Floods in central Mexico.
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More than half of the publishers listed alongside IntechOpen (18 out of 30) are Social Science and Humanities publishers. IntechOpen is an exception to this as a leader in not only Open Access content but Open Access content across all scientific disciplines, including Physical Sciences, Engineering and Technology, Health Sciences, Life Science, and Social Sciences and Humanities.
\\n\\nOur breakdown of titles published demonstrates this with 47% PET, 31% HS, 18% LS, and 4% SSH books published.
\\n\\n“Even though ItechOpen has shown the potential of sci-tech books using an OA approach,” other publishers “have shown little interest in OA books.”
\\n\\nAdditionally, each book published by IntechOpen contains original content and research findings.
\\n\\nWe are honored to be among such prestigious publishers and we hope to continue to spearhead that growth in our quest to promote Open Access as a true pioneer in OA book publishing.
\\n\\n\\n\\n
\\n"}]',published:!0,mainMedia:null},components:[{type:"htmlEditorComponent",content:'
Simba Information has released its Open Access Book Publishing 2020 - 2024 report and has again identified IntechOpen as the world’s largest Open Access book publisher by title count.
\n\nSimba Information is a leading provider for market intelligence and forecasts in the media and publishing industry. The report, published every year, provides an overview and financial outlook for the global professional e-book publishing market.
\n\nIntechOpen, De Gruyter, and Frontiers are the largest OA book publishers by title count, with IntechOpen coming in at first place with 5,101 OA books published, a good 1,782 titles ahead of the nearest competitor.
\n\nSince the first Open Access Book Publishing report published in 2016, IntechOpen has held the top stop each year.
\n\n\n\nMore than half of the publishers listed alongside IntechOpen (18 out of 30) are Social Science and Humanities publishers. IntechOpen is an exception to this as a leader in not only Open Access content but Open Access content across all scientific disciplines, including Physical Sciences, Engineering and Technology, Health Sciences, Life Science, and Social Sciences and Humanities.
\n\nOur breakdown of titles published demonstrates this with 47% PET, 31% HS, 18% LS, and 4% SSH books published.
\n\n“Even though ItechOpen has shown the potential of sci-tech books using an OA approach,” other publishers “have shown little interest in OA books.”
\n\nAdditionally, each book published by IntechOpen contains original content and research findings.
\n\nWe are honored to be among such prestigious publishers and we hope to continue to spearhead that growth in our quest to promote Open Access as a true pioneer in OA book publishing.
\n\n\n\n
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The evaluation of nanomaterials in the form of different shapes, sizes, and volumes needed for utilization in different kinds of gadgets and devices. Since the recently developed two-dimensional carbon materials are proving to be immensely important for new configurations in the miniature scale in the modern technology, it is imperative to innovate various atomic and molecular arrangements for the modifications of structural properties. Of late, graphene and graphene-related derivatives have been proven as the most versatile two-dimensional nanomaterials with superb mechanical, electrical, electronic, optical, and magnetic properties. To understand the in-depth technology, an effort has been made to explain the basics of nano dimensional materials. The importance of nano particles in various aspects of nano technology is clearly indicated. There is more than one chapter describing the use of nanomaterials as sensors. In this volume, an effort has been made to clarify the use of such materials from non-conductor to highly conducting species. It is expected that this book will be useful to the postgraduate and research students as this is a multidisciplinary subject.',isbn:"978-1-78985-438-1",printIsbn:"978-1-78985-437-4",pdfIsbn:"978-1-83968-463-0",doi:"10.5772/intechopen.77490",price:119,priceEur:129,priceUsd:155,slug:"multilayer-thin-films-versatile-applications-for-materials-engineering",numberOfPages:272,isOpenForSubmission:!1,hash:"fd04577df0c895320c3f06d98308ea67",bookSignature:"Sukumar Basu",publishedDate:"January 15th 2020",coverURL:"https://cdn.intechopen.com/books/images_new/7684.jpg",keywords:null,numberOfDownloads:3504,numberOfWosCitations:0,numberOfCrossrefCitations:5,numberOfDimensionsCitations:7,numberOfTotalCitations:12,isAvailableForWebshopOrdering:!0,dateEndFirstStepPublish:"January 28th 2019",dateEndSecondStepPublish:"April 30th 2019",dateEndThirdStepPublish:"July 30th 2019",dateEndFourthStepPublish:"August 30th 2019",dateEndFifthStepPublish:"November 30th 2019",remainingDaysToSecondStep:"2 years",secondStepPassed:!0,currentStepOfPublishingProcess:5,editedByType:"Edited by",kuFlag:!0,biosketch:null,coeditorOneBiosketch:null,coeditorTwoBiosketch:null,coeditorThreeBiosketch:null,coeditorFourBiosketch:null,coeditorFiveBiosketch:null,editors:[{id:"50632",title:"Prof.",name:"Sukumar",middleName:null,surname:"Basu",slug:"sukumar-basu",fullName:"Sukumar Basu",profilePictureURL:"https://mts.intechopen.com/storage/users/50632/images/system/50632.jpg",biography:"Prof. Sukumar Basu, Ph.D. in Solid State Chemistry in 1973 from IIT Kharagpur, India, earned post doctoral research experience in the Institute of Physical and Theoretical Chemistry, University of Vienna, Austria (1972-1974) and in Max Planck Institute for Carbon Research, Muelheim/Ruhr, Germany (1975-1978). In 1979 he joined IIT Kharagpur as a faculty member of Materials Science Center. He spent one year (1995-96) in the State University of Milan as an ICTP senior research fellow. He also spent 3 months (2000) in the Institute of Atom Research, Science City, Tsukuba, Japan as JSPS fellow. He was the foreign expert of the evaluation committee of the Singapore-MIT research alliance of the National University of Singapore (NUS). He also served as the member of the expert committee of the National Program on Smart Materials (NPSM) and the project evaluation committee of the Department of Science and Technology (DST), Government of India. Prof. Basu was the joint investigator of an India-Sweden Research Program funded by Swedish Research Council (SRC) during 2008-2010 and he visited Linkoping University, Sweden. He was a joint investigator of an India-Brazil-South Africa (IBSA) collaborative Research Program involving IIT Kharagpur, India, Sao Paolo University, Brazil and Cape Town University, S. Africa for the period 2011 and 2014. At present he is Professor Emeritus, Dept. of Physics & Materials Science, Jaypee University of Information Technology, India.",institutionString:"Jaypee University of Information Technology",position:null,outsideEditionCount:0,totalCites:0,totalAuthoredChapters:"3",totalChapterViews:"0",totalEditedBooks:"2",institution:{name:"Jadavpur University",institutionURL:null,country:{name:"India"}}}],coeditorOne:null,coeditorTwo:null,coeditorThree:null,coeditorFour:null,coeditorFive:null,topics:[{id:"208",title:"Material Science",slug:"nanotechnology-and-nanomaterials-material-science"}],chapters:[{id:"70303",title:"A Review on Metal Oxide-Graphene Derivative Nano-Composite Thin Film Gas Sensors",slug:"a-review-on-metal-oxide-graphene-derivative-nano-composite-thin-film-gas-sensors",totalDownloads:416,totalCrossrefCites:0,authors:[{id:"50632",title:"Prof.",name:"Sukumar",surname:"Basu",slug:"sukumar-basu",fullName:"Sukumar 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Mexico covers an area of 1.964 million km2 [14], and its annual average rainfall (1981–2010) is 740 mm, equivalent to 1449 km3, which are distributed in the hydrological cycle as follows: 72% evapotranspiration, 21% becomes runoff and 6% as aquifer recharge. In addition, every year Mexico receives from the United States and Guatemala 48 km3 through transboundary watersheds and exports 0.43 km3 to the United States, based on the 1944 U.S.‐Mexico Water Treaty [3].
