Full Text Thesis

BOOK1 0F2
VERTICAL TRANSPORTATION
PLANNING IN BUILDINGS
A Portfolio Thesis for the Degree of Doctor of Engineering in

Environmental Technology
by
Richard David Peters
Department of Electrical Engineering and Electronics, Brunel University
February 1998
ABSTRACT
This thesis is submitted for the degree of Doctor of Engineering in Environmental
Technology. The degree is awarded for industrially relevant research, based in
industry, and supported by a programme of development courses.
This project aims to contribute to a reduction in the environmental burdens of vertical

transportation systems. The author has carried out an environmental assessment
showing that the dominating environmental burdens of vertical transportation systems
arise from their use of electricity while in operation in buildings.
An assessment of traffic demand has concluded that we are probably over-sizing lifts,
and are therefore installing systems that consume more energy than necessary. Traffic
planning techniques for single and double deck lifts have been reviewed and
developed.
The kinematics (motion) of lifts has been studied. New formulae have been derived
that allow us to plot travel profiles for any input ofjoumey distance, maximum
velocity, maximum acceleration and maximum jerk. Taking these journey profiles as
inputs, a mathematical model of a DC Static Converter Drive has been developed.
The model can be used to calculate the energy consumption of any individual lift trip.
A lift simulation program has been developed. The program uses the research in
traffic, kinematics and motor modelling as a basis for developing energy saving lift
control strategies.
11
DECLARATION
This portfolio thesis is the result of my own work and, except where explicitly stated
in the text, includes nothing which is the outcome of work done in collaboration. No
part of this thesis has been or is currently being submitted for a degree, diploma, or
any other qualification at any other university.
111
ACKNOWLED GEMENTS
The author would like to thank his supervisors, Dr Pratap Mehta of Brunel University
and Mr John Haddon of Ove Arup & Partners for supervising this work. The author is
also grateful to colleagues at Brunel University, Ove Arup & Partners and the CIBSE
Lifts Group for sharing their knowledge and experience which have provided an
excellent basis for the research.
The author gratefully acknowledges financial support of this research from the
Engineering and Physical Sciences Research Council, The Ove Arup Partnership, and
the Chartered Institution of Building Services Engineers.
iv

CONTENTS BOOK 1
o EXECUTIVE SUMMARY
0.1 Introduction
0.2 Green Lifts?
0.3 Assessment Of Traffic Demand
0.4 Traffic Analysis
0.5 Double Deck Lift Traffic Analysis
0.6 Lift Kinematics
0.7 Motor Modelling
0.8 Lift Simulation Software
0.9 Green Lift Control Strategies
0.10 Conclusions
INTRODUCTION TO FINAL REPORT

1.1 EngD Requirements And Objectives
1.2 Background To This Project
1.3 Project Objectives And Boundaries
1.4 Overview Of Contribution To Knowledge
2 GREEN LIFTS?
2.1 Introduction
2.2 Quantifying Environmental Burdens
2.3 Lift Life Cycle Assessment
2.4 Why Is Energy Efficiency Important?
2.5 Are Lifts Significant Energy Users?
2.6 Green Lift Basics
2.7 Overview Of Following Chapters
3 ASSESSMENT OF TRAFFIC DEMAND

3.1 Introduction
3.2 Current Knowledge Of Traffic Patterns
3.3 Traffic Surveys
3.4 Review Of Results
3.5 Representing Lift Traffic Flows
3.6 Carrying Out Lift Surveys
3.7 Other Issues
3.8 Discussion
4 TRAFFIC ANALYSIS
4.1 Introduction
4.2 Standard Up Peak Calculation
4.3 Improvements To Up Peak Calculation
4.4 General Calculation
4.5 Discussion
5 DOUBLE DECK LIFT TRAFFIC ANALYSIS

5.1 Introduction
5.2 Poisson Approximation
5.3 Probable Number Of Stops
5.4 Reversal Floors
5.5 Capacity Factor
5.6 Round Trip Time
5.7 Figure Of Merit
5.8 Overlapping Zones
5.9 Examples
5.10 Discussion
6 LIFT KINEMATICS
6.1 Introduction
vi

6.2 Derivation For Condition A, Lift Reaching Full

Speed During Journey
6.3 Condition B, Lift Reaching Maximum Acceleration, But Not Full
Speed
6.4 Condition C, Lift Not Reaching Maximum Acceleration Or Full Speed
6.5 Condition To Confirm Maximum Acceleration Is Reached Before
Maximum Speed
6.6 Applications
6.7 Discussion
7 MOTOR MODELLING
7.1 Introduction
7.2 Lift Motion
7.3 Load Torque
7.4 Load Inertia
7.5 Motor Torque
7.6 Motor Model
7.7 Converter Operation
7.8 Supply Systems Harmonics
7.9 Site Testing
7.10 Discussion
8 LIFT SIMULATION SOFTWARE

8.1 Introduction
8.2 Overview Of Object Oriented Programming
8.3 Program Classes
8.4 Interface Design
8.5 Operation Of Simulation
8.6 Results
8.7 Testing
8.8 Discussion
vii
9 GREEN LIFT CONTROL STRATEGIES
9.1 Introduction
9.2 Green Strategy No.1 - Control Of Kinematics
9.3 Green Strategy No.2 - Reducing The Number Of Stops
9.4 Green Strategy No.3 - Selective Parking Policies
9.5 Discussion
10 CONCLUSIONS AND FURTHER WORK

10.1 Environmental Burdens
10.2 Traffic Demand And Analysis
10.3 Modelling Of Lift Motion And Drives
10.4 Lifisim And Green Control Strategies
10.5 Contribution To Knowledge
APPENDIX
A LIST OF PUBLICATIONS ARISING FROM PROJECT

Al Journal Papers
A2 Conference Papers
B PROGRESS REPORTS
Bi May1994
B2 May 1995
B3 October 1995 (End of Year II Dissertation)
B4 April 1996
B5 October 1996
B6 April 1997
viii
EXECUTIVE SUMMARY
0.1 INTRODUCTION
The Engineering Doctorate is a 4 year research degree, awarded for industrially

relevant research, based in industry and supported by a programme of development
courses. The combined Brunel and Surrey Programme is unique in that it has the
specific theme of "Environmental Technology".

transportation systems. The most widely used vertical transportation system is the lift
or elevator. It was originally assumed, and subsequently demonstrated that the
predominant environmental burdens of lift systems are due to their energy
consumption while in use in buildings. Reduction of the energy consumption of lift
systems has therefore been the main project objective.
0.2 GREEN LIVfS?
Is there such as thing as a "green" lift? Can we design a lift system that delivers good
passenger service at an acceptable cost while incurring minimum environmental
impact?
To assess the environmental impact of vertical transportation systems, we first need

to have some measure of environmental burdens. The science of assessing
environmental impact is still in its infancy. However, increasingly companies are
quoting and applying Life Cycle Analysis (or Assessment), known as LCA. LCA
attempts to quantify the environmental burdens of a product or process during its
entire life cycle. It considers components such as
. resource extraction of materials for manufacture

. manufacture and installation
• use of product
0-1
. re-cycling and re-use
. waste
transportation at all stages
Consider a hypothetical eight floor, four lift system manufactured and installed in the
United Kingdom, whose life cycle could be represented in a diagram as shown in
Figure 0.1
I
Raw
Manufacture, 1
Materials
and install J<J
Waste
_________ Parts
/ : s____- ---- Energy

Energy -
in use I refurbishment
Waste
Waste
Stp out JYc1e & re-use
J
I -
Figure 0.1 Hypothetical lift system Life Cycle Assessment
A computer database from the PEMS 22 Life Cycle Analysis program has been used
to analyse this lift configuration. A sunimary of the results from the PEMS analysis
is given in Figure 0.2. This shows that the dominating environmental burdens in the
life of this hypothetical lift system are the non-renewable resources depleted, the
waste created and the emissions generated through the production of electricity for
operation of the lifts while in use. The environmental burdens associated with other
stages in the life cycle are relatively small.
0-2
2500
2000
1500
a)
C
C
0
- 1000
500
0
Manutacture, install in use aintenaceierur trip ou
Non-renewable resources depleted Waste to landfill
Carbon dioxide emissions
Figure 0.2 Lift Life Cycle Assessment results - impact over entire life cycle
The results are for lift systems, but the findings can be generalised to all vertical
transportation systems, all of which have a high energy usage and a long design life.
Use of renewable resources in manufacture, recycling and re-use, efficient transport,

disposal/spillage of hydraulic oil, etc. are all important, but secondary issues. Alone
they cannot be the basis of claims for a green lift installation.
Where they are installed, lifts and escalators are a significant proportion of the
building load; the draft CIBSE Energy Efficiency Guide' 23 suggests 4 to 7%. Kone
sales documentation suggests 5 to 10%. The importance of energy efficient Heating,
Ventilation, Air Conditioning (HVAC) and lighting systems is generally accepted; the
wealth of related research and development in both these fields reflects this. The
author suggests that vertical transportation systems should be among the next in line
for "greening".
The use of electricity at current levels is unsustainable, and damaging to our

environment. As responsible stewards of the earth, we should be reducing our energy
consumption and seeking to develop sustainable energy sources.
0-3
There are a number of "basic" principles for green lifts that should be considered by
designers before adopting advanced strategies. These include:
• selection of energy efficient lift drives

• minimising inertia and other resisting forces
• efficient lift car lighting
• accessible stairs
Some manufactures promote their products as green because they include energy
efficient drives; others promote their use of re-cycled packaging. This project should
put these, and other environmental claims in context. For maximum effect in
reducing the environmental burdens of lifts, we should concentrate on researching
ways of reducing their energy consumption. Although they are not the largest energy
user in a building, the potential savings are worthwhile.
0.3 ASSESSMENT OF TRAFFIC DEMAND
Assessment of performance is a crucial element in lift design. If lifts are too small,
slow, or insufficient in number, passengers have to wait for excessive periods for a lift
to arrive in response to landing calls. On the other hand, the luxury of an over-lifted
building is an expensive one - floor area that could be let to tenants is lost to
additional or larger lift lobbies and shafts; capital, maintenance and energy costs of
the installation are higher.
The need to specify appropriate numbers of lifts, their capacity and speed, etc. has led
to the study of lift traffic analysis. But lift performance results from lift traffic
analysis are of no better quality than the estimated passenger traffic patterns that are
used in the calculations or simulations.
A typical traffic flow for an office building is given by Barney and dos Santos3D,
reproduced in Figure 0.3. Conventional procedure is to base the design of the lift
systems on the morning up peak traffic situation.
0-4
15%
10%
10%
15%
20%
25%
7:00 9:00 11:00 13:00 15:00 17:00 19:00
Figure 0.3 Typical office traffic, Barney3'
Passenger traffic surveys have been carried out by the author at a range of buildings.
A typical result is given in Figure 0.4.
15%
10%
0/0
5%
10%
0
15%
20%
25%
7:00 9:00 11:00 13:00 15:00 17:00 19:00
Figure 0.4 Typical office traffic survey
The traffic survey results suggest that the morning traffic peaks are less marked in
buildings than they were when traditional up peak design criteria were formulated. In
work-related buildings occupied during the day, the busiest time appears to be over
the lunch period.
If the traffic studies of commercial buildings made during this research are
representative, designers are allowing too much handling capacity during the morning
up peak, and not giving enough attention to the waiting times for passengers during
0-5
the lunch peak.
It would be dangerous to disregard established up peak design criteria without a wider

study of building traffic flow peaks; more data must be collected. Thus means of
representing and collecting traffic data have been reviewed and developed. The author
favours an infra-red beam counting system as the best available technology for data
collection.
The research suggests that we need to revise our design criteria. This is unlikely to
result in fewer lifts, but would reduce car sizes, and therefore lead to energy savings.
0.4 TRAFFIC ANALYSIS
To realise any savings made through revising our design criteria, we need the
appropriate traffic analysis tools. In this thesis we look at analytical traffic
techniques, which are currently the most popular and widely applied.
Most lift designs are based on up peak calculations. The up peak is not always the
most appropriate choice of peak period for the analysis. Nevertheless, the up peak
calculation is important as an industry standard benchmark calculation, and a good
starting point for assessing the handling capacity of a lift system.
The up peak lift calculation is based on estimating the time taken for a lift to make a
single "round trip" of the building. The calculation assumes that people load the lift at
the lowest floor, and get dropped off as the lift stops off at upper floors. The lift then
expresses back to the ground floor. The round trip time is calculated for a single lift,
so results for two of more lifts are extrapolated accordingly.
Improvements to the "standard" up peak calculation have been proposed. These

include:
i. Introduction of formulae for the calculation of flight times. These fonnulae can be
used for any travel distance and lift dynamics; the original calculation is based on a
0-6
look up table which fixed the floor height and limited the choice of speeds, etc.
ii. Formulation of adjustments made for lifts which do not reach rated speed in a
single floor jump.
A sensitivity analysis on the adjustments made for (ii) has demonstrated that the
variation between the original and "corrected" results are relatively small (less than
2%).
A computer program has been written to implement the up peak calculation. This
program will be given away with CIBSE Guide D Transportation Systems in
Buildings.
The standard up peak calculation is a valuable tool, but has a number of limitations.
These include:
• the calculation only considers up peak traffic; as previously discussed, this is not
believed to be the most onerous traffic flow in buildings
• in some instances up peak calculations are inappropriate, e.g. in shopping centres,
car parks, airports or hospitals
• it is difficult to adjust the calculation to analyse up peaks for buildings with
basements which are occupied
Prior to joining the EngD programme, the author developed an new lift traffic analysis
calculation which overcame these limitations. The General calculation allows us to
carry out a round trip time calculation analysing any peak passenger traffic flow for
any practical configuration of conventional lifts. The calculations are implemented in
the Oasys (Ove Arup Computer Systems) LIFT program.
To avoid the inefficiencies of over-design, we need improved selection and analysis

techniques. The tools developed will help in realising the savings achievable
by improving our assessment of traffic demand.
0-7
0.5 DOUBLE DECK LIFT TRAFFIC ANALYSIS
Double deck lifts have two separate cabs built into a single unit so that the upper and
lower cabs serve adjacent floors simultaneously. During peak periods maximum
operating efficiency is achieved by restricting the lower cabs to serving odd numbered
floors, and the upper cabs to serving even numbered floors.
Double deck lifts provide greater handling capacity per shaft than conventional lifts.
This is particularly attractive for high rise buildings. The sacrifice is that double deck
lifts are less convenient for passengers.
The General analysis approach has been applied to double deck lifts. The research
carried out allows us to analyse any practical configuration of double deck lifts and
any peak traffic flow. The calculations are based on considering the probable number
of stops and average reversal floors of a lift during its round trip. The arrival of
passengers at a lift landing station is assumed to be approximated by a Poisson
process.
The formulae have been implemented by the author in the Oasys LIFT program, and
are being used at Arup in the design of high rise developments.
This section of the research arose primarily from the commercial need to analyse high
rise buildings. Dependant on loading, double deck lifts may or may not be a "green"
vertical transportation system.
0.6 LWF KINEMATICS
Lift kinematics is the study of the motion of a lift car in a shaft without reference to
mass or force. The maximum acceleration and jerk (rate of change of acceleration)
which can be withstood by human beings without discomfort limits this motion. Ideal
lift kinematics are the optimum velocity, acceleration and jerk profiles that can be
obtained given human constraints.
0-8

For this research project, equations have been derived which allow ideal lift
kinematics to be plotted as continuous functions for any value of journey distance,
speed, acceleration and jerk. Supplementary results include journey time formulae for
use in lift traffic analysis.
+ + +
p-I
ti t2 t3 t4
t t t
t2t3
+ + +

t t t
+ + +
0 0 0
t t t
+ + +
0 0 0
t t t
(A) (B) (C)
Figure 0.5 Ideal Lift Kinematics for: (A) lift reaches full speed; (B) lift reaches full
acceleration, but not full speed; (C) lift does not reach full speed or acceleration
The derivation is divided into three major sections, corresponding to the journey
0-9
conditions where: (A) the lift reaches full speed; (B) the lift reaches full acceleration,
but not full speed; and (C) the lift does not reach full speed or acceleration.
Conditions A to C are represented graphically in Figure 0.5 Each of the three
conditions is divided into time slices, beginning and ending at each change in jerk or
change in sign of acceleration.
Microprocessor controlled variable speed drives can be programmed to match

reference speed profiles generated through the study of lift kinematics. The research
undertaken for this project is programmed in software, so these profiles can be
generated quickly and easily. In later sections we will discuss how, by varying the
kinematics for each trip, we can save energy.
0.7 MOTOR MODELLING
The purpose of this section of the research is to derive a motor model so that it can be
built into a lift simulation program. We can then calculate the total energy
consumption of a lift system for a given passenger traffic profile and lift control
system. This will allow us to investigate possible energy savings.
A motor model based on work by other researches was implemented and extended.
The drive is a separately excited DC motor, fed from a fully controlled 6 pulse
converter. The model now uses, as an input, the motion profiles generated from the
kinematics research. Equations for load torque and load inertia have been developed.
2 0.5
v(t) 1 a(t) 0
0 -0.5
0 10 20 0 10 20
t t
Figure 0.6 Velocity and acceleration profiles
0-10
Applying the ideal lift kinematics equations we can generate suitable velocity and
acceleration plots, as shown in Figure 0.6.
Applying the motor model, we can calculate the power consumption and power factor
during the trip, as plotted in Figure 0.7
5•1
P( t) PF(t)
0 0
-5-1
0 10 20 0 10 20

t t
Figure 0.7 Power consumption and power factor during a lift trip
Results from the model are consistent with those presented by other researchers. Site
tests suggest that the model is generating consistent power consumption profiles
(some input variables could not be measures), and can at least not be rejected.
The motor model is an important component of the tools developed to test energy
saving ideas. It has been implemented and applied in Lflsim as discussed in the
following sections.
0.8 LIFT SIMULATION SOFTWARE
The lift simulation program, Lflsim has been written as development platform for
"green" lift control systems. It will also have applications as an advanced lift traffic
analysis tool.
The program has been written using Microsoft Visual C++ (for Windows 95 and
Windows NT). C++ is a complex object oriented language, but it produces very fast
programs, and easily reusable/portable code.
0-11
Lflsim has seven main simulation classes which define the behaviour of the system.
These are:
The building class defines the building in terms of number of stories and story
heights.
• The motion class implements the ideal lift kinematics research carried out for this
project. Programs using the class can specify the journey distance, rated velocity,
etc. and output the current distance travelled, velocity, etc. at any time, t, since the
journey began.
• The 4/i class defines a lift (rated speed, capacity, floors served, etc.) and its current
status (position, speed, load, etc.). The motion class is applied to enable the lift to
move according to the selected journey profile. The 4/i class includes algorithms
to allow lifts to answer landing and car calls according to the principles of
directional collective control.
• The dispatcher class defines rules for allocating which lift serves which calls. The
default dispatcher logic has been based on conventional group control with
dynamic sectoring.
• The person class defines a person, what time he/she arrives at the landing station,
where he/she wants to go, their mass, etc. Once the journey is complete, the class
provides details about passenger waiting and journey times.
The traffic class converts arrival rate and destination probability data into a
corresponding set of person objects.
• The motor class defines the characteristics of the drive. The class calculates the
energy consumption and other characteristics of a DC six pulse static converter
drive.
The Lflsim interface is Windows based, and allows the user to edit all the system data
0-12
in dialogue boxes containing standard Windows controls (radio buttons, drop downs,
etc.) and a spreadsheet-like control for tabular data entry. The program uses a multi-
document interface, so the user can be working on a number of different simulations
at the same time. A screen shot of the program is given in Figure 0.8.
hlxl
Ee dit analysis view window Help
l II _______ lruI4jlr}I _jjo+j jpj
WT (a) 0.l Position 14.40 0.00 0.00 0.00

AJT(s) 20.0 Speed(rn/s) 1.19 0.00 0.00 0.00
Dispatcher Weds Loadtcg) 0 0 0 0
Floor People Landing Uft Lift Lift Lift

Ref. iting Calls I 2 3 4
l.svel IS 0
Level 16 0
Level 14 0
Level 13
Level 12
Level it 0
Level 10 0
Level 0 C
Level 8 C
Level 7 0
Level 0
Level 5 2
Level 4 C
w
Level 3 C
Level 2 0
Level I 0 mm'

For Help, press Fl TUMr

5tart Microsoft Word - Document2j[Liftcim - tDesignlsimj [HO2:45PM
Figure 0.8 Simulation display
The program is a time slice simulation; it calculates the status (position, speed, etc.) of
the lifts, increments the time, re-calculate status, increments time, and so on. As
Windows is a multitasking operating system, the program cannot take full control of
the computer's resources and run in a continuous loop. It must wait for a processing
"thread" to become available, run one cycle of the simulation, then wait for the next
thread to become available. Provided that there are not too many other demands on
the computer's processor, the simulation will run faster than real time on a Pentium
PC using a time slice of 0.01 seconds.
Once the simulation is complete, the results print preview includes:
0-13
• the input data
• results for average waiting time, longest waiting time, and a plot of the waiting
time distribution
. results for average transit time, longest transit time, and a plot of transit time
distribution
• the total power consumption for each lift, and total number of motor starts
Lflsim provides us with a power tool to test energy saving ideas. It also has
applications as an advanced lift traffic analysis tool.
0.9 GREEN LIFT CONTROL STRATEGIES
Barney and dos Santos 91 define a group supervisory control system as a control
mechanism to command a group of interconnected lift cars with the aim of improving
lift system performance. Conventionally this system performance has concerned
maximising the handling capacity of the lift system, and minimising passenger
waiting and transit times.
It would be counterproductive to ignore conventional system performance criteria as

excessive waiting for lifts is very frustrating for passengers. So let us define a green
lift control system as a group control system that considers conventional measures of
system performance, as well as means to reduce energy consumption.
Three strategies that are appropriate to a green lift control system have been
considered. The strategies have been implemented, and tested using Lflsim.
Green Strategy No.1 - Control of Kinematics
Conventionally lifts have the same maximum velocity, acceleration and jerk for every
trip. If the system does allow any variation, this is generally pre-set by the lift service
0-14
engineer or building owner.
Research by the author in ideal lift kinematics has allowed us to generate, quickly and
easily, motion profiles for any input ofjoumey distance, velocity, acceleration and
jerk. This allows us to consider control systems that vary all these parameters on line
in lift system controllers.
An algorithm has been developed that tests a range of velocity and acceleration
options (ranging ± 20% from rated velocity and acceleration) before the start of each
trip. In tests a 33.4% saving in energy consumption has been achieved. The average
journey time has increased by just 1.3 seconds.
Green Strategy No.2 - Reducing the Number of Stops
The energy consumption of a motoring lift peaks during the acceleration phase, and is
relatively low once the lift reaches full speed. There is regeneration during the
deceleration phase, but this is less in total than the energy expended during the
acceleration phase. Thus it is reasonable to assume that there will be energy savings
if we can transport the same number of passengers, with less stops, but without an
increase in the overall distance travelled by the lifts.
One way to achieve this is by forcing the dispatcher to allocate a landing call to a lift
when it is:
• already due to stop at that floor for a passenger's car call, and
• travelling in the right direction to serve the landing call.
This condition for a "forced" allocation may not occur for some time, e.g. it is
unlikely during solely up peak traffic, or during light inter-floor traffic. But most lift
systems are likely to benefit from the strategy at some time during their daily cycle.
In tests the "green" algorithm implementing this strategy caused a 3.2% reduction in
0-15
the number of motor starts, leading to a 6.2% reduction in the energy consumption.
The waiting time distribution remains very similar, but there is a minor improvement
in transit times.
Green Strategy No.3 - Selective Parking Policies
When a lift has answered all its calls and becomes free, it can be "parked" at the floor
it last answered a call, or sent to another floor in anticipation of future calls. From the
energy saving viewpoint, we should apply parking policies selectively.
A simulation was set up for a fifteen storey building with very light inter-floor traffic.
The simulation was run with and without a parking policy that implements a parking
strategy.
The parking strategy improved passenger waiting and journey times, but increased the
energy consumption by 43%. The results demonstrate that parking policies improve
performance, but are not always appropriate.
Green control systems should place parking calls selectively. This could be achieved
by the dispatcher reviewing the potential contribution to system performance of
parking calls before deciding whether or not they should be made.
Simulation has demonstrated that each of these strategies will allow green control
systems to reduce energy consumption without a significant deterioration in passenger
waiting and journey times. The results are for a DC static converter drive, but it
would be reasonable to assume that there would be similar savings in applying these
strategies with other regenerative drives.
0-16
0.10 CONCLUSIONS AND FURTHER WORK
0.10.1 Green lifts

transportation systems, primarily lifts. It has been shown that energy consumption is
by far the most important factor. Further work in this area should be focused on
communicating these findings. The lift system will not normally be the largest
energy user in a building, but potential energy saving are still worthwhile.
A number of basic principles for green lifts have been identified. The choice of drive,
position of stairs, etc. all have a major effect on the energy consumption of the vertical
transportation system.
0.10.2 Planning issues
Lift designers need to have a good understanding of passenger traffic demand, and
analysis techniques to assess the performance of possible lift configurations. If both
of these are not in place, then there is a high probability that installed systems will be
either inadequate or over-designed. The first alternative is unacceptable to
passengers. The second is unnecessarily expensive, and will consume more energy.
The up-peak seen in commercial buildings is less marked than when current design
criteria were formulated. The lunch time peak is now the busiest period. Further
surveys need to be carried out to confirm these results, but it is likely that designers
are often installing more capacity than is required.
Traffic analysis techniques based on Round Trip Time calculations have been
developed and extended. The up-peak calculation has been implemented in a
computer program which, it is intended, will be issued with the revised version of
CIBSE Guide D, Transportation systems in buildings.
As we believe the lunch period is not the most onerous time for the lifts, it is
important to be able to assess this period with traffic calculations. We can do this
0-17
using the General Analysis calculation technique, which the author derived prior to
joining the EngD programme. This is a relatively complex technique to implement
and to apply. Therefore further research to determine the equivalent lunch time
handling capacity relative to a given up-peak handling capacity would be beneficial.
Revising our design criteria is unlikely to result in fewer lifts, but would reduce car
sizes, say from 1250 kg to 1000 kg. And therefore lead to energy savings.
0.10.3 Traffic analysis for double deck lifts
This is particularly attractive for high rise buildings. Formulae have been derived and
implemented that allow analysis of any peak traffic flow for any practical
configuration of double deck lifts. The approach taken for double deck lifts could be
extended to cover triple and quadruple deck lifts if required.
This section of research has arisen primarily from commercial pressures to analyse the
performance of lift systems in high rise buildings. A study of the relative energy
consumption of double versus single deck lifts for a range of lift installations would
be useful further work.
0.10.4 Mathematical models of lift motion and drives
In order to develop strategies for energy saving, we need models to experiment and
test our ideas.
The ideal kinematics equations derived allow continuous, optimum functions ofjerk,
acceleration, speed and distance travelled profiles to be plotted against time. The
ability to plot profiles for any input ofjerk, acceleration and travel distance gives
additional flexibility in the design of lift controllers. This functionality has been
applied in the design of green control strategies.
Although there is some guidance already, it would be useful to study more fully the
relative levels of ride comfort as the acceleration and jerk are changed.
0-18
A motor model based on work by other researches has been implemented and
extended. The model now uses, as an input, the motion profiles generated from the
kinematics research. Equations for load torque and load inertia have been developed.
We can now model the operation and power consumption of a lift trip for any journey,
direction and loading. Further research into the modelling of this and other lift
drives would be valuable.
0.10.5 Liftsim and green control strategies
The simulation program, Lflsim implements the kinematics and motor model
research, so provides a development platform for "green" lift control systems.
Lflsim is written in Microsoft Visual C++ using object oriented programming
techniques.
Lflsim 's passenger generator creates passengers, then the program performs a time
slice simulation. The built in control system is based on conventional group control
with dynamic sectoring. Additional control systems could be added, which would be
worthwhile further work. Once the simulation is complete, Lftsim displays results on
screen in a print preview format.
Three green lift control strategies have been developed and applied to the dynamic
sectoring control algorithm:
(i) Control of kinematics

(ii) Reducing the number of stops
(iii) Selective parking policies
Simulation suggests that we can achieve an energy saving in excess of 30%. These
results are for a DC static converter drive. It is reasonable to assume that there would
be similar savings in applying these strategies with other regenerative drives. The
development of additional drive models would enable us to confirm this assumption.
0-19
There is considerable scope for further development and testing of green lift control
strategies using Lflsim. The performance of existing strategies needs to be tested
across a wider range of installations and traffic flows. Other strategies are likely to
arise as the simulation is applied and experimented with. It is envisaged that the
research will ultimately lead to green lift control systems being implemented by
control systems manufacturers.
The program also has applications as an advanced traffic analysis tool, and is being
tested on some current Arup jobs.
0 -20
Chapter 1
INTRODUCTION TO FINAL REPORT
1.1 ENGD REQUIREMENTS AND OBJECTIVES
The Engineering Doctorate (EngD) requirements and objectives are set out in the
course handbook and regulations. In summary:
An EngD is a 4 year research degree, awarded for industrially relevant research, based
in industry and supported by a programme of development courses.
The combined Brunel and Surrey Programme is unique in that it has the specific
theme of "Environmental Technology". The overall Programme thesis is that the
traditional practices of Industry are unsustainable. Its aim is to provide Engineering
Doctors with the necessary skills to balance environmental risk along with all of the
traditional variables of cost, quality, productivity, shareholder value, legislative
compliance etc.
The EngD programme requires Research Engineers to submit course work

assignments along with regular written evidence of progress on the research project.
The research outcome needs to be at least to the same level as a PhD, i.e. the candidate
has to make "a contribution to knowledge", as well as demonstrating competence in
specified research and business skills.
1.2 BACKGROUND TO THIS PROJECT
The author joined Ove Arup & Partners as a graduate Electrical Engineer in 1987. In
the following six years he completed the Arup graduate training programme, and went
on to lead the design of electrical services for a number of major, national and
international construction projects. His special interest in vertical transportation led to
the publication of a number of research papers. With the backing of Ove Arup &
1-1
Partners, the author joined the Environmental Technology Engineering Doctorate
programme in 1993. This has provided an opportunity for him to research, in greater
depth, topics that have arisen out of previous industrial experience.
The project was awarded a grant from the Engineering and Physical Sciences
Research Council. In addition to sponsorship from Ove Arup & Partners, the
Chartered Institution of Building Services Engineers has contributed to the research
financially, and taken an active interest in the project.
1.3 PROJECT OBJECTIVES AND BOUNDARIES

transportation systems. The most widely used vertical transportation system is the lift
or elevator. It was originally assumed, and subsequently demonstrated, that the
predominant environmental burdens of lift systems are due to their energy
consumption, while in use in buildings. Reduction of the energy consumption of lift
systems has therefore been the main project objective. Some references will be made
to other vertical transportation systems, e.g. escalators. The case for why it is
important to consider "Green Lifts" is presented in Chapter 2 of this thesis.
The energy consumption of a lift system is the function of many variables, ranging
from the design of the motor, through to planning issues such as the number, size and
speed of lifts, passenger traffic levels, and the position of the stairs. Ove Arup &
Partners are consultants who specify, as opposed to manufacture engineering systems.
Thus the approach taken has been to concentrate mainly on factors that Arup can
specify, or may influence industry research and development through published
material. These are mainly planning issues, thus the title of this thesis, "Vertical
Transportation Planning in Buildings".
1.4 OVERVIEW OF CONTRIBUTION TO KNOWLEDGE
The project has yielded a "contribution to knowledge" in a number of areas which will
be outlined in this thesis. These include:
1-2
Environmental Assessment
• applying life cycle assessment to demonstrate that "energy in use" is the most
significant cause of environmental burden for vertical transportation systems
Lft System Models

• improving our understanding of passenger traffic flows in buildings to provide the
basis for improved planning of vertical transportation systems
• development of new and enhanced traffic analysis calculations for better planning
• derivation of formulae to plot ideal lift kinematics
• enhancements to lift motor modelling techniques
• application of object oriented paradigm to lift simulation
Green Control Strategies

• development of energy saving lift control strategies
To date the project has yielded six conference papers and two journal papers. A
further journal paper has been accepted for publication. Many of these papers, and
other articles have been widely published in the national and international vertical
transportation trade press.
1-3
Chapter 2
GREEN LIFTS?
2.1 INTRODUCTION
Is there such as thing as a "green" lift? Can we design a lift system that delivers good
passenger service at an acceptable cost while incurring minimum environmental
impact?
In this chapter we will investigate the environmental impact of vertical transportation

systems, and introduce ways of reducing that impact. The discussion begins with Life
Cycle Analysis, which enables us to quantify the environmental burdens associated
with a product or process.
2.2 QUANTIFYING ENVIRONMENTAL BURDENS
To assess the environmental impact of vertical transportation systems, we first need

to have some measure of environmental burdens. The science of assessing
environmental impact is still in its infancy. However, increasingly companies are
quoting and applying Life Cycle Analysis (or Assessment), known as LCA. LCA
attempts to quantify the environmental burdens of a product or process during its
entire life cycle. It considers components such as
• resource extraction of materials for manufacture

• manufacture and installation
• use of product
• re-cycling and re-use
• waste
• transportation at all stages
2-1
The LCA approach is very good at identifying the key environmental burdens. For
example, The Economist reported2°:
In studies, one washing powder manufacturer has detennined that 80% to 90% of
the energy used in washing clothes is used once the powder has left the factory, in
heating up water in the washing machine. A combination of washing powder and
machine that used cold water could therefore be marketed as a truly green laundry
product.
. It can be shown that the environmental burdens associated with transporting goods
for re-cycling can sometimes outweigh the benefits of recycling the product in the
first place. This type of evidence led the Danish government to lift its ban on non-
refillable containers.
2.3 LIFT LIFE CYCLE ASSESSMENT
Consider a hypothetical eight floor, four lift system manufactured and installed in the
United Kingdom, whose life cycle could be represented in a diagram as shown in
Figure 2.1.
Raw I I
______ anu acture, I
Materials
supply and install I
Waste Parts
I
_______ 1 system aintenance an 4Energy

Energy I
in use I refurbishment
I ) Waste
I tnpout Re-cycle & re- use I

Waste
I
-----------------------SJsé
Figure 2.1 Hypothetical lift system Life Cycle Assessment
2-2
A computer database from the PEMS 22) Life Cycle Analysis program has been used
to analyse this lift configuration, based on the following assumptions:
General assumptions
• Life cycle assessment flow diagram as in Figure 2.1
• UK manufactured lift system installed in London
• 4 No 1000kg lifts
• 30 year life with one major refurbishment at 15 years
• Use of PEMS database (The PEMS database is biased towards the packaging
industry, so for instance, data for plastic is based on "plastic strap".)
Manufacture, supply & install

. Estimates of materials used (where PEMS data available): 120 kg glass, 400 kg
plastic, 7000kg steel, 20kg wood
• Transport of materials to factory/site: total of 300km for 7000kg of steel, using
<16t truck via motorway
• All other personneL/material transport assumed negligible
• Electrical power consumption for manufacture, supply and install, l0000kWh
In use
• Assume 300kWh consumption per working day for complete lift system over 30
years
Maintenance/refurbishment
• Assume over lifetime is equal to total supply, manufacture and install
• Stripped out materials re-cycled, but not credited to system (no waste to landfill)
Strip out
• Power used during strip out, lOOkWh
• Land-fill (including transport) of 120kg glass, 400 kg plastic, 7000kg steel, 20kg
wood
2-3
2500
2000
1500
a>
0
1000
500
Manutacture, instaii in use MaIntenaceIleTuro strip out
Figure 2.2 Lift Life Cycle Assessment results - impact over entire life cycle
A summary of the results from the PEMS analysis is given in Figure 2.2. This shows
that the dominating environmental burdens in the life of this hypothetical lift system
are the non-renewable resources depleted, the waste created and the emissions
generated through the production of electricity for operation of the lifts while in use.
The environmental burdens associated with other stages in the life cycle are relatively
small.
The PEMS data for energy usage is not industry-specific. As this is by far the most
dominant factor in the analysis, improvements in the (packaging biased) PEMS data
for plastic, etc. would have minimal impact on the results.
The results are for lift systems, but the finding can be generalised to all vertical
transportation systems, all of which have a high energy usage and a long design life.
Use of renewable resources in manufacture, recycling and re-use, efficient transport,

disposal/spillage of hydraulic oil, etc. are all important, but secondary issues. Alone
they cannot be the basis of claims for a green lift installation.
2-4
2.4 WHY IS ENERGY EFFICIENCY IMPORTANT?
2.4.1 Greenhouse effect
The greenhouse effect is caused by trace gases in the earth's atmosphere which absorb
infra-red radiation emitted by the Earth's surface, causing a warming of the
atmosphere. This natural effect is responsible for maintaining the temperature at the
earth's surface which enables life. Man is upsetting the earth's natural balance by
creating additional greenhouse gases. There is evidence to suggest that this is, and
will cause global environmental effects such as thoughts and floods.
The most important greenhouse gas is carbon dioxide, steadily increasing due to the
burning of fossil fuels for energy generation and vehicles. Others include
chlorofluorocarbons (CFCs). Half the carbon dioxide emitted in the UK results from
the use of energy in buildings.
2.4.2 Pollution
Burning fossil fuels for energy generation produces nitrous oxide and sulphur dioxide
which dissolves in the atmosphere creating acid rain. This is believed to have caused
damage to lakes, plants, buildings, forests and fisheries. Nuclear electricity generation
creates radioactive waste for which there is no satisfactory means of disposal.
2.4.3 Renewable resources and sustainable resources
If a resource can be regenerated it is said to be renewable, e.g. hardwood. If a

renewable resource can be regenerated at a rate that matches the demand for it, it is
said to be sustainable, e.g. softwood.
The use of fossil fuels for electricity generation is not sustainable. Sustainable energy
sources such as wind, solar and hydroelectric do not, at this time, provide sufficient
electrical power at a low enough cost to displace our dependence on non-sustainable
sources.
2-5
2.4.4 Comment
The use of electricity at current levels is unsustainable, and damaging to our

environment. As responsible stewards of the earth, we should be reducing our energy
consumption and seeking to develop sustainable energy sources.
2.5 ARE LIFTS SIGNIFICANT ENERGY USERS?
building load; the draft CIBSE Energy Efficiency Guide 23 suggests 4 to 7%. Kone
sales documentation suggests 5 to 10%. The importance of energy efficient Heating,
Ventilation, Air Conditioning (HVAC) and lighting systems is generally accepted; the
wealth of related research and development in both these fields reflects this. The
author suggests that vertical transportation systems should be among the next in line
for "greening". Apart from environmental concerns, the financial cost of the
electricity used by lifts is a major incentive for adopting energy saving designs. A
20% saving on a system using 300 kWh per working day would save in excess of
£1000 per year at 1997 electricity prices.
2.6 GREEN LIFT BASICS
2.6.1 General
There are a number of "basic" principles for green lifts that should be considered by
designers before adopting advanced strategies. These are summarised as follows.
2.6.2 Lift drives
Hydraulic lifts are energy inefficient in comparison with electric lifts. In his site
measurements, Doorlaard 24 concluded that the energy consumption of hydraulic lfls
travelling at the same nominal speed is over two times the consumption of
conventional two-speed lifts. Hydraulic lifts do have benefits (e.g. low structural
building load, flexible motor room position, low capital cost). But they are not green.
Lift manufacturers offer a wide range of electric lift drives ranging from single speed
AC machines to variable speed AC and DC machines. A summary of these drives and
2-6
their applications is given in 25 . Their energy efficiencies vary significantly. The
most efficient electric lift drives are the modern fully controlled static converter DC
and variable voltage variable frequency AC drives (including vector control drives);
the AC drives provide better power factor control.
Green lift drives should be regenerative, i.e. return power to the mains when
delivering negative torque (braking). The alternative, dissipating the energy in
resistors can be doubly wasteful, as the waste heat introduces an additional cooling
load in an air conditioned building. Installation of regenerative systems should be co-
ordinated with the electrical building services design engineer as additional protection
and harmonic filtering may be required.
2.6.3 Other installation issues
The torque, and therefore the energy, required of a motor to accelerate a lift can be
reduced if we minimise inertia and other resisting forces. All rotating components
(gear, brake, sheaths, etc.) and travelling components (lift car, counterweight, finishes,
ropes, etc.) contribute to the inertia and to resisting forces in the system. Compared
with the conventional worm gear, significant reduction in inertia and higher
efficiencies have been demonstrated for by Zinke 26 for planetary gears, and by
Stawinoga 27 for V-belt drives.
Lift car lighting should use efficient sources and be switched off automatically if a lift
is not in use for long periods.
2.6.4 Planning issues
The total energy consumption of the installation is also dependant on planning issues.
If stairs are accessible, attractive and adjacent to the lifts, there is likely to be a
reduction in the use of lifts for short trips. It is also good to avoid over-sizing of lifts,
as larger lifts result in greater inertia, larger motors and more energy use. While it is
important to design spare handling capacity into a lift installation, over-sizing can be
the result of:
2-7
. poor knowledge of probable traffic flows, leading to "safe" overestimates of
required handling capacity.
• where traffic analysis suggests small lifts are acceptable, it is common to up-size
the lifts selected. For instance, in a new office development where six, eight
person lifts meet handling capacity and interval design criteria, ten or thirteen
person lifts might be selected as larger lifts are perceived as prestigious.
2.7 OVERVIEW OF FOLLOWING CHAPTERS
In Chapter 3, the author reviews lift passenger traffic demand and data collection
techniques. It is suggested that current lift design criteria need to be updated due to
changes in working practices; and that these criteria result in the installation of
excessive handling capacity. Having estimated prospective lift traffic, it is necessary
to have analysis techniques to determine the number, size and speed of lifts required.
In Chapters 4 and 5 traffic analysis techniques based on round trip time equations are
reviewed and developed.
The developments in Chapters 3 to 5 are beneficial in the pursuit of improved design

practice. From the environmental perspective, the benefit is that improved design
criteria and analysis techniques will help avoid the over sizing of lift cars. Moving
large, heavy lift cars up and down buildings when they are only partly loaded at peak
times is not energy efficient.
In Chapters 6 and 7 tools are developed to model lift movement and corresponding
energy consumption. These tools are implemented in a lift simulation program which
is discussed in Chapter 8. The program is used to develop strategies for energy saving
control systems which are discussed in Chapter 9.
Assuming that an installation has been designed with energy saving in mind, the
developments in Chapters 6 to 9 provide a means by which we can reduce energy
consumption further.
2-8
2.8 DISCUSSION
In this chapter we have used Life Cycle Analysis to identify the environmental
burdens of lift systems. As was expected intuitively, the main burdens are caused by
generating electricity to power the lifts while they are in use transporting passengers
in buildings. Other environmental burdens are relatively minor. Thus, for maximum
effect in reducing the environmental burdens of lifts, we should concentrate on
researching ways of reducing their energy consumption.
Reducing energy consumption is important because of the environmental damage

caused by the generation of electricity. The use of electricity at current levels is
unsustainable. We need to reduce our current energy consumption as well as
developing sustainable sources for the future.
The lift system will not normally be the largest energy user in a building. Other
systems have higher loads and can offer greater energy savings. Nevertheless, there is
correspondingly more research in environmental friendly HVAC, lighting, etc.
systems. Energy saving lifts should not be disregarded as the potential savings are
still worthwhile.
position of stairs, etc. all have a major effect on the energy consumption of the vertical
transportation system. As a starting point, these choices should be made with energy
saving in mind. We can then go on to consider more advanced strategies.
In the following chapters we will explore and develop these advanced strategies. We
will show that savings can be made by improving the planning of vertical
transportation systems using improved estimates of passenger demand. Furthermore,
strategies for energy saving control systems will be developed through the application
of motor and lift simulation models.
Some lift manufactures promote their products as being green because they include
energy efficient drives; others promote their use of re-cycled packaging. Further work
2-9
in defining green lifts should be focused on putting manufacturers' claims into
context. This is primarily an exercise in communication, which has already begun
through the publications arising from this project.
REFERENCES
2.1 L ?fe ever after, The Economist, (9 October 1994), pp 107.
2.2 Life cycle inventory analysis computer model (PEMS), Pira International,
Leatherhead, Suney, England.
2.3 CIBSE Energy Efficiency Guide, (26 January 1994 draft), section 3.9, 1.
2.4 Doolaard D A Energy Consumption by Dfferent Types ofDrive System
Elevator Technology 4, Proceedings of ELEVCON'92 (The International
Association of Elevator Engineers)(1 992)
2.5 Peters R D Mathematical Modelling ofLfl Drive Motion and Energy
Consumption Proceedings of CIBSE National Conference 1995 (The
Chartered Institution of Building Services Engineers)( 1995)
2.6 Zinke W Planetary Gear and Frequency Inverter Set New Standards in Lift
Drive Efficiency Elevator World (January 1996)
2.7 Stawinoga R New Mechanical Solutions for High Efficiency Gears Elevator
Technology 5, Proceedings of ELEVCON'93 (The International Association
of Elevator Engineers)(1 993)
2-10
Chapter 3
ASSESSMENT OF TRAFFIC DEMAND
3.1 INTRODUCTION
Assessment of performance is a crucial element in lift design. If lifts are too small,
slow, or insufficient in number, passengers have to wait for excessive periods for a lift
to arrive in response to landing calls. Furthermore, passengers travelling more than a
few floors in under-lifted installations often endure long journey times - the result of
the lifts having to stop to answer other calls at most of the intermediate floors. On the
other hand, the luxury of an over-lifted building is an expensive one - floor area that
could be let to tenants is lost to additional or larger lift lobbies and shafts; capital,
maintenance and energy costs of the installation are higher.
The need to specif' appropriate numbers of lifts, their capacity and speed, etc. has led
to the study of lift traffic analysis. Lift traffic analysis allows us to assess the
performance of a proposed lift installation based on estimates of building passenger
traffic patterns. Lift traffic analysis techniques ranging from up peak
calculations(3 'X32) to general analytical formula& 33 and simulation techniques 34 are
widely applied. But lift performance results from lift traffic analysis are of no better
quality than the estimated passenger traffic patterns that are used in the calculations or
simulations.
In this chapter the author summarises current, published knowledge of lift passenger
traffic patterns and compares this with survey results. Current design guidelines are
questioned, and means of improving our knowledge of lift passenger traffic patterns
are discussed.
3-1
3.2 CURRENT KNOWLEDGE OF TRAFFIC PATTERNS
3.2.1 General approach
In estimating prospective passenger traffic patterns, a designer might consult:
. Elevator Traffic Analysis Design and Control3

. Vertical Transportation, Elevators and Escalators32
• CIBSE Guide D, Transportation Systems in Bui1dings35
• Standards, e.g. in the UK, BS 5655 Part
There are other sources of information, including manufacturers' planning guides, but
these tend to re-iterate the recommendations of above. Barney, dos Santos 3 and
Strakosch 32 present example diagrams of passenger traffic in a commercial, office
building. These diagrams have been re-drawn in Figures 3.1 and 3.2.
1 15%
10% 10%
j5%
5%
10% 10%
15% 15%
20% 20%
25% 25%
7:00 9:00 11:00 13:00 15:00 17:00 19:00 7:00 9:00 11:00 13:00 15:00 17:00 19:00
Figure 3.1 Typical office traffic, Barney3" Figure 3.2 Typical office traffic, Strakosch2
According to Barney and dos Santos 3 , conventional design procedure is to

determine the performance of lift systems for the morning up peak traffic situation.
This is consistent with the author's experience from reviewing consultants' and
manufacturers' calculations. The common approach is probably because:
• the up peak traffic condition is relatively simple to analyse

• it is widely accepted that, if a lift system can cope efficiently with the morning up
3-2
peak, then it will cope with other periods in the day
. most traffic flow design recommendations are for up peak handling capacity
CIBSE Guide D 35 suggests the following up peak traffic flows for design purposes:
Building Type Arrival rate Building Type Arrival rate

(% in 5 minutes) (% in 5 minutes)
Hotel 10-15 Flats 5-7

Hospital 8-10 School 15-25
Office (multiple tenancy) 11-15 regular, 17 prestige Office (single tenancy) 15 regular, 17-25 prestige
Table 3.1 CIBSE Guide D guidance on peak arrival rates
Strakosch 32 places most emphasis on the incoming up peak traffic, but also proposes
two-way and outgoing traffic criteria. BS 5655 Part offers only up peak design
criteria.
3.2.2 Published lift traffic surveys
Detailed lift traffic surveys carried out by researchers, consultants and manufacturers
are rarely published. One exception is A survey ofpassenger traffic in two office
buildings 3 published by BRE in 1974. Results are summarised in Table 3.2.
Building Traffic period PeakS mm % building population using lfls
Southbridge House morning up peak 12.2

evening down peak 8
Sanctuary Buildings morning up peak 7.8

evening down peak 6.7
Table 3.2 Summary of BRE traffic survey results
The BRE survey also concluded that lunch time traffic amounts to 12% of building
population in both buildings, but this includes stair traffic.
3-3
3.3 TRAFFIC SURVEYS
Passenger traffic surveys have been carried out by the author at a range of buildings.
Results are summarised in Figures 3.3 to 3.7 which record the traffic to and from the
main terminal floor(s), except for Building B where the predominant traffic flow was
inter-floor. Traffic was measured only during peak periods (normally morning, lunch
and evening; morning and evening for the hotel).
15% 15%
10% 10%
10% 10%
0
15% 15%
20% 20%
'I, I'.'
25% 25%
7:00 9:00 11:00 13:00 15:00 17:00 19:00 7:00 9:00 11:00 13:00 15:00 17:00 19:00

Figure 3.3 Building A traffic survey Figure 3.4 Building B traffic survey
results for single tenancy office, results for single tenancy office, banldng/dealers
(results based on nominal population of 1 person/i Gin 2 as
engineering
actual occupancy not available)
15% 15%
10% 10%
0
aO%
5% .E 5%
0
10% 10%
0
15% 15%
20% 20%
25% 25%
7:00 9:00 11:00 13:00 15:00 17:00 19:00
7:00 9:00 11:00 13:00 15:00 17:00 19:00

Figure 3.5 Building C traffic survey Figure 3.6 Building D traffic survey results

results for single tenancy office, general for prestigious traditional hotel
3-4
160
total interJloor traffic
140
120
E 100
I:
80
20 N
0 I I I
7:00 9:00 11:00 13:00 15:00 17:00 19:00
Figure 3.7 Building B traffic survey results

for major high rise hospital
(results not shown as % as only one of two passenger lift
banks available for survey)
3.4 REVIEW OF RESULTS
The traffic survey results suggest that the morning traffic peaks are less marked in
buildings than they were when traditional up peak design criteria were formulated. In
work-related buildings occupied during the day, the busiest period appears to be over
the lunch period. Lunch traffic is a combination of up and down peak traffic to the
main terminals, but often includes an element of inter-floor traffic. This inter-floor
traffic is especially significant in buildings with restaurants, meeting rooms, etc.
A lift system has a greater passenger handling capacity during lunch time traffic than
during a morning up peak. This is because during an up peak all the passengers are
loaded at the ground floor. During lunch peaks, the lifts are loaded in both directions,
and may carry up to twice as many passengers in a single round trip.
However, if the same total handling capacity is assumed, people wait longer for a lift
at lunch time than they do during a morning up peak. This is because the combination
of passengers travelling up and down the building results in more stops per round trip.
If the traffic studies of commercial buildings made during this research are typical,
designers are allowing too much handling capacity during the morning up peak, and
3-5
not giving enough attention to the waiting times for passengers during the lunch peak.
In testing these findings on Arup designs, it is apparent that revising our design
criteria is unlikely to result in fewer lifts, but would reduce car capacities, say from
1250 kg to 1000 kg. And therefore lead to energy savings.
It would be dangerous to disregard established up peak design criteria without a wider

study of building traffic flow peaks; more data must be collected. Thus the remainder
of this chapter discusses means of representing and collecting traffic data so that, in
due course, updated design criteria can be formulated for a wide range of buildings.
3.5 REPRESENTING LIFT TRAFFIC FLOWS
Traditionally lift traffic flows have been defined in terms of the percentage of the
building population transported upwards and downwards in five minutes, as used in
Figures 3.1-3.6. For more complex flows such as lunch peaks we need a more
comprehensive way of describing lift traffic. The author presented an approach in his
paper on General Analysis Lfi Calculations 33 that allows us to describe traffic flow
completely. Two terms are required:
the passenger arrival rate at floor i (defined for each floor at which passengers
may amve
the probability of the destination floor of passengers from floor i being thejth
floor (defined for all possible i and j)
Using these terms, a simple up peak traffic flow in an office block could be
represented as in Figure 3.8. And a more complex traffic flow could be represented as
in Figure 3.9.
3-6
4th Floor Key
4th floor 25% 420% 420% 20% 40% U 40 p/5m
3 Floor 20% 20% 20% 40 p/Sm 0% I Arrival rate in
3 floor 25%
2 u floor 25% 2nd Floor 30% 30% 30 p/Sm 33% 33% persons per
P'floor 25% PtFloor 30% 60p/5m 30% 33% 33
Ground 20 p/Sm Ground 20 p/Sm 30% 30% 33% 33% Destination
probability as
Figure 3.8 Figure 3.9
Future design criteria should enable the designer to estimate peak traffic flows in these
terms from a knowledge of the office building population, number of hotel rooms, etc.
dependant on the building type.
3.6 CARRYING OUT LWF SURVEYS
3.6.1 Alternative survey techniques
The are a number of alternative approaches to collecting data on lift passenger traffic
patterns. Those considered by the author are discussed in the following subsections.
Other and new technologies may yield alternative approaches.
3.6.2 Manual surveys using observers
In manual surveys observers count passengers in and out of the lifts. Manual surveys
are normally based on one of two approaches:
i. survey from the main terminal(s), where observers count passengers in and out of
the lifts as they arrive/depart from the main terminal floor(s). Traffic between
other floors is assumed to be negligible. Survey results given in Figures 3.3 to 3.6
where collected using this approach.
ii. the in-car survey, where observers are situated in the lift car, and count the
passengers in and out at every floor the lift stops at. Survey results given in Figure
3.7 were collected using this approach.
Manual surveys are discussed in detail in (3. and (3.8)• The new generation of cheap,
miniature video cameras (used with a video recorder) can be used to make observation
3-7
unobtrusive; the recorded video is played back off site for counting.
The survey techniques do not allow us to describe traffic flow completely as:
(i) only measures arrival rate at the main terminal floor(s) and requires assumptions
to be made about arrival rates and destinations probabilities on other floors. These
assumptions are generally based on the building floor populations.
• (ii) measures arrival rates at all floors, so provides superior data to (i). Overall
destinations probabilities (averaged over all arrival floors) can be approximated
from the count of passengers as they leave the lift. Collecting data to enable traffic
to be described completely is impractical for the human observer unless traffic is
light - to achieve a full data set of destination probabilities, the observer would
have to track every passenger, e.g. passenger 53 entered the lift at floor 3 and
alighted at floor 6; passenger 54 entered the lift at floor 4 and alighted at floor 10,
etc.
3.6.3 Control system and traffic analyser surveys
Conventional systems
Traffic analysers are linked to the lift control system, and record the time every
landing and car call is made and cleared. They analyse this data and provide a range
of performance results and graphs. Modem control systems incorporate similar
functionality.
A range of traffic and performance measures can be determined, for example:
. average response time to landing calls by time of day

• distribution of response times
• distribution of car calls by floor
Traffic analysers give a good indication of a lift system's performance, but very
limited information about the actual passenger traffic flow. This is because they have
3-8
no means of determining the number of people transported on each trip, e.g. a landing
call at floor five and corresponding car call to floor seven could equally be a single
person, or a group of people travelling together. The use of accurate weighing devices
would provide a guide to passenger load. But ambiguities occur if people are loading
and unloading at the same floor, e.g. five people loading and three people unloading
would provide the same weight differential as two people loading.
Therefore, on its own, traffic analyser data does not give us the information we
require.
Inverse S-P method

Al-Sharif suggested a means of interpreting data that is available to traffic analysers.
The Inverse S-P method 39 applies conventional up peak traffic analysis formulae
"backwards" to estimate the number of passengers using a lift from the number of car
calls and lift movements. The Inverse S-P method is effective, yet applies only to up
and to down peak traffic.
Estimation of complete traffic flow

The author reported having derived a method for extrapolating (complete) traffic flow
from control systems data in°. The development of this method has been halted
after successful preliminary tests as further work is impractical without taking data
directly from lift system controllers. Manufacturers have proved unable or unwilling
to provide access to the necessary data for research purposes. The proposed method is
outlined as follows:
• The passenger arrival rate, jig, is a function of [the average time between a lift
leaving floor i travelling up and the up landing call being pressed by the next
passengers arriving at the landing station] and [the average time between a lift
leaving floor i travelling down and the down landing call being pressed by the next
passengers arriving at the landing station].
• This function can be derived by applying the assumption that the arrival of
3-9
passengers at a lift landing is reasonably modelled by a Poisson process. (This
assumption has previously been applied in lift traffic analysis(3.IX33).)
• Destination probabilities can be estimated by analysis of car calls registered as the

lift leaves each landing. Not every passenger will register a car call (as other
passengers will have pressed the button first). But over time the relative frequency
of unregistered car calls being pressed will provide a good indication of the average
destination probabilities from each floor.
Figure 3.10 records some results from the preliminary tests where control system data
was collected "manually" by observation.
'I,
20
15
- .. - Estimated Arrival
10 _
• Actual Arrival
U'
I
0 I I I

V 12:00 12:15 12:30 12:45 13:00 13:15 13:30 13:45
Figure 3.10 Poisson based estimate of traffic flow
3.6.4 Computer vision
Researchers 3 ' 1x3.12) have applied image processing techniques to video pictures of lift
lobbies to determine the number of people waiting for the lifts. This lobby count aids
the control system by enabling it to prioritise calls from busy floors.
A spin off from the lobby count system developed at Brunel University was a
prototype "traffic surveyor" to count the passengers as they loaded and alighted the
lifts. The system applies similar image processing techniques to the lobby count
system, but compares each video frame in sequence to track people across the scene.
If people join or leave the scene from the areas defined as the lift doors, they are
counted as having loaded or alighted the lifts. In tests the system was found to be 80-
85% accurate, errors being due mainly to a tendency to miss-track people from one
image to the next.
3 - 10
This Brunel University research project has now concluded, so no further
development is envisaged. But image processing is an active research area and
improved pedestrian tracking systems are likely to be developed in the future,
probably initially for security applications. In due course, we are likely to be able to
purchase general purpose pedestrian tracking systems that will provide us with the
basis for complete measurements of traffic flow.
3.6.5 Infra-red
Infra-red technology is widely applied, particularly in the security industry. Traffic

surveys using photocells or infra-red beams were suggested in (33X314)• The approach
requires a minimum of two horizontal beams to count people passing through the
detection field in single file. The sequence of beam states enables direction to be
determined. If people are walking side by side, horizontal beams will detect only a
single person. This can be overcome by mounting beams vertically - a system
believed to be using this approach is installed in a London department store
monitoring escalator traffic.
Initial lab and site tests suggest that, although system logic can be fooled, in practice
the overall counting accuracy of infra-red counting systems is high. The infra-red
detectors effectively replace observers in manual surveys, so the data collected does
not describe traffic flow completely (as in 3.6.2 ii we can only calculate average
destination probabilities). But infra-red technology is available and relatively
inexpensive to implement.
3.6.6 Written surveys
Written surveys, where people record the times of lift trips on a form, have been
found to be unreliable 37 ; this was confirmed from the results of a written survey at
Building A (Figure 3.3). This is probably due to a tendency for people to record their
arrival and departure times as the fixed working hours of a company.
3-11
3.6.7 Security systems
Various security systems are applied to control access in buildings, some of which are
integrated with the lift systems. Systems that use swipe cards to call the lift, or a key
pad to control access to specific floors, do not yield useful traffic flow data. Where
they are installed, systems that identify passengers individually as they arrive and
depart lift lobbies, will enable traffic flow to be monitored completely.
3.7 OTHER ISSUES
3.7.1 Use of stairs
In planning lift installations, some designers make allowance for the use of stairs. The
author's survey experience suggests:
• the number of people using the stairs in lieu of the lifts drops off sharply as the
journey travel increases
• people are less likely to walk up than down
• an attractive staircase sited adjacent to the lifts is far more likely to be used than a
back staircase
In the Building C (Figure 3.5) survey, use of the staircase was virtually nil in spite of
the lifts being heavily loaded and long passenger waiting times; the main staircase
was an unattractive fire escape sited well away from the lift lobby. Figure 3.11 shows
the associated stair usage for the BRE and Building A (Figure 3.3) surveys.
3 - 12
100 100
90 90
80 o 80
. 70 00 70
I..
60
50 50
40 40
30
a
00
20 c 20
ci,
10 n 10
0 0
123456789 123456789
no of floors above ground no. of floors above ground
- 4-- Building A am - -* - Building A lunch - 4— - Building A pm - - u - Building A lunch

—t— Sanctuary am -----Southbridge am -IL---- Sanctuary pm -----Southbridge pm
Figure 3.11 Example stair usage for up and down travel
In lift traffic surveys we need to assess stair usage, otherwise genera(i:sed

recommendations will be inappropriate to:
• high rise buildings where the relative use of stairs is far less significant
• buildings where stair access is poor
3.7.2 Occupancy
If the results of traffic surveys are to be applied in the design of other buildings, it is
important that traffic is recorded relative to the actual building population - plotting
survey results of a partly occupied building relative to nominal building population
can suggest misleadingly low traffic flows.
3.8 DISCUSSION
It is important for lift designers to have a good understanding of passenger traffic

demand. A poor knowledge of demand will often result in either an inadequate or an
over-designed system. The first alternative is unacceptable to passengers. The second
is unnecessarily expensive, and will consume more energy.
3 - 13
Most lift installations in commercial buildings are designed on the basis that the
morning up peak is the most onerous traffic condition for the lifts. Surveys carried
out for this research project suggest that this is not the case, and that the lunch time is
now the busiest period. Further surveys need to be carried out to confirm these
results. However, they are consistent across the office buildings surveyed by the
author, and with anecdotal evidence from designers to whom this work has been
presented.
The findings on passenger traffic demand are important as a lift installation has a
greater total handling capacity at lunch time than it does in the morning. This is
because, during a lunch time peak, passengers are being transported during both the
up and down journey of the round trip. During an up peak, the lift is normally empty
during the down trip.
Thus revising our design criteria to take these findings into account is unlikely to
result in fewer lifts, but would reduce car sizes, and therefore lead to energy savings.
It is recognised that large lifts are often associated with prestige. And that in order to
improve environmental performance, we need to forego this luxury. As for many
other products and processes, consumers will have to accept some changes if they
want to support green issues.
In carrying out further surveys, researchers should use automated people counting
techniques as it is very time consuming to collect large amounts of data manually. A
range of surveying techniques has been reviewed. Currently the author favours an
infra-red beam system as the best available technology, although further research in
passenger counting techniques would be beneficial. The author continues to collect
data, and has been encouraging others to publish their results so that improved design
criteria can be established.
In planning new lift installations, it would be dangerous to disregard conventional up

peak design criteria completely until a wider study of other traffic flow peaks is
3 - 14
complete.
Major elements of the research discussed in this chapter were presented at the
International Elevator Technology Conference, ELEVCON '96 and again at an JAEE
London Lift Seminar.
REFERENCES
3.1 Barney G C, dos Santos S M Elevator Traffic Analysis Design and Control
2d edn. (London: Peter Peregrinus) (1985)
3.2 Strakosch G R Vertical Transportation: Elevators and Escalators 2' edn.
(New York: J Wiley & Sons Inc.)(1983)
3.3 Peters RD The Theory and Practice of GeneralAnalysis Lfi Calculations
Elevator Technology 4, Proceedings of ELEVCON '92 (The International
Association of Elevator Engineers)( 1992)
3.4 Jenkins K Elevator Simulation Techniques Elevator Technology 4,
Proceedings of ELEVCON '92 (The International Association of Elevator
Engineers)(1 992)
3.5 Various Authors CIBSE GuideD, Transportation Systems in Buildings (The
Chartered Institution of Building Services Engineers)(1993) ISBN 0 900953
57 8
3.6 BS 5655 Part 6: Lifts and service lifts: Part 6: Code of practice for selection
and installation (London: British Standards Institution)(1990)
3.7 Courtney R G, Davidson P J A survey ofpassenger traffic in two office
buildings (Watford: Building Research Establishment)(June 1994)
3.8 Various Authors Elevator World's Guide to Elevatoring (Elevator
World)( 1992)
3.9 Al-SharifL New Concepts in Lfl Traffic Analysis: The Inverse S-P method
Elevator Technology 4, Proceedings of ELEVCON '92 (The International
Association of Elevator Engineers)( 1992)
3.10 Peters RD Green Lifts? Proceedings of CIBSE National Conference 1994
(The Chartered Institution of Building Services Engineers)(1994)
3.11 So A T P, Kuok SK A Computer Vision Based Group Supervisory Control
3 - 15
System Elevator Technology 4, Proceedings of ELEVCON '92 (The
International Association of Elevator EngineersXl 992)
3.12 Schofield A J, Stonham I J, Mehta P A A machuze vision system for counting
people Proceedings of Intelligent Buildings Congress '95 (Israel: The Slier
Group Ltd)(1995)
3.13 Kaakinen M, Roschier N R Integrated Elevator Planning System Elevator
World (March 1991)
3.14 Siikonen M L Simulation - A Toolfor Enhanced Elevator Bank Design
Elevator World (April 1991)
3.15 Peters R D, Mehta P, Haddon J Lift Passenger Traffic Patterns: Applications.
Current Knowledge, and Measurement Elevator Technology 7, Proceedings
of ELEVCON'96 (The International Association of Elevator Engineers)
(1996) (also presented at IAEE London Lift Seminar May 1997)
3-16
Chapter 4
TRAFFIC ANALYSIS
List of symbols

a acceleration (mlsls)

CC car (rated) capacity (persons)

CF capacity factor (%)
average inter-floor height (m)
df

df height floor n (m)

dH distance to reach reversal floor H excluding express zone (m)

d total height of un-served floors in express zone (m)

H average highest reversal floor

J jerk (mls/s/s)

L number of lifts

LOSS round trip time losses (%)

N number of floors above main terminal

P average number of passengers

S average number of stops

T cycle time (s)
ta advanced door opening time (s)
door closing time (s)
t fd( d) flight time for travel distance d (s)

tf1
single floor flight time (s)
I passenger loading time per person (s)

to
door opening time (s)
4-1
tp
average passenger transfer time (s)
passenger unloading time per person (s)

tv time to travel between two adjacent floors at rated speed (s)
time consumed when making a stop (s)

tstart allowance for motor start delay (s)
P average number of passengers in car
%POP 5 minute up-peak handling capacity (% population)
RU round trip time (s)
U eff effective building population (persons)

U1
population of floor i (persons)
UPPHC up-peak handling capacity (persons/5 mm)
average up-peak interval (s)
contract (rated) speed (mis)
4.1 INTRODUCTION
Having reviewed a probable peak traffic demand, the next lift design stage is traffic
analysis. In this chapter we will look at analytical traffic analysis techniques based on
Round Trip Time calculations. These techniques are currently the most popular and
widely applied.
4.2 STANDARD UP-PEAK CALCULATION
4.2.1 General
Most lift designs are based on up peak calculations. As discussed in Chapter 3 of this
thesis, the up peak is not always the most appropriate choice of peak period for the
analysis. Nevertheless, the up peak calculation is important as an industry standard
benchmark calculation, and a good starting point for assessing the handling capacity
of a lift system.
4-2

The up peak lift calculation is based on estimating the time taken for a lift to make a
single "round trip" of the building. The calculation assumes people load the lift at the
lowest floor, and get dropped off as the lift stops off at upper floors. The lift then
expresses back to the ground floor (some designers include an allowance for
additional stops made by the lift on its return journey). The round trip time is
calculated for a single lift, so results for two of more lifts are extrapolated
accordingly.
The up peak calculation has evolved over a number of years. Jones41determined

results for the probable number of stops made by the elevator during its round trip.
Schroeder 42 determined formulae for highest reversal floor. Barney and dos
Santos 43 formalised the method with formulae that are now generally accepted by the
Lift Industry. A summary of these formulae follow.
4.2.2 Up peak formulae
The average number of passenger assumed to load into a car during up peak traffic is
P =tCC (4.1)
100
The effective building population of the buildings is
Ueff = U1 (4.2)

The average highest reversal floor is

p
N—i j
(4.3)
j=1 e
i=1
The average number of stops made by the lift during its round trip is
N p
(4.4)
Ueff
i=1
4-3
The average time taken for a single person to load or unload the lift is

t (4.5)
p
The time taken for the lift to travel between two adjacent floors at rated speed is
df
V (4.6)
The single floor flight time, is taken from a table, as re-produced in Table 4.1
Contract Speed Acceleration Single Floor Flight Time, 3.3m

(m/s) (m/s2) floor height (s)
1.00 0.4-0.7 7.0
1.50 0.7-0.8 6.0
2.50 0.8-0.9 4.8
3.50 1.0 3.7-4.0
5.00 1.2-1.5 3.7-4.0
Table 4.1 Typical flight times
The cycle time is the time to travel a single floor, and open/close the doors

I ._tfltht (4.7)
So the delay or "time consumed" by making a single stop is

(4.8)
t "-
The Round Trip Time is the time taken for the travel to/from the highest reversal floor
at contract speed, plus the delay for each stop, plus the time for the passengers to
load/unload. Thus,

RU :[2.H.t--(S-i- l ) .t s ^ 2. P1] (4.9)
Some designers add 5-10% to the Round Trip Time for "losses" associated with
controller inefficiencies, passengers holding the doors, and so on.
The up peak interval is calculated by dividing the round trip time by the number of
lifts.
4-4
UPPINT = (4.10)
L
The interval is the average time between successive lift arrivals at the main terminal
floor. It is not the average waiting time, which Strakosch states is about 55 to 60% of
the interval, dependant on the control system44.
The up peak handling capacity is the number of passengers transported in a five

minute period. This is calculated as
UPPHC ...30&P•L (4.11)
RU
The handling capacity, expressed as a percentage of the building population

transported in five minutes is
%POP UPPHO 100
(4.12)
Ueff
4.3 IMPROVEMENTS TO UP-PEAK CALCULATION
4.3.1 Flight time calculation
Determining flight time from Table 4.1 is limited as the inter-floor heights are
assumed to be 3.3 m, and only "standard" speeds and accelerations are considered.
The author's research in ideal lift kinematics has yielded general formulae to
determine flight time for any travel distance and lift dynamics.
2 2.
if then tfd(d)_f---t5 (4.13)
a vj a
-_d<a%1 V2.j
4.d.j2
if then tfd(d) start
(4.14)
j•a
'[a.j

if d^- then t fd( d ) (32.4 ) -- (4.15)
4-5
These formulae are consistent with results provided by Molz 45), but are in a simpler
form.
Applying the t fd( d) function, the single floor flight time is

t t f (d f) (4.16)
Research in ideal lift kinematics is discussed in detail in Chapter 6 of this thesis.

