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SUSTAINABLE DESIGN THROUGH PROCESS
INTEGRATION
 SUSTAINABLE
DESIGN THROUGH
PROCESS
INTEGRATION
Fundamentals and Applications
to Industrial Pollution Prevention,
Resource Conservation, and
Profitability Enhancement
SECOND EDITION

DR. MAHMOUD M. EL-HALWAGI

Texas A&M University, College Station, TX, United States
Elsevier
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 Dedication

To my parents, my wife, and my sons with love and gratitude.

 Preface

One of the most important challenges facing determine practically achievable benchmarks. This
humanity is the need for a sustainable development framework is referred to as process integration and is
that accommodates the escalating demands for natural defined as a holistic approach to design and operation that
resources while leaving future generations with the emphasizes the unity of the process. Process integration
opportunities to realize their potential. This challenge can be used to systematically enhance and reconcile
is especially important for the chemical process indus- various process objectives, such as cost effectiveness,
tries that are characterized by the enormous usage of yield enhancement, energy efficiency, and pollution
natural resources. To effectively address this challenge, prevention. Many archival papers have been published
it is inevitable for industry to embrace the concept of on different aspects of process integration. Because of
sustainable design, which may be thought of as the the specialized nature of these papers, readership has
design activities that lead to economic growth, envi- been mostly confined to academic researchers in the
ronmental protection, and social progress for the cur- field. On the other hand, many industrial projects have
rent generation without compromising the potential been successfully implemented on specific aspects of
for future generations to have an ecosystem that meets process integration. Because of the confidential nature
their needs. Consequently, a growing number of of most of these projects, details have not been widely
industries are launching sustainable-design initiatives available in the public domain. This book was moti-
that are geared towards enhancing the corporate stew- vated by the need to reach out to a much wider base
ardship of the environment. Although these initiatives of readers who are interested in systematically devel-
are typically clear in their strategic goals, they are very oping sustainable designs through process integration.
difficult for technical managers and process engineers The book is appropriate for a senior-level undergradu-
to transform into viable actions. A sustainable design ate or a first-year graduate course on process design,
should endeavor to conserve natural resources (mass sustainability, or process synthesis and integration. It
and energy), recycle and reuse materials, prevent pol- is also tailored to serve as a self-study textbook for
lution, enhance yield, improve quality, advance inher- process engineers and technical managers involved in
ent safety, and increase profitability. The question is process innovation, development, design, and
how to achieve and reconcile these objectives? improvement, pollution prevention, and energy con-
Processing facilities are complex systems of unit opera- servation. A key feature of the book is the emphasis on
tions and streams. Designing these facilities or improv- adopting a “big-picture” approach to benchmarking
ing their performance typically entails the screening of the performance of a process or subprocess then
numerous alternatives. Because of the enormous num- methodically detailing the steps needed to attain these
ber of design alternatives, laborious conventional engi- performance targets in a cost-effective manner.
neering approaches that are based on generating and The approach of this book is to first explain the
testing case studies are unlikely to provide effective problem statement and scope of applications, followed
work processes or reach optimal solutions. Indeed, by the generic concepts, procedures, and tools that can
what is needed is a systematic framework and associ- be used to solved the problem. Next, case studies and
ated concepts and tools that methodically guide the numerical examples are given to demonstrate the
designer to the global insights of the process, identify applicability of the tools and procedures. Chapter 1,
root causes of the problems or key areas of opportu- Introduction to Sustainability, Sustainable Design, and
nities, benchmark the performance of the process, and Process Integration, introduces the key concepts of sus-
develop a set of design recommendations that can tainability, sustainable design, and process integration.
attain the true potential of the process. Motivating examples are given on the development
Over the past three decades, significant advances and integration of sustainable-design alternatives. The
have been made in treating chemical processes as inte- chapter also describes the learning outcomes of the
grated systems and developing systematic tools to books. Chapter 2, Overview of Process Economics,

xi
xii PREFACE

provides a detailed coverage of process economics to Dr. Dennis Spriggs (President of Matrix Process
including cost types and estimation, depreciation, Integration) who has mentored me during numerous
break-even analysis, time value of money, and profit- industrial projects and has consistently shown the
ability analysis. Applications involve a broad range of power of the “science of the big picture” in tackling
conventional and contemporary problems in the pro- complex industrial challenges in a smooth and insight-
cess industries. Because of the extensive nature of the ful manner. I am also thankful to the academic part-
chapter, it can be used in senior-level process design ners with whom I had the honor of collaborating.
and economics courses. Chapter 3, Benchmarking Specifically, I would like to thank the following profes-
Process Performance Through Overall Mass Targeting, sors and their students: Drs. Faissal Abdel-Hady (King
introduces the concept of overall benchmarking (tar- Abulaziz University), Ahmed Abdel-Wahab (Texas
geting) and focuses on the identification of perfor- A&M University-Qatar), Mert Atilhan (Qatar
mance targets for the consumption of fresh materials, University), Hisham Bamufleh (King Abdulaziz
the discharge of waste materials, the production of University), Maria Barrufet (Texas A&M University),
maximum yield, and the integration of multiple pro- Carlos Cardona (Universidad Nacional de Colombia
cesses into an eco-industrial park. Chapters 4 10 pres- sede Manizales), Cliff Davidson (Syracuse University),
ent graphical and algebraic techniques (pinch Mario Eden (Auburn University), Thomas Edgar
diagrams and cascade tools) for the targeting of direct- (University of Texas, Austin), Nimir Elbashir (Texas
recycle systems, mass-exchange networks, overall pro- A&M University-Qatar), Amro El-Baz (Zagazig
cesses, heat-exchange networks, combined heat and University), Fadwa Eljack (Qatar University), Xiao
power systems, heat-induced separation networks, and Feng (China University of Petroleum), Dominic C. Y.
property integration. Chapter 11, Overview of Foo (University of Nottingham, Malaysia Campus),
Optimization, covers the basic approaches to the for- David Glasser (University of South Africa), Diane
mulation of optimization problems as mathematical Hildebrandt (University of South Africa), Mark
programs and the different types of formulations. Holtzapple (Texas A&M University), Yinlun Huang
Examples are given on transforming tasks and con- (Wayne Station University), Arturo Jiménez-Gutiérrez
cepts into optimization formulations. Also, the use of (Instituto Tecnológico de Celaya), Viatcheslav Kafarov
software LINGO is described. Chapters 12 17 are (Universidad Industrial de Santander), Nick Kazantzis
devoted to the solution of sustainable-design problems (Worcester Polytechnic Institute), B. J. Kim (Soongsil
through optimization. Several classes of problems are University), Patrick Linke (Texas A&M University-
addressed including direct-recycle networks, mass- Qatar), Thoko Majozi (University of the
exchange networks, heat-exchange networks, and com- Witwatersrand), Vladimir Mahalec (McMaster
bined heat and reactive mass-exchange networks. University), Sam Mannan (Texas A&M University),
Chapters 18 and 19 address the water energy nexus Pedro Medellı́n Milán (Universidad Autónoma de San
problem with focus on thermal and membrane desali- Luis Potosı́), Fabricio Nápoles-Rivera (Universidad
nation systems. Macroscopic process integration Michoacana de San Nicolás de Hidalgo), Denny Ng
approaches are addressed in Chapter 20, Macroscopic (University of Nottingham, Malaysia Campus), Martı́n
Approaches of Process Integration, with several appli- Picón-Núñez (Universidad de Guanajuato), Karina
cations such as eco-industrial parks, material flow Ojeda Delgado (Universidad de Cartagena), José Marı́a
analysis, environmental impact assessment, life cycle Ponce-Ortega (Universidad Michoacana de San
analysis, and integrated biorefineries. The book culmi- Nicolás de Hidalgo), Eduardo Sánchez Tuirán
nates in Chapter 21, Concluding Thoughts: Launching (Universidad de Cartagena), Abeer Shoaib (Suez Canal
Successful Process-Integration Initiatives and University), Debalina Sengupta (Texas A&M
Applications, which offers a discussion on commercial Engineering Experiment Station Gas and Fuels
applicability of process integration for sustainable Research Center), Paul Stuart (Ecole Polytechnique de
design, track-record and pitfalls in implementing pro- Montréal), Raymond Tan (De La Salle University),
cess integration, and starting and sustaining process Qiang Xu (Lamar University), and Assaad Zoughaib
integration initiatives and projects. (MINES ParisTech). I am also very grateful to all the
Various individuals have positively impacted my research partners with whom I have had the pleasure
path of learning about and contributing to sustainable of collaboration.
design through process integration. I very much I am very grateful to the numerous undergraduate
appreciate the professional associates and leaders of students at Texas A&M University and Auburn
the process systems engineering and the sustainability University as well as attendees of my industrial work-
communities whose contributions have made a para- shops, short courses, and seminars whose invaluable
digm shift in the understanding and tackling of feedback and input were instrumental in developing
sustainable-design problems. I am especially grateful and refining the book.
 PREFACE xiii
I am indebted to my former and current graduate Tora (National Research Center), Ragavan
students. I have learned much from this distinguished Vaidyanathan (Jacobs Engineering), Ting Wang (KBR),
group of scholars, which includes Shaik Afzal, Ashwin Anthony Warren (General Electric Plastics), Hana
Agrawal, Nesreen Ahmed (University of Kentucky), Warren (ioMosaic Corporation), Key Warren (Southern
Fadhil Al-Aboosi, Nasser Al-Azri (Sultan Qaboos Company), Matt Wolf (Honeywell), Andrew Yueh,
University), Ahmad Al-Douri, Hassan Alfadala José Zavala (Universidad de Guanajuato), Chi Zhang,
(Process Technology), Dhabia Almohannadi, Eid Al- and Mingjie Zhu (AtoFina).
Mutairi (King Fahd University of Petroleum and The financial support of my process-integration
Minerals), Abdul-Aziz Almutlaq (King Saud research by various federal, state, industrial, and inter-
University), Abdul-Aziz Alnajjar (Aramco), Sabla national sponsors is gratefully acknowledged. I am
Alnouri (American University-Beirut), Meteab Al- also indebted to Mr. Artie McFerrin for his generous
Otaibi (SABIC), Ali Al-Shehri (Aramco), Saad Al-Sobhi endowment and enthusiastic support, which allowed
(Qatar University), Musaed Al-Thubaiti (Aramco), me to pursue exciting and exploratory research and to
Rekha Asani, Selma Atilhan (Texas A&M University- transfer the findings to the classroom.
Qatar), Hassan Baaqeel, Srinivas “B.K.” Bagepalli, I would like to thank the editing and production
Buping Bao (China Offshore Oil Company), Sumay team at Elsevier especially Ms. Kiruthika Govindaraju,
Bhojwani, Abdullah Bin Mahfouz (Jeddah University), Dr. Kostas Marinakis, Ms. Renata Rodrigues, Ms. Ana
Sumit Bishnu, Eric Bohac, Ian Bowling (Chevron), Claudia Garcia, Ms. Sandhya Narayanan, Ms. Maria
Juliet Campbell, Sufiyan Challiwala, Ming-Hao Chiou Convey, Ms. Fiona Geraghty, and Mr. Mani Prabakaran
(Formosa Plastics), Jinyoung Choi, Benjamin Cormier (MPS Limited) for their excellent work on all phases of
(BP), Eric Crabtree (Enercon Services), Alec Dobson production.
(Solutia), Russell Dunn (Vanderbilt University), Erfika I am very grateful to my mother for being a constant
Edelia, Brent Ellison (Light Ridge Resources), René source of love, inner peace, guidance, and support
Elms (Texas A&M University), Marwa El-Said, throughout my life. I am truly indebted to my father,
Frederico Gabriel (Honeywell), Kerron Gabriel (BASF), the late Dr. Mokhtar El-Halwagi for being my most
Walker Garrison (Valero), Adam Georgeson (Bryan profound mentor and role model, introducing me to
Research and Engineering), Ian Glasgow (International the fascinating world of chemical and environmental
Alliance Group), Murali Gopalakrishnan (SABIC), engineering, and teaching me the most valuable les-
Zehao Gou, Daniel Grooms (Akzo Nobel), Ahmad sons in the profession and in life. I am also grateful to
Hamad (Marathon Oil Company), Natalie Hamad my grandfather, the late Dr. Mohamed El-Halwagi, for
(Total), Dustin Harell (Intel), Rasha Hasaneen (GE), instilling in me a deep love for chemical engineering
Ronnie Hassanen (GE), Ana Carolina Hortua (Dow), and a passion to seek knowledge and to pass it on.
William Hughes, Siddarta Jairam (Ingenium), Serveh I am thankful to my brother, Dr. Baher El-Halwagi, for
Kamrava (University of Wyoming), Vasiliki Kazantzi his constant support and continuous encouragement.
(Technological Educational Institute of Larissa), I owe a great debt of gratitude to my wife, Amal, for
Houssein Kheireddine (DNV), Hiranya Kumar, her unconditional love, unstinting understanding,
Haoyang Li, Eva Lovelady (Mustang Engineering), unending patience, and unlimited support. With her
Rubayat Mahmud (Intel), Tanya Mohan (Air impressive engineering skills, she has always been my
Products), Lay Myint (Shell), Bahy Noureldin first reader and my most constructive critic and with
(Aramco), Mohamed Noureldin (Dow), Madhav her superb human qualities, she has constantly been
Nyapathi (Shell), Ecem Özinan, Warissara my sustained source of love, compassion, comfort, joy,
Panjapakkul, Marc Panu, Gautham “P.G.” wisdom, and inspiration. Finally, I am grateful to my
Parthasarathy (Solutia), Eric Pennaz (Accenture sons, Omar and Ali, for being the sunshine of my life,
Federal Services), Viet Pham (Dow), Grace Pokoo- for their warmth and love, for their impressive
Aikins (University of Maryland Eastern Shore), achievements, and for their genuine care about
Xiaoyun Qin (Shell), Jagdish Rao (Shell), Arwa Rabie humanity, which gives me great hope for a more sus-
(Dow), Eugenio Recio Oviedo, Andrea Richburg (3M), tainable world and a better tomorrow.
Joonjae Ryu, Karagoz Secgin (UCLA), Brandon Shaw
Mahmoud M. El-Halwagi
(Foster Wheeler), Mark Shelley (Hogan Lovells), Chris
College Station, Texas
Soileau (Veritech), Carol Stanley (Energen Resources),
Lakeshia Stewart (Olin), Preetha Thiruvenkataswamy
(DCP Midstream), Pooja Tilak, Kevin Topolski, Eman
 C H A P T E R

