Department of Civil Engineering, MRITS

Department : B.Tech . Mechanical Engineering. (Material Science and Nanotechnology)

Course Title : NON-CONVENTIONAL ENERGY SOURCES (Code : NT622OE)
B.Tech(Civil). III Year II Sem. (Open Elective – II) - L/T/P/C - 3/0/0/3

UNIT – I
Definition of Energy
• It is the capacity for doing work and a measure of the ability of a body or system to do work or
produce a change, expressed usually in joules or kilowatt hours (kWh). No activity is possible
without energy and its total amount in the universe is fixed. In other words, it cannot be created or
destroyed but can only be changed from one type to another.
• Power is derived from the utilization of physical or chemical resources, especially to provide light
and heat or machines to work.
• The two basic types of energy are (1) Potential: energy associated with the nature, position, or state
(such as chemical energy, electrical energy, nuclear energy, thermal energy (heat and work—i.e.,
energy in the process of transfer from one body to another. ...)). (2) Kinetic: energy associated with
motion (such as a moving car or a spinning wheel) or other forms include the falling of an object in a
gravitational field, the motion of a charged particle in an electric field, and the rapid motion of atoms
or molecules when an object is at a temperature above zero Kelvin.
• the strength and vitality required for sustained physical or mental activity
• The common symbol for energy is the uppercase letter E. The standard unit is the joule, symbolized
by J. One joule (1 J) is the energy resulting from the equivalent of one newton (1 N) of force acting
over one meter (1 m) of displacement.
• Matter is also equivalent to energy in the sense that the two are related by the Einstein equation: E =
mc2; where E is the energy in joules, m is the mass in kilograms, and c is the speed of light, equal to
approximately 2.99792 x 108 meters per second
• In electrical circuits, energy is a measure of power expended over time. In this sense, one joule (1 J)
is equivalent to one watt (1 W) dissipated or radiated for one second (1 s). A common unit of energy
in electric utilities is the kilowatt-hour (kWh), which is the equivalent of one kilowatt (kW)
dissipated or expended for one hour (1 h). Because 1 kW = 1000 W and 1 h = 3600 s, 1 kWh = 3.6 x
106 J.
• Heat energy is occasionally specified in British thermal units (Btu), where
1 Btu is approximately equal to 1055 J. The heating or cooling capability of a climate-control system
may be quoted in Btu, but this is technically a misuse of the term. In this sense, the system
manufacturer or vendor is actually referring to Btu per hour (Btu/h), a measure of heating or cooling
power.

Course Overview

• Conventional Energy Resources (Primary Energy Sources)

1. Fixed Source (Net supply of energy)
2. Non-Renewable Energy Sources (Primary Energy Resources)
3. Examples : Petroleum(Oil), Natural Gas, Hydro-carbon gas liquid,
Uranium & Coal
(Account for about 90% of the world's commercial energy)
Water Power & Nuclear Power (10% of Commercial)
4. The energy required to obtain these fuels is much less than what they can produce by combustion
or nuclear reaction.
 5. Energy Yield Ratio =
Energy fed back by the material/Energy received from the Environment.
6. Energy Yield ratio is very high for conventional energy sources
7. Though supply of convention energy sources is limited, they contribute energy supply
considerably and can accelerate growth.

• Non Conventional Energy resources (Secondary Energy Sources)

1. Solar energy
2. Wind
3. Falling water
4. Heat of the earth (Geothermal)
5. Plant materials (Biomass)
6. Waves
7. Ocean currents
8. Temperature differences in the oceans
9. Energy of the tides.

• Properties :
1. Produce no net energy
2. Though it may be necessary for the economy, these may not yield net energy.
• Non Conventional energy technologies produce power, heat or mechanical energy by converting
those resources either to electricity or to motive power.
• Policy maker of the national grid system will focus on those resources that have established
themselves commercially and are cost effective for on grid applications.
• Such commercial technologies include hydroelectric power, solar energy, fuels derived from
biomass, wind energy and geothermal energy.
• Wave, ocean current, ocean thermal and other technologies that are in the research or early
commercial stage, as well as non-electric Non Conventional energy technologies, such as solar water
heaters and geothermal heat pumps, are also based on Non Conventional resources, but outside the
scope of this Manual.
• Course Objectives
1. Graduates will demonstrate the ability to use basic knowledge in mathematics, science and
engineering and apply them to solve problems specific to mechanical engineering
(Fundamental engineering analysis skills).
2. Graduates will demonstrate the ability to design and conduct experiments, interpret and
analyze data, and report results (Information retrieval skills).
3. Graduates should be capable of self-education and clearly understand the value of life-long
learning (Continuing education awareness).
4. Graduates will develop an open mind and have an understanding of the impact of engineering
on society and demonstrate awareness of contemporary issues (Social awareness).
5. Graduate will be able to design a system to meet desired needs within environmental,
economic, political, ethical health and safety, manufacturability and management knowledge
and techniques to estimate time, resources to complete project (Practical engineering analysis
skills).

1. Course Outcomes
1. Introduction to Renewable Energy Sources, Principles of Solar Radiation, Different Methods of
Solar Energy Storage and its Applications, Concepts of Solar Ponds, Solar Distillation and
Photo Voltaic Energy Conversion
 2. Introduction to Flat Plate and Concentrating Collectors ,Classification of Concentrating
Collectors
3. Introduction to Wind Energy, Horizontal and Vertical Access Wind Mills, Bio-Conversion
4. Types of Bio-Gas Digesters and Utilization for Cooking Geothermal Energy Resources
5. Types of Wells and Methods of Harnessing the Energy, Ocean Energy and Setting of OTEC
Plants
6. Tidal and Wave Energy and Mini Hydel Power Plant, Need and Principles of Direct Energy
Conversion
7. Concepts of Thermo-Electric Generators and MHD Generators

2. SYLLABUS
UNIT – I
Statistics on conventional energy sources and supply in developing countries, Definition Concepts of
NCES, Limitations of RES, Criteria for assessing the potential of NCES. Classification of NCES – Solar,
Wind, Geothermal, Bio-mass, Ocean Energy Sources, comparison of these energy sources.

UNIT – II
Solar Energy-Energy available form Sun, Solar radiation data, Solar energy conversion into heat, Flat
plate and Concentrating collectors, Mathematical analysis of Flat plate collectors and collector
efficiency, Principle of Natural and Forced convection, Solar engines-Stirling, Brayton engines,
Photovoltaic, p-n junction, solar cells, PV systems, Stand-alone, Grid connected solar power satellite.

UNIT – III
Wind energy conversion, General formula -Lift and Drag- Basis of wind energy conversion – Effect of
density, frequency variances, angle of attack, and wind speed. Windmill rotors Horizontal axis and
vertical axis rotors. Determination of torque coefficient, Induction type generators- working
principle.

UNIT – IV
Nature of Geothermal sources, Definition and classification of resources, Utilization for electric
generation and direct heating, Well Head power generating units, Basic features Atmospheric
exhaust and condensing, exhaust types of conventional steam turbines. Pyrolysis of Biomass to
produce solid, liquid and gaseous fuels, Biomass gasification, Constructional details of gasifier, usage
of biogas for chulhas, various types of chulhas for rural energy needs.

UNIT – V
Wave, Tidal and OTEC energy- Difference between tidal and wave power generation, Principles of
tidal and wave power generation, OTEC power plants, Operational of small cycle experimental
facility, Design of 5 Mw OTEC pro-commercial plant, Economics of OTEC, Environmental impacts of
OTEC. Status of multiple product OTEC systems.

TEXT BOOKS
1. Ashok V Desai, Non-Conventional Energy, Wiley Eastern Ltd, New Delhi, 2003
2. K M, Non-Conventional Energy Systems, Wheeler Publishing Co. Ltd, New Delhi, 2003.

REFERENCE BOOKS
1. Ramesh R & Kumar K U, Renewable Energy Technologies, Narosa Publishing House, New Delhi, 2004
2. Wakil MM, Power Plant Technology, Mc Graw Hill Book Co, New Delhi, 2004.
3. Non – Conventional Energy Sources. Rai.
UNIT – I
 Statistics on conventional energy sources and supply in developing countries, Definition Concepts of
NCES, Limitations of RES, Criteria for assessing the potential of NCES. Classification of NCES – Solar,
Wind, Geothermal, Bio-mass, Ocean Energy Sources, comparison of these energy sources.

Statistics on conventional energy sources and

supply in developing countries

Conventional Energy Sources

• Wood was the dominant source of energy in the pre-industrialization era. I gave way to coal and
coke.
• Coal, Oil, Gas, Uranium (Nuclear Fission) and hydro are commonly known as commercially or
conventional energy sources based on commercial viability.
• Coal, Oil, Gas Uranium are commonly known as commercially or conventional energy sources based
on Fixed amount of resources.
• Conventionality is referred based on the fixity in the amount of resources or based on commercial
viability.
• The percentage of various sources for total energy consumption in the World is given below:
•
Fuel % Amount Total Remark
Coal 32.5 % Primary
Oil 38.8 % contribution
Gas 19.0 % 92% of Energy
Uranium 0.13 % from Fossil
Hydro 2.0 % Fuels
Wood 6.6 % Non
Dung 1.2 % 8% commercial
Waste 0.3 % Source

1. Coal Resources in India

• Coal deposits are mainly confined to eastern and south central parts of the country.
• The states of Jharkhand, Odisha, Chhattisgarh, West Bengal, Madhya Pradesh, Telangana and
Maharashtra account for 98.20% of the total coal reserves in the country.
• The State of Jharkhand had the maximum share (26.16%) in the overall reserves of coal in the
country as on 31st March 2017 followed by the State of Odisha (24.52%)(Table 1.1).
• As on 31.03.17, the estimated reserves of coal were 315.14 billion tonnes, an addition of 6.34
billion tonnes over the last year (Table 1.1). There has been an increase of 2.05% in the estimated
coal reserves during the year 2016-17 with Maharashtra accounting for the maximum increase of
7.15%.
• Production & Consumption : Compound Annual Growth Rate (CAGR) of Production of Coal in
2016-17 over 2007-08 are 3.79% whereas its consumption grew at 5.29% during the same
period. During the aforesaid period, Generation of Electricity increased by 4.05 % and
Consumption of electricity increased by 7.82%.
•
 Table 1.1: Statewise Estimated Reserves of Coal in India as on 31.03.2016 and
31.03.2017
(in Billion Tonne)
Proved Indicated Inferred Total Distribution (% )
States/ UTs
31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017
Andhra Pradesh 0 0 1.15 1.15 0.43 0.43 1.58 1.58 0.51 0.50
Arunachal Pradesh 0.03 0.03 0.04 0.04 0.02 0.02 0.09 0.09 0.03 0.03
Assam 0.47 0.47 0.04 0.04 0.00 0.00 0.52 0.51 0.17 0.16
Bihar 0.00 0.00 0.00 0.00 0.16 1.35 0.16 1.35 0.05 0.43
Chhattisgarh 19.14 20.00 34.61 34.46 2.29 2.20 56.04 56.66 18.15 17.98
Jharkhand 42.32 44.34 32.30 31.88 6.55 6.22 81.17 82.44 26.29 26.16
Madhya Pradesh 10.92 11.27 12.70 12.76 3.29 3.65 26.91 27.67 8.71 8.78
Maharashtra 6.21 7.04 3.15 3.16 2.08 2.06 11.44 12.26 3.70 3.89
Meghalaya 0.09 0.09 0.02 0.02 0.47 0.47 0.58 0.58 0.19 0.18
Nagaland 0.01 0.01 0.00 0.00 0.31 0.40 0.32 0.41 0.10 0.13
Odisha 34.29 34.81 33.28 34.06 8.32 8.42 75.90 77.29 24.58 24.52
Sikkim 0.00 0.00 0.06 0.06 0.04 0.04 0.10 0.10 0.03 0.03
Uttar Pradesh 0.88 0.88 0.18 0.18 0.00 0.00 1.06 1.06 0.34 0.34
West Bengal 13.60 13.72 13.02 12.95 4.91 4.99 31.53 31.67 10.21 10.05
Telangana 10.13 10.40 8.59 8.54 2.70 2.52 21.41 21.46 6.93 6.81
All India Total 138.09 143.06 139.15 139.30 31.56 32.78 308.80 315.14 100.00 100.00
Distribution (% ) 44.72 45.40 45.06 44.20 10.22 10.40 100.00 102.05
Source: Office of Coal Controller, Ministry of Coal
• The maximum energy intensive sector was Industrial sector accounting about 58 % of the total
energy consumption.
• For electricity, the import increased at a CAGR of 7.11% whereas the export registered a CAGR of
30.29%.
• Per Capita Use of Energy has significantly increased with a CAGR of 3.54% during 2011-12 to
2016-17
• Exports of the Coal during 2007-08 to 2016-17 increased at a CAGR of 27.22% against the
decrease in imports by (-) 3.84%.

• US Department of Energy has funded eight projects under the Clean Coal Initiative and has also
announced plan to develop a pollution free coal fired power plant (Code named ‘FutureGen’) of
the future . Similar proactive efforts are needed in India in the areas of coal mining as well as coal
based power plant technologies.
 2. Lignite
• The estimated total reserves of lignite as on 31.03.17 was 44.70 billion Tonnes against 44.59
billion tonnes on 31.03.16.
(Table 1.1(A)).

Table 1.1(A) :Statewise Estimated Reserves of Lignite in India as on 31.03.2016 and

31.03.2017
Proved Indicated Inferred Total Distribution (% )
States/ UTs
31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017 31.03.2016 31.03.2017
Gujarat 1.28 1.28 0.28 0.28 1.16 1.16 2.72 2.72 6.09 6.10
Jammu & Kashmir 0.00 0.00 0.02 0.02 0.01 0.01 0.03 0.03 0.06 0.06
Kerala 0.00 0.00 0.00 0.00 0.01 0.01 0.01 0.01 0.02 0.02
Pondicherry 0.00 0.00 0.41 0.41 0.01 0.01 0.42 0.42 0.93 0.93
Rajasthan 1.17 1.17 2.67 2.67 1.90 1.90 5.74 5.74 12.83 12.86
TamilNadu 3.74 4.09 22.99 22.63 8.95 9.06 35.68 35.78 80.05 80.01
West Bengal 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.01 0.01
All India 6.18 6.54 26.37 26.01 12.04 12.14 44.59 44.70 100.00 100.00
Distribution (% ) 13.86 14.63 59.14 58.34 27.00 27.23 100.00 100.24
Source:Office of Coal Controller, Ministry of Coal
3. Petroleum and Natural Gas
• In case of Crude Oil and Natural Gas, during the period 2007-08 to 2016-17 the Production
increased by 0.54% and (-) 0.16% whereas Consumption increased by 4.63% & (-) 2.47%.
• During the period 2007-08 to 2016-17, the imports of Natural gas and Crude Oil increased by
15.42% and 5.46% respectively.
• Export of Petroleum products, increased at a CAGR of 8.22% and its import increased by 12.57%.
• The estimated reserves of crude oil in India as on 31.03.2017 stood at 604.10 million tonnes (MT)
(Table 1.2) against 621.28 million tonnes on 31.03.2016.
• Geographical distribution of Crude oil indicates that the maximum reserves are in the Western
Offshore (39.60%) followed by Assam (26.48%), whereas the maximum reserves of Natural Gas
are in the Eastern Offshore (39.37%) followed by Western offshore (23.44%). (Table 1.2).
• In 2009, India consumed nearly 3 million bbl/d (Fig. 4), making it the fourth largest consumer of
oil in the world
• In 2009, India was the sixth largest net importer of oil in the world, importing, nearly 2.1 million
bbl/d, or about 70 percent, of its oil needs. The EIA (Energy Information Administration) expects
India to become the fourth largest net importer of oil in the world by 2025, behind the United
States, China, and Japan.
• According to Oil & Gas Journal (OGJ), India had approximately 5.6 billion barrels of proven oil
reserves as of January 2010, the second-largest amount in the Asia-Pacific region after China.
 Table 1.2 :Statewise Estimated Reserves of Crude Oil and Natural Gas in India as on in
31.03.2016 and 31.03.2017
Crude Petroleum (million tonnes) Natural Gas (billion cubic metres)
31.03.2016 31.03.2017 31.03.2016 31.03.2017
States/ UTs/ Region
Estimated Distribution Estimated Distribution Estimated Distribution Estimated Distribution
Reserves (% ) Reserves (% ) Reserves (% ) Reserves (% )
Arunachal Pradesh 1.73 0.28 1.52 0.25 0.95 0.08 0.93 0.07
Andhra Pradesh 10.90 1.75 8.15 1.35 42.03 3.42 48.31 3.75
Assam 160.78 25.88 159.96 26.48 153.76 12.53 158.57 12.29
Cold Bed Methane (CBM) 0.00 0.00 0.00 0.00 126.48 10.31 106.58 8.26
Eastern Offshore1 36.39 5.86 40.67 6.73 451.46 36.78 507.76 39.37
Gujarat 121.16 19.50 118.61 19.63 63.06 5.14 62.28 4.83
Nagaland 2.38 0.38 2.38 0.39 0.09 0.01 0.09 0.01
Rajasthan 31.72 5.11 24.55 4.06 35.66 2.91 34.86 2.70
Tamil Nadu 8.99 1.45 9.00 1.49 31.68 2.58 31.98 2.48
Tripura 0.07 0.01 0.07 0.01 28.28 2.30 36.10 2.80
Western Offshore2 247.13 39.78 239.20 39.60 293.96 23.95 302.35 23.44
Total 621.28 100.00 604.10 100.00 1227.40 100.00 1289.81 100.00
Note:
1. Proved and indicated Balance Recoverable Reserves.
2. Western offshore includes Gujarat offshore.
Source: Ministry of Petroleum & Natural Gas.

• There was decrease of 2.76% in the estimated reserve of crude oil for the country as a whole during
2016-17 as compared to the position a year ago. During the same period, estimated reserves of crude
oil in Andhra Pradesh, Rajasthan, Arunachal Pradesh, Western Offshore, Gujarat and Assam
decreased by 25.19, 22.60, 12.48, 3.21, 2.11 and 0.51% respectively, while the same in Eastern
Offshore and Tamil Nadu increased by 11.75% and 0.04% respectively.
• The estimated reserves of Natural Gas in India as on 31.03.2017 stood at 1289.81 Billion Cubic
Meters (BCM) as against 1227.40 BCM as on 31.03.2016 (Table 1.2).
 • The estimated reserves of Natural Gas increased by 5.08% over the last year. The maximum
contribution to this increase has been from Tripura (27.65), followed by Andhra Pradesh (14.95).

GAS HYDRATES

• Gas hydrates or methane hydrates are ice-like solids in which water molecules form cages around
molecules of methane, the chief component of natural gas.
• Reserves of hydrates may offer more energy than coal . However, this resource needs to be
precisely evaluated.
• In India also these resources are being identified. Estimates of this rather newly identified
energy resource in India vary by orders of magnitude. According to a press report , various
agencies in India have mapped out 6150 trillion cubic meters of gas hydrates along the southern
coastline of the Indian peninsula. However, the technology of gas production from hydrates is yet
to be commercially proven. The Department of Science and Technology (DST) is pursuing a
proposal to develop technologies for exploiting gas hydrates in collaboration with Russian
Federation.
4. Uranium
• Controlled fission of heavier unstable atoms such as U235, Th232 and artificial element Pu239
liberate large amount of heat energy.
• Classified Categories :
 Reasonable Resources
 Estimated Additional Resources-I, �95000 𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡𝑡
 Estimated Additional Resources-II
• Speculative Resources > 95000tonnes
• Net Uranium Resources = 61000 Tonnes
• Out of this, thorium reserves are more in quantity
• Monazite Reserves from beaches and rivers in India = 8 m. t (with 0.6 m.t thorium metals
• Total deposits areas of heavy minerals = 100
• At present, exploitable reserves = 17
• Expected yield of 17 Areas = 4 m.t (monazite sand in the West Coast of India)
• Mineral Reserves 70% of identified are exploitable resources
• Total available Thorium Metal for Nuclear Power Programme = 225000 tonnes
• Department of Atomic Energy plans to systematically exploit all these resources to install nuclear
power capacity of about 20GW by the year 2020.
• A country like France produces about 30% of its total energy by nuclear methods. Where as, India
has uranium sufficient enough only to produce 6x106 kW, a mere 1% its current energy
requirements.
• Indian Uranium resources are located in Bihar at Jaduguda, Narwapahar and Bhattin for total
about 33000 ton. Other deposits in Singhbhum (Bihar). Minor deposits are located in MP, HP, UP
Rajasthan and are in the exploratory stage.
•

• In fact, we use so much energy that the light produced by developed countries can be seen
from space. ... Because economic growth leads to increased energy use and because cars
consume fossil fuels, prosperity in developing countries (like China), leads to more global
energy consumption
•
Comparison of Conventional Energy Sources

Energy Pros Cons

Natural Gas • Widely available • Transportation costs are
• Cleanest-burning fossil high
fuel • Lack of infrastructure
• Often used in makes gas resources
combination with other unavailable from some
fuels to decrease areas
pollution in electricity • Burns cleanly, but still
generation has emissions
• Made safe by adding • Pipelines impact
artificial odor so that ecosystems
people can easily smell
the gas in case of a leak
Petroleum • Efficient transportation • High CO2 emissions
fuel for the world • Found in limited areas
• Basis of many products, • Supply may be exhausted
from prescription drugs before natural gas/coal
to plastics resources
• Economical to produce • Possible environmental
• Easy to transport impact from
drilling/transporting
Coal • Abundant supply • Emits major greenhouse
• Currently inexpensive to gases/acid rain
extract • High environmental
• Reliable and capable of impact from mining and
generating large burning, although
amounts of power cleaner coal-burning
technology is being
developed
• Mining can be dangerous
for miners
Uranium • No greenhouse gases or • Higher capital costs due
CO2 emissions to safety, emergency,
• Efficient at transforming containment, radioactive
energy into electricity waste, and storage
• Uranium reserves are systems
abundant • Problem of long-term
• Refueled yearly (unlike storage of radioactive
coal plants that need waste
trainloads of coal every • Heated waste water from
day) nuclear plants harms
aquatic life
• Potential nuclear
proliferation issue
Definition Concepts of NCES

1. Reasons for development of NCES and Renewable Sources

• While fossil fuels will be the main fuels for thermal power, there is fear that they will get exhausted
eventually in the next century.
• Recent emissions of fossil fuels impacting the atmosphere

2. Nonconventional Energy Sources

a. Solar
• Potential is 178 billion MW which is about 20,000 times the world’s demand. But, could not be
developed in large scale.
• Suns’ energy can be utilized as thermal (used for steam and water production) and
photovoltaics (for electricity)
b. Wind
• Wind Energy uses the high wind velocity available in certain parts of world and its nations.
• Used for pumping water and Power generation. 0.7 million wind pumps are in operation in
different countries

• A minimum wind speed of 3 m/s is required for minimum possible high efficiency. Coastal,
Hilly and valley regions are suitable for this kind of wind conditions.
• California State in USA is generating 500 MW from 900 Wind turbines
• Wind Energy Potential of India is estimated between 20,000 and 25000 MW. Coastal Areas of
Gujarat, Maharashtra and Tamilnadu are favourable for this energy.
• Maximum power generated from any single unit is about 1 MW.

c. Sea
• Possible sea energies are wave energy, tidal energy and Ocean Thermal Energy.
• Wave Energy : About 13kW per meter height of wave can be generated. A plant to make
445000kWh/yr of energy was attempted in Kerala State. This station will generate 75 kW in
Calm months and 120-150 kW in June-September. It now abandoned.
 Oscillation Water Column Wave energy Device in Kerala
• OTEC : Ocean thermal Energy Conversion utilizes the temperature difference between warm
surface seawater at abour 28°C and the cold deep sea water at 5-7 °C at a depth of 800-1000m
in tropical areas

.
• Indias’ available coast for OTEC is from Mumbai to Odisha and it is large.
• Tidal Energy : Sea level rise and fall (Tide) due to the influence of nearby astronomical bodies
like Moon, Mars, Sun, etc is used to to produce tidal energy. France and South Korea have
developed this kind of tidal energy plants.
 • In India, Gulf of Kutch, Gulf of Cambay and Sundarabans are potential sites.
• The total Potential from Sea is estimated as 50000 MW from OTEC, 40000 MW from Wave
Energy and 8000 MW from tidal.
•
d. Geothermal
• Geothermal Energy Devices uses the core of the heat in the centre of the earth to produce
power.
• This energy can be used for colling by using heat for vapour absorption system.

• Predicted Geothermal Energy Potential in New Zealand,USA, Japan and Iceland is about 3400
MW
• 700 MWof power is generated in Philippines and China.
• India does not appear to have any major exploitable sources.

e. Biomass
• A renewable source of energy in the form of wood, agricultural residues, etc, which is
estimated as 480 m.t with food grain production about 100 m.t
• These can be burnt directly to generate steam for use in steam turbine for power generation or
they can be gasified and the gas is used in internal combustion engine for agricultural pumping
or power generation.
 Typical Schematic diagram of Bio-mass power plant

• Small scale plants producing upto1 MW is being tried. Big plants are yet to be realized. Biggest
problem of these power plants is the collection of residue. In case of forest wood, the
requirement of fuel wood alone is between 250 and 300 m.t and this quantity is not readily
available.
• Efforts are being made for cultivating quick growing trees for use in power generation.
• Similarly, biogas obtained by anaerobic digestion of animal dung and sewage is also suitable
for usein Internal Combustion Engines.
• Biomass may prove a useful fuel for localized power generation in rural areas where electric
transmission lines have not reached.
World Consumption of RES in comparison with Conventional Energy

At present, the consumption of renewable energies in the world is negligible.

Advantages of RES
• Using renewable energy over fossil fuels has a number of advantages.

1. Renewable energy won’t run out

• Renewable energy technologies use resources straight from the environment to generate
power.
• Renewable resources won’t run out, which cannot be said for many types of fossil fuels – as
we use fossil fuel resources, they will be increasingly difficult to obtain, likely driving up both
the cost and environmental impact of extraction.

2. Maintenance requirements are lower

• In most cases, renewable energy technologies require less overall maintenance than
generators that use traditional fuel sources. This is because generating technology like solar
panels and wind turbines either have few or no moving parts and don’t rely on flammable,
combustible fuel sources to operate. Fewer maintenance requirements translate to more
time and money saved.
3. Renewables save money
• Using renewable energy can help you save money long term. Not only will you save on
maintenance costs, but on operating costs as well.
• When you’re using a technology that generates power from the sun, wind, steam, or natural
processes, you don’t have to pay to refuel.
• The amount of money you will save using renewable energy can vary depending on a number
of factors, including the technology itself. In most cases, transitioning to renewable energy
means anywhere from hundreds to thousands of dollars in savings.

4. Renewable energy has numerous health and environmental benefits

• Renewable energy generation sources emit little to no greenhouse gases or pollutants into
the air. This means a smaller carbon footprint and an overall positive impact on the natural
environment.
 • During the combustion process, fossil fuels emit high amounts of greenhouse gases, which
have been proven to exacerbate the rise of global temperatures and frequency of extreme
weather events.
• The use of fossil fuels not only emits greenhouse gases but other harmful pollutants as well
that lead to respiratory and cardiac health issues. With renewable energy, you’re helping
decrease the prevalence of these pollutants and contributing to an overall healthier
atmosphere.
5. Renewables lower reliance on foreign energy sources
• With renewable energy technologies, you can produce energy locally. The more renewable
energy you’re using for your power needs, the less you’ll rely on imported energy, and the more
you’ll contribute to U.S. energy independence as a whole.

Disadvantages/Limitations of renewable energy

• Renewable energy has many benefits, but it’s not always sunny when it comes to renewable
energy. Here are some disadvantages to using renewables over traditional fuel sources.

1. Higher upfront cost

• While you can save money by using renewable energy, the technologies are typically more
expensive upfront than traditional energy generators. To combat this, there are often
financial incentives, such as tax credits and rebates, available to help alleviate your initial
costs of renewable technology.

2. Intermittency
• Though renewable energy resources are available around the world, many of these
resources aren’t available 24/7, year-round.
• Some days may be windier than others, the sun doesn’t shine at night, and droughts may
occur for periods of time.
• There can be unpredictable weather events that disrupt these technologies. Fossil fuels
are not intermittent and can be turned on or off at any given time.

3. Storage capabilities
• Because of the intermittency of some renewable energy sources, there’s a high need for
energy storage. While there are storage technologies available today, they can be
expensive, especially for large-scale renewable energy plants. It’s worth noting that energy
storage capacity is growing as the technology progresses, and batteries are becoming
more affordable as time goes on.

4. Geographic limitations
• The Planet Earth has a diverse geography with varying climates, topographies, vegetation,
and more. This creates a beautiful melting pot of landscapes but also means that there are
some geographies that are more suitable for renewable technologies than others.
• For example, a large farm with open space may be a great place for a residential wind
turbine or a solar energy system, while a townhome in a city covered in shade from taller
buildings wouldn’t be able to reap the benefits of either technology on their property.
• If your property isn’t suitable for a personal renewable energy technology, there are other
options. If you’re interested in solar but don’t have a sunny property, you can often still
benefit from renewable energy by purchasing green power or enrolling in a community
solar option.
 5. Pollution is still generated with renewable energy.
• Renewable energies are cleaner than most fossil fuels, but “cleaner” and “clean” are very
different terms. A resource like biomass still burns waste products and puts pollution into
the atmosphere. This includes carbon and methane, which are classified as greenhouse
gases. The technologies and facilities that are used to build renewable energy resources
require fossil fuels, as do the transportation and distribution networks. In many instances,
renewable energy relies on fossil fuels, whereas fossil fuels do not rely on renewables.
6. Some forms of renewable energy require a massive amount of space.
• To product 20 megawatts of energy, current solar technologies require 100 acres of space.
In comparison, the footprint for a nuclear power plant is 1 square mile to produce 1,000
megawatts of energy. Solar is therefore 45 times less space efficient compared to nuclear
power. Solar is even worse, requiring up to 360 square miles to produce the same energy
as one nuclear power plant.

Criteria for assessing the potential of NCES

• The multi-criteria assessment is based on the decision making procedure reflecting the combined
effect of all the criteria under consideration and is expressed in the form of a General Index of
Sustainability.
• A selected number of indicators are taken as the measure of the criteria comprising specific
information of the options under consideration. The procedure is aimed to express option properties
by the respective set of indicators.

Table : Sample data to be used in the multi criteria analysis

• The next step in the preparation of data for the multi-criteria sustainability assessment is the
aritimetization of data
• Membership functions q1(x1),...,qm(xm). Indicators , xi
• For every Indicator xi we have:
(1) to fix two values MIN(i), MAX(i);
(2) to indicate is the function qi(xi) decreasing or increasing with argument xi increasing;
(3) to choice the exponent’s value λ in the formula
• Evaluation of the priority rating among the selected options of
energy systems is made with full mathematical multi-criteria decision making procedure.
• If the installation cost indicator has priority the gas power plant is the first on the rating list of the
option under consideration. Also, if the CO2 production indicator and area indicator, the hydro and
nuclear power plants are rated on the first place in the rating list of the options.
 • Criteria for assessing the potential of NCES can be listed as below:
1. Availability of Energy Resource
2. Efficiency of NCES
3. Installation Cost
4. Electricity cost
5. CO2 Production
6. Area required for developing the power plant
7. Area characteristics like topographic slope, costs
8. Transmission and Interconnection costs
9. Permitting Requirements
10. Environmental Requirements
11. Interconnection and Wheeling
12. Power Purchase Agreements
13. Financing
14. Operation and maintenance

Classification of NCES
• The Renewable Energy Working Party of the IEA defines renewable energy as follows:
Renewable Energy is derived from natural processes that are replenished constantly. In its various
forms, it derives directly or indirectly from the sun, or from heat generated deep within the earth.
Included in the definition is energy generated from solar, wind, biofuels, geothermal, hydropower
and ocean resources, and biofuels and hydrogen derived from renewable resources. (IEA, 2013a)

• In line with the above definition, renewable energy sources can be classified under the following
categories (IEA, 2013a):

1. Hydroelectricity,
2. Geothermal,
3. Solar,
4. Tide/Wave/Ocean,
5. Wind,
6. Solid biofuels, biogases, liquid biofuels,
7. Renewable municipal waste

• Below are more detailed explanations on the above-listed sources of renewable energy provided by
the IEA (2014a):
• Hydroelectricity: Refers to potential and kinetic energy of water converted into electricity in
hydroelectric plants.
• Geothermal: Energy available as heat emitted from within the earth’s crust, usually in the
form of hot water or steam. It is used for electricity generation, heat production for sale to
third parties or directly as heat in its primary form.
• Solar: Solar radiation exploited for electricity generation and hot water production. Passive
solar energy for direct heating, cooling or lighting of dwellings or other buildings is not
included. Solar photovoltaic is solar radiation exploited for electricity generation by
photovoltaic cells. Solar thermal is solar radiation exploited for hot water production by flat
plate collectors (mainly of the thermo-syphone type) for domestic hot water or seasonal
heating of swimming pools and electricity generation by solar thermal-electric plants.
• Tide/Wave/Ocean: Mechanical energy derived from tidal movement, wave motion or ocean
current and exploited for electricity generation.
• Wind: Kinetic energy of wind exploited for electricity generation by wind turbines.
 • Solid Biofuels: Covers organic, non-fossil material of biological origin, which may be used as
fuel for heat and electricity production. These include primary solid biofuels (fuelwood, wood
residues and by-products; wood pellets; black liquor; bagasse; animal waste; other vegetal
materials and residuals) and charcoal.
• Biogases: Gases composed principally of methane and carbon dioxide produced by anaerobic
fermentation of biomass, or by thermal processes. They include landfill gas, sewage sludge
gas, other biogases from anaerobic digestion and biogases from thermal processes.
• Liquid Biofuels: Includes fuels and bioadditives such as biogasoline, biodiesel, and other liquid
biofuels.
• Renewable Municipal Waste: Consists of the biodegradable part of municipal waste products
that are combusted directly to produce heat and/or electricity. It comprises waste produced
by the residential, commercial and public services sectors that is collected by local authorities
for disposal in a central location, including biodegradable hospital waste.

Comparison of NCES

• No single Renewable Energy source works best all the time in all conditions.
• The Hybrid systems often yield the best year-round performance.
• Wind usually perform well at specific geographic regions with good wind speed all round the year.
While the Hydro power plants have long gestation period, the Photovoltaics have the benefit of no
moving parts, no maintenance, high reliability, and a long life averaging about 25 years or more for
solar panels.
• The recent invention of solar roofing panels and the introduction of major PV incentives in several
countries are expected to continue to boost sales and significantly reduce prices over the next
decade.
• The cost of per unit of electricity generated in each projects varies with the capacity installed.
• Each system must be optimised to the location and application for which it will be used.
• Installation and maintenance requirements can be a significant factor, and should be weighed heavily
in the design process.

Cost Comparison of Various Energy Sources

Cost (LCOE)
Power Plant Type
$/kW-hr
Coal with CCS $0.12-0.13
CC Natural Gas $0.05
CC with CCS $0.075
Nuclear $0.093
Wind onshore $0.059
Wind offshore $0.139
Solar PV $0.063
Solar Thermal $0.165
Geothermal $0.045
Biomass $0.095
Hydro $0.062
• *Adopted from US DOE
Energy Pros Cons
Solar • Non-polluting • High initial investment
• Most abundant energy • Dependent on sunny
source available weather
• Systems last 15-30 years • Supplemental energy
may be needed in low
sunlight areas
• Requires large physical
space for PV cell panels
• Limited availability of
polysilicon for panels

Wind Energy • No emissions • Output is proportional to

• Affordable wind speed
• Little disruption of • Not feasible for all
ecosystems geographic locations
• Relatively high output • High initial
investment/ongoing
maintenance costs
• Extensive land use
•
Bio-Fuels • Abundant supply • Source must be near
• Fewer emissions than usage to cut
fossil fuel sources transportation costs
• Can be used in diesel • Emits some pollution as
engines gas/liquid waste
• Auto engines easily • Increases emissions of
convert to run on nitrogen oxides, an air
biomass fuel pollutant
• Uses some fossil fuels in
conversion
Geothermal • Minimal environmental • Geothermal fields found
impact in few areas around the
• Efficient world
• Power plants have low • Expensive start-up costs
emissions • Wells could eventually
• Low cost after the initial be depleted
investment
 UNIT – II
Solar Energy-Energy available form Sun, Solar radiation data, Solar energy conversion
into heat, Flat plate and Concentrating collectors, Mathematical analysis of Flat plate
collectors and collector efficiency, Principle of Natural and Forced convection, Solar
engines-Stirling, Brayton engines, Photovoltaic, p-n junction, solar cells, PV systems,
Stand-alone, Grid connected solar power satellite.

Solar Energy- Energy available from SUN

 The sun is a large sphere of hot gases, the heat being generated by various kinds
of fusion reactions.( Fusion :: a thermonuclear reaction in which nuclei of light
atoms join to form nuclei of heavier atoms, as the combination of deuterium
atoms to form helium atoms
 The Sun emits photons in different wavelengths that travel throughout space and
interact with our atmosphere. Photon is nothing but Visible Light Particle in a
stream of high-speed, submicroscopic particles in different wave lengths. Radio
waves, infrared rays, visible light, ultraviolet rays, X rays, and gamma rays all
consist of photons, each of which contains a particular amount of energy that
depends on the wavelength. Most of the energy the Sun emits is in the form of
visible light between 400 and 800 nano-meters (nm).

 Solar energy is the energy that is produced by the sun in the form of heat and
light.
 According to scientific findings, the earth intercepts lots of solar power, 173
trillion terawatts to be specific. That’s literally ten thousand more power than
the entire world population utilizes. This validates the fact that the sun is the
most plentiful source of energy on the entire globe and that it could one day be
the most reliant source of energy.
 Sun energy keeps the temperature of earth surface above that in colder space,
causes currents in the atmosphere and in oceans, causes hydrologic water cycle
and generate photosynthesis in plants.
 The energy radiated by the Sun on a bright sunny day is approximately 1kW/m2.
The energy can be concentrated in solar furnaces that can achieve temperatures
in the region of 5000°C.
 On account of large space required, Uncertainty of availability of solar energy at
constant rate, due to clouds, winds, haze, etc., there is limited application of this
source in the generation of electricity power. These difficulties are being
resolved with innovative concepts of storage for energy.
  Utilisation of Solar Energy is of great importance to India since it lies in a
temperature climate of of the region of the world where sunlight is abundant for
a major part of the year.
 Electricity from Solar Energy : Electricity can be produced from the solar energy
by photo voltaic solar cells, which convert the solar energy directly to energy. In
India, this electricity is used for pump sets for irrigation, drinking water supply
and rural electrification covering street lights, community TV Sets, medical
refrigerators and other small power loads.

Applications of Solar Energy

The following are some of the application of Solar Energy

1. Heating and Cooling of Residential Building
2. Solar water heating
3. Solar drying of agricultural and animal products
4. Solar distillation on a small community scale
5. Salt production by evaporation of seawater of inland brines
6. Solar Cookers
7. Solar Engines for water pumping
8. Food Refrigeration
9. Bio-conversion and wind energy, which are indirect source of solar energy
10. Solar Furnaces
11. Solar Electricity generation by
i. Solar Ponds
ii. Steam generators heated by rotating reflectors (Heliostat Mirrors), or by
tower concept
iii. Reflectors with lenses and pipes for fluid circulation (cylindrical parabolic
Reflectors)
12. Solar Photovoltaic cells, which can be used for conversion of solar energy
directly into electricity or for water pumping in rural agricultural purposes.

Solar Radiation Data

 Sun’s Diameter is 1390000 Km. Earth’s Diameter is 12700 Km. The distance
between them is 150000000 Km.
 Although Sun is large, it subtends an angle of only 32 minutes at the earth’s
surface. This is because Sun is also at a very large distance. Thus beam radiation
received from the Sun on the earth is almost parallel. Brightness varies from its
centre to its edge. However, for engineering calculations, it is customary to
assume that brightness all over the solar disc is uniform.
 Energy is radiated by the Sun as electromagnetic waves of which 99 % have
wave lengths in the range of 200 to 4000 Nm.
 Solar Energy reaching the top of earths’ surface atmosphere consists:
1. About 8% ultraviolet radiation (Short wavelength, < 400 Nm)
2. 46% Visible Light (400 Nm to 800 Nm)
3. 46% infrared radiation (long wave length , > 800 Nm)
 Sun’s radiation appears to be equal to that coming from black surface at 5762°K.
Solar Constant
 The rate at which solar energy arrives at the top of the atmosphere is called Solar
Constant, ISC.
 Solar Constant is defined as amount of energy received in unit time on a unit area
perpendicular to the sun’s direction at the mean distance of the earth from the
sun. It is generally average with ± 3% in either direction as per NASA Standards.
 ISC = f(sun’s distance throughout year and sun’s activities)
= 1.353 KW/m2 or 1353 W/m2 or 116.5 langleys (calories/cm2) per hour
or 1165 Kcal/m2/hour (1 langley = 1cal/cm2/day) or
429.2 Btu/ft2/hour
 As the distance of sun varies little throughout the year, there is a sinusoidal
variation in solar radiation (I) as detailed below:
𝑰 𝟑𝟔𝟎 ∗ 𝒏
= 𝟏 + 𝟎. 𝟎𝟑𝟑 ∗ 𝒄𝒐𝒔 ( )
𝑰𝑺𝑪 𝟑𝟔𝟓

Spectral Distribution of Solar Radiation

 Sunlight includes a wide spectrum of light energy, of which only a small portion
is visible.
 At the high-energy side of the spectrum, outside the visible range, above the
violet, we find the ultraviolet 'color' that is invisible. This region is highly
energetic. It causes sunburns and so on.
 And below the red, we find the infrared part of the spectrum, which we cannot
see, but feel as heat.
 Each of these has a different effect on our climate, and the effects are getting
bigger as fringe effects do in a dramatically changing energetic system.
 The following figure shows the spectral distribution of
Solar Radiation at the Earths Surface

 From the point of utilization of solar energy, energy received at the earth’s
surface is more important than received extraterrestrial energy.
 The solar radiation that fills our sky can be direct, diffuse or reflected radiation
especially by clouds. The radiation is partly absorbed by the molecules in the air.
Oxygen(O2) and Ozone (O3) absorb all the ultraviolet radiation, and water vapour
& Carbon Dioxide (CO2) absorb some of the energy in the infrared range.
 "Direct radiation" is also sometimes called "beam radiation" or "direct beam
radiation". It is used to describe solar radiation traveling on a straight line from
the sun down to the surface of the earth.
 "Diffuse radiation", on the other hand, describes the sunlight that has been
scattered by molecules and particles in the atmosphere but that has still made it
down to the surface of the earth. Diffuse radiation comes to the earth from all
parts of Sky.