The population, estimated to be around 119.5 million in 2015, ranks 11th in the world, with a growth rate of 1.4%, and 77% of the Mexican habitants live in urban areas [15]. Population forecast for 2030 shows this trend will be accentuated in the next years. Therefore, it will be an increasing and of water concentrated in metropolitan regions.
Water withdrawals from surface and ground water sources represent 52 and 32.9 km3/year, respectively. In total, 77% of the water from rivers and groundwater goes into irrigation, whereas 14% is used in domestic applications and 9% for industry [3].
It should be note that 77% of the population that needs to be supplied is located in the north and central region of the country, where only 33% of the water resources are found, which leads to overexploitation of basins and aquifers [3].
Because of its geographic location, varied orography and furthermore the presence of meteorological and climatological phenomena at different scales, Mexico presents a great diversity of climates and high spatial and temporal variability in water resources availability.
Some phenomena that have influence on intensity on intensity, as well as spatial and temporal distribution of precipitation, are severe convective storms, tropical cyclones, cold fronts, easterly waves, seasonal Intertropical Convergence Zone (ITCZ) migration, seasonal variability of jet streams and warming in the tropical regions, also called dynamics of the East Pacific Warm Pool.
Although tropical cyclones contribute to surface and ground water recharge, due to the atmospheric moisture transport from the oceans to the continental regions that increase the rainfall during the tropical cyclone season, Figure 1, they also lead to severe damage to exposed and vulnerable population centres affected by floods.
Historical tracks of tropical cyclones, from 1949 to 2015 in the Pacific and 1851 to 2015 in the Atlantic. Source: NOAA [19].
In Mexico, according to the recorded paths, during the period 2000–2016 in the Pacific Ocean, an average of 17.6 tropical cyclones were generated, an average of 15.4 acquired name and 3.8 made landfall. While, in the Atlantic Ocean during the same period, an average of 15.4 tropical cyclones were generated, an average of 14.8 acquired name and 2.6 made landfall.
Cold fronts also have great influence; they are present between September and May. Their behaviour includes the dragging of cold and humid air masses that can reach as far as the southeast of the country.
Considering global climate change impact on the selection, design and implementation of flood control measures, it represents a major challenge since the level of certainty regarding its influence on the variables involved remains insufficient.
The vulnerability can be defined as the degree to which a system (in this case to water resources) is susceptible to adverse effects, and according to the Intergovernmental Panel on Climate Change (IPCC) on his Fourth Assessment Report, vulnerability depends on degree of exposure, sensitivity and adaptive capacity [16].
Based on this definition, an estimate of the level of the social vulnerability to climate change in Mexico municipalities has been made. The following contains a description of the publication.
IMTA coordinates the analysis, updating and publication of climatic scenarios in Mexico, based on the General Circulation Models (GCM) of the Coupled Model Intercomparison Project phase 5 (CMIP5) experiment for the historical period 1961– 2000 and greenhouse gas emission projections denominated Representative Concentration Pathways 6.0 and 8.5 (RCP6.0 and RCP8.5), for two periods of the twenty‐first century, from 2015 to 2039 and from 2075 to 2099, Figure 2. The Atlas of Water vulnerability to climate change in Mexico includes scenarios of the effect on maximum temperature, minimum temperature, average temperature and precipitation. Furthermore, it includes an estimate of the municipal risk for rainy and tropical cyclone seasons, Figure 3.
Projected precipitation change for the periods 2015–2039 and 2075–2099, due to climate change. Source: IMTA [13].
Municipal Risk for rainy and tropical cyclone season in Mexico. Source: IMTA [13].
Maps are one of the most useful tools in flood risk management, since they concentrate and synthesize large amounts of information analysed and processed using a geographic information system. They play a central role in the delineation of floodplains for different return periods, visualization of change in flow depth and velocity, strategic planning, early warning systems, impact analysis on infrastructure and population and damage assessments.
The IPCC defines flood as ‘the overflowing of the normal confines of a stream or other body of water, or the accumulation of water over areas that are not normally submerged’. Floods include river (fluvial) floods, flash floods, urban floods, pluvial floods, sewer floods, coastal floods and glacial lake outburst floods [16].
Some causes of flooding are precipitation associated with hydrometeorological and climatic phenomena, snowmelt, drainage conditions in watersheds, deforestation, urbanization, poor drainage systems without regular maintenance, inadequate management operation of dam systems, failure of constructed or landslide dams, high tide or some combination of these.
An example of landslide damming of river at risk of failure occurred in 2007 in the Grijalva River, the second largest river in the country by the volume of water it discharges. A wedge of rock and clay material, at 55 Mm3, slid and dammed the stream. The dam was estimated to have a height of 80 m, a length of 800 m and a width of 300 m, located downstream of the Malpaso Dam and upstream the Peñitas Dam. The town of Juan de Grijalva was located on the right bank of the river and was affected by the landslide and the flood wave that followed, both caused the death of 25 people. An estimated volume of 15 mm3 was filling the Grijalva River valley and creating a landslide dam which impounded the river. The potential risk of failure of this natural dam posed a grave threat to the Peñitas Dam and to more than 3 million downstream inhabitants of cities, such as Villahermosa, Cárdenas, Comalcalco and Huimanguillo (state of Tabasco). The problem was solved by constructing a channel on the material slid, so the river was returned to its natural course.
From the analysis of several floods in Mexico, it has been concluded that long‐term heavy rainfall in large basins is associated with river flooding, whereas short‐term heavy rainfall in small basins is related to pluvial flooding. The flood management strategies must also consider the presence of debris flow.
The flood problem becomes more complex for the wide range of factors involved and their variability, for example, precipitation intensity is already being influenced by climate change. In addition, inappropriate development policies encourage unplanned urbanization, piping of channels and/or engineering projects that reduce the flow capacity of the rivers.
It has been estimated that 162,000 km2 of the Mexican territory are susceptible to flooding, see Figure 4. Although this accounted for only 8% of its territory, the socio‐economic impact may be equivalent up to billions of dollars, according to the affected urban zones, their population density, economic activities, existing infrastructure and, above all, their vulnerability and resilience.
Location and delineation of the main wetlands in Mexico. Source: INEGI [14].
There is information about floods in the city of Tenochtitlan until 1521 and in New Spain in later years. Since then, structural and non‐structural measures for flood control have been adopted. In Table 1, some of the worst floods recorded in central Mexico are listed.