These travel time formulae are included in the draft revision of the new CIBSE Guide
D, Transportation Systems in Buildings4'6.
4.3.2 Lifts not reaching full speed in single floor jump and non-equal
inter-floor heights
The conventional Round Trip Time equations assume that the lift reaches rated speed
in the distance of a single floor jump; and that there are no irregularities in floor
heights. This is not always the case, and the current CIBSE Guide D proposes a
procedure for making "corrections" to the conventional RTT formulae. The author
has formulated these corrections as follows:
Determine the distance d to reach reversal floor H, which can be written as

floor(H)- 1
dH= dç -t- (H - floor( H)) . dffl00( H) (4.17)
=
(floor(x) is a function which returns the greatest integer less than or equal to x)
The average distance between stops is then

dH
S
and the flight time to travel this distance is
tfd dH
The difference between this and the assumed time can be substituted into an enhanced
equation for t which becomes
4-6

ts (4.18)
S) S.v)
(Advanced door opening time (s) has been added to this formulae at the suggestion a
member of the Guide D Revision Committee. Some designers take advanced door
opening off the door opening time, but it is clearer to identif' it separately.)
dH
The 2•H . t term in the RTT equation also needs to be revised to 2 . — to take into
account the new approach. The round trip time equation now becomes

RU .= [2 . ^(S 1)ts2.P.tp] (4.19)
Equations for IJPPINT and UPPHC remain the same.
A sensitivity analysis has been carried out to establish the "correction" due to
adopting these "enhanced" equations. Data and results are given in Tables 4.2 to 4.7.
a 0.8 rn/s2 t. 2.9 s

CC lópersons t, 1.2s
CF 80% to l.2s
df0 todf7 3.6m t.. 1.2s
j 1.6rn/s3 t,. 0.5s
L 4 Ui to U8 80 persons/floor
N 8 v 2.5rn/s2
ta 0.5s
Table 4.2 Default analysis data
4-7
Speed Acceleration Jerk % variation RU
1 0.5 1 0
1.6 0.7 1.4 -0.11
2.5 0.8 1.6 0.72
3.5 1 1.6 1.01
5 1.3 1.6 1.14
6 1.5 1.6 1.15
Table 4.3 Variations in Speed
N %variationRTF CC % variation RU
4 0.08 6 2.03
6 0.36 8 1.74
8 0.72 10 1.43
10 1.08 13 1.02
12 1.38 21 0.4
14 1.6 26 0.22
Table 4.4 Variations in N 33 0.1
Table 4.5 Variations in CC
df % variation RU % variation RU
3.2 0.8 all 3.6m 0.72
3.4 0.76 just df0 5m 0.72
3.6 0.72 just df4 Sm 0.72
3.8 0.68 just df7 Sm 0.48
4 0.64 df0 anddf4 5m 0.71
4.2 0.6 d14 and df7 5m 0.48
df0 anddf7 5m 0.48
Table 4.6 Variations in d
df0, df4 and df7 Sm 0.48
Table 4.7 Variations in inter-floor

distances
These variations are relatively small. On balance the author, and other colleagues on
the CIBSE Guide D Steering Committee are proposing to include the revised
calculation for t and RTT, but to simplify the calculation for d H to use simply the
4-8
average inter-floor height. So, equation 4.17 becomes:

dHdfH (4.20)
where
(4.21)
4.3.3 Express Zones
In high rise buildings lifts are often zoned to reduce passenger travel times and to save
core space by not having all the lifts serving the upper floors of the building. An
example of a zoned building is represented by the diagram in Figure 4.1.
18 ' • • • •
17 • •
16 • • •
15 . . I •
14 • • • •
13 • • • •
12 • • • •
11 . . . .
10 • • • •
9 • • • . 0 0 0 0
8 • • • • 0 0 0 0
7 • • • I 0 0 0 0
6 • • • • 0 0 0 0
5 S • I 0 0 0 0
4 • • • . 0 0 0 0
3 • • • I 0 0 0 0
2 . S I I 0 0 0 0
1 I I I I 0 0 0 0
Ground I I I I I I
LftNo 1 2 3 4 5 6 7 8
LOW RISE HIGH RISE
Key I Lift serves floor 0 Lift expresses past floor without stopping
Figure 4.1 Zoned building
4-9
This express zone can be taken into account by revising the Round Trip Time
Equation, 4.19 to

RT1'= 2• dH--dx (4.22)
where d is the express zone; in this example, the sum of the floor heights of Levels 1
to 9.
4.3.4 Elevate Lite
The previous edition of CIBSE Guide D made extensive use of look-up tables to
simplify the calculation procedure for designers. For this next version of the guide,
the author has written a computer program to implement the up peak calculations
given in sections 4.3.2 and 4.3.3. The program is written using Microsoft Visual C++
and runs under 32 bit Windows ('95 and NT). It will be given away with the revised
CIBSE Guide.
4-10

II - IJ xl
I'. Eile View window Help _____
D II I I I'I?I
Building data
Storey height (n-i) J3
Population of floors above main terminal (no of people)
Erpress zone (m) 120 +1 1 80 +80 +4j80 +80 +6J80
+2180
No. at floors served +sjso +L +iojI.i +i11: +12J0
+7180
above main terminal
r Lift data

Number of lifts Speed (m/s) 12 5 Motor start delay (s)

Capacity (kg) 11250 Acceleration (rn/s/n) Jo 8 Door opennirig time (s) J1.8

Capacity factor () 180 Jerk )m/s/s/s) 12 Door closing time (s) 2.8
r Passenger data
Passenger mass (kg) Passenger transfer times (s per passenger)J1.2 loading 11.2 uroang
Analysis data
_Round trip time losses (') Is Calculdte
[
-Mainresults--------------------------------------
H..... ... .... .,,,
For Help, press Fl [ [iü)i
jStaJt 1 ] Today.txt-.. MicrosottW...I t- 1athcadPL.. i ] Docs700.txt JIE1evate ---• rI- 02:53
Figure 4.2 Screen shot of Elevate Lite
4.4 GENERAL CALCULATION
The standard up peak calculation is a valuable tool, but has a number of limitations.
These include:
• the calculation oniy considers up peak traffic; as previously discussed, this is not
believed to be the most onerous traffic flow in buildings
• in some instances up peak calculations are inappropriate, e.g. in shopping centres,
car parks, airports or hospitals
• it is difficult to adjust the calculation to analyse up peaks in for buildings with
basements which are occupied
Some of these limitations were overcome by Alexandris 4' 7 who presented equations
that allowed inter-floor traffic to be assessed. The limitation of this method is that
passenger destinations are assumed to be the same from every floor, e.g. it is assumed
that people travelling from floors x and y are both equally likely to want to go to floor
4-11
z. Consider the traffic in a multi-storey car park or office block with a restaurant floor
to see the inconsistencies here.
Prior to joining the EngD programme, the author developed a new lift traffic analysis
calculation which overcame these limitations. The General calculation allows us to
carry out a round trip time calculation analysing any peak passenger traffic flow for
any practical configuration of conventional lifts.
Details of the General calculation are widely published(48X4.9). The calculations have
been implemented (in Fortran) by the author in the Oasys (Ove Arup Computer
Systems) LIFT program. This program, issued originally in 1989, has been applied
extensively through the work of the Ove Arup Partnership.
4.5 DISCUSSION
Most lift designs are based on an up-peak analysis, which is an important industry
standard benchmark. The up-peak analysis has been developed over a number of years
with contributions from several authors.
The author of this research project has made two contributions. Firstly, to derive
formulae to determine flight times for any travel distance and lift dynamics. This
extends the standard method, which uses tabulated results.
Secondly, the author has implemented in formulae, "corrections" that were

recommended for lifts not reaching full speed in a single floor jump, and for non-
equal inter-floor heights. A sensitivity analysis on these corrections has demonstrated
that the variations between original and corrected results are relatively small (less than
2%). It can be argued that this variation is too small to warrant changes to the
standard up peak calculation procedure. In itself, this is an interesting and useful
result.
The up-peak calculation has been implemented in a computer program which, it is

intended, will be issued with the revised version of CIBSE Guide D, Transportation
4-12
systems in buildings.
As discussed in Chapter 3, the lunch-peak is now believed to be the busiest period in a

commercial building. Prior to joining the EngD programme, the author derived the
GeneralAnalysis calculation technique that assesses a lift system's performance given
any peak passenger demand, including lunch-time traffic. This is a relatively complex
technique to implement and to apply. Therefore further research to determine the
equivalent lunch time handling capacity relative to a given up-peak handling capacity
would be beneficial. This would allow designers to assess lunch time performance
while retaining well known and understood up-peak analysis techniques.
The work presented in this chapter is a contribution to the development of green lifts
in that, to avoid the inefficiencies of over-design, we need improved lift selection and
analysis tools. Without these tools, it is difficult to realise the savings which it has
been suggested can be achieved by improving our assessment of traffic demand.
REFERENCES
4.1 Basset Jones The probable number of stops made by an elevator GB Review
26(8) 583-587 (1923)
4.2 Schroeder J Personenaufzeuge Foerden und Heben 1 44-50 (1955) (in
German)
2nd edn. (London: Peter Peregrinus) (1985)
4.4 Strakosch G R Vertical Transportation: Elevators and Escalators 2nd edn.
(New York: J Wiley & Sons Inc.)(1983)
4.5 Motz H D On the kinematics of the ideal motion of4fls Forden und haben 26
(1) (1976) (in German)
4.6 Various Authors CIBSE Guide D, Transportation Systems in Buildings (The
Chartered Institution of Building Services Engineers)(1993) ISBN 0 900953
57 8
4.7 Alexandris N A, Barney G C and Harris C J Derivation of the mean highest
reversal floor and expected number of stops in 4fl systems Applied
4-13
Mathematical Modelling 3 275-279 (August 1979)
4.8 Peters R D Lf1 Traffic Analysis: Formulae for the general case Building
Services Engineering Research and Technology, Volume 11 No 2 (1990)
4.9 Peters RD The Theory and Practice of GeneralAnalysis Lift Calculations
Elevator Technology 4, Proceedings of ELEVCON'92 (The International
Association of Elevator Engineers) (1992)
4-14
Chapter 5
DOUBLE DECK TRAFFIC ANALYSIS
List of Symbols
d.I,J probability of the destination floor of a call from i being thejth

floor (i and j must be both odd or both even for d^O)
DownJoin average number of passengers joining lift at ith floor on journey
down
DownLeave1 average number of passengers leaving lift at ith floor on
journey down
FM figure of merit for use of double deck lifts (%)
H average highest reversal floor of lower cab

INT( n) interval (s)
INT(n) interval, zone n (s)
JINT(ij) interval for journey from ith to thejth floor

L average lowest reversal floor of lower cab
N number of floors (N^4 and even)
probability of no calls from the ith to thejth floor in the time
interval T
pDSN3.. pDS3 probability that the lift will stop at intermediate floors on its
journey down (subscript refers to floor lower cab stops at)
pDSCN_3.. pDSC3 probability that the lift will stop at intermediate floors on its
journey down with stops coincident to both cabs
pH probability of nth floor being the highest reversal floor
(subscript refers to lower cab)

pL probability of nth floor being the lowest reversal floor
5-1
(subscript refers to lower cab)
probability of n passengers travelling from the ith to thejth
floor in the time interval T.
pS1 probability that the lift will stop at the lowest floors (bottom
cab floor 1, upper cab floor 2)
PSN_ I probability that the lift will stop at the highest floor (bottom cab
floor N-i, upper cab floor N)
pSC1 probability that the lift will stop at the lowest floor with the
stop coincident to both cabs
PSCN _ 1
probability that the lift will stop at the highest floor with the
stop coincident to both cabs
pUS3 , pUS5 .. PUSN 3

probability that the lift will stop at intermediate floors on its
journey up (subscript refers to floor lower cab stops at)
pUSC3 .. pUSC probability that the lift will stop at intermediate floors on its
journey up with stops coincident to both cabs
SI probable number of stops including terminal floors
SC probable number of coincident stops
SPLIT(Q,ij) proportion of passengers travelling from the ith to the jth floor
who are using lifts in zone Q
UpJomj average number of passengers joining lift at ith floor on
journey up
UpLeave1 average number of passengers leaving lift at ith floor on
journey up
p1 passenger arrival rate at floor i (persons s')
5-2
5.1 INTRODUCTION
Double deck lifts have two separate cabs built into a single unit so that the upper and
lower cabs serve adjacent floors simultaneously. During peak periods maximum
operating efficiency is achieved by restricting the lower cabs to serving odd numbered
floors, and the upper cabs to serving even numbered floors.
This is particularly attractive for high rise buildings. The sacrifice is that double deck
lifts are less convenient for passengers. Occupants of even numbered floors are
required to use escalators to reach the upper lift cab on their way into the building.
And again to reach the exit on their way out. Passengers have to walk one storey
when an inter-floor trip from an odd to an even numbered floor, or vice-versa, is
made. To alleviate this problem, double deck lift control systems can provide an odd-
even floor service by operating in alternative modes out of peak times.
A more detailed discussion of the application of double deck lifts and their control
systems is presented by Fortune j(5.l)
The value of double deck lifts in increasing the efficiency of lifting high rise buildings
is recognised(5• l )(S.2), and calculations for their performance during the simple up peak
traffic scenario have been defined(53). This chapter deals with the general case,
allowing any practical configuration of double deck lifts and any peak traffic flow to
be considered.
Similar general formulae have previously been presented by the author for
conventional single deck lifts(5•4). It would be possible to extend these formulae for
triple, quadruple, etc. deck lifts if required.
The calculations are based on calculating the probable number of stops and average
reversal floors of a lift during its round trip. Lifts may be zoned to take into account
the passenger split between different groups of lifts which may not be the same size,
5-3

speed, etc., or which may not serve the same floors.
5.2 POISSON APPROXIMATION
It is generally accepted that the arrival of passengers at a lift landing station is

reasonably approximated by a Poisson process. This gives the result:
/ \fl

n! "i, .exp( . 1NT. d) (5.1)
When calculating probabilities, it is generally easier to calculate the probability of

something not happening and then subtract this from 1 to arrive at the probability of
the event happening. So, let
p i,j P(°)
which is the probability of no calls from the ith to thejth floor in the time interval
INT. From (5.1),

Pu zexp(I11.iNT.d1) (5.2)
5.3 PROBABLE NUMBER OF STOPS
When calculating the probable number of stops, it is necessary to consider both the up
and the down journey of the lift, as the lift may stop at a floor twice during a single
round trip.
For traffic analysis the designer is concerned with peak periods, so it is reasonable to
assume that lifts are operating in their most efficient, double deck mode i.e. the lifts
do not allow passengers to travel from odd to even floors or vice versa. This means
that do dd ,evefl and deven ,odd must equal 0, which makes Podd,even and Peven,odd equal to 1.
The probability of a lift stopping at a floor is one minus the probability that there are
5-4
no calls to or from odd floors to the lower cab times the probability that there are no
calls to or from the even floors to the upper cab. This gives the results:
N
pS 1 -1-
[J a, I1La1'a,21'2,a
(5.3)
a=3
j-1 N

pUSs 1_ for j =3,5..N— 3
J 'a,j1a,j--1 11 P,l,Pii,b (5.4)
a=1 b=ji-2
N-2
PSN_ =1- (5.5)
N- 1,aa,N- 1N,aa,N
a1
N i-i

pDS 1_ a,ja,j1-1 j,b'j--1,b
for j.=3,5..N-3 (5.6)
a=j--2 b=1
(ITT is a mathematical symbol meaning multiply all the terms over this range.)
The total number of stops S' is calculated by adding together all the terms:

S' > (pUS -t- pDS) -t- PS_ 1
for j :=3,5..N— 3 (5.7)
5.4 REVERSAL FLOORS
5.4.1 Reason for calculation
In an "average" journey, a lift may not reach the highest or lowest floor of a building.
(This is less likely for double deck lifts than for conventional single deck lifts because
double deck lifts carry more passengers, so are increasingly likely to have to stop at
all floors.) Calculating the average highest and lowest reversal floors allows the
5-5
possibility of this shortened round trip to be taken into account. In this derivation the
highest and lowest reversal floors have been calculated with reference to the lower lift
cab, i.e. the lowest possible floor is 1 and the highest possible floor is N-i.
Floor N
Floor N-i
- : FloorHff
extent of
travel for
"average"
journey
-) Floor L
Floor 2
Floor!
Figure 6.1 Highest and lowest reversal floors
5.4.2 Highest reversal floor
The probability of the jth floor being the highest reversal floor is the product of the
probability that there is a call from a lower floor to either thejth or the (j+1)th floor
and the probability that there are no calls to or from floors above j+1:
N N

pH1 (5.8)
Jf a,b
a=l b=l
5-6

j-1 N N N j-i-1
1—
f
a=1
'a,jj,a1a,j-j-I1j-i-I,a H fl
a=1 b = j-i-2
a,b H H
a=ji-2 b=1
1a,b (5.9)
for j :=3,5..N- 3
N2
11N — 1 a,N — IN— 1,aa,NN,a
(5.10)
(A good check for this is that =1)
Given the probability of each floor being the highest reversal floor, the average
highest reversal floor, H f. is simply:
for j =1,3..N- 1 (5.11)
5.4.3 Lowest reversal floor
Similarly, calculate the probability of the jth floor being the lowest reversal floor,
which is the product of the probability that there is a call from a higher floor to or
from floorsj orj+1 and the probability that there are no calls to or from floors below

pL 1 a,1I,aa,22,a
(5.12)
1- a=3
N N j-1 j-1 N

:= 1-
fl
a=j-t-2
H H
a=1 b1
11 H
a=1 b=j
'a,b
(5.13)
for j :=3,5..N- 3
5-7

p_I.
a=1 b=1
fl Pa,b (5.14)
(Again, a check for this is that 1 )
Given the probability of each floor being the lowest reversal floor, the average lowest
reversal floor, L is simply:

L (N-j- 1)_PL.((N-- 1)-j) for j 1,3..N- 1 (5.15)
5.5 CAPACITY FACTOR
In a conventional up peak lift traffic calculation it is assumed that the lift is say 80%
full at the beginning of its round trip. This approach cannot be taken for a general
calculation as people may enter or leave the lift at any floor. One approach is to
calculate the average number of people in the car when it leaves each floor. But first
calculate the number of people entering and leaving the lift at each floor.
At the ith floor, going up, the number of passengers joining the car is

UpJoin . T•• d for i'=1,2..N-2 (5.16)
j=i--2
No passengers join the lift at the top floors to go up, so UPJOIIIN_ =0 and UPJOiI1N =0.
At the ith floor, going up, the number of passengers leaving the car is
UpLeave. T• for i = 3,4.. N (5.17)
5-8
No passengers leave the lift at the bottom floors subsequent to an up journey, so
UpLeave 1 - 0 and UpLeave2 0.
At the ith floor, going down, the number of passengers joining the car is
i— 2
DownJoin 1 1NTI 1• d for i : z N,N_ 1.. 3 (5.18)
j=1
No passengers join the lift at the bottom floors to travel down so DownJoin 1 0
and DownJoin2 0.
At the ith floor, going down, the number of passengers leaving the car is
DoLeave1 T• for i N - 2,N - 3.. 1 (5.19)

j = i-i- 2
No passengers leave the lift at the top floors after a down journey so DownLeaveN =0
and DownLeaveN I = 0.
The above fonnulae allow you to calculated the average number of people joining and
leaving the lift at each floor. From this, determine the average number of people in
the car when it leaves each floor, travelling both up and down and the building.
Dividing the maximum value by the lift capacity (in persons) gives the capacity
factor, which is normally expressed as a percentage.
5.6 ROUND TRIP TIME
The round trip time for a single lift is the sum of the travel time from lowest to highest
reversal floors, the number of stops times the delay time associated with a stop, and
the time for people to load and unload the lift. An example of conventional round trip
time formulae applied to double deck lift calculations can be found in (5.3)• Having
calculated the round trip time for a single lift, the interval, lINT may be calculated as
5-9
the round trip time divided by the number of lifts.
The calculations are iterative as the result, INT is required as an input to the
calculations. INT must be estimated, then the calculations repeated until the input
lINT is equal to the result.
5.7 FIGURE OF MERIT
The figure of merit for use of double deck lifts is defined as being the percentage of
stops that are coincident to both upper and lower cabs(53). A high figure of merit is
preferable as it can be frustrating for passengers when the lift stops repeatedly and no
one leaves or enters their lift cab.
The figure of merit is not required as an input to the iterative round trip time
calculation, so only needs to be determined once a solution for INT has been found.
The probability of a stop at thejth and j+lth floors being coincident is the product of
the probability of the lift needing to stop to serve a call to or from bothj and j+1:
pSC1 a,II,a ).( - a22.a) (5.20)

- a=3 a=3
j-1 N j- 1
1 - 1I a,j jj
(5.21)
a=1 a=j--2 ,a )[' a=j-i-2
for j :=3,5..N— 3
N-2 N-2

PSCN_l 1— N-1,aa,N-1 1
'N,aa,N
(5.22)
a=1 a=1
5- 10
N j-1 N j-1
pDSC 1- 1- (5.23)
a,j 1a,j--1 11 ji-1,a
a=j--2 a= 1 a=j--2 a1
for j = 3,5..N— 3
The total number of coincident stops Sc is calculated by adding together all the tenns:
Sc :=pSC 1 - >( pUS 1- PDSC) - P SCN _ 1 for j :=3,5..N— 3 (5.24)
giving figure of merit, expressed as a percentage:
Sc
FM .=—..100 (5.25)
SI
5.8 OVERLAPPING ZONES
Lifts which serve the same floors and are of the same size, speed, capacity, etc. may
be defined as being in a zone. If different zones do not serve the same floors, treat
each as being independent, carrying out round trip time calculations for each zone
separately. However, if a passenger could use lifts in either of two or more zones to
make a journey, zones are "overlapping" and it is necessary to split up the passenger
traffic between zones before carrying out the calculations. The results given for the
single deck lifts in (5.4) also apply for double deck lifts:
i\
JINT(i,j) >i( (5.26)
\ INT( Z))
z
where {Z}={all zones serving both the ith and thejth floor)
SPLfl1Q,i,j) :=J-i!j1 (5.27)

INT( Q)
5-11
5.9 EXAMPLES
5.9.1 Up peak analysis
Consider a 22 storey office building with 2000 m2 net area per floor where the 5
minute up peak handling capacity required is 16%. Analyse the performance of 8 No
2.5 mIs, 1800 kg/i 800 kg lifts. Assume the following additional parameters:
Population density 1 person per 15 m2 Door operating times 1.8 s open,

Storey height 3.6 m 2.9 s close

Passenger weight 75kg Acceleration 0.8 mIs2

Passenger transfer 1.2 sin, 1.2 s out Jerk 2 mIs3

Round Trip Time 5 % inefficiency Motor start up delay 0.5 s
The passenger traffic can be represented as shown in Figure 5.2. Calculations are
calculated according to the flow chart in Figure 5.3.

Level 22 0% 10%

Level 21 10% 0%
Level 20 0% 10%
Level 19 10% 0%
Level 18 0% 10%
Level 17 10% 0%
Level 16 0% 10%
Level 15 10% 0%
Level 14 0% 10% Key
Level 13 10% 0%
Level 12 0% 10% • 427 Arrival Rate in
Level 11 10% 0% in persons/five

Level 10 0% 10% minutes
Level 9 10% 0% 10% Destination

Level 8 0% 10% probability as

Level 7 10% 0% percentage
Level 6 0% 10%
Level 5 10% 0%
Level 4 0% 10%
Level 3 10% 0%
Level 2 0% 427
Level 1 427 0%
Figure 5.2 Example up peak traffic flow
5 - 12
Program Input
Program guesses Interval
Calculate Probable Number of Stops
Calculate Lowest and Highest Reversal Floors I Revise Interval Guess
Calculate maximum number of passengers

in car during Round Trip
Calculate Round Trip Time and Interval
NO
Calculated Interval
=Guess?
YES
Calculate Coincident Stops and Figure of Merit
Program Output
Figure 5.3 Calculation flow chart
Results from the Oasys LIFT program implementing the formulae are summarised as
follows:
5 Mm Handling Capacity 16%

Capacity Factor 76%
Probable Number of Stops 10.7 including main terminal
Highest Reversal Floor Level 21 (to nearest floor lower cab reaches)
Interval 25.6 s
Figure of Merit 75 %
5- 13
5.9.2 Lunch peak analysis
For a more complex example, consider the lunch peak scenario in an office building
where there are double storey conference and restaurant facilities on the top two
floors. Consider the scenario when a morning conference ends during the lunch time
peak. Conference delegates are visitors to the building. The peak traffic is a
combination of:
i. resident passengers travelling from their offices to the restaurant for lunch
ii. resident passengers travelling back to their offices after lunch
iii.resident passengers travelling to the ground floor to leave the building to buy
sandwiches or eat out
iv. resident passengers returning from buying/eating lunch out
An example traffic flow is given in Figure 5.4. Assuming this traffic flow, analyse 8
No 2.5 rn/s 1250 kg/1250 kg lifts and the following additional input parameters:

Storey height 3.6m Door operating times 1.8 s open, 2.9 s close

Acceleration 0.8 m/s2 Passenger weight 75 kg

Jerk 2 mIs3 Passenger transfer 1.2 s in, 1.2 s out

Motor start up delay 0.5 5 Round Trip Time 5 % inefficiency
Level 14 0% 17% 0% 50% 0% 50% 0% 50% 0% 50% 0% 50% 0% 120

Level 13 17% 0% 50% 0% 50% 0% 50% 0% 50% 0% 50% 0% 120 0%
Level 12 0% 17% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25 0% 10%
Level 11 17% 0% 0% 0% 0% 0% 0% 0% 0% 0% 25 0% 10% 0%
Level 10 0% 17% 0% 0% 0% 0% 0% 0% 0% 25 0% 0% 0% 10%
Level 9 17% 0% 0% 0% 0% 0% 0% 0% 25 0% 0% 0% 10% 0%
Level 8 0% 17% 0% 0% 0% 0% 0% 25 0% 0% 0% 0% 0% 10%
Level 7 17% 0% 0% 0% 0% 0% 25 0% 0% 0% 0% 0% 10% 0%
Level 6 0% 17% 0% 0% 0% f 25 0% 0% 0% 0% 0% 0% 0% 10%
Level 5 17% 0% 0% 0% 25 10% 0% 0% 0% 0% 0% 0% 10% 0%
Level 4 0% 15% 0% 25 0% 10 % 0% 0% 0% 0% 0% 0% 0% 10%
Level 3 15% 0% 25 0% 0% 10% 0% 0% 0% 0% 0% 0% 10% 0%
Level 2 0% f 75 ¶0% 50% 0% ¶50% 0% 50% 0% 50% 0% 50% 0% 50%
Level 1 75 'V 0% T 50%'I' 0% 5%'% 50% 0% 50% 0% 50% 0% 50% 0%
Figure 5.4 Complex traffic flow
5 - 14
Results from the Oasys LIFT program are summarised as follows:

Capacity Factor 68 % Probable Number of Stops 11.9

Interval 26.7s Lowest Reversal Floor

Figure of Merit 83% Highest Reversal Floor 13
5.10 DISCUSSION
This is particularly attractive for high rise buildings, where the core space taken by the
lifts is a high percentage of the total floor area.
Kavounas 53 provided formulae to calculate the up-peak performance and handling

capacity for double deck lifts. Formulae presented in this chapter allow analysis of
any peak traffic flow for any practical configuration of double deck lifts. The
approach taken for double deck lifts could be extended to cover triple and quadruple
deck lifts if required.
The double deck formulae have been implemented by the author in the Oasys LIFT
program, and are being used by Arup in the design of high rise developments.
performance of lift systems in high rise buildings. This is a consequence of the EngD
being based in industry rather than in academia. Nevertheless, it is a useful piece of
research, allowing designers to consider lunch time and other peaks for double as well
a single deck lifts.
It is possible to argue that double deck lifts are green; like double decker buses, they
are an efficient means of transportation when fully loaded. However they are very
inefficient if used for long periods while lightly loaded. A study of the relative energy
5 - 15
The General double deck lift traffic analysis technique was presented at the Elevator
Technology Conference, ELEVCON'95 56 . A more detailed paper was published in
the CIBSE journal, Building Services Engineering Research and Technology5.
REFERENCES
5.1 Fortune F J Modern Double Deck Applications and Theory Elevator
Technology 6 Proceedings of ELEVCON '95 165-174 (Stockport:
IAEE)(1 995)
5.2 Strakosch G R Double Deck Elevators. The Challenge to Utilize Space
Elevator World July 1990 50-53
5.3 Kavounas G T Elevatoring Analysis with Double Deck Elevators Elevator
World November 1989 65-72
5.4 Peters R D Lfl Traffic Analysis: Formulae for the general case Building
Serv. Res. Technol. 11(2) 65-67 (1990)
5.6 Peters RD GeneralAnalysis Double Deck Lift Calculations Elevator
Technology 6 Proceedings of ELEVCON '95 165-174 (Stockport:
IAEE)(1 995)
5.7 Peters R D, Mehta P, Haddon J Lfl Traffic Analysis: General formulae for
double deck lfls case Building Serv. Res. Technol. 11(4) (1996)
5 - 16
Chapter 6
LIFT KINEMATICS
List of Symbols
a maximum acceleration/deceleration (mis2)
A(t) acceleration at time t (mis2)
d lift journey distance (m)
D(t) distance travelled at time t (m)
j maximum jerk (mis3)

J(t) jerk at time t (mis3)
v maximum velocity (mis)
V(t) velocity at time t (mis)
6.1 INTRODUCTION
6.1.1 Lift kinematics
Lift kinematics is the study of the motion of a lift car in a shaft without reference to
mass or force. The maximum acceleration and jerk (rate of change of acceleration)
which can be withstood by human beings without discomfort limits this motion. Ideal
lift kinematics are the optimum velocity, acceleration and jerk profiles that can be
obtained given human constraints.
Microprocessor controlled variable speed drives can be programmed to match

reference speed profiles generated through the study of lift kinematics. Examples of
these speed reference curves, similar to those shown in Figure 6.1, are sometimes
presented in lift manufactures' sales literature as a demonstration of the fast,
comfortable and efficient lift transportation available for a particular drive system.
6-1
3
2.5
I1.
0.5
0
0 2 4 6 8 10
Time (s)
Figure 6.1 Example lift velocity-time profile for one, two and four floor runs
6.1.2 Previous work
P D Day and G C Barney provide references of previous published work in this field
in section 11.4 of CIBSE GuideD, Transportation Systems in Buildings (60 In
summary:
H D Molz presented the first major work in this area in 1986. In his paper, On
the ideal kinematics of lfls (6.2) (in German) he derives equations which enable
minimum travel times to be calculated, taking to account maximum values of
jerk, acceleration, and speed. If the lift trip is too short for the lift contract
speed or acceleration to be obtained, the maximum speed and acceleration
attained during the trip may be calculated. Some other points on the ideal
kinematic curves are calculated. This paper was edited by G C Barney and re-
published (63) by Elevatori in 1991 (in English and Italian).
N R Roschier and M J Kaakinen apply Molz' formulae to provided summary

tables of results for round trip time calculations (6.4)
In Elevator Trip Profiles 65), J Schroeder presented a computer program that

calculates the maximum speed, and minimum journey time that a lift can
achieve for given flight distances if there is no speed limit. This produces
interesting observations such as it would take a total trip of about 17 floors for
6-2
an 8 mIs lift to reach its full speed.
In Elevator Electric Drives (6.6) G C Barney and A G Loher suggest a computer

program based on H D Molz' equations. This is reproduced in CIBSE Guide
(61)
D, Transportation Systems in Buildings
6.1.3 New developments
For this research project, equations have been derived which allow ideal lift
kinematics to be plotted as continuous functions for any value of journey distance,
speed, acceleration and jerk. Supplementary results include journey time formulae for
use in lift traffic analysis. The remainder of this chapter is a summary of this
research. Some or all of the results presented in this chapter (or equivalent software
routines) may have been known to individual lift manufacturers; but, to the best of
the author's knowledge, they have not been published.
6.1.4 Approach to derivation
The derivation is divided into three major sections, corresponding to the journey
conditions where: (A) the lift reaches full speed; (B) the lift reaches full acceleration,
but not full speed; and (C) the lift does not reach full speed or acceleration. The
condition where full speed is reached before full acceleration is determined and
excluded as this would be an illogical design. Conditions A to C are represented
graphically in Figure 6.2. Each of the three conditions is divided into time slices,
beginning and ending at each change in jerk or change in sign of acceleration.
6-3

+ + +
7

t t t
t2t3
+ + +
t t t
+ + +
0 0 0
t t t
+ + +
I.e
0 0 0
t t t
(A) (B) (C)
Figure 6.2 Ideal lift kinematics for: (A) lift reaches full speed; (B) lift reaches full
acceleration, but not full speed; (C) lift does not reach full speed or acceleration
6-4

6.2 DERIVATION FOR CONDITION A, LIFT REACHING FULL SPEED

DURING JOURNEY
6.2.1 Calculation of t
Referring to Figure 6.2 (A) we can write down expressions for t as follows:
(6.1) .t1-a.(t2_ti)i-.(t3_t2):=v (6.2)
a (6.3) (6.4)
t 3_ 2 t5-
J J
. (t 5_ t 4)a . (t 6 t5) a (t t 6) =v (6.5)
7_6 (6.6)
Solving for t gives:
a (6.7) t2 (6.8)
J a
av (6.9) t 5 :=t--
t3 --f- - (6.10)
j a J
(6.11) a v- (6.12)
t 7 t---1-
j a
6.2.2 Motion during time period 0 ^ t ^ t1
Referring to Figure 6.2 (A) we can write down expressions for jerk and acceleration:
J(t) =j (6.13) A(t) j•t (6.14)
The velocity can be determined by integrating the acceleration:
.2
V(t) j•TdT yields V(t) (6.15)
2
The distance travelled can be determined by integrating the velocity:
D(t):J i_ dT yields D(t):- (6.16)
6-5
6.2.3 Motion during time period t 1 ^ t ^ t2
J(t) =0 (6.17) A(t) =a (6.18)
The velocity can be found by adding the velocity at the end of the previous time slice
to the current acceleration, integrated:

adT yields V(t) =fa•t (6.19)
V(t).=V(tl)T
The distance travelled can be found by adding the distance travelled at the end of the
previous time slice to the current velocity, integrated:
t

D(t) aTdT yields (6.20)
6.2.4 Motion during time period t2 ^ t ^ t3
J(t) .=-j (6.21)
A(t) =a_j. (t_ t 2 ) whichbysubstitutionyields A(t) :aj . t i X2 (6.22)
Ct
V(t) :=V(t2) a-jT^dT yields V(t):= -a.t_i_X_i (6.23)
a 2.j 2 a 2a2
t2
D(t) := D(t 2) -- yields

2 a 2'a2
t2
3 2 .3 2 . 2 .2 3.
JttJVtJV•tvJ
(6.24)
6•j2 2 .j 6 2 2•a 2a2 6a3
6-6
Referring to Figure 6.2 (A) we can write down expressions for jerk, acceleration and
velocity:
J(t) -o (6.25) ACt) =0 (6.26)
V(t) :=v (6.27)
2
=av_
D(t) D(t 3) -- vdl yields D(t) --1-v • t (6.28)
Jt3 2j 2a
6.2.6 Simplification of t4 to t7
To complete solutions for t, refer to Figure 6.2 (A) to write down:

t4
d = 2.D(t 3) v dT yields t4 (6.29)
By substitution, results for tn become
1 (6.30) t2 (6.31)
J a
a v d
3 =-:---- (6.32) t4 (6.33)
j a V
da dv
5 = -1--;- (6.34) t 6 .=----- (6.35)
vi v a
day
-: - (6.36)
vj a
J(t) :=j (6.37)
A(t) .=J . (t_ t 4) yields A (t) (6.38)
6-7
diTdT yields (6.39)
V(t):=V(t4)T 2 V
v2•2
t
j•T2 d•j•T d2•j
D(t) :D(t 4 ) i- v-----------dT yields
2 V
v22
t4
D(t) -vvj.dt.d2tjdj (6.40)

2j 2•a 2•v v22 6 v3•6
J(t) . 0 (6.41) A(t) = -a (6.42)
a•d a2
V(t) = V(t 5) [ - a dT yields V(t) .v-----j--- a•t (6.43)
Jt v 2•j
ad a 2
D(t) D(t 5)- v-i------+--aTdT yields
v 2•j
t5
-a•v v 2 d2 •a da 2 a 3 adt t•a 2 t2 •a

D(t) -- -- --Fv•ti------1------ (6.44)
2.j 2a v2•2 2.j.v j2•6 v 2.j 2
J(t) :=j (6.45)
6-8

A(t):-a.1-(t--t6).j yields (6.46)

V(t) V(t6) r a- 4 --t-jTdT yields
Jt 6
2 . .2 2. 2.
a•d a J•d•t J. v . t j•t d .j j. d v .j
V(t) -v-i- a•t- -- ---------t--- (6.47)
v j2 v a 2 v2•2 a a22
D(t).=D(t6) yields
v j2 v a 2 v2•2 a a22
t6
djtjavdjtjdd2.tad
D(t) =-v•t- (6.48)
2•a 2a2 2va 6 2v "
+?!
2.j v3•6 2v2
2j 2 j2 6 v22 2jv a 2•a2 2a a36
6.2.10 Verification of results at time t7
From (6.36), we have t7 -- -- I which by substitution into equation (6.47), yields

vj a
V(t 7) 0 and by substitution into equation (6.48), yields D(t ) = d which is correct.
6.2.11 Range over which results apply
Results for condition A apply if the lift reaches full speed during its trip, which occurs
if:
2 2.
a v--v
>D(t 3) yields (6.49)
ja
6-9

6.3 CONDITION B, LWF REACHING MAXIMUM ACCELERATION,

BUT NOT FULL SPEED
The derivation for condition B is similar to that for condition A. For brevity, only
results are given.
3 2 2.
Results apply over the range 2.d<a • V V
(6.50)
6.3.1 Values of t
a t2:=4j2
(6.51)
t1 (6.52)
J 2j
2.j.a
aJa3-4.d.j2 Ja 4dj2
t3 (6.53) = (6.54)
2•j 2•j
2ja 2.j.[a
aa3f4.d.j2
(6.55) (6.56)
6.3.2 Motion during time period 0 ^ t ^ t1
J(t) = j (6.57) A(t) :=j.t (6.58)

.2 .3
V(t) =-- (6.59) D(t) (6.60)
2 6
J(t) = 0 (6.61) A (t) 'a (6.62)

2 3 2 2
V(t) :=.---t-a•t (6.63) D(t) :=---- (6.64)
6j2 2.j 2
Ja3-14.d.j2
a
J(t) :=-j (6.65) A (t) -j•t-t- (6.66)
2
2•a
6-10
- t. -4.d.j2 Ja34.d.j2.J j•d
V(t) (6.67)
4 .j 2 2
a•2
4•j -
a a2.a34.d.j2 d3a2ta1t2.a3f4.d.j2
D(t)
1 2j 2 1 2j2
+
4d.f.J.t - tj - td d. Ja -i-4•d•j2
2
12a (6.68)
/3 .2
A(t) =1•a—jtf +4•d•j
J(t) . -j (6.69) (6.70)
2
2•
3a2ja3f-4.dj2.[a c1 j.t2t.aJa3t4.d.j2.t
V(t) (6.71)
4j 4j 2•a 2 2
D(t)
4 4 4 .j 4j 2•a 6
+ a34.d.j2.a(2) d434.d.j2
j2 12 j2•12
12a()
2
(6.72)
J(t) .0 (6.73) A(t) :=-a (6.74)
2 ja3f-4.d.j2.
V(t) t• a (6.75)
2•j j
2•a3
__________ _______ (6.76)
2 j 2•j 2 3.2
J(t) :=j (6.77) A(t) :=-aj.t— a3f4.d.j2 (6.78)
6-11

2 4.d.j2.[a
jt 2 t.[a3 - 4d•j 2
V(t) :z!_--____ Ja - i.j
t•a- (6.79)
j 2 j a
2 3 2 13
a • t at jt 2a ja -- 4.d.j2.J.t 2•d•t•j
_____
D(t)-d
3 •j 2 j 2 6 i a
____________ ____________ 3 ____________
3 .2' 2
a 4 . d .j) - t 4a ^ 4dj2 - 4.d.j2.a(2) - 2.Ja3 4•d•j2•d
^(
I /3\1 [ .2 f3\
a•2 J ()
j.[3.a J a (6.80)
6.4 CONDITION C, LIFT NOT REACHING MAXIMUM

ACCELERATION OR FULL SPEED
3
Results apply over the range d<2 . - (6.81)
J2
6.4.1 Values of t
3
(6.82) 2•= L (6.83)
J
27 d d3
(6.84)
t3 t4:= 32•- (6.85)
2j J
6.4.2 Motion during time period 0 ^ t ^ t
J(t) j (6.86) A (t) zj.t (6.87)
V(t) (6.88) D(t) Jt (6.89)
(2\ 2 (1\

J(t) :=-j (6.90) A(t) :=jL2 1•d1-jt (6.91)

- t2
V(t) := •j•2d (6.92)
6-12

2\ (2\ /I\ i\ ft 2\
(6.93)
62 2 6

2 i\ 2
3).
JO) :=-j (6.94) A (t) .-jtf 2 d (6.95)
(i\ (i (2\ (2\ f2\ I

- •2 (6.96)
V(t)
2 2
(i\ fi\ (2\ 12\ 2\ fi\
-
D(t) =4. (6.97)
62 2 6

2 (i (2
J(t) j (6.98) A (t) :=-2. 2 31 •d 31 •j 3' i-j.t (6.99)
(i) (2) (2\ (2\ (1)
.2
V(t) 4•j( '2 \3 j•t
•d 2
- .j •t•2•d -I-- (6.100)
2
13d
D(t)'- j (6.10 1)
3 6
6.5 CONDITION TO CONFIRM MAXIMUM ACCELERATION IS

REACHED BEFORE MAXIMUM SPEED
The case where the lift reaches maximum speed, but not maximum acceleration has
not been considered as this would be a non-sensical design. To confirm the system
does not have this anomaly, refer to Figure 6.2 (A) to write down:

t3^2t1 which by substitution yields a2^vj (6.102)
6.6 MINIMUM TRAVEL DISTANCES
During a lift journey, a new landing or car call may be introduced such that the lift
needs to stop before the destination it is currently travelling to. The following results
enable the lift control system to check whether the lift can stop in time for the new
call. If the current D(t) is less than dmjn, the software routines implementing the
6-13
equations given in for Conditions A to C can be reset with a new value of d mid-way
through a journey. The D(t), V(t), A(t) and J(t) profiles generated will remain
continuous.
6.6.1 Condition A
While 0^t^t1 refer to condition C results and set t=t1
yields d mm 2t3j (6.103)

(-)
While t1^t^t2 refer to condition B results setting tt2
2
- a 4d min2 t
t c --i- yields d mm
:= at2 a (6.104)
2j
2j•
If t2^t^t3 the velocity profile must continue to t3, so

2
v•a V (6.105)
d mm - 2.D(t
3) yields d mm . -
j a
If t3^t^t1. the lift commences decelerating at t4, so set
dmin
t yields dmin t•v (6.106)
V
If t4^t the lift has already started decelerating, so d mm d (6.107)
6.6.2 Condition B
For 0^t^t1 condition A result applies, so (6.108)

d mm = 2t3i
2 2t
For t1^t^t2 condition A result applies, so d mm = at a (6.109)
When t2^t the lift has already begun slowing down, SO d mm d (6.110)
6.6.3 Condition C
For 0^t^t1 condition A result applies, SO d miii' (6.111)
When t1^t the lift has already begun slowing down, SO d mill :=d (6.112)
6-14

6.7 APPLICATIONS
6.7.1 Motor speed reference
Motor speed reference curves are commonly held in software look up tables. It is
envisaged that a software implementation of the equations presented in this paper will
provide a fast, flexible and efficient way of generating optimum reference speed
profiles, on line in lift system controllers. This application is modelled in the
following two chapters of this thesis where the equations are applied to generate
profiles for the motor model and lift simulation.
6.7.2 Lift traffic analysis
To calculate the handling capacity and performance of a lift system it is necessary to

know how long it takes a lift to travel given distances. Using the appropriate formulae
taken from the previous sections, the travel time of a variable speed lift (with
optimum control) can be written down as follows:
2 2
•V a v
then Journey_Time - - - (condition A)
j•a v j a
3 2 2.
• 2a a•v--vj a ja3 -- 4•dj2
if then Journey_Time - ________ (condition B)
.2 j.a j
J
3 J3
if d<2.- then Journey_Time := 32• (condition C)
j2 J
It is advisable to add an additional time component to allow for motor start up time
and any deviations from the optimum speed profile. Depending on drive quality, Day
and Barney 6 ') recommend that this component should be between 0.2 and 0.5
seconds. These equations are applied in Chapter 4 of this thesis.
6.8 DISCUSSION
Ideal lift kinematics provide the basis for optimum speed control of lifts, an essential
component for fast, efficient and comfortable transportation.
Equations by Motz(62) give us points on these curves. The equations derived in this
6-15
chapter allow continuous, optimum functions ofjerk, acceleration, speed and distance
travelled profiles to be plotted against time. These profiles can be generated for any
journey distance given inputs for maximum jerk, acceleration, and speed.
The equations are complex, but have been implemented in software by the author.
The users of this software do not need to work through the calculations taking place,
but can concentrate on entering the required inputs to generate the profiles quickly and
easily.
The ability to plot profiles for any inputs gives additional flexibility in the design of
lift controllers. In later chapters we will explore how building this functionality into a
control system can help us save energy in a green lift system.
The results also have applications in lift traffic analysis for calculating journey time,
as already discussed in Chapter 4 of this thesis.
Although there is some guidance 6 ' on the choice of maximum jerk and acceleration
for a lift installation, there have been no major studies on the relative levels of comfort
experienced by passengers given different values of these variables. Applying the
work discussed in this chapter, it would be feasible to carry out such an investigation.
This would yield useful results for specification and design.
The work presented in this chapter has been widely published. A summary of the
research and results was presented at the Elevator Technology Conference,
ELEVCON 95(6• The written conference paper was re-published by the trade
magazines, Elevator World in April 1996 and by Elevatori in May/June 1996. A more
detailed paper, including details of the derivation was published in the International
Journal of Elevator Engineers (IJEE)68.
6-16

REFERENCES
6.1 (Various authors) CIBSE Guide D, Transportation Systems in Buildings The

Chartered Institution of Building Services Engineers (1993)
6.2 Motz H D On the kinematics of the ideal motion of 4fls Forden und haben 26
(1) (1976) (in German)
6.3 Motz H D On the ideal kinematics of lifts Elevatori 1/91 (1991) and
Elevatori 2/92 (1991) (in English and Italian) (beware typographical errors in
formulae)
6.4 Roschier N R and Kaakinen M J New formulae for elevator round trip time
calculation Elevator World 28 (8) (August 1980 supplement)
6.5 Schroeder J Elevator trlp profiles Elevator World 35 (10) (November 1987)
6.6 Barney G C and Loher A G Elevator Electric Drives Ellis Horwood,
Chichester (1990)
6.7 Peters R D Ideal Lfl Kinematics: Complete Equations for Plotting Optimum
Motion Elevator Technology 6, Proceedings of ELEVCON'95 (The
International Association of Elevator Engineers) (1995) (republished by
Elevator World, April 1996 and by Elevatori, May/June 1996)
6.8 Peters R D Ideal L/1 Kinematics: Derivation of Formulae for the Equations of
Motion of a Lift International Journal of Elevator Engineers, Volume 1 No 1
(1996)
6-17
Chapter 7
MOTOR MODELLING
List of Symbols
a( t) lift acceleration at time t (mis2)

d motor sheave diameter (m)
g gravitational acceleration constant (mis2)
gr gear ratio (:1)
E electromotive force (Volts)
Et total energy consumption of trip (Joules)
JT lift journey time (s)
J total moment of inertia (kgm2)
brake moment of inertial (kgm2)

Jg gear moment of inertia (kgm2)
motor moment of inertia (kgm2)
Jp pulleys total moment of inertia (kgm2)
Js sheave moment of inertia (kgm2)

M mass of car (kg)
mass of counterweight (kg)

M mass of passengers in car (kg)
Mr mass of ropes (kg)
Klf motor magnetising constant (amps)
I a(t) armature current at time t (ohms)
1ph( t) converter phase current at time t (amps)
In amplitude of nth harmonic current (amps)

PF(t) power factor at time t
7-1
P(t) power consumption at time t (Watts)
Ra
armature resistance (ohms)
rr roping ratio (:1)
TL load torque (Nm)
T( 0
required motor torque at time t (Nm)
Va(t) armature voltage at time t (Volts)
V line phase-phase line voltage (Volts r.m.s.)
v(t) lift velocity at time t (mis)
a(t) converter firing angle at time t (radians)
s(t) motor drive angular acceleration at time t (radls2)
I gear efficiency (0-1)
supply angular frequency (radls)

w (t)
motor drive angular velocity at time t (radls)
7.1 INTRODUCTION
So 7 provides a comparison of the energy efficiency for a range of drives using motor
models. The comparison is for a single lift trip with a fixed journey profile, load
torque and inertia.
The purpose of this section of the research is to derive a motor model similar to that
used by So, and to develop it to the point that it can be built into a lift simulation
program. We can then calculate the total energy consumption of a lift system for a
given passenger traffic profile and lift control system. This will allows us to
investigate possible energy savings.
So considers AC 2 speed, AC variable voltage, AC variable voltage variable

frequency, DC Ward Leonard and DC static converter drives. The AC variable
voltage variable frequency and DC static converter drives are shown to be the most
efficient. The drive modelled in this chapter has a separately excited DC motor, fed
from a fully controlled 6 pulse converter. A diagrammatic representation of the drive
7-2
is shown in Figure 7.1.
The following calculations have being prepared using Mathcad mathematical

software. The results are calculated and plotted directly from the equations entered in
standard mathematical notation. To test for consistency, input parameters have been
chosen to correspond with So.
Thiee Phase Supply
Ciivuter 1
Caivter 2
Figure 7.1 Static converter drive
7.2 LIFT MOTION
So does not consider linear motion, but takes angular velocity and acceleration as
input to his model. The translation between linear and angular motion is a function of
the sheave diameter, gear ratio and roping ratio, as described in equations 7.1 and 7.2.
v(t).2.g rr
(t) = __________ (7.1)
d
a(t).2g r1r
(t) = __________ (7.2)
d
7-3

Applying the ideal lift kinematics equations derived in Chapter 6, we can generate
suitable velocity and acceleration plots, as shown in Figure 7.2.
2 0.5
v(t) 1 a(t) 0
I SI
O tf
-0.5
0 10 20 0 10 20
Figure 7.2 Velocity and acceleration profiles
To plot angular velocity and acceleration we apply equations 7.1 and 7.2. In this
example take drive sheave diameter d 0.5 , gear ratio g r - 20 , and roping ratio
r r - 1. This gives us the profiles in Figure 7.3, which are consistent with the input to
So's model.
200 50
O)(t) 100 E(t) 0
If I I
0 -50
0 10 20 0 10 20
t
Figure 7.3 Angular velocity and acceleration profiles
7.3 LOAD TORQUE
The load torque is the result of the imbalance in static loads either side of the driving
sheave as shown in Figure 7.4. Again, So does not calculate a load torque, but uses a
fixed value. We need to calculate load torque if we are to apply the model in a
simulation.
The torque is applied at the rim of the driving sheave, thus it is calculated as the
7-4

difference in weight between the loaded car and counterweight times the radius of the
driving sheave. We are interested in the load as "seen" by the motor, so must take into
account the reducing effect of the roping ratio, gear ratio, and the losses caused by
inefficiencies in the gear unit.
TLr(OJJbffl
_M
________ M + M
Figure 7.4 Schematic representation of traction lift

(2:1 roping ratio shown in this diagram)
Thus we can write down an expression for the load torque as follows
d
(M -- M, - M

= (7.3)
g r'rfl
Note that difference in rope weight either side of the shaft has not been included.
Where there is a significant differential in rope weight, it is normal practice to include
compensation roping which resolves any imbalance.
So uses the value T L : = 60 in his model, which we shall use for the remainder of this
7-5
calculation.
7.4 LOAD INERTIA
The moment of inertia of a lift system is made up of a number of components

including contributions from: motor, brake, gear, driving sheave, pulleys, ropes, lift
car, counterweight, and passengers. So takes a fixed value for load inertia, but again
we need to be able to calculate a value for use in a lift simulation.
Referring to Figure 7.4, the inertia of rotating components are summed, except for
those rotating at a lower speed because of the gear; these must be divided by the
square of the gear ratio to determine their equivalent inertia, as seen by the motor.
(Note the kinetic energy of a rotating body is Y2 J co 2 , hence the introduction of
squared terms when considering angular velocity reductions by gear and roping
ratios.)
The inertia of the car, counterweight, and ropes are seen by the motor as point masses
on the edge of the driving sheave. Hence their equivalent inertia is the sum of their
masses times the square of the radius of the driving sheave, divided by the appropriate
gear and roping ratios.
Thus the equivalent moment of inertia that the motor sees is:
2
d s 2M r d
-I- .(MMW±M) (7.4)
2
4. g 2 4.(gr.rr)2
Zhou presents a similar equation in his paper on the Analysis of Motion Equations of
Elevator Drive Systems 72 , but does not consider a term for roping ratios. Equation
7.4 is consistent with Zhou's equations are consistent for 1:1 roping.
So uses the value J 10 in his model which we shall use for the remainder of this
calculation.
7-6
7.5 MOTOR TORQUE
The torque required from the motor is the load torque plus the torque required to
accelerate or decelerate the lift. Thus,
T(t) .TL-i-J.c(t) (7.5)
which is plotted in Figure 7.5.
T( t)
0 10 20
t
Figure 7.5 Required motor torque
7.6 MOTOR MODEL
DC Motor steady state performance equations are well known:
V a EIa•Ra (7.6)
where
E (7.7)
and the torque developed is

'a
T (7.8)
(1)
By substitution, the steady state equations can be rearranged to determine the required
7-7
armature voltage and resultant current for the functions of torque and angular velocity
which we have already determined. This approach assumes an ideal feedback control
system. Thus,
V a( t ) (KIf).o)(t)R a (7.9)
KIf
T( t)
I a(t) (7.10)
KIf
For our example, let R a 0.2 and KI 1.6. The functions of armature voltage and
current in Figure 7.6 can than be plotted by applying Equations 7.9 an 7.10.
v a( t) Ia(t)

0 10 20 0 10 20

t t
Figure 7.6 Armature voltage and current
The power consumption of the motor (ignoring field excitation) during the trip is

P(t) Ia(t)Va(t) (7.11)
and is plotted in Figure 7. This profile is the same as So's result.
7-8

1 10
5- 1
P( t)
0
—51 0'
0 10 20
t
Figure 7.7 Power consumption
The total energy consumption of the DC motor during the trip is
r JT
E t P(t)dt (7.12)
0

which yields Et=1.911-105 Joules, which again is consistent with So's results.
7.7 CONVERTER OPERATION
The voltage applied to the DC motor is controlled by the firing angle of the converter.
For a fully controlled, three phase 6 pulse converter, ignoring overlap, the firing angle
for the required mean dc voltage iM
f V a( t ) \
a(t) acosl (7.13)
For a fully controlled converter, the firing angle is equal to the phase angle 73 , so the
power factor

PF(t) zcos(c(t)) (7.14)
Taking So's value of V line 380 and applying equations 7.13 and 7.14 we can plot
the power factor profile shown in Figure 7.8. This is consistent with So's result.
7-9

PF( t)
0
0 10 20
t
Figure 7.8 Power factor
7.8 SUPPLY SYSTEM HARMONICS
Supply system harmonics are not considered by So, but are known from the literature.
By Fourier analysis, ignoring overlap, the quasi square-wave phase current of an ideal
six-pulse converter can be shown to be74
1 I (7.
I ph( t )=I a( t ) COS ( . t) (5 . .t) -- -Lcos (7 . .t) - t) ...
5
1 1
os(13. .cos (17t)
. . f . cos(19. 5.t)
13 st) 17 19
[+_.c j
-+ etc. (7.15)
Thus, the amplitudes relative to the fundamental of the 5th, 7th, 11th and 13th
harmonic currents are 20%, 14.3%, 9.1% and 7.7% respectively. The total harmonic
distortion of the current is defined as
0.5
n=2
(7.16)
Ii
which is approximately 27% in this case.
DC system harmonics have not been considered in this research project, but are
discussed and analysed by Graham A D and Schonhoizer E T75.
7 - 10

7.9 SITE TESTING
Initial site tests of the model have been undertaken on a static converter DC drive at
Sheffield University Art Tower.
Restricted access to the site, and limited manufacturer's data has meant that some
input variables have had to be estimated. However, the consistency between
calculated and actual profiles for both up and down travel (empty car) shown in
Figures 7.8 and 7.9 ascribe greater confidence to the model as a whole.
1 .00E+05

P( t) P(t)

01. 0.00E+00

0 10 20 0 10 20
t
(i) (ii)
Figure 7.8 (i) Calculated and (ii) measured power consumption for up journey
1 .00E+05

P( t) P(t)
0.00E+00
0'-
0 10 20 0 10 20
t
(i) (ii)
Figure 7.9 (i) Calculated and (ii) measured power consumption for down journey
This drive is not regenerating. Some static converter drives do not regenerate as their
braking energy is dissipated in a resistor chopper circuit rather than being returned to
7-11
the mains. In this instance, there is no cut off in the profile at zero power. Thus, the
absence of regeneration is believed to be due to inefficiencies in the drive, e.g. as the
result of a high motor magnetising constant. The motor in question is dated (>20
years), presumably having being kept after a more recent upgrade of the drive control
from motor generator set to static converter.
It should also be noted that the lift continues to take power when it is stationary (in
this case approximately 5 kW). This power take will come from a combination of
sources which may include brake, brake and motor fan, motor field excitation, no-load
consumption of static converter.
7.10 DISCUSSION
The motor model developed by So for a DC static converter drive has been
implemented and extended. The model now uses, as an input, the motion profiles
generated from the kinematics research discussed in Chapter 6. Equations for load
torque and load inertia have been developed as So uses fixed values.
direction and loading. This motor model is included in the lift simulation program,
Lftsim, which is discussed in Chapter 8 of this thesis. In Chapter 9 we will see how
the model can be used to develop and test green lift control strategies.
Results from the model are consistent with those presented by So. Initial site tests
have suggested that the model is generating consistent power consumption profiles,
and can at least not be rejected. A continuous "base" load may be added to the model
to account for miscellaneous small loads such as the power consumption of the brake,
brake and motor fans, motor field excitation, and static converter losses. Some of
these vary during the trip, but taking an average no-load value is unlikely to increase
our margin of error as they are relatively insignificant during actual lift trips.
Further research into the modelling of this and other lift drives would be valuable.
More comprehensive site tests would need the full co-operation of the lift
7- 12
manufacturer, installer and building owner. Some of the variables required are
difficult to measure, and so cannot be established without full access to
manufacturer's design data.
Currently designers rely on empirical methods to estimate the power consumption of a

lift installation. Building motor models into simulation programs such as Lftsim will
improve our predictions of power consumption and allow us to demonstrate the value
of energy saving features.
Major elements of the research discussed in this chapter were presented at the CIBSE
National Conference 1995 in the paper, Mathematical Modelling ofLy? Drive Motion
and Energy Consumption. The paper was republished by Elevator World in July
1996.
RtFERENCES
7.1 So A T P Computer simulation-based analysis of elevator drive systems
HKIE Transactions No.3 (1992)
7.2 Zhou T Analysis of Motion Equations of Elevator Drive Systems Elevator
TecFmology 4, Proceedings of ELEVCON '92 (The International Association
7.3 O'Kelly D Performance and Control of Electrical Machines (Maidenhead:
McGraw-Hill Book Company Ltd)( 1991)
7.4 Bradley D A Power Electronics (Wokingham: Van Nostrand Reinhold Co.
Ltd) (1987)
7.5 Graham A D and Schonhoizer B T Line Harmonics of Converters with DC-
Motor Loads IEEE Transactions on Industry Applications, Vol IA-19, No.1
(January/February 1983)
7-13
Chapter 8
LIFT SIMULATION SOFTWARE
8.1 INTRODUCTION
The lift simulation program, Lftsim has been written as a development platform for
"green" lift control systems. It may also be applied as an advance lift traffic analysis
tool.
Development of a lift simulation program is not unique. Manufacturers8',

researchers 82 and consultants 83 have previously used lift simulation programs
ranging from the crude to the sophisticated. The features of Lftsim believed to be
unique are:
it applies object oriented programming technology.
• it implements the ideal lift kinematics research discussed in Chapter 6 of this thesis
allowing total control over the lift speed profiles. Often lift simulation packages
use a "single floor jump time"; this ignores complexities such as lifts which do not
reach full speed in a single floor jump, and calculations to determine if a travelling
lift can stop in time for a new call.
it implements a motor model, calculating the energy consumption of the lift drives
during the simulation; these calculations based on research discussed in Chapter 7
of this thesis.
• it implements a passenger generator based on arrival rates and destination

probabilities as discussed in Chapters 3 and 5; the use of "periods" allows sets of
different arrival rates and destination probabilities to be defined such that changing
levels of traffic can be modelled.
8-1
The program has been written using Microsoft Visual C++ (for Windows 95 and
Windows NT). C++ is a complex object oriented language, but it produces very fast
programs, and easily reusable/portable code. It is the current Arup standard for new
technical software development projects.
8.2 OVERVIEW OF OBJECT ORIENTED PROGRAMMING
Traditional structural programming techniques break a program into several smaller

tasks by defining a set of functions. Object oriented programming (OOP) builds on
this by introducing objects. In an object, both the variables and functions are grouped
together. The behaviour (i.e. the variables and functions) of an object is defined by
the class to which it belongs. Each object is an "instance" of a class.
Object-oriented programming uses abstraction to allow the programmer to consider

the important details of the problem in hand, and to ignore unnecessary complexities.
Encapsulation is applied to hide the details of a solution so that the solution is easier
to understand.
For an example of how OOP is mimicking the real world, consider Ginger the cat in
Figure 8.1.
Figure 8.1 Ginger the cat iic m (B.4)
8-2
The world has a class cat. Everything in the cat class has a set of the same variables
(no of paws, age, sex, etc.) and a range of functions (if you chase it runs; if you pat it,
it purrs). Ginger is an object, and an instance of the cat class. He has all the
functions and variables of a cat. The cat class utilises abstraction and encapsulation:
If we feed Ginger, he will eat without us having to understand the complexities of his
digestive system; we can concentrate on the tasks in hand such as preparing his food
and stroking him.
Returning to lifts, we can define the class lfI with variables such as capacity and
speed, and functions such as StartfourneyO. We can create as many lift objects as we
need; each lift object is independent, but may use all the variables and functions
defined by the class.
OOP helps break down complex problems into manageable parts that are easy to work
with as they represent familiar ideas or components.
8.3 PROGRAM CLASSES
8.3.1 General
Lftsim has seven main simulation classes which defme the behaviour of the system.
These are:
8.3.2 Building class
The building class defines the building in terms of number of stories and story
heights. Its variables and functions are summarised in Table 8.1.

