944
880 0.9468 1304.1 1444.2 1.6324 0.7467 1298.2 1436.4 1.6033
(Continued)
1161
TABLE A.3 (Continued)
1162

Properties of Superheated Steam

Vapor (psia)
P (T Sat.) 800 (518.36) 1000 (544.75)
T v u h s v u h s
900 0.9640 1312.9 1455.6 1.6408 0.7610 1307.3 1448.1 1.6120
920 0.9811 1321.7 1466.9 1.6490 0.7752 1316.3 1459.7 1.6205
940 0.9980 1330.4 1478.2 1.6572 0.7892 1325.3 1471.3 1.6288
960 1.0149 1339.2 1489.4 1.6651 0.8031 1334.3 1482.9 1.6370
980 1.0316 1348.0 1500.7 1.6730 0.8169 1343.2 1494.4 1.6451
1000 1.0482 1356.7 1511.9 1.6807 0.8305 1352.2 1505.9 1.6530
1020 1.0647 1365.5 1523.1 1.6883 0.8441 1361.1 1517.3 1.6608
1040 1.0812 1374.2 1534.3 1.6959 0.8576 1370.0 1528.7 1.6684
1060 1.0975 1383.0 1545.5 1.7033 0.8710 1378.9 1540.1 1.6760
1080 1.1138 1391.7 1556.6 1.7106 0.8844 1387.9 1551.5 1.6834
1100 1.1300 1400.5 1567.8 1.7178 0.8976 1396.8 1562.9 1.6908
1120 1.1462 1409.3 1579.0 1.7249 0.9108 1405.7 1574.3 1.6980
1140 1.1623 1418.1 1590.2 1.7319 0.9240 1414.6 1585.6 1.7052
1160 1.1783 1426.9 1601.4 1.7389 0.9370 1423.6 1597.0 1.7122
1180 1.1943 1435.8 1612.6 1.7458 0.9500 1432.5 1608.3 1.7192
1200 1.2102 1444.6 1623.8 1.7526 0.9630 1441.5 1619.7 1.7261
1220 1.2261 1453.5 1635.9 1.7593 0.9759 1450.4 1631.0 1.7329
1240 1.2420 1462.3 1646.2 1.7659 0.9888 1459.4 1642.4 1.7396
1260 1.2578 1471.3 1657.4 1.7725 1.0016 1468.4 1653.8 1.7462
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (Continued)

Properties of Superheated Steam
Vapor (psia)
P (T Sat.) 800 (518.36) 1000 (544.75)
T v u h s v u h s
1280 1.2735 1480.2 1668.7 1.7790 1.0144 1477.4 1665.1 1.7528
1300 1.2892 1489.1 1680.0 1.7854 1.0272 1486.5 1676.5 1.7593
1350 1.3284 1511.6 1708.2 1.8013 1.0589 1509.1 1705.1 1.7753
1400 1.3674 1534.2 1736.6 1.8167 1.0905 1531.9 1733.7 1.7909
1450 1.4062 1556.9 1765.1 1.8319 1.1218 1554.8 1762.4 1.8061
1500 1.4448 1579.9 1793.7 1.8467 1.1531 1577.8 1791.2 1.8210
1600 1.5218 1626.2 1851.5 1.8754 1.2152 1624.4 1849.3 1.8499
1800 1.6749 1721.0 1969.0 1.9298 1.3384 1719.5 1967.2 1.9046
2000 1.8271 1818.8 2089.3 1.9808 1.4608 1817.4 2087.7 1.9557
2200 1.9789 1919.4 2212.4 2.0290 1.5828 1918.1 2211.0 2.0038
2400 2.1305 2022.7 2338.1 2.0745 1.7046 2021.3 2336.7 2.0494
1163
TABLE A.4
Properties of Compressed Liquid (Water)
1164

Liquid (psia)
P (T Sat.) 0 500 (467.13) 1000 (544.75)
T v u h s v u h s v u h s
Sat. 0.019748 447.70 449.53 0.64904 0.021591 538.39 542.38 0.74320
32 0.016022 0.01 0.01 0.00003 0.015994 0.00 1.49 0.00000 0.015967 0.03 2.99 0.00005
50 0.016024 18.06 18.06 0.03607 0.015998 18.02 19.50 0.03599 0.015972 17.99 20.94 0.03592
100 0.016130 68.05 68.05 0.12963 0.016106 67.87 69.36 0.12932 0.016082 67.70 70.68 0.12901
150 0.016344 117.95 117.95 0.21504 0.016318 117.66 119.17 0.21457 0.016293 117.38 120.40 0.21410
200 0.016635 168.05 168.05 0.29402 0.016608 167.65 169.19 0.29341 0.016580 167.26 170.32 0.29281
250 0.017003 218.52 218.52 0.36777 0.016972 217.99 219.56 0.36702 0.016941 217.47 220.61 0.36628
300 0.017453 269.61 269.61 0.43732 0.017416 268.92 270.53 0.43641 0.017379 268.24 271.46 0.43352
350 0.018000 321.59 321.59 0.50359 0.017954 320.71 322.37 0.50249 0.017909 319.83 323.15 0.50140
400 0.018668 374.85 374.85 0.56740 0.018608 373.68 375.40 0.56604 0.018550 372.55 375.98 0.56472
450 0.019503 429.96 429.96 0.62970 0.019420 428.40 430.19 0.63798 0.019340 426.89 430.47 0.62632
500 0.02060 488.1 488.1 0.6919 0.02048 485.9 487.8 0.6896 0.02036 483.8 487.5 0.6874
510 0.02087 500.3 500.3 0.7046 0.02073 497.9 499.8 0.7021 0.02060 495.6 499.4 0.6997
520 0.02116 512.7 512.7 0.7173 0.02100 510.1 512.0 0.7146 0.02086 507.6 511.5 0.7121
530 0.02148 525.5 525.5 0.7303 0.02130 522.6 524.5 0.7273 0.02114 519.9 523.8 0.7245
540 0.02182 538.6 538.6 0.7434 0.02162 535.3 537.3 0.7402 0.02144 532.4 536.3 0.7372
550 0.02221 552.1 552.1 0.7569 0.02198 548.4 550.5 0.7532 0.02177 545.1 549.2 0.7499
560 0.02265 566.1 566.1 0.7707 0.02237 562.0 564.0 0.7666 0.02213 558.3 562.4 0.7630
570 0.02315 580.8 580.8 0.7851 0.02281 576.0 578.1 0.7804 0.02253 571.8 576.0 0.7763
580 0.02332 590.8 592.9 0.7946 0.02298 585.9 590.1 0.7899
590 0.02392 606.4 608.6 0.8096 0.02349 600.6 604.9 0.8041
600 0.02409 616.2 620.6 0.8189
610 0.02482 632.9 637.5 0.8348
Appendix 1

(Continued)
TABLE A.4 (Continued)
Properties of Compressed Liquid (Water)
Liquid (psia)
Appendix 1

P (T sat) 4000 18,000 20,000

T v u h s v u h s v u h s
32 0.015807 0.10 11.80 0.00005 0.015188 0.54 50.05 0.00372 0.015116 0.65 55.30 0.00446
50 0.015821 17.76 29.47 0.03534 0.015227 16.32 67.04 0.03021 0.015154 16.14 72.23 0.02936
100 0.015942 66.72 78.52 0.12714 0.015372 62.83 114.03 0.11817 0.015298 62.37 118.99 0.11688
150 0.016150 115.77 127.73 0.21136 0.015572 109.64 161.51 0.19941 0.015497 108.91 166.26 0.19778
200 0.016425 165.02 177.18 0.28931 0.015813 156.62 209.29 0.27474 0.015736 155.62 213.86 0.27281
250 0.016765 214.52 226.93 0.36200 0.016096 203.57 257.19 0.34472 0.016015 202.28 261.55 0.34250
300 0.017174 264.43 277.15 0.43038 0.016422 250.58 305.28 0.41021 0.016333 248.96 309.41 0.40766
350 0.017659 314.98 328.05 0.49526 0.016791 297.80 353.73 .47197 .016693 295.83 357.61 0.46911
400 0.018235 366.35 379.85 0.55734 0.017207 345.32 402.63 0.53057 0.017096 342.97 406.24 0.52738
450 0.018924 418.83 432.84 0.61725 0.017669 393.15 452.00 0.58639 0.017541 390.39 455.31 0.58286
500 0.019766 472.9 487.5 0.6758 0.018183 441.3 501.9 0.6397 0.018031 438.1 504.8 0.6358
520 0.020161 495.2 510.1 0.6990 0.018404 460.6 521.9 0.6605 0.018242 457.2 524.7 0.6564
540 0.020600 517.9 533.1 0.7223 0.018636 480.0 542.1 0.6808 0.018461 476.4 544.7 0.6766
560 0.021091 541.2 556.8 0.7457 0.018879 499.5 562.4 0.7009 0.018689 495.6 564.8 0.6965
580 0.021648 565.2 581.2 0.7694 0.019134 519.0 582.8 0.7207 0.018928 514.9 585.0 0.7160
600 0.02229 590.0 606.5 0.7936 0.01940 538.7 603.3 0.7403 0.01918 534.3 605.2 0.7354
620 0.02304 616.0 633.0 0.8183 0.01968 558.4 623.9 0.7596 0.01944 553.7 625.6 0.7544
640 0.02394 643.3 661.1 0.8441 0.01998 578.2 644.8 0.7787 0.01972 573.2 646.1 0.7732
660 0.02506 672.7 691.2 0.8712 0.02030 598.1 665.7 0.7976 0.02001 592.7 666.8 0.7918
680 0.02653 704.9 724.5 0.9007 0.02064 618.2 686.9 0.8163 0.02031 612.4 687.6 0.8102
700 0.02867 742.1 763.4 0.9345 0.02099 638.4 708.3 0.8349 0.02063 632.1 708.5 0.8285
710 0.03026 764.3 786.7 0.9545 0.02118 648.5 719.1 0.8442 0.02080 642.1 719.1 0.8375
1165
TABLE A.1 (SI)
1166

Saturation Temperature (Water)

Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Sat. Sat. Sat. Sat. Sat.
Press. Sat. Sat. Sat. Evap. Vapor Liquid Evap. Vapor Sat. Evap. Vapor
Temp. °C kPa Liquid vf Vapor vg Liquid u f u fg ug hf h fg hg Liquid s f s fg sg
0.01 0.6113 0.001000 206.14 0.00 2375.3 2375.3 0.01 2501.3 2501.4 0.0000 9.1562 9.1562
5 0.8721 0.001000 147.12 20.97 2361.3 2382.3 20.98 2489.6 2510.6 0.0761 8.9496 9.0257
10 1.2276 0.001000 106.38 42.00 2347.2 2389.2 42.01 2477.7 2519.8 0.1510 8.7498 8.9008
15 1.7051 0.001001 77.93 62.99 2333.1 2396.1 62.99 2465.9 2528.9 0.2245 8.5569 8.7814
20 2.339 0.001002 57.79 83.95 2319.0 2402.9 83.96 2454.1 2538.1 0.2966 8.3706 8.6672
25 3.169 0.001003 43.36 104.88 2304.9 2409.8 104.89 2442.3 2547.2 0.3674 8.1905 8.5580
30 4.246 0.001004 32.89 125.78 2290.8 2416.6 125.79 2430.5 2556.3 0.4369 8.0164 8.4533
35 5.628 0.001006 25.22 146.67 2276.7 2423.4 146.68 2418.6 2565.3 0.5053 7.8478 8.3531
40 7.384 0.001008 19.52 167.56 2262.6 2430.1 167.57 2406.7 2574.3 0.5725 7.6845 8.2570
45 9.593 0.001010 15.26 188.44 2248.4 2436.8 188.45 2394.8 2583.2 0.6387 7.5261 8.1648
50 12.349 0.001012 12.03 209.32 2234.2 2443.5 209.33 2382.7 2592.1 0.7038 7.3725 8.0763
55 15.758 0.001015 9.568 230.21 2219.9 2450.1 230.23 2370.7 2600.9 0.7679 7.2234 7.9913
60 19.940 0.001017 7.671 251.11 2205.5 2456.6 251.13 2358.5 2609.6 0.8312 7.0784 7.9096
65 25.03 0.001020 6.197 272.02 2191.1 2463.1 272.06 2346.2 2618.3 0.8935 6.937.5 7.8310
70 31.19 0.001023 5.042 292.95 2176.6 2469.6 292.98 2333.8 2626.8 0.9549 6.8004 7.7553
75 38.58 0.001026 4.131 313.90 2162.0 2475.9 313.93 2321.4 2635.3 1.0155 6.6669 7.6824
80 47.39 0.001029 3.407 334.86 2147.4 2482.2 334.91 2308.8 2643.7 1.0753 6.5369 7.6122
85 57.83 0.001033 2.828 355.84 2132.6 2488.4 355.90 2296.0 2651.9 1.1343 6.4102 7.5445
90 70.14 0.001036 2.361 376.85 2117.7 2494.5 376.92 2283.2 2660.1 1.1925 6.2866 7.4791
95 84.55 0.001040 1.982 397.88 2102.7 2500.6 397.96 2270.2 2668.1 1.2500 6.1659 7.4159
100 101.35 0.001044 1.6729 418.94 2087.6 2506.5 419.04 2257.0 2676.1 1.3069 6.0480 7.3549
Appendix 1

(Continued)
TABLE A.1 (SI) (Continued)
Saturation Temperature (Water)
Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Appendix 1

Sat. Sat. Sat. Sat. Sat.

Press. Sat. Sat. Sat. Evap. Vapor Liquid Evap. Vapor Sat. Evap. Vapor
Temp. °C MPa Liquid vf Vapor vg Liquid u f u fg ug hf h fg hg Liquid s f s fg sg
105 0.12082 0.001048 1.4194 440.02 2072.3 2512.4 440.15 2243.7 2683.8 1.3630 5.9328 7.2958
110 0.14327 0.001052 1.2102 461.14 2057.0 2518.1 461.30 2230.2 2691.5 1.4185 5.8202 7.2387
115 0.16906 0.001056 1.0366 482.3 2041.4 2523.7 482.48 2216.5 2699.0 1.4734 5.71 7.1833
120 0.19853 0.001060 0.8919 503.50 2025.8 2529.3 503.71 2202.6 2706.3 1.5276 5.6020 7.1296
125 0.2321 0.001065 0.7706 524.74 2009.9 2534.6 524.99 2188.5 2713.5 1.5813 5.4962 7.0775
130 0.2701 0.001070 0.6685 546.02 1993.9 2539.9 546.31 2174.2 2720.5 1.6344 5.3925 7.0269
135 0.313 0.001075 0.5822 567.35 1977.7 2545 567.69 2159.6 2727.3 1.687 5.2907 6.9777
140 0.3613 0.00108 0.5089 588.74 1961.3 25500 589.13 2144.7 2733.9 1.7391 5.1908 6.9299
145 0.4154 0.001085 0.4463 610.18 1944.7 2554.9 610.63 2129.6 2740.3 1.7907 5.0926 6.8833
150 0.4758 0.001091 0.3928 631.68 1927.9 2559.5 632.20 2114.3 2746.5 1.8418 4.996 6.8379
155 0.5431 0.001096 0.3468 653.24 1910.8 2564.1 653.84 2098.6 2752.4 1.8925 4.901 6.7935
160 0.6178 0.001102 0.3071 674.87 1893.5 2568.4 675.55 2082.6 2758.1 1.9427 4.8075 6.7502
165 0.7005 0.001108 0.2727 696.56 1876 2572.5 697.34 2066.2 2763.5 1.9925 4.7153 6.7078
170 0.7917 0.001114 0.2428 718.33 1858.1 2576.5 719.21 2049.5 2768.7 2.0419 4.6244 6.6663
175 0.892 0.001121 0.2168 740.17 1840.0 2580.2 741.17 2032.4 2773.6 2.0909 4.5347 6.6256
180 1.0021 0.001127 0.19405 762.09 1821.6 2583.7 763.22 2015.0 2778.2 2.1396 4.4461 6.5857
185 1.1227 0.001134 0.17409 784.1 1802.9 2587.0 785.37 1997.1 2782.4 2.1879 4.3586 6.5465
190 1.2544 0.001141 0.15654 806.19 1783.8 2590.0 807.62 1978.8 2786.4 2.2359 4.272 6.5079
195 1.3978 0.001149 0.14105 828.37 1764.4 2592.8 829.98 1960.0 2790.0 2.2835 4.1863 6.4698
200 1.5538 0.001157 0.12736 850.65 1744.7 2595.3 852.45 1940.7 2793.2 2.3309 4.1014 6.4323
205 1.723 0.001164 0.11521 873.04 1724.5 2597.5 875.04 1921.0 2796.0 2.3780 4.0172 6.3952
210 1.9062 0.001173 0.10441 895.53 1703.9 2599.5 897.76 1900.7 2798.5 2.4248 3.9337 6.3585
1167

(Continued)
TABLE A.1 (SI) (Continued)
1168

Saturation Temperature (Water)

Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Sat. Sat. Sat. Sat. Sat.
Press. Sat. Sat. Sat. Evap. Vapor Liquid Evap. Vapor Sat. Evap. Vapor
Temp. °C MPa Liquid vf Vapor vg Liquid u f u fg ug hf h fg hg Liquid s f s fg sg
215 2.104 0.001181 0.09479 918.14 1682.9 2601.1 920.62 1879.9 2800.5 2.4714 3.8507 6.3221
220 2.318 0.001190 0.08619 940.87 1661.5 2602.4 943.62 1858.5 2802.1 2.5178 3.7683 6.2861
225 2.548 0.001199 0.07849 963.73 1639.6 2603.3 966.78 1836.5 2803.3 2.5639 3.6863 6.2503
230 2.795 0.001209 0.07158 986.74 1617.2 2603.9 990.12 1813.8 2804.0 2.6099 3.6047 6.2146
235 3.060 0.001219 0.06537 1009.89 1594.2 2604.1 1013.62 1790.5 2804.2 2.6558 3.5233 6.1791
240 3.344 0.001229 0.05976 1033.21 1570.8 2604.0 1037.32 1766.5 2803.8 2.7015 3.4422 6.1437
245 3.648 0.001240 .05471 1056.71 1546.7 2603.4 1061.23 1741.7 2803.0 2.7472 3.3612 6.1083
250 3.973 0.001251 0.05013 1080.39 1522 2602.4 1085.36 1716.2 2801.5 2.7927 3.2802 6.0730
255 4.319 0.001263 0.04598 1104.28 1496.7 2600.9 1109.73 1689.8 2799.5 2.8383 3.1992 6.0375
260 4.688 0.001276 0.04221 1128.39 1470.6 2599 1134.37 1662.5 2796.9 2.8838 3.1181 6.0019
265 5.081 0.001289 0.03877 1152.74 1443.9 2596.6 1159.28 1634.4 2793.6 2.9294 3.0368 5.9662
270 5.499 0.001302 0.03564 1177.36 1416.3 2593.7 1184.51 1605.2 2789.7 2.9751 2.9551 5.9301
275 5.942 0.001317 0.03279 1202.25 1387.9 2590.2 1210.07 1574.9 2785 3.0208 2.8730 5.8938
280 6.412 0.001332 0.03017 1227.46 1358.7 2586.1 1235.99 1543.6 2779.6 3.0668 2.7903 5.8571
285 6.909 0.001348 0.02777 1253.00 1328.4 2581.4 1262.31 1511.0 2773.3 3.1130 2.7070 5.8199
290 7.436 0.001366 0.02557 1278.92 1297.1 2576.0 1289.07 1477.1 2766.2 3.1594 2.6227 5.7821
295 7.993 0.001384 0.02354 1305.2 1264.7 2569.9 1316.3 1441.8 2758.1 3.2062 2.5375 5.7437
300 8.581 0.001404 0.02167 1332.0 1231.0 2563.0 1344.0 1404.9 2749.0 3.2534 2.4511 5.7045
305 9.202 0.001425 0.019948 1359.3 1195.9 2555.2 1372.4 1366.4 2738.7 3.3010 2.3633 5.6643
310 9.856 0.001447 0.018350 1387.1 1159.4 2546.4 1401.3 1326.0 2727.3 3.3493 2.2737 5.6230
(Continued)
Appendix 1
Appendix 1

TABLE A.1 (SI) (Continued)

Saturation Temperature (Water)
Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Sat. Sat. Sat. Sat. Sat.
Press. Sat. Sat. Sat. Evap. Vapor Liquid Evap. Vapor Sat. Evap. Vapor
Temp. °C MPa Liquid vf Vapor vg Liquid u f u fg ug hf h fg hg Liquid s f s fg sg
315 10.547 0.001472 0.016867 1415.5 1121.1 2536.6 1431.0 1283.5 2714.5 3.3982 2.1821 5.5804
320 11.274 0.001499 0.015488 1444.6 1080.9 2525.5 1461.5 1238.6 2700.1 3.4480 2.0882 5.5362
330 12.845 0.001561 0.012996 1505.3 993.7 2498.9 1525.3 1140.6 2665.9 3.5507 1.8909 5.4417
340 14.586 0.001638 0.010797 1570.3 894.3 2464.6 1594.2 1027.9 2622.0 3.6594 1.6763 5.3357
350 16.513 0.001740 0.008813 1641.9 776.6 2418.4 1670.6 893.4 2563.9 3.7777 1.4335 5.2112
360 18.651 0.001893 0.006945 1725.2 626.3 2351.5 1760.5 720.5 2481.0 3.9147 1.1379 5.0526
370 21.03 0.002213 0.004925 1844.0 384.5 2228.5 1890.5 441.6 2332.1 4.1106 0.6865 4.7971
374.14 22.09 0.003155 0.003155 2029.6 0 2029.6 2099.3 0 2099.3 4.4298 0 4.4298
1169
TABLE A.2 (SI)
1170

Saturation Pressure (Water)

Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Press. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Sat. Sat. Sat.
kPa Temp. °C Liquid vf Vapor vg Liquid u f u fg Vapor ug Liquid h f Evap. hfg Vapor hg Liquid s f Evap. s fg Vapor sg
0.6113 0.01 0.00100 206.14 00.00 2375.3 2375.3 0.01 2501.3 2501.4 0.000 9.1562 9.1562
1.0 6.98 0.00100 129.21 29.30 2355.7 2385.0 29.30 2484.9 2514.2 0.1059 8.8697 8.9756
1.5 13.03 0.001001 87.98 54.71 2338.6 2393.3 54.71 2470.6 2525.3 0.1957 8.6322 8.8279
2.0 17.50 0.001001 67.00 73.48 2326.0 2399.5 73.48 2460.0 2533.5 0.2607 8.4629 8.7237
2.5 21.08 0.001002 54.25 88.48 2315.9 2404.4 88.49 2451.6 2540.0 0.3120 8.3311 8.6432
3.0 24.08 0.001003 45.67 101.04 2307.5 2408.5 101.05 2444.5 2545.5 0.3545 8.2231 8.5776
4.0 28.96 0.001004 34.80 121.45 2293.7 2415.2 121.46 2432.9 2554.4 0.4226 8.0520 8.4746
5.0 32.88 0.001005 28.19 137.81 2282.7 2420.5 137.82 2423.7 2561.5 0.4764 7.9187 8.3951
7.5 40.29 0.001008 19.24 168.78 2261.7 2430.5 168.79 2406.0 2574.8 0.5764 7.6750 8.2515
10 45.81 0.001010 14.67 191.82 2246.1 2437.9 191.83 2392.8 2584.7 0.6493 7.5009 8.1502
15 53.97 0.001014 10.02 225.92 2222.8 2448.7 225.94 2373.1 2599.1 0.7549 7.2536 8.0085
20 60.06 0.001017 7.649 251.38 2205.4 2456.7 251.40 2358.3 2609.7 0.8320 7.0766 7.9085
25 64.97 0.001020 6.204 271.90 2191.2 2463.1 271.93 2346.3 2618.2 0.8931 6.9383 7.8314
30 69.10 0.001022 5.229 289.20 2179.2 2468.4 289.23 2336.1 2625.3 0.9439 6.8247 7.7686
40 75.87 0.001027 3.993 317.53 2159.5 2477.0 317.58 2319.2 2636.8 1.0259 6.6441 7.6700
50 81.33 0.001030 3.240 340.44 2143.4 2483.9 340.49 2305.4 2645.9 1.0910 6.5029 7.5939
75 91.78 0.001 037 2.217 384.31 2112.4 2496.7 384.39 2278.6 2663.0 1.2130 6.2434 7.4564
MPa
0.100 99.63 0.001 043 1.694 417.36 2088.7 2506.1 417.46 2258.0 2675.5 1.3026 6.0568 7.3594
0.125 105.99 0.001 048 1.3749 444.19 2069.3 2513.5 444.32 2241.0 2685.4 1.3740 5.9104 7.2844
0.150 111.37 0.001 053 1.1593 466.94 2052.7 2519.7 467.11 2226.5 2693.6 1.4336 5.7897 7.2233
0.175 116.06 0.001 057 1.0036 486.80 2038.1 2524.9 486.99 2213.6 2700.6 1.4849 5.6868 7.1717
Appendix 1

(Continued)
TABLE A.2 (SI) (Continued)
Saturation Pressure (Water)
Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Appendix 1

Press. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Sat. Sat. Sat.
MPa Temp. °C Liquid vf Vapor vg Liquid u f u fg Vapor ug Liquid h f Evap. hfg Vapor hg Liquid s f Evap. s fg Vapor sg
0.200 120.23 0.001 061 0.8857 504.49 2025.0 2529.5 504.70 2201.9 2706.7 1.5301 5.5970 7.1271
0.225 124.00 0.001 064 0.7933 520.47 2013.1 2533.6 520.72 2191.3 2712.1 1.5706 5.5173 7.0878
0.250 127.44 0.001 067 0.7187 535.10 2002.1 2537.2 535.37 2181.5 2716.9 1.6072 5.4455 7.0527
0.275 130.60 0.001 070 0.6573 548.59 1991.9 2540.5 548.89 2172.4 2721.3 1.6408 5.3801 7.0209
0.300 133.55 0.001 073 0.6058 561.15 1982.4 2543.6 561.47 2163.8 2725.3 1.6718 5.3201 6.9919
0.325 136.30 0.001 076 0.5620 572.90 1973.5 2546.4 573.25 2155.8 2729.0 1.7006 5.2646 6.9652
0.350 138.88 0.001 079 0.5243 583.95 1965.0 2548.9 584.33 2148.1 2732.4 1.7275 5.2130 6.9405
0.375 141.32 0.001 081 0.4914 594.40 1956.9 2551.3 594.81 2140.8 2735.6 1.7528 5.1647 6.9175
0.40 143.63 0.001 084 0.4625 604.31 1949.3 2553.6 604.74 2133.8 2738.6 1.7766 5.1193 6.8959
0.45 147.93 0.001 088 0.4140 622.77 1934.9 2557.6 623.25 2120.7 2743.9 1.8207 5.0359 6.8565
0.50 151.86 0.001 093 0.3749 639.68 1921.6 2561.2 640.23 2108.5 2748.7 1.8607 4.9606 6.8213
0.55 155.48 0.001 097 0.3427 655.32 1909.2 2564.5 655.93 2097.0 2753.0 1.8973 4.8920 6.7893
0.60 158.85 0.001 101 0.3157 669.90 1897.5 2567.4 670.56 2086.3 2756.8 1.9312 4.8288 6.7600
0.65 162.01 0.001 104 0.2927 683.56 1886.5 2570.1 684.28 2076.0 2760.3 1.9627 4.7703 6.7331
0.70 164.97 0.001 108 0.2729 696.44 1876.1 2572.5 697.22 2066.3 2763.5 1.9922 4.7158 6.7080
0.75 167.78 0.001 112 0.2556 708.64 1866.1 2574.7 709.47 2057.0 2766.4 2.0200 4.6647 6.6847
0.80 170.43 0.001 115 0.2404 720.22 1856.6 2576.8 721.11 2048.0 2769.1 2.0462 4.6166 6.6628
0.85 172.96 0.001 118 0.2270 731.27 1847.4 2578.7 732.22 2039.4 2771.6 2.0710 4.5711 6.6421
0.90 175.38 0.001 121 0.2150 741.83 1838.6 2580.5 742.83 2031.1 2773.9 2.0946 4.5280 6.6226
0.95 177.69 0.001 124 0.2042 751.95 1830.2 2582.1 753.02 2023.1 2776.1 2.1172 4.4869 6.6041
1.00 179.91 0.001 127 0.194 44 761.68 1822.0 2583.6 762.81 2015.3 2778.1 2.1387 4.4478 6.5865
(Continued)
1171
1172

TABLE A.2 (SI) (Continued)

Saturation Pressure (Water)
Specific Volume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Press. Sat. Sat. Sat. Sat. Evap. Sat. Sat. Sat. Sat. Sat.
MPa Temp. °C Liquid vf Vapor vg Liquid u f u fg Vapor ug Liquid h f Evap. hfg Vapor hg Liquid s f Evap. s fg Vapor sg
1.10 184.09 0.001 133 0.177 53 780.09 1806.3 2586.4 781.34 2000.4 2781.7 2.1792 4.3744 6.5536
1.20 187.99 0.001 139 0.163 33 797.29 1791.5 2588.8 798.65 1986.2 2784.8 2.2166 4.3067 6.5233
1.30 191.64 0.001 144 0.151 25 813.44 1777.5 2591.0 814.93 1972.7 2787.6 2.2515 4.2438 6.4953
1.40 195.07 0.001 149 0.140 84 828.70 1764.1 2592.8 830.30 1959.7 2790.0 2.2842 4.1850 6.4693
1.5 198.32 0.001 154 0.131 77 843.16 1751.3 2594.5 844.89 1947.3 2792.2 2.3150 4.1298 6.4448
1.75 205.76 0.001 166 0.113 49 876.46 1721.4 2597.8 878.50 1917.9 2796.4 2.3851 4.0044 6.3896
2.00 212.42 0.001 177 0.099 63 906.44 1693.8 2600.3 908.79 1890.7 2799.5 2.4474 3.8935 6.3409
2.25 218.45 0.001 187 0.088 75 933.83 1668.2 2602.0 936.49 1865.2 2801.7 2.5035 3.7937 6.2972
2.5 223.99 0.001 197 0.079 98 959.11 1644.0 2603.1 962.11 1841.0 2803.1 2.5547 3.7028 6.2575
3.0 233.90 0.001 217 0.066 68 1004.78 1599.3 2604.1 1008.42 1795.7 2804.2 2.6457 3.5412 6.1869
3.5 242.60 0.001 235 0.057 07 1045.43 1558.3 2603.7 1049.75 1753.7 2803.4 2.7253 3.4000 6.1253
4.0 250.40 0.001 252 0.049 78 1082.31 1520.0 2602.3 1087.31 1714.1 2801.4 2.7964 3.2737 6.0701
(Continued)
Appendix 1
TABLE A.2 (SI) (Continued)
Saturation Pressure (Water)
Appendix 1

Specific Vo\lume (m3/kg) Internal Energy (kJ/kg) Enthalpy (kJ/kg) Entropy (kJ/kg.K)
Press. Temp. Sat. Sat. Sat. Evap. Sat. Sat. Evap. Sat. Sat. Evap. Sat.
MPa °C Liquid vf Vapor vg Liquid u f u fg Vapor ug Liquid hf h fg Vapor hg Liquid s f s fg Vapor sg
5 263.99 0.001 286 0.039 44 1147.81 1449.3 2597.1 1154.23 1640.1 2794.3 2.9202 3.0532 5.9734
6 275.64 0.001 319 0.032 44 1205.44 1384.3 2589.7 1213.35 1571.0 2784.3 3.0267 2.8625 5.8892
7 285.88 0.001 351 0.02737 1257.55 1323.0 2580.5 1267.00 1505.1 2772.1 3.1211 2.6922 5.8133
8 295.06 0.001 384 0.023 52 1305.57 1264.2 2569.8 1316.64 1441.3 2758.0 3.2068 2.5364 5.7432
9 303.40 0.001 418 0.020 48 1350.51 1207.3 2557.8 1363.26 1378.9 2742.1 3.2858 2.3915 5.6772
10 311.06 0.001 452 0.018 026 1393.04 1151.4 2544.4 1407.56 1317.1 2724.7 3.3596 2.2544 5.6141
11 318.15 0.001 489 0.015 987 1433.7 1096.0 2529.8 1450.1 1255.5 2705.6 3.4295 2.1233 5.5527
12 324.75 0.001 527 0.014 263 1473.0 1040.7 2513.7 1491.3 1193.6 2684.9 3.4962 1.9962 5.4924
13 330.93 0.001 567 0.012 780 1511.1 985.0 2496.1 1531.5 1130.7 2662.2 3.5606 1.8718 5.4323
14 336.75 0.001 611 0.011 485 1548.6 928.2 2476.8 1571.1 1066.5 2637.6 3.6232 1.7485 5.3717
15 342.24 0.001 658 0.010 337 1585.6 869.8 2455.5 1610.5 1000.0 2610.5 3.6848 1.6249 5.3098
16 347.44 0.001 711 0.009 306 1622.7 809.0 2431.7 1650.1 930.6 2580.6 3.7461 1.4994 5.2455
17 352.37 0.001 770 0.008 364 1660.2 744.8 2405.0 1690.3 856.9 2547.2 3.8079 1.3698 5.1777
18 357.06 0.001 840 0.007489 1698.9 675.4 2374.3 1732.0 777.1 2509.1 3.8715 1.2329 5.1044
19 361.54 0.001 924 0.006 657 1739.9 598.1 2338.1 1776.5 688.0 2464.5 3.9388 1.0839 5.0228
20 365.81 0.002 036 0.005 834 1785.6 507.5 2293.0 1826.3 583.4 2409.7 4.0139 0.9130 4.9269
21 369.89 0.002 207 0.004 952 1842.1 388.5 2230.6 1888.4 446.2 2334.6 4.1075 0.6938 4.8013
22 373.80 0.002 742 0.003 568 1961.9 125.2 2087.1 2022.2 143.4 2165.6 4.3110 0.2216 4.5327
22.09 374.14 0.003 155 0.003 155 2029.6 0 2029.6 2099.3 0 2099.3 4.4298 0 4.4298
1173
TABLE A.3 (SI)
1174

Properties of Superheated Steam

P = 0.010 MPa (45.81) P = 0.050 MPa (81.33) P = 0.10 MPa (99.63)
T v u h s v u h s v u h s
Sat. 14.674 2437.9 2584.7 8.1502 3.240 2483.9 2645.9 7.5939 1.6940 2506.1 2675.5 7.3594
50 14.869 2443.9 2592.6 8.1749
100 17.196 2515.5 2687.5 8.4479 3.418 2511.6 2682.5 7.6947 1.6958 2506.7 2676.2 7.3614
150 19.512 2587.9 2783.0 8.6882 3.889 2585.6 2780.1 7.9401 1.9364 2582.8 2776.4 7.6134
200 21.825 2661.3 2879.5 8.9038 4.356 2659.9 2877.7 8.1580 2.172 2658.1 2875.3 7.8343
250 24.136 2736.0 2977.3 9.1002 4.820 2735.0 2976.0 8.3556 2.406 2733.7 2974.3 8.0333
300 26.445 2812.1 3076.5 9.2813 5.284 2811.3 3075.5 8.5373 2.639 2810.4 3074.3 8.2158
400 31.063 2968.9 3279.6 9.6077 6.209 2968.5 3278.9 8.8642 3.103 2967.9 3278.2 8.5435
500 35.679 3132.3 3489.1 9.8978 7.134 3132.0 3488.7 9.1546 3.565 3131.6 3488.1 8.8342
600 40.295 3302.5 3705.4 10.1608 8.057 3302.2 3705.1 9.4178 4.028 3301.9 3704.7 9.0976
700 44.911 3479.6 3928.7 10.4028 8.981 3479.4 3928.5 9.6599 4.490 3479.2 3928.2 9.3398
800 49.526 3663.8 4159.0 10.6281 9.904 3663.6 4158.9 9.8852 4.952 3663.5 4158.6 9.5652
900 54.141 3855.0 4396.4 10.8396 10.828 3854.9 4396.3 10.0967 5.414 3854.8 4396.1 9.7767
1000 58.757 4053.0 4640.6 11.0393 11.751 4052.9 4640.5 10.2964 5.875 4052.8 4640.3 9.9764
1100 63.372 4257.5 4891.2 11.2287 12.674 4257.4 4891.1 10.4859 6.337 4257.3 4891.0 10.1659
1200 67.987 4467.9 5147.8 11.4091 13.597 4467.8 5147.7 10.6662 6.799 4467.7 5147.6 10.3463
1300 72.602 4683.7 5409.7 11.5811 14.521 4683.6 5409.6 10.8382 7.260 4683.5 5409.5 10.5183
(Continued)
Appendix 1
TABLE A.3 (SI) (Continued)
Properties of Superheated Steam
Appendix 1

P = 0.20 MPa (120.23) P = 0.30 MPa (133.55) P = 0.40 MPa (143.63)

T v u h s v u h s v u h s
Sat. .8857 2529.5 2706.7 7.1272 0.6058 2543.6 2725.3 6.9919 0.4625 2553.6 2738.6 6.8959
150 .9596 2576.9 2768.8 7.2795 0.6339 2570.8 2761.0 7.0778 0.4708 2564.5 2752.8 6.9299
200 1.0803 2654.4 2870.5 7.5066 0.7163 2650.7 2865.6 7.3115 0.5342 2646.8 2860.5 7.1706
250 1.1988 2731.2 2971.0 7.7086 0.7964 2728.7 2967.6 7.5166 0.5951 2726.1 2964.2 7.3789
300 1.3162 2808.6 3071.8 7.8926 0.8753 2806.7 3069.3 7.7022 0.6548 2804.8 3066.8 7.5662
400 1.5493 2966.7 3276.6 8.2218 1.0315 2965.6 3275.0 8.0330 0.7726 2964.4 3273.4 7.8985
500 1.7814 3130.8 3487.1 8.5133 1.1867 3130.0 3486.0 8.3251 0.8893 3129.2 3484.9 8.1913
600 2.013 3301.4 3704.0 8.7770 1.3414 3300.8 3703.2 8.5892 1.0055 3300.2 3702.4 8.4558
700 2.244 3478.8 3927.6 9.0194 1.4957 3478.4 3927.1 8.8319 1.1215 3477.9 3926.5 8.6987
800 2.475 3663.1 4158.2 9.2449 1.6499 3662.9 4157.8 9.0576 1.2372 3662.4 4157.3 8.9244
900 2.706 3854.5 4395.8 9.4566 1.8041 3854.2 4395.4 9.2692 1.3529 3853.9 4395.1 9.1362
1000 2.937 4052.5 4640.0 9.6563 1.9581 4052.3 4639.7 9.4690 1.4685 4052.0 4639.4 9.3360
1100 3.168 4257.0 4890.7 9.8458 2.1121 4256.8 4890.4 9.6585 1.5840 4256.5 4890.2 9.5256
1200 3.399 4467.5 5147.3 10.0262 2.2661 4467.2 5147.1 9.8389 1.6996 4467.0 5146.8 9.7060
1300 3.630 4683.2 5409.3 10.1982 2.4201 4683.0 5409.0 10.0110 1.8151 4682.8 5408.8 9.8780
(Continued)
1175
1176

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 0.50 MPa (151.86) P = 0.60 MPa (158.85) P = 0.80 MPa (170.43)
Sat. 0.3749 2561.2 2748.7 6.8213 0.3157 2567.4 2756.8 6.7600 0.2404 2576.8 2769.1 6.6628
200 0.4249 2642.9 2855.4 7.0592 0.3520 2638.9 2850.1 6.9665 0.2608 2630.6 2839.3 6.8158
250 0.4744 2723.5 2960.7 7.2709 0.3938 2720.9 2957.2 7.1816 0.2931 2715.5 2950.0 7.0384
300 0.5226 2802.9 3064.2 7.4599 0.4344 2801.0 3061.6 7.3724 0.3241 2797.2 3056.5 7.2328
350 0.5701 2882.6 3167.7 7.6329 0.4742 2881.2 3165.7 7.5464 0.3544 2878.2 3161.7 7.4089
400 0.6173 2963.2 3271.9 7.7938 0.5137 2962.1 3270.3 7.7079 0.3843 2959.7 3267.1 7.5716
500 0.7109 3128.4 3483.9 8.0873 0.5920 3127.6 3482.8 8.0021 0.4433 3126.0 3480.6 7.8673
600 0.8041 3299.6 3701.7 8.3522 0.6697 3299.1 3700.9 8.2674 0.5018 3297.9 3699.4 8.1333
700 0.8969 3477.5 3925.9 8.5952 0.7472 3477.0 3925.3 8.5107 0.5601 3476.2 3924.2 8.3770
800 0.9896 3662.1 4156.9 8.8211 0.8245 3661.8 4156.5 8.7367 0.6181 3661.1 4155.6 8.6033
900 1.0822 3853.6 4394.7 9.0329 0.9017 3853.4 4394.4 8.9486 0.6761 3852.8 4393.7 8.8153
1000 1.1747 4051.8 4639.1 9.2328 0.9788 4051.5 4638.8 9.1485 0.7340 4051.0 4638.2 9.0153
1100 1.2672 4256.3 4889.9 9.4224 1.0559 4256.1 4889.6 9.3381 0.7919 4255.6 4889.1 9.2050
1200 1.3596 4466.8 5146.6 9.6029 1.1330 4466.5 5146.3 9.5185 0.8497 4466.1 5145.9 9.3855
1300 1.4521 4682.5 5408.6 9.7749 1.2101 4682.3 5408.3 9.6906 0.9076 4681.8 5407.9 9.5575
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 1.00 MPa (179.91) P = 1.20 MPa (187.99) P = 1.40 MPa (195.07)
Sat. 0.1944 2583.6 2778.1 6.5865 0.163 33 2588.8 2784.8 6.5233 0.140 84 2592.8 2790.0 6.4693
200 0.2060 2621.9 2827.9 6.6940 0.169 30 2612.8 2815.9 6.5898 0.143 02 2603.1 2803.3 6.4975
250 0.2327 2709.9 2942.6 6.9247 0.192 34 2704.2 2935.0 6.8294 0.163 50 2698.3 2927.2 6.7467
300 0.2579 2793.2 3051.2 7.1229 0.2138 2789.2 3045.8 7.0317 0.182 28 2785.2 3040.4 6.9534
350 0.2825 2875.2 3157.7 7.3011 0.2345 2872.2 3153.6 7.2121 0.2003 2869.2 3149.5 7.1360
400 0.3066 2957.3 3263.9 7.4651 0.2548 2954.9 3260.7 7.3774 0.2178 2952.5 3257.5 7.3026
500 0.3541 3124.4 3478.5 7.7622 0.2946 3122.8 3476.3 7.6759 0.2521 3121.1 3474.1 7.6027
600 0.4011 3296.8 3697.9 8.0290 0.3339 3295.6 3696.3 7.9435 0.2860 3294.4 3694.8 7.8710
700 0.4478 3475.3 3923.1 8.2731 0.3729 3474.4 3922.0 8.1881 0.3195 3473.6 3920.8 8.1160
800 0.4943 3660.4 4154.7 8.4996 0.4118 3659.7 4153.8 8.4148 0.3528 3659.0 4153.0 8.3431
900 0.5407 3852.2 4392.9 8.7118 0.4505 3851.6 4392.2 8.6272 0.3861 3851.1 4391.5 8.5556
1000 0.5871 4050.5 4637.6 8.9119 0.4892 4050.0 4637.0 8.8274 0.4192 4049.5 4636.4 8.7559
1100 0.6335 4255.1 4888.6 9.1017 0.5278 4254.6 4888.0 9.0172 0.4524 4254.1 4887.5 8.9457
1200 0.6798 4465.6 5145.4 9.2822 0.5665 4465.1 5144.9 9.1977 0.4855 4464.7 5144.4 9.1262
1300 0.7261 4681.3 5407.4 9.4543 0.6051 4680.9 5407.0 9.3698 0.5186 4680.4 5406.5 9.2984
(Continued)
1177
1178