Figure : Direct, Diffuse and Total Radiation

 Direct radiation has a definite direction but diffuse radiation is just going any
which way. Because when the radiation is direct, the rays are all travelling in the
same direction, an object can block them all at once. This is why shadows are
only produced when direct radiation is blocked.
 The total radiation received at any point on the earth’s surface is the sum of the
direct and diffuse radiation. This is known as insolation at any/that point.
 INSOLATION is defined as the total solar radiation energy received on a
horizontal surface of unit area (say 1 m2) on the ground in unit time
(say 1 day).
 When the sky is clear and the sun is very high in the sky, direct radiation is
around 85% of the total insolation striking the ground and diffuse radiation is
about 15%. As the sun goes lower in the sky (lower altitudes – lower angles of
sun rays and horizontal plane), the percent of diffuse radiation keeps going up
until it reaches 40% when the sun is 10° above the horizon.
 Atmospheric conditions like clouds and pollution also increase the percentage of
diffuse radiation. On an extremely overcast day, pretty much 100% of the solar
radiation is diffuse radiation. Generally speaking, the larger the percentage of
diffuse radiation, the less the total insolation.
 Direct/diffuse ratio varies with latitude and climate : The percentage of the
sky's radiation that is diffuse is much greater in higher latitude, cloudier places
than in lower latitude, sunnier places. Also, the percentage of the total radiation
that is diffuse radiation tends to be higher in the winter than the summer in
these higher latitude, cloudier places. The sunniest places, by contrast, tend to
have less seasonal variation in the ratio between diffuse and direct radiation.
 Diffuse radiation depends on the following parameters
1. Latitude
2. Time of year
3. Time of day
4. Atmospheric content
 Since the Suns’ altitude changes with the date and time of day and with the
geographic latitude at which observations are made, the rate of arrival of solar
radiation on the ground is a variable quantity even in time scale.
 As an example, compare London, UK (51° North; wet and mild climate) to Aden,
Yemen (19.5° North; dry and hot climate). In London's sunniest month (June),
the average daily irradiation is about 5.5 kWh/m2 and about 50% of that is
diffuse. In December, the irradiation is less than 1 kWh/m2 and by far the
majority of that radiation is diffuse. In Aden's sunniest month (May), the average
daily irradiation is about 7 kWh/m2 and less than 30% of the radiation is diffuse.
In December, the irradiation is around 5.25 kWh/m2 and about 35% is diffuse
radiation.
 Reflected radiation describes sunlight that has been reflected off of non-
atmospheric things such as the ground. Asphalt reflects about 4% of the light
that strikes it and a lawn about 25%. An exception is in very snowy conditions
which can sometimes raise the percentage of reflected radiation quite high.
Fresh snow reflects 80 to 90% of the radiation striking it. In Fairbanks, Alaska,
USA (64.5° North) there is still snow on the ground in April and May and the
reflected radiation portion of the total radiation can be 25%.
 Fresh snow adds more reflected light to the sky.
And it can look pretty too.
Global Insolation
 "Global insolation" is the total insolation: direct + diffuse + reflected light. Often
people use it to refer to the total insolation on a horizontal surface and if they
want to talk about the total radiation striking a surface with some specific tilt,
they will say something like "total insolation on an XYZ° tilt", etc.
 "Normal radiation" describes the radiation that strikes a surface that is at a 90°
angle to the sun's rays. As discussed in sun angle and insolation, by constantly
keeping our solar collectors at a 90° angle with the sun, we maximize the direct
radiation received on that day.

Sun at Zenith : Position of the Sun directly over head

Air Mass (m) : It is defined as path length of radiation through the atmosphere,
considering the vertical path at sea level as unity. For an arbitrary zenith angle of suns
radiation, the air mass (am) is defined as in the figure.

Z = Zenith Angle
m=1 when the Sun is at Zenith; z = 0°
m=2 when the Sun is at z = 60°
m=0 Just above the earth’s atmosphere.

Attenuation of Beam Radiation:

 Radiation reached outside atmosphere reduces due to absorption and scattering

in the atmosphere. This is known as Attenuation of beam radiation
 Absorption : The short wave ultra violet rays (< 290 Nm) are absorbed by the
ozone in the atmosphere. Ozone transmittance of wavelengths more than 350
Nm is Unity (100%). The Long wave infrared waves are absorbed by the Carbon
Dioxide and moisture in the atmosphere. At wave lengths lower than 2300 Nm,
the extra terrestrial solar radiation by H20 and CO2 in atmosphere, is strong.
Hence for terrestrial application of solar energy, only wavelengths between 290
Nm and 2500 Nm need to be considered.
 Scattering : Water Vapour and dust in the atmosphere scatter a portion of
radiation and it reaches as diffused radiation. The exact amount of scattering
and consequential attenuation depends on the atmospheric conditions, location,
time and local weather.
 The following figure shows the spectral distribution curves.

 Upper Curve for Atmosphere

beginning (400 Km away from Earth)
 Lower Curve for the sea level during
clear days
 Under favourable atmospheric conditions, the maximum intensity observed at
noon on an oriented surface
1. at sea level is 1 kW/m2 ( Air Mass = 1, AM1)
2. at an altitude of 1000 m, 1.05 kW/m2
3. at the top of higher mounts, 1.1 kW/m2
4. at the beginning of atmosphere (400 km Altitude),
1.353 kW/m2 (solar Constant) ( Air Mass = 0, AM0)
 The transmission factor (TF) is defined as area under the lower curve divided by
the area under the upper curve(Solar Constant)
1. For m = 1, TF = 0.633
2. For m = 5, TF = 0.276
 The length of sun’s rays through the atmosphere is of extreme importance in
affecting reduction of solar intensity.
Solar Radiation Geometry

 Solar radiation geometry is the determining factor of heat gain, Shading and the
potential of day light penetration.
 Direction of beam radiation is useful in establishing geometric relationship
between a plane and incoming beam solar radiation. Direction of beam radiation
can be described in terms of several angles.

 Angles useful in solar radiation analysis

(a) Basic solar angles:
i. Latitude angle (ф)
ii. Declination angle (δ)
iii. Hour angle(ω)

(b) Derived solar angles:

i. Altitude angle(α)
ii. Zenith angle(θz)
iii. Solar azimuth angle (γs)

(c) Surface angles:

i. Surface azimuth angle(γ)
ii. Slope (β)
iii. Incidence(θ)
(1) Latitude Angle (ф) : “Angle made by radial line joining the projection of that line
on equatorial plane”. (north positive). It varies from 0° at equator to
90° at Poles (north positive)

(2) Declination angle (δ) : It is the angle between a line extending from the centre of
the sun to the centre of earth and projection of this line upon earth’s equatorial
plane. It is due to the tilt of Earth’s axis and it varies between 23.45° (Summer
Solstice I,e June 22) to -23.45° (Winter Solstice i.e December 22). On equinoxes,
declination is zero.
(3) Hour angle (ω) : The angle through which earth must turn to bring the meridian
of a point directly in line with sun’s rays. At solar noon, ω = 0°. It is measured
from noon. (+) ve before noon. (-)ve after noon
 (4) Altitude angle(α)

Zenith

Altitude angle is defined as “Vertical angle between direction of sun ray and it’s
projection on horizontal plane on earth’s surface”. It is maximum at solar noon.

(5) Zenith angle(θz) : It is defined as Complementary angle of solar altitude angle i.e
vertical angle between Sun’s rays and line perpendicular to horizontal plane
through the point.
(6) Solar azimuth angle (γs) : It is the horizontal angle measured from north to
horizontal projection of sun’s rays. It is considered +ve on west side. Also it can
be defined as solar angle in degrees along the horizon east or west of north.

Relations between Basic Solar Angles

 cos θz = cos ∅. cos ω. cos δ + sin ∅. sin δ − sin α = sin α
 α = 90 − θz
 cos γs = sec α(cos ∅. sin δ − sin ∅. cos δ. cos ω)
 sin γs = sec α. sin ω. cos δ
 (7) Surface azimuth angle(γ) : For tilted surfaces. It is angle of deviation of the
normal to the surface from the local meridian, or It is the angle between the nor
mal to the surface and south. For south facing surface γ= 0°. For west facing
surface γ= 90° and so on. East-ward: (+)ve, West-ward : (-)ve
.
(8) Slope (β) : “Angle made by the plane surface with the horizontal”. (+)ve : for
surface slopping toward south . (-)ve : for surface slopping toward north.
(9) Incidence(θ) : Used when tilted surfaces are involved. Angle between sun rays
and normal to surface under consideration.

General Equation for angle of incidence (θ)

cos θ = sin ∅(cos β. sin δ + sin β. cos ω. cos δ. cos γ) + cos ∅(cos ω. cos δ. cosβ
− cos γ. sin δ. sinβ) + sin β. sin ω. cos δ. sin γ
For vertical surfaces, β = 90°,
cos θ = sin ∅. cos ω. cos δ. cos γ − cos ∅. cos γ. sin δ + sin ω. cos δ. sin γ
For horizontal surfaces, β = 0°, 𝜃 = 𝜃𝑧
cos θ = sin ∅. sin δ + cos ∅. cos ω. cos δ = sin α
i.e cos θ = cos 𝜃𝑧 = sin 𝛼
For surface facing due south, 𝛾 = 0°
cos θ = sin ∅(cos β. sin δ + sin β. cos ω. cos δ) + cos ∅(cos ω. cos δ. cosβ − sin δ. sinβ)
for tilted surfaces, 𝜃 = 𝜃𝑇 as symbolic representation.
cos θT = sin δ. sin(∅ − β) + cos δ. cos ω. cos(∅ − β)
For Vertical surfaces facing due south (β=90°, 𝛾 = 0°)
cos θT = Sin ∅. cos δ. cos ω − sin δ. cos ∅
Day Length
We have,
cos θ = sin ∅(cos β. sin δ + sin β. cos ω. cos δ. cos γ) + cos ∅(cos ω. cos δ. cosβ
− cos γ. sin δ. sinβ) + sin β. sin ω. cos δ. sin γ
At the time of sun rise or sunset, the zenith angle, Ø = 90° and for β = 0°, we get sunrise
angle as follows.
sin ∅. sin 𝛿
cos 𝜔 = − == tan ∅. tan 𝛿
cos ∅. cos 𝛿
𝜔 = 𝑐𝑜𝑠 −1 (− tan ∅. tan 𝛿)
2𝜔
Since 15° of the hour angle are equivalent to 1 hr, the day length in hours, 𝑡𝑑 = =
15
2 −1
𝑐𝑜𝑠 (− tan ∅. tan 𝛿)
15
So, the length of day (td) is a function of latitude and solar declination.
 The hour angle at sunrise or sunset on an inclined surface, 𝜔 will be lesser than
the value estimated by above equation, if the incidence is more than 90°. For this
𝜃=90° is substituted in original equation and for inclined surface facing south we
get;
𝜔 = 𝑐𝑜𝑠 −1 (− tan(∅ − 𝑠) . tan 𝛿)

2
𝑡𝑑 = 𝑐𝑜𝑠 −1 (− tan(∅ − 𝑠) . tan 𝛿)
15

LST-Local Solar Time (or Local Apparent time)

 Time used for calculating the hour angle is the local solar time or local apparent
time, which does not coincide with local clock time.
 The solar time can be obtained from the standard time by applying two
corrections (difference of LST and GMT-4’ for every degree difference in
longitude & correction in Equation of time in min due to small perturbations in
the earth’s orbit and rate of rations). The corrections due to rotational
perturbations can be based on experimental observations only and are
furnished in the figure below.

 LST = Standard time (ST) ± 4*(ST Longitude-Location Longitude)+

Equation of Time Correction
 The –ve Sign for the eastern hemisphere

𝛽 𝛽
SOLAR RADIATION MEASUREMENTS
 The following measurements are usually made
1. Energy from the Sun at the Earth’s Surface
2. Energy from the Sun in different parts of the Sky
3. Change in Energy with time (minutes, hours)
4. Change in Energy with time (Seasons, years, decades)
5. Change in Energy with location


 Measurements are required for accurate solar irradiation data to predict the
performance of Solat Applications.
 Two basic types of instruments are employed for solar radiation measurement,
1. Pyrheliometer : Beam radiation measuring device by collimating the
radiation as a function of incident angle.
 This kind of instrument measures only direct or beam radiation and requires
sun tracking system.
i. Angstrom pyrheliometer

Shaded Strip (Size 20x2x0.1 mm)is heated electrically until it is at the same
temperature as a similar strip exposed to solar radiation Thermocouple is connected to
these strips through sensitive Galvanometer to test equality of temperature. The energy
H of direct radiation is calculated by means of the formula.

HDN = K*i2
Where,
HDN = Direct radiation incident on an area normal tosuns’ rays.
i = Heating current in amperes
R
K = Dimension and instrument constant =
Wα
R = Resistance per unit length of the absorbing strip (Ω/𝑐𝑚)
W = Mean width of absorbing strip
𝛼 = absorbing coefficient of absorbing strip

ii. Abbot Silver disc pyrheliometer

 The instrument has to be calibrated against a
primary standard. These are widely used to
calibrate pyranometers

iii. Eppley Pyrheliometer

 The sensitive element in an Eppley pyrheliometer is a temperature –
compensated 15-junction bismuth-silver thermopile mounted at the
base of a brass tube, the limiting diaphrams of which subtend an angle
of 5.7°. During manufacture the tube is filled with dry air and is sealed
with a crystal quartz window which is removable. A filter wheel (for
the three standard meteorological filters) is standard. The response
time for over 99% signal is about 20 s. The older version of this
instrument has a copper-constantan uncompensated thermopile
(response time about 6 s).
 It is a stable instrument and provided proper care is taken can be used
as a substandard. This instrument has found wide acceptance within
the USA and many parts of the world.

2. Pyranometer : It is a common used device that measures the total

hemispherical solar radiation

 It measures total or global radiation over a hemispherical field of view.

 Beam radiation can be prevented using shading ring to measure only diffuse
radiation.
 Suns’ radiation falls on a black surface containing hot junctions of thermopile.
This radiation is converted into emf with appropriately locating cold junctions.
TYPES OF PYRANOMETERS
1. Eppley Pyranometer
 Works as per pervious principle of radiation through silver Black and White
sensor surfaces. The detection of temperature difference from both black
and white coatings is achieved by thermopile.
 Concentric or radial silver rings coated in black and white as shown below.

Black and white silver coating of Eppley Pyranometer

 Calibration character may vary for vertical and horizontal positions.

2. Yellot Solarimeter
 Used with photovoltaic (solar Cell) detectors for detectingradiation. Silicon
cells are most common for solar energy.
 Light current is a linear function of the incident solar radiation for
photovoltaic cell
 Disadvantage is that the spectral response is not linear, so instrument
calibration is a function of spectral distribution of the incident radiation.
3. Moll-Gorczyheski solarimeter

4. Bimetallic actionographs of the Rabitzsch

 Bimetallic actinographs are widely used as simple self-contained re-corders.
A mechanical linkage is used to record the temperature difference between a
black-coated bimetallic strip exposed to solar radiation and two similar
bimetallic strips either painted white or shielded from solar radiation.
  Because of the relatively large mass of the bimetallic strips, the response
time of the instrument is large (10-15 min for 98% response) and the
in-strument is only suitable for the purpose of obtaining daily totals. Even
for this purpose, because of the difficulties in reducing to reasonable
amounts the errors due to variation in azimuth, cosine response, and
temperature, the accuracy is much less than that of an electrical
pyranometer.
5. Velochme Pyranometer
6. Thermoelectric Pyranometer

SUNSHINE RECORDER
 A sunshine recorder is a device that records the amount of bright sunshine at a
given location. The suns’s rays are focused by a glass sphere to point on a card
strip held in a groove in a spherical bowl mounted concentrically with the
sphere. Whenever there is bright sun , the imageformedis intense enough to
burn spot on the card strip. Burnt space length is measured as duration of
sunshine.
 The results provide information about the weather and climate as well as the
temperature of a geographical area.
 This information is useful in meteorology, science, agriculture, tourism, and
other fields.
 It has also been called a heliograph.
 The popular types of sunshine recorder are :
1. Campbell-Stokes Recorder
 The Campbell–Stokes recorder (sometimes called a Stokes sphere) is a
kind of sunshine recorder. It was invented by John Francis Campbell in
1853 and modified in 1879 by Sir George Gabriel Stokes. The original
design by Campbell consisted of a glass sphere set into a wooden bowl
with the sun burning a trace on the bowl.


 Stokes's refinement was to make the housing out of metal and to have
a card holder set behind the sphere.
 

2. Blake-Larsen Recorder
 as
 The main advantages of this are :
1. The system can produce results which are far more accurate than,the
Campbell Stokes recorder which requires manual intervention and skilled
interpretation.
 The typical application areas – besides amateur weather enthusiast of course –
could be:
i. Holiday resorts who wants to prove their claim of sunny days
ii. Agriculture to establish figures for moisture evaporation which are
iii. dependent on actual sun shine hours.
iv. Feasibility of establishing solar energy – water heating and/or
photovoltaic panels.
Types of Solar Data
 The solar data may be in the following forms:
1. Instantaneous measurement or values integrated over some period of time
(usually hour or day)
2. Time or time period of measurements
3. Beam, diffuse or total radiation measurements and Instrument used
4. Surface orientation (usually horizontal , it may be inclined at a fixed slope or
normal)
5. Averaging period (monthly averaging period)
 Solar radiation flux is generally reported in langleys per hour or per day
(1langley = 1cal/cm2). Calcutta (20°32´N)receives on the basis of yearly average
680 langleys (i.e. 680 cals/cm2/day)
 Average solar radiation data area also available from Maps.
 Sunshine data is available in the form of tables.
 A typical daily record of the global and diffuse radiation measured on a clear day
is shown in Figure2.61. A jagged variation (Figure 2.6.2) with many peaks is
obtained on a cloudy or a partly cloudy day.
 A solar designer is primarily interested in average values of radiation for allocation.
The averaging is usually made over a month and tabulations showing the hourly
variations of global and diffuse radiation, the amount received per day and the
sunshine hours per day are prepared.
 India lies between latitude 7° and 37° N. It receives an annual average intensity of
solar radiation between 16700-29260 kJ/m2/day (400-700 cal/cm2/day). The daily
data on solar insolation over the different places in India accurately available. Peak
values are observed in April or May within Rajasthan and Gujarat receiving over
25100 kJ/m2/day (600cal/cm2/day). During the winter months, the daily solar
radiation decreases to about 16700 kJ/m2/day (400 cal/cm2/day).
 The annual daily diffuse radiation received over the whole country is about
7300 kJ/m2/day (175 cal/cm2/day). The minimum values of diffuse radiation is
observed in many parts during November and December and is about 3135-4180
kJ/m2/day (75-100 cal/cm2/day). The maximum values are observed as12550
kJ/m2/day (300 cal/cm2/day) especially in July in Gujarat.

ESTIMATION OF AVERAGE SOLAR RADIATION

The monthly Average horizontal solar radiation, Hav, is given below.

n̅
Hav = H0′ (α′ + b′ )
N
Where, H0′ = Monthly average horizontal solar radiation for a clear day.
This is obtained from the chart given below.
 α′ = Arbitrary Constant = 0.35
b′ = Arbitrary Constant =0.61
n̅ = Average daily hours of bright sunshine for the same period.
N = maximum daily hours of bright sunshine for the same period.

The day length in no of hours can be calculated from the following equation which is the
basis of nomograph shown below.
2
N = td = cos −1 (𝑡𝑎𝑛∅ 𝑡𝑎𝑛𝛿)
15
A better estimate of solar radiiation has been developed as given below.
n̅
Hav = H0 (α + b )
N

Where, H0 = The average monthly insolation at the top of the atmosphere

24 360 n 2πωs
= 𝐼 [{1 + 0.033 𝑐𝑜𝑠 ( ) (cos∅ cosδ sinωs + sin∅ sinδ)}]
𝜋 𝑆𝐶 365 360
a and b = modified constants depending upon the location.
The constants for different town is given below.
SOLAR RADIATION ON TILTED SURFACES

 A fully sun tracking surface that always faces the sun receives the maximum
possible solar energy at that particular location.
 The measuring instruments give the values of solar radiation falling on a
horizontal surface.
 Because most of the solar collectors or solar radiation collecting devices are
tilted at an angle to horizontal, it is necessary convert the data on horizontal
surface onto a tilted surface.
 Beam radiation : n most cases; the tilted surface faces due south i.e 𝛾 = 0 , for
this case we have,
Cos 𝜃 = sin 𝛿. sin(∅ − 𝛽) + cos 𝛿. 𝑐𝑜𝑠𝜔. cos(∅ − 𝛽)
For horizontal surface (𝜃 = 𝜃𝑧 ), Cos 𝜃𝑧 = sin 𝛿. sin∅ + cos 𝛿. 𝑐𝑜𝑠𝜔. cos∅
 R b = Tilt factor for beam radiation

Beam Radiation falling on titled surface HT

Rb = =
Beam radiation falling on Horizontal surface H
Hn cosθT sin 𝛿. sin(∅ − 𝛽) + cos 𝛿. 𝑐𝑜𝑠𝜔. cos(∅ − 𝛽)
Rb = =
Hn cosθz sin 𝛿. sin∅ + cos 𝛿. 𝑐𝑜𝑠𝜔. cos∅

TOTAL RADIATION
 Beam and diffuse components of solar radiation are absorbed in flat type
collector.
 Angular Correction for diffuse radiation assuming that it origins near Sun
resulting mostly forward scattering. For this, R is the correction factor for both
direct and diffuse radiation.
H R(Hb +Hd ) H H
R= T= = b R b + d R d considering sky dome diffusion
H H H H
HT R(Hb +Hd ) Hb Hd↑ Hd↓
R= = = Rb + R d↓ considering sky dome
R d↑ +
H H H H H
downward diffusion
(1+𝑐𝑜𝑠β)
A surface title at slope β from horizontal sees at the sky dome. So the coversion
2
factor will be equal to this for upward diffusion.
(1−𝑐𝑜𝑠β)
Similarly, the down space is seen at . Corresponding conversion factor is equal
2
to this factor.
Hb Hb (1 + 𝑐𝑜𝑠β) Hd↓ (1 − 𝑐𝑜𝑠β)
R= Rb + +
H H 2 H 2
Hd↓
= 0.2 where is no snow; 0.7 when there is a snow cover.
H
 Therefore for Indian conditions, a value around 0.2 is generally expected with
surfaces of concrete or glasses and can be used.

SOLAR ENERGY CONVERSION INTO HEAT

 Traditional energy conversion is the combustion of fuel, usually fossil fuel, to

produce heat. Heat produced by combustion may be used for heating space and
water, cooking, or industrial processes, or it may be further converted into
motion or electricity.
 The premise of solar thermal conversion is that heat from the Sun replaces heat
from combustion; fossil fuel use and its threat to the environment and climate
are thus reduced.
 Solar radiation due to solar photons (particles) is nothing but Solar Energy. The
medium of solar photons consist heat. So heat transfer mechanisms of solar
photons results the conversion of solar energy into hear required for engineering
applications.
 To estimate the size, the efficiency and the cost of equipment necessary to
transfer a specified amount of heat in a given time, a heat transfer analysis must
be made. The dimensions of a solar collector, a heat exchanger or a refrigerator
depend not so much on the amount of heat to be transmitted but rather on the
rate at which heat is to be transferred under given external conditions. From an
engineering view point, the determination of the rate of heat transfer at a
 specified temperature difference is the key problem in sizing a solar collector to
provide a given temperature in a home or building.
 Sunlight can be converted into
1. electricity by exciting electrons in a solar cell.
2. It can yield chemical fuel via natural photosynthesis in green plants or
artificial photosynthesis in human-engineered systems.
3. Concentrated or unconcentrated sunlight can produce heat for direct use or
further conversion to electricity.
These solar radiation conversion processes are shown below (Fig.1).

 Despite the abundance and versatility of solar energy, we use very little of it to
directly power human activities.
 Solar electricity accounts for a minuscule 0.015% of world electricity production,
and
 solar heat for 0.3% of global heating of space and water.
 Biomass produced by natural photosynthesis is by far the largest use of solar
energy; its combustion or gasification accounts for about 11% of human energy
needs. However, more than two-thirds of that is gathered unsustainably—that is,
with no replacement plan—and burned in small, inefficient stoves where
combustion is incomplete and the resulting pollutants are uncontrolled.
 Temperature is affected by the Green House Effect. Visible sunlight is absorbed
on the ground at a temperature of 20°C. Sun emits infrared light at a wave length
of about10 μm. But, CO2 in atmosphereabsorbslight of this wavelength and back
radiates part of it to earth. CO2 does not absorb the incoming sunlight which
has a shorter wavelength. Hence the green house effect brings about an
accumulation of energy of the ground.
 Between 80% and 85% of our energy comes from fossil fuels, a product of
ancient biomass stored beneath Earth’s surface for up to 200 million years.
Fossil-fuel resources are of finite extent and are distributed unevenly beneath
Earth’s surface. When fossil fuels are turned into useful energy though
 combustion, they produce greenhouse gases and other harmful environmental
pollutants.
 In contrast, solar photons are effectively inexhaustible and unrestricted by
geopolitical boundaries. Their direct use for energy production does not threaten
health or climate. The solar resource’s magnitude, wide availability, versatility,
and benign effect on the environment and climate make it an appealing energy
source.

HEAT TRANSFER
 Heat transfer occurs mainly by three mechanisms.
1. Conduction : The first is by conduction through solid materials in the
presence of a temperature difference.
2. Radiation : The second mechanism is radiation in which energy moves in
space by electromagnetic waves.
3. Convection : In a moving fluid, the fluid molecules gain heat or lose it by
conduction or radiation and carry it by their movement from one place to
another. This process, the third mechanism is called convection.
4. Others : The heat transfer may be accompanied by other physical
phenomena such as heat generation with in the medium, vapour
condensation, liquid evaporation etc.

CONDUCTION
 The phenomenon of heat conduction is a process of propagation of energy
between the particles of a body which are indirect contact and have different
temperatures.
 The Basic equation for steady state heat conduction
is known as Fourier’s equation. According to this
law, the conduction rate is given in figure. Where,
K = Thermal conductivity proportionality
constant in the direction of heat flow.
A = Area normal to the heat flow direction.
dT
= the temperature gradient in the direction of
dx
heat flow.
The direction of heat flux qx is normal to the surface and is positive in the
direction of decreasing temperature, which explains the negative sign on the
right hand side of equation.

RADIATION
 Radiation is a process by which heat flows from a body at a higher temperature
to a body at a lower temperature when the bodies are separated in space or even
a vacuum exists between them. The heat energy transmitted by radiation is
called radiant heat.
 Radiation is the mode of heat transfer by which the Sun transfer energy to the
Earth. The quantity of energy leaving a surface as radiant heat depends on the
absolute temperature and the nature of the surface.
 A perfect radiator, so called black body emits radiant energy from its surface at a
rate ‘q’ given by,
q = A. σ. T 4
 where,
A = Area of the body (m2)
T = Absolute Temperature(°K)
σ = Stefan Boltzmann Constant = 56.7x10-9 W/m2/k4
k =Kelvin
W = Watt
 Real bodies do not meet the specifications of an ideal radiator and emit radiation
at a lower rather than do black bodies.
 The ratio of the radiation emission of a real body to the radiation emission of a
black body at same temperature is called the emittance. Thus real body emits
radiation at a rate.

For simplicity of linear equation, we define a radiant heat transfer coefficient, hr,
which is given by

Total radiation utilized in different ways is shown in the figure below.

CONVECTION
 Convection is a process that transfer of heat from one region to another by
motion of a fluid. The rate of heat transfer by convection qc, between a surface
and a fluid can be calculated from the relation.
 qc = hc A(Ts − Tf )
Where,
qc = Rate of heat transfer by convection (K.cal/hr)
A = Base area of heat transfer by convection (m2)
Ts = Surface Temperature (°C)
Tf = Fluid Temperature (°C) and
hc = Convection heat transfer co-efficient (K.Cal/hr/m2/°C)

 The thermal resistance to convective heat transfer, Rc, is given by

FLAT PLATE AND CONCENTRATING COLLECTORS
 A solar collector is a device for collecting solar radiation and transfers the energy
to a fluid passing in contact with it. These are required to utilise solar energy.
There are two types of collectors.
1. Non-concentrating or flat plate type solar collector
2. Concentrating (focusing ) type solar collector.
 Solar Energy Collector with its absorber as a primary component of conversion
of solar radiation is useful to generate heat and electricity.
 For best efficiency, collectors should be mounted to face the sun as it moves
through the sky.
 It is device for collecting or absorbing the solar radiations on a surface
called absorber and transfer of a part of radiant energy to fluid like
water or air in contact with it.
 The surface of collector is designed for high absorption and low emissions.

Flat Plate Collector

 The intercepting area of solar radiation is same as the area absorbing the
radiation.
 Solar collectors for home heating usually called flat plate collectors.
 Used for low temperature applications in the range from ambient
temperature up to 100° C.
 Application: solar water heating, space heating and cooling, drying, low
temperature power generation etc.
• Used for low temperature up to 100° C.
• The liquid generally used is water.
• In surrounding where temperature are below 0°C, water mixed with ethylene
glycol to avoid freezing of water.
• The orientation of flat plate collector is kept at the place it is installed to get
maximum output.

•
• Advantages
1. It absorbs direct, diffused and reflected components of solar rediations.
2. It is fixed in orientation thus there is no need for tracking.
3. It has low cost and it is almost maintenance free.
• Collectors Efficiency (Empirical Procedures)
Fig : Collector efficiencies at different irradiances and temperature differences

• Limitations of Flat Plat Collectors

1. These are heavy in weight.
2. Suitable for low temperature applications up to 100 ° C like water and space
heating..
3. Not suitable for large scale power generations.
4. Low collector efficiency.
Concentrating Collector
 The intercepting area of solar radiation is greater , sometimes hundred times,
than the absorber area.
 Much Higher temperature can be achieved than with that of flat plate collector.
 Used to generate medium pressure steam.
 Many different arrangements of mirrors and lenses to concentrate the sun’s rays
on the boiler. Better efficient than flat type collector.
 it is also known as focusing collectors.
 Used for medium to high temperature applications.
 There are two types:
a. cylindrical parabolic collectors: suitable for range of 100°C to 300° C. it is
used for vapor engine and turbine, process heating in industry,
refrigeration, cooking etc.
b. Parabolloid mirror arrays: Used for production of temperature above
300° C.
 Suitable for thermo-electric power generation.
 It is also know as focussing collectors.
 Used when temperatures higher than 100° are required.
 The concentrator is an optical system in the form of reflecting mirrors or
reflecting lenses.

• Types of solar concentrating collectors

1. Focussing type or concentrating type collectors:
• In this collectors, optical system focuses the solar radiations on the
absorber. These are further classified as :
1. Line focussing concentrators.
2. Point focussing concentrators.
2. Non-focusing type collectors: In this collectors, solar radiations are allowed to
fall on the absorber using reflecting in the mirror.
• Focusing type concentrators Types,
1. Parabolic trough reflector.

• This type is line focussing type collector.

• Parabolic trough reflectors are usually made of highly polished or silvered
glass.
• In order that the solar radiations are always focused on a line with
 respect to change in sun’s elevation by the parabolic reflector, either the
trough or the collector pipe is rotated continuously about the axis of
absorber.

2. Mirror strip reflector.

• It is line focussing type collector.

• It has plane or slightly curved mirror strips mounted on a flat base.
• The individual mirrors are placed at such angles that the reflected solar
radiations fall on the same focal line where the absorber pipe is placed.
• The collector pipe is rotated so that the reflected rays on the absorber remain
focused with respect to changes in sun’s elevation.

3. Fresnel lens collector.

 • This is also line focussing type collector.
• The angles of each groove is so designed that the optical behaviour of the
fresnel lens is similar to spherical lens.
• A fresnel lens collector is generally made of acrylic sheets having overall
dimensions of 4.7 mm in length and 0.05 in width.

4. Paraboloid dish collector.

Non-focussing type concentrators

• In these type of collectors the solar radiations are allowed to fall on the absorber
after using reflection in the mirror.
1. Flat plate collector with plane reflector.
2. Compounded parabolic concentrator (CPC).
• The concentrating ratio up to 4 can be achieved by such system.
• concentrating ratio is ratio of area of concentrating aperture to the
energy absorbing area of the receiver.
• In order that the attached mirror are effective , the angles of mirrors should be
adjusted continuously as the sun’s elevation changes.
• The temperature up to 140 °C can be attained with use of mirror reflectors.

• It is also know as Winston collector.

• Both diffuse and direct radiations are collects.
• The concentrating ratio achieved in this collector ranges from 3-7.
• Temperature attained in range of 100 °C to 150 ° C.

• A concentrating ratio up to 3000 can be achieved with this type of system.

• It can generate high pressure and high temperature of steam suitable for power
generation in steam power plant.
• Design is quite complicated and costly.
• Advantages of concentrating collectors
1. Cost per unit area is less since it require less reflecting surface.
2. Require less absorber area.
3. Has high collector efficiency since heat losses are less.
4. Suitable for large power generation
5. Due to higher concentrating ratio, the temperature attained is higher.
6. Cost per unit area of solar collecting surface is less.
7. Absorber is very small, hence heat loss to the surrounding per unit of
8. solar energy collecting area is less
• Disadvantages
1. System needs tracking of sun which increase the cost of installation.
2. Diffuse solar radiations cannot be collected in focusing type of
collectors.
3. Require higher maintenance to retain the quality of reflecting surfaces.
Mathematical Analysis of Flat Plate collectors and collector Efficiency
CONVECTION HEAT TRANSFER

It takes place in fluids (liquids, vapors and gases). Convection is due to the bulk motion
of the fluid. This mode is at macro level i.e. visible to the naked eye.
Driving force is temperature difference. Convection takes place from higher
temperature to lower temperature. Governing law for convection is Newton’ law of
cooling.

There are two types of Convection i.e. free and forced convection.
• Free Convection or natural convection
In this, bulk motion of the fluid is caused by the density difference or by the
buoyancy force. Thermal boundary layer coincide with the hydrodynamic boundary
layer.
• Velocity of fluid is zero at the solid surface.
• Velocity of fluid is zero at the boundary of the boundary layer and also
beyond the boundary layer.
• Dimensionless numbers used in free convection are Grashoff’s and
Prandtl number.

There are two types of free Convection.

(i) Laminar free convection

(ii) turbulent free convection.

Examples of free convection are

(a) Thunderstorms
(b) Glider planes
(c) Sea breeze
(d) Land breeze
(e) Cooling of Electric motors, pumps, compressors, transformer, IC Engines, mixers
(f) Hot coffee cooling in a cup
(g) Motion of hot balloons

Forced convection

Figure 1. Convection is a heat transfer mechanism where heat moves from one place to
another through fluid currents. Forced convection is simply using this mechanism in a
useful way to heat or cool a home efficiently, such as using a fan.[1]
Forced convection is a special type of heat transfer in which fluids are forced to move, in
order to increase the heat transfer.[2] This forcing can be done with a ceiling fan, a
pump, suction device, or other.

Many people are familiar with the statement that "heat rises". This is a simplification of
the idea that hot fluids are almost always less dense than the same fluid when cold, but
there are exceptions (see the layers of the atmosphere and thermohaline circulation for
exceptions). This difference in density makes hotter material naturally end up on top of
cooler material due to the higher buoyancy of the hotter material.[3]

Natural convection can create a noticeable difference in temperature within a home.

Often this becomes places where certain parts of the house are warmer and certain
parts are cooler. Forced convection creates a more uniform and therefore comfortable
temperature throughout the entire home. This reduces cold spots in the house, reducing
the need to crank the thermostat to a higher temperature, or putting on sweaters.

Operation

Figure 1. A floor heat register[4] is part of the HVAC system that creates forced
convection in a home.

Creating forced convection is as easy as turning on a fan. Air is heated in the furnace and
pushed through the house by the blower, which is a fan inside the ventilation system.
This blower outputs a specific quantity of air, and this output air flow is divided among
all of the output grills (also called heater vents) in a home.[5] Once it has traveled
through the vents by being pushed through by fans, the warm, treated air is ejected
through floor or ceiling vents into the rooms of a house. With help from natural
convection this air then travels through the room, warming the room as it rises to the
top by natural convection and slowly falls down to the floor as it cools. The system of
heating the air and pushing it throughout the house to warm it then begins again.[6]

How the treated air gets to the output vents makes a difference, as the structure of the
ductwork can create resistance to airflow at elbows, divisions, or places where the
ductwork size changes. This change in turn effects how well this forced air system can
heat a home since they are all sharing the output flow of air from one source —the
furnace. Therefore, properly planning out the ducting is important.[5] As a general rule,
the best way for air to move through a duct is to have a straight duct, that is round in
shape with a smooth inside wall—since curves and corners resist air flow. Wherever
possible, this guideline should be followed to ensure that the air that is being forced out
by the furnace heats the house properly. In addition, ensuring output vents are not
covered by furniture or installed behind curtains ensures that the warm air output by
the furnace is able to circulate throughout the room.

It is a common misconception that the more air that flows from a fan—or the more a fan
"pushes" the air— the greater the effects of forced convection will occur, due to the
large amount of heated or cooled air being pushed out by the fan. However, this is not
entirely true. Part of how air moves through a home or other building has to do with the
pressure and temperature that exists in the room before more air is pushed through.
For example, if a room has a cold spot and the goal is to heat the room evenly, the
pressure change in the area between the cold and warm spots, known as transitional
"warm" area, factors into how well a fan will be able to move warm air to the cold area.
If the pressure drop in this warm area is higher, there will be a lower flow rate of air
into the cold section of the room, making it more difficult for the fan to push warm air
into this section. This phenomenon is known as the pressure drop over the heat sink
and it can be summed up easily by saying that it is more difficult for a fan to push warm
or cool air through a region between two areas of different temperatures that also has a
large pressure difference across its boundary.[2]

Mechanism of Forced Convection

Convection is a complex heat transfer method, but can be expressed by Newton's Law of
Heating and Cooling:[7]

Which simply says that the rate of convection heat transfer (q∗conv), expressed in the
units (W/m2) is proportional to the difference between the initial temperature of the
material (Ts) and the final temperature of the material (T∞) through a proportionality
constant h. The rate of heat transfer is also strongly dependent on the roughness and
shape of the material being heated. Newton's Law of Heating and Cooling changes
depending on whether or not the convection is forced. For natural cooling, the h value is
equal to a certain number. However, by forcing convection and pushing heated or
cooled air from one place to another one is able to change this proportionality constant
and heat or cool an object more quickly.

For a more mathematical look at forced convection, see Simon Fraser University's page.
Ceiling Fans
The use of ceiling fans in a home also represents a different type of forced convection.
Ceiling fans can be used in both the winter (figure 2) and the summer (figure 3), but
their settings must be different in order to perform the desired task. In the summer
months, the fan is generally set to a higher speed. The angle of the blades forces air
down through the room. Generally this corresponds to a counter-clockwise rotation
when looking at the fan from below. This downward breeze aids in the evaporation of
perspiration from inhabitants of the home, cooling them. In the winter months, the fan
must be used on a slower speed. The blades also spin in a different direction, generally
clockwise when looking from below the fan, which pulls the cooler air up from the
lower parts of the room. The cooler air from below then mixes with the warmer air that
has risen and mixes the two, distributing warmer air throughout the building.

Figure 3. In the winter, ceiling fans should rotate clockwise to pull cool air up from the
room and force warm air downwards, creating an updraft.[8]

Figure 2. In the summer, ceiling fans should rotate counterclockwise to mix warm air
and force a cool breeze downwards, creating a downdraft.[8]

 If the saturation currentis 10-8 Am-2, calculate and draw the I-V characteristic
ass a graph to 0.2 V
IDEAL DIODE

 A diode does two things:

1. allows current to flow in one direction, called the forward direction
2. blocks current in the other direction, called the reverse direction
 It is ideal in that it does both of these perfectly. If we plotted the current through
a diode versus the voltage, it would look like the following ideal diode IV curve.

 Due to the process of making things, real world diodes are not this perfect. We'll
discuss why as we continue.

