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12.2270765

*Product Design*

**67**

**Chapter 4**

**Abstract**

*Cătălin Alexandru*

simulation, optimal design

efficient and competitive products [1, 2].

**1. Introduction**

Virtual Prototyping Platform

for Designing Mechanical and

The chapter deals with the description of a virtual prototyping platform that facilitates the design process of the mechanical and mechatronic systems. The virtual prototyping stages are defined and then integrated in a block diagram, highlighting how the data are transferred between these stages in order to finally obtain a valid and optimal virtual model, close (as structure and functionality) to the real one. The whole process is guided by the basic principle for successful virtual prototyping: as complicated as necessary and as simple as possible. The real modeling case, the specific simplifying assumptions, and the validity (viability) fields of the simplifying assumptions are discussed with reference to the main components of a mechanical or mechatronic system (bodies, connections between bodies, actuating elements). The purpose is to manipulate the simplifying assumptions in a way that reduces the complexity of the virtual model, but without altering the accuracy of the results. The basic types of analysis/simulation are depicted by considering their particularities, highlighting their role in the process of designing mechanical/ mechatronic systems, and then the optimization is conducted by the use of parametric design tools. Finally, a case study is developed following those mentioned above.

**Keywords:** virtual prototyping, mechanical and mechatronic systems, modeling,

In the process of product development, as in many other fields, using the computer is no longer just a useful alternative to classical instruments, but it has become a real need. The computer is currently used from the concept elaboration stage until the manufacturing and implementation. Designers now have access to very sophisticated and high-performance working tools, based on software solutions dedicated to the various stages of product design and development. The traditional computer-aided design (CAD) and computer-aided manufacturing (CAM) approaches are now being addressed through computer-aided engineering (CAE) integrating platforms, which allow the evaluation and improvement of the product at the system level and not separately on its parts or subsystems, such an approach being reflected in increasingly

As the complexity and the competitiveness requirements of the products (in this case, mechanical and mechatronic systems) increase, the design and development times must be reduced, conditions in which the development and testing of

Mechatronic Systems

## **Chapter 4**

## Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems

*Cătălin Alexandru*

## **Abstract**

The chapter deals with the description of a virtual prototyping platform that facilitates the design process of the mechanical and mechatronic systems. The virtual prototyping stages are defined and then integrated in a block diagram, highlighting how the data are transferred between these stages in order to finally obtain a valid and optimal virtual model, close (as structure and functionality) to the real one. The whole process is guided by the basic principle for successful virtual prototyping: as complicated as necessary and as simple as possible. The real modeling case, the specific simplifying assumptions, and the validity (viability) fields of the simplifying assumptions are discussed with reference to the main components of a mechanical or mechatronic system (bodies, connections between bodies, actuating elements). The purpose is to manipulate the simplifying assumptions in a way that reduces the complexity of the virtual model, but without altering the accuracy of the results. The basic types of analysis/simulation are depicted by considering their particularities, highlighting their role in the process of designing mechanical/ mechatronic systems, and then the optimization is conducted by the use of parametric design tools. Finally, a case study is developed following those mentioned above.

**Keywords:** virtual prototyping, mechanical and mechatronic systems, modeling, simulation, optimal design

## **1. Introduction**

In the process of product development, as in many other fields, using the computer is no longer just a useful alternative to classical instruments, but it has become a real need. The computer is currently used from the concept elaboration stage until the manufacturing and implementation. Designers now have access to very sophisticated and high-performance working tools, based on software solutions dedicated to the various stages of product design and development. The traditional computer-aided design (CAD) and computer-aided manufacturing (CAM) approaches are now being addressed through computer-aided engineering (CAE) integrating platforms, which allow the evaluation and improvement of the product at the system level and not separately on its parts or subsystems, such an approach being reflected in increasingly efficient and competitive products [1, 2].

As the complexity and the competitiveness requirements of the products (in this case, mechanical and mechatronic systems) increase, the design and development times must be reduced, conditions in which the development and testing of

physical prototypes become major impediments. Thus, it is necessary to implement design techniques based on modeling, simulation, and optimization in virtual environment, which can ensure a higher performance and quality of the products using only a fraction of the time and cost required in traditional approaches. Virtual prototyping is a computer-aided engineering-based discipline that entails modeling products, simulating and optimizing their behavior under real-world operating conditions. Through the use of various types of software solutions for evaluating the form, functionality, and durability of the products in an integrated approach, complex digital prototypes can be created and then used in virtual experiments (lab and field tests) in a similar way to the real cases [3–5].

In this context, the chapter proposes to present the integrated concept of modeling, simulation, and optimization of the behavior of mechanical and mechatronic systems through the use of a virtual prototyping software platform. The platform integrates specific software solutions for evaluating the form, assembly, functionality, and durability of mechanical and mechatronic systems. The components of the virtual prototyping platform are depicted by mentioning their particular role, as well as the mode in which they are integrated within the platform and communicate (data transfer) with each other. Then, the virtual prototyping stages are discussed starting from a flowchart reflecting the mode in which the data are transferred from one stage to another, to obtain a valid and optimal virtual prototype, these being the two attributes that the virtual prototype must have in order to be a truly useful/viable one. Finally, a case study is developed by considering a complex product, namely, a suspension system for motor vehicles, which is approached in mechatronic concept, by integrating the two main subsystems (the mechanical and actuating and control devices) at the virtual prototype level.

## **2. The software platform for virtual prototyping**

In the general case, the virtual prototyping platform of the mechanical systems integrates three basic software solutions (**Figure 1a**): computer-aided design, multibody systems (MBS), and finite element analysis (FEA). In addition, in the case of mechatronic systems (mechanical systems with controlled actuation), the virtual prototyping platform integrates a design for control (DFC) software solution (**Figure 1b**), in the concurrent engineering concept (for the purpose of co-simulation).

Firstly, with the help of CAD software, the geometrical (solid) 3D model of the mechanical system is developed, with the purpose to determine the mass and inertia properties (moments and products of inertia) of the bodies (rigid parts). The 3D model is then transferred to the MBS software, which is intended to analyze and optimize the behavior of the mechanical system (in terms of kinematics, statics, and dynamics, by case). The data transfer from CAD to MBS is performed using

**69**

**Table 1.**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

standard geometry file formats, such as STEP, IGES, Parasolid, stereolithography, and others. From this point of view, there are no rules, but only certain recommendations of the software producers regarding the file format. For example, the recommended geometry transfer formats from the main CAD software to the MBS environment Automatic Dynamic Analysis of Mechanical Systems (ADAMS) of MSC Software (which is a global leader in virtual prototyping software and services) are presented in **Table 1**. With such file formats, the import into ADAMS is done through the general ADAMS/Exchange transfer interface. At the same time, specialized modules (interfaces) for geometry transfer were developed, which perform a customized transfer between the CAD and MBS ADAMS environments,

Initial Graphics Exchange Specification (IGES) format represents the first standard of interchangeability, being designed in American Standard Code for Information Interchange (ASCII) code. IGES reduces the CAD model to a list of entities, each entity being associated with a number. Drawing Exchange Format (DXF) is also based on graphical entities, for each data type, which is ASCII encoded, being allocated a line. Standard for the Exchange of Product Model Data (STEP) format describes the data at the product level and not the entity, through a specialized language (Express) that establishes the correspondence between the STEP file and the CAD model. Stereolithography (STL) format is a neutral format based on stereolithography, being used mainly in rapid prototyping devices (laser printing). Parasolid format is a geometric modeling kernel that allows transferring the entire 3D solid model through a single file, while in the case of the other for-

The mass and inertia properties of the bodies are automatically calculated by the MBS software (ADAMS, in this case), depending on the 3D solid model imported from CAD and the associated material (defined by the well-known characteristics/ properties: Young's modulus, Poisson's ratio, and density). Most MBS software solutions (including ADAMS) have their own solid modeling library, the modeling principles being the same as in CAD (elementary solids, composite solids using Boolean operations (union, extraction, and intersection), solids obtained by extrusion and, respectively, rotating surfaces), but for bodies with more complex

**CAD software File formats Transfer interfaces**

STL

STEP IGES

IGES

STL IGES

IGES

STL DXF UG/Mechanism

CAT/ADAMS

MECHANISM/Pro

Dynamic Designer

Mechanism Design Mechanism Simulation

Dynamic Designer

mats, the transfer is done part by part (one file for each part).

geometry, the use of specialized CAD environment is required.

Unigraphics (UG) Parasolid

CATIA STL

Pro/ENGINEER (currently Creo Elements/Pro) STL

I-DEAS STL

Mechanical Desktop IGS

*The file formats and transfer interfaces from CAD to ADAMS.*

SOLIDWORKS Parasolid

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

as it is also presented in **Table 1** [6].

**Figure 1.**

*The virtual prototyping software platform for mechanical (a) and mechatronic (b) systems.*

## *Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

standard geometry file formats, such as STEP, IGES, Parasolid, stereolithography, and others. From this point of view, there are no rules, but only certain recommendations of the software producers regarding the file format. For example, the recommended geometry transfer formats from the main CAD software to the MBS environment Automatic Dynamic Analysis of Mechanical Systems (ADAMS) of MSC Software (which is a global leader in virtual prototyping software and services) are presented in **Table 1**. With such file formats, the import into ADAMS is done through the general ADAMS/Exchange transfer interface. At the same time, specialized modules (interfaces) for geometry transfer were developed, which perform a customized transfer between the CAD and MBS ADAMS environments, as it is also presented in **Table 1** [6].

Initial Graphics Exchange Specification (IGES) format represents the first standard of interchangeability, being designed in American Standard Code for Information Interchange (ASCII) code. IGES reduces the CAD model to a list of entities, each entity being associated with a number. Drawing Exchange Format (DXF) is also based on graphical entities, for each data type, which is ASCII encoded, being allocated a line. Standard for the Exchange of Product Model Data (STEP) format describes the data at the product level and not the entity, through a specialized language (Express) that establishes the correspondence between the STEP file and the CAD model. Stereolithography (STL) format is a neutral format based on stereolithography, being used mainly in rapid prototyping devices (laser printing). Parasolid format is a geometric modeling kernel that allows transferring the entire 3D solid model through a single file, while in the case of the other formats, the transfer is done part by part (one file for each part).

The mass and inertia properties of the bodies are automatically calculated by the MBS software (ADAMS, in this case), depending on the 3D solid model imported from CAD and the associated material (defined by the well-known characteristics/ properties: Young's modulus, Poisson's ratio, and density). Most MBS software solutions (including ADAMS) have their own solid modeling library, the modeling principles being the same as in CAD (elementary solids, composite solids using Boolean operations (union, extraction, and intersection), solids obtained by extrusion and, respectively, rotating surfaces), but for bodies with more complex geometry, the use of specialized CAD environment is required.


## **Table 1.**

*The file formats and transfer interfaces from CAD to ADAMS.*

*Product Design*

physical prototypes become major impediments. Thus, it is necessary to implement design techniques based on modeling, simulation, and optimization in virtual environment, which can ensure a higher performance and quality of the products using only a fraction of the time and cost required in traditional approaches. Virtual prototyping is a computer-aided engineering-based discipline that entails modeling products, simulating and optimizing their behavior under real-world operating conditions. Through the use of various types of software solutions for evaluating the form, functionality, and durability of the products in an integrated approach, complex digital prototypes can be created and then used in virtual experiments

In this context, the chapter proposes to present the integrated concept of modeling, simulation, and optimization of the behavior of mechanical and mechatronic systems through the use of a virtual prototyping software platform. The platform integrates specific software solutions for evaluating the form, assembly, functionality, and durability of mechanical and mechatronic systems. The components of the virtual prototyping platform are depicted by mentioning their particular role, as well as the mode in which they are integrated within the platform and communicate (data transfer) with each other. Then, the virtual prototyping stages are discussed starting from a flowchart reflecting the mode in which the data are transferred from one stage to another, to obtain a valid and optimal virtual prototype, these being the two attributes that the virtual prototype must have in order to be a truly useful/viable one. Finally, a case study is developed by considering a complex product, namely, a suspension system for motor vehicles, which is approached in mechatronic concept, by integrating the two main subsystems (the mechanical and

In the general case, the virtual prototyping platform of the mechanical systems integrates three basic software solutions (**Figure 1a**): computer-aided design, multibody systems (MBS), and finite element analysis (FEA). In addition, in the case of mechatronic systems (mechanical systems with controlled actuation), the virtual prototyping platform integrates a design for control (DFC) software solution (**Figure 1b**),

Firstly, with the help of CAD software, the geometrical (solid) 3D model of the mechanical system is developed, with the purpose to determine the mass and inertia properties (moments and products of inertia) of the bodies (rigid parts). The 3D model is then transferred to the MBS software, which is intended to analyze and optimize the behavior of the mechanical system (in terms of kinematics, statics, and dynamics, by case). The data transfer from CAD to MBS is performed using

in the concurrent engineering concept (for the purpose of co-simulation).

*The virtual prototyping software platform for mechanical (a) and mechatronic (b) systems.*

(lab and field tests) in a similar way to the real cases [3–5].

actuating and control devices) at the virtual prototype level.

**2. The software platform for virtual prototyping**

**68**

**Figure 1.**

## *Product Design*

Based on the results of the dynamic analysis performed in the MBS environment, the system loads by forces and torques are determined, representing input data for the analysis with finite elements within the FEA software. Subsequently, the deformability state of the components is returned in the MBS software, thus making possible the dynamic analysis of the mechanical system with deformable (flexible) parts, which is more realistic (closer to reality) than the analysis with rigid parts [7, 8]. Through the analysis of compliant models, the stress and vibration states can be determined with the purpose to evaluate the functional and durability performances of the mechanical system. The data transfer from ADAMS to the main FEA environments (such as ANSYS, ABAQUS, or NASTRAN/PATRAN) is done through FEA Loads type format, from the general ADAMS/Exchange transfer interface. The FEA to MBS connection is usually made through the modal neutral file (MNF) format. In ADAMS, the data import from FEA is managed by the ADAMS/Flex interface. It should also be mentioned that ADAMS software package integrates a specialized module, called ADAMS/AutoFlex, which can be used for the conversion of rigid bodies into deformable equivalents, but with certain limitations in the case of more complex geometry bodies, for which it is still necessary to use specialized FEA software.

Finally, regarding the communication between ADAMS and the DFC software environments, in the case of mechatronic systems, the ADAMS package integrates the plug-in ADAMS/Controls through which the data transfer with one of the following DFC software is carried out: MATLAB/Simulink, MATRIXX, and EASY5. Basically, ADAMS/Controls manages the input and output plants of the controlled process (as mentioned above, the outputs from the MBS are inputs into DFC and vice versa respectively), allowing to perform the co-simulation (in-parallel running/processing) of the two main subsystems of a mechatronic system, namely, the mechanical device and the actuating and control device. The information related to the input and output plants are saved in a specific file having the extension .m (for MATLAB) or .inf (for EASY5 and MATRIXX). At the same time, a command file (.cmd) and a data file (.adm) are generated, which are used during the cosimulation process. The files thus generated by ADAMS/Controls are then imported into the DFC application, where the ADAMS interface block is subsequently set and the control block model is designed. It should be mentioned that ADAMS provides some facilities for control system design, which are integrated into the Controls Toolkit module, but obviously not up to the level of complexity offered by dedicated DFC software.