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 1.60 MPa (201.41) P = 1.80 MPa (207.15) P = 2.00 MPa (212.42)
T v u h s v u h s v u h s
Sat. 0.123 80 2596.0 2794.0 6.4218 0.11042 2598.4 2797.1 6.3794 0.099 63 2600.3 2799.5 6.3409
225 0.132 87 2644.7 2857.3 6.5518 0.116 73 2636.6 2846.7 6.4808 0.103 77 2628.3 2835.8 6.4147
250 0.14184 2692.3 2919.2 6.6732 0.124 97 2686.0 2911.0 6.6066 0.11144 2679.6 2902.5 6.5453
300 0.158 62 2781.1 3034.8 6.8844 0.140 21 2776.9 3029.2 6.8226 0.125 47 2772.6 3023.5 6.7664
350 0.174 56 2866.1 3145.4 7.0694 0.154 57 2863.0 3141.2 7.0100 0.138 57 2859.8 3137.0 6.9563
400 0.190 05 2950.1 3254.2 7.2374 0.168 47 2947.7 3250.9 7.1794 0.15120 2945.2 3247.6 7.1271
500 0.2203 3119.5 3472.0 7.5390 0.195 50 3117.9 3469.8 7.4825 0.175 68 31162 3467.6 7.4317
600 0.2500 3293.3 3693.2 7.8080 0.2220 3292.1 3691.7 7.7523 0.199 60 3290.9 3690.1 7.7024
700 0.2794 3472.7 3919.7 8.0535 0.2482 3471.8 3918.5 7.9983 0.2232 3470.9 3917.4 7.9487
800 0.3086 3658.3 4152.1 8.2808 0.2742 3657.6 4151.2 8.2258 0.2467 3657.0 4150.3 8.1765
900 0.3377 3850.5 4390.8 8.4935 0.3001 3849.9 4390.1 8.4386 0.2700 3849.3 4389.4 8.3895
1000 0.3668 4049.0 4635.8 8.6938 0.3260 4048.5 4635.2 8.6391 0.2933 4048.0 4634.6 8.5901
1100 0.3958 4253.7 4887.0 8.8837 0.3518 4253.2 4886.4 8.8290 0.3166 4252.7 4885.9 8.7800
1200 0.4248 4464.2 5143.9 9.0643 0.3776 4463.7 5143.4 9.0096 0.3398 4463.3 5142.9 8.9607
1300 0.4538 4679.9 5406.0 9.2364 0.4034 4679.5 5405.6 9.1818 0.3631 4679.0 5405.1 9.1329
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 2.50 MPa (223.99) P = 3.00 MPa (233.90) P = 3.50 MPa (242.60)
Sat. 0.079 98 2603.1 2803.1 6.2575 0.066 68 2604.1 2804.2 6.1869 0.057 07 2603.7 2803.4 6.1253
250 0.087 00 2662.6 2880.1 6.4085 0.070 58 2644.0 2855.8 6.2872 0.058 72 2623.7 2829.2 6.1749
300 0.098 90 2761.6 3008.8 6.6438 0.08114 2750.1 2993.5 6.5390 0.068 42 2738.0 2977.5 6.4461
350 0.109 76 2851.9 3126.3 6.8403 0.090 53 2843.7 3115.3 6.7428 0.076 78 2835.3 3104.0 6.6579
400 0.120 10 2939.1 3239.3 7.0148 0.099 36 2932.8 3230.9 6.9212 0.084 53 2926.4 3222.3 6.8405
450 0.130 14 3025.5 3350.8 7.1746 0.107 87 3020.4 3344.0 7.0834 0.091 96 3015.3 3337.2 7.0052
500 0.139 98 3112.1 3462.1 7.3234 0.11619 3108.0 3456.5 7.2338 0.099 18 3103.0 3450.9 7.1572
600 0.159 30 3288.0 3686.3 7.5960 0.132 43 3285.0 3682.3 7.5085 0.113 24 3282.1 3678.4 7.4339
700 0.178 32 3468.7 3914.5 7.8435 0.148 38 3466.5 3911.7 7.7571 0.126 99 3464.3 3908.8 7.6837
800 0.19716 3655.3 4148.2 8.0720 0.16414 3653.5 4145.9 7.9862 0.140 56 3651.8 4143.7 7.9134
900 0.215 90 3847.9 4387.6 8.2853 0.179 80 3846.5 4385.9 8.1999 0.154 02 3845.0 4384.1 8.1276
1000 0.2346 4046.7 4633.1 8.4861 0.195 41 4045.4 4631.6 8.4009 0.16743 4044.1 4630.1 8.3288
1100 0.2532 4251.5 4884.6 8.6762 0.210 98 4250.3 4883.3 8.5912 0.180 80 4249.2 4881.9 8.5192
1200 0.2718 4462.1 5141.7 8.8569 0.226 52 4460.9 5140.5 8.7720 0.194 15 4459.8 5139.3 8.7000
1300 0.2905 4677.8 5404.0 9.0291 0.242 06 4676.6 5402.8 8.9442 0.20749 4675.5 5401.7 8.8723
(Continued)
1179
1180

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 4.0 MPa (250.40) P = 4.5 MPa (257.49) P = 5.0 MPa (263.99)
Sat. 0.049 78 2602.3 2801.4 6.0701 0.044 06 2600.1 2798.3 6.0198 0.039 44 2597.1 2794.3 5.9734
275 0.054 57 2667.9 2886.2 6.2285 0.04730 2650.3 2863.2 6.1401 0.041 41 2631.3 2838.3 6.0544
300 0.058 84 2725.3 2960.7 6.3615 0.051 35 2712.0 2943.1 6.2828 0.045 32 2698.0 2924.5 6.2084
350 0.066 45 2826.7 3092.5 6.5821 0.058 40 2817.8 3080.6 6.5131 0.051 94 2808.7 3068.4 6.4493
400 0.073 41 2919.9 3213.6 6.7690 0.064 75 2913.3 3204.7 6.7047 0.057 81 2906.6 3195.7 6.6459
450 0.080 02 3010.2 3330.3 6.9363 0.070 74 3005.0 3323.3 6.8746 0.063 30 2999.7 3316.2 6.8186
500 0.086 43 3099.5 3445.3 7.0901 0.076 51 3095.3 3439.6 7.0301 0.068 57 3091.0 3433.8 6.9759
600 0.098 85 3279.1 3674.4 7.3688 0.087 65 3276.0 3670.5 7.3110 0.078 69 3273.0 3666.5 7.2589
700 0.11095 3462.1 3905.9 7.6198 0.098 47 3459.9 3903.0 7.5631 0.088 49 3457.6 3900.1 7.5122
800 0.122 87 3650.0 4141.5 7.8502 0.109 11 3648.3 4139.3 7.7942 0.098 11 3646.6 4137.1 7.7440
900 0.134 69 3843.6 4382.3 8.0647 0.119 65 3842.2 4380.6 8.0091 0.107 62 3840.7 4378.8 7.9593
1000 0.146 45 4042.9 4628.7 8.2662 0.130 13 4041.6 4627.2 8.2108 0.117 07 4040.4 4625.7 8.1612
1100 0.15817 4248.0 4880.6 8.4567 0.140 56 4246.8 4879.3 8.4015 0.126 48 4245.6 4878.0 8.3520
1200 0.169 87 4458.6 5138.1 8.6376 0.150 98 4457.5 5136.9 8.5825 0.135 87 4456.3 5135.7 8.5331
1300 0.181 56 4674.3 5400.5 8.8100 0.161 39 4673.1 5399.4 8.7549 0.145 26 4672.0 5398.2 8.7055
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 6.0 MPa (275.64) P = 7.0 MPa (285.88) P = 8.0 MPa (295.06)
Sat. 0.032 44 2589.7 2784.3 5.8892 0.02737 2580.5 2772.1 5.8133 0.023 52 2569.8 2758.0 5.7432
300 0.036 16 2667.2 2884.2 6.0674 0.029 47 2632.2 2838.4 5.9305 0.024 26 2590.9 2785.0 5.7906
350 0.042 23 2789.6 3043.0 6.3335 0.035 24 2769.4 3016.0 6.2283 0.029 95 2747.7 2987.3 6.1301
400 0.04739 2892.9 3177.2 6.5408 0.039 93 2878.6 3158.1 6.4478 0.034 32 2863.8 3138.3 6.3634
450 0.052 14 2988.9 3301.8 6.7193 0.044 16 2978.0 3287.1 6.6327 0.038 17 2966.7 3272.0 6.5551
500 0.056 65 3082.2 3422.2 6.8803 0.048 14 3073.4 3410.3 6.7975 0.04175 3064.3 3398.3 6.7240
550 0.061 01 3174.6 3540.6 7.0288 0.051 95 3167.2 3530.9 6.9486 0.045 16 3159.8 3521.0 6.8778
600 0.065 25 3266.9 3658.4 7.1677 0.055 65 3260.7 3650.3 7.0894 0.048 45 3254.4 3642.0 7.0206
700 0.073 52 3453.1 3894.2 7.4234 0.062 83 3448.5 3888.3 7.3476 0.054 81 3443.9 3882.4 7.2812
800 0.081 60 3643.1 4132.7 7.6566 0.069 81 3639.5 4128.2 7.5822 0.060 97 3636.0 4123.8 7.5173
900 0.089 58 3837.8 4375.3 7.8727 0.076 69 3835.0 4371.8 7.7991 0.067 02 3832.1 4368.3 7.7351
1000 0.09749 4037.8 4622.7 8.0751 0.083 50 4035.3 4619.8 8.0020 0.073 01 4032.8 4616.9 7.9384
1100 0.105 36 4243.3 4875.4 8.2661 0.090 27 4240.9 4872.8 8.1933 0.078 96 4238.6 4870.3 8.1300
1200 0.113 21 4454.0 5133.3 8.4474 0.097 03 4451.7 5130.9 8.3747 0.084 89 4449.5 5128.5 8.3115
1300 0.121 06 4669.6 5396.0 8.6199 0.103 77 4667.3 5393.7 8.5473 0.090 80 4665.0 5391.5 8.4842
(Continued)
1181
1182

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 9.0 MPa (303.40) P = 10.0 MPa (311.06) P = 12.5 MPa (327.89)
T v u h s v u h s v u h s
Sat. 0.020 48 2557.8 2742.1 5.6772 0.018 026 2544.4 2724.7 5.6141 0.013 495 2505.1 2673.8 5.4624
325 0.023 27 2646.6 2856.0 5.8712 0.019 861 2610.4 2809.1 5.7568
350 0.025 80 2724.4 2956.6 6.0361 0.022 42 2699.2 2923.4 5.9443 0.016 126 2624.6 2826.2 5.7118
400 0.029 93 2848.4 3117.8 6.2854 0.026 41 2832.4 3096.5 6.2120 0.020 00 2789.3 3039.3 6.0417
450 0.033 50 2955.2 3256.6 6.4844 0.029 75 2943.4 3240.9 6.4190 0.022 99 2912.5 3199.8 6.2719
500 0.036 77 3055.2 3386.1 6.6576 0.032 79 3045.8 3373.7 6.5966 0.025 60 3021.7 3341.8 6.4618
550 0.039 87 3152.2 3511.0 6.8142 0.035 64 3144.6 3500.9 6.7561 0.028 01 3125.0 3475.2 6.6290
600 0.042 85 3248.1 3633.7 6.9589 0.038 37 3241.7 3625.3 6.9029 0.030 29 3225.4 3604.0 6.7810
650 0.045 74 3343.6 3755.3 7.0943 0.041 01 3338.2 3748.2 7.0398 0.032 48 3324.4 3730.4 6.9218
700 0.048 57 3439.3 3876.5 7.2221 0.043 58 3434.7 3870.5 7.1687 0.034 60 3422.9 3855.3 7.0536
800 0.054 09 3632.5 4119.3 7.4596 0.048 59 3628.9 4114.8 7.4077 0.038 69 3620.0 4103.6 7.2965
900 0.059 50 3829.2 4364.8 7.6783 0.053 49 3826.3 4361.2 7.6272 0.042 67 3819.1 4352.5 7.5182
1000 0.064 85 4030.3 4614.0 7.8821 0.058 32 4027.8 4611.0 7.8315 0.046 58 4021.6 4603.8 7.7237
1100 0.070 16 4236.3 4867.7 8.0740 0.06312 4234.0 4865.1 8.0237 0.050 45 4228.2 4858.8 7.9165
1200 0.075 44 4447.2 5126.2 8.2556 0.067 89 4444.9 5123.8 8.2055 0.054 30 4439.3 5118.0 8.0987
1300 0.080 72 4662.7 5389.2 8.4284 0.072 65 4460.5 5387.0 8.3783 0.058 13 4654.8 5381.4 8.2717
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 15.0 MPa (342.24) P = 17.5 MPa (354.75) P = 20.0 MPa (365.81)
Sat. 0.010 337 2455.5 2610.5 5.3098 0.007920 2390.2 2528.8 5.1419 0.005 834 2293.0 2409.7 4.9269
350 0.011 470 2520.4 2692.4 5.4421
400 0.015 649 2740.7 2975.5 5.8811 0.012447 2685.0 2902.9 5.7213 0.009 942 2619.3 2818.1 5.5540
450 0.018 445 2879.5 3156.2 6.1404 0.015174 2844.2 3109.7 6.0184 0.012 695 2806.2 3060.1 5.9017
500 0.020 80 2996.6 3308.6 6.3443 0.017358 2970.3 3274.1 6.2383 0.014 768 2942.9 3238.2 6.1401
550 0.022 93 3104.7 3448.6 6.5199 0.019 288 3083.9 3421.4 6.4230 0.016 555 3062.4 3393.5 6.3348
600 0.024 91 3208.6 3582.3 6.6776 0.021 06 3191.5 3560.1 6.5866 0.018 178 3174.0 3537.6 6.5048
650 0.026 80 3310.3 3712.3 6.8224 0.022 74 3296.0 3693.9 6.7357 0.019 693 3281.4 3675.3 6.6582
700 0.028 61 3410.9 3840.1 6.9572 0.024 34 3398.7 3824.6 6.8736 0.021 13 3386.4 3809.0 6.7993
800 0.032 10 3610.9 4092.4 7.2040 0.02738 3601.8 4081.1 7.1244 0.023 85 3592.7 4069.7 7.0544
900 0.035 46 3811.9 4343.8 7.4279 0.030 31 3804.7 4335.1 7.3507 0.026 45 3797.5 4326.4 7.2830
1000 0.038 75 4015.4 4596.6 7.6348 0.033 16 4009.3 4589.5 7.5589 0.028 97 4003.1 4582.5 7.4925
1100 0.042 00 4222.6 4852.6 7.8283 0.035 97 4216.9 4846.4 7.7531 0.031 45 4211.3 4840.2 7.6874
1200 0.045 23 4433.8 5112.3 8.0108 0.038 76 4428.3 5106.6 7.9360 0.033 91 4422.8 5101.0 7.8707
1300 0.048 45 4649.1 5376.0 8.1840 0.041 54 4643.5 5370.5 8.1093 0.036 36 4638.0 5365.1 8.0442
(Continued)
1183
1184

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 25.0 MPa P = 30.0 MPa P = 35.0 MPa
375 0.001 973 1 1798.7 1848.0 4.0320 0.001 789 2 1737.8 1791.5 3.9305 0.001 700 3 1702.9 1762.4 3.8722
400 0.006 004 2430.1 2580.2 5.1418 0.002 790 2067.4 2151.1 4.4728 0.002 100 1914.1 1987.6 4.2126
425 0.007 881 2609.2 2806.3 5.4723 0.005 303 2455.1 2614.2 5.1504 0.003 428 2253.4 2373.4 4.7747
450 0.009 162 2720.7 2949.7 5.6744 0.006 735 2619.3 2821.4 5.4424 0.004 961 2498.7 2672.4 5.1962
500 0.011123 2884.3 3162.4 5.9592 0.008 678 2820.7 3081.1 5.7905 0.006 927 2751.9 2994.4 5.6282
550 0.012 724 3017.5 3335.6 6.1765 0.010 168 2970.3 3275.4 6.0342 0.008 345 2921.0 3213.0 5.9026
600 0.014 137 3137.9 3491.4 6.3602 0.011 446 3100.5 3443.9 6.2331 0.009 527 3062.0 3395.5 6.1179
650 0.015 433 3251.6 3637.4 6.5229 0.012 596 3221.0 3598.9 6.4058 0.010 575 3189.8 3559.9 6.3010
700 0.016 646 3361.3 3777.5 6.6707 0.013 661 3335.8 3745.6 6.5606 0.011 533 3309.8 3713.5 6.4631
800 0.018 912 3574.3 4047.1 6.9345 0.015 623 3555.5 4024.2 6.8332 0.013 278 3536.7 4001.5 6.7450
900 0.021 045 3783.0 4309.1 7.1680 0.017448 3768.5 4291.9 7.0718 0.014 883 3754.0 4274.9 6.9886
1000 0.023 10 3990.9 4568.5 7.3802 0.019 196 3978.8 4554.7 7.2867 0.016 410 3966.7 4541.1 7.2064
1100 0.025 12 4200.2 4828.2 7.5765 0.020 903 4189.2 4816.3 7.4845 0.017 895 4178.3 4804.6 7.4057
1200 0.027 11 4412.0 5089.9 7.7605 0.022 589 4401.3 5079.0 7.6692 0.019 360 4390.7 5068.3 7.5910
1300 0.029 10 4626.9 5354.4 7.9342 0.024 266 4616.0 5344.0 7.8432 0.020 815 4605.1 5333.6 7.7653
(Continued)
Appendix 1
Appendix 1

TABLE A.3 (SI) (Continued)

Properties of Superheated Steam
P = 40.0 MPa P = 50.0 MPa P = 60.0 MPa
375 0.001 640 7 1677.1 1742.8 3.8290 0.001 559 4 1638.6 1716.6 3.7639 0.001 502 8 1609.4 1699.5 3.7141
400 0.001 907 7 1854.6 1930.9 4.1135 0.001 730 9 1788.1 1874.6 4.0031 0.001 633 5 1745.4 1843.4 3.9318
425 0.002 532 2096.9 2198.1 4.5029 0.002 007 1959.7 2060.0 4.2734 0.001 816 5 1892.7 2001.7 4.1626
450 0.003 693 2365.1 2512.8 4.9459 0.002 486 2159.6 2284.0 4.5884 0.002 085 2053.9 2179.0 4.4121
500 0.005 622 2678.4 2903.3 5.4700 0.003 892 2525.5 2720.1 5.1726 0.002 956 2390.6 2567.9 4.9321
550 0.006 984 2869.7 3149.1 5.7785 0.005 118 2763.6 3019.5 5.5485 0.003 956 2658.8 2896.2 5.3441
600 0.008 094 3022.6 3346.4 6.0114 0.006 112 2942.0 3247.6 5.8178 0.004 834 2861.1 3151.2 5.6452
650 0.009 063 3158.0 3520.6 6.2054 0.006 966 3093.5 3441.8 6.0342 0.005 595 3028.8 3364.5 5.8829
700 0.009 941 3283.6 3681.2 6.3750 0.007 727 3230.5 3616.8 6.2189 0.006 272 3177.2 3553.5 6.0824
800 0.011 523 3517.8 3978.7 6.6662 0.009 076 3479.8 3933.6 6.5290 0.007 459 3441.5 3889.1 6.4109
900 0.012 962 3739.4 4257.9 6.9150 0.010 283 3710.3 4224.4 6.7882 0.008 508 3681.0 4191.5 6.6805
1000 0.014 324 3954.6 4527.6 7.1356 0.011 411 3930.5 4501.1 7.0146 0.009 480 3906.4 4475.2 6.9127
1100 0.015 642 4167.4 4793.1 7.3364 0.012 496 4145.7 4770.5 7.2184 0.010 409 4124.1 4748.6 7.1195
1200 0.016 940 4380.1 5057.7 7.5224 0.013 561 4359.1 5037.2 7.4058 0.011 317 4338.2 5017.2 7.3083
1300 0.018 229 4594.3 5323.5 7.6969 0.014 616 4572.8 5303.6 7.5808 0.012 215 4551.4 5284.3 7.4837
1185
TABLE A.4 (SI)
1186

Properties of Compressed Liquid (Water)

P = 5 MPa (263.99) P = 10 MPa (311.06) P = 15 MPa (342.24)
T v u h s v u h s v u h s
Sat. 0.001 285 9 1147.8 1154.2 2.9202 0.001 452 4 1393.0 1407.6 3.3596 0.001 658 1 1585.6 1610.5 3.6848
0 0.000 997 7 0.04 5.04 0.0001 0.000 995 2 0.09 10.04 0.0002 0.000 992 8 0.15 15.05 0.0004
20 0.000 999 5 83.65 88.65 0.2956 0.000 9972 83.36 93.33 0.2945 0.000 995 0 83.06 97.99 0.2934
40 0.001 005 6 166.95 171.97 0.5705 0.001 003 4 166.35 176.38 0.5686 0.001 001 3 165.76 180.78 0.5666
60 0.001 014 9 250.23 255.30 0.8285 0.001 012 7 249.36 259.49 0.8258 0.001 010 5 248.51 263.67 0.8232
80 0.001 026 8 333.72 338.85 1.0720 0.001 024 5 332.59 342.83 1.0688 0.001 022 2 331.48 346.81 1.0656
100 0.001 041 0 417.52 422.72 1.3030 0.001 038 5 416.12 426.50 1.2992 0.001 036 1 414.74 430.28 1.2955
120 0.001 057 6 501.80 507.09 1.5233 0.001 054 9 500.08 510.64 1.5189 0.001 052 2 498.40 514.19 1.5145
140 0.001 076 8 586.76 592.15 1.7343 0.001 073 7 584.68 595.42 1.7292 0.001 070 7 582.66 598.72 1.7242
160 0.001 098 8 672.62 678.12 1.9375 0.001 095 3 670.13 681.08 1.9317 0.001 091 8 667.71 684.09 1.9260
180 0.001 124 0 759.63 765.25 2.1341 0.001 119 9 756.65 767.84 2.1275 0.001 115 9 753.76 770.50 2.1210
200 0.001 153 0 848.1 853.9 2.3255 0.001 148 0 844.5 856.0 2.3178 0.001 143 3 841.0 858.2 2.3104
220 0.001 186 6 938.4 944.4 2.5128 0.001 180 5 934.1 945.9 2.5039 0.001 1748 929.9 947.5 2.4953
240 0.001 226 4 1031.4 1037.5 2.6979 0.001 218 7 1026.0 1038.1 2.6872 0.001 211 4 1020.8 1039.0 2.6771
260 0.001 274 9 1127.9 1134.3 2.8830 0.001 264 5 1121.1 1133.7 2.8699 0.001 255 0 1114.6 1133.4 2.8576
280 0.001 321 6 1220.9 1234.1 3.0548 0.001 308 4 1212.5 1232.1 3.0393
300 0.001 3972 1328.4 1342.3 3.2469 0.001 377 0 1316.6 1337.3 3.2260
320 0.001 472 4 1431.1 1453.2 3.4247
340 0.001 631 1 1567.5 1591.9 3.6546
(Continued)
Appendix 1
TABLE A.4 (SI) (Continued)
Properties of Compressed Liquid (Water)
Appendix 1