Year | Event |
---|---|
1446 | First great flood in Tenochtitlán, some sectors of the city were flooded due to heavy rainfall [5] |
1449 | Tenochtitlán suffered another flood and a 16 kilometer long embankment was constructed [20] |
1499 | Another flood occurred in Tenochtitlán that covered streets and squares and later reached the lake through the canals. As a result, the water level of the lake raised and it was necessary to build new dykes [17] |
1555 | On 10th October, intense precipitation began in the Valley of Mexico; after 4 days, people were forced to transport in canoes [17] |
1604 | The city of Mexico suffered floods that persisted during months, the only way of water removal was by evaporation. It was then decided to build an artificial outlet to drain excess water into the Tula river basin [6] |
1607 | Heavy rainfall occurred in June in the capital city, which resulted in the most severe flood in the country’s capital since the Spanish occupation [17] |
1629 | Called the Great Flood, it was the most severe in the history of the city. Heavy rains were combined and little progress was made in the construction of the General Drainage of the city, it is estimated that 30,000 people died [6] |
Floods in central Mexico.
Some other major floods are presented in Table 2.
Year | Event |
---|---|
1760 | Silao River overflowing caused floods in the city of Guanajuato, with the presence of silt under the bridges that reduced the river capacity [18] |
1909 | The worst flood recorded in the city of Monterrey as a result of the overflowing of Santa Catarina River that caused the death of 5,000 people [12] |
1982 | Due to the effect of Hurricane Paul, numerous floods occurred in several cities in the state of Sinaloa [2] |
1985 | There were 64 floods in 16 states of the Mexican Republic [2] |
1988–1992 | Flooding in the state of Veracruz left 75,000 victims in 1988; 52,546 in 1989, 129,565 in 1990, 67,470 in 1991 and 60,000 in 1992 [2] |
1995 | Hurricanes Ismael, Roxanne and Opal affected the states of Tabasco, Campeche, Quintana Roo, Yucatan and Veracruz [2]. Between 1 June and 31 October, in the state of Tabasco, it rained 1792 mm [1] |
1997 | Hurricane Paulina caused flooding in the states of Chiapas, Oaxaca and Guerrero [2] |
1998 | The floods affected 29,000 people in Chiapas and there were 4840 people affected in Oaxaca, leaving 700,000 people without electricity [2] |
1999 | The combination of several meteorological phenomena caused one of the worst floods in the city of Villahermosa, which resulted in the construction of levees around the city and along urban rivers, as well as the implementation of the Comprehensive Flood Control Program (PICI) [1]. |
2005 | In July, Hurricane Emily hit the Atlantic coast of Mexico, Quintana Roo, Yucatán, Tamaulipas and Nuevo León were the most seriously affected states. In October, the states of Quintana Roo and Yucatan were affected by Hurricane Wilma [8] |
2007 | On 4 October, the city of Tapachula in Chiapas, suffered the worst disaster in its history, as a result of prolonged and heavy rainfall associated with Hurricane Stan [1] |
2008 | The combined effect of Hurricane Noel and two cold fronts, caused two‐thirds of the city of Villahermosa, was flooded during 40 days. Together with the phenomenon of landslide damming of Grijalva River, represent two of the greatest natural disasters in recorded history of Mexico [1] |
2010 | There were floods in the states of Zacatecas, Chihuahua, Veracruz and Tabasco. In relation to the latter, the PICI Flood Management Plan was redefined, for what would be the future Comprehensive Water Program of Tabasco (PHIT) [1] |
2011 | This was the second rainiest year in the country, with local flooding in Mexico City and many others due to the effects of hurricanes Alex, Karl and Matthew, the cost of damages exceeded the 4000 mdd [7] |
2013 | Hurricane Jova affected the states of Colima and Jalisco, whereas Arlene affected the state of Veracruz and the central part of the country and the state of Hidalgo. For the fifth year in a row, the state of Tabasco suffered severe floods [9] |
2014 | As a result of the incidence of two simultaneous tropical cyclones, Ingrid in the Gulf of Mexico and Manuel in the Pacific Ocean, the state of Guerrero was seriously affected. Besides, hurricane Barbara hit the pacific coast in state of Chiapas [11] |
2015 | Heavy damage occurred in the state of Veracruz during October. In addition, the state of Tamaulipas and Chihuahua were flooded [10] |
Major floods in Mexico.
Urban developments in flood plains are historical in Mexico, the Tabasqueña Plain and the lower basin of Bravo River (Tamaulipas), Pánuco River (Tamaulipas and Veracruz), Coatzacoalcos River (Veracruz), Papaloapan River (Veracruz); the Coast of Chiapas, the Atoyac, Jamapa, Tecolutla, Nautla and Antigua Rivers (Veracruz) and Tulancingo River (Hidalgo) [1] are clear examples of areas where frequent flooding can be expected.
In addition to the factors mentioned above, in Mexico, floods occur on low‐lying areas of minor capital gain which are likely to be inhabited by the poorest sectors of the population. Also there exist a number of misperceptions, even of the authorities. For example, the idea that not using a territory during the dry season that is only flooded during the rainy season is a waste.
Furthermore, there is a land‐use regulation by different laws and institutions from the three levels of government, which makes its implementation difficult, and a society with a low level of insurance culture, which leads the State becoming the insurer.
The cost of flood damage includes those associated with the impact on infrastructure at urban and rural areas; infrastructure for agricultural, industrial or commercial activities, as well as transport, communication and public services. This cost also includes indirect damages, which are those related to damaged or lost resources‐dependent activities, for example, temporary or permanent job losses and stopping production chains.
Direct and indirect costs include tangible and intangible impacts, the latter are extremely difficult to assess and a common example is human health.
In Mexico, the National Center for Disaster Prevention (CENAPRED) collects information from the public and private sector and estimates the cost of damages due to natural and human‐induced hazards, including those associated with hydrometeorological events.
In the period 2000–2015, damages from hydrometeorological phenomena have represented between 60 and 99% of total damages and losses at national level due to natural and socio‐organizational events. Particularly noteworthy is the scale of the damages due to hydrometeorological phenomena in 2010, which amounts to approximately $4100 million, Figure 5.
Cost of flood damage due to hydrometerological phenomena (mdd). Data Source: García et al., [7].
In order to mitigate the risk of flooding in more than 639,000 km of rivers, a large number of flood control works have been built. In Mexico, there are more than 5000 km of compacted clay (in some cases sand) levees to protect population centres, industrial and agricultural areas against overflowing. When the flood plain conditions allows it, permanent diversion works are constructed, including relief channels for diverting excess flow into the sea, a lake or another stream. In places where there are large capacity channels for irrigation, they have been used for diverting [21].
In some cases when the neighbourhood of watercourses is lower, it is feasible to use them for flood retention even though this land is intended for livestock farming and agriculture; this option has been chosen as long as the damage is less than what would occur in protected regions. Another measure for flood control is to restore river conditions to recover the capacity of transport and suppressing of meanders [21].
River canalisation and piping of streams have caused problems in urban areas; however, in many instances, this kind of measures is necessary. Nevertheless, due to their size, dams offer greater protection; furthermore, they may have multiple purposes such as water diversion, water supply of urban areas, irrigation and power generation. It is worth mentioning that some are built for the sole purpose of flood protection. In Mexico, dams for flood and siltation control have been built to complement flood control actions. There are 810 large dams (classification of the International Commission of Large Dams); a total of 5700 have been inventoried and it has been estimated to be of the order of 8000 small dams and borders that remain unrecorded [4].