Class Information Description
member variables
mt m_NoFloors; no of floors in building
double mFloorPositions[MAX FLOORS]; array of floor heights
functions
double BuildingHeightO; calculates building height
Table 8.1 Building class variables and functions
8-3
8.3.3 Motion class
The motion class implements the ideal lift kinematics discussed in Chapter 6 of this
thesis. Programs using the class can specify the journey distance, rated velocity, etc.
and output the current distance travelled, velocity, etc. at any time, t since the journey
began. Its variables and functions are defined in Table 8.2.
Class Infonnation Description
member variables

double rn_d; journey distance,(+ for up travel, - for down) (m)
double rn_D; absolute value of md (m)
double rn_v; rated speed, (always +) (mis)
double rn_a; rated acceleration, (always +) (m/sts)
double rnj; rated jerk (always +) (mls/s/s)
motor start up delay (s)
double rn_Tstart;

double rn_t; time elapsed since journey commenced (s)

double rn_StartTime; time journey commenced (s past ref.)
current time (s past ref.)
double rn_CurrentTime;
double rnStartPosition; start position (m above ref. height)
ji nctions
double JourneyTimeO; journey time for trip (s)
char ConditionO; journey condition (A, B, or C)
mt SliceO; calculates which time slice journey is in
double DistanceO; calculates the current distance travelled (m)
double VelocityO; calculates the current velocity (m/s)
double AccelerationO; calculates the current acceleration (m/s/s)
double JerkO; calculates the current jerk (m/sts/s)
double PositionO; calculates current position (m above ref.)
double EndTimeO; time when journey will be complete (s past ref.)
double MmnDistanceO; calculates minimum journey distance if lift begins
slowing down immediately (m)
int ConfirmDestmnationO; confirmation that lift can no longer change
destination, that MinDistanceO is same as m_D
(1- confirmed, 0 - may change)
void DataChecksO; data checks called by constructor
Table 8.2 Motion class variables and functions
8.3.4 Lift class
The lfI class defines a lift (rated speed, capacity, floors served, etc.) and its current
status (position, speed, load, etc.). The motion class is applied to enable the lift to
move according to the selected journey profile. The 4/I class includes algorithms to
allow lifts to answer landing and car calls according to the principles of directional
collective control. (Most lift control systems adopt a directional collective control
strategy regardless of the complexities of the dispatcher algorithms.) 4/I class
variables and functions are defined in Tables 8.3 and 8.4.
8-4
about the 4ft
mt rn_Capacity; nominal lift capacity (kg)
double mVelocity; rated lift velocity (mis)
double m_VelocityMultiply; multiplier set by green dispatcher
double rn_Acceleration; rated lift acceleration (mls/s)
double m_AccelerationMultiply; multiplier set by green dispatcher
double rn_Jerk; rated lift jerk (misisis)
double m_MotorStartDelay; motor start up delay (s)
double rn_DoorPreOpen; door pre-opening (s)
double m_DoorOpen; door open time (s)
double rn_DoorClose; door closing time (s)
double m_DoorDwelll; door dwell time 1 (s) (time doors will wait until
closing if beam not broken)
double mDoorDwell2; door dwell time 2 (s) (time doors will wait until
closing after beams have been broken/cleared)
mt m_DoorBeams; flag for status of door beams (corresponding to
passenger transfer - 1 beams broken, 0 clear)
how the lift serves the building

mt m_NoFloors; no of floors in building
mt rn_Home; home floor/default parking position
double m_FloorPositions [MAX_FLOORS]; positions of floors in building (m above ref.)
mt m_FloorsServed[MAX_FLOORS]; floors served by lift (1 yes, 0 no)
about the current status of the 4ft

int m_CarCall[MAX_FLOORS]; car calls registered (1 registered, 0 not)
mt m_ParkCall[MAX_FLOORS]; parking calls; lift does not open doors on arrival
int rn_ParkOpenCall[MAX_FLOORS]; parking calls, lift parks with doors open
int m_UpLandingCalls [MAX_FLOORS]; up landing calls allocated to lift by dispatcher
int rn_DownLandingCalls[MAX_FLOORS]; down landing calls allocated to lift by dispatcher
mt m_TravelStatus; travel status, (1 travelling, 0 at floor)
hit rn_Direction; direction of travel (-1 down, 0 neither, 1 up)
double m_DestinationPosition; current destination position (m above ref.)
double m_StartPosition; position current journey started (m above ref.)
double m_JourneyStart; time lift journey started (s past ref.)
int m_CurrentLoad; current car load (kg)
mt m_DoorStatus; door status (1 fully open, 2 closing, 3 fully closed,
4 opening)
double rn_DoorsStart; time doors started opening/closing (s past ref.)
double m_TimerTl; time timer TI began (s past ref.),
double rn_TimerT2; time timer T2 began (s past ref.),
double m_PersonStart; time current person began loading/unloading (s
past ref.)
double mCurrentTime; current time (s past ref.)
double rn_DestinationTime; arrival time next planned stop (s after ref.)
double m_CurrentPosition; current position (m above ref.)
double rn_CurrentDistance; distance travelled on current trip (m)
double m_CurrentVelocity; current velocity (m/s)
double m_CurrentAcceleration; current acceleration (m/s/s)
double m_CurrentJerk; current jerk (m/s/s/s)
double m_QuickestStopPosition; next possible stop lift can make (m above ref.)
hit mDestinationFloor; current destination floor no.
Table 8.3 Lift class variables
8-5
void Reset(building b); sets lift to home position, cancels all calls, etc.
mt StartJourney(int floor); start journey to destination "floor"
mt ChangeJourney(int floor); change journey, new destination, "floor"
void UpdateDestinationO; check for calls allocated to lift and set destination
void SetDestinationO; set destination/direction travel
void Update(double CurrentTime); update time (s); this function updates the status of
the lift (position, speed, door operation, etc.)
void RemoveLandingCall(int direction, mt floor); removes landing call - called by class when lift
arrives at landing.
mt LowestFloorServedO; returns number of lowest floor served by lift
int HighestFloorServedO; returns number of highest floor served by lift
mt FloorAtØ; return floor no if not travelling
mt FloorNo(double position); returns floor no at position
double QuickestStopPositionO; next stop lift could make (m above reference)
double QuickestStopTimeO; time of next stop lift could make (s after ref.)
mt QuickestFloorStopFloorO; floor of next stop lift could make
double QuickestFloorStopPositionO; position of next stop lift could make
double QuickestFloorStopTimeO; time of next stop lift could make (s after ref.)
Table 8.4 Lift class functions
8.3.5 Dispatcher class
The dispatcher class defines rules for allocating which lift serves which calls. The
default dispatcher logic has been based on conventional group control with dynamic
sectoring as defined by Barney and dos Santos 85 . The class variables and functions
are defined in Table 8.5.

member variables
mt rn_Algorithm; dispatcher algorithm no. selected
mt m_NoFloors; number of floors in building
mt m_NoLifts; number of lifts
double m_FloorPositions[MAX_FLOORS]; floor positions (m above reference)
mt m_UpLandingCalls [MAX_FLOORS]; up landing calls registered with dispatcher
mt m_DownLandingCalls[MAX_FLOORS]; down landing calls registered with dispatcher
member functions
void CancelLandingCalls(lift l[MAX_LIFTS]); cancel landing call when lift arrives at floor
void Reset(building b,int NoLifts,lift resets dispatcher, sets up member variables
l[MAX_LIFTS]);
int Update(double CurrentTime,lift update dispatcher; this function updates the status
l[MAX_LIFTS],motor m[MAX_LIFTS}, double of the dispatcher, allocating calls, etc.
SimulationTimeStep);
Table 8.5 Dispatch class functions and variables
8-6
8.3.6 Person class
The person defines a person, what time he/she arrives at the landing station, where
he/she wants to go, their mass, etc. Once the journey is complete, the class provides
details about passenger waiting and transit times. Waiting time is calculated as the
actual time a prospective passenger waits after registering a landing call (or entering
the waiting queue ?f a call has been registered) until the responding elevator doors
begin to open. This definition has been taken from the NET Vertical Transportation
Standards 6 . For continuity, transit time is calculated from the time the responding
elevator doors begin to open to the time the doors begin to open again at the
passenger's destination. Variables and functions of the person class are defined in
Table 8.6.

member variables
double rn_TimeArrived; time passenger arrived at landing (s past reference)
(taken to be when call button pressed).
mt mArrivalFloor; arrival floor
mt rn_Destination; destination floor
mt rn_Mass; passenger mass (kg)
mt rn_LoadingThreshold; threshold determining whether passenger will get into
this lift or wait for the next (%) e.g. 80% means that
passenger will not load lift if the lift will then be >80%
full
double m_LoadingTime; passenger loading time (s)
double m_UnloadingTime; passenger unloading time (s)
double m_TimeBeganTransfer; variable used to store when passenger transfer (loading
and unloading) began (s past reference)
mt m_CurrentStatus; current status of passenger's journey; 1 yet to arrive, 2
waiting, 3 loading, 4 travelling, 5 unloading, 6 journey
completed
mt m_LiftUsed; lift used by passenger
double mTirneLiftArrived; time responding lift arrived, taken from when the doors
began to open (s past reference)
double mTimeReachedDestination; time responding lift reached destination, taken from
when the doors began to open (s past reference)
member functions
void NewLandingCalls(double CurrentTime,dispatch& registers new landing calls when passenger arrives
d);
void Update(double CurrentTime,int NoLifts,lift update status of passengers, adjust lift load, breaklclear
l[MAX_LIFTS],dispatch& d); beams, etc.
mt DirectionO; returns direction of call (1 up,-! down)
double WaitingTime; passenger waiting time (s)
double TransitTimeO; passenger transit time (s)
Table 8.6 Person class functions and variables
8-7
8.3.7 Traffic class
The traffic class converts arrival rate and destination probability data into a
corresponding set of person objects.

member variables
mt m_NoTrafficPeriods; number of traffic periods
double m_u[MAX_TRAFFIC_PERIODS] array of arrival rates (persons/s)
[MAX FLOORS];
double m_d[MAX_TRAFFIC_PERIODS] array of destination probabilities (%)
[MAX FLOORS] [MAX_FLOORS];
double m_StartTime[MAX_TRAFFIC start times for traffic periods (s past reference)
_PERIODS];
double m_EndTime[MAX_TRAFFIC end times for traffic periods (s past reference)
_PERIODS];
mt m_Mass[MAX_TRAFFIC_PERIODS]; passenger mass for each traffic period (kg)
mt m_LoadingThreshold[MAX_TRAFFIC loading threshold for each traffic period (%)
_PERIODS];
double m_LoadingTime[MAX_TR.AFFIC loading time for each traffic period (s)
_PERIODS];
double m_Unloadinglime[MAX_TRAFFIC unloading time for each traffic period (s)
_PERTODS];
mt m_NoPassengers; total no of passengers generated
member functions
mt MakePeople(person p[MAX_PERSONS}, converts traffic flows into list of people
building b);
double Average WaitingTime(person average waiting time for passengers who have
p[MAX_PERSONS]); completed their journey
double AverageTransitTime(person average journey time for passengers who have
p[MAX_PERSONS]); completed their journey

mt AllJourniesComplete(person 1 if all passenger journeys are complete, 0
p[MAX_PERSONS]); otherwise
double CallsAnsweredilnTime(double seconds, Returns percentage of calls answered within
person p[MAX_PERSONS]); specified no of seconds - use to plot waiting time
double TransitCompletelnTime(double seconds, Returns percentage of transits complete within
person p[MAX_PERSONS]); specified no of seconds - use to plot transit time
double Journeylime(double seconds, person returns percentage of waiting + transit times
p[MAX_PERSONS]); completed with specified no of seconds - use to
plot journey time distribution

double LongestWaitingTime(person longest passenger waiting time;
p[MAX_PERSONS]);
double LongestTransitTime(person longest passenger transit time;
p[MAX PERSONS]);
double SimulationStartTimeO; calculates from when first passenger could arrive
Table 8.7 Traffic class functions and variables
Different "periods" can be defined, each with separate arrival rates, designation
probabilities, passenger mass, etc. The start and end time of periods may overlap if
necessary. This allows the program user to generate traffic flows which vary in
intensity, e.g. arrival rates at floor n starting at 5 persons per five minutes, then rising
8-8
to 10 persons per five minutes, etc. And to analyse different types of loads being
transported at the same time, e.g. in a hospital the traffic intensity of walking and
wheelchair-bound passengers could be defined separately. Variables and functions of
the traffic class are defined in Table 8.7.
8.3.8 Motor class
The motor class defines the characteristics of the drive. The class calculates the
energy consumption and other characteristics of a DC six pulse static converter drive
as discussed in Chapter 7. Motor class variables and functions are given in Table 8.8.

member variables
double rn_Acceleration; current lift acceleration (m/s/s)
double rn_ArrnatureResistance; armature resistance (ohms)
double rn_GearEfficiency; efficiency of gear (range 0 to 1)
double m_GearRatio; gear reduction ratio (:1)
double m_Jmotor; moment of inertia of motor (kgrn2)
double m_Thrake; moment of inertia of brake (kgm2)
double rn_Jgear; moment of inertia of gear, measured from output
side (kgm2)
double rn_Jpullies; moment of inertia of diverter pulleys (kgm')
double mJsheath; moment of inertia of drive sheath (kgm2)
double m_LineVoltage; phase-phase line voltage (Volts rms)
double m_MassCar; mass of lift car including fmishes (kg)
double m_MassCounterweight; mass of counterweight (kg)
double m_MassPassengers; mass of passengers in car (kg)
double m_MassRopes; mass of ropes (kg)
double m_MotorMagConst; motor magnetising constant (amps)
mt m_MotorStatus; current motor status, (1 running, 0 stopped)
double m_RealPower; total real power consumption (kWhr)
double m_RopeRatio; roping ratio (:1)
double mSheathDiameter; motor sheath diameter (m)
double rnVelocity; current lift velocity (m/sls)
member functions
double AngularAccelerationO; current angular acceleration (rad/s/s)
double AngularVelocityO; current angular velocity (rad/s)
double ArmatureCurrentO; resultant armature current (amps)
double Armature Voltages; armature voltage required (volts)
double FiringAngleO; firing angle of 6 pulse converter (rad)
double LoadlorqueO; load torque (Nm)
double MomentlnertiaO; total inertia of system (kgm2)
double MotorlorqueO; required motor torque (Nm)
double PowerO; current power consumption of DC motor (W)
double PowerFactorO; power factor of converter
void ResetO;. reset total power consumption, etc
void Update(lift 1, double SimulationTimeStep); updates power consumption, etc
Table 8.8 Motor class variables and functions
8-9

8.4 INTERFACE DESIGN
8.4.1 General
The interface is Windows based, and allows the user to edit all the system data in
dialogue boxes containing standard Windows controls (radio buttons, drop downs,
etc.), and a spreadsheet-like control for tabular data entry. The program uses a multi-
document interface, so the user can be working on a number of different simulations
at the same time.
In addition to the standard Windows features (save, print, etc.) there are five data
entry dialogue boxes which can be accessed via the menus or button bar:
i. building data in which the user enters floor names and levels, as shown in
Figure 8.2.
Al jLevel 1
Floor Name Floor Level (m)
1 LoveIl 0-
2 LeveI2 38
3 Level 3 7.6
4 Level4 . 11.4
5 Level 5 __________________ 15.2
6 LevelE 19
7 Level7 ____________________ 228
8 Level8 . 26.6
9 LeveI9 3ft4
113 Lev ifi 342 j OK 1
iJttSim is designed to allow spreadsheetUke data entry. Ctck on the table. and Cancel
then prees Fl br some time saving tips.
Figure 8.2 Building data dialogue box
ii. 4fI data in which the user enters details about the lifts; ranging from the
number of lifts, the capacity, speed, etc. to the drive details and roping ratio,
etc. The dialogue box has two modes, standard and advanced. In the standard
mode, the program takes default values for all but the most basic inputs. The
standard mode allows the user to cycle through a range of lift configurations
with different numbers of lifts, capacities and speeds; this can be useful when
searching for a solution to suit a particular traffic flow.
8 - 10

Lilt oeleclion mode _____________

Standard C Ady&med 0t Cancel
Slaridatd data
Number of Lifts [lcrtied ] j4 j j I

Capacity Select :ii 1.1k-i IU!I!J.!1IJ Man 11600 kg ..J
Speed Auto EEJ I 1-
Results liken
Mart Average Waiting Term [ 20 Max AverageJourney Time (of 190
Figure 8.3 Lift data dialogue box, standard mode
Lift selection mode

C Standard ( Advanced OK Cancel
Al 11000
Lift 1 Lift2 I Lift3 Lift4 I Lift5 I Lift

1000 1000 1000 1000 -
Speed (rn/s 2.5 2.5 2.5 2.5
Acceleration (rn/s 1.1 1.1 1.1 1.1
Jerk (rn/s/s/er) 2 2 2 2
Home floor Level 1 Level 1 Level 1 Level 1
Door pre-openriinr 0 0 0 0
Door open time 2 2 2 2
Door close time 2 2 2 2
Conflqunlion rs ServedA Drives I I I -
Figure 8.4 Lifts data dialogue box, advanced mode
passenger data in which the user enters details of the estimate traffic flow in
111.
terms of arrival rates, etc. Again, there are standard and advanced modes.
Passenger Data Mode

( standard ( advanced OK Cancel
-- PasoengerDetlo--------------------------------__-_--
oading Time j Il 2 Unloading Time (s( Ji 2
Pasoeriger}14ass lkgl Loadir-rg Threshold l'J SO
TrotticGenerator ---------------------- -
Start Time ho ITEI ems End Time hrs mins
Arrival Rate as building population in 5 mins
-- Al I°
_______ floor Population Arrival Rate -
Level 1 30 17
Level2 30 0
Level3 30 0
Level4 30 0
Level5 30 0
IrnxIl p ____
Figure 8.5 Passenger data dialogue box, standard mode
8-11
Paceerrter Data Mode
C standard ( dvanced o] Cancel
I
Al
Arrival Rate Destination Destination Destination Destinaitit
(persons per ProbabIlity ProbabIlity ProbabIlity Probabili_
five mitts) Level 1 (%) Level 2 (%) Level 3 (%) Level 4 (
Level I 32 [1 6 B6C0887 68C6665807 CCEB6BBE
Level 2 6.666666667 0 6.666666667 6.666666E
Level 3 o 6666666667 6666666667 0 6.666666E
Level 4 o 6.666666667 6666666667 6666666667
Level 5 o 6.666668667 6.666666667 6.666668867 6.666666E
Level 6 o 6 666666667 6.666666667 6.666666667 6 666666E
Level 7 O 6.666666667 6.666666667 6 666666667 6 666666E
Level B o 6.666666667 6.666666667 6.666666667 6.666666E
Level 9 o 6.666666667 6 666666667 6.666666667 6.666666E
Level 10 O 6.666666667 6 665666667 6 686666667 6 666666E
Level 11 o 6.666666667 6666666667 6.666666667 6666666E
Level 12 o 6.666666667 6 666666667 6.666666667 6.666666E
Level 13 _______ o 6.666666667__6,666666667 6.666666667 6.666666E
e'i7 Periodi APeod2 APeIHI I
Figure 8.6 Passenger data dialogue box, advanced mode
iv. simulation data in which the user can select the control algorithm, time slice,
and frequency of the graphical display being updated.
Dispatcher Aloithen I-s..

Tme ace between simulation calculation (sI 1001
Nooftrrneshceobetweenscreenupdates 10
OK j Cancel
Figure 8.7 Simulation data dialogue box

V job data in which the user can enter job titles, etc.
Jobtale _____________
Job No. kEnter your iob no/reterence here>
Calculation Title I<Enter your calculation title here>
Made by <Enter your name ur initials here>
OK Cancel
Figure 8.8 Job data dialogue box
The main area of the screen is used for the simulation display (Figure 8.9), and for a
print preview of the data and results once the simulation is complete. The user can
zoom in/out of these displays using the zoom buttons.
8 - 12
Further menu items and buttons are provided for stopping and starting the simulation;
and for cycling through the results of a simulation which has looked at a range of lift
configurations.
-fIJ
1 . Eile Edit Analysis iew window Help -- - -jjj
t11 1lI L:I I 1'l ? I 'f:: 1 I-]'1 lL1
,jo+
Time hrsmIn:seo) 00:00:42.90 Oirctuon A - - -
AIIV1' (a) 0.1 PositIon 14.40 0.00 0.00 0.00
AlT(s) 20.0 Speed (mis) 1.10 0.00 0.00 0.00
Dispatcher Wode Load (kg) 0 0 0 0

Floor People Lending Lift Uft Uft Uft
Ref. lNaiting Calls I 2 3 4

Level 10 0

Level 16 0

Level 14 0
Level 13
Level 12

Level II 0

Level ID 0

Level 0 0

Level 8 0

Level 7 0
Level 6

Level 5 2
m
Level 4 0

Level 3 0

Level 2 0

Level 1 0 mmm
For Help, press Fl
Stad Microsoft Word DocumentJLiftvim - [Dein1.sini] 02:45 PM
Figure 8.9 Simulation display
8.5 OPERATION OF SIMULATION
The program is a time slice simulation; it calculates the status @osition, speed, etc.) of
the lifts, increments the time, re-calculates status, increments time, and so on. As
Windows is a multitasking operating system, the program cannot take full control of
the computer's resources and run in a continuous loop. It must wait for a processing
"thread" to become available, run one cycle of the simulation, then wait for the next
thread to become available. Provided that there are not too many other demands on
the computer's processor, the simulation will run faster than real time on a Pentium
PC using a time slice of 0.01 seconds. A flow diagram of a single cycle of the
simulation is given in Figure 8.10
8-13
Figure 8.10 Simulation flow chart, one cycle
8 - 14
8.6 RESULTS
Once the simulation is complete, the results print preview includes:
the input data
. results for average waiting time, longest waiting time, and a plot of the waiting
time distribution
. results for average transit time, longest transit time, and a plot of transit time
distribution
. the total power consumption for each lift, and total number of motor starts
A Comma Separated Variable (CSV) file with the input data and results is also
generated. This can be imported into a spreadsheet so that the user can present the
information in his/her own format. For further spreadsheet analysis, this CSV file
also includes a table containing details of every passenger generated by Liftsim: what
time they arrived, at which floor, what was their destination, what were their waiting
and transit times, etc.
8.7 TESTING
The testing program for Lifisim has included:
. where practical, individual classes run in test programs before being added into
Liftsim, e.g. a simple plotting routine was used to test the motion class.
• reviewing the graphical display of the lifts in operation; this identified most errors
and omissions in the original program code.
• Mathcad was used to model individual journeys, confirming that the waiting and
transit time, and energy consumption results were being calculated correctly.
8 - 15
A separate testing program was undertaken by others in Arup Research &
Development; this confirmed Lifisim's waiting and transit time calculations for
journeys for multiple passengers and trips. It also identified some minor interface
bugs.
8.8 DISCUSSION
Lflsim has been written as a development platform for "green" lift control systems.
The program implements the kinematics and motor model research discussed in
previous chapters.
The passenger generator creates passengers in software based on arrival rate and
destination probability data entered by the user. The program performs a time slice
simulation, providing a graphical representation of the lifts as they serve the
passengers' calls.
Lftsim is written in Microsoft Visual C++. It uses object oriented techniques,

breaking down the programming tasks into classes. These classes represent objects
(e.g. lift, person, building) which are straight forward to conceptualise, and therefore
easier to work with. The interface is Windows based. The user enters data into dialog
boxes: building data, lift data,passenger data, simulation data and job data.
Once the simulation is complete, Lftsim displays results on screen in a print preview
format. These results include details of input data, waiting times, transit times, and
power consumption.
The built in control system is based on conventional group control with dynamic
sectoring. In Chapter 9 we discuss the application of green control strategies to this
system, and make comparisons in terms of performance and energy consumption.
tested on some current Amp jobs.
8-16
It is envisaged that there will be further enhancements to Lftsim including the

development of:
(i) a fuller range of control systems

(ii) additional motor models
(iii) double deck lift version
An abstract for a paper discussing Lflsim has been submitted to the International
Elevator Technology Conference, ELEVCON '98.
REFERENCES
8.1 Schroder R Elevator Traffic Simulation: The Perfect Analytical Tool Elevator
World (April 1991)
8.2 Hamdi M, Mulvaney D Visual Interactive Lift Simulator Elevator
Technology 7, Proceedings of ELEVCON '96 (The International Association
of Elevator Engineers)( 1992)
8.3 Jenkins K Elevator Simulation Techniques Elevator Technology 4,
Proceedings of ELEVCON '92 (The International Association of Elevator
Engineers)(1 992)
8.4 Perry G, Ross J Visual C++ By Example (Indianapolis: Que Publishing)
(1994)
(London: Peter Peregrinus) 2 edition (1985)
8.6 National Elevator Industry Inc., 7th Edition Vertical Transportation Standards,
1994 Supplement.
8-17
Chapter 9
GREEN LIFT CONTROL STRATEGIES
9.1 INTRODUCTION
Barney and dos Santos(9M define a group supervisory control system as a control
mechanism to command a group of interconnected lfl cars with the aim of improving
lfl system peiformance. Conventionally this system performance has concerned
maximising the handling capacity of the lift system, and minimising passenger
waiting and transit times. So 92 provides a review of the increasing advanced control
strategies applied by designers in order to realise improved performance in these
terms.
It would be counterproductive to ignore conventional system performance criteria as

excessive waiting for lifts is very frustrating for passengers. So let us define a green
lift control system as a group control system that considers conventional measures of
system peiformance, as well as means to reduce energy consumption.
In this chapter we shall consider three strategies that would be appropriate to a green
lift control system. The strategies have been implemented and tested using Ly'Isim.
9.2 GREEN STRATEGY NO.1 - CONTROL OF KINEMATICS
Conventionally lifts have the same maximum velocity, acceleration and jerk (rate of
change of acceleration) for every trip, if the system does allow any variation, this is
generally pre-set by the lift service engineer or building owner.
The ideal lift kinematics research discussed in Chapter 6 of this thesis bas allowed us
to generate, quickly and easily, motion profiles for any input ofjourney distance,
velocity, acceleration and jerk. This allows us to consider control systems that vary
all these parameters on line in lift system controllers.
9-1
One reason for varying the lift kinematics could be for energy saving purposes.
Indeed simulation results suggest that significant savings can be achieved without a
significant overall reduction in performance from the passenger's prospective. To
understand how these savings can be realised, consider:
When a lift leaves the ground floor full of passengers, it is motoring, requiring
predominantly positive torque in a positive direction. As passengers are dropped off
up the building, the counterweight becomes heavier than the lift, so the motor is
providing predominantly negative torque in a positive direction. Similarly for a
journey down the building, a negative direction, the motor can be required to deliver
both positive and negative torque. Thus the lift motor is said to operate in "four
quadrants", as represented graphically in Figure 9.1.
T T1
Empty Car Full Car

Travelling Up Travelling Up
v.1 Torque -ye

Velocity +ve
Generating
Torque +ve
Velocity +ve
Motoring
vi
T14

Empty Car Full Car

Travelling Down Travelling Down
v v,
Torque -ye Torque +ve

Velocity -ye Velocity -ye

Motoring Generating
Figure 9.1 Four quadrant operation of lift drive
9-2
(This well known example of how a lift operates in four quadrants is not the whole
story as the required motor torque is a function of not just the static load, but also of
the angular acceleration and inertia of the system. Equations for calculating how the
load torque varies over a lift trip are given in Chapter 7 of this thesis.)
In general terms, reducing the performance of the lift when it is "motoring", and
increasing it when it is "generating" can provide an energy saving in both instances,
without a significant overall effect on passenger waiting and transit times.
An algorithm has been developed that tests a range of velocity and acceleration
options (ranging ± 20% from rated velocity and acceleration) before the start of each
trip. The algorithm then chooses the most energy efficient option. Figure 9.2
summarises the results of tests for a 10 storey building with 4 lifts. An inter-floor
passenger traffic profile has been used.
In this instance a 33.4% saving in energy consumption has been achieved. The
average journey time has increased by just 1.3 seconds.
9-3

Waiting Time Transit Time
)100 100
E
80 80
60 .E 60
i)
1)
40
20 20
C.)

0 20 40 60 80 100 20 40 60 80 100

time (s) time (s)
Journey Time Relative Energy Consumption

100 100
tj)
80 80
E
.E60 60
%
40
20 20
0 0
0 40 80 120 160 200 normal green
time (s)
Figure 9.2 Simulation results for Green Strategy No.1 - Control of Kinematics
9.3 GREEN STRATEGY NO.2 - REDUCING THE NUMBER OF STOPS
Figure 9.3 demonstrates the energy consumed by a lift over a single trip (motoring), as
presented in Chapter 7 of this thesis. The energy consumption peaks during the
acceleration phase, and is relatively low once the lift reaches full speed. There is
regeneration during the deceleration phase, but this is less in total than the energy
expended during the acceleration phase. Thus it is reasonable to assume that there
will be energy savings if we can transport the same number of passengers, with less
stops, but without an increase in the overall distance travelled by the lifts.
9-4
11
51
P( t)
0
51
0 10 20
t
Figure 9.3 Energy consumed by a lift over a single trip (motoring)
One way to achieve this is by forcing the dispatcher to allocate a landing call to a lift
when it is:
• already due to stop at that floor for a passenger's car call, and
• travelling in the right direction to serve the landing call.
This condition for a "forced" allocation may not occur for some time, e.g. it is
unlikely during solely up peak traffic, or during light inter-floor traffic. But most lift
systems are likely to benefit from the strategy at some time during their daily cycle.
Figure 9.4 records the results of a simulation of a 14 storey building with 6 lifts. The
traffic profile is based on the beginning a the lunch period in an office building - down
peak traffic to the ground floor, plus inter-floor traffic.
In this case, the "green" algorithm implementing the discussed strategy causes a 3.2%
reduction in the number of motor starts, leading to a 6.2% reduction in the energy
consumption. The waiting time distribution remains very similar, but there is a minor
improvement in transit times. The improvement in transit time performance is
explicable as the strategy will result in some passengers experiencing less
intermediate stops during their journey.
9-5

1)
100 100
E a)
80 E80
2 .E 60
a)
40 40
E
20 2O
C)
0 20 40 60 80 100 0 20 40 60 80 100
time (s) time (s)

100 100
'1)
80
60
4:: %
40
'p 20 20
0 0
0 40 80 120 160 200 normal green
time (s)
Figure 9.4 Simulation results for Green Strategy No.2 - Reducing the Number of
Stops
Reducing the number of stops is not a new goal for lift control systems. This is
because reducing the number of stops reduces the round trip time, increasing the
passenger handling capacity of the lift system, and sometimes the lift performance.
Other systems that reduce the number of stops include:
• fixed zone systems where lifts are divided into groups to serve groups of floors,
e.g. 4 lifts serving ground and levels 1 to 10, 4 lifts serving ground and levels 11
to 20.
9-6
• dynamic zoning systems, where the dispatcher indicates to the waiting passengers
which floors a lift will be serving every round trip, e.g. Channelling as presented
by Powe11'93.
• call allocation systems, as described by Barney and dos Santos 91 , where
passengers are required to register their destination (as opposed to direction of
travel) at the landing.
While these systems do result in less stops, they do not necessarily result in an energy
saving as:
. the overall distance travelled by the lifts is sometimes greater.

the number, speed, capacity, etc. of the lifts will differ from a corresponding
conventional, single zone design.
To assign credit for energy saving based on these methods, a designer would need to
carry out a direct comparison of alternative schemes for the project in question.
9.4 GREEN STRATEGY NO.3 - SELECTIVE PARKING POLICIES
When a lift has answered all its calls and becomes free, it can be "parked" at the floor
it last answered a call, or sent to another floor in anticipation of future calls. Barney
& dos Santos 9 ' describe how re-positioning a free car to a particular floor as part of a
parking strategy can improve the overall performance of a lift system.
For instance, consider the morning up peak in an office building where the main
passenger traffic flow is from the ground floor to upper floors. In this scenario, the
dispatcher can improve system performance by returning free cars to the ground floor,
and parking them with their doors closed. When a preceding lift departs from the
ground floor, and another is needed, a free lift is available immediately rather than
having first to be brought to the ground floor.
Similarly during off-peak traffic, answering a series of calls may leave free lifts poorly
positioned to answer future calls. Consequently, lift control systems sometimes apply
9-7

parking policies to improve performance in these scenarios as well.
From the energy saving viewpoint, we should apply parking policies selectively.
Figure 9.5 summarises the results of the simulation of a fifteen storey building with
very light inter-floor traffic. The simulation has been run with and without a parking
policy that implements a parking strategy.

100 100
80
I: 40 - - - parking policy
.E 60
i)
20 no parking policy 2O

0 20 40 60 80 100 0 20 40 60 80 100

time (s) time (s)

100 100
90
80 80
70
•E60 60
% 50
40 40
j 30
0 20 20
10
0 0
0 40 80 120 160 200 parking no
time (s) policy parking
Figure 9.5 Simulation results for Green Strategy No.3 - Selective Parking Policies
The results demonstrate that the parking policy improves performance. The question
is whether the improvement in performance justifies that additional energy consumed;
in this instance, probably not. Other scenarios will be less clear cut.
9-8
Green control systems should place parking calls selectively. This could be achieved
by the dispatcher reviewing the potential contribution to system performance of
parking calls before deciding whether or not they should be made.
9.5 DISCUSSION
Applying the kinematics, motor modelling and simulation tools discussed in previous
chapters, we have developed and tested three green lift control strategies:
(i) Control of kinematics where different values of maximum acceleration and

velocity are chosen for each trip to minimise the energy consumption.
(ii) Reducing the number of stops where dispatcher allocations are chosen in order
to reduce the total number of stops made by the lifts.
(iii) Selective parking policies which shows that parking policies can be applied
inappropriately, yielding a marginal improvement in performance in return for
a significant increase in energy consumption.
waiting and journey times. The magnitude of energy savings is a function of the
installation and traffic flow, so cannot be declared absolutely. However, simulation
suggests that we can achieve an energy saving in excess of 30%.
These results are for a DC static converter drive. It is reasonable to assume that there
would be similar savings in applying these strategies with other regenerative drives.
The development of additional drive models, as suggested in Chapter 7, would enable
us to confirm this assumption.
strategies using Lftsim. The performance of existing strategies needs to be tested
9-9
A paper discussing this research in green lift control strategies has been accepted for
publication by the International Journal of Elevator Engineers.
REFERENCES
9.1 Barney G C, Dos Santos S M Elevator Traffic Analysis Design and Control
(London: Peter Peregrinus) 2 edition (1985)
9.2 So A T P, Liu S K An Overall Review ofAdvances Elevator Technologies
Elevator World (June 1996)
9.3 Powell B A Important Issues in Up Peak Traffic Handling Elevator
Technology 4, Proceedings of ELEVCON' 92 (The International Association
9-10
Chapter 10
CONCLUSIONS AND FURTHER WORK
10.1 GREEN LIFTS

transportation systems.
The most widely used vertical transportation system is the lift or elevator, which has
been the focus of most of the research. A "green lift" can be defined as a lift system
that delivers good passenger service at an acceptable cost while incurring minimum
environmental impact.
To determine the environmental impact of a lift system, Life Cycle Analysis has been
applied. This shows that energy consumption is by far the most important factor.
Thus this project has focused on ways of reducing the energy consumption of lift
systems. Further environmental analysis would be of academic interest only. We
should apply sensible practices in the choice of lift materials, transportation, etc., but
these are secondary issues, and should be regarded as such. Further work in this area
should be focused on communicating these findings.
The lift system will not normally be the largest energy user in a building. Other
systems have higher loads and can offer greater energy savings. Nevertheless, there is
correspondingly more research in environmental friendly HVAC, lighting, etc.
systems. Energy saving lifts should not be disregarded as the potential savings are
still worthwhile.
position of stairs, etc. all have a maj or effect on the energy consumption of the vertical
transportation system. As a starting point, these choices should be made with energy
10-1
saving in mind. We can then go on to consider more advanced strategies.
10.2 PLANNING ISSUES
10.2.1 The need for good planning
Lift designers need to have a good understanding of passenger traffic demand, and
analysis techniques to assess the performance of possible lift configurations. If both
of these are not in place, then there is a high probability that installed systems will be
either inadequate or over-designed. The first alternative is unacceptable to
passengers. The second is unnecessarily expensive, and will consume more energy.
10.2.2 Assessing traffic demand
Designers normally assume that the up-peak is the busiest period in commercial
buildings. Calculations used to select the number, size, speed, etc. of lifts required are
based on this assumption.
Surveys undertaken for this research project suggest that this assumption is outdated,
and need to be revised. The up-peak seen in commercial buildings is less marked than
when current design criteria were formulated. The lunch time peak is now the busiest
period.
Further surveys need to be carried out to confirm these results. However, they are
consistent across the office buildings surveyed by the author, and with anecdotal
evidence from designers to whom this work has been presented.
In carrying out further surveys, researchers should use automated people counting
techniques as it is very time consuming to collect large amounts of data manually. A
range of surveying techniques has been reviewed. Currently the author favours an
infra-red beam system as the best available technology, although further research in
passenger counting techniques would be beneficial. The author continues to collect
data, and has been encouraging others to publish their results so that improved design
criteria can be established.
10-2
10.2.3 Traffic calculations
Traffic analysis techniques based on Round Trip Time calculations have been
developed and extended. Round Trip Time calculations are good planning tools as
they give consistent results, and are not dependant on any one control system. They
are likely to be our primarily design tools for some years to come.
The author of this research project has made two contributions to the up-peak analysis
calculation. Firstly, to derive formulae to determine flight time for any travel distance
and lift dynamics. This extends the standard method, which uses tabulated results.
Secondly, the author has implemented in formulae, "corrections" that were

recommended for lifts not reaching full speed in a single floor jump, and for non-
equal inter-floor heights. A sensitivity analysis on these corrections has demonstrated
that the variations between original and corrected results are relatively small (less than
2%). It can be argued that this variation is too small to warrant changes to the
standard up peak calculation procedure. In itself, this is an interesting and useful
result.
The up-peak calculation has been implemented in a computer program which, it is

intended, will be issued with the revised version of CIBSE Guide D, Transportation
systems in buildings.
As we believe the lunch period is the most onerous time for the lifts, it is important to
be able to assess this period with traffic calculations. We can do this using the
General Analysis calculation technique, which the author derived prior to joining the
EngD programme. The General Analysis assesses a lift system's performance given
any peak passenger demand.
This General Analysis is a relatively complex technique to implement and to apply.

Therefore further research to determine the equivalent lunch time handling capacity
relative to a given up-peak handling capacity would be beneficial. This would allow
designers to assess lunch time performance while retaining well known and
10-3
understood up-peak analysis techniques.
10.2.4 Environmental benefits
The results of traffic surveys have been tested on Arup designs. Analysing the up-
peak and lunch peak, it is apparent that revising our design criteria is unlikely to result
in fewer lifts, but would reduce car sizes, say from 1250 kg to 1000 kg. And therefore
lead to energy savings.
10.3 TRAFFIC ANALYSIS FOR DOUBLE DECK LIFTS
This is particularly attractive for high rise buildings, where the core space taken by the
lifts is a high percentage of the total floor area.
Formulae have been derived and implemented that allow analysis of any peak traffic
flow for any practical configuration of double deck lifts. Previously only up-peak
formulae had been known. The approach taken for double deck lifts could be
extended to cover triple and quadruple deck lifts if required.
performance of lift systems in high rise buildings. A study of the relative energy
10.4 MATHEMATICAL MODELS OF LIFT MOTION AND DRIVES
10.4.1 The need for mathematical models
In order to develop strategies for energy saving, we need models to experiment and
test our ideas. Mathematical models allow us to test a wider range of systems than it
would be practical or affordable to build in real life. The motion and drive models
developed for this project were implemented in the simulation program, Lftsim. This
was used to develop energy saving control strategies.
10-4
10.4.2 Ideal lift kinematics
The equations derived allow continuous, optimum functions ofjerk, acceleration,

speed and distance travelled profiles to be plotted against time. These profiles can be
generated for any journey distance given inputs for maximum jerk, acceleration, and
speed. Previously the shapes of these curves where known, but only certain points
could be plotted.
The ability to plot profiles for any inputs gives additional flexibility in the design of
lift controllers. This functionality has been applied in the design of green control
strategies.
The equations are complex, but have been implemented in software by the author.
The users of this software do not need to work through the calculations taking place,
but can concentrate on entering the required inputs to generate the profiles quickly and
easily.
The flight time formulae discussed with reference to traffic calculations are a result
from this section of the research.
Although there is some guidance on the choice of maximum jerk and acceleration for
a lift installation, there have been no major studies on the relative levels of comfort
experienced by passengers given different values of these variables. Applying the
research lift kinematics, it would be feasible to carry out such an investigation. This
would yield useful results for specification and design.
10.4.3 Motor model
A motor model developed by So for a DC static converter drive has been implemented
and extended. The model now uses, as an input, the motion profiles generated from
the kinematics research. Equations for load torque and load inertia have been
developed as So uses fixed values.
10-5
direction and loading. This motor model is included in the lift simulation program,
Lftsim, which was used to develop and test green lift control strategies.
Results from the model are consistent with those presented by So. Initial site tests
have suggested that the model is generating consistent power consumption profiles,
and can at least not be rejected.
Further research into the modelling of this and other lift drives would be valuable.
More comprehensive site tests would need the full co-operation of the lift
manufacturer, installer and building owner. Some of the variables required are
difficult to measure, and so cannot be established without full access to
manufacturer's design data.
Currently designers rely on empirical methods to estimate the power consumption of a

lift installation. Building motor models into simulation programs such as Lftsim will
improve our predictions of power consumption and allow us to demonstrate the value
of energy saving features.
The motion and motor models developed allow us to test the energy consumption of
individual lift trips. We have full control over the inputs to the system, so can
consider any lift speed, size, loading, etc. This provides us with the basis for testing
energy saving ideas.
10.5 LIFTSIM AND GREEN CONTROL STRATEGIES
10.5.1 Reasons for development
The lift simulation program, Lflsim has been written. The program implements the
kinematics and motor model research, providing a development platform for "green"
lift control systems.
10-6
10.5.2 Overview of program
Lfisim is written in Microsoft Visual C++. It uses object oriented techniques,

breaking down the programming tasks into classes. These classes represent objects
(e.g. lift, person, building) which are straight forward to conceptualise, and therefore
easier to work with. The interface is Windows based. The user enters data into dialog
boxes: building data, lfI data, passenger data, simulation data andjob data.
L/Isim 's passenger generator creates passengers in software based on arrival rate and
destination probability data entered by the user. The program performs a time slice
simulation, providing a graphical representation of the lifts as they serve the
passengers' calls.
The built in control system is based on conventional group control with dynamic
sectoring. Additional control systems could be added, which would be worthwhile
further work.
Once the simulation is complete, L/Isim displays results on screen in a print preview
format. These results include details of input data, waiting times, transit times, and
power consumption.
Three green lift control strategies have been developed and applied to the dynamic
sectoring control algorithm:
(i) Control of kinematics where different values of maximum acceleration and

velocity are chosen for each trip to minimise the energy consumption.
(ii) Reducing the number of stops where dispatcher allocations are chosen in order
to reduce the total number of stops made by the lifts.
(iii) Selective parking policies which shows that parking policies can be applied
inappropriately, yielding a marginal improvement in performance in return for
a significant increase in energy consumption.
10-7
waiting and journey times. The magnitude of energy savings is a function of the
installation and traffic flow, so cannot be declared absolutely. However, simulation
suggests that we can achieve an energy saving in excess of 30%.
These results are for a DC static converter drive. It is reasonable to assume that there
would be similar savings in applying these strategies with other regenerative drives.
The development of additional drive models would enable us to confirm this
assumption.
strategies using Lftsim. The performance of existing strategies needs to be tested
tested on some current Arup jobs.
Lflsim is a power lift simulation program. It brings together the project research in
traffic modelling, kinematics, and motor modelling. The program has been applied in
the development of energy saving control strategies.
It has been shown that, by the application of green control strategies, we could
achieve energy savings in excess of 30%.
10-8
10.6 CONTRIBUTION TO KNOWLEDGE
The project has yielded a "contribution to knowledge" through:
. environmental assessment of vertical transportation system

• improvements in lift system models
• development of green control strategies
The research has been widely published at conferences, in journal papers, and through
the national and international vertical transportation trade press. A full list of
publications is included in Appendix A of this thesis.
10-9
Appendix A
LIST OF PUBLICATIONS
Al JOURNAL PAPERS
Peters R D, Mehta P, Haddon J L/1 Traffic Analysis: General formulae for double
decker 4fls Building Services Engineering Research and Technology, Volume 17 No
4 (1996)
Peters R D Ideal LfI Kinematics: Derivation of Formulae for the Equations of

Motion of a LfI International Journal of Elevator Engineers, Volume 1 No 1 (1996)
Peters R D Lift Traffic Analysis: Formulae for the general case Building Services
Engineering Research and Technology, Volume 11 No 2 (1990) (republished by
Elevator World, December 1990) (published before joining EngD programme)
A2 CONFERENCE PAPERS
Peters R D Risk and the Vertical Transportation Industry Elevator Technology 7,

Proceedings of ELEVCON'96 (The International Association of Elevator Engineers)
(1996)
Peters R D, Mehta P, Haddon J Ly'I Passenger Traffic Patterns: Applications, Current

Knowledge, and Measurement Elevator Technology 7, Proceedings of
ELEVCON' 96 (The International Association of Elevator Engineers) (1996) (also
presented at IAEE London Lift Seminar May 1997)
A-i
Peters R D Mathematical Modelling of Lift Drive Motion and Energy Consumption
Proceedings of CIBSE National Conference 1995 (The Chartered Institution of
Building Services Engineers) (1995) (republished by Elevator World, July 1996)
Peters R D Ideal Lfl Kinematics: Complete Equations for Plotting Optimum Motion
Elevator Technology 6, Proceedings of ELEVCON'95 (The International Association
of Elevator Engineers) (1995) (republished by Elevator World, April 1996 and by
Elevatori, May/June 1996)
Peters R D General Analysis Double Decker L/i Calculations Elevator Technology

6, Proceedings of ELEVCON'95 (The International Association of Elevator
Engineers) (1995) (republished by Elevator World, December 1996 and by Elevatori,
May/June 1997)
Peters R D Green Lfts? Proceedings of CIBSE National Conference 1994 (The

Chartered Institution of Building Services Engineers) (1994) (republished by Elevator
World, June 1995 and by Elevation, Autunm 1995)
Peters RD The Theory and Practice of GeneralAnalysis Lfl Calculations Elevator

Technology 4, Proceedings of ELEVCON'92 (The International Association of
Elevator Engineers) (1992) (published before joining EngD programme)
A-2
Appendix B
PROGRESS REPORTS
Progress reports written during of the course of the project are included in this
Appendix. The reports are unedited, except for re-numbering and minor language
corrections. The original report appendices are omitted for brevity.
Bi May1994
B2 May 1995
B3 October 1995 (End of Year II Dissertation)
B4 April 1996
B5 October 1996
B6 April 1997
B-i
Bi PROGRESS REPORT MAY 1994
B1.1 Introduction
This report summarises the project work I have carried out over the first six months of
the Engineering Doctorate programme. The project progress was discussed with my
Academic and Industrial Supervisors, Dr Pratap Mehta and John Haddon at a meeting
on the 11th March 1994. A copy of the documents issued at the meeting are included
in Appendix B of this report and are referred to in this text.
B1.2 Project objectives
The following project objectives were given in the original project proposal and are
included for context:
Preamble
Buildings account for about a third of all the energy we consume. Lifts make up a
significant proportion (5 to 10%) of the electrical load in large developments and there
are potential energy savings and cost savings to be made by good planning design,
control strategies and the use of high efficiency motors.
The research outlined below will provide the basis for design and specification of
vertical transportation systems which are both energy efficient and provide passengers
with a good service by defined standards.
Project recommendations are expected to influence lift design and specification on a

national and international basis through the work of the Ove Arup Partnership, and
through publications in technical journals and design guides.
Objectives
i. Measure vertical passenger traffic and lift/escalator energy consumption so as
B-2
to build up pedestrian circulation and corresponding energy models for offices,
residential buildings, airports, leisure complexes, etc.
ii. Compare use and performance of lifts/escalators/stairs to existing lift traffic

analysis models and assumptions. Compare performance of driving motors to
electrical models.
iii. Develop computer programs implementing verified analysis/simulation traffic

analysis models and corresponding energy models.
iv. Use verified models to calculate: the benefits of developing and implementing
energy efficient lift control algorithms, the savings achievable through the use
of high efficiency motors, and the benefits of energy conscious planning
strategies.
v. Establish guidelines for predicting traffic in new and refurbished buildings.

Make planning and specification recommendations that reflect the need to
design energy efficient buildings.
B1.3 Breakdown of time spent
In a typical week I spend two days in Arup offices, two days at Brunel University and
a day working at home or on site. I log the use of my time, which has, in summary
been divided as follows:
32% Pure research - literature search, background reading, developing theories,

writing computer programs and drafting papers specifically for the research project
21% Arup job related - Working on Arup projects related to the research
16% EngD course work - time spend attending courses and completing course work
14% LIFT program - implementing new theories and ongoing development of Arup
B-3
LIFT program which is used on Arup lift projects
10% Electrical Computing - as Chairman of the Arup Electrical Computing Working

party I spend part of my time monitoring and managing Electrical Computing
Development in Arup.
8% Holiday/illness
B1.4 Project research topics
Ideal 4/1 kinematics
To model a lift system accurately, we need to consider its equations of motion or

"kinematics". Some published material on this subject is given in references (l)(2) -
Professor Motz is credited as having formulated equations which allow us to plot
points on the corresponding time versus distance, speed, acceleration and jerk curves.
I have furthered this work by deriving a set of equation that allow the equations of
motion of a lift to be plotted as continuous functions for any inputs.
There appear to be errors in the original work by Motz which I have identified in
reference (3). This, together with my ideal kinematics paper (4) is currently being
reviewed by Dr Pratap Mehta prior to being submitted for publication in the CIBSE
technical journal, Building Services Research and Technology.
The next stage in this work is to implement algorithms calculating the energy
consumption associated with the various types of variable speed lift motor drives
when input with the ideal journey profiles. Once tested and verified against real
systems, this will provide the basis for modelling the energy consumption associated
with the operation of a variable speed lift system.
Double decker 4/Is
Lifts are particularly critical in tall buildings where few people can be expected to
B-4
walk to their destination. In tall buildings with large floor plans, double decker lifts
may be used to reduce the number of lifts and core space. Double decker lift traffic
analysis techniques published to date have only considered the morning up peak
traffic scenario. I have derived and implemented general analysis formulae which
allow any peak lift traffic to be analysed.
A draft paper summarising this technique is given in reference (5).
Oasys LIFT 6.0 Enhancements
I am the principle author of Oasys LIFT which is used internationally on Arup

projects to select lift configurations for major developments. The major development
for LIFT in the past six months has been the inclusion of my double decker lift traffic
analysis technique. A number of minor enhancements have also been made to the
user interface.
CIBSE National Conference paper
The main theme for this years Chartered Institute of Building Services Engineers
National Conference in Brighton, October 1994 is environmental engineering and
communications. I submitted a synopsis, reference (6), for a paper with the title
"Green Lifts?" which was accepted in January. I submitted a draft of the final paper
in April.
Traffic data collection
Initial site surveys collaborate the view that our standard office lift traffic design
criteria are outdated due to changes in working practices and tend to result in the
installation of excess lift handling capacity. Moving large, heavy lifts up and down a
building when they a virtually empty at peak time is not energy efficient.
Current industry standard design criteria have been in use for many years. In order to
B-5
justify proposals to change British Standard and CJBSE recommendations I will need
to provide a comprehensive set of survey results.
My initial surveys have been manual counts using a notebook computer to time stamp
events. This is time consuming, tedious and only provides data for one floor at any
one time. I am investigating two other approaches:
• Computer video counts - using video cameras, frame grabbers and computer based
(often neural network) algorithms to determine the number of people using lifts.
This technology is relatively new and very expensive if purchased as a package.
Colleagues at Brunel are writing a lift control algorithm which uses people
counting, and the associated video based people counting methods may yield an
affordable solution to my traffic data collection problem.
• Traffic analysers - some lift engineers use the data available from lift control
systems (lift button presses, etc.) as a measure of lift traffic and lift system
performance. But no information is known about the number of people waiting or
being transported. I am currently developing a theory which applies a
mathematical model to traffic analyser data in order to estimate the actual
passenger traffic flow in persons per five minutes. The preliminary simplified
algorithm is promising. If further testing and development is successful, this
approach would allow me to collect an enormous amount of traffic data relatively
simply at minimal expense.
Arup projects
I have been advising on a range of lift projects in Arup - from a single lift in a 3/4
storey building to a 50 storey building (for which a typical scheme has 36 lifts in
various zoned/express lift combinations).
I have also acted as an expert witness in a Rent Review arbitration case. Included in
my proof of evidence were references (7) and (8) which are a traffic survey of the
B-6
building in question and an explanation of Oasys LIFT calculations.
B1.5 Comments on progress and next stage of project
I am satisfied with the progress of the first six month of my project and confident that
the work carried out is in line with objectives originally agreed for the project. I am
conscious of the diverse range of research topics I am investigating, but believe that
the various strands should come together when I start modelling the complete lift
system by simulation during the next six months. The intention is to write a lift
simulation program which will:
i. use traffic data collected for the project as input

ii. implement the ideal kinematics formulae for modelling lift movement
iii. output energy consumption associated with each lift trip
iv. provide a platform for testing lift control strategies that use energy efficiency
as criteria
A project programme for the second six months of the project and an overview plan
for years 2 to 4 are given in Appendix A
B1.6 List of Contents for Appendices of Progress Report B!
Appendix A
Project Programme
Appendix B
i. Extract from CIBSE Guide on Ideal Lift Kinematics

ii. On the ideal kinematics of lifts by Prof Molz
iii. Commentary: On the ideal kinematics of lifts by Prof Molz
iv. Ideal lift kinematics: Formulae for the equations of motion of a lift
v. Lift traffic analysis: general formulae for double decker lifts (draft)
vi. CIBSE National Conference, "Green Lifts?" synopsis
vii. Report of Traffic Survey at 33 Wigmore Street, London on Friday 18th
February 1994 (please treat as confidential)
B-7
viii. Basis of the Oasys LIFT 5.0 program implementation of general formulae for
lift traffic analysis (please treat as confidential)
B-8
B2 PROGRESS REPORT MAY 1995
B2.1 Introduction
This report summarises the work I have carried out over the first 18 months of the
Engineering Doctorate programme, outlines my "contribution to knowledge" in the
form of published papers, and discusses future work.
B2.2 Green Lifts?
Key paper
The Environmental Technology basis for my research was demonstrated in the Green
Lifts? paper presented at the EngD end of Year I conference. In this paper I applied
Life Cycle Analysis to show that the dominant source of environmental burdens for
lift systems are the non-renewable resources depleted, the waste created and the
emissions generated through the production of electricity for the operation of lifts
while in use.
I highlighted three areas I am working to realise a reduction in energy consumption.

