Building Thermal

Envelope
Edited by
Jorge de Brito and Maria da Glória Gomes
Printed Edition of the Special Issue Published in Energies

www.mdpi.com/journal/energies
Building Thermal Envelope
Building Thermal Envelope

Special Issue Editors

Jorge de Brito
M. Glória Gomes

MDPI • Basel • Beijing • Wuhan • Barcelona • Belgrade • Manchester • Tokyo • Cluj • Tianjin
Special Issue Editors
Jorge de Brito M. Glória Gomes
University of Lisbon University of Lisbon
Portugal Portugal

Editorial Office
MDPI
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4052 Basel, Switzerland

This is a reprint of articles from the Special Issue published online in the open access journal Energies
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Thermal Envelope).

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Contents

About the Special Issue Editors . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vii

Preface to ”Building Thermal Envelope” . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ix

Jorge de Brito and M. Glória Gomes

Special Issue “Building Thermal Envelope”
Reprinted from: Energies 2020, 13, 1061, doi:10.3390/en13051061 . . . . . . . . . . . . . . . . . . . 1

Seok-Hyun Kim, Hakgeun Jeong and Soo Cho

A Study on Changes of Window Thermal Performance by Analysis of Physical Test Results
in Korea
Reprinted from: Energies 2019, 12, 3822, doi:10.3390/en12203822 . . . . . . . . . . . . . . . . . . . 7

Jan Tywoniak, Vı́tězslav Calta, Kamil Staněk, Jiřı́ Novák and Lenka Maierová
The Application of Building Physics in the Design of Roof Windows
Reprinted from: Energies 2019, 12, 2300, doi:10.3390/en12122300 . . . . . . . . . . . . . . . . . . . 25

José D. Silvestre, André M. P. Castelo, José J. B. C. Silva, Jorge M. C. L. de Brito and

Manuel D. Pinheiro
Energy Retrofitting of a Buildings’ Envelope: Assessment of the Environmental, Economic and
Energy (3E) Performance of a Cork-Based Thermal Insulating Rendering Mortar
Reprinted from: Energies 2020, 13, 143, doi:10.3390/en13010143 . . . . . . . . . . . . . . . . . . . . 45

İdil Ayçam, Sevilay Akalp and Leyla Senem Görgülü

The Application of Courtyard and Settlement Layouts of the Traditional Diyarbakır Houses to
Contemporary Houses: A Case Study on the Analysis of Energy Performance
Reprinted from: Energies 2020, 13, 587, doi:10.3390/en13030587 . . . . . . . . . . . . . . . . . . . . 59

Sung-Chin Chung, Yi-Pin Lin, Chun Yang and Chi-Ming Lai

Natural Ventilation Effectiveness of Awning Windows in Restrooms in K-12 Public Schools
Reprinted from: Energies 2019, 12, 2414, doi:10.3390/en12122414 . . . . . . . . . . . . . . . . . . . 77

Paweł Krause and Artur Nowoświat

Experimental Studies Involving the Impact of Solar Radiation on the Properties of Expanded
Graphite Polystyrene
Reprinted from: Energies 2020, 13, 75, doi:10.3390/en13010075 . . . . . . . . . . . . . . . . . . . . 91

Tullio de Rubeis, Mirco Muttillo, Iole Nardi, Leonardo Pantoli, Vincenzo Stornelli and
Dario Ambrosini
Integrated Measuring and Control System for Thermal Analysis of Buildings Components in
Hot Box Experiments
Reprinted from: Energies 2019, 12, 2053, doi:10.3390/en12112053 . . . . . . . . . . . . . . . . . . . 109

Chia-Wang Yu, C. S. Huang, C. T. Tzeng and Chi-Ming Lai

Effects of the Aspect Ratio of a Rectangular Thermosyphon on Its Thermal Performance
Reprinted from: Energies 2019, 12, 4014, doi:10.3390/en12204014 . . . . . . . . . . . . . . . . . . . 131

C. S. Huang, Chia-Wang Yu, R. H. Chen, Chun-Ta Tzeng and Chi-Ming Lai

Experimental Observation of Natural Convection Heat Transfer Performance of a
Rectangular Thermosyphon
Reprinted from: Energies 2019, 12, 1702, doi:10.3390/en12091702 . . . . . . . . . . . . . . . . . . . 143

v
Doo Sung Choi and Myeong Jin Ko
Analysis of Convergence Characteristics of Average Method Regulated by ISO 9869-1 for
Evaluating In Situ Thermal Resistance and Thermal Transmittance of Opaque Exterior Walls
Reprinted from: Energies 2019, 12, 1989, doi:10.3390/en12101989 . . . . . . . . . . . . . . . . . . . 155

Xiaoliang Wang, Bo Lei, Haiquan Bi and Tao Yu

Study on the Thermal Performance of a Hybrid Heat Collecting Facade Used for Passive Solar
Buildings in Cold Region
Reprinted from: Energies 2019, 12, 1038, doi:10.3390/en12061038 . . . . . . . . . . . . . . . . . . . 173

Kaushik Biswas, Som Shrestha, Diana Hun and Jerald Atchley

Thermally Anisotropic Composites for Improving the Energy Efficiency of Building Envelopes †
Reprinted from: Energies 2019, 12, 3783, doi:10.3390/en12193783 . . . . . . . . . . . . . . . . . . . 195

Ziwen Liu, Qian Wang, Vincent J.L. Gan and Luke Peh
Envelope Thermal Performance Analysis Based on Building Information Model (BIM) Cloud
Platform— Proposed Green Mark Collaboration Environment
Reprinted from: Energies 2020, 13, 586, doi:10.3390/en13030586 . . . . . . . . . . . . . . . . . . . 211

vi
About the Special Issue Editors
Jorge de Brito (Full Professor) is a Full Professor of Civil Engineering in the Department of Civil
Engineering, Architecture and Georesources; former head of the CERIS Research Centre (2017–2018)
and director of the Eco-Construction and Rehabilitation Doctoral Programme at the Instituto Superior
Técnico (IST), University of Lisbon, Portugal, from which he graduated and obtained his MSc
and Ph.D. degrees. Although his research covers bridge management systems and construction
technology, his main research area is sustainable construction, with emphasis on the use of recycled
aggregates in concrete and mortar. He has participated in 25 competitively financed research projects
and supervised 50 Ph.D. and 180 MSc theses. He is the author of 7 books, 28 book chapters, and
550 papers in peer-reviewed international journals, and has two patents. He is the Editor-in-Chief
of the Journal of Building Engineering, an associate editor of the European Journal of Environmental
and Civil Engineering, and a member of the editorial board of 44 international journals and of the
following scientific/professional organisations: CIB, FIB, RILEM, IABMAS, and IABSE.
M. Glória Gomes (Assistant Professor) is an Assistant Professor of Civil Engineering in
the Department of Civil Engineering, Architecture and Georesources at the Instituto Superior
Técnico (IST), University of Lisbon, Portugal, from which she graduated and obtained her MSc
and Ph.D. degrees. She performs work in the field of Building Physics, namely, in natural
ventilation and the thermal and energy performance of buildings. Work in the area of the thermal
and energy performance of buildings focuses on the implementation of more sustainable and
energy-efficient materials and solutions such as thermal renders, nanomaterials, lightweight concrete,
GFRP sandwich panels, green roofs and walls, and innovative glazing systems and shading devices.
Most of those studies have a strong experimental background complemented with building energy
simulations. In total, she has published 39 papers in peer-reviewed international journals and over
70 conference papers and is a reviewer for several international journals. She has participated
in 13 successful research projects funded by Portuguese Fundação para a Ciência e Tecnologia
(FCT), National Innovation Agency (ANI), International Energy Agency (IEA), and the European
Commission. She has supervised 42 MSc students and 1 Ph.D. student to completion, and is currently
supervising 6 Ph.D. students.

vii
Preface to ”Building Thermal Envelope”
This book results from a Special Issue published in Energies, entitled “Building Thermal
Envelope”. Its intent is to identify emerging research areas within the field of building thermal
envelope solutions and contribute to the increased use of more energy-efficient solutions in new
and refurbished buildings. Its contents are organized in the following sections: Building envelope
materials and systems envisaging indoor comfort and energy efficiency; Building thermal and energy
modelling and simulation; Lab test procedures and methods of field measurement to assess the
performance of materials and building solutions; Smart materials and renewable energy in building
envelope; Adaptive and intelligent building envelope; and Integrated building envelope technologies
for high performance buildings and cities.

Jorge de Brito, M. Glória Gomes

Special Issue Editors

ix
 energies
Editorial
Special Issue “Building Thermal Envelope”
Jorge de Brito * and M. Glória Gomes *
CERIS, Department of Civil Engineering, Architecture and Georresources (DECivil), Instituto Superior Técnico,
Universidade de Lisboa, Av. Rovisco Pais, 1049-001 Lisbon, Portugal
* Correspondence: [email protected] (J.d.B.); [email protected] (M.G.G.)

Received: 24 February 2020; Accepted: 25 February 2020; Published: 28 February 2020

1. Introduction
The increasing requirements in building thermal and energy performance standards and the
need to design nearly zero-energy buildings, while still enhancing the indoor comfort conditions,
have led to a demand for more efficient thermal building envelope solutions. In fact, the effective
use of building thermal envelope, as a mediator between outdoors and indoors, plays a key role in
sustainable and energy efficient building design. Therefore, there is a need for continuous search
of innovative materials, construction solutions and technologies that manage the energy and mass
transfer between the building and the external environment taking into account not only the climatic
changes but also the user preferences. Knowledge concerning the performance of building thermal
envelope solutions and the existing design support tools, such as building performance simulation, is
crucial for stakeholders to make informed decisions with respect to the definition and implementation
of energy efficient strategies for new and refurbished buildings.
This Special Issue intends to provide an overview of the existing knowledge related with various
aspects of “Building Thermal Envelope” and contributions on, but not limited to, the following subjects
were encouraged: building envelope materials and systems envisaging indoor comfort and energy
efficiency; building thermal and energy modelling and simulation; lab test procedures and methods
of field measurement to assess the performance of materials and building solutions; smart materials
and renewable energy in building envelope; adaptive and intelligent building envelope; integrated
building envelope technologies for high performance buildings and cities.
So far, 13 papers have been published in the Special Issue of a total of 21 submitted. The next
sections provide a brief summary of each of the papers published.

2. Building Envelope Materials and Systems Envisaging Indoor Comfort and Energy Efficiency
Kim et al. [1] analyzed the thermal performance data of the windows provided by the Korea
Energy Agency and confirmed the change in the thermal performance of the windows by year and by
frame material. It was found that the average U-value of the window decreased significantly from 2012
to 2015, maintaining similar values until 2017, and decreased again in 2018. This study also confirmed
that the frame U-value of the PVC windows is lower than the frame U-value of the aluminum windows.
The results of U-value of the windows through actual physical experiments show that, in the case of
aluminum windows, the U-value corresponding to Grade 3 (1.4–2.1 W/m2 ·K) was as high as about
60%, whereas in PVC windows, Grade 3 (U-value of 1.4–2.1 W/m2 ·K) accounted for about 35%, and
Grade 2 (U-value of 1.0–1.4 W/m2 ·K) for about 29%. Moreover, a performance index of the glazing in
PVC and aluminum window design was proposed.
Tywoniak et al. [2] focused on roof windows in pitched roofs. Building physics methods were
used to support the design of new solutions for passive house level design, namely the avoidance of
the risk of frame surface water condensation under reference conditions in the interior. The results
of two-dimensional heat transfer calculations in the form of parametric studies are presented in
order to express the most important factors influencing thermal transmittance and minimum surface

Energies 2020, 13, 1061; doi:10.3390/en13051061 1 www.mdpi.com/journal/energies

Energies 2020, 13, 1061

temperatures. It was found that a combination of wood and hardened plastics in the window frame
and sash is the preferred solution. The resulting thermal transmittance can be up to twice as low
as usual (from 0.7 down to 0.5 W/(m2 ·K) and surface temperature requirements to avoid the risk of
condensation can be fulfilled. The effect of the slanting of the side lining was investigated by simulation
and measurement in a daylight laboratory. It was found that the increase in thermal coupling due to
slanting was negligible.
Another study was developed by Silvestre et al. [3] on the environmental, economic and energy
(3E) assessment of external wall energy retrofitting with a cork-based (as recycled lightweight aggregate)
thermal insulating rendering mortar (TIRM). The case study was a flat roof of an average building with
the most current characteristics used in Portugal. The energy and economic costs and savings, as well
as the environmental impacts, expressed with a declared unit of 1 m2 of an external wall for a 50-year
study period, were analytically modelled and compared for two main alternatives: the reference wall
without any intervention and the energetically rehabilitated solution with the application of TIRM.
They concluded that walls with improved energy performance (with TIRM) show lower economic and
environmental impacts, with reductions from 6% to 32% in carbon emissions, non-renewable energy
consumption and costs during the use stage. These results are dependent on the thickness and relative
place where TIRM layers are applied.

3. Building Thermal and Energy Modelling and Simulation

In their research, Ayçam et al. [4] performed a study on the specification of traditional architectural
parameters for houses in the hot-dry climatic region of Diyarbakır, Turkey. The courtyard types,
settlement patterns, and street texture of traditional Diyarbakır houses were modeled through
DesignBuilder energy simulation program for the case study of urban fabric of the traditional houses
in Historical Diyarbakir Suriçi-Old Town settlement and the Şilbe Mass Housing Area. Annual heating,
cooling, and total energy loads were calculated, and their thermal performances were compared.
The aim was to create a less energy-consuming and sustainable environment with the adaptation of
traditional building form-street texture to today’s housing sector. The development of a settlement
model, which is based on traditional houses’ bioclimatic design for a hot-dry region, was intended
to be applied in the modern housing sector of Turkey. The results showed that, adapting local and
traditional houses forms, urban texture, and settlement patterns to modern housing sector in Turkey
has significant potential for sustainable architecture and energy-efficient buildings.
A computational fluid dynamics (CFD) study was performed by Chung et al. [5] to assess the
effect of a different number of awning windows and their installation locations on the airflow patterns
and air contaminant distributions in restrooms in K-12 (for kindergarten to 12th grade) public schools
in Taiwan, for various wind speeds and directions. A representative restroom configuration with
dimensions of 10.65 m × 9.2 m × 3.2 m (height) was selected and based on the façade design feasibility,
seven possible awning window configurations were considered. The numerical results were compared
with the experimental results obtained in a reduced-scale model. The results indicate that an adequate
number of windows and appropriate installation locations are required to ensure the natural ventilation
effectiveness of awning windows. It was recommended, based on the modified odor removal efficiency
(ORE) results, that K-12 school restrooms should use window configuration W2 in their north walls
and that the opening angle should be set to 45◦ for all seasons.

4. Lab Test Procedures and Methods of Field Measurement to Assess the Performance of
Materials and Building Solutions
Krause and Nowoświat [6] carried out in situ tests and laboratory studies to evaluate the impact
of solar radiation on the behavior of expanded polystyrene with the addition of graphite. Temperature
distributions were determined in field and laboratory conditions were determined on the surfaces
of three types of panels: (A) two-layer polystyrene (gray bottom layer and white top layer); (B)
polystyrene with the addition of graphite (gray polystyrene); and (C) expanded polystyrene (EPS)

2
Energies 2020, 13, 1061

(white polystyrene). The distributions of temperature were recorded for different wind and solar
radiation conditions. Moreover, geometric changes and deformation levels of the panels exposed
to artificial sun radiation were determined in laboratory conditions. The panel entirely made of
polystyrene with the addition of graphite (panel B) demonstrated high sensitivity to external factors,
such as insolation and wind, whereas panels A and C are characterized by low sensitivity to solar
radiation. The composite panel (A-panel) proved to avoid many adverse effects of environmental
conditions compared to B-panels. The extent and nature of temperature changes on the external surface
of the panels depends on the area of impact and exposure time, while the extent of deformations is
also dependent on the method used to fix the panels to the ground.
An integrated measuring and control system for hot box experiments, based on a general-purpose
microcontroller and on a wireless sensors network was presented by de Rubeis et al. [7]. The results
of 72 h experiment on a double insulation X-lam wall revealed that the system was able to maintain
stable temperature set points inside the chambers and to log the temperatures measured by the 135
probes, allowing to know both the U-value of the sample (equal to 0.216 ± 0.01 W/m2 ·K) and the
thermal models of all the hot box components. The U-value experimentally obtained with the hot box
method was compared with the values gathered through theoretical calculation and heat flow meter
measurements, showing differences lower than 20%. Furthermore, the developed data post-processing
allowed creating 2D and 3D thermal models of specimen wall and chambers.

5. Smart Materials and Renewable Energy in Building Envelope

Yu et al. [8] experimentally investigated the effect of the aspect ratio (AR) of a rectangular
thermosiphon loop on its natural convection performance using boundary conditions of a constant
heat flux and a fixed wall temperature for the heating and cooling sections of the loop, respectively.
The experimental model consisted of a loop body with an inner diameter of 11 mm, a heating section,
a cooling section, located in the vertical portions of the rectangular loop, and adiabatic sections.
The analyzed aspect ratios were 6, 4.5, and 3.5 (with potential differences of 41, 27, and 18, respectively,
between the cold and hot ends), and the input thermal power ranged from 30 to 60 W (with a heat flux
of 600 to 3800 W/m2 ). The results showed that it was feasible to install a rectangular thermosiphon
inside a metal curtain wall to obtain solar heated water and that increasing the height of the opaque
part of the metal curtain wall could improve the heat transfer efficiency by increasing the aspect ratio
of the rectangular thermosiphon installed inside the wall.
Huang et al. [9] also presented an experimental study on the natural convection heat transfer
performance of a rectangular thermosiphon with an aspect ratio of 3.5 and an inner diameter of the
loop of 11 mm. Different heating powers, height differences between the heating and cooling ends,
and cold end temperatures were tested. The results show that the value of the dimensionless heat
transfer coefficient (Nusselt number), is generally between 5 and 10 and that the heating power is the
main factor affecting the natural convection intensity of the thermosiphon.
Another study carried out by Choi and Ko [10] analysed the convergence characteristics of the in
situ thermal transmittance (U-value) and thermal resistance (R-value) calculation of building envelopes
obtained from onsite measurements using the ISO 9869-1 average method. The criteria for determining
the average method convergence, namely the test duration, are very strict, and to shorten the test
duration, environmental variables should be kept constant throughout the test or an appropriate period
should be selected. The results indicate that the convergence of the in situ U-value and R-value is more
sensible to the length of the test duration than to the temperature difference. Moreover, no difference
was found between the use of the U-value and R-value in determining the end of the test.

6. Adaptive and Intelligent Building Envelope

A hybrid heat collecting facade (HHCF) that increases the indoor air temperature and reduces the
heating energy consumption was studied by Wang et al. [11]. A heat transfer model based on the heat
balance method, experimentally validated, was used to analyze the thermal performance of the HHCF.

3
Energies 2020, 13, 1061

Moreover, the energy saving potential of a room with the HHCF was evaluated. The results indicated
that the HHCF can reduce the heating need by 40.2% and 21.5% compared with the conventional
direct solar heat gain window and the Trombe wall, respectively. Furthermore, a parametric analysis
was performed and it was concluded that the thermal performance of the HHCF is mostly dependent
on the window operational schedule, the width and the absorptivity of heat collecting wall, and the
thermal performance of the inner double-glass window.

7. Integrated Building Envelope Technologies for High Performance Buildings and Cities
Biswas et al. [12] investigated the application of thermally anisotropic composites (TACs),
composed by alternate layers of rigid foam insulation and thin and high-conductivity aluminum
foil, for improving the energy efficiency of building envelopes. The TAC was coupled with copper
tubes with circulating water, which acted as a heat sink and source, and the system was applied to
a conventional wood-framed wall assembly. The energy benefits of the system were investigated
both experimentally and numerically. Large scale test wall specimens were built with and without
the TAC system and tested in an environmental chamber. Moreover, component-level and whole
building numerical simulations were performed under cooling-dominated and heating-dominated
climate conditions to investigate the energy benefits of applying the TAC system to the external walls
of a typical, single-family residential building. It was concluded that the TAC coupled with a heat
sink/source was shown to be more effective in reducing both cooling and heating loads and peak
cooling loads than foam insulation of the same thickness. TAC connected to copper tubes circulating
water were able to reduce cooling and heating loads by 86% and 63% compared to a baseline wall
with only cavity insulation. Simulation results showed that the TAC system is able to reduce the
cooling energy use by 11% under cooling-dominated climate and heating energy use by 21% in the
heating-dominated climate.
An investigation on the use of Building Information Modeling (BIM) to assess the sustainability
index of green buildings was performed by Liu et al. [13]. A cloud-based BIM platform was developed
to digitalize the Envelope Thermal Transfer Value (ETTV) calculation, which is one of the prerequisite
criteria to achieve a Green Mark score. The authors have validated the Envelope Thermal Transfer
Value (ETTV) calculation, by using the developed cloud-based BIM platform in three case studies in
Singapore. It was concluded that the proposed platform enhanced the productivity and accuracy of
ETTV calculation and facilitated parametric capabilities that promote change management. Moreover,
it allowed the relevant information to be shared and validated and project stakeholders to keep track
of the GM data generated throughout the design stage and project lifecycle.

Funding: This research received no external funding.

Acknowledgments: Thanks are due to all the authors and peer reviewers for their valuable contributions to this
Special Issue. The MDPI management and staff are also to be congratulated for their untiring editorial support for
the success of this project.
Conflicts of Interest: The authors declare no conflict of interest.

References
1. Kim, S.-H.; Jeong, H.; Cho, S. A Study on Changes of Window Thermal Performance by Analysis of Physical
Test Results in Korea. Energies 2019, 12, 3822. [CrossRef]
2. Tywoniak, J.; Calta, V.; Staněk, K.; Novák, J.; Maierová, L. The Application of Building Physics in the Design
of Roof Windows. Energies 2019, 12, 2300. [CrossRef]
3. Silvestre, J.D.; Castelo, A.M.P.; Silva, J.J.B.C.; de Brito, J.M.C.L.; Pinheiro, M.D. Energy Retrofitting of
a Buildings’ Envelope: Assessment of the Environmental, Economic and Energy (3E) Performance of a
Cork-Based Thermal Insulating Rendering Mortar. Energies 2020, 13, 143. [CrossRef]
4. Ayçam, İ.; Akalp, S.; Görgülü, L.S. The Application of Courtyard and Settlement Layouts of the Traditional
Diyarbakır Houses to Contemporary Houses: A Case Study on the Analysis of Energy Performance. Energies
2020, 13, 587.

4
Energies 2020, 13, 1061

5. Chung, S.-C.; Lin, Y.-P.; Yang, C.; Lai, C.-M. Natural Ventilation Effectiveness of Awning Windows in
Restrooms in K-12 Public Schools. Energies 2019, 12, 2414. [CrossRef]
6. Krause, P.; Nowoświat, A. Experimental Studies Involving the Impact of Solar Radiation on the Properties of
Expanded Graphite Polystyrene. Energies 2020, 13, 75. [CrossRef]
7. de Rubeis, T.; Muttillo, M.; Nardi, I.; Pantoli, L.; Stornelli, V.; Ambrosini, D. Integrated Measuring and
Control System for Thermal Analysis of Buildings Components in Hot Box Experiments. Energies 2019, 12,
2053. [CrossRef]
8. Yu, C.-W.; Huang, C.S.; Tzeng, C.T.; Lai, C.-M. Effects of the Aspect Ratio of a Rectangular Thermosyphon on
Its Thermal Performance. Energies 2019, 12, 4014. [CrossRef]
9. Huang, C.S.; Yu, C.-W.; Chen, R.H.; Tzeng, C.-T.; Lai, C.-M. Experimental Observation of Natural Convection
Heat Transfer Performance of a Rectangular Thermosyphon. Energies 2019, 12, 1702. [CrossRef]
10. Choi, D.S.; Ko, M.J. Analysis of Convergence Characteristics of Average Method Regulated by ISO 9869-1 for
Evaluating In Situ Thermal Resistance and Thermal Transmittance of Opaque Exterior Walls. Energies 2019,
12, 1989. [CrossRef]
11. Wang, X.; Lei, B.; Bi, H.; Yu, T. Study on the Thermal Performance of a Hybrid Heat Collecting Facade Used
for Passive Solar Buildings in Cold Region. Energies 2019, 12, 1038. [CrossRef]
12. Biswas, K.; Shrestha, S.; Hun, D.; Atchley, J. Thermally Anisotropic Composites for Improving the Energy
Efficiency of Building Envelopes. Energies 2019, 12, 3783. [CrossRef]
13. Liu, Z.; Wang, Q.; Gan, V.J.; Peh, L. Envelope Thermal Performance Analysis Based on Building Information
Model (BIM) Cloud Platform—Proposed Green Mark Collaboration Environment. Energies 2020, 13, 586.
[CrossRef]

© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

5
 energies
Article
A Study on Changes of Window Thermal Performance
by Analysis of Physical Test Results in Korea
Seok-Hyun Kim, Hakgeun Jeong and Soo Cho *
Energy ICT·ESS Laboratory, Korea Institute of Energy Research, Daejeon 34101, Korea;
[email protected] (S.-H.K.); [email protected] (H.J.)
* Correspondence: [email protected]; Tel.: +82-42-860-3231

Received: 10 September 2019; Accepted: 9 October 2019; Published: 10 October 2019

Abstract: The interest in zero energy buildings is increasing in South Korea. Zero energy buildings
need to save energy by using passive technology. The window performance is important to the
thermal insulation of the building. Also, the government regulates the window performance through
regulation and standards. However, it is difficult to predict window performance because the
components of the window have become complicated due to the various materials used in the
glass and frame. Based on window performance standards and regulations, the quality of window
performance was managed. In this research, to consider thermal performance in proper window
design in South Korea, we confirmed the impact on the thermal performance of the window through
various kinds of materials and shapes. The authors also propose a window shape classification and
frame calculation method based on actual test results. The authors analyzed the thermal performance
data of the windows provided by the Korea Energy Agency and confirmed the change in the thermal
performance of the windows by year and by frame material. The average U-value of the window
decreased from 2012 to 2015 and maintained similar values until 2017. In 2018, this value was
decreased to comply. Also, the authors confirmed the U-value of the windows through actual physical
experiments and confirmed the change in thermal performance by the construction of the windows
based on the results. The results show, in the case of aluminum windows, the U-value corresponding
to Grade 3 (1.4–2.1 W/m2 ·K) was as high as about 60%. Regarding the analyzed results of the U-values
of PVC windows, Grade 3 (U-value of 1.4–2.1 W/m2 ·K) accounted for about 35%, and Grade 2 (U-value
of 1.0–1.4 W/m2 ·K) for about 29%. This paper also confirmed that the frame U-value of the PVC
windows is lower than the frame U-value of the aluminum windows. Therefore, the authors proposed
the performance index of the glazing part in PVC and aluminum window design. The results of this
research can be used as basic data to identify problems in the method of determining the performance
of windows in Korea.

Keywords: window thermal performance; U-value; window type; simulation performance test;
actual physical performance test

1. Introduction
As part of a global effort to reduce greenhouse gas emissions, various methods for saving building
energy have been attempted. The thermal performance of the building envelope, in particular, is
a basic element. Moreover, this element has also been used in a passive energy saving method by
appropriately designing the performance of windows suitable for each location. Smart window
design does not imply a particular method, but this method includes energy analysis and a case
study for selecting the optimal region, position, and performance of windows. However, curtain walls
and façades have been used to satisfy the requirement for views, while meeting various aesthetic
standards by increasing the area of the window. This has a disadvantageous thermal performance

Energies 2019, 12, 3822; doi:10.3390/en12203822 7 www.mdpi.com/journal/energies

Energies 2019, 12, 3822

compared to a general wall with insulation. Thus, the demand for the performance improvement of
the window has increased as the window area has increased in the building envelope. In the case of
South Korea, interest in zero energy building is increasing and, in the case of new construction, the
government regulates window performance criteria by building use and area through regulations
and standards. The specified thermal performance requirement is the heat transmission coefficient
(or U-value, W/m2 ·K). This test method is an actual test of a window sample according to the Korea
industrial standards. Thus, Kim proposed guidelines for the standards and regulatory requirements of
South Korea and other countries in previous research [1]. In reality, however, predicting a window’s
performance is difficult because the components of windows have become complicated due to the
various materials used in the glass and frame.
Cappelletti analyzed the influence of a window thermal bridge using a case study of clay walls that
were externally insulated and had cavity insulation [2]. This study confirmed the position of the frame
for reducing linear thermal transmittance. Results showed that moving the window from an internal
to an external position reduced linear thermal transmittance by 70.75%. This decrease mainly depends
on the installation position of the insulating layer within the window opening. This paper showed
the importance of the suitable installation of a window in a wall. Adamus and Pomada [3] analyzed
the effect of window installation for heat flow in a composite structure. This study experimented
with simulation. Hee et al. [4] researched the importance of glazing performance on daylight and
energy saving in buildings and found that the cost affects the qualities and performance of glazing
proportionally. It is wise to perform techno-economic evaluations to obtain suitable glazing for
a building. Tsikaloudaki et al. [5] also proposed methods to use the cooling energy saving of windows.
In this study, cooling energy performance was assessed about ISO 18292 through the calculation of the
cooling energy. This paper concluded that the results of the statistical analysis provided mathematical
expressions, which were used in practice, with moderate errors, for predicting the cooling energy
performance of windows concerning their thermal and optical properties. Kim et al. [6] verified the
improved thermal performance of the double window system. In this paper, the patterns of airflow
were also examined according to the operating mode change. The thermal performance analysis of
conventional window systems showed that heat loss was reduced by 49% compared to the double
window system. Carlosa and Corvacho [7] showed that the provided solar heat gain coefficient (SHGC)
values depend on the airflow rate passing through the system and the portion of the glazed area
about the glass portion of the window. These authors confirmed the effect of the SHGC, but these
results also show the importance of the glass ratio of a window. According to these results, the
designer needs to consider the ratio of glazing and frame in a window area. Wen et al. [8] proposed
a new method of the window-to-wall ratio by case study. The authors also recommended that the
window-to-wall ratio (WWR) maps for open office buildings in Japan be created, and noted that the
impact of window selection is very important in building energy saving. Ihm et al. [9] studied the
energy performance of residential buildings to determine the impact of window selection. In particular,
the window-to-wall ratios were varied to determine the effect of window properties on heating, cooling,
and total energy consumption.
Weather differences between Ulsan and Inchon, in South Korea, are also important; these cities are
representative of the two major climate types in South Korea. Based on a life-cycle cost analysis, the
cost-effectiveness of double Low-E clear glass filled with argon gas is greater for residential buildings
in South Korea. Furthermore, this glass should be required by the building energy efficiency code.
Thus, the designer must consider the design regulations and the energy performance of the window.
For window design optimization, window size in the wall is very important [10]. Generally, optimizing
the size of the window for energy-saving does not meet any of the predetermined visual acceptance
criteria. Mangkuto et al. [11] also undertook a case study about design optimization considering
window size, orientation, and wall reflectance. The analysis evaluated the effect of daylight dynamic
metrics by the geometry and position of the opening, as well as the inside surface reflectance of the room.
The study reached several conclusions applicable to window design [12]. In previous studies, researchers

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Energies 2019, 12, 3822

confirmed the effect of window installation in buildings. However, the optimization of window design
for energy-saving and indoor comfort is difficult due to variations in climates and environments. Thus,
the testing method of windows needs to be standardized through the use of official methods.
Prediction of window performance by various types of the window is important for energy
consumption calculations in buildings. Thus, many researchers have reviewed the various types
of window design and shapes, such as a complex window [13], design parameter for energy
performance [14], window firm [15], transmittance [16], and current thermos chromic window [17].
These results highlight some of the preconditions. An important prerequisite is that the performance
of all windows needs to be tested with the test organization’s official testing method. In South
Korea, government officials responsible for construction regulations require the test paper of the
actual window performance for permission of a new building. The actual test method of the window
confirms the U-value of a window sample of the same size and configuration as the actual window
to be installed. Furthermore, the Korean government manages a label system according to the level
of performance. This system allows customers to easily select window products. Based on these
standards and regulations, the quality of window performance is managed. However, studies on the
performance of changing windows are not sufficient, relating only to changes in the components and
appearance of the window. For efficient use of windows, smart window design must be used [18,19].
This method calculates the ratio of the window and frame in a window for energy-saving effects, such
as passive control. In addition, this result should be applied to the appropriate position considering
the performance of actual window products. Designers need to see how to calculate the thermal
performance of windows through traditional testing methods. Window performance classification
should separate the performance of each type of glazing and frame. In this research, to use thermal
performance for smart window design in South Korea, we confirmed the tendency of the thermal
performance of the window according to various kinds of materials and shapes. In this paper, we propose
a window shape classification and frame calculation method based on actual test results. We confirm
the trend of window thermal performance using the government database of window performance to
provide a practical smart window design. Through window certification and window labeling system
analysis in Korea, the authors show the minimum performance requirements of windows. Also, the
authors confirmed the standard of the test environment and method and determined the variation of
window thermal performance by year using the window database. This database was managed under
the certification of the Korea Energy Agency. We also performed a complex performance analysis of
the shape and type of glazing and frame according to the actual test results of the window. Finally,
using these research results, we have a better understanding of the current level of window thermal
performance. Figure 1 shows a flow chart of our method of research.

Figure 1. Flow chart of method of research.

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Energies 2019, 12, 3822

2. Window Performance-related Laws and Regulations in Korea

2.1. Building Energy Conservation Design Standard

In Korea, the designer or owner of a new build submits their plans to the energy conservation plan
to meet the thermal performance requirements of the outer wall of the building. The Building Energy
Conservation Design Standards were published by the Ministry of Land, Transport, and Maritime Affairs
and enacted on 11 January 2008 [20]. Because Korea emphasizes heating energy consumption relative
to cooling energy consumption, it is working to reduce heat loss through windows. Window insulation
performance standards (U-values) were restricted by laws and regulations. Furthermore, to reduce
cooling energy, it is recommended that a low solar heat gain coefficient (SHGC) be applied only
when the window area of a certain level is large. There is no performance limited by any laws and
regulations. Therefore, there are no data stored in the database of Korean Energy Agency on the
U-value of the window.
For energy saving in buildings, this standard (Building Energy Conservation Design Standard) was
proposed as part of the building standard. The purpose is energy-saving and the management of the
building’s saving plan, and the energy savings that will be achieved in terms of the efficient management
of energy. This regulation was applied to buildings such as apartment blocks containing more than
50 dwellings, as well as welfare facilities, research institutes, hospitals, bathhouses, swimming pools,
and large stores. Furthermore, wall thickness should comply with the technical regulations and
technical standards.
For energy saving, technical standards need to change. The plans classify the demand level of
residential and nonresidential buildings. In addition, for the purpose of efficient energy management
of buildings by “The Support System for Composition of Green Architecture”, the Building Energy
Conservation Design Standards have been revised for establish the criteria for energy-saving designs
concerning the decrease of heat loss and the standards in order to writing energy-saving plans and
design review reports, and to determine the things related to the comport of building standards
for the promotion of the construction of green architecture. They also proposed the demand level
of window thermal performance by each area. These areas were divided into Central 1, Central
2, South, and Jeju. The standards specified the proposed U-values (heat transmittance coefficient,
W/m2 ·K). For energy saving, these standards have been strengthened due to advances in technology.
Characteristics of the Building Energy Conservation Design Standards are the quantitative value
that meets the required performance level and the purpose of confirmation. These standards specify
the minimum required level for window thermal performance. This is separated into outdoor and
indoor surfaces. Table 1 shows the performance levels proposed by the Building Energy Conservation
Design Standards.

Table 1. U-value requirement of window by Building Energy Conservation Design Standard.

Region
Central 1 Central 2 South Je-ju
Positon
0.90 1.00 1.20 1.60
Residential
Surface at outdoor or Less or Less or Less or Less
1.30 1.50 1.80 2.20
Non-Residential
Window or Less or Less or Less or Less
1.30 1.50 1.70 2.00
Residential
Surface at indoor or Less or Less or Less or Less
1.60 1.90 2.20 2.80
Non-Residential
or Less or Less or Less or Less
* All value is U-value(W/m2 ·K).

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2.2. Energy Standard and Labeling Program

The Korean government has undertaken three energy efficiency management programs to
increase the energy efficiency of appliances: Energy standards and labeling, high-efficiency equipment
certification, and e-Standby [21]. Implemented in 1992, the energy standards and labeling program
mandate all manufacturers to attach an energy efficiency label with rank from first to fifth class to
their energy-intensive and highly disseminated appliances. Appliances failing to meet minimum
energy performance standards (MEPS) shall be prohibited from production and sale. The program
targets 37 appliances, including home appliances, lighting products, vehicles, and tires. Windows
are also subject to this program. A window is defined as having “the product size of upper 1 m2 by
KS F 3117 and this installation at the outdoor surface”, and “the target is that the case of combined
frame and glazing, supplying to a product by domestic company” [22]. The actual test method is KS F
2278 (thermal performance) and KS F 2292 (airtightness) [23,24]. Simulation (via numerical analysis
program) is also approved. The simulation uses software, such as WINDOW and THERM, to calculate
window performance. These have a thermal transmittance equation based on ISO 15099. In the case
of the window performance test, it is necessary to perform actual tests when changing the frame
material, opening, and type. Simulation tests may also be approved for changes in glazing type,
including changes in glass and air gap. In this program, the performance of a window is indicated by
R, where R means the U-value (W/m2 ·K). The grades of the energy standard and labeling program are
shown in Table 2.

Table 2. Window grades of the energy and labeling program.

R* Air Tightness Grade

R ≤ 1.0 Under 1.0 m3 /h·m2 1
R ≤ 1.4 Under 1.0 m3 /h·m2 2
1.4 < R ≤ 2.1 Under 2.0 m3 /h·m2 3
2.1 < R ≤ 2.8 - 4
2.8 < R ≤ 3.4 - 5
* R: U-value (W/m2 ·K).

2.3. Korean Industrial Standards

The Korean Industrial Standards are the government standards by law for industrial
standardization in Korea. These standards were announced by the chief of the Korean Agency
for Technology and Standards and, thus, were marked KS. KS consists of 21 areas ranging from the
basic section (A) to the information section (X). These are further divided into three parts. First are
the standards of the product (shape, size, quality), second is the standards of a method (test, analysis,
examination, operation), and last are the transmission standards (term, technique, unit) [25].
The type, symbol, performance, quality, size, material, and parts were determined for the window
based on KS F 3117. A general environment and test method of the actual test were proposed.
The test method of window thermal performance was proposed by KS F 2278: Standard test method
for thermal resistance for windows and doors. This standard contains the details of the test, equipment,
cartridge, and specimen. It also proposes the settings of surface thermal resistance, heat flux through
hot box and cartridge, and the equation for results.
Under KS F 2278, the environmental conditions of the laboratory are maintained. A cold chamber,
warm chamber, and hot box are contained in the equipment. The air temperature of the cold chamber
must be maintained at 0 ± 1 ◦ C, and the air temperature of the warm chamber and hot box need
to be maintained at 20 ± 1 ◦ C. This steady state is confirmed regarding the air temperature and the
heater input (W). The result of this test was logged data to three times at 30 min each during the

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measuring period. The size of the specimen is 2000 mm (W) × 2000 mm (H). Figure 2 shows the scheme
of equipment in KS F 2278.

Figure 2. Scheme of equipment.

In Korea, the KS Standard confirms the physical test performance of windows. The results are used
in all laws and systems, but direct comparison is difficult because ISO test methods and measurement
methods are different. It is difficult to confirm the U-value through calculation because there is no
heat transmissivity of the simple thermal insulation member. However, for the glass part whose heat
transmission coefficient is relatively easy to calculate, some simulation results are adopted. The U-value
of the window is calculated by checking the calorie movement due to the temperature difference after
installing a certain specimen size (2 m × 2 m) according to the method of KS standard. Therefore,
it is difficult to compare the ISO method with the KS standard, the U-value of the window proposed
in this study is calculated based on the KS standard measurement method. Equation (1) shows the
theoretical calculation way of the U-value of windows where UW is the U-value of window(W/(m2 ·K)),
and QH , QF , and QI are the heat input (W) to the heater, the air circulating fan, and calibrated heat
flow, respectively; THa and TCa are the average air temperature (K) in the hot box and cold chamber.
Also, AW is the window area (m2 ).

(QH + QF − QI )
UW = (1)
(THa − TCa ) · AW

2.4. Numerical Analysis Simulation Tools

In the case of the testing of a similar model of window set, the test laboratory uses a simulation
tool like WINDOW (LBNL) through the energy standard and labeling program [26].
WINDOW, from Berkeley National Lab, is a publicly available computer window analysis
program. For calculating window thermal performance like U-values, solar heat gain coefficients
(SHGC), shading coefficients (SC), and visible transmittances (VT), WINDOW provides an adaptable
heat transfer analysis method so the updated rating procedure. This was developed by the National
Fenestration Rating Council (NFRC). This program is based on the ISO 15099 standard. Using the
WINDOW program, designers can draw window shapes and develop new products. This also assists
educators in teaching about heat loss through windows and helps public officials in developing
building energy codes. By reference to the International Glazing Database (IGDB), this simulation is
used in the calculation of the glazing performance of a window. Frame design can also be entered into
THERM. Figure 3 shows the interface of WINDOW 7.4. In this UI, a glazing combination was shown.

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Energies 2019, 12, 3822

Figure 3. Interface of WINDOW 7.4.

3. Changes in Window Thermal Performance through Database Analysis Results

In this section, the authors confirm the change in window thermal performance by year based on
the database of the Energy standard and labeling program of the Korea Energy Agency. We also assess
the effect of the variation of the frame on the thermal performance of a window.

3.1. The Variation of the Number of Registered Window by Year

Window data used in this chapter are managed by the Korean Energy Agency, and data on
manufacturing and performance information are provided by the window set product category of
manufacturer web pages. The performance was divided according to the grades of the ’Energy standard
and labeling program’, which provides U-values. Thus, all information on window products were
registered from 2012, and the database presented to the web page by product registration of each
manufacturer [27].
As a result of confirming the number of registered products by year, we obtained the number of
windows registered as 490 EA, 624 EA, 914 EA, 1037 EA, 848 EA, 1065 EA, and 975 EA in each year
from 2012 to 2018, respectively. The number of registrations was highest in 2015 and decreased in 2016,
but was nonetheless maintained at around 1000 per year. As a result of confirming the differences in
frame material, the percentage of PVC windows was 56% in 2012. The ratio was 53% and 66% in 2013
and 2014, respectively. Percentages of 62%, 46%, 54%, 36% from 2015 to 2018, respectively, indicate that
it occupies a considerably high proportion as compared with window frames made of other materials.
Aluminum window percentages were 31%, 29%, 23%, 29%, 44%, 37%, and 53% from 2012 to 2018,
respectively. In 2018, the aluminum window percentage of registered windows was greater than that
of PVC windows. Figure 4 shows the results of the registration quantity of window frame materials.

Figure 4. Registration quantity of window by year.

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Energies 2019, 12, 3822

3.2. Change in Window Thermal Performance by Year

From 2012 to 2018, the average U-value of windows was found to be 1.710 W/m2 ·K, 1.518 W/m2 ·K,
1.384 W/m2 ·K, 1.331 W/m2 ·K, 1.367 W/m2 ·K, 1.328 W/m2 ·K, and 1.190 W/m2 ·K, respectively. According
to these results, we confirmed the U-value decreased by 0.192 W/m2 ·K and 0.134 W/m2 ·K in 2013 and
2014, respectively. From 2014 to 2017, the U-values of windows were nearly constant at 1.3 W/m2 ·K.
Moreover, the U-value in 2018 was 1.190 W/m2 ·K, which is a very low value. Figure 5 shows the results
of U-value variation by frame type.

Figure 5. Variation of U-value by frame type in each year.

By confirming the differences in window frames we confirmed that, in the case of PVC windows,
from 2012 to 2018 the average U-values were 1.646 W/m2 ·K, 1.394 W/m2 ·K, 1.380 W/m2 ·K, 1.359 W/m2 ·K,
1.451 W/m2 ·K, 1.414 W/m2 ·K, and 1.284 W/m2 ·K, respectively. By the results of aluminum windows, from
2012 to 2018 we confirmed that the average U-values were 1.850 W/m2 ·K, 1.763 W/m2 ·K, 1.464 W/m2 ·K,
1.291 W/m2 ·K, 1.308 W/m2 ·K, 1.235 W/m2 ·K, and 1.140 W/m2 ·K, respectively. Also, in the case of
complex, etc. window frames, from 2012 to 2018 the average U-values were 1.556 W/m2 ·K, 1.509 W/m2 ·K,
1.206 W/m2 ·K, 1.263 W/m2 ·K, 1.202 W/m2 ·K, 1.191 W/m2 ·K, and 1.115 W/m2 ·K, respectively.

3.3. Analysis of Window Thermal Performance Variation

According to the analysis of the performance data, in this paper, we confirmed that the average
U-value of the window decreased from 2012 to 2015 and maintained a similar value until 2017.
The window test results in 2016 do not tend for the U-value to be constantly compared to the 2015
window test results. The reason is that the tendency of the data decreases as the amount of performance
testing of the windows decreases. Besides, the amount of performance testing of aluminum windows
has increased, to be similar to the number of PVC windows, and it is considered that the latter has been
exceeded. In 2018, this value decreased. In consideration of the decreasing tendency from 2016, as the
registration number steadily increased from the start of registration in 2012 to 2015, it can be judged
that the required performance value of the windows is generally satisfied based on 2015. Following
the strengthening of the method of the heat transmission coefficient of Korea in 2018, it can also be
judged that the value of the heat transmission coefficient is low because the thermal characteristics of
the newly registered windows are improved. In terms of the frame material classification of windows,
the aluminum frame was used because the heat transmission coefficient of aluminum frame windows
steadily decreased from 1.4050 W/m2 ·K in 2012 to 1.140 W/m2 ·K in 2018. It is considered that the

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Energies 2019, 12, 3822

thermal performance of the window steadily increased. However, the performance of the window
cannot be analyzed in detail based on the registered materials, such as the material of the frame, and
the performance of the glass used for the configuration of the windows and the glass depends on
the classification of the materials used. Therefore, the performance of the glass used for the actual
composition and the ratio of the glass to the frame were confirmed [28], and that it was necessary to
check the thermal performance according to the configuration of the windows [29].

4. Analysis of Changing Thermal Performance According to Window Composition

4.1. Constituent Classification of Windows and Physical Experiment Results

In general, the window can be divided into a transmission glass part (glazing) and a frame part.
In order to confirm the thermal performance of the windows, significant effort is made to enhance the
thermal performance of each part; however, in the case of physical testing of the thermal performance
of the window, due to size restrictions of the windows, test windows may be composed of a ratio
different from that of the windows of a building [30]. In particular, to register in the “Energy Standards
and Labeling Program”, specimens of 2 m width and 2 m length are required for testing laboratories.
Therefore, there may be differences in thermal performance due to the difference between the glass
area and the frame area. Also, the configuration of the frame and the glass portion may be different
due to the form of the window, and the fragility of heat (this mean is more conductive than other
parts) can be displayed differently [31]. In this study, the influence of the construction of the windows
on the heat transmission coefficient derived from the physical examination was also analyzed for
the glass applied to the fitting, and the frame material, the glass portion and the area ratio of the
frame, the form of the windows, etc., were examined. The windows were classified as sliding, double
cut-up sliding, quadruple cut-up sliding, fixed window, fixed window with a project (etc.), and project
window. For the opening type and composition of glazing, we divided windows into single windows
and double windows. Figure 6 shows the equipment of the window thermal performance and the
classification of window type.

(a) (b)

Figure 6. Equipment of the window thermal performance test (a) and shapes of various window types (b).

The total number of windows used for the research was 134, and windows were utilized based on
the actual physical examination data. Single windows numbered 109 and double windows numbered 25.
As a result of examining the heat transmission coefficient from the data, the average heat transmission
coefficient of the total number of windows tested was 1.597 W/m2 ·K; for single windows, the average
heat transmission coefficient was 1.673 W/m2 ·K, and for double windows, it was 1.263 W/m2 ·K. Thus,

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Energies 2019, 12, 3822

the heat transmission coefficient of the double windows was about 24% lower than that of the single
windows, and the lower thermal performance of the single window compared to the double window
was confirmed. From the checking of the heat transmission coefficient of the windows by frame
material, the U-values were found to be in a range of 0.675–3.560 W/m2 ·K, with an average U-value
of 1.519 W/m2 ·K. The U-values of aluminum windows ranged from 0.811 to 3.246 W/m2 ·K, with an
average U-value of 1.616 W/m2 ·K. As a result, the performance distribution of the material-specific
windows showed that the U-value distribution of PVC windows appeared to be greater and that the
average U-value of the PVC window was about 0.097 W/m2 ·K lower. Figure 7 shows the results of
U-value distribution by frame material type.

Figure 7. U-value distribution by frame material type.

4.2. Thermal Performance Analysis of Glazing by Simulation

In the case of glazing applied to windows recently, heat insulation performance is enhanced using
double glazing in which a gas layer is formed between two single glass plates or triple glazing in
which gas layers are formed between three single glass plates [32]. In Korea, it is difficult to separately
assess changes in the U-value of windows according to the type of glass since the U-value of the entire
window is confirmed without separating the glass and the frame. In particular, the necessary thermal
performance is derived through various constitutional differences, such as using low-E glass, which is
a functional glass, and vacuum glass, and filling using an inert gas such as argon or others. Figure 8
shows an example scheme for multiple glazing components.

Figure 8. Examples of glazing components.

In the case of glass, the IGDB provides a certified performance from each international manufacturer
so that it can be used for simulations and other purposes. The thermal performance of glass can be
confirmed according to the product model of each manufacturer using the simulation program. In

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this study, we confirmed the detailed product information of the glass used for the actual physical
test windows. Thus, with reference to information on the applied glasses, double glazing was divided
into six types, and each product model was applied. Triple glazing was classified into three types,
and each product model was also applied. A U-value was derived for each glass configuration
through simulation. The simulation tool used the WINDOW program provided by LBNL, and the
environmental conditions, such as applied indoor and outdoor temperature and heat transfer resistance,
were provided by KS F 2278.
As a result of confirming the U-value of the glass part by simulation, the average U-value was
1.401 W/m2 ·K. In the case of the aluminum window, the average U-value was 1.240 W/m2 ·K, and
in the case of the PVC window, it was 2.136 W/m2 ·K. Thus, in the case of PVC windows, since the
ratio of double windows is higher than that of aluminum windows, it is considered that the glazing
performance of the latter is relatively low.

4.3. Analysis of Thermal Performance Due to Differences in Construction of Windows

The physical test results of the windows and the simulation results of the used glass part were
integrated, and the difference in thermal performance according to the form and configuration of the
windows was classified by frame material and analyzed. In the case of aluminum windows, the double
window was formed as a quadruple cut-up sliding window, and the depth of the window was set
to 235 to 250 mm. The proportion of the glass portion of the frame ratio averaged 65%, the average
U-value of windows was 1.315 W/m2 ·K, and the average U-value of the glazing was 1.268 W/m2 ·K.
Since it was a double window, it was considered that the ratio of the glazing part was low relative to
the whole area and that the influence of the frame was large, although the performance of the glazing
part could be set higher. In the case of an aluminum single window, the fixed and other ratio appears as
its highest at about 48%, and in the fixed window the ratio is about 30%. When the ratio of the glazing
portion exceeds 80%, it is confirmed that the area of the glazing portion of the window is relatively
large, along with occupying a ratio of about 60% or more as a whole. The ratio of the U-value of
windows corresponding to Grade 3 (1.4–2.1 W/m2 ·K) of the “Energy Standards and Labeling Program”
was as high as about 60%. Glazing with U-values of 1.1–1.3 W/m2 ·K represented approximately 57% of
the total, and it was confirmed that the U-value of the windows was higher than the performance of
the glazing section. Figure 9 shows the analysis results of the aluminum window.
In the case of PVC windows, the depth of the double window was set to 170 to 260 mm. In
the case of the quadruple cut-up sliding windows, the proportion of glazing was generally about
52%–54%. In the case of sliding windows, the proportion of glazing was about 68%–76%, and the
depth of the window was set to 235 to 250 mm. Also, we confirmed that the proportion of glazing was
about 52%–54%, and the proportion of glazing in sliding windows was about 68%–76% in the case of
quadruple cut-up sliding windows. By these results, the authors confirmed the U-values of the window
and glazing as 1.460–1.613 W/m2 ·K and 3.353–3.952 W/m2 ·K, respectively. The performance of the glass
was set to low, but it was constructed with double windows to improve the performance of the frame.
Moreover, thereby, the performance of the whole window was set to the required level. When the
U-value was 0.675 to 0.735 W/m2 ·K, the U-value of glazing was 1.217 to 1.300 W/m2 ·K. Therefore, the
double window requires high-performance glazing for a window less than 1.0 W/m2 ·K. The proportion
of the single PVC window was the highest at 71%. Compared to the frame, the proportion of glazing
corresponding to a 70%–80% window was highest at 71%, and to an 80%–90% window was 18%. In the
PVC window, we confirmed that the proportion of glazing was very high. From the results of the
U-value of the windows, Grade 3 (U-value of 1.4–2.1 W/m2 ·K) represented about 35%, and Grade 2
(U-value of 1.0–1.4 W/m2 ·K) represented about 29%. From this result, it was confirmed that the U-value
of 1.1 to 1.3 W/m2 ·K in the glazing range has the highest share at 33%. Figure 10 shows the analysis
results of PVC windows.

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Energies 2019, 12, 3822

Figure 9. Analysis results of the aluminum window.

Figure 10. Analysis results of PVC windows.

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Equation (2) shows the frame U-value formula for each part’s performance, where UF is the
U-value of the frame, and UW and UG are the U-values of the window and glazing, respectively.
AW , AG , AF are the areas of the window, glazing, and frame, respectively. Since the value of the test
result utilized in this study is the U-value of the entire window for which the type of spacer and the
theoretical performance of the glass and frame cannot be confirmed, the spacer is installed and only the
area is excluded from the glass UG calculation. In the test method conducted in this study, the frame
performance of the window includes the performance of the spacer because the effect of the spacer
cannot be measured separately. At this time, the area of the glass excludes the area where the spacer
was used. The part of frame and the glass overlap is divided into the performance of the frame.

(UW × AW ) − (UG − AG )
UF = (2)
AF

By the results of the aluminum window, the frame performance was confirmed considering the
ratio of the window glass. If the glazing ratio was 90% or more, the average U-value of the frame was
3.872 W/m2 ·K; when the glazing ratio of 80% to 89%, it was 2.934 W/m2 ·K; also, the case of 70% to
79%, UF was 3.308 W/m2 ·K; and, the glazing ratio of 60% to 69% was 4.276 W/m2 ·K. As a result, it was
confirmed that the frame U-values of the glazing ratio of 80% to 89%, which accounted for the highest
proportion of frames among the total test results of the aluminum windows, was displayed at the
lowest level. When PVC windows were analyzed, the frame performance was confirmed considering
the ratio of the window glass. In the case of the glazing ratio of 80% to 89%, the U-value of the frame
was 3.838 W/m2 ·K; and the portion of glazing of 70% to 79% has 2.658 W/m2 ·K. Also, in the case of the
glazing ratio of 60% to 69%, U-value was 2.332 W/m2 ·K. It was confirmed that the frame U-value of the
PVC windows was shown to be lower than the frame U-value of the aluminum windows.