By integrating the mechanical device and the control system at the virtual prototype level, the two models/subsystems are simultaneously tested and verified, thus simplifying the experimental testing process and eliminating (or at least minimizing) the risk that the control law is not accurately tracked (complied) by the mechanical device [9, 10]. Such a mechatronic concept approach is known as concurrent engineering. The simulation algorithm for mechatronic systems involves the following steps:


**71**

**Figure 2.**

*The virtual prototyping workflow.*

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

The so described simulation process creates a closed loop, in which the controlled inputs of the control application affect the simulation in the MBS environment, while the outputs from the MBS simulation affect the level of the controlled

A complete virtual prototyping process is defined by the following five stages (see also the workflow schematic representation in **Figure 2**): modeling, analysis, validation, refining, and optimization. During the modeling stage, the specific components of the mechanical or mechatronic system (such as bodies, connections between bodies, actuating elements, and other force generating elements) are created by using the software solutions shown in **Figure 1**. The output from modeling is the initial virtual model, which is then analyzed (simulated/tested) with the purpose to determine the behavior of the mechanical or mechatronic system, in terms of movement (linear or angular positions, velocities, and accelerations, by case) and reaction force states. The results obtained through the simulation in virtual environment (which are the analysis outputs) are then compared with the corresponding experimental results obtained by physical prototyping, in order to validate the virtual model. It should be mentioned that the physical prototyping is not a stage in itself of virtual prototyping, but a supporting process for this. By the comparative analysis of the virtual and experimental results, one of the following two cases can be reached: valid virtual model (when the virtual results fit with the experimental ones) and invalid virtual model (when the results obtained through the simulation in virtual environment do not match the experimental ones). In the first case, the last step of the virtual prototyping process will be the optimization, which aims to determine the optimal design of mechanical or mechatronic system (in terms of functionality, efficiency-energetic, or economic, by case). On the other hand, if the validation output is expressed by an invalid virtual model, the refining stage must be accomplished with the purpose to improve the fidelity of the virtual model by reference to the physical one. The refined virtual model is then analyzed (by simulation in virtual environment), followed by a new validation. In this way,

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

**3. The virtual prototyping process**

signals in DFC.

The so described simulation process creates a closed loop, in which the controlled inputs of the control application affect the simulation in the MBS environment, while the outputs from the MBS simulation affect the level of the controlled signals in DFC.

## **3. The virtual prototyping process**

*Product Design*

Based on the results of the dynamic analysis performed in the MBS environment, the system loads by forces and torques are determined, representing input data for the analysis with finite elements within the FEA software. Subsequently, the deformability state of the components is returned in the MBS software, thus making possible the dynamic analysis of the mechanical system with deformable (flexible) parts, which is more realistic (closer to reality) than the analysis with rigid parts [7, 8]. Through the analysis of compliant models, the stress and vibration states can be determined with the purpose to evaluate the functional and durability performances of the mechanical system. The data transfer from ADAMS to the main FEA environments (such as ANSYS, ABAQUS, or NASTRAN/PATRAN) is done through FEA Loads type format, from the general ADAMS/Exchange transfer interface. The FEA to MBS connection is usually made through the modal neutral file (MNF) format. In ADAMS, the data import from FEA is managed by the ADAMS/Flex interface. It should also be mentioned that ADAMS software package integrates a specialized module, called ADAMS/AutoFlex, which can be used for the conversion of rigid bodies into deformable equivalents, but with certain limitations in the case of more complex geometry

bodies, for which it is still necessary to use specialized FEA software.

Finally, regarding the communication between ADAMS and the DFC software environments, in the case of mechatronic systems, the ADAMS package integrates the plug-in ADAMS/Controls through which the data transfer with one of the following DFC software is carried out: MATLAB/Simulink, MATRIXX, and EASY5. Basically, ADAMS/Controls manages the input and output plants of the controlled process (as mentioned above, the outputs from the MBS are inputs into DFC and vice versa respectively), allowing to perform the co-simulation (in-parallel running/processing) of the two main subsystems of a mechatronic system, namely, the mechanical device and the actuating and control device. The information related to the input and output plants are saved in a specific file having the extension .m (for MATLAB) or .inf (for EASY5 and MATRIXX). At the same time, a command file (.cmd) and a data file (.adm) are generated, which are used during the cosimulation process. The files thus generated by ADAMS/Controls are then imported into the DFC application, where the ADAMS interface block is subsequently set and the control block model is designed. It should be mentioned that ADAMS provides some facilities for control system design, which are integrated into the Controls Toolkit module, but obviously not up to the level of complexity offered by dedicated

By integrating the mechanical device and the control system at the virtual prototype level, the two models/subsystems are simultaneously tested and verified, thus simplifying the experimental testing process and eliminating (or at least minimizing) the risk that the control law is not accurately tracked (complied) by the mechanical device [9, 10]. Such a mechatronic concept approach is known as concurrent engineering. The simulation algorithm for mechatronic systems involves

1.Within MBS software: modeling the mechanical device (including bodies, joints, actuating elements, other force generating elements), analyzing-simulating the MBS model, modeling the input (I) and output (O) plants in/from

2.Within DFC software: importing the mechanical model, synthesizing the desired trajectories of the mechatronic system and modeling the input block diagram (reference signals synthesis), designing the control system block diagram, synthesizing the controller and the electrical interfacing circuits, and

the MBS model, and exporting the MBS model for DFC

simulating the mechatronic system

**70**

DFC software.

the following steps:

A complete virtual prototyping process is defined by the following five stages (see also the workflow schematic representation in **Figure 2**): modeling, analysis, validation, refining, and optimization. During the modeling stage, the specific components of the mechanical or mechatronic system (such as bodies, connections between bodies, actuating elements, and other force generating elements) are created by using the software solutions shown in **Figure 1**. The output from modeling is the initial virtual model, which is then analyzed (simulated/tested) with the purpose to determine the behavior of the mechanical or mechatronic system, in terms of movement (linear or angular positions, velocities, and accelerations, by case) and reaction force states. The results obtained through the simulation in virtual environment (which are the analysis outputs) are then compared with the corresponding experimental results obtained by physical prototyping, in order to validate the virtual model. It should be mentioned that the physical prototyping is not a stage in itself of virtual prototyping, but a supporting process for this. By the comparative analysis of the virtual and experimental results, one of the following two cases can be reached: valid virtual model (when the virtual results fit with the experimental ones) and invalid virtual model (when the results obtained through the simulation in virtual environment do not match the experimental ones). In the first case, the last step of the virtual prototyping process will be the optimization, which aims to determine the optimal design of mechanical or mechatronic system (in terms of functionality, efficiency-energetic, or economic, by case). On the other hand, if the validation output is expressed by an invalid virtual model, the refining stage must be accomplished with the purpose to improve the fidelity of the virtual model by reference to the physical one. The refined virtual model is then analyzed (by simulation in virtual environment), followed by a new validation. In this way,

**Figure 2.** *The virtual prototyping workflow.*

an iterative process (refining—analysis—validation) is carried out until a valid virtual prototype is obtained, which will be then the subject for optimization.

The basic principle for a successful virtual prototyping process can be formulated as follows: as complex as necessary and as simple as possible. This is in compliance with Einstein's statement: "A scientific theory should be as simple as possible, but no simpler." The idea is to manipulate the simplifying assumptions in a way that reduces the complexity of the virtual model (in order to make the real-time simulation), but without affecting/altering the precision of the results. In other words, a useful virtual prototype should be a trade-off between simplicity and realism. In the following, the implementation of this basic principle regarding the modeling and refining will be discussed for the basic components of a mechanical or mechatronic system, namely, bodies, connections between bodies, and actuating elements. For each of them, the real modeling case and the specific simplifying assumptions (hypotheses) are presented in **Table 2**.

In the real case, all the bodies are flexible (deformable), more or less, depending on the state of loading to which they are subjected, having constant mass (in most cases) and variable inertia properties (by changing the geometric shape). The simplifying assumptions for the modeling of the bodies are obtained from the real case by successively neglecting certain properties, as follows:



**73**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

The modeling of the bodies by composed restrictions is not possible for all the bodies in a mechanical or mechatronic system, but only in the following cases:

• The body is a mobile one, and not the fixed part of the system (which must remain the reference part to which the global reference frame is attached).

• The body is not input (by which movement is introduced into the system) or output part (from which the movement is collected), and this is because the

• No external forces or torques are applied to the body, or no force generating elements are connected to the body, and this is because the forces can only act

A more detailed discussion on the modeling of the bodies as composed restrictions can be performed in correlation with the MBS models of the four-bar mechanism is schematically represented in **Figure 3**. So, the model shown in **Figure 3a** is a general one, with four bodies (three mobile parts, 1, 2, and 3, and the fixed part/ground, 0). Then, in **Figure 3b** and **c**, there models shown with three bodies (two mobile parts, 1 and 2 or 3, and the fixed part, 0) and one composed restriction (constant distance between the corresponding ends of the rod 2 and ground, respectively, of the crank 1 and rocker 3). Finally, in **Figure 3d**, the model is shown with a minimum number of bodies (the rod 2 and the fixed part) and two composed restrictions between the two bodies. The model with a minimum number of bodies is valid one only if the mobile body is at the same time input and output of the system, and this is possible because the body has three movements (two translations along the two axes of the representation plane and one rotation around the axis normal to this plane). The four MBS models shown in **Figure 3** are defined by the following numbers of generalized coordinates (movement parameters—6 per each mobile body): 18 (a), 12, (b and c), and 6 (d). Therefore, the model with a minimum number of bodies is the most convenient from the point of view of the complexity, which depends on the number of equations for determining the

The connections between bodies (excepting the previously discussed composed restrictions, which are not connections with a physical equivalent) are nothing else than contacts between the geometric forms/shapes of the bodies. These contacts can be classified in two groups, with representative examples in

• Stationary (permanent) contacts (**Figure 4a**), where the connection between bodies is kept as in the initial state during the entire analysis range (throughout

• Nonstationary contacts (**Figure 4b**), where the connection between bodies changes during the analysis, either the contact is lost or it occurs or the type of

Given that the real modeling case of the bodies is flexible (deformable) bodies, the real modeling case for the connections between bodies will be contacts between flexible bodies (or briefly, flexible contacts). Then, the first simplifying assumption for the modeling of the bodies (rigid bodies) is automatically transferred to the modeling of the connections, resulting rigid contacts (contacts between rigid

contact changes (e.g., from surface contact to linear or point contact)

movement can be introduced/collected only through/from bodies.

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

on bodies.

behavior of the system.

**Figure 4**, as follows:

the system operation)

**Table 2.**

*The modeling of the basic components.*

The modeling of the bodies by composed restrictions is not possible for all the bodies in a mechanical or mechatronic system, but only in the following cases:


A more detailed discussion on the modeling of the bodies as composed restrictions can be performed in correlation with the MBS models of the four-bar mechanism is schematically represented in **Figure 3**. So, the model shown in **Figure 3a** is a general one, with four bodies (three mobile parts, 1, 2, and 3, and the fixed part/ground, 0). Then, in **Figure 3b** and **c**, there models shown with three bodies (two mobile parts, 1 and 2 or 3, and the fixed part, 0) and one composed restriction (constant distance between the corresponding ends of the rod 2 and ground, respectively, of the crank 1 and rocker 3). Finally, in **Figure 3d**, the model is shown with a minimum number of bodies (the rod 2 and the fixed part) and two composed restrictions between the two bodies. The model with a minimum number of bodies is valid one only if the mobile body is at the same time input and output of the system, and this is possible because the body has three movements (two translations along the two axes of the representation plane and one rotation around the axis normal to this plane). The four MBS models shown in **Figure 3** are defined by the following numbers of generalized coordinates (movement parameters—6 per each mobile body): 18 (a), 12, (b and c), and 6 (d). Therefore, the model with a minimum number of bodies is the most convenient from the point of view of the complexity, which depends on the number of equations for determining the behavior of the system.

The connections between bodies (excepting the previously discussed composed restrictions, which are not connections with a physical equivalent) are nothing else than contacts between the geometric forms/shapes of the bodies. These contacts can be classified in two groups, with representative examples in **Figure 4**, as follows:


Given that the real modeling case of the bodies is flexible (deformable) bodies, the real modeling case for the connections between bodies will be contacts between flexible bodies (or briefly, flexible contacts). Then, the first simplifying assumption for the modeling of the bodies (rigid bodies) is automatically transferred to the modeling of the connections, resulting rigid contacts (contacts between rigid

*Product Design*

an iterative process (refining—analysis—validation) is carried out until a valid virtual prototype is obtained, which will be then the subject for optimization. The basic principle for a successful virtual prototyping process can be formulated as follows: as complex as necessary and as simple as possible. This is in compliance with Einstein's statement: "A scientific theory should be as simple as possible, but no simpler." The idea is to manipulate the simplifying assumptions in a way that reduces the complexity of the virtual model (in order to make the real-time simulation), but without affecting/altering the precision of the results. In other words, a useful virtual prototype should be a trade-off between simplicity and realism. In the following, the implementation of this basic principle regarding the modeling and refining will be discussed for the basic components of a mechanical or mechatronic system, namely, bodies, connections between bodies, and actuating elements. For each of them, the real modeling case and the specific simplifying

In the real case, all the bodies are flexible (deformable), more or less, depending on the state of loading to which they are subjected, having constant mass (in most cases) and variable inertia properties (by changing the geometric shape). The simplifying assumptions for the modeling of the bodies are obtained from the real

1.Rigid bodies: the shape of the bodies does not change during the analysis, so

2.Point masses: the shape is neglected by considering that the whole body mass is concentrated in a point (the center of mass), and in this way the inertia prop-

3.Bodies without mass (massless bodies): both the mass and the inertia properties are neglected as a consequence of the fact that the bodies are modeled by

4.Composed restrictions: this is a special modeling case in which certain bodies are modeled as constraints between other bodies, such as constant distance or

• Deformable (flexible) contacts • Rigid contacts

• Point masses

bodies)

• Joints

• Bodies without mass (massless

• Composed restrictions

• Constraint equations

• Motor forces or torques • Motion restrictions

**Components Real case Simplifying assumptions**

2D elements/objects (such as lines, polylines, plane curves).

Bodies • Deformable (flexible) bodies • Rigid bodies

assumptions (hypotheses) are presented in **Table 2**.

their inertial properties become constant.

erties are not taken into account.

Actuating elements • Motors/actuators

*The modeling of the basic components.*

• Human operators • External factors

area constraints.