Diode Symbol
It turns out there's an easy way to represent diodes through symbols in a schematic.
Here they are:

 Diode Polarity : Now that we have a good foundation, we should discuss diode
polarity. It turns out that diode direction plays a key role in its behavior.
 Why?
 Well it has to do with the physics in the diode. Let's break down the two ends of
the diode as follows:

 Diode Anode: positive end of the diode, when the voltage here is higher than the
cathode and high enough to turn on the diode, current will flow through it
 Diode Cathode: negative end of the diode, it will not let current flow through this
end unless the voltage gets high enough that the diode can't handle it, which is
known as breakdown.

diode polarity
 PN Junction Diode : The solid state physics behind the workings of a PN diode is
related to the manipulation of electrons.
 It turns out that we can make types of material that have excess of electrons, N-
type, and also an absence of electrons, or P-type.
 When we put an N-type material next to a P-type material, we get neat behaviors.
 The P-type section, having an absence of electrons, acts like "holes", which
creates positive charge carriers.
 The N-type section has an excess of electrons.
 So why don't the electrons go join the holes and balance everything out in the
material?
 What is neat is that the materials are made in such a way that the excess
electrons don't easily flow into the absence of electrons because the two are
shifted in relation to each other.
 When a diode forward voltage is applied, which means a more positive voltage is
put on the anode, then the shift between the electrons and the holes move much
closer together, allowing a good movement of electrons (current) through the
device.
 That is how your one way street of current is created.
 When a reverse bias voltage is applied, the shift between the electrons and the
holes that is already there gets moved even more, making it hard for electrons to
flow through the diode.
 A road block for current is created.
The monthly Average horizontal solar radiation, Hav, is given below.
n̅
Hav = H0′ (α′ + b′ )
N
Where, H0′ = Monthly average horizontal solar radiation for a clear day.
This is obtained from the chart given below.
 α′ = Arbitrary Constant = 0.35
b′ = Arbitrary Constant =0.61
n̅ = Average daily hours of bright sunshine for the same period.
N = maximum daily hours of bright sunshine for the same period.

The day length in no of hours can be calculated from the following equation which is the
basis of nomograph shown below.
2
N = td = cos −1 (𝑡𝑎𝑛∅ 𝑡𝑎𝑛𝛿)
15
A better estimate of solar radiiation has been developed as given below.
n̅
Hav = H0 (α + b )
N

Where, H0 = The average monthly insolation at the top of the atmosphere

24 360 n 2πωs
= 𝐼 [{1 + 0.033 𝑐𝑜𝑠 ( ) (cos∅ cosδ sinωs + sin∅ sinδ)}]
𝜋 𝑆𝐶 365 360
a and b = modified constants depending upon the location.
The constants for different town is given below.
Q. Explain how the solar radiation is determined on tilted surface for Indian Conditions.

SOLAR RADIATION ON TILTED SURFACES

 A fully sun tracking surface that always faces the sun receives the maximum
possible solar energy at that particular location.
 The measuring instruments give the values of solar radiation falling on a
horizontal surface.
 Because most of the solar collectors or solar radiation collecting devices are
tilted at an angle to horizontal, it is necessary convert the data on horizontal
surface onto a tilted surface.
 Beam radiation : n most cases; the tilted surface faces due south i.e 𝛾 = 0 , for
this case we have,
Cos 𝜃 = sin 𝛿. sin(∅ − 𝛽) + cos 𝛿. 𝑐𝑜𝑠𝜔. cos(∅ − 𝛽)
For horizontal surface (𝜃 = 𝜃𝑧 ), Cos 𝜃𝑧 = sin 𝛿. sin∅ + cos 𝛿. 𝑐𝑜𝑠𝜔. cos∅
 R b = Tilt factor for beam radiation

Beam Radiation falling on titled surface HT

Rb = =
Beam radiation falling on Horizontal surface H
Hn cosθT sin 𝛿. sin(∅ − 𝛽) + cos 𝛿. 𝑐𝑜𝑠𝜔. cos(∅ − 𝛽)
Rb = =
Hn cosθz sin 𝛿. sin∅ + cos 𝛿. 𝑐𝑜𝑠𝜔. cos∅

TOTAL RADIATION
 Beam and diffuse components of solar radiation are absorbed in flat type
collector.
 Angular Correction for diffuse radiation assuming that it origins near Sun
resulting mostly forward scattering. For this, R is the correction factor for both
direct and diffuse radiation.
H R(Hb +Hd ) H H
R= T= = b R b + d R d considering sky dome diffusion
H H H H
HT R(Hb +Hd ) Hb Hd↑ Hd↓
R= = = Rb + R d↓ considering sky dome
R d↑ +
H H H H H
downward diffusion
(1+𝑐𝑜𝑠β)
A surface title at slope β from horizontal sees at the sky dome. So the coversion
2
factor will be equal to this for upward diffusion.
(1−𝑐𝑜𝑠β)
Similarly, the down space is seen at . Corresponding conversion factor is equal
2
to this factor.
Hb Hb (1 + 𝑐𝑜𝑠β) Hd↓ (1 − 𝑐𝑜𝑠β)
R= Rb + +
H H 2 H 2
Hd↓
= 0.2 where is no snow; 0.7 when there is a snow cover.
H
Therefore for Indian conditions, a value around 0.2 is generally expected with surfaces
of concrete or glasses and can be used
Q. Describe the operation of non-convective solar pondfor solar energy collection
and storage. (University Question paper)

Solar Pond

 Non-convective solar pond is a potential large surface area solar collector device. It
has additional advantage of long term storage capacity.
 It is a shallow body of water of about a meter deep containing dissolved salts to
generate a stable density gradient (fresh water on top and denser salt at the
bottom).
 Part of the incident solar radiation entering the pond is absorbed leading to
temperatures near 100°C without convection due to the density gradient.
 The hot salt water can be used to drive turbine and electric generator with the use of
suitable fluids, provision of process hot water for industrial and commercial
purposes, space heating, air conditioning and hot water needs of community or
individual apartment.

NON-CONVECTIVE SOLAR POND

 A non-convective solar pond is a man-made black bottom pond or lake usually
between 1m and 2m deep in which convection is discouraged with the use of
saline water having increased concentration with depth. The saline water may be
produced from Magnesium Chloride (MgCl2), Sodium Chloride (NaCl), Sodium
Sulphate (Na2SO4), Ammonium salts et cetera, inhibits free convection and
through the solar radiation incident on the pond, a temperature gradient results
with the bottom warmer (up to boiling point) than the top.
 However, there are some natural lakes with this characteristic.
 A lot of solar collector devices are now known. However, none has succeeded in
overcoming the periodicity problem of solar energy as solar pond. Solar pond is
capable of storing energy for use in the black month (1-4 months depending on
the Latitude) during the peak season in higher latitude. This is particularly useful
in the northern part of Nigeria with extreme temperatures during the harmattan
season. Energy stored in the afternoon can be used at night and the following
morning.
 Apart from the storage capacity, it has helped to overcome the limitation of other
collectors to harness sufficient solar energy that can be used for power
production (8), process heat (9), space heating (10), and desalination (11).
 Israel is the pioneer and forerunner of solar pond till date. Much theoretical and
laboratory studies started as far back as 1958 and it has been established that
pond operating temperature of 900C is feasible. Solar ponds had been
successfully used to produce salt (12) and generation of electrical and
mechanical power. Solar Pond Power Station (SPPS) at Et’ Haaravah, Israel with
a depth of 2.5m and area of 250,000m2 supplies 5.0MW of electricity for 3
hr/day in mid winter and 14 hr/day in mid summer(7). Work began on solar
pond in 1964 in Australia (13) and a temperature of about 630C was reported by
at the bottom. Solar pond studies started in 1974 at U.S.A. and a temperature in
excess of 1000C was obtained in a location at New Mexico (14). Even in
temperate region, where the insolation is generally low, solar pond had been
proved to be a viable option for space heating in Spain (15) and London (16),
 former U.S.S.R., Chile, Argentina, India and Zambia also reported some
advancement on solar ponds.
 Solar Pond Operations :
1. Two different methods can be used to develop the salt gradient. One
approach is to start with the most dense later (saturated brine solution)
below and consequently floats denser layer on top up to the lighter layer
(fresh water). Another approach is to start with the fresh water and then
introduce denser layers at the bottom which will lift the lighter layers
previously filled (13).
2. A typical application of the first approach consists of partially filling the pond
with high salinity brine and pumping of fresh water through a diffuser which
is immersed in the upper portion of the existing solution. The diffuser is
progressively raised to the surface either in continuous motion or in discreet
steps of about 5.0 cm (17). The pond (figure 3) obtained can be categorized
into 3 zones. The upper convective zone (UCZ) of low and uniform salt
gradient at constant temperature that is very close to the ambient
temperature. Convection is due to thermal cycling, wind action and the effect
of both the temperature and salt gradient at it lower boundary.

Immediately below the UCZ is the nonconvective zone (NCZ) with salt density
increasing with depth. It serves as insulator and heat storage zone. It is
known to effectively transmit incident solar energy to the storage brine
below as its thickness is reduced and at the same time serve better as
insulation for the storage brine as thickness increases. However, there
is an optimum thickness for which the rate of energy collected is maximized
(18). At the bottom of the NCZ is the lower convective zone (LCZ) with
constant salt and temperature gradient. This is the heat collector, heat
storage and heat removal medium. The bottom boundary is a black body.
Figure 3.1 and 3.2 show the density and temperature gradient respectively.
Q. Derive the relation for transmission coefficient for series of Glass Covers in flat plate
collector.

Q. Draw the I-V Characteristics of PV Cell and describe the system configuration for
maximum power extraction from PV Systems(University Question Paper)
 Solar Cell I-V Characteristic Curves show the current and voltage ( I-V )
characteristics of a particular photovoltaic ( PV ) cell, module or array giving a
detailed description of its solar energy conversion ability and efficiency.
Knowing the electrical I-V characteristics (more importantly Pmax) of a solar
 cell, or panel is critical in determining the device’s output performance and solar
efficiency.

 Photovoltaic solar cells convert the suns radiant light directly into electricity.
With increasing demand for a clean energy source and the sun’s potential as a
free energy source, has made solar energy conversion as part of a mixture of
renewable energy sources increasingly important. As a result, the demand for
efficient solar cells, which convert sunlight directly into electricity, is growing
faster than ever before.
 Photovoltaic ( PV ) cells are made made almost entirely from silicon that has
been processed into an extremely pure crystalline form that absorbs the photons
from sunlight and then releases them as electrons, causing an electric current to
flow when the photoconductive cell is connected to an external load. There are a
variety of different measurements we can make to determine the solar cell’s
performance, such as its power output and its conversion efficiency.
 The main electrical characteristics of a PV cell or module are summarized in the
relationship between the current and voltage produced on a typical solar cell I-V
characteristics curve. The intensity of the solar radiation (insolation) that hits
the cell controls the current ( I ), while the increases in the temperature of the
solar cell reduces its voltage ( V ).
 Solar cells produce direct current ( DC ) electricity and current times voltage
equals power, so we can create solar cell I-V curves representing the current
versus the voltage for a photovoltaic device.
 Solar Cell I-V Characteristics Curves are basically a graphical representation of
the operation of a solar cell or module summarising the relationship between the
current and voltage at the existing conditions of irradiance and temperature. I-V
curves provide the information required to configure a solar system so that it can
operate as close to its optimal peak power point (MPP) as possible.
 Solar Cell I-V Characteristic Curve

 The above graph shows the current-voltage ( I-V ) characteristics of a typical silicon
PV cell operating under normal conditions. The power delivered by a solar cell is the
product of current and voltage ( I x V ). If the multiplication is done, point for point,
 for all voltages from short-circuit to open-circuit conditions, the power curve above
is obtained for a given radiation level.
 With the solar cell open-circuited, that is not connected to any load, the current will
be at its minimum (zero) and the voltage across the cell is at its maximum, known as
the solar cells open circuit voltage, or Voc. At the other extreme, when the solar cell
is short circuited, that is the positive and negative leads connected together, the
voltage across the cell is at its minimum (zero) but the current flowing out of the cell
reaches its maximum, known as the solar cells short circuit current, or Isc.
 Then the span of the solar cell I-V characteristics curve ranges from the short circuit
current ( Isc ) at zero output volts, to zero current at the full open circuit voltage (
Voc ). In other words, the maximum voltage available from a cell is at open circuit,
and the maximum current at closed circuit. Of course, neither of these two
conditions generates any electrical power, but there must be a point somewhere in
between were the solar cell generates maximum power.
 However, there is one particular combination of current and voltage for which the
power reaches its maximum value, at Imp and Vmp. In other words, the point at
which the cell generates maximum electrical power and this is shown at the top
right area of the green rectangle. This is the “maximum power point” or MPP.
Therefore the ideal operation of a photovoltaic cell (or panel) is defined to be at the
maximum power point.
 The maximum power point (MPP) of a solar cell is positioned near the bend in the I-
V characteristics curve. The corresponding values of Vmp and Imp can be estimated
from the open circuit voltage and the short circuit current: Vmp ≅ (0.8–0.90)Voc
and Imp ≅ (0.85–0.95)Isc. Since solar cell output voltage and current both depend
on temperature, the actual output power will vary with changes in ambient
temperature.
 Thus far we have looked at Solar Cell I-V Characteristic Curve for a single solar cell
or panel. But many photovoltaic arrays are made up of smaller PV panels connected
together. Then the I-V curve of a PV array is just a scaled up version of the single
solar cell I-V characteristic curve as shown.

Q. Explain step-by step procedure of perturb and observe method of maximum power
point technique (University Question paper)

 Solar energy is becoming popular and has drawn lots of attention from
researchers nowadays. However, the output power of the photovoltaic (PV)
arrays varies with solar irradiation and temperature, which affect the efficiency
of PV arrays. Therefore, Maximum Power Point Tracking (MPPT) control
technique is used to extract the maximum available power from the PV arrays.
Perturb and Observe (P and O) algorithm is one of the favorite techniques
frequently used due to its simplicity and low cost. Yet, the conventional P and O
algorithm has several drawbacks, which leads to power loss and lack of
efficiency. This paper presents comparison of the basic P and O algorithm with
the modified P and O algorithm used for partial shading condition in terms of
complexity, accuracy, cost, and basic concept of each method.
 Conventional P&O MPPT : The basic concept of Perturb and Observe (P&O)
algorithm involves the perturbation of solar PV operation point corresponding to
the sign of the last increment of PV power [16, 18]. In this method, any changes
of perturb voltage ∆V are commanded by the algorithm to the PV module
operating voltage. P&O will determine whether the operating voltage should be
increased or decreased by ∆V after the process of observing output power has
taken place [19]. Figure 1 shows more detail on the operation of the
conventional P&O algorithm. Based on the obtained information, P&O algorithm
is able to predict when the operating voltage is approaching the VMPP by
comparing the actual and the previous state of the power, P, and voltage, V. In
short, the next perturbation to reach the MPP will be the same if there is an
increment of P and vice versa [20], as shown concluded in Table 1.
Modified P&O MPPT : fuzzy logic controller (FLC) is used to vary the step size, as
presented in Figure 2. FLC functions to determine the suitable step size to be used in the
algorithm. For the simulation purpose, a Buck DC-DC converter with Pulse Width
Modulation (PWM) controller was also included in the PV system. As a result, the
modified P&O was able to improve both the steady state and dynamic performance of
the system.

http://www.ftexploring.com/solar-energy/direct-and-diffuse-radiation.htm
https://www.scribd.com/document/325147762/Solar-Radiation-Geometry
https://physicstoday.scitation.org/doi/pdf/10.1063/1.2718755
https://www.brainkart.com/article/Physical-Principles-of-the-Conversion-of-Solar-
Radiation-Into-Heat_13707/
http://www.powerfromthesun.net/Book/chapter02/chapter02.html
 UNIT – III

Wind energy conversion, General formula -Lift and Drag- Basis of wind energy
conversion – Effect of density, frequency variances, angle of attack, and wind speed.
Windmill rotors Horizontal axis and vertical axis rotors. Determination of torque
coefficient, Induction type generators- working principle.

WIND ENERGY CONVERSION

 Simply stated, wind turbines work the opposite of a fan. Instead of using
electricity to make wind—like a fan—wind turbines use wind to make electricity.
 The wind turns the blades, which in turn spins a generator to create electricity.

How Wind Creates Energy?

 Wind is a form of solar energy caused by a combination of three concurrent

events:
1. The sun unevenly heating the atmosphere
2. Irregularities of the earth's surface causing boundary layer frictional effects.
3. The rotation of the earth results coriolis force resulting easterly wind drift in
the northern hemisphere.
Because of these three causes wind flow is very complex to understand.
 Wind flow patterns and speeds vary greatly across the world and are modified
by bodies of water, vegetation, and differences in terrain.
 Simple wind flow Model : Wind results from air in motion. Air in motion arises
from a pressure gradient. On the global basis one primary forcing causing
surface winds from poles towards the equator is convective circulation. Solar
radiation heats the air near equator, and this low density heated air buoyed up.
At the surface it is displaced by cooler more dense higher pressure air flowing
from the poles. In the upper atmosphere, near the equator the air thus tend to
flow back toward the poles and away from the equator. The net result is a global
convective circulation with surface winds from the north to south in the
northern hemisphere.
 Wind Utilisation is considered to be a part of solar technology.
 Humans use this wind flow, or motion energy, for many purposes: sailing, flying
a kite, and even generating electricity. Wind power is pollution free and that its
source of energy is free.
 The terms "wind energy" and "wind power" both describe the process by which
the wind is used to generate mechanical power or electricity. Wind turbines
convert the kinetic energy from the wind into mechanical power. This
mechanical power can be used for specific tasks (such as grinding grain or
pumping water) or a generator can convert this mechanical power into
electricity.
 It has been estimated that 2% of all solar radiation falling on the surface of earth
is converted to kinetic energy in the atmosphere and 30% of this kinetic energy
occurs in the lowest 1000 m of elevation.
 A wind turbine turns energy in the wind into electricity using the aerodynamic
force created by the rotor blades, which work similarly to an airplane wing or
helicopter rotor blade.
 When the wind flows across the blade, the air pressure on one side of the blade
decreases. The difference in air pressure across the two sides of the blade creates
both lift and drag.
 The force of the lift is stronger than the drag and this causes the rotor to spin.
 The rotor is connected to the generator, either directly (if it's a direct drive
turbine) or through a shaft and a series of gears (a gearbox) that speed up the
rotation and allow for a physically smaller generator. This translation of
aerodynamic force to rotation of a generator creates electricity.

Block Diagram of Wind Energy Conversion

LIFT AND DRAG : THE BASIS FOR WIND ENERGYCONVESRION
  Airflow over any surface creates two types of aerodynamic forces:
1. drag forces, in the direction of the airflow,
2. lift forces, perpendicular to the airflow.
 Either or both of these can be used to generate the forces needed to rotate the
blades of a wind turbine.

DRAG-BASED WIND TURBINE

 Both aircraft engineers who build aircraft wings and propellers, and wind
turbine engineers who design rotor blades are concerned with aerodynamic
drag.
 Drag is always important when an object moves rapidly through the air. Wind
turbine rotor blades must have high tip speeds to work efficiently. Therefore it is
critical, that rotor blades have low aerodynamic drag.

 In drag-based wind turbines, the force of the wind pushes against a surface, like
an open sail.
 In fact, the earliest wind turbines, dating back to ancient Persia, used this
approach. The Savonius rotor is a simple drag-based windmill that you can make
at home (Figure 1). It works because the drag of the open, or concave, face of the
cylinder is greater than the drag on the closed or convex section.

DRAG INCREASES WITH THE AREA FACING THE WIND

 Drag increases in proportion to the frontal area of an object facing the wind. It is
a good idea to design objects that have to move quickly through fluids with low
energy use to have small cross sections facing the current. That is the reason why
submarines, missiles, cars, or bicyclists' helmets often are built using elongated
drop shapes.
 ρV 2
FD = CD A
2
FD = The drag force measured in N (Newton).
CD = The drag coefficient, measured in N/ m2
A = Reference Frontal Area measured in m2
ρ = Mass density of fluid kg/m3
V = Flow velocity relative to Object in m/s

and Lift

 Drag depends on the Shape of the Object also.

Hemisphere open towards the wind

 A Parachute shape has a very high drag coefficient of 1.42

 Different shapes have very different drag. The size of the drag for a given shape
is usually measured by the drag coefficient, CD, which is defined as the drag force
per square meter frontal area of the object. For aircraft airfoils the drag
coefficient is usually defined relative to the wing area.
 The picture shows a hollow hemisphere open towards the wind, just like the cup
of a cup anemometer or like a parachute. Such a shape has a very high CD of 1.42,
whereas its CD is only 0.38 if you turn it 180° around a vertical axis. A modern
automobile typically has a CD in the range 0.27-0.35. A runner has a CD about 0.5,
a racing bicyclist about 0.4. An airfoil shape used on aircraft wings or rotor
blades, typically has an extremely small CD about 0.04. The drag coefficients are
valid for Reynolds numbers above 104.
DRAG INCREASES WITH THE SQUARE OF THE WIND SPEED
 Both lift and drag increase with the square of the wind speed.
 The reason why drag is much more of a problem for a racing bicyclist than for,
say, a runner, is that a fast runner will be moving at speed of some 6 m/s (21
km/h, 13 mph), whereas a racing bicyclist is moving at a speed of some 12 m/s
(42 km/h, 26 mph).
 A modern car (drag coefficient 0.34) with a 110 kW (150 HP) engine will be
using about 4.6 kW (6 HP) of power to overcome air drag and 11 kW (14 HP) for
mechanical propulsion (rolling resistance etc.) when it is being driven at a
constant 80 km/h (22.2 m/s, 49 mph). When driving at its top speed of 210
km/h (58 m/s, 128 mph) it will be using 82 kW (112 HP) to overcome drag and
the remaining 28 kW (38 HP) to overcome rolling resistance etc.

HIGH LIFT TO DRAG RATIO NEEDED FOR AIRFOILS AND FOR ROTOR BLADES
 The rotors on modern wind turbines have very high tip speeds for the rotor
blades, usually around 75 m/s (270 km/h, 164 mph). In order to obtain high
efficiency, it is therefore essential to use airfoil shaped rotor blades with a very
high lift to drag ratio, i.e. rotor blades which provide a lot of lift with as little drag
as possible. This is particularly necessary in the section of the blade near the tip,
where the speed relative to the air is much higher than close to the centre of the
rotor.
 For wind turbines with a low tip speed it is not necessary to use top quality
airfoils. The "Western" type windmill rotors can easily be manufactured from flat
metal plate.

DRAG INCREASES WITH THE DENSITY OF AIR

 Both lift and drag increase in proportion to with the density of air. Cold air will
thus give more drag than hot air.
DRAG COEFFICIENT VARIES WITH THE ROUGHNESS OF THE OBJECT SURFACE
 Just as it is case for lift, drag may vary quite dramatically with the surface
roughness of the object. Normally it is desirable to have smooth, clean surfaces in
order to minimise drag. The value of drag coefficient is usually found through
(very expensive) wind tunnel measurements. Airfoil tables frequently give the
drag coefficient per square metre wing or rotor blade area, rather than per
square metre frontal area.

DRAG DEPENDS ON THE REYNOLDS NUMBER

 In reality, there is not just one, but two kinds of drag: Pressure drag, and friction
drag.
 At very low speeds, and for small objects, say dust particles, the friction drag
dominates.
 At high speeds and/or large object sizes pressure differences dominate.
 The drag coefficient for an object will therefore depend on which type of flow is
dominating.
 A microscopic parachute will not work like a large parachute.
 Fortunately we are able to predict which type of flow we are dealing with if we
know the so-called Reynolds number for the experiment. (Named after the
British engineer Sir Osborne Reynolds 1842-1912).
 The Reynolds number is defined as Re = v L / (μ / ρ )
Re = The Reynolds number, which is dimensionless, i.e. it is a ratio of two
quantities with the same unit.
v = The relative velocity of the fluid in m/s.
L = The characteristic length, in this case the largest cross section of the
frontal area in m.
μ = The viscosity of the fluid in Ns/m2. The viscosity of air, also called the
dynamic viscosity of air is 1.8 x 10- 5 at 15° C and atmospheric
pressure at sea level.
ρ = The density of the fluid in kg/m3.
 The value in the denominator of the fraction (μ / ρ ) is called the kinematic
viscosity of air. When the kinematic viscosity is high, the laminar flows dominate.
 Thus, if the Reynolds number is very small, below 1, one can ignore pressure
drag and concentrate on friction drag. If the number is large, above 100, one can
ignore the friction drag and look at pressure drag only. Close to the surface of the
object friction drag and viscosity are always important.
LIFT-BASED WIND TURBINES

ρV 2
FL = CL A
2

FL = The Lift force measured in N (Newton).

CL = The Lift coefficient, measured in N/ m2
A = Reference Frontal Area measured in m2
ρ = Mass density of fluid kg/m3
V = Flow velocity relative to Object in m/s

 More energy can be extracted from wind using lift rather than drag, but this
requires specially shaped airfoil surfaces, like those used on airplane wings. The
airfoil shape is designed to create a differential pressure between the upper and
lower surfaces, leading to a net force in the direction perpendicular to the wind
direction. Rotors of this type must be carefully oriented (the orientation is
referred to as the rotor pitch), to maintain their ability to harness the power of
the wind as wind speed changes.
TYPES OF WIND TURBINES –
HORIZONTAL AXIS AND VERTICAL AXIS WIND TURBINES
 Basically the turbines are used to convert the wind energy into electrical energy
with the help of a generator. It extracts the energy from the wind and converts it into
mechanical energy and then this mechanical energy is used to derive a generator
and we get electricity.
 What is Wind Turbine?
o It is a mechanical machine that converts kinetic energy of the fast moving winds
into electrical energy. On the basis of axis of rotation of the blades, it is divided
into two parts.
1. Horizontal axis wind turbine (HAWT)
2. Vertical axis wind turbine (VAWT)

1. Horizontal Axis Wind Turbine (HAWT)

 It is a turbine in which the axis of rotation of rotor is parallel to the ground and
also parallel to wind direction.
 They are further divided into two types

(i) Upwind turbine

 The turbine in which the rotor faces the wind first are called upwind
turbine.
 Today most of the HAWT is manufactured with this design.
This turbine must be inflexible and placed at some distance from the
tower.
 The basic advantage of this turbine is that, it is capable of avoiding wind
shade behind the tower.
 It requires yaw mechanism, so that its rotor always faces the wind.
 (ii) Downwind turbine
 The turbine in which the rotor is present at the downside of the tower is
called downwind turbine. In these types of wind turbines, the wind first
faces the tower and after that it faces the rotor blades.
 Yaw mechanism is absent in this turbine. The rotors and nacelles are
designed in such a way that the nacelle (Streamline casing) allows the
wind to flow in a controlled manner.
 It receives some fluctuation in wind power because here the rotor passes
through the wind shade of the tower. In other words the rotor is present
after nacelle of the tower and this create fluctuation in the wind power.

ADVANTAGES AND DISADVANTAGES OF HAWTS

 The various advantages and disadvantages of the horizontal axis types of wind
turbines are:
Advantages
o It has self-starting ability. It does not require any external power source
to start.
o It has high efficiency as compared with the HAWT.
o Capable of working in high wind speed condition.
o In the case of slow wind condition, its angle of attack can be varied to get
maximum possible efficiency.
o Since all blades of this turbine work simultaneously, so it is capable of
extracting maximum energy form the wind.
Disadvantages
o Its initial installation cost is high.
o It requires large ground area for its installation.
o Because of its giant size of blades and towers, it becomes difficult to
transport it to the sites.
o High maintenance cost.
o Creates noise problem.
o It cannot be installed near human population.
o It is not good for the bird’s population. They are killed by its blades
rotation.
2. Vertical Axis Wind Turbine (VAWT)
 It is a turbine in which the axis of rotation of the rotor is perpendicular to the
ground and also perpendicular to the wind direction.
 It can operate in low wind situation.
 It is easier to build and transport.
 These types of Wind turbines are mounted close to the ground and are capable of
handling turbulence in far better way as compared with the HAWT.
 Because of its less efficiency, it is used only for the private purpose.
 VAWTs are further classified as
(i) Darrieus turbine
o Darrieus turbine is type of HAWT. It was first discovered and
patented in 1931 by French aeronautical engineer, Georges Jean
Marie Darrieus.
o It is also known as egg beater turbine because of its egg beater
shaped rotor blades.
 o It consists of vertically oriented blades which are mounted on a
vertical rotor. It is not a self-starting turbine and hence a small
powered motor is required to start its rotation.
o First the Darrieus turbine is rotated by using a small powered
motor. Once it attains sufficient speed, the wind flowing across its
blades generates lift forces and this lift forces provides the
necessary torque for the rotation. As the rotor rotates, it also
rotates the generator and electricity is produced.

(ii) Giromill turbine

o It is similar to the Darrieus turbine but the difference is that, it has
H-shaped rotor. It works on the same principle of Darrieus turbine.
o This turbine has H- shaped rotor. Here Darrieus design which has
egg beater shaped rotor blades are replaced by straight vertical
blades attached with central tower with horizontal supports. It
may consists of 2-3 rotor blades.
o Giromill turbine is cheap and easy to build as compared with
Darrieus turbine. It is less efficient turbine and requires strong
wind to start. Same as darrieus types of wind turbines, it is also not
self- starting and requires small powered motor to start. It is
capable of working in turbulent wind conditions.
 (iii) Savonius turbine
o Savonius turbine is HAWT. It was first discovered in 1922 by a
Finnish Engineer Sigurd Johannes Savonius. It is one of the
simplest turbine among all known turbines.
o It is a drag-type device and consists of two or three scoops. If we
look it from above than it looks ‘S’ shape in cross section. The
scoops of these turbines have curvature shape and because of that,
it experiences less drag when it moves against the wind instead of
moving with the wind.
o Since it is a drag-type machine, it is capable of extracting very less
amount of wind power as compared with other similar sized lift-
type turbines.

ADVANTAGES AND DISADVANTAGES OF VERTICAL AXIS WIND TURBINE

Advantages
 It is simple in design and easy to construct and transport.
 It can be easily installed to desired location.
  It requires less ground area for its installation.
 Initial installation cost is very less as compared with the HAWT.
 It can work in turbulent wind condition.
 It is omni-directional and hence do not need to track winds.
 They are smaller in size and hence can be used for domestic or private purpose
easily.
 They have low maintenance cost as compared with the HAWT.

Disadvantages
 It is less efficient. The efficiency of this turbine is about 30-35%.
 They are not self-starting. A small powered motor is needed to start it.
 Guy wires may required to support this turbine.
DIFFERENCE BETWEEN HORIZONTAL AXIS WIND TURBINE AND VERTICAL AXIS
WIND TURBINE
- The various difference between horizontal axis and vertical axis types of wind
turbines in tabular form are given below:

S.no Horizontal Axis Wind Turbine Vertical Axis Wind Turbine

In HAWTs, the axis of rotation of the rotor is In VAWTs the axis of rotation of the rotor is
1. Horizontal to the ground. perpendicular to the ground.
2. Yaw mechanism is present. Absence of Yaw mechanism.
3. It has high initial installation cost. It has low initial installation cost.
4. They are big in size. They are small in size.
5. Its efficiency is high. It has low efficiency.
6. It requires large ground area for installation. It requires less ground area for installation.
7. High maintenance cost. Low maintenance cost as compared with HAWT.
8. They are self-starting. They are not self-starting.
They are unable to work in low wind speed They are capable of working in low wind speed
9. condition. condition.
10. Difficult in transportation. Easy in transportation.
11. They are mostly used commercially. They are mostly used for private purpose only.
12. It cannot be installed near human population. It can be installed near human population.
13. It is not good for the bird’s population. It is good for the bird’s population.

WIND POWER

– Wind power depends on

• amount of air (volume)
• speed of air (velocity)
• mass of air (density) flowing through the area of
interest (flux) i.e turbine rotating blades area.
1
- Kinetic Energy = K.E = . m. v 2
2
1 dm
- Power is Kinetic energy per minute = . . v2 =
2 dt
1 dm 1
. . v 2 = . ρAV. v 2
2 dt 2
1
= . ρA. v 3 Watts
2
- Power ~ Cube of Velocity, Power ~ mass density &
Power ~ Rotor swept Area =𝜋𝑟 2

-
- Wind Machines should satisfy the following to generate maximum power
1. Large sized rotors
2. Be located in areas of high wind speeds.
3. Only a fraction of available wind power can be converted into useful power.

- At the rotor, wind transfer some of its energy to the rotor and its speed decreases to a
minimum in the wake. Subsequently, wind velocity regains energy from the
surrounding air and at a sufficient distance from the rotor the free wind speed
restored.
- Wind Pressure increases as it wind approaches the rotor and then drops sharply by
an amount of ∆P as it passes through and energy is transferred to the rotor. Finally
the pressure increases to the ambient atmospheric pressure.
- Power extracted by the rotor = ∆PxVr . For maximum rotor wind power, ∆P and Vr
Should as maximum as possible. So, for a given free wind speed there is a maximum
value of rotor power.
- Power coefficient = fraction of the free wind extractable power= Power Coefficient
Power of Wind Rotor
- Power Coefficient = = 0.593 (theoretical value). This value
Power available in the Wind
cannot be exceeded by a rotor in a free-flow wind stream. Such an ideal rotor can not
withstand stresses to which it is subjected while rotating at high rotational speeds in
high wind speeds. So, practical best value of power coefficient would be 0.4 to 0.45,
i.e, rotors cannot use more than 40 to 45% of the available wind power. Overall it
could be around 0.35.
- In practice a wind turbines output will vary. There will be periods when there is
insufficient wind for the machine to generate any power at all, and times when the
wind speeds are so high that the machine has to be shut down to prevent damage.

Thickness of turbine = ab
Wind Pressure at the u/s = pi
Velocity of wind at the u/s = Vi
Wind Pressure at the d/s = pe
Velocity of wind at the d/s = Ve
Ve < Vi why?
1 V2
General Energy Equation : ρgZ + P + ρ +internal energy + Heat added +
2 2𝑔
Work added = constant

Assumptions for portion between i&a:

1. Thermodynamic system(Pressure & Temperature are very small) resulting
constant air density implies Potential Energy = 0
2. No heat or work are added or removed between i & a
3. Steady Wind to mean wind pressure at inlet and at exit, it is ambient
4. Velocity within turbine does not change much as blade width is considered to be
thin. 𝑉𝑎 = 𝑉𝑏 = 𝑉𝑡
𝑉2
With assumptions; energy equation becomes; 𝑃 + 𝜌 = 𝑐𝑜𝑛𝑠𝑡𝑎𝑛𝑡
2𝑔
𝑉𝑖 2 𝑉𝑎 2
Applying this energy principle, at i & a, we get 𝑃𝑖 + 𝜌 = 𝑃𝑎 + 𝜌
2𝑔 2𝑔
𝑉𝑏 2 𝑉𝑒 2
Similarly for exit region, 𝑃𝑏 + 𝜌 = 𝑃𝑒 + 𝜌
2𝑔 2𝑔
Because of Conversion of Kinetic Energy, we have, Vi>Va (Pa>Pi) & Vb>Ve (Pb>Pe)
 𝑉𝑖 2 −𝑉𝑎 2 𝑉𝑒 2 −𝑉𝑏 2
 Combining these two equations; 𝑃𝑎 − 𝑃𝑏 = (𝑃𝑖 − 𝜌 ) − (𝑃𝑒 − 𝜌 )
2𝑔 2𝑔
𝑉𝑖 2 −𝑉𝑒 2
Further this reduces; 𝑃𝑎 − 𝑃𝑏 = 𝜌
2𝑔
𝑉𝑡 2 −𝑉𝑒 2
 Axial Force of wind on turbine =𝐹𝑥 = 𝐴(𝑃𝑎 − 𝑃𝑏 ) = 𝜌𝐴 =
2𝑔
𝐹𝑜𝑟𝑐𝑒=𝑐ℎ𝑎𝑛𝑔𝑒 𝑖𝑛 𝑚𝑜𝑚𝑒𝑛𝑡
⏞
1 1
𝜌𝐴𝑉𝑡 (𝑉𝑖 − 𝑉𝑒 ) → 𝑉𝑡 = (𝑉𝑖 + 𝑉𝑒 )
𝑔 2

 Power = Rate of Change of Kinetic Energy per unit time

1 1 1 1
= . 𝜌𝐴𝑉𝑡 (𝑉𝑖2 − 𝑉𝑒2 ) = . 𝜌𝐴 (𝑉𝑖 + 𝑉𝑒 )(𝑉𝑖2 − 𝑉𝑒2 )= . 𝜌𝐴(𝑉𝑖 + 𝑉𝑒 )(𝑉𝑖2 − 𝑉𝑒2 )
2𝑔 2𝑔 2 4𝑔
 Ve whether small or big, power reduces’ so optimum valueof power exists.
dP opt 1
 = 3Ve2 + 2Vi Ve − Vi2 = 0 → Ve = Vi
dVe 3
=PTotal
8 16 ⏞
1
 Pmax = ρAVi3 = . . ρAVi3 = 0.596. PTotal
27g 27g 2
 Ideal, or maximum, theoretical efficiency (𝜂𝑚𝑎𝑥 ), also called power coefficient, of
a wind turbine is the of the maximum power obtained from the wind, to the total
power available in the wind.
 The factor 0.593 is known as Betz Coefficient. It is the maximum fractionof
power in a wind stream that can be extracxted.
Power output from wind machine
 Power coefficient = Cp = . Thus, Cp, can not exceed
Power available in wind
0.593 for horizontal axis wind turbine.

FORCES ON THE BLADES AND THRUST ON TURBINES

- Propeller type of wind turbine (Horizontal axis aerodynamic wind turbine) is

considered.
1. Circumferential force acting in the direction of wheel rotation that provides the
torque
2. Axial force acting in the direction of wind stream that provides axial thrust that
must be countered by proper mechanical design.
P P P.R
- Circumferential force (Tf) : Torque = Tf. R = T = = =
ω 2.π.N 2.π.R.N
P
→ Tf = in Newtons; D = diameter of turbine wheel.;
πDN
N = Wheel revolutions per minute.
1 1 AV3i 1 ρDV3i
- We have; P = η. PTotal = η ρAVi3 → Tf = η ρ =η
2g 2g πDN 8g N
16 16 1 ρDV3i 2 ρDV3i
- @ 𝜂𝑚𝑎𝑥 = , (Tf )max = =
27 27 8g N 27g N

𝑉𝑖 2 −𝑉𝑒 2 𝜋
Axial Thrust 𝐹𝑥 = 𝜌𝐴 = 𝜌𝐷2 (𝑉𝑖 2 − 𝑉𝑒 2 )
2𝑔 8𝑔
opt 1 𝜋
- @ 𝜂𝑚𝑎𝑥 , Ve = Vi → 𝐹𝑥 = 𝜌𝐷2 𝑉𝑖 2
3 9𝑔
- 𝐹𝑥 ~𝐷2 , This limits turbine wheel diameter of large size in order have lower axial
thrust.
 𝜋
= . 1.226. 1202 . 152 = 1385870 𝑁𝑒𝑤𝑡𝑜𝑛𝑠
9𝑥1
TORQUE COEFFICIENT
𝑇
- It is defined as 𝐶𝑇 =
𝑇𝑚𝑎𝑥
Where,T = Shaft Torque and Tmax = Torque at maximum efficiency
- Tmax occurs if maximum thrust could somehow applied at the blade tip furtherest
from axis.
- For a propeller turbine of radius, R,
1
Tmax = Fmax.R = 𝜌𝐴1 . 𝑉12 . 𝑅
2
Outer Blade Tip Speed (Vt ) Vt 𝑅𝜔
- Tip Speed Ratio = =𝜆= =
Free Wind Speed (Vi ) Vi 𝑉𝑖
R = Outer blade Radius; 𝜔= Rotational frequency
1 1 𝜆𝑉 𝜆
- Tmax = 𝜌𝐴1 . 𝑉12 . 𝑅 = 𝜌𝐴. 𝑉𝑖2 . 𝑖 = 𝑃. ; P= Power from Wind
2 2 𝜔 𝜔
- Shaft Power = Pt = T. ω → for maximum conditions; Pt = Tmax . ω
𝜆
- We have; 𝐶𝑃 𝑃 = 𝐶𝑇 Tmax . ω = 𝐶𝑇 𝑃. . 𝜔 → 𝐶𝑃 = 𝜆𝐶𝑇
𝜔
- In practice, CP & CT are function of 𝜆 and are not constants.
0.593
- (CT )max =
λ
- Machines with higher speeds have a slightly higher maximum CP but much lower CT,
for particularly starting
-
GENERATING SYSTEMS

1. Mechanical Interface (Step-up gear)

2. Suitable Coupling to transmit energy to an electrical generator
3. Component that connects to the load or system grid.
4. Controller that senses wind direction, wind speed, power output of the
generator, performance quantities and initiate signals to take suitable corrective
actions.
 System should be protected from excessive temperature rise of generator,
electrical faults and extra wind conditions

Basis of Choice of electrical generator and control method

 Basis of operation : Constant tip speed or Constant tip speed ratio

  Wind power Rating (small to 1KW, medium to 50 KW and large 200 KW to MW
frame size.)
 Type of load demand e.g. battery connection

TYPES OF ELECTRICAL GENERATORS

 Small (upto 1KW) – permanent, magnet, d.c. generators
 Medium(Upto 50 KW) – Permanent magnet, d.c.generator, induction generator,
synchronous generator
 Large (200 KW to MW frame size ) - induction generator, synchronous generator
 Appropriately designed electrical control strategy employed for any particular
scheme to control generator and the power transmission link or the load.