In Mexico, 54% of the dams are earth or rock fill dams, the second type in terms of the quantity is gravity section with 21%, followed by the buttresses representing only 5%, Figure 6. The highest dam is Chicoasén Dam, which belongs to the Grijalva Hydroelectric System with 261 meters high, whereas the longest one is Falcon Dam, located between the U.S. state of Texas and the Mexican state of Tamaulipas, with 8014 meters length, although there are longer levees for flood protection in the city of Villahermosa, Tabasco.
Types of dams in Mexico.
As previously outlined, since pre‐Hispanic times Mexico has suffered from floods and has built infrastructure to deal with them; however, these solutions have generally been reactive and scattered actions. It is from the 1990s when comprehensive flood control programs have been defined such as those implemented in the state of Tabasco.
Later in 2014, the National Program against Hydraulic Contingencies was implemented, characterized by a preventive nature rather than reactive and promoting a coordinated participation of the governmental institutions responsible for flood management as well as the involvement of civil society.
The program is based on Integrated Flood Management and considers the hydrological basin and risk management, besides the adoption of the best possible combination of political, administrative, financial and physical strategies and a participatory approach.
A typical weak point in this type of programs is the uncertainty associated to the hydrometeorological information, and especially to climatic projections in Mexico, it is therefore required to:
Prioritize the maintenance of hydrometeorological monitoring network.
Have a national database of validated meteorological and hydrometric data.
Generate scenarios and disseminate them in support of public awareness about flood hazard and risk.
Develop the capacity of the institutions and implement technology focused on solving the national flood problem.
Build resilience and sustainability in cities, both focused on delivering short‐, medium‐ and long‐term results, designing strategies and implementing actions to maintain essential activities and services during and immediately after a disaster without jeopardizing the availability of resources for future generations.
There are several institutions that have developed flood control technology, including IMTA, a decentralized public agency focused on solving national and regional problems associated with water resource management through research and technological developments.
Since 1986, IMTA has carried out projects in all the hydrological regions of Mexico, many of which are requested by one or more of the three levels of government and in other cases by non‐governmental organizations, educational institutions or private companies.
Some of the projects developed by IMTA focused on flood risk management are as follows:
Methodology for flood maps generation: a two‐dimensional hydrological model, which allowed to visualize flow depth and velocity, was used to define levels of hazard, vulnerability and risk; it helped to optimize structural and non‐structural measures as proposed.
Flow characterization in urban areas: flood risk analysis in urban areas considered existing storm drainage infrastructure and runoff in streets by hydrologic and hydraulic modelling.
Hydrological modelling: it was applied in hydrological forecasting systems for 24, 48 and 72 h that allowed to identify potential flood events and implementing timely measures to minimize damages and losses.
Two‐dimensional modelling using MDE (from LIDAR or Mexican Elevation Continuous Database CEM): IMTA has a collection of satellite and cartographic information from all over the country. Among its applications, there is a Flood Event Damage Estimation Module that assesses the damage for each MDE pixel.
Floods in Mexico lead to high losses due to the vulnerability and exposure of the population, rather than the extension of areas which are susceptible to flooding. Despite severe floods records in several regions of the country, their impact is communally underestimated.
Hydrometeorological monitoring and hydraulic modelling allow to predict the occurrence of floods and estimate the risk for a population centre and then design appropriate precautionary and control measures before the disaster occurs. However, particular attention should be given to the improvement of monitoring networks through maintenance, calibration and replacement, as well as the establishment of training and updating programs for stakeholders in flood management.
A global approach to water resources management should enable the identification of the causes, return period, extension of affected region and expected flood damage; the actual and potential effect of urbanization, as well as the planning, installation and implementation of structural and non‐structural measures required for its control.
Among the non‐structural measures is the implementation of a flood early warning system, the relocation of vulnerable and exposed buildings, the monitoring of changes in the watershed related to flood risk and the environmental effects of flood mitigation measures. Furthermore, inter‐agency coordination is imperative to achieve adequate legislation.
The involvement of science, innovation and research in the design of flood control measures is essential to propose an effective combination of structural and non‐structural measures; still the particular conditions of each case and weaknesses should be carefully considered, there is not yet an overall strategy.
The dissemination of flood risks and their impact, as well as the necessary actions for their management and positive Results, between civil society and authorities, is recommended. One of the main reasons is the tendency to underestimate the magnitude of flood risk and not to consider it as a priority when it comes to allocation of resources.
Learning‐based flood control and management measures designed to withstand flooding are part of building urban resilience, which is a necessity in the face of the unplanned urban growth proliferation, since this leads to an increase in social vulnerability, exposure and greater losses in case of disaster.
The basic idea that heat is a form of energy that flows from one point to another as a result of difference in temperatures though governed by the laws of thermodynamics suggests that it can take a pattern of distribution in space according to the medium it travels through. Going through the space by way of transfer and interacting with the bodies it comes in contact with is a function of the phase and provided that there is no such change in phase, the heat required to raise the temperature of a mass of a building element (m) by a temperature (T) is associated by Eq. (1):
\nwhere m = mass of building element; t = temperature of building element.
\nAt the point of temperature, increase Eq. (2) heat is absorbed or evolved when there is a phase change such that:
\nOn the contrary, the absorption or evolution of heat causes heat loss to its surrounding, such that a reversal process of that nature makes heat to be loss at a certain rate with a typical building space. The rate of such heat loss brings about the cooling of the environment or space which is proportional to the excess temperature of the building space over the external temperature of its surroundings based on forced convection when the excess temperature is small.
\nWithin a building space, heat is distributed or transferred by three fundamental methods which names are:
\nThis method of heat distribution or transfer in building spaces is a resultant effect of kinetic energy transfers at molecular level in any of the three states of matter (solids, liquids and gases). Conduction method of heat distribution or transfer in buildings is naturally validated to flow in the direction of tapering temperature. Such conductive behavior of heat loss in buildings is attractively noticeable in opaque walls during the winter [1]. There are experimental agreements between thermal and electrical conduction pattern in solids. The earliest formal knowledge of heat conduction law through a medium of either solid, liquid or gas was idealized by Joseph Fourier who postulated the law of heat conduction transfer method in the early part of the nineteenth century [2]. We take a congruency of how heat is conveyed through building elements (materials) or its space to be analogous to heat conduction in the building. Firstly, Fourier stated based on experimental verification for a steady conduction that the rate of heat transfer in any medium (inclusive of building elements) by conduction Q is proportional to the temperature difference and the heat flow area impacted by the heat in such a way that the heat conduction rate Q is inversely proportional to the distance through which the conduction traveled [1, 2]. Clearly in mathematical expression Eq. (3), Fourier meant that
\nwith K = thermal conductivity of the materials (W/(m.k)); A = area through which heat flow occurred; and \n
The minus sing indicating a flow from higher point to a lower point. For a recourse to building walls made of brick, block, fiber, paneled steel with known wall thickness, conductivity of heat from outer skin to inner skin can be estimated by:
\nwith k = thermal conductivity (W/(m.k)); T1 = outer/higher temperature; T2 = inner/lower temperature; A = area through which conduction flowed; and \n
The property of heat causing the differential between outer and inner temperature value is occasioned by the material’s resistance to heat which is obtained when the above expression is having the conductivity (k) related to the area (A) as Eq. (5):
\nIn practice, the term is commonly referred to as R-value such that Eq. (6)
\nAnother pseudo form of measuring thermal conductance in materials is the U-value which is expressed as the reciprocal of the R value:
\nThe possibility that a building wall is layered with different materials and different geometries suggests that Fourier laws cannot be restricted to single layer with uniform thermal resistance [1]. HVAC systems carries different insulating and piping materials which calls for Eq. (8) cylindrical examination of Fourier law of steady heat conduction in cylindrical coordinates [3]. Under such consideration,
\nwith ri = outer radius; ro = inner radius; L = pipe length; and K = thermal conductivity.