1
Introduction to Sustainability, Sustainable
Design, and Process Integration

1.1 INTRODUCTION The foregoing challenges raise the issues of what

constitutes a sustainable improvement of the process
The process industries are manufacturing technolo- and how to methodically and efficiently address these
gies and infrastructures that use chemical and physical challenges. The following sections provide a brief dis-
means to transform feedstocks (raw materials) to cussion on sustainability and the role of process inte-
value-added products. Examples include the chemical, gration as a powerful and effective framework for
petrochemical, energy, pharmaceutical, forestry pro- sustainable design and for addressing the aforemen-
ducts, microelectronics, food, textile, and metal indus- tioned process-engineering challenges.
tries. The process industries have contributed much
to economic growth, social development, and quality-
of-life enhancement. Nonetheless, these industrial pro-
cesses exert some of the most profound impacts on
1.2 WHAT IS SUSTAINABILITY?
the ecosystem because of the significant usage of
natural resources, the environmental discharges associ-
Although there are several definitions of sustain-
ated with the processing, and the ecological effects
ability, the most commonly quoted definition
of the products. The objectives of conserving natural
derives from the definition of sustainable development
resources, preventing pollution, increasing productiv-
in the “Brundtland Report” of the 1987 World
ity, and enhancing profitability are among the top pri-
Commission on Environment and Development
orities of the process industries. Process engineers
(WCED, 1987):“meeting the needs of the present with-
and managers who are routinely charged with tasks of
out compromising the ability of future generations to
achieving these objective face the following primary
meet their own needs.” A group of professionals at the
challenges:
US Environmental Protection Agency proposed the fol-
• How to systematically evolve solutions and lowing definition: “sustainability occurs when we
innovative designs maintain or improve the material and social conditions
• How to efficiently assess and screen process for human health and the environment over time with-
alternatives out exceeding the ecological capabilities that support
• How to navigate through the complexities of them” (Sikdar, 2003). Another definition has been pro-
industrial processes and develop an insightful posed by Mercado and Cabezas (2016): “Sustainability,
understanding of the process, its limitations, and at is core, is an effort to create and maintain a
its opportunities dynamic regime of the Earth under which the human
• How to reconcile the different objectives of the population and its necessary material and energy con-
process (e.g., economic, technical, environmental) sumption can be supported indefinitely by the biologi-
• How to continue process development and cal system of the Earth.” Sustainability is based on
improvement in ways that can be sustained balancing three principal objectives: environmental

Sustainable Design Through Process Integration

DOI: http://dx.doi.org/10.1016/B978-0-12-809823-3.00001-1 1 © 2017 Elsevier Inc. All rights reserved.
2 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

TABLE 1.1 Examples of GWP of Some GHGs over Two Time

Horizons
Society GWP (20-year GWP (100-year
GHG time horizon) time horizon)

Carbon dioxide (CO2) 1 1

Methane (CH4) 56 21
Nitrous oxide (N2O) 280 310
Sustainability
Refrigerant HFC-23 (CHF3) 9100 11,700
Environment Economy

2009a, 2009b; Jiménez-González and Constable, 2011;

FIGURE 1.1 The three primary dimensions of sustainability. Powell, 2010; Uhlman and Saling, 2010) and profes-
sional organizations such as the Institution of Chemical
Engineers (IChemE, 2002) and the American Institute of
Chemical Engineers “AIChE” (e.g., Cobb et al., 2009).
protection, economic growth, and societal equity
One way of categorizing sustainability indicators is to
(Fig. 1.1). These are sometimes referred to as the “triple
classify them based on the economic, environmental,
bottom line: people, planet, and profit” (Elkington,
and social dimensions of sustainability as one-, two-,
1994) to respectively represent the human, natural, and
and three-dimensional metrics (Sikdar, 2003) as
economic capitals.
follows:
A particularly important manifestation of sustain-
able activities in the process industries is sustainable • One-dimensional metrics are based on only one of the
manufacturing. The term sustainable manufacturing economic, environmental, and social dimensions.
highlights the emphasis on sustainability attributes Examples of one-dimensional economic metrics
(e.g., cost effectiveness, environmental friendliness, include capital investment, operating cost, return on
energy and mass efficiency, safety) for the feed- investment, and payback period. Examples of one-
stocks, conversion technologies, and infrastructures, dimensional environmental metrics include toxicity,
and final products, byproducts, and wastes (e.g., biological oxygen demand (BOD) of wastewater,
Sengupta et al., 2017). There is a growing interest chemical oxygen demand (COD) of wastewater,
in sustainability and sustainable manufacturing ozone depletion in the stratosphere, acidification of
because of: the atmosphere and aquatic ecosystems (resulting
from the emission of acidifying chemicals such as
• increasing population, industrialization, and
sulfur and nitrogen oxides), and aquatic
standards of living
eutrophication (which involves excessive growth of
• dwindling natural resources (e.g., fossil fuels) and
biomass, which can be exacerbated by the discharge
increase in the consumptions of the nonrenewable
of mineral nutrients such as nitrogen and
resources
phosphorus compounds into water bodies). Another
• global climatic changes
one-dimensional environmental metric is the global
• risk to biodiversity and ecosystem
warming potential (GWP) introduced by the United
Metrics and indicators are used to assess the sustain- Nations Intergovernmental Panel on Climate
ability performance of a process or a system, to evaluate Change (UN IPCC) (e.g., Houghton et al., 1992,
the progress towards enhancing sustainability, and to 1990). The GWP is intended to account for the
assist decision makers in evaluating alternatives. The impact of emissions of greenhouse gases (GHGs) on
terms metrics and indicators are typically used inter- global warming. Specifically, it is a measure of the
changeably to provide a measure of sustainability. relative radiative effects of the emissions of several
However, a metric usually gives a quantitative charac- GHGs. Each GHG is given a GWP relative to CO2
terization or an index value whereas indicators provide (which is taken as the basis with a GWP being 1).
a narrative description in addition to the quantitative Therefore, the GWP is expressed in units of CO2
characterization (Tanzil and Beloff, 2005) and may equivalent (e.g., tonne CO2 equivalent). Values of
include one or more metrics. There are numerous the GWP for different GHGs are estimated for a
sustainability metrics, indicators, and approaches specific time horizon over which the impact of such
published by researchers (e.g., Sikdar et al., 2017; El- GHGs is tracked and integrated. Examples of the
Halwagi, 2017; Mukherjee et al., 2013; Sikdar, 2011, GWP values are shown in Table 1.1 for two time

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 1.2 WHAT IS SUSTAINABILITY? 3
horizons. The global warming index (GWI) is energy efficiency is the energy intensity index,
defined as follows: which may be defined as:
Net energy used in the process
Energy intensity index 5
X Mass of products
GWI 5 mi
GWPi ð1:1Þ
i
ð1:4Þ
• Environmental discharges: The release of hazardous
where mi is the emitted mass of GHG i.
and toxic pollutants causes harmful (and
• Two-dimensional metrics are based on the sometimes irreversible) effects on the
simultaneous assessment of two out of the three environment. It also has negative economic
sustainability dimensions. This category includes consequences either because of the required
economicenvironmental, socioeconomic, and cost of treatment or because of the financial
socioenvironmental indicators. In this context, liability to the industrial sources of these
a particularly useful philosophy is eco-efficiency, discharges.
proposed by the World Business Council for • Land use: When land is used for an industrial
Sustainable Development (WBCSD, 2000) as: purpose (directly as in the case of installing
“Eco-efficiency is achieved by the delivery of facilities or indirectly as in the case of planting
competitively-priced goods and services that satisfy biomass for the production of biofuels), there are
human needs and bring quality-of-life, while important ecological and societal consequences.
progressively reducing ecological impacts and For instance, substituting one type of a crop for
resource intensity throughout the life-cycle to a another (to provide a feedstock to biorefineries)
level at least in line with the earth s estimated affects the use of water resources, involves the
carrying capacity. In short, it is concerned with use and discharge of different chemicals, changes
creating more value with less impact.” Specific the sequestration of carbon dioxide during
application of eco-efficiency to the process photosynthesis, and impacts the communities
industries involves the assessment and around the farmed areas.
enhancement of metrics associated with the
It is worth noting that metrics such as the mass,
following aspects (Uhlman and Saling, 2010;
water, and energy intensity indices can be used to
Tanzil and Beloff, 2005):
compare different projects and processes. Furthermore,
• Material consumption: The use of feedstocks,
the sustainability impact of process modifications can
water, and material utilities has a major impact
be assessed through the concept of an incremental
on the depletion of nonrenewable resources and
return on sustainability (IROS) (Spriggs et al., 2009).
the discharge of wastes. Inefficient material use
For instance, consider an additional project for a pro-
negatively affects the economic and the
cess to reduce GHG emissions. The project leads to an
environmental dimensions of sustainability.
improvement in the environmental impact but requires
An example of material consumption metric
additional energy consumption. In this case,
is the mass intensity index, which may be
defined as: Change in environmental impact
IROS 5 ð1:5Þ
Mass of raw Mass of Change in net energy usage
2
Mass intensity materials products
5 ð1:2Þ Therefore, for an energy-reduction project to be
index Mass of products acceptable, it must meet a minimum value of the IROS,
In the case of water, the index may be defined which guarantees a basic level of environmental perfor-
as: mance. For instance, a minimum limit may be the best-
in-class (e.g., kg CO2 equivalent emission per kJ).
Mass of fresh water used Another metric for coupling the environmental and
Water intensity index 5
Mass of products economic objectives is the sustainability-weighted
ð1:3Þ return on investment metric (SWROIM), which
assesses the financial and other sustainability factors of
• Energy consumption: Energy is a major driving industrial projects and processes (combined through
force for operating industrial processes. Excessive an “annual sustainability profit term” relative to the
usage of energy leads to economic losses and capital investment (El-Halwagi, 2017):
negative environmental impact (e.g., emission of
GHGs, contribution to ozone depletion, and Annual Sustainability Profit
SWROIM 5 ð1:6Þ
atmospheric acidification). One way of measuring Total Capital Investment

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

4 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

With the growing emphasis on safety and occupa- Again, the question is how to methodically and effec-
tional health as essential components of sustainable tively achieve the objectives of a sustainable design. The
industrial processes, various metrics have been pro- answer is “process integration!”
posed to assess and incorporate safety and health A chemical process is an integrated system of inter-
hazards to aid in the creation of inherently safer connected units and streams. Proper understanding
designs (e.g., Roy et al., 2016; Hassim, 2016). and solution of process problems should not be limited
to symptoms of the problems but should identify the
• Three-dimensional metrics assess sustainability by
root causes of these problems by treating the process
integrating the economic, environmental, and social
as a whole. Furthermore, effective improvement and
aspects.
synthesis of the process must account for this inte-
The foregoing discussion highlights the
grated nature. Therefore, integration of process
importance of enhancing productivity, conserving
resources is a critical element in designing and operat-
resources and abating pollution (“getting more for
ing cost-effective and sustainable processes. Process
less”) in the process industries and describes several
integration “is a holistic approach to process design, retrofit-
methods for assessing the sustainability of various
ting, and operation that emphasizes the unity of the process”
industrial processes. A central question is not just
(El-Halwagi, 1997). In light of the strong interaction
how to assess sustainability of an industrial process
among process units, resources, streams, and objec-
but “how” to achieve a sustainable performance and
tives, process integration offers a unique framework
enhance it? The next section introduces sustainable
along with an effective set of methodologies and
design through process integration as an enabling
enabling tools for sustainable design. The strength and
tool to attain sustainability in a methodical,
attractiveness of process integration stem from its
effective, and generally applicable way.
ability to systematically offer the following:
• fundamental understanding of the global insights of
1.3 WHAT IS SUSTAINABLE DESIGN
a process and the root causes of performance
THROUGH PROCESS INTEGRATION?
limitations
• ability to benchmark the performance of various
“Sustainable design” of industrial processes may be
objectives for the process ahead of detailed design
defined as the design activities that lead to economic
through targeting techniques
growth, environmental protection, and social progress for
• effective generation and screening of solution
the current generation without compromising the potential
alternatives to achieve the best-in-class design and
of future generations to have an ecosystem that meets their
operation strategies
needs. The following are the principal objectives of a
sustainable design: Process integration involves the following activities
(El-Halwagi, 2006):
• resource (mass and energy) conservation
• recycle/reuse 1. Task Identification: The first step in synthesis is to
• pollution prevention explicitly express the goal we are aiming to achieve
• profitability enhancement and describe it as an actionable task. The actionable
• yield improvement task should be defined in such a way so as to
• capital-productivity increase and debottlenecking capture the essence of the original goal. For
• quality control, assurance, and enhancement instance, pollution prevention may be described as
• process safety a task of reducing certain discharges of the process
to a certain extent while quality enhancement may
These objectives are closely related to the seven
be described as a task to reach a specific
themes identified by Keller and Bryan (2000) as the
composition or certain properties of a product.
key drivers for process-engineering research, develop-
2. Targeting: The concept of targeting is one of the
ment, and changes in the primary chemical process
most powerful contributions of process integration.
industries. These themes are:
Targeting refers to the identification of performance
• reduction in raw-material cost benchmarks ahead of detailed design. This is critical in
• reduction in capital investment the process integration guiding principle of “big
• reduction in energy use picture first, details later.” Fig. 1.2 shows the
• increase in process flexibility and reduction in primary difference between conventional design
inventory improvement approaches and targeting. In the
• ever greater emphasis on process safety conventional approaches, a number of projects are
• increased attention to quality introduced and implemented over the useful life
• better environmental performance period of the plant. These projects are driven by

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 1.3 WHAT IS SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION? 5
Cost
KPI

KPI
Cost

Conventional approaches Targeting approach

Time Time

FIGURE 1.2 A comparison between conventional process improvement approaches and targeting (El-Halwagi, 2017).

the need to improve key performance indicators (A)