SCHEMES FOR ELECTRIC GENERATION

 Constant – Speed constant frequency systems (CSCF)
1. Used for large generators connected directly grid where CF Operation is
essential
 Variable speed constant frequency systems (VSCF)
 Variable speed variable frequency systems (VSVF)

Synchronous Generator : Constant speed is very rigidly required with1% variations

required. Synchronisation of wind driven generator with power grid also will pose
problems with gusty winds.

INDUCTION TYPE GENERATORS

- If the stator of an induction machine is connected to the power grid and if the rotor
𝑓
is driven above synchronous speed 𝑁𝑠 (𝑁𝑠 = 120 ), the machine becomes generator
𝑝
and delivers constant line frequency power to the grid. (f=line frequency and p =
number of poles for which stator winding is made).
- Just like a DC Machine, a same induction machine can be used as an induction motor
as well as an induction generator, without any internal modifications. Induction
generators are also called as asynchronous generators.
- Before starting to explain how an induction (asynchronous) generator works, I
assume that you know the working principle of an induction motor. In an induction
motor, the rotor rotates because of slip (i.e. relative velocity between the rotating
magnetic field and the rotor). Rotor tries to catch up the synchronously rotating
field of the stator but never succeeds. If rotor catches up the synchronous speed,
the relative velocity will be zero, and hence rotor will experience no torque.
- But what if the rotor is rotating at a speed more than synchronous speed?

How Induction Generators Work?

 Consider, an AC supply is connected to the stator terminals of an induction
machine. Rotating magnetic field produced in the stator pulls the rotor to run
behind it (the machine is acting as a motor).
 Now, if the rotor is accelerated to the synchronous speed by means of a prime
mover, the slip will be zero and hence the net torque will be zero. The rotor current
will become zero when the rotor is running at synchronous speed.
 If the rotor is made to rotate at a speed more than the synchronous speed, the slip
becomes negative. A rotor current is generated in the opposite direction, due to the
rotor conductors cutting stator magnetic field.
 This generated rotor current produces a rotating magnetic field in the rotor which
pushes (forces in opposite way) onto the stator field. This causes a stator voltage
which pushes current flowing out of the stator winding against the applied voltage.
Thus, the machine is now working as an induction generator (asynchronous
generator).

 Induction generator is not a self-excited machine. Therefore, when running as a

generator, the machine takes reactive power from the AC power line and supplies
active power back into the line. Reactive power is needed for producing rotating
magnetic field. The active power supplied back in the line is proportional to slip
above the synchronous speed.
 When used to supply to an isolated load the may be made to self exciteby means of
a bank of capacitors connected to terminals. Variation of this capacitance value
varies with terminal voltage and output frequency of this system.
1. Briefly Explain cut-in speed and cut-out speed in wind energy conversion system
(University Question paper)

 The typical figure below shows a sketch a how the power output from a
wind turbine varies with steady wind speed.
 Every wind turbine design has a cut-in wind speed, a rated wind speed,
and a cut-out wind speed.
 At the cut-in wind speed, the blades start to turn and a trickle of
electricity starts to be produced. Around cut-in, the generator may be
used as a motor to help the wind overcome inertia and start the blades
turning. At very low wind speeds, there is insufficient torque exerted by
the wind on the turbine blades to make them rotate. However, as the
speed increases, the wind turbine will begin to rotate and generate
electrical power. The speed at which the turbine first starts to rotate and
generate power is called the cut-in speed and is typically between 3 and 4
metres per second.
 At the rated wind speed, the turbine is able to generate electricity at its
maximum, or rated, capacity. The rated speed is usually in the range of 40
to 57 Kmph.
 At the cut-out wind speed, the turbine shuts down to avoid damage. The
pitch controllers feather the blades to let the wind flow past them and the
rotor hub is braked. The wind usually has to return to a much lower
speed, called the cut-back-in wind speed, for a certain amount of time
before the turbine will restart. As the speed increases above the rate
output wind speed, the forces on the turbine structure continue to rise
and, at some point, there is a risk of damage to the rotor. As a result, a
braking system is employed to bring the rotor to a standstill. This is called
the cut-out speed and is usually around 25 metres per second.
 The cut-out speed is generally around 90 Kmph. The cut-back-in speed is
around 72 Kmph.
 RATED OUTPUT POWER AND RATE OUTPUT WIND SPEED : As the
wind speed rises above the cut-in speed, the level of electrical ouput
power rises rapidly as shown. However, typically somewhere between 12
and 17 metres per second, the power output reaches the limit that the
electrical generator is capable of. This limit to the generator output is
called the rated power output and the wind speed at which it is reached is
 called the rated output wind speed. At higher wind speeds, the design of
the turbine is arranged to limit the power to this maximum level and
there is no further rise in the output power. How this is done varies from
design to design but typically with large turbines, it is done by adjusting
the blade angles so as to keep the power at the constant level.

2. Explain maximum power point tracking procedure in a wind energy conversion

system. (University Question paper)
 The amount of power output from a wind energy conversion system
(WECS) depends upon the accuracy with which the peak power points are
tracked by the maximum power point tracking (MPPT) controller of the
WECS control system irrespective of the type of generator used.
 MPPT are controllers used for extracting maximum power from the WECS
using permanent magnet synchronous generators (PMSG), squirrel cage
induction generators (SCIG) and doubly fed induction generator (DFIG).
These controllers can be classified into three main control methods,
namely tip speed ratio (TSR) control, power signal feedback (PSF) control
and hill-climb search (HCS) control.
 A typical wind turbine characteristic with the optimal torque-speed curve
plotted to intersect the CP-max points for each wind speed is illustrated in
Figure given below.

 MPPT algorithms for a WT with wind speed sensor

1. Tip Speed Ratio (TSR) technique
2. Power Signal Feedback (PSF) control
3. Optimal torque control
4. Load angle control
https://www.intechopen.com/books/new-developments-in-renewable-
energy/maximum-power-extraction-from-utility-interfaced-wind-turbines
https://www.energy.gov/eere/wind/how-do-wind-turbines-work
http://xn--drmstrre-64ad.dk/wp-
content/wind/miller/windpower%20web/en/tour/wtrb/drag.htm
http://xn--drmstrre-64ad.dk/wp-
content/wind/miller/windpower%20web/en/tour/wtrb/lift.htm
http://xn--drmstrre-64ad.dk/wp-
content/wind/miller/windpower%20web/en/tour/wres/enrspeed.htm
http://www.mechanicalbooster.com/2017/01/types-of-wind-turbines.html
https://www.electricaleasy.com/2014/12/induction-generator-working.html
 UNIT – IV

Nature of Geothermal sources, Definition and classification of resources,

Utilization for electric generation and direct heating, Well Head power
generating units, Basic features Atmospheric exhaust and condensing, exhaust
types of conventional steam turbines. Pyrolysis of Biomass to produce solid,
liquid and gaseous fuels, Biomass gasification, Constructional details of gasifier,
usage of biogas for chulhas, various types of chulhas for rural energy needs.

GEOTHERMAL ENERGY

 Heat energy continuously flows to the Earth’s surface from its interior, where
central temperatures of about 6 000°C exist. The predominant source of the
Earth’s heat is the gradual decay of long-lived radioactive isotopes (40K,
232Th, 235U and 238U). The outward transfer of heat occurs by means of
conductive heat flow and convective flows of molten mantle beneath the
Earth’s crust. This results in a mean heat flux at the Earth’s surface of 80
kW/km2 approximately. This heat flux, however, is not distributed uniformly
over the Earth’s surface; rather, it is concentrated along active tectonic plate
boundaries where volcanic activity transports high temperature molten
material to the near surface.
 Energy present as heat (i.e thermal energy) in the earths’ crust is the more
readily accessible heat in the upper most (10 km) or so of the crust
constitutes a potentially useful and almost inexhaustible source of energy.
 This heat is apparent from the increase in temperature of the earth with
increasing depth below the surface. Although higher and lower temperatures
occur, the average temperature at a depth of 10 Km is about 200°C.
 This higher temperature occurs when the immense heat energy in the core of
the earth rises closer to the surface of the earth due to cracks or faults as
accounted by the Plate Tectonic theory in the crust and heats the surrounded
rock.
 These hot spots can be liquid dominated, vapour dominated, petro-thermal
or geo-pressure system depending upon several geological and hydrological
factors.
 These inturn are tapped artificially to use the vast stored heat energy for
power generation and several other uses depending upon the temperature of
occurrence and other parameters.
 Geothermal energy is the heat from the Earth. It's clean and sustainable.
Resources of geothermal energy range from the shallow ground to hot water
and hot rock found a few miles beneath the Earth's surface, and down even
deeper to the extremely high temperatures of molten rock called magma.
 Almost everywhere, the shallow ground or upper 10 feet of the Earth's
surface maintains a nearly constant temperature between 50° and 60°F (10°
and 16°C). Geothermal heat pumps can tap into this resource to heat and cool
buildings. A geothermal heat pump system consists of a heat pump, an air
delivery system (ductwork), and a heat exchanger-a system of pipes buried in
the shallow ground near the building. In the winter, the heat pump removes
heat from the heat exchanger and pumps it into the indoor air delivery
system. In the summer, the process is reversed, and the heat pump moves
 heat from the indoor air into the heat exchanger. The heat removed from the
indoor air during the summer can also be used to provide a free source of hot
water.
 Many regions of the world are already tapping geothermal energy as an
affordable and sustainable solution to reducing dependence on fossil fuels,
and the global warming and public health risks that result from their use. For
example, as of 2013 more than 11,700 megawatts (MW) of large, utility-scale
geothermal capacity was in operation globally, with another 11,700 MW in
planned capacity additions on the way [1]. These geothermal facilities
produced approximately 68 billion kilowatt-hours of electricity, enough to
meet the annual needs of more than 6 million typical U.S. households.
Geothermal plants account for more than 25 percent of the electricity
produced in both Iceland and El Salvador [2].


TYPICAL GEOTHERMAL FIELD

A= Hot Magma (Molten Mass)

B = Igneous Rock
C= Porous and Permeable
Reservoir
D = Impermeable Solid Rock
E = Fissures
F = Geysers Fumarols
H = Well tapping steam for
power plant
G = Hot Spring

 Hot magma solidifies into igneous rock, which is formed by volcanic action or
great heat as per Latin word igneous to mean of fire. The heat of magma is
conducted upward to this igneous rock.
 Ground water that finds its way down to this rock through fissures in it will be
heated by the heat of rock or by mixing with hot gasses and steam emanating
from the magma.
 Heated water will rise convectively upward and into porous and permeable
reservoir above the igneous rock. The reservoir is capped by a layer of
impermeable solid rock that traps the hot water in the reservoir.
 The solid rock may have fissures that act as vents of the giant underground
boiler. The vents show up at the surface as geysers fumarols. Steam is
continuously vented through fissures in the ground, these vents are called
fumarols or hot spring.
 A well taps steam from the fissures for use in a geothermal power plant.


 

GEOTHERMAL SOURCES
 Five general categories (or Kinds) geothermal resources have been identified.
1. Hydro-thermal convective systems
a. Vapour dominated or dry steam fields
 b. Liquid-dominated system or wet steam fields
c. Hot Water fields
2. Geo pressure resources
3. Petro-thermal or Hot dry rocks (HDR)
4. Magma Resources
 Hot molten(or partially molten) rock
 Commonly present at the depths greater than 24 to 40 Km.
 Sometimes magma is pushed up in active volcano and it heats up
overlaying rocklayer.
5. Volcanoes
 Hydro thermal convective systems are best resources for geo-thermal energy
exploitation
 Hot dry rock is also considered as best resource for exploitation

NATURE OF GEOTHERMAL SOURCES

 The Earth's surface area is about 5 × 1014 m2, and its average surface heat
flow is 87 mWm−2 . Total geothermal power = 5 × 1014 m2 × 87 mW m−2
= 4.35 × 1016 mW = 4.35 × 1013 W = 43.5 TW. The total power use
world-wide in 2002 was 14.3 TW, or about one-third of total geothermal
power.
 The areas with the highest underground temperatures are in regions with
active or geologically young volcanoes. These "hot spots" occur at tectonic
plate boundaries or at places where the crust is thin enough to let the heat
through.
 These regions are also seismically active. Earthquakes and magma
movement break up the rock covering, allowing water to circulate. As the
water rises to the surface, natural hot springs and geysers occur
 Environmentally friendly nature; it has low emission of sulphur, CO2 and
other greenhouse gases.
 Geothermal power is cost effective, reliable, sustainable, and has
historically been limited to areas near tectonic plate boundaries. Recent
technological advances have dramatically expanded the range and size of
viable resources, especially for applications such as home heating,
opening a potential for widespread exploitation.
 Geothermal wells release greenhouse gases trapped deep within the
earth, but these emissions are much lower per energy unit than those of
fossil fuels. As a result, geothermal power has the potential to help
mitigate global warming if widely deployed in place of fossil fuels.

Applications of Geothermal Energy

 Geothermal energy use can be divided into three categories:
1. direct-use applications,
2. geothermal heat pumps (GHPs), and
3. electric power generation.
Direct-Use Applications:

 Probably the most widely used set of applications involves the direct use
of heated water from the ground without the need for any specialized
equipment.
 All direct-use applications make use of low-temperature geothermal
resources, which range between about 50 and 150 °C (122 and 302 °F).
 Such low-temperature geothermal water and steam have been used to
warm single buildings, as well as whole districts where numerous
buildings are heated from a central supply source.
 In addition, many swimming pools, balneological (therapeutic) facilities at
spas, greenhouses, mineral recovery, industrial process heating and
aquaculture ponds around the world have been heated with geothermal
resources. However, some low-temperature resources can generate
electricity using binary cycle electricity generating technology. Direct
heating is far more efficient than electricity generation and places less
demanding temperature requirements on the heat resource.
 Other direct uses of geothermal energy include cooking, industrial
applications (such as drying fruit, vegetables, and timber), milk
pasteurization, and large-scale snow melting.
 For many of those activities, hot water is often used directly in the heating
system, or it may be used in conjunction with a heat exchanger, which
transfers heat when there are problematic minerals and gases such as
hydrogen sulfide mixed in with the fluid.
 Some low-temperature resources can generate electricity using binary
cycle electricity generating technology. Direct heating is far more efficient
than electricity generation and places less demanding temperature
requirements on the heat resource
 Heat may come from co-generation via a geothermal electrical plant or
from smaller wells or heat exchangers buried in shallow ground. As a
result, geothermal heating is economic at many more sites than
geothermal electricity generation. Where natural hot springs are
available, the heated water can be piped directly into radiators.
 Geothermal heat supports many applications. District heating
applications use networks of piped hot water to heat many buildings
across entire communities. In Reykjavík, Iceland, spent water from the
district heating system is piped below pavement and sidewalks to melt
snow. Geothermal desalination has been demonstrated.
Geothermal Heat Pumps(GHPs)

 Geothermal heat pumps (GHPs) take advantage of the relatively stable moderate
temperature conditions that occur within the first 300 metres (1,000 feet) of the
surface to heat buildings in the winter and cool them in the summer.
 In that part of the lithosphere, rocks and groundwater occur at temperatures
between 5 and 30 °C (41 and 86 °F). At shallower depths, where most GHPs are
found, such as within 6 metres (about 20 feet) of Earth’s surface, the
temperature of the ground maintains a near-constant temperature of 10 to 16 °C
(50 to 60 °F). Consequently, that heat can be used to help warm buildings during
the colder months of the year when the air temperature falls below that of the
ground. Similarly, during the warmer months of the year, warm air can be drawn
from a building and circulated underground, where it loses much of its heat and
is returned.

Electricity Power Generation:

 Depending upon the temperature and the fluid (steam) flow, geothermal energy
can be used to generate electricity.
 Geothermal power plants can produce electricity in three ways. Despite their
differences in design, all three control the behaviour of steam and use it to drive
electrical generators. Given that the excess water vapour at the end of each
process is condensed and returned to the ground, where it is reheated for later
use, geothermal power is considered a form of renewable energy.
 Some geothermal power plants simply collect rising steam from the ground. In
such “dry steam” operations, the heated water vapour is funneled directly into a
turbine that drives an electrical generator. Other power plants, built around the
flash steam and binary cycle designs, use a mixture of steam and heated water
(“wet steam”) extracted from the ground to start the electrical generation
process.
  The thermal efficiency of geothermal electric plants is low, around 10-23%,
because geothermal fluids do not reach the high temperatures of steam from
boilers. The laws of thermodynamics limit the efficiency of heat engines in
extracting useful energy.
 Exhaust heat is wasted, unless it can be used directly and locally, for example in
greenhouses, timber mills, and district heating.
 System efficiency does not materially affect operational costs as it would for
plants that use fuel, but it does affect return on the capital used to build the plant.
 In order to produce more energy than the pumps consume, electricity generation
requires relatively hot fields and specialized heat cycles.
 Because geothermal power does not rely on variable sources of energy, unlike,
for example, wind or solar, its capacity factor can be quite large – up to 96% has
been demonstrated. The global average was 73% in 2005.

THREE TYPES OF GEOTHERMAL ENERGY

• One – Geo-pressure is where you have a high well-head pressure, which you
can put a Hydroelectric type turbine on to generate the power. Such unit is
called Well-Head Generator.
• Two - Separate the Gas from the Oil/Water brine and use like a Diesel Type
Generator - burning the gas to produce Power.
• Three – Use the temperature as in the High Pressure Steam, Steam, Twin
Screw, Organic Rankine Cycle (ORC) turbine system or Deluge CO2 Natural
Hydraulic Engine.
WELL HEAD POWER GENERATING UNITS

 Wellhead power plants have been around for many decades in the
geothermal industry.
 With the rapid expansion of the industry in Eastern Africa for the last
decade the demand for wellhead power plants has increased.
 The modularity and simplicity of wellhead power plant allow for
accelerated construction time and shorter time period from drilling
completion to power production.
 Cost of a wellhead power plant is also similar to a large scale unit
connecting multiple wells. However, the simplicity of the wellhead power
plant affects its efficiency and ultimately the utilization of the geothermal
resource.
 Another approach has been to use wellhead power plants for early
generation in a geothermal field and replace them with a large scale
power plant when enough steam has been secured and then mobilize the
wellhead power plants to a new location.
 These two approaches influence the selection between technologies used
for the wellhead generator, i.e. condensing flash, back pressure flash or an
ORC type binary cycle.
 The strategy involves deciding whether the units shall be portable and
thus temporary or permanent as this effects the size and in some cases
the technology selected
 There are mainly three types of work cycles that are applied in electricity
production in geothermal power plants. The work cycles are referred to
as
1. condensing,
2. back pressure and
3. binary (ORC).
 For wellhead power plant the same cycles are used.

CONDENSING (Single Flash)

 Single flash turbines are the most common turbine type in geothermal power
plants. A schematic diagram of single flash power plant with a condensing
turbine is shown in Figure 2.
 The two-phase flow of a geothermal fluid is piped from the production well to the
separator (Stream 1), where the fluid is separated from the steam. The liquid is
disposed into the reservoir through a reinjection well (Stream 4).
 The steam flows from the separator through a turbine (Stream 2) and electrical
power is generated in the generator, coupled to the turbine. The steam then enters
the condenser (Stream 3), where it is condensed at sub atmospheric pressure. This
condenser provides cooling with cooling water circulating through a cooling tower.

BACK PRESSURE

 The back pressure power plant is in many ways similar to the condensing power
plant, except there is no condenser and cooling system.
 A schematic diagram of a flash power plant with a back pressure turbine is
shown on Figure 3.

 A two-phased flow (mixture of geothermal steam and liquid) is piped from the
production well to the separator (Stream 1), where the liquid is separated from
the steam. The liquid is disposed into the reservoir through a re-injection well
(Stream 5).
 The steam flows from the separator through a turbine (Stream 2) and electrical
power is generated in the generator, coupled to the turbine. The steam then
exhausts to ambient atmospheric pressure (Stream 3) in the steam exhaust. The
condensate is then pumped to the re-injection well (Stream 4) and injected with
liquid from the separator (Stream 5).
 The pressure of the stream exhaust from a back pressure power plant is above
atmospheric pressure and the steam is not condensed. Since the steam is not
condensed, the entire cold end not required and therefore, the cost of back
pressure power plants is considerably lower than the conventional condensing
power plant, but the available power form the well is not as efficient in
condensing or ORC plant.
ORGANIC RANKING CYCLE (BINARY)

 The binary power plants are significantly different from the back pressure and
condensing power plants.
 A schematic diagram of Organic Rankine Cycle (ORC) binary power plant is
shown in Figure 4 and Figure 5.

 Stream 1 shows the path of the reservoir fluid through the production well. The
binary working fluid is heated and evaporated in the vaporizer and preheater
and piped to the turbine (Stream 2). The binary fluid impels the turbine and
electricity is generated in the generator, coupled to the turbine.
 The slightly superheated binary fluid exits the turbine at lower pressure as
Stream 3 and enters the condenser where it condenses back into liquid form
(Stream 4). A feed pump circulates the condensed binary fluid to the preheater
and then again to the vaporizer (Stream 5), repeating the process. The
geothermal fluid is injected back into the reservoir (Stream 6) through a re-
injection well.
 The condenser requires cooling which may be provided by either water (wet
cooling) or air (dry cooling) (see Figure 4 and Figure 5 respectively).
  Due to the heat transfer both in the preheater and the vaporizer the power
regulation characteristics in the ORC plant is different from backpressure and
the condensing steam plants.

GEOTHERMAL ATMOSPHERIC EXHAUST AND CONDENSING TURBINES

 Modular units are available with either atmospheric or condensing exhaust.

 Atmospheric (backpressure) turbines are the simplest and, in capital cost, the
cheapest of all geothermal machines. However, they are wasteful of steam,
consuming about twice as much, for the same inlet pressure, as condensing turbines
per kilowatt of output, and are therefore wasteful of energy and costly to run,
particularly in terms of the increased number of wells required.
 But they are useful as pilot or standby plant and for generating electricity during
field development.
 Other advantages include the ease of location and, because of the lack of auxiliaries,
relocation to a new site in the same field is generally of the order of two months;
they can also be started without the need for an external power supply. Non-
condensing machines are used if the geothermal resource has a high gas contents by
weight) because of the high power required to extract these gasses.

CONVENTIONAL STEAM TURBINES

 The capacity of a steam turbine can range from 20 kilowatts to several hundred
megawatts (MW) for large drivers.
 A steam turbine is used to produce the maximum amount of mechanical power using
the minimum amount of steam in a compact driver arrangement, usually in a direct-
drive configuration. Speed variation or speed adjustment capabilities are also
important for steam turbines. Currently, steam turbines are widely used in different
driver applications for mechanical drives and power generation units and produce
nearly 1 million (MW) of capacity worldwide.
 The steam turbine rotor is the spinning component that has wheels and blades
attached to it. The blade is the component that extracts energy from the steam.

STEAM TURBINE DESIGNS AND TYPES

 Two basic types of steam turbine designs are available.

 One is an impulse design in which the rotor turns as a result of the force of steam
on the blades.
 The other is a reaction design, and it operates on the principle that the rotor
derives its rotational force from the steam as it leaves the blades.
 Steam usually enters at one end, travels in one direction toward the other end of
the section and exits the casing to be reheated or passed on to the next section.
 A double-flow steam turbine, however, has steam entering in the middle and
flowing in both directions toward the ends of the section. The double-flow
arrangements were popular many years ago. Except for special circumstances,
they are not recommended for modern applications.
CONDENSING

 The primary type of steam turbine is the condensing steam turbine, which has
been used for large drive applications above a certain power rating limit (say, as
a very rough indication, above 8 MW). These steam turbines exhaust directly to
one or more condensers that maintain vacuum conditions at the discharge of the
steam turbine. An array of tubes with cooling water condenses the steam into
water (liquid) in the condenser.

 The condenser vacuum occurs as the near-ambient cooling water condenses the
steam (the turbine exhaust) in the condenser. Because a small amount of air is
known to leak into the system when it is below atmospheric pressure, a
relatively small compressor is usually used to remove non-condensable gases
from the condenser. Non-condensable gases may include air, a small amount of
the corrosion byproduct caused by the water-iron reaction and hydrogen.
 A condensing steam turbine’s processes produce the maximum mechanical
power and efficiency from the steam supply. However, the power output of
condensing steam turbines is sensitive to ambient temperature. Condensing
steam turbines are expensive, large, complex and less suitable for mechanical
drive applications. Steam turbines, especially for small or medium-sized
machines, leak steam around blade rows and out the end seals. When an end is at
low pressure, as is the case with condensing steam turbines, air can leak into the
system. The leakages cause less power to be produced than expected.

BACK-PRESSURE

 Another steam turbine type is a back-pressure steam turbine, which is the most
suitable equipment for mechanical-drive applications, such as the drivers of
compressors or pumps. The term back pressure refers to steam turbines that
exhaust steam at above atmospheric pressures.
  The discharge pressure is usually established by the specific application of the
steam in a plant. Lower pressures are frequently used in small and large low-
pressure (LP) applications, such as heating systems, and higher pressures are
often used when supplying steam to industrial processes.
 Industrial processes often include further expansion for other smaller
mechanical drives, using small steam turbines for driving rotating equipment
(for instance, lubrication oil pumps) that continuously runs for long periods.
Significant mechanical power generation capability is sacrificed when steam is
used at appreciable pressure rather than being expanded to vacuum in a
condenser. Discharging steam into a steam distribution system at 10 Bar gauge
(barg) can sacrifice around half the power that could be generated when the inlet
steam conditions are around 50 barg and 420°C, typical of small and medium
steam turbines.
 Between the mechanical power output of a condensing steam turbine and the
power and steam combination of a back-pressure steam turbine, essentially any
ratio of power-to-heat output can be supplied. Back-pressure steam turbines can
have many different back pressures, further increasing the variability of the
power-to-heat ratio.

EXTRACTION

 A third steam turbine type is extraction steam turbines.

 An extraction turbine has one or more openings in its casing for extraction of a
portion of the steam at some intermediate pressure. The extracted steam may be
used for process purposes. The steam extraction pressure may or may not be
automatically regulated depending on the steam turbine design.
 Regulated extraction allows for better steam flow adjustments through the steam
turbine to generate additional mechanical power depending on the operating
scenarios. In some special steam turbines, several extraction points may be
included, each at a different pressure corresponding to a different temperature
at which heating service (or other services) is needed in a plant.
 The facility’s specific needs for steam and power over time determine the extent
of the steam extraction.
 In large, often complex, plants, additional steam may be admitted (flow into the
casing and increases the flow in the steam path) to the steam turbine. Often this
happens when multiple boilers and steam generation systems are used at
different pressures because of the plant’s complexity and the need to reach the
 utmost thermal efficiency or its historical existence (in complex plants that have
been subjected to several renovations and expansions). These steam turbines are
referred to as admission steam turbines.

PYROLYSIS

 It is a process whereby organic material is heated or partially combusted to

produce secondary fuels and chemical products.
 Lysis = break down. Plastic Pyrolysis is chemical reaction. This reaction involves
molecular breakdown of larger molecules into smaller molecules in presence of
heat.
 Pyrolysis is also known as thermal cracking, cracking, thermolysis,
depolymerization, etc. At any given temperature the molecule is in vibrating
stage.
 The organic material could be wood, biomass residues, municipal waste or
indeed coal.
 The products are gases, condensed vapours as liquids, tars, oils, solid residue as
char (Charcoal) and ash.
 Traditional Charcoal making is pyrolysis with vapours without collecting gasses
 Gasification is pyrolysis adapted to produce a maximum amount of secondary
fuel gases.
 Waste Wood Pyrolysis Plant
 Vertical top loading devices are usually considered the best
 Fuel products are more convenient clean or transportable than the original
biomass
 The chemical products are important as chemical feedstock for further
processes, or as directly marketable goods
 Partial combustion devices , which are designed to maximize the amount of
combustible gas rather than char or volatiles, are usually called gasifiers
 Efficiency is measured as the heat of combustion of the secondary fuels
produced, divided by the heat of combustion of the input biomass as used.
 Very high efficiencies of 80 to 90% can be reached. For instance gasifiers from
wood can produce 80% the initial energy in the form of combustible gas (largely
H2 and CO), suitable for operation in converted petroleum fueled engines. In this
way, the overall efficiency of electricity generation (say 80%*30%=24%)
couldbe higher than that obtained with steam boiler. Such gasifiers are
potentially useful for power generation less than 150 kW.
 The chemical processes are much related to similar distillations of coal to
produce synthetic gasses, oils and coke.
 For instance the large scale use of piped town gas (H2 + CO) in Europe, before
the recent change to natural gas (mainly CH4), was possible from the reaction of
water on heated coal with reduced air supply:
H2O + C H2 + CO
C + O2 CO2
 CO2 + C 2CO
 Summary of wide range of conditions and products of pyrolosis
1. The input materials needs to be graded to remove excessive non combustible
material (E.g. Soil, metal) dried if necessary (usually completely dry material
is avoided with gasifiers), chopped or shredded, and then stored for use.
2. The air fuel ratio during combustion is a critical parameter affecting both the
temperature and the type of product.
3. Pyrolysis units are most easily operated below 600°C. Higher temperature of
600 to 1000°C, need more sophistication, but more hydrogen produced in the
gas.
4. Below 600°C there are generally four stages in the distillation process.
 100 to 120°C : The input material dries with moisture passing up
through the bed.
 275°C : The output gasses are mainly N2,CO, CO2, acetic acid and
methnol distill off.
 280-350°C : Exothermic reactions occur, driving off complex
mixtures of chemicals (ketones, aldehydes, phenol, esters), CO2, CO,
CH4, C2H6 and H2. Certain catalysts , e.gZNCl, enable these reactions
to occur at power temperature.
 Above 350°C : All volatiles are driven off, a higher proportion of H2is
formed with CO, and carbon remains as charcoal with ash residues.
5. The condensed liquids, called tars and pyroligneous acid, may be separated
and treated to give identifiable chemical products (e.g methanol, CH3OH, a
liquid fuel). Table gives examples and further details.

Pyrolysis yields from the dry wood

Yields per 1000 Kg dry wood
Charcoal 300 Kg
Gas (Combustion 10465 kL/m3) 140 m3 (NTP)
Methyl alcohol 14 ltrs
Acetic Acid 53 ltrs
Esters 8 ltrs
Acetone 3 ltrs
Wood Oil and light tar 76ltrs
Creosote Oil 12 ltrs
Pitch 30 kg
6. The secondary fuels from pyrolysis have less total energy of combustion than
the original biomass, but are far more convenient to use. Some of the
products have significantly greater energy density (e.g. CH4 at 55 MJ/Kg)
than the average input.
7. Convenience includes better control of combustion, easierhandling and
transport, greater variety of end use devices, and less air pollution. The
following general comments apply:
a. Solid char(mass yield 25 to 35% maximum)
 Modern charcoal retorts operating at about 600°C produce 25 to 35%
of dry matter biomass as charcoal
 Traditional earthen kilns usually give yields closer to 10% since there
is les control
 Charcoal is 75 to 85% carbon, unless great care is taken to improve
quality and the heat of combustion is about 30 MJ/Kg. Thus if charcoal
alone is produced from wood between 15 and 50% of the original
chemical energy of combustion remains.
 Charcoal is useful as a clean controllable fuel.
 Chemical grade charcoal charcoal has many uses in laboratory and
industrial chemical processes. Charcoal is superior to coal products
for making high quality steel.

b. Liquids (Condensed vapours, mass yield 30%maximum)

 Two types of products :
(i) Sticky phenolic tar (creosote) and
(ii) an aqueous liquid , pyroligneous acid, of mainly acetic acid,
methanol (maximum 2%) and acetone.
 The liquids may be either separated or used together as a crude fuel
with a heat of combustion of about 22 MJ/Kg.
 The maximum yield corresponds to about 400 litres of combustible
liquid per tone of dry biomass.
c. Gases (mass yield -80% maximum in gasifiers)
 The mixed gas output with nitrogen is known as wood gas,
synthetic gas, producer gas or water gas and has a heat of
combustion in air of 5 to 10 MJ/Kg (4 to 8 MJ/m3 at STP).
 This is used in diesel cycle or sparkignition engines with
adjustment of the fuel injector or carburetttor with extreme care to
avoid intake of ask and condensable vapours.
  The gas is mainly N2, H2 and CO with perhaps small amounts of
CH4 and CO2.
 The gas may be stored in gas holders near atmospheric pressure,
but it is not conveniently compressed.
 A much cleaner and more uniform gas may be obtained by
gasification of wet charcoal rather than wood, sincethe majority of
tars from the original wood, since the majority of tars from the
original wood have been removed.

BIOMASS GASIFICATION
 Biomass gasification is a process of converting solid biomass fuel into a gaseous
combustible gas (called producer gas) through a sequence of thermo-chemical
reactions.
 The gas is a low-heating value fuel, with a calorific value between 1000- 1200
kcal/Nm3 (kilo calorie per normal cubic metre). Almost 2.5-3.0 Nm3 of gas can
be obtained through gasification of about 1 kg of air-dried biomass.

 TERI independently began research work in gasifier technology in the mid-

1980s. Since, the gasifier technology has been customized for a range of direct-
heat application and tested successfully in the field.
 Silk processing, large-cardamom drying and gasifier-based crematoria are a few
examples of the applications worked on at TERI. This technology is slowly
replacing both traditional biomass use and gas-powered systems, as it provides
an excellent de-centralized source of energy at an affordable cost.
 Apart from rural households, biomass fuels are the main source of energy to a
large number of small, rural and cottage industries.
 SALIENT FEATURES OF TERI'S BIOMASS GASIFIER
 Throat-less patented design
 Multi-fuel capability
 Low initial investment
 Better conversion (solid gas) efficiency (>75%)
 Production of clean gases in the exhaust
 Available in both, downdraft and updraft mode
 Can be customized for a variety of applications
o Thermal application to meet the process heat requirement
o Power application for rural electrification and captive use
o Shaft powder
 Reduced deforestation through fuel wood savings
 Substantial reduction in diesel/kerosene/furnace oil cost (since 3-4 kg of
biomass can replace 1 litre of petroleum fuel)
 Use of castable insulation material in the fire box capable of withstanding
high temperatures (upto 1860°C)
 Since biomass is a carbon neutral fuel, the net emission of CO2 would
amount to zero
 The then-applied technologies in brick manufacture such as clamps,
downdraught kilns, and BTKs require huge proportions of highly polluting
coal (with an ash content as high as 40%), firewood, and biomass as fuel. In
fact, the coal consumed by this industry was an astronomical 24 million
tonnes.

ADVANTAGES OF BIOMASS GASIFIER

 Biomass Gasification has been receiving attention because of the following
reasons:
a. Reduction of wood consumption up to 50%
b. Environmentally sound technology
c. Decentralized electricity generation
d. Good use of domestic resources
e. Savings in foreign currency in importing energy
f. Boost to agriculture
g. Easy to operate and maintain
h. Local employment
i. Replacing the fossil fuels.
 The disadvantages can successfully be mitigated both by "good practices" and
engineering measures.

THEORY OF GASIFICATION
– Air biomass gasification can be expressed in four stages as follows -
1. Drying:- In this stage, the moisture content of biomass is typically reduced to be
5-35%.In drying zone the temperature is about 100-200°C.
2. Pyrolysis:-It is the first step in the combustion or gasification of biomass. When
biomass heated in the absence of air to about 350C-600C, it form charcoal, gases
and tar vapors. Biomass + heat → solid, liquid, gases products (H2,H2O, CO , CO2)
3. Combustion: - In this process the reaction between solid carbonized biomass and
oxygen in the air, resulting in formation of CO2. Hydrogen present in the biomass
 is also oxidized to generate water. Large amount of heat is released with the
oxidation of carbon and hydrogen.
C+ O2 → CO2
4. Reduction: - In absence of oxygen, several reduction reactions occur in the
temperature range of 600-1000ºC. These reactions are mostly endothermic. The
major in this category are as follows:

CONSTRUCTION OF WOOD GASIFIER

Wood Chips

Fixed bed down drift Gasifier

Netherlands first Gasification plant with construction started in 2017.(10 MW Power
Plant)

USAGE OF BIOGAS FOR CHULHAS

Biogas can be produced from raw materials such as agricultural waste, manure,
municipal waste, plant material, sewage, green waste or food waste. Biogas is a
renewable energy source. ... It can also be used in a gas engine to convert the energy in
the gas into electricity and heat.
BIO-MASS APPLICATION FOR RURAL DEVELOPMENT

The following improved chulahs shall be connected bio-mass energy systems.

ABHINAV/JETAN
AKASH
ALOK
ARAVALI-U
ASTRA
BHAGYALAXMI
DENGLI
DOACHHI
GAURAV
GRIHLAXMI
HARSHA
JANTA
KESARI-200
LAXMI
MAMTA
MEGHALAYA
MOHINI-U
NAV JYOTI
PARISHAD-21
Pawan-II
PRIAGNI
PRIYA
SOHINI
SUDHA
SUGAM-II
SUGAM SEVA
SUKHAD
SURBHI-T
 1ÿÿ34546748ÿ
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 UNIT – V
Wave, Tidal and OTEC energy- Difference between tidal and wave power generation,
Principles of tidal and wave power generation, OTEC power plants, Operational of small
cycle experimental facility, Design of 5 Mw OTEC pro-commercial plant, Economics of
OTEC, Environmental impacts of OTEC. Status of multiple product OTEC systems.

Wave Energy

 Ocean and Sea Waves are caused indirectly by solar energy through winds.
Wave energy derives from wind energy, which is generated due to solar energy
that heats up earths’s crust unevenly, atmospheric temperature variations and
rotation of earth.
 Wave energy is more concentrated than solar energy. Devices of wave energy
produce much higher power densities than that of solar devices.
 Recent energy crisis prompted serious attempts at harnessing the waves for the
production of electricity.
 In 1970s many patents on these devices have been developed.
 From engineering point of view, wave energy development is not nearly as far
along as wind and tidal energy.
 Suitable sites for wave energy development:
1. Molakai and Alenuihaha channels in Hawaiian Islands

 2 to 3 m high waves areLocation

typicalofduring normal
Hawaian Islandstrade wind periods

2. Pacific Coast of North America

3. Arabian Sea of India and Pakistan

4. North Atlantic coast of Scotland
5. Coast of New England

6. etc.

Advantages of Wave Energy

 1. Energy has been naturally concentrated by accumulation over time and space
transported from the point of wind energy transfer.
2. The degreeof Power concentration by waves is quite substantial 10 to 100
times large compared to wind due to wave being transported across a plane
perpendicular to the wave propagation.
3. It is free and renewable energy source
4. Wave power devices do not use up largeland masses unlike solar or wind.
5. These devices are pollution free and leave area post devices as calm areas as
they remove energy from waves.

Disadvantages of Wave Energy

1. Energy is available on the oceans. The extraction equipment must be operated in
difficult marine environment with required maintenance, construction cost, life
time, and reliability. The energy may have to be transported a great distance to
shore.
2. Wave energy converters must be capable of withstanding very severe peak
stresses in storms.
3. There is relatively scarcity of accessible sites of large wave activity.
4. Wave energy conversion devices that have been proposed arerelatively
complicated.
5. Economic factors such as the capital investments, costs of the maintainance,
repair and replacement as well as problems of biological growth of marine
organisms are all relatively unknown and seem tobe on the large side.

ENERGY and POWER from the WAVES

A two dimensional progressive wave is shown in figure below:

In the simplified form, this wave is represented by sinusoidal simple harmonic wave at
time t = 0 and at time t. The wave is expressed as:
2𝜋 2𝜋𝑡
𝑦 = 𝑎. sin⁡( 𝑥 − )
𝜆 𝑇
Where, y = height above its mean level in m
𝑎 = Wave Amplitude in m
𝜆 = Wave length in m
t = wave progress time in seconds
 T = Wave period in Seconds
𝑥 𝑡
2𝜋. ( − ) = Phase Angle
𝜆 𝑇
 The relationship between wave length and period is approximately (Linear wave
theory)
𝜆 = 1.56 T2 in deeper water; H = 2a = Wave Height = distance from crest to trough.

Potential Energy
𝑦 𝑦 𝜌𝑔𝑦 2 𝐿𝑑𝑥
𝑑𝑃𝐸 = 𝑚𝑔 = (𝜌𝑦𝑑𝑥𝐿)𝑔 =
2 2 2
Where m= mass of liquid in y.dx
g = gravitational constant
ρ = water density, kg/m3
L = Arbitrary width of 2D Wave perpendicular to the direction of wave
propagation in m
Substituting wave surface equation, we get
ρgLa2 λ 2
𝑥 𝑡 ρgLa2 πx 1 4πx λ 1
PE = ∫ Sin (2𝜋. ( − )) . 𝑑𝑥 = ( − Sin ) = ρga2 λL
2 0 𝜆 𝑇 2 λ 4 λ 0 4
𝑃𝐸 1
Potential energy density per unit area = in Joules/m2 = ρga 2
𝐴 4
Where, A = λ.L

Kinetic Energy :
From first order wave hydrodynamic theory, Kinetic Energy can be expressed as
1
KE = ρga2 λL
4
𝐾𝐸 1
Kinetic Energy density = = ρga2
𝐴 4
𝐸 𝑃𝐸 𝐾𝐸
1
Total energy density =⁡ = + = ρga2
𝐴 𝐴 𝐴 2
𝐸 1 2 1 1
Total Power Density = = ρga . = ρga2 . f
𝐴𝑇 2 T 2
Where f = frequency.