\nAs a general rule, to the effect of other geometries, a shape factor (S) is introduced Eq. (9) to accommodate any derived shape for the measurement of heat loss of pipes in buried walls conveying hot fluid as:
\nUsually shape factors are derivatives of components meant in design to restrain losses which are either isothermal cylinder Eq. (10) with S-value of
\nwhere L \n
There can also be conduction between two isothermal cylinder Eq. (13) buried in infinite medium with S-value of
\nIt can also take the form of conduction through two composite rectangular plane sections with edge section of two adjoining walls having combined k-value and inner/outer surface uniform temperatures S-value of Eq. (14)
\nUnlike heat conduction where the transference of heat is through a body (solid) without visible motion of any part of the body to the naked eyes, convention is a method of heat transfer in fluid by the movement of the fluid itself [4]. Heat convention primarily takes two forms:
Natural (or free) heat convention is when the motion of the fluid is due solely to the presence of the hot body in it giving rise to temperature with a resultant mediums’ density gradient causing the fluid to move under the control or restriction of gravity.
Forced heat convention is a process where heat is transferred with relative motion between the hot body and the fluid maintained by some external agency such as draught, making the relative velocity to contribute to the gravity current negligibly.
Free convention particularly results in density differences in the fluid, occasioned by contact with the surface originating the heat transfer [5]. Free conventions are evident in gentle air circulation in rooms due to solar-warmed windows or walls. On the other hand, forced convention occurs from the effect of an external force. Beside gravity to the problem, fluid moves past a warmer or cooler surface in obedience to Newton’s laws of cooling. Under the two considerations, fluid velocities in free convention are considerably lower than fluid velocities in forced convention. Efficiency of heat transferred is a direct consequence of greater mechanical energy consumed in forced flow situation [1, 2]. Forced convention is seen applicable in the heat transfer process from heating and cooling coils. Convention is majorly responsible for cooling of buildings making it a common mode of heat transfers in buildings (Tables 1, 2, 3).
\nThermal conductivity of common building materials (a, b, c).
Diffusivity of common building materials (a, b).
Radiation on surfaces (a, b).
As a fall out of Newton’s law of cooling which simply states that the rate at which heat is transferred by convention is proportional to the temperature difference and the heat transfer area. Mathematically, Newton by the law Eq. (15) is expressed as:
\nwith \n
The best theoretical approach for analyzing heat convention is attained by parameters of dimensional analysis using mass, length, time and temperature as focal dimensions Eq. (16). For dynamically similar bodies, natural convention is measured by
\nThis expression contains three dimensionless groups which include the Nusselt number \n
Since it is a forced convention, this expression omits the free component (Grashof) and introduces the Reynolds number to the expression \n
A corresponding derivation for R value and thermal resistance exists for convention methods of transfer that serves for both forced and free conventions Eq. (18) as
\nResistance to thermal effusion under convention with Rth value and the associated U-value are given by Eqs. (20) and (21)
\nHeat flows outside of buildings have been a source of heating in the inside of buildings. It is well a good preemptive move to determine heat flows outside of buildings which naturally contributes to the heating in the entire building envelope [1, 3, 5]. Most external heat flows in buildings with forced convention flows are usually regarded as turbulent, but usually again take the form of laminar or turbulent flow when the convention currents are free [1, 2, 3]. Keeping units of measurements in SI units, there are experimental proofs that with air temperature between 19 and 21°C for interior walls and window surfaces having confluence, with exterior surfaces, laminar free convention of air from internal surfaces is given as Eq. (22)
\nwherein \n
If L3 \n
For horizontal members’ particularly horizontal pipes and cylindrical members in air, laminar free flow convention is estimated from Eq. (24)
\nwith D as the cylinder’s outer diameter. Both turbulent and laminar flows have the same standards for test and measurement with those of tilted members and an adjustment for L with D. Notwithstanding, building elements with cylindrical components in air have their turbulent free flow convention computed from Eq. (25)
\nHowever, structural members or surfaces say flat roots having complete 100% exposure horizontally to solar warming without recourse to solar angle have their laminar free flow convention coefficient estimated from Eq. (26)
\nwith L as the average uniform length of the horizontal surface. The flow condition for the above expression is also true for humid or cold surfaces in reversed contact with the sun as obtainable in the surface of a plane skylight in roof tops. Warm surfaces in direct exposure with solar light have their turbulent free convection coefficient computed from Eq. (27) turbulent flow as
\nwarmed surfaces not having direct surface exposures have their laminar convection coefficient reduced owing to stable stratification condition.
\nThis is the process whereby radiant heat energy is transferred from one point to another. It belongs to the class of electromagnetic spectrum between higher and radio waves with a range of wavelength between 740 and 0.3 mm approximately [1, 5]. Heat radiations been electromagnetic in nature are originated by thermal movement of particles in matter. At temperatures higher than absolute zero, all matter sends out thermal radiation. The dynamical behavior or movements of particles results in charge acceleration that produces electromagnetic radiation. Thermal emitting bodies at any temperature consist of a wide range of frequencies [3]. Most radiating bodies have dominant frequencies which shift to higher frequencies as the temperature of the source increases. In most thermal radiation situations, the total amount of radiation for all frequencies increases sharply as the temperature rises at a rate of T4, with ‘T’ as the absolute temperature of the body [6, 7]. Consequently, the rate of the electromagnetic radiation emitted at a certain frequency is proportional to the amount of absorption that it would experience by the source [3, 6]. Estimation of heat transferred by radiation is called net radiative heat transfer, which is the heat transferred from one surface to another, been the heat leaving the first surface for the other and subtracting the heat arriving from the second surface.
\nFor radiating black bodies, the radiation rate from Surface A to Surface B is given in Eq. (28):
\nwhere A is surface area, \n
Since the two surfaces exchange their heat loses, the reciprocity rule holds for the view factors as \n
As a departure for black bodies, two gray surfaces retaining an enclosure have their heat transfer rate given in Eq. (29):
\nwhere ϵ1 and ϵ2 are the emissivity of the surfaces and any \n
Theoretically, the Stefan-Boltzmann law as stated in Eq. 28 above governs radiation emission of a blackbody (ideal radiator). Besides the emissivity of materials, other indices used for computing the rate of radiation heat transfer from surfaces includes absorptivity (α), transmissivity (τ) and reflectivity (ρ) [3, 5, 8]. All radiating surfaces have these three properties Eq. (30) related by the law of conservation of energy as:
\nHowever, this relation depends on the nature of the wave-length been radiated which is verifiably true for single wavelengths and gray surfaces. For wavelengths whose range are over the three properties are calculated as same.