P = 20 MPa (365.81) P = 30 MPa P = 50 MPa

T v u h s v u h s v u h s
Sat. 0.002 036 1785.6 1826.3 4.0139
0 0.000 990 4 0.19 20.01 0.0004 0.000 985 6 0.25 29.82 0.0001 0.000 976 6 0.20 49.03 0.0014
20 0.000 992 8 82.77 102.62 0.2923 0.000 988 6 82.17 111.84 0.2899 0.000 980 4 81.00 130.02 0.2848
40 0.000 999 2 165.17 185.16 0.5646 0.000 995 1 164.04 193.89 0.5607 0.000 9872 161.86 211.21 0.5527
60 0.001 008 4 247.68 267.85 0.8206 0.001 004 2 246.06 276.19 0.8154 0.000 996 2 242.98 292.79 0.8052
80 0.001 019 9 330.40 350.80 1.0624 0.001 015 6 328.30 358.77 1.0561 0.001 0073 324.34 374.70 1.0440
100 0.001 033 7 413.39 434.06 1.2917 0.001 029 0 410.78 441.66 1.2844 0.001 020 1 405.88 456.89 1.2703
120 0.001 049 6 496.76 517.76 1.5102 0.001 044 5 493.59 524.93 1.5018 0.001 034 8 487.65 539.39 1.4857
140 0.001 067 8 580.69 602.04 1.7193 0.001 062 1 576.88 608.75 1.7098 0.001 051 5 569.77 622.35 1.6915
160 0.001 088 5 665.35 687.12 1.9204 0.001 082 1 660.82 693.28 1.9096 0.001 070 3 652.41 705.92 1.8891
180 0.001 112 0 750.95 773.20 2.1147 0.001 104 7 745.59 778.73 2.1024 0.001 091 2 735.69 790.25 2.0794
200 0.001 138 8 837.7 860.5 2.3031 0.001 130 2 831.4 865.3 2.2893 0.001 114 6 819.7 875.5 2.2634
220 0.001 169 3 925.9 949.3 2.4870 0.001 159 0 918.3 953.1 2.4711 0.001 140 8 904.7 961.7 2.4419
240 0.001 204 6 1016.0 1040.0 2.6674 0.001 192 0 1006.9 1042.6 2.6490 0.001 170 2 990.7 1049.2 2.6158
260 0.001 246 2 1108.6 1133.5 2.8459 0.001 230 3 1097.4 1134.3 2.8243 0.001 203 4 1078.1 1138.2 2.7860
280 0.001 296 5 1204.7 1230.6 3.0248 0.001 275 5 1190.7 1229.0 2.9986 0.001 241 5 1167.2 1229.3 2.9537
300 0.001 359 6 1306.1 1333.3 3.2071 0.001 330 4 1287.9 1327.8 3.1741 0.001 286 0 1258.7 1323.0 3.1200
320 0.001 443 7 1415.7 1444.6 3.3979 0.001 399 7 1390.7 1432.7 3.3539 0.001 338 8 1353.3 1420.2 3.2868
340 0.001 568 4 1539.7 1571.0 3.6075 0.001 492 0 1501.7 1546.5 3.5426 0.001 403 2 1452.0 1522.1 3.4557
360 0.001 822 6 1702.8 1739.3 3.8772 0.001 626 5 1626.6 1675.4 3.7494 0.001 483 8 1556.0 1630.2 3.6291
380 0.001 869 1 1781.4 1837.5 4.0012 0.001 588 4 1667.2 1746.6 3.8101
1187
1188

TABLE A.5
Gas Constant Values
English Units SI Units
Molecular R cp cp R cp cp
Chemical Weight ft. lb. Btu Btu k=Cp/Cv kJ kJ kJ
Gas Formula (kg/kmol) lb.°R lb.°R lb.°R cv kg·K kg·K kg·K
Acetylene C2H2 26.02 59.39 0.361 0.285 1.27 0.31955 1.5116 1.1933
Air 28.97 53.34 0.240 0.171 1.40 0.28700 1.0052 0.7180
Ammonia NH3 17.024 90.7 0.52 0.404 1.29 0.48802 2.1773 1.6916
Argon Ar 39.94 38.68 0.124 0.075 1.667 0.20813 0.5207 0.3124
Butane C4H10 58.12 26.58 0.415 0.381 1.09 0.14304 1.7164 1.5734
Carbon dioxide CO2 44.01 35.10 0.202 0.157 1.29 0.18892 0.8464 0.6573
Carbon monoxide CO 28.01 55.16 0.249 0.178 1.40 0.29683 1.0411 0.7441
Ethane C2H6 30.07 51.38 0.427 0.361 1.18 0.27650 1.7662 1.4897
Ethylene C2H4 28.052 55.07 0.411 0.340 1.21 0.29637 1.5482 1.2518
Helium He 4.003 386.0 1.25 0.753 1.667 2.07703 5.1926 3.1156
Hydrogen H2 2.016 766.4 3.420 2.434 1.405 4.12418 14.3193 10.1919
Methane CH4 16.04 96.35 0.532 0.403 1.32 0.51835 2.2537 1.7354
Nitrogen N2 28.016 55.15 0.248 0.177 1.40 0.29680 1.0404 0.7434
Octane C8H18 114.14 13.53 0.409 0.392 1.044 0.07279 1.7113 1.6385
Oxygen O2 32.000 48.28 0.219 0.157 1.39 0.25983 0.9190 0.6590
Propane C3H8 44.094 35.04 0.407 0.362 1.124 0.18855 1.6794 1.4909
Water vapor H 2O 18.016 85.76 0.445 0.335 1.33 0.46152 1.8649 1.4031
Appendix 1
Appendix 1 1189

TABLE A.6
Critical Constants
Temperature Pressure
Volume
Molecular lbf/ ft. 3/
Substance Formula Weight K °R atm in. 2 lb.mole
Ammonia NH3 17.03 405.5 729.8 111.3 1636 1.16
Argon A 39.944 151 272 48.0 705 1.20
Bromine Br2 159.832 584 1052 102 1500 2.17
Carbon dioxide CO2 44.01 304.2 547.5 72.9 1071 1.51
Carbon monoxide CO 28.01 133 240 34.5 507 1.49
Chlorine Cl2 70.914 417 751 76.1 1120 1.99
Deuterium (normal) D2 4.00 38.4 69.1 16.4 241
Helium He 4.003 5.3 9.5 2.26 33.2 0.926
Helium3 He 3.00 3.34 6.01 1.15 16.9
Hydrogen (normal) H2 2.016 33.3 59.9 12.8 188.1 1.04
Krypton Kr 83.7 209.4 376.9 54.3 798 1.48
Neon Ne 20.183 44.5 80.1 26.9 395 0.668
Nitrogen N2 28.016 126.2 227.1 33.5 492 1.44
Nitrous oxide N 2O 44.02 309.7 557.4 71.7 1054 1.54
Oxygen O2 32.00 154.8 278.6 50.1 736 1.25
Sulfur dioxide SO2 64.06 430.7 775.2 77.8 1143 1.95
Water H2O 18.016 647.4 1165.3 218.3 3208 0.90
Xenon Xe 131.3 289.75 521.55 58.0 852 1.90
Benzene C6H6 78.11 562 1012 48.6 714 4.17
n-Butane C4H10 58.120 425.2 765.2 37.5 551 4.08
Carbon tetrachloride CCl4 153.84 556.4 1001.5 45.0 661 4.42
Chloroform CHCl3 119.39 536.6 965.8 54.0 794 3.85
Dichlorodifluoromethane CCl2F2 120.92 384.7 692.4 39.6 582 3.49
Dichlorofluoromethane CHC12F 102.93 451.7 813.0 51.0 749 3.16
Ethane C2H5 30.068 305.5 549.8 48.2 708 2.37
Ethyl alcohol C2H5OH 46.07 516.0 929.0 63.0 926 2.68
Ethylene C2H4 28.052 282.4 508.3 50.5 742 1.99
n-Hexane C6H14 86.172 507.9 914.2 29.9 439 5.89
Methane CH4 16.042 191.1 343.9 45.8 673 1.59
Methyl alcohol CH3OH 32.04 513.2 923.7 78.5 1154 1.89
Methyl chloride CH3Cl 50.49 416.3 749.3 65.9 968 2.29
Propane C3H8 44.094 370.0 665.9 42.0 617 3.20
Propene C3H6 42.078 365.0 656.9 45.6 670 2.90
Propyne C3H4 40.062 401 722 52.8 776
Trichlorofluoromethane CCl3F 137.38 471.2 848.1 43.2 635 3.97
1190 Appendix 1

TABLE A.7
Ideal Gas Properties of Air
T, °R h, Btu/lb pr u, Btu/lb vr s° Btu/lb. °R
200 47.67 0.04320 33.96 1714.9 0.36303
220 52.46 0.06026 37.38 1352.5 0.38584
240 57.25 0.08165 40.80 1088.8 0.40666
260 62.03 0.10797 44.21 892.0 0.42582
280 66.82 0.13986 47.63 741.6 0.44356
300 71.61 0.17795 51.04 624.5 0.46007
320 76.40 0.22290 54.46 531.8 0.47550
340 81.18 0.27545 57.87 457.2 0.49002
360 85.97 0.3363 61.29 396.6 0.50369
380 90.75 0.4061 64.70 346.6 0.51663
400 95.53 0.4858 68.11 305.0 0.52890
420 100.32 0.5760 71.52 270.1 0.54058
440 105.11 0.6776 74.93 240.6 0.55172
460 109.90 0.7913 78.36 215.33 0.56235
480 114.69 0.9182 81.77 193.65 0.57255
500 119.48 1.0590 85.20 174.90 0.58233
520 124.27 1.2147 88.62 158.58 0.59173
540 129.06 1.3860 92.04 144.32 0.60078
560 133.86 1.5742 95.47 131.78 0.60950
580 138.66 1.7800 98.90 120.70 0.61793
600 143.47 2.005 102.34 110.88 0.62607
620 148.28 2.249 105.78 102.12 0.63395
640 153.09 2.514 109.21 94.30 0.64159
660 157.92 2.801 112.67 87.27 0.64902
680 162.73 3.111 116.12 80.96 0.65621
700 167.56 3.446 119.58 75.25 0.66321
720 172.39 3.806 123.04 70.07 0.67002
740 177.23 4.193 126.51 65.38 0.67665
760 182.08 4.607 129.99 61.10 0.68312
780 186.94 5.051 133.47 57.20 0.68942
800 191.81 5.526 136.97 53.63 0.69558
820 196.69 6.033 140.47 50.35 0.70160
840 201.56 6.573 143.98 47.34 0.70747
860 206.46 7.149 147.50 44.57 0.71323
880 211.35 7.761 151.02 42.01 0.71886
900 216.26 8.411 154.57 39.64 0.72438
920 221.18 9.102 158.12 37.44 0.72979
940 226.11 9.834 161.68 35.41 0.73509
960 231.06 10.610 165.26 33.52 0.74030
980 236.02 11.430 168.83 31.76 0.74540
1000 240.98 12.298 172.43 30.12 0.75042
(Continued)
Appendix 1 1191

TABLE A.7 (Continued)

Ideal Gas Properties of Air
T, °R h, Btu/lb pr u, Btu/lb vr s° Btu/lb. °R
1020 245.97 13.215 176.04 28.59 0.75536
1040 250.95 14.182 179.66 27.17 0.76019
1060 255.96 15.203 183.29 25.82 0.76496
1080 260.97 16.278 186.93 24.58 0.76964
1100 265.99 17.413 190.58 23.40 0.77426
1120 271.03 18.604 194.25 22.30 0.77880
1140 276.08 19.858 197.94 21.27 0.78326
1160 281.14 21.18 201.63 20.293 0.78767
1180 286.21 22.56 205.33 19.377 0.79201
1200 291.30 24.01 209.05 18.514 0.79628
1220 296.41 25.53 212.78 17.700 0.80050
1240 301.52 27.13 216.53 16.932 0.80466
1260 306.65 28.80 220.28 16.205 0.80876
1280 311.79 30.55 224.05 15.518 0.81280
1300 316.94 32.39 227.83 14.868 0.81680
1320 322.11 34.31 231.63 14.253 0.82075
1340 327.29 36.31 235.43 13.670 0.82464
1360 332.48 38.41 239.25 13.118 0.82848
1380 337.68 40.59 243.08 12.593 0.83229
1400 342.90 42.88 246.93 12.095 0.83604
1420 348.14 45.26 250.79 11.622 0.83975
1440 353.37 47.75 254.66 11.172 0.84341
1460 358.63 50.34 258.54 10.743 0.84704
1480 363.89 53.04 262.44 10.336 0.85062
1500 369.17 55.86 266.34 9.948 0.85416
1520 374.47 58.78 270.26 9.578 0.85767
1540 379.77 61.83 274.20 9.226 0.86113
1560 385.08 65.00 278.13 8.890 0.86456
1580 390.40 68.30 282.09 8.569 0.86794
1600 395.74 71.73 286.06 8.263 0.87130
1620 401.09 75.29 290.04 7.971 0.87462
1640 406.45 78.99 294.03 7.691 0.87791
1660 411.82 82.83 298.02 7.424 0.88116
1680 417.20 86.82 302.04 7.168 0.88439
1700 422.59 90.95 306.06 6.924 0.88758
1720 428.00 95.24 310.09 6.690 0.89074
1740 433.41 99.69 314.13 6.465 0.89387
1760 438.83 104.30 318.18 6.251 0.89697
1780 444.26 109.08 322.24 6.045 0.90003
1800 449.71 114.03 326.32 5.847 0.90308
1820 455.17 119.16 330.40 5.658 0.90609
(Continued)
1192 Appendix 1

TABLE A.7 (Continued)

Ideal Gas Properties of Air
T, °R h, Btu/lb pr u, Btu/lb vr s° Btu/lb. °R
1840 460.63 124.47 334.50 5.476 0.90908
1860 466.12 129.95 338.61 5.302 0.91203
1880 471.60 135.64 342.73 5.134 0.91497
1900 477.09 141.51 346.85 4.974 0.91788
1920 482.60 147.59 350.98 4.819 0.92076
1940 488.12 153.87 355.12 4.670 0.92362
1960 493.64 160.37 359.28 4.527 0.92645
1980 499.17 167.07 363.43 4.390 0.92926
2000 504.71 174.00 367.61 4.258 0.93205
2020 510.26 181.16 371.79 4.130 0.93481
2040 515.82 188.54 375.98 4.008 0.93756
2060 521.39 196.16 380.18 3.890 0.94026
2080 526.97 204.02 384.39 3.777 0.94296
2100 532.55 212.1 388.60 3.667 0.94564
2120 538.15 220.5 392.83 3.561 0.94829
2140 543.74 229.1 397.05 3.460 0.95092
2160 549.35 238.0 401.29 3.362 0.95352
2180 554.97 247.2 405.53 3.267 0.95611
2200 560.59 256.6 409.78 3.176 0.95868
2220 566.23 266.3 414.05 3.088 0.96123
2240 571.86 276.3 418.31 3.003 0.96376
2260 577.51 286.6 422.59 2.921 0.96626
2280 583.16 297.2 426.87 2.841 0.96876
2300 588.82 308.1 431.16 2.765 0.97123
2320 594.49 319.4 435.46 2.691 0.97369
2340 600.16 330.9 439.76 2.619 0.97611
2360 605.84 342.8 444.07 2.550 0.97853
2380 611.53 355.0 448.38 2.483 0.98092
2400 617.22 367.6 452.70 2.419 0.98331
Source: Abridged from Table 1 in Joseph H. Keenan and Joseph Kaye: Gas Tables. 1948.
Copyright Wiley-VCH Verlag GmbH & Co. KGaA. Reproduced with permission.
Appendix 1 1193

TABLE A.7 (SI)

Ideal Gas Properties of Air
T h Pr u vr s°
SI Units
T(K), h and u(kJ/kg), s°(kJ/kg∙K)
200 199.97 0.3363 142.56 1,707 1.29559
210 209.97 0.3987 149.69 1,512 1.34444
220 219.97 0.4690 156.82 1,346 1.39105
230 230.02 0.5477 164.00 1,205 1.43557
240 240.02 0.6355 171.13 1,084 1.47824
250 250.05 0.7329 178.28 979 1.51917
260 260.09 0.8405 185.45 887.8 1.55848
270 270.11 0.9590 192.60 808.0 1.59634
280 280.13 1.0889 199.75 738.0 1.63279
285 285.14 1.1584 203.33 706.1 1.65055
290 290.16 1.2311 206.91 676.1 1.66802
295 295.17 1.3068 210.49 647.9 1.68515
300 300.19 1.3860 214.07 621.2 1.70203
305 305.22 1.4686 217.67 596.0 1.71865
310 310.24 1.5546 221.25 572.3 1.73498
315 315.27 1.6442 224.85 549.8 1.75106
320 320.29 1.7375 228.42 528.6 1.76690
325 325.31 1.8345 232.02 508.4 1.78249
330 330.34 1.9352 235.61 489.4 1.79783
340 340.42 2.149 242.82 454.1 1.82790
350 350.49 2.379 250.02 422.2 1.85708
360 360.58 2.626 257.24 393.4 1.88543
370 370.67 2.892 264.46 367.2 1.91313
380 380.77 3.176 271.69 343.4 1.94001
390 390.88 3.481 278.93 321.5 1.96633
400 400.98 3.806 286.16 301.6 1.99194
410 411.12 4.153 293.43 283.3 2.01699
420 421.26 4.522 300.69 266.6 2.04142
430 431.43 4.915 307.99 251.1 2.06533
440 441.61 5.332 315.30 236.8 2.08870
450 451.80 5.775 322.62 223.6 2.11161
460 462.02 6.245 329.97 211.4 2.13407
470 472.24 6.742 337.32 200.1 2.15604
480 482.49 7.268 344.70 189.5 2.17760
490 492.74 7.824 352.08 179.7 2.19876
500 503.02 8.411 359.49 170.6 2.21952
510 513.32 9.031 366.92 162.1 2.23993
520 523.63 9.684 374.36 154.1 2.25997
(Continued)
1194 Appendix 1

TABLE A.7 (SI)

Ideal Gas Properties of Air
T h Pr u vr s°
SI Units
T(K), h and u(kJ/kg), s°(kJ/kg∙K)
530 533.98 10.37 381.84 146.7 2.27967
540 544.35 11.10 389.34 139.7 2.29906
550 554.74 11.86 396.86 133.1 2.31809
560 565.17 12.66 404.42 127.0 2.33685
570 575.59 13.50 411.97 121.2 2.35531
580 586.04 14.38 419.55 115.7 2.37348
590 596.52 15.31 427.15 110.6 2.39140
600 607.02 16.28 434.78 105.8 2.40902
610 617.53 17.30 442.42 101.2 2.42644
620 628.07 18.36 450.09 96.92 2.44356
630 638.63 19.84 457.78 92.84 2.46048
640 649.22 20.64 465.50 88.99 2.47716
650 659.84 21.86 473.25 85.34 2.49364
660 670.47 23.13 481.01 81.89 2.50985
670 681.14 24.46 488.81 78.61 2.52589
680 691.82 25.85 496.62 75.50 2.54175
690 702.52 27.29 504.45 72.56 2.55731
700 713.27 28.80 512.33 69.76 2.57277
710 724.04 30.38 520.23 67.07 2.58810
720 734.82 32.02 528.14 64.53 2.60319
730 745.62 33.72 536.07 62.13 2.61803
740 756.44 35.50 544.02 59.82 2.63280
750 767.29 37.35 551.99 57.63 2.64737
760 778.18 39.27 560.01 55.54 2.66176
770 789.11 41.31 568.07 53.39 2.67595
780 800.03 43.35 576.12 51.64 2.69013
790 810.99 45.55 584.21 49.86 2.70400
800 821.95 47.75 592.30 48.08 2.71787
820 843.98 52.59 608.59 44.84 2.74504
840 866.08 57.60 624.95 41.85 2.77170
860 888.27 63.09 641.40 39.12 2.79783
880 910.56 68.98 657.95 36.61 2.82344
900 932.93 75.29 674.58 34.31 2.84856
920 955.38 82.05 691.28 32.18 2.87324
940 977.92 89.28 708.08 30.22 2.89748
960 1,000.55 97.00 725.02 28.40 2.92128
980 1,023.25 105.2 741.98 26.73 2.94468
1,000 1,046.04 114.0 758.94 25.17 2.96770
(Continued)
Appendix 1 1195

TABLE A.7 (SI)

Ideal Gas Properties of Air
T h Pr u vr s°
SI Units
T(K), h and u(kJ/kg), s°(kJ/kg∙K)
1,020 1,068.89 123.4 776.10 23.72 2.99034
1,040 1,091.85 133.3 793.36 22.39 3.01260
1,060 1,114.86 143.9 810.62 21.14 3.03449
1,080 1,137.89 155.2 827.88 19.98 3.05608
1,100 1,161.07 167.1 845.33 18.896 3.07732
1,120 1,184.28 179.7 862.79 17.886 3.09825
1,140 1,207.57 193.1 880.35 16.946 3.11883
1,160 1,230.92 207.2 897.91 16.064 3.13916
1,180 1,254.34 222.2 915.57 15.241 3.15916
1,200 1,277.79 238.0 933.33 14.470 3.17888
1,220 1,301.31 254.7 951.09 13.747 3.19834
1,240 1,324.93 272.3 968.95 13.069 3.21751
1,260 1,348.55 290.8 986.90 12.435 3.23638
1,280 1,372.24 310.4 1,004.76 11.835 3.25510
1,300 1,395.97 330.9 1,022.82 11.275 3.27345
1,320 1,419.76 352.5 1,040.88 10.747 3.29160
1,340 1,443.60 375.3 1,058.94 10.247 3.30959
1,360 1,467.49 399.1 1,077.10 9.780 3.32724
1,380 1,491.44 424.2 1,095.26 9.337 3.34474
1,400 1,515.42 450.5 1,113.52 8.919 3.36200
1,420 1,539.44 478.0 1,131.77 8.526 3.37901
1,440 1,563.51 506.9 1,150.13 8.153 3.39586
1,460 1,587.63 537.1 1,168.49 7.801 3.41247
1,480 1,611.79 568.8 1,186.95 7.468 3.42892
1,500 1,635.97 601.9 1,205.41 7.152 3.44516
1,520 1,660.23 636.5 1,223.87 6.854 3.46120
1,540 1,684.51 672.8 1,242.43 6.569 3.47712
1,560 1,708.82 710.5 1,260.99 6.301 3.49276
1,580 1,733.17 750.0 1,279.65 6.046 3.50829
1,600 1,757.57 791.2 1,298.30 5.804 3.52364
1,620 1,782.00 834.1 1,316.96 5.574 3.53879
1,640 1,806.46 878.9 1,335.72 5.355 3.55381
1,660 1,830.96 925.6 1,354.48 5.147 3.56867
1,680 1,855.50 974.2 1,373.24 4.949 3.58335
1,700 1,880.1 1,025 1,392.7 4.761 3.5979
(Continued)
1196 Appendix 1

TABLE A.7 (SI)