These are:
Modelling of lfl movement and corresponding energy consumption. This provides the
tools to investigate possible savings associated with varying performance, selecting
different drive types, alternative lift configurations and, through the use of light
modern materials.
Reviewing current traffic design criteria. I am questioning current lift design criteria
which, in my opinion, are outdated due to changes in working practices and tend to
result in the installation of excessive handling capacity. The goal here is to avoid
excessive over sizing of lift cars. Moving large, heavy lift cars up and down buildings
when they are virtually empty at peak times is not energy efficient.
B-9
Green Lf1 Control Algorithms. Lift control algorithms generally give consideration
to optimisation of traffic flow, and minimisation of waiting and journey times. In due
course I will be writing lift control algorithms that also consider energy consumption
in their allocation of lifts to calls.
Paper readership/audience
The Green Lifts? paper was originally prepared for the Charted Institution of Building
Services Engineers National Conference, for which it was refereed by two
independent experts. I presented the paper at the CIBSE Conference in October 1994
to an audience of practising building services engineers.
I also presented the paper to the EngD 1994 Conference, a Brunel Research Seminar,
various Arup audiences (Arup Environmental, Arup Electrical Engineers, Arup Hong
Kong office), and to Hong Kong Polytechnic University Building Services students.
The paper has also been circulated to major lift manufacturers for comment (Kone,
Express, Otis and Schindler).
I understand that the paper will be reported in the next edition of the CIBSE Lift
Newsletter, and may be re-published in the international elevator magazine, Elevator
World.
The response to the paper has been positive, affirming that the direction of the work is
valid. There has been minimal previous research in this area, although it has been
generally acknowledged that vertical transportation is a major building electrical load,
after electric heating/air conditioning (where applicable) and lighting.
Putting the project in perspective
I am sometimes asked to discuss the significance of my research into the

environmental impact of vertical transportation systems. In summary:
B-1O
Buildings account for about a third of the energy we consume. The most important
greenhouse gas is carbon dioxide, which is steadily increasing due to the burning of
fossil fuels for energy generation and vehicles.
building load - a draft CIBSE Energy Efficiency Guide suggests 4 to 7%, Kone
documentation suggests 5 to 10%.
The importance of energy efficient HVAC and lighting systems is generally accepted
- the wealth of related research and development in both these fields reflects this.
Energy efficient vertical transportation systems are among the next in line for
"greening".
I am in a excellent position to be able to encourage and guide the vertical

transportation industry along the Environmental Technology route - Arup is probably
one of the largest specifiers of vertical transportation systems in the world, I have
supplementary sponsorship from the Chartered Institution of Building Services
Engineers who publish various related journals and guides, and I am already known
to the lift industry for my research publications.
B2.3 Elevcon '95
Conference visit
Elevcon is an international conference arranged by the International Association of

Elevator Engineers. Elevcon '95 in Hong Kong had 145 participants from 18
countries. There were representatives from manufacturers, consultants, academics,
and governmental institutions.
I presented two papers at the conference, one on ideal lift kinematics, the other on
double decker lifts. The papers have been published in Elevator Technology 6. I also
chaired a session on Neural Network Based Traffic Control and sat on a Panel of
B-il
Experts answering general questions on vertical transportation.
Copies of my two papers are attached to this report in Appendix A. A brief summary
of the work follows:
Ideal Lfl Kinematics
Ideal lift kinematics are one element of my Green Lfls? research into Modelling of hiI
movement and corresponding energy consumption. They describe the optimum
motion that a lift can achieve given restraints imposed by human comfort criteria. I
have derived equations which enable ideal lift kinematics to be plotted as continuous
functions for any values ofjourney distance, velocity, acceleration and jerk (rate of
change of acceleration).
Ideal lift kinematics are, in themselves, an important area of lift design. For the
conference I presented a paper on my work in this field. I discussed previous
research, the significance of my own contribution, the mathematical derivation of
ideal kinematics equations, and applications for the work.
Double Decker Lifts
Prior to joining the EngD course I derived the General Analysis technique. This
allows us to analyse the performance of a lift system for a given peak passenger traffic
flow. I implemented the technique in the Oasys LIFT Program, which has been used
throughout the international Arup Partnerships for analysis/selection of lift systems
since 1989.
More recently, I have extended the technique so that it can be used to analyse double
decker lifts. Double decker lifts have two separate cabs built into a single unit so that
upper and lower cabs serve adjacent floors simultaneously. They provide greater
handling capacity per shaft than conventional lifts, making them particularly attractive
for high rise buildings.
B-12
In my Elevcon paper I discussed the Double Decker General Analysis technique, its
derivation and implementation. I gave an example comparing the results with a more
simple analysis technique, before looking at a scenario that only the General Analysis
technique can consider.
Double decker lifts are reported to be more energy efficient than single decker lifts -
as they serve two floors simultaneously, they have less starts and stops per round trip.
This is easy to see for peak traffic. But what is the position for non-peak traffic, when
the (large and heavy) double decker lifts are only transporting a few people at a time?
I shall be investigating this in more detail when I commence simulatkn modelling.
Other activities
I took the opportunity while in Hong Kong to visit Arup's offices where I gave an
extended lunchtime presentation of my work. I was also invited to, and gave a two
hour lecture to Hong Kong Polytechnic University students.
B2.4 Traffic Surveys
I have now carried out four major traffic surveys:
Offices at 33 Wigmore Street

The Ritz Hotel
Arup head office in Fitzroy Street
British Standards Institution head office, Chiswick
Analysis of results from traffic surveys is ongoing, and will form the basis for
recommendations for revised traffic design criteria towards the end of my project.
Surveys to date have been carried out by manual count. I had hoped to test the
automatic people counting theory I am developing at the BSI office, but the controller
manufacturer was unable to down load the data I required from the lift system. I am
B-13
exploring other contacts to find a site where I can test this work.
B2.5 Motor Modelling
My Academic Supervisor, Dr Pratap Mehta has an undergraduate student working on

an actual scale model of a lift. It is intended that this will give me a lab based testing
facility for mathematical motor models. I have been developing a DC drive motor
model to tie up with the installed system.
B2.6 Lift Simulation
I have started learning C++ which I will use to program the proposed lift simulation
program. The lift simulation program will be used to bring together my work on ideal
lift kinematics, motor modelling and lift traffic surveys. With these implemented, I
can then design and test my "green lift control algorithms".
B2.7 Arup Projects
I continue to give general advise on vertical transportation issues from my base in

Arup Research & Development. This involves me, to various degrees, in several
different projects most weeks.
In my role as Chairman of the Electrical Computing Working Party, I have co-

ordinated Arup Electrical Computing Development Fund Applications for the year
April 1995/96, and been involved in discussions concerning the strategy of Arup
program development.
B2.8 Programme
A copy of my cunent programme is enclosed in Appendix B. There has been some

slippage, particularly in the Poisson people counting algorithms, and motor modelling.
This is mainly due to EngD course work taking longer than planned for.
B-14
B2.9 List of Contents for Appendices of Progress Report B!
Appendix A
Peters R D Ideal Lift Kinematics: Complete Equations for Plotting Optimum
Motion Elevator Technology 6, Proceedings of ELEVCON'95 (The
International Association of Elevator Engineers) (1995)
ii. Peters R D General Analysis Double Decker Lift Calculations Elevator
of Elevator Engineers) (1995)
Appendix B
Project Programme
B-iS
B3 END OF YEAR II DISSERTATION OCTOBER 1995
B3.1 Summary
This dissertation summarises project progress over the first two years. The
environmental basis of the research has been defined in the paper "Green Lifts?".
Life Cycle analysis demonstrates that the dominant source of environmental burdens
for lift systems are the non-renewable resources depleted, the waste created and the
emissions generated through the production of electricity for the operation of lifts
while in use. Several areas of research are being considered in order to realise a
reduction in energy consumption; progress in each of these areas is reviewed. A
summary of Arup project work, and development to the Oasys LIFT program is
presented. Masters level modules completed as required by the EngD programme, are
listed. An outline programme for the remaining two years of the project is given.
B3.2 Introduction
This project is based at Brunel University and sponsored by Ove Arup and Partners.
Supplementary sponsorship is received from the Chartered Institution of Building
Services Engineers. Richard joined Arup as a graduate electrical engineer in 1987.
His special interest in vertical transportation led to the publication of a number of
research papers, prior to joining the EngD programme in 1993.
In this dissertation we will review the project objectives, the environmental basis of
the research, and the work carried out in each of the areas defined. Associated work,
the EngD taught modules and Arup project work will also be discussed. A plan for
the next two years work is proposed.
Some of the contents of the EngD Portfolio and previous progress reports are repeated
to allow a complete overview of the work to date in a single document.
B-16
B3.3 Project Objectives
The original project objectives were set out in the project proposal 6 June 1993.
These were:
i. Measure vertical passenger traffic and lift/escalator energy consumption so as

to build up pedestrian circulation and corresponding energy models for offices,
residential buildings, airports, leisure complexes, etc.
ii. Compare use and performance of lifts/escalators/stairs to existing lift traffic

analysis models and assumptions. Compare performance of driving motors to
electrical models.
iii. Develop computer programs implementing verified analysis/simulation traffic

analysis models and corresponding energy models.
iv. Use verified models to calculate: the benefits of developing and implementing
energy efficient lift control algorithms, the savings achievable through the use
of high efficiency motors, and the benefits of energy conscious planning
strategies.
v. Establish guidelines for predicting traffic in new and refurbished buildings.

Make planning and specification recommendations that reflect the need to
design energy efficient buildings.
These objectives remain an integral part of the research. However, the environmental
basis and focus of the project has become more clearly defined, as discussed in the
following section.
B3.4 Establishing the Environmental Basis of the Project
The environmental basis for the project was set out in the paper "Green Lifts?", which
was presented at the EngD Conference (September 1994) and the Chartered Institution
B-17
of Building Services Engineers (CIBSE) National Conference (October 1994). Most
recently, this paper was reproduced in the international trade magazine, Elevator
World; a copy is included in Appendix A. By applying Life Cycle Analysis, it has
been demonstrated that the dominant source of environmental burdens for lift systems
are the non-renewable resources depleted, the waste created and the emissions
generated through the production of electricity for the operation of lifts while in use.
Putting this finding into prospective, it is worth considering that buildings account for
about a third of the energy we consume. The most important greenhouse gas is
carbon dioxide, which is steadily increasing due to the burning of fossil fuels for
energy generation and vehicles. Where they are installed, lifts and escalators are a
significant proportion of the building load - a draft Chartered Institution of Building
Services Engineers (CIBSE) Energy Efficiency Guide suggests 4 to 7%. Kone Lifts
Ltd documentation suggests 5 to 10%.
The importance of energy efficient HVAC and lighting systems is generally accepted
- the wealth of related research and development in both these fields reflects this.
Vertical transportation systems are among the next in line for "greening".
Three areas of research are being considered in order to realise a reduction in energy
consumption. These are:
i. Modelling of lift movement and corresponding energy consumption Providing

the tools to investigate possible savings associated with varying performance,
selecting different drive types, alternative lift configurations and, through the
use of light modem materials.
ii. Reviewing current traffic design criteria Questioning current lift design
criteria which, we believe, are outdated due to changes in working practices
and tend to result in the installation of excessive handling capacity. The goal
here is to avoid excessive over sizing of lift cars. Moving large, heavy lift cars
up and down buildings when they are virtually empty at peak times is not
B-18
energy efficient.
iii. Green L/1 Control Algorithms Lift control algorithms generally give
consideration to optimisation of traffic flow, and to the minimisation of
waiting and journey times. Lift control algorithms that also consider energy
consumption in their allocation of lifts to calls are being considered.
B3.5 Modelling of Lift Movement and Corresponding Energy Consumption
Ideal L?ft Kinematics
Ideal lift kinematics describe the optimum motion that a lift can achieve given
restraints imposed by human comfort criteria. Previous research by others gave us
points on time versus distance, velocity, acceleration and jerk (rate of change of
acceleration) curves. The author derived equations allowing ideal lift kinematics to be
plotted as continuous functions for any value ofjourney distance, speed, acceleration
and jerk.
Ideal lift kinematics are, in themselves an important area of lift design. A paper on
this element of the work was presented at the Elevcon conference in March 1995,
which is discussed in a following section. A copy of the paper is included in
Appendix B.
This research in ideal lift kinematics provides us with the full control over the
reference speed, acceleration, etc. input to lift drives so that we can investigate energy
savings associated with varying the lift performance.
Motor Modelling
Electric lift drives, and their relative energy consumption are discussed in the paper
prepared for the EngD Conference September 1995. A copy of this paper is included
in Appendix C. The paper was subsequently presented at the CIBSE National
Conference (October 1995). A mathematical model of a separately excited DC motor,
B-19
fed from a fully controlled 6 pulse convertor is presented. Kinematics are input into
this model to plot the required torque, armature voltage/current, and power factor.
The total energy consumption over the whole trip is determined, and an assessment of
the supply system harmonics is given.
This model is used to demonstrate that, by reducing the maximum accelerating by

50%, an energy saving of 16% is achieved. The increased journey time of 23%,
would not be prohibitive if introduced during periods of light traffic.
This, and other motor models will be implemented in a lift system simulation to aid
development and testing of "green" control strategies.
B3.6 Reviewing Current Traffic Design Criteria
General
The need for reviewing current lift traffic design criteria was discussed in section 3.
Traffic surveys can be carried out in a number of ways. Manual surveys are time
consuming and tedious to cariy out, so the main focus has been on developing
automatic counting techniques. If successful, this will allow large amounts of, and
therefore more representative, traffic data to be obtained for a wide range of building
types.
Manual counts
Manual lift traffic surveys have been carried out at:
i. Offices at 33 Wigmore Street

ii. The Ritz Hotel
iii. British Standards Institution head office, Chiswick
iv. Arup head offices in Fitzroy Street
B-20
Surveys (i) to (iii) are documented in reports prepared for Arup clients. Survey (iv) is
currently being documented. A summary report of the manual surveys will be
prepared.
Poisson Counting
In the "Green Lifts?" paper the author discussed applying a mathematical model to
traffic analyser (or lift control system) data in order to estimate actual passenger
traffic flow in persons per five minutes.
To date, the main difficulty has been collecting the data required for analysis (time of
lift button presses, etc.). This data is sometimes collected by traffic analysers which
you hard wire into the lift system. The proprietary traffic analysers reviewed process
and analyse the data themselves before giving the user an analysis. The "raw" data we
require is not available.
Now that lift manufactures use microprocessors in their lift controllers, it should be
possible to interface and download the data we require directly. Through the CIBSE
Lift Committee the author has approached the major lift manufacturers (Otis, etc.) to
establish if their microprocessor based lift controllers can download the appropriate
data. To date, the answer has been no, although Thyssen are currently investigating
adding a serial port to one of their lift controllers. However, many manufacturers can
remotely monitor their sites and current lift operation, so are effectively broadcasting
the data required for the analysis.
One such manufacturer, The Thames Valley Lift Company, has provided a copy of
their software which allows us to monitor their sites remotely by modem. As they are
unwilling to provide the program source code so that modifications can be made to
log the incoming data to disk, we need to use a second program to monitor and time
stamp data for analysis. Because communications software uses "handshaking" there
are difficulties in two programs monitoring the data simultaneously. We hope to
overcome this difficulty shortly.
B-21
Video Counting
Three of the four manual surveys carried out have used video cameras to record
passenger movements. This allows us the possibility of using computer programs to
count the traffic. These programs are a relatively new development. A Brunel people
counting program is currently being tested on the Arup head office traffic survey
videos.
B3.7 Lift Simulation Program
The purpose of the lift simulation program is to:
implement the research in ideal lift kinematics, motor modelling for power
consumption and traffic survey data.
Provide a test tool for lift control algorithms
provide and advanced traffic/lift performance analysis tool
A draft outline specification for the development is included in Appendix D.
We are currently negotiating with a lift Thames Valley on possible co-operation, in

particular including their lift control algorithm in the simulation. The benefits of this
co-operation would be:
we would have a benchmark "modem" lift control system against which to test
development control algorithms
development algorithms would be developed in a similar format, making them
more straight forward to implement on real systems
B3.8 Oasys LIFT Program
Prior to joining the EngD, the author derived the General Analysis technique. This
allows us to analyse the performance of a lift system for any given peak passenger
traffic flow. The technique is implemented in the Oasys Lift Program and has been
used throughout the international Arup Partnerships for analysis/selection of lift
B-22
systems since 1989.
The technique has now been extended so that it can be used to analyse double decker
lifts. Double decker lifts have two separate cabs built into a single unit so that upper
and lower cabs serve adjacent floors simultaneously. They provide greater handling
capacity per shaft than conventional lifts, making them particularly attractive for high
rise buildings.
A paper discussing the Double Decker General Analysis technique, its derivation and
implementation was presented at Elevcon '95, and is included in Appendix E.
Double decker lifts are reported to be more energy efficient than single decker lifts -
as they serve two floors simultaneously, they have less starts and stops per round trip.
This is easy to see for peak traffic. But what is the position for non-peak traffic, when
the (large and heavy) double decker lifts are only transporting a few people at a time?
This will be investigate in more detail using the simulation model.
B3.9 EngD Modules and Electives
As part of the EngD programme, Research Engineers are required to complete a

number of Masters modules (or equivalent). To date the following core modules have
been completed:
• Leadership and LCA 1

• LCA 2 and Research Training Programme
• Global Monitoring
• Risk Perception 1
• Introduction to Sociology
• Hands on Audit and Introduction to Legislation
• Environmental Measurement
• Risk Communication and Project Management
• Environmental Law
• Sociology of the Environment
B-23
• Advanced Leadership
And the following elective modules:
• Neural Networks
• Project Management of EngD Conference 1995
Copies of module assigmnents are kept in the EngD Portfolio.
B3.1O Arup Project and Related Work
General
As an engineer in Arup Research and Development, I am regularly called upon to

advise line group engineers on all aspects of vertical transportation engineering.
Queries range from the simple, "what size lift shaft do I require?" to the more
interesting "can we have a 13 person lift which travels on a curved incline to follow
the building structure?".
I also advise on some of the more complex traffic analysis problems. These range
from high rise buildings with express lifts and sky lobbies, to unusual traffic flow
scenarios such as back stage in a theatre.
I acted as an expert witness for a rent review arbitration case concerning the office
building, 33 Wigmore Street in London. The quality of lift service was in question,
and I presented, and was cross examined on evidence relating to the lift traffic
analysis and the performance of the lift installation in question.
Electrical Computing Working Party
As chairman of the Arup Electrical Computing Working Party, I oversee the

development and application of computer programs for Electrical Engineering in
B-24
Arup. Arup have historically developed most of their own programs, many of which
remain technically superior to other, commercially available programs. The building
services software market is now developing fast, and we are having to review the
strategy of developing our own programs. We are currently reviewing "cable"
distribution software to determine whether the building services software companies
can provide us with a program of high enough quality, and at a cost that makes it no
longer worthwhile for us to continue to develop our own program.
CIBSE Guide
Prior to joining the EngD programme, I contributed to the computer programs section
of CJBSE Guide D, Transportation systems in buildings. This guide has been a
success, and a second, revised edition is being planned. I have been asked to look at
three sections in particular relating to planning of installations, lift monitoring, and
computer programs. This is an excellent opportunity to establish elements of "green"
research into common design practice.
B3.11 Elevcon '95 Conference Report
Elevcon '95 was the 6th international conference on Elevator Technology, held on 13-
16 March 1995 at the Riverside Regal Hotel in Sha-Tin, Hong Kong. The conference
had 145 participants from 18 countries. There were representatives from
manufacturers, consultants, academics, and governmental institutions. Subjects
discussed included components, traffic, control, monitoring, education and training,
escalators and drive systems.
Elevcon is the only international conference in this field, and a valuable opporta
for lift engineers and researchers to learn about and to discuss new technologies.
Some particularly interesting papers were:
Elevator Group Control System with Fuzzy Neural Network Model - just one of
several papers describing how the latest in artificial intelligence thinking can be
applied to lift control systems.
B-25
Active Noise Control of Elevator Noise From Ventilator - describing how noise
can be reduced by emitting sounds that are anti-phase to noise sources.
Marketing Strategy of Lfls and Escalators in the Far East - an outline of the
development and analysis of market demand in Far East Asia, reporting on
economic growth and identif'ing opportunities for foreign investment.
A Super High-Rise Escalator with a Horizontal Mid-Section - describing an

escalator with a horizontal mid section in the middle of its 42 m rise.
The User's Ideal Lft - an interesting survey of Italian lift users, and a reminder
that the user's main concern is safety.
The Latest Drive Technology for Elevators - discussing inverter control of electric
and hydraulic lifts.
The author presented two papers at the conference, Ideal Lift Kinematics, and General
Analysis Double Decker Lfl Calculations. The author also chaired the session on
Neural Network Based Traffic Control and sat on a Panel of Experts. The panel
answered general questions on vertical transportation issues ranging from the
ownership of data collected by remote monitoring (does it belong to the client or lift
supplier?) through to a questioning of our current reliance on mechanical (as opposed
to electronic) safety devices.
All the papers have been published Elevator Technology 6.
Besides the main sessions, there were workshops, tutorials and seminars. The author
participated in two seminars, one on remote monitoring and data logging, another on
lift traffic design and control.
B-26
B3.12 Future Programme
An outline programme for the remaining two years of the project is included in
Appendix F. The main work will be development of the simulation program, which is
in the early stages of coding. As discussed in previous sections, the simulation
program brings together the main elements of the research - kinematics, motor
modelling, traffic data, and green lift control algorithms. A period has been set aside
for testing the simulation models against real systems, and making modifications as
necessary.
B3.13 Conclusions
The environmental basis of the work has been established and widely reviewed within
the building and vertical transportation industry through the paper "Green Lifts?".
Several key areas of work have been defined, and significant progress has been made
in developing these areas.
The doctorate requirements of "contribution to knowledge" have been demonstrated

through the publication of refereed conference papers.
The remaining project programme outlines plans for the next two years. The
remaining work is primarily focused on the development of a lift simulation program,
various "green" control algorithms, and the testing of these models against real
systems.
B3.14 Acknowledgements
The author would like to thank his supervisors, lecturers and colleagues at Brunel
University, Ove Arup & Partners and the CIBSE Lift Group for sharing their
knowledge and experience which are providing an excellent basis for his research.
The author acknowledges, with gratitude, financial support from the Engineering and
Physical Sciences Research Council, The Ove Arup Partnership, and the Chartered
Institution of Building Services Engineers.
B-27
B3.15 List of Contents for Appendices of Progress Report B3
Appendix A
Peters RD Green Lifts? Proceedings of CIBSE National Conference 1994 (The
Chartered Institution of Building Services Engineers) (1994)
Appendix B
Peters R D Ideal Lift Kinematics: Complete Equations for Plotting Optimum Motion
Elevator Technology 6, Proceedings of ELEVCON'95 (The International Association
Appendix C
Peters R D Mathematical Modelling of LJ1 Drive Motion and Energy Consumption
Proceedings of CIBSE National Conference 1995 (The Chartered Institution of
Building Services Engineers) (1995)
Appendix D
Outline Specification for Lift Simulation Program
Appendix E
Peters R D General Analysis Double Decker Lift Calculations Elevator Technology
6, Proceedings of ELEVCON' 95 (The International Association of Elevator
Engineers) (1995)
Appendix F
Project Programme
B-28
B4 PROGRESS REPORT APRIL 1996
B4.1 Introduction
This project is addressing the finding that the dominant source of environmental
burdens for lift systems are the non-renewable resources depleted, the waste created
and the emissions generated through the production of electricity for the operation of
lifts while in use.
A comprehensive background to the project, and progress in the two years to October
1995 is given in the end of Year II dissertation, a copy of which is kept in the project
portfolio. This report assumes the reader has reviewed this dissertation.
B4.2 Simulation Development
The main focus of the work is now the development of a simulation program which
brings together the main elements of research carried out to date. This includes the
work on ideal lift kinematics, motor modelling and traffic survey data.
The simulation will enable development of green lift control algorithms. And enable
users to test the performance of lift systems, both in terms of energy consumption and
passenger service. A specification for the program was included in the appendices of
the End of Year II Dissertation.
I have previous programming experience in Fortran, Basic and Pascal. But C++ has
been chosen as the language for this program due to its speed, portability,
functionality, code re-usability, and industrial acceptance as the professional
programming language. Arup Computing have also moved to C++ in recent years, so
support and development of the program after the end of the project will be viable.
C++ is a complex language, and getting to a stage where useful code can be written
has taken considerable effort. But having got to this stage, its advantages are proving
very valuable. Key concepts such as "object-orientation" and "encapsulation" play a
B-29
major part in breaking down and simplifying programming.
At this stage I have developed two major C++ "classes", a motion class and a lift
class. The motion class implements all the work on ideal lift kinematics for use in the
simulation. The lift class represents a lift - each instance of the class (i.e. an "object")
represents a lift in the simulation - it has a nominal capacity, speed, door times, etc.
And functions that allow you to move it up and down, make it answer calls, etc. The
most recent header files for these classes are included in Appendix A. Header files are
the programmer's interface to the coding of a class, showing its functionality and how
to access it without needing to see its implementation (i.e. the detailed C++ coding).
The variables and functions are commented in detail, and most should be self-
explanatory to readers with an elementary knowledge of computer programming.
Next stages in developing the simulation include writing classes to represent the
motor power consumption, people, and "green" dispatcher control algorithms. Time
has been put aside towards the end of the project for testing and verification of the
simulation model against real systems.
B4.3 EngD Course Work Activities
An optional elective module on Clean Technology was attended the week

commencing 30 October 1995. This proved to be very thought provoking; we were
challenged to consider our own environmental "paradigm shift".
An EngD core module on Risk Assessment took place on the week commencing 8
January 1996.
A Life Cycle Analysis Workshop was held 8 February 1996 at Surrey University,
attended by EngD RE's together with staff and students of Surrey's Universities'
Centre for Environmental Strategy. This was a good opportunity to present the Life
Cycle (inventory) Analysis prepared for the Green Lfls? paper. A useful discussion
reached a consensus view that the basis of my claims were well founded i.e. that the
dominant source of environmental burdens for lift systems are the non-renewable
B-30
resources depleted, the waste created and the emissions generated through the
production of electricity for the operation of lifts while in use. A more detailed Life
Cycle Analysis of lift systems could be carried out; in fact it could be a four year
project in itself. But for the purposes of demonstrating that energy consumption was
the key issue for vertical transportation, the assessment is quite adequate.
B4.4 Papers, Seminars and Publications
Elevcon '95 papers on ideal lift kinematics and double decker lifts have been
developed further, and offered for publication in professional journals. The paper,
Ideal Lfl Kinematics: Derivation of Formulae for the Equations of Motion of a LJ?
has been accepted for publication in the International Journal of Elevator Engineers.
This includes new results which allow calculation of minimum stopping distances
once a lift journey has commenced (found to be useful in the lift simulation when new
calls are registered after a trip has commenced). A copy of the final submission
incorporating referees comments is included in Appendix B. The paper, Lift Traffic
Analysis: General formulae for double decker l/is has been submitted, and is
currently being reviewed by the CIBSE Journal, Building Services Engineering
Research and Technology (BSERT).
A seminar titled, Lfl Controls for the Future was given for a CIBSE Regional
meeting at Reading University on 7 November 1995. And repeated as a Brunel
Research Seminar 15 November 1995. Some of the ideas discussed in this seminar
are being developed by a group of Arup colleagues to contribute towards an article for
the CIBSE Building Services Journal (a trade magazine).
Abstracts for two papers have been accepted for Elevcon '96 in Barcelona, October
1996. The first, Lift Passenger Traffic Patters: applications, current knowledge and
measurement is intended to bring together my research in this area. The second, Risk
and the Vertical Transportation Industry is intended to bring together, and apply to
the lift industry, the lessons learnt from the three EngD risk modules. (This paper is
being accepted by our tutor as an alternative to the module assignment.) Abstracts for
both these papers are included in Appendix C.
B-31
I have been using the Internet occasionally for work purposes, and in my own time to
develop a home page for the TEE South Bucks Younger Member Section (of which I
am a committee member). I wrote an article about my experiences for feedback to
Arup, which is at the early stages of exploring this medium. The article was
published in our in-house Computer News, and is included in Appendix D.
B4.5 Amp Project and Related Work
The Oasys LIFT program has been extended to allow imperial calculations, as
requested by the Arup USA office.
As chair of the Electrical Computing Working Party, I have overseen the preparation
of computer development fund applications for the year 1996/97, totalling
approximately 31 man weeks work. These include applications relating to lift,
lighting, cable sizing, power systems analysis and CAD software.
I continue to advise line group engineers on vertical transportation issues. Recent

projects of interest include a prospective high rise complex in USA (example design
options given in Appendix E). And a survey of Charring Cross Hospital, which has a
severely overloaded passenger lift systems; we have proposed a major modernisation
of the systems (including specification of energy efficient drives), and a re-think of
transportation strategy. Estimates for the proposed work suggest a budget of3.2
million.
B4.6 CIBSE Lift Group
I am pursuing a more active involvement in the CIBSE Lift Group, and attend
meetings as a member of the group. We are currently awaiting formal approval of
outline proposals to revise CIBSE Guide D Transportation Systems in Buildings, for
which I am nominated as a principle author for three sections. As discussed in the
End of Year II dissertation, this will provide an excellent opportunity to establish
elements of "green" design into common practice.
B-32
I am currently investigating setting up a CIBSE Open Forum on Remote Monitoring
of Lifts. As noted in Guide D, and experienced in my own research, it is very difficult
to obtain lift controller data. We are hoping this open forum will be one step forward
to achieving (more) open systems - which would allow building owners to monitor
lifts from different manufactures using the same software (possibly integrated into
BMS software). And allow lift researchers/consultants to download and analyse data
without being restricted by the limitations of any one manufacture's monitoring
package.
The CIBSE Lift Group would like to set up Lift Training courses - from general short
courses to post graduate degrees. I have initiated a training questionnaire to establish
demand for various types of courses; this is being circulated by CIBSE and by the
vertical transportation industry press.
B4.7 Project Programme
An updated project programme is included in Appendix F.
B4.8 Conclusions
The environmental basis of the research has been demonstrated, and doctoral
requirements of "contribution to knowledge" continue to be added to through
conference and journal paper publications. The main elements of the research are now
coming together in the lift simulation program, the development, testing and
verification (against real systems) of which is the main focus for the remainder of the
project.
Appendix A
Header Files for motion and lift Classes
Appendix B
Peters R D Ideal Lft Kinematics: Derivation of Formulae for the Equations of
Motion of a Lift International Journal of Elevator Engineers, Volume 1 No 1 (1996)
B-33
Appendix C
Abstracts for Elevcon '96:
i. "Lift Passenger Traffic Paftems: Applications, Current Knowledge, And
Measurement"
ii. "Risk And The Vertical Transportation Industry"
Appendix D
Arup Computer News Article: "Surfing on the Crest of an Internet Wave"
Appendix E
High Rise Design options for prospective Arup project in USA
Appendix F
Project Programme
B-34
B5 PROGRESS REPORT OCTOBER 1996
B5.1 Introduction
The main focus of this project is energy efficient lifts. This progress report covers the
period April to September 1996 (second half of Year 3). Background to the project,
and progress in the preceding two and a half years can be found in:
End of Year II Dissertation

• Progress Report April 1996
Copies of these reports are kept in the project portfolio. This report assumes that the
reader has reviewed these documents.
The simulation program brings together the main elements of research carried out for
the project, including ideal lift kinematics, motor modelling and traffic survey data.
The program was outlined in the 1996 EngD Conference Paper, Green Ly? Control
Strategies (a copy of this paper is held in the portfolio).
In summary, this object oriented program has six main classes:
building - defines the building in terms of number of stories and story heights.
motion - implements research in ideal lift kinematics.
4/i - defines a lift (rated speed, capacity, floors served, etc.) and its current
status (position, speed, load, etc.). The motion class is applied to enable the
lift to move according to the selected journey profile.
dispatcher - defines rules for allocating which lift serves which calls. For fair
B-35
comparison of the green control strategies, the default dispatcher logic has
been based on conventional group control with dynamic sectoring.
person - defines a person, what time they arrive at the landing station, where
they want to go, their mass, etc. Once the journey is complete, the class
provides details about passenger waiting and journey times.
motor - defines the characteristics of the drive. Calculates the energy

consumption and other characteristics as per research in motor modelling.
Within the limitations of computer memory, the program will allow any number of
lifts, floors, and persons. Lifts are individually defined, so if necessary can serve
different floors, be different sizes, speeds, etc.
As discussed in Green Lift Control Strategies, the program is being used to develop
"green" dispatcher control algorithms. Initial simulation results suggest that
installations with regenerative drives could achieve additional savings in excess of
30% without reduction in the overall system performance. Further savings could be
achieved with marginal reductions in system performance.
The next development stages for the lift simulation are:
. test the simulation against real systems

. write a user interface
• enhance, de-bug as necessary
It is envisaged that the final program will be used in Arup for lift system
selection/analysis.
B5.3 EugD Course Work Activities
I presented Green Lift Control Strategies as a five minute talk, and as a poster-board
at the EngD Conference 10-11 September 1996. The written paper was included in
B-36
the conference proceedings.
I have completed the EngD distance learning Finance and Marketing module and am
currently finalising the assignment.
In June 1996 I attended a four day C Programming for Interfacing and Signal
Processing course run by the Brunel M&ES department. Parts of this work are being
applied to interface with people counting devices (for lift and escalator traffic
surveys).
B5.4 Publications
The paper, Lfl Traffic Analysis: General formulae for double decker lifts, has been
accepted for publication by the CIBSE Journal, Building Services Engineering
Research and Technology (BSERT). This paper provides a more detailed review of
the double decker lift research presented in a previous conference paper. A copy of
the journal paper is in Appendix A of this report.
The following two papers have been accepted for the International Elevator
Technology Conference, ELEVCON '96 in Barcelona, 23-25 October 1996.
• Peters R D Risk and the Vertical Transportation Industry. This paper applies EngD
course material on Risk to my industry sector.
• Peters R D, Mehta P, Haddon J Lift Passenger Traffic Patterns: Applications,
Current Knowledge, and Measurement. This paper sunimarises the lift traffic
research that has been carried out for the project to date.
Copies of these papers are in Appendix B of this report.
Further past conference papers have been republished by trade magazines:
• Mathematical Modelling of Lift Drive Motion and Energy Consumption was

republished by Elevator World in July 1996
B-37
Ideal Lift Kinematics: Complete Equations for Plotting Optimum Motion was
republished by Elevator World in April 1996 and by Elevatori in May/June 1996
A full list of publications is given in Appendix C of this report.
B5.5 Amp Project and Related Work
I have been appointed Convenor of a new Arup Research & Development Look
Forward Group (7-10 years), reviewing medium to long term business development
opportunities for our department. This group will meet about three/four times a year -
we had our first meeting in July 1996, which was used mainly to brainstorm possible
ideas/issues for the group to address.
I have been designing lifts for an increasing number of high rise and high volume
projects, the largest of which is Togok, which has six interconnecting towers, two of
which are inclined. This Korean development, currently at pre-feasibility stage, will
have in the region of 27,000 occupants. An extract from the design report concerning
the "occupant transport systems" (which I wrote) is included in Appendix D. This
project is currently confidential.
In September 1996 my colleague, Roger Howkins and I presented a day course on

Vertical Transportation to Arup graduates. I covered Lift Basics, Calculating
Quantity and Quality, Lift Operation, Lift Layouts, and Escalator Basics. Roger
covered Specification, Codes and Standards, Commissioning, Modernisation,
Building Interface, and Maintenance.
B5.6 lEE, IAEE and CIBSE
I applied for transfer to Institution of Electrical Engineers Membership in April this

year and, following an interview, was accepted in September 1996 as a Corporate
Member of the Institution, and as a Chartered Electrical Engineer.
The International Association of Elevator Engineers is setting up a distance learning

college offering modules in Elevator Engineering. The JAEE will award postgraduate
Certificates/Diplomas to successful students. And work with collaborating
B-38
universities to complete associated project work/additional modules leading to a MSc.
I have been invited to serve on the "academic board" of the college. The time
commitment is minimal at this stage (i.e. few hours reviewing course material,
opinions on students, etc.), but could develop if appropriate to my position/other
commitments in future years. On this basis, I have accepted the position.
As discussed in previous reports, it has proved difficult to obtain lift controller data
for my research. I agreed with C1BSE that it would be worthwhile arranging an Open
Forum on the Remote Monitoring of Lifts, to attempt to address and progress the status
of lift communications. I organised this as a joint event with the IAEE, co-ordinating
arrangements with the IAEE Chairman, Dr George Barney. The event took place at
CIBSE in Balham on the 13th May 1996. It was well attended and received, though
the goal of "open systems" still seems a long way off. Promotional material and press
cuttings are included in Appendix E. The Elevator World re-prints include the written
version of my talk in their Consultant's Forum column.
The CIBSE Lift Group has now received formal approval to commence revising
CIBSE Guide D Transportation Systems in Buildings. I am one of the principle
authors for the new version, and will be contributing to various sections. I have also
been investigating lift training on behalf of the CIBSE Lift Group. As a consequence
of my findings, the Group has decided to concentrate on CPD (Continuing
Professional Development) courses, and to seek to use its influence (via CIBSE course
accreditation) to encourage Building Services undergraduate courses to cover vertical
transportation in more depth.
An updated project programme is included in Appendix F.
B5.8 Conclusions
The main elements of the research have been brought together in the lift simulation
program, which is being applied as a basis for designing "green" lift systems. Further
development, testing, and verification against real systems are planned. To date the
project has yieLded two journal papers and six conference papers, demonstrating the
B-39
doctoral requirements of "contribution to knowledge". Several of these papers have
been republished in lift industry trade journals, reaching a large and influential
audience. I continue to broaden my experience with new roles in Arup, contributions
to major construction projects, and associations with TEE, IAEE and CIBSE.
Appendix A
Peters R D, Mehta P, Haddon J Lfl Traffic Analysis: General formulae for double
decker lifts Building Services Engineering Research and Technology, Volume 17 No
4 (1996)
Appendix B
ELEVCON'96 Papers:
i. Peters R D Risk and the Vertical Transportation Industry Elevator
ii. Peters R D, Mehta P, Haddon J Lfl Passenger Traffic Patterns: Applications,
Current Knowledge, and Measurement Elevator Technology 7, Proceedings
of ELEVCON'96 (The International Association of Elevator Engineers)
(1996)
Appendix C
List of Journal and Conference Publications
Appendix D
Extract from Togok Pre-Feasibility Study
Appendix E
Remote Monitoring of Lifts Open Forum
Appendix F
Project Programme
B-40
B6 PROGRESS REPORT APRIL 1997
B6.1 Introduction
The main focus of this project is energy efficient lifts. This progress report covers the
period October 1996 to March 1997 (first half of Year 4). Background to the project,
and progress in the preceding three years can be found in:
End of Year H Dissertation

• Progress Report April 1996
• Progress Report October 1996
Copies of these reports are kept in the project portfolio. This report assumes that the
reader has reviewed these documents.
A lift simulation program is the main deliverable of the project. The program,
Lifisim, brings together and implements the main elements of research carried out;
this includes work in ideal lift kinematics, motor modelling, green control algorithms
and results from traffic survey data.
Lifisim has been written using Microsoft Visual C++ and runs under 32 bit Windows
(95 and NT).
My experience with Arup software has taught me that however clever a program's
algorithms, it will be unpopular with users if it has a poor user-interface. Thus, in the
last six months, considerable effort has been put into writing a Windows interface that
is friendly and easy to use. In addition to the standard Microsoft data entry controls, I
have purchased and implemented the "Formula One" software component that allows
spreadsheet-like entry of data tables.
B-41
In Passenger Data and Lift Data I have allowed the user to select between Standard
and Advanced modes. Again this feature is something that has arisen from my
experience in software development and support. Some users want a quick analysis
and expect a program to automatically (but intelligently) select inputs to all but the
key variables. Programs insisting on a complete data set are deemed too complex for
the task. Other users need and want full control over all analysis variables, and are
prepared to put in the time and effort required to compile and enter the full data set.
In most instances designers are looking for the minimum installation specification
(number of lifts, speed, capacity) that meets their design criteria. Liftsim allows a
range of configurations to be analysed with a single run of the simulation, which
speeds up the design process.
The program is now ready for Alpha testing, which is due to commence in April 1997.
Testing will be carried out under my direction by graduates seconded to ARD as part
of their training. Lifisim will be put on general release to Arup before the conclusion
of my EngD.
Lifisim is likely to become the primary Arup lift design tool for the foreseeable future,
with developments continuing beyond the conclusion of my EngD project. Budgets
for maintenance and support of the program have been included in the Arup 1997/98
Electrical Computing Development Fund Applications (for my time post 1st October
1997).
Screen shots of the program, and example output are given in Appendix A of this
report.
The remaining tasks for the lift simulation are:
• de-bugging and testing, including against real systems

• manual/on line help authoring
• further enhancements as time allows
B-42
B6.3 EngD Course Work Activities
I have completed and submitted the Finance and Marketing assignment.
I attended the Talking to the Media module and contributed to the group assignment
which was to produce a 5-10 minute promotional video about the EngD program
aimed at prospective sponsors.
B6.4 BSc Project Supervision
I have taken the lead role in supervising a final year engineering BSc project student,
Shirley Yeung. The project is to implement and to apply my single deck general lift
traffic analysis technique. The engineering and computing concepts are complex, but
Shirley has worked hard to understand the mathematics, arid to expand her BASIC
computing knowledge to write C++ code.
B6.5 Arup Project and Related Work
As discussed in my last progress report, I have been appointed Convenor of a new

ARD Look Forward Group (7-10 years). This group meets to discuss prospective
business opportunities for ARD. As an indication of our discussions, minutes of our
second meeting 10 January 1997 are included in Appendix B of this report. Further to
this meeting I gave a progress report to the ARD management meeting (EXCO).
Vertical Transportation (elevators and escalators) design is a successful and profitable

part of ARD, and it is envisaged that our activities will be broadened and expanded
into "Arup Lift". In the past few months we have had a number of discussions about
developing new business areas, parts of which arise from expertise developed through
the EngD programme. In particular the simulation program, Lifisim, is likely to be
an important design and sales tool.
In Arup we bid annually for computing development fund resources. As Chairman of

the Electrical Computing Working Party, I co-ordinate the electrical engineering
applications. This involves taking submissions from various electrical working
groups, chairing discussions about the proposals, and obtaining backing for the work
B-43
from the Arup Electrical Co-ordination Committee. A summary of the 1997/98
applications that we have submitted is included in Appendix C of this report.
I continue to give general advice on Vertical Transportation for various projects in

Arup. I was pleased to be given a copy of a client's letter which showed that I had
made a positive impression (see Appendix D). I was the Electrical and Vertical
Transportation Project Engineer for this 1,000,000 ft 2 commercial and residential
development in Egypt in 1992/93. I continue to be consulted, particularly on vertical
transportation issues.
B6.6 Elevcon '96
I attended the IAEE International Elevator Technology Conference, ELEVCON '96 in

Barcelona, 23-25 October 1996, presenting papers on Risk and the Vertical
Transportation Industiy, and Lfl Passenger Traffic Patterns: Applications, Current
Knowledge, and Measurement. Copies of the written papers were included in my
October 1996 progress report.
I also presented the paper, Time, Distance, Speed, Acceleration and Jerk in Elevator
Starting and Stopping by Dr. Kepa Zubia. Dr Zubia was expected to present his own
paper, but was delayed on his way to the conference. As the subject was within my
area of expertise, I was asked to present the work instead. Presenting someone else's
conference paper at an hour's notice, with just the conference proceedings and hastily
prepared acetates was a challenging, but valuable experience.
A number of papers at Elevcon '96 were directly related to my research, and I was
able to discuss this work directly with the authors, both during and following the
conference.
The Elevcon conferences are the only truly international forum at which to present
vertical transportation research. I have been very fortunate in being able to participate
in two of these conference during my EngD.
B-44
B6.7 Institutional Activities
In November 1996 I was elected as Secretary of the CIBSE Lifts Group. As an

indication of the Group's activities, I have included in Appendix E a copy of the 1996
progress report, prepared for Building Services, The CIBSE Journal by Dr G Barney.
The revision of CIBSE Guide D, Transportation Systems in Buildings is progressing.

At the last Guide D meeting my proposed synopses for Planning and selection of
equzpment and peiformance of transportation systems, and Remote monitoring and
interfacing with BEMS were accepted. I will be writing the first drafts of these
sections (with input from other contributors) in the next six months. Copies of the my
synopses are included in Appendix F of this report.
As discussed in my last progress report, I have accepted an invitation to serve on the

academic board of the International Association of Elevator Engineers distance
learning college. I attended the first meeting at Elevcon '96.
B6.8 Publications
The paper, Lft Traffic Analysis: Generalformulae for double decker lifts, was
published in the CIBSE Journal, Building Services Engineering Research and
Technology (BSERT), Volume 17 No 4 1996. A copy of final submission of this
paper was included in my October 1996 progress report.
Ideal LfI Kinematics: Derivations of Formulae for the Equations of Motion of a Lyl,
was published in The International Journal of Elevator Engineering, Volume 11996.
A copy of the final submission of this paper was included in my April 1996 progress
report.
My Elevcon '95 paper, General Analysis Double Decker Lift Calculations was
republished by Elevator World in December 1996.
My article, Surfing the Internet on the Crest of an Internet Wave, written originally for
the Arup in-house Computer News, was adapted and published in the Autumn 1996
edition of Elevation. (The original version is included in my April 1996 progress
B-45
report.)
Following an approach by the publishers E & FN Spoon, I am acting as a referee for

the second edition of the Elevator & Escalator Micropedia by Dr G Barney, D
Cooper and J Inglis.
An updated list ofjournal and conference publications is given in Appendix G of this

report.
An updated project programme in included in Appendix H.
B6.1O Conclusions
The main element of work in this past six months has been developing Liftsim from a
research tool into a program that can be used by others to apply my work in their
design of vertical transportation systems. Lifisim has been very well received in the
initial demonstrations that I have carried out, and I am confident it will be applied for
many years to come.
My academic and industrial experience continues to develop through various roles and
responsibilities at Brunel, Arup, and in Institutional business.
I believe that I am in a good position now to finalise the research and writing up in
time to submit a completed portfolio in October 1997.
B6.1 1 List of Contents for Appendices of Progress Report B6
Appendix A
Lifisim Screen Shots & Example Printed Output
Appendix B
Sample Minutes of"ARD Look Forward Group (7-10 years)"
Appendix C
B-46
1997/98 Electrical Computing Development Fund Applications
Appendix D
Client commendation
Appendix E
CIBSE Lifts Group Progress Report 1996
Appendix F
CIBSE Guide D Synopsis for sections
Planning and selection of equipment and performance of transportation
systems
ii. Remote monitoring and interfacing with BEMS
Appendix G
List of Journal and Conference Publications
Appendix H
Project Programme
B-47
BOOK 2 OF 2
VERTICAL TRANSPORTATION
PLANNING IN BUILDINGS
A Portfolio Thesis for the Degree of Doctor of Engineering in

Environmental Technology
by
Richard David Peters
Department of Electrical Engineering and Electronics, Brunel University
February 1998
CONTENTS BOOK 2
This book contains the Engineering Doctorate assignment submissions.
1 PERSONAL COMMUNICATION AND TEAM SKILLS

2 LIFE CYCLE ANALYSIS USING PEMS
3 GLOBAL MONITORING STUDY
4 RISK PERCEPTION
5 ENVIRONMENTAL REVIEW OF BlO COMPATIBLES LTD.
6 PROJECT PLAN
7 RISK COMMUNICATION
8 ENVIRONMENTAL LAW
9 SOCIOLOGY
10 NEURAL NETWORKS
11 CONFERENCE MANAGEMENT
12 CLEAN TECHNOLOGY
13 RISK
14 MARKETING AND FINANCIAL MANAGEMENT
15 TALKING TO THE MEDIA
16 ENVIRONMENTAL ECONOMICS
11
1 PERSONAL COMMUNICATION
AND TEAM SKILLS
Brunel/Surrey
Engineering Doctoral programme
1993-94
Assignment 1
Personal Communication and Team Skills
During the next month we would like you to reflect on a major part of the induction week
and undertake a SELF—APPRAISAL:
i. as an oral communicator
ii as a team member
This appraisal should take the form of a type written essay of approximately 1,500 words in
length. It should aim to information, ideally entertaining the reader and showing your
enthusiasm (or otherwise) for the theory against which your discussion should be tested. The
appraisal should be forward looking using the knowledge gained during the induction week,
especially the practical exercises. It should indicate how you intend to rcvcal your potential
as a communicator or team worker. The oral and written material presented to you during
the induction week should provide sufficient theoretical basis for your appraisal, but you may
wish to use other sources/theories as the basis for your discussion. However, it is your self
appraisal capabilities and not literature searching that we wish to develop in this assignment
whose aim is threefold:
to reinforce and further test the learning on communication and teamwork

skills.
ii. to give you the opportunity to reflect on the usefulness of the theoretical part
of the week and its value to your (and your sponsoring company's) research
Operation.
iii. to indicate your prowess in written communication skills.
In particular
Communication
Use the videocd record of your presentation, and comments from colleagues, in conjunction
with the notes on effective presentation and relate to use:
your present strengths and weaknesses as a presenter.
ii. the value of the information presented to you in improving your skills.
iii. other skills you wish to learn more about such as "handling difficult
questions", "handling the media" etc.
Team Roles
Use the theoretical and practical knowledge of your team roles during the induction week,
your early involvement with the company and your life long knowledge of yourself to:
i. describe your strengths and weaknesses as a team member. Also indicate

whether, and if so what, insights the Belbin analysis has given you about such
a role.
ii. describe the team roles adopted by three people who will work closely with
your doctoral programme. Ideally this would be three people who work
closely with you at the sponsoring company; however, you could also assess
your academic supervisor. This description can be from your own observation
alone or, if you feel confident that using Belbin with colleagues will not be a
problem, using his questionnaire. Copies of the necessary sheets accompany
this paper. You can also borrow the hardware/software if you would like to
have a fuller exploration in company of the Bclbin ideas (Sec Dr Chris
France). The aim here could be to get an interesting discussion going within
your company about team work, perhaps led by yourself:
iii. your view of the Belbin theory and its potential value to you
Your critical appraisal will bc treated in strictest confidence by us although you can clearly
use it in whatever way you see fit. The if appraisal is your view and we hope you will feel
able to be constructively critical if you believe the guidance theory offered is inappropriate
or lacking. Your response will also give us a feel of how you valued a major part of the
induction course.
Please return the type written assignment of 1,500 words with a postmark no later than 15th
November 1993 to Professor James Powell, Department of Manufacturing and Engineering
Systems, Brunel University, Uxbridge, Middlesex, UB8 3PH. If you have any queries or
requests for information please contact Dr Chris France in the first instance (0895 274000
x2927) or Professor James Powell (0895 203300).
Good luck in your first assignment.
PROFESSOR JAMES POWELL

6 October 1993
Note: The written material presented by different parties on Belbin has slightly
different terminology. The appended sheet ties all terminology together.
ENGD ENVIRONMENTAL TECHNOLOGY PROGRAMME
Assi2nment 1 - Personal Communication and Team Skills
Richard D Peters, Arup Research & Development
INTRODUCTION
It is suprisingly difficult to write an approximatley 1500 word essay in response to an

approximatley 700 word brief, and be sure of answering all the question, but here goes....!
ORAL COMMUNICATION
What was learnt front the induction course
The lectures and exercises on oral communication were excellent. They reinforced good
advice I have learnt at least in part from other similar courses and from experience. The
practical exercises were helpful and challenging, in particular having to present a talk on my
research subject at short notice. This exercise was subsequently applied in earnest when I was
asked to talk for 5 minutes about my project at a Chartered Institute of Building Servjces
Engineers seminar in October with only the time at tea break to prepare. i•
Assessment of my performance during the induction week
I was satisfied with my performance in the presentation exercises, although there is obviously
room for improvement. My main weaknesses are pausing for "umms and errs", fidgeting and
being bossy with the audience (a trait from my musical director role). It was noted that I
made little reference to the overheads during my talk and turned to look at them when I could
have looked at the foil itself - I am more used to slides and need to adapt to the overhead
projector. In a more formal presentation I would have dropped the audience participation
experiment, but felt this was appropriate to the exercise and added interest and surprise at a
stage of the talk where interest may have been waning. I should have made time to practice
my finalised talk in front of an audience as I was expecting to have plenty of time for
questions, but had none. I used my fiancee's artistic skills to help me with the first overhead,
which made the rest of my overheads look bland. In future I will try to be more consistent, or
perhaps end with the star graphic so that expectations are not raised early on in the
presentation. /
My major strengths are enthusiasm, self-confidence and experience as a performer. I enjoy
being in front of an audience (an exhibitionist!) when I am confident about what I am doing. I
had an advantage over most of my colleagues in this exercise as I have worked in my field for
six years, and spoken on my subject several times before.
V
"Revealing my potential"
I am not a naturally spontaneous with words - my confidence and experience come from
regularly singing and playing music in front of hundreds, occasionally thousands of people.
Thankfully, this leaves my nerves dead, otherwise I would be a nervous wreck by now! '
However, I do get nervous when I am speaking, which manifests itself in the weaknesses
discussed. I intend over the course of this Engineering Doctorate programme to increase my
experience of speaking to an audience - I think I am familiar yith the theory, but need more
practice. -
£ 'v'.
Watching myself on video was very helpful, and I shall make a point of practising talks in front
of a video camera in future.
I disagree with the lecturer who said that some nerves are helpful. I would rather my
adrenalin came from being excited about my subject and having the opportunity to share it
with other people. This is how I feel when I am performing in a musical role.
Other skills
The "other skills" suggested in the brief, about handling questions and the media, would be
very useful. I would be particularly interested in a lecture about writing for and presenting to
non-technical audiences as this is the mass audience we as engineers tend to communic3te with
badly.
r) 1;L Lt1t1 .(- !2tt f,t:A, .kLi UJtL
TEAM ROLES
My strengths and weaknesses
I have several years of experience of being part of working teams, and have being chairing
committees for most of my working life. I found the EngD course exercises particularly
fascinating as I am not used to working with such highly intelligent and motivated teams (that
isa confidential sentence!). I had to adapt my team leadership and membership stye after the
first session when I found the group I was in with was full of ideas, listening to each other and
working together well as a matter of course.
My strengths as a team leader are that I can give a strong lead when required (which proved
unnecessary and counterproductive during our team exercises). I am an enthusiast, an
encourager and a lateral thinker. However, I can be bossy, prefer to follow my own ideas, and
get frustrated with team members who do not pull their weight. I tend not helicopter, but will
move into the action if the task is not being carried out to my satisfaction. I do not prescribe
to helicoptering all the time as personally I respect a manager who will make the tea or get
stuck into a CAD drawing to help meet a deadline.
Team roles adopted by people in my sponsoring company
My research is very much self-driven, and the roles adopted by people in the sponsoring
company associated with my work are not those of a typical project team.
Day to day contact is with my colleague in Arup Research and Development, Roger Howkins,
who has as a lifetime's experience and wealth of expertise in the Lift Industry. Roger is a very
practical engineer, which contrasts well with my more theoretical bias. I believe we work well
together (we have done successfully for several years) because we share a common interest
from different angles, and respect each other ts different, but complimentary skills.
My Industrial Supervisor, John Haddon, is the most senior Electrical Director in Arup. John
was my "mentor" as a graduate engineer, and in the last few years I have watched him being
promoted towards the top of the company at great speed. In my opinion, John is successful
because he is a both technically excellent, and a good team leader. He has authority, but
listens, encourages, and supports initiative. If you have a good idea, he is broad minded and
long sited enough to support it.
The other person I have dealt with directly concerning the EngD programme (he gave the
authorization for me to apply for the programme) is Turlogh O'Bnen, a main board Director
of the Ove Arup Partnership. Turlogh has the quiet aura of authority which reminds me of the
headmaster at my Grammar School who could silence a thousand boys just be entering the
main hail! I have been lucky enough to see Turlogh in action in committee, where his quiet
authority enables all views to be heard without stronger members dominating the discussion.
His summing up of discussion points ensures a clear course of action is understood by all.
Turlogh is a busy man, but like John makes time to talk individually with the people he is
responsible for, which fosters good working relationships and respect.
If the Belbin analysis was applied to Roger, Turlogh and John I would expect to see Turlogh
and John classified primarily as Chairs, and Roger as a Specialist.
My viev of the Belbin theory and its potential value to me
I find it very hard to enthuse about Belbin's Team Role Analysis and other people appraisal
techniques to which I have been introduced previously. When I put together a project team, I
ask for the best engineers and technicians I know - forget about team role analysis, I will take
Einstein even if he does not have the right profile for my team!
Belbin has observed the characteristics of a successftil team. Yes, a good mix of personalities
is helpful, but in my opinion, of secondary importance. I believe good leadership can realise
the potential of each individual and of the team as a whole. And if you put a group of people
together, the natural leaders become obvious after a short time - the qualities I would look for
(subconsciously) are authority, listening skills, intelligence, communication and
encouragement.
I was part of the most successful team in the team exercises, which we established had a poor
profile according to Belbin. While it is unfair to judge a technique on a single example, my
natural scepticism for the analysis was not helped! If we are to consider Beibin further, I
would be interested in assessing how people adjust their role according to the make up of a
specific group, which is where the analysis could have gone wrong for out team.
I would not apply a Belbin analysis in a business environment as I am not convinced!
"Revealing my potential"
I have lead and been a part of successful teams. I intend to demonstrate further my potential
as a team member by delivering and communicating valuable research.
CONCLUSIONS
I enjoyed the first week of the EngD course and value the communications and team role
training given. I have covered some of the communications material before, but benefited in
particular from the practical exercises. Again, I learned most from the practical team exercises
which broadened my experience and prospective on the working of teams. However, I am
have yet to be convinced that Belbin's analysis has real value for putting together jeal
industrial teams.
/1(1 C
(I
c
itAfr
/i .1oii'(.
RPNGD/335.wp /1/ )
( lf. /
15 November 1993
LV" 'I
)•%/ t/. d 1 W V
,
2 LIFE CYCLE ANALYSIS USING
PEMS
LWE CYCLE ASSESSMENT: COMPUTER SOFTWARE MODULES
DEMONSTRATION CASE STUDIES
The problem definition is straightforward. You are asked to compare three packaging
scenarios for a liquid foodstuff (fruit juice). These are
(i) Glass bottle versus paper carton (with plastic liner)
(ii) Glass versus PET bottle
(iii) Two different metallic containers (aluminium and steel)
Attention should be given to
(a) specifying the functional unit of use
(b) defining the system boundaries

- from raw material extraction to final product disposal
and including all intermediate transport, production, and
energy consumption stages
(c) moving from inventory to assessment

- quantifying environmental burdens
(d) analysing and displaying the results of the LCA
Case study (1) should allow for direct re-use of (a portion of) the glass bottles, whilst
giving the option of energy recovery from the carton via incineration
Case study (ii) should allow for direct product re-use as well as energy recovery for the
polymer product
Case study (iii) should focus on the primary production of metals

Assignment 2 - Life C ycle Assessment usinE PEMS
Richard D Peters, Arup Research & Development
INTRODUCTION
Pira International describe PEMS (PIRA Environmental Management System) as a
computer model which allows its users to carry out Life Cycle Assessment for
products, processes and activities.
In our group (Helen Evans, Zeljko Tufekcic and myself), we used the model to carry
an analysis of glass bottles, plastic (PET) bottles and plastic cartons. Computer print
outs are attached to this report.
2. ANALYSIS ASSUMPTIONS
Our main assumptions were as follows:
Glass
• use of the PIRA PEMS materials database
• the functional unit was 1000 bottles (equal capacity was assumed for each of the
examples in this exercise) weighing 470kg
• 80% of the bottles were re-cycled after each use and 20% went to landfill.
• the bottles were steam washed (no detergent) and the water in and out of the
process balanced, so could be ignored
• transport to/from the shop had a utility of 90% because the van that delivered the
bottles would also pick up the empties
• plastic caps were used (5 grams)
• bottles were packaged in corrugated cardboard cases holding 12 bottles
Plastic Bottles
• use of the PIRA PEMS materials database
• the functional unit was 1000 bottles weighing 30kg
• 80% of the bottles were re-cycled after each use and 20% were incinerated
• new and used bottles were steam washed (no detergent) and the water in and out
of the process balanced, so could be ignored
• transport to/from the shop had a utility of 90% because the van that delivered the
bottles would also pick up the empties

• bottles were packaged in corrugated cardboard cases holding 12 bottles
• Energy generated through incineration of the bottles was credited back to the
filling process
Plastic Cartons
• use of the PIR.A PEMS materials database
• the functional unit was 1000 cartons weighing 25kg
• 100% of the cartons were incinerated after use
• PE laminated bleached paper was used directly to manufacture cartons
• transport to/from the shop had a 50% utility as the van returned from the shop
empty
• bottles were packaged in LDPE
• Energy generated through incineration of the cartons was credited back to the
filling process
3. OBSERVATIONS CONCERNING VALIDITY OF ANALYSIS

In our analysis the re-cycled plastic bottle is shown to be have the least environmental
load. The exercise was a desk study incorporating significant variables that could have
been obtained fairly simply with input from the relevant industries. Consequently, I
would not attribute any particular value to our results, although the work we did was a
useful exercise to learn about the program and carrying out of LCA's.
Given industry data, I would still treat results with extreme caution. From our
discussions and from the material presented it is obvious that there are extreme
variations in the results of LCA analysis, often influenced by the vested interests of the
those carrying out the calculations and providing data. Just like political interpretation
of health service statistics, comparative LCA's are so open to interpretation though
changing of assumptions/system boundaries, that they are at risk of becoming equally
useless!
Notwithstanding, LCA is a logical approach to assessing environmental impact, and if

applied objectively through environmental as opposed to commercial motives,
obviously yields valuable results. It is particularly helpful in establishing the elements
of a process that are dominant from the environmental viewpoint so that we can
concentrate on reducing the impact of these elements.
4. COMMENTS ON THE LIMITATIONS OF PEMS
The value of PEMS is its database. Although the data is bias for the paper and
packaging industries, it is broad enough to have general applications.
0
I-
a)
a)
U,
a) a) Cl)
. (I,
a) - 0
w—.
C.
CD
I-
CD
a)
C)
- — C)
CD a)
Cl, 0
Ui
a) a)
U)
E
CD
U)
>
Cl)
a LC)
- csJ
a) I.- -
a)a) -
- 0. C)
o
a a)
U
(a,
o 0 0 0 0 0 0 0
o 0 0 0 0 0 0
o 0 0 0 0 0 0
N It) U)
rw U! AeJeu3
XN
PEMS does have a poor user interface by today's standards. Although Windows
programs, and Excel in particular are user friendly, my experience is, and this program
demonstrates that it is difficult to write user friendly macro driven spreadsheet
programs for all but simple applications. This manifests itself in very poor editing
facilities and a program that in not intuitive to use. If the model is to be developed to
further levels of sophistication, P[RA should be looking at C++, etc.
The printed output does not include or properly identify input data which is essential if
an analysis is to be checked by the user and others.
The flow diagram and inventory link could be improved. It would be more intuitive to
draw the flow diagram first.
The limitation of inputs to five requires additional processes to be defined

unnecessarily. The model would benefit from a recycle option in addition to the option
to re-use materials. For instance, it should be possible to give credit for glass bottles
broken up and used for road building.
5. APPLICATIONS IN MY COMPANY AND RESEARCH PROJECT

My project is on Vertical Transportation Planning in Buildings. The lift industry has
only recently begun to look at green issues, but some manufacturers are already
beginning to claim that their systems are "green" by comparison with those of their
competitors.
I intend to use LCA, and possibly the PIIRA model to identify the dominant
environmental issues for the process of moving people up and down buildings. The life
of a lift or escalator can be in the region of 20 years, so I expect to find that energy in
use is the most dominant factor, although manufacture and transportation will also be
considered.
As a consultant engineer writing specifications, I would like to be able to specify a

maximum environmental burden associated with supplying and installing a lift, and a
second maximum environmental burden for the lift in use measured against a specified
passenger traffic profile. (This assumes we can define environmental burden in terms
of a single unit, which I believe we will have to if LCA is to come into general use.)
To meet this "performance specification", the lift manufacturer would have to use
energy efficient motors and control algorithms as well as ensure the materials used and
the their transportation are appropriate.
Secondly, environmental burden could be calculated by good planning strategies which

require knowledge of actual passenger traffic profiles. This week I made some
proposals for lifting a 50 storey building in Indonesia. The alternative solutions are
almost endless (express/zoned lifts, shuttle lifts, etc.), but to the best of my knowledge,
no one has ever calculated energy consumption, etc. associated with alternative
schemes.
RP/ENGD/3 62. DOC

25 November 1993
z
0
0. 0
a
a.
U
C
U
I-
U a
U
I
U
U 0
£
N
I,
(I,
C,
U
>1
9
I-
.2
E
_ _ TI
ri-I I
U-
C° N
Q V
U
0
U-

§
JOCOOOOCo §C o,4Góó0000 d000O óêä 0
! oo OOCOO -00
C,
010CU • 0 V
r 0 fl fl r ri Fl 0 —
0V0V fl C C — C N C P1 C 0 N
1WCV— 1W SI
- ID V C V It CCSINVFlAID
P1 0 1W V Fl 0 C C C
lb — V V — tO 0 N CCN— —C Fl Cl — N
§01 Fl!000 OOCPI. .0 0
— OPI I —
V
0
2
C 0000000.-tlO - 0Fl0000000 00000 00 0
§1 §HHW
0Fl0000ID0 C 0P10000000 00000 0
0 0
§ m'' §
0
85112
I.
0
2- -
§
0 -o0ee000 OPS 00000ddó 000dó ódo ó
U V
§ §
8 tO_020000;0 8— 0000o QOd 0
CO
o • I - I
I I
C —
I! —
I
is !1j1iIiij3

'
! r0e00e 2 g óooóóOd óOOO óóö
J °° T ° . .
e00000000 N 0.-0000000 OOCOO 000

§8
8
- -.
1 - . - NeOo0,0 ooee000eo 600 000

I- -
Ii.'...1•..— ...
0 000000 000;; 00000 0
H I
I: HLHH
N 00000000000 00 0.0000000 00000 000 0
N N
U
e
-
-
0-0000Ne •0 ä-0000dä 00000 00000 00

U
N W P. Pd Q Pd Pd m0P . qno,.- 00 0, 0t 0, Cl 0 0 Cl
;Z
• 0
8
- 000_ 0000 00000 0
- - Pd
£
ooeó000eoee .ó oäoä000eo eàoáó ooä 0
— C
' ;
IHI

I 0
• ,
I •
I
I', .
I
'I
4: __
__
N
N
•
N
S
I V
_ _ _
'U
U,
-.-.-..-.----
U
0
N
'I
a
'6
•
'2 V
a I-
I I C
I C0
U

§
i00000000 §C 00O00O00 00000 000 0
h §
-j 000O0000
dl
0
01
000000000 óó000 Ô000 00
( 0 0
1)
I"I C ed • Pd 01 . dl Pd C (0 0 (0
Pd (0 01 (0 Pd C
00Pd0 00000 010

0
0 'I
§ §
• 0 00000000000 00 000000000 00ó00 000 00
U
§ H
Pd00000O$0 §8 (006Ô0Odä eeedó 000 a
§
H II 0 —
HHWHH H § HH H H
:;
01
0 0
0
§
§ §
00000000(0-0 (0 00060000' §Hi
0000 §H
000 00
§ §'. ;s8 gg
,000000 0000000 00000 000
§ §
0 I
Pd 001.0(00000 0C.j1
•°1°°
ii -
S
S
3
S SN
S. U
'U
0.
S.
-j • a•
C.
S
a
0.
.
C
S S -
I- - S
• a.
.
0
-J • 0
- S
I, lb 'U
C
U
l.I
.0
2
I.
I'
.
S
- 1 _ I
0
C
0
II
e
w
0
S
0
I •1
U
E I0
(S SI
C
uJI-.
0
II ,.0
U. U