(KPIs) for the process. These projects are Process
Process Process
introduced at different times during the life period Inputs
Structure &
Outputs
of the plant and may include capital projects that Parameters
(Given) (Given)
(Unknown)
involve retrofitting, duplicating, or replacing
existing units and improving operational (B)
procedures. Such projects represent a learning curve Process
Process Process
and usually lead to incremental improvement in Inputs
Structure &
Outputs
KPIs. In some cases, enhancement of a KPI may Parameters
(Given) (Unknown)
(Given)
have a detrimental effect on another KPI.
Typically, the investments associated with the FIGURE 1.3 (A) Process synthesis problems. (B) Process analysis
capital projects lead to an incremental increase in problem.
the cost, which is hopefully balanced by the
benefits of these projects. The targeting approach
enjoys a distinct advantage over the conventional
approaches: there is no learning curve! The
“It is crucial to get the representation right. The right
ultimate potential for a KPI of the process is
representation can enhance insights. It can aid innova-
determined ahead of detailed design. Although the
tion.” The generation of such design alternatives and
implementation may be carried out in stages over
representations is effectively handled through “process
periods of time, the goal is clearly defined up
synthesis”, which involves putting together separate ele-
front. Not only does targeting guide the designer
ments into a connected or a coherent whole. The term
in determining the true benchmarks for the
“process synthesis” dates back to the early 1970s and
process, it also saves in terms of time, effort, and
gained much attention with the seminal book of Rudd
cost of implementation.
et al. (1973). Process synthesis may be defined as “the dis-
Generation of Alternatives (Synthesis): Given the enor- crete decision-making activities of conjecturing (1) which
mous number of possible solutions to reach the target (or of the many available component parts one should use,
the defined task), it is necessary to use a framework that and (2) how they should be interconnected to structure
is rich enough to embed all configurations of interest and the optimal solution to a given design problem”
represent alternatives that aid in answering questions (Westerberg et al., 1987). Process synthesis is concerned
such as: How should streams be rerouted? What are the with the activities in which the various process elements
needed transformations (e.g., separation, reaction, heat- are combined and the flowsheet of the system is gener-
ing, etc.)? For example, should we use separations to ated so as to meet certain objectives. Therefore, the aim of
clean up wastewater for reuse? To remove what? How process synthesis is “to optimize the logical structure of a
much? From which streams? What technologies should chemical process, specifically the sequence of steps (reac-
be employed? For instance, should we use extraction, tion, distillation, extraction, etc.), the choice of chemical
stripping, ion exchange, or a combination? Where should employed (including extraction agents), and the source
they be used? Which solvents? What type of columns? and destination of recycle streams” (Johns, 2001). Hence,
Should we change operating conditions of some units? in process synthesis we know process inputs and outputs
Which units and which operating conditions? The right and are required to revise the structure and parameters
level of representation for generating alternatives is criti- of the flowsheet (for retrofitting design of an existing
cally needed to capture the appropriate design space. plant) or create a new flowsheet (for grass-roots design of
Westerberg (2004) underscores this point by stating that a new plant). This is shown in Fig. 1.3A.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

6 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

Reviews of process synthesis techniques are avail-

able in literature (e.g., Mercado and Cabezas, 2016; Economy
Smith, 2016; El-Halwagi and Foo, 2014; Klemeš, 2013;
Towler and Sinnott, 2013; Foo et al., 2012; Diwekar and
Environ- Sustainable Process Design Society
Shastri, 2011; Majozi, 2010; Foo, 2009; Turton et al., ment
2009; Kemp, 2009; Seider et al., 2008; Westerberg, 2004;
Dunn and El-Halwagi, 2003; Furman and Sahinidis,
2002; Bagajewicz, 2000; El-Halwagi and Spriggs, 1998; Process Process
Biegler et al., 1997). Synthesis Analysis
3. Selection of Alternative(s) (Synthesis): Once the search
space has been generated to embed the appropriate
alternatives, it is necessary to extract the optimum ?
solution from among the possible alternatives. This ?
step is typically guided by some performance
metrics that assist in ranking and selecting the FIGURE 1.4 Pillars of sustainable process design.
optimum alternative. Graphical, algebraic, and
mathematical optimization techniques may be used
to select the optimum alternative(s). It is worth methodology that provides a fundamental understand-
noting that the generation and selection of ing of the global flow of mass within the process and
alternatives are process synthesis activities. employs this understanding in identifying perfor-
4. Analysis of Selected Alternative(s): While synthesis is mance targets and optimizing the generation and rout-
aimed at combining the process elements into a ing of species throughout the process. On the other
coherent whole, analysis involves the hand, energy integration is a systematic methodology
decomposition of the whole into its constituent that provides a fundamental understanding of energy
elements for individual study of performance. utilization within the process and employs this under-
Hence, process analysis can be contrasted (and standing in identifying energy targets and optimizing
complemented) with process synthesis. Once an heat-recovery and energy-utility systems. Finally, prop-
alternative is generated or a process is synthesized, erty integration is a functionality-based, holistic
its detailed characteristics (e.g., flowrates, approach to the allocation and manipulation of
compositions, temperature, and pressure) are streams and processing units, which is based on the
predicted using analysis techniques. These tracking, adjustment, assignment, and matching of
techniques include mathematical models, empirical functionalities throughout the process. The fundamen-
correlations, computer-aided process simulation tals and applications of mass, energy, and property
tools, evaluation of sustainability metrics, integration have been reviewed in literature (e.g.,
technoeconomic analysis, safety review, and Smith, 2016; El-Halwagi and Foo (2014); Foo et al.,
environmental impact assessment. In addition, 2012; Noureldin, 2011; Majozi, 2010; Rossiter, 2010;
process analysis may involve predicting and Foo, 2012, 2009; Kemp, 2009; El-Halwagi, 2006; El-
validating performance using experiments at the lab Halwagi et al., 2004; Dunn and El-Halwagi, 2003;
and pilot-plant scales, and even actual runs of Hallale, 2001; El-Halwagi and Spriggs, 1998; El-
existing facilities. Thus, in process analysis problems Halwagi, 1997; Shenoy, 1995).
we know the process inputs along with the process
structure and parameters while we seek to
determine the process outputs (Fig. 1.3B). 1.4 MOTIVATING EXAMPLES ON THE
Therefore, process synthesis and analysis serve as the GENERATION AND INTEGRATION OF
two primary pillars for sustainable design through pro- SUSTAINABLE-DESIGN ALTERNATIVES
cess integration with synthesis generating alternatives
and analysis evaluating the generated alternatives. Consider the process shown in Fig. 1.5A for the pro-
Fig. 1.4 is a schematic representation of such interaction. duction of acrylonitrile (El-Halwagi, 2006, 1997). The
Over the past three decades, numerous contribu- main reaction in the process involves the vapor phase
tions have been made in the field of process catalytic reaction of propylene, ammonia, and oxygen
integration. These contributions may be classified in at 450oC and 2 atm to produce acrylonitrile
different ways. One method of classification is based ðAN; C3 H3 NÞ and water, i.e.,
on the three primary areas of integration: mass, catalyst
energy, and properties. Mass integration is a systematic C3 H6 1 NH3 1 1:5O2 ! C3 H3 N 1 3H2 O:

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 1.4 MOTIVATING EXAMPLES ON THE GENERATION AND INTEGRATION OF SUSTAINABLE-DESIGN ALTERNATIVES 7

SJE Ejector SJE Ejector

Water condensate Water condensate
BFW Boiler BFW Boiler

Tail gases Tail gases

Scrubber Scrubber

AN AN
to sales to sales
Distillation Distillation
Reactor Decanter Reactor Decanter

Oxygen Oxygen
ammonia Offgas Aqueous ammonia Offgas Aqueous
propylene condensate layer Distillation propylene condensate layer Distillation
bottoms bottoms

(A) Wastewater (B) Wastewater

(to biotreatment ) Bottleneck (to Biotreatment) Bottleneck

SJE Ejector Ejector

Water condensate Water BFW SJE condensate
BFW Boiler Boiler

Tail gases Tail gases

Scrubber Scrubber

AN AN
to sales to sales
Distillation Distillation
Reactor Decanter Reactor Decanter

Oxygen Oxygen
ammonia Offgas Aqueous ammonia Offgas Aqueous
propylene condensate layer Distillation propylene condensate layer Distillation
bottoms bottoms

(C) Wastewater (D) Wastewater

(to biotreatment ) Bottleneck (to biotreatment ) Bottleneck

Water BFW SJE Ejector Water BFW SJE Ejector

condensate Boiler condensate
Boiler

Tail gases Tail gases

Scrubber Scrubber

AN AN
to sales to sales
Distillation Distillation
Reactor Decanter Reactor Decanter

Oxygen Oxygen
ammonia Offgas Aqueous ammonia Offgas Aqueous
propylene condensate layer Distillation propylene condensate layer Distillation
bottoms bottoms

Wastewater Wastewater
(E) (to biotreatment ) Bottleneck (F) (to biotreatment ) Bottleneck

FIGURE 1.5 (A) Process for AN manufacture (El-Halwagi, 1997). (B) Recycle to the distillation column (El-Halwagi, 2006). (C) Recycle to replace
scrubber water (El-Halwagi, 2006). (D) Recycle to substitute boiler feed water (El-Halwagi, 2006). (E) Recycle to both scrubber and boiler (El-Halwagi,
2006). (F) Segregation of wastewater and recycle of two segregated streams (El-Halwagi, 2006). (G) Combined separation and recycle (El-Halwagi,
2006). (H) An alternate allocation the separation technology (El-Halwagi, 2006). (I) Defining separation technologies (El-Halwagi, 2006). (J) Hybrid
separation technologies for the decanter wastewater (El-Halwagi, 2006). (K) Switching the order of separation technologies (El-Halwagi, 2006).

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

8 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

Water BFW SJE Ejector Water BFW SJE Ejector

Boiler condensate condensate
Boiler

Tail gases Tail gases

Scrubber Scrubber

AN AN
to sales to sales
Distillation Distillation
Reactor Decanter Reactor Decanter

Separator Separator
Oxygen Oxygen
ammonia Offgas Aqueous ammonia Offgas Aqueous
propylene condensate layer Distillation propylene condensate layer Distillation
bottoms bottoms

(G) Wastewater (H) Wastewater

(to biotreatment ) Bottleneck (to biotreatment ) Bottleneck

Water BFW SJE Ejector Water BFW SJE Ejector

condensate Boiler condensate
Boiler

Tail gases Tail gases

Scrubber Scrubber

AN AN
to sales to sales
Distillation Distillation
Reactor Decanter Reactor Decanter

Ion
Ion Extraction Exchange
Oxygen Exchange Oxygen
ammonia Offgas Aqueous ammonia
condensate layer Distillation Extraction Distillation
propylene propylene
bottoms bottoms

(I) Wastewater (J) Wastewater

(to biotreatment ) Bottleneck (to biotreatment ) Bottleneck

Water BFW SJE Ejector

Boiler condensate

Tail gases
Scrubber

AN
to sales
Distillation
Reactor Decanter

Extraction
Oxygen Ion
ammonia Exchange
propylene Distillation
bottoms

(K) Wastewater
(to biotreatment ) Bottleneck

FIGURE 1.5 (Continued)

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 1.4 MOTIVATING EXAMPLES ON THE GENERATION AND INTEGRATION OF SUSTAINABLE-DESIGN ALTERNATIVES 9
The reaction products are quenched in an indirect- performance. In such cases, both fresh water and
contact cooler/condenser, which condenses a portion wastewater will be reduced. Alternatively, it may be
of the reactor off-gas. The remaining off-gas is possible to recycle the wastewater to the boiler
scrubbed with water, then decanted into an aqueous (Fig. 1.5D). Along the same lines, the wastewater
layer and an organic layer. The organic layer is frac- may be recycled to both the scrubber and the boiler
tionated in a distillation column under slight vacuum, (Fig. 1.5E). However, how should the wastewater be
which is induced by a steam-jet-ejector. Wastewater is distributed between the two units? One can foresee
collected from four process streams: off-gas conden- many possibilities for distribution (50-50, 51-49, 60-
sate, aqueous layer of decanter, distillation bottoms, 40, 99-1, etc.). Another alternative is to consider seg-
and jet-ejector condensate. The wastewater stream is regating (avoiding the mixing of) the wastewater
fed to the biotreatment facility. At present, the biotreat- streams. Segregation would prevent some wastewater
ment facility is operating at full hydraulic capacity streams from mixing with the more polluted streams,
and, consequently, it constitutes a bottleneck for the thereby enhancing their likelihood for recycle. For
plant. The plant has a sold-out profitable product and instance, the off-gas condensate and the decanter
wishes to expand. Our task is to debottleneck the aqueous layer may be segregated from the two
process. other wastewater streams and recycled to the scrub-
The intuitive response to debottlenecking the ber and the boiler (Fig. 1.5F). Clearly, there are
process is to construct an expansion to the biotreat- many alternatives for segregation and recycle. In
ment facility (or install another one). This solution order to safeguard against the accumulation of
focuses on the symptom of the problem: the biotreat- impurities or the detrimental effects of replacing
ment is filling up, therefore we must its expand fresh water with waste streams, it may be necessary
capacity. A legitimate question is whether there are to consider the use of separation technologies to
other solutions, probably superior ones, that will clean up the streams and render them in a condition
address the problem by making in-plant process acceptable for recycle. For example, a separator
modifications as opposed to an “end-of-pipe” solu- may be installed to treat the decanter wastewater
tion? Invariably, the answer in this case and most (Fig. 1.5G). But, what separation technologies should
other process design problems is “yes.” If so, how do be used? To remove what? From which streams?
we determine the root causes of the problem (not just Fig. 1.5HJ are just three possibilities (out of numer-
the symptoms) and how can we generate superior ous alternatives) for the type and allocation of sepa-
solutions? Where do we start and how do address ration technologies. And so on! Clearly, there are an
the problem? infinite number of alternatives that can solve this prob-
For now, let us start with a conventional engineer- lem. So many decisions have to be made on the
ing approach involving a brainstorming session rerouting of streams, the distribution of streams, the
among a group of process engineers who will gener- changes to be made in the process (including design
ate a number of ideas and evaluate them. Since the and operating variables), the substitution of materials
objective is to debottleneck the biotreatment facility, and reaction pathways, and the replacement or
an effective approach may be based on reducing the addition of units.
influent wastewater flowrate into biotreatment. One Notwithstanding the numerous design alterna-
way of reducing wastewater flowrate is to adopt a tives, process integration can determine the perfor-
wastewater recycle strategy in which it is desired to mance target and synthesize the optimal solution
recycle some (or all) of the wastewater to the process. without enumeration. As will be shown by the over-
For instance, let us recycle some of the wastewater to all mass targeting tools described in Chapter 3,
the distillation column (Fig. 1.5B). After analyzing Benchmarking Process Performance Through Overall
this solution, it does not seem to be effective. The Mass Targeting, the benchmarks for water usage and
fresh water to the process is still the same, water gen- discharge can be first determined before detailed
erated by the main AN-producing reaction is the design and without the need to create alternative
same, and therefore the wastewater leaving the plant configurations (similar to the ones shown by
will remain the same. So, let us employ a recycle Fig. 1.5BJ). The values of these targets are shown
strategy that replaces fresh water with wastewater. by Fig. 1.6. Next, the optimal solution (shown by
This way, the fresh water into the process is reduced Fig. 1.7) is systematically synthesized using the mass-
and, consequently, the wastewater leaving the pro- integration techniques described in Chapter 4, Direct-
cess will be reduced as well. One option is to recycle Recycle Networks: Graphical and Algebraic Targeting
the wastewater to the scrubber (Fig. 1.5C) assuming Approaches, Chapter 5, Synthesis of Mass-Exchange
that it is feasible to process the wastewater in the Networks, Chapter 6, Combining Mass-Integration
scrubber without negatively impacting the process Strategies.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

10 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

Current Wastewater Discharge

12.0 kg/s

Current Fresh-Water Usage

7.2 kg/s
How?