\nTemperature absorption questions through building elements with dark boundaries have been given extensive analysis in the works of [7] by integro-differential means in Eq. (31)
\nNoting the boundary condition to be
\nwhereas, [7] showed estimation of the absorbed heat with dimensionless temperature value which has equally been shown to be of value expressed in Eq. (32)
\nAnnotated by Eq. (33)
\nIn near real life situation, determination of temperature profiles in buildings have not been successful with closed-form solutions but with numerical methods Eq. (34) to obtain the total building heat flux through its elements as
\nThe radiative and conductive fluxes are closely outlined by the terms of Eq. 34 in such a way that the first two terms of Eq. 34 are suggestive of conductive flux, while the last three terms are radiative [8, 9]. Upon the combination of both integrals, Eq. 34 becomes Eq. (35)
\nwith such algebraic treatment, Eq. 33 can as well be treated with integral calculus to give Eq. (36)
\nBy securitizing Eq. 36, the steep behavior or temperature gradient of the absorption can be inferred from the dimensionless gradient (β) which satisfies the Schwartz inequality in Eq. (37)
\nIn recent times, many simulation techniques have been developed to determine temperature profiles and heat fluxes in building, but many of which are interactive in nature.
\nThis brings us to the absorptivity and emissivity of gray surfaces which under the Kirchoff’s identify are equal, been
\nEven for non-gray surfaces at a stipulated wavelength, drawing a clue from [5] experiment that the mean free path of a photon (\n
This is premised on the notion that the radiant heat flux is not tempered by the material and provided the conductive radiative mechanisms are not acting with each other, the building element will experience a total heat flux Eq. (38) equal to
\nwhere qt = total heat flux; qr = radiative heat flux; qc = conductive heat flux—by Fourier Law.
\nSuch that planar elements with thickness L, having uniform properties and unidirectional steady state heat flow have their values computed from Eq. (39)
\nAnd radiant heat flux with two infinite parallel plates with temperatures at T1, and having T2 and emissivites \n
with reference to Eq. (38), qt and by substitution, reduces to Eqs. (41) and (42)
\nSince ϵ1 = ϵ2 = 1 for black plates, qt becomes
\nBesides [5] investigation for the optically thin limit case, the limiting case for the optical thickness limit was investigated by [10] for elements that are large compared to the mean free path of the photon causing the radiation, giving rise to conductive heat transfer process. By experiment, from [10]
\nSo that radiant heat flux arising from radiant energy Eq. (43) becomes
\nAnd by combining the conductive and radiative heat transfers of the element, the total heat flux for the building element at a steady state for uni-directional heat flow as Eq. (44) becomes
\nwhere kr = radiative conductivity of a gray medium \n
With this totality conduction, apparent thermal conductivity is obtained by the relationship
\nWith particular reference to the thickness (L) of the material, the conductivity through the optical element at constant temperatures of the plate as Eq. (45) becomes:
\nExperiments have shown that the upper limit of the apparent thermal conductivity of the material greatly depends on the absorption coefficient of the material’s thickness and extreme absorption coefficients. With these two conditions, kapp becomes Eq. (46)
\nDiscussing conductivity and heat radiation of building elements with respect to the element’s thickness as it affects the apparent thermal properties of insulation has its credit due to [8]. The basic concept of [8] idea is that by the very nature of insulation, conduction and radiation does not occur and their individual heat fluxes are sums. Going by [8] theorem, at heat radiation equilibrium, radiant heat flux between two infinite parallel plates separated by a di-heat gray material or medium at temperatures T1 and T2 as given in Eq. (47)
\nAs stated in heat transfer literature, several methods exist for treating the effect of thickness on apparent thermal properties of insulation. But exact solution is found in the approach of [9] with the condition that T°\n
where γ = 1.4209.
\nAppropriate approximation to this problem is found in the exponential-kernel as
\nWhile that of [8] is consistent with the exponential-kernel approximation, Rennex only introduced a factor in the approximation value of Eq. (48) by proposing that
\nFactor = 1 + 0.0657 tanh (27°) while addressing the [9] Q-value estimation. A further theory on the effect of elements thickness on the apparent thermal conductivity with the assumption that radiative and conductive heat fluxes do not interact and premised on the computation that total heat flux is equal to the sum of the individual fluxes, [8] obtained the value of Kapp by substitutions in Eq. (49)
\nDue to Rennex, Eq. (50) we have
\nProvided \n
Thickness has its effects on the conductivity of building elements demands [9, 10]. On the whole, optical thickness of elements increases the materials thermal conductivity by asymptotic expansion which tends to a limiting value in such a way that apparent thermal resistance has a linear dependence on element’s thickness as the element’s thickness approaches infinity. In the same vein, apparent thermal resistivity of the element is equal to the apparent thermal resistance divided by the elements thickness [6, 9, 10].
\nBuilding energy analysis in the twenty first century is becoming a prerequisite for building comfort design and its universal acceptability as a practice is not unconnected to energy crises with the advent of increased global warming. Consequently building energy analysis is required right from the project conceptual/scheme design stage to accommodate the integration of options and alternatives towards maximizing energy uses (see Figures 1, 2, 3, 4, 5) [1, 11]. This practice has some economic consideration with recourse to profit maximization of the project. In Europe, scheme designs must accommodate energy analysis report as a statutory requirement for building development by authorities with respect to various legislation backing it up [11]. Before now, building energy analysis is time consuming for experts, but in recent scheme development such arduous process have been responded to with Building Information Model (BIM) energy appraisals with the attendant aim of gaining project time and cost savings. Issues of time and cost in construction projects are economic indices of estimating project success and performance with varying degrees of their weights in a project. Most times, both variables are often contesting like lunar eclipse to avoid project escalations. The use of BIM in building energy analysis, strongly assist experts in avoiding complicated laborious calculations. Most common tool which software based in evaluating or analyzing building analysis are AUTODESK ECOTECT™, AUTODESK Green Building Studio™ Integrated Environment Solutions (IES) Virtual Environment and Revit™ [11].
\nResidential building Revit model (kind permission from Jangalve et al. [3]).
Energy model of residential building.
Monthly cooling load.
Monthly heating load.
Annual wind rose (speed distribution) monthly fuel consumption.
To a large extent, energy uses and building performance largely depends on the envelop properties of the building since it attempts to balance energy transfer process between the internal and external environment. If properly handled after the scheme designs and documents are approved, energy analysis of the building envelope will give a clear cut direction for optimization and systems sizing towards energy efficiency and thermal comfort [3, 11]. Such building energy analysis distributes energy performances based on calculations from data.
\nThe idea behind building energy analysis is to economically allocate annual energy budgets, economic optimization of energy, evaluating complicate with statutory energy standards and assessment of alternative components, systems and subsystems designs (see Figures 3 and 4). Notwithstanding the benefits of building energy analysis, there are normative issues bothering on guidelines and standards required in carrying out this processes as required by the European Union building energy performance guidelines who stipulated the methodology for carrying out building energy performance calculations [3]. The methodology requires a comprehensive analysis on heating installations, air-conditioning installation, positioning and orientation of building, natural ventilation, internal climate conditions, passive solar systems and solar protection, thermal characteristics of the building, Built-in lightning installation. It is often required that energy audit is conducted at post occupancy stage with the aim of addressing the deficits between initial design values to actual values at occupancy [3, 11, 12].
\nThere are legislations amongst European nations addressing issues that are intrinsically related to ethical standards and practices. With reference to the above legislation, building energy analysis must as a matter of uniformity of practice, accommodate the following input data as requisite of an energy analysis process. These includes, utility rates, weather data, building orientation, thermal properties of building elements, building geometry and anthropometrics, building orientation in space, building energy load, and heating, ventilation and air-conditioning system [11, 12, 13].