4.4. Propose to the Performance Index of Glazing Parts in Window Design

According to the performance level of the energy and labeling program to distinguish the thermal
performance of window in Korea, to confirm the performance of glazing that can achieve the evaluation
of window, by using the grade of the Korean window obtained through this study, an index for
selecting the performance of the glazing part was proposed. The performance index of the glazing
part provided was based on the performance of the frame proposed in Equation (2), using the thermal
performance of the surveyed Korean windows as a guide. The performance index of the glazing part is
divided according to the ratio of the area of the glazing part in the window; also, this index proposed
the minimum U-value of the glazing part for the suitable performance level. By experimental test
results, the average U-value of the frame was applied to the frame U-value of each window. Moreover,
the illustration of glazing components was described together in the figure.
The authors proposed the performance index of the glazing part to achieve the graded performance
of the PVC window, as shown in the Figure 11. This index showed glazing area (each axis and
example picture), glazing U-value (color spot on axis and value), frame U-value (Uf ), and Grade level
(color rhombus). By this index, a designer could consider the glazing U-value level by material type of
window and glazing area level. In the case of the glazing part being 85%, a designer uses a glazing
with a U-value of 0.5 W/m2 ·K or less in order to construct a window of Grade 1. In addition, in order
to construct Grade 2 and 3 windows, the glazing sections must satisfy 0.97 W/m2 ·K and 1.79 W/m2 ·K,
respectively. Cases of 75%, 65%, 55% area of glazing could use a glazing part corresponding to
0.45 W/m2 ·K, 0.28 W/m2 ·K, 0.28 W/m2 ·K to make a Grade 1 window. Therefore, it is not suitable for
constructing a single sliding window using a general double-layer glazing or triple-layer glazing.
In order to solve this, the construction of the window must be chosen for a double sliding window or
the structure of the frame must be improved.

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Energies 2019, 12, 3822

Figure 11. Performance index of glazing part in PVC windows design.

As shown in Figure 12, the performance index of the aluminum window glazing part is different
from the performance index of the glazing part of the PVC window. To achieve the Grade 1 window,
it is necessary to set the glazing part to 0.85 W/m2 ·K when it corresponds to 95% of the glazing part.
It is necessary to set the Grade 2 and Grade 3 window with glazing parts 1.27 W/m2 ·K and 2.01 W/m2 ·K,
respectively. When the area of the glazing part corresponds to 65%, it was confirmed that the evaluation
of each window cannot be achieved through the improvement of the performance of the glazing part.
This is thought to be due to the low frame thermal performance of aluminum windows used in Korea.

Figure 12. Performance index of glazing part in aluminum windows design.

20
Energies 2019, 12, 3822

Based on these results, when designing a window, the designer can roughly grasp the performance
of the glazing part according to the frame type, configuration, and form of the window. When the
designer does not find suitable glazing performance about window design, they could apply the
median value of similar glazing area or glazing components. According to the improvement of the
frame performance, the area ratio can be predicted.

5. Conclusions
In this paper, we confirmed the regulation and certification of window performance in Korea
and analyzed the method and management system for testing this performance. Based on this, the
performance data of the managed windows were analyzed, and the form and performance of the
windows were classified. Also, we confirmed the change in the heat insulation performance by window
construction through actual physical experiment. The results of this study are as follows.
(1) Based on the results of the research on the performance of existing windows, we confirmed the
method of performance assessment of the windows, and the performance required to meet both the
Building Energy Conservation Design Standards related to windows and the energy standard and
labeling program. To assess the performance of the windows required previously, we confirmed the
method of measuring the performance of the windows used in Korea and confirmed that it is necessary
to classify the factors affecting the performance of the windows. So, by these results, we could identify
the limits of the measurement methods (specimen size, the ambiguity of performance division about
glazing, and frame).
(2) In this study, we analyzed the thermal performance data of the windows provided by the
Korea Energy Agency and confirmed the change in the thermal performance of the windows by year
and the change in thermal performance by frame material. The average U-value of the windows
decreased from 2012 to 2015 and maintained a similar value until 2017. In 2018, this value decreased.
The aluminum frame was used because the U-value of the aluminum frame windows steadily decreased
from 1.4050 W/m2 ·K in 2012 to 1.140 W/m2 ·K in 2018. It is considered that the thermal performance
of the window steadily increased. By these results, we confirmed that the thermal performance of
the window was affected by the grade of the energy labeling program. This means that the thermal
performance of the window was determined by government requirements.
(3) The authors confirmed the U-value of the windows through actual physical experiments and
confirmed the change in thermal performance by the construction of the windows based on the results.
Besides, based on the results of the thermal performance analysis of glazing through simulation, the
thermal performance was analyzed by the difference in the construction of the glazing and the frame.
The proportion of aluminum windows with a U-value corresponding to Grade 3 (1.4–2.1 W/m2 ·K)
was as high as about 60%. Glazing with a U-value of 1.1–1.3 W/m2 ·K accounted for approximately
57%, and it was confirmed that the U-value of the windows was higher than the performance of the
glazing section. Regarding the analyzed results of the U-values of PVC windows, Grade 3 (U-value of
1.4–2.1 W/m2 ·K) accounted for about 35%, and Grade 2 (U-value of 1.0–1.4 W/m2 ·K) for about 29%.
From this result, it was confirmed that glazing with a U-value range of 1.1 to 1.3 W/m2 ·K accounted for
the highest share, of 33%. This paper also confirmed that the frame U-value of the PVC windows is
lower than the frame U-value of the aluminum windows.
(4) By these results, the authors proposed the performance index of the glazing part in PVC and
aluminum window design. In the case of PVC window design, the designer can roughly predict
the performance of the glazing part according to the frame type, configuration, and form of window.
Also, authors confirmed that the performance index of the glazing part in aluminum window design
could not propose the performance of glazing for Grade 1 and Grade 2 window configuration.
Through this study, we confirmed the change in the performance of windows in Korea and the
changes in thermal performance due to the composition and material. Especially the material of the
frame is important for window shape and glazing area in the window area, because the cases occur

21
Energies 2019, 12, 3822

where it is impossible to determine the combination of glazing parts to achieve the performance
requirement value of the window.
Based on this result, it is expected to be useful for future Korean smart window design solutions.
The results of this research can be used as basic data to identify problems in the method of determining
the performance of windows in Korea. Since Korea specifies the required performance of the entire
window, it is difficult to grasp the detailed thermal performances of changes in the glass and frame
materials that make up the window. Also, although it is possible to compare the performance of the
same specimen with the window performance test, it is difficult to predict the performance change
of the window if the size of the actual applied window differs. Therefore, the authors would like to
propose consideration of the prediction of the change of performance with the change of the size of the
window in the future, using the analysis in this research for predicting the form of the window and the
performance of the frame. So, the performance index of glazing part in PVC and aluminum window
design was proposed for suitable chose of glazing thermal performance. Also, to consider the impact of
cost and energy consumption, as with the results of this study, we will further understand the impact
of cost and energy consumption associated with performance differences in window; further research
is underway to confirm in future research.

Author Contributions: Conceptualization, methodology, writing—original draft preparation, writing—review

and editing, S.-H.K. and H.J.; project administration, funding acquisition, S.C.
Funding: This research was funded by the Korea Institute of Energy Technology Evaluation and Planning (KETEP)
and the Ministry of Trade, Industry & Energy (MOTIE) of the Republic of Korea, grant number 20172010105690
and The APC was funded by the Korea Institute of Energy Technology Evaluation and Planning (KETEP) and the
Ministry of Trade, Industry & Energy (MOTIE) of the Republic of Korea (No. 20172010105690).
Acknowledgments: This work was supported by the Korea Institute of Energy Technology Evaluation
and Planning (KETEP) and the Ministry of Trade, Industry & Energy (MOTIE) of the Republic of Korea
(No. 20172010105690).
Conflicts of Interest: The authors declare no conflict of interest.

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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 energies
Article
The Application of Building Physics in the Design of
Roof Windows
Jan Tywoniak *, Vítězslav Calta, Kamil Staněk, Jiří Novák and Lenka Maierová
Department of Architecture and Environment, University Center of Energy Efficient Buildings, Czech Technical
University in Prague, Třinecká 1024, 273 43 Buštěhrad, Czech Republic; [email protected] (V.C.);
[email protected] (K.S.); [email protected] (J.N.); [email protected] (L.M.)
* Correspondence: [email protected]

Received: 22 April 2019; Accepted: 12 June 2019; Published: 16 June 2019

Abstract: This paper deals with a small but important component in a building envelope, namely
roof windows in pitched roofs. Building physics methods were used to support the search for
new solutions which correspond to the maximum extent for requirements for passive house level
design. The first part of the paper summarizes the key phenomena of heat transfer, mainly based on
a comparison of vertical windows in walls. The results of repeated two-dimensional heat transfer
calculations in the form of parametric studies are presented in order to express the most important
factors influencing thermal transmittance and minimum surface temperatures. Several configuration
variants suitable for technical design are discussed. It was found that a combination of wood and
hardened plastics in the window frame and sash is the preferred solution. The resulting thermal
transmittance can be up to twice as low as usual (from 0.7 down to 0.5 W/(m2 ·K), with further
development ongoing. Surface temperature requirements to avoid the risk of condensation can be
safely fulfilled. Concurrently, it is shown that the relative influence of thermal coupling between the
window and roof construction increases with the improvement of window quality. Specific attention
was given to the effect of the slanting of the side lining, which was analyzed by simulation and
measurement in a daylight laboratory. The increase in thermal coupling due to slanting was found to
be negligible. Motivations for specific building physics research are mentioned, such as the need to
study the surface heat transfer in the case of inclined windows placed in a deep lining.

Keywords: roof window; thermal performance; passive building; building component development

1. Introduction
Building physics, e.g., [1], including heat and moisture transfer, building-energy performance,
energy assessments of elements and buildings, building acoustics, daylighting, the distribution
of contaminants, etc., can be perceived as a set of rules for the assessment of constructions and
buildings [2]. It can also be perceived as a set of sub-tools that is used actively during preparation
and development work. Individual requirements need to be seen as interconnected, such as the
requirement for daylight versus the requirement to limit the risk of a room overheating. Such a process
accompanying development work should be perceived as multilevel. When applying building physics
knowledge and practical tools, it is necessary to choose the key phenomena that will be prioritized.
The paper discusses the use of building physics methods to develop a roof window suitable
for passive buildings. This was the subject of a joint project between a research organization and an
innovative company specializing in the production of windows [3]. The contribution of this paper is
to highlight selected phenomena and show possible applications of the technical solution of the new
component. At the same time, it should be remembered that, in addition to the obvious technically
oriented approaches, the user’s customs (window opening, cleaning) and aesthetic requirements must
be considered in the design of the final product.

Energies 2019, 12, 2300; doi:10.3390/en12122300 25 www.mdpi.com/journal/energies

Energies 2019, 12, 2300

Passive buildings [4] have become a clearly defined category of energy-efficient buildings [5], which
is in line with the trend of sustainable solutions [6] over more than 25 years of development. Design
methods and voluntary certification procedures are steady, and in some countries and regions they may
be linked to subsidy policies or building regulations. At the same time, building solutions together
with technical systems (minimizing heat penetration through the building envelope, minimizing heat
losses by ventilation with heat recovery from the ventilating air) are the basis for the downstream
categories of energy-optimized buildings obtaining a significant share of their energy from renewable
sources (passive house premium [7], nearly zero-energy buildings (NZEBs) [8], Effizienzhaus Plus [9],
etc.). Even a seemingly small element, such as a window, can be significant in terms of the reduction of
energy use, and can thus be part of the solution.
In order to meet the requirements for energy-optimized buildings in cold to moderate climates,
it is generally necessary to use windows with a thermal transmittance of around 0.8 W/(m2 ·K) [10].
However, roof windows of this quality are not yet normally available. At the same time, the effect of
installation into the roof construction should be taken into account, since there is a considerably larger
additional thermal flow than for windows in perimeter walls.
For roof windows, the condensation of water vapor on their inner surfaces, especially at the edges
of the glass, can be observed at low external air temperatures. Together with an effort to reduce the
heat transfer of the windows, the spacing frames of the glazing units, the shape of the window frames,
and the materials used in their construction have also been gradually improved.
It is known that window frames typically have a higher thermal transmittance than modern
glazing units [11]. This is a particularly significant phenomenon due to the smaller dimensions of the
roof windows (in the case of openable windows, the window frame means an assembly of parts, the
fixed frame, and the movable frame of the sash).
One of the possible ways to reduce heat leakage at the edge of a window is to fit additional
thermal insulation elements during the installation of the window from the outside of the frames [12].
Roof windows are the weakest elements of the building envelope in terms of heat losses. For this
reason, they are not popular with designers involved with passive buildings. However, they must be
used in some cases, and the consequence of increased heat transmission must be compensated for in
order to achieve the passive house criteria. This critical situation can be illustrated by the fact that,
in the database of components certified for passive houses [13], of 268 positions for windows (frames
and connections), only two deal with roof windows (in one case equipped with quadruple glazing,
in the other case equipped with triple and double glazing combined in one assembly).
The aim of the project in [3] was to find a solution for a roof window so that the thermal
transmittance of the entire window corresponds to the requirements for passive buildings and so that
the temperature on the frame surface meets the requirement to eliminate the risk of surface water
condensation under reference conditions in the interior. The possible increased risk of the overheating
of rooms during the summer due to solar gain was not explicitly addressed in this project.
This paper discusses methods used during research and development studies in Section 3. It then
introduces and comments on the main findings in Section 4. Appendix A shows, through a simple
case study, the effects of roof windows of different quality on the overall thermal transmittance of the
building envelope of a typical family house. Preliminary studies about heat transfer phenomena close
to window surfaces are introduced in Appendix B.

2. Problem Analysis
To analyze the problem, a comparison of a roof window with a vertical window in a perimeter
wall was performed (see Figures 1 and 2).

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Energies 2019, 12, 2300

Figure 1. Significant thermal phenomena related to roof windows.

Figure 2. Schematic horizontal cross-section of a typical position of a roof window in a pitched roof.
ext.: exterior air temperature; int: interior air temperature.

Heat transfer in the air cavities between glazing panes is generally larger due to increased heat
convection caused by air movement (the more inclined the more significant; nonlinear). As a result,
thermal transmittance is increased in the range of 0.1 to 0.2 W/(m2 ·K) relative to the whole window if
calculated according to [14].
Considering the fact that frames are weaker parts of a window in terms of the total thermal
transmittance, attention is given to a more detailed description of the thermal properties of the
frames [15], and to their improvement. Such an approach cannot be clearly conducted by the study of
roof windows.
Heat is transferred due to a connection of the window to the opaque part of the building envelope:
In the design of vertical windows, it is attempted to minimize such thermal coupling by searching
for the optimal position of a window in the wall [16] and the optimal geometry and materials for the
construction detail. On the contrary, in roof windows, a very significant problem arises due to the
windows’ geometrical situation (Figure 2). The external perimeter of the window is situated in the
cold area of the roof. Therefore, it is not possible to achieve the so-called thermal-bridge free solution
(see Figure 3). The result is expressed as linear thermal transmittance [17], ψw (W/(m·K)). Although the
values recommended in the Czech national standard [18] are larger than those for vertical windows in
perimeter walls, they may not be easily reached (Table 1).

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Energies 2019, 12, 2300

Table 1. Standard values of linear thermal transmittance, ψw (W/(m·K)), as a result of thermal couplings.
Adapted from the Czech national standard [18].

Required Recommended Recommended for Passive Buildings

Window in wall 0.1 0.03 0.01
Window in pitched roof 0.3 0.1 0.02

Simple calculations performed in [19] (Figure 3) have shown that unavoidable heat transfer due
to the thermal coupling between the window and the roof plays an important role. For this reason,
it is recommended to integrate the additional heat transfer due to thermal coupling in the (extended)
thermal transmittance, Uw ,inst , in order to obtain a “full picture” in one value [10]:

A g .U g + A f .U f + Σ(ψ g .l g ) + Σ(ψw .lw )

Uw,inst = , (1)
Ag + A f

where Σ(ψw .lw ) describes the influence of the installation, Ug is the thermal transmittance of the glazing
unit (W/(m2 ·K)), Uf is the thermal transmittance of the frame (W/(m2 ·K)), the thermal bridges of the
glazing edge are expressed by the linear thermal transmittance, ψ g (W/(m·K)), and the thermal bridges
due to the installation in the roof are expressed by the linear thermal transmittance of the window,
ψw (W/(m·K)). Figure 3 shows the results of a preliminary calculation for a hypothetical window of
excellent quality: Ug 0.60 W/(m2 ·K), Uf 0.60 W/(m2 ·K), ψ g 0.03 W/(m·K), ψw 0.05 W/(m·K), reference
window size. It can be seen that, for improvements to roof windows, all parts are of high importance,
i.e., the glazing, frame, installation method, and overall geometry.

Figure 3. The result of a preliminary calculation for a (hypothetical) roof window of excellent quality.
Heat transfer (left) and heat transfer including the effect of installation on roof thermal coupling (right)
based on 2D calculations for all relevant cross-sections [19].

As a rule, heat transfer is calculated and measured vertically according to standardized test
procedures [20], even for later use in an inclined position. Thus, if the goal is to achieve identical
heat transfer to that in vertical windows, the requirement should be more stringent, being reduced at
least by 0.1 W/(m2 ·K). The standard [18] is partly based on this approach, as shown in Table 2, for the
required and recommended values of thermal transmittance. During preparation of the standard [18]
this approach was not used for passive house recommendations because of the fact that windows of
corresponding low thermal transmittance were not available.

Table 2. Standard values of thermal transmittance, Uw (W/(m2 ·K)), adapted from the Czech national
standard [18].

Required Recommended Recommended for Passive Buildings

Window in wall 1.5 1.2 Range: 0.8–0.6
Window in pitched roof 1.4 1.1 0.9

Another important fact is that roof windows are usually smaller than windows in walls, and
therefore the proportion of the frame, as the weaker element in terms of heat transfer, will be significant.

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Energies 2019, 12, 2300

The reference size of the roof window [21] is 1.14 m × 1.40 m, and the conversion to different window
dimensions is only performed in practice in exceptional cases.
Excessively low interior surface temperatures can create conditions for the surface condensation
of water vapor and mold growth (expected above a critical air humidity of 80%). This applies in
particular to window frames and glazing edges. The surface temperature factor, f Rsi = (θi − θe )/(θai −
θe ), is used for the assessment. Its required minimum values [18] are shown in Figure 4, and depend
on the outdoor air temperature, indoor air temperature, and relative humidity.

Figure 4. Minimum values of the surface temperature factor to avoid water vapor condensation (left)
and mold growth (right) assuming an interior air temperature of 20 ◦ C for different air humidity.

The surface heat transfer coefficient, hsi (W/(m2 ·K)), describing the heat transfer between the
internal surface of the window and surroundings can be different for inclined roof windows and for
vertical windows. Smaller inclined roof windows are additionally often influenced by heating bodies
close by, and the situation can therefore be very different.
Requirements on the thermal transmittance of the roof construction result in an overall thickness
of approximately 400 mm or more. This can negatively influence the daylight quality due to the very
deep side lining. Therefore, the distribution of daylight in rooms as a primary function of each window
should also be studied very carefully.
Additionally, in the case of roof windows, the situation of radiative heat exchange between
the glazing and the two perpendicular side linings is fundamentally different from that of a wall
window. Heat transfer can also be significantly affected by the presence of a heating body below the
window (differently depending on the power, temperature, proportion of the radiant and convective
heat-to-room transfer, and overall space situation). Moreover, a deep lining contributes to a different
air flow in the room and in the space in front of the window.
The radiative heat exchange between the external window surface and the (clear) sky [1] is higher
for roof windows (e.g., multiplied by a factor of 1.5 for 45◦ sloped windows). This leads to an increase
in the total external surface heat transfer coefficient, hse (W/(m2 ·K)).
In summer, specific phenomena should be considered (although they are not the subject of this
paper). These include passive solar gains in the rooms and the resulting risk of room overheating,
which are primarily influenced by the orientation of the façade/roof, window size, and the coefficient
of the permeability of total solar radiation (solar factor), g (-), of the glazing unit, by the shading from
external obstacles and shading devices. The overall effect depends on several other parameters of
the (occupied) room, including the thermal inertia, ventilation strategy, and actual climatic data. The
external air can be significantly warmer close to the roof surface (heated by the roof covering).
Generally, a higher passive solar gain can be expected due to the inclination of roof windows.
Moreover, efficient external shading, such as venetian blinds, are not applicable to roof windows.

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Energies 2019, 12, 2300

3. Methods

3.1. Parametric Studies

Introductory parametric studies [3] involving 2D-heat transfer calculations using the COMSOL
Multiphysics [22] modeling software were carried out to map the key dependencies of the overall
layout and geometry of window and frame material on the window’s thermal performance. Initially,
two different configurations were studied: (i) Usual assembly with high-performance glazing near
the exterior (configuration A); and (ii) alternative assembly with a window casing equipped with
high-performance glazing near the interior and an additional single-glazed pane at the exterior side
(configuration B) (Figure 5).
The calculation model followed the rules given in [23]. Connection to the roof is considered here
as adiabatic; this means that the effects of thermal couplings were not included. For that reason, the
estimation of the minimum interior surface temperature is only indicative.
A glazing unit consisting of more panes and cavities filled by Argon was simplified for the
calculation as a homogeneous solid material having equivalent thermal conductivity back-calculated
from the known thermal transmittance of the glazing unit, Ug . The connection between the frame and
the glazing unit was simplified by using a two-box-method [24] for spacers of known characteristics.
Air gaps between the fixed and movable part of the frame were simulated according to [23].
In this case, high-performance homogeneous materials for the frame were considered. The thermal
conductivities of the fixed and movable part were 0.039 W/(m·K) and 0.065 W/(m·K), respectively. This
corresponds to the use of hardened polystyrene [25] with a density of 100 and 400 kg/m3 , respectively.
The thermal transmittance of the glazing unit was 0.6 W/(m2 ·K) for triple glazing and 1.0 W/(m2 ·K)
for double glazing. Calculations were performed for indoor and outdoor air temperatures of 20 and
0 ◦ C, respectively.
During the parametric studies, several geometrical parameters and material parameters were
changed over a relatively wide range in order to determine their importance within the whole
configuration. The thermal transmittance of the glazing was fixed.

Figure 5. Configuration A (left) and alternative configuration B (right) that were tested in parametric
studies. a: adiabatic condition [23].

3.2. Real Design Solution

Repeated 2D-heat transfer calculations in steady state conditions were performed for selected
configurations according to consultations with the development team. The HT-Flux software [26] was
used to analyze representative cross-sections (for head and sill, over and under the hinge). The thermal
transmittance of the frame, the linear thermal transmittance due to the connection between the glazing
and frame, and the resulting thermal transmittance for the reference window size (1.14 m × 1.40 m)
were estimated for each variant. Additionally, a preliminary estimate was made of the minimum

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Energies 2019, 12, 2300

surface temperature. The simplifications for modeling were identical to those described in Section 3.1.
Material parameters and boundary conditions are summarized in Section 4.2.
The effects of thermal coupling between the window and the roof construction were analyzed
for selected window variants. Again, the HT-Flux software was used to analyze representative
cross-sections (e.g., Figure 2) for a typical configuration of a pitched roof for passive house quality.
The thermal transmittance of the installed window, Uw,inst, was estimated for the reference window
size. Moreover, the minimum window surface temperature and corresponding factors, f Rsi , were
evaluated [27].

3.3. Daylight Simulation

In this study, the problem of daylighting was preliminarily investigated by means of numerical
simulations. The influence of the possible slanting of the roof window lining was investigated. The
quantity of daylight and its spatial distribution may change with the degree of lining slanting (that is,
the angle, α, between the lining plane and the plane perpendicular to the roof, see Figure 6). In order
to quantify this effect, the daylight factor, D (%), was calculated by means of a validated software
tool [28] using the CIE standard overcast sky model at a horizontal reference plane in an attic room lit
by a roof window. It was calculated repeatedly with the angle, α, varying stepwise from 15 to 45◦ .

D>ƒ@
T
Figure 6. A cross-section through the roof window showing the inclination (slanting; α) of the
window lining.

The geometry and dimensions of the studied room represent a typical inhabited attic room
(Figure 7). The dimensions of the roof window are 860 × 1180 mm, and its triple glazing has a light
transmittance, τ, of 0.74. Except for the floor, all of the internal surfaces are supposed to be painted
a bright white with a corresponding light reflectance, ρ, of 0.84. The floor reflectance, ρ, is 0.66
(gray carpet). The reflectance should correspond to the physical model prepared for measurement in
Section 3.5. The internal surface coatings of the physical model prepared for daylight measurement in
Section 3.4 were selected in order to reproduce such high values of reflectance.

Figure 7. The geometry of the room studied for daylighting distribution (letters represent the control
points for investigation). (Unit: mm).

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Energies 2019, 12, 2300

3.4. Daylight Measurements

The daylight distribution was measured using a model with a 1:4 scale (Figure 8) in the daylight
laboratory in Danube University Krems, Austria. The simulator had a diameter of 6 m (Figure 9). The
horizontal daylight level in the middle of the simulator, where the model was placed, was set to 8000 lx.
The model of the room had a changeable roof. The roof window was either placed centrally or near to
the side partition wall. Additionally, alternatives for different geometries of side lining were analyzed,
namely perpendicular and slanted with α = 45◦ . Surfaces were finished using high-reflectance coatings
corresponding to the reflectance values used in the simulation in Section 3.3.

Figure 8. Model of a room for daylight measurement with changeable pitched roof.

Figure 9. Experimental setup for daylight measurement in a laboratory.

3.5. Formulation of General and Detailed Recommendations

Additionally, as a result of all the analyses, a set of recommendations for the technical design of
the roof window was formulated. Moreover, further steps for the implementation of new products
were followed, namely (i) the creation of a catalogue of the overall solution and (ii) the support of
an independent assessment. Furthermore, a certification body (Centrum stavebního inženýrství a.s.,
Zlín, Czech Republic) performed measurements of the following mandatory declared parameters [20]:
Thermal transmittance, airtightness, and water tightness to wind-driven rain.

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Energies 2019, 12, 2300

4. Results

4.1. Parametric Studies

The results of the heat transfer calculations for two different window configurations (see Figure 5)
are presented in Figure 10. Configuration A has a higher thermal transmittance of the frame, UF , for
the relevant geometries, however, the use of a high-performance glazing at the exterior side leads to an
overall lower thermal transmittance of the window compared to configuration B.


Figure 10. Temperature distribution for window configuration A (left) and B (right).

More detailed results of the parametric studies for configuration A are presented in Figures 11
and 12. Each parameter was tested for a wide range of geometries, separately assuming homogeneous
material for the frame with very low thermal conductivity. It can be concluded that the most significant
parameters are (i) the setting depth of the window frame into the thermally insulated roof layer,
(ii) the overall width of the frame and sash, and (iii) the material of the frame and sash. Other
material and geometrical parameters are less important. These results were considered in the next
developmental steps.

Figure 11. Schematic of a window cross-section showing the most important parameters analyzed in
parametric studies.

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Energies 2019, 12, 2300

Figure 12. Key tendencies discovered in the parametric studies, expressed as the thermal transmittance
of the whole window and as the surface temperature factor. Filled points represent basis values. For
legend, see Figure 11.

4.2. Real Design Solution

Figures 13 and 14 show the configuration, dimension, and material properties as suggested by
the development team for two selected final design variants, considering the results in Section 4.1
and technical limitations. The figures represent the cross-sections over the hinge. The frame and
sash were made of a combination of soft wood and hardened plastics. The thermal conductivities
used in the 2D calculation are summarized in Table 3. The thermal conductivity of the hardened
polystyrene, Compacfoam [25], was measured in accordance with EN 12667 [29] using the HFM
300 apparatus (Linseis GmbH, Selb, Germany) using a sample with a size of 300 mm × 300 mm.
The sample, declared as CF100, had a bulk density of 122 kg/m3 . The dry thermal conductivity was
determined as 0.037 W/(m·K), and the thermal conductivity in the wet state (the moisture content of the
water-saturated sample over four weeks was 1.6 m%), λchar , was 0.039 W/(m·K). Other values in Table 3
are taken from the literature. The boundary conditions used in the 2D calculations are summarized in
Table 4.
Several types of glazing unit can be used in each design variant. The window in Figure 13
is equipped with triple glazing with a Ug of 0.5 W/(m2 ·K). The window in Figure 14 has a Ug of
0.3 W/(m2 ·K), and is equipped with a special glazing unit in which two transparent polyester foils
divide the space between two glazing panes into three cavities to reduce the overall heat transfer. For
construction reasons, their spacers have a higher thermal conductivity than those used in the best
available triple glazing. The thermal performances of the presented window variants are summarized
in Table 5.

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Energies 2019, 12, 2300

Table 3. Material properties used in the 2D heat transfer calculation.

Thermal Conductivity, λ
Material Pattern According to Figures 13 and 14
(W/(m·K))

Glazing pane 1.00

Seals (EPDM profiles) 0.25

Wood (soft) 0.12

Compacfoam 0.039

Aerogel 0.014

Extruded polystyrene 0.032

Table 4. Boundary conditions and heat flux scale used in the 2D heat transfer calculations.

Air Temperature θ Surface Heat Transfer Resistance

Boundary Condition
(◦ C) Rsi (m2 K/W)
Interior—Building construction 20 0.10
Interior—Window 20 0.13
Interior—Edges of window 20 0.20
Interior—Edges of window for the
20 0.25
evaluation of minimum surface temperature
Exterior −17 0.04
Ventilated cavity connected to the exterior
−17 0.10
(under roof covering)

Table 5. Thermal performance for window variants I and II according to Figures 13 and 14.

Heat Transfer Coefficient (W/K) Thermal Transmittance for

Mean Linear Thermal Transmittance
Variant Glazing Frame Edge for Glazing Edge (W/m·K) Reference Window Size (W/(m2 ·K))
H T,g H T,f H T, ψ,g ψg
UF UW
I 0.530 0.503 0.103 0.025 0.94 0.71
II 0.303 0.344 0.148 0.037 0.59 0.50

Figure 13. Schematic cross-section of the window variant, I, with triple glazing (left) and calculated
heat flux distribution (right).

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Energies 2019, 12, 2300

Figure 14. Schematic cross-section of the window variant, II, with special glazing using two foils to
divide the cavity between two glazing panes (left) and calculated heat flux distribution (right).

Table 6 shows the effects of thermal coupling for perpendicular and slanted window linings for
variant II. The values of Uw,inst were derived from the calculated thermal transmittance of the window
and the linear thermal transmittance at both sides, the sill and the head. The values of ΔU represent
the difference between Uw,inst and Uw . A significant influence of thermal coupling is evident. The
slanting itself plays a minor role in the heat transfer.

Table 6. Effects of thermal coupling for the perpendicular and slanted linings.

Perpendicular Lining Slanted Lining (α = 45◦ )

ψw Uw,inst ΔU ψw Uw,inst ΔU
(W/(m·K)) (W/(m2 ·K)) (W/(m2 ·K)) (W/(m·K)) (W/(m2 ·K)) (W/(m2 ·K))
0.071 0.72 0.22 0.093 0.79 0.29

The minimum surface temperature is presented for variant II (Table 7) in the most critical
combination: (i) For the slanted lining and (ii) for the glazing unit with a metallic spacer. The lowest
surface temperature is still at the edge of the glazing, similar to in the previous calculation without
thermal coupling. The values fulfill the requirements (see Figure 4), and therefore the risk of water
vapor condensation is minimized.

Table 7. Minimum surface temperature and surface temperature factor for variant II, coupled to the
roof structure. Slanted lining, indoor temperature of 20 ◦ C, exterior temperature of −17 ◦ C.

Minimum Surface Temperature Surface Temperature Factor

Area
θsi,min (◦ C) f Rsi (-)
Sill 10.8 0.752
Head 11.0 0.756
Side lining 10.9 0.755

4.3. Daylight Simulations

Figure 15 shows the calculated daylight factors, D, at the selected control points on the horizontal
reference plane 850 mm above the floor level, and the mean daylight factor, Dm , as a function of the
window lining inclination, α. By slanting the lining, it is possible to achieve an improvement in the
overall level of daylight (expressed in terms of Dm ) as well as a significant local improvement in the
level of daylight in the area close to the window. Due to the local increase in the daylight factor,
a significantly larger portion of the floor area will be available for activities which require higher
daylight levels, i.e., D > 1.5%.

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Energies 2019, 12, 2300

Figure 15. The results of the daylight calculation as a function of the lining inclination. The daylight
factor at selected control points (see Figure 7) and the mean value (Dm ) (left) and daylight factors in
the line of control points at a distance of 1 m from the external wall (right).

4.4. Daylighting Measurements

In the model, the values of external and internal illumination at points on the horizontal plane were
measured at a height corresponding to measurements on real buildings. Figure 16 shows the results
expressed as a daylight factor for a series of points closest to the window (row A) for a perpendicular
and slanted side lining. Significant differences in the daylight factor were found for the slanted side
lining. Only negligible differences were found in rows B and C.

Figure 16. Laboratory-measured values of the daylight factor. Measured points (left) and values
for points A1 to A7 (right). The black line represents the perpendicular side-lining and the red line
represents the slanted side-lining with a slant angle of 45◦ . (Unit: mm).

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Energies 2019, 12, 2300

5. Discussion
This paper illustrates the practical use of building physics tools for studying heat transfer and
the daylight situation. The aim was to find a technical solution for roof windows suitable for passive
buildings and other energy-optimized buildings in cooperation with an industrial partner. An iterative
multilevel process using two-dimensional heat conduction calculations, from initial parametric studies
to specific detailed calculations, was applied in collaboration with the development team. The usability
of the results for practical window design was discussed at each step of development.
Additionally, a limited degree of verification was performed through measurements in a climatic
chamber. Final (formal) verification was achieved through certification by an independent testing
laboratory. For practical use, an interactive tool was developed which calculates the resulting thermal
transmittance according to the basic selection of the frame and glazing and refers to the elaborated
window details to ensure that the surface temperature requirements are met.
The simulated values of thermal transmittance of 0.7 to 0.5 W/(m2 ·K) can be considered very good
results. In any case, the further reduction of heat transmission would be accompanied by an increase
in the relative importance of the thermal coupling between the window and roof construction.
Slanted lining has a very positive effect on the quality of daylighting. Measurements made using
a physical model in the laboratory show similar tendencies to those observed in simulations, although
the simulated results show slightly higher daylight values. It is possible to accept an increase in thermal
coupling to some extent. A slant of 30◦ seems to be a good compromise in the majority of cases.
A higher level of daylight will probably also bring a greater independence from artificial lighting,
and thus allow greater energy savings or (hypothetically) possibly the use of smaller roof windows.
In further research, the authors aim to focus on several related tasks:

(a) The risk of overheating. Overheating and/or cooling energy demand of attic rooms and, in this
context, the possibility of advanced controlled shading of roof windows [30].
(b) 3D heat transfer models. Due to the fact that windows contain parts for which it is not possible to
perform a 2D calculation, especially in corners, it might be useful to use the 3D calculation of
a whole window including coupling, taking advantage of the symmetry. However, to achieve this,
some simplifications would have to be made, for example, for the opening mechanism, handle,
and eventually ventilation flaps.
(c) Values of the heat transfer between the local surface and surroundings. Aside from the complexity
of the calculations, the results were further burdened by uncertainties regarding the boundary
conditions. Very detailed studies of heat transfer near to the surfaces of roof windows are needed.

Author Contributions: J.T., as a head of the project, was responsible for the general methodology and writing the
paper. V.C. performed the 2D parametric studies and heat transfer evaluation. J.N. performed the daylighting
simulations. K.S. supported the development of the project by making thermal performance measurements. L.M.
was responsible for daylight measurements.
Funding: This research was funded by the Ministry of Education, Youth and Sports, Czech Republic, grant
number LO1605.
Acknowledgments: This work was supported by the Ministry of Education, Youth and Sports, Czech Republic,
within National Sustainability Programme I (NPU I), project LO1605—University Centre for Energy Efficient
Buildings—Sustainability Phase. Our special thanks go to Slavona Company for its inspiring cooperation and
support. We also thank for the cooperation of the daylighting laboratory at Danube University in Krems, Austria.
Conflicts of Interest: The authors declare no conflict of interest.

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Energies 2019, 12, 2300

Nomenclature
A Area, m2
D Daylight factor, %
U Thermal transmittance, W/(m2 ·K)
f Surface temperature factor, dimensionless
g Solar factor, dimensionless
h Surface heat transfer coefficient, W/(m2 ·K)
l Length, m
ψ Linear thermal transmittance, W/(m·K)
ρ Light reflectance, dimensionless
τ Light transmittance, dimensionless
Indices
a Air
c Convection
g Glazing
e Exterior
f Frame
i Interior
inst Installed
r Radiation
s, S Surface
R Required
w Window

Appendix A

Table A1. Examples of the distribution of transmittance heat loss for a pitched roof (total area 140 m2 )
of a family house with six roof windows (6 × 1.0 m2 ). Alternative A corresponds to a typical solution
around the year 2000, alternative B corresponds to a passive house quality roof with traditional roof
windows, and alternative C corresponds to a passive house quality with high-performance windows.

Thermal Heat Transfer Coefficient Increased Heat Transfer (%)

Transmittance (W/K) (%) (100% = No Windows)

A
Roof 0.3 W/(m2 ·K) 40.2 69 69
Roof windows 1.8 W/(m2 ·K) 10.8 19 
31
Window–roof thermal coupling 0.3 W/(m·K) 7.2 12
Total 58.2 100 139
B
Roof 0.1 W/(m2 ·K) 13.4 49 49
Roof windows 1.5 W/(m2 ·K) 9.0 33 
51
Window–roof thermal coupling 0.2 W/(m·K) 4.8 18
Total 27.2 100 194
C
Roof 0.1 W/(m2 ·K) 13.4 71 71
Roof windows 0.6 W/(m2 ·K) 3.6 19 
29
Window–roof thermal coupling 0.08 W/(m·K) 1.9 10
Total 18.9 100 135

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Energies 2019, 12, 2300

Appendix B Results of Observations of Heat Transfer at an Internal Surface under Real

Conditions—Preliminary Comparison of a Large Vertical Window and a Small Roof Window
(Case Study)
Two windows in an occupied family house were monitored for heat transfer between the interior glazing
and the surroundings. There were two principally different situations: (a) A roof window with standard double
glazing and with dimensions of 0.86 m × 0.61 m fitted in an insulated sloping roof; and (b) a balcony door
containing a glazed window with dimensions of 2.4 m × 0.8 m, with visible glazing dimensions of 2.15 m × 0.66 m.
Under the roof window is a heating body (a hot water radiator) reaching up to half the width of the window.
The room with a balcony door has a high-quality envelope at the passive house level [5]; the windows here are
equipped with triple glazing. There is no heating body at the balcony door.
In both cases, the values of the heat flux density, the temperature at the surface of the glass, and the
temperatures at a small distance from the surface were measured at selected locations (Figure A1).

Figure A1. Schematic of a roof window (left) and a glazed balcony door (right). Points A1, A2, E1, E2,
and E3 indicate where the surface heat transfer coefficient was preliminarily estimated. (Unit: mm).

Figure A2 is an infrared image of a balcony door, with a relatively uniform drop in surface temperatures
from the top downwards, more pronounced at the bottom, over a height of approximately 200 mm. The air in this
room has very little thermal stratification (up to 1.6 K at a height corresponding to the height of the window).
Figure A3 is an infrared image of a roof window showing unevenness in the surface temperature distribution,
including an apparent direct exposure of the heating body (surface temperature at heating body top by 50 ◦ C).
The complicated situation in the immediate vicinity of the roof window is also reflected by a number of other
air temperature measurements made at different distances from the window (Figure A4). This is demonstrated
by the presence of inhomogeneous turbulent air streams with temperatures that are very different from the air
temperature measured in the middle of the room. Air temperatures near the surface are approximately 2 to 5 K
higher when the heating body is in normal operation than in the case when the upwards heat exchange is blocked.
Figure A5 clearly shows the effect of the heating body on the surface and air temperature in the layer close to the
window surface. In cases with an unblocked heating body function, the temperature at the window surface and
its surroundings is higher than the air temperature in the center of the room.

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Energies 2019, 12, 2300

Figure A2. Illustrative infrared picture of a glazed balcony door. a: a thin textile ribbon installed 15 mm
in front of the glazing surface; b: a thin textile ribbon at a distance of 1.4 m from the glazing. Both
ribbons were used for indirect informative measurement of the temperature of the surrounding air.

Figure A3. Illustrative infrared picture of a roof window. A multiple reflection of a heating body is
clearly visible, which affects the window, in particular the radiative heat transfer component.

Figure A4. Illustrative single temperature measurement for the roof window—vertical temperature
profile along the window. a: a distance of 15 mm from the glazing. b: a distance of 80 mm from the
glazing. c, d, and e: glass temperature in the center of the window, at the left edge of the window, and
at the right edge of the window, respectively. The indoor air temperature was 21.5 ◦ C, the surface
temperature of the heating body was 27 ◦ C, and the exterior air temperature was 0 ◦ C.

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Energies 2019, 12, 2300

Figure A5. Measured temperatures in the center of the roof window for different states of the heating
body. θ25 is the temperature at a distance of 25 mm from the surface, θs is the temperature at the
surface, and θi is the air temperature at the center of the room. The temperature of the heating body is
shown in the bottom row.

An evaluation of the surface heat transfer coefficient from the heat flow density measurements and the
temperature differences between the air and the window surface is presented in Figure A6 and Table A2. The
surface heat transfer coefficient of the balcony door generally corresponds well to the expected value (standard
value hsi = 1/0.13 W/(m2 ·K)). For the roof window, the corresponding value of this method, proven by the
measurement of the balcony door, seems to be quite different, being up to twice as high as the value in the center
of the window.
The studied case is not representative of other possible configurations of roof windows (due to the presence
of a heating body, different window size, different geometry of the side lining, etc.). Further measurements in
laboratory conditions and other analyses should be used to study this effect more precisely.

Figure A6. Surface heat transfer coefficient (SHTC; hsi ) estimated from preliminary measurements at
the roof window and the balcony door window (see Figure A1).

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Energies 2019, 12, 2300

Table A2. Surface heat transfer coefficient—overview of measured values.

Mean Value hsi

Window Position
W/(m2 ·K)
Center A1 7.0
Glazed balcony door
Bottom A2 5.3
Center E1 18.8
Roof window Center, right E2 8.6
Bottom, right edge E3 15.7

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Windows; European Committee for Standardization (CEN): Brussels, Belgium, 2006.
22. COMSOL Multiphysics 4.4. Available online: https://www.comsol.com (accessed on 5 March 2016).
23. European Committee for Standardization. EN ISO 10077-2 Thermal Performance of Windows, Doors and
Shutters—Calculation of Thermal Transmittance—Part 2: Numerical Method for Frames; European Committee for
Standardization (CEN): Brussels, Belgium, 2017.
24. Svend, S.; Lautsen, J.B.; Kragh, J. Linear thermal transmittance of the assembly of the glazing and the frame
in windows. In Proceedings of the 7th Symposium on Building Physics in the Nordic, Reykjavik, Iceland,
13–15 June 2005; IBRI: Reykjavik, Iceland, 2005; pp. 995–1002.
25. Compacfoam. Available online: http://www.compacfoam.at (accessed on 20 April 2019).
26. Software HTflux. Available online: https://www.htflux.com (accessed on 20 January 2019).
27. European Committee for Standardization. EN ISO 10211 Thermal Bridges in Building Construction—Heat Flows
and Surface Temperatures—Detailed Calculations; European Committee for Standardization (CEN): Brussels,
Belgium, 2018.
28. Velux Daylight Visualiser. Available online: https://www.velux.com/article/2016/daylight-visualizer (accessed
on 20 January 2019).
29. European Committee for Standardization. EN ISO 12667 Thermal Performance of Building Materials and
Products. Determination of Thermal Resistance by Means of Guarded Hot Plate and Heat Flow Meter Methods.
Products of High and Medium Thermal Resistance; European Committee for Standardization (CEN): Brussels,
Belgium, 2001.
30. Intellectual Property Office. Exterior Shading System with Integrated Functions for Roof Windows; Utility Model
CZ 32088; Intellectual Property Office: Prague, Czech Republic, 2018.

© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

44
 energies
Article
Energy Retrofitting of a Buildings’ Envelope:
Assessment of the Environmental, Economic and
Energy (3E) Performance of a Cork-Based Thermal
Insulating Rendering Mortar
José D. Silvestre 1, *, André M. P. Castelo 1 , José J. B. C. Silva 2 , Jorge M. C. L. de Brito 1 and
Manuel D. Pinheiro 1
1 CERIS, Department of Civil Engineering, Architecture and Georresources, Instituto Superior Técnico,
Universidade de Lisboa, Avenida Rovisco Pais 1, 1049-001 Lisboa, Portugal;
[email protected] (A.M.P.C.); [email protected] (J.M.C.L.d.B.);
[email protected] (M.D.P.)
2 Architecture Department, University of Évora, Apartado 94, 7002-554 Évora, Portugal; [email protected]
* Correspondence: [email protected]; Tel.: +351-21-841-9709

Received: 25 November 2019; Accepted: 22 December 2019; Published: 27 December 2019

Abstract: This paper presents an environmental, economic and energy (3E) assessment of an
energy retrofitting of the external walls of a flat of an average building with the most current
characteristics used in Portugal. For this intervention, a cork-based (as recycled lightweight aggregate)
TIRM (Thermal Insulating Rendering Mortar) was considered. The declared unit was 1 m2 of an
external wall for a 50-year study period and the energy and economic costs and savings, as well as
the environmental impacts, were analytically modelled and compared for two main alternatives:
the reference wall without any intervention and the energetically rehabilitated solution with the
application of TIRM. Walls with improved energy performance (with TIRM) show lower economic
and environmental impacts: reductions from 6% to 32% in carbon emissions, non-renewable energy
consumption and costs during the use stage, which depends on the thickness and relative place where
TIRM layers are applied. A worse energy performance is shown by reference walls (without TIRM)
during the use stage (corresponding to energy used for heating and cooling), while the improved
walls present economic and environmental impacts due to the application of TIRM (including the
production, transport and application into the building) that do not exist in the reference walls.
The comparison between reference walls and energy-retrofitted ones revealed that reference wall
become be more expensive when more demanding operational energy requirements are analysed
over a 50-year period, even if renewable materials are more expensive.

Keywords: cork; energy retrofitting; life cycle assessment; life cycle costs; thermal insulating
rendering mortar

1. Introduction
Thermal Insulating Rendering Mortars (TIRM) are an important solution that has been used to
improve the energy efficiency of the envelope of refurbished and new buildings. It can be applied as
an external or internal rendering and insulation of external walls (Figure 1). The main quality of TIRM
is their low thermal conductivity, which is provided by the incorporation of lightweight aggregates
instead of sand in the mix.

Energies 2020, 13, 143; doi:10.3390/en13010143 45 www.mdpi.com/journal/energies

Energies 2020, 13, 143

(b)
(a)

(c) (d)

Figure 1. (a) Spraying application of thermal insulating rendering mortar (TIRM) with cork as
lightweight aggregate; (b,c): Smoothing of each coat of mortar; (d) TIRM with cork as lightweight
aggregate applied as external rendering of the external wall of a building [1,2].

This research study includes the assessment of the 3E (environmental, economic and energy)
performance during the life cycle of a TIRM applied in the thermal renovation of the external walls of a
flat of an average building with the most current characteristics used in Portugal. The characterisation
of the 3E performance of this construction material when used in the energy renovation of buildings’
envelope was based on data from companies, previous research works, reference literature, and software
databases. This approach is of the outmost importance to provide reliable results to support energy
retrofitting interventions. The energy benefits of these measures are well known, but it is important to
discuss the environmental and economic balance between the expense of resources in the materials
used and the savings during the building’s use after the intervention.
The environmental life cycle assessment (LCA) is made from cradle-to-cradle (C2C), being focused
on the consumption of non-renewable primary energy and carbon footprint of the TIRM and of its
components. The economic assessment C2C is based on market prices (e.g., the cost of manufacture,
transportation to site and installation, corresponding to the market acquisition cost) and on the savings
that result from using this material in the retrofit of envelopes [3].
In the TIRM considered for this work, cork is used as a recycled lightweight aggregate. This TIRM
is available in the Portuguese market only in recent years and is produced by two Portuguese and one
Italian company. The use of TIRM with cork as a lightweight aggregate has, on average, a thermal
conductivity of approximately 0.093 W/m ◦ C, which corresponds to 20% of the thermal conductivity of
common rendering mortars. For this study, an average value of thermal conductivity of 0.095 W/m ◦ C
was considered in order to take into account the various cork-based (as lightweight aggregate) TIRM
found in the market of the Mediterranean region [1,2].

2. State-of-the-Art on the LCA of Building Envelope

The application of LCA to study alternatives for the buildings’ envelope is gaining an increasing
importance all around the world, since it could help to determine the solution that most improves
the overall performance of the buildings’ envelope [4,5]. The building’ envelope is one of the parts
that significantly influences the 3E performance of a building, and the external walls influence directly
the 3E performance of the buildings’ envelope due to their large weight within the envelope’s initial
whole-life cost, life cycle energy consumption, embodied energy and users’ comfort.

46
Energies 2020, 13, 143

The 3E impacts of each alternative of the external wall solution results directly from the
characteristics of the materials selected (e.g., initial embodied energy, thermal properties, design
choices and construction procedures). Thus, it is very important to make available a method that
provides the comparison of alternatives and helps to determine the best one to implement in every
design of new or refurbishment of a building envelope [6].
There are ongoing developments and studies with this aim all over the world. From the studies
identified, the methods being applied to find the alternatives for the buildings’ envelope with the best
performance are:

• In Portugal, seven exterior wall alternatives with almost the same thermal performance, and seven
different heating systems, were considered in the calculation of the LCA of a house. The study
period was defined as 50 years, including the production stage and the heating energy and
maintenance actions [7]. Two external claddings’ alternatives (stone claddings and renders)
were compared in terms of environmental LCA and service life prediction [8], in another study
completed in the same country;
• In China, five façade solutions were considered for an office building, considering their
environmental load (and corresponding environmental cost), including operational energy,
and economic cost, in order to provide their general payback time and green payback [9,10];
• In Indonesia, a life cycle energy assessment study regarding middle- to high-class residential
high-rise apartments in Jakarta identified the best alternatives among common wall types regarding
the energy consumption from cradle to the use phase over a 40-year study period [5];
• In Lebanon, a multiscale life cycle energy analysis framework was used to determine the profile
of energy use of new residential buildings by considering embodied, operational and user
transportation energy requirements, over 50 years. It also identified the most effective ways
to reduce energy use along the various life cycle stages, and at different scales, of the built
environment [11];
• In Spain, an LCA study compared five constructive systems for the building envelope of a modular
house: hollow brick; hollow brick with Phase Changing Materials (PCM); conventional brick;
conventional brick with polyurethane insulation and PCM; conventional brick with polyurethane
insulation [12]. The environmental impacts over an 80-year study period were considered for
each alternative;
• In Italy, alternative envelope solutions, including type and width of masonry and insulating
materials, were considered in the LCA study of a conventional house and an office building [13].

Other methodologies and case studies have already been developed worldwide to optimize
the buildings performance. In this study, the Environmental, Economic and Energy from Cradle to
Cradle (3E-C2C) methodology was used, developed in the University of Lisbon’s Instituto Superior
Técnico [14]. This method estimates the 3E performance of the alternatives for the buildings envelope
during all life cycle stages in order to select the best one.
In the research for this study, it was found that most studies of the building’s envelope only
comprise part of the LCA, mainly Life Cycle Energy Assessment (LCEA) studies and there are very few
studies that comprise the 3E LCA, including the economic assessment, and all its different stages [15–17].
Therefore, using this method along with this case study is an innovative approach, and an improvement
compared to previous studies with analogous building assemblies and objectives.

3. Materials and Methods

The object of the study was an intermediate flat of a model building denominated “Hexa”.
The building has six residential floors and a ground floor for commerce [18] and it has the most current
building and architectural characteristics used in Portugal [19]. The apartment located at the right of
Figure 2 was selected as case study, without any adjacent building to the façade on the east. Évora was

47
Energies 2020, 13, 143

the location chosen for the Hexa building in this study, which is located in the south of Portugal, with
extreme temperature in summer (up to 40 ◦ C) and cold in winter (0 ◦ C).

Figure 2. Residential model flat considered in this study (on the right).

The external walls used in this study were the south and north façades of the flat, using as
declared unit/reference flow one square metre of external wall. Fifty years was set as the reference
study period [18], since it is the service life of a building usually considered in structural design and
was also the one considered in most of the studies identified in the state-of-the-art (see Section 2).
To use TIRM for the thermal retrofit of the façades of the “Hexa” building [19], two reference
solutions were considered, without insulation: a single-leaf wall of hollow fired-clay bricks with 0.22 m
of thickness (W1); a cavity wall with two leaves with 0.15 m and 0.11 m of thickness (W11), of the
same material. Then, twelve enhanced solutions with TIRM were considered using the same thickness,
but applied on the interior, exterior or on both sides of the wall, as shown in Table 1.

Table 1. Label, thickness and U-Value of the wall solutions analysed.

Thickness (m) U-Value

Wall Type Insulation Material Designation
[W/(m2 ◦ C)]
Interior Exterior Total
− W1 − − 0.26 1.36
TIRM W3 0.10 − 0.34 0.57
TIRM W4 0.15 − 0.39 0.44
Single Leaf TIRM W6 0.10 0.10 0.42 0.36
TIRM W7 0.15 0.15 0.52 0.26
TIRM W8 − 0.04 0.88 0.28
TIRM W9 − 0.10 0.34 0.57
TIRM W10 − 0.15 0.39 0.44
− W11 − − 0.35 0.95
TIRM W13 0.10 − 0.43 0.48
TIRM W14 0.15 − 0.45 0.36
Cavity Wall TIRM W16 0.10 0.10 0.51 0.32
TIRM W17 0.15 0.15 0.58 0.23
TIRM W18 − 0.04 0.62 0.34
TIRM W19 − 0.10 0.43 0.48
TIRM W20 − 0.15 0.45 0.36

The energy renovation of reference walls (W1 and W11) is important. Nevertheless, the cooling
and heating needs of the flat in each year of the study period depend either on the reduced thermal
performance (U-value) achieved after this intervention and on the surface (inner or outer) of the
external wall in which the TIRM is applied. Actually, a lower U-value maximizes its effect on decreasing
the needs of energy for heating and cooling when the insulation material is applied on the outer surface
of the external wall. This occurs because, when compared with internal insulation, higher efficiency to

48
Energies 2020, 13, 143

avoid the heating losses during winter along linear thermal bridges on the external wall is achieved by
external insulation.
Table 2 describes the replacement, repair and maintenance operations of each internal coating and
external cladding along the life cycle (after the retrofit operation).

Table 2. Maintenance, repair and replacement operations of each external cladding and internal coating
of external wall evaluated.

Cladding or Coating Maintenance, Repair and Replacement Operations

ECS1—Adherent (0.02-m-thick render; water-based paint)
Total cleaning and repainting every 5 years and, after
ECS2—Thermal insulating rendering mortar with cork and 25 years, repair of 35% of the area.
water-based paint
ICS1—Adherent (0.02-m-thick render; water-based paint)
Total cleaning and repainting every 5 years and, after
ICS2—Thermal insulating rendering mortar with cork and 10 years, repair of 5% of the area.
water-based paint

3.1. 3E-C2C Method

Regarding the goal and scope, this research study applied an approach for the integrated 3E’s
(Environmental, Energy and Economy) assessment from cradle to cradle (3E-C2C) of the life cycle
performance of construction materials or assemblies related with the thermal performance of buildings,
which was already used in the use of External Thermal Insulation Composite Systems (ETICS) in the
energy retrofit of buildings [20].
The 3E-C2C method assesses the 3E’s impacts of each construction material or assembly for the
whole life cycle (C2C) by analytically modelling and considering all the factors that can affect them
(e.g., the operational performance of the assembly, and its service life and recycling potential, as shown
in Table 3).

Table 3. Detailed life cycle stages of building materials classification [21].