Connections between bodies

case by successively neglecting certain properties, as follows:

**72**

**Table 2.**

**Figure 3.** *MBS models for the four-bar mechanism: (a) 4-body model, (b, c) 3-body models and (d) 2-body model.*

**Figure 4.**

*Types of contacts (connections) between bodies: (a) stationary and (b) nonstationary.*

bodies). Both in the case of flexible contacts and for rigid contacts, the connections do not restrict movements, but they introduce reaction forces and torques. The other simplifying assumptions for the modeling of the connections are the ones that restrict movements, namely, joints and constraint equations, which can be used only for the stationary connections (such as that shown in **Figure 4a**, where the contact between the two bodies of the hinge can be modeled as a revolute joint). It should be mentioned that the joint is a symbolical representation (like a modeling shortcut) in the software of the constraint equations, which can be classified in two categories: constraint equations generated by the software (through user-modeled joints), and constraint equations created by the user.

The actuating elements of the mechanical/mechatronic systems are usually found in the following categories (**Figure 5**): (a) rotary or linear motors/ actuators, (b) external factors (such as the wind action for a wind turbine or the road irregularities for a vehicle suspension system), and (c) human operators. Whatever the case, the actuating elements generate mechanical power, which is defined by two components: force and movement. In these terms, the actuating element can be modeled by one of the two mentioned components: motor force/ torque and motion restriction. The latter, by which the movement of the actuated (input) bodies is controlled, can be applied at the position, velocity or acceleration (linear or angular, by case) level, usually as in time variation laws. On the other hand, the motion restrictions can be applied in joints (thus controlling the relative motion between the adjacent bodies, as in the case of the jack mechanism shown in **Figure 5c**, where the relative motion between the crank and the fixed support can be controlled in the revolute joint between the two) or in points (thus controlling the spatial or planar positions of certain points of interest on the body, for example the point located in the end-effector extremity of the industrial robot shown in **Figure 5a**).

**75**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

As it results from the ones presented in the second section of the paper, the central component of the virtual prototyping platform is the MBS software solution, which is the integrative solution used to simulate and optimize the behavior of the mechanical and mechatronic systems [11–15]. The analysis flowchart in MBS environment is schematically represented in **Figure6**. The types of analysis can be performed separately or coupled in a certain sequence depending on the degree of freedom (DOF) of the mechanism, which expresses the number of uncontrolled (independent) movements, which take place under forces action. The basic components of a mechanical/mechatronic system can be structured in the following way: components that bring movement → mobile bodies; components that eliminate motion → connections between bodies (when they are modeled by joints or constraint equations); components that control motion → actuating elements (when they are modeled by motion restrictions). Thus, the number of degrees of freedom is given by the following equation (Gruebler's count) [16]:

*Types of actuating elements of the mechanical/mechatronic systems: (a) motors, (b) external factor and* 

where n is the number of mobile bodies, Σr is the sum of geometric restrictions (joints and/or composed restrictions), and Σrm is the sum of motion restrictions. To better understand the above, **Figure 7** shows three modeling cases for an openloop system formed by two bodies (the mobile part and the ground) connected by a revolute joint, with the following particularities: (a) there is no actuating element; (b) the actuating element is modeled by a motion restriction, controlling in this way the angular position of the rotating body/crank; and (c) the actuating element is modeled by a motor torque applied on the rotating body. For the three cases, the following numbers of degrees of freedom are corresponding: (a) DOF = 6–5 = 1; (b) DOF = 6 − (5 + 1) = 0; (c) DOF = 6 − 5 = 1. Therefore, the second model (b) has no independent motion, the angular positions of the crank being controlled (imposed) by the motion restriction regardless of the mass and the inertial properties of the body. In the first (a) and the third (c) case, respectively, the model has one uncontrolled motion (the rotation of the crank), which is influenced by the action of the forces (mass and inertia forces in the both cases, and in addition the motor torque in the third case). Thus, the motion restrictions remove degrees of freedom, by controlling the motion,

while the motor forces/torques do not remove degrees of freedom.

DOF = 6n–Σ(r + rm) (1)

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

**4. The analysis flowchart**

**Figure 5.**

*(c) human operator.*

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

**Figure 5.**

*Product Design*

**Figure 4.**

**Figure 3.**

bodies). Both in the case of flexible contacts and for rigid contacts, the connections do not restrict movements, but they introduce reaction forces and torques. The other simplifying assumptions for the modeling of the connections are the ones that restrict movements, namely, joints and constraint equations, which can be used only for the stationary connections (such as that shown in **Figure 4a**, where the contact between the two bodies of the hinge can be modeled as a revolute joint). It should be mentioned that the joint is a symbolical representation (like a modeling shortcut) in the software of the constraint equations, which can be classified in two categories: constraint equations generated by the software (through user-modeled

*MBS models for the four-bar mechanism: (a) 4-body model, (b, c) 3-body models and (d) 2-body model.*

*Types of contacts (connections) between bodies: (a) stationary and (b) nonstationary.*

The actuating elements of the mechanical/mechatronic systems are usually found in the following categories (**Figure 5**): (a) rotary or linear motors/ actuators, (b) external factors (such as the wind action for a wind turbine or the road irregularities for a vehicle suspension system), and (c) human operators. Whatever the case, the actuating elements generate mechanical power, which is defined by two components: force and movement. In these terms, the actuating element can be modeled by one of the two mentioned components: motor force/ torque and motion restriction. The latter, by which the movement of the actuated (input) bodies is controlled, can be applied at the position, velocity or acceleration (linear or angular, by case) level, usually as in time variation laws. On the other hand, the motion restrictions can be applied in joints (thus controlling the relative motion between the adjacent bodies, as in the case of the jack mechanism shown in **Figure 5c**, where the relative motion between the crank and the fixed support can be controlled in the revolute joint between the two) or in points (thus controlling the spatial or planar positions of certain points of interest on the body, for example the point located in the end-effector extremity of the

joints), and constraint equations created by the user.

industrial robot shown in **Figure 5a**).

**74**

*Types of actuating elements of the mechanical/mechatronic systems: (a) motors, (b) external factor and (c) human operator.*

## **4. The analysis flowchart**

As it results from the ones presented in the second section of the paper, the central component of the virtual prototyping platform is the MBS software solution, which is the integrative solution used to simulate and optimize the behavior of the mechanical and mechatronic systems [11–15]. The analysis flowchart in MBS environment is schematically represented in **Figure6**. The types of analysis can be performed separately or coupled in a certain sequence depending on the degree of freedom (DOF) of the mechanism, which expresses the number of uncontrolled (independent) movements, which take place under forces action. The basic components of a mechanical/mechatronic system can be structured in the following way: components that bring movement → mobile bodies; components that eliminate motion → connections between bodies (when they are modeled by joints or constraint equations); components that control motion → actuating elements (when they are modeled by motion restrictions). Thus, the number of degrees of freedom is given by the following equation (Gruebler's count) [16]:

$$\text{DOF} = \mathsf{Gen} - \Sigma(\mathsf{r} + \mathsf{r}\_{\mathsf{m}}) \tag{1}$$

where n is the number of mobile bodies, Σr is the sum of geometric restrictions (joints and/or composed restrictions), and Σrm is the sum of motion restrictions.

To better understand the above, **Figure 7** shows three modeling cases for an openloop system formed by two bodies (the mobile part and the ground) connected by a revolute joint, with the following particularities: (a) there is no actuating element; (b) the actuating element is modeled by a motion restriction, controlling in this way the angular position of the rotating body/crank; and (c) the actuating element is modeled by a motor torque applied on the rotating body. For the three cases, the following numbers of degrees of freedom are corresponding: (a) DOF = 6–5 = 1; (b) DOF = 6 − (5 + 1) = 0; (c) DOF = 6 − 5 = 1. Therefore, the second model (b) has no independent motion, the angular positions of the crank being controlled (imposed) by the motion restriction regardless of the mass and the inertial properties of the body. In the first (a) and the third (c) case, respectively, the model has one uncontrolled motion (the rotation of the crank), which is influenced by the action of the forces (mass and inertia forces in the both cases, and in addition the motor torque in the third case). Thus, the motion restrictions remove degrees of freedom, by controlling the motion, while the motor forces/torques do not remove degrees of freedom.

**Figure 6.** *Analysis flowchart of the mechanical/mechatronic systems.*

**Figure 7.** *(b) Controlled vs. (a, c) uncontrolled movement.*

The four types of analysis shown in **Figure 6** are defined by the following:


Considering the particularities of the simplifying assumptions for the modeling or refining of the basic components of the mechanical/mechatronic systems (as presented in the 3rd section of the paper) and those of the types of analysis mentioned above, **Table 3** shows the correlations between the simplifying assumptions and the analyses, which can be interpreted as validity fields for hypotheses (i.e., analyzss where the use of hypotheses does not generate errors).

**77**

mechatronic system behaves.

*The validity fields of the simplifying assumptions.*

**5. Case study**

**Table 3.**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

**Components Simplifying assumption Analysis** Bodies Rigid bodies Dynamics

Connections between bodies Rigid contacts Dynamics

Actuating elements Motion restrictions Kinematics

Composed restrictions

Point masses Statics Massless bodies Kinematics

Joints/constraint equations Kinematics

Motor forces/torques Dynamics

Inverse dynamics

Inverse dynamics

Inverse dynamics

Statics Dynamics Inverse dynamics

Statics

The analysis methodology of the mechanical/mechatronic systems by using MBS software environment (ADAMS in this case) involves three stages: pre-processing (system modeling), processing (model running), and post-processing (processing results). The pre-processing stage involves indicating the input data, as follows: specifying information regarding the calculations to be performed, such as the type of analysis to be carried out, the units of measurement, the type of coordinate system (e.g., Cartesian), the gravitational acceleration vector, and the analysis time interval and modeling the components of the mechanical/mechatronic system (bodies, connections between bodies, actuating elements, and other force generating elements, such as springs or dampers, by case). The processing stage is performed automatically by the program, and consists from generating and solving the algebraic and differential equations that mathematically describe the system. The post-processing stage consists of processing the analysis results, by drawing variation diagrams/charts, generating tables with numerical values, and creating graphical animations, all of which providing an overview of how the mechanical/

Based on the above, a case study corresponding to a high complexity system, namely, a suspension system for motor vehicles, is presented below. The virtual model contains the front and rear wheel suspension subsystems, as well as the actuating subsystem. The prototype is used for simulating the passing over bumps dynamic regime under laboratory conditions, through the use of a virtual testing bench (**Figure 8**). The approach is a mechatronic one, in the sense that the actuating subsystem, containing four linear actuators that sustain/support and move the wheels, is controlled in such a way as to ensure the desired running path profile by the vertical displacements that apply to the wheels. The virtual model

*DOI: http://dx.doi.org/10.5772/intechopen.92801*


*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

### **Table 3.**

*Product Design*

**Figure 6.**

**Figure 7.**

The four types of analysis shown in **Figure 6** are defined by the following:

• Kinematics: inputs, the assembled configuration and motion restrictions

• Statics: inputs, the assembled configuration and the loads through forces and/or torques (excepting the forces that depend on velocity and acceleration, such as damping and inertia forces), and output, the equilibrium

• Inverse dynamics: inputs, the same as in dynamics, but with the actuating elements as in kinematics, and outputs, the motor forces/torques

Considering the particularities of the simplifying assumptions for the modeling or refining of the basic components of the mechanical/mechatronic systems (as presented in the 3rd section of the paper) and those of the types of analysis mentioned above, **Table 3** shows the correlations between the simplifying assumptions and the analyses, which can be interpreted as validity fields for hypotheses (i.e., analyzss

(no forces/torques), and outputs, the time histories of motion

ries of motion and reaction states

*(b) Controlled vs. (a, c) uncontrolled movement.*

*Analysis flowchart of the mechanical/mechatronic systems.*

where the use of hypotheses does not generate errors).

configuration

• Dynamics: inputs, the assembled configuration (bodies and connections), and the loads through forces and/or torques (all of them) outputs, the time histo-

**76**

*The validity fields of the simplifying assumptions.*

The analysis methodology of the mechanical/mechatronic systems by using MBS software environment (ADAMS in this case) involves three stages: pre-processing (system modeling), processing (model running), and post-processing (processing results). The pre-processing stage involves indicating the input data, as follows: specifying information regarding the calculations to be performed, such as the type of analysis to be carried out, the units of measurement, the type of coordinate system (e.g., Cartesian), the gravitational acceleration vector, and the analysis time interval and modeling the components of the mechanical/mechatronic system (bodies, connections between bodies, actuating elements, and other force generating elements, such as springs or dampers, by case). The processing stage is performed automatically by the program, and consists from generating and solving the algebraic and differential equations that mathematically describe the system. The post-processing stage consists of processing the analysis results, by drawing variation diagrams/charts, generating tables with numerical values, and creating graphical animations, all of which providing an overview of how the mechanical/ mechatronic system behaves.

## **5. Case study**

Based on the above, a case study corresponding to a high complexity system, namely, a suspension system for motor vehicles, is presented below. The virtual model contains the front and rear wheel suspension subsystems, as well as the actuating subsystem. The prototype is used for simulating the passing over bumps dynamic regime under laboratory conditions, through the use of a virtual testing bench (**Figure 8**). The approach is a mechatronic one, in the sense that the actuating subsystem, containing four linear actuators that sustain/support and move the wheels, is controlled in such a way as to ensure the desired running path profile by the vertical displacements that apply to the wheels. The virtual model

of the mechanical device (including the two suspension subsystems, the car body, and the testing bench) was developed by using the MBS software environment ADAMS. The 3D solid model was developed with the help of the CAD software environment CATIA, the transfer to ADAMS being performed as described in the second section of the chapter.

The front wheels suspension subsystem (**Figure 9**) contains two independent Short-Long Arm (SLA) mechanisms, also called double-wishbone. The lower (long) and upper (short) arms of the mechanism are double-hinged to the car body by using bushings (compliant joints), while the other ends (outward) of the arms are connected to the wheel carriers by spherical joints. The same type of joints was used for the connections of the steering rods to the adjacent parts (wheel carriers and car body). The rear wheels suspension subsystem (**Figure 10**) ensures the guiding of the whole axle in the relative movement to the car body by a so-called 4S

**Figure 8.** *The MBS virtual model of the vehicle.*

**79**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

suspension mechanism, with four longitudinal arms that are connected to the adjacent bodies by bushings. In the case of the front suspension, the spring and damper groups are mounted between upper arms and car body, while for the rear suspension, these elastic and damping elements are arranged between axle and car body. For the both suspension systems, the bumpers limiting the run (extension, and respectively compression), which are nonstationary elastic elements, are disposed inside the dampers, thus limiting the relative displacement between the two parts of

The connections between the wheels and the upper platters of the actuators were

modeled by contact forces between the corresponding geometries, which allow considering the stiffness and damping properties of the tires, as well as the friction between the bodies. As mentioned, the vertical displacement of the actuator plates is controlled so as to simulate the passing of the vehicle over various types of obstacles (road irregularities), the movement being transmitted to the wheels and then, through the suspension mechanisms, to the car body. The control system for the actuating elements (**Figure 11**) was designed with the help of the DFC software solution engineering analysis systems (EASY5). In this model, the MBS mechanical device is referred by the ADAMS Mechanism block. It should be mentioned that ADAMS and EASY5 software solutions are produced—marketed by MSC Software Corp., so the compatibility between them (in terms of facilities for data transfer for

The modeling of the actuation and control system was carried out in mechatronic concept, by integrating the mechanical model (**Figures 8**–**10**) and the control system model (**Figure 11**) at the virtual prototype level. Thus, the two models (MBS and DFC) are being tested—verified simultaneously, minimizing the risk that the control law not to be followed by the mechanical model. In this case, the mechanical and control models are connected and communicate one with other through the use of ADAMS/Controls. The communication scheme between the MBS model and the control system is shown in **Figure 12**. The inputs into the mechanical model (outputs from the control system) are the motor forces developed by the four linear actuators, while the outputs from ADAMS (inputs into EASY5) are the vertical

The input and output plants were defined by using a set of ADAMS state variables. The input state variables (the motor forces) are defined in ADAMS by null values, going to receive their values from the control application. The input variable

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

the damper (cylinder and piston).