How?

4.8 kg/s
Target for Minimum
Wastewater Discharge
0.0 kg/s
Target for Minimum
Fresh-Water Usage

FIGURE 1.6 Benchmarking water usage and discharge for the an example before detailed design.

Vacuum (typically three to five). For instance, the foregoing

pump exercise of generating alternatives for the AN case
study falls under this category. Each generated
Tail gases
Scrubber
scenario is then assessed (e.g., through simulation,
technoeconomic analysis, etc.) to examine its
feasibility and to evaluate some performance
AN metrics (e.g., cost, safety, reliability, flexibility,
to sales
operability, environmental impact, etc.). These
Distillation
Reactor Decanter metrics are used to rank the generated scenarios
and to select a recommended solution. This
recommended solution may be inaccurately referred
Adsorption to as the “optimum solution” when in fact it is only
Oxygen
ammonia Offgas Aqueous optimum out of the few generated alternatives.
propylene condensate layer Distillation
bottoms Indeed, it may be far from the true optimum
Wastewater solution.
(to biotreatment ) • Adopting/Evolving Earlier Designs: In this approach, a
related problem that has been solved earlier is
FIGURE 1.7 Optimal solution to AN case study (El-Halwagi, 2006).
identified. The problem may be at the same plant or
another plant. Then, its solution is either copied,
The following observations may be inferred from
adopted, or evolved to suit the problem at hand and
the foregoing discussion:
to aid in the generation of a similar solution.
• There are typically numerous alternatives that can • Heuristics: Over the years, process engineers have
solve a typical sustainable design problem. discovered that certain design problems may be
• The optimum solution may not be intuitively obvious. categorized into groups or regions each having a
• One should not focus on the symptoms of the recommended way of solution. Heuristics is the
process problems. Instead, one should identify the application of experience-derived knowledge and
root causes of the process deficiencies. rules of thumb to a certain class of problems. It is
• It is necessary to understand and treat the process derived from the Greek word heuriskein, which means
as an integrated system. “to discover.” Heuristics have been used extensively
• There is a critical need to systematically extract the in industrial applications (e.g., Harmsen, 2004).
optimum solution from among the numerous
Over the years, these approaches have provided valu-
alternatives without enumeration.
able solutions to industrial problems and are commonly
Until recently, there were three primary conven- used. Notwithstanding the usefulness of these approaches
tional engineering approaches to addressing in providing solution that typically work, they have
sustainable-design problems: several serious limitations (Sikdar and El-Halwagi, 2001):
• Brainstorming and Solution through Scenarios: A select • Cannot enumerate the infinite alternatives: Since
few of the engineers and scientists most familiar these approaches are based on brainstorming few
with the process work together to suggest and alternatives or evolving an existing design, the
synthesize several conceptual design scenarios generated alternatives are limited.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 1.4 MOTIVATING EXAMPLES ON THE GENERATION AND INTEGRATION OF SUSTAINABLE-DESIGN ALTERNATIVES 11
• Is not guaranteed to come close to optimum
330 K
solutions: Without the ability to extract the H1 To
Recovery
optimum from the infinite alternatives, these 520 K
C1
approaches may not provide effective solutions 300 K 550 K
Adiabatic 300 K
(except for very simple cases, extreme luck, or near- Reactor
To
H2 Storage
exhaustive effort). Just because a solution works and 380 K C2
is affordable does not mean that it is a good 320 K
solution. Additionally, when a solution is selected
from few alternatives, it should not be called an Separation

optimum solution. It is only optimum with respect

to the few generated alternatives. 380 K
• Time and money intensive: Since each generated
To
alternative should be assessed (at least from a Washing
Finishing
technoeconomic perspective), there are significant
efforts and expenses involved in generating and
analyzing the enumerated solutions.
Purification
• Limited range of applicability: Heuristics and rules of
Impurities

thumb are most effective when the problem at hand

is closely related to the class of problems and design
region for which the rules have been derived. FIGURE 1.8 Simplified flowsheet of a pharmaceutical process.
However, they must be used with extreme care.
Even subtle differences from one process to another
may render the design rules invalid.
At present, the process uses 4870 kW of an exter-
• Does not shed light on global insights and key
nal heating utility and 2300 kW of an external cooling
characteristics of the process: In addition to solving the
utility. Since there are process hot streams to be
problem, it is beneficial to understand the underlying
cooled and process cold streams to be heated, it is
phenomena, root causes of the problem, and
beneficial to integrate the heat exchange between the
insightful criteria of the process. Trial and error as
hot and the cold streams before using external utili-
well as heuristic rules rarely provide these aspects.
ties. There are numerous alternatives for transferring
• Severely limits groundbreaking and novel ideas: If the
heat from the hot to the cold streams. These alterna-
generated solutions are derived from the last design
tives differ in the order of matches and the extent of
that was implemented or based exclusively on the
heat transferred from the hot to the cold streams.
experience of similar projects, what will drive the
Instead of enumerating and comparing these many
“out-of-the-box” thinking that leads to process
alternatives, heat-integration techniques (described
innovation?
by Chapter 7: Heat Integration and Chapter 16:
The good news is that recent advances in process Mathematical Techniques for the Synthesis of Heat-
integration have led to the development of systematic, Exchange Networks) offer a methodical way to first
fundamental, and generally applicable techniques determine the targets for minimum heat and cooling
that can be learned and applied to overcome the utilities then aid the designer in generating a net-
aforementioned limitations and methodically address work of heat exchangers that reaches the target. The
process-improvement problems. Problems such as values of the benchmarks for minimum heating and
debottlenecking and water conservation described in cooling utility targets are shown by Fig. 1.9. A net-
the AN example can be readily and methodically work of heat exchangers reaching the utility targets
solved to identify the optimal solution. is shown by Fig. 1.10. Each heat exchanger is repre-
Next, let us consider the pharmaceutical processing sented by an ellipse with the heat-transfer rate noted
facility shown by Fig. 1.8. The process has an adiabatic inside it. Temperatures are placed next to each
reactor. The feedstock entering the reactor (C1) is pre- stream. The reduction in heating and cooling utilities
heated from 310K to 550K. The gaseous stream leaving is attributed to energy conservation through proper
the reactor (H1) at 520K is cooled to 330K then sent to exchange of heat between the hot and the cold
a recovery unit. The product stream leaving the bot- streams; namely heat integration.
tom of the reactor is fed to a washing and purification The abovementioned mass-integration (water-recy-
network. The top stream leaving the separation unit cle in this case) and heat-integration examples are just
(H2) is cooled from 380K to 300K prior to storage. The samples of the types of problems that can be systemati-
solvent used in washing (C2) is heated from 320K to cally addressed using generally applicable process
380K before entering the washing unit. integration techniques.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

12 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

Current Usage of Heating Utilities

4870 kW

Current Usage of Cooling Utilities

2300 kW
How?

How?

2620 kW
Target for Minimum
Usage of Heating Utilities
50 kW
Target for Minimum
Usage of Cooling Utilities

FIGURE 1.9 Benchmarking heating and cooling utilities before detailed design.

HU and mathematical programming techniques are

560 K used to explain and address process integration pro-
550 K 380 K blems. Chapter 2, Overview of Process Economics,
gives an overview of process economics and the
2500 kW 120 kW
assessment of economic criteria pertaining to sustain-
520 K 320 K ability. Chapter 3, Benchmarking Process Performance
520 K C2 Through Overall Mass Targeting; Chapter 4, Direct-
418.4 K
H1 Recycle Networks: Graphical and Algebraic Targeting
520 K Approaches; Chapter 5, Synthesis of Mass-Exchange
Networks; Chapter 6, Combining Mass-Integration
1900 kW
Strategies, focus on graphical approaches for mass
330 K integration. Chapter 7, Heat Integration and Chapter 8,
318.4 K
H2 Integration of Combined Heat and Power Systems,
380 K give graphical and algebraic tools for heat integration
350 kW and combined heat and power systems. Chapter 9,
Synthesis of Heat-Induced Separation Network for
300 K Condensation of Volatile Organic Compounds, pre-
310 K C1
sents graphical techniques for property integration.
300 K Algebraic tools for mass integration are described by
Chapter 10, Property Integration, and 11, Overview of
50 kW Optimization. Chapter 12, An Optimization Approach
300 K 290 K to Direct Recycle and Chapter 13, Synthesis of Mass-
CU
Exchange Networks: A Mathematical Programming
FIGURE 1.10 A network of heat exchangers attaining the targets Approach, cover energy-induced separations such as
for minimum heating and cooling utilities. condensation and membrane systems. The rest of the
book introduces mathematical programming techni-
ques starting with a tutorial on how to formulate opti-
mization problems and solve them using a software
program (LINGO) and continuing to cover various
1.5 STRUCTURE AND LEARNING classes of problems for mass, energy, and property
OUTCOMES OF THE BOOK integration. The scope of problems ranges from identi-
fication of overall performance targets to integration of
This book presents the fundamentals and applica- separation systems, recycle networks, heat-exchange
tions of process integration and how they can be used networks, energy conservation, design of biorefineries,
for generating best-in-class sustainable designs. and macroscopic integrated systems. Numerous case
Holistic approaches, methodical techniques, and step- studies are used to illustrate the theories, concepts,
by-step procedures are presented and illustrated by a and tools. Table 1.2 summarizes the key learning
wide variety of case studies. Visualization, algebraic, outcomes of the book and the associated chapters.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 REFERENCES 13
TABLE 1.2 Primary Learning Outcomes of the Book and holistic, systematic, generally applicable approaches to
Associated Chapters benchmark performance ahead of detailed design, and
Associated chapters then generate best-in-class sustainable-design alterna-
(When you study tives that reach the desired targets. If you do not
Learning outcomes (You will be able to) Chapter #) already have a working experience in process integra-
Apply different techniques to estimate fixed 2
tion, this book will present you with a paradigm shift
cost, operating cost, and total capital that is intended to systematize and enhance the way
investment you target the performance of processing plants and
Conduct break-even analysis and use it to 2
devise effective and innovative strategies for attaining
determine minimum selling price or subsidy the sustainability objectives of a process. It is hoped that
for environmental purposes you use process integration as a powerful vehicle in the
Evaluate profitability criteria of a project and 2
journey of inducing continuous process improvement
screen alternative projects based on economic and improving the sustainability metrics of the process.
criteria Welcome aboard!
Determine overall mass targets (performance 3
benchmarks) for a process with objectives
such as minimum usage of raw materials,
minimum discharge of waste, and maximum
References
process yield Bagajewicz, M., 2000. A review of recent design procedures for water
networks in refineries and process plants. Comp. Chem. Eng. 24
Determine targets for no/low-cost strategies 4, 12
(910), 20932113.
for maximum recycle of process streams,
Biegler, L.T., Grossmann, I.E., Westerberg, A.W., 1997. Systematic
minimum purchase of the fresh materials, and
Methods of Chemical Process Design. Prentice Hall, Upper
minimum discharge of waste
Saddle River, NJ.
Screen different mass-exchange technologies 5, 13, 14, 15 Cobb, C., Schuster, D., Beloff, B., Tanzil, D., 2009. The AIChE sustain-
and design the optimal network of separation ability index: the factors in detail. Chem. Eng. Prog.6063.
units to achieve a set task Diwekar, U., Shastri, Y., 2011. Design for environment: a state-of-the-
art review. Clean Technol. Environ. Policy. 13, 227240.
Develop mass-integration strategies for a 6, 15 Dunn, R.F., El-Halwagi, M.M., 2003. Process integration technology
process review: background and applications in the chemical process
Determine benchmarks for minimum heating 7, 9, 16 industry. J. Chem. Technol. Biotechnol. 78 (10111021).
and cooling utilities of a process and design a El-Halwagi, M.M., 2017. A return on investment metric for incorpo-
network of heat exchangers rating sustainability in process integration and improvement
projects. Clean Technol. Environ. Policy. 19, 611617.
Design combined heat and power 8, 9 El-Halwagi, M.M. and D.C.Y. Foo, Process Synthesis and Integration.
(cogeneration) systems In: Kirk-Othmer Encyclopedia of Chemical Technology, Wiley
(2014), ,http://dx.doi.org/10.1002/0471238961.1618150308011212.
Optimize the process performance based on 10
a01.pub2..
properties and functionalities
El-Halwagi, M.M., 1997. Pollution Prevention Through Process
Design energy-induced separation systems 9 Integration: Systematic Design Tools. Academic Press, San Diego.
(e.g., recovery of volatile organic compounds El-Halwagi, M.M., 2006. Process Integration. Elsevier, Amsterdam.
via condensation, membrane separation) El-Halwagi, M.M., Spriggs, H.D., 1998. Solve design puzzles with
mass integration. Chem. Eng. Prog. vol. 94, 2544, August.
Formulate sustainable design tasks as 11 El-Halwagi, M.M., Glasgow, I.M., Eden, M.R., Qin, X., 2004. Property
mathematical program (optimization integration: componentless design techniques and visualization
problems) and solve them using graphical and tools. AIChE J. 50 (8), 18541869.
computer-aided software Elkington, J., 1994. Towards the sustainable corporation: win-win-
Solve mass- and energy-integration problems 12, 13, 14, 15 win business strategies for sustainable development. Calif.
using mathematical programming Manage. Rev. 36 (2), 90100.
Foo, D.C.Y., 2009. State-of-the-art review of pinch analysis techniques
Design eco-industrial parks and induce 3, 20 for water network synthesis. Ind. Eng. Chem. Res. 48, 51255159.
industrial symbiosis Foo, D.C.Y., 2012. Process Integration for Resource Conservation.
CRC Press, Boca Raton.
Design integrated biorefineries 20
Foo, D.C.Y., El-Halwagi, M.M., Tan, R.R. (Eds.), 2012. Recent
Combine macroscopic analyses (e.g., life-cycle 20 Advances in Sustainable Process Design and Optimization, Series
analysis, environmental impact assessment) on Advances in Process Systems Engineering. World Scientific
with process integration strategies Publishing Company.
Furman, K.C., Sahinidis, N.V., 2002. A critical review and annotated
bibliography for heat exchanger network synthesis in the 20th
century. Ind. Eng. Chem. Res. 41 (10), 23352370.
In addition to the methodologies, concepts, and tools
Hallale, N., 2001. Burning bright: trends in process integration.
described in this book as well as the specific learning Chem. Eng. Prog. 97 (7), 3041.
outcomes summarized by Table 1.2, the book presents Harmsen, G.J., 2004. Industrial best practices of conceptual process
an overarching message: process integration provides design. Chem. Eng. Process. 43, 677681.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