Ideal Gas Properties of Air
T h Pr u vr s°
SI Units
T(K), h and u(kJ/kg), s°(kJ/kg∙K)
1,750 1,941.6 1,161 1,439.8 4.328 3.6336
1,800 2,003.3 1,310 1,487.2 3.944 3.6684
1,850 2,065.3 1,475 1,534.9 3.601 3.7023
1,900 2,127.4 1,655 1,582.6 3.295 3.7354
1,950 2,189.7 1,852 1,630.6 3.022 3.7677
2,000 2,252.1 2,068 1,678.7 2.776 3.7994
2,050 2,314.6 2,303 1,726.8 2.555 3.8303
2,100 2,377.4 2,559 1,775.3 2.356 3.8605
2,150 2,440.3 2,837 1,823.8 2.175 3.8901
2,200 2,503.2 3,138 1,872.4 2.012 3.9191
2,250 2,566.4 3,464 1,921.3 1.864 3.9474
Source: Moran, M.J., and Shapiro, H.N., Fundamentals of Engineering Thermodynamics, 3rd.
ed., Wiley, New York, 1995, as based on Keenan, J.H., and Kaye, J., Gas Tables, Wiley,
New York, 1945.
Index

2-spool (twin-spool or double- spool) air separation unit (ASU) 440,

gas turbine 660, 677, 695, 727 746–7, 754
3-spool (triple-spool) gas turbine 660–1, air-spray nozzle 689–90
677, 695, 727 air staging 342, 344–5, 347–8, 350, 357,
362, 372, 398–9
air-to-fuel ratio (AF) 280–3, 336, 388, 688
A
Alabama 296, 1093, 1125
Abrams 662–3 Alaska 37, 296, 304
absorbed glass mat (AGM) 1106, 1128 alkaline 426
acceptor atom 797 alkaline batteries 1103
accumulators 202, 1006, 1119, 1130 allowed band 792
acid rain 415–20, 425, 445, 301 all-volatile treatment (AVT) 548, 563
active clearance control (ACC) seals alternating current (AC) 14, 34, 60, 97,
485, 506 115, 430, 449, 498–9, 509, 790,
active solar thermal energy 907 810, 822–3, 839, 885, 897, 980,
AC-to-DC 1080 985, 1117
Adams, William Grylls 782 alumel 239
adiabatic 118, 120, 122, 124, 129, 134, aluminum 299, 319, 364, 394, 484, 579,
168–9, 171, 179, 181, 190, 290, 585, 784, 812, 847–8, 853–4, 908,
388, 614, 616, 631, 643, 712, 722, 917, 1050, 1114, 1126
725, 1094, 1125, 1133–4 American 14, 19, 23, 67, 88, 97, 115, 127,
adiabatic efficiency 169 202–3, 232, 298, 319, 473, 477,
adiabatic flame temperature 290, 388 479, 533, 655, 657, 708, 782–4,
adiabatic storage system 1094 859, 863, 912, 949, 950, 963, 1033,
adjustable pitch blade 378, 585, 602 1055, 1063, 1083, 1091–2
adjustable-speed pump-turbine 1092 American Academy of Arts and
advanced ultrasupercritical steam Sciences 127
power plants 209 American Petroleum Institute (API)
aeroderivative 659, 663–7, 669, 678, 682, 708, 533
695, 715, 722, 728 American Society for Testing and
aerosol 437, 775 Materials (ASTM) 297–9, 301–4,
aesthetic 444, 448, 791, 946, 978 306, 310, 330, 389, 810, 1102, 1131
Afghanistan 22–23 American Society of Mechanical
Africa 12, 22, 24, 297, 912, 1034 Engineers (ASME) 202, 533, 657,
air-cooled condenser 522, 571, 594, 600 963, 1031, 1079
aircraft 589, 606, 608, 628, 656, 659–60, amine 368, 440–1
684, 709, 950, 987 ammonia (NH3) 126, 339, 421–5, 428–9,
Air France Flight 674 440, 445, 450, 541, 595, 603, 748,
air mass (AM) 337, 676–7, 697, 719, 774, 1019, 1055, 1061
809, 867, 898, 903, 954, 1097 amorphous silicon 851, 854–6, 888–9,
air pollution control Act 416 891, 893, 895–6
Air Quality Act 416 Ampère, André-Marie 14

1197
1198 Index

amp-hour (A·h) 1103 automatic valve 536

anemometer 959–61, 973–4, 984, 991 autothermal oxidation 748
anhydrous ammonia 422 auxiliary power unit (APU) 661, 664
animal-powered 107 availability factor 30–1, 70, 80–1, 83, 102
anion resin 551–2, 564 average load 27–9, 69–70
Annapolis Royal Generating Avery, William 477–8, 516
Station 1012 aviation 605–6, 658–9, 661–2, 664–5, 669,
annular combustor 683–4, 688, 690, 675, 678, 682–3, 690, 714–5, 721,
718, 722 725–7
anode electrode 1104, 1114 axial compressor 666–71, 715–6
anthracite 292, 303–6, 330, 391, 414 axial fan 377–9, 403
aphelion 764 axial pump 532
Apollo 785 axial thrust 491–5, 507, 510–13
approach temperature 741–2, 753, 755 axial tilt 767, 865, 902
aqueous ammonia 422
Archimedes 911
B
Arizona 40, 76, 296, 789, 903, 928, 931
armature 499 Babcock, George Herman 203
arsenic 292, 844 Babcock & Wilcox 203, 251
as-fired 302, 390, 403 backup power 606, 666, 790, 822–3, 1081
ash composition 297 back-work ratio 50, 77, 121, 123, 128–9,
ash fusibility 297, 299 131, 171, 173, 179, 184–5, 193,
ash handling 352, 354, 365, 373, 407 616, 620–2, 629, 635–7, 642, 653
Asia 24, 297, 370, 985, atmospheric baffle 203–5, 224, 252, 443, 527, 529, 537–8,
pressure 108–12, 114, 129, 133, 542–3, 558, 560, 1055
191, 238, 362, 375–7, 379, 384, baghouse 431
402, 489–92, 507, 513, 521–3, 530, balanced draft furnace 375
535, 541, 545, 557, 567, 583, 659, balance of plant (BOP) 822, 881, 760
931–2, 951, 1085 balance of system (BOS) 822
ASME PTC 240, 502, 540, 708–9, 747 ball-and-race pulverizer 331, 333–5, 396
as-received basis/coal 297, 301–2, Ball-and-tube mill 331–3, 396
389–90, 404 band gap 792–3, 795–6, 800–3, 841, 850–1,
associated natural gas 368, 401 853–4, 856–7, 859–60, 871–5,
AT&T 783 889, 904
Atlantic Codex 654 Bangladesh 22–3
atmospheric nitrogen 276–9, 281, 287, 386 Barber, John 703–4, 719
atmospheric steam engine 112 bare tubes 215–6, 229
atmospheric pressure 108–12, 114, 129, barometric condenser 523, 557, 567
133, 191, 238, 362, 375–7, 379, baseload 27, 32–4, 69, 71–3, 79, 92–8, 107,
384, 402, 489–92, 507, 513, 523, 247, 501, 606, 628, 630, 664, 666,
530, 535, 541, 545, 557, 567, 583, 712, 723, 727, 732, 750, 757, 1015,
659, 931–2, 951 1018, 1022, 1026, 1062, 1077, 1079,
atomic chlorine 420 1119, 1121, 1130
atomization 372–3, 689, 699 baseload demand 27, 32, 69, 92
attemperator 212, 241–3, 262, 742 Bath County Pumped Storage
attenuator 999, 1004–7, 1021 Station 1085
Australia 22, 293, 789, 907, 1003, 1112 battery regulator 823
automated voltage regulator (AVR) 501 beam radiation 775, 868, 902
Index 1199

Becquerel, Alexandre-Edmond 782, 898 boundary-moving work 45–6, 77

Bell, Alexander Graham 783 Bradford breaker 311–2, 393
Bell Laboratories 783 Brayton cycle 605, 614–5, 617–8, 621–7,
belt feeder 329 629, 631–3, 635–46, 650, 652–4,
bent-tube steam generator 205, 252, 263 709–13, 722–3, 725–30, 732, 750,
Bernoulli’s equation 456, 530 932–3, 939
best technology available (BTA) 572 breakdown maintenance 707
betavoltaic batteries 42, 80 Britain 115, 127, 655–6
Betz, Albert 955 British 27, 128, 199, 478, 655, 662, 1005, 1092
Betz law 945, 954–5, 958, 990, 996–7 Brown, Boveri & Compagnie (BBC) 656
bidirectional electric meter 824, 882 brown coal 303, 306, 308, 335
binary vapor power plant 732, 750, 754, brownout 78, 1076, 1121
794, 1025, 1045–6, 1054–6, 1067, Brush, Charles 949–51
1069, 1071 brushless exciter 499
biodiesel 55, 101, 291, 318, 666 bubbling fluidized-bed (BFB) 358–9,
biological 318, 555 361–2, 400
bituminous 292, 300, 303–6, 389–91, bucket 307–8, 316, 454, 691, 1091
421, 425 bucket wheel excavator 307–8
blackout 37, 40, 78, 487, 657, 703–4, 719, building integrated photovoltaics (BIPV)
1076, 1081, 1121 791, 851, 859
blade tip 481, 485, 514, 673, 691–2, 974 building-mounted 791, 823–4, 837, 869
black start 703–4, 719 building sector 6–8, 56–9, 82, 99, 103
blast furnace gas 307, 369 built-up rotor 485–6, 512
blowdown 212, 218–9, 240, 244, 258, 263,
548–9, 581
C
Blyth, James 949, 976
Boeing 662, 1084, 1131 cadmium sulfide 852, 854, 860
boiler 44, 109, 112, 114–5, 117, 180, 192, cadmium telluride 793, 795, 851–2, 860,
196–200, 202–4, 206–10, 212–3, 886, 888, 891
215–6, 218, 220, 225, 227, 231–2, calcium magnesium carbonate,
250–1, 253, 257–8, 263–4, 320, 351, CaMg(CO3)2) 425, 445
355, 360, 524, 541, 549, 566, 732, calcium sulfite 426–7
739–40, 743–5, 932, 1051, 1067 California 39, 75, 771, 788–9, 851, 913,
Boiler and Pressure Vessel Code (BPVC) 928, 931, 935, 950, 1033, 1035,
202, 220–3, 258, 263 1078–9, 1121
boiler explosions 200, 202 California Independent System Operator
boiler feed booster pump 546 (California ISO or CAISO) 1078
boiler feed pump 546 Canada 23, 37, 74, 93, 220, 258, 657, 1011–2
boiler-follow can-annular combustor 684, 688, 690,
boiler horsepower (BHP) 210 718, 722
boiler room 225, 541, 549 can combustor 682–4, 718, 722
Bond law 311 can-type pumps 534, 539
boron 796–7, 843–4, 846, 855, 891, 1040 capacitance 1115–7, 1129–30, 1132
botanical biomass 318 capacitor 1115–7, 1129
bottoming cycle 690, 694, 701–2, 732, 745, capacity 20hr 1108
750, 753 capacity factor 29–31, 33, 69–71, 79–80,
Boudouard reaction 749 83–4, 88, 90–2, 94, 102, 606, 728,
Boulton, Matthew 114 982, 1026, 1071, 1077–8
1200 Index

cap-and-trade (CAT) 438, 448 circulating fluidized bed (CFB)

carbohydrate 292 358–62, 400
carbon-fiber composite 986, 1100 circulating pump 226, 233, 531, 534, 595,
carbon filtration 555 1048–9
Carbonization 292, 303, 391 circulating water 206, 223, 225–6, 521–3,
carbon monoxide 298, 307, 386–7, 417, 557, 569–71, 573–5, 580–1, 584,
439, 443, 448, 685, 746, 748 593, 595, 597–8, 600–2, 910, 1049
carbon nanotube (CNT) 1102 circulation of water 204, 225, 232
carbon neutral 318, 394 controlled circulation 227
carbon steel 215, 218, 221–2, 228, 257–8, forced-circulation 219, 226–7, 259, 263
263, 364, 369, 430, 487, 524, natural circulation 226
550, 555 pumped circulation 227
carbon tax 437–8, 448 thermal circulation 226
Carnot cycle 105, 118–27, 131–2, 147–8, thermosyphonic circulation 226
179, 181, 185, 187–8, 191–3, 326, circumferential stress 201, 219, 221
452, 643, 713, 725, 730, 732, 735, clarifier vessel 549
934, 1018 Clausius, Rudolf 127
Carnot, Sadi 118, 326, 735 Clean Air Act (CAA) 416, 685
cartridge filter 556, 701–2, 719 Clean Water Act (CWA) 572
cascade cell 856 clearness index 776, 868
cast iron 323, 577 climate change 15, 415–7, 433, 436–7,
catalytic combustion 686, 688 446–50, 571, 762
cathode electrode 1104, 1114, 1127 closed circulating water system 570, 574,
cation resin 551–2, 564 593, 598, 600
caustic soda (NaOH) 425, 445, 552, 846 closed cooling tower 523
cavitation 559–61, 565, 567, 532, 534–5, closed-cycle gas turbine 608
541, 546 closed direct gas turbine 609
cavity receiver 923–5, 930 closed feedwater heaters 161, 167–8,
central receiver 905, 915, 917–21, 922–3, 182, 184, 519, 536–41, 560, 563,
926–7, 930, 932, 935, 938, 942–4 566, 739
central tower 913, 915, 919, 921–2, 932, 938 closed-loop control system 236–7, 244,
centrifugal compressor 667, 671–2, 683, 261, 918
691, 715–6, 723 CO2 capture and sequestration or storage
centrifugal fan 377–8, 403 (CCS) 438–43, 442, 447–9
Chad 23, 97 coal arch 316
charge controller 822–3, 826, 881 coal free-swelling index 297
charge regulator 823 coalification 292–3, 303–4, 391, 410
check valve 110, 488, 536, 1005 Codex Atlanticus 654
chemical control of pH 548 coefficient of performance (COP)
chemical treatment 218, 545 1032, 1064
chimney effect 384, 654–5 cogeneration 15, 197, 247, 321, 395, 520,
China 19–20, 22–3, 66, 88, 91, 93, 293–4, 549, 566, 666, 731, 744–5, 753
297, 389, 437, 447, 789, 907, 946, coincidence factor 28, 69
951, 1084 coke 107, 292, 304–7, 369, 842–3
chlorofluorocarbon (CFC) 420, 437, 1055 coke oven gas 307, 369
choke 676–7, 717 cold air-standard analyses 605, 611, 613,
chromel 239 621–2, 624, 636, 649–50, 709–10,
circular burner 340, 371, 398, 402 728–9
Index 1201

Colgan Air Flight 674 compressor pressure ratio 617–8, 623,

combined cooling, heat, and power 625, 628–32, 640, 657, 659, 693,
(CCHP) 744, 755 697, 701, 711–2, 723, 726, 728–9
combined cycle 44, 52, 77, 658, 685, 702, computational fluid dynamics (CFD)
731–6, 738–40, 746, 749–51, 343, 669–700
754–5, 757, 932–3 concentrated solar power (CSP) 911,
natural gas-fired (NGCC) 438, 732 914, 931
power plants (CCPP) 33, 72, 94, 105, concentrated solar thermal 914
106, 187, 192, 422, 438–9, 497, concentrating PV (CPV) 857–8
606, 630, 646, 657–8, 664, 690, concentration ratio 857, 914–5, 927, 929,
694, 700–1, 713, 731–4, 732–9, 936, 939–40, 942
741, 743, 747, 749–51, 754–5, condensate booster pump 531, 535–6, 560
757, 1080 condensate circulating pump 595
Integrated gasification (IGCC) 52, 439, condensate extraction pump 523
731, 746–7, 753–5, 757 condensate polishing plant (CPP) 535,
gas turbine (CCGT) 732, 731–41, 556, 562–3, 535, 556
746–51, 753–5 condensate polishing process 556, 563
combined heat and power (CHP) 16, 197, condensate pump 149, 519–20, 529, 531,
336, 520, 566, 731, 744–6, 753, 534–6, 539, 546, 547–9, 559–60,
755, 757, 825, 836 564, 567, 576, 594–5, 741, 1047–9
combined once-through and wet condensate water 150, 522, 529, 534, 536,
cooling tower 570, 592, 600 565, 567
combined operating mode 497 condensation process 113, 170, 453, 521,
combustion chamber 279, 605, 608–9, 527, 529, 565–6, 569
631–2, 646, 655, 659, 665, 668, condenser
671–2, 675, 678–81, 684, 687–90, pressure of 141–3, 180, 182, 192, 521,
704, 717–18, 720, 730, 733–8, 749, 523, 529, 556, 570
751, 932 temperature of 140, 1030
combustion engine 45, 77, 98, 326, 369, condensing steam power plants 564, 520
422, 606, 662, 744–5, 934, conduction 213–4, 593, 793–7, 800, 870–1,
1099, 1103 898, 904, 909, 1029, 1058
combustion liner 679 conduction band 793–7, 800, 870, 898, 904
combustion turbine 606 conductivity 213, 529, 548–9, 552, 692,
commercial sector 7, 825 782, 792–3, 794, 797, 871,
compact linear Fresnel reflectors (CLFR) 909, 1036
928, 939 conductor 791–3, 871, 897, 1115–6, 1129
composite construction 485 confining pressure 1043, 1066
compound semiconductor 794, 851, Connecticut 1085
855, 893, 899 constantan 239
compressed air container 1095, 1098, 1126 constant-pressure 496–7, 508, 510–11,
compressed air energy storage (CAES) 514–5
686, 1075, 1092–4, 1095, constant-speed wind turbine 984
1125, 1131 controlled variables 236–7, 243, 261
compression-ignition internal control valve 243, 490–1, 497–8, 508, 535,
combustion engine 98, 607 547, 689, 703, 705
compression ratio 617, 711, 722, 726 convection 213–4, 228–9, 253, 256, 260,
compressor inlet air cooling system 605, 337, 351, 574, 593, 694, 718, 739,
607, 696, 698, 719, 722, 725, 1120 908, 922, 923, 926, 1028–9
1202 Index

convective 213, 228, 240, 351–2, 359, 361, D

694, 910, 1035–6
Dalton model 272, 385
conventional power 15, 41, 44–5, 76, 106,
Damper 341, 343, 345–6, 373, 380–1, 407,
369, 402, 606, 654, 753, 816, 827,
423, 431–2, 702, 739
829, 906, 914, 946, 1000, 1079
da Vinci, Leonardo 654–5, 662, 766
cooling ponds and lakes 574, 598
Darrieus VAWT 976–7
cooling water intake structures
Day, Richard Evans 782
(CWIS) 572
DC-to-AC 1080
coordinated operating mode 497
deaerator (DA) 161, 182, 188, 208, 519–20,
copper 198, 240–1, 694, 794, 851, 853, 908,
539, 541–6, 546, 548–9, 555–6,
910, 916, 924
560, 563–6, 739, 741, 1059
copper gallium diselenide 794
deep-cycle lead-acid batteries 1111, 1129
copper indium gallium selenide 794,
deep discharge 1111, 1129, 1134–5
851, 853
deep mining 307
Corliss, George Henry 115, 191
dehydration process 748
corner-fired burner 337, 345–7, 371,
de Laval, Karl Gustaf Patrik 468, 469,
399–400, 406, 408–9
473, 479, 503, 514, 516
corrective maintenance 707–8, 721–2
demand factor 28–9, 69–70, 84
corrosion 161, 208–9, 228, 284, 301, 357,
demineralization process 550–1
364, 384, 425–8, 440, 484, 512,
demineralized water 126, 181, 189, 549,
524, 541, 548, 577, 581, 692–3,
551, 555–6, 563, 677, 687, 700, 719
701, 909, 1071
Denmark 950, 1003
corrugated plate 224, 263, 423, 585, 699
Department of Energy (DOE) 781, 862
corrugated tube 217
departure from nucleate boiling (DNB)
cosine emission law 901, 917, 920,
217–8, 227, 258, 263–4
766–7, 771
depth of discharge (DOD) 1081–2, 1121–2
cracking 367, 690, 748
deregulated 1–2, 38–40, 75, 86, 89, 92
creep 228, 484–5, 506, 692–3, 727
desalination 860, 1004
critical heat flux (CHF) 217
de Saussure, Horace 911
cross-flow turbine 1092, 1124
desuperheater 241, 262, 538, 742, 746, 755
crude oil 5, 7, 55, 101, 366, 368, 401, 610
dielectric 1115, 1116, 1129
crust 841, 952, 997, 1027–9, 1035
diesel 5, 52, 55, 87, 98, 326, 366–7, 388,
cryogenic process 440
414, 607, 662–3, 665–6, 688, 695,
crystalized (pyritic) sulfur 425
703–4, 719, 791, 860, 980, 1081
crystalline structure 794, 854, 855, 859
Diesel, Rudolf 326
Cuba 1019
diffuse horizontal irradiance (DHI)
cumulative distribution function
777, 868
(CDF) 965
diffuser 467, 530–2, 558, 660, 664, 667,
Curtis, Charles Gordon 473, 655
671–2, 679
Curtis turbine/stage 473, 503, 511
diffuse radiation 774–7, 896, 902
cut-in (start-up) wind speed 981–2, 985,
diffusion-type combustion chamber
993–4
679–81, 717
cut-out wind speed 982, 993–4
diode 810, 815–6, 821, 823, 880
cyclone-furnace firing 224, 267, 311, 320,
direct-contact condenser 522–3, 557, 568,
345, 348–50, 353, 364
594, 600
cyclone separator 327–8, 353, 359, 362, 1051
direct-contact feedwater heater 540
Czochralski, Jan 844
direct cooling system 571, 698, 725
Czochralski process 843–5
direct cooling tower 593
Index 1203

direct current (DC) 14, 34, 60, 73, 83, 97, drift eliminator 576, 579, 584, 589–90,
380, 430, 449, 487, 498–9, 790–1, 599, 602, 699
810, 822–3, 839, 885, 899, 901, 949, drilling fluid 1043, 1061, 1066
980, 985, 1080, 1103, 1106, 1117–8 drilling mud 1066, 1043
direct normal irradiance (DNI) 777, drilling process 1025, 1041, 1043–5, 1061
781, 868 drill string 1041, 1043–4, 1066
direct radiation 775–6, 868, 896 droop 500, 510, 513
direct semiconductor 796–7, 803, 840, drum 195–7, 203–6, 208–12, 215, 218–29,
850, 853–4, 899, 903 232–3, 238, 241, 243–6, 250–6,
dish concentrator 929–30, 939 258–9, 261–4, 268, 322, 356, 407,
disk assemblies 485, 487, 493, 506, 511 497, 545–6, 548, 556, 581, 739–43,
dispersed solar thermal energy 932, 1051
collection 942 cross 204–5, 252, 264
displacement pump 531, 558, 564, mud 205–6, 218, 252
566, 689 shrouded 219, 227
distributed generation (DG) 15, 34, 61, water 205–6, 215, 252
790–1, 869 drum-type steam generators 195, 197,
distributed solar thermal energy 210–11, 232–3, 241, 245, 254–63,
collection 942 356, 497, 546, 548, 556, 562,
distribution 1–2, 5, 8, 14, 16, 24–5, 34–9, 739–40, 752, 932
60–2, 68, 73, 81, 83–4, 92, 100, dry-ash collection system 353
128, 206, 218, 241, 297, 321, dry basis 284, 297, 301, 386, 389, 685
324–5, 331, 337, 342, 344–5, dry-bottom ash collection system 353
359–62, 369–72, 395, 400, 426, dry cell 1106
430, 433, 527, 543–4, 576–8, 580, dry cooling tower 117, 522, 557, 569–70,
583, 589, 603, 669, 678, 683–4, 593–7, 599–603, 933, 1048
689, 693, 699, 774, 824, 839, 844, dry low emission (DLE) combustor
885, 922, 945, 952, 963–8, 991, 687–8, 718
1026, 1049, 1062, 1072, 1076 dry low NOx (DLN) combustion
dolomite 425, 445 686–8, 718
domestic hot water (DHW) 907–8, 940 dry reforming reaction 749
donor atom 797 dry rock 1058, 1065, 1068, 1035, 1038
doped semiconductor 796–7 dual register burner 341–3, 398, 402
doping agent 796–7, 799, 898 duck curve 782, 934, 1078–9, 1121, 1135
double-acting engines 114 dummy piston 493–4, 511, 513
double-flash system 1054, 1067 Dutch 587, 1118
double-flow turbine 493–4, 507, 512 Dutch oven 320
double-layer capacitor 1116 dye-sensitized solar cell 856, 859, 863
dovetail 487, 506 dynamic pump 531, 558, 566
downcomer 203–6, 211–2, 218–9, 223,
225–6, 251
E
downdraft 749
downtake 204 Earth 24, 37, 128, 292, 307, 415, 419–20,
drag coefficient 971–4 433–7, 437, 449–50, 759–771,
Dragline 307 773–6, 781, 800, 841, 864–8, 868,
drain cascaded backward 156, 538, 540 901–3, 918, 951–3, 997, 1000,
drain cooler 538 1011, 1018, 1023, 1025–9, 1035,
drain-cooling zone 538 1038, 1040, 1047, 1059, 1062–3,
drain pumped forward 156, 539 1065, 1069–70, 1072
1204 Index