*The rear wheels (axle) suspension subsystem.*

**Figure 10.**

the purpose of co-simulation) is very good.

positions of the wheel actuator plates.

**Figure 9.** *The front wheels suspension subsystem.*

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

**Figure 10.** *The rear wheels (axle) suspension subsystem.*

*Product Design*

second section of the chapter.

of the mechanical device (including the two suspension subsystems, the car body, and the testing bench) was developed by using the MBS software environment ADAMS. The 3D solid model was developed with the help of the CAD software environment CATIA, the transfer to ADAMS being performed as described in the

The front wheels suspension subsystem (**Figure 9**) contains two independent Short-Long Arm (SLA) mechanisms, also called double-wishbone. The lower (long) and upper (short) arms of the mechanism are double-hinged to the car body by using bushings (compliant joints), while the other ends (outward) of the arms are connected to the wheel carriers by spherical joints. The same type of joints was used for the connections of the steering rods to the adjacent parts (wheel carriers and car body). The rear wheels suspension subsystem (**Figure 10**) ensures the guiding of the whole axle in the relative movement to the car body by a so-called 4S

**78**

**Figure 9.**

**Figure 8.**

*The front wheels suspension subsystem.*

*The MBS virtual model of the vehicle.*

suspension mechanism, with four longitudinal arms that are connected to the adjacent bodies by bushings. In the case of the front suspension, the spring and damper groups are mounted between upper arms and car body, while for the rear suspension, these elastic and damping elements are arranged between axle and car body. For the both suspension systems, the bumpers limiting the run (extension, and respectively compression), which are nonstationary elastic elements, are disposed inside the dampers, thus limiting the relative displacement between the two parts of the damper (cylinder and piston).

The connections between the wheels and the upper platters of the actuators were modeled by contact forces between the corresponding geometries, which allow considering the stiffness and damping properties of the tires, as well as the friction between the bodies. As mentioned, the vertical displacement of the actuator plates is controlled so as to simulate the passing of the vehicle over various types of obstacles (road irregularities), the movement being transmitted to the wheels and then, through the suspension mechanisms, to the car body. The control system for the actuating elements (**Figure 11**) was designed with the help of the DFC software solution engineering analysis systems (EASY5). In this model, the MBS mechanical device is referred by the ADAMS Mechanism block. It should be mentioned that ADAMS and EASY5 software solutions are produced—marketed by MSC Software Corp., so the compatibility between them (in terms of facilities for data transfer for the purpose of co-simulation) is very good.

The modeling of the actuation and control system was carried out in mechatronic concept, by integrating the mechanical model (**Figures 8**–**10**) and the control system model (**Figure 11**) at the virtual prototype level. Thus, the two models (MBS and DFC) are being tested—verified simultaneously, minimizing the risk that the control law not to be followed by the mechanical model. In this case, the mechanical and control models are connected and communicate one with other through the use of ADAMS/Controls. The communication scheme between the MBS model and the control system is shown in **Figure 12**. The inputs into the mechanical model (outputs from the control system) are the motor forces developed by the four linear actuators, while the outputs from ADAMS (inputs into EASY5) are the vertical positions of the wheel actuator plates.

The input and output plants were defined by using a set of ADAMS state variables. The input state variables (the motor forces) are defined in ADAMS by null values, going to receive their values from the control application. The input variable

## **Figure 11.**

*The DFC model of the control system.*

## **Figure 12.**

*The input and output plants.*

is called by using the predefined function VARVAL (variable), which returns the value of the variable. For the output state variables, the time functions return the linear displacements along the vertical axis (Y). The output variables are modeled by using the predefined function DY (To Marker, From Marker), where the markers represent coordinate systems belonging to the adjacent parts (actuator cylinder and piston respectively), placed in the translational joint between the two parts of the actuator. The input variables are reported by plant input, PIN1–4, and the output variables by plant output, POU1–4. Information related to the input and output plants are saved in a specific file for EASY5 (\*.inf); at the same time, a command file (\*.cmd) and a data file (\*.adm) are generated for the subsequent co-simulation. In the ADAMS Mechanism interface block, the execution mode is then defined; in this case co-simulation, specifying also the interval with which ADAMS/Controls, writes the results to files and adapts the animation and the communication range between ADAMS and EASY5 [17].

As mentioned, the vertical positions of the wheel actuator plates are imposed to simulate the passing of the wheels over bumps (road irregularities). For the study presented in this work, it was considered the road profile shown in **Figure 13**, which includes four speed bumps with a height of 20 mm. The delays between the excitations of the wheels (front-rear and left-right, respectively) correspond to a vehicle speed of 20 km/h (the vehicle has the wheelbase, i.e., the distance between the front and rear axles, of 2.4 m). In the DFC (control system) model shown in **Figure 11**, the imposed movement laws were defined by using the step function generator blocks SF1–SF4. This type of input data block is defined by the time at initiation of step input (To\_SF) and the step input value (STP\_SF). The step is triggered when

**81**

**Figure 14.**

**Figure 13.**

*The road profile simulated by the virtual test bench.*

*The vertical displacements of the front (a) and rear (b) actuator plates.*

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

time equals T0\_SF and steps to a value of STP\_SF, in accordance with the following

IF(TIME < T0\_SF) THEN S\_Out\_SF = 0 ELSE S\_Out\_SF = STP\_SF, (2)

where S\_Out\_SF is the step signal output, which is compared (by using a sum-

For each of the four linear actuators, PID controller was used as a control element. This controller corrects the difference between the imposed (desired) and current (measured) values of a specific parameter by computing and applying a compensatory measure that adapts the system properly [18, 19]. The optimal design of the controller can be achieved both by methods specific to the control theory (e.g., root locus, frequency methods), as well as by optimal parametric design techniques [20–22]. For this work, the optimization was performed by using the scripting capabilities integrated in EASY5 Matrix Algebra Tool (MAT), the control system model being managed as an EMX function. The optimization procedure is similar with that presented in [23]. The optimization goal is to minimize the difference between the imposed and current values of the actuator plate vertical position, while the design variables are the proportional (P), integral, (I) and derivative (D)

In the conditions specified above, the time history variations of the vertical positions of the front and rear actuator plates are shown in **Figure 14**. The mechanical powers developed by the four linear actuators for generating the predefined

ming junction block) with the current position provided by the MBS model.

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

conditional function:

factors of the controller.

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

time equals T0\_SF and steps to a value of STP\_SF, in accordance with the following conditional function:

IF(TIME < T0\_SF) THEN S\_Out\_SF = 0 ELSE S\_Out\_SF = STP\_SF, (2)

where S\_Out\_SF is the step signal output, which is compared (by using a summing junction block) with the current position provided by the MBS model.

For each of the four linear actuators, PID controller was used as a control element. This controller corrects the difference between the imposed (desired) and current (measured) values of a specific parameter by computing and applying a compensatory measure that adapts the system properly [18, 19]. The optimal design of the controller can be achieved both by methods specific to the control theory (e.g., root locus, frequency methods), as well as by optimal parametric design techniques [20–22]. For this work, the optimization was performed by using the scripting capabilities integrated in EASY5 Matrix Algebra Tool (MAT), the control system model being managed as an EMX function. The optimization procedure is similar with that presented in [23]. The optimization goal is to minimize the difference between the imposed and current values of the actuator plate vertical position, while the design variables are the proportional (P), integral, (I) and derivative (D) factors of the controller.

In the conditions specified above, the time history variations of the vertical positions of the front and rear actuator plates are shown in **Figure 14**. The mechanical powers developed by the four linear actuators for generating the predefined

**Figure 13.** *The road profile simulated by the virtual test bench.*

**Figure 14.** *The vertical displacements of the front (a) and rear (b) actuator plates.*

*Product Design*

**Figure 12.**

**Figure 11.**

*The input and output plants.*

*The DFC model of the control system.*

is called by using the predefined function VARVAL (variable), which returns the value of the variable. For the output state variables, the time functions return the linear displacements along the vertical axis (Y). The output variables are modeled by using the predefined function DY (To Marker, From Marker), where the markers represent coordinate systems belonging to the adjacent parts (actuator cylinder and piston respectively), placed in the translational joint between the two parts of the actuator. The input variables are reported by plant input, PIN1–4, and the output variables by plant output, POU1–4. Information related to the input and output plants are saved in a specific file for EASY5 (\*.inf); at the same time, a command file (\*.cmd) and a data file (\*.adm) are generated for the subsequent co-simulation. In the ADAMS Mechanism interface block, the execution mode is then defined; in this case co-simulation, specifying also the interval with which ADAMS/Controls, writes the results to files and adapts the animation and the communication range

As mentioned, the vertical positions of the wheel actuator plates are imposed to simulate the passing of the wheels over bumps (road irregularities). For the study presented in this work, it was considered the road profile shown in **Figure 13**, which includes four speed bumps with a height of 20 mm. The delays between the excitations of the wheels (front-rear and left-right, respectively) correspond to a vehicle speed of 20 km/h (the vehicle has the wheelbase, i.e., the distance between the front and rear axles, of 2.4 m). In the DFC (control system) model shown in **Figure 11**, the imposed movement laws were defined by using the step function generator blocks SF1–SF4. This type of input data block is defined by the time at initiation of step input (To\_SF) and the step input value (STP\_SF). The step is triggered when

**80**

between ADAMS and EASY5 [17].

movement laws, which were determined by multiplying the motor forces by the linear velocities of the actuator plates, are the ones shown in **Figure 15**. Some results that describe the dynamic behavior of the vehicle are presented in

## **Figure 15.**

*The power developed by the front (a) and rear (b) linear actuators.*

## **Figure 16.**

*The main linear (a) and angular (b) oscillations of the car body.*


**83**

**Figure 18.**

*The FEA model of the rear upper right arm.*

vehicle.

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

sured in its center of mass and the roll and pitch oscillations/angles (b).

**Figure 16**, namely, the vertical displacement of the car body (a), which is mea-

Further, the guiding arms of the front and rear suspension mechanisms, which were initially modeled as rigid bodies, were discretized into finite elements, for studying their deformability and stress state. The conversion from solid to flexible was achieved by using ADAMS/AutoFlex. For example, **Figure 17** shows the conversion window for the rear upper right arm, while in **Figure 18** the finite element model of this body, along with its first three vibration modes. It should be mentioned that ADAMS/AutoFlex allows viewing 18 vibration modes per flexible body, each mode of vibration being characterized by a modal frequency and a mode shape [24]. A dynamic simulation graphical frame for the compliant model (with flexible bodies), focused on the rear axle guiding mechanism, is shown in **Figure 19**, reveal-

Many other results can be extracted from the simulations in virtual environment, for all the objects—components of the virtual model (e.g., bodies, connections between bodies, actuating elements, elastic and damping elements) and for any type of parameter (e.g., motion, force, energy), including results that cannot be measured experimentally for various reasons (such as lack of adequate sensors, hard to reach areas, high temperatures in the measuring area, and others). At the same time, by studying the influence of the various parameters that define the model (such as the global coordinates of the joint locations or the elastic and damping coefficients of the spring and damper assemblies) on the vehicle behavior, its kinematic and dynamic optimization can be simplified, by selecting the parameters which significantly influences the comfort, stability, or maneuverability of the

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

ing the stress state of the guiding arms.

## **Figure 17.**

*Example of conversion from solid body to flexible body.*

## *Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

**Figure 16**, namely, the vertical displacement of the car body (a), which is measured in its center of mass and the roll and pitch oscillations/angles (b).

Further, the guiding arms of the front and rear suspension mechanisms, which were initially modeled as rigid bodies, were discretized into finite elements, for studying their deformability and stress state. The conversion from solid to flexible was achieved by using ADAMS/AutoFlex. For example, **Figure 17** shows the conversion window for the rear upper right arm, while in **Figure 18** the finite element model of this body, along with its first three vibration modes. It should be mentioned that ADAMS/AutoFlex allows viewing 18 vibration modes per flexible body, each mode of vibration being characterized by a modal frequency and a mode shape [24]. A dynamic simulation graphical frame for the compliant model (with flexible bodies), focused on the rear axle guiding mechanism, is shown in **Figure 19**, revealing the stress state of the guiding arms.

Many other results can be extracted from the simulations in virtual environment, for all the objects—components of the virtual model (e.g., bodies, connections between bodies, actuating elements, elastic and damping elements) and for any type of parameter (e.g., motion, force, energy), including results that cannot be measured experimentally for various reasons (such as lack of adequate sensors, hard to reach areas, high temperatures in the measuring area, and others). At the same time, by studying the influence of the various parameters that define the model (such as the global coordinates of the joint locations or the elastic and damping coefficients of the spring and damper assemblies) on the vehicle behavior, its kinematic and dynamic optimization can be simplified, by selecting the parameters which significantly influences the comfort, stability, or maneuverability of the vehicle.

**Figure 18.** *The FEA model of the rear upper right arm.*

*Product Design*

**Figure 15.**

**Figure 16.**

*The power developed by the front (a) and rear (b) linear actuators.*

*The main linear (a) and angular (b) oscillations of the car body.*

*Example of conversion from solid body to flexible body.*

movement laws, which were determined by multiplying the motor forces by the linear velocities of the actuator plates, are the ones shown in **Figure 15**. Some results that describe the dynamic behavior of the vehicle are presented in

**82**

**Figure 17.**

**Figure 19.** *Dynamic simulation graphical frame.*

## **6. Conclusions**

The use of virtual prototyping software platforms in the analysis and optimization of the mechanical and mechatronic systems offers important benefits, which focus on reducing the costs, as well as the design and development time while increasing the quality (operational performances of the products). The virtual prototypes are not made from real materials (such as steel, aluminum or wood) that are generally expensive, but from bits, with which any type of material can be simulated. Other significant cost reductions result from the fact that virtual prototyping does not involve destroying prototypes during testing (e.g., in the real car crash tests), the virtual prototype being restored to its original state by a simple mouse click. Multiple design variations (in various parameter combinations) can be explored early, without going through expensive (and often superficial) physical prototyping cycles. The virtual prototyping technique allows the replication on computer of both the product itself and the specific operating (working) environment. Among the critical success factors regarding the successful implementation of the virtual prototyping platforms, we can point to well-defined process, systemlevel orientation, efficient setting of the goal, rapid dynamics of the simulation, and high-quality infrastructure (hardware and software).