14 1. INTRODUCTION TO SUSTAINABILITY, SUSTAINABLE DESIGN, AND PROCESS INTEGRATION

Hassim, M.H., 2016. Comparison of methods for assessing occupa- Int. J. Sustain. Higher Educ. 18 (3), ,http://dx.doi.org/10.1108/
tional health hazards in chemical process development and IJSHE-05-2015-0100..
design phases. Curr. Opin. Chem. Eng. 14, 137149. Shenoy, U.V., 1995. Heat Exchange Network Synthesis: Process
Houghton, J.T., Callander, B.A., Varney, S.K. (Eds.), 1990. Climate Optimization by Energy and Resource Analysis. Gulf Pub. Co.,
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Press, Cambridge, UK. Sikdar, S.K., Sengupta, D., Mukherjee, R., 2017. Measuring Progress
Houghton, J.T., Callander, B.A., Varney, S.K. (Eds.), 1992. Climate Towards Sustainability: A Treatise for Engineers. Springer,
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IChemE (Institution of Chemical Engineers), 2002. The sustainability Technologies and Environmental Policy. 11 (4), 367369.
metrics: sustainable development progress metrics recommended Sikdar, S.K., 2009b. On aggregating multiple indicators into a single met-
for use in the process industries. IChemE, Rugby. ric for sustainability. Clean Technol. Environ. Policy. 11 (2), 157161.
Jiménez-González, C., Constable, D.J.C., 2011. Green Chemistry and Sikdar, S.K., 2011. What about industrial water sustainability? Clean
Engineering: A Practical Design Approach. John Wiley and Sons, Technol. Environ. Policy. 13 (1), 1.
Inc., Hoboken, NJ. Sikdar, S.K., 2003. Sustainable development and sustainability
Johns, W.R., 2001. Process synthesis poised for a wider role. Chem. metrics. AIChE J. 49 (8), 19281932.
Eng. Prog. 97 (4), 5965. Sikdar, S.K., El-Halwagi, M.M. (Eds.), 2001. Process Design Tools for
Keller II, G.E., Bryan, P.F., 2000. Process engineering: moving in new the Environment. Taylor and Francis, London.
directions. Comp. Chem. Eng. 96 (1), 4150. Smith, R., 2016. Chemical Process Design and Integration, second ed.
Kemp, I., 2009. Pinch Analysis and Process Integration - A User Wiley, New York.
Guide on Process Integration for the Efficient Use of Energy, sec- Spriggs, H.D., Brant, B., Rudnick, D., Hall, K.R., El-Halwagi, M.M.,
ond ed. Butterworth-Heinemann, Oxford, UK. 2009. Sustainability metrics for highly integrated biofuel production
Klemeš, J. (Ed.), 2013. Handbook of Process Integration: facilities. In: El-Halwagi, M.M., Linninger, A.A. (Eds.), Design for
Minimisation of Energy and Water Use. Woodhead Publishing Energy and the Environment: Proceedings of the 7th International
Limited, Cambridge, UK. Conference on the Foundations of Computer-Aided Process Design
Majozi, T. (Ed.), 2010. Batch Chemical Process Integration: Analysis, (FOCAPD). CRC Press, Taylor & Francis, pp. 399404.
Synthesis, and Optimization. Springer, Heidelberg. Tanzil, D., Beloff, B., 2005. Implementing sustainable development:
Mercado, R., Cabezas, H. (Eds.), 2016. Sustainability in the Design, decision-support approaches and tools. In: Beloff, M., Lines, M.,
Synthesis and Analysis of Chemical Engineering Processes. Tanzil, D. (Eds.), Transforming Sustainability into Action: The
Butterworth-Heinemann, Elsevier, Oxford, UK. Chemical Industry. John Wiley & Sons, Inc., Hoboken, NJ,
Mukherjee, R., Sengupta, D., Sikdar, S.K., 2013. Parsimonious use of pp. 199328.
indicators for evaluating sustainability systems with multivariate Towler, G., Sinnott, R., 2013. Chemical Engineering Design:
statistical analysis, Clean Technol. Environ. Policy, 15. pp. 699706. Principles, Practice and Economics of Plant and Process Design,
Noureldin, M.B., 2011. Pinch Technology and Beyond: New Vistas second ed. Elsevier, Amsterdam.
on Energy Efficiency Optimization. Nova Science Publishers. Turton, R., Bailie, C., Wallace, B., Whiting, B., Shaeiwitz, J.A., 2009.
Powell, J.B., 2010. Sustainability metrics, indicators, and indices for Analysis, Synthesis, and Design of Chemical Processes, third ed.
the process industries. In: Harmsen, J., Powell, J.B. (Eds.), Prentice Hall, New Bern.
Sustainable Development in the Process Industries: Cases and Uhlman, B.W., Saling, P., 2010. Measuring and communicating
Impact. John Wiley and Sons, Inc., Hoboken, NJ. sustainability through eco-efficiency analysis. Chem. Eng.
Rossiter, A.P., 2010. Improve energy efficiency via heat integration. Prog.1726, December.
Chem. Eng. Prog. 106 (12), 3342. WBCSD (World Business Council for Sustainable Development),
Roy, N., Eljack, F., Jiménez-Gutiérrez, A., Zhang, B., Thiruvenkataswamy, 2000. , ISBN 2-94-024017-5 .Eco-Efficiency: Creating More Value
P., El-Halwagi, M., et al., 2016. A review of safety indices for process with Less Impact. World Council for Sustainable Development
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Rudd, D.F., Powers, G.J., Siirola, J.J., 1973. Process Synthesis. Prentice 1987. (The Brundtland Report) .Our Common Future. Oxford
Hall, Englewood Cliffs, NJ. University Press, New York
Seider, W.D., Seader, J.D., Lewin, D.R., Widagdo, S., 2008. Product Westerberg, A.W., 1987. Process synthesis: a morphological view.
and Process Design Principles: Synthesis, Analysis, and Design, In: Liu, Y.A., McGee Jr., H.A., Epperly, W.R. (Eds.), Recent
third ed. Wiley, New York. Developments in Chemical Process and Plant Design. Wiley, New
Sengupta, D., Huang, Y., Davidson, C.I., Edgar, T.F., Eden, M., El- York, pp. 127145.
Halwagi, M.M., 2017. Using module-based learning methods to Westerberg, A.W., 2004. A retrospective on design and process
introduce sustainable manufacturing in engineering curriculum. synthesis. Comp. Chem. Eng. 28, 447458.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 C H A P T E R

2
Overview of Process Economics

2.1 INTRODUCTION • break-even analysis

• time value of money
An essential component of any sustainable • profitability analysis
design is the economic aspect. In designing a new
process or retrofitting an existing one, many of the
technical and environmental decisions are strongly 2.2 COST TYPES AND ESTIMATION
impacted by the economic factors. Therefore, it is
critical for engineers to study process economics to There are two primary costs that should be
be able to: evaluated: capital investment and operating costs.
• evaluate feasibility of new projects The total capital investment (TCI) or capital cost is
• improve performance of existing processes the money needed to purchase and install the
• make design and operating decisions plant, all its ancillaries, and the land, and to provide
• compare alternatives for the necessary expenses required to start the pro-
• decide strategic directions for the company cess operation. Once the plant is in production
• establish sound policies for process and product mode, then the continuous and recurring expenses
objectives (e.g., matters pertaining to the needed to run the plant are referred to as the
environment, safety, quality) operating costs or operating expenditures (OPEX). The
following sections provide the basis for how these
This chapter provides an overview of basic concepts costs are estimated, what the key elements in
and tools in cost estimation and economics of chemical each cost are, and how these costs can be extrapo-
processes to answer the following questions: lated and updated. Specifically, the following will be
• What are the cost items involved in installing and discussed:
operating a process? • capital (fixed, working, and total)
• What types of cost estimation can be carried out • equipment
and to what level of accuracy? • operating
• How to estimate the cost of building a plant or • production (total annualized cost)
implementing a project?
• How to account for the changes in market
conditions and for the time value of money?
• How to estimate the recurring costs associated with 2.2.1 Capital Cost Estimation
running the plant? The TCI of a process is classified into two types of
• How to assess the economic viability of a project? expenditures: fixed capital investment (FCI) (also known
• How to screen competing projects and select the as capital expenditure (CAPEX)) and working capital
most attractive alternative(s)? investment (WCI), i.e.,
To address these questions, the chapter will focus
on the following topics: TCI 5 FCI 1 WCI ð2:1Þ

• cost types and estimation The FCI is the money required to pay for the proces-
• depreciation sing equipment and the ancillary units, acquiring and

Sustainable Design Through Process Integration

DOI: http://dx.doi.org/10.1016/B978-0-12-809823-3.00002-3 15 © 2017 Elsevier Inc. All rights reserved.
16 2. OVERVIEW OF PROCESS ECONOMICS

preparing the land, civil structures, facilities, and con- WCI can indeed be fully recovered. Typically, the
trol systems. In turn, the FCI is further classified into WCI ranges between 10% and 25% of the TCI. Fig. 2.1
two components: manufacturing (or direct) and non- is a summary of the main components constituting
manufacturing. The manufacturing FCI involves the the TCI.
fixed-cost items that are directly associated with pro- As the word estimation indicates, there is a level
duction such as the processing equipment, installation, of uncertainty in most cost estimation studies.
piping, pumping/compression, process instrumenta- Depending on the objective of the cost estimation,
tion, process utility facilities and distribution, process there are different desired levels of accuracy. The
waste treatment systems, and all the civil work associ- Association for the Advancement of Cost Engineering
ated with the production units. The nonmanufacturing (AACE) International (www.aacei.org) defines several
FCI includes the fixed-cost items that are not directly types of cost-estimation studies along with their accu-
tied to production such as land, analytical laboratories, racy ranges. Other classifications are also available in
storage areas, nonprocess utilities and waste treatment, literature. Table 2.1 provides a brief description of
engineering centers, research and development labora- some types of estimates along with their accuracy
tories, administrative offices, cafeterias and restau- levels and needed information. An important perspec-
rants, and recreational facilities. On the other hand, the tive in conducting a specific type of cost-estimation
WCI is the money needed to pay for the operating study is to attain the “right level of details.” If there is
expenditures up to the time when the product is sold
as well as the expenses required to pay for stockpiling
raw materials before production (typically one to two
months of raw materials are stockpiled prior to pro- Total Capital Investment (TCI)
duction). An important characteristic of the WCI is
that it is recoverable at the end of the project. For Fixed Capital Working Capital
instance, if the plant stockpiles a two-month reserve of Investment (FCI) Investment (WCI)
raw materials prior to starting the operation and main-
Manufacturing NonManufacturing
tains a two-month stock throughout the operation, (Direct) FCI (Indirect) FCI
then there is no need to buy raw materials during the
last two months of the project and the value of the FIGURE 2.1 Main components of TCI.

TABLE 2.1 Classification of Cost-Estimation Studies

Level of project definition
Type/objective of cost Accuracy (expressed as % of project
estimation level completely defined) Type of needed information

Order-of-magnitude estimate 250/1100% 02% Experience or cost data of a similar plant or basic
or concept screening information on sold product and capacity
Study estimate or preliminary 230/150% 120% Preliminary description of the process flowsheet and duty
feasibility data of the main equipment
Preliminary estimate or 220/1 30% 1050% Equipment sizing and basic simulation
budget authorization
Definitive estimate or project 215/125% 4080% Detailed equipment data (e.g., sizing, simulation, design
control estimate specifications, drawings)
Contractor’s estimate or 25/110% 75100% Detailed simulation, complete engineering drawings,
detailed estimate mechanical and electrical datasheets, design specifications,
process layout, site survey

Adapted and revised from the AACE International; Dysert, L., 2001. Sharpen your capital cost estimation skills. Chem. Eng. 108, 70; Christensen, P., Dysert, L.R., 2005. “Cost
Estimate Classification System- As Applied in Engineering, Procurement, and Construction for the Process Industries”, The Association for the Advancement of Cost
Engineering (AACE) International Recommended Practice No. 18R-97, AACE Publications, Morgantown, West Virginia; and Coker, A.K., 2007. “Ludwig’s Applied Process
Design for Chemical and Petrochemical Plants”, fourth ed., Vol. 1, Gulf Professional Publishing, an Imprint of Elsevier, Oxford, UK.

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 2.2 COST TYPES AND ESTIMATION 17
a need to quickly generate ballpark cost estimates of a importance are tools that are linked to process simula-
potential project to decide on whether or not further tors because they are integrated with equipment per-
assessment is needed, then an order-of-magnitude esti- formance and sizing as evaluated by simulation.
mate or a study estimate may be all that is required at Examples include ASPEN Process Economic Analyzer
this stage. Little effort is spent and very rough esti- (www.aspentech.com) and SuperPro Designer (http://
mates are obtained. However, these may be exactly www.intelligen.com).
what is needed to decide on whether or not to consider
the project any further and to charter more detailed
studies where the time and effort are then justified.
There are several approaches for capital cost estima- 2.2.1.3 Capacity Ratio With Exponent
tion. The following are some of the most commonly When there are two identical (or at least very simi-
used methods: lar) plants of different capacities with the FCI known
for one of them, then the FCI of the other plant may be
1. manufacturer’s quotation
estimated as follows:
2. computer-aided tools
3. capacity ratio with exponent
x
4. updates using cost indices CapacityB
FCIB 5 FCIA ð2:2Þ
5. factors based on equipment cost CapacityA
6. empirical correlations
7. turnover ratio where FCIB and FCIA are the FCIs of plants B
These basic concepts and applications of these and A, and CapacityB and CapacityA are the capaci-
methods are described below. ties (e.g., flowrate of main product) of plants B and
A. The exponent x is usually less than 1.0 and should
2.2.1.1 Manufacturer’s Quotation be evaluated based on the actual data of the
Capital-cost estimates may be obtained directly specific process. If no such data are available, x may
from specialized manufacturers and engineering firms. be assumed to be 0.60.7 (hence the name sixth-
Depending on the level of details of the planned proj- tenths-factor rule) for order-of-magnitude estimates.
ect, availability of resources, time limitations, and Eq. (2.2) is an expression of the economy of scale,
objective of the cost estimate, different levels of accu- which indicates that as the plant capacity increases
racy can be obtained. the FCI per unit production decreases. For instance,
when x 5 0.6, doubling the plant capacity does not
2.2.1.2 Computer-Aided Tools double the FCI but instead leads to a 52% increase in
There are various computer-aided resources that FCI. Table 2.2 shows values of x for different pieces
may be used to evaluate the FCI. Of particular of equipment.