WAVE – ENERGY CONVERSION DEVICES

 Using these devices, mechanical energy is extracted from the forward motion
wave energy without considering slamming forces of ships and cliffs.
 Since wave comes in a wide range of wavelengths and amplitudes, and effective
device will either have to be broadband; i.e, nonresonant or it will have to have
its resonance frequency continuously adjusted.

 The wave energy concepts:

a. Waves compressing air in top of floating tank using one-way air valves.
Electricity is generated as the air is bled out through a pneumatic or air
turbine.
b. Controlled release of air stacked up in a pipe using flop valve and due to wave
motion to drive conventional hydro turbine.
c. Floats with different dynamic response characteristics. The differential
motion is used to operate a pump or mechanical engine. For example, a long
vertical cylinder extending far below the surface will remain nearly
stationary as the waves pass by. A toroidal float surrounding it will rise and
 fall with valves and can be made to push and pull on pump plungers attached
to cylinder.

Various devices are discussed below:

1. By Floats
 Wave notion is primarily horizontal, but the motion of water is primarily vertical
in or vital planes.
 Mechanical power is obtained by floats making use of the motion of water.
 The concept visualizes a large float that is driven up and down by the water
within relatively stationary guides. The reciprocal motion is converted to
mechanical and then electrical power. This concept is shown below. Square float
moves up and down with the water. It is guided by four vertical manifolds that
are part of the platform.. There are four large under water flotation tanks which
stabilizes the platform. Platform is supported by buoyancy forces and no vertical
or horizontal displacement occurs due to wave motion. Thus the platform is
made stationary in space. A piston which is attached to float as shown in figure
moves up and down inside a cylinder. The cylinder is attached to the platform
and is therefore relatively stationary. Piston and cylinder arrangement is used as
reciprocating compressor. The downward motion of piston draws air into
cylinder via an inlet check valve. This air is compressed by the upward motion of
the piston and is supplied to the four under water floatation tanks, through an
outlet check valve via the four manifolds. In this way four floatation tanks serve
the dual purpose of buoyancy and air storage and also the four vertical manifolds
and float guides. An air turbine is run by the compressed air which is stored in
the buoyancy storage tanks, which in turn drives an electrical generator,
producing electricity which is then transmitted to the shore via an underwater
cable.

2. High-level Reservoir Wave Machine.

  In this device shown below, water is elevated to a natural reservoir above the
wave generator, which would have to be near a shoreline, or to an artificial water
reservoir by using the concept of magnification piston.

 the water in the reservoir is made to flow through a turbine coupled to an

electric generator, and then back to sea level.
 Calculations made shown that 1 20 m diameter generator can produce 1 MW
Power.

Environmental Impact and Benefits
• Hydrodynamic environment – devices could act as coastal protection and change
the flow patterns of sediment, require sensitive site selection
• Artificial habitats – devices could attract and promote populations of various
marine creatures
• Noise – comes primarily from the Wells turbine of shoreline OWC, needs to be
soundproofed
• Navigation hazards – adequate visual and radar warning devices can be built into
most devices to warn marine traffic.
• Visual effects – view of shoreline could be affected
• Leisure amenity – devices could provide calm waters when used as breakwaters,
thereby promoting some water sports like canoeing and scuba diving
• Conversion and transmission of energy – there may be visual and environmental
impacts associated with the transmission line to shore/grid.
• Emissions – no emissions of CO2, SO2, NOX and particulates during operation but
some during construction (6840 kg CO2, 67 kg SO2, 28 kg NOX per TJ).

3. Dolphin-Type Wave Power machine

 The system consists of following major components:
1. Dolphin
2. Float
 3. Connecting Rod
4. Two electric generators
 Float has rolling motion about its own fulcrum with connecting rod. The second
motion is a nearly vertical or heaving motion about the connecting rod fulcrum.
It causes relative revolving movements between the connecting rod and the
stationary dolphin. In the both the cases ofmotions, the movements are
amplified and converted by gears into continuous rotary motions that drive the
two electrical generators.

4. Oscillating Water Column

 It is partially submerged shells into which seawater is free to enter and leave;
water level rises or falls in sympathy; column of air above water level is
alternately compressed and decompressed, generating a high velocity air going
in and out of an exit blowhole; energy extracted thru a pneumatic (air)
Turbine.
TIDAL ENERGY
 Tidal energy – caused by lunar and solar gravitational forces acting together with
that from the earth on the ocean waters to create tidal flows manifested by the rise
and fall of waters that vary daily and seasonally from a few centimeters up to 8-10
meters in some parts of the world.

 The potential energy of the tides is tapped to generate power

  Tidal energy arises from cyclic tidal currents and tidal rise and fall of oceans ,
which are caused by the earth’s rotation and its interaction with the sun and
moon’s gravity
a. Tidal schedules vary from day to day because the orbit of the moon does not
occur on a regular 24-h schedule; the moon rotates around the earth every 24
h, 50 min.
b. Tidal range (high tide – low tide) vary from one location to another due to
local shoreline conditions and water depth. When favorable, resonance effect
causes very large tidal ranges. The Bay of Fundy in Maine has a huge range of
20 m.
 Total tidal power that is dissipated throughout the world is estimated at 2.4 x
106 MW, or 1/3 of the world’s consumption. Of this, around 1.0 x 106 MW are
dissipated in shallow seas and coastal areas and are not recoverable

SINGLE-POOL TIDAL SYSTEM

 Single-pool tidal system has one pool or basin behind a dam that is filled from the
ocean at high tide and emptied at low tide. Flow of water in both directions drive
reversible water turbines.
 During each tidal period of 12h, 25min, two short generation periods once every 6h,
12.5 min (22,350s) occur. The average theoretical power is:
 Let,
A = Area of basin, considered constant, m2,
ρ = Density of water, kg/m3,
g = Gravitational constant,
m = Mass flowing through the turbine, kg,
h = Head, m, and
W = Work done by water flowing through turbine, J.
For tidal range (amplitude) R, and certain head (h) at the given time during the flow
from the ocean to basin, the differential work done (dW) is equal to the change in
potential energy due to change in mass (dm) of water. Hence,

dW = dm.g.h, J
But, dm = – p.A.dh
(-ve sign indicates decrease in the mass of water during in emptying operation)
So, that dW = -p.A.dh.g.h, J
The total work done (W) by water while emptying the basin is obtained by
integrating dW from R to 0,

Eqn. (8.2) indicates that work is proportional at to square of the tidal range.
The power is the rate of doing work.
The power is generated during emptying (or filling) and no power is generated
during rest of the time.

R = Operating Head; A = Area of Basin

 Actual power output would be less since the turbines and generators are only 25-
30% efficient. The power generated is immense: Bay of Fundy with an area of
13,000 km2 and average range of 8m and assuming 27.5% efficiency has potential of
generating more than 50,000 MW.

Example 1:
A tidal power plant of single-basin type, has a basin area of 24 km2. The tide has a range
of 10 m. The turbine stops operation when the head on it falls below 3m. Calculate the
average power generated during one filling/emptying process in MW if the turbine-
generator efficiency is 75 percent. Density of sea water = 1025 kg/m3; g = 9.8 m/s2.

Solution:

Given- A = 24 km2 = 24 x 106 m2; R = 10 m; r = 3 m (the heat before turbine stops

operating); η = 0.75; p = 1025 kg/m3; g = 9.81 m/s2.

Average power generated, Pav:

TWO-POOL TIDAL SYSTEM

 Two-pool tidal system is much less dependent on tidal fluctuation but at the
expense of more complex and costly dam construction. By proper gating in dam
A, the high pool gets periodically filled at high tide from ocean and the low pool
gets periodically emptied at low tide. A modest 300-MW was considered by US
and Canada in 1961 but abandoned because of high costs.

Energy and Power in a Single-Basin Double-Effect/Cycle Scheme:

a single-basin double-effect/cycle tidal power system. In this system energy is
converted into electrical energy during flood tide (rising tide) when the basin is filled
and also during the ebb tide (falling tide) when the basin is emptied. Since water flows
through the turbine during rising and falling tides in apposite directions, therefore, a
reversible turbine is used, which acts as a turbine for either direction of flow.

The average theoretical power from a double-cycle/effect scheme is twice that of a

similar single-effect scheme. Thus, the theoretical average power generated (using eqn.
8.3).

This system is 100 percent more efficient that single-effect system/plant because it
generates double energy per cycle

POWER GENERATION (YEARLY) FROM TIDAL PLANTS:

The energy available from a tidal plant depends on the following two factors:

(i) The tidal range.

(ii) The volume of water accumulated in the basin.

Tidal energy is slowly-increasing hydro-energy during filling of the basin, and after a
period of nearly 3 hours it attains its peak value. When the tide recedes, water is
allowed to flow from basin to sea; it is then slowly-decreasing hydro-energy and attains
its lowest value when the turbine stops after a period of 3 hours. Thus, the energy
available for a tidal point can be calculated in a similar way as for an hydropower plant;
i.e., considering the average discharge and available head at any instant.

Let, A = Average cross-sectional area of the basin, m2

H = Difference between maximum and minimum water levels, m, and

V = Volume of basin, m3.
Now, V = AH
∴ Average discharge, Q = AH/t
where t is the total duration of generation in one filling/emptying operation in seconds.
Now, power generated at any instant,
Example 1. For a proposed tidal site, the observed difference between high and low
water tide is 9 m. The basin area is about 0.45 sq. km which can generate power for 3
hours in each cycle. The average available head is assumed to be 8.5 m, and overall
efficiency of the generation is 72 percent. Assume density of sea water as 1025 kg/m3.

Calculate:
(i) Power at any instant.
(ii) Yearly power output.

Solution:
Given- H = 9 m; A = 0.45 x 106 m2; t = 3 hours; h = 8.5 m; η0 = 72%, p = 1025 kg/m3.

7. Site Requirements for a Tidal Power Scheme:

A favourable site for tide power scheme should meet with the following
requirements:
1. The site should have a large tidal range.
2. Capable of storing a large quantity of water for energy production with minimum
dam and dyke construction.
3. To achieve a high storage capacity, the site should be located in an estuary or a creek.
4. It should be near to a load centre to minimise the transmission requirements.

The following points need to be considered prior to the development of a tidal

power scheme:

1. Pre-Feasibility Study:

It pertains to the collection of data such as tides, local topography, infrastructure, etc.

During this study following should be collected:

(i) Local land area map, survey of India map and hydrographic charts,
(ii) Historical data on tides and tidal currents;
(iii) Geotechnical properties of sea bed and coastal region in the study area;
(iv) Typical weather conditions, rainfall, wind and wave data;
(v) Nearest high voltage substation for connecting the generated electric power with the
state grid.

2. Feasibility Study:

This phase of the development of tidal power scheme consists of the following:

(i) Mathematic modelling;

(ii) Preliminary energy computation;
(iii) Foundation investigations;
(iv) Hydraulic model studies;
(v) Detailed analysis of various modes of operation.

3. Detailed design.
4. Preparation of specifications and tender documents.
5. Plant construction.
8. Components of a Tidal Power Plant:

A tidal power plant consists of the following three components:

1. Dam or dyke (low wall);

2. Sluice ways;
3. Power house.

1. Dam or Dyke (Barrage):

The function of dam or dyke is to form a barrier between the sea and the basin or
between one basin and the other in case of multiple basin schemes.
i. It should be constructed by the material available at site or from a nearby place.
ii. As the barrage has to withstand the force of sea waves, so the design should be
suitable to the site conditions and to economic aspect of development.
iii. The crest and slopes of the barrage should be armoured for protection against waves.

2. Sluice Ways:

These are used to fill the basin during the high tide or ’empty’ the basin during the low
tide, as per operational requirement. These devices are controlled through gates.

There are two types of sluice ways:

(i) Crest gates- These are more prone to damage by wave action and masses carried by
the flow.

(ii) Submerged gates with venturi type- Vertical gates are the natural choice and can be
fabricated from stainless steel.

3. Power House:

A power house has turbines, electric generators and other auxiliary equipment. As far as
possible, the power house and sluice ways should be in alignment with the dam or dyke.

According to the suitability, for low heads the following turbines may be used:

(i) Bulb turbine;

(ii) Tube turbine, and
(iii) Straight flow rim type turbine.
Advantages and Disadvantages of Tidal Power:

Following are the advantages and disadvantages of tidal power:

Advantages of Tidal Power:

1. Tidal power is completely independent of the precipitation (rain) and its uncertainty.
2. Large area of valuable land is not required.
3. It is inexhaustible and a renewable source of energy.
4. It is free from pollution.
5. When a tidal power plant works in combination with thermal or hydroelectric
system, peak demand can be effectively met with.
6. The net-cost of power generated is quite low.

Disadvantages/Limitations of Tidal Power:

1. Due to variation in tidal range the output is not uniform.

2. Since the turbines have to work on a wide range of head variation (due to variable
tidal range) the plant efficiency is affected.
3. There is a fear of machinery being corroded due to corrosive sea water.
4. It is difficult to carry out construction in sea.
5. As compared to other sources of energy, the tidal power plant is costly.
6. Sedimentation and siltation of basins are the problems associated with tidal power
plants.
7. The power transmission cost is high because the tidal power plants are located away
from load centres.

ENVIRONMENTAL IMPACT OF TIDAL POWER

• Although experience with tidal power plants is limited, it has no major detrimental
effect on the environment.
• While the environment in the vicinity of a tidal power plant will change – water
levels on both sides of the “barrage” or dam and tidal reach behind it, the effect are
reduced as the distance from the dam increases.
• Sedimentation will also be affected – sediment from the river and from sea will
affect the amount and pattern of its deposition.
• Effect on migratory fish is significant – fish gates can be built to permit species to
cross the dam. Mudflats may vanish which serve as habitat of some birds.
• The absence of emissions from a comparably sized fossil-fired power plant of SO2,
NOX, CO2 and particulates is a favorable impact.

RISKS FROM OCEAN & TIDAL ENERGY

• Main risk in ocean & tidal power development pertains to the actual construction of
the plant.
• Electromechanical equipment for tidal power should present little risk as standard
low-head turbine and generator designs are now available; more advanced designs
like the Straflo turbine now exists.
• “Barrage” or dam construction techniques in deep estuaries are less well
understood. Caisson construction appears to offer the best option, though the
Mersey barrage may also be used.
• Like conventional hydro projects, a tidal power plant will be subject to geological
risk associated with the nature of rock foundations at project site.
• Unlike hydro power where hydrological risk on river flow may be significant, the
tidal movement can be determined with great precision.
• Financial risks, currency fluctuations and security of power purchase agreements
are obvious areas of concern.
• Financial risk of costly and lengthy overruns is the most critical risk because it is
capital intensive and sensitive to prevailing discount rate.

10. Global Scenario of Tidal Energy:

The details of tidal power plants in the world’s are given in the table 8.1 below:

Tidal Power Plants in the World

In India, following are the major sites where preliminary investigations had been
carried but:

(i) Bhavanagar;
(ii) Navalakh (Kutch);
(iii) Diamond harbour;
(iv) Ganga Sagar.

The basin in Kandla in Gujrat has been estimated to have a capacity of 600 MW.

The total potential of Indian coast is around 9000 MW, which does not compare
favourably with the sites in the American continent states. The technical and economic
difficulties still prevail.

Economic Aspects of Tidal Energy Conversion:

The cost of a tidal energy conversion scheme includes:

(i) Cost of barrages,

(ii) Cost of land of basins and development of basins, and
(iii) Cost of power plant.

The capital cost per kWh of energy is therefore very high. The running cost and
maintenance cost are, however, low.

i. The mini hydro projects are more favoured than tidal power plants,
ii. The tidal power plants may be economically comparable, in future, when cost of
conventional fuels becomes more prohibitive.

In spite of the fact that tidal power plants are costly, they have the following fringe
benefits:

1. Renewable energy, free of cost for entire period of time.

2. Performance is pollution free.
3. Development of regions on both the sides of the barrage and on the banks of the
basin.
4. With pumped storage facility, continuous, dependable large power can be obtained.
The rating of tidal power plant is in the range of several tens of MW.

5. Technology of bulb turbines developed for tidal power plants is useful in mini- hydro
and pumped hydro-power plants.
6. Road on the top of the barrage eliminates the need of a separate bridge.
7. Tourist attraction in tidal power plants and development of tourism.

OCEAN THERMAL ENERGY CONVERSION SYSTEMS

 Broadly, the ocean sources of energy are:

1. OTEC (Ocean Thermal Energy Conversion)
2. Tidal Energy
3. Wave Energy
4. Hydrological Cycle (mechanism of surface water
evaporation by solar heating)
 Solar energy absorption by seas result wind and waves, ocean currents and
moderate temperature gradients from the water surface downward, especially in
tropical waters.
 Oceans are large storage reservoirs of the solar input.
 The conversion of solar energy stored as heat in the ocean into electrical energy
by making use of temperature difference between the warm surface water and
the colder deep water is known as OTEC.
 Since the ocean waters are heated by the sun continuously, they constitute a
virtually in exhaustible source of energy both day and night unlike solar energy
that is available only daytime.
 OTEC plant operates on thermodynamic principle. Heat source and heat sink
together can run a turbine into mechanical energy and hence into electrical
energy. The temperature gradient can be utilized in a heat engine to generate
power. This is called Ocean thermal energy conversion (OTEC).
 This energy has very low efficiency and has very high capital cost
because the temperature difference is small even in tropics.

History of OTECs
 Jacques d ‘Arsonval in 1881 first proposed the idea
 Completed by his student, Georges Claude in 1930. (Claude also invented the
neon lightbulb)
 Claude built and tested the first OTEC system
 Not much further interest until the energy crisis of the 1970s.
 In the 1970s, US DOE financed large floating OTEC power plant to provide power
to islands
 One was built in Hawaii.
 Little further support
 OTEC Plant on Keahole Point, Hawaii

Principle of OTEC

 The surface of water acts as

collector for solar heat while
the upper layer of the sea
constitutes infinite heat
solar reservoir.
 Warm surface water could
be used to heat some low
boiling fluid, the vapour of
which would run a heat
engine. The exit vapour
would be condensed by
pumping cold water from
deeper regions.
  Solar energy absorption by water takes place according to Lambert’s law of
absorption. This states that each layer of equal thickness absorbs the same
fraction of light that passes through it.
dI(x)
 Mathematically, − = 𝑘𝑙 or 𝐼(𝑥) = 𝐼0 . 𝑒 −𝑘𝑥
𝑑𝑥
Where, Io and I(x) are the intensities of radiation at the surface (x=0) and at a
distance x below the surface. K is the extinction coefficient (or absorption
Coefficient) that has unit L-1, K has the value of 0.05 m-1 for very salty water.
Thus the intensity exponentially with depth and, depending upon K, almost all of
the absorption occurs very close to the surface of deep waters. Because of heat
and mass transfer at the surface itself , the maximum temperatures occur just
below the surface.

Ocean as a Heat engine

 In the tropics, ocean surface temperature often exceeds 25°C, while 1 Km below,
the temperature is usually not higher than 10°C. Water density decreases with
an increase in temperature (above 4°C where pure waters density maximum,
decreasing again below this temperature, the reason ice floats). Thus there will
be no thermal convection currents between the warmer, lighter water at the top
and deep cooler, heavier water. So the warmer water stays at the top and the
cool water stays at the bottom. This essentially means that in tropical waters
there are two essentially infinite heat reservoirs, a heat source at the surface at
about 27°C and a heat sink, some 1 km directly below, at about 4°C; both
reservoirs are maintained annually by solar incidence.
 The surface acts as the heat source, the deeper cold water acts as a heat sink.
 Temperature differences are very steady
 There can be a 20° to 21°C difference between ocean surface temps and the temp
at 1000m. The surface temperatures (and temperature differences) vary both
with latitude and season, both being maximum in tropics, making these waters
the most suitable for OTEC Systems.
 Many plants were built after World War II in North Sea with one of the lagest
being 7.5 MW. With 22°C temperature difference between surface and depths
the Carnot Efficiency is around 7%. This is obviously very low compared to flat
plate collector. The plant completed by Claude in 1929-30 has produced electric
power of 22 Kilowatts with overall efficiency more than1%.
 Solar energy arrives with a low power density, and requires a large acreage of
flat plate collector. Where as OTEC can operate with a small area collector by
pumping sufficient water through the heat collector.
 A larger installation with two units totaling 7 MW was constructed on the Ivory
Coast by French in 1956, but it was abandoned due to troubles.
 Some seasonal variations of temperatures of seawater may be there with any
diurnal variations. So OTEC plants are known as solar hydro power plants.
 Ample opportunities exist for floating OTEC power plants. Land based
opportunities for OTEC plants are limited because of special technical
requirements and limited market potential. Shore based plants are viable if the
following are satisfied.
 1. Coastal zone land must be available
2. Seafloor must descend sufficiently rapidly from shore based plant location
3. Seasonal availability of ocean water temperatures without undue gradation
by the warm and cold water effluents of OTEC plant
Shore based plants have attractive intermediate markets
 Florida, Puerto Rico, Hawaii and other pacific islands are well suited to take
advantage of this idea that is called OTEC (Ocean Thermal Energy Conversion

Ocean heat engines (Closed/ Anderson/ Rankine Cycle System)

 The closed cycle approach was first proposed by Barjot in 1926,but the most
recent design was by Anderson and Anderson in the 1960s. In this Anderson
cycle propane was used as working fluid. The temperature difference between
warm surface and cool surface was 20°C. The cool surface was about 600 m
deep. Propane is vaporized in the boiler or evaporator at about 10 kg/cm2 (10
bar) or more and exhausted in the condenserat about 5 bar.
 Since circulating warm and cold water quantities are huge, extensive areas of
heat exchangers are required for closed cycle system based OTEC Plants.
 Closed cycle system that employs working fluid such as Ammonia or propane,
hydrocarbon or halocarbon
 Heat from warm seawater through a heat exchanger causes a fluid like ammonia
to be evaporated in an evaporator for boiler.
 Expanding high pressure vapor rotates a turbine similar to steam turbine. This
turbine is connected to an electric generator.
 The low pressure exhaust from turbine is cooled and converted back into liquid
in condenser. Cold seawater from lower depths of sea is brought up and cools
the ammonia vapor in a condenser with a heat exchanger.
 This liquid returns through pumping as high pressure liquid to the evaporator
and the process repeats, thus closing the cycle.

 Evaporators and condensers become key ingredients since extensive areas of

materials are needed to transfer significant amounts of low quality heat of the
low temperature differences being exploited. In other words, large volumes of
water must be circulated through OTEC Power plant, requiring commensurately
large heat exchangers. The actual components employed in an OTEC closed cycle
 system would appear more like the hardware illustrated below as another closed
cycle schematic diagram.

This requires a separate working fluid that receives and rejects heat to the
source and sink via heat exchangers (boiler or evaporator and surface
condenser). The working fluid may be ammonia, propane or a Freon. The
operating (saturation) pressures of such fluids at the boiler and condenser
temperatures are much higher than those of water, being roughly 10kg/cm2 (=
10bar) at the boiler, and their specific volumes are much lower, being
comparable to those of steam in conventional power plants.
 Each of the possible working fluids (i.e Ammonia and Propane) has advantages
and disadvantages. Ammonia has better operating characteristics than propane
and it is much less flammable. On the other hand ammonia forms a noxious
vapor and probably could not be used with copper heat exchanger. Propane is
compatible with most heat exchanger materials, but is is highly flammable and
forms an explosive mixture with air. Ammonia has been used as the working
fluid in successful tests of the OTEC concept with closed cycle systems.
 Such pressures and specific volumes result in turbines that are much smaller and
hence less costly than those that use the low pressure steam of the open cycle.
 The closed cycle avoids the problems of evaporator. However, it requires the use
of very large heat exchangers (boiler and condenser) because, for an efficiency of
about 2%,the amount of heat added and rejected are about 50 times the output
of the plant. In addition, the temperature differences in the boiler and condenser
must be kept as low as possible to allow for maximum possible temperature
difference across the turbine, which also contributes to the large surfaces of
these units.
 Instead of usual heavier and more expensive shell and tube heat exchangers, the
Anderson OTEC system employs thin plate type heat exchangers, which
minimizes the mass and the amount of material and hence cost.
 The heat exchangers are placed at depths where the static pressure of the water
in either heat exchanger roughly equals the pressure of the working fluid, this
helps in reducing the thickness of the plates.
 A fundamental requirement in closed cycle systems is to transfer heat efficiently
across the heat exchanger surfaces constituting the evaporators and condensers,
so as to achieve a high value of overall heat transfer coefficient (U) measured in
watts per Kelvin per square meter or W/°K/m2. For the evaporation, this overall
heat transfer coefficient is measure of how effectively heat is transferred
sequentially from sea water through the heat exchanger materially ( a metallic
 alloy) and hence to the working fluid (e.g. Ammonia). For the condenser, an
overall U characterized the reverse heat transfer process.

Bio-fouling
 In an ocean environment, it is likely that a layer of slime known as bio fouling
will eventually accumulate on the water side of the heat exchangers. Such slime
is first comprised or micro organisms at which stage, the bio fouling is called
micro fouling. Subsequently if the slime is not removed, additional bio-fouling in
the form of micro organisms will become attached, augmenting the slime layer.
The occurrences of micro-fouling seems to be pre-requisite for the attachment of
macro organisms. A film of corrosion and possibly of calcareous (e.g. minerals)
deposits can also accumulate on the water side (and conceivably through
leakage- even on the working fluid side of the heat transfer surfaces). The total
formulation of bio-fouling, corrosion, and so on is referred to a fouling (or
scaling) and will tend to inhibit heat transfer through it. The fouling factor is
measure of the thermal resistance “Rf” of a fouling film. This thermal resistance
is the reciprocal of the corresponding heat transfer coefficient ”hf” of the fouling
film. To maintain viable OTEC heat exchangers, provisions must be made to
inhibit the formation of fouling layers and to remove any significant fouling that
forms. Removal can be accomplished by periodically cleaning the heat
exchanger surfaces through mechanical, chemical or other means.
 Bio-fouling is less with copper (or copper alloy) heat exchangers because traces
of dissolved copper act as a biocide.
 Bio-fouling is dealt with by chemical (chlorination) or mechanical (brushes or
rubber balls) means.
 Increasing the flow rate of water is advantageous because organisms are less
likely to become attached to the heat exchanger surfaces. However, the flow rate
must not be high enough to cause erosion.

Ocean heat engines (Open Cycle/ Claude Cycle System)

 Older system
 Open Cycle Systems that would operate by flash evaporation of seawater. It
means that working fluid is the seawater.
 Warm seawater is brought into a partial vacuum to boil by lowering the pressure
without supplying any additional heat.
 In the vacuum, the warm seawater boils and the steam drives a turbine
 The steam enters a condenser, where it is cooled by cold seawater brought up
from below and it condenses back into liquid and is discharged into the ocean.
 The condensate need not be returned to the evaporator and so it is called open
cycle. The condensate can be utilised as desalinated water if a surface condenser
is used or if a spray condenser is used. The condensate is mixed with the cooling
water and the mixture is discharged back into ocean.
 A heat exchanger is not required in the evaporator, and direct contact between
exhaust steam and a cold water spray makes a heat exchanger unnecessary.
 Because of the low energy content of low pressure steam, very large turbines or
several small units operating in parallel would be required to achieve a useful
electric power output.
 In the evaporator the pressure is maintained at a value slightly below saturation
pressure corresponding to the water temperature. At the new pressure, water
entering into evaporator at 27°C gets super heated. It has a saturation pressure
of 0.03619 kg/cm2 (Point 1). The evaporator pressure is 0.03213 (0.0317
bar)which corresponds to 25°C saturation temperature. This temporarily
superheated water undergoes volume boiling (as opposed to pool boiling which
takes place in convenstional boilersdue to immersed heating surface), causing
that water to partiallyflash to steam to an equilibrium two phase condition at
new pressure and temperature of 0.03213 kg/cm2 and 25°C (Point 2). Process
1-2 is a throttling and hence constant enthalpy process. The low pressure in the
evaporator is maintained by a vacuum pump that also removes the dissolved
non-condensable gasses from the evaporator.
 At point 2, the evaporator contains amixture of water and steam of very low
quality. The steam is separated from the water as saturated at 3. The remaining
water is saturated at 4 and is discharged as brine back to the ocean. The steamat
3, has very low pressure and high specific volume (0.03213 kg/cm2, 43.4 m3/kg)
 as compared to conventional fossil power plant which has about 160 kg/m2
pressure and 0.021 m3/kg specific volume. The steam expands in a specifically
designed turbine that can handle such conditions to 5. The condenser pressure
and temperature at point 5 are of the order of 0.01729 kg/cm2 (0.017 bar) and
15°C. A direct contact condenser is used as turbine exhaust steam will be
discharged back to the ocean in the open cycle system. In the condenser, the
exhaust steam is mixed with cold water from deep cold water pipe at 6, which
results in a near saturated water at 7. This water is allowed to be discharged to
the ocean. The cooling water from the deep ocean which is at about 11°C, on
reaching the condenser, its temperature rises to about 15°C due to heat transfer
between the progressively warmer outside water and cooling water inside the
pipe as it ascends towards the top.
 It can be seen that verylarge ocean water mass and volume flow rates are used in
open OTEC systems and the turbine is a very low pressure until that receives
steam with specific volumes more than 2000 times that in a modern fossil power
plant. Thus the turbine resembles the few lost exhaust stages of conventional
turbine and thus physically large.
 Because of the need in the open cycle to harness the energy in low pressure
steam, extremely large turbines (compared to wind turbines) must be utilized.
Further more degasifiers (deaerators) must be used to remove the gases
dissolved in the sea water unless one is willing to accept large losses in
efficiency. On the other hand, since there are no heat transfer problems in the
evaporator, the problem of bio-fouling control is minimized.
 The cost of open cycle system for providing substantial number of megawatts is
presently regaded by most OTEC workers as being significantly greater than for
closed cycle system. The turbine cost constituted almost half the cost of power
system, but may be amenable to reductions that couldresult from design
innovations.

HEAT EXCHANGERS

 The maximum (or ideal) efficiency for the conversion of heat into mechanical
work (or electricity) in a turbine depends on the drop in temperature of the
working fluid in its passage through the turbine and the turbine inlet
temperature. In Fig. (9.2.4.2), the temperature drop in the turbine is 10℃
(10K) and inlet temperature is 20℃ (20+273=293 K), hence the maximum
10
thermal efficiency is = 0.034 or 3.4%. In an OTEC system, departure from
273
ideal behavior in the turbine and allowance for the energy required to pump
the cold water from greater depths would reduce the required net efficiency
for electric power generation to 2 to 2.5%. This may be compared with the
almost 40% efficiency of a modern coal – fired power plant.
 In the OTEC system, the low conversion efficiency would be compensated by
the enormous amounts of heat available in ocean surface waters. But, in
order to utilize this heat to generate electrical energy ineconomically useful
amounts, water must be pumped through the heat exchangers in both
evaporator and condenser at very high rates. In a facility designed to
produce 100 megawatts of electrical power for example the total flow of
water might be more than 500 million gallons (2.2 million cu.m) per hour.
 The area of the heat exchange surfaces for both evaporator and condenser
would be about 1 million sq.m (Note that 100 MW is only about 1/10th of
electric power generated by a single modern coal fired or nuclear plant.)
 The effectiveness and cost of the heat exchangers are regarded as critical for
the OTEC Concept. The electric power that can be generated depends, in the
first place, on the rate of heat transfer from warm ocean water to the working
fluid in the evaporator.
 Furthermore, conversion of this heat into electrical energy with maximum
efficiency requires that the temperature of the working fluid entering the
turbine should be as high as possible and that of the fluid leaving the turbine
as low as possible. All these requirements can be met only if there is effective
heat transfer in the heat exchangers.
 The constructional materials of heat exchangers must have good heat
conductivity and be resistance to corrosion and erosion by rapidly flowing
ocean water. Among the materials being considered, the prime candidates
are : (1) Titanium (2) Aluminum (or an alloy) (3) an alloy of copper (90%)
and nickel and (40 Plastic.
 (1) Titanium is resistant to corrosion and erosion by ocean water and it has
good mechanical strength. At present, however, it is an expensive metal of
limited availability. Nevertheless, since titanium is not a rare element in
nature, the supply could be probably increased and the cost of the metal
decreased if there were a sufficient demand.
 (2) Aluminum is considerably cheaper than titanium, but the common form
of metal is more susceptible to corrosion by ocean water. However, some
alloys have been found to be suitable for use to be replaced more often than
those of titanium, they might be more cost effective in the long run.
 A 90/10 copper-nickel alloy has been used extensively in both land based and
ship board power plant condensers with ocean water as coolant. It is less
expensive than titanium although more than aluminum alloys. Although the
copper nickel alloy is resistant to corrosion by seawater, the copper is readily
attacked if ammonia is present. Hence, copper heatexchangers could
probably not be used with ammonia as the working fluid. In normal
operation, the ocean water and ammonia would not be in contact, but small
leaks in the heat exchanger surface, which are almost impossible to avoid,
would result in severe deterioration of the copper.
 The heat conductivity of plastics is normally too low for efficient heat
exchange. But, it could be increased by inclusion of graphite. Even the
graphite filled plastic is inferior to most metals in this respect and
correspondingly large heat exchange areas would be necessary for a specified
electrical output. Plastics are expected be resistant to corrosion by ocean
water and ammonia, but some may be affected by propane.

HYBRID CYCLE
 It is an attempt to combine the best features and avoid the worst features of the
open and closed cycles.
  First seawater is flash evaporated to steam as in the open cycle. The heat in the
resulting steam is then transferred to ammonia inan otherwise conventional
closed Rankine system.


CONCLUSIONS ON OTEC CYCLES

 Closed cycle system is most economical in cost and to rquire the least parasitic
power.
 Closed cycle is favoured for future in expectation of higher efficiency
 Available experience in comparison with wind energy is not significant

PROSPECTS IN INDIA
 OTEC Project has commenced in IIT Madras for establishing 1MW OTEC Plant in
Lakshadweep Island ay Minicoy. It was proposed after providing cooling effect
in the condenser, a part of deep seawater to be diverted to the logons for the
development of aqua culture. Subsequently this project has been transferred to
the National Institute of Ocean Technology (NIOT)
 Currently NIOT is working on fresh water production using low temperature
thermal desalination (LTTD) process as a subcomponent of Ocean Thermal
Energy Conversion.
Boiling water in a vacuum

 The boiling point of any liquid depends upon temperature and pressure.
 Boiling occurs when the molecules in the liquid have enough energy to break
free from surrounding molecules
 If you reduce the pressure, you reduce the amount of energy needed for the
molecules to break free.
 Creating a vacuum reduces the air pressure on the molecules and lowers the
boiling point.

OTECs
 Carnot Efficiency is low, only about 7%
 Net efficiency even lower, only about 2.5%
 Low efficiencies require large water volumes to produce appreciable amount of
electricity
 For 100 mW output, you would need 25 X 106 liters/sec of warm and cold water.
 For a 40 mW plant, a 10 meter wide intake pipe is needed. This is the size of a
traffic tunnel.

Other uses for OTEC plants

 Generate Hydrogen for use as a clean fuel source
 Generate fertilizer from biological nutrients that are drawn up from the ocean
floor in the cold water intake.
 Source of ocean water to be used as drinking water via desalination
(taking out the salt).

Site Selection for OTEC Plant development

 Minimum temperature difference of 20℃ between surface and deep ocean
waters.
 Best sites can be located between 20ᵒN and 20ᵒS latitude.
 Potential for bio-fouling effects should be minimum
 Offshore sites may give easy access to the deep colder water.
 Sudden shoreline drop steeply to considerable depth of cold water.
 OTEC plant shall be close to shore within 30 Km for inexpensive transmission of
generated electricity. If the plant is located far from the shore, generated energy
can be used for energy intensive materials.

Energy Utilisation

 Use direct electric current to decompose seawater by the process of electrolysis

to produce hydrogen and oxygen. Hydrogen can be liquefied and transported by
tanker to a point where it could be used as fuel.
 Alternatively , the hydrogen could be combined with atmospheric nitogen to
form ammonia for use as fertilizer, thereby saving natural gas which is presently
the main source of hydrogen for this purpose.
OPERATIONAL OF SMALL CYCLE EXPERIMENTAL FACILITY

PL. REFER THE PDF DOCUMENT AT THE END.

DESIGN OF 5 MW OTEC PRO-COMMERCIAL PLANT

PL. REFER THE DOCUMENT GIVEN AT THE END

ECONOMICS OF OTEC

PL. REFER THE DOCUMENT GIVEN AT THE END

ENVIRONMENTAL IMPACTS OF OTEC

PL. REFER THE DOCUMENT GIVEN AT THE END

MULTIPLE PRODUCT OTEC SYSTEMS.

PL. REFER THE DOCUMENT GIVEN AT THE END

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55�1 TP-2965

Potential of Proposed Open-Cycle OTEC Experiments

to Achieve Net Power

Harold F. Link
Brian K. Parsons

Solar Energy Research Institute

1617 Cole Boulevard
Golden, Colorado 80401

ABSTRACT product is desired, a surface condenser can be used in the

open-cycle system since the flash evaporator acts as a
Researchers at the Solar Energy Research Institute (SERI) distillation unit. In many locations, the value of the fresh
conducted systems analysis studies to determine the water may well offset the additional cost and possible
potential of various experiments to produce net power degradation in performance associated with the surface
using the Claude open-cycle ocean thermal energy condenser.
conversion (OTEC) power system. The proposed
experiment test site is to be the Natural Energy Although laboratory tests have verified many of the data
Laboratory of Hawaii at Keahole Point. We found that and analysis methods used by the FSEC/Creare analysis,
net power is unlikely to be produced in experiment sizes experiments to date have only been conducted on
that use less than about 195 kg/s (3000 gpm) of cold individual components, primarily in fresh water.
water, and that flow rates of 420 kg/s (6500 gpm) are . Correlations of the performance of the direct-contact
necessary to achieve a net:.power production of at least heat exchanger using seawater for open-cycle OTEC are
one-half the gross-power output of the experiment. still considered preliminary. We studied different
experiments to determine their potential to verify that
1.0 INTRODUCTION the system operates as expected and to resolve three
principal uncertainties:
1.1 Background
• Performance of the heat exchanger using seawater
DOE initiated research on the extraction and conversion
of the ocean thermal energy resource using an open-cycle • Performance of the low-pressure steam turbine
process late in FY 1978 with the funding of a task to
assess the feasibility of this technology to produce cost­ • Effect of interaction among components on system
effective electrical power. The original SERI studies, performance.
supported by the results of subcontracted studies at thz
1
]i
Colorado School of Mines, Wes nghouse Corporation,
5
In one experiment, described by Shelpuk, equipment was
and, University of Massachusetts, concluded that large­ sized to take advantage of a planned upgrade of the
scale plants based on this technology could be Natural Energy Laboratory of Hawaii's Seacoast Test
economically viable if the main assumptions in the studies Facility. More recently, we investigated other sizes of
were valid. A research program to develop data and experiments to determine:
analytical methods to refine and support these
assumptions was begun in FY 1980. • Potential to resolve the uncertainty of heat-exchanger
performance under various operating conditions of
Research conducted over the last 6 years has provided interest
data and methods that were recently applied to a new
system study of the open-cycle technology. The Florid� • Potential to produce net power
Solar Energy Center (FSEC) and Creare R&D, Inc.
showed that all the major assumptions made in the early • Size requirements of seawater-supply and vacuum
feasibility studies had been conservative. Thus open-cycle vessels.
OTEC is even more promising than first projected. Their
results indicated that smaller plants (5- 15 MWe) are This paper describes the systems analysis efforts to
nearly as economical to build as larger plants. This result estimate the potential of these experiments to produce
is promising since many tropical-island communities do net power.
not require large power-generating facilities.
1.2 Open-Cycle System Description
One primary advantage of open-cycle OTEC is the use of
an inexpensive, compact, and efficient direct-contact Figure 1 shows a. schematic of the basic open-cycle
°
evaporator in place of the large, metal, conventional system. Warm, tropical seawater (-25 C) is pumped from
evaporator required in closed-cycle OTEC systems. A near the ocean's surface into an evacuated evaporator
direct-contact condenser with similar advantages can also chamber where the pressure is lower than the
be used in the open-cycle system if the plant site has no corresponding saturation condition of the entering
need for additional fresh water. If a freshwater by- seawater. Flash evaporation results, cooling the seawater

1
 TP-2965

Warm-seawater Cold-seawater
-- Predeaeration predeaeration r---,
r , system! I
subsystem
l 1 1------,
I I
L __ _l

Cold­
seawater
Evaporator pump

Exhaust
Warm­ compressors Cold­
seawater
seawater
supply
supply
pipe
pipe

Mixed­
discharge
pipe

Figure 1. Claude open-cycle OTEC system

and converting a small portion of it (-0.5%) to low- apparent difference is that a commercial plant would
pressure steam. incorporate the heat exchangers, steam passages, and
turbine housing directly into a reinforced concrete
°
The colder seawater (-20 C) is then discharged back into vacuum structure. The experimental plant, on the other
the ocean. For some evaporator designs, the violent hand, would consist of a number of epoxy-coated steel
boiling process may entrain small droplets of seawater in vacuum vessels connected by appropriately sized pipes
the steam. A mist-removal device eliminates these (Figure 2).
droplets before they can corrode or erode the turbine
blades. About 30% of the gross power of the open-cycle The second difference is that the experimental plant
system is used to drive the seawater pumps and the might be located at ground level even though optimum
exhaust compressors. The remaining net power is performance is achieved when the heat exchangers are
available to a utility power grid. raised to the barometric height. This variation from a
commercial design is discussed later.
°
Cold seawater (-5 C) is pumped from ocean depths of
around ·1000 m to condense about 98% of the steam Finally, while a commercial plant might use surface
downstream of the turbine. In comparison to conventional condensers to produce fresh water, present studies
steam power systems, the steam contains a significantly indicate that the lowest cost plant for energy production
greater content of noncondensable gases. These gases, would use direct-contact condensers. For the purposes of
primarily oxygen and nitrogen, are dissolved in seawater this study, we considered only direct-contact condensers.
and released in the low-pressure conditions of the
evaporator and direct-contact condenser. The presence of
these gases decreases the efficiency of the condenser and 2.0 SITE CHARACTERISTICS AT THE SEACOAST TEST
requires that a sizable compressor be used to exhaust FACILITY
them from the vacuum chamber.
These experiments will be conducted at the Natural
Some of the dissolved noncondensable gases may be Energy Laboratory of Hawaii's Seacoast Test Facility at
removed from the warm and cold seawater before it Keahole Point on the big island of Hawaii. This facility is
enters the main power system. These optional seawater presently unequalled in its ability to provide both warm
predeaerators operate at pressures greater than the and cold seawater for a variety of OTEC and spin-off
seawater vapor pressure but low -enough to allow gas experiments. Pipes 0.3 m (12 in.) in diameter deliver up
desorption. to 130 kg/s (2000 gpm) of warm water and 65 kg/s
(1000 gpm) of cold water continuously to experiments in
More information on the computer model used to study corrosion and biofouling, as well as supplying water for a
thi� system is available from the proceedinr� of OCEANS number of mariculture operations. In a planned upgrade,
'85 as well as from SERI technical reports. ' the water-flow capability of the facility will be enhanced
with new seawater pipes and pumps, in part, to support
1.3 Configuration of Experimental Apparatus experiments in open-cycle component and system
performance.
The experimental-scale, open-cycle OTEC plant being
considered for construction at the Seacoast Test Facility A major element of the cost of any OTEC plant is the
would represent a commercial-scale plant in many piping required to bring cold water to the plant. In this
respects. The flow paths and components shown in study, therefore, the size of the experiment was
Figure 1 would be used for the experimental plant; characterized by the cold-water flow. The cold-water
however, practical and cost considerations require that, in flow rates considered in this study, 30-4750 kg/s
some aspects, the experimental plant would look (500-7500 gpm) include the current flow capabilities at
somewhat different from a commercial plant. The most the Seacoast Test Facility.