Life Cycle Stages/LCA Life Cycle Stage Designation

LCA Boundaries
Information Modules and Description
Raw material extraction and
Cradle to Gate

A1 processing, processing of
Product Stage (A1–A3) secondary material input
Transportation to the
A2
manufacturer
A3 Manufacturing
Cradle to Grave

A4 Transportation to the building site

Cradle to Cradle

Construction process stage (A4, A5)

A5 Installation in the building
Use or application of the installed
B1
product
Gate to Grave

Use stage - information modules related to B2 Maintenance

the building fabric (B1–B5) B3 Repair
B4 Replacement
B5 Refurbishment
Use stage—information modules related to B6 Operational energy use
the operation of the building (B6, B7) B7 Operational water use
C1 D-construction, demolition
C2 Transport to waste processing
End-of-life stage (C1–C4)
Waste processing for reuse,
C3
recover and/or recycling (3R)
C4 Disposal
Benefits and loads beyond the system Reuse, recovery and/or recycling
D
boundary (D) (3R) potentials

49
Energies 2020, 13, 143

This study considered “one square metre of external wall for 50 years from thermal retrofit
(TIRM application)” as the declared unit, not considering a functional unit, and considering the use
stage, reference service life and end-of-life stages of each alternative. This approach can compare
external wall alternatives with different U-values because the corresponding LCA study considers the
environmental and costs of their relative thermal performance over 50 years and of the production of
the corresponding thermal insulation thickness.

3.1.1. Environmental Performance

The LCA standardised method [22,23], its four main steps (goal and scope definition, inventory
analysis, impact assessment, and interpretation) and most of the principles from European
standards [24,25], are complied with by the 3E-C2C method for the quantification of the environmental
performance from cradle to cradle. Regarding the system boundaries of this study, at each life cycle
stage the environmental performance is defined by:

• Product Stage (A1–A3): For each product or construction material, the inventory of the LCA data
of the production resulted either from the studies completed in Portuguese plants [14] or from the
application of Native LCA in the selection of coherent LCA data sets on TIRM to be used [26].
The composition considered for this product was based on a Portuguese producer [2]. The LCA
of the production of each construction material (cradle-to-gate approach) was calculated with
SimaPro and environmental impact results were achieved by using an environmental impact
assessment method with a mid-point approach—CML 2001 baseline method;
• Construction process stage (A4–A5): The thermal retrofit includes the installation of the product
in the building: removal, and transportation to waste processing and disposal, of the old render
and paint; external and/or internal rendering of the external wall with TIRM, and application of
the corresponding coating;
• Use stage—maintenance, repair and replacement (B2–B4): During the study period, the
environmental impacts of the materials applied in replacement, repair and maintenance operations,
and of the corresponding waste flows, were considered;
• Use stage—energy cost (B6): The energy performance is based on the estimation of the energy
needs for heating and cooling during the buildings’ operation. These needs are then divided by
the total area of external wall to result in a value related to the declared unit considered. This
value, and the corresponding environmental impacts, are based on the residential consumption
for heating and cooling considering an updated Portuguese electricity mix [27];
• End-of-life stage (C): The transportation of the discarded product as part of the waste processing
and transportation of waste (C2), the waste processing (C3) and the waste disposal, including
physical pre-treatment and management of the disposal site (C4) are considered; since the
environmental impacts of demolition (C1) are similar for all alternatives, they are not considered.

3.1.2. Economic Performance

The Whole-Life Cost (WLC) method [28] and most of the principles included in the European
Standards [21] support the economic module of the 3E-C2C approach.
The NPV (Net Present Value), considering the study period, the heating and cooling needs and
the operation costs of each substage, is the comparison unit between the alternatives. The formulas
presented in Table 4 support the estimation of the NPV.
The economic performance is defined, for each life cycle stage, by:

• Product and construction process stages (A1–A5): For the installation of the TIRM in the building,
the cost of the renovation described in the construction process as to be considered, except for the
costs of workmanship to remove the old render and the paint and for the costs of installation of any
scaffolding, on the external surface of the external wall, to complete this operation. These costs were
collected from: a Portuguese producer of TIRM with cork as a lightweight aggregate [1]; previous

50
Energies 2020, 13, 143

research studies [29]; construction firms, market surveys and building materials suppliers [18];
reference national documents [30];
• Use stage—maintenance, repair and replacement (B2–B4): The cost of replacement, repair and
maintenance operations completed in each year defines the economic cost of this stage in year “n”
per square metre of external wall;
• Use stage—energy cost (B6): The energy used for heating and cooling [31], calculated by the
method used in Portuguese codes [32], permits the calculation of the energy cost in year “n” per
square metre of external wall;
• End-of-life stage (C): Only the costs for transportation and disposal of the materials or building
assemblies and the expenses and/or revenues from recycle, reuse, and energy recovery are
considered for the economic cost in year 50 per square metre of external wall [33,34].

Table 4. Equations used to determine the NPV of each solution.

Equation Unit List of Abbreviations


50
Cn - Cn , cost in year n (€/m2 );
NPV = (1+d)n
(€/m2 )
n=0 - d, real discount rate applied (3%), without considering risk.
Cn
= Cevn + Cecn (€/declared unit) −
+ Cegn
- T, cost of 1 kWh of electricity in Portugal, for household
consumers, without VAT or standing charges (€/kWh) (0.139
€/kWh, for an installation of more than 2.3 kVA);
- Nic , nominal annual heating needs per square metre of net floor
Cegn area of the flat (kWh/m2 *year);
- ηi , nominal efficiency of the heating equipment (which is 1,
=N0.1 ×NT 
× ηici + ηvcv (€/year *m2 of external wall) considering the reference value [32]);
Aap - Nvc , nominal annual cooling needs per square metre of net floor
× Aew area of the flat (kWh/m2 *year);
- ηv , nominal efficiency of the cooling equipment (which is 3,
considering the reference value [32]);
- Aap , net floor area of the flat assessed (129.96 m2 );
- Aew , total area of the external wall assessed (40.27 m2 ).

4. 3E Assessment of Energy Retrofitting Alternatives

To evaluate and compare the 3E performance of the energy renovation alternatives considered in
this case study for two reference external walls without insulation (W1 and W11), the 3E-C2C method
was used. The envelope renovation results from the application of a TIRM with cork as a lightweight
aggregate and considering various relative locations and thicknesses.
The 3E-C2C method is in accordance with European and international standards and performance
labels. C2C LCA studies were considered to assess the environmental performance, which is focused on
the consumption of nonrenewable primary energy (PE-NRe) and on the carbon footprint (reflected on
the environmental impact category “Global Warming Potential”—GWP). The economic performance
from C2C considered market prices and also the “economic savings” (lower cooling and heating energy
demand) resulting from the application of TIRM in the envelope renovation of buildings.
The main thermal insulating characteristics of the TIRM using cork as a lightweight aggregate,
including the improvements in the thermal performance of the building envelope after its installation
and the corresponding reduction of energy demand, were considered in the assessment of the energy
performance. Ongoing changes in comfort demands and in building occupancy have led to a higher
consumption of operational energy. Therefore, higher values (from 30 and 50%, while 10% of the
energy needs is the default value) were considered to simulate future representative scenarios for
apartments [35] or multifamiliar residential buildings [36].

51
Energies 2020, 13, 143

4.1. Carbon and Energy Consumption Balances

Figure 3 shows the results from the C2C environmental and energy carbon footprint of the external
wall alternatives, expressed by the GWP. This figure expresses an environmental impact between
74% and 93% at stages A1–A5 and between 1% and 2% at stages C2–C4 and D (of the total C2C
GWP, without considering the energy for heating or cooling), both stages having an impact directly
proportional to the thickness of TIRM applied in the renovation. The GWP in the B2–B4 stages does
not differ much between the alternatives due to their common maintenance strategy, and represent 4%
to 24% of their C2C GWP.


*:3>NJ&2 HT@ $$ $ $ %% &&'













: : : : : : : : : : : : : : : :

Figure 3. C2C Global Warming Potential (GWP, in kg CO2 eq, with the energy needed for heating and
cooling not being considered) of each alternative of external wall.

The C2C consumption of PE-NRe (Figure 4) has a trend similar to GWP. Between 52% and 86%
of the impact comes from stages A1–A5 and between −5% and 3% corresponds to the end-of-life,
being directly proportional to the thickness of TIRM applied. The entire “positive” C2C PE-NRe for
the reference solution is within the B2–B4 stages, varying between 11% and 53% for the remaining
solutions, with the energy needed for heating and cooling not being considered.


3(15H>0-@ $$ $ $ %% &&'












: : : : : : : : : : : : : : : :

Figure 4. C2C consumption of nonrenewable primary energy (PE-NRe, in MJ, with the energy needed
for heating and cooling not being considered) of each alternative of external wall.

4.2. Economic Costs and Benefits

Figure 5 shows the results of the economic balance regarding the use of TIRM as external and/or
internal rendering of the walls defined for this study. It was found that the NPV of the C2C cost of
each external wall alternative: is directly proportional to the thickness of TIRM applied, and varies

52
Energies 2020, 13, 143

from 19% to 60%, at stages A1–A3, A4 and A5; is between 1% and 3% at the end-of-life; represents
around 54% for the reference wall, and varies from 23% to 46% for the remaining solutions, for the
replacement, repair and maintenance operations (stages B2–B4), even if being similar in absolute terms
for all alternatives. The remaining contribution of the NPV results from the cost of energy used for
heating and cooling (B6 substage), about 44% for the reference solutions and between 14% and 35% of
the NPV of the remaining ones.
Figure 5 allows concluding that there is no wall alternative where TIRM was applied that provides
“economic savings” in comparison to the reference solutions. Nevertheless, these results were obtained
for a consumption of energy during the B6 substage necessary to fulfil only 10% of the heating
and cooling needs. However, these “economic savings” can become more significant, as shown in
Figure 6, if higher values are used to simulate future realistic scenarios for dwellings or multifamiliar
residential buildings.

Figure 5. NPV of the economic (including A1–A5, B2–B4 and C2–C4 and D stages) and energy (for B6
substage) costs of each external wall alternative.

Figure 6. Difference between the NPV of the economic (including A1–A5, B2–B4 and C2–C4 and D
stages) and energy (B6 substage) costs of each external wall alternative and the NPV of reference
solution (W1, for single-leaf walls, at left; W11, for cavity walls, on the right), considering different
consumption patterns for the use stage (providing 10%, 30% or 50% of the energy needs).

4.3. Energy Savings in Heating and Cooling

The “environmental impact savings” results show that the application of TIRM on the external
surface of these walls could result on carbon savings from 6% to 32%. For the “environmental impact
savings” of consumption of PE-NRe for the operational energy consumption during the study period,
similar results were achieved.
In this study, these “environmental impact and economic savings” during the B6 substage are
expressed per m2 of the external wall of the flat chosen. However, the corresponding savings at a

53
Energies 2020, 13, 143

national scale provided by the implementation of these energy retrofit operations in Portugal or in
other countries can be extrapolated but the thermal performance characteristics of most of existing
buildings have to be considered and adapted to each specific case.

5. Discussion
For the single-leaf wall group, the C2C environmental LCA showed that W9 has the lowest C2C
PE-NRe, considering the consumption of energy necessary to satisfy 10% of the heating and cooling
needs, as shown in Table 5. If this value is increased to 30% or 50%, then W10 becomes the best
alternative. The best economic alternative considering the consumption of energy needed to fulfil 10%
of the heating and cooling needs is W1 (no renovation) but, when the energy consumption increases to
30% or 50%, the best alternative becomes W8 (Table 5 and Figure 6).
Within the cavity wall group, the C2C environmental LCA showed that W18 has the lowest C2C
PE-NRe, considering the consumption of energy necessary to fulfil 10% of the heating and cooling
needs, as shown in Table 6. If this value is increased to 30% or 50%, then W20 becomes the best
alternative. The best economic alternative considering the consumption of energy needed to fulfil 10%
or 30% of the heating and cooling needs is W11 (no renovation) but, when the energy consumption
increases to more than 50% (53%), the best alternative becomes W18 (Table 6 and Figure 6).

Table 5. Single-leaf external wall solutions that offer the best performance, depending on the
dimension analysed.

Heating and Difference to the

Life Cycle Stages Performance Best
Approach Cooling Needs Second and to the
Considered Aspects Performance
Fulfilled (%) Reference Alternatives
LCA: GWP C2C (A1–A3; A4; A5; 310% (W2/W8)
B2–B4; C2–C4 and D), W1 (no
Environmental −
without energy use for renovation)
LCA: PE-NRe 110% (W2/W8)
heating and cooling
10 W8 1% (W9); 11% (W1)
LCA: GWP 30 1% (W9); 21% (W1)
W10
C2C (A1–A3; A4; A5; 50 1% (W9); 24% (W1)
Environmental
B2–B4; B6; C2–C4 and D)
10 W9 1% (W10); 17% (W1)
LCA: PE-NRe 30 2% (W9); 24% (W1)
W10
50 3% (W7/W9); 26% (W1)
A1–A3; A4; A5; B2–B4; W1 (no
WLC Economic 10 15% (W8)
B6; C2–C4 and D renovation)

Table 6. External cavity wall solution that offers the best performance, depending on the
dimension analysed.

Heating and Difference to the

Life Cycle Stages Performance Best
Approach Cooling Needs Second and to the
Considered Aspects Performance
Fulfilled (%) Reference Alternatives
LCA: GWP C2C (A1–A3; A4; A5; 310% (W12/W18)
B2–B4; C2–C4 and D), W11 (no
Environmental −
without energy use for renovation)
LCA: PE-NRe 111% (W12)
heating and cooling
10 W18 4% (W11)
LCA: GWP 30 0% (W19); 9% (W11)
W20
C2C (A1–A3; A4; A5; 50 1% (W19); 12% (W1)
Environmental
B2–B4; B6; C2–C4 and D)
10 W18 0% (W19); 6% (W11)
LCA: PE-NRe 30 1% (W19); 12% (W11)
W20
50 2% (W19); 14% (W1)
10 W11 (no 19% (W18)
A1–A3; A4; A5; B2–B4;
WLC Economic 30 renovation) 5% (W18)
B6; C2–C4 and D
53 W18 0% (W11)

54
Energies 2020, 13, 143

6. Conclusions
This paper presents the life cycle performance (3E) assessment of the application of a TIRM
(Thermal Insulating Rendering Mortar) with cork in the energy rehabilitation of a model building.
The three vectors of sustainability were considered in order to provide a true Life Cycle Sustainability
Assessment: environmental, economic and social (represented here by the thermal comfort expressed
by the energy needs, even if the energy costs and environmental loads are being considered in the
other two pillars).
A worse energy performance on the operational stage (energy used for heating and cooling) of
reference walls (without TIRM) was found, while walls with improved energy performance (with
TIRM) show lower environmental and economic impacts: 6% to 32% reduction in carbon emissions,
costs and in nonrenewable energy consumption during the use stage, depending on the relative position
of the layers and on the thickness of TIRM applied. However, environmental and economic impacts
due to the removal of the ancient coating and application of TIRM during production, transport and
execution on site, that do not exist in the reference walls, have to be considered for improved walls.
At the end, it was found that although renewable materials are more costly, the reference wall tends
to be more expensive when a 50-year period is considered with an higher energy demand for heating
and cooling, namely for single walls without insulation. If the reference wall is a cavity wall without
insulation, only an external economic incentive can encourage an energy retrofitting intervention.

Author Contributions: Data curation, J.D.S.; Methodology, J.D.S.; Validation, A.M.P.C. and J.J.B.C.S.;
Writing-original draft, J.D.S.; Writing-review & editing, A.M.P.C., J.J.B.C.S., J.M.C.L.d.B. and M.D.P. All authors
have read and agreed to the published version of the manuscript.
Funding: This research work was completed in the scope of the project MARIE—Mediterranean Building
Rethinking for Energy Efficiency Improvement (2011–2014), cofinanced by the European Regional Development
Fund (ERDF) and the MED Programme.
Acknowledgments: The authors are also grateful for the support from FCT (Foundation for Science and
Technology) and from CERIS Research Institute from Instituto Superior Técnico, Universidade de Lisboa. Special
thanks are due to the Portuguese manufacturers of construction materials, for providing the necessary data to
complete this research work.
Conflicts of Interest: The authors declare no conflict of interest.

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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 energies
Article
The Application of Courtyard and Settlement Layouts
of the Traditional Diyarbakır Houses to
Contemporary Houses: A Case Study on the Analysis
of Energy Performance
İdil Ayçam 1, *, Sevilay Akalp 2 and Leyla Senem Görgülü 1
1 Department of Architecture, Graduate School of Natural and Applied Sciences, Gazi University,
Ankara 06570, Turkey; [email protected]
2 Department of Architecture, Harran University, Şanlıurfa 63300, Turkey; [email protected]
* Correspondence: [email protected]; Tel.: +90-312-582-3602

Received: 31 December 2019; Accepted: 23 January 2020; Published: 27 January 2020

Abstract: Conventional energy use has brought environmental problems such as global warming and
accelerated efforts to reduce energy consumption in many areas, particularly in the housing sector.
For this purpose, bioclimatic design principles and vernacular architecture parameters have started to
be examined in residential buildings nowadays. Thus, the demand for less energy-consuming houses
has started to increase. In this study, we aimed to specify the significance of traditional architectural
parameters for houses in the hot-dry climatic region of Diyarbakır, Turkey. Within the scope of
the study, a case was based on the urban fabric of the traditional houses in Historical Diyarbakir
Suriçi-Old Town settlement and the Şilbe Mass Housing Area was discussed. The courtyard types,
settlement patterns, and street texture of traditional Diyarbakır houses were modeled by using
DesignBuilder energy simulation program for the case study. Annual heating, cooling, and total
energy loads were calculated, and their thermal performances were compared. The aim is to create
a less energy-consuming and sustainable environment with the adaptation of traditional building
form-street texture to today’s housing sector. Development of a settlement model, which is based
on traditional houses’ bioclimatic design for hot-dry region, was intended to be applied in the
modern housing sector of Turkey. Moreover, adapting local forms, urban texture, and settlement
patterns to today has significant potential for sustainable architecture and energy-efficient buildings.
According to this study, the optimum form and layout of traditional houses, which are one of the
climate balanced building designs, provide annual energy savings if integrated and designed in today’s
building construction. As a result of this study, if the passive design alternatives such as building
shape, layout, and orientation were developed in the first stage of the design, energy efficient building
design would be possible. The study is important for the continuation of traditional sustainable design.

Keywords: traditional Diyarbakır houses; courtyard; settlement; Designbuilder simulation;

energy performance

1. Introduction
The rapid growth of the world’s population has led to a significant acceleration in energy demand
and consumption, leading to serious environmental problems such as global warming and climate
change [1,2]. Industrialization, the instability between humanity and nature, and globalization are
important problems in the building sector [3]. In other words, many sectors such as construction,
transportation, infrastructure, industry, agriculture have a significant impact on energy consumption
and carbon emissions [4]. Among these sectors, the construction sector that has a large energy

Energies 2020, 13, 587; doi:10.3390/en13030587 59 www.mdpi.com/journal/energies

Energies 2020, 13, 587

consumption network is responsible for more than 40% of global energy use and one-third of
global greenhouse gas emissions [5]. It is stated that half of the energy consumed in the buildings
is used in heating-cooling and air-conditioning ventilation (HVAC) systems to provide climatic
comfort [6]. This situation led to different searches in the construction sector to save energy costs.
As a result, passive design strategies have been developed to provide climatic comfort in heating,
cooling, and ventilation [7]. As a result of these strategies, it is aimed to provide the necessary comfort
conditions of the building with minimum energy consumption by designing the building envelope
and its thermophysical properties, orientation, form, material, space organization, and many other
parameters in an integrated way.
Traditional building settlements in Turkey and structures that make up these settlements have
originated in different ways. In other words, the traditional texture was set up using cognitive rules
and unwritten organic street pattern [8]. The different space organizations in these building settlements
were formed according to climatic conditions. One of these units, courtyard structure form, is a unit that
helps to reduce annual energy consumption with passive cooling technique [9]. The courtyard structure
form is based on thermal performance, shading, and natural ventilation. Many research studies have
been conducted on the climate performance of the courtyard form in order to address the thermal,
shading, daylight, and airflow characteristics of low buildings in different climates [10]. The courtyard
building form, which provides control of climatic elements such as sun and wind, causes a temperature
difference between the inner and outer surface of the building shell. As a result, it was found that
while the temperature of the semi-enclosed courtyard form was higher than the outdoor temperature
both in winter and at night, it had a lower value compared to the outdoor temperature due to the
shadow effect it created during the summer season [11]. Therefore, in the hot-dry climate zone where
the hottest season lasts longer than the coldest one, the courtyard structure form appears as a space
organization that provides thermal comforts by using the passive air conditioning elements together.
When the traditional street texture in the hot arid climatic zones is taken into consideration, the density
of the settlement is often encountered. Within the scope of the study, the street texture of the historical
city walls of Diyarbakir and the traditional courtyard houses that make up this texture are discussed.
In terms of Fathy, settlement texture has two features, respectively, wide courtyards and tight winding
streets [12]. The aim of this study is to create a sustainable and less energy-consuming environment by
ensuring the integration of traditional building forms and settlement orders, especially in the sector of
mass housing into today’s housing sector. As the study area, the historical Suriçi-Old Town texture and
the closest Şilbe mass housing settlement unit to this region were discussed. The reason for choosing
a mass housing settlement unit in addition to the historical urban texture in the scope of the study is
that the housing section Housing Development Administration (TOKI) produces numerous houses and
when the basalt, which is suitable for the traditional urban fabric, is used in modelling, the wall section
is thick and not quite applicable. In the first step of the study, which was carried out in four steps,
literature review and field study on traditional Diyarbakır houses and street texture were conducted.
In the second step of the study, assumptions were made with reference to the building envelope
properties of the houses in the mass housing units closest to the historical street texture by means of
DesignBuilder energy simulation program.
As a result of the literature search, heating-cooling load values of the four most commonly used
courtyard forms in the traditional housing texture were calculated and optimum courtyard form was
determined. After determining the optimum courtyard building form, the heating and cooling loads
due to the shadow effect of the structures in the corner and middle parcels were calculated by taking
the street widths of the traditional Suriçi-Old Town texture as a reference. In the conclusion part of the
study, by evaluating and comparing the results of the analysis, appropriate settlement alternatives
have been proposed for low-rise residential settlements in Diyarbakır Turkey.

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Energies 2020, 13, 587

2. Materials and Method Analysis

2.1. Characteristics of the Traditional Settlement of Diyarbakır

The province of Diyarbakir that is located in the southeast part of Turkey (Figure 1) belongs to the
hot-dry region in the classification of climates, and in this region the summer seasons last longer than
winter seasons as can be seen via Figure 2 [13,14]. In addition, July is the warmest and January is the
coldest month. The average air temperature is 27.5 ◦ C and the average temperature measurements per
month are tabulated in Figure 2 [15].

Figure 1. Location of Diyarbakır [15].

Figure 2. The average temperature measurements per month for Diyarbakır [14].

The modelling part of the study is composed of the housing units which are the reference units
on the scale of the building envelope and are located in the closest distance to the historical city
texture. The Şilbe housing estate consists of three stages with different orientations and square meters.
The relation with the historical city wall is given in Figure 3.
In this study, we aimed to analyze the effects of climate-based building design features of the
historical (Suriçi) residential unit on the energy performance of the building where the traditional
residential texture of Diyarbakır is located. In this region, we aimed to give direction regarding
climate-based design to find a suitable building form and settlement alternatives for the houses built
today. Due to the lack of studies throughout the world and Turkey, this study was designed [16].

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Energies 2020, 13, 587

Figure 3. Satellite view of historical Old Town texture—Şilbe collective housing settlement unit [17,18].

Throughout history, the city of Diyarbakır, which has been constantly exposed to war and invasion,
has found a solution to build the city with city walls all around. This led to the formation of the urban
texture in a limited area. In this urban texture, which is divided as Suriçi-Old Town and new town,
urban settlements took place in the inside of the walls until the 19th century; with the rise in the
population, to provide the need of housing, new buildings led to adjacent narrow alleys by being built
next to already existing buildings. Another important factor in the formation of the historical old town
texture walls is the climate. Located in the hot-dry climate zone, this settlement created an organic
street texture by being transformed into a courtyard space organization that allows spatial and adjacent
articulation to create shaded surfaces, protected from solar radiation [19]. When the traditional houses
in the “Sur” city walls are examined, although the parcels in this organic street texture are formally
separated from each other, the building masses in the parcel intersect vertically or at an angle close to
the vertical. This way, even in the most formally damaged parcel, the building masses intersect almost
vertically. Moreover, the parcel areas of traditional Diyarbakır houses vary between 85 and 1000 m2 .
The areas labeled as the small parcels are 85–100 m2 and the area of big parcels vary between 700 and
1000 m2 [20]. In addition, the size and forms of the parcel are the major factors in the formation of the
existing urban texture and an organic form.
The narrow streets of the traditional street texture have made the structure physically cut off some
negative environmental factors. In other words, the high walls created a shadow effect in the courtyards.
In addition, living in the courtyard brought by the warm-dry climate region as a user requirement
has caused some sound reflections. However, the basalt stone, which is used as a traditional building
material, absorbs the sounds due to its porous structure [28]. In the adjoining narrow street texture,
the spaces are only the courtyard and a small number of gaps [29]. The courtyard has a significant
influence on the formal formation of the traditional urban texture. It is seen that there are different
courtyard types in the Middle East Region which forms the basis of today’s courtyard type space
organization. In this region, where hot and dry climatic conditions prevail, it is seen that the places are
located on the north-south axis as the zoning makes it difficult to control the east and west sun [30].
For this reason, it is seen that the openings are at minimum dimensions in the spaces facing the north
direction and the windows placed in the north-south directions benefit from cross-ventilation [23].
The traditional residential settlements of the province of Diyarbakir also have the characteristics of the
traditional residential settlements in the hot dry climate. It is seen that the design principles regarding
solar control, passive cooling, and increasing ventilation are benefitted from in these settlements.
This situation has had a direct impact on traditional housing orientation and space organization.
In other words, the courtyard pattern thermal performance links to two integrally working strategies:
protecting buildings from solar radiation and natural ventilation [31,32].
In the traditional Diyarbakır houses, space was organized with the courtyard building unit being
the center. In other words, with an inward-looking design, the courtyard is the focal point of the
whole house and the other sections are positioned so that they are shaped according to the courtyard.
The climate factor comes to the forefront in the orientation of the building masses around the courtyard.

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Energies 2020, 13, 587

In hot-dry climatic zones, the fact that the hottest period lasts longer than the coldest period has led to
the emergence of a design understanding where measures to reduce solar radiation and to minimize
the drying effect of the wind are at the forefront. The most prominent part of traditional Diyarbakır
houses is summer spaces in the south wing of the courtyard [20]. Thus, the spaces in the south wing
are positioned in the north direction and designed to receive minimal solar radiation during the day.
In addition, these units have further importance in terms of the frequency of use. In the building mass
directed to the northern wing of the courtyard, the spaces were designed to face south. In houses
that do not have a northern wing, the building masses positioned to the east are considered as winter
wings. (Table 1). The examples regarding the seasonal orientation of the traditional Diyarbakır houses
are depicted through Table 2. In other words, the buildings in this wing are closed or have few
transparent surfaces in order not to expose the spaces directed to the south to sunlight too much [34].
Briefly, the spaces in the south of the courtyard and the openings facing the north (courtyard) are
planned as summer wings, and the spaces in the north of the courtyard and facing the openings in the
south (courtyard) are planned as winter wings which is illustrated in Table 3 [35–40].

Table 1. Examples of space, street pattern in the historical settlement [21–27].

Location of Suriçi Historical Settlement Top View of Settlement

Three sides closed and single arch

Eyvan
opening the courtyard.

Example of Eyvan

Vaulted passageways Kabaltı is

enclosed by high walls. Basalt
Kabalatı
stone is used as building material
in Kabaltı.
Examples of Kabaltı

Street widths vary between 1.90

Street
and 2.50 m, but it can be seen to
Width
increase up to 3.00–4.00 m widths.
Narrow streets in the traditional
Suriçi pattern
The height of the summer rooms is
4–5.5 cm and the aspect ratio is 4 ×
7–3.5 × 6 m; the height of the
Rooms
winter rooms varies between 3 and
3.5 m width and 3 × 4 and 2.5 × 3
m. Example of traditional room

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Energies 2020, 13, 587

Table 2. Parts of a typical traditional house in the Diyarbakır old town settlement, Cahit Sıtkı Tarancı
house [33].

Part Image

Site Plan

Summer

Winter

Seasonal Part

Table 3. The positioning of the seasonal spaces [41].

Part Orientation

Summer
Room

Winter
Room

Spring
Room

In traditional Diyarbakir houses, the courtyard and the Eyvan have a great influence on the
orientation of the other units. The plan typology of traditional Diyarbakır houses is classified as
U, I, and L type according to the wings arranged around the courtyard in the literature [42]. In addition,
according to the openings left by the wings around the courtyard, it is possible to rank them as plan
types with outer, inner, and middle courtyards. In the L-type plan, the courtyard is surrounded by two
adjacent wings. The wing located in the south and whose opening faces north is defined as a summer
house. In order to provide privacy in this plan type, exposed areas were separated from the street by
high walls. In the U-type plan, all three sides of the courtyard are surrounded by spaces. The biggest
advantage of this type of plan is that the wings are positioned as a summer house and winter house in
optimum directions, which correspond to the climatic data of Diyarbakır. The U-type plan is the type
of residence preferred by families with a high level of economic welfare. In the type I plan, also known

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Energies 2020, 13, 587

as the inner courtyard plan type, the two sides of the courtyard are mutually arranged. The remaining
sections were covered by walls and entrance doors. In plan type with a central courtyard, all four sides
of the courtyard are surrounded by spaces. The courtyard types mentioned above is presented via
Table 4. The major advantage of this type of plan is that it will meet the user requirements in four
seasons. The most used plan type in the traditional old town texture is the central courtyard type [42].

Table 4. Orientations used according to housing plan types in Diyarbakır [19].

Courtyard Typology

L Type

Outer
Courtyard
U Type
Plan

Mix Type

Inner
Courtyard
Plan

Center
Courtyard
Plan

2.2. Material and Method

DesignBuilder Energy Simulation program was used in this study. DesignBuilder is a dynamic
simulation tool that calculates all building energy, lighting, carbon, and comfort performance
analyses [43]. The program is preferred because it has a user-friendly interface and the simulation
results are realistic. DesignBuilder simulation program is used in many disciplines because it is reliable
software. It can be used actively in architecture, building physics, mechanical engineering, heating and
cooling systems modelling. In addition to heating-cooling load modelling, lighting has the ability to
calculate daylight and model computational fluid dynamics (CFD) [44].
IWEC (International Weather for Energy Calculations) climate data of the province of Diyarbakır,
located in the hot-dry climate region, which was selected as the study area, was introduced to the
program. Comfort conditions were determined by making certain constants and assumptions to carry
out analyses through the DesignBuilder Energy Simulation Program. Building heating and cooling
systems were used as a reference in the mass housing settlements used in the region, the building
heating system was introduced as natural gas, and the cooling system was introduced as electric
energy to the program. In order to provide climatic comfort, seasonal differentiation was preferred.
Furthermore, to provide internal climatic comfort, the indoor air temperature comfort value was set to
21 ◦ C and the heating-setback setting was set to 16 ◦ C in winter. For the summer season, the indoor air
comfort value was 25 ◦ C and the cooling setback temperature was 25 ◦ C. In addition, the number of
residential users was determined to be four. User activity level 0.9 MET (metabolic equivalent of task)
winter garment insulation value was accepted as 1 Clo and summer garment insulation value was
accepted as 0.5 Clo.
The residential type was chosen as the construction type. As a floor height, by taking traditional
Diyarbakır houses as a reference, a two-storey, 8-m-high summer mass with openings facing north

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was determined. When it comes to building shell and thermophysical properties, the building shell
properties of the collective housing buildings in Diyarbakır were taken as reference. The physical
model of the building shell of the courtyard is shown in Figure 4. About the optical properties, since
the mass facing the courtyard is more important than the main facade in the traditional Diyarbakır
houses, the transparency ratio of the surfaces facing the courtyard was determined to be 35% and the
transparency ratio of the facade was 25%. In addition, a single glass of 6 mm thickness was used as the
type of glass (Table 5).

Figure 4. Courtyard and building shell section modeled with DesignBuilder (DB version 5) [45].

Table 5. Building crust and thermophysical properties in investigated houses.

Properties U-Value (W/m2 K)

Reinforced Concrete Precast Wall
Reinforced Concrete Exterior (15 cm)
0.814
Wall Glass Fiber Insulation (3 cm)
Gypsum Plastering (1.25 cm)
Terrazzo Tile (3 cm)
Levelling Concrete (4 cm)
Blind Concrete (10 cm)
Tilling on the Floor 0.545
Clinker Filling (20 cm)
Concrete Fundament (60 cm)
Insulation (3 mm)
Bitumen Sheet (2 mm)
Heat Insulation (2 cm)
The Ceiling Dividing the Garret 0.466
Bitumen Sheet (2 mm)
Reinforced Concrete Wall (15 cm)

The study was carried out in two stages. In Step 1, a summer mass placed in south with two
rooms, a size of 4 × 12 m2 and two floors, height of 8 m was determined based on the room sizes in
traditional Diyarbakır houses and in the masses with again the same size and height called adiabatic
which does not provide any heat exchange with its environment while only providing a shadow effect,
8 m wide courtyard structure forms with L, U, central, and inner courtyards were created (Table 6).
The reason why adiabatic mass was preferred in the study is that free convection heat transfer from
a horizontal, isothermal fin attached cylinder placed between two nearly adiabatic walls has various
applications in industry [46]. Then, the heating and cooling loads due to the shadow effect of the most
commonly used forms in traditional Diyarbakır houses were compared and the optimum building
form was determined.

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Energies 2020, 13, 587

Table 6. Courtyard alternatives by using adiabatic building mass.

Courtyard Alternatives by Using Adiabatic Building Mass

Reference Building Form (12 × 4 ×

8 m)

Adiabatic Building Form

(12 × 4 × 8 m)
(Only Shadow Effect—No Heat
Transfer)

Inner Courtyard L Type Courtyard

Central Type Courtyard Form
Form Form

U Type Courtyard Form

In the second step of the study, heating-cooling loads due to the shadow effect of different street
widths and orientations were analyzed with reference to the 20 m wide, 16 m long, and 8 m high central
courtyard building form (Figure 5). In other words, due to the shadow effect created, the thermal
performances of the referenced central courtyard structure form with 3–6 m wide adiabatic building
masses in different settlements were analyzed to determine the optimum type of street texture (Table 7).

Figure 5. Reference courtyard form and dimensions (m).

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Energies 2020, 13, 587

Table 7. Different settlement layouts with streets with widths of 3 and 6 m.

B1 B2 B3

Settlement texture Settlement texture Settlement texture

consist of three blocks consist of four blocks consist of two blocks
(3 m street width) (3 m street width) (3 m street width)
B4 B5 B6

Shading Device Type

and Position
Settlement texture Settlement texture Settlement texture
consist of three blocks consist of four blocks consist of two blocks
(6 m street width) (6 m street width) (6 m street width)

2.3. Analysis of Simulation

The courtyard building forms, which are frequently used in traditional Diyarbakır houses,
were formed by adiabatic masses. In Diyarbakır, which is located in the hot-dry climate region, it was
determined that the annual cooling load expenses are higher than the heating load expenses in all forms
of construction. For this reason, it was obtained as a result of the analysis that the annual cooling load
in the middle courtyard plan type decreased compared to the reference building. Moreover, when the
examined building forms were examined, it was found that the cooling load expenses due to the
shadow effect reduced. In addition, the building form that would minimize the total cooling load
per year was found to be the plan type with a central courtyard. When total annual heating load
expenses are compared, annual heating loads increase in inner courtyard building form, while other
building forms decrease in values compared to the reference building. As a result of the analysis, it was
determined that the optimal structural form was the central courtyard plan type among the heating
load values, and also the L type courtyard type had similar values. When the total yearly heating and
cooling load values are compared with the reference building, in other words, when the reference
building which is not exposed to any shadow effect and the shadow forms with adiabatic building
masses are compared, it is found that the optimum form regarding energy performance is the central
courtyard building type (Figure 6).

25000
20000
Annual Heating-Cooling Energy Load
15000
kWh

10000
5000
0
Reference Center Inner U type L Type
Building Courtyard Courtyard Courtyard Courtyard
Heating Load 8398 7489 8550 8042 7849
Cooling Load 11130 9752 10700 10250 10598
Annual Total Load 19528 17241 19250 18292 18447

Figure 6. The effect of change of courtyard form on heating-cooling load values.

68
Energies 2020, 13, 587

The plan of the central courtyard, which was previously determined as the optimum building
form, was selected and the annual cooling-heating load values of different street widths and settlements
were compared. In other words, the reference building form with the central courtyard, which is not
surrounded by any building mass, was compared with the annual heating-cooling load values due to
the shadow effect of the building island with a different layout. In the first stage, the street widths were
fixed everywhere, 3 m as accepted, and three different settlements were compared with the reference
building. The effect of annual heating-cooling load values on heat gain and losses due to shadow effect
of the B3 corner parcel surrounded by the structures on two sides, middle parcel B1 surrounded by
the structures on three sides, and B2 inner middle parcel surrounded by the structures on four sides
were examined. As a result of the analyses, if the cooling loads connected to the B1, B2, B3 layout are
compared, the optimal layout is determined as B2 layout surrounded by the structure on four sides
provided that street widths are kept constant everywhere. When the heating loads due to the shade
effect of the settlement layout were compared, it was found that the shade effect had a negative effect
on energy costs. In other words, an increase in the heating loads due to the shadow effect was observed
in all three settlements. However, B2 layout was determined as the layout with the highest heating
load value due to the shadow effect on the four sides.
When the total annual heating and cooling load values are compared with the reference building
(Figure 7), the optimal layout is determined as the B1 layout, which is surrounded by structures on three
sides. In order to examine the effect of the same settlement on different street widths, the settlement
islands of B4, surrounded by the buildings on three sides, B5 surrounded by the buildings on four
sides and B6, which is a corner parcel surrounded by the buildings, were created. When the annual
cooling load values of the B6 corner parcel surrounded by two sides structure, B4 middle parcel
surrounded by three sides structure and B5 inner middle parcel layouts surrounded by four sides
structure are compared, the optimal layout is determined to be B5 settlement layout surrounded by
four sides structures. In other words, it was determined that the cooling load values of the settlement
arrangement B5 having the maximum shade effect had the least value. When the heating loads were
compared, it was found that annual heating loads increased in all settlements, but this increase was
less than other combinations in the corner parcel B6 settlement layout, which was surrounded by the
structures on both sides. It was determined that the settlement with the highest increase in annual
heating loads was the B5 settlement plan surrounded by structures on four sides which was exposed to
the maximum shade effect. When the total annual heating-cooling load values of different settlements
connected to the street texture with a width of 6 m are compared, it is found that optimal settlements
are B6 settlement layout surrounded by the structures on both sides.

Figure 7. The effect of change of courtyard form on heating-cooling load values.

69
Energies 2020, 13, 587

3. Results
As a result of the analyses performed through the Design-Builder energy simulation program,
changes in the annual heating-cooling load values of the building form and street texture were
determined. The mentioned results are examined under the following headings:

3.1. Annual Energy Gain-Loss Changes of Building Form

The heating-cooling energy gains and losses of different building forms formed with the reference
structure and adiabatic masses were compared. As a result of the analyses, it is seen that the plan
type with the central courtyard has a gain of 12% cooling and 14% heating load annually compared
to the reference building. In other words, plan type with a central courtyard was determined as
the most efficient form of energy compared to other building forms. When other building forms
are examined, it is seen that the cooling load in U courtyard type has increased by 4% and in L
courtyard form by 6%. However, in the inner courtyard plan type, cooling loads increase by 2% due to
insufficient shadow effect. When the four building forms are considered, it is seen that the shadow
effect has a decisive effect on the cooling loads for the province of Diyarbakır, where there is a hot-dry
climate. Again, when comparing the annual heating load losses and gains of the reference building
with different buildings’ forms, it was found that 14% of the annual gain was achieved in the plan
type of the central courtyard. Among other building forms, it was determined that the building
form, which has the minimum gain among the annual heating load values, was the inner courtyard
plan type.
Based on the total heating-cooling load values of the reference building, the annual total
heating-cooling load percentage gains of other building forms were calculated, and it was determined
that the plan type with the central courtyard among these building forms was the optimum building
form. This building form is followed by U courtyard type with 7% and L courtyard type with 6%.
It is determined that the inner courtyard plan type does not provide significant gains for the hot-dry
climate zone in terms of energy costs, in other words, it is a form of low adaptation form for this climate
zone. Furthermore, when Table 8 is examined, it is found that although the shading effect and cooling
load values are more important than other parameters in the hot-dry climate zone, heating loads as
well have great importance on annual gains in comparison of total heating-cooling load values.

Table 8. Annual energy gain-loss change percentages of building form.

Annual Total
Cooling Load Exchange Heating Load Exchange
Street Pattern Heating-Cooling Load
(%) (%)
Exchange (%)
Center Courtyard +12 +14 13
Inner Courtyard −2 +4 1
U type Courtyard +4 +8 7
L type Courtyard +6 +5 6

3.2. Annual Energy Gain-Loss Percentages due to the Shadow Effect of the Different Settlement Layouts
The heating-cooling load gain percentages are given due to the shade effect of different layouts
and street widths. The annual cooling load gains of different settlements surrounded by three sides
(B1), four sides (B2), and two sides (B3) buildings with a street width of 3 m are given in the table.
Among the alternative settlements, it was found that the B2 settlement, which was most exposed to
shade effect and surrounded by building masses on all four sides, had the highest cooling load gain
with a rate of 34%. It is determined that the B1 settlement which is surrounded by structures on three
sides saves 25% and the B3 settlement which is surrounded by structures on two sides saves 15%
cooling loads (Table 9). When the reference building and annual heating load values are compared,
heat losses were determined in alternatives including all settlements. However, among the total annual
heating expenses, the highest loss was found in the B3 settlement which is surrounded by the structures

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Energies 2020, 13, 587

on two sides and corner parcel. Among the alternatives with a street width of 3 m, the total annual
heating-cooling energy gains were determined in the B1 settlement plan surrounded by the buildings
on three sides, while it was found there was no significant difference between the B3 settlement plan
surrounded by the buildings on the two sides and the reference building. In other words, there is no
significant difference in terms of annual energy loss-gains between the reference building on a single
building scale and the settlement plan B3, which is surrounded by buildings on both sides. In the case
where the street width is fixed everywhere and 6 m, it is determined that the settlement plan which
shows a gain in the annual cooling load values is the B4 settlement which is surrounded on three sides.
The B6 settlement plan in the corner parcel was the least profitable among the alternatives.

Table 9. Annual energy gain-loss percentage changes due to shadow effect of different settlement layouts.

Annual
Cooling Load Exchange Heating Load Exchange
Street Pattern TotalHeating-Cooling
(%) (%)
Load Exchange (%)
B1 Settlement Plan +25 −9 8
B2 Settlement Plan +34 −11 3
B3 Settlement Plan +15 −16 0.3
B4 Settlement Plan +17 −14 1
B5 Settlement Plan +13 −14 4
B6 Settlement Plan +10 −4 4

When annual heating loads were compared, heat losses due to shadow effect were observed
among all alternatives. Among these heat losses, the alternative having the least value was found to be
the corner parcel B6 settlement layout surrounded by the structures on both sides. It was determined
that the heating load losses of the B5, surrounded by the structures on all four sides and B4 buildings,
surrounded by the structures on three sides were equal. When the total annual heating and cooling
energy gains were compared, it was determined that the optimal alternative with a width of 6 m street
was the B5 settlement layout surrounded by the structures on four sides and the corner parcel B6
surrounded by the structures on two sides. If the reference building and six different layout plans
are compared together, the B1 settlement layout, which is surrounded by three-side buildings with
a street width of 3 m, was identified as the building island that uses energy in the most efficient way.
In addition, if the street width was increased, an increase in the cooling loads due to the decrease
in shade effect was observed in alternatives with the same layout (B2-B5, B1-B4, B3-B6). The B1
alternative, which is surrounded by structures on three sides with an optimal layout of 3 m of street
width, is no longer the optimal layout if the street width is increased to 6 m with the condition that
the layout remains constant. In other words, while the optimal layout with a street width of 3 m is
B1, which is surrounded by structures on three sides when the street width is increased to 6 m, the
corner parcel B6 surrounded by structures on two sides is determined to become the optimum layout.
Therefore, it is concluded that street widths have a direct impact on the settlement patterns and affect
annual expenses even if the parcel layout remains constant. In conceptual terms, street widths for
the hot-dry climate zone have a direct impact on annual energy losses and gains. While, for hot dry
climatic zones where the warmest season lasts longer than the coldest season, the B2 settlement layout,
which is surrounded by the structures on all four sides and exposed to the shadow effect the most,
is expected to be determined as the optimal layout with annual cooling energy gain, determining
the B1 layout, which is surrounded by structures on three sides, as the optimal layout proves that
energy-efficient design is an integrated design approach. In other words, in terms of bioclimatic based
energy-efficient design, total annual energy costs optimization should be evaluated in the correct way.
Although it is seen that it is a priority to take measures to minimize cooling loads in hot dry climate
zones, when the B1 settlement layout which is surrounded by three sides structures with optimal layout
and B2 settlement layout which is surrounded by four sides structures with the least value regarding
cooling costs are compared, the decrease in the annual cooling load value revealed the fact that it will

71
Energies 2020, 13, 587

not give optimal results concerning annual total energy expenses. In other words, the design concept
that can keep the heating load at the optimal level, as well as the measures to minimize the cooling
load in the residential settlements in Diyarbakır province, should be considered together. As a result
of all these analyses, the structure form had a significant effect on the heating-cooling load values.
Therefore, the central courtyard type was the optimum form. In the hot-dry climate zone, the shadow
effect is an important climatic element. The street widths of the traditional city wall were taken as
a reference. As a result of analyses, it was determined that the annual heating-cooling load values of
all alternatives with a width of 3 m were less than 6 m. As a result of this study, heating-cooling load
values increased with increasing distance between structures. The results also differed in different
building distances with the same layout. The optimum layout with a width of 3 m is B2, which is
surrounded by structures on four sides, whereas the B1 with optimal layout is 6 m when the width of
the street is 6 m. Therefore, the construction distances have an effect on the annual heating-cooling
load values depending on the settlement patterns. In conclusion, if the building distances switch,
the annual heating-cooling load values change in proportion to the decrease in shadow effect even if
the layout remains the same. In hot-dry climatic zones, energy load changes due to shade effect affect
formal and settlement patterns.

4. Discussion
With this study, suitable building form and settlement pattern samples were determined for
low-rise residential settlements to be built in this region and it is aimed at increasing the number of
examples of climate-based residential settlements and to transfer traditional residential textures to
today’s designs.
Design solutions to minimize cooling costs are needed in the city of Diyarbakır, which is located
in a hot and dry climate. In the first step of the design, with the environmental data, by looking at the
building design parameters such as location, structure form, and direction of buildings with respect to
each other, significant energy savings can be achieved by considering a bioclimatic design method
which benefits from passive systems. As a result of analyses, shadow climate element has an important
place in energy efficient structure design in hot-dry climate regions. In other words, when the street
widths of 3 and 6 m are compared, it is concluded that the load values are less than 3 m. The shadow
effect can affect the annual energy loads not only on the scale of settlement, but also on the formal scale.
Therefore, it is necessary to take design measures to create shadow effects in traditional courtyard
type buildings which are examples of climate balanced design. If we adapt all these results to modern
houses, we can achieve annual energy savings through the measures taken during the design phase.
In this context, the construction forms of traditional Diyarbakır houses were compared regarding
energy costs. The optimum construction form was chosen in terms of heating-cooling load values.
Then, the effect of shadow effect on energy loads in a hot dry climate region was examined by taking
optimum building form as a reference, simulating different settlement layouts, and street widths of
traditional Old Town texture. As a result, it was concluded that the same settlement layouts did
not show the same thermal performance at different street widths (3 and 6 m). While the width of
the street is 3 m, the settlement layout of B1, which is surrounded by structures on three sides with
optimal layout, is expected to be the optimal layout when the width of the street is 6 m as well; the
determination of B5, which is surrounded by structures on four sides, and B6, which is surrounded
by structures on two sides as the optimal settlement units supported this opinion. According to
result of the analysis, it was concluded that heating loads, besides the cooling loads in the hot-dry
climate zone, have an effect on the total annual heat gains. In other words, in the case where the
street width is 3 m, while it is expected that the settlement layout B2 which is exposed to the most
shadow effect among the settlements B1, B2, and B3 to be the optimal settlement unit, the fact that
the settlement of B1 which is surrounded by buildings on three sides has less energy expenditure
annually explains this situation. With this study, it is understood that design measures should be
taken to minimize the cooling loads, especially in the hot-dry climate zone, as well as measures to

72
Energies 2020, 13, 587

optimize the heating loads. In addition, it was determined that energy losses and gains may be
different if the width of the street is different in the same street layout. As a result of this study, it is
possible to create a sustainable environment that consumes less energy by providing the integration
of traditional building form and street texture to today’s housing sector. If housing sector wants to
save energy, traditional housing types and associated climate elements should be analyzed correctly.
Moreover, a balanced design method should be developed with climate. It is emphasized that if the
results obtained above are integrated into today’s housing sector, more energy efficient structures will
be produced, and a sustainable environment will be possible.

Author Contributions: Conceptualization, İ.A. and S.A.; methodology, İ.A. and S.A.; validation, İ.A.; formal
analysis, İ.A. and S.A.; investigation, İ.A. and S.A.; resources, S.A.; data curation, S.A.; writing—original draft
preparation, İ.A., S.A., and L.S.G.; writing—review and editing, İ.A., S.A., and L.S.G.; visualization, S.A.;
supervision, İ.A. All authors have read and agreed to the published version of the manuscript.
Funding: This research received no external funding.
Conflicts of Interest: The authors declare no conflict of interest.

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© 2020 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
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Natural Ventilation Effectiveness of Awning
Windows in Restrooms in K-12 Public Schools
Sung-Chin Chung 1 , Yi-Pin Lin 1 , Chun Yang 1 and Chi-Ming Lai 2, *
1 Department of Creative Design, National Yunlin University of Science and Technology, Douliu 640, Taiwan;
[email protected] (S.-C.C.); [email protected] (Y.-P.L.); [email protected] (C.Y.)
2 Department of Civil Engineering, National Cheng Kung University, Tainan 701, Taiwan
* Correspondence: [email protected]; Tel.: +886-627-57-575 (ext. 63136)

Received: 8 April 2019; Accepted: 17 June 2019; Published: 23 June 2019

Abstract: Using computational fluid dynamics (CFD), this study explores the effect of a different
number of awning windows and their installation locations on the airflow patterns and air contaminant
distributions in restrooms in K-12 (for kindergarten to 12th grade) public schools in Taiwan.
A representative restroom configuration with dimensions of 10.65 m × 9.2 m × 3.2 m (height)
was selected as the investigated object. Based on the façade design feasibility, seven possible awning
window configurations were considered. The results indicate that an adequate number of windows
and appropriate installation locations are required to ensure the natural ventilation effectiveness of
awning windows. The recommended installation configuration is provided.

Keywords: natural ventilation; air environment; school restroom; awning window; CFD

1. Introduction
In Taiwan, restrooms in K-12 public schools (kindergarten (K) and the 1st through the 12th
grade (1-12)) are frequently accessed and are open to the public, which hinders their management.
In particular, restrooms that have been in service for more than 20 years often exhibit problems, such as
poor ventilation, inadequate lighting, outdated layouts and designs and limited toilet spaces. Thus,
these restrooms have become a nuisance for school environment management. Poor-quality restrooms
create fear of using the restroom among teachers and students, which increases incidents in which
teachers and students are affected by acute or chronic diseases that can adversely affect their physical
and mental health.
There are few studies on bathroom and restroom ventilation that address the ventilation efficiency
of entire bathrooms and restrooms as well as the ventilation efficiency of their components (e.g., toilets
and fans). Investigating the ventilation of an entire bathroom and restroom, Tung et al. [1] analyzed a
new negative pressure wall-exhaust ventilation system (that differs from the traditional ceiling-exhaust
system) installed in a residential bathroom and restroom using a full-scale test. In the test, toilets
were deployed in several different patterns and positions. The test results indicated that the restroom
ventilation system could take advantage of a negative pressure difference to prevent the escape of
restroom malodor to an adjacent room. Increasing the ventilation volume or decreasing the distance
between vent and toilet could improve both the indoor pollutant removal rate and the ventilation
rate. From the perspective of energy efficiency, an air change rate of 8.5 h−1 was the optimal value.
Tung et al. [2] analyzed the effectiveness of three ventilation strategies for residential bathroom malodor
removal: (1) forced ceiling-supply and wall-exhaust systems, (2) natural window-inlet and forced
ceiling-exhaust systems and (3) forced ceiling-supply and ceiling-exhaust systems. The first strategy
achieved the best malodor removal. Yang and Kim [3] employed computational fluid dynamics (CFD)
to analyze the effect of changing the glass partition shape in an apartment bathroom on the bathroom

Energies 2019, 12, 2414; doi:10.3390/en12122414 77 www.mdpi.com/journal/energies

Energies 2019, 12, 2414

ventilation. Their study provides a glass partition design for a bathroom (with a shower and restroom)
that can maintain excellent household hygiene.
Regarding the effectiveness of bathroom and restroom components, Seo and Park [4] designed
a new toilet ventilation system, in which a ring opening for odor suction was included under the
toilet seat. Malodor at the source was directly sucked out to reduce the escape of malodor into the
restroom. The effectiveness of this ventilation system was validated via testing and CFD simulation.
The test and numerical simulation results were essentially consistent. Dual openings at the rear of the
toilet with 4 mm2 × 4 mm2 odor suction holes represented the optimal design. The ventilation system
draws outdoor fresh air into the restroom via door opening. Sato et al. [5] analyzed the amounts of
volatile substances of human waste malodor (i.e., feces and urine). The substances were collected
via Tenax-TA, and their concentrations were determined by thermal-desorption cold-trap injector/gas
chromatography/mass spectrometry (TCT/GC/MS). The results revealed that approximately 90% of
malodor substances were fatty acids: acetic acid (65%), propionic acid (15%), butyric acid (6.5%),
i-Valeric acid and n-Valeric acid. Approximately 8% of these substances were N-containing compounds:
ammonia (6.5%), pyridine, pyrrole, indole, skatole and trimethylamine.
Kim and Yang [6] analyzed the ventilation effectiveness of exhaust fans installed in a residential
bathroom in Korea via field measurement. In the paper, construction and design methods were revised
to enhance the bathroom ventilation. Yin et al. [7] analyzed the effect of increasing the operational
pressure of a residential bathroom ventilation fan on the ventilation effectiveness. The survey objects
were more than 80 families who used AC-motor ventilation fans. The results revealed that the
performance of the exhaust fan was significantly penalized by an increase in external static pressure.
Choi et al. [8] provided statistics from bathroom ventilation fan tests from 2005 to 2013 and interpreted
these statistics based on the development trend of residential ventilation standards and guidelines.
Numerous studies have examined natural ventilation for buildings. Comprehensive reviews on
natural ventilation studies, including effects of building façade and ventilation opening, ventilation
shaft design, shape of louvered windows, apertures and vernacular element, the representative air
change rates, applications in multi-story buildings, the effect of thermal energy storage on night
ventilation efficiency, night ventilation effectiveness and design, etc., are found in the literature [9–15].
However, studies of the natural ventilation of restrooms, particularly restrooms in K-12 public schools,
are limited. In this study, restrooms in these schools in Taiwan are selected as the study subjects.
The effect of the installation quantity, position and opening angle of awning windows on the flow
pattern and air pollutant (NH3 ) distribution in restrooms with various wind speeds and directions are
analyzed via CFD.