0- 1010 10)10N Pli0& 0

10
5 ON-00l10uN 010
0 S0N)N 10-P)f) •
Q0'N- NPNqo I-10
• Nm.v,alvr.mNr, ole •-m.,010-o.l o0.oq oaQe
•
3 W . 101010W1SNI010N
0l10- 10N10 00 rrl
0- N - N WP.0 N
10 NN
10
0
10
.P) N -
• - .-. •. - -------.--4-
H
2
— - . . U N U • • U • • • • • • - • _ _ U • • U U • I - U — .•. • S • - • I — - • • • - S S S • - •
O 10 10N1000N
N10N000010NO ON
10)0 10F,.1010N0
0N000000 00-00 0000 000 0O go
F, 000r)00000)r.o F) 10 000000000 00000 000 0-
N 00000000NOO F) N 0-0000000 00000 000
N 00
C.)
N.0)QNO)Wleg
NF,10NF,ONO.100) o 0)0 NION10IN10000I NO-100 -NO q
0 0 NNIOI00000)0)F) 0
00) ONF,N10010010
NN0N-000 0000 000)00 0-0
0100 10
F,N0r)00001000 Q10 er,00j00000 00000 000 0
-
fl ON 0
10 F)10 0
Q
N
.N IA 0
_••_.
H 11W Wo 1W
111*
802
N
H
U
Ii
- 000-00000INO
§ 0
N
IA
N C) 0F)0000000 00000 000
II)
IA F) F) N 10
0) N ID - 0 N 10 N
ID N
N
0) 10
10 - 0) 10 F) 10 IA 0 10 F. 0 F) 10
N N 0) 10 0 - ID F. 0 F. N
N 0) 0
IOIDNN OONID. N WNO10r) - OO 100 10
.:;cIoo_
§0 ó.óFóóóO0 aa.0O OOä -
- F) F) -
0
O U
I
I U
0
a, g o.-.wm ma ar
melee edirn P-PIA
0 0 mama NSn P-rn
0 P. 1 - ØN - - S ON
f
Q OO,- g00% O Fl IA
ON 000 F. o
q - •*•.-..P0q oON 0-00 -
ONP.N. P. OO000OO 0010 90000 o
N N
- -
Z RESOURCES 0 i'_ AIPORNE OTHER WATER

— - U I I • I I I _ III, I • I - I • • — n • - - n — - - — _ — -
•
8
qq
U S
nWNUQOUNVN
O . NwNQ0wO 0
0
N
0
-0-rNr OO(D0
ooVN
NwNONO0O'Na 0 N qNqPN0•0 OONOO 00
ONOON0000 00N00 0-0
i !..1N2-------------•.
:
H
§ §I
-
Nrd O,O000O000O
N N 0 00N0000010 00-00 000 -
0
0 oI-0-0-oN
INN0000I 0
0 •-W0UDNN-
WN0000 00N0i 00
0N0IO 000 NO
0 .0 0 N 0 0 0 0 N
NW I 0 0 N 0 W N N 0 0 0 00 0 0 Ojo 0 0 0
N N0
o 8
H I ' A
O • -
U
N
§ I
N ONr-NO N
IflWN0NON.- N N ONOWOOQN -O.--O -0-O NO
r,IIor-NoeoNr,r, C .- 0NNN-00 000 ON000 .00
ON0000000 OONoO 00000 0
N0N00O0CIO 00000000 00000 00000 00
NCIUWN-NWNC
N N N .0 N N N Q N 0 C Q NOICC.0qCow
N 01 C.00C CNW ON
.0 01 01 N N N 10 01 10 .0 01 10 N N N 0 01 N 0
0
ON U00101-0 NOOCN CO
CI N N 01
NN0 'P N - 01
01 - C N 10
0 01 N N N C N 0 0 0 01N 0 01 N
001 N 0 0
N 0 0 0 0 N 0
80 - - N
H..
88
- 00000000000 -0 000000000 00000 000 0
U
I 0 .-WI-NON0Nr' 00 0101001NOO
001 O.0.0- 01- 00
O
o 01NNO01OCN
0100100000010101 001 oIrdv.NNN0001 OON.0
N0CN0Oq 0•0•N•00 0010
ONO NO
010
O 10NON0000000
N O 00
0 0100000000
01
00000 000 00
N
NCC 0)
NI01Cl t N 0 N 0 N
N Cl N N 10 01 Cl 0 - N N .- N C - C) in to
C C 01 N 0 Cl N N 0 01 N
Q Nt0C 0 QIDC
000) IDN0 Ct Q 0 N0 C
—
NC)CW0)I0C Cl 0 WWNC1NOID OOCWCt 00100 0
N01I0QONl01ON
N - - 01 N 10 N
Cd N- N 0l00O0OOO
N N 0001.-C
- ID 00000 0)0
U 4 - N CI N
-I -
N
- $1; 0. -
- 0
•
- u ;
3 GLOBAL MONITORING STUDY
c V 4) •0
C
II
0
C
a.
0.
E o•
. ' 0
• 11 3 0.
4)
.5
11! E
g
iJ U
C
I'
E
4)
C,) .
C
.: 3
•0
'I
C
g
U
.5
>, 0
II
C
0.
Cl) V o c-•
s
0 I,
0 -. 0. 4)
E
U I,
, 4)
-
' llu I
•0 C
C .0 0
=
-V U
U .5
0 •0
-
'-
'V
0 0.
U .0 0
U 0.
0.
'V
0
I- 2
U
VU
C
C - C
V U
so>
0 .-
U
C
Si LI C 2 •0 U 0 U 0 .E
u =
LI -C
•
DC 9 - 0
. u E
. • . !
4
C v II V - 2
•0
C
2 'OO 0
0 2 9
II - -C 0 0. V••I U . - -
U C 2
I) I-
.0 c
• LI 2 ii
2 E
.5-Cu3 Ii Cz
• 0. 0
6 LI3 LI
• k. u I.
C9LI ID
liJ . & > 0
E
C. flLI 2 •- V
0 .w
3
• C. > . 3 . .5
- > C
flu S • u •;
• • • • Si
0
C E U
fi
U u C >
E
= 0 -C .9
2cf . E
.5 .E >
0 .0 C 04 U
uE u
C
C -
o
C.
C = 0
0
IC V. .E v. LI
• LI
E . V
=3 4 LI LI oIi11 I-
Cuc iE >0' C
0 • • U
U •C
- - I • U• 9 C
C. 0)
C3 .0 U LIE
. U.
- C
LI
> -
•' •- 0
'0• . LIZ LI• -- U
Pu E 0
LI LI
C. - •o 2 LI
LI V .E I- v .0 o " -
-C - LI 0
.2
• 0 • 0
0) a •

.2
F1
C5.E
o LI
5u C • - 0
C C
0
CLI .22
Xu
C Ur.4 C . )•
4 0.-
.E - 2 E =
2
0. V
S . 2
.0 0 5 o -.5
LI -
5
4 u 0.
4 II
LI
.E <2
LI
0 >' I! 2 .
-C LI
a C -C 0.
U
0 .
C C LI C U -C
0 U -C U
C
0.3 I-.;
C
.0 0'
C E .50 .5
U
C >'
•0 0. E C
0 = C
Il
0
u >'
C •0
0
>'
0
•0 I-
.2
.4 • . C
Si 0 E 2 0
0
0
3 3
< 8
C I' ii O C
•0 DC
C C u
C
U
LI
E 5• .E
LI .I • •5
C
II
3 • 2
0 C. i
C
0
C
0 0 e
U
LI DC 0.4
I, 0.2 Si .4
.2 E 3 22°
LI LI 2 •• 0.
E N C. 2 .
C
0
E
U
E
0
CO E •0 3 •0II
C .0
u
DC C
.LI 0 U 0
U - c • 2 . C
U
C -
0. :E
•0 U fl-U V
U DC
C . . g .E - U -
'•. 0
C E
0 C
U
> c 0 0.
UDC
U
0 ii 2 C
U
0) DC.5 2
0 U DC0.
C I,
DC
I' 0 C C oC
•0 LI LI 0
C • . • '0
, II
C> 1= •2 U U r.I V
U
o•
I,
, •
x - U U U
C1 L. DC C
0
8 z
£ U • .E
vI
dw Iu3uTmJd - !WS
-
o6
IS
0
SI
C
C.
I-
w000zc U)1OOL
p
'I' 1
woocl<
vas VaNffliVZ —7
w0001<
-
OP!AEPN
JOPN
qSLIVp4
/L - - - - , I
7 A: i//7,7
ninsØ
I
SUiUflOLkJ
IN3DINN N

U '0 V•'b .
3- 'C
U
U .
VI
. .2
-
- VI • U
0 .VI
DC 0
VI 3.
S
•0 vi 0. U C
C 0
•C 0 U
0 .2
.5W • U 'C = C
U.- 0 >'
p • o 0. 3
- C C.E. a 0. >
. o .c 0 -,._ 0. C5p 0
DC 'C
.5 0 :9 .2 c 0
U II ..1 -
S SSI 0
-
.53 >1 E
U> II • 0. DC 0
.2 , SI 3 .2
U bO I- p
- U cO C> Ssg S. U
o .c Ue VI SI
U = U p 8. >'
C
DC 2 C vi E .E .5 0
0 DC
VI
VI
'C U
'C DC
•0 C .. ' o3 U
.0 4-so 'C
VSI
0. 0e4 3 5-
.2 > U= U 0
II - C :9 S3 & .0% C 'V
. U . 0
> VIVI SI VI
= VI 2 CCC 2 0. >.
03 U° I.
.
a - VI
.0
- .
.0
'0
EE
'V
VI
C
U - •0 0.
C a
- -.
- V VI o 2 VI 0
U.S 0. C =
S-. 0
- .- 8
2
.5
r)
f_b 11 - VI
DC
CS-
U
U
111
.5 .0
U
.2
.0
2 = 0.>, U 'C = U
VI S . 2
=
.5 II 0 5.0
0 0. >, •03 •° E • 3 'C
- 2 E
, E 0. U U
E
CO
> .9 0C
VI
• c'U'- 9 ° .2
I-
. ' - VI8 >, < U I- V C
U
_ VIE
II
5VI o '-I
0 u -
VI
UC VI 1.. 0 j
0. 'C .0
DC 0 9
9,,
VI
S 0 3 3 C 2 U-
E
•- 0.
E
0C
0' U 0 C
0 .0
• a
VI U 0.
- .2 • . .9 VI
U DC - 0. = 9 E I . I-.
DC U SC
.E 5 8 5E LU....
4- U 4-
V '0 9 0 50 0.3 0
U
>3
.- =
.0 £ =
- U -
U>
'C
U .- > SI VI
o 2 C _
U 'C p
U! 2
I .
VI
0
0.
2
VI
9
0
VI
DC 0 - 0.
CC
C
VI VI
'C C -
• Q
. .i • - S.
•- 0
.5 .
0 'C VI -
.;
C
. C
U
3
>,VI >,
o •'
U
-
U0.
EL.i
0
DC
U
•0 E
a 0
U 20.
.2
SC3 Ii
.- .2
E .2
.5.0
5.- .2
.9, VI I-
•
8
3 0.!
g.;
i o 2 '0
2
U
U
0
.0 >
90
oE
C
C
0
U •0 'C .9 =
.2 .5 '0 EE VI
- I- I-
.0 U u - L)
• >s•= 0 .2 0.
- VI .1111 0 U
2 0 25 '0
0 u '0
- U
E .9 o -
e.0 E a C - 0
SI
2 DC - -
o .••= U U
VI 0. DC S
'0 - S.. C 0
-
C . .2
0 •C . 0.
2
5.5 .2 >' 2 E9 0 DO U C
to0
E C> S 0
VIE C
SI .2
> S
= '0
& &E S 0 0 'C VI C
> C
- 3 2 C 2 C •0 >1
VI CU '09
.= E U VI' C
•0 2 .2 S U <.5 0 .0w
•0 .2 U fo U 'C U
'0 2
I
., '0
- . •0 I'
r DC.... • •.! '=
. ' 0
uO.5 E 9 U .'C U VI
r - p 2 '
.0 E
c.i 0%
'C
U
-0
3! C U.0 .2
VI
0. VI O • M 4-
C p 0
E1u VI
z VI
C
C
VI VI "I
•0 . 3 _ =
5- VI3
DC
C
Q . U
2< - -
VI E
U
2• 0 00
a..
.. . U U
SC U U ii C
C 0
'0 0..= 4-
I . SC 0 I
U -
E0
(I '- I-
•0
I'
C-
0.
UI
. .
U
I'
2
zo..
E
.5
a'
U
-
•0
lit
I.
0.
a. :D .
C,,
II
C-)
I-
a.
u
-
I- C. 0.
-•).s
U
rj) 0.
-
N
C) 0
U U
II - 1111
.E
00 8
S.
0
I I0
.9
Ja • 8
2
a'
- .
0 0' N0 DO •
p..
o
a I
U 'V
1j N
.-
11
S
.5
V
I eeir
a'
E
2 V
a
0
• S0N AAS
• (4 0 (4
& N
a — — 000
-
; & t
a.'
II a'
&• i
e . 4
9!
5
•3i
S.
1<1
UiI
I
ii
§
g
I'
'
-
'- '
• -
•;
?
a' z
-
U
a' :1
0
I 0 .i
.
••p.
.!—
i
2
2r9
•0&eC.0•.
I- 5
.1'

¼!)
cs/WATEa L -4FT tiJS L .& -
oL( #k
ME471 PN jç-r coacJ
IODAY
.-.---- - --. -
•:;:: c)
•—--
1 ___
MA.I CITY SPl$ELY

:c,.) ..pOPU(.ATf.D $AIN
2 19-
A,T$ t
I4IGbtY 1WDUST1I*L1
IA LILA ( [
1r$\'GATN
A
x
f
A
ILL
(L' •,
L sk , c- C'd. trj
'r1
c- L(sL 'r
E
7 •
•
f (
(j
71c
t-
1(
C
b
7 ''
I (IL_t
'
T6
•(• çL '-' i' .1
-.-
L ,! I: (L L
(4)
GEMS/WATER
/t L .
(zJ I-J /
'I
7 4c._ , 'I
C
)C/ /4,,
x •!t1 ACi
4JUI
Sn Ca
,L
$
1I
I4j.
d '
(
1JLJ
'' i: J))( i.f

IL41
p
J L
H '(a cL ( IJJ'IJC -
I.
L
4 RISK PERCEPTION
/engdJ463
6 May 1994
Essay assignment: Discuss the reasons why the researchers of technical hazards are
not collaborating with people doing research in natural hazards - use an example
from your work or from a newspaper
Richard D Peters, Amp Research and Development
SUMMARY
Natural hazards can be defined as those elements in the physical environment,

harmful to man and caused by forces extraneous to him eg. floods, droughts,
diseases, etc. Technical hazards can be defined as those elements in the physical
environment, harmful to and caused by man. eg . nuclear accidents, industrial
pollution of water supplies, etc. The risks associated with some technical hazards
are compounded by natural hazards and vice-versa.
A hazard which I have been associated with at work is the earthquake protection
of a high rise building in Egypt. In this case there was collaboration between
experts in technical and natural hazards. The basis of the essay title, that there is
non-collaboration between technical and natural hazard researchers, is questioned,
but accepted for the purposes of the following sections of the essay.
Reasons for possible non-collaboration between natural and technical hazard

researchers are suggested. These relate to the different language (jargon),
prediction methods, vested interests and levels of funding general associated with
thc two types of hazard. Solutions proposed are though better communications
between the two research fields, quoting an accuracy band, and independent
assessment of risks. Poor funding of third world hazard protection is not solely a
political problem.
Page 1
Natural and technical hazards are so closely related that non-collaboration and
working in isolation is short sighted.
1. INTRODUCTION
I am an Electrical Engineer by training and have been working in the Construction

Industry for about six years. For myself, risk assessment is naturally associated
with issues such as the possibility of injury or death due to lighting hitting a
building or a fault occurring on an electrical circuit. The former example is the
subject of a British Standard defined analysis to calculate the probability of a
building being struck and the consequential casualties. This result is then used as
a basis for deciding whether or not the building in question requires a lighting
protection installation and the extent of the installation required.
My knowledge of hazards such as floods or diseases is that of a layman.
This essay is the assignment to be carried out following a week's course on Risk
Perception at Surrey University and the reading of reference material handed out
at the course. Unfortunately I was unable to attend the final day of the week's
course due to work commitments.
In this essay I shall explore the meaning of natural and technical hazards and
discuss an example within my own experience. The question in the essay title
will be discussed and possible reasons and solutions to the problem of non-
collaboration will be proposed.
2. WHAT DO WE MEAN BY NATURAL AND TECHNICAL HAZARDS?
In order to answer the essay question, it is necessary to understand what is meant

natural and technical hazards. In "The Perception of Natural Hazards in Resource
Management", Ian Burton and Robert Kates propose the following definition of a
natural hazard:
Page 2
"Natural hazards are those elements in the physical environment, harmful to man
and caused by forces extraneous to him."
Natural hazards can be divided broadly into two categories, geophysical eg.
floods, droughts, earthquakes, and biological eg. diseases, infestations.
No specific definition is given in the reference material for technical hazards. For
consistency with the natural hazard definition, I shall define technical hazards as
follows:
"Technical hazards are those elements in the physical environment, harmful to

and caused by man."
Technical hazards could be nuclear accidents, industrial pollution of water

supplies, unsafe buildings, etc.
The risks associated with some technical hazards are compounded by natural
hazards. For example, the technical hazard due to airplane travel is compounded
if the plain flies though a natural hazard such as a hurricane.
Conversely, there is increasing evidence that the consequences of technical

hazards are compounding natural hazards eg. climatic change due to carbon
dioxide emissions.
3. MY EXPERIENCE OF NATURAL AND TECHNICAL HAZARDS
In a recent construction project I was designing the electrical services for a high
rise building in Cairo, Egypt. During the design period, there was an earthquake
in Cairo, which prompted a review of the proposed building safety in case of
recurrence. The conclusion of this study was that the original design criteria
(which took into account the risk of an earthquake) were satisfactory. If built to
the original specification, the development would have withstood the earthquake
without structural damage.
Page 3
After a protracted discussion between our structural engineers, experts in
earthquake prediction and the Project Managers, the Client required an upgrading
of the building's earthquake classification. This resulted in changes to the
structure and enhanced fixings and control measures for the electrical services
installation and lifts. These were, in our professional technical opinion,
unnecessary.
As far as I am aware, the Client was satisfied with our technical analysis of the
earthquake risk and projected damage. This building would be much safer than
many low rise buildings in Cairo. But the public perception is that even modern
and well designed high rise buildings are likely to fall during an earthquake.
The Client had to be sure that people would be confident enough to let the
building. Even if this meant an over-design was required.
In this case there was satisfactory collaboration between the researchers of natural
hazards (earthquakes), and ourselves who were researching the technical hazards
of a building structure in the event of an earthquake. The problem was
communication of the safety of the design to the public.
4. COMMENTARY ON QUESTION
The essay title presumes that there is non-collaboration between the researches of
natural and technical hazards. My experience, at industry level, is to the contrary.
For the construction project I have discussed there was no alternative but for us to
look at the natural hazard of the earthquake and technical hazard of a high rise
building together as a unified design team.
In recent EngD lectures we have investigated water quality, which again requires
a unified natural and technical hazard approach which does not appear to be a
problem.
Perhaps in an academic environment the two fields are more clearly split than
they are in industry. I shall assume that non-collaboration is a problem for the
purposes of the remainder of this essay.
Page 4
5. POSSIBLE REASONS FOR NON-COLLABORATION
I suggest there may be a number of possible reasons for non-collaboration:
i. Researchers of natural and technical hazards talk a different language (jargon).

As an engineer I can associate with the concepts and risks associated with
technical hazards. From the papers we were required to read, my (admittedly
cynical) view of researchers of natural hazards is that they write long
incomprehensible essays! If I were to research technical hazards in depth, I
would natural tend towards a probability and statistical approach which I
know would be unhelpful for many people.
ii. Natural hazards have been recorded over the years such that fairly good
predictions can be made as to the risks of a disaster occurring. Technical
innovations bring new technical hazards which must be calculated using fault
trees and "expert" judgement in lieu of measurement. This may be considered
unreliable by natural hazard researchers who, for instance, may know as little
as the layman about the risks associated with nuclear power.
iii. The people who calculate technical hazards generally have a vested interest in
the process, so may tend to underestimate the risk which they have or are
proposing to incur. For instance, the designer of a nuclear power plant is
likely to underestimate the risks associated with its operation. The opposite
applies to researches of natural hazards who, if anything, benefit due to the
publicity and research funding that often arises as a consequence of a potential
disaster eg. earthquakes, depletion of ozone layer.
iv. Industry is primarily concerned with the technical hazards for which it is
responsible. Major funding is available in order to reduce the risk of a nuclear
power plant, where as the aid available to a Third World countries during a
drought is often inadequate.
Page 5
6. POSSIBLE SOLUTIONS FOR NON-COLLABORATION
Here are some possible solutions corresponding to the problems i. to iv. as set out
in the previous section:
i. Communications - researchers of natural and technical hazards need to find a

common language. Practically this means writing clear, concise and jargon-
free reports and papers.
ii. Hazard prediction may benefit from being quoted with an accuracy band
corresponding to the confidence in the basis of prediction (whether it is risk
measured over a long period or a calculated risk dependant on an expert's
opinion). eg. The risk of this power plant causing a major accident incurring
over 100 deaths is 1 in 1,000,000. The risk analysis is based on fault analysis
and believed to be accurate to ± 20%.
iii. Independent and unbiased assessment of technical and natural hazards is

essential. For that, I would look to the experience of the Insurance Industry.
Even if they will not insure against all possible disasters, they are experts in
objective assessment of risks and could be commissioned to certif' a
calculated risk before it is published.
iv. The risks we consider unacceptable in developed countries are minimal in

comparison with the risks and subsequent disasters we allow to occur in
poorer countries. No one could argue that this is fair. A view given in
lectures and papers for this course suggests that Capitalism is the cause of this
injustice and that Marxism is a solution. I do not believe the solution to
injustice can be found solely in political or economic policies as mankind is
inherently sinful. This is consistently reflected in all human societies. I am
satisfied with the compromise of Capitalism in a democratic society. But as a
Christian, I believe we should encourage countries to adopt policies that
reflect the selflessness and compassion demonstrated by Jesus, recorded in the
Gospels.
Page 6
8. CONCLUSIONS
Natural and technical hazards are so closely related that non-collaboration and
working in isolation is short sighted.
I have suggested some possible reasons for non-collaboration and possible

solutions. Research in both fields should feel obliged to cooperate where
appropriate.
Page 7
R.PeterS: Reading your paper I got the feeling that you did not
enjoy doing this assignment. Your writing seemed "angry". In
any case you did cover the basics, but you could have done more-
and where is your bibliography' .......C
5 ENVIRONMENTAL REVIEW OF
BIOCOMPATIBLES LTD.
Environmental Review
of
Bio compatibles Ltd.
Brunel University Science Park
Kingston Lane
Uxbridge, Middx. UB8 3PH
by
Environmental Technology EngD Group
"p
W)
Brunel University
27. May 1994
Acknowledgment
Special thanks to Prof. John Donaldson and Dr. Sue Grimes (Brunel University) for their
encouragement and wise counsel throughout this review, to Peter Russel for the information he
provided and to Mike Driver and other employees of Biocompatibles Ltd. for their cooperation.
patience and support for this project.
Layout and printing by CqbA, Tel: (0895) 238664

En%ironnu'uuJI RttiCI (JBUH (,,n/,(1I:b(_c Lea.
Contents
1.Introduction I
1.1 Company Information
1.2 Purpose
1.3 Scope
1.4 Approach
2. Legislation and Safety 3
2.1 Overview
2.2 Sewerage Services
2.3 COSHH
3. Environmental Impact Assesment 5
3.1 Overview
3.2 Introduction
3.3 Salient Points
3.3.1 Physical Land Take
3.3.2 Estimated Emissions and Residues
3.3.3 Effects of Flora and Fauna
3.3.4 Landscape
3.4 Community
3.4.1 Overview
3.4.2 Complaints
3.4.3 Traffic
3.4.4 Communication
3.4.5 Miscellaneous Odours
3.4.6 Noise
3.5 Land
3.5.1 Solid Waste to Landfill
3.5.2 Incineration
3.5.3 Local Contamination
4. Air 8
4.1 Overview
4.2 Solvent Mass Balance
4 3 Fume Cupboard Extraction
En 'i!.()IIPIlC,!1((J/ I''%i('W ('lB i('t oin,'iiibles Lid.
4.4 Heating System

4.5 Stacks
4.6 Summary

5. Water 10
5.1 Overview
5.2 Quantity
5.3 Drainage
5.4 Spillage and Emergency Procedures

6. Waste 11
6.1 Overview
6.2 Chemical Waste
6.3 Biological Waste
6.4 Waste Labelling and Documentation
6.5 Waste Spillages

7. Energy 13
7.1 Introduction
7.2 Energy Policy
7.3 Review
7.4 Site Description
7.5 Findings
7.6 Legislation and Compliance
7.7 Conclusions

8. Management Systems 15
1.l Introduction
l.2 Overview
.3 Site Management Procedures
l.4 Findings
.5 Legislative Compliance
.6 Conclusions

9. Conclusion 18

10. Recommendations 19
10.1 Legislation and Safety
10.2 Environmental Impact Assesment
10.3 Air
En rironnic'nial h'ciei ( If B ucomji1iith/s Li1!,
10.4 Water
10.5 Waste
10.6 Energy
10.7 Management Systems

Appendix 1 - Site Photographs 21
Appendix 2- Site Plans 24
Appendix 3 - Biocompatibles Ltd. Lease Extracts 29

Appendix 4- NRA Data 33
References 37
En tirOflflWfllU/ I'eriei ('t! iJi )lfl/)c11ihhS Lid.
Ia Introduction
1.1 Company In formation
"Biocompatibles Ltd." is a small venture capital funded company established seven years ago. and
has been located on the Brunel University Science Park, Uxbridge, for the last five years. The
company has rapidly expanded over the past few years, now totalling some 4(1 employees. Their
research is largely concerned with coatings and materials for the medical device industry:
specifically, haemocompatible surfaces, surfaces that don't adhere bacterial organisms, and new
improved contact lens materials.
The following company organogram illustrates the company management and research divisions.
Chief
Executive
Officer

CM TM TM CM TM TM
I Extra- Non
Firta nciaf Eye care
corporial Cardio-vascular. health-care
director division
Circuitry applications
CM Commercial Manager. TM = Technical Manager
1.2 Purpose
This review has two main aims:
I. To familiarise the EngD research engineers with the principles, methdology and pitfalls of an
environmental review by means of a hands on survey.
2. To provide "Biocompatibles Ltd." with a preliminary environmental review, and to make

recommendations relating to more environmentally sound technical, safety and energy related
operations.
1.3 Scope
The initial interview with the company representative Mike Driver was conducted on Tuesday.
24. May 1994. The following day, this was augmented by a 2 hour site survey and a tour of the
laboratories. Interviews with representatives of company staff were also carried Out. The lab tours
Entiron,nenial 1ti!,a (,fB ioe'n:panbies Lul.
were brief by necessity, and this review, therefore, is only representative of the information that
could be gathered in this short period.
1.4 Approach
The research engineers were divided into 3 groups, each covering the areas described below.
Some of the individual areas were investigated by more than one group, so as to minimise the
amount of information that would be overlooked.
The information was collected during the lab tours using a pre-prepared protocol and by engaging
in informal discussion with staff present. Photographs of specific and general scenes were taken
with permission and presented in Appendix 1.
2
En tironrne,iiaI R tiew of fiioeoinpunhIe. Lid.
2. Legislation and Safety

2.1 Overview
Biocompatibles Ltd are potentially subject to emission control through the media of air, land and
water. Discharges from fume cupboards are unlikely to be a problem, though strictly it is a
decision of the local authority. Releases to land are covered by contract to a licensed waste
disposal contractor, though as producers of solid waste they retain a legal duty of care.
Responsibilities relating to aqueous waste are discussed.
The importance of effective safety and laboratory procedures. and their inherent integration with
sound environmental practices is recognised with the implementation of an efficient and accessible
COSHH system.
It should be noted that Biocompatibles Ltd. have a legal contract with the University concerning
discharge and therefore come under the direct control of the university.
2.2 Sewerage Services
The Science Park foul drainage system is connected to the University drainage system. This
comes under the responsibility of Thames Water Plc. at the Mogden treatment works in
Twickenham. A consent discharge, issued by Thames Water Plc. in 19Th is still in force.
Generally, contamination levels can be predicted and Biocompatibles Ltd. are under obligation to
inform Thames Water of any major spills.
Dipping tests are occasionally carried out at a bore hole which collects water from the University
and the Science Park. The tests measure mainly the concentrations of organics and metals.
NSCA refer to the The Water Industry Act 1991 in stating that [NSCA94J:
"Occupiers of trade premises may not discharge any trade effluents into a public sewer unless
authorised by the sewerage undertaker. An application to discharge should contain details of the
effluent, quantity to be discharged in any one day, and the highest rate at which it is proposed to
discharge. ifl granting an application, the sewerage undertaker may impose conditions covering
the rate, quantity and composition of effluent and the sewer into which it may be discharged, and
the time or limes of day. Conditions may also relate to provision and maintenance of inspection
chambers and meters and of other apparatus for testing the effluent, record keeping and payments
to the sewerage undertaker."
3
En 1iI('flfllL'fliUl Rtti'i ( fBi ( ( Oifl/1(Jiihl(X Lid.
2.3 COSHH
Biocompatibles Ltd interpret the COSHH regulations in an efficient and comprehensive way.
Staff have an effective working knowledge of the system, and relevant documentation is readily
retrieved and consulted. For all chemicals used in experiments, hazard data and quantitative risk
assessment values are documented. The actual value depends on the quantity and toxicity of
chemical used. An example of this would be:
If a risk value for a chemical used is high, a more detailed risk assessment for that experiment is
performed (for example, what to do in case of spillage). This procedure is individually completed
for all experiments. Before being performed, experiments are written up in a lab book, detailing
reaction mechanisms, side reactions, procedure, risk assessment, etc., checked by the laboratory
manager and safety procedures discussed.
Material Safety and Data reports are obtained and risk assessments compiled foi all new
chemicals before placing an order.
COSHH spillage procedures require action to prevent hazardous chemical discharge to the
sewerage system. These procedures are clearly illustrated in wall charts in a number of
laboratories. The line of authority in the event of major spillage in the absence of both safety
officers was unclear. The company does not consider their activities to pose a significant risk to
the River Pinn.
4
E,:vironnieniul R('tltW O.tBiOrOflIpUlih!eN Lid.
3. Environmental Impact Assessment
3.1 Overview
Impact on the local environment attributable to Biocompatibles Ltd is minimal. There is. however.
some scope for improvement.
3.2 Introduction
The object of an environmental impact assessment is normally to assess the likely effects of a
proposed new development. Here, however, we propose to compare the site as it stands today
with what preceded the development, i.e. green space.
The site is located on University-owned land. It is approximately 50 metres from a block of

university accommodation housing some 100 students. A market garden centre is within tOo
metres from the site. The River Pinn runs 200 metres down-hill from the site. The river supports
some wildlife (small fish, ducks). The main road, University sports facilities and privately-owned
housing are also close-by.
3.3 Salient Points
3.3.1 Physical Land Take
This is defined as the land occupied by buildings, car-parking facilities, access roads, "decorative
spaces". Specific measurements are not available.
3.3.2 Estimated Emissions & Residues
There are inevitable gaseous emissions from the fume extraction points (refer Appendix 1). These
will be predominantly organic solvents. The quantity of emissions will be relatively small, they are
likely to disperse quickly in the atmosphere and do not represent a hazard to local residents.
There could, however be a nuisance problem to local residents and other companies at the
Science Park if unpleasant odours are extracted from the laboratories unchecked.
Neutralised acids and other unidentified aqueous chemicals are released into the drainage system.
Little information is available with regards to specific quantities. Again, it is likely that quantities
are small and contaminants will have minimal environmental impact.
There is evidence of oil and petrol spillage in the car-parking area. This has minimal local impact
but contributes to the generalised problem of oil in waste water.
S
El, riro,,nw,,iaI I'eviei fBi't c'lfl/)lIi/)!eS Lid.
Solid waste is generally well managed and it is improbable that it could ever cause problems.
3.3.3 Effects on Flora and Fauna
The grounds around the site are well maintained. Foliage is plentiful, trees have been planted and
the site looks pleasant. Grass alone has been replaced by many different types of flora. Birds and
insects were in evidence during the review.
In the event of a major spill, contaminants could run into the River Pinn. This could have an effect
on the local ecosystem.
3.3.4 Landscape
The landscape of the site has neither improved nor deteriorated as a result of the development.
The site's low-rise buildings are not unattractive. Strategically planted trees block the site's
visibility from many local vantage points. The site serves as an effective shield from the
University campus' outline when viewing from the road.
3.4 Community
3.4.1 Overview
The environmental effects on the local community in this instance are minimal.
3.4.2 Complaints
Complaints have been received from neighbouring student residence, other Science Park
companies and employees of Biocompatibles Ltd. This has been with regards to an unpleasant-
smelling compound - trimethylamine - that has been emitted in small quantities.
3.4.3 Traffic
There has been a small increase in traffic on the roads in the area; not only from employees, but
also from deliveries and waste collection. However, given the large volume of traffic on roads in
the vicinity, the additional load from Biocompatibles Ltd. is small.
3.4.4 Communication
Bio-compatibles communicate with the University via the Science Park Manager, Peter Russel.
There is no direct communication with the local community.
6
Lnv,ronnu'nujl Revie.a otBio((nI/atihIes Lid.
.4.5 Miscellaneous Odours
While it is true that small quantities of an unpleasant-smelling compound are released, this must
be put into perspective with reference to background smells in the area. During our visit the
gases emanating from a pile of steaming dung/silage mixture outside the garden centre provoked a
greater reaction from team members than the output of ventilation shafts.
3.4.6 Noise
There is some noise at the neighbouring University residences. This is caused by the extractor fans
on the site, but is a minimal nuisance.
3.5 Land
3.5.1 Solid Waste to Landfill
A quantity of general office waste is sent to landifil as ordinary refuse (this includes the
Winchester bottles). Containers for chemicals are also sent to landfill through the intermediary of
the waste contractor. Some solid waste will also be sent to landfill - as ash - afterThazardous
waste has been incinerated.
3.5.2 Incineration
Hazardous wastes (medical and chemicals) are removed by contractors for incineration.
Assuming that the contractors act responsibly, incinertion should result in environmentally benign
disposal of the waste. However, incineration will inevitably result in some deposits on the land.
3.5.3 Local Contamination
Although spills around the site are likely to be small, incremental increases in contamination could
result from repeated small spills. Over a number of years, this may result in contamination of land
around the site. Deposits from gaseous emissions through stacks, especially during periods of
wet weather, will add to this build-up of contaminants.
7
Eu t'ironme,,tcjI Review of Rioconipaithies Lid.
4 Air
4.1 Overview
The majority of air released from the building is extracted by seven fume cupboards. leading to
central ducts, and discharging through five stacks served by externally mounted fans. The main air
contaminants are common laboratory solvents such as acetone and methanol.
4.2 Solvent Mass Balance
Records are kept of solvents incoming from suppliers and outgoing to waste contractors. The
information exists, therefore, for a solvent mass balance, preferably over a period of months or
even years. Unfortunately, we were unable to immediately access this information in a readily
digestible form.
Solvent recovery on such a small scale is considered to be uneconomical.
4.3 Fume Cupboard Extraction
Each fume cupboard is serviced every six months by a licensed contractor. The face velocity is
clearly marked, facilitating the estimation of air extraction rates. This was performed for the
downstairs laboratory, revealing an air extraction rate of approximately 800() m3/hr, equating to
16 room changes per hour. Of the seven fume cupboards, only one contained a filter (of activated
carbon). There is some confusion as to whether the fume cupboards are left on overnight or not.
In the event of a ventilation system failure, an alarm sounds and the laboratory evacuated.
4.4 Heating System
One boiler covers the whole building (which houses several companies). Consideration of the
emissions arising from the heating system are therefore beyond the scope of this study.
4.5 Stacks
We were unable to gain access to the roof to inspect the state of the stacks. Stack height and exit
velocity are key variables in determining the dispersion of contaminants from the building. The
laboratories and extraction system were not specified for Biocompatible's specific use and may
therefore not necessarily be suitable.
8
En irun,ne,,ia1 l'eriri fBiooin;uiihh's Lid.
4.6 Summary
Small amounts of common laboratory solvents are routinely released via the laboratory fume
cupboards and building extraction system. No attempt to quantify these releases have been made
either by the company or the review team. The company are unaware of relevant legislation
relating to the release of substances to air, and are not directly regulated by the local authority.
However, the nature and scale of the system is unlikely to be of concern.
9
En ironP?u'nta! Retiei of Biuroi,ipe,ii/Ies Lul
5. Water
.1 Overview
Biocompatibles Ltd consume a small quantity of water in laboratory processes. In addition to

distilling water for internal use, tap water is employed in vapour condensing and domestic
cleaning operations.
5.2 Quantity
There is no formal record of water consumption, as the company simply pay a specified
proportion of the total Brunel University water charge. Approximately eighty litres of water are
distilled and consumed per week. This, in addition to condensation and vacuum demands, is likely
to constitute less water than required for domestic purposes.
5.3 Drainage
Where necessary, waste water is neutralised and discharged otherwise untreated to the municipal
sewerage system. Solvents are stored prior to collection by licensed waste disposal contractors.
External drains may be contaminated by car park run-off.
5.4 Spillage and Emergency Procedures
These procedures are covered by COSHH, as discussed in the "Legislation and Safety" section.
10
En vir(i!l pnci g luI I'VI(i' of Bi(H(Jlfl/)Uli/)1CX Lid.
6. Waste
6.1 Overview
The waste expelled from Biocompatibles Ltd can be broadly classed into chemical, biological and
general waste. The chemical waste is disposed of via licensed contractors. The biological waste
items are despatched to Hillingdon Hospital for incineration. General waste is disposed of via
council services, the main constituents being identified as packaging and glass . Follow up us to
how these licensed services actually dispose of these various wastes (as stipulated by the Duty of
Care) is not conducted.
6.2 Chemical Waste
Chemical waste is routinely stored prior to disposal in containers for chlorinated, non-chlorinated,
benzene and polymer wastes. The quantities of organic solvent wastes are documented before
being transferred to the main outside storage area. This allows exact quantities and contents of
outside storage drums to be determined at any time. Quantities of chemical waste disposed are
estimated at 250-350 litres four times a year (25-50 litres of solvent per week).
Other wastes include chromatography mobile phases, general analytical waste, drying agents
(sodium sulphate and calcium chloride) and silica solid waste. The chemical waste is disposed of
through Cleanaway, GKN Cambridge but the Duty of Care stipulation to check on disposal
procedures is not conducted.
Gaseous chemical emissions via seven fume cupboards are minimal, but small volumes of
hydrogen chloride gas are treated by reaction with base.
Aqueous wastes are disposed of via a policy of dilution and neutralisation, each individual being
responsible for his/her own waste. No standards are known with respect to discharge consent
levels.
6.3 BioIogicJ Wastes
Biological waste consist predominantly of disposables (plastics, gloves, packaging, tissues) and
experimental waste (blood, plasma) with an estimated 10-12 [dustbin] bags of waste contracted to
Hillingdon Hospital for incineration twice weekly. A degree of uncertainty as to quantities and
types of biological waste produced from processes was detected. The Duty of Care regulation to
ensure that the waste is disposed of in the appropriate manner is not carried out.
11
En Vi?OflflICnlUl RCIit'i% of Bucnnpatiblex Lid.
6.4 Waste Labelling and Documentation
Hazard labelling was in evidence on all stored waste chemicals although some labels had faded.
Biohazard labelling was also apparent.
Records of waste generated by each laboratory are maintained to ensure accurate documentation
on outside storage. Documentation to this effect was viewed.
6.5 Waste Spilla gas
No spillages of wastes have occurred but the company policy is to document incidents and to take
future evasive action should an incident occur. COSHH policy is adhered to.
The underlying geology of the site is the London clay beds, having overlying layers of sandy clay
and gravel to a depth of approximately 6.5 metres. The surface layer is a sandy clay loam of
approx. I metre. The water table occurs at approx. 5.5 metres, within the sandy clay gravel.
Therefore, any major spillage will follow normal groundwater flow to the river Pinn.
12
En v:raiinwiital I.,'e%iew o/Run ('111/1(11 i/Ix Lul.
7. Energy Review
7.1 Introduction
The main aim of this section is to investigate the possible development and refinement of an
environmental energy policy for the client.
7.2 Energy Policy
The objective of the energy policy is to minimise the demand for non-renewable energy sources.
which principally involves electricity drawn from the national grid. Efficient use of available
energy has a part to play in meeting this objective.
7.3 Review
In order to assess the client's energy use and development of an energy policy, the following areas
have been considered:
• building site and external conditions
• building fabric, windows construction and use
• artificial heating and air-conditioning
• artificial lighting and use of daylight
• existing energy policy, if any

• fuel costs monitoring and management
7.4 Site Description
The building is of fairly recent design and appears to have good quality double glazing with
sufficient draught-proofing. The building fabric is assumed to be reasonably well insulated in line
with building regulations at the time of construction.
The window orientation is principally east/west, so summer overheating may occur on the east
side in the mornings, but receives less direct sunlight during the afternoons. The majority of
windows are fitted with shutters, which, at the time of review, were predominantly down with the
shutters pen.
The office areas were noted to be generally warm and well heated, but the laboratories were
considerably cooler due to a high ventilation rate caused by fume extraction and by the air
13
En virnn,,:eii(u/ I?i'view of Ri' oiiipaiI/es LiII.
conditioning. The air-conditioning and heating were stated as having individual thermostat
controls for different areas, but there is minimal local lighting control.
Some specific equipment is in use which may result in a significant total energy demand. These
devices include a Nuclear Magnetic Resonance machine, vacuum oven, fume cupboards.
extraction fans, and a number of fridges and fridge-freezers. It was not clear in most cases how
much of the time these devices are used for.
7.5 Findings
An existing basic energy policy was described, namely that of turning off lights and equipment
when not in use. However, there is no policy identifying management of heating. air conditioning.
or identifying other primary sources of energy consumption.
A policy of recording fuel bills would be beneficial in monitoring energy use, and in providing
feedback on the effect of energy saving measures. This is not anticipated to require much effort to
implement. However, it was suggested that the whole building is charged for energy, and that the
client only pays a fixed proportion of this, so a direct measurement of energy consumption may
not be possible.
Laboratory ventilation was noticeably high and caused lower working temperatures in these areas.
A significant saving may result from ensuring that the ventilation rate is not higher than necessary,
allowing for the regulation minimum air-flow rate at the fume points, and that only the extraction
fans specifically required to be on for long periods are used as such. The power rating of these
devices may contribute to a significant energy demand when used for long periods.
A policy of identifying devices with a large power rating (e.g. above 1 kW) and ensuring that their
use is in line with manufacturers recommendations to maintain optimum use.
Standard office equipment such as PCs, fax-machines, and photocopiers are assumed to be fairly
efficient, and in constant use during the day, so these probably do not warrant a specific policy.
other than turning them off overnight.
The window shutters are mainly useful for solar shading, but in a general sense they restrict
daylighting, even with the shutters open, thus increasing the energy demand of artificial lighting.
A policy of raising the shutters completely and only using them when necessary would help to
utilise daylight and reduce the need for artificial lighting. It was suggested that the shutters also
have a security function by reducing visibility from outside into areas which may contain sensitive
material, but this seems unlikely to be effective unless the shutters are completely closed.
7.6 Legislation and Compliance
There are no specific regulations regarding energy consumption.
14
En iro,,,ne,:ta1 I'.'e uj t'i of Riot cs,,ju,iih/ Li/.
1.7 Conclusion
There are a number of factors mentioned that could be incorporated into a specific energy policy.
conuibute to a lower energy demand, and yield financial benefit. Of the areas mentioned. the most
significant appear to be the ventilation rate in the labs, and the use of certain equipment which
have higher power ratings (e.g. NMR machine, vacuum oven, extraction fans).
15
Environmental I?etuw of llioronzputhIex Lid.
8. Management Systems
8.1 Introduction
An assessment of the current management systems was carried out to see if an environmental
management system could be applied and identify areas within the organisation that would clearly
benefit.
8.2 Overview
The management systems at present are organised and structured. Environmental management
could be integrated into the quality management system that is presently being phased in
throughout the organisation.
8.3 Site Management Procedures
The present management structure divides the company up into four main divisions. These were:
I. Eye care
2. ECC
3. Card io-vascular
4. Non-health care
In addition to this, there is a financial wing which does not conduct research. Each division has a
technical manager who assumes responsibility for the project research and other management
related subjects including COSHH. Beneath the technical manager there is a deputy technical
manager.
Managers attend a number of structured meetings each year. These involve them in the
commercial aspects of their products and research. They also have responsibility for ensuring that
records are maintained and that staff are appropriately trained in all aspects of their work.
The management executive meets on a structured timetable and thorough minutes are taken. In
addition to this they follow through a predetermined agenda.
Communication appeared to be good and well maintained. This is in line with their present
objective of being certified for a quality management system such as the BS5750 or the ISO-900()
series. At present they are still implementing the quality management system procedures, and it is
envisaged they will get certification by the end of the year. There have been no significant
problems with the implementation of the management system.
16
LII tiIOflflk'flI(Jl R(V1('H O/Ri(e'Ifl/)Ulih1('s Lid.
8.4 Findings
The present introduction of the quality management system means that it would be quite possible
in the future to inoduce an environmental management system. At present the management
appears well organised and has addressed the environmental issues that are of importance to the
organisation through legislative demands, i.e., waste management. Management procedures for
health and safety and hazardous waste management are well maintained and full records are kept.
In this respect, some issues relating to environmental management have already been addressed
and to further extend them would not be difficult given the nature of the present management
procedures in place within the quality management system.
At present there are no specific statements relating to environmental matters in any of the mission
statements or policies. The development of an environmental policy could help steer any
initiatives or activities that may be undertaken. In addition to this, there is a potential marketing
edge in terms of competitiveness with a publicly available environmental policy and management
system which considers environmental factors that are related to organisational activities.
8.5 Legislative Compliance
Although there are no legislative demands for environmental management systems at_present,
there are areas where legislation requires management to ensure that certain procedures are
followed. These include hazardous waste management and health and safety issues. In relation to
these, the management system was well adapted to ensuring that there was legislative compliance.
All procedures initiated through management appeared to be adhered to and consistently
maintained.
8.6 Conclusions
The present management system is working well and does not appear to have any obvious weak
areas. Present progress towards a quality management system is proceeding well and all areas
where management is required in relation to factors which are environmental were covered (see
Legislation). Because of the present organisation within the management structure it is noted that
minor adaptation of the quality management system could allow it to include environmental
issues.
17
Environnu',ual RCtU'Ii of 11ioeon,j ai,h!cs Lul.
9. Conclusions
An environmental review of Biocompatibles Ltd. has been carried out. In terms of general
environmental policy, a variety of areas have been identified, with recommendations for
improvements.
It is felt that the review process was successful; enhanced environmental performance of the
company may be achieved as a result.
18
E,i.irisii,it',,ia1 Review uf !ioi'mpwihle.c Lid
10. Recommendations
10.1 Legislation
• Investigate the benefits of contacting Thames Water regarding consent levels
10.2 Environmental Impact Assessment
• Some thought has obviously been given to emergency contingency plans. It would be
productive to formalise and document all emergency procedures: both interior and exterior
spills.
• Given the potential risk for spillage, responsibility for decanting Winchester vessels into the 25
litre drums is assigned to the Waste Manager, as would be recommended. However, an
individual should be chosen to take on this responsibility in his absence.
The possibility of using documentation on waste quantities and purchasing information to
compile approximate mass balances should be investigated.
• Increased communication with local interest groups in the vicinity, including others in the
science park, would help avoid unnecessary conflict in the event of both major and minor
incidents.
10.3 Air
• investigate the feasibility of using fume cupboards to achieve the required laboratory extraction
rates, where applicable.
• Fume cupboards should be switched off at night.
• The ventilation system should be regularly serviced.
10.4 Water
• Mass balance for water entering and leaving building.
• Company water consumption should be monitored.
• Identification and adoption of discharge consent levels from NRA/Thames Water
19
En VironfllCfl(UI Rcic'i of Bu ' o#fl/)(Ilj/)(e. Li1.
• Protection of water environment from spillage risk by containment system on outside waste
storage area (e.g., sump or bunding) and containment of run off from chemical and biological
substance delivery points.
10.5 Waste
• Follow up Duty of Care - check if GKN and Hillingdon Hospital actually dispose of the waste
as they are supposed to.
• Training on handling of chemical wastes.
• Install bottle bank in car park for recycling rinsed glass items.
• EPIC - enrol with Environmental Product Information Centre for free service - supplies
information on recycled paper products, including details of suppliers
10.6 Energy
The key areas which could constitute an energy policy are as follows:
• Fuel bill record to be maintained.
• Reduction in mechanical lab ventilation.
• Minimal usage of high power equipment.
• Use of blinds and daylighting to reduce electric light usage.
• Evaluate light controls.
10.7 Management Systems
• Develop and install an environmental policy.
• Make a minor inclusion in the quality management in order to review and address
environmental issues at regular intervals.
• Define target areas where improvement can be made.
• Implement the above with a view to improving competitive position through steady
environmental improvement.
• Ensure that company employees are educated about environmental issues which are relevant to
their work.
20
i)?%!FO1l??k'flilI I?LrI'sI 4 ) ;. iIihfIn/¼:;ini% I
Appendix I — Site Photographs
Upper photograph: The site of Biocompatibles Ltd., including the building, car park and outside
waste storage area.
Lower photograph: Typical lab area within the company. COSI-II-I labelling in evidence.
i
\. 1 - i-
21
L,,%'no,,n,,,k1/ R...ri's 0/ Iilk11fl1)ilit1k%
Upper photograph: Detail of fume cupboard incorporating solvent-safe cupboards below.
Lower photograph: Exterior of Biocompatibles Ltd., illustrationg fume cupboard extraction

stacks.
22
L,IVIOnnit'?,Iaj' I.'!L'I OT iUki,PJ/)J(I 'i
Upper photograph: Detail of external gas cylinder storage area; locked with hazard labelling.
Lower photograph: Detail of liquid storage area and general waste site.
23
Environnu'n:aI !eviei of BIHun/u,hlcs Lid.
4ppendix 2- Site Plans
The following plans are enclosed:
1. General Brunel University Uxbridge Campus map, pinpointing the Science Park.
2. First Floor Plan of Biocompatibles Ltd. premises.
3. Second Floor Plan of Biocompatibles Ltd. premises.

4. Science Park site drainage plans prior to construction of buildings.
24

ii

- 7',,, HeaTh° Arpcf' & ,,i4 COWLE' P: J.'.I 0 Ti) Lxr'Cge
—22223j I
I I ;; Bus222223
!!
I'
Brunel
-EUNI'/ERSIf
Fiats
Uxbridge Campus
-
NOT 70 SCALE
N
-
IL
Flats_Manager
! : '
Nurs J
1/ CRICT/Social
- I , Education
CSHSD/HERG
gH
811s 1i3
I
to
Afl CCCI
3
t.t'\ (
-. NGSTON LANE
to Un!sTrp-'ayng i-UI
Bus U4 & US and 724 preS
Coach (reQueSt slept
Buses Alight at:

From Heathrow Central: 223 (stopping) U3 - main entrance, Cleveland Road
724 - Express Coach, (by request) U4 & U5 - Kingston Lane entrance
From West Drayton Station: 222, 223 207 - Hillingdon Hill: use river path adjacent to Sports/Arts Centres
Ivhrrtr fnri' I i' 14 I 222. 22 - Cowlev Rcad se oath via flats and Social Scrence ouiidins
T I
• ______ - T
• ••,'-,::_ - >-
-: ) / I • Cl) - • - •
'C)
(<' 'x' X X
• __
H_ _ _
I___
I L.."T •
_ ___ •
__ _
• N
• H •.•F
•
h J.
,//
j.
// I.•-i
I •
I - I '
Th
3
1
\•••••-J -'--••-.
• •
• •
• • - I -
04'.
- I..
I
.t i
r.4
N.
k -'
c •
: I- _:t_
)
V.,
: ''
;;; .;t; --.- ---
-
i.-
\ t'_
0 -
T4
\\ \ I
.\ ,''
A
'I,)
I)
V.' 7.
-S -
H- *1 ,, .,. -
Q • C) •
C'
C
E,i ii.i 'un! en ía! Ri' i •j ('i I i•f. B i U( I1!l/1Ui!/! s Liii
Appendix 3- Biocompatibles Ltd.

Lease Extracts
The document excerpt on the next three pages is taken from the Lease Agreement for
Biocompatibles Ltd. In particular, it includes clauses dealing with noise pollution, public nuisance
and discharge of effluent into the sewerage system and the surrounding premises.
29
T'i'4 LLT
(12) Use
(A) At all times during the Term to use and occupy the Demised
Premises for the following purposes:-
(1) scientific research development and education associated

with or ancillary to or calculated to promote encourage
or facilitate industrial production or manufacture
(ii) light industrial production and manufacture where such

production or manufacture is ancillary to and forms a
necessary part of the scientific research development or
education permitted under sub-clause (1) hereof
(iii) office and other administrative purposes ancillary or

incidental to the uses hereinbef ore permitted (including
the prov.sion of library and conference facilities)
and without prejudice to the generality of the foregoing not

to use or permit or suffer to be used the Demised Premises
otherwise than for the purposes specified in Paragraph 9 of
Schedule 1 or subject to the prior written consent of the
Landlord such consent not to be unreasonably vithheld for any
other purpose PROVIDED that the Landlord may at any time
refuse to consent to a use which is inconsistent with the use
as a science park operating in conjunction with a university
(B) Not to use the Demised Premises or any part thereof nor
permit or suffer the same to be used
(1) for residential purposes or as sleeping accommodation
(ii) for any public exhibition or entertainment or the

conduct of any sale by auction
(iii) for any noisy noisome offensive or dangerous trade art

manufacture business or occupation
(iv) for any illegal or immoral purpose
(v) in any way or for any purpose which may tend to become
an annoyance nuisance damage disturbance or
inconvenience to the Landlord or the owner or occupier
of any adjoining or neighbouring premises or the
neighbourhood
(C) Not to trade or display goods or cause any obstruction

outside the Demised Premises or the front vindows thereof or
upon any private forecourt comprised therein nor to hang or
permit to be hung anything from the vindows of the Demised
Premises
(D) Not to allow to pass into the Conduits serving the Demised
Premises or any adjoining or neighbouring premises any
noxious or deleterious effluent or other substance whatsoever
which may cause an obstruction in or injure the Conduits and
in the event of any such obstruction or injury forthvith to
make good all such damage and any damage caused to the
Demised Premises to the satisfaction of the Landlord's
Surveyor
(E) Not to load or unload or park motor vehicles on any part of

the Common Parts other than on the areas designated by the
Landlord for the use of the Tenant and not to obstruct or
suffer to be obstructed the Common Parts
(F) Not to store rubbish or refuse within the Demised Premises

and to ensure that the same is cleared from the Demised
Premises each day and deposited within the receptacles
provided within the central refuse storage area
(13) Advertisements and signs
Not to affix or exhibit or permit to be affixed or exhibited to or

on any part of the interior so as to be seen from the exterior any
advertisement sign signboard fascia notice blind or flag other
than such as shall have been previously approved in writing by the
Landlord nor hang place deposit or expose outside any part of the
buildings comprised In the Demised Premises any goods articles or
things for sale and not to install or permit to be installed any
flag pole outside aerial or window box on the Demised Premises
PROVIDED THAT the Tenant shall be permitted to place a sign
showing Its name the nature of its business and its logo on the
exterior doors of the Demised Premises vith the previous approval
of the Landlord (such consent not to be unreasonably withheld or
delayed) as to the size design and exact location of such signs
(14) Nuisance
Not to do or permit or suffer to be done upon or in connection

vith the Demised Premises anything which shall be or tend to be a
nuisance (whether indictable or not) annoyance or cause of damage
to the Landlord or to any adjoining or neighbouring property or
the owner or occupier thereof
(15) Overloading
Not to do or permit or suffer or bring in or upon the Demised

Premises anything which may impose on the Science Park or any
adjoining or neighbouring premises any load weight or strain in
excess of that which any of such premises are designed or
constructed to bear with due margin for safety and In particular
not to overload the floors or the electrical installation or the
other services of In or to the Demised Premises nor suspend any
excessive weight from the ceilings or valls stanchions or the
structure thereof
(16) Alienation and registration
(A) Subject to the following provisions not to assign mortgage

charge underlet or otherwise part with or share possession or
occupation of any part of the Demised Premises otherwise than
IC%i('li ('ffii(' inpnibIs LeiI.
4ppendix 4- NRA Data

Thames National Rivers Authority (Amershain) was contacted to see if any water quality readings
are taken for River Pinn. Several data sheets were provided by the NRA and are presented here.
One covers the River Pinn water quality readings (shown on the next page), and two outline the
water quality standards for fresh water as defined by the governing bodies (the other two pages of
this Appendix), so comparisons with the River Pinn readings can be made.
33

. .•
"t5
.-. rr
'...
..r•: u:. r.;.c,:':
;i CC?7 •';. iC" . :.
. C''• ..:' ,.
2'C• C' 2. . ( 'L ''' '. :
, • •' •:'c. :2-4,' .. .,..'j. ?CUI I ,,
;:. .. • ,,r , , '
•"•'s' .?. C-:" '12. •Z''' I •:. .. ., ,,
'j ': • --- ::.rc C32 '. ._. c'.. (,• tr;
..'' C'.'v L2' - it: / _ '., -•.-,,, .
•:.' . :,'91 :'c: SZ'.120 :'. •'v .'. ._

, .,
':.' :2'iL . 3. ;..'.

:''t': ,'%Z -- •::':'t sc'Z3 I 2. 2. "op:' '.'. S
: : • -., ,C: -
S.S.1zc OE,ti47U i: ;St F'ns:,b ;J•
Z. 2'' IZ. ('OC' C'3I:
c'.
Lz.c :.'; - & ,.
Es:2 OF ::-- t5 :2
-
<)7 P1 •:: EO.0
. I3,_ -.. (ZJU? D:
Z1/C'2,'': (1t. c•--: (i_. • '•:

1
( -."j2.'1.4cr:
L: <:i; cz.:i.s j._,.)
i2 :---•— <: RL!' 2. c" ". 9' s. 1.
2G,"4,'L (:'35 •- . C.9(' 2. SOC) 99. 'X( ( 0. 0 I
P••• - za^: ' '
2. 1::z (,(i
000 S2.'9 . cN:)() ( 0. c c .
:C.'o7,"1 '.:2 C3 5.2c.c.. •19.(.C,C: ( rs' (
1:> !—— ("a U3C' Z. 0' C 114. C'0 0. O3' CL 0

:':
C,'1.'9: 3?. 7c0 0• (p
—•-• .: $C'2Z C .. C'('
/2.'4i .•--R '>'.•: ( 2. 0OC 9.

1 1'- • t; i^4 2. C?O i.'_ ov 0. 130 0. ('
"3,'2 3C.C: RXZ C . (0" 3t•. (< CL C( C '. C
.'O..'92 ..;:. OC^ S" . 3. LOC' .!. OC'O &'. 00 0. C'
'k;. 1.i.th OD(J t0 !.
0.
1'iL'M 2'" . C.
I ?. I ttJ _ 'C,. 05C' C'_
;. '1:i. t S ?J ,>
Tr' 12
S a.•. .

-- &_ ,__.
1%,rtL uI(AUIHoaIfl - RIVER QUALTTY TANDARD$FRESH WAlE?.)
CLASS 1A
DETERMINAND UNITS MEAN SOtile 9Stile MAX
Dissolved oxygen (mm) %sat. 80

Dissolved oxygen (mm) mg/I. 9
BOD (ATU) 5 day mg/I. (1.5) 3
Ammonia as NH4 mg/i 0.'
Ammonia, non-ionized as NU3 mg/I 0.025
Susp.nd.d solids (105 deg C) mg/i (25)
pH 6-9
itrite as NO2 mg/I (0.2)
Cadmium ug/1. 5 LIST 1

Mercury ug/I 1 substances
Hexachiorocyclohexane ugh 0.1
Carbon tecracLioride ug/]. 12
Pare-para DOT ng/I 10
DDT ng/1 25
Pencachiorophenol ug/1 2
Mexach1robenzene ugf]. 0.03 from 01/1990
Bexachl.orobucadiene ugh 0. 1 from 01/1990
Chloroform ugh 12 from 01/1990
Aidrin ng/1 10 from 01/1996 ) 1/1989 total dri
Dieldrth ng/l 10 from 01/1996 ) <— 3Ongfl
Endrin ngfl 5 from 01/1996 ) & endrin
isodrin ng/1 5 from 01/1996 ) <— 5 ng/1
rseric ug/1 50 LIST 2

Lubstances

Chromiu.m hardness 0-50 ug/1 5
,0-100 10
100- 200

ug/1 20
>200 ug/1 50
Copper hardness 0 ug/1 I
10 ug/ I *7• (5)
50 ugh 6 (22)
100 ug/ 3. 10 (40)
200 ugh 10 *(76)
250 ug/1 28 * (94)
>300 28 (112)
Lead hardness 0-50 ug/1 'I

SO-iSO ugh 10
>150 ugh 20
Nicks]. hardnas 0-SQ ugh 50

50-100 uC/) 100
100-200 ug/1 150
>200 ugh 200
Zinc hardness 0 ugh. 8

IC) ugh *16 30
50 ugfi 50 200
100 ugh 73 - 300
700 u&/) 75 *35Q
250 ugh 125 *375
7500 ug/1 125 500

2±'- '-AUT1(0RITY - RI V ER QUALITY TANI)A.RDS (FRE511 WAT)
CLASS lb
ETERMINAND UtflTS MEAN 50%ile 95%tle MAX
Dssoived oxygen (mm) %gat. 60

Issoived oxygen (mm) mg/i 9
OD (ATU) 5 day mg/i (2) 5
\wonta as HH4 mg/i (0.5) 0.9
mnonta, non-ionized as N113 mg/i 0.025
suspended solids (105 deg C) mg/i (25)
6-9
Nitrite as NO2 mg/I (0.2)
Cadmium ug/l 5 LIST 1

Nercury ugh 1
Kexachiorocyclohaxanc ugh 0.•I
Carbon cecrachioride ugh 12
Isra . para DDT ng/l 10
DDT n/1 25
sntach1ovuphano1 up/l 2
Hexach].orobenz.ne ugh 0.03 from 01/1990
Hexachiorobucadiene ugh 0.1 from 01/1990
Chloioform ugh 12 from 01/1990
1dr1n ne/I 10 from 01/1994 ) 1/1989 total 'dtin
'e1drin ng/i 10 from 01/1996 ) <- 3Ong/i
:ndrin ng/1 S from 01/1996 ) & encirin
sodrin ng/I 5 from 01/1994 ) <— 5 ng/i
rsenic ugh 50 LIST 2
subs tancc
Chrorjuju hardne 0-50 ug/1. 5
50-100 ug/1
100-200 ugh. 20
>200 ugh 50
Copper hardness 0 u&fI 1
IC) ugf). *2 (5)
50 ug/1. 6 (22)
100 ug/l 10 (40)
200 ugh 10 *(76)
250 ug/1 28 *(94)
>300 u/1 28 (112)
Lud hardnoaa 0-50 ugh. 4

SQ-iSO ug/l 10
>150 ug/l 20
nickel hardness 0-SO ugh 50

50-100 ug/]. 100
100-200 ugh 150
>200 ugfl 200
linc hardness 0 ug/1 8

10 ugh *16 30
50 ug/]. 50 200
100 75 300
200 75 *350
250 ugh 125 *375
>500 ugh 125 500
E,,t'jr,une,uaI I'ie tifB i' il,l/IaI,/ft. L,i
References
NSCA94 National Society for Clean Air and Environmental Protection /994 Polluthn,
Handbook. iSBN 0 903474 36 0
37
6 PROJECT PLAN
Module la: Project Management
EngD - Year 2
Coursework Assignment
Produce a Project Plan for your Research Project to cover the four years of the period of
research.
Your plan should include:
1. A preamble outlining the background to the project.