**85**

**Author details**

Cătălin Alexandru

Transilvania University of Brașov, Romania

provided the original work is properly cited.

\*Address all correspondence to: calex@unitbv.ro

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

## **Author details**

*Product Design*

**6. Conclusions**

*Dynamic simulation graphical frame.*

**Figure 19.**

The use of virtual prototyping software platforms in the analysis and optimization of the mechanical and mechatronic systems offers important benefits, which focus on reducing the costs, as well as the design and development time while increasing the quality (operational performances of the products). The virtual prototypes are not made from real materials (such as steel, aluminum or wood) that are generally expensive, but from bits, with which any type of material can be simulated. Other significant cost reductions result from the fact that virtual prototyping does not involve destroying prototypes during testing (e.g., in the real car crash tests), the virtual prototype being restored to its original state by a simple mouse click. Multiple design variations (in various parameter combinations) can be explored early, without going through expensive (and often superficial) physical prototyping cycles. The virtual prototyping technique allows the replication on computer of both the product itself and the specific operating (working) environment. Among the critical success factors regarding the successful implementation of the virtual prototyping platforms, we can point to well-defined process, systemlevel orientation, efficient setting of the goal, rapid dynamics of the simulation,

and high-quality infrastructure (hardware and software).

**84**

Cătălin Alexandru Transilvania University of Brașov, Romania

\*Address all correspondence to: calex@unitbv.ro

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

## **References**

[1] Alexandru C, editor. Modeling and Simulation in Engineering. Rijeka: InTech Open; 2012. p. 298. DOI: 10.5772/1415

[2] Ryan R. Functional Virtual Prototyping - Realization of the Digital Car. Ann Arbor: Mechanical Dynamics Inc.; 2001

[3] Bernard A. Virtual engineering: Methods and tools. Journal of Engineering Manufacture. 2005;**219**(5): 413-421

[4] Haug EJ, Choi KK, Kuhl JG, Vargo JD. Virtual prototyping simulation for design of mechanical systems. Journal of Mechanical Design. 1995;**117**(63):63-70

[5] Mejia-Gutierrez R, Carvajal-Arango R. Design verification through virtual prototyping techniques based on systems engineering. Research in Engineering Design. 2017;**28**(4):477-494

[6] Getting Started Using ADAMS/ View. Newport Beach: MSC Software Corporation; 2005

[7] Ambrósio JA, Gonçalves JP. Complex flexible multi-body systems with application to vehicle dynamics. Multibody System Dynamics. 2001;**6**:163-182

[8] Da Silva MM, Costa NA. Handling analysis of a light commercial vehicle considering the frame flexibility. International Review of Mechanical Engineering (IREME). 2007;**1**(4):334-339

[9] Alexandru C, Pozna C. The virtual prototyping of the windshield wiper systems in mechatronic concept. In: Proceedings of the 11-th European Automotive Congress (EAEC '07). Budapest: Scientific Society of Mechanical Engineers; 2007. pp. 58-69 [10] Enescu M, Alexandru C. Virtual prototyping of a spraying robotic system. Environmental Engineering and Management Journal. 2011;**10**(8):1197-1205

[11] Fischer E. Standard multi-body system software in the vehicle development process. Journal of Multibody Dynamics. 2007;**221**(1):13-20

[12] Garcia de Jalón J, Bayo E. Kinematic and Dynamic Simulation of Multi-Body Systems. 1st ed. New York: Springer - Verlag; 1994. p. 440

[13] Haug EJ. Computer Aided Kinematics and Dynamics of Mechanical Systems. 1st ed. Needham Heights, Massachusetts: Allyn & Bacon; 1989. p. 500

[14] Schiehlen WO. Multi-body systems dynamics: Roots & perspectives. Multibody System Dynamics. 1997;**1**(2):149-188

[15] Shabana A. Dynamics of Multi-Body Systems. 4th ed. New York: Cambridge University Press; 2014. p. 393. DOI: 10.1017/CBO9781107337213

[16] Orlandea N. Design of parallel kinematic systems using the planar enveloping algorithm and ADAMS program. Journal of Multi-body Dynamics. 2004;**218**(4):211-221

[17] EASY5 Guide Help. Newport Beach: MSC Software Corporation; 2005

[18] Dorf RC, Bishop RH. Modern Control Systems. Boston: Pearson; 2016. p. 1032

[19] Haque HH, Hassan HM, Hossain SM. Comparison of control system using PLC & PID. In: Proceedings of the ASEE 2014 Conference. Bridgeport: American

**87**

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems*

*DOI: http://dx.doi.org/10.5772/intechopen.92801*

[20] Alexandru C. Optimal design of the controller for a photovoltaic tracking system using parametric techniques. Annals of the Oradea University:

Fascicle Management and Technological

[21] Alexandru C. Optimal design of the mechanical systems using parametric technique & MBS (multi-body systems) software. Advanced Materials Research.

[22] Alexandru C. Optimal design of the dual-axis tracking system used for a PV string platform. Journal of Renewable and Sustainable Energy.

[23] Alexandru C, Alexandru P. Control strategy for an active suspension system. World Academy of Science, Engineering

and Technology. 2011;**79**:126-131

[24] Blevins RD. Formulas for Natural Frequency and Mode Shape. Riverside, Connetticut: Krieger Pub; 2001. p. 506

Engineering. 2010;**IX**(1):2.1-2.9

2012;**463-464**:1129-1132

2019;**11**(4):043501(1-14)

Society for Engineering Education;

2014. p. 99(1-6)

*Virtual Prototyping Platform for Designing Mechanical and Mechatronic Systems DOI: http://dx.doi.org/10.5772/intechopen.92801*

Society for Engineering Education; 2014. p. 99(1-6)

[20] Alexandru C. Optimal design of the controller for a photovoltaic tracking system using parametric techniques. Annals of the Oradea University: Fascicle Management and Technological Engineering. 2010;**IX**(1):2.1-2.9

[21] Alexandru C. Optimal design of the mechanical systems using parametric technique & MBS (multi-body systems) software. Advanced Materials Research. 2012;**463-464**:1129-1132

[22] Alexandru C. Optimal design of the dual-axis tracking system used for a PV string platform. Journal of Renewable and Sustainable Energy. 2019;**11**(4):043501(1-14)

[23] Alexandru C, Alexandru P. Control strategy for an active suspension system. World Academy of Science, Engineering and Technology. 2011;**79**:126-131

[24] Blevins RD. Formulas for Natural Frequency and Mode Shape. Riverside, Connetticut: Krieger Pub; 2001. p. 506

**86**

*Product Design*

**References**

10.5772/1415

Inc.; 2001

413-421

[1] Alexandru C, editor. Modeling and Simulation in Engineering. Rijeka: InTech Open; 2012. p. 298. DOI:

[10] Enescu M, Alexandru C. Virtual prototyping of a spraying robotic system. Environmental Engineering

[11] Fischer E. Standard multi-body system software in the vehicle

development process. Journal of Multibody Dynamics. 2007;**221**(1):13-20

[12] Garcia de Jalón J, Bayo E. Kinematic and Dynamic Simulation of Multi-Body Systems. 1st ed. New York: Springer -

Mechanical Systems. 1st ed. Needham Heights, Massachusetts: Allyn & Bacon;

[14] Schiehlen WO. Multi-body systems dynamics: Roots & perspectives. Multibody System Dynamics.

[15] Shabana A. Dynamics of Multi-Body Systems. 4th ed. New York: Cambridge University Press; 2014. p. 393. DOI:

and Management Journal. 2011;**10**(8):1197-1205

Verlag; 1994. p. 440

1989. p. 500

1997;**1**(2):149-188

10.1017/CBO9781107337213

[16] Orlandea N. Design of parallel kinematic systems using the planar enveloping algorithm and ADAMS program. Journal of Multi-body Dynamics. 2004;**218**(4):211-221

[17] EASY5 Guide Help. Newport Beach: MSC Software Corporation; 2005

[18] Dorf RC, Bishop RH. Modern Control Systems. Boston: Pearson; 2016.

Hossain SM. Comparison of control system using PLC & PID. In: Proceedings of the ASEE 2014 Conference. Bridgeport: American

[19] Haque HH, Hassan HM,

p. 1032

[13] Haug EJ. Computer Aided Kinematics and Dynamics of

Prototyping - Realization of the Digital Car. Ann Arbor: Mechanical Dynamics

[3] Bernard A. Virtual engineering: Methods and tools. Journal of

Engineering Manufacture. 2005;**219**(5):

[4] Haug EJ, Choi KK, Kuhl JG, Vargo JD. Virtual prototyping simulation for design of mechanical systems. Journal of Mechanical Design. 1995;**117**(63):63-70

[5] Mejia-Gutierrez R, Carvajal-Arango R. Design verification through virtual prototyping techniques based on systems engineering. Research in Engineering

Design. 2017;**28**(4):477-494

Corporation; 2005

2001;**6**:163-182

[6] Getting Started Using ADAMS/ View. Newport Beach: MSC Software

[7] Ambrósio JA, Gonçalves JP. Complex flexible multi-body systems with application to vehicle dynamics. Multibody System Dynamics.

[8] Da Silva MM, Costa NA. Handling analysis of a light commercial vehicle considering the frame flexibility. International Review of Mechanical Engineering (IREME). 2007;**1**(4):334-339

[9] Alexandru C, Pozna C. The virtual prototyping of the windshield wiper systems in mechatronic concept. In: Proceedings of the 11-th European Automotive Congress (EAEC '07). Budapest: Scientific Society of Mechanical Engineers; 2007. pp. 58-69

[2] Ryan R. Functional Virtual

**89**

repair, life cycle

**Chapter 5**

**Abstract**

Eco-Design

Renovation and Reuse of

*Michael Lasithiotakis and Ourania Tzoraki*

materials and processes, and lack of resources.

**procedures: design for sustainability**

Waste Electrical and Electronic

*Panagiotis Sinioros, Abas Amir Haidari, Nikolaos Manousakis,* 

Nowadays there is a higher need of strict and broader legislation in waste electrical and electronic equipment (WEEE) recycling industry to reduce environmental effects of WEEE. Environmental challenges include pollution, exhaustion of natural resources, waste management and reduction of landfills. High speed in technological development in many sectors puts many products in great challenge of obsoleting almost immediately after their purchase. In particular, this is the fate for electrical and electronic equipment (EEE). They are forever-improving and incorporate state of the art innovations. This provide many benefits; however, at the same time, its expansion results in rapidly growing waste stream of WEEE. WEEE contains a combination of all these situations, including for example, batteries, plastics of quality, precious metals and toxic soldering metals. The reuse and renovation of WEEE are therefore very critical because of its significant ecological environmental impacts. Sustainable development is not a static situation, but a state of dynamic balance between human and environmental system. The current chapter explores sustainability planning and strategies such as eco-design, and design for dismantling and recycling, and what they mean for electronic products. It examines the incentives, methods and tools for sustainable electronic product design, with particular emphasis on reuse, recycling, selection of sustainable

**Keywords:** WEEE, eco-design, reuse, recycling, DFS, reconstruction, renovation,

WEEE production is growing every year [1]. However, the product life cycle analysis demonstrates that disposal phase contributes substantially on the environmental impacts of WEEE [2–4], especially in products containing toxic materials, rare or valuable materials, or materials with high energy content. The world's current experience of financial crisis and climate is a major crisis nowadays that seems to be linked. With implementation of improved regulatory and control mechanisms,

**1. Sustainable construction, planning and development and reuse** 

Equipment in the Direction of

## **Chapter 5**

## Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction of Eco-Design

*Panagiotis Sinioros, Abas Amir Haidari, Nikolaos Manousakis, Michael Lasithiotakis and Ourania Tzoraki*

## **Abstract**

Nowadays there is a higher need of strict and broader legislation in waste electrical and electronic equipment (WEEE) recycling industry to reduce environmental effects of WEEE. Environmental challenges include pollution, exhaustion of natural resources, waste management and reduction of landfills. High speed in technological development in many sectors puts many products in great challenge of obsoleting almost immediately after their purchase. In particular, this is the fate for electrical and electronic equipment (EEE). They are forever-improving and incorporate state of the art innovations. This provide many benefits; however, at the same time, its expansion results in rapidly growing waste stream of WEEE. WEEE contains a combination of all these situations, including for example, batteries, plastics of quality, precious metals and toxic soldering metals. The reuse and renovation of WEEE are therefore very critical because of its significant ecological environmental impacts. Sustainable development is not a static situation, but a state of dynamic balance between human and environmental system. The current chapter explores sustainability planning and strategies such as eco-design, and design for dismantling and recycling, and what they mean for electronic products. It examines the incentives, methods and tools for sustainable electronic product design, with particular emphasis on reuse, recycling, selection of sustainable materials and processes, and lack of resources.

**Keywords:** WEEE, eco-design, reuse, recycling, DFS, reconstruction, renovation, repair, life cycle

## **1. Sustainable construction, planning and development and reuse procedures: design for sustainability**

WEEE production is growing every year [1]. However, the product life cycle analysis demonstrates that disposal phase contributes substantially on the environmental impacts of WEEE [2–4], especially in products containing toxic materials, rare or valuable materials, or materials with high energy content. The world's current experience of financial crisis and climate is a major crisis nowadays that seems to be linked. With implementation of improved regulatory and control mechanisms, avoiding future financial crisis is possible, while scientists predict no regulation will save the planet from devastating consequences. Climate change further than environmental issues has serious social implications, from displacing people from areas they lived for generation to rising food prices. In addition, it will create economic threats in many countries that are comparable in size to world wars [5].

There is a third serious crisis that we are already facing: the exhaustion of limited natural resources. Finishing mineral oils is well known, but other natural resources too, for example, rare earths and precious metals. Nowadays, the objectives of wars and conflicts are land, water, food and mineral resources, and it is a proof that production and consumption have reached saturation point that cannot be a model of growth for a planet that will reach 9 billion in 2050. Despite efforts, industrialized countries consume 70% of global resources and host only 20% of world's population. Three sectors of consumption are primarily responsible for this: food/ agriculture, transport/tourism, housing/energy consumption in buildings. These sectors account for about 80% of environmental impact of EU countries [6].

Brundtland Commission formulated "Sustainable Development" model in 1987 [7] as a development that meets needs of present living generations, without compressing the ability of future generations to meet their needs. In 1992, more than 170 countries agreed to fight for sustainable development as set out in Agenda 21 [8], where specific work on production, consumption and policy is formulated, and possible meters are proposed. Despite the breadth and complexity of the issue, these six key principles describe how a viable community should interact with other communities and nature:


**91**

following [14]:

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

• Encourage subsidiarity: make decisions at the lowest achievable level

• Esthetic treatment: protect and create beauty spots and items

without real action), the current trend with DFS is constantly increasing.