2. Materials and Methods

2.1. Study Subject

Restroom indoor configurations differ due to their position, site area, orientation, and building
design. It is very common for public school buildings to have east-west orientation (facing the
south and the north) with restrooms at the opposite two ends under the requirement of the building
code of Taiwan, as illustrated in Figure 1a. After analyzing restrooms in 140 K-12 public schools in
Taiwan, a representative model restroom with the following dimensions is selected as the study subject:
10.65 m × 9.2 m × 3.2 m (height) (Figure 1). In Figure 1c, 1 indicates the aisle in the restroom, 
2 is the
squatting toilet area in the women’s restroom, and  3 is the urinal area in the men’s restroom.
Currently, the windows that are commonly employed in school restrooms include horizontal push
windows, awning windows and blinds. In this study, based on Figure 1, a preliminary study of the effect
of the window configuration on the natural ventilation performance of a restroom (0.5 m/s north wind) is
conducted using CFD (discussed in a subsequent section). The results indicate that an awning window
has the best ventilation effect, followed by blinds. The order of ventilation effectiveness is described as
follows: awning window > blinds > horizontal push window (data not shown). The awning window

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has the following advantages: sufficient ventilation area and an adjustable opening angle to control
the ventilation area and deflect rain (which is particularly suitable for the typhoon and rainy season
in Taiwan). Therefore, the awning window (as illustrated in Figure 2) is selected as the window
configuration for the subject.

1

A case in Nei-Jiao Elementary School (Tainan City) A case in An-Nan Junior High School (Tainan City)

(a)

$ % &

=

< 
; M
O

N

1

(b) (c) (d)

Figure 1. Study subject. (a) The investigated model restroom comes from practical cases (red dotted area)
(not to scale). (b) 3D diagram. (c) Plan. (d) Field image.

Figure 2. Awning window examples.

The dimensions of the awning windows that are available in the market vary in the range of
0.4 m × 0.4 m–1.4 m × 1.0 m. The dimensions of the awning window that is investigated in this
study are 1.0 m × 0.9 m. The position of the restroom window is varied. In this study, the awning
window configuration is based on the north façade (Table 1), which is located on a certain floor and has
seven window configurations (W1–W7). The windows for men’s and women’s restrooms are installed
symmetrically. Whether a window frame is listed as a CFD simulation object affects the number
of grids in the simulation and may significantly increase computing time. Therefore, the glazing

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dimensions are used as the dimensions of the ventilation opening; i.e., the window frame is ignored
here. The installation of four awning windows comprises three designs (the black blocks in Table 1b–d).
The installation of eight awning windows consists of three designs (Table 1e–g). In addition, the
installation of 12 awning windows has one design (Table 1h). The opening angles θ for the awning
windows are 30◦ , 45◦ and 60◦ . The approaching wind speeds are 0.5 m/s, 1 m/s and 2 m/s. In Taiwan,
the weather and climate are greatly affected by monsoons. In summer, the prevailing wind is a
southwesterly or southerly monsoon, while in winter it is northeasterly or northerly monsoon. Thus,
the wind directions set in the CFD simulation include south and north winds. There is no heat source
in the restroom, and the toilet doors are closed to simulate the scenario when the restroom is in use.
Geometric data for the model under investigation are listed in Table 2.

Table 1. Quantity and position of installed awning windows (north facade).

Windows Configuration Legend Windows Configuration Legend

Ό
8
(a) North facade and (e) Window
opening angle. configuration W4.

4 8
(b) Window (f) Window
configuration W1. configuration W5.

4 8
(c) Window (g) Window
configuration W2. configuration W6.

4 12
(d) Window (h) Window
configuration W3. configuration W7.

Table 2. Geometric data for restroom under investigation.

Parts of the Model Geometric Data

Investigated restroom 10.65 m × 9.2 m × 3.2 m (height)
Dimensions of the awning window 1.0 m × 0.9 m (height)
Net ceiling height 3.2 m (Z direction)

The major cause of poor air quality in restrooms is the malodor of feces and urine. The smell
of feces and urine is primarily the smell of ammonia. In contrast, sewer malodor consists of mixed
chemical substances, such as hydrogen sulfide, methyl mercaptan, trimethylamine, dimethyl disulfide,
indole and methyl indole. This study focuses on the restroom flow field and the malodor concentration
field. Because the irritating odor of ammonia is believed to be a major contributor to the offensive odor
of human waste [5], the NH3 concentration in the malodor is analyzed. To simulate the very worst
condition, the generation rate of unpleasant odors (represented by NH3 ) was assumed to be 0.3 L/min
(0.2 g (NH3 )/min) in this study. The pollution source area is set to 0.1 m × 0.1 m.

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A modified odor removal efficiency (ORE) [2,16,17] was employed to express the ventilation
performance of the whole restroom. A higher ORE indicates a lower concentration level, thus indicating
better ventilation efficiency for odor removal. The ORE is defined as:

Ce− C0
ORE = (1)
Cp − C0

where Ce is the odor concentration at the exhaust, C0 is the indoor background concentration and Cp is
the average concentration at the height of the breathing zone.

2.2. Numerical Methods

Numerical simulations of the problem that is being investigated are performed via a finite volume
method to solve the governing equations with the previously discussed boundary conditions (Table 3).
The calculation domain (50 m × 50 m × 3.2 m) is shown in Figure 3a. The commercial CFD code
PHOENICS is used to simulate the airflow and NH3 distributions. The governing equations solved by
PHOENICS include a three-dimensional time-dependent incompressible Navier-Stokes equation, a
time-independent convection diffusion equation and a k-ε turbulence equation. The formulations of
these equations can be found in the PHOENICS manual [18] and in most CFD textbooks; thus, they are
not provided here. The empirical turbulence coefficients for the k-ε turbulence equation are assigned
as follows: σk = 1.0, σε = 1.22, σε1 = 1.44, σε2 = 1.92 and Cμ = 0.09. These values are widely accepted
in CFD k-ε models. To bridge the steep gradients of dependent variables near a solid surface, a general
wall function is employed. Iterative calculation continues until a prescribed relative convergence of
10−3 is satisfied for all field variables of this problem.
When testing the grid independence of a mesh domain, the NH3 distribution at the user’s
squatting position (X = 0.925 m, Y = 1.2 m), which is based on different grid points, is used to
calculate the deviation percentages and determine a suitable grid point system for the calculation
(Figure 3b). Numerical simulation accuracy depends on the resolution of the computational mesh.
A finer grid produces more accurate solutions. In this study, a grid system with approximately
131 × 113 × 52 (769,756) cells is used for numerical simulations. Each cell in the investigated restroom
is about 0.1 m × 0.15 m × 0.06 m. An increase in the number of cells provides better information.
However, such an increase is accompanied by a significant increase in computational resources.

Table 3. Parameters specified in numerical calculation.

Walls, Ceilings, Doors, Awning Window Glazing Adiabatic

Outlet planes Zero static pressure
Quantity and position of installed awning windows Table 1
Opening angles of awning window 30◦ , 45◦ , 60◦
Wind directions North wind, south wind
Wind speeds (with logarithmic velocity profiles,
0.5, 1.0, 2.0 m/s
reference height = 10 m)
Toilet door Closed
Ambient air temperature 25 ◦ C
Volumetric flow rate = 5 × 10−6 m3 /s
Pollution source (NH3 ) Mass percentage concentration of NH3 = 1 (kg NH3 /kg air mixture)
Flow area = 0.1 m × 0.1 m
Ambient NH3 concentration 0 PPMV

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(a) (b)
Figure 3. Calculation domain (a) and grid independence test results (b).

2.3. Model Validation

In this study, a reduced-scale model of the investigated restroom shown in Figure 1 is constructed
(Figure 4a). The material used for the model is 3-mm-thick gray hard cardboard and foam core
board. The model scale is 1:45. The opening in the model is simply an opening without an installed
window. A 4-inch fan is installed at the restroom entrance to simulate a south wind, and the airflow
velocity in the model was measured by a multifunction measuring instrument (Testo 435-1) with
an anemometer (Testo 0635 1535). There are seven measurement locations: at the two entrances
(two locations), the window opening centers (two locations), the aisle centers (two locations) and
the central toilet (one point). Each measurement location measures three heights: 1 cm, 3 cm and
5 cm. Next, CFD simulation with the same method mentioned in Section 2.2 is performed based on
this reduced-scale model, and the simulation result is compared with the reduced-scale test result.
As shown in Figure 4b, the difference between the CFD results and the experimental results is not
significant. Thus, the reliability of the simulation results was confirmed.

(a) (b)

Figure 4. Comparison between the simulation results and the measurements. (a) Reduced scale model.
(b) Predicted values versus simulation results.

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3. Results and Discussion

3.1. Case Study: the Effect of Wind Direction

In Taiwan, the perennial wind direction pattern is south in summer and north in winter.
In this section, the indoor flow field and NH3 concentration distribution for different outdoor wind
directions are investigated using a case study with the following settings: awning windows installed
at the center of the exterior north wall (Table 1c, window configuration W2), an opening angle θ of 45◦
and an outdoor wind speed of 1 m/s.
Figure 5a shows the flow field in the aisle in the women’s restroom (Figure 1c, section A). A north
wind flows from the left side of the diagram toward the awning window. Guided by the inclined
window surface, outdoor air flows toward the indoor ceiling at an angle pointing to the upper right
(Figure 5a, symbol n). Then, it flows along the ceiling to the exterior door in the south (right side of
the diagram; o). This flow becomes the main stream that drives indoor air circulation (p).
Figure 5b shows the flow field in the toilet area in the women’s restroom (Figure 1c, section B).
Under the main stream q, three air circulations are formed. The clockwise circulations rs form in the
toilet area. Their flow speeds are fast enough to carry NH3 to the top. After these flows merge into
the main stream, they flow to the exterior door in the south. Circulation t is a large-scale clockwise
circulation. This circulation flows to the toilet area from the main stream, carries away NH3 and flows
toward the top left u. Then, it merges into the main stream and flows toward the exterior door in the
south (right side of diagram). Because circulation t is weak, and the circulation follows a particular
pattern, the flow in space s at the bottom of u is weak and unable to carry away NH3 , which produces
a higher NH3 concentration than the concentration in the other toilet areas (Figure 5c).
Figure 5d shows the flow field in the urinal area in the men’s restroom (Figure 1c, section C).
Driven by main stream A and affected by the urinal partition board, the clockwise flows BCD (please
refer to the symbols on Figure 5d) merge with the counter-clockwise flow E. As flow BCD flows
through the urinal area, the NH3 concentrations in the three individual urinal areas are low (Figure 5e).
Affected by the flow structure, the air in space F stagnates, which results in a higher NH3 concentration
than in other locations.

(a)

(b)

Figure 5. Cont.

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(c)

(d)

(e)
Figure 5. Indoor flow fields and NH3 concentration (PPMV) distributions for north wind (window
configuration: W2 (Table 1c); the opening angle θ is 45◦ ; the outdoor wind speed is 1 m/s). (a) Flow
field in aisle in the women’s restroom (Figure 1c, section A). (b) Flow field in toilet area in the women’s
restroom (Figure 1c, section B). (c) NH3 concentration distribution in toilet area in the women’s restroom
(Figure 1c, section B). (d) Flow field in urinal area in the men’s restroom (Figure 1c, section C). (e) NH3
concentration distribution in urinal area in the men’s restroom (Figure 1c, section C).

The preceding analysis and Figure 6 reveal that the toilet area and the urinal area near the exterior
wall have poor ventilation due to the flow field structure. Figure 6a shows that when users defecate in
a squatting position, the NH3 concentration is high at the breathing zone height, in the area marked
with a red dotted line (Z = 0.6 m). When men urinate in a standing position, Figure 6b shows that
the NH3 concentration is high at the breathing zone height, in the area marked with a red dotted line
(Z = 1.5 m).
The Annex I 109.03 of “Information notices on occupational diseases: a guide to diagnosis
(European Commission, 2009)” [19] indicates that the odor threshold of NH3 is about 20 ppm; exposure
levels of NH3 that surpass 50 ppm will result in immediate irritation to the nose and throat; exposure
level to 250 ppm is bearable for 30–60 min; and exposure level to 300 ppm is considered to be
immediately dangerous to life and health. It is good to define an acceptable level of NH3 from which
the ventilation performance of each case could be evaluated. However, the recommended values above
cannot be well applied in quasi-steady-state problems raised in this study that urinating or defecating
is within a limited time-period. More observation and discussion are needed. Besides, the generation
rate of unpleasant odors set in this study presents the very worst condition; if a referenced threshold
level was used and linked to our simulations, the results would be misleading. Such constraints limit
this study to a relative comparison among cases.

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(a) Height Z = 0.6 m (height of the squatter’s (b) Height Z = 1.5 m (height of the standee’s breathing
breathing zone). zone).

Figure 6. NH3 concentration (PPMV) distributions at breathing zone heights for (a) squatting position
and (b) standing position in north wind (window configuration: W2; the opening angle θ is 45◦ ;
the outdoor wind speed is 1 m/s).

Figure 7a shows flow field in the aisle in the women’s restroom (Figure 1c, section A). Affected by
the partition wall (n), the south wind flows into the room via the south exterior door (right side of the
diagram) and then flows toward the top left ceiling (o). Subsequently, it flows outdoors via the north
window (left side of the diagram). This flow becomes the main stream that drives indoor circulations
(p) at the bottom zone.

(a)

(b)

(c)

Figure 7. Cont.

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(d)

(e)

Figure 7. Indoor flow field and NH3 concentration (PPMV) distribution for south wind (window
configuration: W2; the opening angle θ is 45◦ ; the outdoor wind speed is 1 m/s). (a) Flow field in
aisle in the women’s restroom (Figure 1c, section A). (b) Flow field in toilet area in the women’s
restroom (Figure 1c, section B). (c) NH3 concentration distribution in toilet area in the women’s restroom
(Figure 1c, section B). (d) Flow field in urinal area in the men’s restroom (Figure 1c, section C). (e) NH3
concentration distribution in urinal area in the men’s restroom (Figure 1c, section C).

Figure 7b shows the flow field in the toilet area in the women’s restroom (Figure 1c, section B).
The main stream q flows into the room via the south exterior door (right side of the diagram). Near
the north wall (left side of the diagram), part of the flow flows out the window, but the majority of the
flow moves down along the wall. When the flow enters the toilet, counter-clockwise air circulation r
is formed, which results in a low NH3 concentration in the restroom (Figure 7c). Because the main
stream is close to the ceiling and the flow speed is low, stagnant air and high NH3 concentrations result
in the spaces at the bottom s tu.
Figure 7d shows the flow field in the urinal area in the men’s restroom (Figure 1c, section C). Main
stream A flows into the room via the south exterior door (right side of the diagram). Near the north
wall (left side of the diagram), part of the flow flows out the window, but the majority of the flow flows
downward along the wall surface (B). Affected by the partition board, flow B turns right and exhibits
a pattern of horizontal flow (C). Then, it turns upward at the partition wall (D) and forms a major
counter-clockwise circulation (BCD). This large circulation surrounds the urinal area, which results in
a high NH3 concentration in this area (Figure 7e).
The preceding analysis and Figure 8 show that as a result of the flow structure, the toilet areas
and urinal area near the indoor partition wall have inferior ventilation. Figure 8a shows that when
users defecate in a squatting position the NH3 concentration is high at the breathing zone height, in the
area marked with a red dotted line (Z = 0.6 m). When men urinate in a standing position, the NH3
concentration is high at the breathing zone height, in the area marked with a red dotted line (Z = 1.5 m)
(Figure 8b). A possible solution is to add a vertical guiding board to the ceiling in the area with inferior
ventilation (red blocks in Figures 6 and 8). In this manner, part of the main stream flow is guided into
an area with poor ventilation, and the NH3 is carried away. Although this issue is not the focus of this
study, it warrants for future investigation.

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(a) (b)
Figure 8. NH3 concentration (PPMV) distributions at heights of squatter and standee breathing zones
for south wind (window configuration: W2; the opening angle θ is 45◦ ; the outdoor wind speed is
1 m/s). (a) Height Z = 0.6 m (height of the squatter’s breathing zone). (b) Height Z = 1.5 m (height of
the standee’s breathing zone).

3.2. Findings and Design Recommendation

The previous section explains how the ventilation performance of each restroom is analyzed via
flow pattern observation and the NH3 concentration distribution. Due to page length limitations,
this paper cannot elaborate the restroom ventilation effectiveness of each window configuration. Instead,
the modified odor removal efficiency (ORE) was used to investigate the ventilation effectiveness in each
case. Figure 9 shows the ORE for the cases with 0.5 m/s south wind (commonly seen in spring/summer)
and 2.0 m/s north wind (autumn/winter). This figure reveals that the window configuration (W1–W7)
has a major impact on the ventilation of the restrooms; this impact significantly exceeds the effect of
other parameters (wind speed, wind direction and opening angle). When window configuration W2 is
employed, an arbitrary opening angle (30◦ –60◦ ) under the two wind conditions is acceptable; opening
angle 45◦ is proposed. When window configuration W5 is adopted, the 30◦ and 60◦ opening angle
configurations are recommended for spring/summer and autumn/winter respectively (marked in light
yellow and light blue in Figure 9).

Figure 9. Odor removal efficiency for the cases with 0.5 m/s south wind and 2.0 m/s north wind.

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Design recommendations for the installation quantity and position of awning windows are listed
in Table 4. K-12 school restrooms could adopt window configuration W2 for the north walls with
an opening angle of 45◦ for all seasons. Window configuration W5 is also recommended. However,
here, different seasons require different opening angles. In spring and summer with low-speed wind,
the window should be opened 30◦ . Such a configuration could also prevent rain from entering the room
during the rainy season in summer. In autumn and winter with stronger wind, the window should
be opened 60◦ . However, the cost of the W5 window configuration is high. In addition, some of the
windows are located in high positions and are thus difficult to open. Therefore, window configuration
W5 is not our first recommendation.

Table 4. Recommended awning window configuration and opening angle.

Recommendation Window Configuration Season Opening Angle

W2

First recommendation All

45°
(Window number: 4)

W5 Spring and
Second recommendation summer
30°

(Window number: 8) Autumn and

winter
60°

4. Conclusions
In this study, the restrooms in K-12 public schools in Taiwan are selected as the study subjects.
The effect of awning window quantity and installation position on airflow pattern and air contaminant
(NH3 ) distribution in the representative restroom is analyzed using CFD. The research findings are
summarized as follows.

1. In autumn and winter, the north monsoon wind flows into the awning window from the north.
Guided by the inclined window surface, it flows toward the indoor ceiling at an angle that is
oriented upwards. It then flows to the south exterior door along the ceiling. In spring and
summer, a south monsoon occurs, and a reverse indoor flow pattern is observed. This north-south
flow becomes the main stream that drives restroom indoor circulation at the bottom (and along
both sides).
2. In the toilet areas in the men’s and women’s restrooms and the urinal area in the men’s restroom,
if the air flow into these areas forms a circulation pattern in the main stream and the flow speed is
sufficiently high, the air circulation will carry air pollutants from the areas to the top of the space,
where they flow out of the restroom after merging with the main stream. If these conditions are
not satisfied, the air in the areas will stagnate, and the air pollutant concentration will be high.
Under a south wind in summer, the flow at the bottom of the main stream is affected by the
urinal partition board and partition wall and forms a large circulation surrounding the urinal
area. This circulation causes poor ventilation in this area.
3. Based on the ventilation performance analysis using the modified odor removal efficiency (ORE),
we suggest that K-12 school restrooms use window configuration W2 in their north walls (as shown
in Table 4). The opening angle should be set to 45◦ for all seasons.

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The modeling and simulation results are limited to the urban and building morphologies chosen
with the specific wind environments. At other conditions, recommendations given in the paper
may not be applicable. The surroundings would greatly affect the magnitude and direction of
the approaching wind. The interior partition design and layout would also affect the ventilation
performance. Although investigation on other themes (surroundings, outside environments, interior
partitioning, buoyancy effect, link to IAQ studies, etc.) are not what we are exploring in this study but
is worthy of further consideration.

Author Contributions: Conceptualization, S.-C.C. and C.-M.L.; methodology, C.-M.L.; software, Y.-P.L. and C.Y.;
validation, Y.-P.L. and C.Y.; formal analysis, S.-C.C., C.Y., and Y.-P.L.; investigation, S.-C.C. and C.-M.L.; resources,
S.-C.C.; data curation, S.-C.C. and C.-M.L.; writing-original draft preparation, C.-M.L.; writing-review and editing,
S.-C.C., Y.-P.L. and C.-M.L.; visualization, C.Y.; supervision, S.-C.C. and C.-M.L.; project administration, S.-C.C.;
funding acquisition, S.-C.C.
Conflicts of Interest: The authors declare that there is no conflict of interest.

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buildings. J. Asian Arch. Build. Eng. 2016, 15, 349–356. [CrossRef]
7. Yin, P.; Pate, M.B.; Sweeney, J.F. The impact of operating pressure on residential bathroom exhaust fan
performance. J. Build. Eng. 2016, 6, 163–172. [CrossRef]
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2013—Data analysis of loudness and efficacy. Energy Build. 2016, 116, 468–477. [CrossRef]
9. Aflaki, A.; Mahyuddin, N.; Mahmoud, Z.A.; Baharum, M.R. A review on natural ventilation applications
through building façade components and ventilation openings in tropical climates. Energy Build. 2015, 101,
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on wind catcher for passive cooling and natural ventilation in buildings, Part 1: Indoor air quality and
thermal comfort assessment. Renew. Sustain. Energy Rev. 2017, 70, 736–756. [CrossRef]
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Design process and review of evaluation tools. Build. Environ. 2017, 116, 182–194. [CrossRef]
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15. Solgi, E.; Hamedani, Z.; Fernando, R.; Skates, H.; Orji, N.E. A literature review of night ventilation strategies
in buildings. Energy Build. 2018, 173, 337–352. [CrossRef]
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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

90
 energies
Article
Experimental Studies Involving the Impact of Solar
Radiation on the Properties of Expanded
Graphite Polystyrene
Paweł Krause and Artur Nowoświat *
Faculty of Civil Engineering, Silesian University of Technology, Gliwice 44–100, Poland; [email protected]
* Correspondence: [email protected]

Received: 27 November 2019; Accepted: 20 December 2019; Published: 22 December 2019

Abstract: This article presents the research studies aimed at identifying the behavior of expanded
polystyrene with the addition of graphite in the conditions of exposure to solar radiation. For this
purpose, a series of in situ tests and laboratory studies were carried out. Three types of material
were tested, i.e. expanded polystyrene (EPS) (white polystyrene), polystyrene with the addition
of graphite (gray polystyrene) and two-layer polystyrene (gray bottom layer and white top layer).
Temperature distributions on the surfaces of the panels in field and laboratory conditions were
determined. The distributions of temperature were recorded at varied wind impact (field conditions
and laboratory conditions) and at varied impact of solar radiation (laboratory conditions). Based
on the conducted experiments, differences in temperature distribution on the surfaces of the tested
panels were determined. In addition, geometric changes and deformation levels of the tested
white and gray expanded polystyrene panels exposed to artificial sun radiation were determined in
laboratory conditions.

Keywords: expanded polystyrene (EPS); gray polystyrene; artificial sun; thermographic measurement;
temperature distribution

1. Introduction
The subject of the thermal insulation of buildings is very important because, according to
Berardi [1], energy consumption in buildings accounts for 30% of the total final energy consumption in
the world. In addition to environmental protection, it is very important to meet the expectations of
ordinary building users, who in general are not experts in the field of energy saving [2]. In building
envelope insulation systems, we very often apply such insulation materials as expanded polystyrene
(EPS) and extruded polystyrene (XPS) [3], or their modifications [4–7]. Such systems can be used on
building envelopes as insulation from the inside, which is often applied in buildings having historical
character [8]. When using EPS as insulation from the inside, we consider, among others, the problems
of the thermal accumulation of building envelopes, which have impact on their energy performance [9].
The second and more frequent application of such systems involves the insulation from the outside [10].
Also for that type of application, various physical processes are taken into consideration [11]. One of
such important problems is the impact of the moisture content of polystyrene used in thermal insulation
systems on thermal conductivity [12,13]. Another important issue related to the thermal insulation of
buildings is the distribution of temperature on the outer wall surface [14–16], which often depends
upon various perturbations [17]. Another application of expanded polystyrene (EPS) involves its
use in ready-made wall systems in the form of lightweight panels [18]. The most commonly applied
system for the thermal insulation of buildings is the system for wall insulation from the outside, such
as External Thermal Insulation Composite System (ETICS) [19].

Energies 2020, 13, 75; doi:10.3390/en13010075 91 www.mdpi.com/journal/energies

Energies 2020, 13, 75

Frequently, graphite is applied for expanded polystyrene composites [20], which improves the
capacity of energy storage [21]. The described problems involving the impact of temperature on
polystyrene with thermal additives have been discussed by various research teams [22–24]. There is
relatively little information on the scale of the issue under consideration. Based on the Polish literature,
we can find information that, among others, relates how rapid changes of temperature on the surface
of ‘black polystyrene panels’ contribute to their damage on building facades, in particular from the
south. In other works in Poland, the issue involving the impact of solar radiation was investigated
both in laboratory and natural conditions, as well as in numerical simulations. It was found that the
temperature on the surface of polystyrene under intense solar radiation may surpass the softening
point. In addition, it may result in the deformation of the thermal insulation boards, which can
bring about the detachment of the polystyrene boards from the wall surface. Exposing the material
to excessive, direct solar radiation may damage polystyrene. The said problem was pointed out by
Kussauer and Ruprecht [23] in their monograph.
The parameters of such composites may depend on the method of their development [25].
Minh-Phuong Tran et al. demonstrated that adding various types of graphite particles to polystyrene
during the production process reduces its thermal conductivity [26]. However, it should be noted
that when exposed to solar radiation, gray polystyrene, i.e., with the addition of graphite, behaves
differently to white polystyrene, i.e., without such addition. Due to the fact that polystyrene with the
addition of graphite is a popular material reducing energy consumption in buildings, and at the same
time is sensitive to the impact of solar radiation, the objective of the work is to assess the impact of
solar radiation intensity on temperature distribution on the surface of various polystyrenes and on the
development of structural and geometric imperfections of thermal insulation materials. The objective
formulated in that way allows us to identify the problems related to the impact of solar radiation
intensity on unprotected polystyrene, both with and without the addition of graphite.
The implementation technology in the ETICS system for fixing thermal insulation to the wall
requires the mortar setting time of over 72 h.

2. Methodology
The influence of solar radiation intensity on unprotected thermal insulation boards was
examined. It takes place during construction works, before the successive stages of the ETICS
system implementation.
The study involved three 0.15 m-thick expanded polystyrene (EPS) boards of the dimensions
0.5 m × 1.0 m marked with letters A, B, C. The dimensions of the tested elements reflect on the scale
1:1 the actual dimensions of the thermal insulation boards used for insulation. Therefore, it was not
necessary to plan scale studies.
Panel A—composite polystyrene consisting of two layers: the main layer in the form of gray,
expanded polystyrene, and an additional layer 0.006 m thick in the form of white expanded polystyrene
(a layer protecting the gray layer against the impact of solar radiation)
Panel B—polystyrene board made entirely of expanded polystyrene with the addition of graphite
(gray polystyrene)
Panel C—expanded polystyrene board without the addition of graphite (white polystyrene) with
raised technical parameters.
When testing the distribution of temperature on the surface of a material, it is very important to
test its emissivity. These tests are important, because incorrectly determined emissivity does not allow
us to determine the real distribution of temperature.
Therefore, in the Section 2.2.1, the methodology of the emissivity test was presented. However,
to make the remaining part of the work clearer, except for the methodology in the sub-chapter 2.2.1,
also the values of the adopted emissivity of the tested panels A, B, C were provided.

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Energies 2020, 13, 75

2.1. In Situ Research

2.1.1. Determining the Emissivity of the Panels

Since there are no unequivocal emissivity values for individual polystyrene boards (no declarations
in this respect offered by manufacturers), a testing study was carried out. The emissivity of the expanded
polystyrene boards (panel B) was determined using a comparative method with respect to the reference
tape of the known emissivity of 0.96. The emissivity of the panel B determined on that basis was 0.95,
and basing on the literature [27], for white polystyrene (panel C) the emissivity is assumed to be 0.60.
In order to determine the impact of the adopted emissivity value on the temperature distribution on the
surface for the white polystyrene, a thermographic measurement was made. Two measurement points
Sp1 and Sp2 were selected, at which the emissivity values of 0.60 and 0.95 were assumed, respectively.
The results are presented in Figure 1.

Figure 1. Test thermogram of white polystyrene board with two measurement points.

The temperature values obtained on the surface of white polystyrene for two different measurement
points of different surface emissivity differ from each other by 0.2 ◦ C. The difference is lower than 1%
of the measured values. It bespeaks of the fact that the change of emissivity for white polystyrene
(panel C) under solar radiation conditions does not significantly affect temperature distribution on the
surface of the polystyrene board. Therefore, there was no need to determine the exact emissivity value
for the white board, which is why, for the purpose of comparison with panels A and B, the emissivity
value of 0.95 (value determined for panel B) was adopted for all three panels.

2.1.2. Field Study

For the tests in real conditions, the following equipment was applied:

• Thermal imaging camera Flir E95 of the temperature measurement range of −20 ◦ C–1500 ◦ C,
resolution of 161,472 pixels, thermal sensitivity for the 42◦ × 32◦ lens of <30 mK, spatial IFOV
resolution for 42◦ × 32◦ lens of 2.41 mrad/pixel and fractional spectral sensitivity of 7.5–14 μm.
• Solar data logger of the measuring range of 0–1999 W/m2 , resolution of 1 W/m2 , operating
temperature of 0 ◦ C–50 ◦ C, storage temperature of −10 ◦ C– 60 ◦ C, operation in the relative air
humidity of 10%–90% and storage in the relative air humidity of 10%–80%.

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Energies 2020, 13, 75

• Electronic thermometer for measuring temperature inside the polystyrene boards equipped with
a stainless steel probe skewer of the length of 0.15 m and temperature measurement range of
−50 ◦ C–300 ◦ C.

The tests were carried out at two test stands for in situ studies, which were located at the place
having the geographical coordinates of: 18◦ 54’E 50◦ 10’N (i.e., Mikołów, Silesa, Poland).

1. Stationary stand—polystyrene boards glued to the wall with polyurethane adhesive (Figure 2a).
2. Mobile stand—a support structure made of 0.018 m-thick boards, wooden slats, hinges and
strings, was prepared for each of the polystyrene boards. The structure enabled us to position the
tested polystyrene board vertically to the base surface (Figure 2b).

Figure 2. Stand for the in situ tests. (a) stationary stand, (b) mobile stand.

The tests comprised the registration of temperature distribution on the surfaces of the tested
polystyrene panels, and they were carried out for four panels of each of the three types.
The results were recorded at both measuring stands. As part of the measurements, the maximum
temperatures, obtainable on a given day, on the surface of the analyzed polystyrene panels,
were determined. During the tests, the position of the polystyrene panels on the mobile stand
was being adjusted in such a way as to ensure the highest possible load of the tested panels with solar
radiation. Simultaneously with the thermographic measurements, the measurements of solar radiation
intensity (W/m2 ) were carried out. The studies were conducted in the period from 12 September 2018
to 22 September 2018.

2.1.3. Meteorological Measurements

The parameters of the external climate were obtained on the basis of continuous measurements
carried out at the local meteorological station, located about 1 km from the place of measurements.
The recording of external environment conditions was carried out using the wireless meteorological
station VantagePro2 Davis Instruments, powered by a PV cell. The weather station comprised sensors
of temperature, air humidity, an anemometer and Pirani meter.
Climate parameters are presented in the graphs. All results were obtained on the basis of
continuous measurements carried out at the local meteorological station located in the town where the
measurements of the polystyrene panels were carried out.
Figure 3 presents the results for air temperature.

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Energies 2020, 13, 75




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Figure 3. Outdoor air temperature distribution obtained on the basis of measurements carried out in
the period from 12 September 2018 to 22 September 2018.

Also the measurements of average air humidity and wind speed were carried out. The results are
presented in Figures 4 and 5, respectively.






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Figure 4. Relative humidity distribution of the outdoor air obtained on the basis of measurements
carried out in the period from 12 September 2018 to 22 September 2018.

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Energies 2020, 13, 75






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Figure 5. Distribution of average wind speed obtained on the basis of measurements carried out in the
period from 12 September 2018 to 22 September 2018.

The last series of results involved the intensity of solar radiation Figure 6.
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Figure 6. Distribution of solar radiation intensity.

2.2. Laboratory Tests

The laboratory tests of the temperature distribution of the insolated polystyrene panels were
carried out in the laboratory hall of the Solar Systems Testing Center located in the laboratory hall of
the Euro-Center Science and Technology Park in Katowice in Poland (very close to Mikołów, Silesa).
The tests comprised the determination of maximum temperatures at different levels of solar radiation
and at different wind speeds. The tested panels had the same geometrical dimensions as the ones
tested in situ.

2.2.1. Solar Radiation Stimulator

A solar radiation stimulator (artificial sun) is a stationary complex system of devices that enables
the generation of radiation in laboratory conditions which reflects the emission of solar radiation.
The simulator consists of a field of lamps, artificial sky, temperature sensors and data generation
devices. The main element of the research station is made up of eight metal halide lamps of the total

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Energies 2020, 13, 75

power of 32 kW, enabling the simulation of natural solar radiation. The design of the device allows
precise positioning of the tested object and the field of lamps, ensuring angle adjustments in the range
of 0◦ –90◦ . In that way we can imitate the actual ‘journey’ of the sun on the horizon (Figure 7).

Figure 7. Solar radiation simulator. (a) location of samples in the horizontal plane, (b) location of
samples in the vertical plane.

2.2.2. Measurement in Laboratory Conditions

Along with the laboratory tests with the use of a solar radiation simulator, the measurements
of microclimate parameters prevailing inside the laboratory room were carried out simultaneously.
The loggers measuring temperature and relative humidity were located in the vicinity of the work
table of the solar radiation simulator (Figure 8).

Figure 8. Schematic distribution of loggers on the test stand in the laboratory.

The logger No.1 was placed between the tested polystyrene panels (in the middle of the simulator’s
work table) from the side of the lamps (artificial sun). The logger No.1 was covered with a layer of

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Energies 2020, 13, 75

aluminum foil from the side of the lamps, which allowed us to eliminate the direct influence of solar
radiation on the recorded results of the room climate. The recorders nos. 2 and 3 were placed in the
plane of the tested polystyrene samples under the simulator’s work table. The logger No. 2 was
located in the upper part of the work table, while the logger No. 3 in its lower part. The measurement
time step was set at 10 s. Figures 9 and 10 present the measurement results.

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Figure 9. Indoor air temperature of the laboratory recorded by the three loggers.

Figure 10. Relative humidity of indoor air of the laboratory recorded by the three loggers.

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Energies 2020, 13, 75

The tests in the laboratory conditions comprised the recording of temperature distribution on the
surfaces of the tested polystyrene boards using a thermal imaging camera in two test series. The tested
polystyrene boards were subjected to the impact of solar radiation generated by the simulator.
In the first series of tests, the measurements of temperature distribution on the surfaces of EPS
panels were carried out for three different values of solar radiation intensity, i.e. 640 W/m2 , 950 W/m2
and 1008 W/m2 . For each of these intensities, the actual position of the sun above the horizon was
simulated by setting the normal to the lamps plane at an appropriate angle to the horizontal surface.
Those positions were, respectively, 640 W/m2 → 43.28◦ , 950 W/m2 → 21◦ , 1008 W/m2 → 16.28◦ .
The intensity at the level of 1008 W/m2 corresponds to the maximum value of solar radiation
intensity onto the vertical plane turned to the south (azimuth of 180◦ ) selected from all Polish climate
bases. The value of 950 W/m2 corresponds to the maximum value of solar radiation intensity onto the
vertical plane turned to the south in the period of March–November for the Katowice climate station,
i.e. for the climate corresponding to the in situ measurements. The value of 640 W/m2 corresponds to
the maximum value obtained from the initial measurements carried out by the authors of this study at
the exact location of the in-situ tests.
In the second series, the tests were carried out with the same position of solar radiation simulator
lamps, turned perpendicular to the surface of the tested panels. The average radiation intensity for
such a position was adopted at 1104 W/m2 .

3. Results and Discussion

3.1. In Situ Tests

The in situ tests were principally based on thermographic measurements. On the images of the
investigated objects, we applied the measuring elements in the form of measuring points (Sp) and
rectangular areas (Bx). An exemplary thermogram from the measurements is presented in Figure 11.
Tables 1 and 2 summarize the results of thermographic tests from the in situ measurements for
two types of test stands.

Table 1. Temperatures read in the measuring fields of the thermogram made for the stationary stand.
The thermograms were obtained in weather conditions close to windless conditions, with a low average
wind speed of up to 1.6 m/s. The maximum recorded values of solar radiation intensity were within the
range of 716.7 W/m2 –738.4 W/m2 .

Panel Type TMAX (◦ C) TMIN (◦ C) TAVR (◦ C)

Panel B 77.4 59.9 72.5
Panel A 39.7 33.0 34.2
Panel C 34.8 29.0 29.8

Table 2. Temperatures read in the measurement fields of the thermogram made for the mobile stand.
The thermograms were obtained in weather conditions close to windless conditions, with a low average
wind speed of up to 1.6 m/s. The maximum recorded values of solar radiation intensity were within the
range of 716.7 W/m2 –738.4 W/m2 .

Panel Type TMAX (◦ C) TMIN (◦ C) TAVR (◦ C)

Panel B 68.7 56.6 63.6
Panel A 36.7 29.6 30.7
Panel C 33.6 27.2 27.9

The results of the carried out in situ thermographic tests demonstrate that in the case of direct
impact of solar radiation, the addition of graphite to expanded polystyrene (EPS) panels (panel B) brings
about much higher temperature values on the surface as compared to the A and C panels. The quality
of the results is not dependent on the type of test stand. Quantitative differences in the results are due

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Energies 2020, 13, 75

to different intensities of solar radiation. For the meteorological conditions during the realization of
the measurements, with the emissivity value of the panel being 0.95, we recorded temperatures which
did not exceed the softening temperature of the panel, this being 80 ◦ C. The differences of temperature
on the surfaces of the remaining panels did not differ significantly, and these had values far different
from the critical value i.e. the softening point.

Figure 11. Temperature measurements made for three polystyrene boards. Average wind speed:
1.6 m/s.

Simultaneously with the field thermal imaging tests of the insolated panels, temperature
measurements were carried out inside the samples placed on the mobile stand, and the following
results were obtained:
Panel B 50.1 ◦ C, Panel A 36.4 ◦ C, Panel C 31.2 ◦ C
The thermographic measurement is confirmed in that case. The highest surface temperature also
corresponds to the highest internal temperature of the panel.

3.2. Laboratory Tests

Based on the measurements of solar radiation intensity for the adopted measuring grid, the images
presented in Figures 12 and 13 were obtained, using the software dedicated for the test stand.

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Energies 2020, 13, 75

Figure 12. Distribution of solar radiation intensity on the surface comprising the tested samples.
(a) distribution for artificial sun slope of 43.28◦ —minimum intensity 665 W/m2 , maximum 757 W/m2 ,
medium 665 W/m2 , (b) distribution for artificial sun slope of 21.0◦ —minimum intensity 521 W/m2 ,
maximum 1005 W/m2 , medium 827 W/m2 , (c) distribution for artificial sun slope of 16.28◦ —minimum
intensity 637 W/m2 , maximum 1127 W/m2 , average 955 W/m2 .

The second series of tests consisted of one situation presented in Figure 13.
As demonstrated by the in situ tests, the distributions of temperature for panels A and C were
very similar. Therefore, the laboratory tests were limited to panel C, which was being compared to the
B-type panel. The results of surface temperatures were collected in Tables 3 and 4.
The results presented in Table 3 imply the same conclusions as for the in situ tests, i.e. expanded
polystyrene with the addition of graphite has much higher temperature values on the panel surface
than polystyrene without the addition of graphite. In addition, we observe that with the absence of
wind for the solar radiation intensity of 950 W/m2 and higher, the risk of exceeding the softening
temperature increases significantly. We must admit that such a high intensity did not occur during the

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in situ tests, but we can read from the data collected for the area of Poland that such high intensities do
occur, which was described in the Section 2.2.2 of this work.

Figure 13. Distribution of solar radiation intensity on the surface comprising the tested
samples. Location of lamps perpendicular to the tested samples. Minimum intensity 822W/m2 ,
maximum 1211 W/m2 , medium 1104 W/m2 .
Table 3. Temperatures as a function of the changes in solar radiation intensity read in the measurement
fields of the thermogram made for the laboratory stand (Wind speed v = 0 m/s).

Panel Type TMAX (◦ C) TMIN (◦ C) TAVR (◦ C)

Intensity ls = 640 W/m2
Panel B 71.7 59.2 67.2
Panel C 31.0 26.4 27.0
Intensity ls = 950 W/m2
Panel B 84.4 67.0 80.2
Panel C 32.0 26.1 26.8
Intensity ls = 1008 W/m2
Panel B 93.4 74.6 89.0
Panel C 36.4 29.7 30.4

Tables 3 and 4 plainly demonstrate that wind speeds of 3 m/s and 5 m/s significantly reduced
the temperatures on the surfaces of the panels. Even with the maximum solar radiation intensity of
ls = 1008 W/m2 , the temperatures dropped below the softening point of the panels.
For the second series of tests, i.e. with the lamps of the solar radiation simulator directed
perpendicular to the surface of the tested panels, the results are collected in Table 5.

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Energies 2020, 13, 75

Table 4. Temperatures as the function of wind speed changes read in the measurement fields of the
thermogram made for the laboratory stand. Radiation intensity ls = 1008 W/m2 .

Panel Type TMAX (◦ C) TMIN (◦ C) TAVR (◦ C)

Wind speed v = 1 m/s
Panel B 93.2 74.9 88.6
Panel C 35.4 29.9 30.4
Wind speed v = 3 m/s
Panel B 81.4 61.0 75.8
Panel C 33.6 29.4 29.8
Wind speed v = 5 m/s
Panel B 71.0 54.3 66.3
Panel C 32.5 29.6 29.9

Table 5. Temperatures for the second series of tests.

Panel Type TMAX (◦ C) TMIN (◦ C) TAVR (◦ C)

Panel B 101.9 72.7 91.6
Panel C 44.8 35.8 37.0

As we can see in Table 5, solar radiation perpendicular to the surface of the panels is plainly
threatening their durability. This may bring about a complete destruction of expanded polystyrene
with the addition of graphite.
Then the comparative tests of internal temperature distribution were carried out for panels A and B.
In order to examine the distribution of temperature inside the panels, two temperature
measurement sensors were placed on the lateral planes of the panels. The sensors were arranged in
such a way (see Figure 14) to examine the impact of the protective layer of panel A on temperature
distribution inside it as compared to panel B.

Figure 14. Schematic of the arrangement of sensors in the panels as part of temperature measurements
in the samples.

The measurement results are presented in Figure 15.

With the uniform insolation of the panels with solar radiation, the temperature readings indicated
that panel B exhibited the susceptibility to strong heating. At the place of sensor 3, the maximum
recorded temperature was 69.3 ◦ C. Due to that heating susceptibility of panel B, we decided to carry
out additional tests involving the impact of temperature on the deformation of polystyrene boards
installed on the surface of building envelopes. The boards were mounted to the base surface using only

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the spot method. Macroscopic examinations of the panel B demonstrated significant deformations in
the form of raised edges of the panel and local degradation of the polystyrene surface in the form of
softening. In order to illustrate the resulting deformations and damages of panel B, a measuring staff
was applied to it, and the measurements were carried out with the use of a steel tape and a folding
measure, as presented in Figure 16.

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Figure 15. Graph of temperature values on the time axis obtained from the measurements.

Figure 16. Damage to panels B. (a) loss of polystyrene granules in effect of exceeding the softening
temperature, (b) and (c) deformation of the panel due to the exposure to artificial sun, (d) panel edge
raised away from the ground.

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The deformations of the panels were confirmed by the measurements using a 3D scanner.
The results are presented in Figures 17 and 18.

Figure 17. Deformation map of spot-glued panels obtained from 3D scanner readings. (a) C-type panel,
(b) B-type panel.

Figure 18. Deformation map of spot-glued panels obtained from 3D scanner readings, (a) C-type panel,
(b) B-type panel.

In the case of C panels, we are faced with point deformations of the tested surfaces. We can
presume that these deformations result from the occurrence of trace inclusions of gray polystyrene
granules in the structure of polystyrene C. In the B-type panels (gray polystyrene) due to the impact of
solar radiation, deformations of entire surfaces of the tested panels were identified.

4. Conclusions
Temperature measurements carried out using different methods demonstrated a different impact
of solar radiation intensity on unprotected EPS insulation panels in the ETICS system. Panels A and C
are characterized by low sensitivity to the changes of solar radiation intensity as adopted in the study.
Panel B, entirely made of polystyrene with the addition of graphite, demonstrated high sensitivity
to external factors such as insolation and wind. The temperatures measured on the surface of the
panels with the addition of graphite for the intensity of 950 W/m2 are similar to the softening point
of polystyrene declared by the manufacturer. In the case of radiation intensity of 1000 W/m2 and
windless conditions, the softening temperature is exceeded, and destruction of material is taking place

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in the form of melting traces and deformation of the panels. The conducted research has demonstrated
that there is a significant impact of wind influence on lowering the temperature of the polystyrene
surface, even by 20 ◦ C for the wind speed of 5 m/s. It should also be noted that the extent and nature of
temperature changes on the external surface of the panels depends on the area of impact and exposure
time, while the extent of deformations is additionally dependent on the method used to fix the panels
to the ground. Thus, adverse environmental conditions, such as windless conditions and strong
insolation, foster destructive processes, causing geometrical changes and deformations of elements
made of B-panels. By using a composite panel (A-panel), many adverse effects of environmental
conditions are avoided compared to B-panels. Further studies should be addressed to determining the
environmental conditions ensuring safe realization of thermal insulation works in the ETICS system
using B-panels.

Author Contributions: A.N. wrote the article, P.K. methodology, writing-original draft preparation and checked
the manuscript and carried out the revision. All authors have read and agreed to the published version of
the manuscript.
Funding: Publication supported is a part of the postdoctoral habilitation grant. Silesian University of Technology,
no. 03/030/RGH18/0077.
Conflicts of Interest: The authors declare no conflict of interest.

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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Article
Integrated Measuring and Control System for
Thermal Analysis of Buildings Components in Hot
Box Experiments
Tullio de Rubeis 1, *, Mirco Muttillo 1 , Iole Nardi 2 , Leonardo Pantoli 1 , Vincenzo Stornelli 1 and
Dario Ambrosini 1
1 Department of Industrial and Information Engineering and Economics (DIIIE), University of L’Aquila,
Piazzale Pontieri 1, Monteluco di Roio, I 67100 L’Aquila, Italy; [email protected] (M.M.);
[email protected] (L.P.); [email protected] (V.S.); [email protected] (D.A.)
2 Energy Efficiency Unit Department (DUEE-SPS-ESU), ENEA Casaccia, S.M. Di Galeria, 00123 Rome, Italy;
[email protected]
* Correspondence: [email protected]; Tel.: +39-0862-434342

Received: 7 May 2019; Accepted: 25 May 2019; Published: 29 May 2019

Abstract: In this paper, a novel integrated measuring and control system for hot box experiments is
presented. The system, based on a general-purpose microcontroller and on a wireless sensors network,
is able to fully control the thermal phenomena inside the chambers, as well as the heat flux that
involves the specimen wall. Thanks to the continuous measurements of air and surfaces temperatures
and energy input into the hot chamber, the thermal behavior of each hot box component is analyzed.
A specific algorithm allows the post-process of the measured data for evaluating the specimen wall
thermal quantities and for creating 2D and 3D thermal models of each component. The system
reliability is tested on a real case represented by a double insulating X-lam wall. The results of the
72 h experiment show the system’s capability to maintain stable temperature set points inside the
chambers and to log the temperatures measured by the 135 probes, allowing to know both the U-value
of the sample (equal to 0.216 ± 0.01 W/m2 K) and the thermal models of all the hot box components.
The U-value obtained via hot box method has been compared with the values gathered through
theoretical calculation and heat flow meter measurements, showing differences of less than 20%.
Finally, thanks to the data postprocessing, the 2D and 3D thermal models of the specimen wall and of
the chambers have been recreated.

Keywords: hot box; thermal models; measuring and control system; digital temperature probes; data
post-processing

1. Introduction
The building sector, responsible for more than one third of the total energy use and associated
greenhouse gas emissions [1], needs continuous and constant energy efficiency improvement. The future
of this sector is strongly related to the reduction of such alarming quota, that can be pursued by
improving the thermal performance of structural elements, responsible for the heat losses, and by
increasing the efficiency of buildings’ technical plants.
The dispersing elements have a relevant impact on the buildings ‘energy consumption [2] and
their thermal characteristics can be experimentally studied by means of hot boxes able to recreate real
and repeatable operating conditions [3]. A hot box allows to analyze real size structural components
subject to a known thermal forcing (steady and dynamic) imposed as boundary conditions.
A hot box is essentially constituted in terms of two main chambers (hot and cold), while the
building component under investigation is interposed between them. Known thermal conditions are

Energies 2019, 12, 2053; doi:10.3390/en12112053 109 www.mdpi.com/journal/energies

Energies 2019, 12, 2053

created, in order to reproduce a typical thermal stress that characterizes the actual use of the sample: for
instance, 20 ◦ C are imposed in hot chamber and 0 ◦ C in cold chamber, with the aim of having enough
temperature difference for giving rise to an appreciable thermal flow. The considerable dimensions of
common hot boxes and the actual dimensions of the analyzed object determine a burdensome control
of the thermal phenomena, especially when the requirements of technical standards are met. In fact,
hot box experiments require measuring and control systems able to save temperature values from
several (order of hundreds) probes and for long-lasting campaigns, and to maintain imposed boundary
conditions by controlling the heating and cooling systems that equip the hot box itself. Add to this that
the sizes and features of the hot box components directly influence the number of installed probes and,
therefore, the control system complexity. In literature, there are many examples of laboratory tests
carried out using hot boxes, morphologically different from each other. Caruana et al. [4] employed a
hot box to investigate the thermal properties of a new building block (specimen dimensions equal to
165 × 190 cm), to improve its U-value without changing compressive strength, physical dimensions or
manufacturing process. Gullbrekken et al. [5] discussed how natural convection in air-permeable glass
wool insulation affects the thermal transmittance in walls, roofs and floors. The study was carried out
by means of a rotatable guarded hot-box (with a metering area equal to 245 × 245 cm). Prata et al. [6],
studied the dynamic thermal behavior of a Linear Thermal Bridge (LTB) in a wooden building corner
by means of a calibrated hot box. The specimen was made up of two cross laminated timber (CLT)
panels bolted together to simulate the dynamic thermal behavior of a wooden building corner (each
panel had dimensions equal to 100 × 215 cm). The work of Lechowska et al. [7] presented experiments
in a guarded hot box for improving the PVC window frame thermal transmittance without frame
geometrical dimension and material variations (the external dimensions of the window frame were
150 × 150 cm).
The sizes of the specimen (that can be up to 3 m), the maintenance of stable thermal conditions,
and the knowledge of the thermal phenomena that happen between the layers of the sample, and
between sample and chambers require complex measuring and control systems.
Therefore, despite its basic working principle, a hot box requires the use of a manifold equipment,
often difficult to manage. Indeed, if the hot box equipment is not adequate or the number of temperature
probes is not sufficient, a partial knowledge of thermal phenomena and not suitable thermal conditions
inside the chambers are obtained. Some authors claim that, given the state of the art, climate chambers
can be precisely controlled and programmed with temperature cycles [8]. Being missing an analysis of
the measuring and control systems commonly employed in hot box experiments, a literature insight
on such systems is presented in the following (Section 2), highlighting the frequent employment of
commercial (and sometimes expensive) devices.
Given that: (i) a hot box requires a burdensome management of the temperature probes and of
the devices installed in it; (ii) commonly, separated measuring and control systems equip hot boxes,
causing possible rough temperature regulation; (iii) by now, there is no possibility for commercial
devices to real-time monitor the thermal distributions inside the chambers (i.e., it is impossible to
assess potential thermal stratifications); there is the need for a novel, cheap, integrated and reliable
measuring and control system for thermal analyses in hot box experiments, presented in this paper.
Moreover, to test the capabilities of the system and the data post-processing of the measured values, a
real application on a X-lam sample wall with double insulating layer is performed.
The paper is structured as follows. Section 2 proposes a review of the measuring and control
systems commonly employed in hot boxes experiments. The new system and its properties are
presented in Section 3. Section 4 shows the results obtained from the application of the system to a real
case. The conclusions are reported in Section 5.

2. Common Systems and Literature Background

The measuring and control system, presented in this work, equips a Guarded Hot Box (GHB),
constituted by three boxes: a guard box, a metering box (inside the hot one) and a cold box. A detailed

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description of GHB and its operation is presented in previous works [9–11]. The knowledge of energy
balance inside the hot box allows to understand how complex the thermal phenomena (that characterize
the operation of a GHB) and the management of the systems (that control the thermal steady-state
conditions) are. The heat flows distribution in the GHB is shown in Figure 1, where Φ1 represents
the heat flow rate through the specimen, Φp is the total power input into the hot chamber, Φ2 is an
imbalance, i.e., the heat flow rate parallel to the specimen, Φ3 is the heat flow rate through metering
box walls. Φ5 is the heat flow rate parallel to the specimen surface at the edges of the specimen, called
peripheral heat loss.

Figure 1. Energy flows in the GHB: (1) metering box; (2) guard box; (3) cold box; (4) specimen wall; (5)
tempering ring.

Known the thermal energy input into the hot chamber and the internal flanking losses inside
guard and metering boxes, it is possible to determine the amount of heat that passes through the
sample, that represents the main goal of hot box experiments. What retrieved by theoretical analysis
should be confirmed by measurements.
Hot box experiments shall be conducted imposing temperature differences between hot and cold
chambers usually chosen for the end-use application: 20 ◦ C is a common temperature difference for
building applications. These conditions are generally guaranteed using electric resistances, for the
energy input into the hot chamber, and refrigerating unit for the energy input into the cold chamber.
The temperature sensors are installed on both the surfaces of the sample (hot and cold sides) and
on the walls of metering and guard boxes to quantify the effects of flanking losses and the heat flow that
passes through the specimen. Further sensors are placed to monitor the air temperature values inside
chambers and laboratory. A current and voltage meter allows to know the thermal energy input into
the hot chamber by the Joule effect, being the heating supplied by electric resistances. The minimum
number of temperature probes to be installed is defined by the standard UNI EN ISO 8990 [12], and it
shall be of at least two probes for square meter.
Before presenting the integrated measuring and control system proposed in this work, a literature
review of the common measuring and control systems employed for hot box experiments is proposed.
The works were selected based on the following research questions:
• what types of hot boxes are commonly used?
• what types of probes are commonly employed to measure temperatures on the specimen and
inside the chambers?
• what types of measuring and control systems are commonly used?
Based on the parameters mentioned above, the works selected from literature are summarized in
Table 1.

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Table 1. Literature review on common logging and control systems installed in hot boxes.