2
 TP-2965

�. condenser·

Figure 2. Conceptual layout of a 165-kW experiment

.3.0 CONSIDERATIONS IN MODELING of the seawater or steam contacts the walls of the flow
EXPERIMENTAL-SCALE PLANTS passages. In addition, because operating costs become
more of a concern with large components, manufacturers
.3.1 Major System Trade-Offs can justify increased attention to design and fabrication
details in larger components.
The major trade-offs in an open-cycle OTEC system can
be characterized by the temperature distribution in the After investigating some correlations of component
plant and the velocities in the seawater pipes. For efficiency to size, we selecte a Reynolds number�
example, if the steam temperature in the evaporator is dependency as described by Balje. Balje shows how the
increased, less steam per unit of warm seawater will be efficiency of various turbines decreases from a nominal
produced but the turbine will extract more power per unit efficiency � the component Reynolds number decreases
of steam. Similarly, if the temperature at the turbine from 5 x 10 We selected an intermediate curve from
•

outlet is increased, power output will be decreased but the family he presented as representative of the medium­
less cold water will be required. The optimum specific speed and low-pressure ratio of open-cycle
temperature distribution is normally adjusted to minimize turbines.
plant capital .costs per net energy production and is,
therefore, highly dependent on the algorithms used to Since the Reynolds number is proportional to the
characterize component costs. The model uses cost characteristic diameter of the component,. and since the
algorithms representative of plants in the 10-MW size diameter is proportional to the square root of the
e
range that would need to be adjusted to estimate costs volumetric flow, we derived the correlations of
reliably for small experiment-scale plants. Therefore we component efficiency to cold-seawater flow rate as shown
·

optimized a 10-MW plant at the seawater resource in Figure 3.

e
temperatures characteristic of the Seacoast Test Facility
and maintained this temperature distribution throughout
our study.

Seawater-pipe water velocities provide the second major

>
area of trade-offs in a system study. Increasing water (.J
c:
velocity decreases the size and cost of the corresponding Q)
pipe at the expense of increased pumping power. In a �
10-MW size plant, optimum water velocities are around
e
Qi
2.2 m/s (7.2 ft/s). In smaller-scale plants, however, we c
Q)
found that lower velocities were required to prevent c:
0
excessive pressure losses in the seawater supply and a.
discharge pipes. We used velocities of 1.1 m/s (3.6 ft/s) E
0
for the experimental-scale pipes. (.) - Exhaust compressor

.3.2 Mechanical Efficiency

.. ��--�---'�--�--��
� �����
� --���'-
One aspect of this study defines the appropriate kg/s 0 100 1,000 10,000 100,000
efficiencies for mechanical components in the
gpm 0 1,000 10,000 100,000 1,000,000
experiment. These components include the steam turbine,
warm and cold seawater pumps, and the compressor to Cold-water flow rate
remove noncondensable gases. In each of these
components, losses tend to increase with decreasing size
for a number of reasons. For example, viscous losses tend Figure .3. Mechanical efficiencies as a function of
to increase in smaller sizes because a higher percentage plant size

3
 TP-2965

3.3 Pressure-Loss Factors in the experiments so that the total temperature

difference between cold and warm seawater would
° °
A second factor that affects the performance of small­ decrease from a possible maximum of 19.0 to 17 .5 C
° °
scale plants is intercomponent pressure loss of both steam (34.2 to 31.5 F).
and seawater. Because of the large volumetric flow rates
in both steam and seawater flows, the piping system is 3.5 Barometric Height Considerations
optimally formed from appropriately configured walls and
passageways in the plant structure. These passageways Since the direct-contact evaporator and condenser
would probably consist of reinforced concrete with operate at subatmospheric pressures of 2500 and 1500 Pa
additional smoothing of corners and transitions using absolute (0.36 and 0.22 psia), respectively, minimum
either ferrocement or fiber-reinforced plastic. In a small­ seawater pumping power is obtained when these
scale experimental plant, however, a simpler and less­ components are located nominally 10 m (33 ft) above sea
expensive construction technique is a more conventional level. For example, in the evaporator seawater path,
steel piping system. pressure losses in the warm-water supply pipe for desired
flow rates are around 1500 Pa, and pressure losses in the
The large vacuum-chamber components, such as heat evaporator are 1700 Pa (0.24 psi). If the evaporator were
exchangers, are tanks that are connected with either placed at sea level, a valve would have to induce a
large-diameter pipes or, preferably, fitted and faired pressure loss of around 96,000 Pa (13.9 psi) in the piping.
elbows that are close to the same diameter as the heat­ The water would then have to be pumped out of the low­
exchanger tanks. The turbine/diffuser adds significantly pressure chamber for discharge back into the ocean. The
to the cost of the vacuum chamber not only because of its alternative is to raise the evaporator to barometric level
size but because its conical shape complicates its so the elevation head is equal to the loss imposed by the
fabrication. Adding to the cost of the experimental-scale valve. The head can then be recovered when the water is
plant is the desirability of maintaining the heat discharged from the chamber, and the pumping head and
exchangers at their appropriate barometric height. This power are significantly reduced. Depending on
requires placing the entire vacuum-chamber assembly on configuration and control strategy, the barometric height
top of one or more towers. To minimize the cost of this can vary from around 8 to 12 m above sea level.
structure, the smaller-scale experiments are likely to
crowd the major components together on one tower. The Placement at barometric height results in minimum
connecting piping would not be optimized for minimum seawater pumping power. In this case, pumping head is
pressure losses and, in the smallest sizes, the turbine equal to the head losses in the intake and discharge piping
diffuser perhaps would be eliminated. plus the heat-exchanger losses. If the heat-exchanger
areas are large, as in a commercial-size plant, raising the
As a result, steam pressure-loss factors for the small­ heat exchanger from ground level to barometric height
scale plants are three times greater than those estimated may not greatly affect the overall initial plant cost. For
for a representative 10-MW plant. In a plant requiring small-scale experimental p;ants, however, the fractional
e
195 kg/s (3000 gpm) of cold. water or less, no diffuser cost of raising the vacuum chambers to barometric height
would be used. would be much greater. We evaluated the net-power
penalty for location at less than barometric level and
Similarly, the piping system for the seawater flows differs found that for the 420-kg/s (6500-gpm) size, 5 kW of net
significantly from that expected to be used in a 10-MW power were lost for every meter the condenser was
plant. The existing piping system at the Seacoast Tesl lowered. Since the ground level at the experimental
Facility already has a number of elbows and valves that facility in Hawaii is around 4 m above sea level, the
would be avoided in a full-scale plant. In addition, routing additional pumping power would consume 30% of the gross
the seawater from the the existing pipes to the heat power in the experimental plant shown at ground level in
exchangers would require an additional isolation valve and Figure 2. This extra pumping power would decrease that
°
probably three more 90 elbows. We estimated the experiment's net-power output to only 40 kW of the
additional pressure-loss factors for these piping 165 kW delivered by the generator.
components to be two to three times that which might be
expected in a full-scale commercial plant. Since in this study we were considering how to obtain the
highest net power for a given cold-water flow rate to
3.4 Resource Seawater Temperatures validate our models, we noted that the heat exchangers
should be located at barometric height.
A final factor in estimating the performance of small­
scale plants is the heat transfer between the incoming 4.0 RESULTS
seawater and the ambient fluids. In the warm seawater,
heat is lost to the air as the water is routed across the Having characterized the input parameters for the system
shore to the test facility. More significantly, the cold analyses as described in the previous sections, we
seawater gains heat not only from the air but from the calculated the net power for a number of experiment
surrounding warm seawater in the shallow-water portions sizes. As discussed earlier, we used cold-water flow rate
of its supply pipe. In large-scale plants, this heat transfer to characterize the experiment size. We calculated gross
has a negligible effect on the temperature of incoming and net power for plants using cold-water flows of 30, 65,
seawater because the volume-to-surface area of the 195, 420, 2500, and 5000 kg/s.
supply pipes is so large and because much of the pipe
would be buried. For the purposes of this study, we found 4.1 Heat-Exchanger Performance
that the larger experiments that require at least 420-kg/s
(6500-gpm) cold-water flows would suffer negligible heat Since a major purpose of building this experimental plant
transfer between the supply seawater and ambient fluids. is to verify the performance of OTEC heat exchangers, we
At lower flow rates, sufficient heat transfer would occur need to understand the effects of uncertainty in predicted

4
 TP-2965

heat-exchanger performance on net-power production. related to velocity in the seawater pipes and mechanical­
Evaporator performance is characterized by effective­ equipment efficiencies. Figure 6 shows how changing the
ness, which expresses how closely the outlet-steam size of the seawater pipes for the 195-kg/s (3000-gpm)
temperature approaches the outlet-water temperature. plant would affect the predicted net power of that plant.
Although the vertical-spout evaporator has repeatedly At the baseline conditions of 1.1-m/s velocity in each of
demonstrated a high effectiveness of 0.95 in laboratory the pipes, the net power is 8.5 kWe· Increasing the size of
experiments, we conservatively input a value of 0.90 in the warm-water or mixed-discnarge pipes does not
our baseline system runs. To judge the effect of a poor increase net power significantly; however, decreasing the
evaporator performance, we ran a case with an size of either of these pipes or changing the cold-water
effectiveness of 0.80. Net power was reduced by less than pipe diameter would have a significant effect on net
596 of the baseline gross. power.

Similarly we considered the worst-case condenser Similarly Figure 7 shows how changes from the calculated
performance where only 9596 of the steam was condensed mechanical efficiencies affect net power for the 3000-
(versus a baseline case of 98%). Although this change gpm plant. It is apparent that turbine efficiency has the
appears small, it results in an exhaust compressor power biggest effect on power production. Improvements in the
requirement three times higher than in the baseline. This efficiency of the other components will not have as large
change also reduced net power by about 25% of the an effect on net-power production. Improperly sized or
baseline gross. Figure 4 shows how a combination of a low-efficiency components, however, could easily elim­
poor evaporator and a poor condenser reduces net-power inate the potential to produce any net power.
production. Note that, for flows of less than 225 kg/s
(3500 gpm), the seawater pumps and exhaust compressor
might consume more power than the turbine produces.
180 r-------�
The geometry and operating conditions of the condenser
strongly affect the amount of steam that a given
condenser can eliminate. Rather than accept
performance when only 95% of the steam is condensed,
the experimenter can readily increase the height of a
direct-contact condenser or change the size of the _

packing material. We have estimated that the

experimental configuration could be altered for net-power
experiments so that only a slight increase in cold-water
pumping power would be required to achieve the baseline
condenser performance. The combined effect of this
increased pumping power and an evaporator effectiveness
of 0.80 is shown by the lower bound of net power in
0 ��--���--�----�
F igure 5. By altering the condenser geometry, we have -20'-------------...1.
limited the loss of net power to only about 10% of the
gross power. kg/s 0 100 200 300 400

4.2 Ma jor Performance Sensitivities gpm 0 2000 4000 6000

Cold-water flow
In the course of this study, we investigated the effects of
changes from nominal conditions. The two largest effects Figure 5. Net power with nominal and oversized
condensers
180
Cold-water flow= 195 kg/s (3000 gpm)
160 i 30 r-------,

140 j
120 Mixed
� discharge
� 100

Qi 80
�
0
a.

kg/s 0 100 200 300 400

in. 10 20 30 40 50
gpm 0 4000 6000 I I I I I I
m 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1.0 1.1 1.2
Cold-water flow
Pipe inside diameter
Figure 4. Net power with nominal and low fractions
of steam condensed Figure 6. Effect of pipe size on net power

5
 TP-2965

Cold-water flow= 195 kg/s (3000 gpm) 7.0 REFERENCES

20
1. Watt, A. D., Mathews, F. S., and Hathaway, R. E.,
16 Open Cycle Ocean Thermal Energy Conversion, A
Preliminary Engineering Evaluation, Final Report,
- 12
3:: Golden, CO: Colorado School of Mines, Decemger
::;. 8 1977.
(ii
;;: 4 2. 100 MW OTEC Alternate Power Systems, Final
0
a.
0
Report, L ester, PA: Westinghouse Electric Cor­
a; poration, Power Generation Divisions, March 1979.
z

-4
3. Boot, J. L., and McGowan, J. F., Feasibility Study of
-8 a 100 Megawatt Open Cycle Ocean Thermal
Difference Power Plant, NSF/RANN/SE/GI-
60 100 34979/TR/74/3, Amherst, MA: Mechanical Engi-
40
neering Department, University of Massachusetts,
Efficiency (o/o)
August 1974.
Figure 7. Effect of mechanical efficiency on net
power 4. Valenzuela, J., et al., "Thermo-Economic Analysis of
Open Cycle OTEC Plants," ASME paper #84-
WA/SOL-24, presented at the ASME Winter Annual
Meeting, December 1984:
.5.0 CONCLUSIONS AND RECOMMENDATIONS
5. Shelpuk, B., "A 165-kW Open Cycle OTEC
Based on the results of this study, as shown in Figure 5, Experiment," SERI/TP-251-2725, Golden, CO: Solar
we found that net power is unlikely to be produced in Energy Research Institute, June 1985. Presented at
experiment sizes that use less than about 3000 gpm of the 12th Annual Intersociety Energy Conversion
cold water. A reasonable ratio of net to gross power is Engineering Conference, Miami Beach, FL,
not achieved until the experiment size is increased to 18-23 August 1985.
about 6500 gpm where parasitic power losses absorb 50%
or less of the gross output of the plant. Critical 6. Parsons, B. K., and Link, H. F., "System Studies of
characteristics of the experimental plant are: Open-Cycle OTEC Components," SERI/TP-253-2794,
Golden, CO: Solar Energy Research Institute,
• Location of heat exchangers at barometric height September 1985. Presented at Oceans '85, San Diego,
CA, 12-14 November 1985.
• High-efficiency turbine
7. Parsons, B. K., Bhara.:han, D., and· Althof, J. A.,
• Adequately sized seawater pipes. Thermodynamic Systems Analysis of Open-Cycle
Ocean Thermal Energy Conversion, SERI/TR-
While it is possible to realize net-power production in an 252-2234, Golden, CO: Solar Energy Research
experiment that uses as little as 195 kg/s (3000 gpm) of Institute, September 1985.
cold water, uncertainties in component performance could
easily eliminate net-power production at this size. We 8. Bharathan, D., Altho!, J. A., and Parsons, B. K,
concluded that an experiment using 420 kg/s (6500 gpm) Direct Contact Condensers for Open-Cycle Ocean
would provide a more suitable margin of net power as well Thermal Energy Conversion (OTEC) Applications,
as a significantly better ratio of net to gross power. Volume 1: Analytical Modeling, Draft Report,
SERI/RR-252-2472, Golden, CO: Solar Energy
6.0 ACKNOWLEDGMENT Research Institute, April 1985.

We wish to acknowledge and express our gratitude to the 9. Balje, 0. E., Turbomachines, A Guide to Design,
Ocean Energy Technology Program of the Department of Selection, and Theory, New York: John Wiley and
Energy, which sponsored this research. Sons, 1981.

6
JOURNAL OF MARINE ENGINEERING & TECHNOLOGY, 2017
https://doi.org/10.1080/20464177.2017.1320839

Conceptual design of a 5 MW OTEC power plant in the Oman Sea

Amir-Sina Hamedi a and Sadegh Sadeghzadehb
a Department of Energy, Sharif University of Technology, Tehran, Iran; b School of New Technologies, Iran University of Science and Technology,
Tehran, Iran

ABSTRACT ARTICLE HISTORY

Developing ocean energy extraction, including ocean thermal energy conversion (OTEC), has been Received 24 April 2016
of interest to researchers for many decades. OTEC is a free fuel technology and could be used as Accepted 13 April 2017
a baseline power generation. These advantages plus the engineering challenge have resulted in
researchers striving to design and construct prototype devices. Making use of worldwide experi-
ence, all sections of a conceptual design including site selection, technical specifications and cost
estimation were carried out for an Iranian OTEC power plant. A 5 MW closed cycle floating plant with
an annual average temperature difference of 22°C was chosen at a 33 km distance from Chabahar
harbour. Deep seawater would be extracted from 1000 m depth and would result in 3.52 MW of net
power. According to cost calculations, the levelised cost of electricity of the plant has been estimated
to be approximately 0.117 $/kWh, which is an acceptable level compared to other renewables. The
conceptual OTEC design presented in this paper demonstrates a thermal potential in the Oman Sea
which could assist with meeting the power demand for the southern coast of Iran.

1. Introduction OTEC technology can utilise different power produc-

Increased worldwide energy consumption, environmen- tion cycle types. Closed cycle runs a heat engine by gener-
tal concerns and the oil crisis of the 1970s have intensified ating a pressure difference in a working fluid. Open cycle
interest in exploiting renewable energy. Oceans and seas OTEC uses seawater as the working fluid by providing
provide inspiration for engineers to utilise energy of sea- a relative vacuum in the heat exchanger generating low-
water in various ways. These ways can be divided into two pressure steam. Also a combination of closed and open
main areas: wave energy (mechanical) and temperature cycles, named Kalina, uses both water and ammonia as
difference (thermal). However, today, researchers have working fluids. Other variations for OTEC technology
in general focused more on wave energy than thermal include location. Onshore units are land-based and off-
energy conversion. shore units are either free floating/grazing or moored to
Ocean thermal energy conversion (OTEC) is a sys- the sea bed.
tem which uses the temperature difference between warm OTEC technology generates electricity continuously
surface seawater and cold deep seawater to drive a and could be used as a base-load power plant, which is
working fluid in a Rankin cycle to produce electricity. a major advantage compared to other renewable energies
The warm seawater evaporates a working fluid, typically including solar and wind. The resource of ocean thermal
ammonia, in a heat exchanger and the cold seawater, energy is worldwide, which means this technology could
which is extracted from 500 to 1000 m depth, is used to provide benefit to many nations. Although there are some
condense the ammonia vapour after it has driven a tur- potential adverse effects including possible release of CO2
bine. Surface seawater varies with a range of 24–30°C absorbed in seawater and fish entrapment, depending on
depending on season, while deep seawater often does not intake grill design, OTEC technology is considered to be
change significantly by season and remains fairly steady environment-friendly (Ruud Kempener (IRENA), Frank
in the range of 5–9°C. An average temperature differ- Neumann (IMIEU) 2014).
ence of 20°C is needed to drive the Rankin heat engine Since a test plant up to 1 MW capacity has been
and produce an approximately constant base-load power installed, the present main challenges of developing
(Griekspoor 1981). OTEC are deployment of the water duct system and

CONTACT Sadegh Sadeghzadeh sadeghzadeh@iust.ac.ir

© 2017 Institute of Marine Engineering, Science & Technology

2 A.-S. HAMEDI AND S. SADEGHZADEH

heat exchangers at a 5 MW or greater size and also the evaporate at the relatively low seawater intake tempera-
lack of long-term operating experience (Ruud Kempener ture of 24–30°C. The vapour flow drives a low-pressure
(IRENA), Frank Neumann (IMIEU) 2014). The location turbine and generator and then condensed in a drum
of Iran near seas with OTEC potential encourages us to by pumped deep seawater. This drum also is vacuumed
develop a conceptual design of an OTEC plant to provide to facilitate condensing. The discharged water from the
energy for coastal regions. condenser could be used for cooling systems such as air
conditioning or as fresh water, which introduces multi-
2. OTEC technology progress product OTEC plants, which can improve profitability.
The major difference between closed and open cycle
2.1. History is the working fluid (a refrigerant, mostly ammonia, in
The idea of OTEC dates back to the nineteenth century closed cycle), which alters the plant equipment arrange-
when a French physicist, Jacques d’Arsonval, suggested a ment. In the closed cycle, ammonia is condensed and
system which converts the temperature difference within evaporated by deep cold seawater and surface warm sea-
seawater to generate electricity by means of a heat engine. water, respectively. In these two drums the pressure is
This idea was discarded until 1925 when one of his high due to the boiling point of ammonia at the intake
students, Georges Claude, built the world’s first OTEC seawater temperature range. This pressure difference
plant in Cuba (Uehara et al. 1988). Due to energy crisis between evaporator and condenser makes ammonia
of the 1970s, interest in constructing large-scale OTEC vapour flow through the turbine and generate electricity.
prototypes was reignited. Companies and organisations Efficiency is a key parameter which influences whether
in the US and Japan built test OTEC plants and urged or not a technology is feasible. Due to Carnot and Rankin
other countries, including the UK and Sweden to become efficiency and other losses at the turbo-generator and
involved in OTEC projects. In Table 1 there is a list of sig- pumps, the energy conversion efficiency associated with
nificant OTEC plants which have been or are planned to OTEC technology is low. Although a typical Carnot
be installed worldwide. efficiency of an OTEC plant is about 6–8%, the real
As Table 1 demonstrates there is no record of OTEC cycle efficiency is estimated at between 2% and 4%
utilisation, either prototype or in large scale in Iran, thus, (Lavi 1980).
this paper aims to explore the thermal potential of the Enormous quantities of cold and warm seawater are
seas around Iran and also to develop a conceptual design. needed to run an OTEC plant, which also requires sub-
stantial heat exchangers and pipes. However, because the
warm and cold seawater is effectively a free fuel and due
2.2. Design parameters
to progress in heat exchanger and pipe material design
The components of an OTEC open cycle are shown in and manufacture, large-scale OTEC plants are now start-
Figure 1: condenser, evaporator, turbo-generator, pumps, ing to reach the stage of economic viability in comparison
piping and power cables. In an open cycle, warm water to other renewable energies, particularly in areas where
from surface seawater flows through a flash evapora- electricity, fresh water and air conditioning costs are
tor drum. The developed vacuum causes seawater to high.

Table 1. Important worldwide installed or planned OTEC power plants (Ravindran 2000; Wikipedia contributors 2015a).
Nominal or nameplate
Location power output Description
Hawaii 50 kW One of the oldest plant, 1979, closed cycle, Lockheed Missile and Space Co.
Japan/Nauru 120 kW Installed in 1982 by Tokyo Electric Power Services Company
Hawaii 1 MW A land-based plant, open cycle, operating between 1993–1998 by LLC and NELHA
Japan/Okinawa 50 kW A land-based plant using for power generation and research on other applications of OTEC, installed
in 2013 by Xenesys, IHI and Yokogawa
Hawaii 10 MW Working with the U.S. Navy and the Department of Energy, Lockheed Martin has invested $15 million
over the past three years toward the technology need for and the design of a 10 MW prototype plant
to validating the technologies necessary for small- to large-scale (100 MW or greater) commercial
sized OTEC power plants
India/Tuticorin south India 1 MW A floating closed cycle plant was attempted by the National Institute of Ocean Technology, India.
Difficulties in connecting the 1 km cold water pipe due to lack of marine infrastructure led to closure
of the project
Southern China 10 MW The 10 MW prototype offshore plant will be the largest planned OTEC project until 2017. Like the
Hawaii project, which was also to be a 10 MW facility, the China OTEC plant is designed to pave the
way for higher capacity plants ranging from 10 to 100 MW
Martinique/Bellefontaine 10 MW Floating platform, planned to operate from 2016, DCNS France
 JOURNAL OF MARINE ENGINEERING & TECHNOLOGY 3

Figure 1. OTEC open cycle schematic.

3. Conceptual design
3.1. Site selection
This section investigates an appropriate site for an OTEC
plant installation making use of Iran’s long 2700 km
coastline (Wikipedia contributors 2015b). The major
concern is water depth since the water depth in Caspian
Sea and Persian Gulf (near the shore) is limited to 200 m.
Hence it was easy to put aside these two options and
instead investigate the Oman Sea (Wikipedia contribu-
tors 2015c). Heading to the east in the Oman Sea, the
depth increases up to 3400 m near Chabahar harbour
(Wikipedia contributors 2015b). Therefore, this area was
investigated further to assess the temperature profile and
depth near the harbour to find an appropriate site.
Unfortunately, there is no sufficient data for depth
and temperature profile for the Oman Sea in standard
references. Therefore, it was necessary to use somewhat
less comprehensive data. Figure 2(a,b) presents 10 years
average of the Oman Sea water temperature and average
variation temperature of the Arabian Sea (nearest sea to
the Oman Sea) for both summer and winter, respectively.
According to the 2000–2010 average vertical temper-
ature profile, the water temperature at 300 m is 17.5°C,
so there is a need to go deeper to reach the required cold
seawater. Unfortunately, deep seawater temperature data
for this area are not found in standard references. There- Figure 2. Seawater temperature difference of the Oman Sea (a)
fore, it was necessary to use the general sea temperature and the Arabian Sea in depth and various seasons (b) (Piontkovski
profiles as seen in Figure 3. and Chiffings 2014).
4 A.-S. HAMEDI AND S. SADEGHZADEH

conceptual design to use these data to estimate the tem-

perature at depths of 500, 750 and 1000 m in the Oman
Sea at 9°C, 7°C and 5°C, respectively. Based on Figures 2
and 3 it was possible to prepare Table 2.
As Table 2 demonstrates, the 22°C temperature dif-
ference probably exists at 1000 m depth. Therefore, the
next stage was to inspect the nearest area to the Chaba-
har harbour to identify a 1000 m depth location for cold
water extraction. To find this site Google earth maps was
utilised.
From Figure 4, three sites near Chabahar were iden-
tified which have 500, 750 and 1000 m water depth. Due
to the illustrated reasons, site 3 was chosen as the cold
water extraction site is 33 km far from the harbour and at
Figure 3. General deep seawater temperature profiles for differ-
ent latitudes the Atlantic Ocean (Piontkovski et al. 2012). 1000 m water depth a temperature of 5°C is expected to
be available.

Table 2. Annual temperature difference of Oman Sea at depth

difference of 500, 750, 1000 m by seasons.
3.2. Technical specification

500 m 750 m 1000 m The distance of deep cold seawater extraction point to
July 19.7 21.7 23.7 shore would restrict the feasibility of an onshore plant,
June 21.2 23.2 25.2 as capital costs are increased by the 33 km cold water
January 15.3 17.3 19.3
February 15.6 17.6 19.6 pipe distance as well as associated reduction in thermo-
Average (°C) 17.95 19.95 21.95 dynamic efficiency. Hence, an offshore platform was cho-
sen to minimise costs. If open cycle should be selected,
the condenser discharged water could have other appli-
Figure 3 shows that both mid-latitudes and trop- cations such as provision of fresh water or for use in
ics temperature below 600 m water depth are approxi- cooling systems. Since there is no island near this site to
mately the same. Hence, it was judged acceptable for a deliver discharged water, plus constructing an open cycle

Figure 4. Three site features in the Oman Sea near the Chabahar harbour. Image © 2015 CNES/Astrium; Data SIO, NOAA, U.S. Navy, NGA,
GEBCO; © Google; Image © 2015 DigitalGlobe.
 JOURNAL OF MARINE ENGINEERING & TECHNOLOGY 5

Table 3. Ammonia physical properties (Ammonia (data page) Carnot and cycle efficiency is estimated via the follow-
2015 June 5). ing equations:
Parameter Value
THot − TCold 22
Formula NH3 ηcarnot = = = 0.073,
Molecular weight 17.031 g/mole THot 300
Boiling point (1 bar) –33.3°C

Boiling point (5 bar) 10°C W TCold
Boiling point (10 bar) 25°C ηcycle = =1− (1)
Latent heat 1187 kJ/kg
Q THot
Specific density 0.662 
278
=1− =0.037.
300
demands more capital cost, selecting a closed cycle plant To calculate water intake flow rate Equation (2) is
was preferable. Therefore, a 5 MW offshore closed cycle applied as follows:
OTEC plant was selected.
A refrigerant needs to be identified to act as the work- P 5000 kJ/s
ing fluid in a closed cycle system. Anhydrous ammonia Qc = =  6435 kg/s,
ηCTc 0.037 × 4.2 × 5 (2)
is the most common and available refrigerant; thus, it is
Qh  10725 kg/s.
important to check ammonia’s physical properties for the
site-specific operating conditions. Average temperature difference between inlet and out-
According to Table 3 ammonia’s boiling point at 1 bar let cold and hot seawater is 5°C and 3°C, respectively, and
is –33.3°C. Considering that the cold water intake tem- cycle efficiency as mentioned previously is assumed to
perature is 5°C, providing a –33.3°C temperature is not be 3.7%. Thus, the seawater flow rate in the condenser
possible. Hence, it is necessary to change the condenser and evaporator becomes around 6430 and 10,720 kg/s,
and evaporator operating pressures to adjust ammonia’s respectively.
boiling and condensing points to the two seawater intakes The selected heat exchanger material plays a key role
temperature. Table 3 shows ammonia’s condensing and with respect to estimating heat transfer area. Dissolved
boiling points at 5 and 10 bar which are 10°C and 25°C, salts and air make seawater corrosive; thus, utilising a
respectively, which match the cold and warm seawater corrosion-resistant material with high heat transfer coef-
temperatures. The closed cycle operating condition is ficient has been studied in many marine journals. Tita-
illustrated in Figure 5. nium grade 1 has better characteristics than other metals

Figure 5. Operating condition of the proposed closed cycle OTEC plant.

6 A.-S. HAMEDI AND S. SADEGHZADEH

Table 4. Thermo-fluid parameters compared to other published designs.

Parameter Value Unit Other notes
Working fluid Ammonia
Inlet/outlet water temperature difference 3 and 5 °C 3.1 and 5.8 in Magesh (2010) and Vega (2002)
Seawater flow rate 10,720 kg/s 13,900 kg/s for a 8 MW plant in Uehara et al. (1988)
Heat exchanger material Titanium and steel alloy Titanium in Upshaw (2012) and Griekspoor (1981)
LMTD 4 and 5.4 °C 2.89 and 4.37 in Siahaya and Salam (2010)
Overall heat transfer coefficient 4 kW/m2 K 4 in Magesh (2010)
Condenser heat transfer area 8446 m2 10,400 for a 5 MW plant in Uehara et al. (1988)
Evaporator heat transfer area 6255 m2
Ammonia flow rate 114 kg/s 137 in Uehara et al. (1988)

and polymers (Griekspoor 1981) and the overall heat

transfer coefficient is in order of 4 kW/m2 K. However,
some chemicals including chlorine should be added peri-
odically to prevent microorganism build up in the heat
exchangers. Another determinant variable is logarithmic
mean temperature difference (LMTD). This parameter is
an average between seawater inlet and outlet temperature
and condensing or boiling points, which is calculated as
Equation (3):

(Tcon − Tc,in ) − (Tcon − Tc,out ) Figure 6. Plate and frame evaporator sizing.
LMTDC =  
Tcon −Tc,in
Ln Tcon −Tc,out
(3) due to high turbulence and easy cleaning for plate heat
= 4◦ C, exchangers, thus the bio-fouling factor is low and as a
LMTDH = 5.4◦ C. result, an improved heat transfer coefficient is obtained.
Moreover, in a constant duty application, a plate heat
LMTD for the condenser and evaporator is 4°C and exchanger takes up less space than a shell and tube; there-
5.4°C, respectively, and the heat transfer area is estimated fore, in a restricted space floating plant, selecting a plate
by Equation (4) as follows: heat exchanger is desirable.
Due to limitations in plate numbers in heat exchang-
P ers, the size needs to be optimised. Assuming four plate
AC = heat exchangers each for the condenser and evapora-
ηULMTDC
tor, there would be about 603 and 447 plates for the
5000
=  8446 m2 , (4) condenser and evaporator, respectively (with each plate
kW
0.037 × 4 m2 C × 4 active area of 3.5 m2 ) – see derivation below:
AE  6255 m2 .
A 8446
NC = = = 603 plates,
According to Equation (3) the heat transfer area a×n 3.5 × 4
(6)
for the condenser and evaporator would become 8445 A 6255
and 6255 m2 , respectively. The working fluid flow rate NE = = = 447 plates.
a×n 3.5 × 4
is another major parameter which is calculated by
Equation (5): The dimensions of the heat exchangers are illustrated
in Figure 6.
QE = AULMTDE = ma LHa . (5) The last part of the technical design relates to pip-
ing and pumps. There are many potential compositions
This can be calculated to be 114 kg/s. To validate and and alloys for pipes including steel, aluminium, plastic,
compare the overall values, the last column of Table 4 concrete and fibres composites. Due to seawater’s cor-
provides some variables which exist in other references. rosive nature and pipe scaling effect, the most resilient
One of the most substantial factors in cost estimation composition was selected to resist bio-fouling. Plastic or
relates to the heat exchangers. There are many different fibre-reinforced composites are suitable due to capability
types of heat exchangers but for the present application, for in-site extrusion and flexibility, which can resist the
plate and frame heat exchangers are preferred. This is sub-sea flows (Griekspoor 1981; Vega 2002).
 JOURNAL OF MARINE ENGINEERING & TECHNOLOGY 7

Table 5. Thermo-fluid pipe and pump parameters.

Parameter Value Unit Comparison with other designs
Evaporator plate dimensions (each) 1.75*2*5.58 m 31.27 m2 (5 MW onshore) (Uehara et al. 1988)
Condenser plate dimensions (each) 1.75*2*7.53 m 4.6*1*6.1 (4 MW) (LUISA)
Cold water pipe 2.8 (1000 m length) m 7.5 m for 10 MW plant in Griekspoor (1981)
Hot (warm) water pipe 3.7 (20 m length) m 7 m for 25 MW plant in Uehara et al. (1988)
Pipe composition Fibre-reinforced composites fibre-reinforced composites in Griekspoor (1981)
Cold water pump flow rate 6.43 m3 /s
Hot (warm) water pump flow rate 10.72 m3 /s
Cold water pump power 793 kW
Hot (warm) water pump power 515 kW
Working fluid pump power 172 kW
Net power output 3520 kW 3660 for a 5 MW plant in Uehara et al. (1988)
Mixed effluent pipe diameter 4 m
Mixed effluent pipe depth 60 m

There are two parts of head loss in seawater pipes, Table 6. CAPEX estimation (Cavrot 1993; Magesh, 2010; Ruud
which needs to be made up by pumps. One is piping fric- Kempener (IRENA), Frank Neumann (IMIEU), 2014).
tion and the other is head loss in the heat exchangers. By Parameter Cost per unit Cost ($)
estimating head loss, seawater intake pumps power can Heat exchanger 500 $/m2 7,350,000
be estimated. It is possible to decrease pumping power Turbo-generator 700 $/kW 3,500,000
Pump 1000 $/kW 1,480,000
by increasing pipe diameter. Typically, there is a limita- Seawater pipe 500 $/m 540,000
tion on inlet fluid velocity (normally around 1 m/s) to Platform 1100 $/kW 5,500,000
Cabling (33 km) 700 $/kW 3,500,000
avoid heat exchanger seal damage and also to account Rankin cycle 1000 $/kW 5,000,000
for material resistance. Moreover, to mitigate possible Other costs 20% of total 5,374,000
environmental issues, warm and cold seawater would Total 32,244,000
normally be mixed and discharged at a moderate water
depth; thus, a 4 m diameter pipe was designed to dis-
charge the mixed warm and cold seawater at a 60 m Considering a discount rate (i = 8%) and a project
water depth. Pipes and pumps parameters are presented lifetime (n = 25 y) the cost recovery factor (CRF) can be
in Table 5: calculated. The other affecting parameter is the capacity
factor (CF), which addresses the period of year the plant
will be fully operational producing net power. According
3.3. Cost estimation to Lavi (1980), CF could be assumed to be 0.9. Therefore,
To investigate OTEC technology investment feasibility, the LCOE is calculated as follows:
it is necessary to estimate the levelised cost of electric-  
$
ity (LCOE) and compare this with other possible power LCOE
plant technologies. LCOE is divided into two main costs: kWh
⎡ ⎤
capital cost (CAPEX) and operating cost (OPEX). To CAPEX[$] × CRF [yr−1 ] + OPEX yr$
have a more precise cost evaluation it is desirable to use =⎣ ⎦
a dynamic model, which is defined in more details in the Welectricity [kW] × 8760 hr
yr × CF
references. To avoid excessive length, in this paper all that
32, 244, 000 × 0.0936 + 1, 816, 000
is reported are the final calculations. =
Considering cost estimations for real OTEC projects 5000 × 8760 × 0.90
all over the world, and considering lower construction = 0.117 $/kWh. (7)
costs in Iran the calculated capital cost for each com-
ponent and the final CAPEX value are summarised in There is a summary of economic parameters from
Table 6. other designs compared to the ones present in Table 7.
Due to free fuel, the OPEX estimation is divided into Table 8 includes LCOE of common power plant tech-
two parts including labour cost and maintenance. Sev- nologies which can be compared to LCOE for the OTEC
enteen personnel support a floating 5 MW OTEC plant, plant described in this paper.
with each receiving a salary of 12,000 $ per year. Main- According to Table 8 OTEC technology has lower
tenance costs have been estimated at 5% of the total LCOE in comparison with solar PV and offshore wind
capital cost per year. Thus, these two costs would become and hence in due course is likely to be considered seri-
204,000 and 1,612,000 $ per year, respectively. ously as an alternative renewable energy technology.
8 A.-S. HAMEDI AND S. SADEGHZADEH

Table 7. Economic parameters estimation. Based on the conceptual design presented in this
Comparison with other paper, constructing a 5 MWe floating closed cycle OTEC
Parameter Value Unit designs power plant, located at a site relatively close to Chabahar
Gross power 5 MW harbour is proposed.
Net output power 3.52 MW
Capital cost 32,244,000 $ 42 $M for a 5 MW plant (Vega),
95–167 $M for a 25 MW
plant (Uehara et al. 1988) Disclosure statement
Operating cost 1,816,200 $/yr 2 $M for a 5 MW plant (Siahaya No potential conflict of interest was reported by the authors.
and Salam 2010), 6$M for
a 28 MW (Magesh 2010),
1.6 $M for a 5 MW plant
(Uehara et al. 1988) ORCID
CRF 0.0936 yr−1 Amir-Sina Hamedi http://orcid.org/0000-0002-1363-7823
CF 0.90 In range of 0.75–1 (Lavi 1980)
LCOE 0.117 $/kWh 0.076 $/kWh in (Lavi 1980),
14.1–18.3 $/kWh for an
onshore 5 MW plant (Uehara References
et al. 1988)
Ammonia (data page). 2015 Jun 5. In Wikipedia, the free
encyclopedia [Internet]. [cited 14:48, 2015, Aug 3]. Available
Table 8. LCOE comparison between various different power from: https://en.wikipedia.org/w/index.php?title = Ammo
plant technologies (Ruud Kempener (IRENA), Frank Neumann nia_(data_page)&oldid = 665608744
(IMIEU), 2014). Cavrot DE. 1993. Economics of ocean thermal energy conver-
Technology Min. LCOE value ($/kWh) sion (OTEC). Ren Energy. 3: 891–896.
Griekspoor W. 1981. Ocean thermal energy conversion. Res
Conv. coal 0.09
N.G. conv. combined cycle 0.063 Conser. 7:49–60.
Adv. nuclear 0.091 Lavi A. 1980. Ocean thermal energy conversion: a general
Wind 0.086 introduction. Energy. 5: 469–480.
Solar PV 0.167 Luisa V. 2010. ‘Ocean thermal energy conversion’ Hawaii
Geothermal 0.096 Natural Energy Institute, School of Ocean and Earth Sci-
Biomass 0.104
Offshore wind 0.196 ence and Technology. Honolulu (HI): University of Hawaii
Solar thermal 0.201 at Manoa.
Magesh R. 2010. OTEC technology–a world of clean energy
and water. London, UK: World Congress on Engineering
4. Conclusion (WCE).
Piontkovski SA, Chiffings T. 2014. Long-term changes of tem-
The conceptual design demonstrates that Iran’s potential perature in the Sea of Oman and the western Arabian Sea.
for an OTEC power plant deployment in the Oman Sea Int J Oceans Oceanography. 8: 53–72.
should be pursued seriously. Some important points have Sergey A. Piontkovski, Hamed M. H. Al-Gheilani, Barry P.
been determined which are discussed below: Jupp, Adnan R. Al-Azri, Khalid A. Al-Hashmi. 2012. Inter-
annual changes in the Sea of Oman ecosystem. Open Marine
Biol J. 6: 38–52.
(1) Investigating the temperature difference between the Ravindran M. 2000. The Indian 1 MW floating OTEC plant –
surface and deep seawater shows an adequate tem- an overview. IOA Newslett 11: 8–9.
perature difference in different seasons with an aver- Ruud Kempener (IRENA), Frank Neumann (IMIEU). 2014.
age of 22°C. This shows the potential of the Oman Ocean thermal energy conversion technology brief, Irena
(International Renewable Energy Agency) Ocean Energy
Sea for OTEC plants.
Technology Brief 1 June 2014.
(2) Due to the long distance of the selected site (33 km) Siahaya Y, Salam L. 2010. Ocean thermal energy conversion
to harbour, an offshore floating plant is proposed. (OTEC) power plant and its by products yield for small
This remoteness dictated a closed cycle OTEC plant, islands in Indonesia sea water. ICCHT-5th International
since the delivery of discharge desalinated water is Conference on Cooling and Heating Technologies, Bandung,
not economic. Indonesia.
Uehara H, Dilao CO, Nakaoka T. 1988. Conceptual design of
(3) Technical progress in floating production technol- ocean thermal energy conversion (OTEC) power plants in
ogy and OTEC components make this technology the Philippines. Solar Energy. 41: 431–441.
feasible. Some bottlenecks in the past including heat Upshaw CR. 2012. Thermodynamic and economic feasibil-
exchangers and cold water pipe deployment are now ity analysis of a 20 MW ocean thermal energy conversion
believed to be surmountable. (OTEC) power plant [MSc thesis] [Internet]. University of
Texas, May 2012. [cited 2015 Mar 23]. Available from: http://
(4) Estimated LCOE ( ∼ 0.12 $/kWh) using CAPEX and
repositories.lib.utexas.edu/handle/2152/ETD-UT-2012-05-
OTEX appears acceptable compared to alternative 5637.
renewable options, including solar PV and offshore Vega LA. 2002. Ocean thermal energy conversion primer.
wind technology. Marine Technol Soc J. 36: 25–35.
 JOURNAL OF MARINE ENGINEERING & TECHNOLOGY 9

Vega LA. 2010. Economics of ocean thermal energy conversion Wikipedia contributors. 2015b. Gulf of Oman. Wikipedia, The
(OTEC): an update. Offshore Technology Conference held in Free Encyclopedia. 11 Jul. 2015. Web. 3 Aug. 2015. Available
Houston, Texas, USA, 3-6 May 2010. doi:10.4043/21016-MS from: https://en.wikipedia.org/w/index.php?title = Gulf_of_
Wikipedia contributors. 2015a. Ocean thermal energy conver- Oman&oldid = 776857095
sion. Wikipedia, The Free Encyclopedia. 31 Jul. 2015. Web. Wikipedia contributors. 2015c. Persian Gulf. Wikipedia, The
19 Aug. 2015. Available from: https://en.wikipedia.org/w/ Free Encyclopedia. 9 Aug. 2015. Web. 19 Aug. 2015. Available
index.php?title = Ocean_thermal_energy_conversion&old from: https://en.wikipedia.org/w/index.php?title = Persian_
id = 774781358 Gulf&oldid = 776852564

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Economics of Ocean Thermal Energy Conversion
(OTEC)

by

Luis A. Vega, Ph.D.