2. The aims of your research project and how you plan to fulfil these.
3. How the project will impinge on the working of your sponsoring
company/organisation in the short-term and in the long-term.
4. The contribution that your project will make to the environment.
5. A family tree which shows where you (and your project supervisor) fit into the -
organisation of your sponsor; include any other members of the organisation who
may be involved in your work.
6. A Gantt chart detailing the main activities and planned milestones.
7. A project calendar detailing your course module dates (where known) company
project meetings, report deadlines, coursework deadlines, holidays etc. (it would
be helpful to maintain this as a live document).
8. Provide a summary of the progress on your project, to date.
Submission Deadline
Your Project Plan is to be submitted to Alex Roberts by first mail on Friday 16 December.
/çg
Engineering Doctorate Project Plan
Richard D Peters
Brunel University, Uxbridge, Middlesex UB8 3PH and
Arup Research & Development, 13 Fitzroy Street, London WI P 6BQ
9 January 1995
Document ref: \engd\598.wpd
1. Preamble
My EngD sponsor, the Ove Arup Partnership, is an international firm of consulting engineers. A major
part of their work is the design and specification of buildings. Arup sponsored my undergraduate
degree at Southampton University and employed me as an Electrical Engineer when I graduated in
1987.
Buildings account for about a third of all the energy we consume. Lifts, my main area of expertise,
make up a significant proportion (5 to 10%) of the electrical load in large developments. My project
aims and objectives are based on the belief that there are significant energy savings to be made in the
area of Vertical Transportation by good planning design, considered control strategies and the use of
high efficiency motors.
The title of my Environmental Technology Engineering Doctorate project is Vertical Transportation

Planning in Buildings.
2. Aim of Research Project
The aim of my research is to provide a basis for the design and specification of vertical transportation
systems which are both energy efficient, and provide passengers with a good service by defined
standards. I am proposing to fulfill these aims by:
Measuring vertical passenger traffic and lift/escalator energy consumption so as to build up

pedestrian circulation and corresponding energy models for offices, residential buildings,
airports, leisure complexes, etc.
Comparing the use and performance of lifts/escalators/stairs to existing lift traffic analysis
models and assumptions. Comparing the performance of driving motors to electrical models.
ii. Developing computer programs implementing verified analytical/simulation traffic analysis

models and corresponding energy models.
J. Using verified models to calculate: the benefits of developing and implementing energy efficient
lift control algorithms, the savings achievable though use of high efficiency motors, and the
benefits of energy conscious planning strategies.
Establishing guidelines for predicting traffic in new and refurbished buildings. Making planning
and specification recommendations that reflect the need to design energy efficient buildings.
3. Implications on Sponsoring Company
In the short term, my project is raising awareness of environmental issues. I have given a talk to
electrical design team leaders about Environmental Technology and Building Services. The purpose of
this was to make them aware of environmental legislation and to introduce life cycle analysis.
Page 1
In the long term I expect my project recommendations to have a strong influence on the design and
specification of vertical transportation systems in Arup.
Practically, my project will provide tools to enable Arup to analyse the efficiency of alternative designs
(single/double decker lifts, escalators, numbers, sizes, speeds, etc.). And the theoretical basis for
writing specifications for energy efficient control systems.
The training I am gaining in environmental issues adds skills to the firm which it is envisaged will be
applied over a broad range of construction projects and subject fields.
4. Contribution project will make to the environment
Electricity generation causes non-renewable resources to be depleted, waste and emissions to be

generated. In my end of Year I EngD paper, I demonstrated that a typical lift system is the cause of
over 2000 tonnes of CO2 emissions over its lifetime.
My project's contribution to the environment will be to provide information and tools that enable us to
minimise the environmental impact of vertical transportation systems, primanly through reduced energy
consumption.
As one of the words largest specifiers of vertical transportation systems, Arup is very influential in the lift
industry. My second sponsor, the Charted Institution of Building Services Engineer, has similar, if not
greater influence. It is therefore reasonable to assume that, if my project is successful in puthng
forward practical, and cost effective energy saving measures, they will be implemented on a significant
scale.
5. Family Tree
A simplified Arup company structure is shown in Figure 1. My industrial supervisor is John Haddon.
Ove Arup Partnership Board

L..

Arup Research Electrical Coordination Building Engineering Other Groups

& Development Committee Director 1 Haddon
Chair 3 Haddon
Member R Peters
- --1 T
Lift Group Other Groups Project Teams

Leader R Howkins _________
Member R Peters Specialist advice
coordinated by
LIFT committee
Chair G Higgens
Figure 1 Simplified Arup Company Structure
Page 2
6. Gantt Charts
I prepare Gantt charts for my industrial and academic supervisors every six months. Updated charts for
years I and 2 are included in appendix A. I have not prepared charts for years 2 and 3 at this stage as
the activities will depend heavily on the results of my current research (a lesson I learnt having prepared
a four year chart at the beginning of the programme).
7. Project Calender
A project calender is included in appendix B.
8. Summary of Progress
In summary, I have made the following progress with my project to date:
Carried out a life cycle analysis on a typical lift system to confirm that energy in use in the cause
of dominant environmental burden.
Made progress modelling lift motion and energy consumption, providing the basis for tools to
test my energy saving ideas. Related to this work, I am presenting a paper on lift kinematics at
the international lift conference, Elevcon '95 in March. I am helping to supervise an
undergraduate student who is building a lift model - this should provide data to test my
mathematical models.
iii. Presented a paper "Green Lifts?" at the CIBSE National Conference, following this up with a
direct enquiry to the major lift manufacturers to solicit their comments.
iv. Carried out initial site surveys which suggest that current design criteria tend to result in
excessive lift handling capacity. One survey provided evidence for a rent review arbitration case
for which I was an expert witness - the tenant claimed çincorrectly) that there was insufficient
handling capacity. Establishing lower handling capacity design criteria will reduce the capacity
of new lifts, therefore saving energy.
Carried out background research, and development of automatic traffic counting techniques to
aid traffic surveys.
Considered approaches to developing "green" lift control algorithms.
v. Developed a traffic analysis/planning technique for double decker lifts - double decker lifts are
claimed to be more energy efficient for transporting large numbers of people in high rise
buildings. I am also presenting a paper on Double Decker lift traffic analysis at Elevcon '95.
vUi. Input advice/analysis for a number of Arup Vertical Transportation designs.
Page 3
$3
W I—
E
2.
a,
£0
C)
0)
I
a
a,
9)
-)
I
C
-,
9)
(a
9)
0.
0)
(a 1)
C)
0)
0)
.0
a,
U-
C
(a
0)
c)
I
0)
0)
E
E 03
C
E
03
a
2 0
a
E
0) - a. 0
>. 0
t - a
2 0 0) -
(a
0
C C'-. C •u)
a-
0 -J ! E
>- .2 -
E • • ' I—
C OC: U--
.- w oBo
E° 8
0. - .0 0) . cc)
U)
0. a, a, 0 0
C
>- aa. 5 i— w ... w :
a.
0
a)
0
& a
a)
U,
U)
I
0)
a)
t
U) a
0
9)
2
-,
C CU
(0
a)
2U)
I CU
C
>
a)
I0
(0
I
>' E
U) e
+
+
U) a
9) o a) U,
.
a)
a) ', E U)
0)
I U)
I
a)
U-
U)
0)
C
a)
0)
a)
I I 'E
—
—
— >
0)
• c -ø
E -
a)
C.)
a)
a
C) —
0)
-
0
z
II
9)
U
0 ill
II)
E I-
E a) a)
C
Cu
I.. a. E
a)
0I- a
- E
Q. C (0
0
Is - CU C)
U
SO
Cu _J U) C
CU U)
0 -O C
I-
a. a a c C 0
w u 2 0
4: U) >' 8 8 8 8 2
> a.
x -D
2 U) a) 2
-a W W W W I-
C
- ' ° E C 8u.
1)
0 (U (U 0) (U
a a)
U) p- o •D sO a. a U) U)
a) U- a) 0)
a
>- a. I- i
C
4: u 0a. 0.

Appendix B Project Calendar
'October1993 F SS MT_T • ji W [i F S s Lw_jfiifc S MT jW T • F , S 5

1 2 3 J, 5 6 ,7 8.9 J 4 15 18 _ji , p 23 24 25 26 27 28 29 30 31
-16-F1-
- - - ......... .[lOjll 12
- - ._j__ - ---.-- 4- -
CourseModuies •Ujntonhleadersiip!1cA11i .i_
Assnment DeadNnes [ I I I
Amp LIFT Committee

I - - - -
Joint supervisor meetings - I - - - -
'' I
Report Deadlines - - " -. -
Noias . . - - ..- -. -
--- --'-'
-.
t
. ..+.-. - -
--
- I'
I T
4 -- - —1--- - - - - I - - -
November1993 - ,MT1W•T FS S , ,FS1S_ M T 1W 1 T F4SSjMT , WT LF S S M T

.____1._2_434 5 6 7 • 8_9 IL 11414.IIIL lj.17 ilfQ 21 42 .24 _?.426 27 28 29 30
-
I- _,4.,.4_ - J___ - I I -- .. -..... 4
Course Modules I I - LCA2lReSearctl Trakirig Proganineñroect Management I
Assnment Deadlines I I ersonai COnsuca5on and Team Sidis PEMS LCA
4.
'RepodDeadilnes
141.
T
- ':ii
"r
December1993
WIT F i TTT s !s PA 'fW I TF S s 'N I
HTT}-J T F S S M IT W IT
= 1 2 3 4 5 67 "J 10 11 12 1 ,13 14 18 119 20 21 122 23 24 25 126 27 28 29 30 131 I
1i'ip
Course Modules
Assignment Deadlines -
i L
I -
- T __ .- j-
AiupLlFTCommuttee - I I
. -
joist supervisor meetinas - . - ii..LL..i iJ - - t .__ - _i__- -- - -.
---^-----'--I---''
'. .
i •. L j .1 1
4 ... ____________
Report Deadlines - .
1- - - - - -
oldays.. - , U
__________ t' _f_._.J.I '--±
--- 'I I
I- I - - -- - -- - - —p- - - - -
-_ I -_I_I
January1994 - SSM,TIWTJL&S'M TWT 4 FSS N T_,_L.F S,S .MTIWT. F S S
1 2 34 5 6 7 ,8 9 10 11 12 13 .14 15 16jiT1f18 20 21 22423 • 24 25 26 27 28 29 30 31 19
CourseModules .iu.i'tfl L--

s2sIgjimenIDeadlines__ I I
-__,-I-_I- [
Ap,Llcommntoe,_4_,I.
Joint supervisor meetings - - r-------l—--- _I,,I_,__ , 4 .L
i - -. - 4- - • .
ReportDeediines - Li _. 1 -- :
HoIidas
__._....I.11_+___L_ I -
• I -. - '-'--I-'- - I
_t'i
Febuarylss4 TW1T4,F4,SMT,WT F s ,
l i ,-I -- FS ________
1 S N ; - - SMT 4WTF.S S MIT WI
- J2.43f4t5 617 819 1O,ji,4t2 13 14415t16 17 18_ . jL

- 414_2,34 2k126127.28
- -- -- 4 . I - __ . . - - -. -- .. -
CourseModules , I - -r '-- .
AssignrnentDeadlInes I_—i--'--_ . 4, ---. --'•--- .. .-
AiupLiFTcommittee LI .;..L.L .. , - -
Job1lsupeMsorrneetin - -
Report Deadlines 4 -. ____ -'- -. - - . . - - - L i
HoIda
Ii_4_I
-- :
- _J_
March1994 T FSS1TW1TFSSM TWT
J13 446 7 8 9 10 [II I i 2 13I4 jjj l 1920 21 22 24 25 26 27'1128 129 30 31
Course Modules - 4- _ _: - _________ I Risic PercepOon 1
.....LLii11.;" 1'Lf:f.2i.:-±± ..' .

, Jonrl supervisor meetings
, I - I
Report Deadlines - - .., -- -- . : ----- - - -• I
• Lit'' :' T't:m II:
Page 6


April1994 - P 1S sj T[wT]F1S i ... M . _JLF_4. jM_ . T_ W_T : 's 'S N 1 W TF S
• - 11 2 3 5.J6IZ.!_j.i tiJ.1LJ34.14 15 i6i7 18 l92O 21:22232425 26127'282930
'CourseModules H.'TTt:t I H' :±':'ii iTT: i.tt

Assignment Deadliqes_ I -- - -. :
NupLlFTCornrnfttee t . I '; . 1.,
Joint supervisor meetings
•
- .4... - - 4.. - ... - t . - . I
Report Deadlines I - - - -- - ntiPr sRepor
May1994 I --4----+--------I-------
S •N I W I F S S N T iW I F
I
S M IT W
-+-.-. -
.•..-
i"

u .
.1 F S S MI I W I IF S S M .T
— - r...._
..
•
_______________
.1...12 344__ 18 9 10 11 1Jj45 lj1718J190 21 22 ^24 25 126 427 28 29 30

112 1.23
Course Modules . I I Hands 1 auclit& irifrO to k9sieton
Assignmenl Deadlines I - Risk Perctpllon Essa -r . i JEnworrenta1 ReiewR s s?er n
ftsupuFTCommfttee _TT 4.._.L_LJ.i1 I J.
Joint supervisor meetlnfis - - ._._i._t. - J_..j_I_..
Report Deadlines I I Presentation to Anç Erecmncal Co-orrinairon Conyrittee I I
HinayS .4:f •:J:.--f t ........:

4 -f.
' June1994 W'T F 1 S S T WIT P 5 S N IT TIF S'IS N T F S i s !M I W T
-
1 2 T18IiO II i1Toi 22 2324 25 ?.t27.j28.29 30
CourseModules
Assignment Deadlines
.1:_..j.1.
£ . . -.
;L_.'-___.i
l•—--- - - ..... . - 1 -I.
Amp LIFT Commitlee
. . - .
,.j• - -- -
Joint supervisor meetings - I - .- — - - - -- -- - . 4•-----------
Report Deadlines _. - . . I
-- - ;.- ..--
_________
- L •
_
-
___
---'
.H---±--±-
.- T -
H' H
I I —s— -- r - I
1July1994 -- F ,S S U TLIF J!_ I W 1 S S_ . T4.JL. F_SS M 1 1 F S
- 1 12 3 4 5 'Q 8 9110 11 12 l_34j .. l 1718 90 21 22 23 24 25 26 127 28 29 30 31
- - . - .- I . _L.. - --------- — -_i__,....- ..j.. -4- . -'
Course Modules - - - I I - I çzMronta swem' r - -
-.----—. .. .1.. I .1.
Assignment Deadlines
, ArupUFlCommlitee - I4.
I.
.
.. I- - •. 1••j 4 -..-i.---
. .....
Jointsipervisormeetings I j_.. I_ .
.._ -,
ReporiDeadlines
• ]I._ .. I , . . .
Hoidays ,
- 4.... 4. - -. I
tII I
August1994 - 1MTWT1FSSTjT IF S1S Mj._jW_L._FQ.S..4M,T WI F S S Ml
H1 ,2 • 3 ii t213 14 15 16l7 18 24 25 26 27 28.29130311
H I 14-i-'-±--.
ICourseModules------L i.._-.I_.. .__..:...._ ..___ --
f..1
Assg.nmontDeadlines
•

I
.L.4.I._II LH.--._ .
i.1__..L__4_...
NupLiFTComrnfttee 4L4 • I .
Joint supervisor meetings • I .. I .L . .. - .. :
RepomiDeadlines ErD.onferenc!.sis
.i_i.iiJ . : 4 I
- .-- I
- I
....4IT - 4
September1994
I —4--- - - —r— - F SIS
T.F5.5MT1WjT._L!L.i5.!T_.WT
I I - - -. - —#
I WI F,
________ - - -
M_LW.I..4F4S 1 S
3 '4 .f5 6 8 10 jtl 12 l LJLf l_S.. 16117 tl8 20 21 22:23 24 :25 1 26 P 28 29 30
I
4-•--- . '.1 -.... . 1.
F- Course Modules - . I U
.........
•- j -. - .1—. En90 Conlerenca
AssignrrrentDeadlines .. 44_.• -
•nJ1LlFTCornmittee
I- i.. .L. , . 1-I... .-4------i--.--- .
IJ!InLsppejvmsormeetIngsj_,44 i _I._.._._..L i ........... .1
Report Deadlines I I EigD Conference Paper i . I
:::fT. t ' TL :E.:.r+*II I
Page 7


Octob.r1994 S4S M TN3FJSSJ4 T j_J_s,s M I IT 'F 'S S M 'I W T F 4 S S IM
• 1 2 4_ 5 1.6? •I..Q..11O ii 12 l3 14 15 , 16 ' 17 18 19 t20 ;21 122 23 24 25 26 .27 28 29 30 31
- -- -- -.- .............-
Course Modules . I - . -. . . ' .. . .
..i..._......'.
I
Assignment Deadlines . . F1 . 1 1........ I .

NupLiFiCommittee . ....I
JontsUpeO!n!eejfl_ .... . . ._. ._41._i._ I ^...j...----
Report Deadlines ,.,.• . 1.111— _L............
._ •-1-.-.-.. . -. . - .4 .
Holl4as
_..f...... .4..
Nosember 1994: .:
2•
____
dLes t±1T. . tiT .
Assignment Deadlines . I .._. .. -. . .. EngoConipetenpapdene
L -.
• AiupLlFTCommjftee__ I____ -- - - .4,. . .L4._.L...L_ .
JenlsupeMsormeetlngs - . ti._L.._ .. - . _L.J....
Report Deadlines Presentation at Bnziet Research Seninar .. I- I
- L 1 iri_:- ... 4 4 - I
........+....L....
Dec.mb.r 1994 'T IT I T WIItF1 W S S 4w T 'F S S N 'T ' W .' ' F 'S
- 1 2 34Q 7 8 j!JiP4t 14 dL 1?i2 124 25 2621 , 28 29 : 31
Course Modules Project Management & Risk Perceoo 2 J_ - -' -'-.+- --
Assignment Deadlines I 1 1... 1 . - - Ucla I . . I
Asp L IFT Committee - .1.... I •_.1 -. . - __.-__--j.._t-..L. -..... I
Jointsupervisormeellfl.gs ..j... .,.. I _L.___ . .i I
ReportDeadlines. . I -. .----_J -- ±_.LJ . .
Hol
j4- I .4... . _ I
4 I 1-- i--I--- ' .4 .
'January1995 - SMf1T'FS TF1SS MTjW4.T1TS!LT . T_ F ! _s
1 2 67 ,j9 1O 11''2 13114:15 16 171_j2pj2_1n 232425 2627 2829i3031
Assignment Deadlines I—
-------1-:t--'—
- —4 - __i I
r I
H
Ap LIFT Committee I I I I ' I
Jomtsupervtsorrneetlngs It L_1T ^ -
-+ i 1. -
JqportDeadIlnes •,j EIevcojrdeane _ 4.J -
Hoikiays --
I ---- ..i-.---1---I.--_--.-..-t--.
1 -
,
1-''
JWTF SS1M1I1W[frSS+M+LW T ;F I S M TW ' TFjS S MI
IFebruary l995 _
J.i. 2i 3 4 5 L847 ,8 10 11 12j14 15 16 7 .1 .4.!!. 19 , 20 2j2 . 2..,2 4 425 26 27 28
-- ---- - - . - - - ---- -----F - . I-. - . - - -
Course Modules — - - •- .- _L
Assignment Deadlines • RIslcAssespen!Essa,y ,.,
- T. • - ----_ -- -- ..
4 -- - -
ArupLlFTCornmlttee.
Joinl supeiviso meetIngs
1 . L-_ .. - - .. - __4..L.1 •_ I
ReporlDeadllnes- I ---'—.. - _______ --------.
.j__ ..., • - . --
HsI,days
I I- - - - -4-- - ---- --
_____ ___ __ ____ H;
I
March1995 -- WT F44MTlW4.T FS_,4S M T , W
I —1--- 1
4S_,SM ,1,T
I_,
T .LF SS.M4 .LW T F
—•1
I
1 2 j3 14 5 6 : 8 '9 .!o411_ 12_ 1 14 ' 116 17 18 19 2O 21 422 23 425 26 27 28 30 31

LL - t .1?4
ICourseModes
AssInmenI Deadlines
-: H: '44J 4 r
- ...... . I - - ,_ ._ -- - I - --
kupLlFTCommdtee I
----.I---- - I
, Jointsupeivtsormetlflgs I J. _J___J__.,; -- .; -
ReportDeadflnes . ._._.•..,I J- 'j
-
:tL±±iI.1 I1.H:.i
Page 8

Apr il 1995 SSjM1T WTF :s SM T 1W ITFSS MTWT IF IS 5 M TW jj F sJT

- __1 2 4 5 6 7 ,8. 9 4 i. tJ18 19 20 j2lJ.22 23 .2425 26 .J.1ii4i..ii...1
28 29 30 1
i I .
Course Modules I Sodol4ofEm1romientl4 Sodo1oçyofErMroisnent 2 U
r
Asslgnment0eadlines .._1.L.TJi. .
AiupLlFTComrnittee _..Li_..i4._._.i r
Jointsupervlsorrneelings i . .L i..4 •J. . .
+t: f.1:H.
ReportDeadllnes . . _ L..1 •1
_____
May1995 MTW.T1FSSMWjF1S SM_j!_WTSfM TWT 4 FS4S MT W

- 1 2 3 45 78I L0_11......1.2..j.13 14 15J.1.6. 1L18!l!....2Q...21422 23 24125,26..2? :2q29 30 31
Course Modules . . . -- .,.. . I

Assignment Deadlines . i . • I
AiupLIFT Committee• 1
- -. . - I .-- 1- ...
.. i --_____ - ... .• .
-
- . .---
Jolntsupervlsormeetlnils .._ . _ . L_....i.... . . . I
RepodDeadlines
•Holidays
.
•
. 1. . ..T_. ...
.-- -
- ..... . - . - .__ -. . I-
-1 ..
une1995 T F1WTS M 1 T WT F
1 12 3 4 5ij aii_1io ii 12 13 114 15 r16 18 19 2O]22 ij24 25 26 27 28 29 30
CourseModules .4. .. -4- 4 1 ......- .-- - _

. -- "-----r- I
Assignment Deadlines . . I I
Asup LIFT Committee . .. - . L... I. .. L4. ..: -
Joinlsupervlsormeetlnas__ ... I - 4..j._ -- I... .. ......._4.. -- . 4
Report Deadlines I I . I.
Ho. . _T1J.
- . . - 4-- -4- L -4-.--4— - ... - L. .. ...4
I - —I-- — - - -i--- — - - - —4-- — — — $ - - —i — — —1--
July1995 SS4MTWTFSSMT...WTFS S MIWiFSS MT WI FS S1M
I 1 2 3 4 5 6 7 8 9 10 - -11 - 12-. i3T1
. . 15 16 17 118 19 20 21 22 123 .24 25 26 127 28 29 30 31
-t_ .............1
. . +-4— - I
CourseModules -4
•--- . ;. -----.
_4_. I .
I AsoignrnentDeadlines.. I . — ..._J_..._.i - Li.......
AluQlJFTcommlttee J. .....
Jolntsupervisormeetings .. I , , _L_.__. I _1..L..i.
Report Deadlines I I I
Asgu1995 I F S 'S 'M T

-- 1 2 45 l011 12 13 14 15 16 17 18119.Q422 f2&..?e 27 28 429 30 31
oursModules : -
jt L..1 .:H
AosgnmentDeadlines I .4___4 I -i------- ------
MJp LIFT CommIttee . _... . .
- J - I . 1
Jokrtsupe'Isç meetings __ _.. . - -.L_.4.._._...__L r
ReportDeadlines - - .._ .
- -. b_i.. ... L..L..J . . 1
Holklays . + . . .... . I
I j - I ._
__-.-.I.--- _I_______._.__._. ..I-.i--..•--T..- I $1
'ptember1995 -F1
i +234 ' 567 8 4 9 lp_j
1T JISSIM 1 W TFS 4MT w : IF
178 .19 fl 23242526272829130
H
fr
I II.
CourseModules .1 . _._4..I_._.1
AssigrrmentDeadlines-- - . ._ ._4 . - ...+..j ------. • I
iupLlFTCommitlee i I.._-_ ._ - ..........f._._..4 ........ .
Jolnlsupelvlsormeetlngs . ..j_...........,..I i.4.......L_ .
RelodDeadlines
Lt.: .i±:1
Page 9
Richard Peters
23 March 1995
Richard
A good project plan and concise. Your style is easy to read (and digest). I was interested in
your comment about not preparing Gantt charges for years 2 and 3 as you think they will
change. It is still better (in my opinion) to plan even if there are changes. Your project
calendar contains all the right information, but again I would prefer to see a longer look
forward.
Alex Roberts
Your later submission has reduced your mark from B+ to B-

7 RISK COMMIJNICATION
Risk Communication - is it at a theoretical dead end?
Richard D Peters
Arup Research & Development, 13 Fitzroy Street, London Wi P 6BQ
23 January 1995
Document ref: engd'09.wpd
1. Introduction
The term risk communication implies the discussion of danger. It is possibly one of the original
purposes of language. Yet the study of risk communication is a relatively new research field, having
evolved out of a need for risk managers to gain public acceptance for policies grounded in risk
assessment methodologies.
In this essay we shall look at risk communication in the context of the environmental and health hazards
caused by industrial developments. As an example we shall review the discussion that took place
between industrialists, planners, pressure groups, media and the public when Elm Energy proposed to
build a lyre burning plant in Slyfleld Industrial Estate, Guildford.
Pnnciples for good risk communication suggested by researchers will be presented and discussed.
The hypothesis implied by the essay title is that the research field of risk communication is at a
theoretical dead end. This hypothesis will be refuted. Consolidation of existing findings will be
proposed, together with proposals for possible new areas of research.
2. Case study
The need for risk communication has been Introduced, but is demonstrated more clearly by an
example:
In November 1994 Research Engineers from Brunel and Surrey Universities undertook a case study.
The task set was to undertake a media analysis and survey of public opinion concerning a proposed
tyre burning plant in Guildford.
Background
Elm Energy & Rc-cycling would like to build an incinerator on the Slyfield Industrial Estate in Guildford.
The proposed incinerator would burn 20,000 tonnes of tyres per year, generating about 5 megawatts of
electricity. The proposed plant size in 60m by 40m with a 35m stack.
Media coverage
Media coverage was provided predominantly by the local paper, the Surrey Advertiser, with occasional
news bulletins broadcast by local radio. The issue was introduced in the Surrey Advertiser in
September 1994.
The initial media coverage outlined Elm Energy's proposals. In following weeks this initial reporting
generated negative responses ranging from fears of carcinogenic emissions to dramatic and emotive
statements eg. "this could be another Chernobyl". The environmental group, Friends of the Earth
joined in the condemnation.
Page 1
Subsequent coverage attempted to give a more balanced, informed basis for discussion. Elm Energy
were reported as having received positive coverage from the BBC's Tomorrow's World programme on
their incineration process. The company issued an open Invitation to councillors and the public to visit
their Wolverhampton plant. Elm Energy believe this plant is an asset to the community.
The introduction of the Wolverhampton plant backfired on Elm Energy as the media reported on
Wolverhampton's objections to the plant. They conceded they would be making major changes to the
plant design for Guildford. "Experts" from Friends of the Earth and academia disagreed on the hazards
introduced by the plant process. Meanwhile, the AA awarded Elm Energy a national award for
achievements in environmental concerns.
Reports of the public meeting demonstrated a defensive stance by Elm Energy and the need for more
information on the actual nsks of the plant. In December, a county councillor wrote to inform the paper
that he and three other councillors would vote against the plans.
Public percepilons
The public survey confirmed the local paper to be the main source of information about the tyre burning
plant Other sources of information were flyers, friends and family.
The majority of people had heard about the incinerator, but felt ill-informed about the proposals. Older
people and residents near the site tended to know more detail.
Drawbacks (traffic, pollution, etc) and advantages (employment, waste disposal, etc.) were recognised
by some interviewees. Nevertheless, almost everyone was against the siting of the plant in Guildford.
People local to Slyfield were particularly anti.
A local committee had been formed near the proposed site. They had circulated flyers, newsletters
and arranges meetings. This committee was valued by residents as a trustworthy source of
information. Newspapers and "experts" were considered unreliable.
Case study conclusions
The case study concluded that Elm Energy's risk communication had been unsuccessful. Elm's
approach to the problem had been reactive rather than proactive. Indeed its position had been
communicated better by the council and other independents. The media reporting had sensationalised
the issue. And the public found itself with contradicting "expert" opinions from environmental groups,
Elm Energy and academics.
A highly acclaimed method of dealing with waste tyres had effectively been vetoed by the public. The
issue of alternative ways of dealing with the tyres was hardly touched upon.
3. Public and industry approaches to risk
Elm Energy misunderstood the need to communicate the risks of the tyre plant - in their "expert"
opinion, the risks were minimal. Why did the public not agree?
Research by Uchtenstein et al (1978) considered individuals' assessments of causes of death ranging

from heart disease to floods and botulism. The researchers observed that individuals overestimated the
nsk of low-probability events (such as tornadoes), and underestimated the risk of high probability events
(such as diabetes). A hypotheses suggested is that people start by assessing risks of all kinds as being
kientical. As they acquire information about each type of risk, they revise their assessment. In this case
fears perceived as misplaced by exerts do not reflect irrational behaviour, but the degree of knowledge
acquired about each risk.
Page 2
In industry, assessment of risk is generally based on experts' calculations and past performance - a
mathematical, probabilistic approach. In new industries, risk assessments can be very approximate.
Indeed, there is a natural tendency for those responsible for introducing risk, to underestimate it.
The public and industry understand and approach risk differently. It Is therefore unsurprising that
communicating risk is fraught wtth difficulties. Plough and Ktimsky deduce "A partial answer to the
question of why risk communication has emerged as a framing issue for environmental issues can be
found in the differences between professional risk analysts and popular culture".
4. Communicating risk
Considerable research has already been undertaken to determine how best to communicate risk to the
public. The main principles of risk communication determined by researchers are summarised below:
1. Top down or source to target risk communication, the "I know everything, you know nothing"
approach is generally unsuccessful. It is highly dependant on the credibility of those explaining
the risk.
2. For good risk communication, genuine public consultation must begin early and be ongoing.
Options and alternatives are preferable to "draff' proposals. People are far more likely to
accept undesirable circumstances If they have participated in the decision making process, and
the issues they have raised have been acted upon. Other considerations may be necessary.
For instance, introducing the possibility of a new power station shortly after an accident at an
another power station is unwise!
Failure in risk communication can often be attributed to the lack of trust. Trust is fragile, being
difficult to create and easy to destroy. Once trust is undermined, new evidence of
trustworthiness has little influence.
4. It is helpful to avoid the technical language associated with quantitative risk analysis - this tends
to reduce the possibility of dialogue between the public and the elites.
5. Voluntary risks are more acceptable than involuntary ones - if the public has and knows it has
real power to stop a risk being introduced, it is more likely to accept that risk.
Detectable risks are more acceptable than non-detectable risks - independent monitoring to
detect malfunctions can reduce the level of fear, especially if the community have power to
shut down the malfunctioning plant.
Familiar risks are more acceptable than unfamiliar risks - knowledge about the source of waste
and products of the treatment process will put risks in context, especially if paralleled to known
industries.
8. The public is bemused by growinglist of environmental and lifestyle hazards. People are less
concerned about natural risks than they are about equitable risks caused by man.
Risks perceived as "fair" are more acceptable than "unfair" risks - making each community
responsible for its own waste may be less efficient overall, but is less likely to meet public
opposition.
10. The public are sceptical of media sensationalism and industry, etc. who may profit from under-
estimating, or exaggerating a specific risk. Uncertainty is loathed, especially when experts
disagree.
Page 3
11. The Introduction of a health or environmental risk may only be part of the public agenda.
Others issues, sometimes not acknowledged, may be fear of reduced house prices and the
fear of opening the door to other less desirable developments. The real agenda is more likely
to come out In negotiation, rather than In confrontation.
12. Compensation for health risks are likely to be seen as bribes. Afrustfund to protect water
quality or payout in the event of health damage is more acceptable.
5. Where do we go from here?
As has been discussed In this essay, there is already research on which to base risk communication
recommendations. However examples of successful risk communication projects based on these
recommendations are less evident
risk communication researchers are to demonstrate they are not at a dead end, they will first need to
7 consolidate their progress by recording projects where their recommendations have been implemented,
and where risk communication has been successful.
A possible subject for this consolidation from an Industry field related to my work could be health risks
associated with the electromagnetic fields generated by electricity distribution cables. An exercise in
risk communication could be carried out at national level, and may well be sponsored by the television
companies (providing material for a documentary) and the electricity distribution companies.
6. New research fields
If existing risk communication theory can be consolidated, suggested topics for research could be:
1. The relative effectiveness of risk communication techniques in the context of cultural

differences. Most research to date has been USA based. Plough and Knmsky quote M
y:' rl Douglas who says The question of acceptable standards of risk is part of the question of
acceptable standards of morality and decency, and there is no way of talking seriously about
the first while evading the task of analysing the cultural system in which the second take their
formu.
2. Most risk communication research is reviewed from the standpoint of transfer of information
from the expert to the lay person. But communication is a two-way dialogue, and there is less
research evident from those observing how the lay-person will communicate (reciprocal risk
communication). Looking at the problem from a lay persons perspective may give us new
insights. How should we, the public react when presented with new risks?
3. P Sandman touches on the complex debate of media handling of toxic waste issues. Review of
the Influence of media articles have been undertaken (Golding D, Krimsky S, Plough A and
EngD case study). But how effective are other forms of media risk communication? Television
news and documentaries are a major form of risk communication which remain unstudied.
4. The EngD study revealed that residents most trusted a committee made up of local people.
Cooperating with a committee which has the trust of the community is obviously worthwhile.
But how far can a developer go in helping, even sponsoring such a committee before
community trust declines?
The need for risk communication has come about because of the differences in perception of
risk. It is possible to communicate the order of magnitude of risks by using comparison with
familiar risks (road accidents, etc.). Implementing this and other approaches to better
communicate the degrees of risk may "rationalise" for analysts the public's perception of
calculated risk.
Page 4
7. Conclusions
In this essay we have reviewed the need for risk communication, discussed an example of poor risk
communication, and considered researches' recommendations. In the writers opinion, researches now
need to demonstrate that these principles of good risk communication work - by implementing them
and through reporting specific projects where they have been successful. With this evidence to support
the research field, it is relatively simple to Identify new areas of research. Five possible topics have
been suggested.
Bibliography
Vanous Surrey Advertiser 16 September 1994 to 18 November 1994
Viscusi W Kip, Magat W A Learning about Risk 1987 Harvard University Press
Uchtenstein, S, P Slovic, B Fischhoff, M Laymanm, B Combs Judged frequency of lethal events Journal
of Experimental Psychology: Human Learning and Memory 4 1978
Plough A, Knmsky The Emergence of Risk Communication Studies: Social and Political Context
(source unknown)
LOfstedt R E Risk communication in the Swedish energy sector Energy Policy July 1993
Slovic P Perceived Risk, Trust and Democracy Risk Analysis Vol 13 No 6 1993
Golding D,Krimsky S, Plough A Evaluating Risk Communication: Narrative vs. Technical Presentation
of Information about Radon Risk Analysis Vol 12 No 11992
Sandman P Getting to Maybe: Some communications aspects of siting hazardous waste facilities
Senton Hall Legislative Journal Vol 9 1985
Douglas M Risk Acceptability According to the Social Sciences New York: Russell Sage, 1985
\) '
(
• ,L '
\ -)
. :)
r 1-
• ) .
k
1j1 A ,•
J ;,'4
•
Jpj
Ir
Page 5
R.Peters: You gave a good overview of the literature and based on your discussion it
is clear that you understand the theoretical concepts of RC. It would have been better, however,
if you could have put more "meat" into the paper by probing deeper into the tyre incinerator
debate. There were many key issues within the EngD RC project that you and the rest of the
EngD students uncovered that could have been discussed. Ci-
8 ENVIRONMENTAL LAW
ENVIRONMENTAL LAW
ASSIGNMENT
The United Kingdom has been divided into regional governments. You have
been appointed the Minister for the Environment for the outh east region which
includes Greater London. The first meeting of the cabinet has decided that the
system of environmental protection should be reviewed. You are requested,
therefore, to produce a briefing for the next meeting which will consider
proposals for a new mechanism for the enforcement of environmental laws. You
should present proposals for the reorganisation of the environmental agencies
and indicate how this will achieve a better system for the protection of the
environment. You may support your briefing to the cabinet with diagrams as
appropriate. The Minister of Justice has also asked that you comment on the role
of the civil law in your proposals.
1,
'f
Engineering Doctorate Project Plan
Richard 0 Peters
Arup Research & Development, 13 Fitzroy Street, London W1P 6BQ
9 January 1995
1. Preamble
My EngD sponsor, the Ove Arup Partnership, is an international firm of consulting engineers. A major
part of their work is the design and specification of buildings. Arup sponsored my undergraduate
degree at Southampton University and employed me as an Electrical Engineer when I graduated in
1987.
Buildings account for about a third of all the energy we consume. Lifts, my main area of expertise,
make up a significant proportion (5 to 10%) of the electrical load in large developments. My project
aims and objectives are based on the belief that there are significant energy savings to be made in the
area of Vertical Transportation by good planning design, considered control strategies and the use of
high efficiency motors.
The title of my Environmental Technology Engineering Doctorate project is Vertical Transportation

Planning in Buildings.
2. Aim of Research Project
The aim of my research is to provide a basis for the design and specification of vertical transportation
systems which are both energy efficient, and provide passengers with a good service by defined
standards. I am proposing to fulfill these aims by:
Measuring vertical passenger traffic and lift/escalator energy consumption so as to build up

pedestrian circulation and corresponding energy models for offices, residential buildings,
airports, leisure complexes, etc.
Comparing the use and performance of lifts/escalators/stairs to existing lift traffic analysis
models and assumptions. Comparing the performance of driving motors to electrical models.
iii. Developing computer programs implementing verified analytical/simulation traffic analysis

models and corresponding energy models.
iv. Using verified models to calculate: the benefits of developing and implementing energy efficient
lift control algorithms, the savings achievable though use of high efficiency motors, and the
benefits of energy conscious planning strategies.
V. Establishing guidelines for predicting traffic in new and refurbished buildings. Making planning
and specification recommendations that reflect the need to design energy efficient buildings.
3. Implications on Sponsoring Company
In the short term, my project is raising awareness of environmental issues. I have given a talk to
electrical design team leaders about Environmental Technology and Building Services. The purpose of
this was to make them aware of environmental legislation and to introduce life cycle analysis.
Page 1
IonS These, like regulations are directly applicable in law, but can be addressed to named
parties (individual, companies or member states). They tend to be administrative in
nature, for instance, committing the EU to international agreements.
2.2 UK legislation
UK environmental statutory law provides broad provisions allowing details to be dealt with in Regulations.
One of the most important British statutes is the Environmental Protection Act 1990, which addresses
environmental concerns including the control of pollution of a multimedia basis, air pollution, waste
management, environmental nuisances and litter. Other legislation includes the Water Resources Act 1991
(pollution of natural waters), the Water Industries Act 1991 (discharge of trade effluent into public sewers)
and the Clean Air Act 1993 (controlling emissions of smoke, grit and dust).
Breaching statutory environmental regulations is a criminal offence. In addition, Environmental damage

to persons or property can be the basis of a civil action. Strict liability (where negligence does not have to
be proved) is Increasing incorporated into environmental legislation.
3 Review of Existing Agencies
3.1 Environmental law enforcement
IntheUKoffences which cause harm to the environment or endanger public health and safety are subject
to cdminal enforcement proceedings by the pollution enforcement agencies. A summary of the various
agencies and their remit follows.
3.2 National Rivers Authority
The National Rivers Authority (NRA) was set up in 1989 following the privatisation of the water industry. It
has responsibility for the protection of watercourses and groundwaters, and for monitoring the quality of
bathing water.
The NRA can grant licences for the extraction of water from rivers/groundwater, and for the discharge of
effluent.
The NRA has the power to prosecute in the criminal courts if there is a breach of legislation.
3.3 The Drinking Water Inspectorate
The Dnking Water Inspectorate (DWI) is responsible for enforcing standards of drinking water, although
it only has resources to oversee the privatised water companies' own monitoring procedures.
3,4 Her Majesty's Inspectorate of Pollution
Her Majesty's lnspectorate of Pollution (HMIP) is part of the DoE and has regional divisions. It has
responsibility for enforcing legislation relating to integrated pollution control, and also legislation concerning
controlled waste and radioactive substances.
3.5 English Heritage
English Heritage is the agency responsible for caring for historic buildings and monuments.
3.6 Health and Safety Executive
The Health and Safety Executive (HSE) is responsible for enforcing legislation relating to the working
environment. The HSE includes the Nuclear Installations Inspectorate, responsible for safety issues
relating to nuclear powered generating stations.
Page 2
4 Difficulties of Existing Arrangements
There are a number of difficulties with the existing arrangements of environmental agencies that make
reorganisation a priority:
I Now that the UK has been divided into regional governments, the existing agencies have the
additional administrative burden of reporting, and being responsible to each of the regional
governments individually.
• There are various overlaps in responsibility between the agencies, and between the agencies and
local government.
I The current mechanism for enforcement of environmental law has evolved as these laws have
been enacted, and as national industries, such as water supply, have been privatised. Early on no
one knew how important and widespread environmental law would become, but with hindsight we
can now set up a more effective and efficient method of enforcement.
I Industry, already under pressure from having to comply with new legislation, has also to deal with
the various agencies and local government separately.
I The current agency system does not reflect the public's increasing interest and concern for
environmental issues. There is scope for increasing the public's contribution to environmental law
enforcement.
4 Proposals for Reorganisation
4.1 Previous plans for reorganisation
Before the UK was dMded into regional governments there were plans to set up a new independent
environmental agency, bringing together the functions of the NRA, HMIP, waste regulation from local
government, and some environmental protection functions of the DoE. Little progress was made in carrying
out these plans, which were opposed in some quarters. In particular, concerns were raised that the
reorganisation would cause disruption, and that the agencies were still getting to grips with their relevant
pieces of legislation.
Now that regional governments have been set up in the UK, even the opponents of the proposed
independent environmental agency acknowledge that some form of reorganisation necessary.
4.2 A coordinated approach
To ensure a coordinated approach across the UK, and effective transfer of responsibilities, we have met
with the Environmental nisters of the other UK regional governments to formulate parallel proposals for
the vaous UK regional governments. These specific proposals follow.
4.3 Proposals
The South East region will have its own independent Environmental Agency, reporting directly to
the Ministry of the Environment.
This South East Region Environmental Agency (SEREA) will take on all the responsibilities of the
NRA, DWI, HMIP, and the Nuclear Installation Inspectorate. In addition some local authority
responsibilities will be taken over as described later in this section.
Page 3
The remainder of the HSE will continue as a separate national body as there is a relatively clear
demarkalion in responsibilities between it and SEREA. It is considered undesirable to reorganise
this body further into regional groups at this time while it is operating satisfactorily at a national
level. Similarly, English Heritage will remain a national body at this time.
SEREA will cooperate with other regional environmental agencies on all issues of common
interest, e.g. drafting legislation for the implementation of EU Directives. This will avoid duplication
of effort and unnecessary expenditure.
SEREA will have a single central office responsible for policy and central services. Local SEREA
departments will be set up and run from local authority offices.
vi. Local authority environmental health departments' responsibilities for noise and air pollution will
be transferred to SEREA departments which will already be concerned with these issues from their
inheritance of HMIP's duties.
vi. The local authority planning departments will retain their existing duties, referring to their SEREA
department for expertise and advice on environmental assessments related to planning
applications.
vii. Local SEREA Inspection and enforcement officers will be trained to be multidisciplinary,
responsible for all areas of environmental protection of all media. While there is scope for some
specialism, we need to achieve cost-effective approach to inspection where one officer can review
all aspects of environmental Impacts in a single visit.
Local SEREA departments will have powers to prosecute in the criminal courts if there is a breach
of legislation. Departments will have their own legal personnel to present SEREA's case in court.
The legal personnel will advise SEREA enforcement officers on legal issues relating to the issuing
abatement/prohibition notices, the collection of evidence, and the requirements to achieve a
successful prosecution.
Local SEREA departments will also advise, and where appropriate, prepare evidence for private
groups and individuals wishing to bring civil actions for environmental damage. CMI actions by third
parties will particularly be encouraged where proving damage "beyond all reasonable doubt" in a
criminal court would be difficult and/or expensive, and the "balance of probabilities" proof required
by the civil courts is more realistic.
vi. Local SEREA department will call upon the public to help detect where environmental damage is
occurring, so that they can Investigate and prosecute where appropriate. The criminal nature of
breaking environmental laws will be highlighted though using the media imaginatively, e.g.
proposals for TV soap, The Environmental Detectives and feature on Crime Stoppers.
Environmental help-lines will be set up for public enquiries and reports.
vii. SEREA departments will run seminars and courses for local industry on current environmental
legislation, and the consequences of ignoring it - both for the environment, and for their liberty!
These courses, and general advice on applications for discharge, etc. will be advertised as
available, and provided "at cost" on the basis that the p01/uter pays. This service will be given a
high priority in the department as prevention of offences is better for the environment, and more
cost effective than prosecution of offenders.
viii. SEREA central office will develop procedures for applications for discharge, etc. that are as
succinct and as straightforward as possible without encouraging unnecessary, or avoidable
applications. Occasional industry forums will be held to help establish industry opinions on
environmental policy and procedures.
xiv. SEREA will consult with environmental groups at local and national level to address concerns,
recognising their past and future role in identifying environmental issues, and their record of setting
the agenda for environmental policy.
Page 4
a
0
a,
t
& 0
a' a
U,
(1)
C)
C)
I a
'4)
C;) U
a,
-a
0
a,
a,
4-
'4, (a
0) a,
C 0) (U
C
C
t
a, a
a
0 I
U,
a,
'4)
C? (I)
a
>' E
a' +
U) E +
'4, a, a. 0 '4,
0)
I- E a)
a, a)
. I
0
C
a,
C?
U
I ;!!ili
. o •
-D
0
0 a, . 0
U
0
C)
a
>
0
z
a,
C?
C)
0 Ii __
I-
a
E
aft 0'
E (U C
C"
a
E
a) a,
a
0 E
0
1 0
a'
.2
a, -J .2
a, .0
0
I-
a, C o w a, D C
a
0 E 2 0 a.
D. a
w w
>
.2 •
. 8 8 8 8 .2
4: co > C a, > > > > a .2
x 0 .2 a)
. i1] w jj I]] a. 1-
- ia a E c 9 LL
C C , .0 -J
a, 0 0
a,
a. a.
a, o
a- a, a, 0)
C
. 0
a- a)
u.. J
E
a
E
a a a. a w
4: >- a i- -J

d7puiJ 1citQ aiE

c/f i 3zj,
IL %'&t 4qiQ 1Mb? a'u
' 'iü
9 SOCIOLOGY
EngD Year 2
Sociology of the Environment II
Environmentalism - What and Why?
Course Assessment
The assessment for this course is in the form of an essay of approximately 2,00-2,500
words. The essay should be based on the relevant literature, not solely on your own ideas,
and references should be provided in the form outlined on the attached sheet.
Outline the main characteristics of New Social Movements and assess how well the
description fits the Green Movement.
2. What distinguishes Environmentalism from Ecologism? Which do you consider

offers the best strategy for moving towards sustainability?
13g. t
Submission Date: Friday 2nd June 1995.
S -0)
R
S
10
0) 0)
'4, 0' U) C
O PS H!
a,
E
-
0 0) 0 2 0) U)
S 10
, :1 5 0) 0)
0)
0)00)
a! - • :U
CCC
:2
0 V
U)
U)
>
— G)
10
. a - E
E
V 0 V . -
Oa)
Eww
ft
—
C., a, -=
U) 0) 0) JO C) 5
0. U)--
x >-(D •
5
g' -• I :2
• .-
iu —o >.S
0) 0)
•SS
—
0) 0) —
0 0)
— .
CO
o d.•
U)
S U)U) p
II
—
0)
0 >..0 j
- 0
-
: !
. 0 '5
bw3 E C
o 10id0 10 •8 >',
I- 10 0) 0)
•0 0)
ç c C 01 0 - .
)o • . •
2 • - InC 0)5 - C
= 10 ' .'-' '- a
C" C., •1
,_ V
0 0)
5 0 >. O) U0) a)
C 0, .:2 i . -
a,
E
a) S U)
a,
C
C - 2E V 0
•0 0 V a,
0)
C 0) a, C5 - 0)
a)
:3
a) 50) a) U) —
0 D - •9 9
— U) •5
10 0 0 U) 0 0) :-
0) 0 0
a, 0
. 0) a, •,
LI U, 10 U) 0) CO
0) 0) 0) l) V C.
0 a, U)O
c,)
8 >-
10
.V U•
V a) .
U) V
Dull
10 a) V O) 0) . 2
>-i 0) Cd
U)
a) 8-
8 2 0
•EIjz 2C.)
U) • 10 lfl 0.
U
C 28 a
0
01 Cd - a,
— - V
L
0) — •9cn
-^ 0_C
m 01 S >.0 •
Ii a) c2
-
CC)
10) 010 U) 0) • — 0))
>- S 0) 0) - 88 0)
C S 0_
>0)
0)2
C •2
0 :2
10
. Q. a) 8:
0)0) CO .. .
C 2 2
H
U.
a ^- • -
E cL- 111
In fit
•0 0) >-
S °) -- C) U)U)0) -
C 2 4 E - -0) :0) a; '
. .) - .- Eu2. - L 555 a o
C > . 0 >.,o
CIV
CS • €- -
8
01 0a, 10 0 V C 0) -
EU, V
00) S
CV
a) :2 01 .00 CO
2 EEE
U, 01 10 -
.0 0
@1 E0) -D 0) -- asa CO U) U) U) L1 c:,
9 • •9
U)
0 0) C
U, I— o. 2o V
V a,
.0 C.)
C-) - • -'0)-- .0)- CO
0
0)0) 00
0 O)
Outline the main characteristics of New Social Movements and assess
how well the description fits the Green Movement
Richard D Peters
Arup Research & Development, 13 Fitzroy Street, London WIP 6BQ
21 June 1995
Summary
In this essay we shall look at researchers observations as to the main characteristics of the new social
movements which emerged around the 1970's. New social movements have a number of characteristics
summarised by Scott (1990): they are primarily social, located within civil society, and attempt to bring
about change through changing values and developing alternative life-styles.
The Green Movement is very wide ranging. Indeed, a quarter of the public claim to be environmental
activists. Three environmental groups are reviewed: anti-road protestors, Greenpeace and the Green
These groups show varying adherence to the new social movement model.
sc
- As a whole, the Green Movementj]jt be described as a new social movement. Many indMdual groups
do fit the model. But their own success, and the effectiveness of alternative strategies has brought
pressures which have led some groups down a more institutionalised path.
1 Introduction
Daulton & Kuechler (1990) introduce new social movements as challenging democracies to change and
adapt, rather than a revolutionary attack against the system. Sparked by the student movements dating
back to the 1960's, new social movements have developed general public interest beyond traditional
economic and class issues to new social, cultural and quality of life issues.
A new range of groups, ranging from environmental groups to more assertive women's groups and a
revitalis peace movement, emerged from the 1970's. Observing these new groups, a wide range of
analysts claimed that the groups themselves were qualitatively new (Brand et al. 1986; Meluccci, 1980;
Touraine, 1983; Capra and Spetnak, 1984). These claims have been echoed by the groups themselves,
particularly in Germany where movements have claimed to be unlike other interest groups or social
movements.
lnjhis essay we shall review researchers' observations as to the characteristics of new social movements,
,AiIcluding some dissenters who claim that the new movements are not new at all. We will then discuss how
the Green Movement fits the proposed model of a new social movement.
2 New Social Movements
2.1 Main Characteristics
Scott (1990) discusses the main characteristics of new social movements, highlighting three of their most
prominent characteristics:
'New movements are primarily social.' They have a focus on values and life styles, aiming to
mobilise civil society rather than seize political power.
ii. 'New movements are located within civil society.' They aim to defend society against
encroachment of the 'technocratic state' without challenging it directly.
Page 1
ii. 'New movements attempt to bring about change through changing values and developing
alternative life-styles.' They aim to achieve their goals without recourse to the political system.
They have a focus on symbols and identities.
Both Scott (1990) and Daulton & Kuechler (1990) discuss more specific characteristics which are reviewed
in the following sub-sections.
2.2 Areas of interest
New social movements are generally concerned with only limited or single issues/interests e.g.
environmental, peace, women. They are not concerned with developing comprehensive political policies.
2.3 Ideology
t claimed that participants in new social movements are motivated by ideological goals and by the pursuit
of collective goods. They act against a feature of society which they consider unacceptable. While some
participants may become active in a local issue, the 'self-interesr motivation is considered secondary to
broader goals.
New social movements encourage greater involvement in decisions affecting people's lives. This may take
theformofcIsctmocracyorthrough seff-heip groups. This can result in the challenging of goals such
as economic growth, which may be supported by the broader consensus. New social movements often
question the pursuit of wealth and material goals, putting greater emphasis on cultural and quality of life
issues.
2.4 Membership and organisational style
The organisational structure of new social movements is claimed to challenge the goals, structure and
organisahonal style of Western industrial democracies.
New social movements tend to be anti-authoritarian. They have an emphasis on grass roots
action/democracy and are suspicious of political parties, trade unions, etc. The grass roots approach allows
them representation of those who are marginalised by the main political parties.
New social movement organisation tends to be locally based, or centred on small groups. They are
organised around specific issues and characterised by a cycle of social movement activity and mobilisation.
Movements may construct organisations operating with fluid structures and loose chains of command.
Membership is fluid and numbers fluctuate. Their loose structure makes they 'highly adaptable and flexible
in response to sudden events and new issues' (Nedlemann, 1984).
New social movements tend to display tolerance of political and class boundaries because their need for
consensus is limited to limited issues.
2.5 Politics and action
New social movements avoid direct involvement with government because they feel they may be forced
to compromise on their goals. They adopt an approach of applying political pressure and influencing public
ophiion. They favour unconventional political action based on direct action and place a major emphasis
on the media using unconventional actions to attract interest to their cause.
2.6 Criticism of the concept of new social movements
Not all researchers subscribe to the view that new social movements are a new phenomena.
Page 2
Eder (1993) challenges the presumption that new social movements cross class boundaries, introducing
a new structural arrangements of classes of people. He claims "This innovation retrieves the concept of
new social movements from the flawed assumption of the existence of structurally free-floating groups, and
places new social movements within the structural configuration s of modern society". (t dzt
A frequent critidsm. is th social movements are simply a front for revolutionary and anti-system
political groups. \
y
.. '
3 The Green Movement
3.1 Environmental groups
Marl polls tell us that a quarter of the public claim to be environmental activists (The Independent
newspaper 4.11.94). This enormous activity is spread over a wide range of groups who can fit into the
category, Green Movement.
For the purposes of evaluating the new social movement model, we will review three different
environmental groups which reflect, to some extent, the diversity of the Green Movement.
Anti-road protestors
ii. Greenpeace
iii. The UK Green Party
3.2 Anti-road p.otestors
Time (24.4.95) reported the storey of Emma Must, a commuter travelling though Twyford Down who was
so upset by the DOT road-building programme threatening the grassland that she joined the group
campaigning in an effort to halt the contractor's bulldozers. The action in Twyford Down action sparked
a number of similar groups, with activists moving on when each battle was over, recruiting support from the
general public irrespective of political and class backgrounds.
Road protesters justify their action as protection of the countryside under threat, challenging the "lack of
transport policy" and questioning the West's dependence on the car.
or Anti-road protest groups fit the new social movement model well, exhibiting most, if not all of the
f characteristics identified by researchers - for instance, they have challenged the road building and the car
based society rather than seek election on an anti-car/road platform. Meanwhile they have focused their
,r p rotests within the community where the threat exists, defending the countryside with direct action rather
than through "official" channels. They have used the media to their advantage, effectively voicing their
cause.
3.3 Greenpeace
Greenpeace was formed in the Seventies when a small group of pioneers caught public imagination with
their direct action approach to "saving the planer. It is now a worldwide organisation with more than 1000
staff and a budget exceeding £lOOm. It remains involved in direct action, but now runs the risk of the courts
seizing its assets. At the same time Greenpeace has become established in international lobbying,
investing more effort into research, putting its arguments on sound footing and gMng credence to its claims.
Greenpeace's approach is typified by its current action on the Brent Spar oil rig which Shell plan to dump
in the North Sea. Greenpeace occupied the Spar, taking samples from three of its tanks which they
Subsequently analysed. The analysis gives rise to their claims that "the Brent Spar is carrying more than
5000 tonnes of oil and many more toxic chemicals that Shell know about". Armed with this information,
they are mobilising public opinion and challenging the UK government to revoke Shell's licence to dump
the Spar.
Page 3
Greenpeace broadly adhere to the main characteristics of the new social movements recorded by Scott
(1990) and outlined in section 2.1 of this essay. However, there are a number of inconsistencies when we
look more closely:
• they are an international organisation, and would find it difficult to substantiate claims to be anti-
authoritarian
• the focus, although perhaps media driven, is on Greenpeace International, as opposed to local
Greenpeace groups
• they have adopted conventional lobbying of political groups as well as direct action operations.
3,4 The UK Green Party
The UK Green Party (previously the People, then Ecology party) was formed in 1973, but had negligible
success until the 1989 European elections when it won 15% of the UK vote.
The party was set up as a vehicle for promoting green ideas and education, rather than a means to achieve
pohtical power. Success caught the party unaware as they had neither the organisation or policy in place
to capitalise on their sudden new found support.
These problems, and the greening of the main political parties contributed to their down fall in membership,
form 20000 in 1889/90 to 4 571 in 1993.
The UK Green Party, and green party politics in general may have evolved from ideology formed in green,
new sodal movements. But their approach, focused on action within the political arena, is contrary to the
mn characteristics cited by new social movement researchers. While they may not aim to seize political
wer, they challenge it directly, and have recourse to the political system.
4 Conclusions
lndridual environmental groups, such as the anti-road protestors fit the new social movement model. But
others like Greenpeace, who may have fitted the model in their early days, have now deviated from it and
to some extent have adopted an institutionalised approach.
''Ac at
Political environmental groups, such as the UK Green Party, could never have been describes as new
social movements, although they may be made up of members who once were, or still are part of new
social movement environmental groups.
OffØchapterin Daulton & Kuechler (1990) discusses the dilemma facing movements. Institutionalisation °-&''
gsthe danger of bureaucracy and a loss of the radical/spontaneous nature of the movement. But on
/lhe other hand, participation and representation in the political process brings benefits that cannot otherwise -
be achieved.
/c(
The Green Movement has no overall strategy, but has effectively evolved to champion its cause through cii.
a range of groups. As a whole, the Green Movement cannot be described as a new social movement. '4'
Many individual groups do fit the model. But their success, and the effectiveness of alternative strategies -' l-i
has led some groups down a more institutionalised path.
(v
1- k0 ' -
Bibliography OV'LL pc9
'
Brand, Karl-Werner, Detlef Busser, Dieter Rucht (1986) Aufbruch in eine neue Gesellschaft: Neue soziale
BLeweaunpen in der BundersreDublik Deutschland, revised end. Fankfurt/New York, Campus
e.
Capra F and Spetnak C (1984) Green Politics. New York, Dutton Sc +4-
Vt12 e°
Page 4
Dalton R & Kuechler M (1990) Challen ging the Political Order. New Social and Political Movements in
Western Democracies, Cambridge, Polity Press
EderK(1993) The New Politics of Class, London, Sage Publications Ltd
Meluccci, A (1980) "The New Social Movements: A Theoretical Approach", Social Science Information.
no.19, DD199-226
Nedelmann, B (1984) "New political movements and changes in processes of intermediation", Social
Sence Information. vol 23. no. 6 rw 1029-48
ScottA(1990) Ideology and the New Social Movements, London, Routledge
Touraine A (1983) Anti-Nuclear Protest, Cambridge, Cambridge University Press
Page 5

Brunel I Surrey EngD in Environmental Technology
Marking form for EngD modules
ResearchEngineer vo ............................................................
Module Title c.-Q Zfr..
Marked by
Grade point awarded (please refer to scheme overleaf)
Comments -
JaL -
Sc—v\cy( --VLt. I Cc& ç

L
C_t k kctj.i (jJ&J U&t.

'c7—)
___ - Mcvw -k &oJ
kc \'1ud __
Ccce
Signed
Please return completed forms to Alex Roberts (Surrey) or Chs France (Brunel)
10 NEURAL NETWORKS
DEPARTMENT OF ELECTRICAL ENGINEERING AND ELECTRONICS

NEURAL NETWORKS HSM44
Objectives:
To present a comprehensive introduction to neural networks and their relationship to the

symbolic paradigm in A.I. and to biological neurones. To gain a working knowledge of
network architectures and learning rules for the main network types, including an ability to
solve simple application problems.
Prerequisite knowledge:
Course entrance requirements
Method of teaching:
45 hours (which includes lectures, seminars, examination preparation and examination) over
one semester
Method of assessment:
2 hour written examinaiion

5 questions. answer THREE questions
Resources statement:
Accommodation: 1 lecture theatre, 3 x 1 hour/week for 1 semester

Access to Sun computer network for coursework exercises.
Student load: 1 MODULE
Staff load: 45 hours
Principal Lecturer: Dr. K. Gurney (Department of Human Sciences)

Module approved at MSc BOS: 17/11/93 HSM44 Page 1 of 3
Minor revision: 4/11/94
SYLLABUS
INTRODUCTION AND BASIC IDEAS
Basic definition of a neural network.

Main features of networks.
Comparison with the symbolic and von Neumann paradigms in mainstream A.I.
Basic morphology and function of biological neurons.
Pattern space and vectors, linear separability.
SPECIFIC NETWORK TYPES
Feedforward - supervised learning

Perceptron rule.
Delta rule.
Backpropagation, theory, enhancements and some applications.
Reward-penalty.
Feedback and seif-organising nets

Hopfield net: operation and dynamics; error minima; Hebb rule.
Competitive nets.
Kohonen nets.
Cube-based nets.
CLASSIFICATION OF NETWORK STRUCTURES
Need for taxonomy; tasks - associative recall classifiers, data compression. Artificial
neuron types: TLU's; semilinear nodes; Cube-based nodes and RAMs. Network
structures - feedforward, feedback, competitive; training algorithms - supervised versus
unsupervised learning; computational resources.
OTHER ISSUES AND TOPICS (as time permits)
Historical perspective
Early years and cybernetics, work in the 60's, Minsky's rebuff of neural nets in
"Perceptrons".
Resurgence in mid 80's. Current use as problem-solving tool.
Some current applications and silicon implementation.
Philosophical issues
Connectionism and A.I.
Interdisciplinary 'Neural Nets' perspectives.
Implementation

Minor revision: 4/11/94
Essential Texts: -
Highly Recommended Texts:
S Dayhoff, Neural Network Architectures: an Introduction. Van Nostrand Reinhold,

1990.
Recommended Texts:
D E Rumeihart and J L McClelland, Parallel Distributed Processing. MIT Press, 1988.
I Aleksander and H Morton, An Introduction to Neural Computing. Chapman and

Hall, 1990.
P K Simpson, Artificial Neural Systems, Foundations, Paradigms, Applications and

Implementations. Pergamon, 1990.