Temperature Probe
Hot Box
Authors Year Typology (and Measuring System Control System
Typology
Number)
Koo et al. [13] 2018 C T-type TC (5 a ) n.a. n.a.
Biswas et al. a)
2018 G TC (25 n.a. n.a.
[14,15]
OM-320 Data OMRON E5CK digital
Woltman et al. [3] 2017 C T-type TC
Acquisition System controller
Caruana et al. [4] 2017 C TC (18 a + 20 b ) n.a. n.a.
Gullbrekken et al. a)
2017 G T-type TC (39 n.a. n.a.
[5]
GL820 Midi
Prata et al. [6] 2017 C T-type TC (48 a ) n.a.
DataLogger
Ahlborn Almemo
Lechowska et al. (Ahlborn Mess—und AMR Ahlborn
2017 G n.a.
[7] Regelungstechnik WinControl system
GmbH, Deutschland)
Sassine et al. [16] 2017 S TC (6 a + 2 b ) Digital multimeter Microcomputer
Arduino data logger +
Peters et al. [17] 2017 C TR n.a.
HOBO loggers
Douzane et al. [18] 2016 G T-type TC n.a. n.a.
Buratti et al. [19,20] 2016 C TR (8 a + 9 b ) PC PID control system
Agilent Data
Basak et al. [21] 2016 G K-type TC Acquisition Systems MATLAB fuzzy scripts
34970A
Grynning et al. [22] 2015 G TC n.a. n.a.
Four 16-channel data
acquisition
Seitz et al. [23] 2015 C T-type TC (64 a, b ) cards (two MCCDAQ Omega 2110J
USB-2416 with
AI-EXP32
Pernigotto et al.
2015 C T-type TC (24 a ) Digital multimeter PID control system
[24,25]
Faye et al. [26] 2015 C K-type TC n.a. n.a.

a) JTRG-II automatic
Meng et al. [27] 2015 S T-type TC (10 Voltage regulator
tester
Manzan et al. [28] 2015 C TR (4 + 2
a b) Babuc A by LSI On/off thermostat
Seitz et al. [29] 2014 G TC n.a. n.a.
Vereecken et al.
2014 C n.a. n.a. n.a.
[30]
PID logic
Agilent Data
P logic
Ghosh et al. [31] 2014 G K-type TC Acquisition Systems
P logic with duty cycle
34970A
control
Sousa et al. [32] 2014 C n.a. n.a. n.a.
K-type YC (34 a, b AMR Ahlborn
Kus et al. [33] 2013 C Ahlborn Almemo
Test 1 - 52 a, b Test 2) WinControl system
T-type TC (372 b) and
Chen et al. [34] 2012 G n.a. PID control system
TR (33 b )
Martin et al. [35] 2012 G T-type TC (172 a, b ) n.a. Indirect system
Grynning et al. [36] 2011 C TC (38 a ) n.a. n.a.
Asdrubali et al. b)
2011 C T-type TC (142 PC PID control system
[37]
Qin et al. [38] 2009 S TC (6 a ) n.a. n.a.
a installed on the specimen. b installed in the hot box. LEGEND: TC (thermocouple), TR (thermoresistance), G
(guarded hot box); S (simple hot box); C (calibrated hot box); (definitions provided by [27,39]).

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Therefore, the literature review shows that the calibrated hot box is the
most used [3,4,6,13,17,19,20,23–26,28,30,32,33,36,37] followed by the guarded hot
box [5,7,14,15,18,21,22,29,31,34,35] and the simple hot box [16,27,38]. The measuring systems always
employ analog probes and the thermocouples are more widely used [3–6,13–16,18,21–27,29,31,33–38]
with respect to the thermoresistances [17,19,20,28,34]. The number of probes installed that,
as mentioned, depends on the size of the hot box, is very variable: some cases have less
than 20 probes [13,16,19,20,27,28,38], most cases have a number of probes between 20 and
100 [4–6,14,15,23–25,33,36], while in three cases there are more than 100 probes [34,35,37].
The measuring and control systems are mainly commercial [3,6,7,16,19–21,23–25,27,28,31,33,37] except
for one customized system [17].
Based on the literature review, the following observations can be made: (1) all the analyzed cases
employ analog temperature sensors; (2) except for one case, all the analyzed hot box facilities use
commercial and separated measuring and control systems; (3) none of the cases analyzed would appear
to show the possibility of real-time monitoring the thermal distributions.
The first observation allows to underline how the management of many analog sensors is complex
because of several disadvantages due to losses and signal noise along the connection cables [40] that
require compensation circuits for each probe [41–43].
The second observation highlights that, besides being commercial, the measuring and control
systems are also separated and independent: the measuring system permits to monitor and measure the
thermal properties of the sample inside the chambers, while the control systems permit to turn on/off
the heating and cooling systems of the hot box to reach the wished thermal conditions. However, the
choice of employing separated systems can cause a rough temperature regulation inside the chambers.
In fact, the control systems regulate the temperatures by using their own sensing probes that differ
from those employed to measure the thermal properties of the sample. Therefore, if the regulation of
the wished thermal conditions is difficult or approximate, the fluctuations between the two chambers
become considerable and the experiments may be far from the steady-state condition.
The last observation points out that the lack of real-time monitoring determines the inability of
displaying anomalous thermal stratifications inside the chambers and their incidence.
Therefore, the main problems that can be encountered for hot box experiments can be summarized
as follows: (1) burdensome management of the temperature probes installed; (2) possible considerable
thermal fluctuations between the two chambers; (3) difficult control of thermal stratifications inside
the chambers.
The hot box employed in this work has quite large dimensions (300 × 300 × 320 cm) and summing
up the number of probes installed in the chambers, the total amount of sensors needed is extremely
high and, therefore, their management becomes complex. Moreover, the experimental tests need
steady-state conditions guaranteed by small temperature fluctuations between the two chambers as
indicated by the standard UNI EN ISO 8990 [12]). Therefore, the management of controllers represents
a further difficulty.
Based on this analysis, the measuring and control system presented in this work tries to overcome
these difficulties, in order to simplify the carrying out and accuracy of the experiments. In particular,
the main novelties of the proposed systems are:
1. measuring, control and post-processing phases integrated into one system;
2. scalability of the number of temperature probes usable, without the need of compensation circuit
and additional devices;
3. arbitrary choice of number and typology (ambient or surface) of temperature probes usable for
regulating temperature setups inside the chambers;
4. management of temperature fluctuations between hot and cold chambers (through a specific
PI regulator);
5. instantaneous visualization of the thermal phenomena that characterize the experiment and
control of the correct evolution of the experimental tests;

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6. low-cost of the system.

3. Proposal of a New Integrated System

Given the literature background on hot boxes and their weak points, an integrated measuring
and control system, based on several sensors and actuators, for laboratory experiments in hot box is
presented. The system is made up of a master control unit and three slave units respectively dedicated
to cold chamber, hot chamber and specimen wall under analysis (Figure 2). Through a wireless “ad hoc”
protocol, the master unit communicates with the slaves for the parameters setting and for receiving
the values measured inside the chambers. The UART (Universal Asynchronous Receiver-Transmitter)
protocol is employed to realize a master-PC communication allowing the data post-processing, which
are later sent to a web server. Although the data post-processing is obtained through a dedicated
designed software, data can be elaborated by any custom object-oriented software. The master control
unit can log all the measured values and manage the devices and equipment (slave units) that control
thermal conditions inside the chambers. In detail, it allows: (1) to measure ambient and surface
temperatures needed to evaluate the thermal models inside the chambers and the thermal properties
of the specimen; (2) to measure the energy input for heat up the hot chamber needed to know the heat
flux that passes through the sample; (3) to control cooling and thermal-power systems.

Figure 2. Architecture of the proposed system.

The working principle of the system consists of three distinct phases. The first phase includes
the system start up and the configuration of the parameters of interest (temperatures set points, data

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acquisition and measurement rates) through a Human-Machine Interface (HMI). In the second phase,
the system maintains the desired conditions controlling the machines that equip the hot box and, at
the same time, acquiring the measured data. In the third and last phase, the post-processing of the
data takes place thanks to a semi-automatic interaction between the system algorithm and a dedicated
MATLAB® code. An overall schematic of the system operating phases is shown in Figure 3.

Figure 3. Flow chart of the integrated measuring and control system operation.

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To give a universal feature to the system, each unit has the same PCB (printed circuit board), based
on a general-purpose microcontroller ATmega2560 for the input/output (I/O) control management.
Therefore, each control unit has enabled only the specific I/Os to its functionality. The PCB is
programmable via USB port, it has an external DAC (digital analog converter) device for the hot
chamber regulation and a digital output for the cold chamber control. Moreover, the system is equipped
with an SD card reader for the data backup, 16 input channels for digital probes, a built-in wireless
module, a real time clock (RTC) with a backup battery to work when there is no power supply, and
additional connectable I/Os usable for any system upgrade. All the units are supplied by external
power sources.
A 3D view of the board employed for the system is shown in Figure 4.

Figure 4. A 3D view of the basic PCB used for the system.

In detail, the unit dedicated to the specimen wall (Figure 5) allows to measure the surface
temperature values of both sides of the sample. The probes distribution has been divided into two
channels having 25 probes each to minimize the number of cables and simplify their installation.
The real-time visualization of the surfaces thermal models of the sample is carried out through an HMI,
consisting of a 3.5 touch display, with a designed graphical interface. The touch display interrogation
permits to show the surface temperature value corresponding to a specific probe, both with a numerical
value and by means of a false-color scale. The spatial discretization reproduced on the touch panel is
the same of that chosen for the probes’ installation, which in our case is equal to 50 × 50 cm.
The PCB of the hot chamber control unit (Figure 6) is the most complex, due to the many
measurement and control operations it must carry out. Indeed, unlike the unit of the specimen wall,
which performs only measuring actions, the hot chamber unit allows to control the machines that
equip the chamber and measure both temperatures (surface and ambient) and thermal energy input.
All these operations take place simultaneously. The thermal energy is input into the hot chamber by
means of electric resistances (Joule effect), to achieve and maintain the pursued set point temperature.
The electric resistances control happens through a PI (proportional-integral) regulator, whose algorithm
has been implemented on the microcontroller. The PI parameters were determined by means of the
Ziegler-Nichols method [44]. The control phase is performed by voltage regulation of the electric
resistances thanks to a full AC wave control circuit, managed by a trigger module. Specifically, the
trigger module controls the gates of the full AC wave control circuit components modulating the output

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voltage. The input control voltage of the trigger module ranges from 0 to 5 V and it is generated by an
external 8-bit parallel DAC managed by the microcontroller via eight digital outputs. The measurement
of the energy fed into the hot chamber occurs through a current-voltage method by means of two
Agilent 34401A instruments connected to a computer via GPIB interface.

Figure 5. Specimen wall unit architecture.

Figure 6. Hot chamber control unit architecture.

Analogously to what described for the hot chamber, the cold chamber control unit (Figure 7) permits
to perform simultaneously temperature measurements (surface and ambient) and the management of
the refrigerating unit that provides the necessary energy for maintaining the wished temperature set
point. The microcontroller regulates the cold chamber temperature by means of an on/off control of the
refrigerating unit operating on a relay.

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Figure 7. Cold chamber control unit architecture.

Unlike what usually happens with traditional hot box controllers, the architecture of the proposed
control units of both the chambers allows to choose the reference temperature probes (surface or
ambient) to be used for the wished set point temperature control. Moreover, to guarantee high
measurements precision and high flexibility of the system employment, the number of probes can
be arbitrarily increased (without the need for further hardware components) and the procedures
for parameters configuration (set-point temperatures, acquisition time rate, etc.) can be performed
run-time, without interrupting the normal system operation. The control unit parameters configuration
takes place via rotary encoder and their visualization on 20 × 4 LCD displays.
The temperature sensors chosen for the proposed system are the DS18B20 digital thermometers of
Maxim Integrated [45]. These probes, frequently employed for thermal experiments [46], communicate
with a proprietary 1-Wire protocol that allow to connect many probes on the same data line simplifying
the installation phase. Moreover, being digital sensors, they are not affected by disturbances on the
transmission lines. This choice allows to use long connection cables (order of 100 m) avoiding the
employment of specific matching circuits, as it happens for thermocouples and RTDs (Resistance
Temperature Detectors) sensors. The digital thermometers operate in the range 3–5.5 V and their
temperature interval ranges between −55 ◦ C and 125 ◦ C with a settable resolution. With a 12-bit
resolution the analog-digital conversion time is equal to 750 ms. Each sensor univocally has a 64-bit
address identified by the microcontroller. This feature is appropriate when the system has many sensors
because they can be connected on the same bus allowing theoretically infinite devices. The digital
thermometers DS18B20 allow to receive a broadcast command by the microcontroller in order to obtain
the same start conversion time for the probes connected along the bus.
The current consumption of the digital sensors is equal to 750 nA, in idle mode, and 1 mA, in
conversion mode. The worst case happens when all the probes are in conversion mode. During the
normal operation, the system, without considering probes, has a current absorption equal to 100 mA
and, when the wireless transmission is activated, the electric consumption grows up to 500 mA.

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4. Application on a Real Case

In this section, the sample wall, the probes arrangement, and the results of the experimental test
obtained through the application of the proposed measuring and control system are presented.

4.1. Sample Wall Description

The specimen wall (Figure 8) is constituted by a double insulation X-lam bearing member, also
known as CLT (Cross Laminated Timber). This type of specimen was chosen to test the energy
performance of rather innovative walls that, thanks to their energy and seismic properties, can represent
an alternative to the classic masonry walls. Indeed, the employment of new materials for the building
envelope is experiencing a growing spread [47]. The specimen has real dimensions equal to 300 × 300 cm.
The X-lam panel is made up of solid wood with crossed layers (several superimposed layers glued one
on the other), so that the grain of each layer is rotated in the plane of 90◦ with respect to the adjacent
layers. Each layer is made up of dried spruce boards. The side of the wall facing the hot chamber is
insulated with mineral wool, while the other one has expanded polystyrene (EPS) mixed with graphite.
The X-lam panel and the insulation layers are sandwiched between double plasterboard layers.

Figure 8. The specimen wall (all the dimensions are expressed in centimeters).

The thermal properties of the wall’s layers and the calculated thermal resistance (according to ISO
6946 [48]) of the wall are shown in Table 2.

Table 2. Thermal properties of the wall’s layers and calculated thermal resistance of the wall.

Thickness Density Conductivity Resistance

Description
(cm) (kg/m3 ) (W/mK) (m2 K/W)
External surface resistance - - - 0.04
1 Plasterboard 1.25 900 0.210 0.06
2 Plasterboard 1.25 900 0.210 0.06
3 EPS and graphite 10.00 32 0.031 3.23
4 X-lam panel 10.00 470 0.130 0.77
5 Mineral wool 5.00 135 0.039 1.28
6 Plasterboard 1.25 900 0.210 0.06
7 Plasterboard 1.25 900 0.210 0.06
Internal surface resistance 0.13
Overall thermal resistance 5.69

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4.2. Sensors Arrangement

The hot box was equipped with 135 sensors to measure surface and ambient temperatures
including the temperature inside the laboratory. An overall view of the hot box with the sample
wall and the installed temperature probes is shown in Figure 9a. Each side of the sample wall was
equipped with 25 probes (symmetrically positioned on the two sides), in a grid 5 by 5 probes (Figure 9b).
The internal surfaces of the cold chamber had a total of 42 temperature sensors, while the internal
walls of the metering box had 24 probes. To calculate the mean radiative temperature, both in hot and
cold chambers, the temperatures of the apparatus surfaces “seen from the specimen” (baffles) must be
known. Therefore, 9 surface temperature sensors were installed in the cold chamber and 6 probes in
the hot chamber; although the probes number differs, requirements of UNI EN ISO 8990 [12], already
explained in Section 2, have been fulfilled. Both chambers and laboratory have been equipped with
ambient temperature probes.

(a)

(b)

Figure 9. Guarded hot box apparatus: (a) 3D view of the hot box; (b) Probes arrangement on the
specimen wall surface.

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4.3. Results of the Measuring and Control System Application

The testing phase of the system had a total duration of 88 h, from 1st March at 10:20 am to
5th March at 2:20 am, 2019. If the initial achievement of the steady-state condition and the thermal
equilibrium of the hot box after the machines turning off are not considered, the actual duration of the
test was 72 h. The turning on of the electric resistances and the introduction of the thermal energy
into the hot chamber have led to a temperature increase, until the set point value, equal to 20 ◦ C,
was reached. The thermal conditions of the cold chamber were regulated by the refrigeration unit,
also activated by the measuring and control system, until reaching the set point value equal to 0 ◦ C.
The parameters configuration of the test is summarized in Table 3. In this experimental phase, the
control of the machines was carried out by means of the ambient temperature probes of metering and
cold boxes, although this choice is arbitrary and non-binding.

Table 3. Parameters configuration.

Parameter Value U.M.

Set point temperature—hot chamber 20.0 ◦C

Set point temperature—cold chamber 0.0 ◦C

Data acquisition rate 10 min

Since the system allowed to measure and log temperature values along time of each hot box
component and the thermal energy input into the hot chamber via electric resistances, it was possible
to identify three different phases of the experiment through which the proposed system and the hot
box response were analyzed.
The first phase (phase “A” in Figure 10) includes the system activation and the set points
achievement in both the chambers and it shows how quickly the set point values were reached.
The second phase (phase “B” in Figure 10) is characterized by the maintenance of the steady-state
conditions between the two chambers minimizing the temperature fluctuations. At the end of the
second phase, the machines (electric resistances and refrigerating unit) were turned off to return to the
initial conditions (phase “C” in Figure 10). The total value of the energy input into the hot chamber
during the phase “B” was equal to 1.06 kWh. It is worth noting that the measure of energy fed takes
place only when the phase “A” is concluded, namely when the steady-state conditions are verified
inside the chambers. During the phase “B”, the temperature values in the metering box were subject to
minimum fluctuations, always lower than ±0.3 ◦ C. Furthermore, Figure 10a highlights that, although
the guard box was rather influenced by thermal fluctuations of the laboratory, it allowed to maintain
very stable thermal conditions inside the metering box. Small temperature fluctuations, due to the
on/off setting of the refrigeration unit, can also be observed in the cold chamber, where the fluctuations
were always lower than ±1.4 ◦ C.

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(a)

(b)
Figure 10. Hot box experiment: (a) Temperature trends inside chambers and laboratory, and highlights
of temperatures interplay; (b) Thermal energy input into the hot chamber.

4.4. Experimental Analysis of the Specimen Wall Thermal Properties

During the experimental phase, heat flow meter and guarded hot box approaches were performed
to carry out the performance of the specimen wall and to test the proposed system.
A comparison between these two approaches allows to underline some useful observations.
The heat flow meter (HFM) method is widely employed for in-situ measurements of thermal
transmittance of building components thanks to its ease of use, given the simplicity of the involved
probes (a thermopile for the flux, and thermoresistances or thermopiles for the temperatures) and

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the availability of proprietary software that permits to process the measured data and to retrieve
the U-value.
The guarded hot box approach allows to set and control the temperatures inside the chambers and,
therefore, it permits repeatable conditions and the assessment of the influence of boundary conditions
on the thermal behavior of the analyzed building component. Despite these pros, the con is mainly
due to the sizes of such apparatus and its cost. Indeed, many probes are needed, besides an accurate
system for temperature setting and control.
Therefore, if on one hand the heat flow meter approach lets to know punctual spatial information
about thermal transmittance of building components with ease of use in non-repeatable conditions, on
the other hand the GHB permits to evaluate the U-value of building elements on a wide spatial scale
and in repeatable conditions, but with a more complex measuring and control system and higher costs.
In this work, a heat flow meter was installed on the specimen surfaces following the
recommendations provided by ISO 9869 [49]. The analysis had a duration of 72 h and it was
carried out through a Hukseflux HFP01 heat flow meter, whose characteristics are summarized in
Table 4.

Table 4. Technical specifications of the heat flow meter.

Instrument Type Measuring Range Resolution

Fluxmeter Hukseflux HFP01 −2000 to 2000 W/m2 50 μV/W/m−2
Temperature probes LSI Lastem EST124-Pt100 −40 to 80 ◦ C 0.01 ◦ C
Datalogger LSI Lastem M-Log ELO008 −300 to 1200 mV ±100 μV

The results of the HFM campaign (Figure 11), obtained via progressive average method, showed a
mean heat flux equal to 3.39 W/m2 , and a U-value equal to 0.177 ± 0.01 W/m2 K, determined considering
internal and external surface resistances (Rsi and Rse ), equal to 0.13 and 0.04 m2 K/W respectively, as
provided by the standard UNI EN ISO 6946 [48].
It is worth noting that the U-value determined through the HFM campaign is very close to the
value obtained with theoretical calculation equal to 0.176 ± 0.03 W/m2 K (Table 2).

(a)

Figure 11. Cont.

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(b)

Figure 11. Results of the heat flow meter campaign: (a) Specific heat flux; (b) Thermal conductance.

The performance of the specimen wall was experimentally evaluated in guarded hot box by means
of the measuring and control system proposed in this work. The data measured by the proposed
system were processed by using a designed MATLAB® GUI (Graphical User Interface) which, after
importing the data, allowed to determine the U-value of the sample. The post-processing algorithm
was realized following the standard UNI EN ISO 8990 [12], according to which the value of the thermal
transmittance (U) is calculated by Equation (1).

∅  
U= W/m2 K (1)
A(Tn1 − Tn2 )

where ∅ is the power supplied to the metering box [W], A is the metering area [m2 ], Tn1 and Tn2 are
the environmental temperatures inside the chambers, hot and cold side respectively [◦ C], calculated by
Equation (2).
Ta ∅ 
A + Ehr (Ta − Tr ) Ts
Tn = ∅ 
[◦ C] (2)
A + Ehr (Ta − Tr )
where Ta is the measured mean air temperature [◦ C], Tr is the measured mean baffle temperature
[◦ C], Ts is the measured mean surface temperature [◦ C], E is the emissivity factor (assumed equal
to 0.9 as provided by the UNI 8990), hr is the calculated radiation coefficient [W/m2 K], provided by
Equation (3) [12].  
hr = 4σTm 3
W/m2 K (3)

where σ is the Stefan’s constant and Tm is the calculated appropriate mean radiant absolute temperature
provided by Equation (4).
 
Tr 2 + TS2 (Tr + TS )
 
3
Tm = W/m2 K (4)
4
Therefore, the proposed system and the probes that equip the hot box allowed to determine the
experimental U-value of the specimen wall that resulted equal to 0.216 ± 0.01 W/m2 K. A comparison
between the U-values obtained with the different approaches is showed in Table 5.

Table 5. U-values of the sample with the different approaches.

Approach U-Value [W/m2 K] Percentage Variation [%] a

Theoretical calculation 0.176 ± 0.03 -
Heat flow meter 0.177 ± 0.01 0.57
Guarded hot box 0.216 ± 0.01 18.37
a with respect to the theoretical value.

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4.5. Uncertainty Analysis

Uncertainty analysis of the thermal transmittance values was carried out by using the Holman’s
method [50,51], according to which, if a set of measurements is supposed, the calculated result
uncertainty is estimated on the basis of the uncertainties in the primary measurements. The result
R is a given function of the independent variables x1 , x2 , . . . , xn ; wr is the result’s uncertainty and
w1 , w2 , . . . , wn are the uncertainties in the independent variables. Therefore, the uncertainty in the
result is determined by Equation (5) [50,51].
⎡⎛ 2  2  2 ⎞⎟⎤⎥1/2
⎢⎢⎜⎜ δR δR δR ⎟⎥
wR = ⎢⎢⎣⎜⎜⎝ w1 + w2 + . . . + wn ⎟⎟⎠⎥⎥⎦ (5)
δx1 δx2 δxn
The uncertainties wn of the data measured (e.g., temperature probes, heat flux, etc.) have been
evaluated from the manufacturers’ datasheets.
Based on the uncertainties obtained, it is worth noting that the digital nature of the probes
and the system architecture allow to easily increase the number of sensors installed to improve the
measurement precision. Indeed, this flexibility of the number of sensors would be more complex for
systems equipped with analog probes due to losses and noise along the connection cables that require
the use of compensation circuits for each probe.

4.6. 2D and 3D Thermal Model Visualization

In addition to the standard analysis of temperatures and energy trends (Figure 10), thanks to the
considerable number of probes installed, the system allowed to perform a post-processing analysis
of the measured data through which 2D and 3D thermal models of the specimen wall and hot box
surfaces were created. Indeed, the designed MATLAB® GUI, besides allowing the U-value evaluation,
allowed to carry out 2D and 3D thermal distributions at any desired time. An example of 2D view of
the sample wall surfaces is shown in Figure 12. This display mode is useful to visualize the thermal
evolution on the wall surfaces during the experiments and to check that there are no thermal anomalies
such that measurements results can be compromised. Moreover, a video containing the 2D thermal
evolution of the sample wall surfaces is shown in Supplementary Materials Video S1.

(a) (b)

Figure 12. Cont.

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(c) (d)

Figure 12. 2D Thermal models of the sample wall surfaces: (a) Hot facing side at the beginning; (b) Hot
facing side at steady condition (after 24 h); (c) Cold facing side at the beginning; (d) Cold facing side at
steady condition (after 24 h).

Furthermore, the analysis of thermal models allowed to create a three-dimensional representation

of the temperatures’ distribution inside the chambers, by using a 3D CAD software. An example
of the three-dimensional representation is shown in Figure 13. It is worth noting that the surface
temperature distributions of the two chambers is rather uniform with very small thermal variations.
The cold chamber is characterized by a vertical thermal stratification, while the metering box thermal
distribution is less uniform, due to the positioning of the electric resistances inside the hot chamber.

(a) (b)

Figure 13. 3D thermal models: (a) Cold box; (b) Metering box.

4.7. Pros and Cons of the System

Based on the experience carried out in this work and after the testing phase of the sample wall by
means of the hot box approach, pros and cons of the proposed measuring and control system can be
highlighted. In this sense, Figure 14 summarizes the main advantages and disadvantages deriving
from the use of the proposed system.

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Figure 14. Pros and Cons of the proposed measuring and control system.

5. Conclusions
In this paper, after a detailed literature review, an integrated measuring and control system for
hot box experiments is presented and its capabilities are tested through a real application on a X-lam
sample wall with double insulating layer.
The system, based on a general-purpose microcontroller, digital thermometers, and on the use of
an “ad hoc” wireless sensors network, is described both at hardware and firmware levels. The novelties
of the proposed system and its main properties are presented.
The system’s capability has been tested on a double insulation X-lam wall. The results of the
72 h experiment have shown the system’s capability to maintain the wished thermal conditions with
small fluctuations (maximum temperature fluctuations in hot and cold chambers equal to ±0.3 ◦ C and
±1.4 ◦ C, respectively) and to measure temperatures and energy input into the hot chamber that resulted
equal to 1.06 kWh. The U-value of the wall, equal to 0.216 ± 0.01 W/m2 K, was determined by means
of the data post-processing of the measured data and it has been compared with the transmittance

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values obtained through theoretical calculation (equal to 0.176 ± 0.03 W/m2 K) and heat flow meter
measurements (equal to 0.177 ± 0.01 W/m2 K). Moreover, the data post-processing allowed to create 2D
and 3D thermal models of specimen wall and chambers.
Finally, the proposed system can represent a convincing improvement with respect to the traditional
approaches used in hot box experiments, and, therefore, its employment can be an alternative for those
who carry out this kind of analysis. The ease of installation and management of the system, and the
low costs, could also favor a more widespread of hot boxes, increasing the research of materials with
high energy performance.

Supplementary Materials: The following are available online at http://www.mdpi.com/1996-1073/12/11/2053/s1,

Video S1: 2D thermal evolution of the sample wall surfaces.
Author Contributions: Conceptualization, T.d.R. and M.M.; Data curation, T.d.R. and M.M.; Investigation, T.d.R.
and M.M.; Methodology, T.d.R.; Resources, T.d.R. and I.N.; Software, M.M. and L.P.; Supervision, V.S. and D.A.;
Validation, V.S. and D.A.; Visualization, T.d.R.; Writing—original draft, T.d.R.; Writing—review & editing, I.N.,
L.P., V.S. and D.A.
Funding: This research did not receive any specific grant from funding agencies in the public, commercial, or
not-for-profit sectors.
Acknowledgments: The authors wish to thank gratefully G. Pasqualoni and N. Zaccagnini of the University of
L’Aquila—DIIIE Dept., for the fundamental support during the system construction.
Conflicts of Interest: The authors declare no conflict of interest.

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Transmittance—Calculation Method; International Standard Organization: Geneva, Switzerland, 2018.
49. UNI ISO 9869. Thermal Insulation. Building Elements. In-Situ Measurement of Thermal Resistance and Thermal
Transmittance; International Standard Organization: Geneva, Switzerland, 2015.
50. Holman, J.P. Experimental Methods for Engineers, 8th ed.; McGraw-Hill series in mechanical engineering;
McGraw-Hill: New York, NY, USA, 2001; ISBN-13 978-0-07-352930-1.
51. De Rubeis, T.; Nardi, I.; Ambrosini, D.; Paoletti, D. Is a self-sufficient building energy efficient? Lesson
learned from a case study in Mediterranean climate. Appl. Energy 2018, 218, 131–145. [CrossRef]

© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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 energies
Article
Effects of the Aspect Ratio of a Rectangular
Thermosyphon on Its Thermal Performance
Chia-Wang Yu 1 , C. S. Huang 2 , C. T. Tzeng 1 and Chi-Ming Lai 3, *
1 Department of Architecture, National Cheng Kung University, Tainan 701, Taiwan;
[email protected] (C.-W.Y.); [email protected] (C.T.T.)
2 Department of Mechanical Engineering, Southern Taiwan University of Science and Technology,
Tainan 710, Taiwan; [email protected]
3 Department of Civil Engineering, National Cheng Kung University, Tainan 701, Taiwan
* Correspondence: [email protected]; Tel.: +886-6-2757575 (ext. 63136)

Received: 13 September 2019; Accepted: 20 October 2019; Published: 22 October 2019

Abstract: The natural convection behaviors of rectangular thermosyphons with different aspect
ratios were experimentally analyzed in this study. The experimental model consisted of a loop body,
a heating section, a cooling section, and adiabatic sections. The heating and cooling sections were
located in the vertical portions of the rectangular loop. The length of the vertical cooling section and
the lengths of the upper and lower adiabatic sections were fixed at 300 mm and 200 mm, respectively.
The inner diameter of the loop was fixed at 11 mm, and the cooling end temperature was 30 ◦ C.
The relevant parameters and their ranges were as follows: The aspect ratios were 6, 4.5, and 3.5
(with potential differences of 41, 27, and 18, respectively, between the cold and hot ends), and the
input thermal power ranged from 30 to 60 W (with a heat flux of 600 to 3800 W/m2 ). The results show
that it is feasible to obtain solar heat gain by installing a rectangular thermosyphon inside the metal
curtain wall and that increasing the height of the opaque part of the metal curtain wall can increase
the aspect ratio of the rectangular thermosyphon installed inside the wall and thus improve the heat
transfer efficiency.

Keywords: heat transfer; energy; thermosyphon; natural circulation loop

1. Introduction
A thermosyphon is a type of natural circulation loop. It relies on the proper arrangement of the
heating zone and cooling zone to cause a change in the density of the fluid within the loop, and the
resulting thermal buoyancy drives the working fluid to transfer thermal energy. The cooling section
and the heating section are usually placed either above and below the loop or on the left and right sides
of the loop. When the working fluid is heated in the heating section, its density decreases, generating
thermal buoyancy and driving it to flow upward and dissipate heat in the cooling section. Gravity
resists the upward flow of the working fluid and helps its downward flow (when the flow is in the same
direction as gravity). Because no external driving force is required, thermosyphons have considerable
operational reliability. This self-adjusting mechanism and stability have led thermosyphons to be
used in a wide range of applications, such as solar heating and cooling systems, coolers for nuclear
power plant reactors, geothermal energy systems, waste heat recovery systems, and electronic cooling
systems. There are many considerations in the design of a thermosyphon with good thermal efficiency,
including the choices of the working fluid and wall material, the locations of the heating and cooling
sections, and the geometric parameters of the loop. Studies of the performance of natural convection
loops and the effects of various parameters can be found in the existing literature [1–3].
Ismail and Abogderah [4] compared the theoretical predictions with experimental results of a
flat-plate solar collector with heat pipes as energy transport. The experimental results of the proposed

Energies 2019, 12, 4014; doi:10.3390/en12204014 131 www.mdpi.com/journal/energies

Energies 2019, 12, 4014

solar collector were also compared with a conventional commercial solar collector. The results showed
that the instantaneous efficiencies of the proposed collector are lower than the conventional one in
the morning and higher when the heat pipes reach their operating temperatures. Mathioulakis and
Belessiotis [5] theoretically and experimentally studied the thermal performance of a solar water system
with an integrated wickless gravity assisted loop heat pipe. The results validated a theoretical model for
the collector that can be used for the optimization of the system design. Misale et al. [6] analyzed the
influence of thermal boundary conditions on the flow regimes inside the pipes and the stability of the
thermosyphon. Their results showed that the higher the heating power is, the greater the flow rate is.
However, after the flow becomes a two-phase flow, the flow rate decreases due to the formation of bubbles,
and an increase in the height difference of the loop also increases the flow rate and heat transfer gain.
Lai et al. [7] explored the thermal performance of a rectangular natural circulation loop. The results
showed that the average velocity of the fluid increases with an increase in the heating power and
aspect ratio or a decrease in the length of the cooling section. Desrayaud et al. [8] numerically
investigated the thermal behavior of a rectangular natural circulation loop with horizontal heat
exchangers. It was shown that the vortices result in the occurrence of the oscillations and cause the
growth of temperature gradients. Huminic and Huminic [9] numerically investigated the nanofluid
heat transfer in thermosyphon heat pipes. The results showed that using the nanofluid has better heat
transfer characteristics than using water and the volume concentration of nanoparticles has a significant
effect in reducing the temperature difference between the evaporator and condenser. Martinopoulos
et al. [10] experimentally evaluated the thermal performance and the optimization parameters of a
phase-change flat plate solar collector. The collector with a 50% volume filament at a 40◦ inclination
showed a better system efficiency that increased proportionally with the increased mass flow rates.
Ho et al. [11] obtained the relationship between the Rayleigh number (Ra) and the Reynolds
number (Re), as well as the Nusselt number (Nu) of a single-phase thermosyphon, using experiments
and numerical simulations. Vijayan et al. [12] studied the effects of the heater and cooler orientations
in a single-phase thermosyphon. Three oscillatory modes and instabilities were observed in the
experiments. Misale et al. [13] tested thermosyphons at different inclination angles and found that the
inclination angle affected the heat transfer performance and that the best performance can be achieved
at an inclination angle of 0◦ (i.e., vertical with respect to the ground). Swapnalee and Vijayan [14]
obtained the relation between Re and the Grashof number (Gr) from experiments and simulations
of a single-phase thermosyphon and used the geometric parameter Ng to modify Gr to make the
prediction model of the relation applicable to four different types of heating and cooling. Thomas and
Sobhan [15] experimentally studied the stability and transient performance of a vertical heater-vertical
cooler natural circulation loop with metal oxide nanoparticles. The results indicated that nanofluids
containing aluminum oxide and copper oxide have better heat transfer performance as the working
fluid than pure water. Huang et al. [16] experimentally analyzed the natural convection of a rectangular
thermosyphon with an aspect ratio (AR) of 3.5. They found that the value of the dimensionless heat
transfer coefficient, Nu, is generally between 5 and 10, and that the power of the heating section and
the height difference between the cooling and heating sections are the main factors affecting the natural
convection intensity of the thermosyphon.
The thermal performance and applications of a rectangular thermosiphon with the heating and
cooling sections on the opposite vertical legs are worthy of in-depth investigation, but have rarely been
studied in the literature. To the best knowledge of the authors, a study responding to the design diversity
of balcony exterior walls or curtain walls via the loop aspect ratios, as shown in Figure 1, has not yet
been conducted. Therefore, this study, which is a follow-up to [16], experimentally investigated the
effect of the AR of a rectangular thermosyphon loop on its natural convection performance using
boundary conditions of a constant heat flux and a fixed wall temperature for the heating and cooling
sections, respectively, of the loop.

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Energies 2019, 12, 4014

Figure 1. Scenario and test cell illustration.

2. Materials and Methods

2.1. Scenarios and Test Cell Development

Our goal was to develop a structure within the metal curtain wall to capture solar heat energy
(Figure 1a). The exterior wall of the structure that absorbs solar heat was simplified to a single
vertical tube X with a constant heat flux boundary. The structure was designed to be a rectangular
thermosyphon to investigate its thermal performance in detail, as shown in Figure 1b,c. The heat
insulation materials filled the gap between the exterior and interior walls of the structure. When hot
water is required by the occupants, cold water can be fed into the heat exchanger p at the indoor side.
The side view in Figure 1b clearly illustrates the components of the circulation loop by removing all
the heat insulation materials between the outdoor and indoor ends.
During the day, the working fluid in the circulation loop becomes a high-temperature liquid after
it absorbs the solar heat from an outdoor heat source X . The fluid is driven by thermal buoyancy to
create natural convection and then flows along the horizontal circulation branch Y to the indoor heat
sink p, where heat is dissipated, and then flows under gravity along another horizontal circulation
branch q back to the outdoor heat source. Thus, a naturally flowing rectangular thermosyphon is
formed, in which the outdoor heat source X is represented by a vertical tube heated by a constant heat
flux, and the indoor heat sink q is the vertical section with an isothermal temperature boundary.

2.2. Experimental Test Cell

The test cell can be divided into the rectangular loop, the heating section, the cooling section,
and the adiabatic sections. The heating section and the cooling section are both located in the vertical
portions of the rectangular loop, as shown in Figure 2, and are introduced below.

Figure 2. Experimental test cell and geometric parameters.

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Energies 2019, 12, 4014

2.2.1. Rectangular Loop

The loop in the experiment was made of red copper tube with a high thermal conductivity, and
the entire loop had the same cross-sectional area. The round copper tube had an outer diameter of
12.7 mm and an inner diameter (Di) of 11 mm. The experimental test cell was installed inside the
curtain wall. The lengths of the upper and lower adiabatic sections, Lx, of the experimental test cell
were similar to the thickness of the curtain wall. In building practice, the thickness of the wall was
approximately 200 mm with little variation. Therefore, Lx was fixed at 200 mm in this study. The length
of the vertical heating section, Ly, was similar to the height of the curtain wall, and this height varied
with the elevation design of the building. Therefore, Ly was set to 1200, 900, and 700 mm in this
study. As a result, the ARs (AR = Ly/Lx) of the experimental test cell were 6, 4.5, and 3.5, respectively,
as shown in Figure 2b–d. To investigate the influence of the geometry on the heat transfer capability of
the experimental test cell, the length of the cooling endLc was fixed at 300 mm. Therefore, the potential
 Ly−Lc
differences of the experimental test cell ΔZ = 12 Di were 41, 27 and 18, respectively.

2.2.2. Heating Section

The heating section is a constant heat flux boundary for the simulation of actual applications.
Therefore, the heating wire was used to generate heating at a fixed thermal power. To increase the
uniformity of the heating section, the heating wire was directly processed in the heating section and
was mainly composed of mica paper, heating wire, and heat insulating material. Because the tubes
of the experimental test cell were made of conductive red copper, the surfaces of the copper tubes in
the heating section had to be insulated before winding the heating wire around the heating section.
Therefore, soft muscovite paper, which is an excellent insulator and is thermally resistant to 500 and
550 ◦ C, was wound around the heating section for insulation. Based on the input electric power of
60 W and the maximum power supply voltage of 60 V, the electric resistance was determined to be
60 Ω. Thus, the heating wire should have a similar resistance. A 2.5 m-long heating wire with a
diameter of 0.25 mm and a resistance of 25.82 Ω/m was selected for the experiment.

2.2.3. Cooling Section

The cooling section is a simulated isothermal boundary condition. The cooling water sleeve was
300 mm long and was mainly composed of a water sleeve body and two water sleeve caps. The water
sleeve body was a cylinder with an outer diameter of 61 mm and an inner diameter of 40 mm. Each end
of the sleeve was covered by a water sleeve cap, at the center of which was an opening with a diameter
of approximately 11 mm. The thermosyphon could pass through the cooling water sleeve via these
openings, and the joints were fitted with O-ring grooves to prevent leakage of the cooling water sleeve.

2.2.4. Adiabatic Sections

Other than the heating and cooling sections, the remainder of the cell was composed of the
adiabatic sections. To eliminate the effects of heat loss and ambient environmental factors during the
experiment, a 3 mm-thick insulating tape and a 20 mm-thick insulating pipe were wrapped around the
body to effectively simulate the adiabatic boundary conditions.

2.3. Experimental Apparatus

The device and data acquisition system included a data acquisition unit (Yokogawa MX-100,
Yokogawa Electric, Tokyo, Japan), a PC, a flow meter (Fluidwell F110-P, Fluidwell BV, Veghel,
The Netherlands), a DC power supply unit (Gwinstek SPD-3606, GW Instek, New Taipei City, Taiwan)
and a thermoregulated bath (RCB-412).

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Energies 2019, 12, 4014

2.3.1. Power Supply System

The heating wire of the heating section was directly connected to the power supply. The output
voltage and current were adjusted to provide the input electric power qh of 30–60 W that was required
in the experiment. If we take 300 W/m2 as the nominal solar heat gain on the wall, then the service
areas of each test cell are 0.1 m2 (= 30/300; qh = 30 W) and 0.2 m2 (= 60/300; qh = 60 W).

2.3.2. Thermoregulated Bath

The isothermal boundary of the cooling section was established by circulating water from the
thermoregulated water bath to establish a cooling section temperature Tc of 30 ◦ C required for
the experiment.

2.3.3. Liquid Flow Meter

The flow meter was used to monitor the cooling water output by the thermoregulated bath in
each set of experiments, with an average flow rate of approximately 35 mL/s.

2.3.4. Thermocouples
Type-K thermocouples were used in the experiment to measure the temperature distribution at
different points along the loop, including the wall temperature and the water temperature inside the
tube. A total of 18-point thermocouples was embedded in each experimental test cell at the lower,
middle, and upper positions of the heating section, at the inlet and outlet of the water sleeve of the
cooling section, and along the adiabatic sections. The numbering and measurement locations of the
thermocouples are shown in Figure 2b, where the thermocouples numbered from 1 to 8 measure the
temperatures at the center of the fluid in the tube, 9 and 10 measure the temperatures at the inlet and
outlet of the water sleeve, and 11 to 18 measure the temperatures at the outer tube wall.

2.4. Experimental Procedures

At the beginning of the experiment, to prevent the initial temperature of the cooling section from
starting the flow of the fluid in the tube, the power supply device needed to provide a high electric
power to the heating wire. The output power was then reduced after the temperature of the heating
section became higher than that of the cooling section to achieve a steady-state heating boundary.
The experimental steps are as follows:

1. Set the temperature of the thermoregulated bath to the cooling section temperature of 30 ◦ C
required for the experiment and keep the inlet and outlet valves of the thermo-regulated
bath closed.
2. Set the required power output (30, 40, 50, and 60 W) on the power supply.
3. When the temperature of the heating section is higher than the set temperature of the cooling
section wall, open the inlet and outlet valves of the thermo-regulated bath.
4. After the temperature of the thermosyphon loop reaches a steady state, increase the input power
and carry out the next steady-state experiment.
5. Repeat step 4 until the input power reaches 60 W, when the experiment is completed.

2.5. Parameters
The relevant heat transfer parameters were calculated from the temperature measured by each
thermocouple, as well as the voltage and current supplied to the heating wire in the experimental
test cell.

1. The input power qh = VI (W) was obtained from the voltage V and the current I provided by the
power supply. During the experiment, the heating from the power supply was not completely
transferred to the fluid in the heating section. A small amount of heat entered the cooling section

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via axial heat conduction qa (W) of the thermosyphon or escape into the environment. Therefore,
this axial heat transfer was first subtracted from the input thermal power, that is, the corrected

actual input thermal power was qin = qh − qa (W). Then, the heat flux qh was calculated as qin /A
2
(W/m ), where A is the area of the heating section.
2. Modified Rayleigh number, Ra*

gβqh L4y
Ra∗ = (1)
kαν
where g is the acceleration due to gravity (m/s), β is the thermal expansion coefficient of water
(1/K), ν is the kinematic viscosity (m2 /s), and α is the thermal diffusivity ρCk p (m2 /s), ρ is the density
(kg/m3 ), Cp is the specific heat (J/kg K), and k is the thermal conductivity (W/m). The values of these
physical properties are based on the average water temperature of the heating section (35 ◦ C).
3. Reynolds number, Re
VDi
Re = (2)
ν
where the fluid flow velocity V (m/s) in the tube is observed through the transparent section of
the loop in the experiment.
4. Nusselt number

(1) The average thermal convection coefficient h at the hot end was:

qh
h= (3)
Tw − Tm

where Tw (K) and Tm (K) are the average temperature of the heating wall and the average
water temperature of the heating section, respectively.
(2) The Nusselt number Nu was calculated as follows:

hDi
Nu = (4)
k

5. Thermal resistance of the working fluid flow, R f low

1 1
R f low = . = (5)
mCp ρVA f Cp

2.6. Experimental Uncertainty

The heat input was measured by an electronic wattmeter with an accuracy of 0.01 W. The type-K
thermocouples used for the temperature measurements were accurate to 0.1 ◦ C. These errors are
believed to be inconsequential to the results of the experiment.

3. Results and Discussion

This experiment mainly explored the effects of the AR on the heat transfer of a rectangular
thermosyphon. The main parameters were: AR = 6, 4.5, and 3.5 (the potential differences between the
cold and hot ends ΔZ are 41, 27, 18, respectively), the input thermal power ranged from 30 to 60 W,
the heat flux was in the range of 600 to 3800 W/m2 , the cooling section temperature Tc is 30 ◦ C, and the
cold end length Lc is 30 m.
Due to space limitations of this article, only the experimental results for AR = 6 were discussed.
The heat flow phenomena for ARs of 4.5 and 3.5 were similar to those for AR = 6 and were not discussed
in this paper. Figure 3 shows the distribution of the steady-state wall temperature of the thermosyphon
loop at different heating powers and with a cold wall temperature of 30 ◦ C and a circulating water flow

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Energies 2019, 12, 4014

rate of 35 mL/s. The dotted lines partition the figure into four blocks, and the point with a dimensionless
distance Xloop of 0 was set at the lower-left corner of the loop system (Figure 2a). The Xloop range of
0–0.43 corresponds to the heating section, the range of 0.43–0.5 corresponds to the adiabatic section
between the outlet of the heating section and the inlet of the cooling section, the range of 0.5–0.61
corresponds to the cooling section, the range of 0.61–1 corresponds to the adiabatic section after the
cooling section, and Xloop of 1 indicates the return to the starting point of the loop (i.e., the starting
point of the heating section).

Figure 3. Steady-state temperature distribution of the wall of the loop with different heating powers.

The variation of the wall temperature Tw of the thermosyphon shows that after entering the
heating section, the wall temperature of the loop began to increase linearly and reached the highest
temperature at the end of the flow passage. After entering the adiabatic section, the temperature
decreased considerably. After entering the cooling section, the wall temperature quickly decreased to
the set cold wall temperature. The results confirm that the cold wall temperature met the set isothermal
state and that the temperature increased after exiting the cooling section.
Next, the influence of different heating wattages on the temperature distribution was analyzed.
The results show that the higher the wattage was, the higher the heating wall temperature iswas.
In addition, the slope of the temperature variation increased, which reflects the boundary condition of
the constant heat flux. In the adiabatic zone between the outlet of the heating section and the inlet of
the cooling section, the wall temperature was affected by the low temperature of the cooling section
due to the axial heat transfer of the tube wall. Therefore, the temperature decreased considerably after
entering the adiabatic section. In the cooling section, the cooling wall temperature was not significantly
affected by the wattage, indicating the isothermal condition of the cooling section. In the adiabatic
zone between the outlet of the cooling section and the inlet of the heating section, the wall temperature
was affected again by the axial heat transfer of the tube wall. The temperature of the cooling section
was affected by the high temperature of the heating section, and the temperature increased.
Figure 4 shows the distribution of the maximum wall temperature Tw,max under the specified
hot water intake mode (i.e., the cold end circulating water flow rate of 35 mL/s). The results show
that at AR = 3.5, as the heating power increased, the maximum wall temperature increased linearly
from 42.1 ◦ C (30 W) to 50.3 ◦ C (60 W). The maximum wall temperature decreased nonlinearly with
increasing AR. With AR = 6, the minimum temperatures were 39.6 ◦ C (30 W) and 46.2 ◦ C (60 W).

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Energies 2019, 12, 4014

Figure 4. Distribution of the maximum wall temperature.

Figure 5 shows the relationship between Re and Ra*. With the same heating power, Ra* increased
with the increase of aspect ratio. Within the range of parameter values in this study, Re ranged
from 129 to 213, indicating a laminar flow pattern. When AR = 6, Re increased with increasing Ra*,
but the upward trend became moderate in the high Ra* range. When AR = 3.5, Re also increased with
increasing Ra*, but both the amplitude and the slope of the increase were larger than those with AR = 6.

Figure 5. Relationship between the Reynolds number (Re) and the modified Rayleigh number (Ra*).

Figure 6 shows the relationship between the average Nu and Ra* in the heating section. Within the
range of parameter values in this study, Nu was between 4.3 and 8.4. With a fixed AR, as Ra* increased,
the variation in the amplitude of Nu was small. When AR = 3.5, as Ra* increased, Nu increased slightly.
Nu increased with increasing AR, indicating that the AR affected the heat transfer performance of the
rectangular thermosyphon, that is, with the same heating power, a higher AR corresponded to a better
heat transfer capability. Figures 5 and 6 show that as the AR increased, the potential difference ΔZ

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Energies 2019, 12, 4014

of the heating section and cooling section also increased, thereby increasing the fluid flow rate and
the heat transfer efficiency in the tube. This can be used as a reference for incorporating the studied
thermosyphons into building design. When the rectangular thermosyphon inside the metal curtain
wall is used to obtain the solar heated water, the opaque part of the metal curtain wall can be raised to
make the thermosyphon have a high AR to enhance the heat transfer efficiency.

Figure 6. Relationship between the average Nusselt number (Nu) and the modified Rayleigh number
(Ra*) of the heating section.

Figure 7 shows the relationship between the thermal resistance of the working fluid flow (R f low )
and Ra* of the heating section. The higher Ra* was, the smaller R f low was, that is, a higher heating
power resulted in greater thermal buoyancy, thereby increasing the flow rate and decreasing R f low .
Within the range of parameter values in this study, R f low was between 0.18 and 0.29 K/W.

Figure 7. Relationship between the thermal resistance of the working fluid flow (R f low ) and Ra*.

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Energies 2019, 12, 4014

4. Conclusions
The main purpose of this study was to investigate the effects of different geometric aspect ratios
and the heating wattage on the thermal capacity of a rectangular thermosyphon loop with an inner
diameter of 11 mm. Based on the experimental results, the following conclusions can be summarized:
1. It is feasible to install a rectangular thermosyphon inside a metal curtain wall to obtain solar
heated water.
2. When the AR increased, the maximum wall temperature decreased nonlinearly. The lowest
temperature can be reduced to 39.6 ◦ C and 46.2 ◦ C at 30 W and 60 W, respectively, with AR = 6.
3. Within the range of parameter values in this study, Nu was between 4.3 and 8.4. The higher the
AR was, the higher Nu was, indicating that the AR can affect the heat transfer efficiency of the
rectangular thermosyphon.
4. When the rectangular thermosyphon is used inside the metal curtain wall to obtain a solar heat
gain, the opaque part of the metal curtain wall can be raised to give the thermosyphon a higher
AR to enhance the heat transfer efficiency.
5. The larger Ra* was, the lower the thermal resistance of the working fluid flow was, that is,
a greater heating power or larger AR resulted in greater thermal buoyancy, thereby causing the
flow to increase and the thermal resistance of the working fluid flow to decrease.
The results are limited to the chosen specific aspect ratios (6, 4.5, and 3.5). To respond to the
design diversity of balcony exterior walls or curtain walls via the loop geometry configurations,
thermosyphons with different aspect ratios could be tested. Although a computational modeling was
not the focus of this study, it is worthy of future consideration.

Author Contributions: C.-M.L. and C.S.H. designed the study; C.-W.Y. and C.S.H. performed the experiments;
C.-W.Y., and C.S.H. analyzed the data; C.T.T. and C.-M.L. wrote the manuscript.
Funding: This research received no external funding
Conflicts of Interest: The authors declare no conflict of interest.

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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Article
Experimental Observation of Natural Convection
Heat Transfer Performance of a
Rectangular Thermosyphon
C. S. Huang 1 , Chia-Wang Yu 2 , R. H. Chen 3 , Chun-Ta Tzeng 2 and Chi-Ming Lai 4, *
1 Department of Mechanical Engineering, Southern Taiwan University of Science and Technology,
Tainan 710, Taiwan; [email protected]
2 Department of Architecture, National Cheng Kung University, Tainan 701, Taiwan;
[email protected] (C.-W.Y.); [email protected] (C.-T.T.)
3 Department of Mechanical and Energy Engineering, National Chiayi University, Chiayi 600, Taiwan;
[email protected]
4 Department of Civil Engineering, National Cheng Kung University, Tainan 701, Taiwan
* Correspondence: [email protected]; Tel.: +886-6-2757575

Received: 8 March 2019; Accepted: 3 May 2019; Published: 6 May 2019

Abstract: This study experimentally investigates the natural convection heat transfer performance of
a rectangular thermosyphon with an aspect ratio of 3.5. The experimental model is divided into a
loop body, a heating section, a cooling section, and two adiabatic sections. The heating section and
the cooling section are located in the vertical legs of the rectangular loop. The length of the vertical
heating section and the length of the upper and lower horizontal insulation sections are 700 mm and
200 mm, respectively, and the inner diameter of the loop is 11 mm. The relevant parameters and
their ranges are as follows: the input thermal power is 30–60 W (with a heat flux in the range of
60–3800 W/m2 ); the temperature in the cooling section is 30, 40, or 50 ◦ C; and the potential difference
between the hot and cold sections is 5, 11, or 18 for the cooling section lengths of 60, 45, and 30 cm,
respectively. The results indicate that the value of the dimensionless heat transfer coefficient, the
Nusselt number, is generally between 5 and 10. The heating power is the main factor affecting the
natural convection intensity of the thermosyphon.

Keywords: heat transfer; energy; thermosyphon; natural circulation loop

1. Introduction
A thermosyphon is a type of natural convection loop. By proper arrangement of the heating zone
and the cooling zone, the fluid in the loop changes in density, and the resulting thermal buoyancy
drives the heat transfer of the working fluid. The cooling section and the heating section are usually
placed on the upper and lower sides or on the left and right sides of the loop, respectively. Heating of
the working fluid produces a lower density, which generates thermal buoyancy and upward flow, and
the heat is radiated toward the cooling section. Gravity works against the working fluid as it flows
upwards and assists it as it flows downward (i.e., in the same direction as the gravity). Because there is
no need for an external driving force, a thermosyphon has considerable operational reliability. The
self-adjusting mechanism and stability enable thermosyphons to be applied in an extensive range of
applications, such as solar heating and cooling systems, coolers for reactors in nuclear power plants,
geothermal energy systems, waste heat recovery systems, and electronic cooling systems. There are
many considerations when designing a thermosyphon with good thermal efficiency, such as the choice
of working fluid, the choice of wall material, the location of the heating and cooling sections, and the
geometry of the loop [1–10].