Published by the American Society of Civil Engineers (ASCE)

Chapter 7 of
"Ocean Energy Recovery: The State of the Art"
1992
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

Table of Contents

Tables /Figures List iii

Abstract 1

Background 2

Site Selection Criteria for OTEC Plants 4

OTEC Potential Market 8

OTEC Capital Cost Estimates and Production Rates 10

Conventional Production of Electricity 11

Conventional Production of Desalinated Water 12

OTEC Production of Electricity 12

1 MW Plants 14
10 MW Plants 15
50 MW and 100 MW Plants 15

Co-Products of OTEC 16

OTEC Energy Carriers 19

Externalities in the Production and Consumption of Energy 20

Development Requirements 21

Conclusions (CIRCA 1990) 22

References 23

Tables/Figures 25-36

ii
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

Figures

1 Capital Cost for Single Stage OTEC Plants as a function of Plant Size 25

Tables

1 Capital Cost Estimates ($/kW-net) for 1 MW

Land-Based Plants in 1990 Dollars 26
2 Capital Cost Estimates ($/kW-net) for 10 MW
Land-Based Plants in 1990 Dollars 26
3 Capital Cost Estimates ($/kW-net) for 50 MW
Land-Based Plants in 1990 Dollars 27
4 OTEC Market Penetration Scenarios 28
5 Potential Reduction in Capital Cost ($/kW) by Year 1995,
Expressed in 1990 Dollars, for a Land-Based 1 MW OC-OTEC Plant 29
6 Potential Reduction in Capital Cost ($/kW) by Year 2000,
Expressed in 1990 Dollars, for a Land-Based 10 MW OC-OTEC Plant 30
7 Potential Reduction in Capital Cost ($/kW) by Year 2000,
Expressed in 1990 Dollars, for a Land-Based 50 MW CC-OTEC Plant 31
8a Potential Reduction in Capital Cost ($/kW) by Year 2000,
Expressed in 1990 Dollars, for Floating 50 MW CC-OTEC Plants 32
8b Capital Cost ($/kW) for Single Stage Floating Plants, as a function
of Offshore Distance, Projected by Year 2000 after Engineering
Development and the Operation of Demonstration Plant 33
9 Cost of OTEC Electricity with Desalinated Water Credit at $0.4/m3
($1.5/1000 gallons) 34
10 Cost of OTEC Electricity with Desalinated Water Credit at $0.8/m3
($3/1000 gallons) 35
11 OTEC Development Program Required 36

iii Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

7: Economics of Ocean Thermal Energy Conversion

(OTEC)
Luis A. Vega, Ph.D.1, 2

Abstract
A straightforward analytical model is proposed to compare the cost of electricity
produced either with OTEC or with petroleum or coal-fired plants. In the case of OTEC,
when appropriate, the cost of electricity is estimated with credit for the desalinated water
produced. The production cost of OTEC products are levelized over the life of the plant
(nominal value: 30 years). Two generalized markets are considered: industrialized
nations and smaller, less-developed island nations with modest needs. The model is used
to establish scenarios under which OTEC could be competitive.

The scenarios are defined by two parameters: fuel cost, and the cost of fresh
water production. In the absence of natural sources of fresh water, it is postulated that the
cost of producing desalinated water from seawater via reverse osmosis (RO) be
considered as the conventional technique. This approach yields a direct relationship
between desalinated water production and fuel cost; and therefore, a scenario defined
with one parameter.
It is determined that OTEC should only be considered as a system to produce
electricity and desalinated water, because OTEC–based, mariculture operations and air–
conditioning systems can only make use of a small amount of the seawater available; and
therefore, could only impact small plants. The use of energy carriers (e.g.: Hydrogen,
Ammonia) to transport OTEC energy generated in floating plants, drifting in tropical
waters away from land, is determined to be technically feasible but requires increases in
the cost of fossil fuels of at least an order of magnitude to be cost effective.

It is postulated that OTEC plants will be limited, by the relatively large diameter
required for cold water pipes, to sizes of no more than 100 MWe–net (10 m diameter) in
the case of floating plants and somewhat less (the value is a function of bathymetry or
pipe length) for land-based plants. Furthermore, in the case of open cycle the plants will
be limited by the low pressure turbine to 2.5 MWe-net modules or, for example, 10
MWe-net plants (arbitrarily, setting at four the number of modules per plant). Although
the future rests in relatively large closed cycle OTEC floating plants, given the low level
funding available for development of alternative energy, the first commercial plants will
have to be 1 to 10 MWe land-based plants designed for the less-developed islands and
funded by international aid agencies. The analysis shows that these, first generation,
plants will have to produce electricity and desalinated water to offset the relatively higher
cost of electricity; and, that their commercialization should be preceded by the
1 Pacific International Center for High Technology Research(PICHTR).
2 The views expressed in this chapter are those of the author and do not necessarily represent those of PICHTR.

1 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

installation of a demonstration plant of at least 1 MWe and 1,700 m3 to 3,500 m3,

of desalinated water, per day production capacity. This demonstration plant would be
used to obtain operational information and optimize the design of the first generation
of commercial plants.
It is determined that plants of at least 50 MWe capacity would be required for the
industrialized nations; and, that if desalinated water is required to reach wider scenarios,
it is proposed that a hybrid plant be used, based on the closed cycle for the electricity
production and a second-stage, for desalinated water production, consisting of a flash
(vacuum) evaporator and surface condenser. Closed cycle plants, without second-stage
desalinated water production, are found to be cost effective if housed in floating vessels,
moored or dynamically positioned a few kilometers from land, transmitting the electricity
to shore via submarine power cables. The moored vessel could also house a hybrid
OTEC plant and transport the desalinated water produced via flexible pipes. It is
recommended that a floating 5 MWe and 7,500 m3/day demonstration plant be designed,
installed and operated prior to the commercialization of plants of at least 50 MWe
capacity.

Background
The search for renewable sources of energy has resulted in the revival of a
concept based on the utilization of the differences in temperature, ∆T, between the warm
(Tw ˜ 22°C to 29°C) tropical surface waters, and the cold (Tc ˜ 4°C to 5°C) deep ocean
waters available at depths of about 1,000 m, as the source of the thermal energy required
to vaporize and condense the working fluid of a turbine-generator system. This concept
is referred to as Ocean Thermal Energy Conversion (OTEC).

There are two approaches to the extraction of thermal energy from the oceans,
one referred to as "closed cycle" and the other as "open cycle." These approaches are
described in Chapters 6 and 7 respectively, and briefly summarized here as an
introduction to the analysis that follows. In the closed cycle, seawater is used to vaporize
and condense a working fluid, such as ammonia, which drives a turbine-generator in a
closed loop, producing electricity. In the open cycle, surface water is flash-evaporated in
a vacuum chamber. The resulting low-pressure steam is used to drive a turbine-
generator. Cold seawater is used to condense the steam after it has passed through the
turbine. The open cycle can, therefore, be configured to produce fresh water as well as
electricity.

The closed cycle was first proposed in 1881, by D'Arsonval in France, and was
demonstrated in 1979, when a small plant mounted on a barge off Hawaii (Mini-OTEC)
produced 50 kW of gross power, for several months, with a net output of 18 kW. This
closed cycle plant was sponsored by private industry and the State of Hawaii.
Subsequently, a 100 kW gross power, land-based plant was operated in the island nation
of Nauru by a consortium of companies sponsored by the Japanese government. These
plants were designed with public relations as the main objective and minimal operational
data was obtained.
The open cycle concept was first proposed in the 1920's and demonstrated in
1930, off Cuba by its inventor, a Frenchman by the name of Georges Claude. His land–
2 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

based demonstration plant was designed to resolve some of the ocean engineering issues
common to all OTEC plants and, hopefully, to produce net electricity. This plant made
use of a direct contact condenser; therefore, fresh water was not a by-product. The plant
failed to achieve net power production because of a poor site selection (e.g., thermal
resource) and a mismatch of the power and seawater systems; however, the plant did
operate for several weeks.
An OTEC hybrid cycle, wherein electricity is produced in a first-stage (closed
cycle) followed by water production in a second-stage, has been proposed as a means to
maximize the use of the thermal resource available and produce water and electricity
(Nihous, Syed and Vega, 1989). In the second-stage, the temperature difference available
in the seawater effluents from an OTEC plant (e.g.: 12°C) is used to produce desalinated
water through a system consisting of a flash evaporator and a surface condenser
(basically, an open cycle without a turbine-generator). In the case of an open cycle plant,
the addition of a second-stage results in doubling water production. Fresh water
production with a flash-evaporator and surface condenser system was demonstrated in
1988 in a facility built by the U.S. Department of Energy at the Natural Energy
Laboratory of Hawaii (NELH).

Floating vessels, approaching the dimensions of supertankers, housing factories

operated with OTEC-generated electricity or transmitting the electricity to shore via
submarine power cables have been conceptualized. Large diameter pipes suspended from
these plantships extending to depths of 1,000 m are required to transport the deep ocean
water to the heat exchangers onboard. The design and operation of these cold water pipes
is a major issue that has been resolved (Vega and Nihous, 1988).

The proof-of-concept projects (i.e., Mini-OTEC, Nauru, Claude) demonstrated

that both cycles are technically feasible and only limited, by the large diameters required
for the cold water pipes, to sizes of no more than about 100 MWe (Vega, Nihous, Lewis,
Resnick and Van Ryzin, 1989). In the case of the open cycle, due to the low-pressure
steam, the turbine is presently limited to sizes of no more than 2.5 MWe.

Industry has not taken advantage of this information because, at present, the price
of oil fuels and coal are such that conventional power plants produce cost-effective
electricity. Moreover, the power industry can only invest in power plants whose design is
based on similar plants with an operational record. Before OTEC can be commercialized,
a prototypical plant must be built and operated to obtain the information required to
design commercial systems and to gain the confidence of the financial community and
industry. Conventional power plants pollute the environment more than an OTEC plant
would and the fuel for OTEC is unlimited and free, as long as the sun heats the oceans;
however, it is futile to use these arguments to convince the financial community to invest
in an OTEC plant unless it has a proven operational record.

3 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

Site Selection Criteria for OTEC Plants 3

Except for closed basins, such as the Mediterranean and Red Seas, deep seawater
flows from the polar regions: polar water, which represents up to 60% of all seawater,
originates mainly from the Arctic for the Atlantic and North Pacific Oceans, and from the
Antarctic (Weddell Sea) for all other major oceans. Therefore, Tc at a given depth,
approximately below 500 m, does not vary much throughout all regions of interest for
OTEC. It is also a weak function of depth, with a typical gradient of 1°C per 150 m
between 500 m and 1000 m. These considerations may lead to regard Tc as nearly
constant, with a value of 4°C at 1000 m.

Two facts require caution, however, during the OTEC site selection process:
1) OTEC is very sensitive to any loss of thermal resource, and 2) the Cold Water Pipe
is a costly plant component. Consequently, variations in Tc that appear to be small may
have a drastic impact on the performance and/or the capital cost of the OTEC plant. For
example, Pacific Ocean deep (1000 m) water at low latitudes is colder by about 1°C than
Atlantic Ocean deep water; in the case of the East Coast of Africa, various phenomena
including mixing with Red Sea outflow elevate the Indian Ocean water temperature
(at 1000 m depth) to more than 6°C. As for the optimal depth at a given land-based
OTEC site, seafloor bathymetry and topography play an important role and some degree
of thermo-economic optimization is required; this point is discussed in more details in
Nihous, Syed and Vega (1989), and Nihous, Udui and Vega (1989).

The other component of ∆T is Tw, the surface seawater temperature. In view of

the above discussion regarding Tc, a desirable OTEC thermal resource of at least 20°C
requires typical values of Tw of the order of 25°C. Globally speaking, regions between
latitudes 20°N and 20°S are adequate. Some definite exceptions exist due to strong cold
currents: along the West Coast of South America, tropical coastal water temperatures
remain below 20°C, and are often of the order of 15°C; a similar situation prevails to a
lesser extent for the West Coast of Southern Africa. Moreover, Tw varies throughout the
year, and sometimes exhibits a significant seasonal drop due to the upwelling of deeper
water induced by the action of the wind: such are the cases of the West Coast of
Northern Africa in the Winter, where temperatures Tw as low as 17°C are observed.
More localized upwelling may occur, such as near the Horn of Africa in August, and in
general, a careful OTEC site selection requires a comprehensive knowledge of local
climate features inasmuch as they may affect Tw seasonally.

The following summarizes the availability of the OTEC thermal resource

throughout
the World:
• Equatorial waters, defined as lying between 10°N and 10°S are adequate
except for the West Coast of South America; significant seasonal temperature
enhancement (e.g., with solar ponds) would be required on the West Coast of
Southern Africa; moreover, deep water temperature is warmer by about 2°C
along the East Coast of Africa.

3 This section was written by Dr. G.C. Nihous.

4 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

• Tropical waters, defined as extending from the equatorial region boundary to,
respectively, 20°N and 20°S, are adequate, except for the West Coasts of South
America and of Southern Africa; moreover, seasonal upwelling phenomena
would require significant temperature enhancement for the West Coast of
Northern Africa, the Horn of Africa, and off the Arabian Peninsula.

The accessibility of deep cold seawater represents the most important physical
criterion for OTEC site selection, once the existence of an adequate thermal resource has
been established. Naturally, the distance from shoreline where water depths of the order
of 1000 m may be found is far more critical for land-based plants than for floating plants,
since it determines the length of the costly cold water pipe; in the case of a floating plant,
the issue of cold seawater accessibility is only relevant inasmuch as a power cable, and,
maybe, a small fresh water pipe, are needed to "export" the OTEC products to shore.

A valid way to assess cold seawater accessibility is to use a simple rule of thumb
derived from the bathymetry of some of the potential OTEC sites in the World, namely
that the 1000 m contour depth lie within 3000 m from shoreline. It should be emphasized
that a study by Nihous, Udui and Vega (1989) demonstrated that the sensitivity of the
OTEC production cost of electricity to detailed seafloor bathymetry is mostly
pronounced for smaller plant sizes (1 to 10 MWe net power); for larger plants, a
considerable economy of scale for OTEC seawater systems greatly reduces the
importance of average seafloor slope.

The West Coast of Northern Africa or the East Coast of Africa, fall into the
category of sites where warm water enhancement would be highly desirable because of a
relatively adverse seafloor bathymetry (aside from the occurrence of a seasonal
upwelling in the former case). The case of Australia is even worse: this country consists
of a tectonic plate that extends far offshore, e.g., to the Great Barrier Reef, on its
Northern tropical side. The Arabian Peninsula is also bordered by waters too shallow for
OTEC to be practical.

Thus, physical factors affecting OTEC site selection, i.e., thermal resource and
seafloor bathymetry, greatly restrict the number of desirable sites along the shoreline of
major continents, unless some warm seawater temperature enhancement is possible.
Most of the best, land-based, OTEC sites consist of island locations.

Finally, shoreline and hinterland topography, or extended shallow coral reefs

require special attention. In the latter case, strong environmental concerns may not
allow the building of any structure on the reef itself, although it represents a natural
barrier against large breaking waves. Moreover, certain apparently favorable OTEC sites
may be flanked by precipitous cliffs, or their hinterland may be very limited by rising
mountain slopes.
The severe constraint of a favorable bathymetric profile, for the practical
implementation of land-based OTEC technologies, would be relaxed to a considerable
extent if the notion of floating OTEC plants were revived. In fact, the potential benefits
of OTEC could only be recovered on a large scale through the development of an

5 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

ambitious floating-plant program, following the initial experimental land-based OTEC

phase.

Many other points must be considered when evaluating potential OTEC sites,
from logistics to socioeconomic and political factors. One argument in favor of OTEC
lies in its renewable character: it may be seen as a means to provide remote and isolated
communities with some degree of energy independence, and to offer them a potential for
safe economic development. Paradoxically, however, such operational advantages are
often accompanied by serious logistical problems during the plant construction and
installation phases: if an island is under development, it is likely to lack the
infrastructure desirable for this type of project, including harbors, airports, good roads
and communication systems.

Moreover, the population base should be compatible with the OTEC plant size:
adequate manpower must be supplied to operate the plant; and, the electricity and fresh
water plant outputs should match local consumption in orders of magnitude. 1 to 10
MWe plants would generally suffice in most small Pacific islands (e.g., see IFREMER,
1985), whereas in the case of a populous and industrialized country like Taiwan, the
largest feasible OTEC plants, up to 100 MWe, could be eventually considered (Shyu,
1989).

Since environmental protection has been recognized as a global issue, another

important point to consider is the preservation of the environment in the area of the
selected site, inasmuch as preservation of the environment anywhere is bound to have
positive effects elsewhere. OTEC definitely offers one of the most benign power
production technology, since the handling of hazardous substances is limited to the
working fluid (e.g.: ammonia), and no noxious by-products are generated; OTEC merely
requires the pumping and discharge of various seawater masses, which, according to
preliminary studies, can be accomplished with virtually no adverse impact. This
argument should be very attractive, for pristine island ecosystems, as well as for already
polluted and overburdened environments. For example, the amount of CO2 released from
electricity-producing plants (expressed in gr of CO2 per kWh) ranges from 1,000, for
coal fired plants, to 700, for fuel-oil plants, while for closed cycle OTEC plants the value
is less than 12 and for open cycle as much as 40 (Green and Guenther, 1989; Vega,
1981).

One major difficulty with OTEC is not of a technological order: OTEC is capital-
intensive, and the very first plants, mainly because of their small size, will require a
substantial capital investment. Given the prevailing low cost of crude oil and of fossil
fuels in general, the development of OTEC technologies is likely to be promoted by
government agencies rather than by private industry. The motivation of governments in
subsidizing OTEC may vary greatly, from foreign aid to domestic concerns.

For the former case, ideal recipient countries are likely to be independent
developing nations. If these countries' economic standing is too low, however, the
installation of an OTEC plant rather than direct aid in the form of money and goods may

6 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

be perceived as inadequate help. In addition, political instability could jeopardize the

good will of helping nations to invest.

For the latter case, potential sites belong to, or fall within the jurisdiction of,
developed countries. A study performed by Dunbar (1981) identified ninety-eight
nations and territories with access to the OTEC thermal resource (20° C temperature
difference between surface water and deep ocean water) within their 200 nautical mile
exclusive economic zone (EEZ). For the majority of these locations, the OTEC resource
is applicable only to floating plants (arbitrarily assuming that the length of the cold water
pipe for a land-based plant should not exceed 3,000 meters).

Dunbar's study, performed for the U.S. State Department, postulated a significant
market potential for OTEC (i.e., 577,000 MWe of new baseload electric power facilities).
Unfortunately, now as then, there is no OTEC plant with an operational record available.
This still remains the impediment to OTEC commercialization.

The following list of potential sites is reproduced from Dunbar (1981):

7 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

GEOGRAPHICAL
AREA MAINLAND ISLAND

AMERICAS Mexico Guyana Cuba Guadeloupe (FR)

Brazil Suriname Haiti Martinique (FR)
Colombia French Guiana (FR) Dominican Rep. Barbados
Costa Rica Nicaragua Jamaica Dominica
Guatemala El Salvador Virgin Is. (US) St. Lucia
Honduras Belize Grenada St. Kitts (UK)
Panama United States St. Vincent Barbuda (UK)
Venezuela Grand Cayman (UK) Montserrat (UK)
Antigua (UK) The Grenadines (UK)
Puerto Rico (US) Curacao (NETH)
Trinidad & Tobago Aruba (NETH)
Bahamas

AFRICA Nigeria Gabon Sao Tome & Principe

Ghana Benin Ascension (UK)
Ivory Coast Zaire Comoros
Kenya Angola Aldabra (UK)
Tanzania Cameroon Madagascar
Congo Mozambique
Guinea Eq. Guinea
Sierra Leone Togo
Liberia Somalia

INDIAN/PACIFIC
OCEAN India Australia Indonesia American Samoa (US)
Burma Japan Philippines Trust Territories (US)
China Thailand Sri Lanka Northern Marianas
Vietnam Hong Kong (UK) Papua New Guinea Guam (US)
Bangladesh Brunei Taiwan Kiribati
Malaysia Fiji French Polynesia (FR)
Nauru New Caledonia (FR)
Seychelles Diego Garcia
Maldives Tuvalu
New Hebrides (UK/FR) Wake Is. (US)
Samoa Solomon Is.
Tonga Mauritius
Cook Is. Okinawa (JAPAN)
Wallis & Futuna Is. (FR)
Hawaii

OTEC Potential Market

There are at least two distinct markets for OTEC: (i) industrialized nations and
islands; and, (ii) smaller or less industrialized islands with modest needs for power and
fresh water.
The following global indicators are useful in relating the size of the plants
considered herein with the needs of a community: (1) domestic water needs in developed
nations are met with 100 gallons (˜ 400 liters) per person per day [the United Nations
uses a figure of 50 gallons (˜ 200 liters) for countries under development]; in agricultural
regions the use is 7 to 10 times larger; (2) the electrical power needs (domestic and

8 Vega
Published in Ocean Energy Recovery, pp 152-181, ASCE (1992)

industrial) of each 1,000 to 2,000 people are met with 1 MW in industrialized nations,
while in less developed countries (LDCs) the needs of 5 to 15 times more people are met
with 1 MW.

The small OC-OTEC plants considered in this chapter could be sized to produce
from 1 to 10 MW electricity, and at least 450 thousand to 9.2 million gallons of fresh
water per day (1,700 to 35,000 m3/day). That is, the needs of LDCs communities with
populations ranging from 4,500 to as much as 100,000 could be met. This range
encompasses the majority of less developed island nations throughout the world.

The larger CC-OTEC or hybrid cycle plants can be used in either market for
producing electricity and water. For example, a 50 MW hybrid cycle plant producing as
much as 16.4 million gallons of water per day (62,000 m3/day) could be tailored to
support a LDC community of approximately 300,000 people or as many as 100,000
people in an industrialized nation. It is interesting to note that the state of Hawaii could
be independent, of conventional fuels for the production of electricity, by utilizing the
largest floating OTEC plants (50 to 100 MWe-net) for the larger communities in Oahu (˜
800,000 residents), Kauai, Maui and the Island of Hawaii (˜ 100,000 residents), as well
as smaller plants satisfying the needs of Molokai (˜ 8,000 residents). Taiwan (ROC)
could use several plants to meet additional requirements projected for the near future.
The majority of the nations listed in the previous section could meet all their electricity
and water requirements with OTEC.
To assess scenarios under which OTEC might be competitive with conventional
technologies, in the production of electricity and water, a straightforward analytical
model is developed. First, the capital cost for OTEC plants, expressed in 1990 $/kWe, is
established assuming modest engineering development. The relative cost of producing
electricity ($/kWh) with OTEC, offset by the desalinated water production, is then
equated to the fuel cost of electricity produced with conventional techniques to determine
the scenarios (i.e., fuel cost and cost of fresh water production) under which OTEC could
be competitive. Inherent to this approach is the assumption that operation and
maintenance costs are the same for OTEC and conventional plants of the same power
capacity. No attempt is made at speculating about the future cost of fuel. It is simply
stated that if a situation is represented by one of our scenarios, OTEC would be
competitive.
For each scenario obtained, the cost of desalinated water produced from seawater
by reverse osmosis (RO) is also given because this cost must be greater than the water
production credit that OTEC requires to be cost effective. Once the cost effective
scenarios are established, under this straightforward approach, a more rigorous economic
analysis could be performed to model expected inflation and levelized costs (or
alternatively, present worth). However, at this stage of development the approach
followed here should suffice.

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OTEC Capital Cost Estimates and Production Rates

The range of capital costs for single stage OTEC systems is given in Figure 1 for
land-based plants rated at nominal values of 1, 10, 50 MWe and 50 and 100 MWe
plantships. The economy of scale is obvious. All published estimates for closed or open
cycle land–based plants, given in 1990 dollars, fall within the range bounded by the two
lines (e.g.: Electric Power Research Institute, 1986; IFREMER, 1985; Nihous et al,
1989; Shyu, 1989; Vega et al, 1989; SERI, Appendix D, 1990). The apparent change in
slope at 10 MWe is caused by the use of only three plant sizes and should not be assigned
any scale significance; however, it is a convenient way to indicate the upper limit
recommended for open cycle plants. At the present level of development, the cost
differential between cycles is within the accuracy of the estimates (± 20%). However,
while closed cycle should only be limited by the practical size of the cold water pipe (=
10 m) to plants rated at = 100 MWe for floating plants, and somewhat less for land-based
plants; open cycle will be limited by the low pressure turbine to 10 MWe plants,
consisting of four 2.5 MWe modules. In the case of plantships or floating plants only the
costs projected, by the year 2000, for closed cycle plants (Tables 8a and 8b) are shown.

The upper line also represents the present cost estimates with the lower line
corresponding to the costs projected by the year 2000 after engineering development and
the operation of demonstration plants that are scaled versions of the future commercial
plants. These costs, in 1990 dollars are given in Tables 5, 6, 7 and 8a & 8b. The basis for
the projected cost reductions are indicated in the tables. For example, work currently
underway at ALCAN/MARCONI (e.g.: Johnson, 1989) complemented with the work
previously performed by researchers from the Argonne National Laboratory (e.g.: SERI,
Appendix D, 1990) indicates that the cost of surface condensers for open cycle, or the
second-stage water production unit, and both the evaporator and condenser for the closed
cycle should decrease from ˜ $215/m2 to $100/m2. All other cost reductions indicated
in the tables should result from the operations of the demonstration plants. Future capital
costs, corresponding to the lower line in Figure 1, are used throughout the discussion
that follows.
Table 1 gives the estimates for 1 MW-net (nominal) open cycle plants with and
without second-stage desalinated water production as well as a plant with a system
including the use of 90 kg/s of 6°C cold seawater as the chiller fluid for a standard air-
conditioning unit supporting a 300 ton load (˜ 300 rooms). For the purpose of this
discussion, the 240 kWe of electricity displaced are considered as additional production,
resulting in a total production of 10.1 x 106 kWh and an adjusted equivalent capital cost
of 20,000 $/kW–net. The cost figures are expressed in 1990 dollars. These plants would
be designed utilizing the state-of-the-art, bottom-mounted cold water pipe technology
(i.e., 1.6 m diameter, high-density, polyethylene pipe). It is assumed that the 1 MW
plants could be deployed some time after 1995. Their commercialization must be
preceded by the installation of a demonstration plant of 1 MWe and 4,000 m3, of
desalinated water, per day production capacity.
Capital costs and production rates for land-based plants are summarized in Tables
2 and 3 for 10 MW open cycle plants, considered, at present, to be the maximum size for
this cycle, and 50 MW closed cycle or, if water production is marketable, hybrid cycle
plants. The design of the 10 MW open cycle plant would be scaled from the 1 MW

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demonstration plant with a new design for bottom-mounted cold water pipes (e.g., see
Vega, Nihous, Lewis, Resnick and Van Ryzin, 1989). The commercialization of the 50
MW plants must be preceded by the design and operation of a 5 MWe closed cycle
demonstration plant. These land-based plants would require the development of new
bottom-mounted cold water pipes.
To consider the 50 MWe OTEC plantship moored or dynamically positioned 10
km offshore, in the discussions that follow, a capital cost of 4,600 $/kW-net is estimated
(Table 8a) for an electrical production of 380 x 106 kWh (higher than for the land-based
plants because of lower pumping power requirements). This cost is also given in 1990
dollars for a system to be deployed by the Years 2000 to 2005 assuming modest
engineering development. These plants would be designed utilizing the methodology
already available for cold water pipes suspended from a vessel (Vega and Nihous, 1988).
The capital cost for the 100 MWe plant, corresponding to a 10 m diameter cold water
pipe, would be 4,200 $/kW-net with an electrical production of 700 x 106 kWh. The
capital costs as a function of offshore distance are given in Table 8b.

Conventional Production of Electricity

The thermal efficiency (η) of conventional steam power plants, fired with oil or
coal, ranges from 32% to 34% and has been reported to be as high as 36%. The higher
value will be assumed in this report. This implies that 36% of the heat added is converted
to net work. Net work is defined as the difference between the output from the turbine-
generator and the work required to run the plant.
The cycle efficiency for diesel fuel power plants used in Pacific Islands probably
ranges from 25% up to 35%. A properly maintained and operated plant can reach
efficiencies of up to 36%. This value will be assumed here to determine the work
available from the heat added by the diesel fuel. This value is higher than realized in
small steam power plants used for generation of electric power only. However, the cost
of fuel suitable for the diesel generator is higher than the fuel suitable for the steam plant.
Due to fuel availability, most island nations with small electricity requirements (a few
MW) utilize diesel generators.
The convention followed in power plant technology to express plant performance
is to consider the heat added to produce a unit amount of net work. This parameter is
called the heat rate (HR) of the plant and is usually given in Btu/kWh. Therefore, the
heat rate is inversely proportional to the thermal efficiency, η = 3413/HR (i.e., 1 kWh =
3413 Btu at 60°F), such that a thermal efficiency of 36% corresponds to a HR of 9500
Btu/kWh. [Herein common usage dictates the use of mixed units.]

The heating values of standard coal and fuel oil are 12,000 x (1 ± 0.17) Btu/lbm
and 144,000 x (1 ± 0.04) Btu/U.S. gallon, respectively. Therefore, the fuel cost incurred
in producing electricity, expressed in $/kWh, with an oil-fired plant is (within 6%): 1.6 x
10-3 times CB, the cost of a barrel (42 U.S. gallons) of fuel [9500 Btu/kWh/
(42 gallons/barrel x 144,000 Btu/gallon) = 0.0016 barrel/ kWh]. Therefore, at $18 per
barrel, the fuel cost is 0.0288 $/kWh. The same expression will be used for diesel
generators.

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The 180 MW coal-fired plant under construction in Hawaii (Oahu) can be used to
determine the capital cost for conventional steam power plants and the equivalent cost of
coal. The plant will use Indonesian coal, with a baseline heat value of 12,500 Btu/lbm,
to be delivered to for $2.25 per million Btu ($62 per metric ton) such that the fuel cost
incurred in producing electricity with a thermal efficiency of 36% would be 0.021 $/kWh
[9500 Btu/kWh x $2.25 / 106 Btu]. This is equivalent to oil fuel cost of $13/barrel.
The electric output will be sold to Hawaiian Electric Company under a 30-year contract.
The total capital cost of the project has been estimated to be $383.5 million; or
$2,100/kW (AES Corporation, 1990).

Conventional Production of Desalinated Water

The cost of producing fresh water from conventional desalination plants
(i.e., Reverse Osmosis and Multistage Flash) ranges from about 1.3 to 2 $/m3 for a plant
capacity of 4,000 m3/day to approximately 1 $/m3 for a 40,000 m3/day plant.
The energy (cost) used in multistage flash (MSF) distillation is in the form of
heat, usually as low pressure steam, and the shaft power to drive pumps and other
auxiliaries. Reverse osmosis (RO) plants require energy solely as shaft power from, for
example, an electric motor. At present, RO is considered the technique of choice. It can
be shown that, fresh water production by RO from seawater costs 0.049.CB, in $/m3,
where CB is the cost of a barrel (42 gallons) of fuel. This expression is used here to
establish the desalinated water cost corresponding to a given fuel cost scenario.

OTEC Production of Electricity

The following formula, proposed by the Electric Power Research Institute, is used
to calculate the production cost of electricity p levelized over the assumed life for the
OTEC plant (nominal value: 30 years):
p ($/kWh) = (FC x CC + OM x G x CR) / (NP x CF x 8760)
FC : annual fixed charge, taken as 0.10 (e.g.: government loan)
CC : plant overall investment capital cost, in $
OM : operation and maintenance yearly $ expenditures
G : present worth factor, in years, estimated value 20
CR : capital recovery factor, taken as 0.09
NP : net power production, in kW
CF : production capacity factor, chosen as 0.80
8760 : number of hours in one year (CF.8760 =7,008)

The first term simply represents the payment for a fixed interest loan valued at
CC, $, over a prescribed term expressed in hourly payments, where, the loan is for a plant
rated at a power of NP, kW. The second term models the levelized cost of operating and
maintaining the plant over the term.
For closed cycle plants, p is estimated with no credit taken for the sale of the fresh
water by-product. For open or hybrid cycle plants, fresh water credit is obtained by

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multiplying the unit price by the yearly production and subtracting the result from the
numerator of the expression given above. For the sake of completeness, costs estimated
in this fashion are given in Tables 9 and 10 for unit prices of water at 0.4 $/m3 and 0.8
$/m3 respectively with the O&M expressed as a percentage of capital. It would be
appropriate to levelize both the O&M and the unit cost of water (equivalent to
multiplying these parameters by 1.8: the product of the capital recovery factor and the
present worth factor as given above); however, in the case of prevailing unit price of
water (0.4 $/m3), the unlevelized costs given in Table 9 are within 10% of the levelized
costs. In the case of the higher unit price of water (Table 10) levelizing both the O&M
and the cost of water produces a dramatic difference. For example, in the case of the 1
MW with second stage, the cost is reduced from 0.25 to 0.19 $/kWh and for the 10MW
with second stage results in a reduction from 0.08 $/kWh to less than zero. This is
equivalent to a scenario of extremely high production costs for fresh water and to discuss
it any further would only be speculative. Therefore, only unlevelized costs are
considered in this Chapter.
These estimates illustrate the importance of the water revenue for the small plants
(1 to 10 MW), especially with the unit price of water at twice the present prevailing rate
(i.e., Table 10). The cost of electricity without water production is 0.3 $/kWh and
0.18 $/kWh for the single stage 1 and 10 MWe land-based plants as compared with
0.28 $/kWh and 0.14 $/kWh for the prevailing water cost (Table 9) and 0.25 $/kWh and
0.11 $/kWh for the higher water cost (Table 10). In the case of the larger plants water
would be important only as a product that might be needed at a specific site (or under
scenarios wherein the cost of conventional water production increases by factors of three
to four times the prevailing value).
The capital cost estimates given above indicate that OTEC is a capital-intensive
technology. For example, the capital costs for oil-fired plants and coal-fired plants are
less than $2,100/kW, as compared with the $10,700/kW and $6,000/kW given for the 10
MW and 50 MW plants in Tables 2 and 3. The 1 MW plant should be compared with
diesel generators whose capital cost is less than 3% the cost of OTEC. However, OTEC
incurs no fuel costs while conventional steam plants and diesel generators incur fuel
costs. The levelized cost of OTEC electricity can be estimated from the equation given
above; however, for the purpose of this report the capital cost of OTEC electricity,
adjusted for the capital cost of the conventional technology (taken as $2,000/kW for oil
or coal-fired plants and neglected for diesel generators) and the desalinated water by-
product, will be compared with the fuel cost for conventional power plants to determine
scenarios, given by the costs of electricity and water in a particular location, under which
an OTEC plant of a given size could be cost competitive. Implicit in this approach is the
assumption that O&M costs are similar for OTEC and conventional plants of the same
power rating.
This approach can be formalized as follows for oil-fired plants:

(FC x CC - WC x PW) / (CF x 8760 x NP) < 1.6 x 10-3 x CB

Where, FC, CC, CF and NP are defined above, and
WC : unit price of water, in $/m3
PW : yearly production of water, in m3/year

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CB : cost of a barrel of fuel (42 gallons), in $/barrel.

The production capacity factor (CF) is taken as 0.8 (80%) and the fixed charge for
the capital (FC) as 0.1 (10%) and all values are expressed in present day costs. The water
production of an open cycle plant is related to the amount of warm seawater utilized in
the power cycle (i.e., between 0.4% and 0.5% of the warm seawater is flash evaporated
in the process). As given in Tables 1, 2 and 3, this can be expressed as, PW = 130 x 106
gal/year/MW (or 50 x 104 m3/year / MW-net). The second-stage described above would
increase the water production in the case of an open cycle with second-stage by a factor
of ˜ 2.2. In the case of the hybrid plant (i.e., flash evaporator/surface condenser
downstream of closed cycle plant) the water production is equal to PW. Therefore, to
determine the scenarios under which OTEC is competitive with oil-fired plants, the
following expressions are used:

CC *
= 110 x CB + 5,000 x WC, for all cycles;
NP

and

CC *
= 110 x CB + 11,000 x WC, for open cycle with second-stage.
NP
* For the 10 MW, 50 MW and 100 MW cases, $2,000/kW are subtracted from the capital cost of
OTEC to account for the capital cost of the conventional steam power plant. For diesel generators
their capital cost can be neglected. For the closed cycle, the second term is omitted. The first term
on the right hand side is accurate within 6% , and the second within 10%

The scenarios identified following this procedure are summarized in Table 4 for
the capital cost and net power given in Tables 1, 2 , 3 and 8 for 1, 10 and 50 MW plants.
Diesel fuel is considered at the 1 MW level, while less expensive oil fuel is used for the
10 MW and 50 MW cases.

1 MW Plants
This approach indicates that the 1 MW open cycle with second-stage water
production (i.e., Table 1) would be competitive in a scenario given by a location where a
high unit price of water, 1.6 $/m3 (6 $/kilogallon), and diesel fuel costs at $45/barrel.
The cost of producing desalinated water via RO would be 2.2 $/m3 at this fuel cost. This
scenario corresponds to conditions existing in certain less-developed Island nations with
small populations. For example, in 1989 the cost of imported diesel fuel paid by the
power companies was $47/barrel in Western Samoa; $50/barrel in the Kingdom of
Tonga; and, $25/barrel in Molokai.