TABLE 2.2 Typical Plant Scaling Exponents for Selected Processes

Product Process Size range Exponent x Reference

Acetaldehyde Ethylene conversion 25,000100,000 tonne/year 0.70 Remer and Chai (1990a)

Acetic acid Methanol conversion 300075,000 tonne/year 0.59 Garrett (1989)

Ammonia Natural gas reforming 365,000550,000 0.66 Gerrard (2000)

tonne/year

Adipic acid Cyclohexanol conversion 7000330,000 tonne/year 0.64 Garrett (1989)

Ethylene Cracking of ethane 5002000 MM lb/year 0.60 Towler and Sinnott (2008)

Ethylene oxide Direct oxidation of ethylene 20,000200,000 tonne/year 0.78 Remer and Chai (1990a), Dysert (2001)

Hydrogen Steam reforming of methane 10150 MM SCF/day 0.79 Towler and Sinnott (2008)

Methanol Reforming of natural/shale gas 0.31.5 MM tonne/year tonne/year 0.60 Ehlinger et al. (2014)

Polyethylene High-pressure polymerization of ethylene 40,000 tonne/year 0.69 Salem (1981)

Polyvinyl chloride Polymerization of vinyl chloride 20,000 tonne/year 0.60 Salem (1981)

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

18 2. OVERVIEW OF PROCESS ECONOMICS

E X A M P L E 2 . 1 U S I N G C A P A C I T Y R AT I O S W I T H E X P O N E N T S F O R
E S T I M AT I N G F C I
A processing facility is designed to convert waste Similarly, for the 20 MM gal/year process,
cooking oil and vegetable oil to biodiesel. The FCI of the
15  106
process producing 40 MM gal/year is estimated to be The FCI per annual gallon 5
$23 MM (Elms and El-Halwagi, 2009). Estimate the FCI of 20  106
a similar process producing 20 MM gal/year. Also, con- 5 $0:75=annual gal
duct a sensitivity analysis on the effect of production rate
on the FCI per annual gallon (i.e., FCI per gal/year). The same calculation is repeated for production
rates ranging from 10 MM to 50 MM gal/year and the
Solution results are shown by Fig. 2.2. Again, the impact of
economy of scale is illustrated by the reduction in the
Assuming a capacity exponent of 0.6, we have: fixed cost per annual gallon with the increase in
FCI of 20 MM gal=year process the plant size.


20 MM gal=year 0:6
5 FCI of 40 MM gal=year process 
40 MM gla=year
5 $15 MM
1.1
The following two economy-of-scale observations are
worth noting: 1.01

 When the capacity of the plant is doubled from 20 to FCI/annual gallon, $/(gal/yr)
0.9
40 MM gal/year, the FCI is not doubled. Instead, it
increases by about 50% (from $15 to 23 MM). 0.8
 When two of the 20 MM gal/year plants are built,
they will cost $30 MM, which is 30% more expensive 0.7
than building a single 40 MM gal/year process.
0.6
Next, the FCI per annual gallon is calculated. For the
40 MM gal/year process:
0.5
23  106 10 20 30 40 50
The FCI per annual gallon 5 Annual Production (MM gal/yr)
40  106
5 $0:58=annual gal FIGURE 2.2 Sensitivity analysis for biodiesel production.

2.2.1.3.1 Updates Using Cost Indices given plant at time t1 (referred to as FCIt1) is known.
Cost estimates are made and reported for a It is desired to get the cost of an identical plant at
given time. With inflation and price fluctuation, time t2 (designated as FCIt2). The cost index is used
it is necessary to account for the FCI as a function of as follows:
time. Cost indices (or escalation factors) are very use-

ful in adjusting cost estimates based on time. A cost Cost index at time t2
FCIt2 5 FCIt1 ð2:3Þ
index is a ratio associated with the plant cost at a Cost index at time t1
specific time relative to the cost of the same plant
at a baseline time. A basis value (e.g., 100) of the There are several useful cost indices. These
cost index is set for a certain year. The values include the Chemical Engineering Plant Cost Index
of the cost index are published regularly (e.g., (published monthly at Chemical Engineering, www.
monthly or quarterly). Suppose that the cost of a chemengonline.com), the Nelson-Farrar Refinery

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 2.2 COST TYPES AND ESTIMATION 19
Construction Index (published monthly at Oil 2.2.1.3.2 Ratio Factors Based on Delivered
and Gas Journal, www.ogjonline.com) and the Equipment Cost
Engineering News Record Construction Index This approach is based on assigning all the items in
(published weekly at Engineering News Record, the FCI and the TCI a ratio to the delivered equipment
http://enr.construction.com). In using cost indices, it cost. In his seminal work, Lang (1948) proposed a
is usually advisable to keep the updating period method for estimating the FCI of a chemical plant
within 20 years. Table 2.3 provides a listing of based on the cost of the equipment delivered (but
recent values of the Chemical Engineering Plant Cost not installed) to the plant. Upon surveying the detailed
Index (CEPCI). costs of 14 plants, Lang developed factors for
predicting the various cost items such as installation,
instrumentation, piping, electrical systems, facilities,
engineering, etc. Lumped together, these factors are
TABLE 2.3 Recent Values of the Chemical Engineering Plant referred to as the Lang factor, which is used in estimat-
Cost Index
ing the FCI as follows:
Chemical engineering
Year plant cost indexa FCI 5FCI Lang Factor  Delivered Equipment Cost
2006 499.6 ð2:4aÞ
2007 525.4 Hence,
2008 575.4
2009 521.9 X
NEquipment
FCI 5 FCI Lang FactorT CDelivered
q ð2:4bÞ
2010 550.8 q51

2011 585.7
where q is in index for the process equipment,
2012 584.6
Nequipment is the total number of equipment in the pro-
2013 567.3 cess, and CDelivered
q is the cost of equipment q delivered
2014 576.1 to the plant site.
The value of the Lang factor depends on the type
2015 556.8
of the materials processed in the facility (e.g., solid,
2016 541.7 solidfluid, fluid) as shown by Table 2.4. To utilize
a
Basis: in 19571959, value of index 5 100. the Lang factor method, the cost of the different
Chemical Engineering www.chemengonline.com/pci. pieces of equipment must first be determined.

E X A M P L E 2 . 2 U P D AT I N G T H E F C I U S I N G A C O S T I N D E X
In 2009, the FCI of the biodiesel plant of Example 2.1 FCI of the 40 MM gal=year plant in 2015
556:8
for producing 40 MM gal/year was $23 MM (Elms and 5 FCI of the 40 MM gal=year plant in 2009 
521:9
El-Halwagi, 2009). Estimate the FCI of a similar plant
5 $24:5 MM
producing 60 MM gal/year in 2015.
Using a capacity-cost exponent of 0.6 for the biodiesel
Solution plant:
FCI of the 60 MM gal/year in 2015 5 FCI of the
First, the cost of the 40 MM gal/year plant needs to
40 MM gal/year plant in 2015
be updated to 2015, and then it should be scaled up
to 60 MM gal/year. From Table 2.3, the values of FCI of the 60 MM gal=year in 2015

60 0:6
the CEPCI for 2009 and 2015 are 521.9 and 556.8, 5 FCI of the 40 MM gal=year plant in 2015 
respectively. Therefore, 40
5 $31:2 MM

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

20 2. OVERVIEW OF PROCESS ECONOMICS

TABLE 2.4 Values of the FCI Lang Factor (Lang, 1948) TABLE 2.6 Values of the Items Contributing to the Revised
Lang Factor (Peters et al., 2003)
Type of plant FCI Lang factor
Solid Solidfluid Fluid
Solid 3.10 processing processing processing
Solidfluid 3.63 Item plant plant plant

Fluid 4.74 DIRECT COSTS

Purchased equipment 100 100 100
delivered to the plant

Purchased-equipment 45 39 47
TABLE 2.5 Values of the Revised Lang Factor (Peters et al., 2003)
installation
Type of plant FCI Lang factor TCI Lang factor Instrumentation and 18 26 36
Solid 4.0 4.7 controls (installed)

Solidfluid 4.3 5.0 Piping (installed) 16 31 68

Fluid 5.0 6.0 Electrical systems 10 10 11

(installed)

Buildings 25 29 18

The estimation of equipment cost is discussed later in Yard improvements 15 12 10

this chapter. Service facilities 40 55 70
Peters et al. (2003) have revised the Lang factor by Total direct plant cost 269 302 360
developing an itemized list of the various components
involved in estimating the FCI. Assuming a ratio of INDIRECT COSTS
15:85 for the WCI:FCI, Peters et al. (2003) also provided Engineering and 33 32 33
estimates for evaluating the TCI using the following supervision
expression: Construction expenses 39 34 41
Legal expenses 4 4 4
TCI 5 TCI Lang Factor  Delivered Equipment Cost
Contractor’s fee 17 19 22
ð2:5Þ
Contingency 35 37 44

The revised Lang factors are given in Table 2.5 and Total indirect plant cost 128 126 144
the details of the different items contributing to these Fixed capital investment 397 428 504
factors are given in Table 2.6. For each $100 spent
Working capital investment 70 75 89
on purchased equipment cost (delivered to the gates (15/85 of FCI)
of the plant), Table 2.6 gives the corresponding expen-
Total capital investment 467 503 593
ditures for the different cost items. As can also be seen
from Table 2.6, Peters et al. (2003) broke down the FCI
into two categories: total direct cost, which is also referred TABLE 2.7 Values of the Hand Factors for Different Equipment
to as total installed equipment cost (which accounts for Categories
purchased equipment cost, installation, instrumentation,
Equipment type Hand factor ( fqHand )
piping, electrical work, etc.), and total indirect cost
(which accounts for the nonmanufacturing FCI items Compressors 2.5
such as engineering, legal expenses, contractor’s fees, Distillation columns 4.0
contingency, etc.).
Another modification of the Lang approach is Fired heaters 2.0
the Hand method (Hand, 1958), which assigns Heat exchangers 3.5
different cost factors depending on the type of equip- Instruments 4.0
ment. Hand classified the process equipment into
8 categories. Each category has a value of its multi- Miscellaneous equipment 2.5
plier depending on the specific requirements for civil Pressure vessels/tanks 4.0
work, installation, piping, insulation, etc. Table 2.7 Pumps 4.0
includes the equipment categories and the values of

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

 2.2 COST TYPES AND ESTIMATION 21
the associated factors to be used in the following 2.2.1.3.3 Empirical Correlations
expression: There are useful expressions to estimate the cost of
X
NEquipment specific industries or general classes of processes.
FCI 5 fqHand CDelivered
q ð2:6Þ Depending on the basis for these expressions, their
q51 general applicability and accuracy vary significantly.
As such, these empirical correlations should be used
where fqHand is the Hand factor for equipment q and
with caution for rough and quick estimates of FCI.
CDelivered
q is the delivered cost of equipment q. The following are examples for gas-phase plants and
The rationale for the different factors is that the solidliquid plants:
installation expenses differ depending on the type of
equipment. For instance, fired heaters and compressors
cost less to install than distillation columns. Another 2.2.1.3.4 Gas-Conversion Plants
observation is that the instruments are treated as a Zhang and El-Halwagi (2017) analyzed the data for
separate category of equipment and should be added 50 plants monetizing natural/shale gas to chemicals
to the cost estimate of the other units. and fuels (Fig. 2.3) and used regression analysis to
It is worth noting that companies may have their propose the following correlation:
own experience-based factors that are appropriately
FCI 5 17; 000  N  F 0:65 ð2:7Þ
developed for specific applications. Whenever avail-
able, these factors should be used in favor of the where FCI is in $ (2016), N is the number of major
generic multipliers. processing steps/functional units, and F is the plant

E X A M P L E 2 . 3 F C I E S T I M AT I O N B A S E D O N F A C T O R S O F D E L I V E R E D
EQU IPMENT COST
Table 2.8 gives the type and cost of the units to be Solution
used in a retrofitting project in a fluid-processing facil-
For a fluid-processing plant, the Lang factor (revised
ity. Additionally, the instrumentation and control sys-
by Peters et al., 2003) for estimating the FCI from
tems for this project are estimated to have a delivered
delivered equipment cost is 5.0. Hence,
cost of $3.6 MM. Estimate the FCI using the Lang factors
as revised by Peters et al. (2003) and the Hand method FCIðLang methodÞ 5 5:0  ð2:0 1 2:5 1 4:0 1 1:5Þ
(Table 2.9).
5 $50:0 MM

TABLE 2.8 Units and Costs of the Retrofitting Project of On the other hand, the Hand method assigns differ-
Example 2.3 ent installation multipliers for the different types of
units and also considers the instrumentation system
Unit Delivered equipment cost ($ MM)
to be a separate unit. Table 2.9 is the worksheet showing
Distillation columns 2.0 the estimation of the FCI.
Fired heater 2.5 Therefore, using the Hand method, we get:
Heat exchangers 4.0
FCIðHand methodÞ 5 8:0 1 5:0 1 14:0 1 14:4 1 6:0
Tanks 1.5
5 $47:4 MM

TABLE 2.9 Using the Hand Method for Example 2.3

Equipment Delivered equipment cost ($ MM) Hand factor Installed equipment cost ($ MM)

Distillation columns 2.0 4.0 8.0

Fired heaters 2.5 2.0 5.0
Heat exchangers 4.0 3.5 14.0
Instruments 3.6 4.0 14.4

Pressure vessels/tanks 1.5 4.0 6.0

SUSTAINABLE DESIGN THROUGH PROCESS INTEGRATION

Exploring the Variety of Random
Documents with Different Content
dock, is one of those signs by which one may gauge—as by the
strength of a city wall, the splendor of a court of justice and the
beauty of a public garden—the height to which a people have
attained. In Russia docks are extremely rare. Not a dozen ports in the
empire can boast a dock. Archangel has no dock; Astrachan has no
dock; Rostoff has no dock. It is only in such cities as Riga and
Odessa, built and occupied by foreigners, that you find such things.
The dry dock at Solovetsk is the only sample of its kind in the whole
of Russia Proper! Cronstadt has a dry dock; but Cronstadt is in the
Finnish waters—a German port, with a German name. The only work
of this kind existing on Russian ground is the product of monkish
enterprise and skill.
Priests take their share in all these labors. When a monk enters
into orders he is free to devote himself, if he chooses, to the Church
service only, since the Holy Governing Synod recognizes the right of a
pope to a maintenance in his office; but in the Convent of Solovetsk,
a priest rarely confines his activity to his sacred duties. Work is the
sign of a religious life. If any man shows a talent for either art or
business, he is excited by the praise of his fellows and superiors to
pursue the call of his genius, devoting the produce of his labor to the
glory of God. One pope is a farmer, a second a painter, a third a
fisherman; this man is a collector of simples, that a copier of
manuscripts, and this, again, a binder of books.
Of these vocations that of the schoolmaster is not the least
coveted. All children who come to Solovetsk are kept for a year, if not
for a longer time. The lodging is homely and the teaching rough; for
the schools are adapted to the state of the country; and the food and
sleeping-rooms are raised only a little above the comforts of a
peasant's home. No one is sent away untaught; but only a few are
kept beyond a year. If a man likes to remain and work in the convent
he can hire himself out as a laborer, either in the fishing-boats or on
the farms. He dines in summer, like the monks, on bread, fish and
quass; in winter he is provided with salt mutton, cured on the farm—
a luxury his masters may not touch. Many of these boys remain for
life, living in a celibate state, like the monks; but sure of a dinner and
a bed, safe from the conscription, and free from family cares. Some
of them take vows. If they go back into the world they are likely to
find places on account of their past; in any case they can shift for
themselves, since a lad who has lived a few years in this convent is
pretty sure to be able to fish and farm, to cook his own dinner, and to
mend his own boots.
 CHAPTER XV.
BLACK CLERGY.