Energies 2019, 12, 1702; doi:10.3390/en12091702 143 www.mdpi.com/journal/energies

Energies 2019, 12, 1702

Garrity et al. [1] studied the instability of a two-phase thermosiphon with a microchannel
evaporator and a condenser. Vijayan et al. [2] analyzed the steady state and stability of single-phase,
two-phase, and supercritical natural convection in a rectangular loop using a 1-D theoretical model.
Misale et al. [3] analyzed the influence of the thermal boundary conditions on the flow regimes inside
the pipes and the stability of the thermosiphon. The results indicated that the larger the heating
power is, the larger the flow rate; however, after becoming a two-phase flow, the flow rate is reduced
due to the generation of bubbles. Lai et al. [4] explored the influences of the aspect ratio, potential
difference, heating power, and cooling temperature on the thermal performance of a rectangular natural
circulation loop. Delgado et al. [5] reviewed the information and application of two latent working
fluids: phase change material (PCM) emulsions and microencapsulated PCM slurries.
Desrayaud et al. [6] numerically investigated the instability of a rectangular natural circulation
loop with horizontal heat exchanging sections for various Rayleigh number (Ra) values. The results
show that vortices induce the occurrence of oscillations and the growth of temperature gradients.
Buschmann [7] analyzed the research on thermosyphons, heat pipes, and oscillating heat pipes operated
with nanofluids based on 38 experimental studies and 4 modeling approaches. The results show that
the effects related to the filling ratio, inclination angle, and operation temperature seem to be similar
to those for classical working fluids. Huminic [8] investigated the effects of volume concentrations
of nanoparticles and the operating temperature on the heat transfer performance of a thermosyphon
heat pipe with nanofluids using a three-dimensional simulation. The results show that the volume
concentration of nanoparticles significantly reduced the temperature difference between the evaporator
and the condenser. Sureshkumar et al. [9] reviewed and summarized an improvement in the thermal
efficiency and the thermal resistance of heat pipes with nanofluids. Gupta et al. [10] presented an
overview of the heat transfer mechanisms of heat pipes in terms of thermal performance.
Ho et al. [11] obtained the relation of the Ra with the Reynolds number (Re) and Nusselt number
(Nu) of a single-phase thermosyphon through experiments and numerical simulations. Vijayan et al. [12]
studied the effect of the heater and cooler orientations on a single-phase thermosyphon. Three oscillatory
modes and instabilities were observed in the experiments. Misale et al. [13] tested a thermosyphon with
different tilting angles and found that the tilt angle affects the heat transfer effect, and the best effect
was obtained with a tilt angle of 0◦ (vertical to the ground). Swapnalee and Vijayan [14] obtained the
relationship formula between the Re and Gr through experiments and simulations of single-phase flow
in a thermosyphon and used the geometric parameter Ng to modify the Gr, crafting a prediction model
that was applicable in four different heating and cooling modes. Thomas and Sobhan [15] experimentally
studied the stability and transient performance of a vertical heater–cooler natural circulation loop with
metal oxide nanoparticles. Their results indicate that nanofluids containing aluminum oxide and copper
oxide have superior heat transfer performances than pure water as the working fluid.
Because the literature on heating and cooling sections positioned in the two vertical sections of a
rectangular thermosyphon is quite limited, despite the high potential of this application, this paper
explores the natural convection heat transfer phenomenon of a rectangular thermosyphon with a
geometric aspect ratio of 3.5. The boundary conditions of the loop heating section and the cooling
section feature a fixed heat flux and a fixed wall temperature, respectively.

2. Materials and Methods

2.1. Scenarios and Test Cell Development

We aim to develop a structure that can harvest solar heat while attached to a metal wall (Figure 1a).
In addition to extracting heat energy, this building façade prototype can also effectively buffer the heat
of the sun. Therefore, an energy-harvesting façade, as part of a solar thermal system and integrated
with the building envelope structure, has been developed. To simplify the boundary conditions,
we simplified the prototype into a rectangular natural circulation loop to further explore its basic heat
flow mode and thermal performance.

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The prototype design is shown in Figure 1b. To simplify the boundary conditions and observe
the basic heat flow performance, we simplified the prototype to the experimental test cell shown
in Figure 1c,d. The heat absorbing wall panel shown in Figure 1b is first simplified to a boundary
with a constant heat flux, as shown by ‚ in Figure 1c,d. The vertical view in Figure 1c shows the
components without the insulation above the device for easy viewing. The side view in Figure 1d
shows the components without the heat insulation materials filling the space between the exterior wall
and the interior wall to clearly illustrate the components of the circulation loop.
During the day, the working fluid in the circulation loop becomes a high-temperature fluid after
absorbing heat from the outdoor heat source ‚. Driven by thermal buoyancy, the fluid forms natural
convection, circulates along the horizontal circulation branch ƒ to the indoor heat sink, dissipates heat
in the indoor heat sink „, and flows back to the outdoor heat source by another horizontal circulation
branch … via gravity; thus, a naturally flowing natural circulation loop is formed. The outdoor heat
source ‚ is represented by a heated vertical tube; the indoor heat sink „ is a vertical section of an
isothermal boundary.

2.2. Experimental Test Cell

The experimental test cell can be divided into a rectangular loop comprising a heating section,
a cooling section, and two adiabatic sections. The heating section and the cooling section are both
located in the vertical portions of the loop (Figure 2) and are described below.

2.2.1. The Rectangular Loop

The loop components in this test cell are all red brass tubes with high thermal conductivity, and
the entire loop in the test cell has the same cross-sectional area, resulting in a constant tube flow value.
The red brass tubes have an outer diameter of 12.7 mm and an inner diameter (Di ) of 11 mm. The
length of the vertical heating section (Ly) is 700 mm, and the lengths (Lx) of the upper and lower
adiabatic sections of the experimental test cell are both 200 mm; thus, the aspect ratio AR (=Ly/Lx) of
the test cell is 3.5. To investigate the influence of the geometry of the experimental test cell on the heat
transfer capability of the system, we set the cooling end length  Lc to 30, 45, and 60 cm, as shown in
1 Ly −Lc
Figure 2a–c. The resulting potential differences (ΔZ = 2 Di are 18, 11, and 5, respectively.

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(a) Lc=30 cm (UZ = 18) (b) Lc=45 cm (UZ = 11) (c) Lc=60 cm (UZ = 5)

Figure 2. Experimental test cell and geometric parameters.

2.2.2. Heating Section

The heating section is a boundary with a constant heat flux that simulates the practical application,
and therefore, heating wire is used to generate heating at a fixed power. To increase the uniformity of
the heating section, the electric wire is directly processed into the heating section, which is mainly
composed of muscovite paper, electric heating wire and heat insulation materials. Because the tube
material of the experimental test cell is conductive red brass, we must insulate the surface of the
heating section tube before winding the heating wire around the heating section. Therefore, the soft
muscovite paper, which is an excellent insulator and heat-resistant to 500–550 ◦ C, is wound on the
heating section for insulation purposes. The input electric power and the maximum voltage of the
power supply are 60 W and 60 V, respectively, so the resistance is 60 Ω. Therefore, this experiment
selects a heating wire with a resistance close to 60 Ω. The heating wire is 2.5 m in length, 0.25 mm in
diameter, and 25.82 Ω/m in resistance per unit length.

2.2.3. Cooling Section

The cooling section is a simulated isothermal boundary condition. To test the effects of different
height differences between the hot and cold ends, the water sleeve is set to lengths of 300, 450, and
600 mm. The cooling water sleeve is mainly composed of a water sleeve body and a water sleeve cover.
The water sleeve body is a cylinder with an outer diameter of 61 mm and an inner diameter of 40 mm.
Both ends of the water sleeve are water sleeve covers, and the center of each water sleeve cover has
a hole that is approximately 11 mm in diameter. The thermosyphon passes through the holes in the
cooling water sleeve, and the joints are fitted with O-ring grooves to prevent water leakage from the
cooling water sleeve.

2.2.4. Insulation Materials

Except for the heating section and the cooling section, the remaining sections are adiabatic.
To eliminate the effects of the external environment and heat loss during the experiment, 3-mm-thick
insulating tape and a 40-mm-thick insulation pipe are wrapped around the body to effectively simulate
adiabatic boundaries.

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2.3. Experimental Apparatus

The device and data acquisition system includes a data acquisition unit (Yokogawa MX-100, Tokyo,
Japan), PC, a flow meter (Fluidwell F110-P, Veghel, The Netherlands), a DC power supply unit (Gwinstek
SPD-3606, New Taipei City, Taiwan), and a thermoregulated bath (RCB-412, New Taipei City, Taiwan).

2.3.1. Power Supply System

The heating wire of the heating section is connected directly to the power supply (Gwinstek
SPD-3606); the output voltage and current are adjusted to provide an input power qh of 30–60 W, as
required in the experiment.

2.3.2. Thermoregulated Bath

The isothermal boundary of the cooling section is established by circulating water from a
thermoregulated water bath (RCB412) to establish the cooling section temperature Tc (30, 40, or 50 ◦ C)
required for the experiment.

2.3.3. Liquid Flow Meter

A flow meter (F110-P; Fluidwell) is used to monitor the amount of cooling water sent by the
thermostatic water tanks in each test, with an average flow rate of approximately 35 mL/s.

2.3.4. Thermocouples
This study uses type-K thermocouples to measure the wall temperature and the fluid temperature
along the loop. There are 17 thermocouple points embedded in each experimental test cell at the upper,
middle, and lower positions of the heating section, at the inlet and outlet of the water sleeve in the
cooling section, and along the adiabatic sections. The thermocouple points are shown in Figure 2b. The
thermocouple points numbered  1 –8 measure the temperatures at the center point of the fluid in the
tube; the thermocouple points numbered  9 and  10 measure the inlet and outlet water temperatures
of the cooling sleeve; and the thermocouple points numbered 11–17 measure the temperatures of the
outer tube wall.

2.4. Parameters
The relevant heat transfer parameters were calculated from the temperature measured by each
thermocouple in the experimental test cell and the voltage and current supplied to the electric
heating wire.

1. The input power qh = VI can be obtained from the voltage V and the current I supplied by the
power supply. Thus, the heat flux q f lux is qh /A. During the experiment, the heating from the
power supply is not completely transferred to the fluid in the heating section. A small amount of
heat enters the cooling section via axial heat conduction qa in the loop body or escapes into the
environment, so the axial heat transfer qa must be deducted from the input thermal power first.
Therefore, the corrected actual input thermal power is qin = qh − qa .
2. Modified Rayleigh number, Ra*
q R 
gβ Ain ki L y Di 2
∗
Ra = (1)
αν
3. Parameters of the working fluid
.
(1) Flow rate of the working fluid (V) The temperature of the fluid in the rectangular loop
increases in the heating section, causing the fluid to flow to the cooling section by
convection. The flow rate of this flow varies depending on the amount of thermal power
input to the heating section and the cooling conditions in the cooling section. In this

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experiment, the input heat power (qin ) and temperature difference (ΔT = T3 − T1 ) were
used to determine the fluid flow rate in the tube.
. qin
V= (2)
ρCp AΔT

(2) Reynolds number, Re

.
V (2Ri )
Re = (3)
ν
4. Nusselt number

(1) The average heat transfer coefficient of the cooling end is:

qc /A
h= (4)
Tw − Tc

(2) The calculation of the Nu is as follows:

h(2Ri )
Nu = (5)
k

2.5. Experimental Uncertainty

The uncertainties in the measured quantities of this study were estimated to be ±0.1 ◦ C for
temperature, ±2% for the volumetric flow rate of the cooling water, and ±2% for the heat flux
measured by the heat flow meters. Following the uncertainty propagation analysis [16], the estimated
uncertainties for the deduced experimental results were as follows: 5.1–26.2% for the heating flux,
3.1–25.8% for the cooling power, and 4.3–21.8% for the average Nu.

3. Results and Discussion

This experiment mainly discusses the effects of the heating power, cooling section temperature
Tc, and height difference between the hot and cold ends ΔZ on the heat transfer phenomenon in a
rectangular thermosyphon. The input thermal power is 30–60 W (the heating flux is in the range of
600–3800 W/m2 ); Tc is 30, 40, or 50 ◦ C, and ΔZ is 5, 11, or 18 (Lc = 60, 45, or 30 cm, respectively).
Due to space limitations, only the experimental result of Tc = 40 ◦ C is introduced; the heat flow
phenomena for the other Tc values of 30 ◦ C and 50 ◦ C are similar to that of Tc = 40 ◦ C and are not
discussed further. Figure 3 shows the change in working fluid (water) temperature in the loop at
Tc = 40 ◦ C as the thermal power increases. In the upper graphs, the x-axis represents thermocouple
measurement points from Channel 1 to Channel 8, and the y-axis is the fluid temperature in the loop.
In the lower graphs, the x-axis is experimental time.
Figure 3a shows the temperature variation of the working fluid (water) along the loop as a function
of the heating power with a height difference ΔZ = 5 (Lc = 60 cm). First, the fluid in the thermosyphon
is close to the stationary state. When the thermal power is set to 30 W, the temperature of the fluid in
the heating section increases, and the fluid in the heating section slowly flows to the cooling section; it
takes approximately 20 min to reach a steady state. Because the initial input of thermal power already
initiated natural convection in the fluid in the thermosyphon, it only takes 5 min to reach a steady state
after increasing the thermal power to 40 W, 50 W, and 60 W. When the thermal power is increased to
40 W, the temperature of the fluid in the middle section of the heating section (Channel 2) oscillates.
The possible reason may be that the temperature boundary layer growth in the heating section is
accompanied by a temperature mixing phenomenon formed by the fluid turning at the bend (near the

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heating section inlet). This oscillating phenomenon becomes more pronounced as the thermal power
increases for a height difference ΔZ of 5.

Z
Z Z
Z

(a) 'Z = 5 (b) 'Z = 11 (c) 'Z = 18

Figure 3. Fluid temperature variation along the loop as a function of the heating power (AR = 3.5,
Tc = 40 ◦ C, ΔZ = 5, 11, and 18).

Figure 3b shows the temperature variation of the working fluid along the loop as a function of the
heating power with a height difference ΔZ of 11 (Lc = 45 cm). The temperature variation pattern of the
fluid in the thermosyphon is similar to that of Figure 3a, and it takes approximately 20 min to initially
reach a steady state. After that, with further increases in the thermal power, the steady state is reached
in approximately 5 min. The steady-state average temperature of the fluid in the thermosyphon shown
in Figure 3b is similar to that of Figure 3a. Additionally, after the input thermal power exceeds 40 W,
the temperature oscillation in the middle section (Channel 2) of the heating section begins to decrease.
With increasing thermal power, the oscillation at Channel 2 becomes less noticeable. Figure 3c shows
the temperature variation with the height difference ΔZ of 18 (Lc = 30 cm). The temperature rise of
the fluid in the thermosyphon is similar to the former two conditions, but the thermosyphon takes
approximately 25 min to reach the initial steady state and approximately 5 min to reach new steady
states when the heat power is increased.
Comparison of the three sets of data reveals that Figure 3c, with a larger ΔZ, has a higher average
temperature (approximately 2 ◦ C higher) after the steady state is reached. The temperature difference
between the highest and lowest power in Figure 3c is slightly higher than in Figure 3a. Comparison of
Figure 3a,b with Figure 3c shows that when ΔZ is larger (the length of the cooling section is shorter),
fluid temperature oscillations were observed at the exits of both the heating section and the cooling
section (Channel 3 and Channel 6). This oscillating phenomenon is more pronounced as the thermal
power increases. However, as ΔZ increases, the temperature oscillation magnitude in the middle
section of the heating section (Channel 2) begins to decrease.
Figure 4 shows the change in temperature at each point in the outer wall of the thermosyphon as
the thermal power increases. The temperature changes in each graph are quite similar. Due to the
increase in heating power and the temperature rise of the fluid in the tube, the temperature of the outer

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tube wall at the end of the heating section is the highest. After entering the adiabatic section, the wall
temperature of the outer tube wall decreases slightly. This phenomenon is mainly caused by the axial
heat transfer of the tube wall. After entering the cooling section, the temperature of the outer tube wall
begins to drop to Tc after cooling. However, after the cooling section, the temperature of the outer wall
of the adiabatic section rises slightly due to the axial heat transfer. This temperature rise phenomenon
is more obvious for ΔZ = 18 than for ΔZ = 5 and 11.

Z
Z
Z
Z

Figure 4. Exterior wall temperature variation along the loop as a function of the heating power.

Figure 5 shows the relationship between the Nu and the modified Rayleigh number (Ra*) of the
loop. Overall, the Nu is approximately 5–10. As Ra* increases, the natural convection intensity of the
working fluid increases, so Nu increases. Under the designated geometrical configuration, the height
difference between the cold and hot ends of the loop also affects the natural convection strength of the
loop fluid. When the Ra* is fixed, as the height difference ΔZ increases, the Nu also increases. The
effect of the cooling end temperature Tc on Nu is less significant. Therefore, if it is desired to increase
the natural convection effect of the fluid in the tube, in addition to increasing the power of the heating
section, the height difference between the hot and cold ends is also one of the controllable factors.

Figure 5. The relationship between the Nusselt number of loop flow and the modified Rayleigh number.

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Figure 6 shows the relationship between the average flow velocity of the fluid and the cold end
temperature. As the heating power increases, the average flow rate of the fluid increases significantly.
With the increase in Tc, the average flow velocity of the fluid increases slightly in conjunction with
a high heating power but decreases slightly in conjunction with a low heating power. The overall
variation pattern indicates that the average flow velocity of the fluid is less affected by the cold end
temperature than by the heating power. As the length of the cold end increases, the overall average
flow rate decreases slightly (Figure 7).

Figure 6. The relationship between average fluid velocity and temperatures of the cooling end Tc.

Figure 7. The relationship between the average fluid velocity and the length of the cooling end Lc.

Figure 8 shows the Re and heating power (qin ) of the fluid in the tube. When the input heating
power is 30 W, the Re values of the tube flow for different ΔZ and Tc values are approximately 150–200.
With an increase in the heating power or Tc, the Re increases, but the influence of heating power on the
Re is more significant than that of Tc. Furthermore, the Re of ΔZ = 11 is very close to that of ΔZ = 18.
A higher heating power, Tc, or ΔZ can result in higher fluid flow intensity. For 60 W, Tc = 50 ◦ C, and
ΔZ = 18, the Re is approximately 345.

Heating power ( ) Heating power ( ) Heating power ( )

Figure 8. The relationship between the Reynolds number of pipe flow and heating power.

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4. Conclusions
The main purpose of this study is to investigate the heat transfer phenomenon of a rectangular
thermosyphon with an aspect (height-to-width) ratio of 3.5 and a tube inner diameter of 11 mm using
different heating powers, height differences between the heating and cooling ends, and cold end
temperatures. From the experimental results, the following conclusions can be summarized:

1. The outer wall of the end of the heating section has the highest wall temperature. Due to
the influence of axial heat transfer through the thermosyphon wall, the wall temperature of
the outer tube decreases slightly after exiting the heating section (entering the upper adiabatic
section); similarly, after exiting the cooling section, the wall temperature of the adiabatic section
increases slightly.
2. A higher heating power or a larger height difference between the hot and cold ends can increase
the fluid flow in the loop, whereas the cooling temperature has little influence.
3. Overall, the Nu is approximately 5–10. If one wants to increase the natural convection effect of
the fluid in the loop, in addition to increasing the heating power, the height difference between
the hot and cold ends is also one of the controllable factors.
4. With a height difference of ΔZ = 5 and a heating power of 40 W, the temperature of the fluid in
the middle heating section oscillates, and an increase in the heating power also increases the
oscillations. For ΔZ = 11, the temperature oscillations in the middle heating section are reduced.
For ΔZ = 18, fluid temperature oscillations are observed at the exits of both the heating and
cooling sections; however, the water temperature in the middle heating section does not oscillate.
The oscillation phenomenon may result from the mixing of fluid with different temperatures,
which is caused by the growth of temperature boundary layers and turning of the flow at the
loop elbows after the fluid is heated or cooled.

Author Contributions: C.S.H., R.H.C., and C.-M.L. conceived of and designed the model. C.S.H. and C.-W.Y.
performed the experimental work. C.S.H., C.-W.Y., and C.-M.L. analyzed the data. C.-T.T. and C.-M.L. wrote
the paper.
Acknowledgments: Support from the National Science Council of the ROC through grant No. NSC
100-2221-E-006-240-MY2 is gratefully acknowledged.
Conflicts of Interest: The authors declare no conflict of interest.

Nomenclature
A heating (or cooling) area (m2 )
AR aspect ratio (=Ly /Lx )
Ch. position of the thermocouple
Cp specific heat capacity (kJ/kg K)
Di inner diameter of the loop tube (m)
g acceleration due to gravity (m/s)
h average heat convection coefficient at the cooling end (W/m2 ◦ C)
I electric current (A)
k thermal conductivity of the working fluid (W/m)
Lc length of the cooling end (m)
Lx width of the test cell (200 mm)
Ly height of the test cell (=length of the heating end) (700 mm)
Nu Nusselt number
qa axial heat conduction along the loop wall (W)
qc heat transfer rate at the cooling section (W)
q f lux heat flux at the heating section (= qh /A)
qh heating power (W)

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qin actual heating power (W)

Ra* modified Rayleigh number
Re Reynolds number
Ri inner radius of the loop tube
T temperature (◦ C)
Tc temperature at the cooling section (◦ C)
Tc average fluid temperature at the cooling section (◦ C)
Tw average wall temperature at the cooling section (◦ C)
ΔT temperature difference between the exit and inlet at the heating section (◦ C)
V electric voltage (Volt)
.
V velocity of the loop working fluid (m/s)
 
Ly −Lc
ΔZ potential difference (= 12 Di )
Greek symbols
α thermal diffusion coefficient (m2 /s)
β thermal expansion coefficient (K−1 )
ρ density (kg/m3 )
ν kinematic viscosity (m2 /s)

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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 energies
Article
Analysis of Convergence Characteristics of Average
Method Regulated by ISO 9869-1 for Evaluating
In Situ Thermal Resistance and Thermal
Transmittance of Opaque Exterior Walls
Doo Sung Choi 1 and Myeong Jin Ko 2, *
1 Department of Architectural Engineering, Chungwoon University, Incheon 22100, Korea;
[email protected]
2 Department of Building System Technology, Daelim University College, Anyang 13916, Korea
* Correspondence: [email protected]; Tel.: +82-31-467-4825

Received: 17 March 2019; Accepted: 21 May 2019; Published: 24 May 2019

Abstract: In the last few decades, an average method which is regulated by ISO 9869-1 has been used
to evaluate the in situ thermal transmittance (U-value) and thermal resistance (R-value) of building
envelopes obtained from onsite measurements and to verify the validity of newly proposed methods.
Nevertheless, only a few studies have investigated the test duration required to obtain reliable results
using this method and the convergence characteristics of the results. This study aims to evaluate the
convergence characteristics of the in situ values analyzed using the average method. The criteria
for determining convergence (i.e., end of the test) using the average method are very strict, mainly
because of the third condition, which compares the deviation of two values derived from the first and
last periods of the same duration. To shorten the test duration, environmental variables should be
kept constant throughout the test or an appropriate period should be selected. The convergence of the
in situ U-value and R-value is affected more by the length of the test duration than by the temperature
difference if the test environment meets literature-recommended conditions. Furthermore, there is no
difference between the use of the U-value and R-value in determining the end of the test.

Keywords: thermal resistance; thermal transmittance; heat flow meter method; average method;
convergence characteristics; opaque exterior wall

1. Introduction
To promote the spread of energy-efficient buildings, many countries around the world have
enacted regulations and established policies. One of the most prominent and easy approaches by
most countries is the imposition of increasingly strict specifications on the thermal performance of
buildings. That is, the minimum required performance level of a building envelope has been tightened
considerably over the past decade. For example, the mandatory thermal transmittance (U-value) for
the exterior walls of residential buildings in Seoul, South Korea, has reduced from 0.48 W/m2 ·K in 2008
to 0.17 W/m2 ·K in 2018 [1].
The U-value is one of the most important properties used to evaluate the thermal performance
of a building envelope. This property can be determined by theoretical or experimental methods.
The theoretical U-value can be estimated using an approach regulated by the ISO 6946 standard [2]
based on an electrical analogy and a steady-state condition. The theoretical U-value is used in the
approval process for newly constructed or refurbished structures and in the certification process for
energy-efficient buildings. However, these theoretical values do not accurately represent the in situ
U-values because of various reasons associated with the design, construction, and operational stages.
The discrepancies between the theoretical and in situ values provide misleading information on the

Energies 2019, 12, 1989; doi:10.3390/en12101989 155 www.mdpi.com/journal/energies

Energies 2019, 12, 1989

energy performance of buildings, which not only prevents the owner from establishing a reasonable
energy consumption plan but also may lead to economic losses resulting from missing the renovation
period and selecting inappropriate retrofitting activities [3]. In particular, condensation has occurred
even in recently constructed buildings with low theoretical U-values which have been certified as
energy-efficient buildings; this indicates the limitations of the theoretical method and the importance
of onsite measurement of U-values.
The heat flow meter method, which is regulated by the ISO 9869-1 standard [4], is a widely used
method to measure the in situ U-value of building envelopes. This method estimates the in situ U-value
by analyzing the measurement data of the heat flux through a test wall and the temperature difference
between the inside and outside environments. According to the ISO standard, if the environmental
condition is stable, the test should last at least 3 days; otherwise, the minimum test duration may be
more than 7 days to obtain reliable results.
Many studies have previously evaluated the in situ U-value of walls using the standardized
average method and compared the value with the theoretical value. For example, in a study by
Adhikari et al. [5] on historical building walls, the differences between theoretical and measured
U-values ranged from 2% to 58%. Cabeza et al. [6] measured the in situ U-values of experimental
cubicles that used three typical insulation materials, namely polyurethane, polystyrene, and mineral
wool. They found that the average differences between the experimental and theoretical U-values
in two different weeks were 12% and 14%. Asdrubali et al. [7] conducted a study on some green
buildings with low calculated U-values and found that the differences between the calculated and
measured U-values ranged from 4% to 75%. Evangelisti et al. [8] evaluated the in situ U-values of three
conventional exterior walls in the range of 0.504–1.897 W/m2 ·K. They reported that the discrepancies
between the theoretical U-value and measured U-value were in the range of 17–153%. Baker [9]
evaluated the in situ U-values of traditional Scottish stone masonries with theoretical U-values ranging
from 0.30 W/m2 ·K to 2.65 W/m2 ·K. The results showed that 44% of the total number of measurements
were lower than the calculated U-value range, 42% were within the calculated range, and 14% were
higher than the calculated range. Rye and Scott [10] reported that in 77% of the measurement cases,
the software overestimated the U-values compared to onsite measurements. Other studies [11–14]
have reported similar results that show discrepancies between theoretical and measured U-values,
although the degree of discrepancy differs.
The above literature review indicates that many researchers have used the average method defined
by the ISO 9869-1 standard [4] for data-processing. However, because the average method does not
take into account the dynamic behavior of the walls, the test duration usually needs to be extended to
improve the estimation accuracy of the in situ U-value. Therefore, the proper test duration and factors
influencing the value are very interesting research topics. A study conducted by Rye and Scott [10] on
traditional Scottish masonries showed that a period of at least a week is required before the U-value
estimate stabilizes to within ±5% of the final value determined from data gathered over approximately
27 days. Asdrubali et al. [7] reported that when using the average method, the acquisition time can be
3 days if the indoor temperature is stable; otherwise, the time interval must be extended to 7 days.
Gaspar et al. [12] showed that in the measurements of low U-value façades, temperature differences
of above 19 ◦ C require a test duration of 72 h; however, for lower temperature differences, the test
duration must be extended to 144 h. Ahmad et al. [13] evaluated the in situ U-value and thermal
resistance (R-value) of north- and east-facing walls made from reinforced precast concrete panels
using the average method. The results showed that a test period of 6 days is sufficient to ascertain
the in situ U-value and R-value of reinforced precast concrete walls. The results also indicated that,
where the U-value depends on the wall orientation and outside weather conditions, the R-value is
independent of the wall orientation. Ficco et al. [14] conducted in situ U-value measurements on
existing buildings with theoretical U-values ranging from 0.37 W/m2 ·K to 3.30 W/m2 ·K. They estimated
high relative uncertainties ranging from 8% at optimal operating conditions to approximately 50%
at nonoptimal operating conditions. They also reported that temperature differences lower than 10

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◦ C and low heat flow lead to unacceptable uncertainties. Deconinck and Roels [15] compared the

performance of several semi-stationary and dynamic data analysis techniques used for evaluating
the thermal property of building components using simulated datasets with different lengths and for
different seasons. An analysis of the R-value using the average method showed that data periods of
around 20 days or longer are required to obtain 5% accurate results in January. The simulation results
also indicated that the R-values for the two summer scenarios in July showed the limited validity of the
average method. Gaspar et al. [16] evaluated the minimum duration of in situ experimental campaigns
to measure the U-value of the façades of existing buildings using the heat flow meter method. They
determined the minimum test duration according to the criteria of data quality and variability of
results proposed in ASTM C1155 [17] and the three convergence conditions described in ISO 9869-1 [4].
The results showed that the ISO criteria are more sensitive and provide more accurate results than the
ASTM criteria but require a longer test duration.
The infrared thermography (IRT) method is widely employed in building diagnostics for qualitative
evaluation to detect heat losses, air leakages, thermal bridges, sources of moisture, missing materials,
and defects in insulation materials [18–22]. Furthermore, many studies [23–28] have recently proposed
quantitative IRT methodologies for evaluating the in situ U-value of a building envelope. In addition,
several researchers [29–31] have proposed the use of statistical approaches, in particular Bayesian
inference, to infer the in situ thermal properties from heat flux and temperature measurements. It is
noteworthy that the validity of these newly proposed methods is mainly verified using the average
method, which is regulated by ISO 9869-1 [4].
The above literature review shows that many researchers have used the average method to
obtain the in situ U-values and have reported the minimum measurement period and environmental
conditions required when this method is used. The average method has also been used for the
verification of newly proposed methods. Nevertheless, with regard to determining the in situ U-values
using the average method, studies on the test duration required to obtain a reliable result and the
causes that increase the test duration are still lacking. Furthermore, only a few works have investigated
the convergence characteristics of the in situ U-value or R-value.
Therefore, this study aims to evaluate the convergence characteristics of the in situ R-value
and U-value of an exterior wall analyzed using the average method as a data-processing technique.
The convergence characteristics were analyzed according to the convergence conditions of the ISO
9869-1 standard [4] using datasets with different analysis periods in a measurement campaign of
21 consecutive days. In addition, the convergence characteristics of both the R-value and U-value were
reviewed together to identify the difference between the use of the two values for determining the
end of the test. A clearer understanding of the convergence characteristics will help researchers and
diagnosticians to select an appropriate test duration and reduce the uncertainty of onsite measurements
of the R-value and U-value.
The rest of this paper is organized as follows. Section 2 describes the case study and the method
used in the research. Section 3 discusses the convergence characteristics of both the R-value and
U-value. Finally, Section 4 presents the conclusions of the study and future research ideas.

2. Methods

2.1. Investigated Building

The building considered in this case study was a private house with a 52 m2 floor area, which was
constructed in 1990 and is located in the city of Gwangmyeong in the central region of Korea. The test
object was the northwest-facing external wall to avoid direct solar radiation. Table 1 lists the materials
of the test wall and their thermal conductivity, as well as their R-value and U-value calculated using
the theoretical approach regulated by ISO 6946 [2]. Information on the building materials and surface
resistances was obtained from the design documents. The calculated U-value can be determined as follows:

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1
UD =  ti
, (1)
Rsi + i λi + Rse

where UD represents the U-value evaluated by the calculation method (W/m2 ·K); ti is the thickness of
the i-th layer (m); λi is its thermal conductivity (W/m·K); and Rsi and Rse are the interior and exterior
surface resistances (m2 ·K/W), respectively.

Table 1. Stratigraphies and thermophysical properties of the test wall.

Material Layer t λ ρ c R UD (W/m2 ·K)

Internal surface 0.110
Mortar 10 1.400 2000 780 0.007
Cement brick 90 0.600 1700 835 0.150
0.460
Glass wool 60 0.035 40 670 1.714
Cement brick 90 0.600 1700 835 0.150
External surface 0.043
t: Thickness; λ: Thermal conductivity; ρ: Density; c: Specific heat capacity; R: Thermal resistance; UD : Theoretical
thermal transmittance.

2.2. In Situ Measurement

Onsite measurement was conducted from December 30, 2016 to January 19, 2017 in accordance
with the ISO 9869-1 standard [4]. The standard states that surveys can last from a minimum of
3 days to more than 7 days. However, many studies [7,8,12–14,28,29] conducted measurements for
approximately 1 week and sometimes even more than 2 weeks to obtain satisfactory results. In this
study, the measurement was conducted for 21 days to identify the effects of increases and changes in
the measurement period.
The measurement equipment consisted of devices for measuring the R-value and U-value, such as
a heat flux sensor and temperature sensor, and devices for confirming the validity of the measurement
conditions, such as a pyranometer and an infrared camera. The heat flux sensor (EKO MF-200, EKO
Instruments, Tokyo, Japan) was installed on the inside surface of the test wall after identifying the best
position using the infrared camera (FLIR T620, FLIR systems, Portland, OR, USA). Two thermocouples
(Testo 0602 5792, Testo AG, Lenzkirch, Germany) were mounted on the inside surface near the heat
flux sensor and on the opposite outside surface with adhesive tape. The inside air temperature and
wind speed were measured in the vicinity of the test wall using a comfort probe (Testo 0628 0143, Testo
AG, Lenzkirch, Germany). A hot-wire anemometer (Testo 0635 1543, Testo AG, Lenzkirch, Germany)
was employed to measure the outside air temperature and local wind speed. The pyranometer
(EKO MS 602, EKO Instruments, Tokyo, Japan) was installed perpendicular to the outside surface to
identify the influence of direct solar radiation. The measurements were recorded using a data logger
(Graphtec GL220, Graphtec Corporation, Yokohama, Japan) with a sampling period of 1 min. The main
technical specifications of the measurement equipment are listed in Table 2, whereas Figure 1 shows
the installation of the measurement equipment.

Table 2. Main technical specifications of measurement equipment.

Equipment (model) Parameter Range Accuracy

Heat flux sensor (EKO MF-200) Heat flux ±2%
Inside air temperature 0–50 ◦ C ±0.5 ◦ C
Comfort probe (Testo 0628-0143)
Inside wind speed 0–5 m/s ± (0.03 m/s + 4%)
Outside air temperature −20–70 ◦ C ±0.5 ◦ C
Hot-wire probe (Testo 0635-1543)
Outside wind speed 0–20 m/s ±(0.03 m/s + 4%)
Thermocouple (Testo 0602-5792) Surface temperature −200–1000 ◦ C ±(0.5 ◦ C + 0.3%)
Pyranometer (EKO MS-602) Solar radiation 0–2000 W/m2 <25 W/m2
Infrared camera (FLIR T-620) Thermogram 7.5–14 μm ±2 ◦ C

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Figure 1. Photograph of the test wall and measurement equipment.

The measured data obtained from the 21 days of the experimental campaign are shown in Figure 2.
The average air and surface temperature differences between the inside and outside environments
throughout the monitoring period were 21.8 ◦ C and 19.6 ◦ C, respectively. These temperature differences
were considerably higher than the recommended value of 10 ◦ C. The maximum solar radiation incident
on the outside surface of the northwest-facing test wall was 109.8 W/m2 ; thus, the influence of
direct solar radiation was considered negligible. The average indoor and outdoor wind speeds were
approximately 0.07 m/s and 0.23 m/s, respectively. In particular, the average outdoor wind speed
was significantly lower than the recommended value of 1 m/s to avoid excessive effects of convective
phenomena. In addition, the influence of moisture content on the measurement results is considered
negligible, as there was no rain during the measurement period.

Figure 2. Data obtained from the monitoring process from December 30, 2016 to January 19, 2017: (a)
Temperature and heat flux; (b) solar radiation; (c) inside wind speed; and (d) outside wind speed.

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2.3. Data Analysis

The U-value was analyzed using the average method regulated by ISO 9869-1 [4]. The average
method assumes that the U-value can be obtained by dividing the mean density of the heat flow rate by
the mean temperature difference. If the average is taken over a sufficiently long period of time, a good
estimation of the equivalent steady-state thermal behavior of the wall can be obtained. An estimate of
the in situ U-value can be obtained as follows:
n
j=1 q j
UAM =   , (2)
n
j=1 Ti,j − Te, j

where UAM represents the U-value evaluated by the average method (W/m2 ·K); q is the density of the
heat flow rate (W/m2 ); Ti and Te are the interior and exterior air temperatures (K), respectively; and j
represents the individual measurements.
According to the ISO 9869-1 standard [4], the end of the test should be determined using the
R-value calculated from the surface temperature difference across the test wall. However, even though
the difference between the use of the two values in determining when to terminate the test is not clearly
known, several researchers [7,8,12,16] used the U-value instead of the R-value. An estimate of the
R-value is obtained as follows: n  
j=1 Tsi,j − Tse,j
RAM = n , (3)
j=1 q j

where RAM represents the R-value evaluated by the average method (m2 ·K/W), and Tsi and Tse are the
interior and exterior surface temperatures (K), respectively.
According to the ISO 9869-1 standard [4], when the estimate is computed after each measurement,
an asymptotical value is obtained. If the following three convergence conditions are met simultaneously,
this value can be considered to be the actual value, and the test should be terminated. The first
convergence condition is that the test duration should exceed 72 h. The second convergence condition
is that the R-value obtained at the end of the test does not deviate by more than ±5% from the value
obtained 24 h prior to end of the test, as given in Equation (4). The third convergence condition is that
the R-value obtained by analyzing data from the first time period during INT(2 × DT /3) days does not
deviate by more than ±5% from the values obtained by analyzing data from the last time period of the
same duration, as given in Equation (5).
 
 RDT − RDT −24h 
≤ 5%,
 
(4)
RDT −24h
 
 RINT(2×DT /3), f irst − RINT(2×DT /3), last 
  ≤ 5%, (5)
RINT(2×DT /3), last
where DT is the duration of the test (days), and INT is the integer part.
In this study, the uncertainty associated with the U-value evaluation was estimated by the
combined standard uncertainty determined according to the Guide to the Expression of Uncertainty
in Measurement [32] while considering the accuracy of the measurement equipment as well as the
operating conditions. The combined standard uncertainty for all the input quantities, which are
independent, was obtained as


 N  2
 δf
uc ( y) = u2 (xi ), (6)
δxi
i=1

where uc ( y) is the combined standard uncertainty, N is the number of input quantities Xi on which the
measurand Y depends, f is the functional relationship between the measurand Y and input quantities
Xi and between the output estimate y and input estimates xi on which y depends, u(xi ) is the standard

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uncertainty of the input estimate xi , and δ f /δxi is the sensitivity coefficient (ci ) or partial derivative
with respect to the input quantity Xi of the functional relationship f .
As indicated by Equations (2) and (3), the R-value and U-value are associated with three variables;
thus, each value has three sensitivity coefficients. Therefore, the combined standard uncertainties of
the R-value and U-value were obtained by using the corresponding sensitivity coefficients—that is,
the partial derivatives, as follows:

 2  2  
δR δR δR 2 2
uc (R) = u2 (q) + u2 (Tsi ) + u (Tse ), (7)
δq δTsi δTse

 2  2  
δU δU δU 2 2
uc ( U ) = u2 ( q ) + u2 (Ti ) + u ( Te ) . (8)
δq δTi δTe
Table 3 lists the uncertainty sources and their contributions toward calculating the standard
uncertainty of input quantities. In this study, the uncertainty was expressed using the expanded
uncertainty U, which was obtained by multiplying the combined standard uncertainty uc ( y) by a
coverage factor k. The value of the coverage factor was selected as 2, corresponding to a confidence
level of 95.45%.

Table 3. Uncertainty sources and their contributions.

Systematic Random
Type Uncertainty Source
Uncertainty Uncertainty
Accuracy of thermocouples ±0.5 ◦ C 1
Accuracy of heat flux sensor 2% 1
Instrument Accuracy of data logger 10% 2
Thermocouple calibration ±2.2 ◦ C 1
Heat flux sensor calibration 3% 1
Poor contact between thermocouple and surface 5% 2
Operation Poor contact between heat flux sensor and surface 5% 2
Modification of isotherms caused by heat flux sensor 2%–3% 2
Variation in temperatures and heat flux over time ±10% 2
1Uncertainty value according to manufacturer’s technical specifications. 2 Uncertainty value according to ISO
9869-1 [4].

3. Results and Discussion

3.1. Evolution of R-Value and U-Value

Figure 3 shows the evolution of the in situ R-value and U-value over the total test duration of
21 consecutive days with their corresponding expanded uncertainties analyzed in a cycle of 1 day
using the average method. The in situ R-value and U-value tended to stabilize around the final values
from the 12th day of the test. The R-value and U-value obtained at the end of the test were 0.988 ± 0.009
m2 ·K/W and 0.908 ± 0.007 W/m2 ·K, respectively, which are, respectively, 51.1% smaller and 113.0%
larger than the theoretical values calculated according to the ISO 6946 standard. These results show
that the thermal performance of the test wall deteriorated considerably for approximately 28 years
after completion, and that it was necessary to measure the thermal performance of the wall onsite.
For the asymptotic values to be considered as the R-value and U-value, the three conditions
mentioned in Section 2.3 must be satisfied. Tables 4 and 5 summarize the values used for determining the
convergence of the R-value and U-value calculated by the average method, respectively. The deviation
of the R-value and U-value according to the second and third convergence conditions is shown in
Figure 4.

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Figure 3. Evolution of in situ R-value and U-value with their expanded uncertainties.

Figure 4. Deviation of (a) R-value and (b) U-value according to convergence conditions of the ISO
9869-1 standard.

As can be seen in Figure 4, the second condition that the deviation between the value obtained at
the end of the test, and the value obtained 24 h before should be within ±5%, which is easily satisfied
because there is no major difference in the data used for the calculation of the cumulative average.
However, deviations for the third convergence condition according to Equation (5) are considerably
larger than deviations for the second convergence condition. The decrease in the deviation with an
increase in the analysis period is also not clear, and the third convergence condition was satisfied only
17 days after the start of measurement. These results were obtained because the analysis period was
shortened from DT to INT(2 × DT /3), and the deviations of the R-value and U-value were calculated
between the initial and latter periods of the same duration. The overlap period for the second
convergence condition continued to increase proportionally as the measurement period became longer,
but the overlap period for the third convergence condition did not exceed 50% of the comparison
period. Therefore, to easily satisfy the third convergence condition, there should be slight changes in
the environmental variables in the two periods.
As can be seen in Figure 2a, the temperature difference across the test wall during the entire
test period tended to decrease at the beginning, then remained constant, and finally increased again.
Though the test was conducted under a large temperature difference and stable environment as
recommended in previous studies [7,12–14,33] and the ISO 9869-1 standard [4], the difficulty in
satisfying the third convergence condition is attributed to these changes in the temperature differences
during the entire test period. The results show that the third convergence condition is satisfied by the
influence of cumulative averaging over a sufficiently long analysis period accompanied by an increase

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in the measurement period. For example, for the third convergence condition, the analysis period
corresponding to the measurement period of 17 days in which the variation was stable within ±5%
was 11 days, which is considerably longer than the test duration of previous studies [7,8,12,14,28].
When the measurement period is three and four days, both the convergence conditions are
satisfied, but the deviations of the R-value and U-value obtained at the end of the test are more than
10%. The R-value and U-value whose deviations are within ±5% of their corresponding final values
are derived from data obtained after the 7th day; however, both convergence conditions were satisfied
only from the 17th day. Therefore, it is considered that the criteria for determining convergence by the
average method based on ISO 9869-1 [4], particularly the third convergence condition, are very strict.
As can be observed in Tables 4 and 5, the duration of the test affects the measurement uncertainties.
For U-values analyzed with their expanded uncertainties in Table 5, the measurement uncertainties
decreased from ±0.022 W/m2 ·K on the third day to ±0.007 W/m2 ·K at the end of the test when the
duration of the test was extended. This tendency is commonly confirmed in the R-values in Table 4.
These results are in good agreement with the results in previous studies in [7,12,16,28], showing that
an increase in the measurement period improves the measurement accuracy.

Table 4. R-values analyzed by average method and their expanded uncertainties.

INT(2×DT /3) R-values with Their Expended Uncertainties (m2 ·K/W)

DT (days)
(days) RD T RDT −24h RINT(2×DT /3), first RINT(2×DT /3), last
3 2 0.879 ± 0.020 0.870 ± 0.023 0.870 ± 0.023 0.868 ± 0.025
4 2 0.887 ± 0.018 0.879 ± 0.020 0.870 ± 0.023 0.909 ± 0.029
5 3 0.922 ± 0.017 0.887 ± 0.018 0.879 ± 0.020 0.969 ± 0.025
6 4 0.936 ± 0.016 0.922 ± 0.017 0.887 ± 0.018 0.980 ± 0.022
7 4 0.945 ± 0.015 0.936 ± 0.016 0.887 ± 0.018 1.011 ± 0.023
8 5 0.954 ± 0.015 0.945 ± 0.015 0.922 ± 0.017 1.014 ± 0.021
9 6 0.967 ± 0.014 0.954 ± 0.015 0.936 ± 0.016 1.028 ± 0.020
10 6 0.967 ± 0.013 0.967 ± 0.014 0.936 ± 0.016 1.038 ± 0.020
11 7 0.985 ± 0.013 0.967 ± 0.013 0.945 ± 0.015 1.060 ± 0.019
12 8 0.996 ± 0.013 0.985 ± 0.013 0.954 ± 0.015 1.067 ± 0.017
13 8 0.998 ± 0.012 0.996 ± 0.013 0.954 ± 0.015 1.054 ± 0.016
14 9 0.993 ± 0.011 0.998 ± 0.012 0.967 ± 0.014 1.037 ± 0.015
15 10 0.996 ± 0.011 0.993 ± 0.011 0.967 ± 0.013 1.037 ± 0.014
16 10 0.999 ± 0.010 0.996 ± 0.011 0.967 ± 0.013 1.037 ± 0.013
17 11 0.993 ± 0.010 0.999 ± 0.010 0.985 ± 0.013 1.023 ± 0.012
18 12 0.987 ± 0.009 0.993 ± 0.010 0.996 ± 0.013 1.012 ± 0.011
19 12 0.985 ± 0.009 0.987 ± 0.009 0.996 ± 0.013 1.006 ± 0.011
20 13 0.985 ± 0.009 0.985 ± 0.009 0.998 ± 0.012 1.004 ± 0.011
21 14 0.988 ± 0.009 0.985 ± 0.009 0.993 ± 0.011 1.007 ± 0.010

Table 5. U-values analyzed by average method and their expanded uncertainties.

INT(2×DT /3) U-values with Their Expended Uncertainties (W/ m2 ·K)

DT (days)
(days) UDT UDT −24h UINT(2×DT /3), first UINT(2×DT /3), last
3 2 1.021 ± 0.022 1.032 ± 0.026 1.032 ± 0.026 1.039 ± 0.029
4 2 1.011 ± 0.020 1.021 ± 0.022 1.032 ± 0.026 0.984 ± 0.030
5 3 0.968 ± 0.017 1.011 ± 0.020 1.021 ± 0.022 0.917 ± 0.022
6 4 0.957 ± 0.015 0.968 ± 0.017 1.011 ± 0.020 0.911 ± 0.019
7 4 0.950 ± 0.014 0.957 ± 0.015 1.011 ± 0.020 0.887 ± 0.019
8 5 0.942 ± 0.013 0.950 ± 0.014 0.968 ± 0.017 0.887 ± 0.017
9 6 0.929 ± 0.013 0.942 ± 0.013 0.957 ± 0.015 0.874 ± 0.015
10 6 0.930 ± 0.012 0.929 ± 0.013 0.957 ± 0.015 0.869 ± 0.015
11 7 0.910 ± 0.011 0.930 ± 0.012 0.950 ± 0.014 0.846 ± 0.014
12 8 0.898 ± 0.010 0.910 ± 0.011 0.942 ± 0.013 0.838 ± 0.012
13 8 0.898 ± 0.010 0.898 ± 0.010 0.942 ± 0.013 0.853 ± 0.012

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Table 5. Cont.

INT(2×DT /3) U-values with Their Expended Uncertainties (W/ m2 ·K)

DT (days)
(days) UDT UDT −24h UINT(2×DT /3), first UINT(2×DT /3), last
14 9 0.903 ± 0.010 0.898 ± 0.010 0.929 ± 0.013 0.866 ± 0.011
15 10 0.898 ± 0.009 0.903 ± 0.010 0.930 ± 0.012 0.865 ± 0.011
16 10 0.896 ± 0.009 0.898 ± 0.009 0.930 ± 0.012 0.862 ± 0.010
17 11 0.902 ± 0.008 0.896 ± 0.009 0.910 ± 0.011 0.875 ± 0.010
18 12 0.908 ± 0.008 0.902 ± 0.008 0.898 ± 0.010 0.886 ± 0.009
19 12 0.911 ± 0.008 0.908 ± 0.008 0.898 ± 0.010 0.892 ± 0.009
20 13 0.912 ± 0.008 0.911 ± 0.008 0.898 ± 0.010 0.894 ± 0.009
21 14 0.908 ± 0.007 0.912 ± 0.008 0.903 ± 0.010 0.891 ± 0.009

3.2. Effect of Variation in Analysis Period

Reliable results can be obtained when the measurement is conducted using the heat flow meter
method under stable environmental conditions such as a high temperature difference across the test
wall, low wind speed, and an avoidance of direct solar radiation. However, the period in which the
above stable environmental conditions are satisfied is actually not long. In addition, measurements
conducted in buildings where residents are living cause inconvenience to their daily lives. Therefore,
it is difficult to measure the in situ R-value and U-value of a wall for a long period of time for
many buildings.
In this study, for a single measurement campaign of 21 days, we reviewed the convergence
characteristics of the in situ R-value and U-value under the assumption that many measurements
are conducted on the same test wall by shifting the measurement start date by 1 day and setting the
analysis period to be different. For example, if the analysis period is set to 3 days and the period is
continuously moved forward by 1 day from the start date of the test, 19 tests can be considered to have
been conducted. In this example, out of the 19 cases, there are seven cases (37%) where no days are
duplicated and 10 cases (53%) where 1 day is duplicated. As all days during the original measurement
period of 21 days met the recommended environmental conditions, the approach proposed in this
study can be considered reasonable. Therefore, this approach can be used to study the convergence
characteristics of the in situ R-value and U-value according to variation in the analysis period under
the aforementioned constraints. However, this approach has limitations in that the number of cases
decreases as the analysis period becomes longer and the environmental variables in these cases become
similar to each other because of overlap.
Figure 5 shows the R-values and U-values evaluated according to the approach described above
for different analysis periods. The shorter the analysis period, the larger the dispersion of the R-values
and U-values. As the analysis period becomes longer, these values tended to converge near the final
values analyzed using the measurement data for 21 days. In addition, the percentages of cases deviating
by more than ±5% from the final values were as high as approximately 40% when the analysis period
was short; however, these percentages gradually decreased, and such cases were not found when the
analysis period was longer than 13 days.
The convergence of the R-values and U-values obtained for different analysis periods was
examined according to the two convergence conditions of the ISO 9869-1 standard, and the results
are shown in Figures 6 and 7. The second convergence condition, which compares the deviation of
the two values with a 24 h difference, is unsatisfactory only in three cases for the R-values and four
cases for the U-values among the cases with analysis periods of 3 and 4 days. This is because when
the measurement is conducted in a stable environment, as is the case in this study, a rapid change
exceeding more than ±5% is unlikely to occur, considering a 24 h difference. On the other hand,
the third convergence condition is not met in any of the cases until the analysis period is 16 days, and
the deviation is also very large compared to that in the second condition. These results indicate that the
fulfillment of the convergence conditions according to the ISO 9869-1 standard is largely dependent on

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the third condition. In other words, to obtain reliable results in a short period of time, it is necessary to
keep the environmental variables constant throughout the measurement period, or an appropriate
period must be selected.

Figure 5. Distributions of (a) R-values and (b) U-values evaluated for different analysis periods.

Figure 6. Convergence characteristics of R-values evaluated for different analysis periods according
to conditions of the ISO 9869-1 standard. For ease of understanding, the plots are divided into four
sub-figures based on the length of the analysis period: (a) 3–6 days; (b) 7–10 days; (c) 11–14 days; (d)
15–20 days.

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As shown in Figure 5, the R-values and U-values in all the cases with an analysis period of 13
days or more were within ±5% of the respective final values. However, Figures 6 and 7 show that
both convergence conditions begin to be satisfied in the cases where the analysis period is more than
17 days. Therefore, the findings show that a minimum test duration of more than 2 weeks is required,
even if the daily air temperature difference is maintained at a minimum of 16.5 ◦ C throughout the
entire test duration and the environmental variables are not changed considerably.
According to the average method based on the ISO 9869-1 standard [4], the test may be ended
only when the convergence conditions obtained using the R-value are fulfilled. In this study,
two convergence conditions were analyzed using both the R-value and U-value, and very similar
convergence characteristics were identified. As can be observed in Figures 6 and 7, the deviations for
the two convergence conditions appear symmetrical because the R-value and U-value are essentially
reciprocal. However, except for the deviations with symmetrical form, other aspects such as the
fulfillment of the convergence conditions and the proportion of cases for which the convergence
conditions are fulfilled were very similar for the two values. Therefore, the findings show that it
is possible to determine the end of the test, that is its convergence, using the U-value instead of
the R-value.

Figure 7. Convergence characteristics of U-values evaluated for different analysis periods according
to conditions of the ISO 9869-1 standard. For ease of understanding, the plots are divided into four
sub-figures based on the length of the analysis period: (a) 3–6 days; (b) 7–10 days; (c) 11–14 days;
(d) 15–20 days.

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3.3. Effect of Temperature Difference

A large temperature difference between the inside and outside environments has often been
referred to as one of the key factors to obtain reliable results through the heat flow meter method. Thus,
the influence of the temperature difference on the accuracy of the results derived from different analysis
periods was analyzed. Figure 8 shows the average surface and air temperature differences between
the inside and outside environments for different analysis periods described in Section 3.2. As the
analysis period decreased, the average temperature differences showed dispersed distribution because
of changes in the outside air temperature throughout the test duration. When the analysis period
was 3 days, the surface temperature differences were in the range of approximately 15.5–24.8 ◦ C, and
the air temperature differences were in the range of approximately 17.1–27.7 ◦ C. These temperature
differences gradually became similar and reached the average temperature differences of the entire test
period, namely 19.6 ◦ C and 21.8 ◦ C, because of the influence of the cumulative average as the analysis
periods increased. These temperature differences across the test wall were considerably higher than
the temperature condition—that is, 10.0 ◦ C—recommended by the ISO 9869-1 standard [4].

Figure 8. Average (a) surface and (b) air temperature differences between inside and outside
environments for different analysis periods.

The average temperature differences and the corresponding R-values and U-values for different
analysis periods are plotted in Figures 9 and 10, respectively. In the cases where the average surface
temperature difference was more than 19.6 ◦ C, the R-values were mostly within ±5% of the value
derived at the end of the test. On the other hand, in the cases where the average surface temperature
difference was less than 19.6 ◦ C, the R-values that deviate by more than ±5% from the final value were
more frequently found than in the other cases. For example, for an analysis period of 3 days, there were
nine cases where the average surface temperature difference was greater than 19.6 ◦ C, and only two of
these cases showed deviations greater than ±5% from the final value. In contrast, six out of the 10 cases
with an average surface temperature difference below 19.6 ◦ C had deviations outside the ±5% range.
As can be observed in Figure 9a,b, this tendency is commonly confirmed in cases where the analysis
period is relatively short. Therefore, the results show that if the test duration is the same, the larger the
surface temperature difference and the greater the possibility of causing a lower deviation.
The R-values for all the cases with an analysis period of 13 days or more converged within ±5%
of the final value without a large influence of the surface temperature difference between the inside
and outside environments. Therefore, if the surface temperature difference is higher than a certain
temperature difference—that is, 10 ◦ C—recommended in previous studies [7,33] and the ISO 9869-1
standard [4], the convergence of the R-values is affected more by the length of the analysis period
than by the surface temperature difference. These results are also seen in the relationship between the
U-values and the air temperature differences between the inside and outside environments (Figure 10).
However, these analysis results still have limitations in that measurement data for 21 days were used;
thus, further research based on long-term measurements is needed.

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Figure 9. Relationship between average surface temperature differences and final R-values evaluated
for different analysis periods. For ease of understanding, the plots are divided into four sub-figures
based on the length of the analysis period: (a) 3–6 days; (b) 7–10 days; (c) 11–14 days; (d) 15–20 days.

Figure 10. Relationship between average air temperature differences and final U-values evaluated for
different analysis periods. For ease of understanding, the plots are divided into four sub-figures based
on the length of the analysis period: (a) 3–6 days; (b) 7–10 days; (c) 11–14 days; (d) 15–20 days.