\nThe process of energy analysis runs building performance simulations with the aim of optimizing energy efficiency and too promotes carbon zeroing estimated in initial design stage (see Figures 4 and 5). The economics of this process is well validated in its time and cost effectiveness in achieving high performance buildings. The general procedure for building energy analysis using AUTODESK Revit™ as copiously stated by Jangalve et al. [3] is that
Input BIM data for analysis
Project information
Energy settings
Materials
Input rooms/spaces/zones
Define space limits
Define analysis information
Reports
Schedule data
Details
Run heating and cooling load analysis
Export to gbxml for Autodesk GBS
Run or perform energy simulation
A typical output of building energy analysis illustrated in Jangalve et al., is shown in the accompanying graphical illustration in terms of CO2 emission within the building arising from energy consumption (see Figures 3 and 4).
\nIn all, the use of energy simulation software to do analysis of building energy analysis is econometrically efficient in reporting the above listed evaluation outcome supports designers in actualizing building envelope properties and building energy requirements (Figures 6 and 7).
\n\nAnnual wind rose (frequency distribution) annual wind rose and humidity.
Monthly fuel consumption.
Attempts towards optimizing energy use in buildings stems from building energy analysis which in itself have been discussed extensively in previous section (Figures 1, Figures 2, Figures 3, Figures 4, Figures 5, Figures 6, Figures 7, Figures 8). Now for the possible of energy improvements, savings and optimization in a building which has its toot in building energy audit as a process requires the adaptation of agreeable and validated reference climates and energy simulation procedures [13, 14]. Such procedures look out for priority of energy uses in buildings. Energy audit as tool is used to benchmark where and how energy is being used in buildings. This is done by intensifying opportunities and providing solutions towards energy savings and economic cost too. Principal to this solution is energy data management suitable or compactable with appropriate energy saving technologies. It may also be in the form of structural improvements and systems modernization towards conservation of energy. In the process of energy auditing, the unified Lider Calener tool becomes indispensable to the process of auditing since it processing of results outcome allows for alternative response priorities to be earmarked [11, 15]. In economic sense, this process will serve as a guideline to developers and energy managers in taking decisions towards necessary reforms that will lead to substantial savings and enhanced payback period. In construction economics, the idea of conducting energy audit so as to save substantially ion energy is gaining sufficient space in construction literature and amongst developers, since the tool presents them the opportunity of making decisions on savings on energy consumption pattern with respect to economic indices of payback terms of the property investment [4]. The energy audit process seeks to advance and canvass improvement in the extent to which an energy budget is used for the intended purpose and cultivate energy savings towards offsetting greenhouse gas emission. It is important that energy auditing on the thermal properties of building envelopes should as a matter of economic science be conducted to give a closer direction of energy use to bring about decision bothering on the reasonability of a proposed investment [3, 15].
\nAnnual wind rose and humidity.
In as much as thermal comfort is important for occupants and must be paramount in design considerations, investors are usually worried about the cost implication of such design been incorporate to meeting occupants satisfaction, yet must be comparatively admissible to be economically worthy to invest in. In the auditing process, thermal properties within the building envelope are assessed to ascertain the losses and gains that occur using the unified Lider Calener tool towards selecting the building element that will result to improved energy savings [16]. The decision to invest as an economic yardstick is to some extent dependent on the energy audit outcome which as a matter of necessity must take into cognizance the auditing method by considering time, speed, technical know-how, cost, sensitivity, accuracy, reproductively and ease of use. It is well articulated in building energy literature that buildings consume nearly one-third of the energy used in the United States [17]. This is not different if not more in most European nations. The operational cost of most buildings consequently absorbs at least 30% of operating cost. With this hindsight in the mind of developers, a constructability balance between economic gain and occupants comfort hangs on a balance that requires an economic assessment of cost-benefit appraisal by energy auditing. Particularly, building energy audit tends to reduce greenhouse gas emission and air pollution if properly done. It also addresses the air quality, lighting quality and occupants’ satisfaction. It significantly lower electrical, natural gas, steam, water and sewer cost on the long run [13, 15]. Therefore, it becomes absolutely imperative that a knowledge bank of energy footprint of cities is established so as to identify the gaps of opportunities to savings in energy use and costs. The footprint repository will provide the necessary guidance for investors to making cost-benefit decisions, for the now and in the near future on energy saving alternatives and strategies [11, 13, 16].
\nBefore 2002, energy audit in the construction industry was not popular as what was available that somewhat looks like it was the European Union directive on energy efficiency of buildings, which was the 2002/91/EC, European Directive. In a later amendment of that document which was the 2006/32/EC, item 18 of the explanatory note mandates all member states to guarantee the availability of energy audit as statutory requirement and obligations in building construction projects. Subsequently in 2010 in 2010/31/EU specified the issuance of certificate of energy audit to the property owner as a mark of building’s energy efficiency certification. Further to the provision of the 2010 document, the 2012 version made it obligatory and a routine of every 4 years activity for large companies with the attendant energy savings obtained in the period under review and to be inclusive of non-SME not later than December of 2015. In addition to the provisions of those directives, it stipulates that energy audit must show detailed calculation and proposed measure by furnishing clear information towards mitigating potential losses [11, 13, 15]. Since a rightly performed energy audit spells out the value of gain or loss at each energy point over a certain period, it will in time to come become a fundamental tool or document for showing compliance when energy intervention measures in a building that may lead to certain levels off savings in energy consumptions and reducing CO2 emissions into the atmosphere are proposed. The efforts emanating from the accompanying legislations above are efforts geared towards minimizing non-renewable primary energy. Windows in buildings have been reported to be great sources of about 20–40% cause of energy losses in buildings, such that it must be taken into account when proposing energy-saving measures. Response measures towards the inhibition of energy uses via condensations must be considered from the view of avoiding a later investigation that could hamper the smooth running of thermal envelop elements [12, 15].
\nAccording to the New Jersey Energy Audit Guidance, there are three types of building energy audit which exists, namely
1. Computer simulation audit
This method is used to predict building systems performance taking external factors like weather into consideration. It is suitable for complicated buildings systems and facilities.
2. Walk-through audit
This method of building audit uses visual inspection of a building’s energy system and review of its energy data usage. It is a further referenced by way of comparison to industry’s normative average. This form of auditing determines if a further comprehensive audit is required. It is at best informative.
3. Standard audit
This method of building auditing is used to assess all equipment and the associated operational systems and generate more elaborate calculations of energy use. It primarily identifies areas of potential technical improvements and makes recommendations based on their projected energy and cost savings.
\nA typical energy audit procedure is enumerated hereunder.
Collection of building data.
Introduction of technical data into the HULC simulation program.
Energy simulation of the building in its current state.
Quantification of losses and gains through the different elements of the thermal envelop.
Pre-selection of action measures based on the previous results.
Simulation of possible refurbishments.
Quantification of savings in each of the refurbishments proposed.
Economic calculation and calculation of paybacks.
Selection of final measures, based on the previous results.