Minor ievision: 4/11/94
11 CONFERENCE MANAGEMENT
EngD Conference 1995
Report on Project Management Module
Richard D Peters
Brunel University, Uxbridge, Middlesex, UB8 3PH, UK and
David Aidridge
Brunel University, Uxbridge, Middlesex, UB8 3PH, UK and
National Physical Laboratory, Queens Road, Teddmgton, Middlesex TW1 1 OLW
18 October 1995
Document ref: \engd\conferen\report. . .or. .a:\report\report.wp5

Contents
Contents . 2
1 Introduction ..............................................3
2Planning................................................3
2.1 Planning meetings ....................................3
2.2 GANTT Chart ......................................4
2.3 Budget ...........................................4
3 Correspondence ...........................................4
3.1 EngD Database ......................................4
3.3 Supervisors ........................................ 5
3.4 Other Correspondence ................................. 5
4 Publicity ............................................... 5
4.1 Press ............................................ 5
4.2 Posters ........................................... 5
4.3 Direct Mailing ......................................6
4.4 WWWpage ........................................6
5Printing.................................................6
5.1 Proceedings ........................................6
5.2 Posterboards .......................................6
6 Conference Review .........................................7

6.1 General problems ....................................7
6.2 Things that went particularly well ..........................8
6.3 Comments from other people .............................8
6.4 Recommendations for Future Conferences ....................9
6.5 Top Tips for Project Managers ............................10
7 Conclusion ...............................................10
Appendices - (kept in individual folders)

Appendix A - Planning Brief
Appendix B - Planning Meeting Minutes
Appendix C - Project Gantt Chart
Appendix D - Final Budget
Appendix E - Example Database Record
Appendix F - Correspondence to Research Engineers
Appendix G - Correspondence to Supervisors
Appendix H - Other Correspondence
Appendix I - EngD Conference 1995 Poster
2
1 Introduction
This report summarises the project management of Environmental Engineering Doctorate

Conference 1995. The conference was held at the Brunel Runnymede Campus, 19-20
September 1995 and was attended by Year 1,2,3 Research Engineers and their supervisors.
We proposed project management of the EngD conference as an elective EngD module as:
• it was a practical way for us to help with course administration and to be more involved
in the running of the EngD programme
• it was an opportunity for us to apply some of the project management skills we had
learnt in taught modules
we could be called upon individually to arrange other conferences in the future, and the
experience would be useful.
We prepared our own planning brief for the project, a copy of which is included in
appendix A of this report. This brief was accepted by the Course Director, Chris France.
Alex Roberts, Deputy Course Director and our tutor for the previous project management
module, agreed to assess the project. Judith Cassingham also contributed to the project by
providing administrative support (roomllunch bookings).
2 Planning
2.1 Planning meetings
Eight planning meetings were held, minutes for which can be found in appendix B. In
summary the meetings operated as follows:
1. DA/RP establishing the what, how, who and when of tasks that needed to be carried
out.
2. As (1), but with CF.
3. Meeting held at Runnymede with CF, AR and JC, enabling us to review the facilities
and allocate related tasks.
4. Progress review meeting held with AR at Surrey during a break in another EngD
module.
5. As (4).
6. Progress review meeting with CF/AR at Rurmymede, with an opportunity to meet the
person responsible for conference facilities.
7. Meeting with Philippa Le-Marquand to discuss publicising the conference.
8. Meeting with CF to discuss actions arising from (7).
In additional to the formal meetings, DA/RP met regularly at Brunel to progress actions
together.
2.2 GAI'TTT Chart
The project planning Gantt chart was originally sketched by hand, then input to Microsoft
Project. It was updated and changed when required. A copy of the complete, updated
version is included in appendix C.
2.3 Budget
A copy of the budget including the final account is included in appendix D.
3 Correspondence
3.1 EngD Database
Unfortunately electronic records of RE's and supervisor's addresses were inconsistent

between Brunel and Surrey, and were not available in a suitable format for conference mail
merges.
A database of names, addresses, supervisors, etc. was set up and maintained for the
duration of the conference planning project. The data was based on Brunel/Surrey written
records, then updated and corrected during correspondence to REs. An example database
record is included in appendix E.
The database was set up in dBase format which allows it to be imported into and mail
merged with any modern word processor.
At the end of the project, the dBase was handed over to JC for ongoing maintenance,
together with standard forms for letters, address lists, and labels. It was suggested that the
dBase file could be emailed to Surrey after each update as maintaining separate records
tends to lead to inconsistencies and wastes time.
3.2 Research Engineers
Research Engineers were sent the following letters:
date summary of content

24/3/95 Notification of conference date
28/4/95 Notification of requirements, deadlines for submissions, guidelines for
preparing written paper
23 /6/95 General information, guidelines for speakers/preparation of posterboards
23/8/95 Maps, programme and a final reminders for papers, etc.
Copies of these letters are included in appendix F.
Accommodation details were sent out by JC. There were a number of RE queries about
accommodation and location of the conference, so a second set of maps and details were
sent out 13/9/95.
4
3.3 Supervisors
Industrial and Academic Supervisors were sent the following letters:
date summary of content

24/3/95 Notification of conference date
2/8/95 Formal invitation to conference, copies of abstracts/biographies,
programme, registration form, map
15/8/95 & More detailed maps and accommodation details sent to those who
following requested them
Copies of these letters are included in appendix G. Details of local accommodation were
sent on request.
3.4 Other Correspondence
General invites to guests as requested by CF/AR from 11/8/95. A copy of this letter is
included in appendix H.
4 Publicity
The planning brief deliverable was "Publicity including press release". The main publicity
areas involved were seen to be the press, both national and scientific, posters around
Brunel University, Surrey University and REs companies, direct mailing to relevant
individuals, and the development of a WWW page on the internet.
A uniform image on all publicity and other material was maintained using the EngD
Butterfly as the focal point in everything, with the Brunel and Surrey University logos also
prominent on all printed matter.
4.1 Press
Initially a meeting was arranged with Philippa Le-Marquand, the Brunel Publicity Officer.
PLM suggested that a simple press release would not be worthwhile publicity, as many
papers would not even run them unless they involved events of significant interest to the
public. She suggested attracting a "name" to open the conference which would then attract
the interest of the press to the story, and was very enthusiastic about the possibilities,
including Prince Charles, David Bellamy, etc. Time was spent supplying PLM with
relevant information, finding out who could sponsor sessions, where we could have a
conference dinner, and so on. Unfortunately, as various obstacles arose, her enthusiasm
waned and eventually was non-existent. By this time, even a simple press release was not
possible, so this was not accomplished.
4.2 Posters
An A4 poster, see Appendix I, was produced and circulated to each RE to put up in their
company and university department. This gave a basic outline of the conference and
directed interested parties to find out more by writing, phoning, or looking at the WWW
page.
5
4.3 Direct Mailing
A list of possibly interested individuals was generated by CF and AR, each of which was
sent a personal invitation outlining the idea of the conference. This information was
similar to the material sent to supervisors.
4.4 WWWpage
A WWW page was created which outlined the EngD programme as a whole, and also gave
details of the conference, what it was about, the programme of events, the projects covered
by REs, a biography of each RE and an abstract of their paper. The address for the page,
http://httpl.brunel.ac.uk:8080/ - empgdca/engd/ , was included in all promotional
literature and proved its use when the programme of events was changed. Two supervisors
rang up shortly after the change to ask if it was correct, and were able to attend on the
right day at the right time as a result.
5 Printing
The main printing needs of the conference were the conference proceedings, with further
arrangements necessary for a common header for the posterboards.
5.1 Proceedings
This was a large document containing around 300 A4 sides. Competitive quotes were
taken from a variety of sources, with the Brunel University Print Shop proving the
cheapest. A timetable for delivering the received papers to the print shop and collecting
prior to the conference was agreed, and this was held to. The original was delivered to the
print shop on September 4th, and the proceedings were collected on September 18th.
The proceedings, as with all other published material, was characterised by the EngD logo
as well as both Brunel and Surrey logos.
5.2 Posterboards
It was decided that, in keeping with policy for this conference, all posterboards should be
headed by a title bar. This consisted of the EngD logo followed by the title of the
conference and the Brunel and Surrey logos. The cost for this was estimated at £10 per
board, but investigations showed the cost would in fact be double that. This price was
agreed by CF after some discussion of possible alternatives.
Various quotes were sought, but few companies could print up to A0 size. The final
choice was KallKwik of Richmond who were able to take the job and also gave a discount
for the number of prints we required.
Having obtained A0 prints with 6 headers on each, these were guillotined into individual
headers and spray mounted onto the boards. A0 boards were obtained from an art
suppliers using both bulk and student discounts to obtain a good price.
6
6 Conference Review
6.1 General problems
We had assumed that there would be reliable electronic records of addresses, etc., and had
not allowed time for setting up and maintaining the EngD database.
JC was ill immediately before the conference. As we had not prepared a contact list, we
were unable to confirm bookings, etc. We had no contingency for people being ill.
The meeting with Philippa Le-Marquand gave us an insight into what could be done on the
publicity front another year. However, for us it proved a time consuming side-track as the
follow up work we prepared was not taken any further by Philippa despite reminder calls
on several occasions.
REs more often that not failed to meet deadlines and to follow the guidelines we sent for
preparation of papers, etc. Chasing RE's proved very time consuming.
We were asked to send out numerous additional invitations after the main
Supervisor/General invitations were circulated at the beginning of August. Again this was
time consuming. Few of those invited at the last minute accepted the invitation, although it
is understood that the invitations were necessary for diplomatic and publicity reasons.
The technical content of the Year I presentations was lacking.
We were not aware of the various forms CF wanted to distribute at registration. A

"conference pack" for each type of delegate (RE1, RE2, Academic Supervisor, etc.)
would have simplified the registration process.
The original plan for second year RE's to present a short "advert" for their poster was
scrapped, then re-introduced on the day. This could have been better thought out.
The coffee did not arrive for registration on the first morning. We believe this had been
booked by JC, but that she did not have an opportunity to confirm the booking.
The toilet and washroom facilities were very poor. No-one on Runnymede staff pointed
out the fact that the ground floor is actually Gents, whereas the first floor is Ladies.
The Student Union where the buffet lunch was held was not cleaned and tidied as had been
promised when we had discussed arrangements with the catering manager.
On arriving at the site, the exhibition boards were not immediately available, although they
had been requested by JC. After going from one individual to another all round the
Runnymede site, they were eventually located. Fortunately some first year intake REs
were on hand to help move these into the chapel and set them up.
7
6.2 Things that went particularly well
The presentation skills of Year I RE's was excellent. Timing was also excellent, and the
programme ran to schedule throughout the two days. This can be attributable to good
planning, appointing good chairs, and REs following the guidelines.
There was a consistent style to all published material. Specifically, WWW page, poster
adverts, posterboards and proceedings all contained the EngD, Brunel, and Surrey logos in
addition to any text and headings.
Sending documents to REs outlining the style expected from submissions (and providing
examples of these styles) helped produce a consistent image in the proceedings.
REs were grateful for the guidelines on presenting posterboards and papers.
REs were grateful for early warnings of deadlines, and subsequent reminders. This made a
big difference to getting the proceedings printed promptly with professional bindings.
6.3 Comments from other people
There were a number of general comments made by the various groups of attendees:
REs were very supportive and appreciative of the efforts made to keep them informed and
up to date. Many of the '93 intake commented on the difference between conmiunication
this year and last year.
Some supervisors were impressed that REs were running the conference. Others were
impressed by the general level of presentations, although there was a feeling that the
academic requirements of the course were seen as being less important to some delegates.
Many delegates were grateful for the maps and accompanying literature and commented on
how the instructions made attending very easy.
Other attendees were generally impressed by the professionality of the conference, perhaps
having expected it to be a "student" event rather than "proper conference".
6.4 Recommendations for Future Conferences
The drawing up of an EngD contact list would have multiple uses, especially if split into
various functional groupings, eg supervisors, sponsors, general interest, etc.
All groups should be invited early on to allow diary dates to be noted. None who were
sent late invitations came this year.
REs seem to need very basic prompting about formatting documents and sending work. A
checklist of requirements may be a useful addition to documentation in future. Another
possibility would be to send each person a template for the paper on disk, with all
numbering/formatting in place. This template would need to be available in all the
different word processing formats.
The lunches in the SU were not up to standard. It would be useful in future to have a
lunch in advance at the place selected and check facilities more thoroughly. The SU did
not clean up as they promised and this caused embarrassment to the organisers.
We suggest that CF sends a letter of dissatisfaction to the SU, stating the problem and
asking for some compensation.
If the chapel/Runnymede is used for further conferences, the toilet facilities must be better
marked. The difference between gents/ladies on ground/first floor was not made obvious
by Runnymede. Using student toilet facilities is not particularly satisfactory.
The Runnymede chapel has now reached its capacity. A new venue should be sought for
next year. Alternatively, parallel sessions could be run in different rooms.
The AV was well organised. Similar arrangements to use an AV department cameraman

should be made for next year.
The 1996 conference should need less organisation next year, as it will be possible to build
on the work of this year and use the enclosed documents / EngD Database.
The meetings with PLM highlighted the lack of time available for publicity. An earlier start
to the publicity process should be considered this year, possibly as a module for EngD
REs.
JCs sickness caused problems this year. It would be useful not to be reliant on one person,
perhaps by sharing documents in an EngD file area. If each person involved always used
this area, kept all their contact lists etc. there, then this would help.
The general computer literacy of some EngD REs seemed to be in question. A Basic
Computing (windows, word processing, spreadsheets, etc.) course may be useful as an
optional module. This could also include a lecture on the use of electronic mail and other
WWW basics. The sending of documents via email saves time and money, although few
people know how to do it.
9
6.5 Top Tips for EngD Conference Project Managers
Make a project plan and only timetable useful meetings.
Decide on a suitable budget - if possible after making cost enquiries.
Keep both paper and file records of all correspondence sent and received.
Keep a list of contacts made.
Make all your documents/contact lists available to all those working on the project.
Start publicity early. Ensure anything involving other people is started early.
Make sure everyone knows what is required of them in some detail. Keep it simple, and
assume that things will not be read without a reminder.
Check all practical facilities well in advance. Eat in restaurants being used well in advance
of the event.
If booking facilities / services, ring and confirm them 1 week in advance, and get a contact
name for the day.
7 Conclusion
The project planning module went well, demonstrated by the fact that the conference ran
smoothly apart from minor glitches.
A successful project!
10
12 CLEAN TECHNOLOGY
CLEAN TECHNOLOGY AND SUSTAINABILITY
Written work required
1. Assessment of Module
For each of the four afternoon discussion sessions, please provide (by 10th November
1995) a critique and suggestions (not more than one side of A4 per syndicate) to cover:
1.1 Did the morning talk provide sufficient background for the discussions?
What would you like to see changed or added in the morning presentations?
1.2 What in your view were the most important points to come out in the discussions'
1.3 Do you have any sugges1.ns for structural or detailed improvements in the mo .L m
future?
The Plenaiy Discussion on Friday morning was intended to bring together and apply the ideas
developed in the week. On not more than one side of A4:
1.4 How valuable was this Diccussion?
In what ways was it valuable?
How could it be improved?
It will also he helpful to obtain an idea of how "balanced" were the syndicate discussions and
the contributions of different members. For each syndicate which you were in, please
provide (by 10th November 1995) an assessment of the contribution of each member,
form appended. The grading scale is:
S - Important con tribtiti insightful; helped debate to flow and ideas to
4 - Active partic!p:..io . .: ihuting ideas but occasionally getting side-tra:.
"stuck" or left out.
3 - Willing participatior more to learn from than to contribute to debate.
2 - Overbearing, too push y - held up development or inhibited progress of debate.
- Reluctant or ineffective participation - joined in occasionally, but didn't really
contribute much.
0 - "Black hole" - might as well not have been there.
Please report one integer assessment of the contribution of each member of each syndicate in
which you participated, including yourself
2, Written work
Produce a short reflective essay - not more than 8 double-spaced A4 sides - summing up your
response to this week's module. Did you experience anything like a "paradigm shift"? Did it
bng about any changes in the way you see your professional and personal role? If so, what
are they? If not, why not? (e.g. Were you perfect already? Was the module totally
pointless?) What difficulties do you see in acting in accordance with your personal and
professional principles? What areas of knowledge or understanding will you pursue to
continue your own intellectual,personal,and professional development?
To be submitted to Janet Martin (on one side of the paper only please)
no later than Monday 27th November
Roland ClIft
October 1995
Clean Technology Module Essay Assignment
Richard 0 Peters
Brunel University, Uxbridge, Middlesex, UB8 3PH and
Arup Research & Development, 13 Fitzroy Street, London WI P 6BQ
Document ref: \engd\666.doc

23 November 1995
I Introduction
In this essay I shall sum up my response to the EngD Clean Technology module, review my own
paradigm shift, and discuss how this effects my professional and personal role.
I shall go on to discuss my understanding of Christian Green issues, which provide the basis for my
motivation to be an Environmental Engineer.
2 The Module
Above all, the Clean Technology Module provided a challenge, and catalyst to review my reasons for
being an Environmental Engineer
When I applied to join the EngD programme in 1993 I stated that I valued the opportunity to influence
building design in a way that encourages consideration of environmental issues. And that this was
consistent with my Christian faith and values.
Dung the Clean Technology Module two models of the Christian approach to the environment were
presented:
a despotic, irresponsible attitude to nature derived from the biblical teaching on man having
dominion, and being instructed by God to rule over the earth
• a responsible, caring attitude based on the bible's teaching that man is steward of the earth.
Obviously I place myself in the second camp. But in the discussions that took place during the
module, I had to admit not to have fully researched or thought through my position, as a Christian, on
environmental issues.
did not experience a paradigm shift during the week. Just a realisation that, assuming God wants us
to care for His environment, this should be the ultimate (and a very powerful) motivation for me to do
so. I see my paradigm shift as having come about when I became a Christian; the implications of that
event become apparent as my, very limited, understanding of God's will increases.
3 Changes in how I see my Professional and Personal Role
During the Clean Technology it very easy to criticise RTZ for their mining of titanium dioxide, and yet I
buy brilliant white paint, and like my toothpaste as it is. I realise that I must take personal
responsibility and blame for my actions rather than transfer my guilt to the people I buy products and
services from. As an environmental engineer, pleading ignorance is a poor excuse, and I should be
actively involved in educating others why we need to reduce our consumption of resources and how
practically we can do this.
On a professional level, I have a responsibility to apply what I have learnt in making building design
less damaging to the environment. In an industry that likes to be seen as "green", there are a lot of
Page I
daims made for individual products and whole buildings which are questionable. I need to take an
active role in the discussion of green construction issues to encourage good practice and to challenge
questionable claims.
lam faced with a number of conflicts between my own aspirations and the need to set a positive
example in both my professional and personal roles. On a personal level, I continue to struggle with
the challenge to achieve the selfless lifestyle which is so much a part of my Christian faith, and
essential if I am to put care of the environment before my desire for material wealth and goods. From
a professional viewpoint, I believe that my EngD project will make as positive a contribution in
reducing environmental burdens, and yet, I seriously doubt whether we can "engineer" our way out of
the current environmental crisis. We need to move the "lifestyle" goalposts that society is aiming for
(yes, a paradigm shift) to something which is sustainable - this would seem to call for me to apply
myself as an evangelist rather than an engineer!
4 Self Development
As a result of the Clean Technology course, I have begun, and will continue to research my position,
as a Christian, on environmental issues. This is important because:
my motivation, ethics, thinking and actions are largely dependant on my Christian faith
as a Christian, and as an EngD Environmental Engineer, it is important for me to understand, and

be able to discuss my motivation for green thinking.
The remainder of this essay is a summary and discussion of this research and to date.
5 Negative Christian Attitudes to the Environment
The despotic, irresponsible Christian attitude to nature referred to in our lectures was based on a
paper by Lynn White( 1 ), The Historical Roots of our Ecological Crisis. In summary, Whites' arguments
are:
s We live in a post Christian age, and yet our language and thinking remain based on our Judeo-
Chrisitian past.
• Judeo-Christianity and its derivatives assert that God planned creation for man's rule. And that it
is God's will that man exploits nature.
Christianity replaced pagan animism that attributed a spirit to every spring, stream and hill.
Christianity made it possible to "exploit nature in a mode of indifference to the feelings of natural
objects".
• Scientists claimed their task and reward was to "think God's thoughts after him". If so, science is
cast in the matrix of Christian Theology, shaped by the Judeo-Christian dogma of creation.
• Christianity bears a huge burden of guilt.
• St Francis proposed an alternative Christian view of nature by suggesting the equality of all
creatures. The so called "doctrine of the animal soul" was quickly stamped out by orthodox
Christianity.
• We shall continue to have a worsening ecological crisis until we reject the Christian axiom that
nature has no reason for existence save to serve man.
Page 2
Mother point that White could have argued is that the Bible( 2) prophesies that the world will end,
therefore there is little incentive for Christians to save it:
But the day of the Lord will come like a thief. The heavens will disappear with a roar; the elements wIll
be destroyed by fire, and the earth and everything in ft will be laid bare... That day will bring about the
destruction of the heavens by fire, and the elements will melt in the heat (2 Peter 3:10,12).
6 Positive Christian Attitudes to the Environment
Perhaps unsurprisingly, modern Christian literature(3)(4)(5) on Green issues takes a responsible, caring
athtude based on the bibles teaching that man is steward of the earth. As I see them, the main points
are as follows:
• The bible was written in a time before there was a green agenda, so it does not necessarily say
anything direct about environmental issues. This does not mean there is nothings to be said on
green issues, but that we need to dig a little deeper to apply the biblical message to this present
day issue.
• A unifying theme running through the bible is the goodness of creation. Genesis I repeatedly
states that creation is good (w 4, 10, 12, 18, 21, 25). The Psalms record God's continued care:
You care for the land and water ft; you enrich ft abundantly (Psalm 65: 9). Jesus asserts the
goodness of creation by highlighting the Father's continued concern of all that he has made
(particularly humans) Look at the birds of the air; they do not sow or reap or store away in barns,
and yet your heavenly Father feeds them (Matthew 6:26).
• The "good" creation is depicted as praising God: the meadows are covered with flocks and the
valleys are mantled with corn; they shout for joy and sing. (Psalm 65:13). During the "Triumphal
Entry" to Jerusalem (Luke 19:28-44), Jesus says that if the people are silenced in their praise, the
stones will cry out.
Man's dominion over creation is meant to be a caring one: The Lord God took the man and put
him in the Garden of Eden to work ft and take care of ft (Genesis 2:15). Man does not own the
earth, he is only the steward: The earth is the Lord's, and everything in it, the world and all who
live in; for He founded it upon the seas and established it upon the waters (Psalm 24:1-2).
Many Old Testament Texts commanded the Israelites to responsible stewardship e.g. For six
years sow your fields, and for six years prune your vineyards and gather their crops. But in the
seventh year the land is to have a Sabbath rest, a Sabbath to the Lord (Leviticus 25:3-4).
• Problems of poverty and environmental degradation are inextricably linked. Israel's relationship
between rich and poor was guided by the law of Jubilee (Leviticus 25:8-17) - land which had been
sold was returned to the family which originally owned it every 50 years. A radical, contemporary
way of applying this biblical principle would be to cancel third world debt, which is crippling nations
such that environmental concerns remain unaddressed.
7 Discussion
Much of White's criticism of Christians' attitude to the environment is, in my opinion, perfectly valid.
Many Christians do not see Green issues as their concern, or otherwise think of them as completely
irelevant. I believe this poor attitude is a failure of Christians as opposed to a failure of the biblical
p(inciples we aspire to follow. Where White's argument is lacking is that:
• He bases his understanding of what the Bible has to say about the environment on limited texts,
concluding a Christian axiom which is inconsistent with the underlying goodness (and therefore
value) of creation evident throughout the New and Old Testaments.
Page 3

CLEAN TECHNOLOGY AND SUSTAINABILITY

Written work required
I. Assessment of 1odule
For each of the four afternoon discussion sessions, please provide (by 10th November
1995) a critique and suggestions (not more than one side of A4 per syndicate) to cover:
1.1 Did the morning talk provide sufficient background for the discussions?
What would you like to see changed or added in the morning presentations?
1.2 What in your view were the most important points to come out in the discussionc'
1.3 Do you have any sugget.i..i1 br structural or detailed improvements in the mo .
future?
The Plenary Discussion on Friday morning was intended to bnng together and appl y the ideas
developed in the week. On not more than one side of A4:
1 .4 How valuable was this Dicussion?
In what ways was it valuable?
How could it be improved?
It will also he helpful to obtain an idea of how "balanced" were the syndicate discussien. ;nd
the contributions of different members. For each syndicate which you were in, please
provide (by 10th No ember l99; n assessment of the contribution of each membem, L.I
form appended. The grading scale is:
5 - Important contnbtit risightful; helped debate to flow and ideas to
4 - Active partmcmp.c. . huting ideas but occasionally getting side-tr::.
"stuck" or left out.
3 - Willing participati ..... ...re to learn from than to contribute to debate.
2 - Overbearing, too push - held up development or inhibited progress of debate.
I - Reluctant or ineffective participation -joined in occasionally, but didn't really
contribute much.
0 - "Black hole" - might as well not have been there.
Please report one integer assessment of the contribution of each member of each syndicate in
which you participated, including yourself
2. Written work
Produce a short reflective essay - not more than 8 double-spaced A4 sides - summing up your
response to this week's module. Did you experience anything like a "paradigm shift"? Did it
bring about any changes in the way you see your professional and personal role? If so, what
are they? If not, why not? (e.g. Were you perfect already? Was the module totally
pointless?) What difficulties do you see in acting in accordance with your personal and
professional principles? What areas of knowledge or understanding will you pursue to
continue your own intel lectual,personal,and professional development?
To be submitted to Janet Martin (on one side of the paper only please)
no later than Monday 27th November
Roland Clift
October 1995
13 RISK
RISK AND THE VERTICAL TRANSPORTATION INDUSTRY
Richard D Peters
Brunel University, Uxbridge, Middlesex UB8 3PH, UK and
Ove Arup & Partners, 13 Fitzroy Street, London WI P 6BQ, UK
ABSTRACT
Risk is a major concern for the public, scientists, engineers and policy makers alike.
Yet there are major discrepancies between what the public fear and the magnitude of
risks calculated by the "experts". This paper reviews current thinking on risk
perception, communication, assessment and management. Examples are used to
demonstrate the difficulties faced by industries who have mis-managed risk. In spite of
a good passenger safety record, using lifts and escalators is frightening for some
passengers, a fear sometimes amplified by media reporting. A pro-active risk
management strategy for the vertical transportation industry is proposed and discussed.
I INTRODUCTION
According to an Equinox documentary(') one billion lift t journeys are made without hitch every
day. An expert interviewed claimed that lifts are by far the safest means of transportation there
is. In fact, "...elevators are very, very safe. When was the last time you heard of anyone
getting killed on an elevator? It just doesn't happen." In the same vain, a popular British
science program, How do they do that?( 2) told its viewers that they were statistically safer
taking a lift than walking up the stairs. The expert interviewed said that, to the best of his
knowledge, no one had ever being killed while travelling in a lift.
The (USA) Boston Sunday Globe( 3 ) special report headline 4 December 1994 read, RLS'KY
RIDE Millions ofpeople ride the nation's 600,000 elevators and 30,000 escalators evel)' day,
avsuming ihat they are safe. But afour month Globe investigation has found that crippling
accidents - even deaths - occur with alarming frequency. The feature goes on to record, in
graphic detail, deaths and injuries sustained by lift and escalator passengers. "..,horrified
employees waiting for an elevator saw streams of blood flow down the closed elevator door."
The article blames the incestuous nature of the industry for poor maintenance, inadequate
inspections and the poor take up of new safety devices. An industry expert is quoted as saying
"Our guarantee is that on a per capita basis, this is the safest form of transportation in the
world." In the context of the article, his words give little reassurance.
As an industry we all know that travelling on escalators and in lifts is relatively safe. There are
sks, but our experience tells us that they are minimal compared to others most of us
encounter daily, such as travelling in a car. Some of us (the author is also guilty) have
overstated the safety of vertical transportation systems, which undermines our credibility when
aricles such as the one in the Boston Globe appear. The article is sensationalist, quite possibly
inaccurate and certainly presents an unbalanced view. But it is also an effective challenge to
the complacent.
In this paper we shall try to understand how the public perceives risk, and discuss better ways
of communicating risk to the public. The process of risk assessment and management will be
t Rfr .nc.sto lift' in this paper refer to English use ofthe s; ord. i.e. passenger goods lifts. commonI knosii as elevators in .rneriean English.
outlined. Lift and Escalator ascendent statistics will be presented, together with proposals for
a pro-active risk management strategy for the vertical transportation industry.
2 RISK PERCEPTION
Risk is a major concern for the public, scientists, engineers and policy makers alike. Yet there
are major discrepancies between what the public fear and the magnitude of nsks calculated by
the experts. This discrepancy has lead to the study of nsk perception which can help us to
understand different attitudes to risk.
The public have to evaluate information they are supplied mainly by the media, including the
opinions of scientists, engineers and policy makers. Experts often despair of the public who
seem to ignore the "facts they present showing something is safe Yet the public have the
difficult job of evaluating expert views which are often contradictor, or based on incomplete
information from suspect sources.
2.1 Media
News media reflect a skewed representation of the risks of everyday life, For instance, an
accident involving a school bus, killing say 10 children will receive more news coverage than
hundreds of children killed in individual car accidents. Although sensationalism is
irresponsible, it is inevitable that the media will present an unbalanced view of reality - a
balanced prospective is, more often than not, boring and will not sell newspapers or attract
television viewers. Media sensationalism, and the consequent disproportionate public concern
and reaction, is sometimes known as the "social amplification of risk".
2.2 The Importance of Trust

Trust is key element in the perception of risk. If someone responsible for a risk is trusted, then
the risk is far more acceptable than a comparable risk in the hands of someone un-trusted.
Slovic( 4 ) cites the application of chemical and radiation technologies as an example of this
phenomenon - although medicines and x-rays pose significant risk, we trust the medics who
manage them and, in general, consider the risks acceptable. Industry, and government officials
who oversee the management of nuclear power and non-medical chemicals are not trusted; so
much so that it is apparent that public perceptions and acceptance of risk is hardly influenced at
all by technical risk assessments.
Trust is fragile, taking a long time to build, and an instant to destroy. Abraham Lincoln one
wrote "if you once forfeit the confidence of your fellow citizens, you can never regain their
respect and esteem". Slovic( 4) demonstrated the fact that trust is easier to destroy than to
create in a study where he asked college students to rate the impact of trust on 45 hypothetical
news events relating to the management of a large nuclear power plan in their community. His
results are shown graphically in Figure 1.
2.3 Issues Arising From the Importance of Trust
• People are prone to over-confidence in their own judgements. Unfortunately this applies to
experts as well as to the general public. Slovic et al(5 ) give examples of the Reactor Safety
Study and the 1976 collapse of the Teton Dam where the experts were shown to have
Paper for kievcon '96, l)r qfl version 28 .t larch / 996 Page 2
greatly underestimated possible failures in their risk assessments. Over confident scientists,
subsequently shown to be wrong, undermine the public's trust of risk assessment as a
whole.
trust decreasing trust increasing

Local board to close plant
Evacuation plan exists
On-site government inspector
Reward for finding problems
Responsive to any sign of problems
Effective emergency actions taken
Local advisory board established
Public encouraged to tour plant
Mandatory drugs testing
No problem for five years
Hold regular public hearings
Employees carefully trained U
Conduct emergency training .
Community has access to records
Serious accident is controlled
Health nearby is better than average U
Monitor radioactive emissions U
Employees informed of problems U
Neighborhood notified of problems
No evidence of withholding information 1'
Contribute to local chanties
Employees closely supervised
Try to meet with public
Managers live nearby
Operates according to regulations
No problems in past year
Record keeping is good
Dont contribute to local chanties UI"
No public hearings
Little communication with community
Emergency plans not rehearsed
Officials live far away
Poor record keeping
Accident occurs it, another state
Accused of releasing radiation
Denied access to records
Employees not informed of problem
Delayed inspections
Public tours not permitted
Health nearby worse than average
Official lied to government
Senous accident is controlled
No adequate emergency response plan
Plant covered up problem
Employees drunk on the lob
Records were falsified
-60 -40 -20 0 20 40 60

% very powerful impact
Figure 1 Differential impact of trust-incresing and trust-decreasing events relating to
the management of a Nuclear Power Plant \
' A trait of the media is to find experts with opposing views on the same subject; it makes
for lively discussions, even if one view is totally unreasonable. The disagreement of
experts often undermines trust in both parties, casting doubt on both sides of the argument.
Evidence suggests(4) that sources of bad (trust-destroying) news tend to be seen as more
credible than sources of good news. For example, regulators and the public express
considerable confidence in the relevance to human health of studies showing that certain
substances are carcinogenic in animals. Evidence to the contrary carries little weight. This
emphasis on bad, trust-destroying news is again reflected in the media.
People with vested interests are less likely to be trusted than those with nothing to loose or
gain from stating their case.
Paper for Elet'con '96, Drqft version 28 .Iarch /996 Page 3

New evidence that something is safe, presented by a person or group that is not trusted,
has little impact.
2.4 Other Hypothesis on the Public Perception of Risk

• People are reluctant to let others expose them to risk; yet they freely choose to expose
themselves to comparable risks. In other words, "voluntary" risks are more acceptable
than "involuntary" risks. One study(6) suggests that people will accept a risk 1000 greater if
it chosen than if it is imposed by others.
• People fear man-made risks (such as Chemical plants) risks more than natural risks. The
US Environmental Protection Agency estimate between 5,000 and 20,000 lung cancer
deaths in US homes per year are caused by radon which occurs naturally in the
environment. And yet there is a predominance of public apathy about this risk(7).
• Unlikely, but potentially catastrophic disasters are feared disproportionately relative to the
calculated or historic risk(5). This is considered a factor in the discrepancy between
perceived risk and the frequency of death values for Nuclear power.
• Familiar risks are more acceptable than unfamiliar risks.. We are naturally afraid of the
unknown.
• There is a need for certainty( 8), "is it safe, yes or no?". A response to questions of risk,
"the risk is minimal to the best of current knowledge", promotes fear.
3 RISK COMMUNICATION
Lofstedt(9) defines risk communication as "the process by which authorities or experts convey
to the members of the public the nature and extent of risks to which they are subject". The
study of risk communication has arisen out of the need to gain public acceptance for sightings
of chemical plants, hazardous waste facilities, etc. Some findings are specific to this type of
scenario. But others can be generalised and applied to other industries.
Approaches to risk communication can be divided broadly into two categories:
• "top down" or "source to target"

• engaging in dialogue and inviting public participation
The top down approach is based on the premiss that the expert is knowledgeable and the
public needs to be educated. The dialogue approach provides information, but encourages the
public to air their fears and concerns, addressing the issues raised to the extent of incorporating
changes in the experts' design or viewpoint. This second approach is sometimes know as
reciprocal risk communication, and is favoured by researchers.
3,1 Hypotheses and Recommendations Relating to Risk Communication

The following hypotheses and recommendations are based on generalisation of Sandman's
proposals in Ge/hug /0 Ma.'he: Some (omnninicahions A3pecls of Siting Hazardous Waste
Iacilihie.s8):
Paper jbr E/et'con '96, Drqft version 28 . larch / 996 I'age 4

• As trust is an important actor in public risk perception, it is also fundamental for positive
risk communication.
• Greater media coverage of a safety issue tends to lead to increased public concern about a
risk; media coverage should not be courted. On the other hand, setting out to conceal risk
from the media and public would be short sighed as this is likely to lead to media
sensationalism and to a breakdown in trust.
• Inconsistency in stance can lead to a loss of credibility and a crisis of confidence. This
effect of this principle is frequently demonstrated in the political arena.
• The public can underestimate their influence. Suspecting that their fears will not be
addressed, they tend to judge that they cannot afford to listen to the experts, so their only
option is absolute opposition. Acknowledging the public's influence is positive step.
• Avoid suggestions that public fears are irrational or selfish. It is rational to distrust
experts, who often have a stake in providing reassurance that fears are unfounded. All
coherent positions require respectful response; dismissing them outright is strategically
unwise.
• Establish an open information policy on safety issues. But, where possible, enable the
public to rely on its own, and independent sources rather than asking for trust. This may
involve contributing to the funding of the independent sources.
• Adopt a communications strategy which recognises that the public's fear of risk doesnot
correspond to accident statistics, but is subject to issues of control, familiarity, etc. Do not
try to approve or disapprove of these truths, but understand why they are true and adapt
accordingly.
4 RISK ASSESSMENT AND MANAGEMENT

Risk assessment is the forming a judgement about a risk based on the information available at
any one time. Risk management involves using this assessment as a means to take decisions
about a risk. The decisions may balance the benefits associated with accepting the risk and
issues such as the cost of reducing or removing the risk all together.
Risk assessment and management has a long history('°). There is evidence to suggest that the
Aspipus people in the Tigritis-Euphraties valley were carrying out a form of risk assessment in
around 3200 BC. Risk management in the construction industry had already been established
in Babylonian times; the Code of Hammurabi required that if a building collapsed on
completion, the architect responsible for designing it was be executed.
The assessment and management of risk has been formalised and adopted in modern law e.g.
the European Community directives for safety on construction sites have been implemented in
the UK through Con.siruclion I)esign and Management Regulatioiis (CDM). Another
example of the application of risk assessment and management in the UK is the Control of
Substances Hazardous to Health Regulaiioizs (COSH).
Paper for Elevcon '96, Draft version 28 . larch 1996 I'age 5

Figure 2 identifies possible stages in risk assessment and management. Each stage is discussed
below. The UK beef BSE (mad cow disease) scare is topical at the time of writing and has
been used as an example.
• The description of intention is the place, product or process we are assessing e.g. the
safety of eating British Beef.
• The hazard identification is the process of identif'ing what could reasonable be expected to
cause harm e.g. BSE in cows may cause Creutzfeldt-Jakob Disease (CJD) in humans who
eat infected beef products.
The identification of consequences is the damage or injury that will be caused if the hazard
is realised e.g. CJD is a fatal disease.
• The estimation of the magnitude of the consequences is an assessment of whether the

damage will be negligible, minor, moderate or severe e.g. if the link between BSE and
cm turns out to be true, will CJD kill a few unlucky people, or will thousands die?
• The estimation of probability of consequences is an assessment of the likelihood of the risk

occurring e.g. at the time of writing, the experts assign a high probability to their being a
link between BSE in cows and CID in humans.
• At this stage it is necessary to estimate and evaluate the risk. This can be done
"scientifically" using probability event trees, quantified risk analysis, etc. But it should also
take into account the lessons learnt from risk perception e.g. the "calculated" risk of
humans contracting BSE is currently considered to be very small, yet there is widespread
fear and confusion amongst the public. There are issues of trust (changes of stance from
politicians/experts), media sensationalism, fear of the unknown, etc. all impacting on public
perception of this risk.
Description of
intention Evaluation of the risks may change as more
information becomes available, so a risk
Hazard
identification assessment should generally be kept under
review. In time, monitoring of the risk and
Identification
of consequences
its effects improve the accuracy of the risk
assessment. Provided that effects of a risk
are measured accurately, statistics become
Estmation of Estimation of
magnitude of probability of the most authoritative technical measure of
consequences consequences
the risk (providing the source of the risk
remains unchanged). Relying on future
Risk statistics for an assessment of new risks is
estimationl
evaluation .eption know as retroactive (as opposed to pro-
active) risk management; this is a dangerous
Risk
assessment policy.
¶17
Risk
mangement
Figure 2 Intention to risk management
Paper for EIet'con '96, Drqfi version 28 . larch / 996 Page 6

Those responsible for managing the risk have to take into account the risk assessment in
deciding what measures, if any, are appropriate in order to reduce the risk. The cost versus
benefit of each risk-reduction option must be considered. In industry impacting on the
environment, this compromise is reflected in the BATNEEC (best available technology not
entailing excessive cost) principle, which is widely applied.
In the British BSE scare, the evidence remains under review. Public perception of the risk
makes a drastic risk management policy (mass slaughter of cows) a possible course of action,
not because the experts think it necessary, but to restore public confidence.
5 LIFTS AND ESCALATORS ACCIDENT STATISTICS

5.1 United Kingdom
In the UK, lift and escalator accidents in the work-place are required to be reported either to
the local authority, or to the Health and Safety Executive (HSE) according to where the
accident happened. Accidents outside the work-place e.g. a domestic lift accident, are not
reportable. Local Authority statistics are forwarded to the HSE for collation and publication.
HSE acknowledge that, although they get to know about most work-place fatalities, only
about 41% of other injuries are reported. The results are published annually, recent figures are
reproduced in Table 1. The HSE database hold very general information. They will
investigate more specific queries but, as only 6-8% of reported accidents are investigated, there
limited scope for using there data to identify how lift and escalator safety can be improved.
Year Group Fatal Major Over 3 Day Total
1992/93 Employees 1 3 2! 25
Members of public - 2 - 2
1993/94 Employees - 4 18 22
Members of public - 2
Table I Injuries to employees and members of the public involving lift and escalators
(excluding construction hoists) reported to HSE 1992/93, 1993/94.
The Department of Trade and Industry (DTI) also maintain a database of accident statistics,
extrapolated from a sample of 18 hospital accident and emergency departments throughout the
UK. The database is designed to provide information for the consumer, but includes work
related incidents as all major injuries are treated in hospital accident and emergency
departments. The DTI database is more detailed then HSE's, and is broken down into
categories of accident. A summary of their results for lift and escalator accidents is given in
Table 2.
5.2 Other European Data

Lenskens presented data on lift accident for Belgium, West Germany and The Netherlands in
his ELEVCON '94 paper, Lfl Safely in the Neiherlands( 11 ) which is reproduced in Table 3. A
breakdown is given of the accidents in Netherlands; around two thirds of the accidents involve
users as opposed to lift company employees. Belgium's relatively poor results are ascribed to
less strict regulations
Paper for PJet'con '96, Draft ter.cion 28 .1/arch / 996 /'a,iy 7

Mechanism Catcgon
Age group Fall Striking Crushing Bite acute other/ Ro
contact /piercing /sting oer un- Totals
exertion specified
Escalator Accidents

0-4 162 81 0 0 0 0 244

5-14 203 81 41 0 41 (1 365

15-14 487 365 0 0 41 41 914

45-64 365 81 0 0 41 0 487

65-74 73 1 41 0 0 0 0 771

75+ 1056 162 41 0 0 41 1299
Lift Accidents

0-4 41 122 162 0 0 0 325

5-14 20 20 0 20 0 0 61

15-14 0 102 81 0 0 41 221

45-64 41 20 41 20 0 0 122

65-74 41 41 20 0 0 20 122

75+ 142 102 81 0 0 20 345

unknown 0 0 20 0 0 0 21)
ColumnTotals 3289 1218 487 41 122 162 5119
Table 2 DTI accident statistics for UK lifts and escalators based on extrapolation from
the records of 18 hospital Accident and Emergency Departments
Belgium West Gernianv The Netherlands

(1975-1984) (1981) (1975-1984)

Deaths per car per 0.8 - 0.14 0. I to 0 2
10 000 lifts

Serious accidents per 15 1.4 2
sear per 10 000 lifts
Table 3 Comparison of lift accident statistics for Belgium, West Germany and The
Netherlands
5.3 Relative Safety of Lifts Compared With Other Means of Transport

Using an average of Lenskens' data, it is reasonable to estimate that there are approximately
0.27 passenger deaths per year per 10,000 lifts. According to Boston Globe's sources,
600,000 lifts correspond to 55 million lift trips per day. If you assume (this is a major
generalisation) that both Lenskens and the Boston Globe's figures (3 ) are typical internationally,
you can calculate that every time someone travels in a lift, they risk death at a probability of
8.1 x 10-°. To put this risk in context, it has been included in Table 4, together with other
transport risks taken from the paper, Analysis of the Daily Risks ?fL/e2 by R Wilson
Wilson uses the measure, risks that increase the chances of death by one in a million.
Paper for Llet'con '96, 1)raft 'er.s,on 28 .Iarch / 996 I'age 8

Risks which increase chances of death by one in a million
Travelling 7 minutes by canoe

Travelling 10 miles by bicycle
Travelling 300 miles by car
Travelling 1000 miles by jet
Taking 1240 lift trips
Table 4 Comparable risks of death using different types of transportation
A STRATEGY FOR THE VERTICAL TRANSPORTATION INDUSTRY

Compared with some of the industries referred to in this paper, the vertical transportation
industry is managing relatively minor risks. Yet every accident is one too many, and we (the
industry) are called to account when notable incidents occur.
One major, emotive accident (say 10 children fall to their death in a lift) could initiate media
focus leading to a loss of public confidence in the vertical transportation industry, and a
disproportionate concern over one particular safety issue. The author suggest the vertical )
transportation industry should learn from the mistakes of other industries by adopting a pro-
active risk strategy. Some suggestions follow:
Understand how and why public risk perception differs from statistical evidence and adopt
an appropriate risk communication strategy. Most of the findings discussed in sections 2
and 3 of this paper can be applied directly. The most important issue in dealing with public
fears is to maintain trust. Every interaction, especially with the media, should be reviewed
in the context of whether that interaction could undermine trust, either now or in the
future.
Press for (and if necessary subsidise) mandatory reporting of accidents to independent

bodies, and for the preparation of detailed statistics. Identify common causes of accidents
and address them e.g. Barney states(' 3 ) that if statistics were properly available deflector
brushes would be fitted to all escalators.
The Boston Globe(3 ) criticised the USA industry Safe-T Rider campaign stating "With no
requirement to compile accident statistics, the industry has funded a publicity campaign
that barnes accidents not on unsafe equipment, but careless riders." This is an unfair
criticism of a well motivated campaign. However, the best response to this type of
criticism is to be in a position where its claims are insupportable. Are they?
Avoid complacency' The lift industry knows that a partly loaded electric lift can falls up
rather than down because of its counterweight. And yet lift safety gear can stop a lift
falling down but not up. Modern technology can provide numerous ways of overcoming
this design limitation (the much heralded rope break is only one of them). Yet most lift
companies provide (and lift consultants accept) safety gear that provides no protection
from a possible direction of falling which is not even protected by a buffer. This issue
needs to be addressed. Are their others?
Paper for bievcon '96, Dr qft version 28 .tIarch 1996 Page 9

• Apply risk assessment for new technologies. Consider how public confidence may require
additional safety measures to be taken above those dictated by technical risk assessment.
e g. we should be able to make ropeless lifts, electronic safety gear, etc. technically safe,
but will additional measures be required to ensure public confidence?
7 CONCLUSIONS
Public perception of risk is a function of many variables, or which accident statistics play only a
small part. It is important that we, as an industry, maintain public confidence in vertical
transportation systems. Lessons learnt from other industries' mistakes can be applied.
Maintaining the public's trust is paramount. Poor communication of risk associated with
vertical transportation will undermine public confidence. Out of the public spotlight, we must
strive for every better safety standards. On occasions when we are thrown to the lions in the
media arena, only the Christians (i.e. the conscientious) will be saved.
ACKNOWLEDGEMENTS
The author would like to thank his supervisors, lecturers and colleagues at Brunel University,
Ove Arup & Partners and the CIBSE Lift Group for sharing their knowledge and experience
which are providing an excellent basis for his research. The author acknowledges, with
gratitLde, financial support from the Engineering and Physical Sciences Research Council, The
Ove Amp Partnership, and the Chartered Institution of Building Services Engineers.
REFERENCES
1. Equinox, broadcast UK Channel 4 15 (October 1995)
2. How do they do that? broadcast UK BBC 1 (1996)
3. Risky Ride, Boston Sunday Globe special feature (4 December 1995)
4. Slovic P Percei'ed Risk, Trust, andDemocracy Risk Analysis, Vol 13, No 6 (1993)
5. Slovic P, Fischhoff B, Lichtenstein S Rating the Risks Environment, Vol 21, No. 3, ppl4-
20, 36-39 (April 1979)
6. Starr, Social Benefit J ersu.s Technological Risk Science, Vol 165, pp1 232-1238 (10
September 1969)
7. Golding D, Krimsky S, Plough A Evaluating Risk communication: Narrative w.
Technical Presentations of Information About Radon Risk Analysis, Vol 12, No.1 (1992)
8. Sandman P, Getting to Maybe: Some Communications Aspects of Siting Hazardous Waste
Facilities Seton Hall Legislative Journal, Vol 9, pp442-465 (1985)
9. Lofstedt R Risk comniunication in the Swedish ener' sector Energy Policy, pp768-772,
(July 1993)
10. Lofstedt R Environmental Risk Assessment andManagen;ent (draft/unpublished)
11. Lenskens A Lift Safety in the Netherlands Elevator Technology 4 Proceedings of
ELEVCON '92 (The International Association of Elevator Engineers) (1992)
12.Wilson R Analysing the Daily Risks of Life, Technology Review, Vol.8 1, No.4, pp4I-46
(February 1979)
13.Barney G C Editorial printed in Elevatori, issue 2/95, pp1 10-112 (March/April 1995)
.( W
j'
Paper for Elevcon '6, /)rafl version 28. larch 1996 Page /0
(JQ f$
UM .
th
kW UjL
ii
Brunel/Surrey EngD in Environmental Technology
Research Engineer: Richard Peters
Module Title: Risk Assessment
Marked by: Ragnar Lofstedt
Grade point awarded (please refer to scheme overleaf): 6 (B)
Comments:
This is a good paper and should make the lift industry think a bit. I would look into the
Boston Globe article some more though. What prompted the statements that they made?
Also, there is the "phobia" factor. Some people are afraid of travelling in lifts due to
claustrophobia and then there is the issue of lifts stopping between floors, something that the
novie industiy has portrayed far too many times.
Signed: ............/...........................................30 April 1996

Please return completed form to Alex Roberts for Surre y -based modules and Chris France for
Brunel-bascd modules
14 MARKETThG AND FINANC IAL
MANAGEMENT
MODULE 3 - MARKETING AND FINANCIAL MANAGEMENT
ASSIGNMENT M3 /1
The cut-off date for this assignment is 7 October 1996. You must
send your completed assignment to arrive at Brunel University by
the cut-off date.
Completing your assignment
Use A4 paper for the written parts of your assignment.
Assignments should be typed or produced on a word-processor;
handwritten submissions will only be accepted in exceptional
circumstances. Put your name, ID number and the title of the
assignment at the top of each page.
Sending in your assignment
When you have completed the assignment, fill in the Assignment
Submission Form and attach it to the submission. Send the
assignment to the address shown in the Student Handbook. Be sure
to retain a copy of the assignment for reference. For general
information about the submission of assignments, you should refer
to your Student Handbook.
After reading the case study on the Body Shop (enclosed) answeir
the following questions:
(1) Describe the typical Body Shop consumer. (10)
(2) How important are point of sale promotions for Body Shop
sales? Defend your answer. (20)
(3) Recommend suitable marketing research to ensure the
packaging of Body Shop is effective in achieving its
marketing objectives. (10)
(4) A grave danger with green marketing is that it relies on
trust and confidence in arising from emotional appeals with
the distributor or producer. What steps can the Body Shop
take to control these emotions and reinforce its
credibility? (10)
.B. Please be as precise and clear as possible with your

answers, in accordance with good marketing practice.
The Body Shop
The Bod y Shop was founded in 1976 b y Anita Roddick; its first shop was
located on a side street in Brighton, England. Ms Roddick envisioned a
store where customers could buy beaut y items such as shampoo and skin
cream in the quantities the y desired, just as consumers shopped for fruits
and vegetables. She had experienced some tough times of her own and
could not afford to bu y large quantities of shampoo and beauty care items
at one time. When she opened her store she figured there were other
people in the same situation and. therefore, offered five different sizes of
products. These same bottle sizes are available in each store today.
The first shop sold a variety of twenrv-flve different natural skin and
hair care products in hand labeled bottles. The labels were round and
green in color onl y because the' were inexpensive and the color was
bright. People like to speculate codas' that the labels were green because of
ISSLICS of environmental concern. Toda y there are over 800 Rod" Shops
worldwide with a variet y of over 350 products soid in each store. Still
lic:idqu:irtercd in \Vest Sussex. United Kjn g dorn. The Bad Shop employs
over 5,55(1 woddwid. The Bod y Shop through is concept, staff and
Ic,LIilder. continues to have an impact on consumers. retailing, and people
throughout the world.
Pr( )dU c Es
The compan y is committed to the research, development, manufacturing,
and distribution of lieafthv beaut y care products for men and women.
lkxiv Shop products are designed to cleanse, polish, and protect the skin
and hair naturalh'. Consumers can bu y avocado soap. apple shampoo, cla'
facial masks, fragrance derived from vanilla, spearmint, and cinnamon,
and natural peach bath crystals. The Bod y Shop has also expanded into
natural and non-allergenic makeup, including eve shadow, mascara, foun-
dation, and blush. A photo of products and list of products are shown in
17
I S..,.,,,.i .1,11,,
!7
nIL utl'
.
• I\i IIII'l . . .IlcPII
j•1
• -•
iI'T1:11I1I1,,IhI •
-
__________
1 =Z_ S
- - -
'- --- •-
• :.:_ :... LI;uII
,,.: ;i' iIIt e;t(e-

2 2
:s . )L .L:l .:irle IS
I!'! 2
'.''!P'. .1
I . :,.' u: :I' lU (he

•1. i
..". !.!tIII.. i: XII. (rIIC III
Li'. Je t.. .

A S t The 1k Shs.i 19
• EXHIBIT 2.3 Product Categories and Soap Categories
1H1Q1P
SOAPS
AD 1• -, a — —. I - -.
___ — PSMOD SMCOD.
So
_____ - - -
SSM .a pSM SM C
• - 11.4. __J_..___ SM 1.. ias ____U., —
- (a. — SM - Tha Sw
Coconut Milk Soup
Ca..u..s u i.a r.w SM
11aSM s( SM —. . .1 ap.
Fruit Soups
Va. ..---. .' (.ar G
ADelC. F.w &.... MSM.n... Alaas 5s..,. D.wv,.. Q.a..u.a
SM Fs. P. .. . yp .5 appa. la
Fun Fruit Soaps

A Sa. .4 U (.u.sM5cD .4SsSla SM Ic p hi. SM SM
I_I.e. Tha.. SMd glyce.,. .a. s.c .1.4.04... Appsc. S. ..abenV.
t SM S. SM s.c r .14 I_a.
Lily Milk Soup

£SUa Id a.n. 5 ..- (us la..s..c 1i..L
Evening Pnmrose Oil Soup

A us.wIc -. - SM k to. —i
III.V .1.0. HoSMSM -. us.uc SM s.l - 0 I 11
- Si. •X.aI_ C.s.c A41! .a n .5 s a.,. s..c .las
Toa Rose Soup

A 5SMc dl. (.a.,d SM Sw - ra.. .0 SM
— SM lust p. s .54 , cs y SM I_a..
Casncllia Oil Soup

4i. .4 (us a. k0u .-_--L l.0 Sl all pus
a.., —a.
Jo jobs Oil Soup

Ca. — -. a 10 . .5.41.
a. as.. a. I,a. .5 l.ps. co.a I_a..
White Musk Soap

F.,rusa.d SM — .s us.cSM.4 ,us(. .4.. .sl.a - ..w
-a SM (..SM. .11 nusca.. I.,. a.a. 'l.a.
Mini Vcetablc Soaps

rhc,a ..c.aljc-A...d s.c vest .s t r. . to. ,..'cllo.c!
Aa.$.ble - Whs.c Ma.11. J ()54 r.. g., ...
Inus.c.e 0.4 (..sI..xe1 "Ia. all .sna. .a.0 us.s.,e .11...
Aloe Soup
(.Sec SM Abc R..tcl
Seaweed und Lco(ah Soap

A rh y Me 11.4w 11., .,ca a, a..heS hatting. I, as,.....
s,n1c5 So n.(ui..c sad .c-ard ... n5 SM ,ias The -....ast
lM......( Loot 454.54 s..d.a41e a.ad Cd ala lIsa ,.g,i
., all fllS C$tt4W flfl a.5fl I_Ia.
Wheatgcrm Oil Soap

- a.... SM .s.a.a. , Iee.. .54 to hcnf..
l.a. a.lI hbc.0cd SM wM04aa I_oo. as .ea. .14 .s.a. aea.as.bw
ma R.4y 9. am.
4$ I4SMuI jtl.
Endaneved S pecies Soaps
l4 T C. A tiage .4 lot sO.5C.5 - SMtc. 1st eususlin
iSM.. NJ 07W P.w. £4,_ WSM SM Tusk F.,. eg wl la.fl.. .wSM.
OThaS.4v.Ali.SM.
ii I' .' K T i C.i.uwwss,r is.Iis,s,,c .u, iiw UflIIs,xs,IwMs
September 1986 and has been very successful. Mosdv Men, a collection of
skw and hair care products desuned spcciticallv, hUt nO( exclusivel y , for
men debuted in November 1986. Mamaww. The Bod y Shop's comprehen-
sive mother-co-he and bab y range, was launched in the United Kingdom in
September 199() and in the Unied Seices in Sepemhcr 1991. The Body
Shop is looking forward w the introduction of a line of products which
contain sustainable ingredients from the 1ain1oresc in Brazil.
Unlike many major cosmetic brand iiaiiie products. The Bociv Shop's
products contain a relatively high pereeiicage of natural base ingredients.
1: 0 ,. e.'aniple, (he i\loe Vera rnnie eonwuns as much as 98 percen pure gel
irom the aloe plant. Cocoa L3uucr Suiitan Lotion is 13 percent cocoa butter.
It is not iu.s the prociucts tha make this compan y unique. k is its in-
nov:itive formulations, passion tor die environment and social issues, and
sensitivit y in retailing thai make The Rod" Shop a corporation ot the lu-
re The Rud y Sho1, cares alxuic its ei,iisuutcrs Ue:iusc (he compan y has
no :idvcrusing overhead and uses minimal p;ickai.in. the product cast is
Io compared with those products ot siiiiilar qualiv ad euieieiiev pro-
duced b y ocher cosmetic companies
The approach of The Both' Shop is unique in the cosmetic industry in
char it focuses on health and well-being. It is an approach that is nonex-
ploicative. The company does not promote or sell beauty "fantasies" in its
advertisements or point-at-purchase displa ys, as other cosmetic compa-
nies do. The Body Shop sees its consumers as beautiful in a health y way,
not from use of heavy cosmetics hut because of a natural beauy enhanced
by natural products. Because of this belief, there are no images of "per-
tect" or idealized women in its shops or in its licer:uure.
The Body Shop has gone from seing a select niche of customers in-
terested in natural beauty care products to seMng a variety of consumers,
some aware of the compan y's environmental ties and others who just like
the products. When customers enter The Bod y Shop, their senses are de-
lighted b y the smelLs, sounds, sights. and atmosphere of the store. Retail
stores have a natural and clean feel to them with the corporate commit-
ment to the world and its inhabitants evident iii the literature, brochures,
and point-of-purchase information items. Shopping at The Bod y Shop is
not a chore; it is an experience that, when coupled with qualit y products,
keeps customers coming back.
There is an electricity that runs through the stores—from the prod-
ucts and their bright green labels to the friendly sales staff. Although
trained to help consumers when they ask for assistance, the sales staff will
not bother customers when they are shopping. The staff is trained to be
sensitive to the needs of the customers and to not make them feel pres-
sured into buying something but to help them make informed purchase
decisions. Instead of pressure selling, the staff's role is to educate con-
sumers and tell them stories about different products, their origin, and
how they finally made it onto The Body Shop shelves. All of The Body
Shop products are backed by information available from either brochures
C % S E 2 The Body Shop 21
or the sales staff. Staff members are knowledgeable about the products as
well as soctal/environmencal issues such as animal testing.
Profitability and Philosophy

The Body Shop has learned effectively the lesson on how to grow profits.
With an approximate market value of Si billion and great stock perfor-
mance, the company has earned the reputation in the City, London's
equivalent of \Vall Street, as the 'share that defied gravitY.' Since the com-
pany wen public in 191S4, the share price has increased 10,944 percent.
Some analysts predict that the company will grow its profits at an annual
rate of 30 percent to 40 percent for the next 5 years.
While understanding the need to increase profits as it grows in sales
and number of stores. The Body Shop is concerned about the using of
these proflts to better the world in which we live. The company believes
that with profitability comes responsibility and that profits should be part-
nered with principles. Simply stated b y Ms. Roddick, "The company oper-
ates within the world, the environment, the communit y. That is where our
responsibilities lie—we want to give something hack to society." And
i does.
The Both' Shop is a company that has grown quickly and successfully
but has never lost sight of its corporate philosophies. Since its inception in
1976, The Body Shop's ties and commitments are to the environment and
the world's inhabitants, animals, and human beings alike. One goal of the
organization is for its products to reflect its philosophies. Its strong foun-
dation and corporate philosophies can he summarized as follows:
• Use vegetable rather than animal ingredieiiu iii products whenever
pussihle
• l'roliilnt testing ul IIIiredie1lls or flnal producus oi animals
lcspcet the enviruninent
• Use naturall y based. close-to-source ingredients as often as possible
• Offer a raiue ot sizc so that customers can buy quantit y needed with-
out hiuiu extra
The lludv Shop e.xeinpiiries its commitment to the environment by of-
icnng rccvclin in its stores. Consumers receive a discount on their next
purchase it they participate in this program. The [lad y Shop feels customers
should be able to bu y its products without having to pa y for elaborate and
expensive packaging. To reduce waste and keep prices down, packaging is
kept h:isie and to a minimum. In fact each store has a reflhl polic y which will
refill :i customers old product bottles with new products to save on packag -
ing niatenals and create less waste. This policy has been in place since the
store opened. At that time Roddick could onl y afford to buy 700 bottles
in which to package her products. She asked people to bring them back to
be refilled to cut COSts for her and her customers. Today all Body Shop
I' 't IL T I (.6M1,q.,I.vr Iiskuuc His list' OrisIsuzatNu,
products are biodegradable, and the stores participate in recycling waste

when needed. The company's commitment to recycling is further displayed
in its use or recycled paper for brochures and shopping bags.
\ t'aruetv of organizations involved in protecting (he environment have
benerited irom The Bod y Shop's efforts. It became involved with Green-
peace in England to "Save (he Whales" and with The Friends of the Earth
to raise public awareness about the dangers of acid rain. In ]9S6 the corn-
jIn' formed The Bod y Shop Environmental Proiects Department to de-
velop and coordinate environmental and cOmmunit y projects. While these
projects might he initiated b y the compan y or individual stores, employee
paructpaoon is voluntary. The Body Shop has been involved in various
propec(s, r:inging irom providing massage for the elderly and psychiatric
patients w sensory herapv for the blind. By encouraging individual stores
and emplo yees to e involved, The Body Shop hopes (hat each store 'ill
support specihe prolects to help (heir own COflhlilliflItles
The organization strives to have its products reflect its philosophies
lii developing "luturisoc" products, The Bod y Shop relies nir knowledge
and visdom trOni the past regarding natural ingredients used for remedies
and preventive purposes Traditional ingredients such as almond oil and
vanilla, which are used in Both' Shop products. have been used for cen-
turies and have a history of safety and health on which The [3odv Shop re-
lies in its "return to basics" approach to cosmetics. The Body Shop re-
spects the world of nature and tries to use the ingredients in their most
natural forms. Not only does the compan y look to nature for many ingredi-
ents. it looks to nature for inspiration.
Product lormulation and business operations are also based on respect
tor its customers and different cultures. Roddick, still activel y involved in
the growth or the organization. travels the world to learn how different cul-
tures care br their skiti and hair. These beauty secrets are used in the for-
mulation of new products for people of various cuitures to eniov Under-
standing and respect for other cultures has also heiped The Bod y Shop to
he successiul in a variet y of markets because of the cultural empath y the
compan y has develooed Regardless of location. The Both' Shop expresses
its respect br all or its customers by offering them a variet y or choices of
products, product sizes, and information
Animal Testing and Cosmetics