• Promoting personal freedom: satisfying needs without harming the environ-

The term "sustainability" has been introduced by Victor Papanek in his publications [9, 10]. Already significant networks, including the environmentally friendlydesigning international O2 network (www. o2.org), established as early as 1988 [11] and, even more lately, the biggest networks and design establishments, have been effecting to introduce sustainability-design practices (DFS). Although there is still a lot of surface debate and some initiatives, especially from big companies, can be detected as green "laundering" (false or excessive green claims in advertising

With small efforts in research, it is apparently lagging behind in current development and market demands of DFS professions, and the few available programs for the growing number of young and enthusiastic students who they want to engage in DFS. Designers in broadest sense, including engineers and commercial creators, are still very often part of the current sovereign economic system, aiming at quantitative development as the sole objective of encouraging growing consumerism and wastage due to disposable products. These cause massive flows of resources from nature to waste disposal areas within a shockingly short period of time and the sale, through advertising and communication, of "goods" that you do not need but promote a modern useless lifestyle as the only desirable model of

Furthermore, engineers and scientists are not often strategic decision-makers and operate just at the bottom of the command structure. Sustainable development managers need to sit at the decision-making desks to push a real change. They need to be "loaded" with expertise of sustainability-based research and evidence, but also methods for evaluating and directing development and evidence-based planning decisions. They need to know about the history, problems and motivations of DFS theory and practice, and should adopt a more participatory practical design by first listening to stakeholders, understanding their problems and motivations, and then

**2. Sustainability and eco-design of EEE with reuse of parts and materials**

Generic reuse strategies (include recycling, repair, rehabilitation and rebuilding) all are important strategies for sustainable production, because they help reduce landfill and the need for new material to be used in production. Rebuild, reconstruction and restoration (also referred to as recycling of products, commodity recuperation or resale market functions) are the various manufacturing techniques that use elements from used materials and are advantageous for recycling (recovery/reuse of content). Recycling defines the number of activities that gather, identify, process and use recycled materials in the manufacture of new products [13]. The advantages of restoration to recycling typically involve the

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

ment or people

world prosperity.

• Follow-up to the precautionary principle

trying to develop more sustainable solutions [12].

**2.1 Reuse of parts and materials**

## **1.1 Characteristics of sustainable development**


*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

• Follow-up to the precautionary principle

*Product Design*

communities and nature:

it, not a single objective!

what we leave behind.

countries) should be top priorities.

also a choice to more sustainable choices.

**1.1 Characteristics of sustainable development**

• Respect for the views of all interested parties

• Conservation of resources

• Cooperation and partnership

nities for participation in decision-making process.

avoiding future financial crisis is possible, while scientists predict no regulation will save the planet from devastating consequences. Climate change further than environmental issues has serious social implications, from displacing people from areas they lived for generation to rising food prices. In addition, it will create economic

There is a third serious crisis that we are already facing: the exhaustion of limited natural resources. Finishing mineral oils is well known, but other natural resources too, for example, rare earths and precious metals. Nowadays, the objectives of wars and conflicts are land, water, food and mineral resources, and it is a proof that production and consumption have reached saturation point that cannot be a model of growth for a planet that will reach 9 billion in 2050. Despite efforts, industrialized countries consume 70% of global resources and host only 20% of world's population. Three sectors of consumption are primarily responsible for this: food/ agriculture, transport/tourism, housing/energy consumption in buildings. These sectors account for about 80% of environmental impact of EU countries [6]. Brundtland Commission formulated "Sustainable Development" model in 1987 [7] as a development that meets needs of present living generations, without compressing the ability of future generations to meet their needs. In 1992, more than 170 countries agreed to fight for sustainable development as set out in Agenda 21 [8], where specific work on production, consumption and policy is formulated, and possible meters are proposed. Despite the breadth and complexity of the issue, these six key principles describe how a viable community should interact with other

• Protection of the environment: Protection of resources and life support

• Development: Improving "quality of life," whose economic growth is a part of

• Future: It takes into account the interests of future generations in relation to

• Equality: Fair distribution of resources, between developed, developing and even least developing countries (as each has a role to play and a cost to pay) in transition to sustainability. In particular, the most vulnerable (least developed

• Diversity: Different environmental, social and economic systems are generally more powerful and less vulnerable to irreversible or catastrophic damage. It is

• Participation: Sustainability is not imposable; it requires support and involvement of all society's sectors and communities. This requires ensuring opportu-

systems needed to maintain human well-being and life.

threats in many countries that are comparable in size to world wars [5].

**90**


The term "sustainability" has been introduced by Victor Papanek in his publications [9, 10]. Already significant networks, including the environmentally friendlydesigning international O2 network (www. o2.org), established as early as 1988 [11] and, even more lately, the biggest networks and design establishments, have been effecting to introduce sustainability-design practices (DFS). Although there is still a lot of surface debate and some initiatives, especially from big companies, can be detected as green "laundering" (false or excessive green claims in advertising without real action), the current trend with DFS is constantly increasing.

With small efforts in research, it is apparently lagging behind in current development and market demands of DFS professions, and the few available programs for the growing number of young and enthusiastic students who they want to engage in DFS. Designers in broadest sense, including engineers and commercial creators, are still very often part of the current sovereign economic system, aiming at quantitative development as the sole objective of encouraging growing consumerism and wastage due to disposable products. These cause massive flows of resources from nature to waste disposal areas within a shockingly short period of time and the sale, through advertising and communication, of "goods" that you do not need but promote a modern useless lifestyle as the only desirable model of world prosperity.

Furthermore, engineers and scientists are not often strategic decision-makers and operate just at the bottom of the command structure. Sustainable development managers need to sit at the decision-making desks to push a real change. They need to be "loaded" with expertise of sustainability-based research and evidence, but also methods for evaluating and directing development and evidence-based planning decisions. They need to know about the history, problems and motivations of DFS theory and practice, and should adopt a more participatory practical design by first listening to stakeholders, understanding their problems and motivations, and then trying to develop more sustainable solutions [12].

## **2. Sustainability and eco-design of EEE with reuse of parts and materials**

## **2.1 Reuse of parts and materials**

Generic reuse strategies (include recycling, repair, rehabilitation and rebuilding) all are important strategies for sustainable production, because they help reduce landfill and the need for new material to be used in production. Rebuild, reconstruction and restoration (also referred to as recycling of products, commodity recuperation or resale market functions) are the various manufacturing techniques that use elements from used materials and are advantageous for recycling (recovery/reuse of content). Recycling defines the number of activities that gather, identify, process and use recycled materials in the manufacture of new products [13]. The advantages of restoration to recycling typically involve the following [14]:


The decision to implement product recovery should be carefully considered, as it may in some cases be counterproductive to sustainable development, for example by helping ineffective products to remain in circulation longer than is desirable. This is the case when a newer generation of products tends to be more environmentally friendly and efficient in operation; for example, new technology washing machines usually require less water, detergent and electricity. It is better that ideal product recovery is being used when it is both profitable and beneficial to the environment. Other issues to consider include creating new business models that include an effective reverse logistics system and ensuring sufficient quantities of used products (cores) to support product recovery processes. This is particularly important as consumers will only buy recovered products if they are considerably less expensive than other new products [16]. In the example of residential commodities, guaranteeing sufficient distribution of product is especially challenging, as it cannot be defined when these consumer goods will complete their lifespan. Optimally, commodity recuperation operations must be focused on eliminating substantial greenhouse emissions from the conveyance, as sections of the cycle actually occur at separate locations or, worse, when the waste material is shipped for processing and afterward brought back for purchase into the home country. There is a ranking predominantly centered on quality within a material recuperation method. Restoration is at the peak of this ranking since it's the only method of commodity recuperation that can return discarded goods in terms of quality, reliability and consistency to a standard competitive to that of new alternative commodities.

## **2.2 Sustainability and eco-design of EEE**

Sustainability and eco-design of electrical and electronic equipment can be achieved by consumer awareness and the search for sustainable solutions, the requirement for legislation that ensures greater producer responsibility and greensustainable programs, ensuring a competitive advantage for companies leading such efforts, the development of social responsibility and the need for business owners

**93**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

and consumers to invest their money and whatever that is reasonable and useful for

The EU's most important legislative instruments on the design of electrical and electronic equipment aim to save energy, manage the end of life and resource efficiency as key issues. The key legislative acts are Directive 2002/96/ EC on WEEE and Directive 2002/95/EC on the restriction of the use of certain hazardous substances in electrical and electronic equipment (RoHS). The WEEE and RoHS Directives are indicative of a policy strategy of boosting manufacturer accountability for recycling and management funding, reduce the environmental impact of electrical and electronic equipment and promote the recycling of valuable resources [17].

In conjunction with both the WEEE and RoHS Directives, Directive 2005/32/EC [18] laying down a guideline for establishing environmentally friendly design requirements for EUP is also significant because it spans the entire life cycle of energy-based products and the establishment of particular environmentally friendly design requirements for specific product groups through stakeholders involved in consultation processes. After end-of-life issues have been addressed with the WEEE and RoHS Directives, environmental significance of use phase due to energy consumption has also become evident in relation to increase in climate change threats. Thus, EUP Directive predicts energy efficiency of electrical and electronic products. However, additional design requirements for certain products (e.g., dishwashers and washing machines) that consume water and detergents during use phase are addressed in EUP reports and documents [19] and items with an impact on power consumption namely insulation, window frames, waterproof illumination, etc. The important regulatory platform is the current waste class division implemented in the European Waste Directive, which encourages waste reduction and preservation and whether products and resources are circulated. This would also influence design specifications, such as easy access to useful materials and competitive recycling capability, including recycling technologies. That package of all these four guidelines may be regarded as

an attempt to achieve the European Integrated Policies Policy (IPP) goals.

categories, such as large household appliances [22].

Strong policy instruments to support sustainable planning activities also include the so-called green public procurement (GPP) or sustainable contracts. The public sector typically accounts for 10–20% of GDP, and annual investment from public procurement alone in the EU amounts to 72 trillion or 17% of GDP [20]. The "green procurement" has a growing importance in Europe. However, its pace of implementation varies considerably between various European countries. Current developments in EU policy and the EU 2020 strategy [21] further strengthen ambitions in the field of green public procurement and their implementation in practice. Most EU Member States have adopted national action plans for sustainable procurement, including objectives and implementing measures. An important factor in eco-design is ecological and communication labels, which remains a useful tool for rapidly exchanging information along the supply chain and between consumers. The most eco-labels for electronic products include the Nordic Swan, the Blue Angel (Blaue Engel) and the American Energy Star Label, the EU eco-label or the various energy efficiency labels defined in the EU Member States for specific product

Simultaneously, policymakers, manufacturing firms, customer groups, journalists and also investors are increasingly seeking data from end-users, manufacturers and retailers regarding environmental consequences and sustainable development. Therefore, it is very significant to be able to track the products and their components to the original source throughout the entire supply chain. It is compulsory for those who import consumables into the EU market and their suppliers to provide data on adherence to EUP specifications. Across the USA, government requires corporations to use industry consultants to guarantee that their raw materials are

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

people and the planet.

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

and consumers to invest their money and whatever that is reasonable and useful for people and the planet.

The EU's most important legislative instruments on the design of electrical and electronic equipment aim to save energy, manage the end of life and resource efficiency as key issues. The key legislative acts are Directive 2002/96/ EC on WEEE and Directive 2002/95/EC on the restriction of the use of certain hazardous substances in electrical and electronic equipment (RoHS). The WEEE and RoHS Directives are indicative of a policy strategy of boosting manufacturer accountability for recycling and management funding, reduce the environmental impact of electrical and electronic equipment and promote the recycling of valuable resources [17].

In conjunction with both the WEEE and RoHS Directives, Directive 2005/32/EC [18] laying down a guideline for establishing environmentally friendly design requirements for EUP is also significant because it spans the entire life cycle of energy-based products and the establishment of particular environmentally friendly design requirements for specific product groups through stakeholders involved in consultation processes. After end-of-life issues have been addressed with the WEEE and RoHS Directives, environmental significance of use phase due to energy consumption has also become evident in relation to increase in climate change threats. Thus, EUP Directive predicts energy efficiency of electrical and electronic products. However, additional design requirements for certain products (e.g., dishwashers and washing machines) that consume water and detergents during use phase are addressed in EUP reports and documents [19] and items with an impact on power consumption namely insulation, window frames, waterproof illumination, etc. The important regulatory platform is the current waste class division implemented in the European Waste Directive, which encourages waste reduction and preservation and whether products and resources are circulated. This would also influence design specifications, such as easy access to useful materials and competitive recycling capability, including recycling technologies. That package of all these four guidelines may be regarded as an attempt to achieve the European Integrated Policies Policy (IPP) goals.

Strong policy instruments to support sustainable planning activities also include the so-called green public procurement (GPP) or sustainable contracts. The public sector typically accounts for 10–20% of GDP, and annual investment from public procurement alone in the EU amounts to 72 trillion or 17% of GDP [20]. The "green procurement" has a growing importance in Europe. However, its pace of implementation varies considerably between various European countries. Current developments in EU policy and the EU 2020 strategy [21] further strengthen ambitions in the field of green public procurement and their implementation in practice. Most EU Member States have adopted national action plans for sustainable procurement, including objectives and implementing measures. An important factor in eco-design is ecological and communication labels, which remains a useful tool for rapidly exchanging information along the supply chain and between consumers. The most eco-labels for electronic products include the Nordic Swan, the Blue Angel (Blaue Engel) and the American Energy Star Label, the EU eco-label or the various energy efficiency labels defined in the EU Member States for specific product categories, such as large household appliances [22].

Simultaneously, policymakers, manufacturing firms, customer groups, journalists and also investors are increasingly seeking data from end-users, manufacturers and retailers regarding environmental consequences and sustainable development. Therefore, it is very significant to be able to track the products and their components to the original source throughout the entire supply chain. It is compulsory for those who import consumables into the EU market and their suppliers to provide data on adherence to EUP specifications. Across the USA, government requires corporations to use industry consultants to guarantee that their raw materials are

*Product Design*

• Reconstruction is a practice of "addition," whereas recycling is just a method of "lowering," so restoration of the material increases the value to the waste by converting it to functional condition. But at the other hand, recycling

• Reduction (which was) used in the manufacturing of the original material will be wasted after recycling it. The objective of this is to restore as complete as feasible the consumer goods, thus keeping energy and incoming resources of their first construction. However, recycling loses most of this energy and resources through reduction in raw materials. And this loss is even greater if energy used to extract raw materials and transport them is taken into account.