Earth inclination 767 Elling, Jens William Ægidius 655–6

Earth inner structure 1025, 1040, 1065 embedded in refractory 215–6
Earth polar axis (PA) 767, 865, 902 emergency power unit 606
earthquake 34, 73, 216, 1029, 1061, 1068 emissivity 214, 352
ecliptic axis (EA) 767, 864–5 Empire State Building 1084
ecliptic plane (EP) 767, 865 energy band 792, 794, 796–7, 800, 870
economic energy carriers 5, 54, 97
development 1–2, 8, 15, 19, 21, 53, energy consumption 2–11, 15, 21, 27,
67, 98 40–1, 50, 53–8, 60, 67, 69, 76,
growth 2, 4, 54, 100, 102 78–86, 90, 92, 94, 98–102, 132,
structure 2, 8, 57 438, 440, 830–3, 838, 852, 883,
economizer 195–6, 208, 210–13, 215, 218, 887, 1026, 1031, 1063, 1077
224, 229–32, 241–2, 245, 253, energy density 1082–3, 1111–3, 1117, 1119,
256–7, 260, 262, 264, 268, 284, 1122, 1131–2, 1134
352–3, 356, 359, 381–3, 422, Energy Information Administration,
535–6, 549, 566, 655, 740–4, EIA 3–8, 10–12, 16–8, 38, 106,
752, 755 291, 293–6, 295, 303–4, 309, 315,
Edison, Thomas 14, 326 317, 370, 437, 571, 779, 789, 834,
Edison incandescent lamp 950 907, 946, 1031, 1034–5, 1083
Einstein, Albert 783, 898, 900, 762 energy payback period 849–50, 858,
ejector 522, 530–1, 545, 562, 565, 567, 886–7, 889, 901
1048–50, 1060–1 Energy Policy Act 39
electrical–mechanical energy storage energy-to-mass ratio 823, 1122
system 1082 energy-to-volume ratio 1082, 1122
electric conductivity 548 engineered geothermal systems (EGS)
Electric Power Research Institute 1025–6, 1038, 1057, 1070–1
(EPRI) 548 England 107, 111, 655, 1012, 1033, 1050
electrical demand 25, 78, 81, 102, 1076 English 14, 108, 112, 655–6, 782, 784, 909,
electric and magnetic forces (EMF) 429, 955, 964, 1115
498, 1105, 1107, 1127 enhanced geothermal systems (EGS)
Electricite de France’s (EDF) 1013 1025–6, 1038, 1057, 1070–1
electrochemical reaction 782, 822, enthalpy of combustion 288
1103–6, 1108, 1135 enthalpy of formation 285–6, 288, 388
electrochemistry 41, 76, 85, 1115 entropy 118, 124, 130, 168, 170, 175, 179,
electrolyte 14, 1104–6, 1111–4, 1116, 181, 193, 269, 273, 284, 452, 469,
1127, 1133 613–4, 631, 633, 635, 644, 741
electromagnetic field 498–9, 509, 515, environmental impacts 2, 15–6, 33,
844, 1115, 1118 72, 79, 197, 250, 309, 339, 365,
electromagnetic wave spectrum 435 416, 438, 448, 569, 592, 602,
electromagnetic induction 41, 76, 84 858, 935, 940, 945–6, 989,
electron 42, 791–801, 803–5, 808, 823, 994, 1010, 1025–6, 1060, 1068,
841–2, 847, 848–9, 852, 855, 1070, 1100
870–2, 875, 894, 897–8, 904, 985, Environmental Protection Agency (EPA)
1103–5, 1112, 1114–5 437, 572, 685, 572, 687
electron-volt 792 equal pressure turbine 467, 503
electrostatic precipitator (ESP) 415, equinoctial spring tide 1015
428–30, 446, 449–50 equinox 768–70, 772, 862, 866, 902
elemental semiconductor 794, 899 equivalence ratio 280–1, 283, 387–8
Index 1205

Ericsson cycle 712–3, 723, 728, 642–3, fan-assisted hyperbolic cooling tower
646, 653–4 591–2, 600, 602
erosion 125, 228, 350, 352, 428, 495, 532, Farad 1115, 1117
535, 538, 548, 692, 699–701 Faraday, Michael 14, 1115
ESP-r 840 Fatigue 128, 217, 228, 242, 484, 506, 690,
ethanol 318, 367 692, 727, 976, 1098
Ethiopia 22–23 Federal Water Pollution Control Act
ethylene 281–3, 286–7, 289–90, 298 (FWPCA) 572
ethylene glycol 909 feedback control system 237
Europe 24, 37, 114, 220, 297, 305, 370, feedforward control system 236
437, 447, 486, 587, 655, 684–5, feed-in tariff 827–9, 883, 894–6
748, 783, 789, 829, 913, 947–8, feedwater pump 117, 150, 155, 157,
950, 985, 1033, 1084, 1093, 160–1, 182, 191, 194, 242, 488,
1099, 1101 496–7, 507, 511, 513, 519, 522, 531,
European Union (EU) 220 534–6, 539, 541, 543–4, 546–7,
evacuated tube water heater 905, 907, 561, 563, 566–7, 733, 739, 741, 743,
910, 936–940 747, 1047
evaporative closed-loop circulating fiberglass 530, 585, 987, 1106
water system 575 fiber-reinforced plastic pipes 577
evaporative cooling system 593, 598, field-erected 197
698–9, 719, 725 fill 575–7, 579–81, 584, 586, 589–90, 596,
evaporative cooling tower 569, 581, 599, 602–3, 699
592–3, 597, 599–600, 603 fill bank 577, 579, 584, 589
excavation shovel 307 fill factor 819–21, 881
Excel 629, 964–5 film boiling 217, 257
excess air 240–1, 280–1, 283, 290, 320, film-type 577, 580, 584
325, 327, 344–5, 350, 353–4, 357, filtration process 432, 550, 702
374–5, 387–8, 399, 414, 646, 657, fire engine 110
679, 688, 717 Fire Engine Act 111
excitation process 498, 509, 511 fire turbine 606
exciter 498–9, 509–11 first generation 199, 840, 885–7, 894, 896,
exit guide vane (EGV) 668, 715 898–9, 1102
expansion valve 1031 fir-tree 487, 506
Explorer 1 784, 868 fishes 12–3
Explorer 6 785 fix-as-fail strategy 707
external combustion engine 45, 77, 607 fixed blade 467–8, 470, 473–4, 476,
external receiver 921, 923 479–80, 487, 493, 496, 504–6, 511,
extraction pump 523, 534, 563, 565, 739 514, 531, 667, 669, 672, 691–4,
extraneous impurities 299, 389 453, 455–7
extraterrestrial radiation 761–2 fixed carbon 297–8, 301, 303–6,
extrinsic semiconductor 796, 850 389–90, 404
fixed-pitch blade 378, 983
flame detector 690, 704, 707
F
flame ionization detector 284
fabric filter 353, 415, 417, 429, 431, 444, 446 flame tube 679–84, 688–9
inside-the-bag 431–2 flashing process 1051, 1054, 1067
outside-the-bag 431–2 flash tank 1051–4, 1056, 1059, 1067,
factory-assembled 197 1069, 1072
1206 Index

flat plate water heater 862, 905, 907–8, gasification 52, 307, 365, 370, 386, 439, 607,
936, 940, 944 731, 746–8, 753–5, 757
flood 33, 73, 107, 791, 947, 1011–6, 1032 gasifier 746–9, 754, 660, 663, 721
flooded cells or batteries 1106 gasoline 5, 52, 366–7, 414, 662, 782,
Florida 789 911, 916
Florida Straits Current 1019 Gemini 785
flow diagram 168 gel batteries 1106
fluidized-bed 267, 320, 355–62, 365, General Electric (GE) 618, 657, 950
399–400, 404, 409–10, 425, 749, geochemical process 292
754, 842 geographic pole 771
flywheel 114, 1075–6, 1082, 1099, 1100–3, geometric relationship 759, 761, 765, 773
1110–1, 1122, 1126–7, 1131–2, geothermal field 1026, 1037–8, 1045, 1047,
1134–6 1050, 1058, 1060, 1065, 1068–9
fog cooling 699–700, 719 German 115, 238, 326, 433, 655, 662,
forbidden band 792, 870 955, 988
forbidden gap 792–3 germanium 793–4, 856, 874
forced draft (FD) fan 325, 337, 350, 375–6, Germany 22–3, 479, 656, 658, 662, 686,
382–3, 402, 407, 582, 591, 594, 737, 751, 789, 946, 950, 1093, 1095
599, 603 Geysers, The 1029, 1033, 1036, 1038, 1047,
fossil fuels 4–5, 8–9, 15, 41–3, 59–61, 87, 1060–1, 1073
102, 117, 196–7, 290, 297, 318, 350, Giromill VAWT 976
418, 421, 437–8, 739, 760, 932, gland steam seal 451, 489–92, 507, 513
950, 1076–8, glass fiber 423, 431
Fourier’s law 213 global climate change 15, 415–6, 433,
fracking 365, 1057–8, 1061 446, 571
frame type gas turbine 665 global horizontal irradiance (GHI) 777,
France 22, 674, 912, 950, 1002, 1011–4, 1089 781, 868
Francis, James 1092 global radiation 775, 868
Francis turbine 1092 global warming 433
Franklin, Benjamin 14, 60 Google Patent 783, 890
French 14, 108, 118, 476, 657, 735, 782, 911, Grand Coulee Dam 1085, 1089, 1123–4
1027, 1103 granulator 313
Fritts, Charles 782 gravitational energy storage system
fuel NOx 339, 341, 357, 362, 372, 421, 1075, 1082
440, 685 gravitational field 1040
fuel staging 342, 345, 410, 421 gravity-powered clock 1083
fuel-to-air ratio (FA) 280 gravity separation 223–4, 259
full arc admission 497–8, 508 Great Smog of London 418
full-speed generator 500, 513 Great Smog 108, 418
full sun hour 835, 903 Greece 907, 911
furnace exit-gas temperature (FEGT) Greek 13, 477
347, 351, 353, 399, 404 greenhouse effect 417, 420, 433–8, 446,
449–50
greenhouse gas (GHG) 15, 61, 417–8,
G
433–8, 438, 446–7, 449–50
Galileo 108 grid parity 789, 827, 829, 869
gallium arsenide 793–5, 851, 856–7, 874 grindability 297, 302, 330, 333–5, 396, 408
gaseous working-fluid 607–8, 610, 617 gross domestic product (GDP) 2–4, 21,
gas-fueled combined cycle 106, 187 23, 52–4, 78, 93–4, 96, 99, 101–2
Index 1207

ground-level ozone 418 honeycomb 423, 699, 924

Grover Shoe Factory 202 horizontal-axis turbine 955, 1017
Gulf of Mexico 1059 horizontal-axis wind turbine (HAWT)
Gulf Stream 1019 946, 953, 958, 976, 978–9, 990,
gypsum 354, 427–8 993, 996, 949
hot dry rock (HDR) 1038, 1058, 1065
hotwell 523, 527–9, 534–5, 545–6, 558, 568
H
H rotor VAWT 976
Haiti 23 Hubble Space Telescope 785–6
half-speed generator 500 human-powered 107
Hammermill 311, 313 hybrid draft cooling system 582, 591
hammer pulverizer 335 hybrid draft cooling tower 582, 591
hand feeding 320 hybrid hyperbolic cooling tower 591–2
Hardgrove Grindability Index (HGI) hybrid PV System 860
330, 335–6 hybrid solar photovoltaic/thermal
harmony 37, 74, 553 (PV/T) 860
haycock boiler 198 hybrid wet and dry cooling tower 570,
headers 204, 206, 211–2, 218, 251, 535, 596, 600, 602
577–8, 594, 908, 910, 922 hydraulic fracturing 365, 1057, 1068
heat pipe 910 Hydraulic Institute (HI) 533
heat pump hydraulic shearing 1057, 1068
air source heat pump 1032, 1064 hydrocarbon 126, 267, 279, 284, 298, 301,
ground-source heat pump 1032, 1064 305, 343, 365–9, 372, 374, 387–8,
heat rate 50, 77, 84, 87, 132 401, 404, 406, 414, 417, 419, 551,
heat recovery steam generator (HRSG) 685, 687, 748, 1055
196, 731–6, 738–40, 741–5, 451–3, hydrochlorofluorocarbon (HCFC)
747, 752, 755, 757 437, 1055
heavy-duty gas turbine 654, 658, 663, hydroelectric 9–10, 30, 33, 44, 52, 57–9,
665, 669, 715 70, 80, 83, 94, 97, 100, 1017, 1075,
Helioscope 839 1084, 1086, 1089, 1131
heliostat 857, 905, 912, 915–23, 926, hydro energy 5, 55, 98, 1085, 1090, 1095
929–30, 935, 937–42 hydrofluorocarbon (HFC) 437, 1055
heliostat field 905, 918–22, 935, 937–8, hydro-fracturing 1057
940, 942 hydrogen cooling system 499
helium 276–8, 761, 874, 610, 612 hydrogen sulfide (H2S) 368, 1048,
helper cooling tower 592, 600 1050, 1061
Hero of Alexandria 107, 477–8 hydrometer 1105
heterojunction 852–3, 887–8 hydropower 5, 8, 16, 35, 43, 55, 74, 87,
Hierapolis 1032 1008, 1085, 1089, 1122–4, 1136
high alloys 228 hydro-shearing 1057
higher heating value (HHV) 288–9, 290, hydrothermal geothermal reservoir
300, 302–4, 319, 388–90, 403, 678 1035–7, 1064–5
high-voltage 24–5, 35–7, 74, 586, 1076 hydroxide ion 551
high-voltage direct current (HVDC) 37, 74 hyperbolic 582, 587, 590–2, 599–600, 602
Hoffman Electronics Corporation
783–5, 898
I
Hoffman, Leslie 783
HOMER 839 Iceland 1034–5
homojunction 852, 855, 887, 894 ideal gas mixture 270, 272–3, 385
1208 Index

igniter 372, 374, 682, 684, 690, 704, 718 internal combustion engine 45, 77, 369,
ignition system 354, 399, 402 422, 606–8, 662, 744–5, 934,
iGRHYSO 840 1099, 1103
iHOGA 840 internally grooved tube 217, 263
impact force 313, 454 International Electrotechnical
impact pulverizer 335 Commission (IEC) 502,
impeller 340, 377, 531–3, 535, 558–9, 810, 960
671–2 International Energy Outlook 8
impulse blade 451, 454–5, 460–3, International Renewable Energy Agency
467–8, 483–4, 492, 502–3, 510, (IRENA) 946, 1034
515, 517 International Space Station 785–6
impulse force 454, 456, 477, 479, 504, 517 intrinsic semiconductor 795, 850
impulse turbines 454, 466–70, 473–7, inverter 326, 760, 788, 790–1, 805, 810,
479–82, 492–3, 502–5, 511, 513–6, 822–4, 826, 836, 839, 870,
691, 1091 881–2, 885, 980, 1080, 1103,
inclined stationary grate 321–2, 395 1117–8, 1130
India 19, 20, 22–4, 82, 88, 100, 293–4, ion exchange demineralizer 551, 555
296–7, 389, 437, 447, 489, Iran 22, 947, 1000
946, 1019 Ireland 1003
indirect cooling tower 593 iron 107, 198, 239, 299, 301, 305, 323,
indirect radiation 868 541, 550, 577, 782, 916, 1028,
indirect semiconductor 797, 803, 1084, 1114
872, 898 ironmonger 112
Indonesia 22, 293, 1019, 1034, 1047 irreversibilities 121, 147–8, 168–70,
induced draft (ID) 375–6, 402, 407, 582–5, 172–6, 180, 182, 187–8, 190, 452,
595, 599, 601–3 535, 539–42, 547, 595, 611, 614,
industrial gas turbine 656, 663, 709, 721 622, 631–5, 635, 640, 687, 712,
Industrial Revolution 14, 60, 106, 114–5, 742, 753
177, 202, 318, 948, 1091 irreversible 180, 433, 1103
industrial sector 7–8, 56–7, 59, 92, 100–1 Irsching Power Station 737, 751
inequality 1–2, 21, 23, 100 isentropic efficiency 168–9, 173–4, 182,
infrared analyzer 284 184–6, 188–9, 469–70, 633–7, 657,
inherent impurities 299, 389 667, 697, 729, 1095, 1125–6
inherent moisture 305 isobaric process 614, 617, 722
injection well 1046, 1058, 1060, 1068 isobutene 196, 1055
inlet guide vane (IGV) 667, 671, 677, isochronous 500–1, 510, 513
706, 715 Israel 907
INSEL 840 Italian 14, 108, 654, 782, 1033
insolation map 777–81, 862, 868 Italy 22, 911, 1033–4, 1047, 1073
Institute of Electrical and Electronics Ivanpah Solar Power 913, 923, 931, 935
Engineers (IEEE) 502
insulator 791–4, 871, 897, 924, 1115–6
J
integral rotor 485
integrated gasification combined cycle Japan 19, 22, 65, 88, 93, 98, 116, 220,
(IGCC) 52, 439, 731, 746–7, 437, 486, 789, 985, 1019, 1034,
753–5, 757 1047, 1084
interconnections 37, 74, 93 Joule cycle 614
intercooled compressor 654 journal bearing 488, 492, 513
intercooler 638, 542–6, 649–53, 657, 713, Juno 763, 765, 856, 863, 903
724, 727–8, 730, 1094, 1098 Jupiter 763, 765, 856, 864, 903
Index 1209