The use of animals in the testing of cosmetics cont:nues to be a controversial
debate fought in many arenas throughout the world. Animals primarily serve
two purposes in cosmetic testing: the y provide raw ingredients for formu-
lations and perfumes, and they are used in laboratory testing. The Body Shop
questions the need for such practices and considers them to be cruel and un-
necessary . Over 7.000 U.S. organizations with over 10 million supporters are
dedicated to animal welfare and animal rights. The Body Shop, its employees,
and man y of its customers as vell are dedicated to similar goals.
c , $£ 2 riic ik,dr si,, i.
The Body Shop's position on animal testing is clear. \Vhile it under-

stands the need to test for eye irritauon, toxicit y , and skin irritation to as-
sure human safey, alternative methods should be used. This principle has
been a part of The Both' Shop foundation since 1976. Some of the alterna-
tive testing methods employed b y the compan y are:
1. Use of "old and tested" ingredients. Such ingredients include beeswax
and hone", which have been used by humans for hundreds of years.
Even when new formulations with "old" ingredients are made, the his-
tories of the ingredients allow the products to be tested safely on
people. The Both' Shop has established a panel of Animal Aid volun-
teers for testing conducted a The University Hospital of Wales.
2. Use of ingredients derived from plants or vegetables. These ingredients
have been tested by human beings for years through food consump-
tion. The Bod y Shop selects its raw ingredients and its suppliers care-
fully. It requires suppliers to confirm in writing that the" have not
used animal testing for cosmetics in a 5-year period prior to associa-
tion with The Bod y Shop. Continual monitoring of suppliers helps en-
sure that this standard is alvavc met.
New testing methods are also hein developed as alternatives to animal
resting. They include:
• bacterial tests
• in vitro tests: testing on cells rather than live animals
• mathematical models and imaging techniques
• computer anal ysis to predict how a substance will react when used on
human skin
The Uodv Shop encouraes Its cinplo'ees and customers to become in-
etilved iii :iniiiial riilirs and oher eti:iniiinent:il concerns R poivitics liter:i-
(tire in us stores tin ueli topics ;iiid oves cc,nsuiucrs to make suestions.
;isk quest ions. ;iin.I raise issues hi ifie! c:ise the LuiflpaFlVS level ni conScioUs-
ness. lhe Uudv Shop :ilsn inituues :iiid stipports letter vritin campaigns ror
The stores heeouiie letter 'vriting and collecLion stations rot
weeks umil ever" customer has voiced his or her opinion on the topic a
liaiid ( her 4 million lcuers wet e ieh cied liv Roddick and her staff to the
dH,rs tit the Uritish iovcrnmeut ponestilig animal esting. Once again. Rod-
(lick and The Bod y Shop made national and international headlines.
A 1oba1 Company
The Rud y Shop has grown mw a glohal compan y with a network of retail
swres spanning the continents and including such markets as Denmark,
Australia, Sweden, Singapore, Hong Kong, and the United States. Although
The Bod y Shop operates in man y diverse countries, trades itt seventeen Ian-
guaes, anti emplo y s staff members representing a variety of cultures, all re-
tail shops look hasic;ilIv the same and carr y the same products. The image
24 I' , ii T I .uisI,s,Ir II,IlIawsev?. ois the Or,iizaui,
and repur.ation of the company have remained strong and constant through
the expansion process by staying true to corporate philosophies. Customers
throughout the world respect The l3odv Shop's goals, philosophies, and
products.
The global concern of The Both' Shop extends bey ond selling in foreign
markets: it includes sourcing in Third World countries. B y using ingredi-
ents from Third World countries, the company hopes to encourage local
communities to grow specitic ingredients and develop trade practices. This
method of sourcing allows The Bod y Shop to get fresh, unique ingredients
and helps Third \Vorld Countries develop jobs for its people. Corporate phi-
losophv dictates that such relationships he based on equalit y and respect.
When Roddick finds a group ot people who have ingredients which she
can use in beauty products. she shows the people, in man y cases tribes in
Third World countries, how they can make mone y with their products by
adding value. Fur example it :i South :\merican tribe is efflcient in gather-
ing Brazil nuts. she will show them hat b y extracting the oil. the y have
something ol great value br which The l3odv Shop will pa y . Roddiek is
committed to fair business If it costs The Bod y Shop S30.O0 for a liter of
extract from a wholesaler. tlia is the price she vill pay to the South Amer-
ican tribe as vell. She and her staff also spend time with various groups of
people from whom they bu y ingredients and help them establish schools
and housing from the mone y the y earn.
The Body Shop has developed a relationship with the Box's' Town
Trust in Southern India. designed to provide education and training for
underprivileged children 'ho learn trades and skills such as farming,
woodwork, basket making, and silk screen printing. The goal of the Trust
is to help thesc children to become skilled and valued members of their
communities. The l3odv Shop has also raised funds to build The Body
Shop Bo y s Town. a communit y project developed b y the compan y to
house, educate, and train underprivileged bo ys. The Athoor site houses
eighty -n yc bo y s who work on a productive (arm to support the commu-
nity. Sponsorship mone y rrom The Bod y Shop, its emplo y ees, and cus-
tomers helps sustain the bo y s through their schooling.
:\lthough The Bod y Shop en j o y ed a somewhat unique positioning for
man 'ears. recentl y the number of "green" cosmetic companies has grown
dramaucallv. Some of the companies and their products that now compete
with The Bod y Shop include the major cosmetic manufacturers as well as
other specialty shops and specialt y lines handled by other retailers.
Reflecting on the Future

Anita Roddick feels the thing that will keep The Body Shop growing
throughout the 1990s will be its passion. Her definition of business is the
acrzvzty needed to keep a company alive and breathlessly exc-ted. She is
dedicated to protect the company's employees and remain a force in soci-
ety. After those goals, concerns over profits arise. Although profits are
C: ,' S 2 11w Ik.d SIu.p 23
necessary to stay in business and keep growing, fun and love are what
keep management on the Cutting edge.
It is ironic that a compan y which does not have a formal marketing or
advertising department is cited as a company which will sell successfully
in the next decade. The Body Shop accomplishes this in many ways. First,
it relies heavily on word-of-mouth advertising, but without excitement.
word-of-mouth will cease. Second, the company believes in educating its
consumers by giving the staff unusual product information. The staff is
told anecdotes about the history and ingredients of its products and hu-
morous stones on how some of its exotic products wound up on The Body
Shop shelves. This type of information hopefull y vil! stimulate interesting
conversation between staff and customers.
Finall y , it is the enthusiasm of its management which makes The Body
Shop poised for growth this decade. Roddick and her team have an dee-
tricity that is contagious. It is evident in management philosoph y and in
the stores.
Anita Roddick has become a CEO of the future, one to be studied, ad-
mired, and understood. She has three distinct values which she carries
into her business. The tirst one is to have fun. The second is to put love
where your labor is. The third is to go in the opposite direction of every-
une else.
Anita Roddick sa ys this about running a business successfull', "I thinl.
you can trade ethicall y; he committed to social responsibilit y and global
rcsponsibiliv; empower 'our employees without being afraid of them. I
think "ou can rewrite the book on business."
MODULE 3 - MARKETING AND FINANCIAL, MANAGEMENT
ASSIGNMENTS M3 /2 AND M3 /3
The cut-off date for this assignment is 7 October 1996. You must
send your completed assignment to arrive at Brunel University by
the cut-off date.
Completing your assignment
Use A4 paper for the written parts of your assignments.
Assignments should be typed or produced on a word-processor;
handwritten submissions will only be accepted in exceptional
circumstances. Put your name, ID number and the title of the
assignment at the top of each page.
Sending in your assignment
Then you have completed the assignments, fill in the Assignment
Submission Form and attach it to the submission. Please note
that you will have to fill in two forms, one each for M3/2 and
3/3. Send the assignments to the address shown in the Student
Wandbook. Be sure to retain a copy of the assignments for
reference. For general information about the submission of
assignments, you should refer to your Student Handbook.
uestion M3/2 is designed to test your understanding of balance

sheets and profit and loss accounts. It requires you to use
ratio analysis and will test your understanding of ratios as a
financial managerial tool. The question will also test your
ability to write a concise, but clear report.
uestion M3/3 is designed to test your understanding of budgets,
costing methods and financial contracts.
M3 /2
A friend of yours has recently been offered employment with
Blundell Packaging PLC as a member of the senior management team.
The company has been trading for a number of years and offers an
employee share ownership scheme as part of its remuneration
package. The profit and loss accounts and balance sheets for the
years 1992 to 1995 inclusive attached as Appendix I have been
extracted from the company's audited accounts.
Prepare a report for your friend which analyses the company's
operating performance for the years 1992 to 1995 and which
specifically addresses the issues which might be of concern to
such a person. Marks will be allocated as follows:
ii) An executive summary of your analysis amounting to no more
than ONE side of A4 paper.
(10 marks)
ii) A schedule of at least ten different operating ratios for
all four years. (Include all workings/calculations in an
appendix to your report).
(15 marks)
iii) An analysis of the performance of the company over the
period.
(50 marks)
v) Notes outlining the limitations of the analysis you have
prepared and additional information which you might suggest
that your friend seeks.
(25 marks)
(100 marks in total)
K3 /3
Three months later you receive a distressed phone call. As
Operations Manager of the Specialist Cartons Division, your
friend has been called to an urgent meeting to discuss the
division's forecast results for 1996 (which is showing a loss of
£100,000 compared with the profit of £80,000 shown in the budget
prepared at this time last year) and to discuss the budget for
1997. There is a note of panic in your friend's voice.
"I'm not an accountant but I do know that our sales
contracts have to be competitively priced. What I don't
know is how to answer the charge that the division is
making a loss, especially when sales are slightly up on
budget. Half the loss seems to come from one contract with
Cawley Cartons Ltd. Cawley negotiated a special price with
my predecessor and is now insisting that if I want his
business I have to agree to pricing it on the same basis in
future, which means more losses. The Managing Director is
insisting that I've got to make a profit next year and has
prepared the 1997 budget on that basis. He seems to think
we can just push prices up or cut materials costs. I don't
see why I should have to get involved in budgeting anyway;
I'm just the Operations Manager. But to cap it all, my
bonus for 1997 depends on the division making the profit
that the MD has forecast!"
y ou arrange to meet the company's offices where you are shown the
division's 1996 forecast results, some information about the
basis on which they have been prepared and details of the Cawley
contract. These are shown in Appendix 2.
Prepare a report covering the following aspects of the case which
would help your friend and defend the division's position at the
neeting which has been called:
1) Identify the potential drawbacks of the costing method used
by Blundell Packaging PLC for calculating divisional
results and the flaws in the calculation of variances shown
in Appendix 2. Re-draft the Specialist Carton Division's
budget, forecast results and projected variance for 1996
using more appropriate techniques and explain the
advantages of the alternative you have prepared.
(35 marks)
i) Comment on the special contract arrangements with Cawley
Cartons Ltd. Advise your friend as to flexibility there
might be in pricing such a contract and the additional
considerations which should be taken into account in
pricing.
(25 marks)
ii) Outline a typical budgeting process and explain its
importance in the management and control of a business.
Highlight the behavioral aspects of budgeting and comment
on the process which appears to be in operation at Blundell
Packaging PLC. Suggest changes which might improve the
management process in this regard.
(40 marks)
(100 marks in total)

Blundell Packaging PLC
Appendix I
PROFIT & LOSS ACCOUNTS

1995 1994 1993 1992
£ 'in E'm

irnover 1,622 1,520 1,289 1,395
st of sales 1,185 1,122 953 1,059
ross Profit 437 398 336 336
erating Expenses 350 333 280 318
terest Charges 7 10 11 9
ofit before tax 80 55 45 9
xatiOn 21 17 14
rofit/ (Loss) after tax 52 34 28 (5)
rdinary Dividend 21 17 16 16
etained Profit/ (Transfer from Reserves) 31 17 12
BALANCE SHEETS
I 1995 1994 1993 1992

E'm
ixed Assets 146 144 143 141

urrent Assets
tock 144 152 140 131
ebtors 277 234 241 247
ush _22 20 21 47
448 406 402 425
urrent Liabilities
rade Creditors 177 155 146 146
ax Payable 12 10 14 15
I dend Payable 21 17 9 9
Vcrdraft 63 69 39
229 245 238 209
et Current Assets 219 161 164 216
JTA.L NET ASSETS 305 307 357

PITATJ & RESERVES
rd inary Share Capital 106 106 102 102
roff i t & Loss Account 113 96 84
250 219 198 186
Dflg
Term Loans 86 109 171
365 305 307 357
Blundell Packaging PLC
Appendix 2
Specialist Cartons Division
Forecast profit and loss account for 1996
Latest Original
forecast budget Variance
£'QOO £ ' 000 £ ' 000
mover 3,260 3,200 60

t of sales:
irect materials 560 730 170
rect labour 1,200 1,000 (200)
story overhead 400 390 (10)

:tory costs of production 2,160 2,120 (40)
:inistrative overheads 550 450 (100)

ling and distribution overheads 650 550 (100)
profit/ (loss) (100) 80 (180)
es:
Administrative overheads are allocated to divisions at 45% of labour costs

and selling overheads at 55% of labour costs. Factory overheads are
allocated on the basis of machine hours at £2 per hour.
The following breakdown of overheads is estimated:
Factory Administrative Selling and

Distribution
0 0 0
0
Fixed 80 90 60
V ariable 20 10 40
100 0 QQ
Details of the contract negotiated with Cawley Cartons Ltd are as follows:
£
Sales price 240
Materials 60
Labour 140
F actory overhead 30
Adm inistrative overheads 63
Se lling and Distribution overheads 77 370
(50)
MARKETING AND FINANCIAL MANAGEMENT
ASSIGNMENTS M3/1,2 & 3
Ricbani D Pctcis
re-filling containers saves them money; (iv) the policy reinforces and demonstrates
corporate philosophies to employees and consumers.
• Conventional sampling includes the use of free samples and trial-size samples. For Body
Shop, the approach has been broadened to the extent that it is part of their corporate
philosophy - they "offer a range of sizes so that customers can buy the quantity needed
without buying extra". This policy assures customers can always try out their products in
small quantities.
Non-price promotions
The Body Shop do not offer contests and sweepstakes or continuity programs. But it
encourages its customers (and employees) to become involved in its campaigns on social
and environmental issues. Rather than having the possibility of winning a prize (which
almost always ends in disappointment), customers are part of campaign team, with real
prospects of significant influence. Ongoing interest in current and future campaigns
fosters the loyalty more often promoted by credit card points/prizes schemes and store
loyalty cards.
Body Shop convey signals of value about their products with point-of-purchase
information items. This is backed up by staff telling stories about the different products,
and how they came to be Body Shop products. Thus endorsements of quality and value
are inherent, though not explicitly or conventionally expressed.
These incentives to visit the store and to purchase goods may not be immediately apparent to
the consumer as point of sale promotions. They fit in well with the ethos of the company, so
it would be natural to assume that they are motivated by their high social and environmental
principles. This may or may not be the case; but intentionally or unintentionally, the Body
Shop's success appears to owe much to point of sale promotions.
3. RECOMMEND SUITABLE MARKETING RESEARCH...
Stage I ident)5? objectives
Firstly we need to consider what the marketing objectives of the packaging of Body Shop are.
They may include:
• conveying information about the product

• conveying value without compromising quality image
• reflect company's image and philosophies
• be easily recognisable, and distinctive from the packaging of competitors' products
• be functional, e.g. do not leak
Stage 2 identj5i customer issues
Ask the staff to collect customers' opinions on the packaging informally using open ended or
open response questions. Allow the staff to ask general questions, e.g. "do you think the
Page 2
Richard D Peters
labelling on this shampoo is clear?", but encourage customers to lead the conversation to
issues that concern them rather than suggest what is important themselves.
Stage 3 design survey
Based on results from Stages 1 and 2, design a survey to determine the relative importance of
the issues raised, and how well the current packaging performs on each issue. The survey
should initiate a scaled response, e.g. selecting between five cartoon faces ranging from a
grimace to a smile - this can be analysed simply, and would be a reflection of the company's
"fun" image. The survey should first be tested on a sample of customers, and adjustments
made if necessary to enhance comprehension.
Stage 4 implement survey
Because of their history of communicating with customers on social and environmental

issues, non-response may not be a problem for the Body Shop if the questionnaire if it is
well-promoted in-store. But an incentive or "thank you" would be appropriate to the
company's caring approach - offering a nominal discount on that visit's purchases if the
survey was filled in there and then would help the response rate and may pay for itself
through increased sales.
Stage 5 evaluation and possible re-design
Following evaluation of the surveys, packaging re-design may be appropriate. If so, new
packaging alternatives should be the subject of further market research before widespread
introduction; in some case changes are too severe or inappropriate in practice, and may
damage the brand.
4 A GRAVE DANGER WITH GREEN MARKETING IS....
Body Shop's history as an innovator in social and green cosmetic products has made them
well placed for a green marketing strategy. But when, say, Tesco introducing a look-alike
range of natural, environmental friendly beauty products, Body Shop needs a sufficiently
superior "green" positioning to maintain customer loyalty and to avoid switching.
Body Shop could take a range of steps to control these emotions and reinforce its credibility.
These could include:
• know their customers - undertaking market research to establish the green issues that are
important to them, and responding in their promotional and business activities.
reinforce their image as innovators by researching and acting on new social and
environmental issues.
enhance Shop assistant training on environmental issues, encouraging them to discuss

these issues with customers.
Page 3
Richard D Peters
• train and equipping senior employees to speak on environmental issues to local groups,
e.g. women's groups, churches, youth groups, etc.
• take great care to maintain integrity and trust, particularly when interacting with the media.
Abraham Lincoln one wrote "fyou once forfeit the confidence ofyour fellow citizens, you
can never regain their respect and esteem ".
• undertake an environmental audit of their operation; require/assist their suppliers to do the

same. Take radical action if appropriate, e.g. strip out all store lighting and replace with
more efficient sources, explaining to customers the reasons why.
• continue to use existing in-store promotions to raise social and environmental issues.
• act as recruiting bases for respected green pressure groups.
Page 4
Richard D Peters
ASSIGNMENT M3/2
BLUNDELL PACKAGING PLC

Analysis of Operating Performance 1992 to 1995
1. EXECUTIVE SUMMARY
This report is an analysis of Blundell Packaging's operating performance, based on profit and
loss accounts, and balance sheets for the years 1992 to 1995.
A range of Operating Ratios has been used to analyse the company's performance over the
period. Key points include:
• The company performed badly in 1992, picked up in 1993, and is now maintaining
steady growth.
• Profits are on the increase, but low margins mean cost control is crucial.
• The company's sales are not increasing in line with its assets. This gives some cause for
concern, and will need to be addressed.
• Liquidity dipped in 1993/1 994, but is now at similar levels to 1992. Liquidity is essential
if a company is to be able to pay its way. However, too high liquidity can also suggest
idle assets, which may be the case in this instance.
• Without details of Blundell Packaging shares, we have been limited in our calculations
relating to return on equity. Based on the book value, return was very poor (negative) in
1992, but had increased significantly to a healthy 21% in 1995. Similarly, the profitability
ratio demonstrates that the company has successfully turned a loss in 1992, into a yearly
increasing profit.
The levels of debt used to finance the company (as opposed to shareholder equity)
decreased in 1993 and 1994, but are now rising again. Achieving a suitable level of
Gearing is a complicated task, and this need to be monitored closely in future years.
Overall, the company's results demonstrate that it had a poor year in 1992, has recovered well
in the following years, and is now operating successfully with steady growth. There are some
areas of minor concern, but these are manageable.
If possible, we would like to consider further analysis. Our main concerns are performance
relative to other companies in the market sector, and share performance. Accounting
measures aside, it is also advisable to consider non-accounting factors such as goodwill, etc.
before making a final decision about the company.
Page 5
ASSIGNMENTS M3/l,2 & 3
Richard D Peters
2. OPERATING RATIOS
Operating ratios provided us with a framework to assess the performance of a company. Any
number of ratios can be calculated; for the purposes of this report we have concentrated on
ratios relating to:
• return on assets
• profitability ratios
• liquidity ratios
• investor ratios
• gearing
The ratios in Table 1 have been calculated (using a spreadsheet model) based on the profit
and loss account and balance sheets provided for the years 1992 to 1995. Details of all
calculations are given in the appendix to this report.
A detailed discussion of the individual ratios, and what they tell us follows in the next section
of this report.
FINANCIAL RATIO ANALYSIS 1995 1994 1993 1992
Return On Total Assets (ROTA) 23.8% 21.3% 18.2% 5.0%
Profit Margin 5.4% 4.3% 4.3% 1.3%
Sales Generation
Sales Margin (to £1) £4.44 £4.98 £4.20 £3.91
Fixed Asset Utilisation

(Total) Fixed Asset Utilisation (to £1) £11.11 £10.56 £9.01 £9.89
Current Asset Utilisation

Stock(to1) £11.26 £10.00 £9.21 £10.65
Debtors (to £1) £5.86 £6.50 £5.35 £5.65
Other Current Assets (to £1) £60.07 £76.00 £61.38 £29.68
Liquidity Ratios
CurrentRatio(tofl) £1.96 £1.66 £1.69 £2.03
Liquid Ratio/Acid Test Ratio (to £1) £1.33 £1.04 £1.10 £1.41
Corporate Ratios
Return on equity (using book value of equity) 20.8% 15.5% 14.1% -2.7%
Profitability 14.2% 11.1% 9.1% -1.4%
Gearing Ratios
Gearing (Total Assets/Equity) 1.46 1.39 1.55 1.92
Debt Ratio 31.5% 28.2% 35.5% 47.9%
Gearing Ratio (Debt/Equity) 46.0% 39.3% 55.1% 91.9%
Table 1 Operating Ratios
Page 6
ASSIGNMENTS M311,2 & 3
Richard D Peters
3. ANALYSIS OF PERFORMANCE
Return on Total Assets
Return on Total Assets (ROTA) is probably the most important fmancial ratio, showing the
relationship between operating profit and total assets. It is used to demonstrate whether a
company is producing a higher/lower profit per £ of total asset relative to previous years.
25
20
15
ROTA
10

1992 1993 1994 1995
Figure 1
We have plotted the results for ROTA in Figure 1. This demonstrates a healthy growth after
a poor year in 1992.
ROTA can also be a useful comparison between competitors' performance. If results for
other similar companies are available, this would provide useful context for Blundell
Packaging's performance in this market sector.
Profit Margin
The Profit Margin is an expansion of the key ROTA ratio, looking at relationship between
operating profit and sales, i.e. profits generated for each £ of sales. Profit Margin is
sometimes broken down to demonstrate the relative contributions of Material, Administrative
and Employee costs, but in this instance we do not have data for this level of analysis.
6
5
4
-•- Pofit
Margin
2
I

1992 1993 1994 1995
Figure 2
Page 7
Richard D Peters
Figure 2 shows how Profit Margin was poor in 1992, improved dramatically in 93, stalled in
1994, but is now on the increase again. We could investigate the reasons for the stall, but this
is not a priority given the subsequent upturn.
Overall the Profit Margin appears relatively low, though this is difficult to define "normal"
ranges as this is heavily dependant on the market sector. (In general high volume sectors
work on low margins, low volume sectors on high margins.) As with ROTA, it would be
useful to establish how the company performs on the ratio in comparison with other suppliers.
Given that this is a sector with low margins, cost control is likely to be critical if Blundell
Packaging is to maintain profitability.
One of the problems with profit margin is that it can be too general, and hide the relative
performance of individual products. Breakdown of operating profit by division or principle
activity would be helpful if this is a concern.
Sales Generation
The Sales Generation ratio shows the value of sales generated for each £1 of assets.
3
to £1
—4--Sales
2
Margin
1992 1993 1994 1995
Figure 3
The Sales Generation ratio is relatively high, which is good. But again this is very industry
sector dependant, and comparisons with competitors would be helpful. The current
downward trend is a course for concern; the company's sales are not increasing in line with
its assets. This justifies further analysisç-as follows, to identify the causes:
Sales Generation is often broken down into its components. Firstly, Figure 4 shows the fixed
asset utilisation, i.e. ratio of sales against fixed assets.
Page 8
ASSIGNMENTS M311,2 & 3
Richard D Peters
12
10
8 —4— (Total)
Fixed Asset
to £16
Utilization
4
0
1992 1993 1994 1995
Figure 4
This is following a predominantly positive trend, which is good.
Current asset utilisation has been divided into Stock, Debtors and Others (cash) and plotted in
Figures 5-7.
--Current
Asset
to £1 6
Iitiiisation:
4 Stock
0 • •
1992 1993 1994 1995
Figure 5
7
6
5
—U— Current
4 Asset
to £1
3 Utilisation:
Debtors
2
I
0
1992 1993 1994 1995
Figure 6
Page 9
Richard D Peters
80
70
60
50 -•-- Current
to £flo Asset
Utilisation:
30 Cash
20
10
0
1992 1993 1994 1995
Figure 7
These graphs demonstrate that, relative to Turnover, the proportion of debtors (i.e. customers
with outstanding bills), and cash held by the company, has increased in 1995. Referring to
the balance sheet, the current liabilities have actually decreased, which results in further
increases in net assets.
In summary, the company is not making as good use of its assets in 1995 relative to previous
years, and should be looking to increase its sales and/or reduce its assets.
Liquidity Ratios
Company performance is also dependant on liquidity - a measure of a company's ability to

pay its way.
The current ratio, as shown in Figure 8, is a ratio of current liabilities and current assets.
This is a measure of the company's ability to meet its obligations in a one year.
2.5
1.5
--Current
to £1
Ratio
I
0.5
01
1992 1993 1994 1995
Figure 8
This current ratio, around 2, is a typical target liquidity ratio, but this is not necessarily a good
thing. Unnecessarily high liquidity ratios can indicate idle facilities, stocks or debtors. This
concurs with the analysis of Sales Margins that suggested that a reduction in assets may be
appropriate.
Page 10
Richard D Peters
1.6
1.4
1.2
I
—-LlquId
toO.8
Ratio
0.6
0.4
0.2
0
1992 1993 1994 1995
Figure 9
The Liquid (or acid test) ratio is based on current assets minus stock divided by current
liabilities. It is a measure of a company's ability to pay its way in the short term without
resorting to liquidating stock.
There is not a standard liquid ratio appropriate across all industries, but given that the
company operated satisfactorily in 1993/94 at a level around £1 to £1, it is questionable
whether the current level of £1.41 to £1 is now necessary. This, again could be an indication
of idle assets.
Corporate Ratios
Corporate ratios give an indication of what the market thinks of the company, and are
important to potential and actual investors. Given that a share ownership scheme is being
offered, they would also provide an indication of this part of the remuneration package.
Unfortunately we do not have details of Blundell Packaging shares, so can only calculate a
Return on Equity (ROE) Ratio based on the Book Value of Equity. This is plotted in Figure
10.
25
20 .1
15 ,,,?.____.lIr_/ —U--Retrunon
equity
% 101 (using book
value)
5 J
0
1993 1994 1995
Figure 10
The ROE ratio is a measure of shareholder profitability. It is similar to ROTA, but takes into
account profit deductions due to financing and taxation. ROE was negative in 1992, but rose
significantly in 1993. ROE is continuing to increase, which is a good sign for the company
and shareholders.
Page 11
ASSIGNMENTS M3/I,2 & 3
Richard D Peters
Profitability
Related to ROE, is Profitability, which is shows us the relationship between shareholders'

profits, and the total assets.
16
14
12
% -- Profitability
Figure 11
This is following a similar profile, with a very poor year in 1992, but on the increase ever
since.
Gearing
Gearing is a measure of financial risk, and relates to the company's choice of funding -
between debt and equity. Loan financing is typically cheaper than equity as interest is
chargeable against pre-tax profits, as opposed to dividends, which are paid from post-tax
profits. However, there are increased financial risks with dept financing.
Figures 12, 13 and 14 plot Gearing (Total Assets/Equity), Debt Ratio (Debt/Total Assets as
%), and Gearing (Debt/Equity as %).
1.5
I —U—Gearing
0.5
1992 1993 1994 1995
Figure 12
Page 12
Richard D Peters
50
40
30
—U— Debt Ratio
20
10
1992 1993 1994 1995
Figure 13
100
80
60
% —U--Gearing Ratio
40
20
1992 1993 1994 1995
Figure 14
Having the appropriate level of gearing is important. High levels of gearing can yield greater
returns on equity, but the debt has to be paid for irrespective of low profits. Indeed the
relatively high levels of gearing, and subsequent interest payments were a major factor in the
negative profitability in 1992.
The level of debt began rising again in 1995, and this will require close monitoring in future
years to ensure appropriate levels are maintained.
4. ANALYSIS LIMITATIONS, SUGGESTED ADDITIONAL INFORMATION
We have looked at Blundell Packaging in isolation, without reference to other companies in

this industry sector. This is a potential problem as the suitability of operating ratios is
industry specific, (e.g. if competitors are achieving higher profit margins, they are likely to
succeed in cost-cutting challenge to Blundell Packaging, dramatically reducing their market
share). For this reason, we would have a better insight into future operating performance if
balance sheets/profit and loss accounts could be obtained for comparable companies.
In calculating profit margin, we are limited to calculating overall performance, which could
be hiding poor performance of individual products. Breakdown of operating profit by
division or principle activity would be address this if figures can be made available.
Page 13
Richard D Peters
Without share details, we have a very limited view of what the investors think about the
company's past performance and future prospects. Obviously investor confidence,
increasing share value, and return on equity is paramount to ensure continuing shareholder
support. The share data required for further analysis would be Nominal Market Value,
Market Value and Earnings per Share in for each of the years 1992-1995.
There are many facets of a company that are not measured or reported in accounts - goodwill
(or badwill), quality of workforce, etc. These are important factors in the company's long
term prospects, which should to be investigated and judged in non-accounting terms.
We do not have budgets and cash flow forecasts for review. These are important financial
elements in the company's operation, and would be useful to review if they could be made
available.
Page 14
Richard D Peters
APPENDIX - OPERATING RATIO CALCULATIONS
A B C D E
I PROFIT & LOSS ACCOUNTS 1995 1994 1993 1992
T_____________________________________ _________ _________ £'m _________
3 _________________________________________________________ _____________ _____________ ______________ ______________
4 Turnover 1,622 1,520 1,289 1,395
5 Cost of sales 1,185 1,122 953 1,059
6 Gross Profit 437 398 336 336
L Operating Expenses 350 333 280 318
8 Interest Charges 7 10 11 9
9 Profit before tax 80 55 45 9
10 Taxation 28 21 17 14
11 Profit/Loss aftertax 52 34 28 - 5
12 Ordinary Dividend 21 17 16 16
13 Retained Profit/Transfer from Reserves 31 17 12 -21
14 ________________________________________ __________ _________ _________ _________
15 ______________________________________________ ___________ ___________ ___________ ___________
16 BALANCE SHEETS 1995 1994 1993 1992
17 ____________________________________ £'m £'m £'m _________
18 ______________________________________________ ___________ ___________ ___________ ___________
19 Fixed Assets 146 144 143 141
20 ________________________________________________ ___________ ___________ ____________ ___________
21 Current Assets __________ __________ __________ _________
22 Stock 144 152 140 131
23 Debtors 277 234 241 247
24 Cash 27 20 21 47
25 _______________________________________ 448 406 402 425
26 __________________________________________________ ____________ ____________ ____________ ____________
27 Current Liabilities __________ ___________ __________ __________
28 Trade Creditors 177 155 146 146
29 Tax Payable 12 10 14 15
30 Dividend Payable 21 17 9 9
31 Overdraft 19 63 69 39
32 _______________________________________ 229 245 238 209
33 ________________________________________________ ___________ ___________ ___________ ___________
34 Net Current Assets 219 161 164 216
35 __________________________________________________ ____________ ____________ ____________ ____________
36 TOTAL NET ASSETS 365 305 307 357
37 __________________________________________________ ____________ ____________ ____________ ____________
38 CAPITAL AND RESERVES ________ ________ ________ _______
39 Ordinary Share Capital 106 106 102 102
40 Profit& Loss Account 144 113 96 84
41 ______________________________________ 250 219 198 186
42 _____________________________________________ ___________ ___________ ___________ ___________
43 Long Term Loans 115 86 109 171
44 TOTAL LIABILITIES 365 305 307 357
Page 15
ASSIGNMENTS M3 1,2 & 3
Richard D Petas
A B C D E
51 FINANCIAL RATIO ANALYSIS 1995 1994 1993 1992
52 ______________________________________________ ___________ ___________ ___________ ___________
53 Return On Total Assets (ROTA) 23.8% 21.3% 18.2% 5.0%
54 ________________________________________ __________ __________ __________ _________
55 Profit Margin 5.4% 4.3% 4.3% 1.3%
56 ______________________________________________ ___________ ___________ ___________ ___________
57 Profit Margin: Analysis by cost __________ _________ __________ _________
58 Material Cost as a Percentage of Sales insufficient data __________ __________
59 Administration Costs as Percentage of Sales insufficient data __________ __________
60 Employee Costs as a Percentage of Sales insufficient data __________ __________
61 ______________________________________________ ___________ ___________ ___________ ___________
62 Sales Generation _________ _________ _________ _________
63 Sales Margin (to £1) £4.44 £4.98 £4.20 £3.91
64 ________________________________________ no data for further breakdown _________
65 ________________________________________________ ___________ ___________ ____________ ___________
66 Fixed Asset Utilisation _________ _________ __________ _________
67 (Total) Fixed Asset Utilisation (to1) £11.11 £10.56 £9.01 £9.89
68 ________________________________________ no data for further breakdown _________
69 ______________________________________________ ___________ ___________ ___________ ___________
70 Current Asset Utilisation _________ _________ _________ _________
71 Stock (to £1) £11.26 £10.00 £9.21 £10.65
72 Debtors (to £1) £5.86 £6.50 £5.35 £5.65
73 Other Current Assets (to £1) £60.07 £76.00 £61.38 £29.68
74 ___________________________________________ __________ __________ __________ __________
75 Liquidity Ratios _________ _________ _________ _________
76 Current Ratio (to £1) £1.96 £1.66 £1.69 £2.03
77 Liquid Ratio/Acid Test Ratio (to £1) £1.33 £1.04 £1.10 £1.41
78 ________________________________________________ ___________ ___________ ___________ ___________
79 Corporate Ratios _________ _________ _________ _________
80 Market to Book insufficient data __________ __________
81 Market Capitalisation insufficient data __________ __________
82 Return on equity (using book value of equity) 20.8% 15.5% 14.1% -2.7%
83 _____________________________________________ ___________ ___________ ___________ ___________
84 ___________________________________________ __________ __________ ___________ __________
85 Profitability 14.2% 11.1% 9.1% -1.4%
86 _____________________________________________ ___________ ___________ ___________ ___________
87 Gearing Ratios _________ _________ _________ _________
88 Gearing (Total Assets/Equity) 1.46 1.39 1.55 1.92
89 Debt Ratio 31.5% 28.2% 35.5% 47.9%
90 Gearing Ratio (Debt/Equity) 46.0% 39.3% 55.1% 91.9%
Page 16
ASSIGNMENTSM3 I,2&3
Ricbard D Pc*as
= I PROFIT& LOSSA ACCOUNTS 1995

B
1994
C ]
1993
D __________
1992
2 _______________________________ Fm 'Fm Fm Fm
3 _______________________________________ ________________ ________________ ________________ _______________
4 Turnover 1622 1520 1289 1395
T Cost of sales 1185 1122 953 1059
6 Gross Profit =B4-85 =C4-05 =04-05 E4-E5
7 Operathg Expenses 350 333 280 318
8 Interest Charges 7 10 11 9
T Profit before tax =86-B7-B8 =C6-C7-C8 D6-D7-D8 =E6-E7-E8
lOTaxation 28 _21 _1714
11 Profitfl_oss after tax =B9-B10 =C9-C10 =09-010 _E9-E10
12 OrdtnaryDnndend 21 17 _16'16
13 Retained Profltflransferfrom Reseives =B11-B12 =C11-C12 =D11-012}=E11-E12
14 _________________________________ ___________________________
15 ___________________________________ _____________________________
16 BALANCESHEETS 1995 1994 1993 _1992
17 ______________________________ Fm Fm Fm Fm
19 FixedAssets 146 144 143 141

20 _____________________________________ ______________ ______________ _______________ ______________
21 Current Assets __________ __________ __________ __________
22 Stock 144 152 140 131
23 Debtors 277 234 241 247
24 Cash 27 20 21 47
25 ____________________________ SUM B22 B24) =SUM(C22 C24) =SUM022024) SUM E22:E24)
26 _______________________________________ _______________ _______________ _______________ _______________
27 Current Ljabilitjes ___________ __________ __________ __________
28 Trade Crer*tors 177 155 146 146
29 Tax Payable 12 10 14 15
30 Dmdend Payable 21 17 9 9
139
31 Overdraft 19 63 69
32 ___________________________ =SUMB28B31) =SUMC28 C31) =SUMD28031) =SUM E28 E31)
33 ______________________________________ ________________ ________________ _______________ _______________
34 Net Current Assets =B25-B32 =C25-C32 _=025-032 _=E25-E32
35 ____________________________________ _______________ ______________________________________________
36 TOTAL NETASSETS =B19+B34 =C19^C34 =D19^D34 _=E19^E34
37 ____________________________________ _______________ ______________________________________________
38 CAPITAL AND RESERVES I
39 Ornary Share Capital 106 106 _1021102
40 Profit & Loss Account C40+B13 =D40+C13=E40-D1384
41 __________________________ =SUMB39 B40) =SUYC39 C40=SUM039 040=SUV E39 E40)
43 Long TeinlLodns 115 86109171

44 TOTAL LIABILIT ES =B41+B43 _=C41^C4 3 =041+043=E41+E43
Page 17
MARKETrNG AND FINANCIAL MANAGEMENT
Richard D Peters
= A B C D E
51 FINANCIAL RATIO ANALYSIS 1995 1994 1993 1992
52 ______________________________________ _______________ ________________ ________________ ________________
53 Return On Total Assets (ROTA) (B9+B8)/B36 (C9+C8)/C36 (D9+D8)ID36 (E9+E8)/E36
54 __________________________________ ______________ ______________ ______________ ______________
55 Profit Margin =(B9+B8)/B4 =(C9+C8)/C4 =(D9+D8)1D4 =(E9-'-E8)/E4 -
56 ______________________________________ _______________ ________________ ________________ ______________
57 Profit Margin: Analysis by cost ____________ _____________ _____________ _____________
58 Material Cost as a Percentage of Sales insufficient data _______________ _______________ __________
59 Administration Costs as Percentage of Sale insufficient data _______________ ______ ________ _______________
60 Employee Costs as a Percentage of Sales insufficient data
61 ____________________________________ _______________ _______________ _______________ _______________
62 Sales Generation ______________ ______________ ______________ ______________
63 Sales Margin (to £1) —B4/B36 C4/C36 =D4/036 =E41E36
64 ___________________________ no data for furthe ___________ ___________ ___________
65 ____________________________________ _______________ _______________ _______________ _______________
66 Fixed Asset Utilisation ______________ ______________ ______________ ______________
67 (Total) Fixed Asset Utilisation (to1) =B4/B19 C4/C19 D4/D19 E41E19
68 _____________________________ no data forfurthe ____________ ____________ ____________
69 ______________________________________ ________________ ________________ ________________ ________________
70 Current Asset Utilisation _______________ _______________ _______________ _______________
71 Stock(to1) =B4/B22 =C41C22 =D4/D22 =E4/E22
72 Debtors (to £1) 841B23 C4/C23 =D4/D23 E41E23
73 Other Current Assets (to £1) B41B24 C4/C24 D41024 E4IE24
74 _____________________________________ _______________ _______________ _______________ _______________
75 Liquidity Ratios _____________ _____________ _____________ _____________
76 Current Ratio (to £1) =B25/B32 =C251C32 D25/D32 E25/E32
77 Liquid Ratio/Acid Test Ratio (to £1) =r(B25B22)/B32 =(C25-C22)/C32 =(D25-D22)/D32 =(E25-E22)/E32
78 _____________ _________________________ ________________ ________________ ________________ ________________
79 Corporate Ratios ______________ ______________ ______________ ______________
80 Market to Book insufficient data _______________ _______________ _______________
81 Market Capitalisation insufficient data _______________ _______________ ___________
82 Return on equity (using book value of equit = B1 1/B41 =C1 1/C41 =0111041 =E1 1/E41
83 ____________________________ _______ ________________ ________________ ________________ ________________
84 _____________________________________ _______________ _______________ _____________ _______________
85 Profitability B11/B36 C11/C36 =D11/D36 E11/E36
86 _______________________________________ ________________ ________________ ________________ ____________
87 Gearing Ratios _____ ____________ ______________ ______________ ____________
88 Gearing (Total Assets/Equity) _____ B36/B41 C36/C41 =D36/D41 =E36/E41
89 Debt Ratio B43/B36 C43/036 =043/036 E43/E36
90 Gearing Ratio (Debt/Equity) B431B41 —C431C41 D431041 E43/E41
Page 18
Richard D Peters
ASSIGNMENT M3/3
BLUNDELL PACKAGING PLC

Review of Budgeting and Results for Specialist Cartons Division
1. INTRODUCTION
This report reviews the costing method applied by Blundell Packaging for calculating
divisional results, suggesting corrections and improvements. Some suggestions are made
about special orders, and the flexibility of accepting contract arrangements, such as exist with
Cawley Cartons Ltd.
In light of the shortfalls in the current budgeting process, we have outlined better ways of
budgeting, and explained the associated benefits.
2. REVIEW OF COSTING METHOD FOR DIVISIONAL RESULTS
2.1 Drawbacks of costing method for divisional results
The costing method that has been adopted appears to have a number of drawbacks:
• The budget combines variable and fixed costs. This makes it difficult to assess
performance if turnover varies from budget.
• The variances are calculated relative to the original budget. A better measure of
performance is to calculate variances from a "flexed" budget.
• The budget includes fixed central overheads, which the division must contribute to, but
which exist whether or not the division exists. Preferred practice is not to include costs
that a division/divisions manager has no or little control over. Instead, the results should
record the "contribution" made by the division to profits and to central overheads.
• The allocation of overheads is inconsistent with the estimated breakdown of costs, e.g.
factory overheads are allocated a £2per machine hour, while 80% of factory costs are said
to be fixed. Therefore, if production is high, allocated factory costs will exceed the actual
factory costs.
• An annual budget is too long term - quarterly would be more appropriate. The budgeting
process should include details of opening and closing stock levels, and refer to sales
forecasts by the marketing and sales department.
• The budget should be prepared in conjunction with those responsible for the meeting the
targets; they should also be achievable.
Page 19


Richard D Peters
2.2 Errors in calculation of variances
The are a number of errors in the calculated variances. These have been corrected in Table 1
that follows the original budget format.
The Variance has been calculated as the latest forecast - budget. This demonstrates that the
deficit has come about as a consequence of administrative and selling overheads, not
production costs. The factory costs of production have increased proportionally in line with
turnover; there has been an increase in labour costs, but this has been offset, mainly by a
materials saving.
Latest forecast Original budget Variance

£000 £'OOO £'OOO
Turnover 3,260 3,200 60
Cost of sales
Direct materials 560 730 (170)
Direct labour 1,200 1,000 200
Factory overhead 400 390 10

Factory costs of production 2,160 2,120
Administrative overheads 550 450 100

Selling and distribution overheads 650 550 100
Net profitl(loss) (100) (180)
Table 1 Original budget with corrected variances
2.3 Revised Budget
A more appropriate budget for the division is outlined in Table 2. The main advantages of
this revised budget are:
• Fixed costs have been removed, and variable costs allocated in accordance with the %
breakdown of costs given, e.g. factory costs 80% fixed, 20% variable, etc. This removes
costs that are out of the division's control. Now the bottom line shows a contribution to
the company's fixed overheads and profit. This is a better representation of the division's
worth to the company, as if the division did not exist, the fixed costs would still be there.
• The budget can now be "flexed" to suit actual turnover, i.e. variable costs are adjusted to
suit latest forecast turnover as opposed to budget turnover. This allows us to calculate
variance from a flexed budget, which gives a better indication of how the division has
performed.
Page 20


Richard D Peters
Latest Original Variance Flexed Variance

forecast budget from budget from flexed
original budget
budget
£'OOO £'OOO £'OOO £'OOO £000
Turnover 3,260 3,200 60 3,260
Cost of sales
Direct materials 560 730 (170) 744 (184)
Direct labour 1,200 1,000 200 1,019 181
Other variable Costs

Factory costs of production 80 78 2 79 1

Administrative overheads 55 45 10 46 9

Selling &60
2 distribution costs 220 40 224 36

Total Variable Costs 2,155 2,073 2,112 43
Contribution 1,105 1,127 1,148
Table 2 Suggested alternative budget
3. SPECIAL CONTRACTS, CAWLEY CARTONS
3.1 General discussion of special orders
Having to decide whether or not to sell a product at a lower price than normal is a common
dilemma. In these instances, it is important to be clear what costs are incurred in producing
the product, and what costs are there irrespective of whether or not the order is accepted. The
direct benefits in taking the order must exceed the costs that could be avoided by not taking
the order. Given that this is the case, it is also important to consider:
• By accepting a special order, facilities may be tied up such that a more profitable order
cannot be accepted in the future.
• Special orders can affect normal sales, and the future pricing structure of the product. If
the availability of special orders is widely know, it will be difficult to sell the product at its
normal price.
• If special orders are too widely applied, contributions to fixed overheads and profit will be
inadequate.
Page 21
Richard D Peters
3.2 Cawley Cartons
As presented, the contract negotiated with Cawley Cartons Ltd shows a loss. A better way to
look at the contract would be to remove fixed costs that have been included. Assuming the
given estimated breakdown of overheads applies, the revised figures would be as in Table 3.
£
Sales Price 240
Materials 60
Labour 140
Variable factory overheads 6
Variable administrative overheads 6
Variable and distribution overheads II
Table 3 Contract with Cawley Cartons omitting fixed costs
This demonstrates that the contract does not even cover variable costs, and so Blundell
Packaging would overall be worse off financially if they took the order. Orders at this level
should not even be considered unless costs can be reduced.
3 OUTLINE OF TYPICAL BUDGET PROCESS
The purpose the budgeting process is to put a company's plans in numerical and financial
terms. In these terms, targets can be set - these targets should be attainable by the managers
concerned and provide an objective measure of performance.
The budgeting process can be applied to help meet defined profit and operational objectives.
It is a means of planning, control, communication and motivation.
In budgeting, we need to consider:
limiting factors, such as may be identified by an analysis of the company's Strengths and
Weaknesses, Opportunities and Threats (SWOT analysis).
is the budget achievable given the market, and the workforce/manufacturing facilities?
does the budget yield an acceptable is the return on the investment?
A typical budgeting process could follow the following route, with annual budgets broken
down into twelve, one month periods:
I. Forecast size of market and company's market share based on experience, trends and
knowledge of the market.
2. Produce sales budgets by product group, division, and geographical area as appropriate.
3. Prepare budgets for selling overheads (sales force, advertising, etc.).
4. Prepare production plan to match sales budget including details of stock levels. If
production plan cannot meet demand forecast in sales budget, review investment in
Page 22
Richard D Peters
production facilities, or use of external contractors. If necessary, revise sales budgets

down to keep within appropriate production levels.
5. Produce a production cost budget showing the material, labour and other costs relating
to manufacturing the product.
6. Prepare a raw materials purchases budget to match the production budget.
7. Prepare a transport and distribution budget.
8. Prepare a budget for central services such as technical services and administration.
9. Prepare a budget for capital expenditure including items such as new equipment,
expansion, etc.
10. Prepare budgets recording stock, debtor/creditors and cash levels.
11. Consolidate budgets into the master budget through the profit & loss account, balance
sheet and cash flow forecast.
12. Review and revise all steps as necessary.
Budgeting can be a stressful and difficult exercise; it requires the management of each
department to meet the requirements of other departments, and communicate their
requirements to others. It is often an iterative process, so can be time consuming and tedious.
The results of budgeting can be motivating, or de-motivating. Targets set above budget
performance, attached to bonus, can motivate. Yet inadequate, unachievable budgets
pressurise staff unreasonably.
At Blundell Packaging the budgeting process appears not to be working well:
• those responsible for meeting budgets are not consulted in the budgeting process
• the targets set appear unattainable
• departments are being held responsible for costs outside their control
• targets are being set in isolation, rather than as a result of analysis of future sales
• there are errors in the accounts!
Senior management needs to overhaul the whole budgeting process, and embark on an
exercise that involves all budget-holding managers.
Page 23

BRUNEL UNIVERSITY & LOUGHBOROUGH UNIVERSITY

MSc in Packaging Technology
Assignment Subrnissix Fcwm
Name: QC('ç) cic Date sent to University . ..S..!c..

Address: 41 iiic C Date received
yCctti Date-returned ...................................
c'v<s Tutor's name ....................................
k-F7 3 i? Grade. awarded.
StudentID number .............................

Subject ......cpr.,th.cL
Assignment number ...... i?.L) ..............
Declaration: I have read and understood the regulations for assignment submissions in the Studen
Handbook, including the section on plagiarism.
Signed............................................
Tutor's comments and advice:
Si
- -L ylPc& td?L
- (.
I /
1k4
'4-'
L( (cu-o-;44 \Q )-ccs- '-Q_
74
s— LL
4 c4,
'.. I
O
qA -
11 tL9flJ'/1
L
k1
'gy.
Sign
Datemarked ............


Assignment Submissi Fain
Name: Datesent to University ........

Address T..1:.i').1....... Date:received •••L... .9.Jtb.............
......... Date:returned ...................................
....a... ..... Tutar's.name ....................................
4Pi3 4' Grade awardei ...... . i'.°°.................
Student ID number
Subject
Assignment number
Declaration: I have rei and teistoxt the regulations for assignment submissions in the Studeni
Handbook, includfr&g the section. on plagith
Signe4 ............................................
Tutor's comments and advice:
" i'- —. A/' fr)€L/ cwS & r d /.
cu-&&Li '.. cLa.., ,

/)'/s
cJd to j D
fl '-;•

' '' /L4LkP (A-
J '
J . ,-1'
c a'-' .-e--.ø eJpo 'O TI ID AJA
'0/
(Ow'-' 11ti' (7A.. t-D i— . ." 's
j, s//Ecr j;::,.,,. ,. .
t..cA.-dJ,%' '0d (Ic i. ', r
(w ' i17ajcs. t' J i A

-S^.- O/b 5 (4 t
y J(1&, '4 C 4.4S (frA4.
1Ar.' 4 /to
S C
, , (i 'ii-
1J J 7 .— o. r 1.S1-QJ' c4ó J 12.(
I t I- t ow -
ô
5
Ltem1 Si
Assignment Submission Form
Date sent to University . .?.:. . .. .'.......

Date received ...... .2LtO.dI, .
............... Date returned
eicvs Tutor's name
Grade awarded
.......................
IDnumber .............................
........................................................
rnent number
tion: I have read and understood the regulations for assignment submissions in the Student
k, including the section on plagiarism.
Signed............................................
s comments and advice:

( 'I ) PJLJJ..j .&'va,J f-( -
I' .
t 33/
4A,.4-Q
41s v ow
() e ov 4-0
J
Ccd ci
C-4-'
rked Signed
U.L4,....
15 TALKING TO THE MEDIA
EngD Final Year
Talking to the Media
Group Assignment for submission by 12 noon on Monday 6 January
Produce a 5 - 10 minute promotional video about the EngD programme which is aimed at
'selling' the EngD to prospective sponsors.
Each Research Engineer in the group must make an even contribution to the completion of
this assignment.
Group B
Helen Evans
Gareth Rice
Lisa Andrews
David Aldridge
Peter Gilhead
Jason Palmer
Richard Peters
The completed assignment is to reach Alex Roberts by 12 noon on Monday 6 January.

BruneVSurrey EngD in Environmental Technology
Research Engineers David Aidridge, Lisa Andrews, Helen Evans,

Peter Gilhead, Jason Palmer, Richard Peters,
Gareth Rice
Module Title: Talking to the Media
Marked by: Alex Roberts
Grade point awarded (please refer to scheme overleaf): 6
Comments:
The video uses borrowed material for its introduction. The library video material showing
Brunel was not of the same high quality as the Surrey air shots. The block effect titles over
some of the pictures were good.
We liked the Pressure' effect.
The excerpts from the interviews with CF, IC and RC were good, but the sound and picture
quality of the former two were not as good as the latter. CF and IC sounded breathless.
Good message near the end about 50 companies on the scheme. However, instead of naming
just a few it would have been nice to have seen all of the names in a kind of montage or in a
credit scroll.
The wording of Lisa's commentaiy was good but her voice sounded slightly muffled.
Some good bullets at the end on the benefits: environment improvement, innovation, highly
qualified research engineers, low cost (1/3 of an average graduate's salary), access to academic
resources.

Signed 7Aprill997
tlkmedrnk
16 ENVIRONMENTAL ECONOMICS
Eng D Module: Perspectives in Environmental Economics
Centre for Environmental Strategy, University of Surrey
14- 18 April 1997
Assessment
Essay Choice
I. Assess the main environmental externalities of your sponsor organisation

and/or sector and make recommendations for improvement based on
economic principles.
OR
2. Evaluate your research project work (or a phase of your project work) in light
of environmental economic principles and techniques and describe some
aspects of your research, which in retrospect you might have approached and
analysed differently.
OR
3. Choose an environmental resource problem and address how applying

enviromental economic principles can improve its environmental
management.
Word length - approx range. 2000 to 2500 words (excluding diagrams). Cite relevant
literature and include full references.
Deadline- 30 May 1997

ASSESS THE MAIN ENVIRONMENTAL EXTERNALITIES OF YOUR
SECTOR AND MAKE RECOMMENDATIONS FOR IMPROVEMENT
BASED ON ECONOMIC PRINCIPLES.
Richard D Peters
Brunel University, Uxbridge, Middlesex, London UB8 3PH and
4June 1997
Document ref: \engd\856.doc
SUMMARY
The main environmental externalities of the Vertical Transportation Industry are due to the
non-renewable resources depleted, the waste created and the emissions generated through the
production of electricity for operation of the systems while in use. Thus in this sector our
prime environmental concern is to implement energy saving systems.
Applying economic principle, a financial case for energy saving features can be made.
"Green" economics strengthens these arguments by taking into account the fact that the
environment has an intrinsic value not accounted for in traditional economics. It also agues
against discounting which is shown to undervalue subsequent generations through making the
future repair costs of environmental damage less significant.
1 INTRODUCTION
In this essay I will assess the sector in which I work, the Vertical Transportation Industry, i.e.
lifts, escalators and passenger conveyors.
We will review the environmental externalities of the sector using results obtained from a life
cycles assessment. And discuss engineering solutions to reducing the environmental impact.
Design decisions in the construction industry are primarily cost driven ("value engineering")
thus the economics of "green" vertical trnsportafion is fundamental. Applying cost
calculations, we will demonstrate that the application of "green" economic principles would
improve the take up of environmental options.
2 ASSESSMENT OF ENVIRONMENTAL EXTERNALITIES
To assess the environmental externalities of vertical transportation systems, we first need to

have some measure of environmental burdens. The science of assessing environmental
impact is still in its infancy. However, increasingly companies are quoting and applying Life
Cycle Analysis (or Assessment), known as LCA. LCA attempts to quantify the
environmental burdens of a product or process during its entire life cycle. It considers
components such as
• resource extraction of materials for manufacture
• manufacture and installation
• use of product
• re-cycling and re-use
• waste
• transportation at all stages
So, what are the environmental burdens associated with moving people up and down
buildings? As part of my EngD research project I have considered a hypothetical eight floor,
four lift system manufactured and installed in the United Kingdom, whose life cycle could be
represented in a diagram as shown in Figure i.
Raw __IManufacture ________

Materwis
supply and install
Waste
I Iparts
/ system etg
Eneiy _____ Lift IMaintenance and
' I refurbishment I
\ I._______ ______j—-...Wase
* 'JStip out Re-cycle & re-use

Waste., L
-----------------------Sjsêñ(5thiñdth
Figure 1 Hypothetical lift system Life Cycle Analysis
A computer database from the PEMS Life Cycle Analysis program has been used to analyse
this lift configuration. Results are summarised graphically in Figure 2.
2500.
2000.
1500.
1000.
500
0
Manutacture, lnsta n use MauntenaceiRefurb Strip out

Figure 2 Lift Life Cycle Analysis results - impact over entire life cycle
2
fhe dominating environmental burdens in the life of this hypothetical lift system are the non-
renewable resources depleted, the waste created and the emissions generated through the
production of electricity for operation of the lifts while in use. This result is for lift systems,
but the finding can be generalised to all vertical transportation systems, all of which have a
high energy usage and long design life (circa 20 years).
3 REDUCING ENVIRONMENTAL IMPACT
The CIBSE Energy Efficiency Guide 2 suggests lifts and escalators account for between 4%
and 7% of a building's total electricity consumption, and that energy saving measures could in
some instances reduce consumption by up to 25%.
Energy saving measures that can be taken include:
• selection of appropriate energy efficient drives, e.g. AC variable frequency and DC static
converter
• selection of efficient mechanical conversion systems, e.g. electric traction lifts are more
efficient than hydraulic lifts
• minimisation of inertia and other resisting forces, e.g. planetary gears 3 and V-belt
thives 4 have been shown to have lower inertia than the conventional worm gear.
• good planning to avoid the inefficiencies of over-design, e.g. by installing too many/large
lifts or by making stairs inaccessible
4 APPLICATION OF ECONOMIC PRINCIPLES
Traditional economics concerns capital or wealth; a value is placed on goods, services,

intelligence, and so on.
Arguing for the implementation of environmental options on vertical transportation systems

can be challenging as the ratio of capital to operating costs does not reflect the environmental
importance of the operating phase demonstrated by LCA.
For example, at a recent Lift Technology seminar, I queried an industry colleague as to the
capital versus energy costs of some escalators. The escalators in question are installed in
London Underground stations. -They are very special because of their length and heavy use,
so their capital cost is very high. The calculation presented by my colleague was as follows:
Take a typical London Underground escalator costing £1.5 million to replace.
Assume a life of 20 years, with £40,000 per annum maintenance and £6,000 per annum
energy costs.
Discounted at 8%, the total life cost is
,, £40,000 +6,000
£1,500,000 + = £1,987,766
(1 + 0.08)'
The energy costs are
19
£6,000
i-0
(1 + 0.08)1 = £63,622
Thus, the energy costs are only 3.2% of the costs of this escalator.
With energy costs only a small proportion of the total cost of the escalator, there is only a
small incentive to consider energy saving measures such as energy efficient drives, or "green"
control systems that would vary operating speeds according to passenger load.
Say a manufacturer was offering an energy saving feature, which reduced consumption by
100 0. Excluding the manufacturer's price premium, the total life cost is now
2, £40,000 + £5,400
£1,500,000 + = £1,981,403
(1 + 0.08)'
So, assuming total life costs are the purchaser's prime issue, an energy saving feature which
reduced consumption by 10% could only justify a manufacturer's price premium of6,362.
5 GREEN ECONOMICS
5.1 Valuing environmental resources
A failing of traditional economics is that it places no value on the environment. So no

account is taken of use of natural resources such as air, water or coal; only the costs
associated with extracting them, refining them, or obligatory reparations are considered.
In effect, the environment is a zero-priced resource. Basic economic theory demonstrates that
a zero-priced resource will be overused, so inherently there is an overuse problem.
The science of environmental economics recognises that the economy is not separate from the
environment in which we live". Thus a value is placed on natural resources, which although
limited in availability, are provided "free" by our environment. By pricing the environment,
market forces can help to regulate usage.
Price
P0
Use of
environmental
Q* Qo resource
Figure 1 Economic representation of relationship between price and usage

4
Figure 1 provides us with an economic representation of the effects of pricing the
environment. In this diagram, Q0 represents the use of an environmental resource when there
is no cost attributed. This decreases as the price of using the resource is increased, to a point
P0, when there is no use of the resource. S is the supply deemed to be an acceptable use of
the environment. Thus, to achieve this level of usage, (Q*), we must price the resource at P.
5.2 Discounting the future
Discounting is based on the assumption that "a given unit of benefit or cost matters more if it
is experienced now than if it occurs in the future" 6 . There are a number of criticisms that can
be level at the practice of discounting costs. In this essay we are concerned primarily with the
environmental implications of discounting.
Environmental economists argue that discounting contains a built in bias against future
generations. Consider for example electricity generation by nuclear power, where it can be
seen that we are building up stores of radioactive waste for future generation dispose of with
"future" technologies.
If we budget that X pounds per tonne of waste will be spent in 20 years' time, and then
discount that figure at 8%, the contribution to cost seen from today's prospective is only
£X/(1.08)20per tonne, (21% of LX'). In effect, we are saying "the cost of cleaning up our
environment is less important for future generations than it is for us".
6 APPLYING ECONOMIC PRINCIPLES TO SECTOR
So from the prospective of Green Economics, we could make some amendments to the
energy calculation given in section 4.
Firstly let us assume that, if we are to have any hope of achieving a sustainable future,
government will have to place value on the environment. Effectively this will result in their
being some sort "green" tax on energy, including electricity. This is likely to be unpopular,
and will probably be phased in over a number of years.
So, assume a tax on electricity is to be introduced from after year 0, progressively at a 1%

increment per year for the foreseeable future. The cost of fuel, at today's prices then
becomes:
£6,000 x (1 + 0.0 it)
Secondly, we will not apply discounting on the basis that it is unacceptable on the moral
grounds in that it penalises future generations, in particular with respect to the environment.
So, our the total life cost of the escalator now becomes
£1,500,000 + [L4o,000 + £6000 x (i + o.oit)} = £2,431,400
and the energy costs are

5
6000 x (1 + o.00it) =fl3,400
which are 5.4°o of the life costs.
Now re-consider our manufacturer offering an energy saving feature, which reduced
consumption by 10%. Excluding the manufacturer's price premium, the total life cost is now
£1,500,000 + [40,000 + £5,400 x (1 + 0.Olt)] = £2,418,260
So, an energy saving feature which reduced consumption by 10% could now justi a
manufacturer's price premium ofl3,140. This is over twice the figure in our section 4
calculation, and is therefore more likely to be adopted.
Unfortunately, a minority of clients make decisions on life costs, and more often than not a
shorter pay-back period is required, e.g. 5 years. Even more difficult are the contracts where
the client's first priority is capital costs, and where a tenant is responsible for all running
costs. Nevertheless, energy saving features can be justified on economic grounds, and
influence of "green" economics will make these features more attractive.
7 CONCLUSIONS
The deciding factor in expenditure on energy saving building services equipment such as
vertical transportation systems is primarily financial, i.e. after how many years will the
savings in energy costs offset the additional capital expenditure?
In this essay we have demonstrated the application of green economic principles, which make
energy saving features more attractive financial.
The challenge for us, and for politicians is to see these principles implemented in practice.
Firstly through legislation to implement taxes that reflect the value of the environment. And
secondly in our accounting practices to ensure that we do not discount the costs that future
generations will have to bear in clearing up today's environmental damage.
REFERENCES
I. Peters R D Green Lifts? Proceedings of CIBSE National Conference 1994 (The
Chartered Institution of Building Services Engineers)( 1994)
2. CIBSE Energy Efficiency Guide, (26 January 1994 draft), section 3.9, 1.
3. Zinke W Planetary Gear and Frequency Inverter Set New Standards in Lfl Drive
Efficiency Elevator World (January 1996)
4. Stawinoga R New Mechanical Solutions for High Efficiency Gears Elevator Technology
5, Proceedings of ELEVCON'93 (The International Association of Elevator
Engineers)( 1993)
5. Pearce D, Markandya A, Barbier E Blueprint for a Green Economy Earthscan
Publications Ltd (1989)
6. Pearce D, Turner R, Economics of Natural Resources and the Environment Harvester
Wheatsheaf (1990)

Full Text Thesis

Uploaded by

Copyright:

Available Formats

Full Text Thesis

Uploaded by

Document Information

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Full Text Thesis

Uploaded by

Copyright:

Available Formats

BOOK1 0F2

A Portfolio Thesis for the Degree of Doctor of Engineering in

Richard David Peters

Department of Electrical Engineering and Electronics, Brunel University

This project aims to contribute to a reduction in the environmental burdens of vertical

INTRODUCTION TO FINAL REPORT

3 ASSESSMENT OF TRAFFIC DEMAND

5 DOUBLE DECK LIFT TRAFFIC ANALYSIS

6.2 Derivation For Condition A, Lift Reaching Full

8 LIFT SIMULATION SOFTWARE

10 CONCLUSIONS AND FURTHER WORK

A LIST OF PUBLICATIONS ARISING FROM PROJECT

The Engineering Doctorate is a 4 year research degree, awarded for industrially

This project aims to contribute to a reduction in the environmental burdens of vertical

0.2 GREEN LIVfS?

To assess the environmental impact of vertical transportation systems, we first need

. resource extraction of materials for manufacture

/ : s____- ---- Energy

Non-renewable resources depleted Waste to landfill

Carbon dioxide emissions

Use of renewable resources in manufacture, recycling and re-use, efficient transport,

The use of electricity at current levels is unsustainable, and damaging to our

• selection of energy efficient lift drives

0.3 ASSESSMENT OF TRAFFIC DEMAND

Figure 0.3 Typical office traffic, Barney3'

Figure 0.4 Typical office traffic survey

It would be dangerous to disregard established up peak design criteria without a wider

0.4 TRAFFIC ANALYSIS

Improvements to the "standard" up peak calculation have been proposed. These

To avoid the inefficiencies of over-design, we need improved selection and analysis

0.6 LWF KINEMATICS

(A) (B) (C)

Microprocessor controlled variable speed drives can be programmed to match

0.7 MOTOR MODELLING

Figure 0.6 Velocity and acceleration profiles

0.8 LIFT SIMULATION SOFTWARE

l II _______ lruI4jlr}I _jjo+j jpj

WT (a) 0.l Position 14.40 0.00 0.00 0.00

Floor People Landing Uft Lift Lift Lift

Figure 0.8 Simulation display

Once the simulation is complete, the results print preview includes:

0.9 GREEN LIFT CONTROL STRATEGIES

It would be counterproductive to ignore conventional system performance criteria as

Green Strategy No.1 - Control of Kinematics

Green Strategy No.2 - Reducing the Number of Stops

Green Strategy No.3 - Selective Parking Policies

0.10.1 Green lifts

This project aims to contribute to a reduction in the environmental burdens of vertical

0.10.2 Planning issues

0.10.3 Traffic analysis for double deck lifts

0.10.4 Mathematical models of lift motion and drives

0.10.5 Liftsim and green control strategies

(i) Control of kinematics

INTRODUCTION TO FINAL REPORT

1.1 ENGD REQUIREMENTS AND OBJECTIVES

The EngD programme requires Research Engineers to submit course work

1.2 BACKGROUND TO THIS PROJECT

1.3 PROJECT OBJECTIVES AND BOUNDARIES

This project aims to contribute to a reduction in the environmental burdens of vertical

1.4 OVERVIEW OF CONTRIBUTION TO KNOWLEDGE