All men of the higher classes in Russia talk of their Black Clergy as
a body of worthless fellows; idle, ignorant, profligate; set apart by
their vows as unsocial; to whom no terms should be offered, with
whom no capitulations need be kept. "Away with them, root and
branch!" is a general cry, delivered by young and liberal Russians in
the undertone of a fixed resolve.
The men who raise this cry are not simply scoffers and scorners,
making war on religious ideas and ecclesiastical institutions. Only too
often they are men who love their church, who support their parish
priests, and who wish to plant their country in the foremost line of
Christian states. Russia, they say, possesses ten thousand monks;
and these ten thousand monks they would hand over to a drill
sergeant and convert into regiments of the line.
This rancor of the educated classes towards the monks—a rancor
roused and fed by their undying hatred of reforms in Church and
State—compels one to mark the extent and study the sources of
monastic power. This study will take us far and wide: though it will
also bring us in the end to Solovetsk once more.
"A desert dotted with cloisters," would be no untrue description of
the country spreading southward from the Polar Sea to the Tartar
Steppe. In New Russia, in the khanates of Kazan and Crimea, in the
steppes of the Lower Volga, and in the wastes of Siberia, it would not
be true. But Great Russia is a paradise of monks. In the vast regions
stretching from Kem to Belgorod—an eagle's flight from north to
south of a thousand miles—from Pskoff on Lake Peipus, to Vasil on
the Middle Volga—a similar flight from west to east of seven hundred
miles—the land is everywhere bright with cloisters, musical with
monastic bells.
Nothing on this earth's surface can be drearier than a Russian
forest, unless it be a Russian plain. The forest is a growth of stunted
birch and pine; the trees of one height and girth; the fringe of black
shoots unvaried save by some break of bog, some length of colorless
lake. The plain is a stretch of moor, without a swell, without a tree,
without a town, for perhaps a hundred leagues; on which the grass,
if grass such herbage can be called, is brown; while the village, if
such a scatter of cabins can be called by a name so tender and
picturesque, is nothing but log and mud. A traveller's eye would
weary, and his heart would sicken, at the long succession of such
lines, were it not that here and there, in the opening of some forest
glade, on the ridge of some formless plain, the radiant cross and
sparkling towers of a convent spring towards heaven; a convent with
its fringe of verdure, its white front, its clustering domes and chains.
The woods round Kargopol, the marshes near Lake Ilmen, and the
plains of Moscow, are alive with light and color; while the smaller
convents on river bank and in misty wood, being railed and painted,
look like works of art. One of my sweetest recollections in a long, dull
journey, is that of our descent into the valley of Siya, when we
sighted the great monastery, lying in a watery dell amidst groves of
trees, with the rays of a setting sun on her golden cross and her
shining domes—a happy valley and a consecrated home; not to speak
of such trifles as the clean cell and the wholesome bread which a
pilgrim finds within her walls!
The old cities of Great Russia—Novgorod, Moscow, Pskoff, Vladimir
—are much richer in monastic institutions than their rivals of a later
time. For leagues above and leagues below the ancient capital of
Russia, the river Volkhoff, on the banks of which it stands, is bright
with these old mansions of the Church. Novgorod enriched her
suburbs with the splendid Convents of St. George, St. Cyril, and of St.
Anton of Rome. Moscow lies swathed in a belt and mantle of
monastic houses—Simonoff, Donskoi, Danieloff, Alexiefski, Ivanofski,
and many more; the belfries and domes of which lighten the
wonderful panorama seen from the Sparrow Hills. Pskoff has her
glorious Convent of the Catacombs, all but rivalling that of Kief.
Within the walls, these cloisters are no less splendid than the
promise from without. Their altars and chapels are always fine, the
refectories neat and roomy, the sacristies rich in crosses and priestly
robes. Many fine pictures—fine of their school—adorn the screens
and the royal gates. Nearly all possess portraits of the Mother and
Child encased in gold, and some have lamps and croziers worth their
weight in sterling coin. The greater part of what is visible of Russian
wealth appears to hang around these shrines.
These old monastic houses sprang out of the social life around
them. They were centres of learning, industry, and art. A convent
was a school, and in these schools a special excellence was sought
and won. This stamp has never been effaced; and many of the
convents still aspire to excellence in some special craft. The Convent
of St. Sergie, near Strelna, is famed for music; the New Monastery,
near Kherson, for melons; the Troitsa, near Moscow, for carving; the
Catacombs, near Kief, for service-books.
In the belfry of the old Cathedral of St. Sophia at Novgorod you are
shown a chamber which was formerly used as a treasure-room by the
citizens—in fact, as their place of safety and their tower of strength.
You enter it through a series of dark and difficult passages, barred by
no less than twelve iron doors; each door to be unfastened by bolt
and bar, secured in the catches under separate lock and key. In this
strong place the burghers kept, in times of peril, their silver plate,
their costly icons, and their ropes of pearl. A robber would not—and a
boyar dared not—force the sanctuary of God. Each convent was, in
this respect, a smaller St. Sophia; and every man who laid up gold
and jewels in such a bank could sleep in peace.
"You must understand," said the antiquary of Novgorod, as we
paddled in our boat down the Volkhoff, "that in ancient times a
convent was a home—a family house. A man who made money by
trade was minded in his old age to retire from the city and end his
days in peace. In England such a man would buy him a country-
house in the neighborhood of his native town, in which he would live
with his wife and children until he died. In a country like Old Russia,
with brigands always at his gates, the man who saved money had to
put his wealth under the protection of his church. Selecting a
pleasant site, he would build his house in the name of his patron
saint, adorn it with an altar, furnish it with a kitchen, dormitory, and
cellar, and taking with him his wife, his children, and his pope, would
set up his tent in that secure and comfortable place for the remainder
of his days on earth."
"Could such a man have his wife and children near him?"
"Near him! With him; not only in his chapel but in his cell. The
convent was his home—his country-house; and at his death
descended to his son, who had probably become a monk. In some
such fashion, many of the prettiest of these smaller convents on the
Volkhoff came to be."
Half the convents in Great Russia were established as country-
houses; the other half as deserts—like Solovetsk; and many a poor
fellow toiled like Zosima who has not been blessed with Zosima's
fame.
But such a thing is possible, even now; for Russia has not yet
passed beyond the legendary and heroic periods of her growth. The
latest case is that of the new desert founded at Gethsemane, on the
plateau of the Troitsa, near Moscow; one of the most singular notes
of the present time.
In the year 1803 was born in a log cabin, in a small village called
Prechistoe (Very Clean), near the city of Vladimir, a male serf, so
obscure that his family name has perished. For many years he lived
on his lord's estate, like any other serf, marrying in his own class
(twice), and rearing three strapping sons. At thirty-seven he was
freed by his owner; when he moved from his village to Troitsa, took
the name of Philip, put on cowl and gown, and dug for himself a
vault in the earth. In this catacomb he spent five years of his life,
until he found a more congenial home among the convent graves,
where he lived for twenty years. Too fond of freedom to take
monastic vows, he never placed himself under convent rule. Yet
seeing, in spite of the proverb, that the hood makes the monk in
Russia, if not elsewhere, he robed his limbs in coarse serge, girdled
his waist with a heavy chain, and walked to the palace of Philaret,
Metropolite of Moscow, begged that dignitary's blessing, and craved
permission to adopt his name. Philaret took a fancy to the mendicant;
and from that time forth the whilom serf from Very Clean was known
in every street as Philaret-oushka—Philaret the Less.
Those grave-yards of the Troitsa lay in a pretty and silent spot on
the edge of a lake, inclosed in dark green woods. Among those
mounds the mendicant made his desert. Buying a few images and
crosses in Troitsa and Gethsemane at two kopecks apiece, he carried
them into the streets and houses of Moscow, where he gave them to
people, with his blessing; taking, in exchange, such gifts as his
penitents pleased; a ruble, ten rubles, a hundred rubles each. He
very soon had money in the bank. His images brought more rubles
than his crosses; for his followers found that his images gave them
luck, while his crosses sent them trouble. Hence a woman to whom
he gave a cross went home with a heavy heart. Unlike the practice in
western countries, no peasant woman adorns herself with this
memorial of her faith; nor is the cross a familiar ornament even in
mansions of the rich. A priest wears a cross; a spire is crowned by a
cross; but this symbol of our salvation is rarely seen among the
painted and plated icons in a private house. To "bear the cross" is to
suffer pain, and no one wishes to suffer pain. One cross a man is
bound to bear—that hung about his neck at the baptismal font; but
few men care to carry a second weight.
An oddity in dress and speech, Philaret-oushka wore no shoes and
socks, and his greeting in the market was, "I wish you a merry
angel's day," instead of "I wish you well." In his desert, and in his
rambles, he was attended by as strange an oddity as himself; one
Ivanoushka, John the Less. This man was never known to speak; he
only sang. He sang in his cell; he sang on the road; he sang by the
Holy Gate. The tone in which he sang reflected his master's mood;
and the voice of John the Less told many a poor creature whether
Philaret the Less would give her that day an image or a cross.
This mendicant had much success in merchants' shops. The more
delicate ladies shrank from him with loathing, not because he begged
their money, but because he defiled their rooms. Though born in Very
Clean, this serf was dirtier than a monk; but his followers saw in his
rusty chains, his grimy skin, his unkempt hair, so many signs of
grace. The women of the trading classes courted him. A lady told me,
that on calling to see a female friend, the wife of a merchant of the
first guild, she found her kneeling on the floor, and washing this
beggar's feet. Her act was not a form; for the mendicant wore no
shoes, and the streets of Moscow are foul with mire and hard with
flints. One old maid, Miss Seribrikof, used to boast, as the glory of her
life, that she had once been allowed to wash the good man's sores.
Young brides would beg him to attend their nuptial feasts; at which
he would "prophesy" as they call it; hinting darkly at their future of
weal or woe. Sometimes he made a lucky hit. One day, at the
wedding-feast of Gospodin Sorokine, one of the richest men in
Moscow, he turned to the bride and said, "When your feastings are
over, you will have to smear your husband with honey." No one knew
what he meant, until three days later, when Sorokine died; on which
event every one remembered that honey is tasted at all Russian
funerals; and the words of Philaret the Less were likened to that
Vision of Zosima, which has since been painted on the pillar in
Novgorod the Great.
Madame Loguinof, one of his rich disciples, gave this mendicant
money enough to build a church and convent, and when these
edifices were raised in the grave-yard of Troitsa his "desert" was
complete.
At the age of sixty-five, this idol of the people passed away. When
his high patron died, Philaret the Less was not so happy in his desert
as of yore; for Innocent, the new Metropolite, was a real missionary
of his faith, and not a man to look with favor on monks in
masquerade. Deserting his desert, the holy man went his way from
Troitsa into the province of Tula, where, in the village of Tcheglovo,
he built a second convent, in which he died about a year ago. The
two convents built by his rusty chains and dirty feet are now occupied
by bodies of regular monks.
In these morbid growths of the religious sentiment, the Black
Clergy seek support against the scorn and malice of a reforming
world.
These monks have great advantages on their side. If liberal
thought and science are against them, usage and repute are in their
favor. All the high places are in their gift; all the chief forces are in
their hands. The women are with them; and the ignorant rustics are
mostly with them. Monks have always attracted the sex from which
they fly; and every city in the empire has some story of a favorite
father followed, like Philaret the Less, by a female crowd. Vicar
Nathaniel was not worshipped in the Nevski Prospect with a softer
flattery than is Bishop Leonidas in the Kremlin gardens. Comedy but
rarely touches these holy men; yet one may see in Moscow albums
an amusing sketch of this gifted and fascinating man being lifted into
higher place upon ladies' skirts.
The monks have not only got possession of the spiritual power; but
they hold in their hands nearly all the sources of that spiritual power.
They have the convents, catacombs, and shrines. They guard the
bones of saints, and are themselves the stuff of which saints are
made. In the golden book of the Russian Church there is not one
instance of a canonized parish priest.
These celibate fathers affect to keep the two great keys of
influence in a land like Russia—the gift of sacrifice, and the gift of
miracles.
 CHAPTER XVI.
SACRIFICE.