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4. Conclusions
This study evaluated the convergence characteristics of the in situ R-value and U-value analyzed
using the standardized average method. The convergence characteristics were analyzed according
to the convergence criteria regulated by ISO 9869-1 [4]. Onsite measurement was conducted on the
northwest-facing external wall for over 21 days in winter under fairly stable environmental conditions,
as recommended by ISO 9869-1 [4] and the literature [7,12–14,33]. To analyze the effect of the length of
the analysis period and the temperature difference on the convergence characteristics of the in situ
R-value and U-value, datasets for different analysis periods were created from the onsite measurement
data for 21 consecutive days.
Our results show that in situ R-values and U-values that were within ±5% of the values obtained
across a full test duration were obtained starting from the 7th day, but the convergence conditions
were satisfied only from the 17th day. This is because the length of the overlap period and the
periods used for comparing the deviations are different between the second and third convergence
conditions. The overlap period for the second condition increases proportionally as the measurement
period becomes longer, but, in the third condition, the overlap period does not exceed 50% of the
comparison period. This result indicates that the convergence according to the ISO 9869-1 standard
largely depends on the third condition. Therefore, to obtain reliable in situ R-values and U-values in a
short test duration, it is necessary to keep the environmental variables constant throughout the entire
test duration, or an appropriate duration should be selected.
Our results also show that when the test duration is relatively short, the larger the temperature
difference and the smaller the deviation for the convergence conditions. However, when the test
duration is longer (approximately 2 weeks or more in this study), the effect of the temperature difference
on the convergence of the in situ R-value and U-value decreases gradually because of cumulative
averaging. Therefore, if the temperature difference is higher than the recommended value—that is,
10 ◦ C—the convergence of the in situ R-value and U-value is affected more by the length of the test
duration than by the temperature difference.
In addition, our findings indicate that for the in situ R-value and U-value, although the deviation
values for the convergence conditions are symmetrical, other aspects such as the fulfillment of the
convergence conditions and the proportion of cases for which the convergence conditions are fulfilled
are very similar for the two values. Therefore, it is found that there is no difference between the use of
the R-value and U-value in determining the end of the test.
In this study, it is assumed that many measurements were conducted on the same test wall
by creating datasets for different analysis periods from a single onsite measurement dataset for
21 consecutive days. Thus, we intend to conduct further research by increasing the number of test
walls and using onsite measurement data for longer periods. Furthermore, we intend to investigate
the selection of an appropriate test duration and how the duration should be shortened.

Author Contributions: Conceptualization, D.S.C. and M.J.K.; methodology, M.J.K.; validation, D.S.C.; formal
analysis, D.S.C. and M.J.K.; investigation, M.J.K.; data curation, M.J.K.; writing—original draft preparation, M.J.K.;
writing—review and editing, D.S.C. and M.J.K.; visualization, M.J.K.; supervision, D.S.C.; project administration,
D.S.C.; funding acquisition, D.S.C.
Funding: This research was supported by an Academic Research Fund of Chungwoon University in 2017 and
Basic Science Research Program through the National Research Foundation of Korea (NRF) funded by the Ministry
of Education (NRF-2017R1D1A1B03034281).
Conflicts of Interest: The authors declare no conflict of interest.

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Nomenclature
DT Test duration, days
Functional relationship between measurand Y and input quantities Xi on which measurand Y
f
depends
INT Integer part
j Individual measurements
n Number of measurement data points
N Number of input quantities Xi on which measurand Y depends
qj Density of heat flow rate, W/m2
RAM Thermal resistance value evaluated by average method, m2 ·K/W
Rsi Interior surface resistance, m2 ·K/W
Rse Exterior surface resistance, m2 ·K/W
t. Material thickness, m
Te,j Exterior air temrature, K
Ti, j Interior air temperature, K
Tse, j Exterior wall surface temperature, K
Tsi, j Interior wall surface temperature, K
uc ( y) Combined standard uncertainty
u(xi ) Standard uncertainty of input estimate xi
UAM Thermal transmittance value evaluated by average method, W/m2 ·K
UD Thermal transmittance value evaluated by calculation method, W/m2 ·K
Xi ith input quantity on which measurand Y depends
xi Estimate of input Xi
Y Measurand
y Estimate of measurand Y
λ Thermal conductivity, W/m·K

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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 energies
Article
Study on the Thermal Performance of a Hybrid Heat
Collecting Facade Used for Passive Solar Buildings in
Cold Region
Xiaoliang Wang 1,2, *, Bo Lei 2 , Haiquan Bi 2 and Tao Yu 2
1 Architecture and Urban Planning College, Southwest Minzu University, Chengdu 610041, China
2 School of Mechanical Engineering, Southwest Jiaotong University, Chengdu 610031, China;
[email protected] (B.L.); [email protected] (H.B.); [email protected] (T.Y.)
* Correspondence: [email protected]; Tel.: +86-028-8552-2056

Received: 25 January 2019; Accepted: 12 March 2019; Published: 18 March 2019

Abstract: Passive solar technologies are traditionally considered as cost-effective ways for the building
heating. However, conventional passive solar buildings are insufficient to create a relatively stable
and comfortable indoor thermal environment. To further increase the indoor air temperature and
reduce the heating energy consumption, a hybrid heat collecting facade (HHCF) is proposed in this
paper. To analyze the thermal performance of the HHCF, a heat transfer model based on the heat
balance method is established and validated by experimental results. Meanwhile, the energy saving
potential of a room with the HHCF is evaluated as well. When the HHCF is applied to places where
heating is required in the cold season while refrigeration is unnecessary in hot season, the HHCF
can reduce the heating need by 40.2% and 21.5% compared with the conventional direct solar heat
gain window and the Trombe wall, respectively. Furthermore, a series of parametric analyses are
performed to investigate the thermal performance of the room with HHCF under various design and
operating conditions. It is found that the thermal performance of the HHCF mainly depends on the
window operational schedule, the width and the absorptivity of heat collecting wall, and the thermal
performance of the inner double-glass window. The modeling and the parametric study in this paper
are beneficial to the design and the optimization of the HHCF in passive solar buildings.

Keywords: hybrid heat collecting facade (HHCF); passive solar building; heat transfer model;
thermal performance

1. Introduction
Passive solar building is a type of low-energy buildings exploiting solar energy to create a relatively
comfortable environment in buildings [1,2]. Thermal energy collection and storage in building envelops
may be enhanced by integrating some passive solar measures [3–7]. It was reported by measurements
that passive solar buildings can save more than 25% of total primary energy consumption than the
same buildings without passive solar measures [8–10]. As two efficient technologies used in passive
solar houses, direct solar heat gain window and thermal storage wall (e.g., Trombe wall) are widely
used [11]. For the direct solar heat gain window, sunlight passes through the window and enters into
the indoor space, solar energy is absorbed in the floor or the interior wall during the daytime due to
the effect of thermal mass. Then the stored thermal energy is gradually released into the indoor space
when the room temperature falls down at night. While for the thermal storage wall, solar energy is
initially absorbed and stored by the heat collecting wall (such as the exterior wall) in the daytime,
rather than directly coming into the room. The thermal energy stored in the heat collecting wall is
released at night to improve the indoor temperature as well. Both of these two methods are beneficial
to improve the thermal performance of the passive solar building in the cold region [12].

Energies 2019, 12, 1038; doi:10.3390/en12061038 173 www.mdpi.com/journal/energies

Energies 2019, 12, 1038

In fact, due to the high U-value of the window, the direct solar heat gain strategy is more easily
influenced by the outdoor temperature. Meanwhile, the indoor air temperature fluctuation of the
direct solar heat gain room is relatively large [13], which limits the further improvement of the indoor
thermal performance. The Trombe wall not only collects and stores solar energy for the indoor heating,
but also reduces the heat loss from the indoor to the outdoor environment due to the outside glass
cover [14]. Meanwhile, for a specific facade, the larger area of the Trombe wall decreases the maximum
window to wall ratio, resulting in less solar energy coming into the indoor space [15,16]. Based on the
above descriptions, if the direct solar heat gain window and the Trombe wall are combined well with
each other in the practical application, the thermal performance of the passive solar building can be
further improved. Therefore, we developed a hybrid passive solar energy utilization form, named
hybrid heat collecting façade (HHCF).
Although there are very few directly related studies about the HHCF, plenty of investigations
about the thermal performance of passive solar houses with the direct solar gain window [17–22]
or the thermal storage wall [23–26] could provide effective research techniques for analyzing the
thermal performance of the HHCF. Through literature research, it can be found that experiments
and numerical simulations are two widely used methods. Based on experiments and simulations,
researchers have shown that the direct solar heat gain strategy is quite effective to improve the indoor
thermal performance [27–30]. For instance, numerical simulations have been carried out by Gong
et al. [31] and it was found that the direct solar heat gain house could significantly reduce the annual
thermal load of the building. A study conducted by M.C. Ruiz [32] also showed that the overall thermal
consumption of a building was reduced by almost 13% through optimizing the building direction,
the window–wall ratio, and the insulation of the direct solar heat gain building. These analytical
methods are helpful for carrying out the thermal performance of the HHCF.
In this paper a novel hybrid heat collecting façade (HHCF) is proposed, integrating the advantages
of both the direct solar heat gain window and the traditional Trombe wall. A heat transfer simulation
model is developed for analyzing the thermal performance of the building with the proposed HHCF.
Experiments are conducted to validate the accuracy of the heat transfer model. Meanwhile, in order
to explore the energy saving potential of the HHCF, the thermal performance of a building with the
HHCF is compared with those of a conventional building with the direct solar heat gain and with the
Trombe wall, respectively. During the comparison, the numerical simulation method is adopted and
the cell buildings are with the same geometry except for the solar system. In addition, a parametric
study is employed to analyze the influences of various factors on the thermal performance of the
HHCF. With the model established in this paper, the thermal performance of the building with the
HHCF can be analyzed and optimized, which will provide a simulation tool for designing the HHCF
in regions where heating is required in the cold season while refrigeration is unnecessary in hot season.

2. Materials and Methods

2.1. Principle of HHCF

Previous studies have shown that the direct solar heat gain window and the thermal storage wall
are effective to improve the indoor thermal performance. However, the application of the direct solar
heat gain window is liable to decrease the indoor temperature at night, since the high U value of the
window largely increases the heat loss from the indoor space to the outdoor environment. The Trombe
wall is opaque and prevents the sunlight into the indoor space. Thus, in order to ensure the necessary
daylight for the building with the Trombe wall, a transparent window is dispensable but it leads to the
extra heat loss from the room to the outside environment. To solve this problem, a novel hybrid heat
collecting facade is proposed in this paper.
The schematic diagram of the HHCF is shown in Figure 1. The HHCF is normally mounted
on the south wall, and mainly consists of a single-glass window, a double-glass window, and a heat
collecting wall. In the HHCF, there are two functional spaces including the heat collecting space and

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the heat transfer space. The heat collecting space is surrounded by the single-glass window and the
heat collecting wall, which behaves as the “Trombe Wall” and can be used to convert solar energy into
thermal energy for heating the air. The heat transfer space is surrounded by the single-glass window
and the double-glass window. Since the double-glass window can be opened and closed acting as
a door, the heat transfer space allows the solar energy to directly transmit into the indoor space,
as well as increasing the thermal resistance between the indoor space and the outdoor environment.
For indoor heat exhaust ventilation and to prevent indoor overheating that may occur in the hot season,
a transparent window is inlaid in the upper part of the single glass window and it can be opened and
closed. In this paper, we mainly focus on places where heating is required in the cold season while
refrigeration is unnecessary in the hot season and for this situation the inlaid window is closed.

(a)ȱ

(b)ȱ
Figure 1. Schematic diagram of the hybrid heat collecting facade (HHCF). (a) with double-glass window
open; (b) with double-glass window closed.

The operation principle of the HHCF can be seen in Figure 1:

1. In a sunny day, solar energy is absorbed by the exterior surface of the heat collecting wall and
converted into thermal energy for heating the air convectively within the heat collecting space.

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With the inner double-glass window open, the heated air in the heat collecting space rises up
and reaches the top of the heat collecting space under the effect of the buoyancy force. Then, the
heated air gathers at the top of the heat collecting space and increases the air pressure at the top of
the heat collecting space. Finally, under the effect of the pressure difference, the heated air passes
through the heat transfer space and enters into the indoor space along the horizontal direction.
Meanwhile, at the bottom of the heat collecting space, the low-pressure cavity is supplied by the
indoor air along the horizontal direction. In this way, thermal energy is transferred into the room
space and the indoor temperature rises. Moreover, sunlight can also penetrate the windows into
the indoor space directly and the solar energy is stored in the interior building construction.
2. At night or during a cloudy day, the inner double-glass window should be kept closed,
and it increases the thermal resistance between the indoor space and the outdoor environment.
Consequently, the heat loss from the indoor space to the outdoor environment can be effectively
reduced, especially at night.

2.2. Modeling of the Building with HHCF

To evaluate the thermal performance of the building with HHCF, the simulation model is
established in this section and necessary assumptions are made for simplifying the simulation.

2.2.1. Assumptions
For simplifying the analysis, the following assumptions are made:

(1) Thermal properties of the building materials are kept constant.

(2) Heat transfer processes through walls, floor, roof, and windows are considered as one-dimensional.
(3) The heat storage of glass is ignored.
(4) Air in each zone is well-mixed.
(5) Mean air flow rate between the heat collecting space and the heat transfer space is identical with
that between the heat transfer space and the indoor space.

2.2.2. Energy Balance Equations

For solving the heat transfer processes of a building with HHCF, energy balance equations for
HHCF, indoor air and building constructions have been established as displayed in Figure 2.

Figure 2. Heat transfer processes of HHCF.

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 Heat transfer of HHCF

Heat transfer of HHCF can be considered as two heat processes as shown in Figure 2: (1) heat
transfer in the heat collecting space and (2) heat transfer in the heat transfer space. Heat balance
equations are established for these two spaces of the HHCF.
(1) For the heat collecting space,

dThcs (τ)
ca ρa Vhcs = Qwa-hcs (τ) + Qsig-hcs (τ) − Qhcs-hts (τ) (1)
dτ
In Equation (1), Qwa-hcs is the convective heat transfer rate from the heat collecting wall to the air
in the gap. Qsig-hcs is the heat transmission rate from the outdoor to the heat collecting space through
the single-glass window, which considers the effect of the heat conduction of the single-glass window
and the heat convection of both the interior surface and the exterior surface of the single-glass window.
Qhcs-hts is the convective heat transfer rate from the heat collecting space to the heat transfer space.
Qwa-hcs , Qsig-hcs , Qhcs-hts can be obtained by the following equations:

Qwa-hcs (τ) = hwa-hcs Acon,out (Tcon,out (τ) − Thcs (τ)) (2)

Qsig-hcs = Usig WH(Tout (τ) − Thcs (τ)) (3)

Qhcs-hts (τ) = ca m(τ)(Thcs (τ) − Thts (τ)) (4)

The mean air flow rate between the heat collecting space and the heat transfer space (or between
the heat transfer space and the indoor space) m(τ) is obtained by Bernoulli’s equation [33], as given in
Equation (5).



 2gH (Thcs (τ) − Thts (τ))
m(τ) = ρa Acs  ·   (5)
Acs 2
ξ1 ( Ava ) + ξ2 Thcs (τ)

 
where the term ξ1 (Acs /Ava )2 + ξ2 represents the pressure loss of the heat collecting space. The ratio
(Acs /Ava )2 indicates the difference between the air velocity in the vents and the air velocity in the
air gap.
(2) For the heat transfer space,

dThts (τ)
ca ρa Vhts = 2Qhcs-hts (τ) + Qsig-hts (τ) − 2Qhts-in (τ) − Qtic (τ) (6)
dτ
where Qsig-hts is the heat transfer rate from the outdoor to the heat transfer space passing through the
single-glass window.

Qsig-hts (τ) = Usig LH(Tout (τ) − Thts (τ)) (7)

Qhts-in is the convective heat transfer rate from the heat transfer space to the indoor space passing
through each open double-glass window, Qtic is the conductive heat transfer rate from the heat transfer
space to the indoor space through the closed double-glass window.
(a) When the double-glass window is closed, Qhts-in , Qtic can be expressed as

Qhts-in (τ) = 0 (8)

Qtic (τ) = Udoub LH(Thts (τ) − Tr (τ)) (9)

(b) When the double-glass window is open, Qhts-in , Qtic can be expressed as

Qhts-in (τ) = ca m(τ)(Thts (τ) − Tr (τ)) (10)

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Qtic (τ) =Udoub Lclo H(Thts (τ) − Tr (τ)) (11)

where L =Lclo + Lope .

 Heat transfer of building construction
For the building construction, the heat transfer schematic is illustrated in Figure 3 and the implicit
finite difference technique is employed to model the heat transfer process of building envelopes by
solving the one dimensional transient heat conduction equation [34]:

∂Tcon (x, τ) ∂2 Tcon (x, τ)

ρcon ccon = λcon (12)
∂τ ∂x2
Subjected to the boundary conditions:

∂Tcon (τ)
at x = 0, qout (τ) + hout (Tout (τ) − Tcon,out (τ)) = −λcon (13)
∂x

∂Tcon (τ)
at x = D, qlw (τ) + qts (τ) + hin (Tr (τ) − Tcon,in (τ)) = −λcon (14)
∂x
where qout is the total thermal radiation heat flux from the outdoor. For example, the exterior surface
of the heat collecting wall is heated by the solar energy, and the solar radiation heat flux can be
calculated by
qout (τ) = α × SHGCsig I(τ) (15)

For general building constructions, qout could be expressed as

qout (τ) = α × I(τ) (16)

qlw represents the long-wave radiation exchange from surrounding surfaces. The gray interchange
model is used to calculate the thermal radiation heat exchange between interior surfaces. Meanwhile,
the radiosity concept developed by Hottel and Sarofim is adopted [35]. The net radiative heat transfer
at a surface can be determined by Equation (17).

Ai ε i
qlw,i (τ) = (σTi (τ)4 − Ji (τ)) (17)
1 − εi

where the radiosity, J, represents the sum of the gray body radiation of temperature and the incident
radiation, and it can be expressed as Equation (18).

Ji (τ) =εi σTi (τ)4 + (1 − εi )Hi (τ) (18)

The incident radiation, Ir, is normally unknown. If a certain surface i is hit by radiation from
another surface j, the radiation heat energy incident on surface i [36] can be described as Equation (19).
N
j=1 Fji Aj Ji (τ)
Iri (τ) = (19)
Ai

where Fji is the view factor from surface j to i.

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Figure 3. Heat transfer process of the building construction.

qts is the transmitted solar radiation through the fenestration absorbed by the interior surface.
In this model, a simplified interior solar distribution model developed by Benjamin and Moncef
Krarti [37] is employed to calculate the transmitted solar radiation absorbed by the floor and other
interior surfaces, respectively.
The transmitted solar radiation absorbed by the floor can be expressed as
  
Qtsf,diffuse (τ) + (1 − αfloor ) Qtsf,direct (τ) αfloor Qtsf,direct (τ)
qts,floor (τ) = N + (20)
Afloor
j=1 Aj

The transmitted solar radiation absorbed by other interior surfaces excluding the floor can be
expressed as  
Qtsf,diffuse (τ) + (1 − αfloor ) Qtsf,direct (τ)
qts,j (τ) = N (21)
j = 1 Aj

where Qtsf is the transmitted solar radiation through the window.

Convective heat transfer coefficients of the exterior surface and the interior surface of the building
construction can be calculated by the following equations [38]:

0.023 Vm 0.891 −0.109

hout = ( ) l (22)
λa υa
⎧
⎪ −1
⎨ 1.22(ρa Δt/l) , 10 < GrPr <10
2 1/4 9
⎪
hin =⎪
⎪ (23)
⎩ 0.28(ρ2 Δt/l)1/6 + 1.13(ρ2 Δt)1/3 , 109 < GrPr <1012
a a

where Δt is the temperature difference between the air and the construction surface. Vm is the outside
average wind velocity.
 Heat balance of indoor air
The indoor air heat balance model establishes the interaction among walls, the indoor air and the
hybrid heat collecting facade, which can be written as

dTr (τ) N
ca ρa Vr = Qicon,in (τ) + Qwin (τ) + Qleak (τ) + Qinterheat (τ) + 2Qhts−in (τ) + Qtic (τ) (24)
dτ
i=1

where Qcon,in is the convective heat transfer rate from the interior surface of the building construction
to the indoor air, Qwin is the heat transfer rate through other windows excluding the HHCF, Qleak is the
heat transfer rate by air leakage, Qinterheat is the heat transfer rate from indoor heat sources including
lighting, occupants, and equipment. Qcon,in , Qwin , and Qleak are calculated by the following equations:

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Qcon,in (τ) =hin · (Tcon,in (τ) − Tr (τ)) · Acon,in (25)

Qleak (τ) =ca ρa Vr · ACH · (Tout (τ) − Tr (τ))/3600 (26)

Qwin (τ) =hwin · (Tout (τ) − Tr (τ)) · Awin (27)

where Tcon,in is the interior surface temperature of the wall, the ceiling or the floor, Acon,in is the interior
surface area, ACH is the air change rate of the room, hwin and Awin are the heat transfer coefficient and
the area of the window, respectively.
Figure 4 gives the heat transfer mechanisms and solving methods for various surfaces and spaces.
In the developed model, the implicit finite difference method (FDM) is adopted to calculate the hourly
thermal performance of the room with the HHCF [39]. The heat balance equations established for the
HHCF, building constructions and the indoor air are converted into algebraic equations using the
central difference scheme. To reduce the consumption of computational memory and the computational
time, the Gauss-Seidel iteration method is adopted to calculate the indoor air temperature and surface
temperatures as described in the reference [38]. It should be noted that for calculating the dynamic
heating load of the building, the indoor air temperature will be fixed to the set-point temperature in
the procedure.

Figure 4. Heat balance solution procedure for the building with the HHCF.

2.2.3. Validation of Heat Transfer Model

Experiments are employed to validate the simulation model established in this paper. Figure 5
shows a 3-storey dormitory building with a HHCF in Ruoergai, China. In order to reduce the influence
of outdoor conditions and the ground on the indoor air temperature, the middle room on the second
floor of the building marked in Figure 5 was selected as the experimental room. Figure 6 shows the
geometry of the test room, with the dimensions of 3.3 m (width) × 6.4 m (depth) × 3.0 m (height).
The HHCF faces south, where two heat collecting walls with a width of 0.5 m and one double-glass
window with a width of 2.3 m are located. The percentage of double-glass window area compared to

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the whole wall area is 69.7%. One door faces north with the size of 2.0 m (height) × 1.0 m (width).
Detailed constructions of the room and thermal properties of the material are listed in Table 1.

ȱ
Figure 5. Test room of the dormitory building.

Figure 6. Geometry of the room studied.

Table 1. Constructions of the building.

Thermal Conductivity Heat Capacity Density

Construction Material
(W/(m·K)) (J/(kg·K)) (kg/m3 )
80 mm polyurethane 0.033 1380 40
Exterior wall 240 mm brick wall 0.89 1000 1800
20 mm Cement mortar 0.93 1050 1800
20 mm Cement mortar 0.93 1050 1800
Interior wall 240 mm brick wall 0.89 1000 1800
20 mm Cement mortar 0.93 1050 1800
20 mm Cement mortar 0.93 1050 1800
Ceiling 180 mm concrete 1.74 920 2500
20 mm Cement mortar 0.93 1050 1800
Door 60 mm wood 0.15 1630 608
3 mm single-glass window, U = 5.56 W/(m2 ·K); SHGC = 0.9;
120 mm-thickness air gap;
12 mm double-glass window, U = 2.83 W/(m2 ·K); SHGC = 0.76;
HHCF 0.5 m-width for each heat collecting wall (W = 0.5 m);
Materials of the heat collecting wall is the same with the exterior wall Absorptivity of
the heat collecting wall is 0.8;
2.3 m-width for double-glass window (L = 2.3 m)

For the validation of the heat transfer model established above, indoor air temperature of the test
room, air temperature of the heat transfer space, and interior surface temperature of the west interior
wall were measured with the double-glass window open and closed. Meanwhile, environmental
parameters including outdoor temperature, solar radiation intensity, and outdoor wind speed were

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also recorded for the input data in the simulation model. In addition, exterior surface temperatures
of five interior constructions (three interior walls, the floor, and the ceiling) contacting with adjacent
rooms were monitored, which would be used as boundary conditions in the simulation model.
Experiments were performed from 27 March to 2 April 2016. During the experimental period,
the door was closed all the time, while the double-glass window was closed during the first five days
and in the last two days it was open at 9:00–17:00 for each day. In the test room, no other space heating
system is considered, and there is no internal heat gain from the lighting, occupants, and equipment.
To conduct the experimental test, thermocouples were used to monitor the indoor air temperature
and various surface temperatures as seen in Figure 7. While outdoor temperature, solar radiation
intensity and outdoor wind speed were measured by a small weather station as shown in Figure 8.
The K-T method proposed by Klien and Theilacker [40] was adopted to convert the measured horizontal
solar radiation into the incident solar radiation on the south wall.

Figure 7. Indoor temperature test.

ȱ
Figure 8. Meteorological data measurement.

In the transient simulation, the initial thermal inertia and initial conditions of the building have
significant influences on the simulated results. In order to eliminate these influences, the monitored
experimental data of the first three days are used for making the simulation stable and test results for
the last four days are validated against results from the simulation. Figure 9 gives the comparative
analysis of results of the test room obtained from the experimental test and the simulation. Comparing
the mean indoor air temperature (Figure 9a), the air temperature of the heat transfer space (Figure 9b),
and the interior surface temperature of the west wall (Figure 9c) under two different conditions (with
double-glass window closed all the time and with it open at 9:00–17:00), it can be seen that the simulated
results agree quite well with the experimental results under both conditions, which means the heat
balance model established in this paper is enough accurate for evaluating the thermal performance of
building with HHCF.

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ȱ
(a)ȱ

ȱ
(b)ȱ

ȱ
(c)ȱ

Figure 9. Comparison of Results from experiments and simulations. (a) Indoor air temperature; (b) Air
temperature of heat transfer space; (c) Interior surface temperature of west wall.

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2.2.4. Energy Saving Comparison of HHCF

In order to illustrate the energy saving potential of the proposed HHCF, the thermal performances
of the above studied dormitory room using the HHCF and using other typical passive solar measures
are compared. All the physical dimensions and thermal properties of building materials are the same
as the experimental room except the passive solar design on the south wall. This typical room is
assumed to be located in Ruoergai of China and the weather data are obtained from the typical year
weather data of China based on the past 30 years’ climate data [41].
Three cases used in the comparison are illustrated in Figure 10. Case 1 is the room with the direct
solar heat gain window. In this case the sunlight directly passes through the window and enters
into the indoor space to improve the thermal performance of the room. Case 2 is the room with the
traditional Trombe wall. The heated air in the Trombe wall rises up with the effect of buoyancy effect
and enters into the indoor space through the hole at the top, while the indoor air is sucked into the
Trombe wall through the hole at the bottom. Case 3 is the room with the proposed HHCF in this paper.
For Case 3, the design of the HHCF is the same with the test room. In Cases 1 and 2, the direct solar
heat gain window is the same with the double-glass window used in the HHCF, and the percentage of the
direct solar heat gain window area compared to the exterior wall area is 69.7%. Unlike Case 1, the Trombe
wall in Case 2 is installed on both sides of the south wall, each side with a width of 0.5 m. For the Trombe
wall, the inlet and the outlet have the same dimensions of 0.25 m (width) × 0.15 m (height).

Caseȱ1ȱ Caseȱ2ȱ Caseȱ3ȱ

Figure 10. Three cases studied.

In order to compare the thermal performance of these three cases, both the indoor air temperature
and the heating need of those cases are compared. It should be noted that Case 3 is investigated with
the proposed simulation model and the other cases are simulated by TRNSYS [42]. The TRNSYS model
for Cases 1 and 2 are shown in Figure 11a,b, respectively. In Figure 11a, Type56 building model is used
to simulate the direct solar heat gain window. In Figure 11b, Type36 and Type56 are used to separately
simulate the Trombe wall and the building. Meanwhile, only the heating season is considered and
the heating season is from November 1st to March 31st of the next year. The heating schedule is from
18:00 to 8:00 of the next day during weekdays (from Monday to Friday) and the heating set-point
temperature is 18.0 ◦ C. While during the daytime of weekdays (from 8:00 to 18:00) and the weekend,
no heating system runs and the indoor thermal performance largely depends on the passive solar
measures such as the direct solar heat gain window, the Trombe wall and the HHCF.

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(a)ȱ

(b)ȱ
Figure 11. TRNSYS model for Case 1 and Case 2. (a) TRNSYS model for Case 1; (b) TRNSYS model for
Case 2.

3. Results and Discussion

3.1. Energy Saving Potential of HHCF

Figure 12 shows the indoor air temperature and the heating need on the heating design day
(21 January) predicted by the simulations. As seen in Figure 12, the studied room with the proposed
HHCF (Case 3) has a higher temperature and a lower heating need than the other two passive measures
(Cases 1 and 2). Table 2 summarizes the indoor air temperature and the total heating need of the studied
room during the heating season. As shown in Table 2, during the heating season, the mean indoor air
temperature for the studied room with the proposed HHCF is 18.6 ◦ C, which is 1.1 ◦ C and 0.4 ◦ C higher
than those of the direct solar heat gain window and the Trombe wall, respectively. Meanwhile, the
total heating need of the studied room with the proposed HHCF in the heating season is 28.7 kWh/m2 .
Compared with the conventional direct solar gain window, the HHCF reduces the total heating need
of the room by 19.2 kWh/m2 and the energy-saving efficiency reaches 40.2%. Even in contrast to the
conventional Trombe wall, the HHCF also decreases the total heating need by 21.5%. The comparison
results show that the HHCF proposed in this paper has very high energy saving potential.

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ȱ ȱ
(a)ȱ (b)ȱ

Figure 12. Comparisons of indoor air temperature and heating energy demand on heating design day.
(a) Indoor air temperature for studied cases; (b) Heating energy demand for studied cases.

Table 2. Summary of indoor air temperature and total heating energy demand in heating season.

Indoor Air Temperature (◦ C)

Total Heating Energy Demand (kWh/m2 )
Mean Minimum Maximum
Case 1 17.5 10.4 21.9 47.9
Case 2 18.2 10.5 26.7 36.6
Case 3 18.6 11.0 27.1 28.7

3.2. Parametric Study on the Thermal Performance of a Room with a HHCF

In order to analyze the thermal performance of the HHCF in a passive solar building, the dormitory
located in Ruoergai as mentioned in Section 3 is still used as the simulated case. The weather data used
in simulations are obtained from the typical year weather data of China [41]. Similarly, no other space
heating system is considered in this building, and the internal heat gain from the lighting, occupants,
and equipment are neglected.
The thermal performance of a room with a HHCF facing south is influenced by various factors,
such as window operational schedule, absorptivity of heat collecting wall, thickness of air gap, window
to wall ratio, solar heat gain coefficient and U-value of both single-glass windows and double-glass
windows, etc. To analyze the effect of each factor on the thermal performance, a parametric study is
carried out. Each factor is changed while the others kept constant. Simulated results are presented in
this section.

3.2.1. Effects of Window Operational Schedule

For given climatic conditions, the operational schedule of inner double-glass windows of the
HHCF is crucial to improve the building thermal performance. Opening inner double-glass windows
too early or too late in the daytime will increase the heat loss of the single-glass window. Certainly, if
inner double-glass windows are always closed in the daytime, the heat absorbed by the HHCF cannot
be transferred to the indoor space effectively. Therefore, for a specific region, an optimal window
operational schedule for the HHCF exists in order to maximize the indoor air temperature.
Through transient simulations, the optimal window schedule is determined by choosing the
highest indoor air temperature among cases with different window operational schedules as showed
in Table 3. The optimal window schedule for the plateau region located in western Sichuan Province is
opening double-glass windows at 9:00 and closing them at 17:00.

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Table 3. Indoor air temperature ranges under different window schedules.

Schedule A Schedule B Schedule C Schedule D

Time to open windows 8:00 9:00 11:00
With windows closed all day
Time to close windows 18:00 17:00 15:00
Indoor air temperature (◦ C) 6.7~13.2 8.2~19.0 8.6~19.0 7.8~17.5

Figure 13 shows the indoor air temperature under different window schedules. It can be found
that the indoor air temperature with the double-glass window open is higher than that with the
double-glass window closed, since the closed windows prevent the hot air in the air gap from flowing
into the indoor space. Similarly, if opening double-glass windows too late or closing them too early
(such as Schedule D), the heat transferred into the indoor space will be reduced as well. Furthermore,
comparing Schedule C with Schedule B, it can be found that reducing the window opening hours
decreases the minimum indoor temperature. The reason is that in the early morning or the late
afternoon the solar radiation is very weak, the solar heat gain is less than the heat loss from the
single-glass window to the outdoor.

ȱ
Figure 13. Air temperatures under diverse window schedules.

3.2.2. Effects of Width of Heat Collecting Wall

When the height of the collecting wall is constant, the area of heat collecting wall is determined by
its width. In the south wall of the passive dormitory, the area of heat collecting wall increases with
the decreasing area of the double-glass window. For the south wall, the solar energy can be used in
two ways: one way is going through windows into the indoor space directly, the other way is being
absorbed by the heating collecting wall and then heating the air in the gap. Different widths of the
heating collecting wall are simulated to calculate the indoor air temperature in winter as showed in
Figure 14. It can be seen that when the width of heat collecting wall is about 0.4 m, the mean indoor air
temperature is higher than others. Furthermore, when the width of heat collecting wall is less than
0.4 m, the heat collecting wall is enough effective to capture more heat than windows. When the width
of the heat collecting wall exceeds 0.4 m, the decrease of window area will largely reduce the solar
energy transmitted directly into the indoor space, resulting in the drop of indoor air temperature.

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ȱ
Figure 14. Mean indoor air temperature under different widths of heat collecting wall.

3.2.3. Effects of Absorptivity of Heat Collecting Wall

Absorptivity of the heat collecting wall is another important factor affecting the thermal
performance of the HHCF. To illustrate the influence of absorptivity on the heating collecting wall,
four optional surface coatings including the black paint, the blue paint, the brown paint and the green
paint are selected for the comparison. The corresponding values of absorptivity for these four paints
are 0.92, 0.88, 0.84, and 0.74 according to the reference [43], respectively. Figure 15 displays the indoor
air temperature under different surface coatings of the heat collecting wall. It can be seen that when
the absorptivity of the heat collecting wall increases by 0.04, the mean indoor air temperature has a rise
of 0.18 ◦ C. This is because the increase of absorptivity of heat collecting wall leads to more solar energy
converted into thermal energy and subsequently the indoor air is heated.

ȱ
Figure 15. Indoor air temperature for different values of absorptivity of heat collecting wall.

3.2.4. Effects of Thermal Performance of Inner Double-Glass Window

For the HHCF, the thermal performance of the inner double-glass window plays an important role
in influencing the indoor thermal environment of the building. For double-glass windows, both U-value
and solar heat gain coefficient are the dominant parameters affecting the thermal performance of
the building.
 U-value
For analyzing the influence of the U-value of the inner double-glass window, some optional real
double-glass windows in the window database of TRNSYS [42] are used for simulations. Figure 16

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displays the change of the mean indoor air temperature with the U-value of the inner double-glass
window. The inner double-glass window with different solar heat gain coefficients of 0.298, 0.333,
0.440, 0.586, and 0.623 are studied as well. As depicted in Figure 16, when the solar heat gain coefficient
is constant, the indoor temperature decreases with the increasing U-value. If the U-value increases by
0.1 W/(m2 ·K), the mean indoor temperature will have a drop of 0.3 ◦ C.

ȱ
Figure 16. Mean indoor air temperature for various U-values of double-glass window.

 Solar heat gain coefficient

Figure 17 displays the change of the mean indoor temperature with the solar heat gain coefficient
of the inner double-glass window, under the different U-values of 0.59, 1.05, 1.24, and 1.27 W/(m2 ·K).
As depicted in Figure 17, when the U-value is constant, the indoor temperature increases with the solar
heat gain coefficient. If the solar heat gain coefficient increases by 0.1, the mean indoor air temperature
has a rise of 2.1 ◦ C. In practical applications, to reduce the heating energy use for the building, both a
higher solar heat gain coefficient and a lower U-value are necessary for the double-glass window.

ȱ
Figure 17. Mean indoor temperature under various solar heat gain coefficients.

3.2.5. Effects of Outer Single-Glass Window

For single-glass windows, both the U-value and the solar heat gain coefficient are still two
important parameters affecting the thermal performance of the building. Generally, the U-value
and the solar heat gain coefficient of single-glass windows are higher than those of double-glass

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windows. Compared with the double-glass window, the single-glass window allows more solar energy
transferring into the building and meanwhile increases the heat transmission from the indoor to the
outdoor. Figure 18 shows the change of the mean indoor air temperature with the U-value of the
outer single-glass window. As shown in Figure 18, when the solar heat gain coefficient is constant, the
indoor air temperature decreases with the increasing U-value. If the U-value increases by 1.0 W/(m2 ·K),
the mean indoor temperature has a drop of about 0.17 ◦ C. Similarly, if the solar heat gain coefficient
increases by 0.1, the mean indoor temperature rises about 0.4 ◦ C.

ȱ
Figure 18. Mean indoor air temperature under various U-values of single-glass window.

3.2.6. Effects of Air Gap Thickness

Thickness of the air gap between the outer single-glass window and the inner double-glass window
also has influences on the thermal performance of the HHCF. Figure 19 displays the relationship
between the mean indoor air temperature and the thickness of the air gap. It can be seen that when
the thickness of the air gap exceeds 30 mm, increasing the air gap thickness by 270 mm results in a
drop of 1.24 ◦ C for the indoor air temperature, which means the increase of air gap thickness decreases
the thermal performance of the HHCF. Thus, in practical applications of the HHCF, we should try
to reduce the air gap thickness as long as the building structure allows. However, according to the
requirement of the building structure, the minimum thickness of the air gap should be more than
30 mm. Therefore, in order to improve the thermal performance of the HHCF, the thickness of the air
gap should be designed as close as possible to 30 mm.

ȱ
Figure 19. Mean indoor air temperature under various thicknesses of air gap.

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Energies 2019, 12, 1038

3.3. Summary of the Presented Results and Discussion

Energy saving potential analysis mentioned above has shown that the HHCF is more energy
efficient than the conventional direct solar gain window and the Trombe wall, which provides a
novel efficient passive solar energy utilization form. It should be noticed that the HHCF is originally
developed for making the most use of solar energy to reduce the heating demand for buildings located
in the regions where it is cold in winter and mild in summer, such as the Qinghai–Tibet plateau of
China. In these regions, building heating is necessary during the heating season, while in other seasons
reasonable natural ventilation can meet the indoor comfort requirement due to the mild outdoor
climate and there is no need for building cooling throughout the year.
In order to illustrate the performance of the HHCF, two similar studies performed by Evangelos
Bellos et al. [44] and Zou Huifen [45] have been selected for comparsion. Evangelos Bellos et al.
proposed an innovative Trombe wall as a passive heating system for a building in Athens. The predicted
results shown that the mean indoor temperature for the building with the innovative Trombe wall
is about 0.5 ◦ C higher than that with the traditional Trombe wall. In the present study, the indoor
temperature increase is about 0.4 ◦ C, a value which is in the same level. The structure of the double-skin
façade studied by Zou Huifen et al. is similar to the HHCF in this paper, and it can also decrease the
heating energy consumption. Even compared with the plating Low-e film insulating glass curtain wall,
the double-skin façade will decrease the energy consumption by 16.0%, while the HHCF in this paper
can decrease the total heating need by 21.5%.

4. Conclusions
To improve the thermal performance of passive solar buildings, a hybrid heat collecting façade
(HHCF) is proposed in this paper. The heat transfer model for analyzing the thermal performance
of the building with the HHCF is established and validated by the experimental results. In order to
illustrate the energy saving potential, the heating need of the building with the HHCF is compared
with those of the conventional direct solar gain window and the Trombe wall, and results show that the
HHCF can reduce the heating energy demand by 40.2% and 21.5%, respectively. A parametric study is
performed to determine the thermal performance of the building with a HHCF under various design
and operating conditions. It is found that the thermal performance of the HHCF mainly depends on
the window operational schedule, the width and absorptivity of heat collecting wall, and the thermal
performance of the inner double-glass window. However, other parameters (such as the thermal
performance of outer single-glass window and the air gap thickness) of the HHCF could only increase
the indoor air temperature by no more than 1.0 ◦ C even within a wide range of these parameters.
Apparently, to further improve the indoor air temperature, the U-value of the single-glass window and
the thickness of the air gap should be designed as small as possible.
The HHCF mentioned in this paper is suitable for regions where it is cold in winter and mild in
summer. If the HHCF is used in hot region, energy consumption performance should be analyzed on
an annual basis, since reducing the heating consumption in winter might increase the refrigeration
consumption in summer. At the same time, the HHCF in hot regions may cause indoor overheating
due to higher outdoor temperature and more solar heat gain in summer. This needs further research to
discuss the practicality of the HHCF in other climatic zones.

Author Contributions: Conceptualization, X.W.; Data curation, X.W.; Formal analysis, B.L. and T.Y.; Investigation,
X.W. and H.B.; Methodology, X.W.; Project administration, B.L.; Supervision, B.L. and H.B.; Validation, X.W.;
Writing—original draft, X.W.; Writing—review & editing, T.Y.
Funding: This research was supported by the Fundamental Research Funds for the Central Universities, Southwest
Minzu University, grant number 2018NQN57.
Conflicts of Interest: The authors declare no conflict of interest.

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Energies 2019, 12, 1038

Nomenclature
A building envelope area (m2 ) Subscripts and superscripts
ACH air change per hour (1/h) a air
C specific heat capacity (J/(kg·K)) con building construction
total thickness of building
D con, in interior surface of building construction
construction (m)
g gravity acceleration (m/s2 ) con, out exterior surface of building construction
Gr Grashof number clo closed double-glass window
convective heat transfer coefficient horizontal cross section of the heat
h cs
(W/(m2 ·K)) collecting space
H height of HHCF (m) diffuse diffuse radiation
I intensity of solar radiation (W/m2 ) direct direct radiation
Ir incident radiation (W/m2 ) doub double-glass window
L width of double-glass window (m) hcs heat collecting space
convection from heat transfer space to
l characteristic length (m) hcs-hts
heat collecting space
mass flow rate of air in the heat
m hts heat transfer space
collecting space (kg/s)
convection from heat transfer space to
Pr Prandtl number hts-in
indoor space
q heat flux (W/m2 ) in indoor
solar radiation absorbed by the
qts interheat indoor heat source of building
interior surface (W/m2 )
transmitted solar radiation through
qtsf leak air leak from room
the fenestration (W/m2 )
Q heat transfer rate (W) lw long-wave radiation exchange
S thickness of air gap (m) ope open double-glass window
SHGC solar heat gain coefficient out outdoor
T temperature (◦ C) r room
U U-value of window (W/(m2 ·K)) sig single-glass window
convection from single-glass single-glass
V volume (m3 ) sig-hcs
window to air in the heat collecting space
convection from single-glass single-glass
Vm average wind velocity (m/s) sig-hts
window to air in the heat transfer space
conduction through closed double-glass
W width of heat collecting wall (m) tic window from heat transfer space to
indoor space
Greek symbols va outlet area of the vent
convection from heat collecting wall to air
α absorptivity of building surface wa-hcs
in the gap
ρ density (kg/m3 ) win window
λ thermal conductivity (W/(m·K))
τ time (s)
ν dynamic viscosity (Pa·s)
ε emissivity of building surface
ξ1 vent pressure loss coefficient
ξ2 air gap pressure loss coefficient

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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Article
Thermally Anisotropic Composites for Improving the
Energy Efficiency of Building Envelopes †
Kaushik Biswas *, Som Shrestha, Diana Hun and Jerald Atchley
Oak Ridge National Laboratory, One Bethel Valley Road, Oak Ridge, TN 37831, USA; [email protected] (S.S.);
[email protected] (D.H.); [email protected] (J.A.)
* Correspondence: [email protected]; Tel.: +1-86-5574-0917
† This manuscript has been authored by UT-Battelle, LLC, under Contract No. DE-AC05-00OR22725 with the
U.S. Department of Energy. The United States Government retains and the publisher, by accepting the article
for publication, acknowledges that the United States Government retains a non-exclusive, paid-up,
irrevocable, world-wide license to publish or reproduce the published form of this manuscript, or allow others
to do so, for United States Government purposes. DOE will provide public access to these results of federally
sponsored research in accordance with the DOE Public Access Plan
(http://energy.gov/downloads/doe-public-access-plan).

Received: 9 September 2019; Accepted: 29 September 2019; Published: 5 October 2019

Abstract: This article describes a novel application of thermal anisotropy for improving the
energy efficiency of building envelopes. The current work was inspired by existing research on
improved heat dissipation in electronics using thermal anisotropy. Past work has shown that
thermally anisotropic composites (TACs) can be created by the alternate layering of two dissimilar,
isotropic materials. Here, a TAC consisting of alternate layers of rigid foam insulation and thin,
high-conductivity aluminum foil was investigated. The TAC was coupled with copper tubes with
circulating water that acted as a heat sink and source. The TAC system was applied to a conventional
wood-framed wall assembly, and the energy benefits were investigated experimentally and numerically.
For experimental testing, large scale test wall specimens were built with and without the TAC system
and tested in an environmental chamber under simulated diurnal hot and cold weather conditions.
Component-level and whole building numerical simulations were performed to investigate the energy
benefits of applying the TAC system to the external walls of a typical, single-family residential building.

Keywords: thermal anisotropy; building envelope; thermal management; energy efficiency;

peak load reduction

1. Introduction
Globally, buildings consume about 40% of the total energy, and are responsible for 30% of
carbon dioxide emissions [1]. In building envelope systems, thermal management is important from
both energy conservation and thermal comfort perspectives [1–3]. Thermal management to reduce
unwanted heat flows through the opaque building envelope sections (walls, roof, and foundation) has
traditionally been done via insulation materials. Alternative methods that have been proposed include
thermal mass, solar control and shading, ventilation, etc. [2,3]. Phase change materials (PCMs), used as
latent thermal storage technologies, have shown the potential for reductions in envelope-generated
heating and cooling loads [4,5], but systematic studies evaluating the benefits of PCMs in large-scale,
real building applications are missing. Vacuum insulation panels (VIPs) and aerogels are among the
new generation of high-performance insulation materials being investigated for building envelope
applications [6–8], but suffer from high cost and/or durability-related questions.
This study investigates the feasibility of applying thermal anisotropy [9] for improved thermal
management in building envelopes. Unlike isotropic materials, the thermal conductivity of anisotropic

Energies 2019, 12, 3783; doi:10.3390/en12193783 195 www.mdpi.com/journal/energies

Energies 2019, 12, 3783

materials is different in different directions, enabling preferential heat transfer in one direction
compared to another. Thermal anisotropy allows heat to dissipate in a preferential direction, and has
been investigated for improved heat dissipation and hot spot remediation in electronics [10–13]. Suszko
and El-Genk [11] numerically investigated thermally anisotropic composite heat spreaders comprised
of two 0.5 mm thick copper (Cu) laments separated by a thin (0.25–1.0 mm) layer of graphite to achieve
in-plane thermal conductivities of 200–325 W/(mK) and cross-plane conductivities of 5–20 W/(mK).
The composite spreaders were predicted to remove up to 429% higher heat than an all-Cu spreader [11].
Conversely, Ren and Lee [13] utilized the high cross-plane conductivity and low in-plane conductivity
of holey silicon nanostructures to achieve improved thermoelectric cooling effectiveness compared to
high-thermal conductivity bulk silicon.
The goal of the current research was to investigate if preferential heat transfer using thermal
anisotropy can be used for a more effective thermal management of building envelopes compared
to passive insulation systems. Narayana and Sato [14] and Vemuri and Bandaru [15], among others,
proposed that a practical approach to creating anisotropy is to build a stacked composite from
macroscopic layers of isotropic materials. The reasoning is that in a composite made of alternating
sheets of two materials, the overall conductivity parallel to the layers is the arithmetic mean (AM) of the
individual conductivities of the layers, while the overall conductivity perpendicular to the layers is the
harmonic mean (HM) of the individual conductivities [15]. Since HM ≤ AM, the resultant composite
will exhibit thermal anisotropy, and the degree of anisotropy can be tuned based on the selection of the
isotropic materials and their geometric orientation [15].
Buildings, as major energy end users, have great potential to relieve the stress of the power
surplus/shortage of the electric grid by shifting their loads from on-peak to off-peak periods [16].
Furthermore, with an increasing focus on net-zero energy buildings and stringent future carbon
emission targets, envelopes need to switch from passive to dynamic and “responsive” systems [17,18].
For this study, the authors investigated the efficacy of a thermally anisotropic composite (TAC)
comprising of alternating layers of rigid extruded polystyrene (XPS) foam sheets and thin aluminum
(Al) foil in reducing the heat transfer through a wall system compared to insulation materials alone. The
specific TAC materials were chosen because XPS is a commonly used building insulation material,
and Al foil is another low-cost, readily available material. In fact, Al foil-faced insulation materials
are commercially available. The system design was guided by some preliminary finite element
analysis using COMSOL Multiphysics® (https://www.comsol.com/heat-transfer-module) (version 5.4,
COMSOL, Inc., Burlington, MA, USA). The Al foil layers were connected to copper (Cu) tubes
circulating water that acted as heat sinks and sources, thus providing a dynamic and controllable
system. The presence of the Al foils provides very high in-plane conductance compared to the
cross-plane conductance across the thickness of the TAC. Figure 1 graphically describes the concept of
a TAC diverting heat to a heat sink.

Figure 1. Conceptual operation of a thermally anisotropic composite (TAC)–heat sink combination

applied to a wall to reduce heat gains during hot outdoor conditions.

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Energies 2019, 12, 3783

The coupled TAC–heat sink/source concept is promising in terms of reducing energy consumption
as well as reducing and/or shifting peak loads. This proof-of-concept research involved experimental
evaluations of a full-scale 2.44 × 2.44 m2 wall in an environmental chamber as well as component-level
and whole-building simulations to estimate the energy benefits of the TAC combined with
heat sinks/sources. The component-level simulations were performed using COMSOL, and the
whole-building simulations were performed with EnergyPlus (E+) (https://energyplus.net/).

2. Materials and Methods

2.1. Test Walls, TAC, and Heat Sink/Source

Three test walls were created for testing and evaluation. The baseline (“Base”) test wall consisted
of typical wood-framed assemblies that are used in residential buildings in North America. The walls
were built with wood studs of 3.8 cm width and 8.9 cm depth that were spaced 0.4 m apart. The wall
cavities, i.e., the spaces between the wood studs, were filled with fiberglass insulation and were covered
by 1.3 cm thick oriented strand board (OSB) and gypsum board as exterior and interior sheathings,
respectively. Next, the baseline wall was upgraded by adding three layers of 1.3 cm thick XPS as
exterior insulation to create the “Base + XPS” test wall. Finally, a third test wall (“Base + TAC”) was
created by adding the TAC and Cu tubes to the baseline wall. Figure 2 shows a COMSOL-generated
schematic of the cross-section of the “Base + TAC” wall. For clarity, only the half-width of the wall
is shown.

Figure 2. COMSOL rendering of the schematic cross-section of the “Base + TAC” wall.

The TAC consisted of three alternating layers of 1.3 cm thick XPS sheets and 0.13 mm thick Al foil,
for a total of six layers. The solid blue lines in Figure 2 indicate the Al foil layers that create the thermal
anisotropy and are connected to the Cu tubes, highlighted by the green circles. The external and
internal diameter of the Cu tubes were nominally 12.7 mm and 10.9 mm, respectively. Three Cu tubes
were installed along alternate wall cavities. Figure 3 shows the physical assembly and construction of
the TAC and Cu tubes system. Each Al foil layer was installed and attached to the Cu tubes using Al
foil adhesive tape before the corresponding XPS layer was added above. The process was repeated
twice to install the three layers each of XPS and Al foil.

2.2. Environmental Chamber and Test Conditions

The experimental evaluations were performed in an environmental chamber called the large
scale climate simulator (LSCS). The LSCS consists of three chambers—climate, meter, and guard—as
shown in Figure 4. The climate chamber is above ground and simulates outdoor weather conditions
of temperature, humidity, irradiance (using infrared or IR lamps), and wind speed. It can maintain
steady conditions or simulate diurnal weather conditions. The lower portion of the LSCS contains
a guard chamber and a meter chamber. Test specimens are installed at the interface of the climate and
meter/guard chambers. The meter chamber is surrounded by the guard chamber on five sides, except
for the side facing up, which is exposed to the test specimen. The meter and guard chambers simulate
indoor temperature and humidity. The LSCS serves as a guarded hot box apparatus, and tests are
performed in accordance with ASTM C1363 [19].

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Figure 3. Creating the TAC and Cu tubes system for the test wall. (a) Cu tubes installed above the
oriented strand board (OSB) that was covered with a water and vapor resistive membrane, (b) addition
of the first Al foil and rigid extruded polystyrene (XPS) layers, (c) second and third XPS layers
sandwiching the third Al foil layer, and (d) finished TAC and Cu tubes system.

Figure 4. Sketch of the large scale climate simulator (LSCS).

The test wall assemblies were installed horizontally such that their exterior surfaces (OSB or XPS)
were exposed to the climate chamber, and their interior surfaces were exposed to the meter chamber.
The wall assemblies were supported at the open end of the guard and meter chambers. The meter
chamber can be raised and lowered to accommodate the test specimens. During testing, the edge of the
meter chamber is sealed against the indoor side of the wall assembly, and provides a measurement of the
total heat flow through the 2.44 × 2.44 m2 central measurement area of the test walls. The surrounding
guard temperature is maintained close to the meter chamber temperature to minimize heat flows across
the meter chamber walls. Thus, the heat flow through the test wall can be calculated from an energy
balance of the meter chamber, i.e., the heat input to or removal from the meter chamber to maintain the

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“indoor” temperature. Reduction in the net heat transfer between the climate and meter chambers was
evaluated to prove the efficacy of the proposed TAC with heat sink/source concept.
The climate chamber of the LSCS was programmed to impose a diurnally varying cyclic
temperature and IR irradiance on the exterior side of the test wall assemblies. The meter chamber was
nominally set to an indoor or “room” condition of 23.9 ◦ C. The heaters, chillers, and fans associated
with the meter chamber are controlled to maintain the indoor temperature as near as 23.9 ◦ C as possible,
while compensating for the heat gain or loss through the test walls. The walls were instrumented to
measure the surface temperatures on the exterior and interior surfaces. For the tests with the TAC
walls, a water pump and chiller were used to circulate water through the Cu tubes. The tests were
performed under assumed summer and winter environmental conditions. Under summer conditions,
the water circulation in the Cu tubes acted as heat sinks with an average inlet water temperature of
about 27.8 ◦ C. Under winter conditions, the circulating water acted as heat sources with an average
inlet temperature of about 20.5 ◦ C. The sink and source temperatures were based on some preliminary
numerical simulations using COMSOL that showed that relatively mild sink/source temperatures can
enable significant reductions in heat transfer through the wall.

2.3. Numerical Simulation Methods and Tools

To further evaluate the energy benefits of TACs combined with heat sinks/sources,
both component-level and whole building numerical simulations were performed. First, geometries
matching the LSCS test walls were created using COMSOL, and model validation simulations were
performed. Two-dimensional (2D) geometries were created to match the cross-sections of the different
test walls (similar to Figure 2) and utilizing appropriate materials properties, as listed in Table 1. In the
“Base” wall model, the OSB was the outmost layer, and the “Base + XPS” wall model only contained
the XPS sheets as the exterior insulation. The material properties were obtained from the ASHRAE
Handbook of Fundamentals [20], except for the properties of Cu and Al, which were taken from the
COMSOL material library.

Table 1. Material properties used in the simulations.