• Using the raw material recovery strategy, the waste of energy and assets to extract a marketable product from the waste product is greater. This may be because twice resources are expended on the processing of raw materials. Essentially, the product is "reduced" to resources (e.g., pouring smelting) but

• Engineers might be hesitant to using recycled materials since their perfor-

The decision to implement product recovery should be carefully considered, as it may in some cases be counterproductive to sustainable development, for example by helping ineffective products to remain in circulation longer than is desirable. This is the case when a newer generation of products tends to be more environmentally friendly and efficient in operation; for example, new technology washing machines usually require less water, detergent and electricity. It is better that ideal product recovery is being used when it is both profitable and beneficial to the environment. Other issues to consider include creating new business models that include an effective reverse logistics system and ensuring sufficient quantities of used products (cores) to support product recovery processes. This is particularly important as consumers will only buy recovered products if they are considerably less expensive than other new products [16]. In the example of residential commodities, guaranteeing sufficient distribution of product is especially challenging, as it cannot be defined when these consumer goods will complete their lifespan. Optimally, commodity recuperation operations must be focused on eliminating substantial greenhouse emissions from the conveyance, as sections of the cycle actually occur at separate locations or, worse, when the waste material is shipped for processing and afterward brought back for purchase into the home country. There is a ranking predominantly centered on quality within a material recuperation method. Restoration is at the peak of this ranking since it's the only method of commodity recuperation that can return discarded goods in terms of quality, reliability and consistency to a standard competitive to that of new alternative commodities.

Sustainability and eco-design of electrical and electronic equipment can be achieved by consumer awareness and the search for sustainable solutions, the requirement for legislation that ensures greater producer responsibility and greensustainable programs, ensuring a competitive advantage for companies leading such efforts, the development of social responsibility and the need for business owners

mance could be uncertain [15]. Reconstruction is typically much more efficient in bulk material restoration than recycling, particularly for structural and

also, afterward, the resurrected materials are turned into goods.

electromechanical massive and complex materials.

**2.2 Sustainability and eco-design of EEE**

decreases the commodity to its raw resources.

**92**

not troublesome [23]. The problematic metals are widely used in electrical and electronic equipment (e.g., tantalum, gold, tungsten and derivatives). This requires the management of information along the supply chain, the standardization and digitization of relevant information, and respect for the confidentiality and competitive advantage of this information.

With regard to the standardization of EEE products, many national and international standards relate to sustainable design. International Organization for Standardization (ISO) published in 2002 a technical report ISO/TR 14062 [24]. This report refers to methods, tools and best practices for integrating environmental aspects into product design and development. It is currently being transported to ISO 14006 for the implementation of eco-design in Environmental Management Systems under the ISO 14000 series (ISO 14006 [25]). Although neither the technical report nor the new standard is intended to be used as standards for certification and recording purposes, certification bodies and companies have already used them for labeling activities, for example, environmental statements for cars, such as KIA [26] and Daimler [27]. As consumer demand for sustainable products is constantly increasing, new research bodies with ecological and social consciousness, for example, the Sinus Institute Heidelberg [28], describe consumer behavior.

## **3. Comparing reuse options; reconstruction, renovation and repair, including planning principles for sustainability**

These three major recycling possibilities aren't in fact equal, but rather a ranking exists among them, with reconstruction at the highest level, then restoration, and finally repair. Reconstruction is a practice of upgrading a used commodity to a minimum to the new product quality requirements and providing the resulting product a warranty that would be at least on par with that of the new produced alternative [29]. At present, reconstructing is typically profitable for large and complex mechanical and electromechanical products that follow an extremely stable technological process and for materials and components that are expensive to manufacture or can become expensive in the future. The value of component reuse in relation to dismantling costs makes manually dismantling these products worthwhile, allowing the reconstruction of profitable products. Reconstruction can be differentiated from repair and renovation, at four key points:


**95**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

resources used and most of the work required to get the reconstructed product.

batch, but in reconstruction, tests have to be done individually.

are culturally, ecologically and financially advantageous

**3.1 Planning principles for sustainability**

trated as follows:

as possible

**3.3 EEE usage phase**

**3.2 Life cycle consideration**

The main advantage of reconstruction is that it allows to combine the low price and good quality of the products, especially when the reconstruction also involves increasing the performance and quality of the products used beyond their original standards when these were new. Xerox is a typical example of successful reconstruction since its copiers are typically subjected to seven life cycles. This means that seven revenue streams are generated from the construction of a single product, and materials are diverted from landfill or recycling at least six times [30]. The disadvantage of reconstruction with regard to smaller product recovery processes is its higher cost because of the more

Thus, there are many products where the reconstruction would have a prohibitive cost given the current reconstruction technology and the basic knowledge required. Major home appliance manufacturers, such as Lec Refrigeration and Merloni, implicitly suggest that rebuilding of household appliances has a prohibitive cost, at least within EU. The main reason is cost of manual labor involved in reconstructing and additional costs, such as costs for testing with safety standards that are accurate. Cost of these tests in new production can be limited by "run" per

Several basic rules of sustainability management can be enforced to all types of commodities, including electrical and electronic equipment. These can be illus-

• A real issue, originating from an actual problem and working on solutions that

• Research, specifically, of processes and facilities, not commodities, such as not beginning with the development of a washer and dryer, with the air to satisfy consumers but finding environmentally friendly ways of cleaning clothes

• Participation of users, operators and various experts in design process as much

• Attempting to investigate all the different dimensions and criteria, as well as prioritizing hierarchies according to the timing and scope of the project

Considering that the lifespan is an integral and absolutely essential aspect of DFS, this covers all aspects of the lifespan of a product, from resource extraction to the phases of use and end of life. In this sense, policies for reuse and recycling including biodegradation, incineration and final disposal are being introduced. DFS seeks to continually improve the sustainability of the entire system at all levels of the lifespan of the commodity, such as removing harmful chemicals, improving efficiency and performance, promoting reuse and recycling. In addition, DFS analyzes the context of use and the systems in which products and services are added to the life cycle with the prospect of a sustainable product-service-system design [31]. When designing sustainable product service system, the whole mentioned system will be considered.

The minimization of energy during the use of electronic products is the main objective of the EUP Directive. The EUP criteria for the different product categories

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

The main advantage of reconstruction is that it allows to combine the low price and good quality of the products, especially when the reconstruction also involves increasing the performance and quality of the products used beyond their original standards when these were new. Xerox is a typical example of successful reconstruction since its copiers are typically subjected to seven life cycles. This means that seven revenue streams are generated from the construction of a single product, and materials are diverted from landfill or recycling at least six times [30]. The disadvantage of reconstruction with regard to smaller product recovery processes is its higher cost because of the more resources used and most of the work required to get the reconstructed product.

Thus, there are many products where the reconstruction would have a prohibitive cost given the current reconstruction technology and the basic knowledge required. Major home appliance manufacturers, such as Lec Refrigeration and Merloni, implicitly suggest that rebuilding of household appliances has a prohibitive cost, at least within EU. The main reason is cost of manual labor involved in reconstructing and additional costs, such as costs for testing with safety standards that are accurate. Cost of these tests in new production can be limited by "run" per batch, but in reconstruction, tests have to be done individually.

## **3.1 Planning principles for sustainability**

*Product Design*

sumer behavior.

at four key points:

initial standards.

petitive advantage of this information.

not troublesome [23]. The problematic metals are widely used in electrical and electronic equipment (e.g., tantalum, gold, tungsten and derivatives). This requires the management of information along the supply chain, the standardization and digitization of relevant information, and respect for the confidentiality and com-

With regard to the standardization of EEE products, many national and international standards relate to sustainable design. International Organization for Standardization (ISO) published in 2002 a technical report ISO/TR 14062 [24]. This report refers to methods, tools and best practices for integrating environmental aspects into product design and development. It is currently being transported to ISO 14006 for the implementation of eco-design in Environmental Management Systems under the ISO 14000 series (ISO 14006 [25]). Although neither the technical report nor the new standard is intended to be used as standards for certification and recording purposes, certification bodies and companies have already used them for labeling activities, for example, environmental statements for cars, such as KIA [26] and Daimler [27]. As consumer demand for sustainable products is constantly increasing, new research bodies with ecological and social consciousness, for example, the Sinus Institute Heidelberg [28], describe con-

**3. Comparing reuse options; reconstruction, renovation and repair,** 

These three major recycling possibilities aren't in fact equal, but rather a ranking exists among them, with reconstruction at the highest level, then restoration, and finally repair. Reconstruction is a practice of upgrading a used commodity to a minimum to the new product quality requirements and providing the resulting product a warranty that would be at least on par with that of the new produced alternative [29]. At present, reconstructing is typically profitable for large and complex mechanical and electromechanical products that follow an extremely stable technological process and for materials and components that are expensive to manufacture or can become expensive in the future. The value of component reuse in relation to dismantling costs makes manually dismantling these products worthwhile, allowing the reconstruction of profitable products. Reconstruction can be differentiated from repair and renovation,

• Reconstructed products have a guarantee equal to that of new alternatives, while repaired and renovated have lower guarantees. Typically, with the renovation, the warranty applies to all important parts that are damaged, and

• Reconstruction requires more effort than the other two methods, with the outcome that the standard and efficiency of its commodities appear to be greater.

• Reproduced devices lose their identities when rebuilt and refurbished maintain their own as all parts of a commodity are recycled in the reconstruction and new ones are replaced by people who can no longer at minimum return to their

• Reconstructing may include upgrading the product used beyond its original

specifications, which is not the case for repair and renovation.

**including planning principles for sustainability**

the repair is only applicable to the repaired part.

**94**

Several basic rules of sustainability management can be enforced to all types of commodities, including electrical and electronic equipment. These can be illustrated as follows:


## **3.2 Life cycle consideration**

Considering that the lifespan is an integral and absolutely essential aspect of DFS, this covers all aspects of the lifespan of a product, from resource extraction to the phases of use and end of life. In this sense, policies for reuse and recycling including biodegradation, incineration and final disposal are being introduced. DFS seeks to continually improve the sustainability of the entire system at all levels of the lifespan of the commodity, such as removing harmful chemicals, improving efficiency and performance, promoting reuse and recycling. In addition, DFS analyzes the context of use and the systems in which products and services are added to the life cycle with the prospect of a sustainable product-service-system design [31]. When designing sustainable product service system, the whole mentioned system will be considered.

## **3.3 EEE usage phase**

The minimization of energy during the use of electronic products is the main objective of the EUP Directive. The EUP criteria for the different product categories

## *Product Design*

cover for example the energy consumption during the use of the appliances and the standby power consumption. Although energy consumption thresholds are mandatory for all products covered by the Directive, no design strategies or additional measures to encourage the so-called sustainable user behavior are defined.

Therefore, the use process consists of several phases, such as commodity acquisition, start-up, utilization, maintenance restoration and recycling, and consumer attitudes at any stage that is hard to anticipate. During the engineering process, extra effort should be undertaken to influence customer behavior, for example, to provide characteristics and data through the packaging in the commodity and customer information to cultivate customer's economically viable attitude.

Design strategies for optimizing the use phase include the following:


## **4. Repair of products in industry; tools and rules for sustainable design**

## **4.1 Repair of products in industry**

One of the most typical product repair applications, which will be discussed in this section, is that of computers. The repair of computers and other office products, such as printers, has been going on for over 20 years and is not guided by the original manufacturers but by independent experts who have identified a commercial opportunity. Most manufacturers do not yet have the repair as a priority for serving their customers or the market, so demand is still met mainly by independent providers. Reopenable computers and print products can generally be categorized into three categories: repaired, renovated and reconstructed. There are currently a growing number of manufacturers who have put in place procedures to provide second-hand equipment to their customers, with some using "home-based" services and others involving independent experts as service providers. In the absence of legislation and standards, acceptable practices will be different among all suppliers of second-hand equipment (whether manufacturers or specialists), but the following descriptions provide a guide to product expectations within the three categories and throughout the computer market.

## **4.2 Tools and rules for sustainable design**

To facilitate sustainability planners, there is already a wealth of tools and methods available to help integrate the environmental, social and economic aspects of planning processes. The most complex tool is Life Cycle Assessment (LCA), and the simplest are the rules of thumb that experts have formulated to give guidance

**97**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

thumb rules have been developed concerning the following:

it is important to be non-toxic and biodegradable

to the design process. Through cumulative knowledge acquired for decades, various

• Longer-lived moving products, for example, energy-consuming vehicles in practice, where the weight and other effects on energy consumption in the active/in-use phase are usually more important and consumables, for example, products with a very short life span that are lost or dissolved during use, where

Any fault or damage intervention, identification and correction is called repair. A mechanical or electrical repair will return a commodity to a working state, while a decorative repair can inflict cosmetic damage to the outside appearance and/ or spots (e.g., crack, stain, scratch or rupture). A certified technician or a service center could restore a commodity regionally of the manufacturer or specialist. The test is only performed to ensure that the repair has eliminated or corrected the particular defect identified. Repairs are inherent activities in more extensive repair

Renovation is one of the two processes associated with most reused products. It is carried out in a factory with functional specifications, involving a larger set of tools, cleaning solutions, solvents, paints and other surface treatment options. The upgrade is described as the return of a used product to a performance or quality greater than it was when it was brand new. While the refurbishment process does not seek to increase the original manufacturing capacity of the product, larger spare parts may be added if genuine spare parts are no longer available, or later highercapacity components are of comparable cost. A refurbished product generally has a limited warranty, depending on the supplier (original manufacturer or independent

Reconstruction is more complex than refurbishment and is a thorough, complete

dismantling and reassembly process that returns a used product at least to the originally determined state. Depending on the processes of the remanufacturer (either original manufacturer or independent specialist), the disassembly process can either preserve the identity of the original product (through serial number) or provide a completely new identification system (supported by a new serial

Reconstruction includes detailed cleaning, testing and diagnosis of all dismantled parts. Components, depending on their commercial viability, are either repaired or replaced. Repairs to components or sub-assemblies are performed by

• Longer-lived products that consume significant amounts of energy, fuel, water, and other consumables that, during their lifetimes, very often, have significant environmental impacts occurring during use phase (making the reduction in

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

consumption during use phase)

**5. Reusability and after that**

**5.1 Repair**

or rebuild processes.

**5.2 Renovation**

specialist).

number).

**5.3 Reconstruction**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

to the design process. Through cumulative knowledge acquired for decades, various thumb rules have been developed concerning the following:


## **5. Reusability and after that**

## **5.1 Repair**

*Product Design*

cover for example the energy consumption during the use of the appliances and the standby power consumption. Although energy consumption thresholds are mandatory for all products covered by the Directive, no design strategies or additional measures to encourage the so-called sustainable user behavior are defined.

Therefore, the use process consists of several phases, such as commodity acquisition, start-up, utilization, maintenance restoration and recycling, and consumer attitudes at any stage that is hard to anticipate. During the engineering process, extra effort should be undertaken to influence customer behavior, for example, to provide characteristics and data through the packaging in the commodity and customer information to cultivate customer's economically viable attitude. Design strategies for optimizing the use phase include the following:

• Knowledge delivery, support infrastructure and possibilities for environmen-

• Incorporation of functionalities to reduce power expenditure (e.g., the display of vacuum cleaner effectiveness data—indication signal in case a filter change

• Inspiring and persuading buyers to reconsider their practices, such as not using dryers and drying clothes outside, laundering only under maximum load and at lower temperatures, etc., and additionally marketing them in an enjoyable

and pleasurable manner, or issuing customer and group rewards [32].