Sacrifice is a cardinal virtue of the Church. To the Russian mind it

is the highest form of good; the surest sign of a perfect faith.
Sacrifice is the evidence of a soul given up to God.
A child can only be received into the church through sacrifice; and
one of the forms in which a man gives himself up to heaven is that
of becoming insane "for the sake of Christ."
Last year (1868), a poor creature called Ivan Jacovlevitch died in
the Lunatic Asylum in Moscow, after winning for himself a curious
kind of fame. One-half the world pronounced him mad; a second
half respected him as a holy man. The first half, being the stronger,
locked him up, and kept him under medical watch and ward until he
died.
This Ivan, a burgher in the small town of Cherkesovo, made a
"sacrifice" of his health and comfort to the Lord. By sacred vows, he
bound himself never to wash his face and comb his hair, never to
change his rags, never to sit on chair and stool, never to eat at
table, never to handle knife and fork. In virtue of this sacrifice, he
lived like a dog; crouching on the floor, and licking up his food with
lips and tongue. When brought into the madhouse, he was washed
with soap and dressed in calico; but he began to mess himself on
purpose; and his keepers soon gave up the task of trying to keep
him clean.
No saint in the calendar draws such crowds to his shrine as Ivan
Jacovlevitch drew to his chamber in this lunatic's house. Not only
servant girls and farmers' wives, but women of the trading classes,
came to him daily; bringing him dainties to eat, making him presents
in money, and telling him all the secrets of their hearts. Sitting on
the ground, and gobbling up his food, he stared at these visitors,
mumbling some words between his teeth, which his listeners racked
their brains to twist and frame into sense. He rolled the crumbs of
his patties into pills, and when sick persons came to him to be
cured, he put these dirty little balls into their mouths. This man was
said to have become "insane for the Lord."
The authorities of the asylum lent him a spacious room in which to
receive his guests. They knew that he was mad; they knew that a
crowded room was bad for him; but the public rush was so strong,
that they could neither stand upon their science, nor enforce their
rules. The lunatic died amidst the tears and groans of half the city.
When the news of his death was noised abroad, a stranger would
have thought the city was also mad. Men stopped in the street to
kneel and pray; women threw themselves on the ground in grief;
and a crowd of the lower classes ran about the bazars and markets,
crying, "Ivan is dead! Ivan is dead! Ah! who will tell us what to do
for ourselves, now Ivan is dead?"
On my table, as I write these words, lies a copy of the Moscow
Gazette—the journal which Katkoff edits, in which Samarin writes—
containing a proposal, made by the clergy, for a public monument to
Ivan Jacovlevitch, in the village where this poor lunatic was born!
All monks prefer to live a life of sacrifice; the highest forms of
sacrifice being that of the recluse and the anchorite.
Every branch of the Oriental Church—Armenian, Coptic, Greek—
encourages this form; but no Church on earth has given the world so
many hermits as the Russ. Her calendar is full of anchorites, and the
stories told of these self-denying men and women are often past
belief. One Sister Maria was nailed up in a niche at Hotkoff, fed
through a hole in the rock, and lingered in her living tomb twelve
years.
On the great plateau of the Troitsa, forty miles from Moscow,
stands a monastic village, called Gethsemane. This monastic village
is divided into two parts; the convent and the catacombs; separated
by a black and silent lake.
A type of poverty and misery, the convent is built of rough logs,
colored with coarse paint. Not a trace of gold or silver is allowed,
and the only ornaments are of cypress. Gowns of the poorest serge,
and food of the simplest kind, are given to the monks. No female is
allowed to enter this holy place, excepting once a year, on the feast
of the Virgin's ascent into heaven. Three women were standing
humbly at the gate as we drove in; perhaps wondering why their sex
should be shut out of Gethsemane, since their Lord was not
betrayed in the garden by a female kiss!
Across the black lake lie the catacombs, cut off from the convent
by a gate and fence; for into these living graves it is lawful for a
female to descend. Deep down from the light of day, below the level
of that sombre lake, these catacombs extend. We light each man his
taper, as we stand above the narrow opening into the vaults. A
monk, first crossing his breast and muttering his pass-words in an
unknown tongue, goes down the winding stairs. We follow slowly,
one by one in silence; shading the light and holding to the wall. A
faint smell fills our nostrils; a dull sound greets our ears; heavily
comes our breath in the damp and fetid air. The tapers faint and
flicker in the gloom. Gaining a passage, we observe some grated
windows, narrow holes, and iron-bound doors. These openings lead
into cells. The roof above is wet with slime, the floor is foul with
crawling, nameless things.
"Hush!" drones the monk, as he creeps past some grated window
and some iron-clad door, as though he were afraid that we should
wake the dead.
"What is this hole in the stone?" The monk stops short and waves
his lurid light: "A cell; a good man lies here; hush! his soul is now
with God!"
"Dead?"
"Yea—dead to the world."
 "How long has he been here?"
"How long? Eleven years and more."
Passing this living tomb with a shiver, we catch the boom of a bell,
and soon emerge from the narrow passage into a tiny church. A
lamp is burning before the shrine; two monks are kneeling with their
temples on the floor; a priest is singing in a low, dull tone. The
fittings of this church are all of brass; for pine and birch would rot
into paste in a single year. Beyond the chapel we come to the holy
well, the water of which is said to be good for body and soul. It is
certainly earthy to the taste.
On coming into the light of day, we question the father sharply as
to that recluse who is said to have lived eleven years behind the
iron-clad door; and learn without surprise that he comes out from
time to time, to ring the convent-bell, to fetch in wood, and hear the
news! We learn that a man retired with his son into one of these
catacombs; that he remained in his grave—so to speak—two years
and a half, and then came out completely broken in his health. My
eminent Russian friend, Professor Kapoustin, turns to me and says,
"When our country was covered with forests, when our best road
was a rut, and our villages were all shut in, a man who wished for
peace of mind might wall himself up in a cell; but the country is now
open, monks read newspapers, travellers come and go, and the
recluse likes to hear the news and see the light of day."
Instead of living in their catacombs, the monks now turn a penny
by showing them to pilgrims, at the price of a taper, and by selling to
visitors the portraits of monks and nuns who lived in the sturdier
days of their church.
The spirit of sacrifice takes other and milder forms. In the court-
yards of Solovetsk one sees a strange creature, dressed in rags, fed
on garbage, and lodged in gutters, who belongs to the monastic
order, without being vowed as a regular monk. He lives by
sufferance, not by right. He offers himself up as a daily sacrifice. He
follows, so to speak, the calling of abjectness; and makes himself an
example of the worthlessness of earthly things. This strange being is
much run after by the poorer pilgrims, who regard him as a holy
man; and he is noticeable as a type of what the Black Clergy think
meritorious in the Christian life.
Father Nikita, the name by which this man is known, is a dwarf,
four feet ten inches high, with thin, gray beard, black face, and rat-
like eyes. He never pollutes his skin with water and soap; for what is
man that he should foster pride of the flesh? His garb is a string of
rags and shreds; for he spurns the warmer and more decent habit of
a monk. Instead of going to the store when he needs a frock, he
crawls into the waste-closet, where he begs as a favor that the
father having charge of the castaway clothes will give him the tatters
which some poor brother has thrown aside. A room is left for his use
in the cloister; but a bench of wood and a pillow of straw are things
too good for dust and clay; and in token of his unworthiness, he
lives on the open quay and sleeps in the convent yard. Nobody can
persuade him to sit down to the common meal; the sup of sour
quass, the pound of black bread, the morsel of salt cod being far too
sumptuous food for him; but when the meal is over, and the crumbs
are swept up, he will slink into the pantry, scrape into one dish the
slops and bones, and make a repast of what peasants and beggars
have thrown away.
He will not take his place in church; he will not pass through the
Sacred Gates. When service is going on, he crouches in the darkest
corner of the church, and listens to the prayers and chants with his
head upon the ground. He likes to be spurned and buffeted by the
crowd. A servant of every one, he is only too happy if folk will order
him about; and when he can find a wretch so poor and dirty that
every one else shuns him, he will take that dirty wretch to be his
lord. In winter, when the snow lies deep on the ground, he will sleep
in the open yard; in summer, when the heat is fierce, he will expose
his shaven crown to the sun. He loves to be scorned, and spit upon,
and robbed. Like all his class, he is fond of money; and this love of
dross he turns into his sharpest discipline of soul. Twisting plaits of
birch-bark into creels and crates, he vends these articles to boatmen
and pilgrims at two kopecks apiece; ties the copper coins in a filthy
rag; and then creeps away to hide his money under a stone, in the
hope that some one will watch him and steal it when he is gone.
The first monk who held the chair of abjectness in Solovetsk,
before Nikita came in, was a miracle of self-denial, and his death
was commemorated by an act of the rarest grace. Father Nahum is
that elder and worthier sacrifice to heaven.
Nahum is said to have been more abject in manner, more self-
denying in habit, than Nikita; being a person of higher order, and
having more method in his scheme of sacrifice. He abstained from
the refuse of fish, as too great a delicacy for sinful men. He liked to
sleep in the snow. He was only too happy to lie down at a beggar's
door. Once, when he slept outside the convent gates all night, some
humorous brother suggested that perhaps he had been looking out
for girls; and on hearing of this ribald jest he stripped himself nearly
naked, poked a hole in the ice, and sat down in the frozen lake until
his feet were chilled to the bone. A wing of the convent once took
fire, and the monks began to run about with pails; but Nahum rolled
a ball of snow in his palms and threw it among the flames; and as
the tongues lapped higher and higher, he ran to the church, threw
himself on the floor, and begged the Lord to put them out. Instantly,
say the monks, the fire died down. An archimandrite saw him
groping in a garden for potatoes, tearing up the roots with his
fingers. "That is cold work, is it not, Nahum?" asked his kindly chief.
"Humph!" said the monk; "try it." When the present emperor came
to Solovetsk, and every one was anxious to do him service, Nahum
walked up to him with a wooden cup, half full of dirty water, saying,
"Drink; it is good enough."
When this professor of abjectness died, he was honored by his
brethren with a special funeral, inside the convent gates. He was
buried in the yard, beneath the cathedral dome; where all day long,
in the pilgrim season, a crowd of people may be seen about the
block of granite which marks his grave; some praying beside the
stone, as though he were already a "friend of God," while others are
listening to the stories told of this uncanonized saint. Only one other
monk of Solovetsk has ever been distinguished by such a mark of
grace. Time—and time only—now seems wanting to Father Nahum's
glory. In another generation—if the Black Clergy hold their own—
Nahum of Solovetsk, canonized already by the popular voice of
monks and pilgrims, will be taken up in St. Isaac's Square, and
raised by imperial edict to his heavenly seat.
 CHAPTER XVII.
MIRACLES.

Yet the gift of miracles is greater than the gift of sacrifice. The
Black Clergy stand out for miracles; not in a mystical sense, but in a
natural sense; not only in times long past, but in the present hour;
not only in the dark and in obscure hamlets, but in populous places
and in the light of day.
At Kief a friend drives me out to the caves of Anton and Feodosie,
where we find some men and women standing by the gates,
expecting the father who keeps the keys to bring them and unlock
the doors. As these living pilgrims occupy us more than the dead
anchorets, we join this party, pay our five kopecks, light our tapers,
and descend with them the rocky stairs into the vault. Candle in
hand, an aged monk goes forward, muttering in the gloom; stopping
for an instant, here and there, to show us, lying on a ledge of rock,
some coffin muffled in a pall. We thread a mile of lanes, saluting
saint on saint, and twice or thrice we come into dwarf chapels, in
each of which a lamp burns dimly before a shrine. The women
kneel; the men cross themselves and pray. Moving forward in the
dark, we come upon a niche in the wall, covered by a curtain and a
glass door, on the ledge of which stands a silver dish, a little water,
and a human skull. Our pilgrims cross themselves and mutter a
voiceless prayer, while the aged monk lays down his taper and
unlocks the door. A woman sinks on her knees before the niche,
turns up her face, and shuts her eyes, while the father, dipping a
quill into the water, drops a little of the fluid on her eyelids. One by
one, each pilgrim undergoes this rite; and then, on rising from his
knees, lays down an offering of a few kopecks on the ledge of rock.
 "What does this ceremony mean?" I ask the father. "Mean?" says
he: "a mystery—a miracle! This skull is the relic of a holy man whose
eye had suffered from a blow. He called upon the Most Pure Mother
of God; she heard his cry of pain; and in her pity she cured him of
his wound."
"What is the name of that holy man?"—"We do not know."
"When did he live and die?"—"We do not know."
"Was he a monk of Kief?"—"He was; and after he died his skull
was kept, because his fame was great, and every one with pain in
his eyes came hither to obtain relief."
Not one of our fellow-pilgrims has sore eyes; but who, as the
father urges, knows what the morrow may have in store? Bad eyes
may come; and who would not like to insure himself forever against
pain and blindness at the cost of five kopecks?
Such miracles are performed by the bones of saints in cities less
holy and old than Kief.
Seraphim, a merchant of Kursk, abandoned his wife, his children,
and his shop, to become a monk. Wandering to the cloister called
the Desert of Sarof, in the province of Tambof, he dug for himself a
hole in the ground, in which he lay down and slept. Some robbers
came to his cave, where they beat and searched him; but, on finding
his pockets empty, they knew that he must be a holy man. From that
lucky day his fame spread rapidly abroad; and people came to see
him from far and near; bringing presents of bread, of raiment, and
of money; all of which he took into his cave, and doled out
afterwards to the poor. A second window had to be cut into his cell;
at one he received gifts, at the other he dispensed them. His desert
became a populous place, and the Convent of Sarof grew into vast
repute.
Seraphim founded a second desert for women, ten miles distant
from his own. A gentleman gave him a piece of ground; merchants
sent him money; for his favor was by that time reckoned as of
higher value than house and land. Lovely and wealthy women drove
to see him, and to stay with him; entering into the desert which he
formed for them, and living apart from the world, without taking on
their heads the burden of conventual vows. At length a miracle was
announced. A lamp which hung in front of a picture of the Virgin
died out while Seraphim was kneeling on the ground; the chapel
grew dark and the face of the Virgin faint; the pilgrims were much
alarmed; when, to the surprise of every one who saw it, a light came
out from the picture and re-lit the lamp! A second miracle soon
followed. One day, a crowd of poor people came to the desert for
bread, when Seraphim had little in his cell to give. Counting his
loaves, he saw that he had only two; and how was he to divide two
loaves among all those hungry folk? He lifted up his voice—and lo!
not two, but twenty loaves were standing on his board. From that
time wonders were reported every year from Sarof; cures of all
kinds; and the court in front of Seraphim's cell was thronged by the
lame and blind, the deaf and dumb, by day and night.
Seraphim died in 1833; yet miracles are said to be effected at his
tomb to this very hour. Already called a saint, the people ask his
canonization from the Church. Every new Emperor makes a saint; as
in Turkey every new Sultan builds a mosque; and Seraphim is fixed
upon by the public voice as the man whom Alexander the Third will
have to make a saint.
One Motovilof, a landowner in the province of Penza, lame, unable
to walk, applied for help to Seraphim, who promised the invalid, on
conditions, a certain cure. Motovilof was to become a friend of Sarof;
a supporter of the female desert. Yielding to these terms, he was
told to go down to Voronej, and to make his reverence at the shrine
of Metrofanes, a local saint, on which he would find himself free
from pain. Motovilof went to Voronej, and came back cured. With
grateful heart he gave Seraphim a patch of land for his female
desert; and then, being busy with his affairs, he gradually forgot his
pilgrimage and his miraculous cure. The pain came back into his leg;
he could hardly walk; and not until he sent a supply of bread and
clothes to Seraphim was he restored in health. Not once, but many
times, the worldly man was warned to keep his pledge; a journey to
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