Thermal Conductivity Density Specific Heat

Material
[k, W/(m·K)] [ρ, kg/m3 ] [cp, J/(kg·K)]
Gypsum 0.159 640.7 879.2
Wood stud 0.144 576.7 1632.9
Fiberglass 0.039 7.8 837.4
OSB 0.130 656.8 1884.1
XPS 0.029 32.0 1465.4
Aluminum 238 2700 900
Copper 400 8960 385

The model validations were performed using the transient test data from the LSCS. The measured
surface temperatures on the exterior wall surface and the meter chamber air temperatures were used as
boundary conditions for these simulations. The heat transfer between the interior wall surface and meter
chamber air was calculated using a surface heat transfer coefficient (‘hmeter ’) for non-reflective horizontal
surfaces according to the ASHRAE Handbook of Fundamentals [20]. ‘hmeter ’ was 9.26 W/(m2 ·K) for
heat flow in the upward direction, and 6.13 W/(m2 ·K) for heat flow in the downward direction [20].
The measured and calculated heat flows between the climate and meter chambers were compared to
validate the models. For the “Base + TAC” model, the heat sink/source represented by the Cu tubes
were modeled using an internal convection heat transfer coefficient (hint ) and a mean water temperature.
The mean water temperature was based on the measured inlet and outlet water temperatures in the Cu
tubes. ‘hint ’ was calculated using the following correlation for a laminar, fully developed internal flow
under constant heat flux conditions [21].

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hint D
= 4.36 (1)
k
In Equation (1), ‘D’ is the internal tube diameter, and ‘k’ is the conductivity of the fluid (water).
Equation (1) is valid for Reynolds numbers (Re) < 10,000 [21]. For convection heat transfer calculations
in internal flows, the assumption of constant heat flux conditions applies to cases where the outer
tube surface is uniformly heated or irradiated [21]. This assumption of constant heat flux is deemed
reasonable for the current situation, because the exterior surfaces of the test walls were irradiated by
an array of uniformly distributed IR lamps.
Following the 2D model validation, annual simulations were performed using COMSOL and E+
using typical climate conditions for two US cities, Phoenix, AZ and Baltimore, MD, which lie in climate
zones 2 and 4, respectively, according to ASHRAE 90.1 [22]. Figure 5 illustrates the overall modeling
and analysis process used for the annual simulations.

Figure 5. Flowchart illustrating the modeling and analysis process for the annual simulations.

The first step of the annual simulation methodology was to build an E+ baseline whole building
model, based on a residential prototype building model [23]. The building used for this analysis is
a wood-framed, two-story single-family detached house with a total conditioned floor area of about
223 m2 . The baseline whole-building E+ model was simulated to generate the indoor and outdoor
boundary conditions for the 2D COMSOL models, based on the climate conditions of Phoenix and
Baltimore. The exterior surface boundary condition included the impacts of solar irradiance as well as
convection and radiation heat transfer with the outdoor environment. The internal boundary conditions
included convection and radiation heat transfer with the interior space. The room temperatures for
both Phoenix and Baltimore were assumed to be within the heating and cooling set points of 22.2 ◦ C
and 23.9 ◦ C, respectively, from the residential prototypes model. The parameters of outdoor and indoor
temperatures, solar irradiance, and exterior and interior convection coefficients were generated from
the baseline E+ model. An assumption was made that exterior and interior heat transfer coefficients are
independent of the wall construction. This is a reasonable approximation based on the research team’s
experience with whole-building simulations, which has shown that wall construction has a trivial
impact on the calculated surface heat transfer coefficients.
Next, the simplified 2D COMSOL models were used to calculate the wall-generated heating and
cooling loads from the “Base”, “Base + XPS”, and “Base + TAC” wall configurations. Figure 6 shows
the simplified 2D model of the cross-section of the “Base + TAC” wall for the annual simulations.
The simplified models include only two wall cavities and symmetric boundary conditions, i.e., the model
assumes that the geometry is repeated symmetrically on either side. The wall components and properties
were the same as the 2D validation models.

Figure 6. Simplified 2D COMSOL model used for annual simulation with symmetric boundary
conditions at the two edges.

In the “Base + TAC” model, a Cu tube was assumed to be installed along the center of one of the
two modeled wall cavities, same as the LSCS test wall. The internal convection coefficient within the
tube was calculated using Equation (1). The Cu tubes were assumed to switch between heat sinks

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and heat sources during cooling and heating periods, respectively. The mean water temperature
was assumed to be 27.8 ◦ C in heat sink mode and 20 ◦ C in heat source mode. For the current work,
the switch from heat sink to heat source was assumed when the outdoor ambient temperature fell below
12.8 ◦ C and vice versa. For this study, 12.8 ◦ C was assumed to be the balance point temperature (BPT)
for the modeled building. The BPT varies based on building and climate conditions [24], but 12.8 ◦ C is
deemed a suitable approximation for the current proof-of-concept simulations.
Finally, the hourly heat flows between the walls and the indoor space calculated from COMSOL
were inserted into modified residential prototype E+ models as internal loads. The residential prototype
building model used for the E+ simulations was a single-family detached house that complied with
International Energy Conservation Code (IECC) 2006. The coefficient of performance (COP) of the
cooling system was assumed to be 3.97 at standard design conditions. A gas furnace was modeled to
provide heating, and the gas burner efficiency is assumed to be 0.78.
The E+ models were modified to make the opaque wall sections adiabatic, while the other
aspects of the prototype models remained the same. The COMSOL-calculated heat gains and losses
through the 2D model of the opaque wall sections were treated as cooling and heating loads to the
corresponding conditioned space, respectively, in the modified E+ models. This modification was
necessary, as E+ utilizes a one-dimensional conduction heat transfer for wall assemblies, and it is not
possible to capture the 2D nature of the directional heat flows in the TAC in E+. Thus, this modified
approach was used to calculate the heat flows through the opaque wall sections using 2D COMSOL
models, and then incorporate them within modified E+ models as wall-generated cooling or heating
loads to evaluate the energy benefits of using TACs.

3. Results

3.1. LSCS Experimental Evaluations

The climate chamber conditions were programmed to create 24-h diurnal cycles of air temperature
and IR irradiance (IRR) for assumed summer and winter conditions. The goal of these proof-of-concept
tests was to demonstrate the potential of TAC to reduce the heat transfer through the test wall. Each test
was performed over multiple diurnal cycles, and data from 72 h (or three 24-h cycles) were used
for evaluation and comparison. Figures 7 and 8 show the diurnally varying climate chamber air
temperature and the IRR on the exterior surfaces, respectively, of the test walls for the assumed summer
and winter conditions. The LSCS was programmed to create the same diurnal conditions for the three
test walls as much as possible, but some differences were observed between the different test walls.
Figure 9 shows the average inlet and outlet temperatures of the water circulating through the three Cu
tubes in “Base + TAC” wall. The water circulation rate varied between 0.053 and 0.057 kg/s through
each Cu tube.

Figure 7. Air temperature in the climate chamber.

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Figure 8. IR irradiance on the exterior wall surfaces.

Figure 9. Average inlet and outlet water temperatures in the Cu tubes for the “Base + TAC” tests.

Finally, Figure 10 shows the net heat transfer between the climate and meter chamber through the
different test walls, which is measured by the net heating or cooling power (Qmeter ) needed to maintain
the meter chamber at or near the “room” temperature of 23.9 ◦ C. A positive Qmeter indicates net heat
flow from the climate to meter chamber (heat gain) or a cooling load, while negative Qmeter indicates
heat loss from the meter chamber or a heating load. Figure 10 clearly shows the effectiveness of the
TAC and heat sink/source system in reducing both peak cooling and peak heating loads compared to
both the baseline wall and “Base + XPS” wall. Under summer conditions, the peak cooling loads were
reduced by 43.4% with the “Base + XPS” wall and by 79.5% with the “Base + TAC” wall compared to
the “Base” wall. Under winter conditions, the reductions in peak heating loads were 42.1% and 63.7%
with the “Base + XPS” and “Base + TAC” walls, respectively.

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Figure 10. Measured heat gains to and heat losses from the meter chamber.

Table 2 compares the integrated cooling and heating loads over the 72-h summer and winter
periods as well as the percent reductions in the loads with the addition of XPS only and the TAC + heat
sink/source system to the baseline wall. The LSCS test results showed that using thermal anisotropy
combined with a heat sink and sources can significantly outperform insulation materials of similar
thickness. Under summer conditions, “Base + TAC” doubled the decrease in cooling loads compared
to “Base + XPS”; under winter conditions, “Base + TAC” increased the reduction in heating loads by
40% compared to “Base + XPS”. A future task is to include the energy penalty due to water circulation
in the performance evaluation of the “Base + TAC” wall. However, given the low flow rates and mild
water temperatures utilized, the energy penalty is expected to be low.

Table 2. Comparison of integrated cooling and heating loads.

Test Parameter Base Base + XPS Base + TAC

Cooling load (Wh) 5310 3021 770
Summer
% difference - −43.1% −85.5%
Heating load (Wh) 4781 2629 1760
Winter
% difference - −45.0% −63.2%

3.2. COMSOL Validation Results

The 2D models matching the test wall cross-sections were created, and the simulated heat flows
through the test walls were compared to the LSCS measurements. Figure 11 compares the calculated
heat flows through the different test walls with the LSCS measurements. For all cases, the measured
exterior surface temperatures of the test walls and meter chamber air temperatures were used as the
boundary conditions. The meter-facing or interior surface heat transfer was calculated using ‘hmeter ’
of 6.13 W/(m2 ·K) for summer conditions (heat flow downwards from climate to meter chamber) and
9.26 W/(m2 ·K) for winter conditions (heat flow upwards from meter to climate chamber). For the
“Base + TAC” summer and winter cases, transient ‘hint ’ values were calculated using Equation (1).
With the flow rates of 0.053–0.057 kg/s and the interior Cu tube diameter of 10.9 mm, the resultant
Reynolds numbers were in the range 6200–8200. The ‘k’ of water was obtained from the average of
the inlet and outlet temperatures of the water circulating in the Cu tubes. As shown in Figure 9, the
difference between the inlet and outlet temperatures were about 1 ◦ C or less, so using an average
temperature for ‘hint ’ calculations is reasonable. The resultant values of ‘hint ’ were 240–246 W/(m2 ·K).

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Figure 11. Comparison of measured and calculated heat gains to and heat losses from the meter chamber.

Overall, the 2D models were able to capture the thermal behavior of all the walls under both
summer and winter conditions. Under summer conditions, the calculated peak cooling loads were
within 11% of the measurements for the “Base” and “Base + XPS” cases, and within 15% for the
“Base + TAC” case. Under winter conditions, the calculated peak heating loads were within 6%, 8%,
and 11% of the measurements for the “Base”, “Base + XPS”, and “Base + TAC” cases, respectively.

3.3. Annual Simulation Results

The annual simulations were based on typical weather conditions in Phoenix and Baltimore;
the former is in a cooling-dominated climate zone, and the latter has a heating-dominated climate.
For the simplified 2D COMSOL models, the exterior and interior boundary conditions were generated
using E+ simulations of the residential prototype building model [23]. For the “Base + TAC” model,
a flow rate of 0.056 kg/s was assumed in the Cu tube, and the water temperature was assumed to be 27.8
◦ C in the heat sink mode and 20.0 ◦ C in the heat source mode. The resultant ‘h ’ for the heat sink and
int
heat source modes were 245.7 and 241.2 W/(m2 ·K), respectively. The switch between heat sink and heat
sources happened when the outdoor temperature went above or below the assumed BPT of 12.8 ◦ C.
Hourly heat flows through the opaque wall sections were calculated from the 2D COMSOL models
and used as cooling and heating loads in the modified E+ models with the adiabatic walls. COMSOL
simulations were performed for walls oriented in all four cardinal directions—north, east, south, and

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west. Figure 12 shows a comparison of the integrated monthly heat gains through a south-facing wall
in Phoenix and monthly heat losses through a north-facing wall in Baltimore. Table 3 presents the
calculated annual heat gains and losses for the different cases.

Figure 12. Calculated monthly heat gains through a south-facing wall in Phoenix and heat losses
through a north-facing wall in Baltimore.

Table 3. Comparison of calculated annual wall heat gains and losses and percent difference with respect
to the “Base” wall.

Wall Type Performance Metric North East South West

Phoenix
Base Heat gain (kWh/m2 ) 19.0 31.6 36.1 32.4
Heat gain (kWh/m2 ) 11.4 18.1 20.3 18.9
Base + XPS
% difference −40.1% −42.6% −43.9% −41.6%
Heat gain (kWh/m2 ) 10.6 14.3 15.8 14.9
Base + TAC
% difference −44.2% −54.7% −56.4% −53.8%
Base Heat loss (kWh/m2 ) −14.9 −10.9 −10.1 −12.7
Heat loss (kWh/m2 ) −8.9 −5.7 −4.2 −6.3
Base + XPS
% difference −40.0% −48.1% −58.8% −50.3%
Heat loss (kWh/m2 ) −3.6 −2.5 −2.2 −3.1
Base + TAC
% difference −75.8% −77.0% −78.1% −75.6%
Baltimore
Base Heat gain (kWh/m2 ) 5.1 10.4 12.1 10.6
Heat gain (kWh/m2 ) 2.6 5.1 5.2 5.4
Base + XPS
% difference −49.3% −50.7% −57.1% −48.8%
Heat gain (kWh/m2 ) 4.2 5.7 5.9 6.0
Base + TAC
% difference −17.6% −45.2% −51.1% −43.3%
Base Heat loss (kWh/m2 ) −37.9 −32.9 −30.1 −34.4
Heat loss (kWh/m2 ) −23.4 −19.7 −16.7 −20.4
Base + XPS
% difference −38.3% −40.3% −44.6% −40.7%
Heat loss (kWh/m2 ) −11.9 −10.4 −9.1 −10.9
Base + TAC
% difference −68.6% −68.5% −69.6% −68.3%

In addition to the reductions in overall heat gains and losses, the potential of the ‘Base + TAC’
case to reduce and shift peak loads was also explored. Table 4 lists the COMSOL-calculated average
reduction in peak heat gains and average time shift in the peak heat gains in Phoenix during the month
of July with the ‘Base + XPS’ and ‘Base + TAC’ cases compared to the ‘Base’ case. While both the

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‘Base + XPS’ and ‘Base + TAC’ cases showed similar potential for peak load shifting, the reduction in
peak loads was much higher with the ‘Base + TAC’ case.

Table 4. Calculated average peak heat gain reduction and average peak shift during July in Phoenix.

Wall Type Performance Metric North East South West

Peak reduction (%) 40.6 53.0 46.5 48.7
Base + XPS
Peak shift (h) 0.7 4.0 3.8 1.2
Peak reduction (%) 58.6 69.3 63.6 66.6
Base + TAC
Peak shift (h) 0.6 5.0 3.6 1.1

It should be noted that all heat gains for real buildings don’t directly translate to cooling energy
consumption and vice versa for heat losses. For example, heat gains during winter can reduce heating
energy consumption without adding to cooling energy use. Therefore, whole building simulations are
needed. Using the COMSOL-calculated hourly wall heat flows for the different wall configurations,
E+ simulations were performed to estimate their impacts on whole-building cooling and heating
energy consumption. Table 5 lists the E+ calculated cooling, heating, and fan energy use for the
different wall configurations. The percent reductions in energy use are smaller than the reductions in
heat flows, which is expected because overall energy use is also impacted by heat flows through other
envelope sections (for example, roofs and windows), indoor loads, etc. In general, the “Base + TAC”
case provided greater reductions in energy use than the “Base + XPS” case, except for the cooling
energy use in Baltimore. It should be noted that the operating parameters chosen for the “Base + TAC”
case for the current simulations were not optimized. Further investigations are ongoing for tuning the
TAC and heat sink/source configuration, heat sink/source temperatures, etc., to maximize the peak
load reductions and/or energy savings with TACs.

Table 5. Comparison of calculated annual whole building cooling and heating-related energy use and
percent difference with respect to the “Base” case.

Cooling and Fan Heating Energy

Wall Type % Difference % Difference
Energy Use (kWh) Use (kWh)
Phoenix
Base 11,278 - 4855 -
Base + XPS 10,268 −9.0% 3804 −21.6%
Base + TAC 9998 −11.3% 3342 −31.2%
Baltimore
Base 4158 - 21,945 -
Base + XPS 3801 −8.6% 19,244 −12.3%
Base + TAC 3838 −7.7% 17,413 −20.6%

The annual simulation presented here was done to support the proof-of-concept work and show
the potential of TACs coupled with heat sink/source to reduce wall-generated heating and cooling loads.
The simulation controls and algorithm have not been optimized yet. In Tables 3 and 4, it is observed
that under Baltimore weather conditions, the ‘Base + XPS’ case is more effective at reducing the heat
gains and cooling energy use compared to ‘Base + TAC’. For the ‘Base + TAC’ case, it was assumed that
the water circulation is always on, and the switch between heat sink and heat source happens when the
outdoor temperature crosses 12.8 ◦ C. This can lead to scenarios when the outdoor temperature is lower
than the room temperature (22.2–23.9 ◦ C) but greater than 12.8 ◦ C, so the circulating water is assumed
to be at 27.8 ◦ C. Thus, during these times, there is a greater temperature gradient for inward heat flow
with the ‘Base + TAC’ case compared to the ‘Base + XPS’ case. Figure 13 shows a five-day period in
April, when the outdoor temperature (‘Tout’) was predominantly lower than the room temperature but

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higher than 12.8 ◦ C. As seen from the calculations, there were no heat gains (i.e., heat flows greater
than zero) through the ‘Base + XPS’ wall, but there were significant heat gains through the ‘Base + TAC’
wall due to the water circulation at 27.8 ◦ C.

Figure 13. Outdoor temperature (left axis) and calculated heat flows (right axis) through a north-facing
wall in Baltimore.

The preliminary annual simulations utilized a simple binary approach to switch between heat sink
and source based on a single, constant outdoor temperature value. This was deemed reasonable for this
proof-of-concept work. However, a more logical approach would be to use the exterior wall surface
and interior temperatures to control the switching between heat sink and source modes, and even turn
off the water circulation at times. Such algorithms that would maximize the benefits of the TAC system
are being developed, and those results will be published in the near future.

4. Conclusions and Future Work

Here, the development and implementation of a novel TAC-based active envelope system is
described. The potential of a TAC to reduce heat flows through building envelopes was experimentally
and numerically investigated. A TAC coupled with a heat sink/source was shown to be more effective
in reducing both cooling and heating loads and peak cooling loads compared to foam insulation of
the same thickness. The TACs consisted of alternating layers of foam insulation and aluminum foil,
both of which are commonly available materials. The TAC was connected to copper tubes circulating
water for the experimental evaluations, and were able to reduce cooling and heating loads by 86%
and 63% compared to a baseline wall with only cavity insulation. Preliminary numerical simulations
were performed under two different climate conditions, cooling-dominated and heating-dominated.
The TAC system was predicted to reduce cooling energy use by 11% under cooling-dominated climate
and heating energy use by 21% in the heating-dominated climate.
The current study was a proof-of-concept investigation. Further optimization of the TAC system
is needed to maximize its benefits with respected to peak load reduction and shifting, as well as overall
reduction in heating and cooling energy use. By actively controlling the heat sink/source, the building
envelope can be tuned to interact with the electric grid and provide benefits to the energy suppliers
via peak load reduction and load shifting. The algorithm to switch between heat sink and source as
well as turning off the water circulation will be optimized for different building and climate types to
maximize the benefits of the TAC system. Finally, the energy penalty of creating a heat sink and source
will also be considered.

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Author Contributions: K.B. was primarily responsible for creating this manuscript. D.H., K.B., and S.S. developed
the preliminary concept of thermal management using anisotropy. K.B. performed the COMSOL simulations. S.S.
developed the coupled COMSOL and E+ simulation methodology and performed the E+ simulations. K.B., S.S.
and J.A. were jointly responsible for the overall experimental design, testing and data analysis. S.S., D.H. and K.B.
were responsible for acquiring funding support for this research.
Funding: This work was funded by the Building Technologies Office (BTO) of the US Department of Energy
(DOE), under Contract No. DE-AC05-00OR22725. We gratefully acknowledge the support from Sven Mumme,
the responsible Technology Manager of the DOE’s BTO.
Acknowledgments: The authors would like to acknowledge the contribution of Daniel Howard, a post-Bachelor
researcher at ORNL, who created the updated graphic for Figure 4.
Conflicts of Interest: The authors declare no conflict of interest.

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© 2019 by the authors. Licensee MDPI, Basel, Switzerland. This article is an open access
article distributed under the terms and conditions of the Creative Commons Attribution
(CC BY) license (http://creativecommons.org/licenses/by/4.0/).

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Article
Envelope Thermal Performance Analysis Based on
Building Information Model (BIM) Cloud Platform—
Proposed Green Mark Collaboration Environment
Ziwen Liu 1,2,3, *, Qian Wang 4 , Vincent J.L. Gan 5 and Luke Peh 2
1 Digitalization Department, Built Environment Research and Innovation Institute (BERII), Building and
Construction Authority, Zero Energy Building (ZEB), 200 Braddell Road, Singapore 579700, Singapore
2 School of Science and Technology, Singapore University of Social Science, 463 Clementi Road,
Singapore 599494, Singapore; [email protected]
3 BCA Academy, 200 Braddell Road, Singapore 579700, Singapore
4 Department of Building, School of Design and Environment, National University of Singapore,
4 Architecture Drive, Singapore 117566, Singapore; [email protected]
5 Department of Civil and Environmental Engineering, The Hong Kong University of Science and Technology,
Clear Water Bay, Kowloon, Hong Kong 999077, China; [email protected]
* Correspondence: [email protected] or [email protected]

Received: 19 November 2019; Accepted: 21 January 2020; Published: 27 January 2020

Abstract: Building Information Modeling (BIM) and sustainable buildings are two future cornerstones
of the Architectural, Engineering and Construction (AEC) industry. In Singapore’s context, the Green
Mark (GM) scoring system is prevalently used to assess the sustainability index of green buildings.
BIM provides the semantic and geometry information of buildings, which is proliferated as the
technological and process backbone for the green building assessment. This research, through vast
literature reviews, identified that the current procedure of achieving a Green Mark score is tedious and
cumbersome, which hampers productivity, especially in the calculation of building envelope thermal
performance. Furthermore, the project stakeholders work in silos, in a non-collaborative, manual and
2D-based environment for generating relevant documentation to achieve the requisite green mark
score. To this end, a cloud-based BIM platform was developed, with the aim of encouraging project
stakeholders to collaboratively generate the project’s green mark score digitally in accordance with
the regulatory requirements. Through this research, the authors have validated the Envelope Thermal
Transfer Value (ETTV) calculation, which is one of the prerequisite criteria to achieve a Green Mark
score, through a case study using the developed cloud-based BIM platform. The results indicated
that using the proposed platform enhances the productivity and accuracy as far as ETTV calculation
is concerned. This study provides a basis for future research in implementing the proposed platform
for other criteria under the Green Mark Scheme.

Keywords: Building Information Modeling; cloud-based; envelope thermal performance; green

buildings; Green Mark; Integrated Digital Delivery (IDD)

1. Introduction
In the recent decade, Building Information Modeling (BIM) has widely been adopted in the
Architectural, Engineering, and Construction (AEC) industry and completely upended the way we
build [1]. Building Information Modeling (BIM) has been identified by the Building and Construction
Authority (BCA) of Singapore as one of the key drivers to improve productivity in the Architectural,
Engineering, and Construction (AEC) industry. In 2010, the first BIM Roadmap was implemented
and had since achieved progressive and positive results in various facets of building design [2].
The one-stop BIM submission to a number of agencies is one of the transformative policies introduced

Energies 2020, 13, 586; doi:10.3390/en13030586 211 www.mdpi.com/journal/energies

Energies 2020, 13, 586

to the construction industry that made Singapore the first country in the region to accept and approve
building plan submissions with BIM models [3]. With the increasing benefits of BIM, firms have
been challenged to extend their BIM capabilities from modeling to design and coordination. Design
integration of multiple disciplines with BIM has been improving steadily with better coordination and
interfacing between different discipline models.
While BIM continues to gain momentum, especially in building plan submissions and coordination,
it is also important to look at the other aspects of BIM, such as BIM for sustainability. There is
an increasing demand for developing sustainable buildings because of rising energy costs and
environmental impacts. Using BIM during the early stages of a project can facilitate complex building
performance analyses, especially if it is used during the early design and pre-construction phases [4].
The traditional CAD-based practice often leads to retroactive modification of the design to achieve
building performance requirements [5]. The information required for sustainable design, analyses, and
certification can be readily and routinely made available by using BIM during the early design stages.
There are challenges in both developing a project in compliance with the Green Mark requirements
and assessing the level of sustainability with partial and fragmented data. Project development,
along with the emergence of integrated digital delivery (IDD) within the collaborative environment,
could potentially ease these processes.
In this paper, a cloud-based platform for automated analysis and digital analysis technology,
to be used for Green Mark envelope thermal performance analysis based on a BIM and 3D graphic
environment is proposed. The calculations and data have been validated for accuracy.

2. Literature Review

2.1. Building Information Modeling (BIM)

The concept of BIM originated in the late 1970s with Professor Charles Eastman from Georgia
Tech [6]. Since its development, different definitions have been given by scholars. To date, the
most authoritative and highly recognized by the AEC industry is the National Building Information
Modeling Standard (NBIM) published by the National Institute of Building Sciences (NIBS): “A BIM
is a digital representation of physical and functional characteristics of a facility. As such it serves as a shared
knowledge resource for information about a facility forming a reliable basis for decisions during its lifecycle from
inception onward [7].” From the definition of BIM by NIBS, it can be seen that BIM includes a Building
Information Model, Building Information Modeling and Building Information Management, which
are interrelated but independent, the details are as follows:
• From a static perspective, BIM is a digital model that integrates all information. This model can
be used for virtual simulation and information sharing, that is, a building information model.
• From a dynamic perspective, BIM is a behavioral process that continuously updates, inputs and
extracts information. In this process, the model was gradually perfected to meet the needs of all
stakeholders, namely Building Information Modeling.
• From a management perspective, BIM provides a collaborative working environment,
which integrates work and management processes, facilitates information sharing and connects
stakeholders on the same project throughout the building life cycle. It allows timely identifying
problems, making correct decisions and improving management efficiency, that is, Building
Information Management.
In the above three perspectives of BIM, Building Information Model is the foundation, Building
Information Modeling is the core and Building Information Management is the basic guarantee to
achieve a Building Information Model, which is complementary and indispensable. The reasonable
coupling of the three functions enables BIM technology to have the characteristics of operation
visualization and integration of information completeness, coordination and interoperability, etc. BIM
technology can provide basic support for improving the productivity of the construction industry,
increasing professional communication and reducing resource waste.

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2.2. Green Building Assessment (GBA) Systems

In order to better regulate the development of green buildings and improve the living environment
of human beings, countries around the world have started to develop relevant assessment standards.
The most common green building assessment (GBA) systems worldwide include but are not limited
to Leadership in Energy and Environmental Design (LEED), Building Research Establishment
Environmental Assessment Method (BREEAM), Building Environmental Assessment Method (BEAM)
Plus, Green Star, Green Building Index (GBI) and Green Mark. All these GBA systems provide a
quantitative and comprehensive assessment of the sustainability level of building that is influenced by
energy efficiency, water efficiency, environmental protection, indoor environment quality (IEQ) and
life cycle assessment (LCA) [8]. Table 1 compares the various green building certifications.

Table 1. Comparison of various green building certifications.

Scheme & LEED V4 By BREEAM By BEAM Plus By Green Star By GBI By Green Mark
Developed USGBC BRE HKGBC GBCA PAM/ACEM By BCA

Logo

Reference [9] [10] [11] [12] [13] [14]

Origin & Hong Kong, Singapore,
USA, 1998 UK, 1990 Australia, 2002 Malaysia, 2009
Launch Year 1996 2005
No. of
Countries/
160 77 1 2 1 15
Regions
adopted
Tropical/
Various Climate Various Climate Various Climate Tropical/Subtropical
Application Tropical Climate Subtropical
Condition Condition Condition Climate
Climate
BREEAM
Assessor (BRE
GBCI (Green BEAM Plus TRC GBIAP (GBI BCA Green
Global monitor Green Star
Certified by Business (Technical Review Accreditation Mark
the assessment Certified Assessor
Certification Inc.) Committee) Panel) Department
quality process of
the assessor)
The design
analysis must
Building cover peripheral OTTV ≤ 50,
envelope microclimate RTTV ≤ 25. Energy
Building
opaque: roofs, conditions, Submit Efficiency
Envelope Envelope:
walls, floors, building form, Credit considered calculations (1-1:
Thermal Overall Thermal
slabs, doors, etc. layout, building in energy using the BEIT Thermal
Performance Transfer Value
Building envelope, and modeling software or Performance
Requirement (OTTV)
envelope thermal mass, as other GBI of Building
calculation
glazing: vertical well as approved Envelope)
fenestration daylighting and software(s)
ventilation
strategies.

It can be observed from Table 1 that most green building assessments have clear requirements on
the thermal building envelope.

BCA Green Mark Scheme

The BCA’s Green Mark scheme, launched in 2005, is an internationally recognized green building
rating system for tropical climates. Green Mark provides a meaningful differentiation and stratification
of buildings, in terms of how green and sustainable they are, in the real estate market with a
benchmarking scheme, which incorporates internationally recognized best practices in environmental
design and performance [15]. It encompasses a range of assessment standards for different types of
buildings, which covers new buildings, existing buildings, user-centric spaces (office interior, retail,
supermarket) and beyond buildings (districts, parks and infrastructure).

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Green Mark for Non-Residential Building (NRB 2015) was launched in 2016. The NRB 2015
includes significant amendments to the previous rating system. For example, Envelope Thermal
Transfer Value (ETTV) had been tightened for all Non-Residential projects, with 45 W/m2 being set as
the new baseline instead of the previous 50 W/m2 .

2.3. Building Envelope Thermal Performance

The building envelope is composed of walls, roofs, windows, shading devices and thermal
insulation materials, which greatly affects the indoor environment quality in terms of daylight,
the energy consumption of HVAC systems and thermal comfort [16]. Existing studies [17–20] have
proved that the building envelope has an extremely important influence on thermal performance and is
one of the critical factors in obtaining green building certifications. Bressch and Janssens [17] applied a
standardized regression coefficient (SRC) to identify the factors that had the greatest impact on thermal
comfort on the south side of a typical Belgian office building. They observed that air tightness and
heat gains were the two most important variables. Natephra et al. [19] proposed a method (integrating
time-stamped 3D thermal data in the BIM) to collect environmental and thermal data and to integrate
them with BIM to be used for various applications. Furthermore, Natephra et al. [20] presented
the integration of BIM and visual scripting to automatically extract thermal properties from BIM to
computing thermal transfer value.

Envelope Thermal Transfer Value (ETTV)

Since 1979, the Building Control Regulation of Singapore had stipulated that the overall thermal
transfer value (OTTV) of air-conditioned buildings shall not be more than 45 W/m2 of the design
value. In 2004, OTTV was replaced by the Envelope Thermal Transfer Value (ETTV) because the OTTV
formula tended to underestimate the solar radiation gain component through the fenestration system
and did not fully account for the full extent of heat gain through the building envelope [21].
The ETTV is a prerequisite or mandatory requirement for BCA Green Mark Non-Residential
Building, which means that project stakeholders have to meet minimum requirements in order to
qualify for Green Mark certification.
The ETTV is similar to OTTV in that it considers the three basic components of heat gain through
the external walls and windows of a building [21]. These three components are:

• Heat conduction through opaque walls;

• Heat conduction through glass windows;
• Solar radiation through glass windows.

The benchmarking of ETTV enforces the optimizing of the design of the building envelop to reduce
external heat gain and hence reduce the cooling load for the air-conditioned building [22]. The ETTV
concept was extended to cover residential buildings in 2008. As air conditioners in residential buildings
are usually turned on in the night, the envelope thermal performance standard for residential buildings
is given the name Residential Envelope Transmittance Value (RETV) to differentiate it from ETTV,
which is meant for buildings that operate air conditioning systems during or throughout the day [21].
The ETTV formula is as follows:

ETTV = 12 (1 − WWR) Uw + 3.4(WWR)Uf + 211(WWR)(CF)(SC) (1)

where ETTV: envelope thermal transfer value (W/m2 ); WWR: window to wall ratio (fenestration
area/gross area of exterior wall); Uw : thermal transmittance of opaque wall (W/m2 K); Uf : thermal
transmittance of fenestration (W/m2 K); CF: correction factor for solar heat gain through fenestration;
SC: shading coefficients of fenestration.
Chua et al. [23] studied the diverse building parameters that affect the energy performance of
commercial buildings in Singapore and found that there are two key indexes to measure building

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energy performance, namely, envelope thermal transfer value (ETTV) and the annual cooling energy
requirements. The authors then performed a relative ranking of the ETTV functional parameters to
evaluate their effectiveness in lowering the ETTV of a building. These parameters are the shading
coefficient, window-to-wall ratio, the U-values of the wall and windows, and the absorptance of the
opaque wall.
A case study to identify the relationship between Singapore’s Green Mark Scheme (GMS) and the
Buildable Design and Appraisal System (BDAS)’s requirements for building envelopes was conducted
by Singhaputtangkul et al. [24]. Singhaputtangkul et al. [24] discovered that the lengths of windows
and walls and the associated materials influence the Green Mark (GM) score of the building envelope
and the buildability score of the wall system. In addition, they further concluded that varying the
window-to-wall (WWR) ratio has a stronger effect on the GM score, in terms of the building envelope
in comparison with the buildability score of the wall system. To illustrate more detail, WWR shows a
negative relationship with the GM score of the building envelope as when WWR increases from 0.151
to 0.510, the GM score of the building envelope decreases from 15 points to 0 points [24].

2.4. BIM for Green Building Assessment

Existing studies [8,25–27] have demonstrated that BIM supported the green building assessment.
Lu et al. [8] summarized that BIM could support the green building assessment in three aspects. (1) BIM
assists stakeholders in choosing effective strategies to achieve a green building, (2) BIM interprets the
credits of GBAs, and (3) BIM facilitates documentation management. Ansah et al. [26] conducted an
in-depth review of the bibliographic related to BIM for various Green Building Assessments, including
LEED, BREEAM, BEAM Plus, Green Mark and GBI and highlighted that cloud-based BIM and GBAS
will be the future direction. BIM could assist in automating the Green Mark process, and it was
observed that 31 Green Mark items could be attained through BIM software and building performance
analysis (BPA) tools [25]. Moakher et al. [27] provided an overview of how purpose-built BIM solutions
and integrated analysis tools can help to assess building performance, prioritize investments and
evaluate proposals to reduce operational costs, conserve energy, reduce water consumption and
improve building air quality, helping to meet sustainability and energy-efficiency goals.

BIM for Envelope Thermal Performance

BIM is able to capture project information and generate documents and the advent of BIM
technology, particularly anecdotal evidence of its widespread use in green building projects, has led
professionals and researchers to envision the integration of the BIM and green building certification
processes. In particular, the application of BIM in envelope thermal performance measurement has
attracted attention, such as project Helios [28], Integrated Environmental Solutions Virtual Environment
(IES VE) Green Mark Navigator [29], ETTV Assessment through BIM and VPL [22] and a BIM-based
OTTV Calculation [20].
Project Helios aimed to develop an add-on application that utilizes the parameters captured within
the digital building model created by Autodesk Revit [28]. Although the concept looked promising
for ETTV calculation from Autodesk Revit, there seems to be little to no information available on this
project after its inception in the year 2009. In addition, the project stakeholders must have a Revit
license, which is an additional cost.
A BIM-based building performance analysis (BPA) software was developed by IES VE to calculate
ETTV/RTTV by using a solar tracking technique to help the calculation of shading effect from structures
with more complex geometry. IES VE aims to provide a step-by-step guide to assess performance
elements of the Green Mark scoring system [29]. Envelope thermal performance simulation can be
evaluated by importing the extracted information from BIM models with the defined data exchange
schema, such as IFC and the gbXML schema [22]. However, Moon et al. [30] pointed out that there
are varying levels of interoperability between existing BIM-based BPA software and BIM authoring
software, and additional effort and modification to BIM model are ineluctable when transferring

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information from BIM to BIM-based BPA software. Furthermore, Chen et al. [31] summarized
the interoperability issue from BIM to mainstream BPA software into the following six categories:
building geometry, space composition, building construction, internal loads, operation schedules and
HVAC systems.
Recently, researchers from Universiti Teknologi Malaysia developed a BIM-VPL based tool for
building envelope design and assessment support. The research demonstrated the importance and
potential of BIM and VPL integration for ETTV assessment, and how it is an important step to automate
ETTV calculation [22]. However, the study required additional data extraction and management
and had limitations. For instance, curtain walls or tilt walls could not be handled, and the effective
shading coefficient of external shading devices (SC2) were not taken into consideration. Furthermore,
the author suggested developing a plug-in or application programming interface (API) for Revit to
measure thermal envelope performance.
Recently, Natephra et al. [20] presented a BIM approach integrating with scripting to automatically
extract thermal parameters from a database and provide an instant OTTV calculation.

3. Research Gaps
According to Inhabit Group [32], “ETTV compliance presents design challenges for architects, builders
and suppliers in Singapore’s building and construction market. Recently introduced benchmarks mean that ETTV
has to be considered more closely when undertaking any design decisions that influence the façade outcome”.
It is well known that generating an envelope thermal performance calculation report is a
cumbersome and time-consuming process for project stakeholders. The current manual calculation
method is time-consuming, and human error can occur throughout the completion of the calculation
process [20]. In addition, the current envelope thermal calculation method does not consider some of
the contributions by non-conventional shading devices, shading of opaque construction, and shading
from surrounding buildings [29]. There is an information delay if the architect initiates a change, such
as changing the glazing size and U values. Figure 1 illustrates the current process to calculate the ETTV.

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Figure 1. Traditional Envelope Thermal Transfer Value (ETTV) calculation process.

4. Proposed Green Mark Collaboration Environment

The proposed methodology comprises several main steps, as shown in Figure 2. The proposed
method starts by creating a design model in BIM authoring tools. In order to streamline the process in
computing the ETTV/RETV, the design BIM model in native format follows certain detailed modeling
rules, which are provided in Section 4.1. The geometric and semantic information in the design BIM
model is then extracted and converted into energy models (in IFC 2 × 3 format) using a customized
program embedded in BIM software. As most of the designers are not able to assign the thermal
properties to a BIM model during the early design stage, a common construction material library with
all the necessary thermal properties of building materials is provided to enable designers to specify
the material property for ETTV/RETV calculation at the early stage. Next, a conventional method is
leveraged and integrated with the semantic model to facilitate ETTV/RETV calculation. In addition, a
performance-based ETTV/RETV calculation method is also proposed in Section 4.3. The fourth step is
to compute ETTV/RETV. The fifth step is to evaluate the ETTV/RETV result. If the results fail to comply,
then the Green Mark Collaboration Environment provides functions to change the new material with
better thermal properties. It is worth mentioning that the solar data are taken from Table C8–C11 from
code on Envelope Thermal Performance for Buildings [33]. The solar data from Table C8–C11 has been
built into the proposed platform to facilitate the building envelope thermal performance computation.

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Figure 2. Proposed workflow for Building Information Model (BIM)-based ETTV computation.

4.1. Modeling Requirements and Core Information for ETTV/RETV Computation

Most parameters needed for the envelope thermal performance analysis can be obtained in the
BIM model. The modeling requirements for thermal envelope performance calculation in the BIM
model are listed in Table 2.

Table 2. Core information for thermal envelope performance calculation.

Element Modeling Requirements Core Information

Ensure that overall partition thickness, including Build Type
finishes, is correct as per design intent. Material
Wall Model the walls individually for each story/level. Thickness
Terminate height of wall at soffit of beam and slab, or Area
to exact intended design height. Volume
Define the window “TYPE” clearly.
Ensure that locations and counts are correct per type.
Build Type
Do not over-model.
Material
Window Ensure that overall window size is correct. Window
Thickness
details may refer to 2D typical details.
Area
Window to be coordinated with structural openings
if it is in the structural wall.
Define the door type clearly.
Dimensions
Door Ensure that locations and counts are correct per type.
Location
Location shall be from room or to room.
If the column is a structural column with an
architectural cladding, model the cladding finish as Dimension
Column the wall. Area
Model the structural column individually for each Volume
storey.
Model the beams from and to the center of the Dimension
Beam column For CIP structures, join beams to slabs (clear Area
the connections). Volume
Model the structural floors at SFL to be coordinated
Thickness
Slab with Architectural FFL.
Grade
Model slabs as individual elements from beams.

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Table 2. Cont.

Element Modeling Requirements Core Information

For flat roofs, only the roof finish, i.e., screed must be
modeled in the architectural model.
The roof slab must be modeled in the structural Thickness
Roof
model. Area
Ensure both finish and slab are aligned and not
overlapping.

If the core information in the information table above is not completed in the original BIM model,
the missing information can be patched to the semantic model.

4.2. Features of Green Mark Collaboration Environment

4.2.1. Auto Building Orientation

Project Orientation from the BIM Authoring Tool will automatically be captured when the model
is imported to the Green Mark Collaboration Environment. However, the orientation amendment
can be easily done in the Green Mark Collaboration Environment, and everything will be followed
accordingly, including the calculated results.

4.2.2. Multi-Element Selection

The Green Mark Collaboration Environment is capable of selecting model elements with the same
properties and applying the green data to it. Figure 3 shows the selecting and assigning parameters
for the elements with the same properties. This would largely reduce the time and procedures of
preparing the model for calculation.

Figure 3. Selecting and assigning parameters for the elements with the same properties.

4.2.3. Model Element-Equation Mapping

Model elements, such as windows, walls, beams, columns and others necessary for thermal
performance calculation, can be mapped to the Green Mark Collaboration Environment. Manufacturer’s
data, such as glassing information in Microsoft format or PDF, can also append to the element type.
Stakeholders can retrieve the data of the elements whenever verification is needed. As shown in
Figure 4, elements with the same thermal properties will have their own assigned color code as per the
Green Mark Submission Requirement once it has been mapped with the green building data.

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Figure 4. Model elements are mapped with the equation.

4.2.4. Report Generation

The Proposed Green Mark Collaboration Environment has a built-in report template. The template
will capture all calculated data while restoring its linkage to the building model elements. This will
help in assessing the Green Mark information of the project. Any changes made in the model will be
automatically reflected in the reports.

4.2.5. Green Mark Collaborative Working Environment

The Green Mark Collaborative environment is to bridge the gaps caused by isolated and fragmented
Green Mark data generated by different stakeholders. It comprises several modules and each module
focused on a particular requirement specified in Green Mark for Non-Residential Buildings (NRB)
2015. The ETTV/RETV is the first module embedded into the proposed Green Mark Collaboration
Environment. Future research will look into other modules in the Green Mark assessment, such as
Concrete Usage Index (CUI), Lighting efficiency and Computational Fluid Dynamic (CFD).
The proposed Green Mark Collaboration Environment was capable of efficiently managing the
semantic model(s) and hosting the Green Mark project data and documentation generated, updated
and consolidated along with the GM project delivery. Semantic model-based communication and
collaboration allows architects, Green Mark Consultants, contractors and other parties, or even Green
Mark Assessors, to view reports of real-time information. Its emphasis is on streamlining the automated
GM documentation generation, managing GM submission, monitoring the GM score and tracking the
GM project status. Figure 5 illustrates the framework of the collaborative working environment.

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Figure 5. Framework of a collaborative working environment.

To sum up, the collaborative working environment provides various benefits for stakeholders:
(1) The collaborative working environment allows remote real-time access and concurrent ETTV
analyzing; and (2) integrated GM data acquisition, processing, and management along the project
lifecycle with enhanced collaboration among all the stakeholders.

4.3. Performance-Based Method—Proposed Digital Analysis Method for Arbitrarily Shaped Shading Device
The window shading analysis can be very difficult for arbitrarily shaped shading devices.
To simplify the analysis process, the tabular reference and analysis sample for the most often used
shading device shapes have been provided in the Code on Envelope Thermal Performance for
Buildings [33]. However, nowadays, more and more modern buildings have been designed with
special shapes and render the simplified analysis process inadequate for envelope thermal transmittance
analysis. Therefore, an effective digital analysis technology for envelope thermal transmittance analysis
of windows with arbitrarily shaped shading devices is necessary.
This paper hereby proposes a numerical analysis method to analyze envelope thermal
transmittance with arbitrarily shaped shading device windows.
Assume the position of the sun can be specified by the angles illustrated in Figure 6, which is
adapted from [21,33].

Figure 6. Solar geometry.

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By using the finite element approach, the window can be divided into smaller grids. Each small
grid will be represented by its central point, as shown in Figure 7.

Figure 7. Finite element approach.

A solar ray R(t) with origin O and normalized direction D can be defined as:

R(t) = O + tD. (2)

Assume the shading device of a window is divided into triangle elements, which is always needed
for computer graphical display, as shown in Figure 8.

Figure 8. Finite element approach.

Each individual triangle element can be expressed, as illustrated in Figure 9.

Using this approach, the three joints of a triangle element (A, B, C) can also be expressed as vectors
V(a), V(b), V(c). By introducing the local parameters (u, v) as shown in Figure 9, any point P within the
triangle element can be expressed as:

P(u, v) = (1 − u − v) V(a) + uV(c) + vV(b) (u ≥ 0, v ≥ 0, u + v ≤ 1). (3)

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Figure 9. Individual triangle element.

A solar ray in a window point to each individual triangle element can be calculated to determine
its intersection, as shown in Figure 10.

Figure 10. A solar ray in a window.

Computing the intersection between the individual triangle element and solar ray is done by
using following equation:

O + tD = (1 − u − v) V(a) + uV(c) + vV(b) (4)

As shown in Figure 7, the window has been divided into several small triangle elements, and the
center of each element can be defined as the solar point. Therefore, by referring to each solar point and
the shading plan, the above equation can be solved. Inferably, it means that if there is a solution, the
solar ray has been shaded; if there is no solution, there is no shading of the solar ray.
To check the results, a cloud-based platform has been developed to provide a 3D view of solar ray
shading effects. The user graphic interface is shown in Figure 11a,b. By using the platform, any shape
of shading devices and any direction of the solar ray can be calculated and viewed.

(a) (b)
Figure 11. Three-dimensional view of solar ray shading effects.

4.4. Analysis of Shading Coefficient

In the ETTV formula as described above, the solar factor has been derived from the annual average
of solar radiation transmitted through a 3 mm clear glass window. For other systems of fenestration,
the rate of solar heat gain is modified by the shading coefficient of the fenestration system, which is

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defined as the ratio of solar heat gain through the fenestration system having a combination of glazing
and shading device to the solar heat gain through an unshaded 3 mm clear glass. This ratio is a unique
characteristic of each type of fenestration system and is represented by the equation:

Solar heat gain o f any glass and any shading combination

SC = (5)
Solar heat gain through a 3 mm unshaded clear glass

In general, the shading coefficient of any fenestration system can be obtained by multiplying the
shading coefficient of the glass (or effective shading coefficient of glass with solar control film where a
solar control film is used on the glass) and the shading coefficient of the sun-shading devices as follows:

SC = SC1 × SC2 (6)

where SC: shading coefficient of the fenestration system; SC1: shading coefficient of glass or effective
shading coefficient of glass with solar control film where a solar control film is used on the glass; SC2:
effective shading coefficient of external shading devices.
Therefore, the key part of the analysis is to determine the SC2 parameter. A sample model
with different types of windows and shading devices is selected for the digital analysis, as shown in
Figure 12.

Figure 12. Example model.

A typical shading plate, as shown in Figure 13, is selected for analysis and comparison. The
orientation of the window is facing the north-east direction. The SC2 value calculated by using the
table from the Singapore Green Mark Standard is 0.6345.
However, the SC2 value calculated by the proposed digital analysis method is 0.7308, which is
larger than the calculation from the BCA Table, as shown in Figure 14. There is a gap of 0.0962.
The study found that the bulk of the variance was due to the assumption of the shading plate
extended along the long axial direction when creating the BCA table.

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Figure 13. SC2 calculation by using the ETTV Guide table.

Figure 14. SC2 calculation by using the proposed digital method.

When the length of the shading plate was altered (as shown in Figure 15) and stretched long
enough to shade all the solar rays on both sides of the shading plate, the two values converged.

Figure 15. Shading plate with a longer length.

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In this case, the calculated result for the SC2 value turned out to be 0.6356, as shown in Figure 16,
which is very close to the result of 0.6345 obtained by the BCA table.

Figure 16. SC2 calculation by using the proposed method.

The comparison of the SC2 parameter calculated from the Green Mark Guide table and proposed
analysis method is provided. The parameters used in our analysis are displayed in Figure 17, which is
adapted from [21,33].

Figure 17. SC2 calculation by using the proposed method.

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In the following analysis process, the window width is 1 m, window length A = 1 m, shading
plate width p = 0.1 m, and the shading plate thickness is 0.01 mm (we set the thickness as almost zero
to reduce the effect of the shading plate thickness).
The analysis results of the SC2 parameter compared with the ETTV Guide table for the case
of Φ = 0 and Φ = 20 are provided in Figure 18. From the analysis results, it is concluded that the
calculated results by using the Green Mark Guide table will lead the SC2 value to be smaller than the
actual value since it assumes that the length of the shading device is infinitely extended.

Figure 18. SC2 comparison calculation by using the proposed digital method and the traditional method.

As an example, a digital analysis technology is used to calculate a mesh-shaped shading

device, as shown in Figure 19. The proposed numerical method should be adopted for this kind of
shading shape.

(a) With gap (b) Without gap

Figure 19. Mesh-shaped shading device.

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The orientation of the window facing is in the east direction. The calculated SC2 value with the
gap of 10.59 mm between the window and shading device is 0.5935. If the gap between the window
and shading device is removed, the calculated SC2 value becomes 0.6002 (as shown in Figure 20),
which means more space in the window will be shaded when the gap is removed.

Figure 20. SC2 calculation by using the proposed digital method.

5. Validation
The following three validation studies (as shown in Figure 21)with analysis and results are
provided to test the accuracy of the envelope thermal performance calculations. The results were
obtained using a BIM model and calculation using the proposed analysis method. In the proposed
analysis method, the shading areas of sun shading devices are obtained by using proposed digital
analysis technology, which is embedded in the Green Mark Collaboration Environment.

Figure 21. Models for validation.

5.1. Case 1: Twenty-Five-Story Office Building

An example from the ETTV Guide for a 25-storey office building is calculated. The analysis results
are compared in Table 3.

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Table 3. Case 1 comparison.

Method N E S W
ETTV Guide 41.6 52.1 44.7 55.6
Proposed 41.6 52.1 44.69 55.58
Differ 0 0 0.01 0.02

5.2. Case 2: Twelve-Storey Residential Building

An example of the Residential Envelope Transmittance Value for a 12-storey residential building
is calculated. The analysis results are compared in Table 4.

Table 4. Case 2 comparison.

Method N N-E E S-E S S-W W N-W

ETTV Guide 18.048 34.075 17.143 34.368 18.69 36.419 17.619 35.54
Proposed 18.45 33.97 17.17 34.26 18.76 36.31 17.66 35.43
Differ 0.402 0.105 0.027 0.108 0.07 0.109 0.041 0.11

5.3. Case 3: TwoStorey Residential Building

An example of a Residential Envelope Transmittance Value for a two-storey residential building
has been calculated. The RETV of this building has been calculated via spreadsheet tools. The results
obtained by both Excel tools and the proposed method are compared in Table 5.

Table 5. Case 3 comparison.

Method N E S W
Excel 22.24 10.35 22.85 10.48
Proposed 23.18 10.37 23.80 10.48
Differ 0.94 0.02 0.95 0.0

Based on the three cases above, the tolerance between the proposed method and manual calculation
is about 0% to 4.05%.

6. Research Novelty
This research provides a thermal envelope performance engine based on a BIM cloud platform-
Green Mark Collaboration Environment. Thermal data of the façade can be automatically extracted
from the BIM model or manually assigned if the thermal data is not available in the BIM model. Solar
data and calculation formulas have been embedded in the proposed platform to facilitate calculating the
building envelope thermal performance in a more productive and convenient manner. The contribution
of this research is elaborated as follows:

• The thermal envelope performance analysis and calculation engine not only includes the function
of computing through a traditional way but also provides the function of direct analysis and
a calculation engine to address the complex situation (arbitrarily shaped shading devices),
which is not covered in the ETTV guideline [21], as explained in Section 4.3, which provides a
simplified building envelope thermal performance calculation procedure through interlinking
formulas/equations with the building elements. The thermal information in the model can be
easily tracked by stakeholders.
• The consolidation of information from stakeholders could be eliminated because the information
is progressively collected by the proposed Green Mark Collaboration Environment during the
development of the green building project. Errors from the manual procedure could be avoided.

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• The proposed Green Mark Collaboration Environment marks the abandonment of the outdated
and tedious extraction and collection of the information needed for building envelope thermal
performance by providing a new and rapid approach for harnessing readily available information
in the BIM model.
• Dynamic information and fast decision-making: Stakeholders would be able to envision the
green impact of design changes through involvement via Green Mark Collaboration Environment
during the design stage. This would enable stakeholders to make quick decisions with regard to
the project.

7. Future Research
It is worth mentioning that ETTV only takes into consideration the heat gain through external
walls and windows of a building. Basically, it is a metric to measure the solar gain through the
building envelope and does not directly link to energy efficiency. ETTV is more like a passive
strategy to minimize the solar gain, whereas the actual energy efficiency in buildings is impacted
by the performance of the HVAC system, operating strategies (e.g., cooling/heating set point) and
energy-related occupant behaviors, which have large variations in reality [34].
This study only focuses on the proposed Green Mark Collaboration Environment, the proposed
performance-based method for arbitrarily shaped shading devices and the validation of its accuracy.
The relationship between ETTV and energy efficiency will be the future research direction that
requires attention from scholars. Moreover, the research will also progressively develop other
modules, such as the Concrete Usage Index (CUI) Calculator, Lighting Calculator and other modules
to automate the Green Mark process and embed all the modules into the proposed Green Mark
Collaboration Environment.

8. Conclusions
This study compared various BIM-based building envelope thermal performance software. Based
on an initial comparative analysis, the study identified that there is an onerous amount of effort
required by the users while exporting the building performance BIM model to the BPA software.
Furthermore, the findings of this research also indicate that the current methods of calculating ETTV
through spreadsheets are tedious and error-prone, which is quite cumbersome if there are any future
changes raised by project stakeholders. In addition, the current methods of calculating ETTV is
dependent upon the ETTV guidelines, which do not cater to complex and irregular shading devices.
To address these various issues, this research proposed the development of a BIM-based platform to
digitalize the ETTV calculation. This platform is an improvement over current methods, which require
the import and export of a BIM model. At the same time, the platform also facilitates parametric
capabilities that promotes change management, which means that any changes in the BIM model by
the project stakeholders will directly update the ETTV.
Furthermore, the platform developed through this research is a cloud-based platform, which acts
as a common data environment (CDE) for the Green Mark scheme. This allows various project
stakeholders to access the Green Mark data simultaneously in a federated manner so that the relevant
information can be shared, validated and allows project stakeholders to keep track of the GM data
generated throughout the project lifecycle. The platform also allows the relevant documentation to be
hyperlinked with the BIM model, which can finally be produced in the form of a report for regulatory
approval purposes. The research validated that the use of this platform will enable productivity
improvement as far as the ETTV calculation is concerned.

Author Contributions: Conceptualization, Z.L. and V.J., L.G.; methodology, Z.L.; software, Z.L.; validation, Z.L.,
Q.W. and V.J., L.G.; writing—original draft preparation, Z.L.; writing—review and editing, Z.L., Q.W. and V.J., L.G.;
supervision, L.P., Q.W. and V.J., L.G. All authors have read and agreed to the published version of the manuscript.
Funding: The research project was funded by the Building and Construction Authority (BCA) of Singapore under
an Innovation Grant (iGrant) with reference number BCA RID 94.15.2.39.

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Acknowledgments: The development was conducted at ITI Hub Pte. Ltd. (ITI) and United Project Consultant Pte.
Ltd. (UPC). Special thanks go to Sun Keming (ITI), Er. Tang Kian Cheong (UPC), and Felix Batad (UPC). The authors
would also like to express their gratitude towards Tan Kee Wee, Programme Director, Digitalization Department,
Built Environment Research and Innovation Institute (BERII), Building and Construction Authority (BCA).
Conflicts of Interest: The authors declare no conflict of interest.
Disclaimer: The opinions and recommendations expressed in this paper are the authors’ personal opinions and
do not necessarily represent the official position of any organization. This paper does not endorse any software in
any capacity.

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