Though the procedure is not limited to the arrangement stated above since it varies from practice to practice and from country to country, most European nations now have legislation and practice procedure. In Spain, for example, the Ministry of Development and the Ministry of Industry, Energy and Tourism freely issues the Unified Tool Lider Calener energy audit simulation program to practitioners to comply with national regulatory framework on energy performance of buildings for the purpose of energy certification. Typically, energy audit process is shown in the flow chart below:
\n\n
Energy audit flow chart
\nSource: South African Energy Department.
\nAccording to South African Energy Department, the key steps in the energy audit, after the initial client meetings and historical data analysis,
1. Conduct a walk-through inspection—to assess the general level of repair, housekeeping, and operational practices that have a bearing on energy efficiency, and to flag situations that have merit for further assessment as the audit is implemented, walk-through inspections will also be carried out to verify the findings of other analysis steps, as indicated in the flow chart;
2. Analyze energy consumption and costs—collect, organize, summarize and analyze historical energy billings and the tariffs that apply to them;
3. Compare energy performance—determine energy use indices and compare them internally from one period to another, one facility to a similar one within your portfolio, one system to a similar one; or externally to measures of good practice within your industry;
4. Establish the audit mandate—secure commitment from management and define expectations and outcomes of the detailed audit;
5. Establish the audit scope—define the energy consuming system to be audited.
6. Profile energy use patterns—determine the time relationships of energy use, as in the electricity demand profile;
7. Inventory energy use—prepare a list of all energy consuming loads in the audit area, and quantify their consumption and demand characteristics;
8. Identify energy management opportunities—including operational and technological measures to reduce energy waste.
9. Assess the benefits—quantify the level of energy and cost savings, along with any co-benefits.
10. Report for action—report the audit findings and communicate as required for implementation.
Each step involves a number of tasks that are described in the following sections. As suggested by the flow chart, several of the steps may result in the identification of potential EMOs.
\nPatel [4] did an extensive investigation on this subject matter. Patel [4] work noted that the auditor of the completed project has to be very careful in carrying out the audit. He must follow some procedure so that full justice is done to the work. Some points related to the energy audit procedure are described below.
\nThe starting point for collecting post audit information is the project completion report. Energy audit generally compares the projected data with the accounting data collected through the regular MIS. The MIS needs to be geared up so that the projected cash flow from the original capital budget can be compared with the actual cash flows realized during the period elapsed before the energy audit of the project has started. Another point that needs to be kept in mind is that the auditor needs to collect total cost figures. Incremental cash flow figures are readily available for green-filled projects but it is not so easy for the projects in an existing plant. The data in the latter case need to be appropriately dealt with to arrive at the incremental cost figures due to [4].
\nCollected data or budgeted data should be recast before they are compared. The significant time gap and a host of factors, which were not considered at the budgeting stage, would warrant the recasting of data. For example, inflation should be adjusted before comparison is made. Sales mix difference due to external factors also should be taken into account. In the absence of adjustment for those “external” factors, the quality of audit would suffer. Inflation adjustment is subsequently into results.
\nThis is the next important step in the post completion audit procedure. There are four techniques available for the comparison of actual with the projected financial parameters. The comparison is the starting point from which the real audit begins. Only comparable data is compared. Adjustments are first done for inflation and external factors before comparison is carried out under any method. Methods described later on are not mutually exclusive. More than one method may be applied for comparison if there is such a requirement. A broad level ROI or NPV comparison can be done initially, followed by detailed cost variance or cash flow variance analysis. Comparison is a step-by-step approach so that causes are identified systematically with minimum cost, time and energy [4].
\nOnce the variance figures are calculated, if they are significant, the possible causes for the same are explored. An auditor goes by exceptions from there he tries to reach the root causes of deviations. This process of investigation can be effective only if an auditor possesses skills of inquisitiveness and skills of persuasion and negotiation [4]. A summary report of the energy audit findings should also be prepared.
\nOnce the causes are ascertained, the post completion auditor can give his recommendations based on which the manager may take decisions for cash flow forecasting to reinvest or abandon the ongoing project. Hopefully, after the post completion audit, the cash flow prediction and project evaluation become more accurate [4].
\nThere are three techniques of building energy audit economics, namely
Cost variance analysis,
Profit variance analysis
Cash flow and financial criteria analysis and
Present value depreciation technique.
In this method, only the project cost (actual and estimated) is studied and the revenue aspect is not included in the audit. This approach is adopted when the energy audit is conducted during the execution or just after the completion of the project.
\nCV [Earned Value (EV) − Actual Cost (AC)]
\nEV = % of worth completed x Budgeted cost
\nAC = what has been spent on the project
\nIn this method, plant-wise profit analysis is carried out by the auditor and the estimated gain adjusted with the inflationary effect is compared with actual. An important point to note here is that even if the aggregates of gains (realized and estimated) are the same there can be wide variations for individual projects, indicating the need for further investigations
\nThis method is developed around four schedules described below. These schedules can provide the management with the information it needs to find engineering, operational and administrative costing faults of past projects.
Profit variance analysis schedule: this schedule is prepared for the calculation of profit variance between projected and the actual project results. The information for the “projected” column is obtained from the approved capital expenditure request. The information for the “actual” column is obtained from regular accounting sources. Supplementary schedules are required to itemize and explain the basis of calculation of revenues, costs and expenses need to be given.
Cash flow and financial criteria variance analysis schedule: this is used to illustrate project cash flow and return variances between the projected and actual results. The approved capital expenditure request is again used to provide information for the “projected” column and regular accounting sources for the “actual” column.
Project cash flow schedule (projected and actual): these are used to show the projected and actual cash flows of the project. They illustrate the timing of cash flows to compute payback and to provide the net period cash flow information required for the IRR calculation. Each cash flow entry is made according to the time it was projected to be incurred or was actually incurred. The period cash flows are for individual quarters whereas the cumulative cash flows represent all cash flow for the project. The payback point is reached when the cumulative net cash flow equals zero.
Supplementary schedules: the supplementary schedules provide explanations for the significant variances.
Discounting factor technique give only a single value of the NPV which is for the whole life of the project. The IRR is the average return during the life. But at the time of conducting the energy audit, the major part of the project life is not completed. Then how can we compare the actual with the total net present value or average internal rate of return? A uniform annual series cannot be considered because it is an average figure and the project need not offer and NPV at a constant rate over its life. The concept of e present value of depreciation is used in some techniques for the calculation of the year-wise NPV and IRR. Present value depreciation is defined as the decline in the present value of the expected future cash flow during the year using the IRR as the discount rate. Two models, namely the IRR model and the NPV model, are suggested under the technique of present value depreciation in Eq. (51).
\nwhere CFt = cash flow in period t; K = discount rate; C = initial outlay
\nThere are numerous literatures that have dealt with this subject of building energy audit. This particular text emphasizes economic assessment moving from a theoretical review of the subject of building energy analysis with respect to thermal conditions of the building envelope. The process of obtaining data for building energy audit was spelt out from the review of prevalent building information modeling software which were analyzed to obtain actual and project energy loads. The point of divergence of the two measures were econometrically reviewed to ascertain financial control mechanism, providing information for future capital expenditure decision, impacts on proposals for capital investments.
\nI am indebted of thanks and gratitude to authors whose text materials were used to form the theoretical bedrock for economic analysis particularly of mention is the Kreider J.F. and Rabl A., Jangalve, A., Kamble, V., Gawandi, S., and Ramani, N. and Patel, B.M. I cannot thank them enough.
\nThis text has no conflict of interest declaration.
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