K liquid-dominated cycle 1025, 1037,

1045–6, 1050, 1053–5, 1058, 1060,
Kalina, Alexander 1055
1066–7, 1069, 1072
Kalina Cycle 1055, 1067
liquid metal 610, 930–1, 943, 1114, 1119
Kaplan turbine 1092, 1124
lithium-ion batteries (LIBs) 42, 1075,
Kaplan, Viktor 1092
1112–4, 1117, 1129
Kelvin, Lord 127
living standard 1–4, 8, 15, 20–1, 54, 67, 80,
Kenya 22–23, 1034–5
83, 99–100, 102; see also standard
kettle boilers 198, 250
of living and quality of living
Kick law 311
Ljungström air preheater 382–3, 406, 701
Kinderdijk 948
load curve 25–8, 32, 34, 68–71, 84, 90–1,
Kola Superdeep Borehole 1027, 1071
95, 102; see also load profile
Kuwait 23
load demand 25, 27–9, 32–3, 69, 71, 84,
92–3, 95
L load factor 27–9, 69–70, 91
load profile 25–6, 33, 68–9, 89–92, 98, 102
labyrinth seal 489–91, 493–4, 511 local boiling 216
la Cour, Dane Paul 950 local wind 586, 952, 968, 989, 995
Lambert, Johann Heinrich 766 locomotive 199, 320, 326, 661, 1093, 1099
Lanchester, Frederick W. 955 London 107–8, 115, 127, 418
land breeze 952, 989 longitudinal drum 204, 264
Larderello 1033, 1038, 1047, 1073 longwall mining 309
latent heat energy storage 1119 louver 380, 575–6, 579, 584, 599, 684, 702
latitude 760, 766–7, 770–2, 776, 778, 866–7, low emission combustor 687
893, 911, 1000 low NOx burner 341
lattice 794, 797 low NOx combustor 685
laws of Newton 213, 454, 477, 956; see also Ludington Pumped Storage Plant 1085
Newton’s law
lead (Pb) 859, 1104–6, 1127–8, 1133, 1135
M
lead-acid batteries 1103–6, 1111–2, 1117,
1128–9, 1134–5 Mach number 677
lead oxide (PbO2) 1104–6, 1127, 1128, magnetic declination 862, 866, 771
1133, 1135 magnetic pole 771
leak-off valve 490–1 magnetic survey 1040
leak test 246 Magnus effect 988
lean mixture 281, 283 Magnus, Heinrich Gustav 988
lift coefficient 670, 722 maintenance-free batteries 1106, 1128
light detection and ranging (LIDAR) 960 major grid 37, 93
light-emitting diode (LED) 810 makeup water treatment 548–9, 556, 563
lignite 292, 300, 303–6, 330, 335, manipulated variables 236–7, 262
389–91, 425 mantle 1028–9, 1033
li-ion batteries 1112 Mars 435, 449, 765, 856, 901, 903
lime (CaO) 357, 425, 428, 445, 550 Martian 435
lime-soda softening 550 Massachusetts 202, 789
limestone 357, 360–2, 425–8, 445, 1035 mass burning 318, 363–5, 400
linear momentum conservation 454 mass-feed system 323–4
line-focus Collector 905–6, 927–9, maximum continuous rating (MCR)
938–40, 942, 944 452, 514
liquefied natural gas/ liquid natural gas maximum power point (MPP) 808–9,
(LNG) 369–70, 401, 698 817, 823–4, 876–7, 881, 892
1210 Index

maximum power point tracking 876, multiple-speed motor 585

809, 823–4 municipal solid waste (MSW) 319
Maxwell, James Clerk 14
mean energy velocity 962–3, 991
N
mechanical draft cooling tower 376, 569,
582–3, 589, 591, 599, 602, 1048 nacelle 986, 988
mechanical drive 500, 658, 663, 715 nanotechnologies 42–3
mechanical engineer 113, 115, 127, 232, 326 National Advisory Committee for
mechanical shaker 432 Aeronautics (NACA) 670
mechanical stacking 857 National Aeronautics and Space
mechanical stoker 267, 320–1, 323, 325–6, Administration (NASA) 24, 670,
345, 395, 399–400, 406, 412 763, 862, 950, 1099
media-type evaporative system 699 National Ambient Air Quality
membrane design 215–6 Standards (NAAQS) 417, 449
mercury 108, 110–1, 292, 444, 448, 747 National Emission Standards for
methanol 367 Hazardous Air Pollutants
Mexico 22–3, 296, 1034, 1047, 1059 (NESHAP) 685
Michigan 1085 National Fire Protection Association’s
microalgae 415, 436, 442–3, 448, 450 NFPA 336
microelectromechanical systems National Renewable Energy Laboratory
(MEMS) 42 (NREL) 778, 780, 839, 861–2, 968,
micro gas turbine 473 969, 1039
microturbine 666–7, 671, 715 natural circulation 197, 204, 211, 223,
Mie scattering 775 225–7, 252, 259, 263, 356, 383,
million BTU method 284 602, 909, 936, 943
Milne boiler 206–7, 253 natural draft cooling tower 569, 582,
miner’s friend 110 586–91, 594, 599–600, 602–3
minor grid 37, 74 natural energy resources 5
Miracle on the Hudson 675 natural gas combined cycle (NGCC)
Mississippi River 202 438, 732
molten salt 930–1, 939, 1060, 1094, 1113, natural gas-fueled power generation
1119, 1129 106, 192
molten-salt batteries 1113, 1129 natural gas liquids (NGLs) 368
monoatomic gas 613 nebula 1027
monocrystalline 841–5, 849, 855, 885–96 Netherlands 587, 948
monoethanolamine 440–1 net metering 827–9, 837, 882–3, 894–7, 898
monolithic 857 net positive suction head (NPSH) 532,
Montreal Protocol 420, 1055 565, 567
Moon 37, 898, 1011, 1023, 1027 neutron 792
motor-generator 1085, 1090, 1099–100, 1131 Nevada 789, 931, 1035
Morocco 913, 928 Newcomen, Thomas 112–5, 178, 190,
Mouchot, Augustin 911 192, 198
Mount Storm Power Plant in Grant New Jersey 783, 789
County 574–5 Newton’s law 213, 454, 477, 956
multi-junction solar cells 855–7, 860, 889 New York 115, 674, 771, 782, 950, 1084
multiple-can 682 New Zealand 1034
multiple-chamber 682 nickel 240, 484, 693, 1028, 1113–4
multiple-pressure condenser 528, 565 nickel-based batteries 1114
multiple-shell condenser 528, 565 nicrosil 239
Index 1211

NIMBYism (not in my back yard) 947 nozzle-diffuser 530

nisil 239 n-type semiconductor 796–9, 844, 846,
nitric acid (HNO3) 419, 425 847, 852–4, 873
nitric oxide (NO) 339, 418, 420 nuclear energy 4–5, 8–9, 24, 43, 55, 59–60,
nitrogen dioxide 417, 339 87, 98, 102, 586
nitrogen oxide (NOx) 279, 320, 325, 336, nuclear transformation 42, 76, 85
339–45, 347–8, 350, 352–3, 355–7, nucleate boiling 217, 263–4
359–60, 362, 369, 372–3, 397–400, nucleus 792–3, 795–6, 871
404, 406, 414–8, 417–25, 429,
437, 439–40, 443, 445, 448–50,
O
646, 657, 679, 685–89, 700, 713,
718, 724 Obliquity 767
nitrogen trifluoride (NF3) 437 Ocean Thermal Energy 33, 43, 87, 97,
nitrous oxide (N2O) 418, 437 117, 196, 522, 999–1000, 1018–9,
Nixon, Richard 572 1022, 1054
Nobel laureate 1118 Ocean thermal energy conversion
Nobel Prize 433, 782–3, 900, 964 (OTEC) 33, 97, 522, 1018–9,
Nokia 783 1018–9, 1022–3, 1032
non-aeroderivative 664–5, 715, 728 Odeillo 912, 917
non-aviation 658, 664, 714, 721 offshore wind turbine 945–6, 979, 993,
nonconcentrating 907, 935–6, 941, 943–4 996, 1010, 1085
noncondensable 522–4, 529–30, 536, 538, Ohio 202, 296, 949–51
540–5, 549, 558, 565–7, 1048, oil
1050, 1056, 1061 crude 5, 7, 55, 101, 366, 368, 401, 610
non-condensing steam power plant price 15, 410, 950, 1000
520, 564 well 5
nondestructive examinations (NDE) Oklahoma 296, 657, 951
220, 247 once-through circulating water system
nonexplosive boilers 203, 251 570–1, 573, 598
non-feedback control system 236 once-through cooling system 525, 527,
non-greenhouse gases 434 569–76, 592–3, 597–8, 600, 602
nonideal Brayton Cycle 632, 636–7 once-through crusher 311, 313, 393
non-rechargeable batteries 1103 once-through steam generators 195,
non-regenerative 149, 190 197, 210, 218, 232–3, 241, 245–6,
non-renewable energy 15, 57 261–4, 356, 497, 525, 546, 548,
non-return valve 488 556, 563, 739, 752, 930, 932
non-return check valve 536 Ontario 657
North America 24, 37, 74, 93, 319, 394, 657, open-cast mining 307
863, 950, 1012 open-circuit voltage 806–8, 810–11, 815,
north pole 770–1 819–22, 875–8, 881, 890, 892, 896,
Norway 23 1105, 1107, 1127–8, 1135
Norwegian 655 open condenser 522
Nozzle 218, 241–2, 340, 346–8, 352, 360, open direct gas turbine 608
362, 372–3, 399, 426–7, 453 454, open feedwater heater 149–50, 152, 154,
461–2, 467–71, 473–7, 479–80, 156, 160–6, 182, 186–90, 194,
493, 496, 503–4, 514–5, 517, 522, 208, 519, 529, 534, 536, 538,
530, 573–4, 577–8, 580, 589, 596, 540–1, 545–6, 560, 562–4, 566–7,
608, 660, 667, 677, 688–92, 694, 739, 741
699–700, 702, 1091 open loop 236–7, 261
1212 Index

open wet cooling tower 592, 600 particulate matter 415–20, 425–6, 429,
organic Rankine cycles (ORC) 126, 181, 440, 444–6, 775
196, 249, 1055, 1067, 1071 part loads 31, 498
organic solar cell 856, 858–9, 863, 889, passive solar thermal energy 907, 909,
896, 898, 901 942–3
origin of Earth 1025 peak-load 32–4, 72–3, 79–80, 86, 92, 94,
Orsat analyzer 284 97, 107, 177, 497, 606, 628, 630,
Ørsted, Hans Christian 14 664–6, 687, 709, 712, 727, 732,
oscillating hydrofoil 1017 750, 757, 823, 1015, 1062, 1069,
oscillating water column 999, 1002, 1077–8, 1085, 1121
1004–5, 1021 peak shaving 1077, 1121
oscillating wave surge converter 999, peat 197, 292, 303, 306, 391
1004, 1009–10, 1021 pedestal 917, 930, 937
osmotic pressure 553, 1019 Pelton, Lester Allan 1091
overall efficiency 149, 188, 209, 325, 384, Pelton turbine 1091–2, 1124
442, 527, 534, 547, 630, 669, 701, Pennsylvania 202, 295–6, 304, 479
706, 740, 744, 838, 839, 885, 1056, penstock 1090–1
1080, 1095 pentane 126, 196
overburden 307 perfluorocarbon (PFC) 437
overfeed 323, 395, 412 perihelion 764
overfire air (OFA) 324–5, 338, 344, 346, Perkins, Jacob 232
357, 359, 364, 372–3, 376, 398 permittivity 1116
overshot feeder 329 perovskite solar cell 856, 859
overtopping device 999, 1004, 1008–9, 1021 peroxylacyl nitrate (PAN) 419
oxides of nitrogen 279, 418 Persian 13, 947, 971–2, 976, 992
oxy firing 439–40 windmill 947, 972, 976, 992
oxy-fuel combustion 439 petrochemical plant 663
oxygen firing 415, 439, 447 pH control 549, 555
overhead 24, 363, 770, 774, 866, 899 phase-changing fluid 45, 49–50, 77, 116,
ozone 276, 415, 418–20, 437, 773 119, 179, 607, 1119, 1130
ozone hole 420 phase-changing thermal energy storage
ozone layer depletion 415, 420, 425 1119, 1130
Philippines 22, 1034
phosphorus 796–8, 843–4, 846, 855
P
photobioreactor (PBR) 443
p+ (p-plus) layer 847 photochemical smog 418
Pamukkale 1033 photoelectric 41, 76, 85, 783, 90
Papin, Denis 108, 112 photosynthesis process 292, 318, 442
Parabolic collector 911 piezoelectric 42–3, 76, 82, 85
parabolic dish 929 pinch temperature 527, 742, 753
parabolic heliostat 942 piping losses 170
parabolic mirror 857, 912 piston and cylinder 46, 52, 108, 112, 607
Parabolic trough 907, 910, 927–8, 932, pitch angle 379, 667, 984–5
936, 940 pitch-regulated wind turbine
parallel resistance 821 983–4, 996
Parsons, Sir Charles Algernon 478–9, 655 plain bearing 488, 513
Parthian Battery (Baghdad Battery) Planck, Max 433
13–4, 82, 1103 Planck constant 799
partial arc admission 497, 508 Planetary wind 952, 989, 995
partial oxidation 748 platinum 239–40, 444, 782, 859
Index 1213

p-n junction 797–800, 804–5, 821, power purchase agreement 827, 829, 883,
846–7, 852–6, 872–3, 887–8, 894–5
891, 894, 897 power-to-mass ratio 1082
point absorber 999, 1004, 1021 power-to-volume ratio 1082
point-focus collector 905, 927, 929–30, power-to-weight ratio 606, 628, 658, 662,
938–40, 942, 944 709, 728, 786
polymath 587, 654, 766, 911 power vampire 831
polysilicon 843–5, 886 predictive maintenance 708, 723
polytropic efficiency 168–9 preheater 229, 241, 284, 329, 331, 337, 352,
population 2, 6, 8, 15, 17–19, 21, 23, 32, 356, 374, 381–3, 403–4, 406, 417,
62–3, 67, 71, 78, 80, 89, 91, 94–6, 422, 427, 542–3, 701
107, 319, 419, 666 pressure compounding 473–5, 477,
portable electronic device 1103, 503–5, 514–6
1112, 1114 pressure wave 1040
Portugal 1003 pressurized fluidized-bed combustion
Potassium 299, 846, 931, 1028, 1071, 1114 (PFBC) 362, 749, 754
Potter, Humphrey 113 preventive maintenance 246, 708,
Potter cord 113 721, 723
power coefficient 990–4, 996–7, 957–8, primary air 328–9, 331–2, 336–7, 340, 343,
971–2, 975, 978, 982–3 345–6, 349–50, 363–4, 376, 396,
power curve 807, 877, 945–6, 980–2, 993 679–80
power density 662, 953, 959, 968–9, 990–1, primary batteries 1103
1082, 1112, 1131–2, 1136 primary energy 2–3, 5–10, 12, 30–32,
power generation 1–2, 12, 15, 24–5, 53, 54–9, 78–81, 83–5, 90,
27–32, 34, 37, 39, 41, 44–5, 49–52, 98–9, 102
60, 70–1, 76–7, 80, 84, 94, 95, primary pollutant 418, 420
97, 106–8, 115–7, 121, 126, 149, primary standards 417
177–8, 181, 184, 189, 192, 195–8, primary wave 1040
202, 238, 247, 250, 267, 290, 292, probability density function (PDF)
294, 296–7, 326, 365, 367–9, 402, 963–4
406, 415–7, 421, 425, 433, 438, producer gas 307
443–4, 447, 452, 464, 479–81, production well 1058, 1060, 1068, 1046
483, 492, 498, 505, 514, 522, 547, Project Plowshare 1059, 1068
567, 597, 605–8, 618, 628, 630, proof-of-concept 747, 439, 610
633, 641, 646, 654–8, 661, 664, propane 354, 366, 368, 607, 666, 1055,
666, 687, 692, 695, 697, 704–7, 709, 1188–9
712, 719–20, 722–3, 727, 729–30, proportional control systems 237, 262
732, 735, 737, 745–7, 750, 757, proportional gain 237
760, 781–3, 787–91, 803–5, 807–8, proportional plus integral control 237
810–1, 814–8, 821–2, 825–6, 828– proportional plus integral plus
9, 835–40, 851, 860–2, 868–9, derivative control 237
875–83, 893–6, 899, 902, 905, 910, Proppant (propping agents) 1058, 1068
913–4, 926–35, 939, 946, 979, 982, propulsion 714, 728, 606, 608, 628, 656,
999, 1003, 1011, 1013–8, 1022–6, 658, 662
1033–5, 1041, 1045, 1047, 1056, propylene 909
1062, 1066, 1069, 1077–8, 1085–9, proton 792, 794, 801, 1104
1093, 1095, 1099, 1117–25 proximate analysis 297–8, 301, 389–90,
powerhouse 1089–91 404, 409
power lines 25, 36, 74, 584, 586 p-type semiconductor 796–9, 844, 853–4,
power performance curve 980–1 872–3
1214 Index

Public Utility Holding Company Act 38 radioactive matter 42, 610, 781,
Public Utilities Regulatory Policies Act 38 1027, 1071
pulse jet 432 radiography 218, 247
pulverized coal 33, 267, 292, 298, 320, radon 1061
326–41, 343, 345–6, 348, 353, raising mass 1075, 1082
355, 364, 371–3, 376, 382, 414 Rance Tidal Power Station 1012–4, 1089
pump-back plant 1089, 1124, 1131 Rankine cycle 51–2, 105, 124–9, 132–4,
pumped hydroelectric energy storage 136–7, 139–40, 142–57, 160–3,
(PHES) 1084, 1086, 1089, 166–75, 179–98, 249, 433, 521,
1114, 1131 725, 732, 750, 932–3, 935, 939,
pumped storage hydroelectricity (PSH) 1019, 1047, 1055, 1067, 1071
1084 Rankine, William John Macquorn 127
pump turbine 1089–90, 1092, 1123–4, 1131 rank of coal 298, 303, 390
PVC 530, 577 rapid load following 709, 728, 327, 497,
PV DesignPro-G 840 508, 606
PV F-Chart 840 Rateau, Auguste 475
PVLib 840 Rateau turbine 476, 503
PV*SOL 840 rated wind speed 993–5, 965, 981–2,
PVsyst 839 984–5
P-wave 1065, 1072–3, 1040 rat-hole 316
pyranometer 777, 896 Rayleigh distribution 964
pyrheliometer 777–8 Rayleigh, John W. S. 964
pyrolysis process 748 Rayleigh scattering 775
reaction force 454–5, 477, 479, 504, 517
reaction turbine 107, 451, 477–82, 504–5,
Q
507, 514–5
quality of living 2, 93 reboiler 442
quantum dot solar cell 856, 859–60, reburning 342, 345, 410
889, 891 rechargeable batteries 1103, 1113, 1127
quantum mechanics 792, 800, 859 reciprocating 33, 44, 94, 112, 114–6,
Quebec 37 321, 363, 452, 515, 531,
607, 1003
recreational 30, 96, 574, 791, 890
R
rectifier 499, 509
radial compressor 666, 671 recuperator 663–4, 724, 638–9
radial flow condenser 527, 529, 566 recycled flue gas (RFG) 440
radial pump 531–2, 558 redwood 577, 579
radiant 213, 256, 914 refuse-derived fuel (RDF) 363–4, 400
radiant evaporator 213 regenerative 147–52, 155–7, 161, 182, 186,
radiation 41–2, 52, 213–4, 228, 260, 337, 188, 190–1, 194, 382, 404, 488,
351, 418–20, 433–6, 442–3, 535, 638, 640–2, 653, 724–9, 934,
449–50, 574, 681, 690, 739, 1099, 1117, 1126
759–67, 773–8, 781, 784, 787, regenerative braking 1099, 1117, 1126
798–800, 803, 809, 816, 825, regenerative steam cycle 488, 535
835–6, 856–8, 862, 864–5, regenerator 369, 638–41, 643, 645–6,
867–8, 874, 896, 898, 902, 908–10, 650–1, 653, 657, 664–6, 678, 701,
914–28, 928, 930, 932, 934, 937–8, 712–3, 719, 724, 727, 729
941–4, 952, 997, 1027 regulated market 38, 75, 80, 84
Index 1215

reheater 140, 144–7, 161, 163–4, 168, 175– rotary machine 606
6, 182–6, 190–1, 194–6, 208–15, rotary regenerative 382
227–9, 232–3, 240–2, 245, 253, rotating blade 454, 459, 467–71, 473–5, 477
256–7, 260, 262–3, 268, 347, 352, rotor hub 987
356, 375, 404, 453, 638, 646–51, round trip efficiency 839, 1077, 1080–1,
653, 657, 969, 713, 725, 727, 729, 1085, 1098, 1100–2, 1117, 1121–2,
740, 743–4, 1098 1128, 1130
renewable energy 4, 8–10, 15, 57, 59–61, routine maintenance 30
102, 106, 196, 735, 750, 778, 780, Royal Air Force (RAF) 656
839, 862, 913, 934, 946, 968, 969, Royal Society of
980, 999, 1000, 1003, 1011, 1020, Edinburgh 127
1022–3, 1026, 1034, 1039, 1041, London 127
1057, 1062, 1075–9, 1084, 1092, Swedish Academy of Sciences 127
1095, 1103, 1121, 1131 run-of-mine (ROM) 309, 392
research and development (R&D) 15, 61, run-of-river hydroelectricity (ROR) 1017
355, 485, 658, 664, 787, 950, 976, Russia 22, 293, 297, 437, 587, 955, 1027,
1002, 1058–9, 1094, 1112, 1114 1055, 1071
residential sector 7, 59 ruthenium 484, 859
retention crusher 311–2, 393
RETScreen 839
S
reverse gas flow 432
reverse osmosis (RO) 531, 551, 553–5, 561, Saavedra, Miguel de Cervantes 947
564–5, 700, 1003–4 Sacramento Municipal Utility District
reversible 46–7, 118, 122, 124, 126, 129–30, (SMUD) 788
134, 148, 181, 188, 552, 611, safety valves 113, 238, 244, 246
614–5, 618, 624, 641, 643, 711–3, salinity gradient energy 999–1000,
722, 725, 727–8, 1120, 1131 1019–20, 1022–23
relief valves 244, 262 Salter cam 101
remote metering 827 sand filter 550
remote net metering model 828 sand-bed filter 552
resistance temperature detectors (RTD) Saturn 765, 903
238, 240 Savery, Thomas 108–13, 177–8, 187,
resistivity 792, 1040 190, 192
Reynolds number 670 Savonius VAWT 976–7
rhenium 484 sawmill 947
rhodium 239 Scotch marine 199–200, 250, 264
ribbed (rifled) tube 217, 228, 260, 263 Scotland 114, 127, 949
ribbon silicon 848–9, 886, 890 Scottish 14, 113, 124, 783, 934, 949
rich-burn/quick-quench/lean-burn scrubber 415, 425–9, 433, 440, 442, 445,
(RQL) 686 449–50, 542–5, 1052
rich mixture 281 sea breeze 952, 989
ring crusher 311, 313, 393 secondary air 336–7, 340–2, 345–6,
ring-roll pulverizer 334 348–50, 372–3, 376, 398, 396, 419,
riser 204, 206, 212, 219, 225, 251, 577–8 440, 679–80
Rittinger law 311 secondary batteries 1103, 1127
Rittinger, Peter von 311 secondary energy source 1, 5, 54–5, 78,
roll crusher 311–4 97, 101
roll-and-race pulverizer 331, 333–5, 396 secondary pollutant 418, 420
1216 Index

secondary standard 417 skylight 775

secondary wave 1040 sky radiation 775, 902
second generation PV 840, 850, 856, sliding bearing 488, 513
887–8, 894, 898, 903 sliding pressure 496–8, 508, 510, 514
second law of Newton 454, 956 Smith, Willoughby 782, 898
sedimentary deposit 292, 357 smog 108, 417–20, 445
Seebeck, Thomas Johann 238 society 2, 4–5, 8, 15, 21, 52–3, 54, 94, 100,
Seebeck effect 238 102–3, 127
selective catalytic reduction (SCR) 415, soda ash 550, 567
417, 421–4, 428, 440, 444–7, soda-lime glass 853
449–50, 686 sodium carbonate 550
selective non-catalytic reduction (SNCR) sodium hydroxide (NaOH) 425, 445,
421, 424–5, 450 552, 846
selenium 292, 782, 794, 853 sodium-sulfur (NaS) batteries 1113
self-discharge time (SDT) 1121, 1081 solar array 884–5, 894, 897, 903, 763, 765,
semipermeable membrane 553, 561 785, 813–4, 823–4, 835, 839, 860
sensible heat energy storage 1119 solar constant 762–4, 774, 864, 867, 898–9,
separators 901, 903
cyclone steam 224 SolarDesignTool 840
primary separators 223–4, 259 solar eclipse 782, 1079
secondary separators 223–4, 259 Solar Energy Industries Association
Serbian 14 (SEIA) 789, 1078
series resistance 821 solar energy map 778, 868
series string 811–2, 814, 816, 879–80, solar farm 790, 823, 834, 851, 770
893, 896 SOLARGIS 840
set point 236–7, 241, 243–4, 500–1 Solarimeter 777
settling tank 549 solar module 813, 815–6, 820, 825–6, 836,
shear wave 1040 840–1, 849, 886, 891, 894–5, 900
shell-and-tube heat exchanger 524, 536, solar photovoltaic 41, 52, 187, 759–60,
563, 567 765, 771, 774, 776, 781–4, 786,
Shockley diode equation 821 788–91, 805–7, 809, 811, 815–6,
short-circuit current 777, 807–8, 810–1, 818–9, 821–2, 825, 840–1, 851,
815, 819–21, 843, 875–8, 881, 860, 862, 868, 870, 877, 901, 906,
890, 892 1078, 1117
shrunk-on disk 485 solar photovoltaic cell 41, 759–60,
Shukhov, Vladimir 587 783–4, 786, 788, 791, 819, 821,
Shuman, Frank 912, 928 840, 868, 870
shunt resistance 821 SolarPro 840
shutdown procedure 245–6, 496, 705 solar water heater (SWH) 771–2, 893,
significant wave height (SWH) 1021, 907–10, 936, 943, 950
1023, 1001–2 SOLSIM 840
silica 223, 299, 330, 549, 550–1, 842 Solstice 862, 865–6, 895, 901–2, 767,
silicon dioxide 842–3 768–70
silicon oil 126 solubility 541, 848
silo-type combustor 684, 688 sonic detection and ranging (SODAR) 960
single flame tube 683 sootblower 423, 347, 352–3, 383
single-phase thermal energy storage source measure unit (SMU) 806, 875
system 1119, 1130 South America 12, 24
Index 1217