The analysis indicates that small open cycle OTEC plants (Table 1) without
second-stage water production could only be competitive under a scenario of diesel at
$93/barrel and the high unit price for the water, 1.6 $/m3. This scenario does not appear
likely. A 1 MW closed cycle plant (or open cycle without water production) would
require a scenario where the diesel cost is $165/barrel. The closed cycle plant with

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second-stage water production (hybrid plant) would require a scenario given by the high
water cost, 1.6 $/m3, and $135/barrel.

It is interesting to note that the plant including a 300 ton AC system (˜ 300-rooms
hotel), described by Nihous, Syed and Vega (1989) and summarized in the last column of
Table 1, would be competitive under a scenario given by $45/barrel and 1.25 $/m3 of
water due to the additional revenue (electricity savings)generated by the use of 90 kg/s
cold seawater as the chiller fluid for the air conditioning system. This amount of water
amounts to only 3% of the water used for the 1 MWe OTEC plant. The 3,000 kg/s of
cold seawater required for this size plant could support up to a 17,000 ton AC load.
Therefore, the use of electricity savings from AC systems to offset the cost of OTEC
electricity can only be consider for the small plants and is insignificant for the large
plants discussed below. The use of cold seawater as the chiller fluid for AC systems
represents a concept that is technically feasible and cost effective independently of
OTEC.

10 MW Plants
For the 10 MW open cycle plant with second-stage water production, with a
capital cost estimate of $14,700/kW (i.e., Table 2), a scenario given by $30/barrel of oil
fuel and 0.85 $/m3 of water is required. For the single stage OC-OTEC, with a capital
cost of $10,700/kW a scenario given by $44/barrel of oil fuel and 0.8 $/m3 of water is
required. For the closed cycle system (or open cycle without water production) the
scenario required is given by oil fuel at $ 80/barrel. For the hybrid plant (closed cycle
with second stage) $79/barrel of oil fuel and 0.8 $/m3 of water or $43/barrel of oil fuel
and 1.6 $/m3 of water are required.
These scenarios are plausible by the Year 2000 in a few small island nations.
As indicated above, the capital cost for OTEC has been adjusted to account for the
$2,000/kW capital investment for oil fuel plants. Once more, the additional water
production makes the difference for OTEC for these relatively small plants. The cost of
producing desalinated water via RO would be higher under all scenarios.

50 MW and 100 MW Plants

The land-based plant without water production summarized in Table 3 can be
competitive under a scenario of fuel oil at $37/barrel. This is plausible by the Years 2000
to 2005. If water production is considered with a hybrid cycle plant, a scenario given by
oil fuel at $49/barrel and unit price of water at $0.4/m3; or another scenario wherein the
unit price of water doubles and oil fuel is $31/barrel would be required. These scenarios
might occur by the first decade of next century. The cost of RO water production is
greater under both scenarios.
The plantship, housing a closed cycle 50 MW plant, could be competitive under a
scenario of $23/barrel. For the 100 MW case the required cost is $20/barrel. If hybrid
plants are considered, with the desalinated water transported to shore via flexible pipes,
the scenarios required would be given by $23/barrel and $0.55/m3 for the 50 MW plant
and $20/barrel and $0.5/m3 (or $24/barrel and $0.4/m3) for the 100 MW plantship. The
capital cost estimates used here are for plants deployed within 10 km from the shore line.

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The capital costs and the scenarios required for plants at offshore distances of 50 km ,
100 km and 200 km are given in Table 8b. For example, for the 100 MW plantship
positioned 50 km offshore a scenario given by $28/barrel would be required.
These scenarios are plausible in the majority of the sites listed above in the
section entitled "Site Selection Criteria for OTEC Plants." The simple analysis presented
in this chapter indicates that the future of OTEC rests in closed cycle floating plants that
can also be configured to produce desalinated water as required.

Co–Products of OTEC
The seawater needed for OTEC can also be used to support mariculture
operations. The cold seawater contains large quantities of the nutrients required to
sustain marine life. Organisms already grown in this environment include algae,
seaweeds, shell fish and fin fish. Although a number of species have been identified as
technically feasible, further work is required to identify cost effective culture methods for
the available markets (Fast and Tanoue, 1988). The cold seawater can also be used as the
chiller fluid for air-conditioning systems. A system based on this concept is presently
utilized at NELH for one of the buildings.
In considering the economics of OTEC, it is appropriate to determine if multiple-
product systems (e.g.: electricity, desalinated water, mariculture, AC systems) yield
higher value by, for example, decreasing the equivalent cost of electricity. Unfortunately
mariculture operations, as in the case of AC systems, can only use a relatively minute
amount of the seawater required for OTEC systems. For example, the cold water
available from a 1 MW OTEC plant could be used for daily exchanges of twenty-five
100m x 100m x 1m mariculture ponds, requiring at least 25 ha. Moreover, no mariculture
operation requiring the use of the high-nutrient-deep-ocean water has been found to be
cost effective. It is, therefore, recommended that OTEC be considered for its potential
impact in the production of electricity and desalinated water and that mariculture and AC
systems, based in the use of deep ocean water, be considered decoupled from OTEC.

A summary of the evaluation of co-products that the author has considered in

conjunction with a 1 MW system is presented here for future reference and because the
results were not published in the open literature. A mathematical model of the cold
seawater utilization for mariculture and cooling applications was developed by Bhargava
and Evans (1989). The California red abalone (Haliotus rufescens) and giant kelp
(Macrocystis spp.) were chosen as the two species best suited for utilization of the cold
seawater downstream of the OTEC plant. These species were selected for the model
because they require seawater at approximately 15° C, abalone is a high value (sale price)
product, and kelp is the naturally-grown feed for abalone. Dependence on outside
sources for natural or artificial feed was, therefore, eliminated. Several other species
considered (e.g., salmon) for OTEC-based, mariculture operations were not economically
feasible because of the feed cost (Fast and Tanoue, 1988).
The mariculture operation was modeled based on a commercial farm operating at
Keahole Point, Hawaii (i.e., Ocean Farms of Hawaii) buying cold seawater from the
Natural Energy Laboratory of Hawaii (NELH). The operational cost in the form of a fee
is incurred by the farm owner for the cold seawater resource. Likewise, associated

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capital costs are borne by the farm owner. Estimates on capital cost, electrical power
con-sumption, annual farm production, and net annual revenue were made. Land
available for the farm is nominally assumed to be 40,000 m2 (4 hectares) in view of land
availability restrictions in potential island markets.

The value-added benefit for OTEC is the annual fee that is paid by the farm for
the cold seawater resource. In the example summarized below, the fee rate is nominally
assumed to be that charged by NELH 666 $/ (yr-kg/s) [42 $/ (yr-gpm)]. With a cold
seawater demand of 1700 kg/s (26,500 gpm) at 10.5 to 12° C., which is 53% of the
amount discharged by the 1 MW OC-OTEC plant, the fee is estimated to be 1,132,200
$/year. The results obtained with this model can be summarized as follows:
Species Selected .................................................................... Kelp and Abalone
Farm Area.............................................................................. 4 Hectares
Cold Seawater Demand (OTEC Effluent) .............................. 1,700 kg/s
Electrical Power Demand ..................................................... 212 kW
Kelp Production .................................................................... 1527 ton-wet/yr
Abalone Production............................................................... 65 ton-wet/yr
Capital Cost of Farm ............................................................ 7.82 $M
Gross Revenue from Abalone Sales @ 40 $/kg-wet ............ 2.62 $M/yr
Cold Seawater Fee Paid to OTEC @ NELH Rate ............... 1.13 $M/yr
Net Profit (Loss) to Farm Owner .......................................... (0.41) $M/yr

This analysis indicates that the fees charged by NELH would result in a loss of
$410,000/year. A reduction of 50% in the fee charged by NELH for the cold seawater
would yield a profit of $170,000/year (a return in capital investment of 2.2%). With the
seawater available at no cost, the return in capital investment would be 9%.
Based on this study we concluded that the operation at Keahole Pt. could not
be profitable. [Our conclusion was recently corroborated by the news media in Hawaii
when it reported (January 1991) that the farm was bankrupt with monthly expenses at
$200,000/month and revenues at $40,000/month].
The model for cooling was confined to a cold seawater-based, chiller system that
would replace a refrigerant-based, chiller system. Chiller type air-conditioning (AC)
systems are commonly used in hotels and large buildings. The chiller water temperature
at inlet to the AC system has to be about 7.2° C for maximum human comfort which
requires that the cold seawater temperature going to a counterflow, surface type, heat
exchanger has to be 6.1° C or lower to meet the minimum pinch temperature requirement
of 1.1° C. Therefore, the seawater for chiller application must be tapped upstream of the
OTEC plant. Cold seawater is already being used for chiller water cooling by the Natural
Energy Laboratory of Hawaii. The cooling capacity of the AC system is about 15 tons
and the estimated reduction in electricity consumption is about 6000 kWh per month.
Estimates on capital cost, annual electrical power consumption, and annual costs
were made. The electrical power requirement was found to be substantially lower for the
cold seawater-based, chiller cooling system. For example, the electrical power saving for

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a 700-ton AC load (e.g., a 1,000-room hotel) is estimated to be 483 kW (3.38 x 106

kWh).

The value-added benefit for OC-OTEC could be taken to be an annual fee paid by
the AC system owner for the cold seawater resource. The cold water required by the
nominally-sized chiller system is estimated to be 135 kg/s, which is ˜ 4% of the demand
for the 1 MWe-net OC-OTEC plant discussed herein. The example considered can be
summarized as follows:
Cooling Application ............................................................Chiller Water Cooling
Electrical Power Saving ....................................................... 483 kW
Cold Seawater Demand (OTEC Influent) ............................. 135 kg/s
Cooling Load ....................................................................... 700 tons
Capital Cost of Cooling System........................................... 563.5 $K
Gross Savings for the Cooling System Owner
@ Electricity Rate of 0.10$/kWh (Hawaii)...................... 338.0 $K/yr
Cold Seawater Fee Paid to OTEC @ NELH Rate .............. 89.9 $K/yr
Net Savings for Cooling System Owner ............................. 135.3 $K/yr

The return in capital investment would be 24%, at an electricity charge of 0.10$/kWh.

In summary, the value-added benefits to OTEC from mariculture and chiller
subsystems were assessed in terms of fees for the cold seawater resource. At the rate
charged by NELH for the seawater resource, the mariculture operation was not profitable
and the chiller system, using ˜ 4% of the cold seawater from a 1 MW plant, provided a
24% return in capital investment. It must, however, be noted that cold seawater fees from
mariculture and chiller systems can only be significant for small OTEC systems.

In search of additional uses for OTEC seawater and the value-added benefits that
might result, two additional studies were commissioned. Laws (1989) performed field
experiments to determine the feasibility of growing Gracilaria in the OTEC effluent, for
chemicals (e.g., agar) or methane production. The objective was to determine whether
the required CO2 bubbling could be eliminated by water exchange with the OTEC
effluent. Unfortunately, Laws found that the availability of the OTEC effluent did not
eliminate the need for an external source of CO2 and that the production of agar or
methane from G. coronopilofia is not cost effective.

In search for other aquatic plants (excluding seaweeds) of potential economic

value that could benefit from the availability of the OTEC effluent, Weaver (1990)
performed a study based on archival information and personal interviews to establish the
chemical composition of aquatic plants; information on their mass-culture; and, to
identify products with established or potential demand by industry (e.g., food, food-
additive, chemical or pharmaceutical) including their economic value. Weaver
considered: Porphyridium, Diatoms, Dunaliella, Spirulina, Anabaena Azolla and found
that, although there exists potential for products extracted form these microalgae, there
was no specific requirement for the OTEC effluent nor was there an identifiable benefit
from it.

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Based on these studies it can be stated that OTEC-based mariculture is in its

formative years and not ready for commercialization, or transfer to nations under
development. With the exception of the relatively small use of the cold seawater as AC
chiller fluid, OTEC should be considered for its potential production of electricity and
desalinated water.

OTEC Energy Carriers

Several means of energy transport and delivery from OTEC plants deployed
throughout the tropical oceans and distances exceeding those listed in Table 8b (> 200
km) have been considered (Konopka, et al, 1976). OTEC energy could be transported via
electrical, chemical, thermal and electrochemical carriers. The submarine power cable
has been considered above in the discussion of the 50 and 100 MW plantships (Tables
8a and 8b). The technical evaluation of non-electrical carriers leads to the consideration
of hydrogen produced using electricity and fresh water generated with OTEC technology.
The product would be transported in liquid form to land to be primarily used as a
transportation fuel.

A 100 MWe-net plantship can be configured to include the following functions,

in addition to supplying the fresh water required for the electrolysis and the crew:
• AC-DC Rectification (97% Efficient)
• Electrolysis (79% Efficient;
Specific power consumption 4.2 kWh/Nm3 H2
Distilled water consumption 0.886 liter/Nm3 H2
Auxiliaries Power 0.517 MW)
• Liquefaction (97% Efficient, Power Consumption 11.3 kWh/kg–LH2 ;
92.5% of GH2 input is liquefied)
• Onboard Storage (98% Efficient)
• Ocean Transport (91% Efficient; 1,600 km)
• Land Storage (98% Efficient)
In this fashion, the 100 MWe of OTEC electricity yield 1298 kg/h of liquid hydrogen
with an upper heating value of 39.41 kWh/kg corresponding to a thermal efficiency of
51%. The production cost of liquid hydrogen delivered to the harbor is given by the sum
of the OTEC electricity component (0.069 $/kWeh for the 100 MWe plantship) plus the
hydrogen production and delivery component. The estimated capital cost for the non-
OTEC components is $290,000,000 (Konopka, et al, 1976 and Wurster, et al, 1990). For
the economic parameters used in the estimate of the cost of OTEC electricity (e.g.: fixed
rates, O&M) the cost, given in 1990 dollars, per million Btu is 40 $/MBtu for the
electricity component and 31 $/MBtu for the hydrogen subsytem for a total cost for the
product delivered to the harbor of 71 $/MBtu (3413 Btu/kWh). This is equivalent to
gasoline (@0.125 MBtu/ US gallon) priced at $9/gallon or crude oil (@ 5.8 MBtu/barrel)
priced at $412/barrel. Considering the lowest capital cost and the highest system thermal
efficiency projected in the literature the cost for the product delivered to the harbor is
reduced to 47 $/MBtu corresponding to gasoline at $6/gallon or crude oil at $273/barrel.

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The situation is similar for the others energy carriers considered in the literature.
For example, for liquid ammonia the cost of the delivered product (liquid hydrogen) is
88% of the cost given above; for methylcyclohexane the cost is 96%; and, for metal
hydrides 108%. For a land-based OTEC system a reduction of 30% in the cost of the end
product is achieved (i.e.: 50 $/MBtu instead of 71 $/MBtu for the baseline case) by
increasing the production of liquid hydrogen by 12% and reducing the capital cost on the
non-OTEC components by 50%. All carriers considered yield costs higher that those
estimated for the submarine power cable (Table 8b) Therefore, the only energy carrier
that is cost effective for OTEC energy is the submarine power cable.

Externalities in the Production and Consumption of Energy

At present, the external costs of energy production and consumption are not
considered in the determination of the charges to the user. Considering all stages of
generation, from initial fuel extraction to plant decommissioning, it has been determined
that no energy technology is completely environmentally benign. The net social costs of
the different methods of energy production is a topic under study. Hubbard (1991) has
published the range of all estimates reported in the literature for the costs due to:
corrosion, health impacts, crop losses, radioactive waste, military expenditures,
employment loss, subsidies (tax credits and research funding for present technologies).
The sum of all estimates yields a range of 78 to 259 billion dollars per year. Excluding
costs associated with nuclear power, the range is equivalent to adding from $85/barrel to
$327/barrel. As minimum, consider that the costs incurred by the military, in the USA, to
"safeguard" oil supplies from overseas is at least $15 billion or equivalently $23.5/barrel.
Accounting for externalities might eventually help the development and expand the
applicability of OTEC, but in the interim the scenarios that have been identified herein
should be considered.
It is interesting to note that discussions, in the public sector, regarding taxing the
electricity produced by non-renewable resources at a rate of $0.02/kWh is equivalent to
adding $13 per barrel (42 gallons) of fuel to the cost of electricity production. This tax
would not suffice to make small OTEC plants cost effective in industrialized nations;
however, in the case of the larger plants this tax would work in favor of OTEC.

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Development Requirements (circa 1990)

The analysis presented herein indicates that there is a market for OTEC plants that
produce electricity and water. Industrialized nations and islands, as well as island nations
under development, could make use of 50 MW to 100 MW closed cycle or hybrid plants
housed in plantships (e.g.: Tables 8a and 8b). A few less developed or smaller islands
could use of open cycle plants with second-stage additional water production (e.g.,
Tables 1 and 2).
However, operational data must be made available, for example, to establish
production factors and plant reliability. This data can only be obtained by building and
operating demonstration plants scaled from the commercial-size plants listed in Tables 1,
2, 3, and 8. A plan aimed at achieving the development of OTEC under the scenarios
discussed in this chapter is summarized in Table 11 (SERI, Appendix D, 1990).

The potential locations considered to develop this plan with the aim of 2100 MWe
installed by the Year 2010 were (Note: that 95% of the plants would be based on the
closed cycle):
Small Pacific Islands ...... 100 MW (Open Cycle)
Taiwan............................. 400 MW (Closed or Hybrid Cycle)
Oahu ............................... 200 MW (Closed or Hybrid Cycle)
Hawaii ............................ 50 MW (Closed or Hybrid Cycle)
Molokai ........................... 10 MW (Open Cycle)
Kauai ............................... 40 MW (Closed or Hybrid Cycle)
Philippines....................... 400 MW (Closed or Hybrid Cycle)
Indonesia ........................ 200 MW (Closed or Hybrid Cycle)
India................................. 200 MW (Closed or Hybrid Cycle)
Puerto Rico...................... 200 MW (Closed or Hybrid Cycle)
Gulf of Mexico................ 300 MW (Closed or Hybrid Cycle)

It is interesting to note that the earlier study by Dunbar (1981) considered a

potential market of 577,000 MW of new baseload, electric power facilities.

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Conclusions
The identification of the scenarios—given by the cost of fuel oil and the
production cost of water—under which OTEC systems are cost competitive indicates that
closed cycle OTEC plants of at least 50 MWe and as much as 100 MWe capacity must be
considered. If desalinated water is required, a hybrid system configured with second stage
water production is applicable. The lowest costs correspond to plantships deployed close
to the shoreline. An exception is found under scenarios with high costs for the fuel oil
and the conventional production of water, where small (1 to 10 MWe) land-based OC-
OTEC plants, with second stage for additional water production, are cost effective.
These scenarios correspond to small markets found in only a few island nations. These
conclusions must be confirmed by designing, constructing and operating demonstration
plants scaled from the commercial size plants. A 5 MWe plantship with second stage
water production is an appropriate size for the demonstration plant, scaled from the 50 to
100 MWe plants. Likewise a 1 MWe OC-OTEC demonstration plant with second stage
additional water production must be considered as a scaled version of the plants for the
small island market.
The small OC-OTEC plants considered in this chapter could be sized to produce
from 1 to 10 MW electricity, and at least 450 thousand to 9.2 million gallons of fresh
water per day (1,700 to 35,000 m3/day). That is, the needs of LDCs communities with
populations ranging from 4,500 to as much as 100,000 could be met. This range
encompasses the majority of less developed island nations throughout the world.

The larger CC-OTEC or hybrid cycle plants can be used in either market for
producing electricity and water. For example, a 50 MW hybrid cycle plant producing as
much as 16.4 million gallons of water per day (62,000 m3/day) could be tailored to
support a LDC community of approximately 300,000 people or as many as 100,000
people in an industrialized nation. It is interesting to note that the state of Hawaii could
be independent, of conventional fuels for the production of electricity, by utilizing the
largest floating OTEC plants (50 to 100 MWe-net) for the larger communities in Oahu (˜
800,000 residents), Kauai, Maui, and the Island of Hawaii (˜ 100,000 residents), as well
as smaller plants satisfying the needs of Molokai (˜ 8,000 residents). Taiwan (ROC)
could use several plants to meet additional requirements projected for the near future.
The majority of the nations listed in the previous section could meet all their electricity
and water requirements with OTEC.
An assessment of the state of the art and evaluation of potential developments
reveals that the only energy carrier that is cost effective for OTEC energy is the
submarine power cable and that, with the exception of the relatively small use of the cold
seawater as AC chiller fluid, in conjunction with the 1 MWe land-based plants, OTEC
should only be considered for its potential production of electricity and desalinated water.

Accounting for externalities in the production and consumption of energy might

eventually help the development and expand the applicability of OTEC, but in the interim
the scenarios that have been identified herein should be considered. Conventional power
plants pollute the environment more than an OTEC plant should and the fuel for OTEC
is unlimited and free, as long as the sun heats the oceans; however, it is futile to use these
arguments to convince the financial community to invest in OTEC plants without an
operational record.
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References
AES Corporation, "AES Closes $383.5 Million Project Financing for Construction of
Power Plant in Hawaii," Press Release, April 3, 1990. Contact: P. Hanrahan, Arlington,
Virginia (703) 358-0506.
Bhargava, A., Evans, D.E., "OC-OTEC Computer Model Incorporating Electricity and
Desalinated Water Production, and Cold Seawater Utilization for Mariculture and
Cooling Applications," PICHTR Publication, Honolulu, Hawaii, August 1989.

Dunbar, L.E., "Market Potential for OTEC in Developing Nations," Proceedings,

8th Ocean Energy Conference, Washington, D.C., June 1981.

Electric Power Research Institute, "Ocean Energy Technologies: The State of the Art,"
EPRI AP-4921, November 1986.
Fast, A.W., Tanoue, K.Y., "OTEC Aquaculture in Hawaii," University of Hawaii
SEAGRANT College Program, Contribution No. 59 (UNIHI–SEAGRANT–MR–89–01),
November 1988 (177 pages).
Green, H.J., Guenther, P.R., "Carbon Dioxide Release from OTEC Cycles," Proceedings,
International Conference on Ocean Energy Recovery, Honolulu, Hawaii, November
1989. Published by the American Society of Civil Engineers.

Hubbard, H.M., "The Real Cost of Energy," Scientific American, April 1991.

IFREMER, Centre de Brest, Projet E.T.M., "Situation des Etudes d'Avant-Projet de la

Centrale E.T.M. de Tahiti au 31.03.85," Report #DIT/SP/ETM 85.312 MG/ES, August
1985.
Konopka, A.J., Talib, A., Yudow, B., Biederman, N., "Optimization Study of OTEC
Delivery Systems Based on Chemical–Energy Carriers," Institute of Gas Technology
(IGT), December 1976, ERDA Report No. NSF–C1008 (AER–75–00033).

Laws, E.A., "The Feasibility of Growing Gracilaria in OTEC Effluent," University of

Hawaii at Manoa, prepared for PICHTR, January 1989.

Nihous, G.C., Syed, M.A., and Vega, L.A., "Conceptual Design of a Small Open–Cycle
OTEC Plant for the Production of Electricity and Fresh Water in a Pacific Island,"
Proceedings, International Conference on Ocean Energy Recovery, Honolulu, Hawaii,
November 1989. Published by the American Society of Civil Engineers.

Nihous, G.C., Udui E. and Vega, L.A., "Preliminary Evaluation of Potential OTEC Sites:
Bathymetry and Feasibility," prepared by PICHTR for the Commonwealth of the
Northern Mariana Islands, Contract #C549994-01 with the U.S. Department of Energy,
Territorial Assistance Program, October 1989.

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Solar Energy Research Institute (SERI), et al, "The Potential of Renewable Energy:
An Interlaboratory White Paper," SERI/TP–260–3674, March 1990. Prepared for the
Office of Policy, Planning and Analysis, U.S. Department of Energy in support of
the National Energy Strategy. Available from: National Technical Information Service.
[Appendix D. Ocean Energy Technologies]

Shyu, Chuen-Tien, "Topography of the Eastern Taiwan Coastal Areas," Proceedings of

the International Workshop on Artificial Upwelling and Mixing in Coastal Waters,
pp. 124–132, Keelung, Taiwan, June 1989.

Vega, L.A., Bailey, S., "Assessment of OTEC-Based Mariculture Operations," Proceed-

ings, 8th Ocean Energy Conference, Washington, D.C., June 1981.

Vega, L.A., Nihous, G.C., "At-Sea Test of the Structural Response of a Large Diameter
Pipe Attached to a Surface Vessel," Proceedings, Offshore Technology Conference,
No. 5708, pp. 473-480, Houston, Texas, May 1988.

Vega, L.A., Nihous, G.C., Lewis, L. Resnick, A., and Van Ryzin, J., "OTEC Seawater
Systems Technology Status," Proceedings, International Conference on Ocean Energy
Recovery, Honolulu, Hawaii, November 1989. Published by the American Society of
Civil Engineers.
Weaver, E.C., "Use of OTEC Water for Cultivating Aquatic Plants of High Economic
Value," prepared for PICHTR, March 1990.

Wurster, R., Malo, A., "The Euro–Quebec Hydro–Hydrogen Pilot Project," Proceedings
of the 8th World Hydrogen Energy Conference, Honolulu, Hawaii (held in July 1990),
Vol. 1, p. 59.

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Figure 1. Capital Cost for Single Stage OTEC Plants (1992)

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PLANT NOMINAL SIZE: 1 MW; OC-OTEC 1 MW; OC-OTEC 1 MW; OC-OTEC

with 2nd-Stage with 2nd-Stage
and 300 ton A-C

PRODUCTION:
Electricity 9.5 x 106 kWh 8.8 x 106 kWh 8.4 x 106 kWh plus the
A-C equivalent

Water 0.45 MGD (1,700 m3/day) 1.06 MGD (4,000 m3/day) 1.06 MGD

A-C Electricity Equivalent to 1.7 x 106

KWh

CAPITAL COST: 18,200 $/kW-net 23,000 $/kW 20,000 $/kW (adjusted)

YEAR DEPLOYED: 1995 1995 1995

NOTE: Estimates are from Table 5 for the Capital Cost expected after engineering development in compressors and
turbine efficiency as well as for cost reductions in surface condensers from $215/m2 to $100/m2. State-of-
the-art seawater piping systems are used. The estimate for the plant with a 300 ton A-C is for electricity
production savings due to the use of 90 kg/sec of cold seawater (3% of the total cold water required for
power cycle) as a chiller fluid for a standard A-C unit.

Table 1. Capital Cost Estimates ($/kW-net) for 1 MW Land-Based Plants in 1990

Dollars

PLANT NOMINAL SIZE: 10 MW; OC-OTEC 10 MW; OC-OTEC

with 2nd-Stage

PRODUCTION:
Electricity 70 x 106 kWh 63 x 106 kWh

Water 4 MGD (15,000 m3/day) 9.2 MGD (35,000 m3/day)

CAPITAL COST: 10,700 $/kW-net 14,700 $/kW

YEAR DEPLOYED: 2000 2000

NOTE: Estimates are from Table 6 for the Capital Cost expected after cost reductions in surface condensers
from$215/m2 to $100/m2; engineering development resulting in improved turbines and vacuum compressors
and new cold-water-pipe technology.

Table 2. Capital Cost Estimates ($/kW-net) for 10 MW Land-Based Plants in

1990 Dollars

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PLANT NOMINAL SIZE: 50 MW; CC-OTEC 50 MW; Hybrid

Ammonia Power Cycle
with 2nd-Stage Water Production

PRODUCTION:
Electricity 336 x 106 kWh 280 x 106 kWh

Water n/a 16.4 MGD (62,000 m3/day)

CAPITAL COST: 6,000 $/kW 9,4000 $/kW

YEAR DEPLOYED: 2000 to 2005 2000 to 2005

NOTE: Estimates are from Table 7 adjusted as described in Table 2.

Table 3. Capital Cost Estimates ($/kW-net) for 50 MW Land-Based Plants in

1990 Dollars

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NOMINAL NET POWER (MWe) TYPE SCENARIO REQUIREMENTS SCENARIO AVAILABILITY

1 Land-Based OC-OTEC • $45/barrel of diesel South Pacific Island Nations

with 2nd-Stage additional • $1.6/m 3 water by Year 1995
(Table 1) Water Production

10 Land-Based • $30/barrel of fuel oil American Island Territories

(as above) • $0.85/m3 water and other Pacific Islands
(Table 2) by Year 2000

50 Land-Based Hybrid • $49/barrel of fuel oil Hawaii, if fuel or

(ammonia power cycle • $0.4/m 3 water water cost doubles
with Flash Evaporator by Year 2000
downstream) – or –
• $31/barrel
• $0.8/m 3 water

(Table 3) Closed-Cycle Land-Based • $37/barrel

50 & 100 Closed-Cycle Plantship • $23/ barrel Present

( 50 MW )
Closed-Cycle Plantship • $20/ barrel
(Table 8) (100 MW )

• OC-OTEC limited by turbine technology to 2.5 MW modules or 10 MW plant (with four modules)
• CC-OTEC or Hybrid (water production downstream of closed-cycle with flash evaporator)

Table 4. OTEC Market Penetration Scenarios (1992)

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1 MWe 1 MWe
OC-OTEC OC-OTEC
(1990) (1995) COMMENTS

• STRUCTURE 4,400 3,700 Structural Improvements after

demonstration plant

• SEAWATER SYSTEM
(Pipes and Pumps) 12,300 7,600 Improvement in SWS technology

• POWER SYSTEMS
- Heat Exchangers 3,500 2,000 Surface Condenser reduced from
$215/m2 to $100/m2

- Turbine-Generator
and Vacuum Compressor 3,700 3,200 Increases in efficiencies for T-G and
Vacuum Compressor systems
augment net power
from 1156 to 1356 kW

• OTHER 2,000 1,700 Engineering Development

TOTAL 25,900 18,200

NOTE: Second Stage Water Production Unit doubles desalinated water production,
decreases net power by 100 kW and capital costs increase by $4.3 M
(e.g., 23,000 $/kW by Year 1995).

Table 5. Potential Reduction in Capital Cost ($/kW) by Year 1995,

Expressed in 1990 Dollars, for a Land-Based 1 MWe OC-OTEC Plant

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10 MWe 10 MWe
OC-OTEC OC-OTEC
(1990) (2000) COMMENTS

• STRUCTURE 1,500 (10%) 1,500 (14%) ---

• SEAWATER SYSTEM
(Pipes and Pumps) 6,000 (40%) 3,700 (34%) New CWP Technology (d > 1.6 m );

• POWER SYSTEMS
- Heat Exchangers 3,500 (23%) 2,000 (19%) Surface Condenser reduced from
$215/m2 to $100/m2

- Turbine-Generator
and Auxiliaries 2,500 (17%) 2,000 (19%) Engineering Development results in
improved turbine and vacuum
compressor

• OTHER 1,500 (10%) 1,500 (14%) ---

TOTAL 15,000 10,700

NOTE: Second Stage Water Production Unit doubles desalinated water production,
decreases net power by 1,000 kWe and augments capital investment by $25 M
(e.g., 14,700 $/kW by Year 2000)

Table 6. Potential Reduction in Capital Cost ($/kW) by Year 2000,

Expressed in 1990 Dollars, for a Land-Based 10 MWe OC-OTEC Plant

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50 MWe 50 MWe
CC-OTEC CC-OTEC
(1990) (2000) COMMENTS

• STRUCTURE 1,500 (18%) 1,500 (25%) ---

• SEAWATER SYSTEM
(Pipes and Pumps) 2,400 (29%) 1,700 (28%) New CWP Technology

• POWER SYSTEMS
- Heat Exchangers 2,500 (30%) 1,200 (20%) Condenser reduced from
$215/m2 to $100/m2
- Turbine-Generator 1,200 (15%) 1,000 (17%) Engineering Development

• OTHER 600 (8%) 600 (10%) ---

TOTAL 8,200 6,000

NOTE: For the Hybrid Plant (Second Stage Water Production),

net power is decreased by 8,000 kW and capital cost is
incremented by $60 M (e.g., 9,400 $/kW by Year 2000)

Table 7. Potential Reduction in Capital Cost ($/kW) by Year 2000,

Expressed in 1990 Dollars, for a Land-Based 50 MWe CC-OTEC Plant

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MOORED 50 MWe MOORED 50 MWe

CC-OTEC CC-OTEC
(1990) (2000) COMMENTS

• VESSEL / MOORING
AND POWER CABLE 1,800 (26%) 1,200 (26%) Engineering Development

• SEAWATER SYSTEM
(Pipes and Pumps) 800 (12%) 600 (13%) Engineering Development

• HEAT EXCHANGERS 2,500 (36%) 1,200 (26%) Condenser and Evaporator

reduced from $215/m2 to
$100/m2

• TURBINE-GENERATOR 1,200 (17%) 1,000 (22%) Engineering Development

• OTHER 600 (9%) 600 (13%) ---

TOTAL 6,900 4,600

Table 8a. Potential Reduction in Capital Cost ($/kW) by Year 2000,

Expressed in 1990 Dollars, for Floating 50 MWe CC-OTEC Plants

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MOORED 50 MWe MOORED 100 MWe SCENARIO REQUIRED

CC-OTEC CC-OTEC FOR
(2000) (2000) 100 MWe PLANT
OFFSHORE DISTANCE

10 km 4,600 4,200 $ 20 / barrel

50 km 5,500 5,000 $ 28 / barrel

100 km 6,600 6,000 $ 37 / barrel

200 km 8,900 8,100 $ 55 / barrel

Table 8b. Capital Cost ($/kW) for Single Stage Floating Plants,
as a Function of Offshore Distance
Projected by Year 2000 After Engineering Development
and the Operation of Demonstration Plant

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YEARS PROJECT FUNDS REQUIRED

1990—1995 A) • Reduce the cost of $ 10M

Surface Condensers;
• Develop Low Pressure
Steam Turbines rated at
about 2.5 MWe; and,
• Develop Large Diameter
Cold Water pipes for
Land–Based Plants (> 1.6 m).

B) OC-OTEC / 2nd-stage $ 30 M
Demonstration Plant
(1 MWe / 3,500 m3/day)
using state-of-the-art

1995—2000 C) Deploy Land-Based Plants International

Optimized from (B) Banking / Aid
(Total 5 MWe / Community
17,500 m3/day)

D) Hybrid Land-Based $ 75 M
Demonstration Plant (optional)
(5 MWe / 7,500 m3/day)
using newly developed CWP

E) CC-OTEC Plantship $ 60 M
Demonstration Plant
(5 MWe) using existing
technology

2000—2005 F) Deploy several Private

Land-Based Plants in
Pacific and Asia.
Optimized from (D)

G) Deploy several 50 to 100 MWe Private

Plantship in Tropical Waters
Optimized from (E)

2005—2010 H) Provide Projected Power Cumulative

and Water Increase in Capital
small Pacific Islands, and Investment
part thereof in Oahu, Taiwan, $13 Billion
Philippines, etc., and Plantships (for 2100 MWe)
(e.g.: Cumulative Deployed
Power : 2100 MWe)

Table 11. OTEC Development Program Required (circa 1990)

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 Ocean Thermal Energy Conversion (OTEC)
Environmental Impacts

The environmental impact studies from the 1980s concluded that the risks of OTEC would likely be acceptable,
however; further environmental assessments and research are needed to address the following potential issues:

Potential Impacts:
1. Withdrawal and Discharge Water:
A 100 MW facility would use 10-20 billion gallons per day of warm surface water and cold water from a depth of
approximately 3300 feet (1000 meters). The impacts of discharging this large volume of water in the ocean needs to be
better studied. The water discharged from OTEC facilities will be cooler, denser and more nutrient rich due to the
composition of the deep cold water being different from the receiving waters. Nutrient rich water (with nitrogen and
phosphorus) would likely be discharged at a depth where the ambient water is warmer and oligotrophic (nutrient poor).
The resulting indirect and cumulative impacts to marine biota and the dynamics of the marine ecosystem from these
displacements are not fully understood.

2. Impingement and Entrainment:

Screens are needed for both the warm and cold water intake systems to prevent debris and larger species from
entering an OTEC facility. Impingement may occur where organisms become trapped against the intake screen. Smaller
organisms which pass through the intake screen may be entrained through the system. Both could be lethal to the
organisms.

3. Biocide Treatments:
The warm water that is used in the OTEC facility would need to be treated with a biocide (e.g., chlorine) to maintain
the efficiency of the heat exchangers in the OTEC facility. The amount of biocide needed will likely be less than the
maximum discharge allowed under the Clean Water Act.

4. Other Potential Impacts:

The electromagnetic field of the cable bringing the electricity to the shore may impact navigation and other
behaviors of marine organisms. The platform presence may cause organism attraction or avoidance, and its mooring
lines may cause entanglements. The noise generated from an OTEC facility may also impact marine mammals.

Addressing Impacts:
These potential impacts will be considered in the development of new regulations for licensing OTEC facilities,
and in the Environmental Impact Statement (EIS) that must be developed for those regulations. In addition, these
impacts will be considered in the review of individual applications which will require their own EIS. Those reviews will
consider not only the direct, indirect and cumulative impacts of OTEC but also how those impacts may offset other
impacts such as those associated with fossil fuels.

Past Reports
OTEC Final Environmental Impact Statement (1981) -- The document considers the reasonably foreseeable
environmental consequences inherent to commercial OTEC development under the legal regime established by
the OTEC Act of 1980. Regulatory alternatives for mitigating adverse environmental impacts associated with
construction, deployment and operation of commercial OTEC plants are evaluated.
The report is available at: http://coastalmanagement.noaa.gov/programs/media/otec1981feis.pdf.

The Potential Impact of OTEC on Fisheries (1986) -- The NOAA Technical Report addresses the potential positive
and negative impacts of OTEC on fisheries, focusing on pumping large volumes of warm surface water and deep
cold water and its subsequent discharge on biota.
The report is available at: http://coastalmanagement.noaa.gov/programs/media/otec1986fishimpact.pdf.
Multiple Industrial Complex with OTEC dissolved in seawater is one of considerable method
In Japan, the research and development for ‘Multiple of industrial lithium production. For such lithium
OTEC System’, which utilizes the potential of Deep extraction from seawater, purity of DOW provides
Ocean Water (DOW), have been performed in longer cleaning interval of seawater contact surface
progress. The image of ‘Multi-OTEC’ is shown in material polluted with impurity of seawater, because
Fig.7 and considerable systems associated with DOW is much purer than seawater in surface layer.
OTEC are described as follows. This is a big advantage of feasibility from the
economical point of view.
1) Desalination
The Saga University has developed a spray-flush type 4) Air Conditioning
desalination system. By this system around 1% of Tropical condition suits for OTEC as a matter of
raw seawater quantity is to be distilled to pure fresh course. In the tropical area there is a need for cooling
water. To combine the OTEC and this desalination air conditioning for office, hotel, etc. For that purpose
system, the capability of desalination is quite huge ; OTEC is useful. The temperature of depth cold water
i.e. the obtainable distilled water capacity is approx. after utilization for OTEC is still low ; e.g. the
10,000 m3/day with 1MW OTEC, approx. 1,000,000 temperature is to be around 10℃. It is cold enough to
m3/day with 100MW OTEC. use as chilling source of air cool conditioning. Such
It is remarkable that the fresh water obtained can be air conditioning system requires much less energy
utilized as resource of hydrogen as described later. than that is needed by ordinary electrical refrigeration
Fig.8 shows the demonstration plant of spray-flush method. It means that OTEC makes demand of
desalination made by Saga University. electricity decrease ecologically.

2) Mineral Water Production 5) Aquaculture

DOW is rich in mineral. It is possible to produce The characteristics of DOW are cold, pure and
‘Mineral water ’ as by-product of the OTEC. nutrient. These characteristics can be used effectively
Providing with ion-exchanger and mineralizer, a part to aquaculture by getting rapid growth and less
of desalinated water comes more valuable industrial disease.
product. Mineral water is one of most anticipated by- In these years, another approach has made for fishery
product of OTEC in order to promote a sustainable fertilization by using nutrient DOW in Japan. Dr.
local industry, particularly for island countries. Ouchi and his colleagues are developing an
architectural sea area fertilizer unit incorporated with
3) Lithium Extraction OTEC as an energy source of density current
Lithium is the one of important industrial metal as the generator system.
material of battery. Extracting chloride-lithium

Fig.7. Image of Multiple-OTEC Station.

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 Fig.8. Desalination Plant. Fig.10. Lithium Extraction.

Fig.9. Mineral Water Production. Fig.11. Hydrogen Generation.

6) Food, Cosmetics, Medical Science, etc.

Due to surpassing characteristics DOW draws
attention in the various fields of industry and science.
In Japan DOW is utilized for food processing of
'Sake', 'Tofu', etc. and some cosmetics made of DOW
have got public favor.
Effects of DOW attract medical scientist's attention.
It has been said that DOW is efficacious against
atopic allergy dermatitis. Thalassotharapie, which is a
kind of medical treatment for relaxation, is also one
of DOW utilization.
OTEC can provide such broad utilization.

7) Hydrogen Production
To look a little further future, it should be considered
"Offshore Hydrogen Production Platform" by OTEC.
This concept provides completely clean hydrogen
production by using only natural renewable energy.
Considering the tendencies of fuel-cell and micro-
gas-turbine, the tide of shifting the basic industrial
fuel from fossil to hydrogen would possibly come
sooner than expected in common. As a consequence
of such thinking, it may be not so far dream that
hundreds MW class OTEC for hydrogen generating
station to be built as a kind of fundamental energy
supplier.