Southeast Geysers Effluent Pipeline steam accumulator 1119, 1130

(SEGEP) 1060 steam cycle 49, 106, 126, 140, 168, 171, 177,
South Korea 1011 189–90, 210, 362, 438–9, 442, 470,
south pole 436, 769–71, 866, 900, 952, 985 488, 497, 507, 512, 519–20, 535,
Soviet Union, the 784, 950 561–2, 570, 610, 617, 694, 701–2,
Spain 22–3, 912–3, 928, 931, 950, 1120 710, 731–2, 734–8, 749, 751, 754,
spar 987, 994 757, 933
spark-ignition engine 52, 662 steam dome 524, 527–8, 558
specific cost 1082 steam generator
specific energy 1082 fire-tube 197, 199–200, 202–3, 250, 264
specific power 1082, 1117, 1130 pressure 134, 137–9, 144, 146, 149–50, 182,
specific speed 379, 403, 532, 559, 564 184, 189, 496, 507, 513
spillage loss 926, 930, 942–3 pressure of 137, 139, 143–5, 171, 183,
spiral wound 233–5, 261, 554–5, 561 185–6, 190, 193–4, 200, 208–9,
splash-type 579, 580, 584, 602–3 223, 253, 497, 508, 521, 534, 556
spray deaerator 542–3 shell-type 197–8, 202, 250
spray-scrubber deaerator 543–5 water-tube 197, 203–5, 250–1, 263
spray tower 426–7 steam generator-follow (or boiler-follow)
spray-tray deaerator 542, 544, 546 operating mode 497, 515
spray-type condenser 522, 601 steam jet air ejector (SJAE) 530, 558,
Sputnik 1 784, 868 562, 565
Sputnik 2 784 SteamProperty 122
SS Sultana 202 steam trap 215, 538–9, 540, 560, 563
stack 117, 199–200. 203–5, 248, 301, 354, steel 292, 304, 306–7, 312, 332, 367, 370,
359, 373–6, 383–4, 403, 407, 417, 383, 423, 529, 577, 585, 589–90,
426–7, 429, 441, 445, 447, 542, 602, 656, 740, 908, 948, 1043,
544, 586, 588, 701–2, 739–42, 757 1099, 1102–3, 1131
stall-regulated Windows user turbine Stefan-Boltzmann constant 214
984, 995 Stirling, Allan 206
stainless steel 228, 344, 423, 444, 525, 530, Stirling engine 930, 933–4, 940, 942–4
535, 537, 544, 556, 579, 585, 669, Stirling steam generator 206, 218, 252
699, 1050 stoichiometric 276, 279, 281–2, 307, 341–2,
standard atmospheric pressure 111 345, 372, 374, 386–7, 409, 679,
standard of living 2, 8, 53, 103, 415–6 685, 748
standard temperature and pressure stone wall 677
(STP) 953 strain gauges 42–3
standard test conditions (STC) 775, string ribbon technology 849
809–11, 817, 835, 840, 867, 878, strip mining 307
881, 899, 903 strong-acid cation (SAC) 551
starting, lighting, and ignition (SLI) 1111 strong-base anion (SBA) 551
startup procedure 245 strong engines 115
static electricity 13–14, 42, 60, 85 studded tubes 215–6
stationary blade 454, 455, 459, 467, Stumpf, Johann 115
469–70, 516 S-type burner 341, 398
statistical analyses 945, 962 subbituminous 292, 300, 303–4, 306,
stator 498–9, 501, 509, 511, 667, 669, 677, 389–1, 421, 425
715, 1003 subcooled boiling 216
Statue of Liberty 1084 subcooled-nucleate 216
1218 Index

subcritical 139, 197, 209, 230–3, 260–4, syngas 291, 307, 318, 386, 439, 746–8, 754
356, 1056 synthesis gas 386, 439, 607, 746
submerged pressure differential device System Advisor Model (SAM) 778, 839
999, 1004, 1010, 1021
sulfur hexafluoride (SF6) 437
T
sulfuric acid (H2SO4) 424, 428, 430, 552,
1104–6, 1127–8, 1133 tandem cell 856
sulfur oxide (SO2) 276, 301, 320, 355–7, tandem compound 496–7, 507
360–2, 400, 414–7, 424–6, 428–9, tangential burner 345–7, 399
440–1, 445, 449, 1061 tax 34, 73, 437, 448, 825
sulfur trioxide 424, 428, 446 tellurium 794, 852
sun hour 835, 903 Telstar 785–6
sunlight hour 837, 885 temperature Inversion 419
sun tracking system 777, 791, 822, 824–5, terrestrial poles 771
869, 882, 911, 916, 919, 927–8, 938 tertiary air 329, 349–50
superalloy 484, 693 Tesla (batteries) 1113
supercapacitor 1115–8, 1122, 1129–32 Tesla, Nikola 14
superconducting coil 1075–6, 1082, 1115, Texas 37, 296, 303, 789, 1093
1118, 1122, 1130–2, 1134, 1136 theoretical air 387–8, 403, 409–10, 657–8,
superconducting magnetic energy 279–82, 282, 284, 286–7, 290
storage (SMES) 1118, 1130 thermal batteries 1113, 1129
supercritical 126, 139–40, 175–6, 183–4, thermal energy storage (TES) 383, 698,
189–91, 197, 209, 232, 233, 261–4, 913–4, 934–5, 942–3, 1060,
335, 351, 356, 497, 535, 691, 1075–6, 1080, 1082, 1094,
1046, 1056 1118–20, 1122, 1130, 1132, 1135
superheater 133, 195–6, 203–5, 209–13, thermal NOx 339, 341, 343, 357, 362, 369,
215, 218, 223, 227–32, 240–5, 251, 372, 421, 439–40, 685
253, 256–8, 260, 262–3, 268, 344, thermocouple 42, 238–40, 246, 344, 707, 776
347, 352–3, 356, 360, 375, 404, thermodynamics 1–2, 26, 40, 45, 47, 51–2, 77,
407, 538, 655, 740, 742–4, 746, 105, 116, 119, 122, 126–7, 137, 175,
752, 755, 933, 1059 179–80, 189, 196, 198, 221–2, 248,
surface condenser 114, 522, 524, 526–8, 250, 267, 269–70, 275, 277, 284–6,
557–8, 563–4, 566–8, 571, 575, 288, 385, 387, 453, 464, 470
594–5, 603, 1048–9, 1056 first law of 26, 44, 119, 180, 286, 464,
surface moisture 298, 302, 389 470, 476, 479, 616, 620, 737, 915,
surge 675–7, 704–7, 716–7, 723, 999, 1004, 954, 1105
1009–10, 1021, 1091, 1111 thermoelectric 42, 76, 85, 238, 860
suspension firing 323–4, 337, 356, 361, 412 thermonuclear reaction 761
sustainability 2, 15, 61 thermopile detector 776
sustainable development 15 thermosiphon 909
S-wave 1040, 1065, 1072–3 thin-bed combustion 323, 412
Swedish 127, 382, 468, 643, 957, 662–3 thin film solar cell 840, 850–4, 856,
sweetening process 368, 401 887–8, 897
Swiss 766, 859, 911 third-generation PV 840, 856, 887, 894, 989
Switzerland 656, 657, 667, 1061 Thomson, William (Lord Kelvin) 127
synchronization 499, 502, 509–10, thorium 1028, 1071
703–5, 824 Thornycroft steam generator 206
synchronized 37, 74, 500–1, 510–11, 705 throttling 115, 156, 162, 168, 371, 539, 547,
synchronized generator 501 1031, 1047, 1051–2
synchronous 37 thin wall 201, 849
Index 1219

Tidal Energy 43, 87, 999–1000, 1011–2, turbine-pump assembly 1091–2

1014–7, 1022–3, 1089 turbocharger 691, 655
Tidal Kinetic Energy 1016 turbofan jet 659, 660–1, 664, 690, 715
tilt angle 770, 772, 776, 824, 862, 866–8, turbogenerator 498
893, 896, 911 turbojet 659–60, 664, 690, 715
tilting corner-fired 347, 399 turboprop 659–60
tin 852, 855 turboshaft 661, 727
Titanic 202 Turkey 22, 907, 1033–4
titanium dioxide 423 turnaround efficiency 1080
topping cycle 732, 745, 750 twisted blade 483–4, 506, 510, 515, 691,
Torricelli, Evangelista 108 987, 994
total electrical energy 27–9, 69–70 two-speed motor 381, 585
total solar irradiance (TSI) 763
transmission 1–2, 16, 24–6, 33–9, 60–2,
U
68, 73–4, 81, 83–4, 92, 498, 585,
734, 801, 1006, 1076 U.K., the 1003, 1011
TRANSYS 840 ultimate analysis 297–8, 301, 367, 390,
transportation sector 7–8, 56–7, 59 404, 408
Trans Solar Radio 784 Ultracapacitor 1115, 1134–5
tray-type condenser 522 ultra-supercritical steam power plant
Trevithick, Richard 199 140, 209
T-root 487, 506 ultraviolet (UV) 420, 555, 690, 773
tube bank 206–7, 215, 252 uniflow steam engine 115, 116, 187
tube bundle 228, 359–60, 527, 529, 538, universal-pressure (UP) 232
563, 739, 752 University of Glasgow 127, 114
tube sheet 524–5, 537–8, 558, 564 unplanned maintenance 30, 84, 707
tubular combustor 682 updraft 749
tubular Exchanger Manufacturers uptake 204
Association (TEMA) 540 uranium 1027, 1071
turbine urea 422, 424
Double-flow turbine 493–5, 507, 512 U.S. (United States), the 2–7, 10–5, 18–9,
Exhaust 140, 571, 607–8, 638, 645–6, 22–3, 37–9, 53, 56, 58–66, 74, 79,
653, 659, 685, 701, 706, 729, 732, 81–2, 86, 90, 93, 95, 100, 106–7,
735, 750, 1048 177, 202, 220, 258, 291, 293–7,
Losses 168 299, 303–4, 309, 315, 317, 319,
rotor 485, 487, 491, 493, 506, 512, 655, 983 341, 365, 389, 394, 416, 421, 425,
single-flow turbine 494 437, 444, 447, 572, 576, 587, 597,
split-flow turbine 494 602, 655, 657, 662–3, 670, 675,
Temperature of 140 685, 708, 778–80, 789–90, 818,
two-flow turbine 494 824, 829, 834, 862, 868–9, 903,
turbine blade cooling 632, 657, 693, 718 906, 946, 948–51, 968–9, 985–6,
turbine-follow operating mode 496 1011, 1019, 1031, 1033–5, 1039,
turbine generator 236, 451, 498, 500–1, 1047, 1069–70, 1078, 1083–5,
739, 1056, 1092 1099, 1131,
turbine inlet temperature (TIT) 134, U.S. Airways 675
139, 143–4, 146, 290, 618, 625, use factor 31, 70
628, 632, 644, 646, 657–9, 666, utility power plant 367, 432, 498, 507, 523,
678–80, 685, 687, 693–4, 703, 705, 555, 577, 585, 606, 664
707, 711–2, 718, 720, 723, 725, utility scale 106, 177, 192, 790–1, 869, 899,
728–9, 735 902, 968, 1093
1220 Index

utilization factor 31–2, 70, 826 water cooled 207, 215, 321, 323, 350, 356,
unglazed solar water heater 905, 907–8, 364, 645
936, 940, 943 water gas 307, 748–9
untwisted blade 669 water-gas shift process/reaction 748–9
water quality 15, 218, 548–9, 556, 561,
574, 699
V
water softening 550–1, 555
valve-regulated lead-acid (VRLA) water treatment system 519, 549,
batteries 1106, 1128 563–5, 1020
vanadium oxide 423 waterwall 195, 207–8, 210–3, 215–9, 223,
Vanguard 1 784–5, 868 225, 226–9, 232–5, 243, 246, 253,
van Iterson, Frederik 587 256–9, 261, 264, 268, 340, 343,
vapor cycles 106 347, 349, 351, 360, 364, 407, 739,
vapor-dominated cycle 1025, 1037, 752, 921
1045–9, 1054, 1059, 1066, 1069 Watt, James 113–4, 178
variable inlet guide vane (VIGV) 677, 706 Watt’s engine 113–5, 198
variable speed drive 535 watt-peak 810
variable speed electric motor 547 wave energy converters (WECs) 44,
variable speed motor 380–1, 496, 585 999–1002, 1006, 1010, 1020–1
variable speed pump-turbine 1092 weak-acid cation (WAC) 551
variable speed wind turbine 984, 997 weak-base anion (WBA) 551
variable stator vane (VSV) 677 Weibull distribution 945, 963–6,
velocity coefficient 466, 469, 471, 473–4, 968, 991
503, 517 Weibull, Waloddi 963
velocity compounding 473–5, 477, 503–5, Wells, Alan 1005
514–6 Wells turbine 1005
velocity vector diagram 461–2, 464–5, Westinghouse, George 14, 479
469, 471, 483–4, 503, 513, 516–7, West Virginia 295–6, 304, 355,
532, 669 574–5, 1085
Venturi section 241, 530 wet cells or batteries 1106
Venus 435, 449 wet cooling tower 569–70, 574–9, 581,
Verne, Jules 1027 592–3, 595, 596–604, 699, 933,
vertical-axis turbine 1017 935, 1048, 1067
vertical-axis wind turbine (VAWT) 949, wet electrostatic precipitators (WESP)
970, 976–8, 992–3, 996, 1017 430, 450
vertically integrated company 38 wet flue gas desulfurization (WFGD)
volatile matter 298–305, 327, 337, 339, 341, 415, 425, 427, 445
367, 389, 404–5 Whittle, Frank 656
Volta, Alessandro 14, 782, 898, 1103 White-Forster steam generator 206
voltaic pile 14, 782 Wilcox, Stephen 203
volumetric receiver 921, 924–5, 932 Windbox 337–8, 340, 342–8, 360, 362, 373,
379, 381, 397
wind classification 959, 997
W
wind energy conversion system (WECS)
wall-fired burner 371, 414 985, 1000, 1002–6, 1008,
War of Currents 14, 60 1010–11, 1021
waste-to-energy plant 319, 362–3 wind energy map 968
Index 1221

wind map 945, 968, 992, 996 World War I 35, 662
windmill 947–9, 972–3, 976, 992 World War II 116, 208, 656–7, 662, 748
wind power density 953, 968–91
wind shear exponent 966, 991
X
World 1, 7, 15, 17–9, 23–4, 35, 37, 56, 58,
62–3, 67–8, 82, 86, 89, 91, 94–6, X-ray 218, 221–2
116, 118, 168, 208, 221, 268, 276,
293–4, 296–7, 303–4, 309, 326,
Y
389, 451, 468, 618, 654, 656, 657,
662, 686, 748, 784, 913, 928, Yarrow steam generator 206
946, 950–1, 989, 1011–2, 1026–7,
1033–5, 1050, 1057, 1059, 1062,
Z
1069–70, 1084–5, 1087, 1095,
1099, 1101, 1112–3, 1120, 1125 zinc-carbon batteries 1103
World Bank, the 3–4, 17–23, 94 Zirconium 485, 1114
World Coal Institute 297, 303–4 Zhukovsky, Nikolay Yegorovich 955

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Farshid Zabihian - Power Plant Engineering-CRC Press (2021)

Uploaded by

Farshid Zabihian - Power Plant Engineering-CRC Press (2021)

Uploaded by

Power Plant Engineering

Power Plant Engineering

and by CRC Press

© 2021 Farshid Zabihian

CRC Press is an imprint of Taylor & Francis Group, LLC

ISBN: 978-1-4987-0712-1 (hbk)

Access the Support Material: https://www.routledge.com/9781498707121

sacrificed so much so I can complete this book

To the memory of my father, who inspired most of what

I have done in my life, including this book.

1.8.5  Electricity Transmission Lines.............................................. 73

2. Introduction to Steam Power Plants........................................................ 105

3. Steam Generators: Water-Steam Side...................................................... 195

3.2.5 Economizers.......................................................................... 208

4. Steam Generators: Fire Side...................................................................... 267

4.2.1  Ideal Gas Mixture................................................................. 270

4.6.4 Burning of Pulverized Coal................................................ 336

5. Emission Reduction in Steam Generators.............................................. 415

5.2.1 Reduction of Nitrogen Oxide Emissions........................... 421

6. Steam Turbines............................................................................................ 451

6.4.2 Configuration of Modern Steam Turbines........................ 482

7. Condensate-Feedwater Systems............................................................... 519

7.8.4.3 Evaporators............................................................. 555

8. Cooling Systems (Circulating Water Systems)...................................... 569

Hybrid Wet and Dry Cooling Towers................................600

9. Gas Turbines................................................................................................. 605

9.6.1 Start-up Sequence................................................................. 703

10. Combined Cycle Power Plants and Cogeneration Plants.................... 731

11. Solar Energy and Photovoltaic Solar Units............................................ 759

11.1.5 Traveling of Solar Radiation through the Atmosphere...... 773

11.2.11.1 Cadmium Telluride (CdTe) Solar PV Cells....... 851

12. Solar Thermal Energy.................................................................................905

13. Wind Energy................................................................................................. 945

13.9  Control of Wind Turbine Power Output......................................... 982

14. Ocean Renewable Energy.......................................................................... 999

15. Geothermal Energy................................................................................... 1025

15.4  Applications of Geothermal Energy............................................. 1030

16. Energy Storage Systems........................................................................... 1075

Lead-Acid Batteries............................................................. 1104

Appendix 1: Supplemental Tables................................................................. 1137

Energy consumption in general and electricity consumption in particular are

responsibility for the correctness, accuracy, and completeness of the ­selection

This book is an accumulation of over a quarter of a century of my involvement

Farshid Zabihian, PhD,has over 25 years of academic and industrial expe-

• explain relationship between energy consumption and economic

• describe electricity transmission lines and conduct simple relevant

1.1 I ntroduction to Energy and Society

1.1.1 Economic Growth, Living Standard, and Energy Consumption

GDP per capita (current US$/capita/year)

from the diagrams, it seems there is no meaningful relationship between the

Change in GDP per capita (%)

1.1.2 E nergy Consumption

1.1.3 E nergy Consumption in Society

Per capita energy consumption

1.1.4 E nergy Consumption Sectors and Share of Each Sector

Industrial Transportation Building Industrial Transportation Building

Industrial Transportation Building

These variations in the amount of energy consumption and where energy

1.2 P rimary Energy Sources

Petroleum, 32% Coal, 27%

Natural gas 31%

Coal Natural Gas Petroleum

Percent of sources Percent of sectors

1.3 I ntroduction to Electricity

1.3.1 Brief History of Electricity

FYI BOX 1.1

Springer Science & Business Media (2006).

of fish species are electrogenic. Electrogenic fishes use this capability

6 Nelson, M.E. “Electric fish.” Current Biology 21(14) (2011): R528–R529.

FYI BOX 1.2

Nobody will use it.”

1.3.2 Electricity and Society

Since electricity consumption is directly proportional to the population,

Electricity Generation ( ×10 12 kWh/year)

in electricity consumption by each person and increase in the world popula-

If this diagram is created for all other industrially developed economies,

1.8.5 Electricity Transmission Lines.............................................. 73

3.2.5 Economizers.......................................................................... 208

4.2.1 Ideal Gas Mixture................................................................. 270

4.6.4 Burning of Pulverized Coal................................................ 336

5.2.1 Reduction of Nitrogen Oxide Emissions........................... 421

6.4.2 Configuration of Modern Steam Turbines........................ 482

7.8.4.3 Evaporators............................................................. 555

9.6.1 Start-up Sequence................................................................. 703

11.1.5 Traveling of Solar Radiation through the Atmosphere...... 773

11.2.11.1 Cadmium Telluride (CdTe) Solar PV Cells....... 851

13.9 Control of Wind Turbine Power Output......................................... 982

15.4 Applications of Geothermal Energy............................................. 1030

responsibility for the correctness, accuracy, and completeness of the selection

1.1 I ntroduction to Energy and Society

1.1.1 Economic Growth, Living Standard, and Energy Consumption

1.1.2 E nergy Consumption

1.1.3 E nergy Consumption in Society

1.1.4 E nergy Consumption Sectors and Share of Each Sector

1.2 P rimary Energy Sources

1.3 I ntroduction to Electricity

1.3.1 Brief History of Electricity

1.3.2 Electricity and Society

1.3.3 Electricity Consumption, Economic

1.4 Structure of Electrical Infrastructure

1.4.1 Characteristics of Load Demand for Electricity

1.4.2 Characteristic of Power Generation Systems

1.4.3 S electing Capacity and Type of Electricity Generating Units

1.4.4 Baseload and Peak-Load Power Plants

1.5 E lectricity Transmission Lines

1.6 Regulated versus Deregulated Electricity Market

1.7 I ntroduction to Conventional Power Generation Systems

1.7.1 M ethods to Categorize Electricity Generation

1.7.2 Thermodynamics of Conventional Power Generation Systems

1.7.2.1 Categorization of Power Cycles

1.7.2.1.1 Open Power Systems versus Closed Power Systems

1.7.2.1.2 Phase-Changing or Vapor (Working Fluid) Power Systems

1.7.2.1.3 Internal Combustion Engines versus External Combustion Engines

1.7.2.1.4 Shaft Work versus Boundary-Moving Work

1.7.2.2 Work in Moving Boundary Systems (Closed Systems)

1.7.2.3 Work in Control Volumes