**4. Repair of products in industry; tools and rules for sustainable design**

One of the most typical product repair applications, which will be discussed in this section, is that of computers. The repair of computers and other office products, such as printers, has been going on for over 20 years and is not guided by the original manufacturers but by independent experts who have identified a commercial opportunity. Most manufacturers do not yet have the repair as a priority for serving their customers or the market, so demand is still met mainly by independent providers. Reopenable computers and print products can generally be categorized into three categories: repaired, renovated and reconstructed. There are currently a growing number of manufacturers who have put in place procedures to provide second-hand equipment to their customers, with some using "home-based" services and others involving independent experts as service providers. In the absence of legislation and standards, acceptable practices will be different among all suppliers of second-hand equipment (whether manufacturers or specialists), but the following descriptions provide a guide to product expectations within the three

To facilitate sustainability planners, there is already a wealth of tools and methods available to help integrate the environmental, social and economic aspects of planning processes. The most complex tool is Life Cycle Assessment (LCA), and the simplest are the rules of thumb that experts have formulated to give guidance

tally responsible use and recovery after use

• Maintenance operations architecture

**4.1 Repair of products in industry**

categories and throughout the computer market.

**4.2 Tools and rules for sustainable design**

is required)

**96**

Any fault or damage intervention, identification and correction is called repair. A mechanical or electrical repair will return a commodity to a working state, while a decorative repair can inflict cosmetic damage to the outside appearance and/ or spots (e.g., crack, stain, scratch or rupture). A certified technician or a service center could restore a commodity regionally of the manufacturer or specialist. The test is only performed to ensure that the repair has eliminated or corrected the particular defect identified. Repairs are inherent activities in more extensive repair or rebuild processes.

## **5.2 Renovation**

Renovation is one of the two processes associated with most reused products. It is carried out in a factory with functional specifications, involving a larger set of tools, cleaning solutions, solvents, paints and other surface treatment options. The upgrade is described as the return of a used product to a performance or quality greater than it was when it was brand new. While the refurbishment process does not seek to increase the original manufacturing capacity of the product, larger spare parts may be added if genuine spare parts are no longer available, or later highercapacity components are of comparable cost. A refurbished product generally has a limited warranty, depending on the supplier (original manufacturer or independent specialist).

## **5.3 Reconstruction**

Reconstruction is more complex than refurbishment and is a thorough, complete dismantling and reassembly process that returns a used product at least to the originally determined state. Depending on the processes of the remanufacturer (either original manufacturer or independent specialist), the disassembly process can either preserve the identity of the original product (through serial number) or provide a completely new identification system (supported by a new serial number).

Reconstruction includes detailed cleaning, testing and diagnosis of all dismantled parts. Components, depending on their commercial viability, are either repaired or replaced. Repairs to components or sub-assemblies are performed by the remanufacturer or shipped to a specialist on the product. Upgrades are also provided for parts of the hardware when commercially available, and any other changes to the software or logistics infrastructure should also be included in the rebuilding process.

Restoration is conducted at a factory location with appropriate sets of equipment and measurements similar to that used in initial production with guidance found in the method of audit documentation. Due to the complete removal of the items, the factory default configuration must be deleted or modified. Furthermore, new additions and improvements can be introduced in order to provide commodities with the latest available innovations compared to standard prototypes. Refurbished commodities can, therefore, be identical to current production versions, checked at the same standard, and commonly sold as "new" with a complete or revised insurance.

It has to be mentioned that the standard engineering term of reconstruction in the field of information technology is more like rebuilding, as very few are actually reconstructed in the same way a component was originally constructed. Most computer and printer vendors will use specialized manufacturers to build key components and subsystems (such as processors, memories, optical drives, and hard drives), and the cost of replacing with a modern component is generally lower than repairing older defective product.

## **5.4 Upgrading**

Repair can be part of the renovation or rebuild process. Upgrades can be developed to meet customer-related issues, or programmed events in the product life cycle, especially when the product is complex and designed for long service life. Improvement tends to increase or boosts the efficiency of the device by upgrading its capabilities or performance, along with changing or incorporating components or modules to enhance the capabilities of the original model. Just like the repair, the examination is minimal and then only to ensure proper implementation and operation of the improvement.

Several adjustments may improve the item's capability further than the level of initial manufacturing processes, and some may even push a commodity to the latest model standards. It is dependent on an item's evolutionary interoperability that relies on the prototype technical adaptability and the ability to improve a model throughout its lifespan.

Improvements could also emerge from the absence of the initial product, which may result in improvements caused by a lack of option in repair and refurbishment.

## **5.5 The secondary product market**

While the reconstruction of electrical equipment cannot mitigate ecological advantages and competitiveness, it can be accepted regarding social aspects such as addressing inequality, unemployment and absence of qualifications. The policy choice to be decided throughout the context of second-hand trade functions for some types of commodities such as home equipment should be whether or not ecological issues and their decreased productivity can be overcome by their tremendous social gains and re-operating ecological gains. Therefore, the ecological risks are likely to overshadow the significant social benefits. Some socioeconomic positive effects of resale business operations comprise employment advancement, improving the overall professional career for the regional society and individuals reselling second-hand consumer commodities, supplying basic goods to disadvantaged people who would otherwise be unable to access them, and providing with

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self-confidence and new skills that will help them start over.

• Poor people benefit because they can afford the purchase of goods.

**5.6 Variability of standards and quality of renovation and reuse**

pendently controlled to provide recognized levels of accreditation.

**5.7 Qualitative criteria for reuse and certification of reuse centers**

product channels and at lower prices, even if they are not open or new.

Some suppliers and broader individual distributors can mark their commodity rebuild procedures with some other industry certifications, such as international

As previously stated, in the sector of discarded IT appliances, there is little legislation, so specifications and standard requirements differ for all vendors on the sector of old IT hardware. The simpler present legal system applies to the purchase of goods, acknowledging that a commodity should not be altered and needs to be in line with the specific intent and characterization. Most of the items sold in stores are therefore defined as being partly "used," yet without more explanation. By identifying their commodities as former-approved, certain vendors would only further distinguish their offers formerly-declared, formerly-borrowed, etc. This is generally the case for the newest used equipment below 12 months. Occasionally, some manufacturers sell excess product or product inventory through their used

• Organizations continue their various charitable goals.

employment access to unqualified individuals. The socioeconomic consequences of resale business procedures may be defined via the efforts of several associations working with homeless people and several marginalized communities (https:// emmaus.org.uk/) [33]. Organizations get donated products that are re-running and help the homeless to reopen them under their supervision. Their key advantages

• The homeless benefit from having a roof above their heads, paid employment,

• Jobs are created for the technical staff that oversees former homeless people.

Despite the fact that there is EU legislation for processing commodities that have reached the end of the lifespan stage, EU legislation does not exist today. Neither are other wealthy nations or areas motivated toward refurbishment or reconstruction to recycle IT commodities. Existing WEEE regulations include obligations and standards for optimal material recycling after it has been marked as scrap, but still there is very little to direct consumers as well as producers on reuse or prolonged

Without the regulations, the system of manufacturing requirements is very minimal and there are variations in the rate of re-operation and production quality with almost all of the construction in the control of autonomous professionals. Autonomous dealers, motivated by market opportunities, may very well typically try relatively cost-effective options to bring a device to function because then they can take advantage of a secondary efficient lifespan, resulting in competitive and dynamic business availability. Certain industry associations representing manufacturers and independent suppliers have tried to clarify the process, but are currently not developed in recognized national or international standards that can be inde-

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

include the following:

• Jobs are being created.

utilization.

## *Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

employment access to unqualified individuals. The socioeconomic consequences of resale business procedures may be defined via the efforts of several associations working with homeless people and several marginalized communities (https:// emmaus.org.uk/) [33]. Organizations get donated products that are re-running and help the homeless to reopen them under their supervision. Their key advantages include the following:


*Product Design*

rebuilding process.

insurance.

**5.4 Upgrading**

tion of the improvement.

throughout its lifespan.

**5.5 The secondary product market**

than repairing older defective product.

the remanufacturer or shipped to a specialist on the product. Upgrades are also provided for parts of the hardware when commercially available, and any other changes to the software or logistics infrastructure should also be included in the

Restoration is conducted at a factory location with appropriate sets of equipment and measurements similar to that used in initial production with guidance found in the method of audit documentation. Due to the complete removal of the items, the factory default configuration must be deleted or modified. Furthermore, new additions and improvements can be introduced in order to provide commodities with the latest available innovations compared to standard prototypes. Refurbished commodities can, therefore, be identical to current production versions, checked at the same standard, and commonly sold as "new" with a complete or revised

It has to be mentioned that the standard engineering term of reconstruction in the field of information technology is more like rebuilding, as very few are actually reconstructed in the same way a component was originally constructed. Most computer and printer vendors will use specialized manufacturers to build key components and subsystems (such as processors, memories, optical drives, and hard drives), and the cost of replacing with a modern component is generally lower

Repair can be part of the renovation or rebuild process. Upgrades can be developed to meet customer-related issues, or programmed events in the product life cycle, especially when the product is complex and designed for long service life. Improvement tends to increase or boosts the efficiency of the device by upgrading its capabilities or performance, along with changing or incorporating components or modules to enhance the capabilities of the original model. Just like the repair, the examination is minimal and then only to ensure proper implementation and opera-

Several adjustments may improve the item's capability further than the level of initial manufacturing processes, and some may even push a commodity to the latest model standards. It is dependent on an item's evolutionary interoperability that relies on the prototype technical adaptability and the ability to improve a model

Improvements could also emerge from the absence of the initial product, which may result in improvements caused by a lack of option in repair and refurbishment.

While the reconstruction of electrical equipment cannot mitigate ecological advantages and competitiveness, it can be accepted regarding social aspects such as addressing inequality, unemployment and absence of qualifications. The policy choice to be decided throughout the context of second-hand trade functions for some types of commodities such as home equipment should be whether or not ecological issues and their decreased productivity can be overcome by their tremendous social gains and re-operating ecological gains. Therefore, the ecological risks are likely to overshadow the significant social benefits. Some socioeconomic positive effects of resale business operations comprise employment advancement, improving the overall professional career for the regional society and individuals reselling second-hand consumer commodities, supplying basic goods to disadvantaged people who would otherwise be unable to access them, and providing with

**98**

## **5.6 Variability of standards and quality of renovation and reuse**

Despite the fact that there is EU legislation for processing commodities that have reached the end of the lifespan stage, EU legislation does not exist today. Neither are other wealthy nations or areas motivated toward refurbishment or reconstruction to recycle IT commodities. Existing WEEE regulations include obligations and standards for optimal material recycling after it has been marked as scrap, but still there is very little to direct consumers as well as producers on reuse or prolonged utilization.

Without the regulations, the system of manufacturing requirements is very minimal and there are variations in the rate of re-operation and production quality with almost all of the construction in the control of autonomous professionals. Autonomous dealers, motivated by market opportunities, may very well typically try relatively cost-effective options to bring a device to function because then they can take advantage of a secondary efficient lifespan, resulting in competitive and dynamic business availability. Certain industry associations representing manufacturers and independent suppliers have tried to clarify the process, but are currently not developed in recognized national or international standards that can be independently controlled to provide recognized levels of accreditation.

## **5.7 Qualitative criteria for reuse and certification of reuse centers**

As previously stated, in the sector of discarded IT appliances, there is little legislation, so specifications and standard requirements differ for all vendors on the sector of old IT hardware. The simpler present legal system applies to the purchase of goods, acknowledging that a commodity should not be altered and needs to be in line with the specific intent and characterization. Most of the items sold in stores are therefore defined as being partly "used," yet without more explanation. By identifying their commodities as former-approved, certain vendors would only further distinguish their offers formerly-declared, formerly-borrowed, etc. This is generally the case for the newest used equipment below 12 months. Occasionally, some manufacturers sell excess product or product inventory through their used product channels and at lower prices, even if they are not open or new.

Some suppliers and broader individual distributors can mark their commodity rebuild procedures with some other industry certifications, such as international

standards ISO, CEN, or national standards such as BSI or DIN. In particular, in the UK, BSI offers a protocol that includes descriptions and guidelines for the repair and future sales of used IT appliances [34]. This template has the acronym MADE (made for assembly, disassembly and end of life). This includes descriptions of procedures for re-assembly levels and re-launch of the equipment back to the market. At present, this standard serves as a voluntary industry guide without any certification or accreditation procedure that will confirm the correct practice by the supplier (be it manufacturer or independent).

Many of the suppliers of used equipment also have a waste permit for their reprocessing facilities to ensure compliance with legislation and to properly dispose of the waste generated in the re-operational processes. As with some repair work, some suppliers of used equipment may outsource the recycling operations to third parties.

## **6. Design issues in reconstruction and for reuse and recycling of EEE**

## **6.1 Design issues in reconstruction**

Improvement of refinancing and refurbishment would require changes in the architecture of the product as the architecture is the lifespan characteristic of the commodity that has the greatest influence on ecological burden [35] and also defines the commodity's capacity. That is, it will immediately raise the particular product cost and it will initially be costly but it will lead to long-term sustainability, bearing in mind the relative cost of waste management and many other environmental requirements. One major problem at this point is the lack of know-how of designers for designing products for reuse. A key issue in product design for reuse is to avoid features that prevent the product or component from being returned at least in its original state of operation. These include the following:


Several of these main refurbishments and reuse considerations, though, bypass the influence of the manufacturer. The most critical of these are the rules, demands and restriction procedures of factories. Laws and regulations will have a significant impact as they allow businesses to raise the value added of their commodities and increase the cost of disposal. This can also motivate companies to produce refurbished commodities. Furthermore, if laws prevent the use of a chemical, the products that contain it cannot be re-imported into the marketplace and thus will not be reused. Refurbishment and reuse are only acceptable if the revived item has a demand. Fashion-affected goods are improper since consumers may choose the latest offering irrespective of the refurbished's price and quality. Many consumers demand modern goods as fashion options, so goods are usually less attractive in

**101**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

terms of renovation and reuse, particularly those that require a fairly low preliminary cost or are in prestigious positions in residences. Manufacturers' prohibitive practices, such as patents, property rights and anti-competitive processing, also prevent refurbishment and reuse. For example, some printer manufacturers have designed the ink cartridges to self-destruct when they are empty, thus preventing their rebuilding. However, if the old products do not exist to get rid of them or take good aspects of existing second-hand products, then the technology to produce new parts becomes obsolete, and therefore refurbishing the product will be impossible.

According to the EU waste hierarchy, the mandatory priorities for EEE are prevention, reuse, recycling and other forms of recovery and finally disposal, if

WEEE regulations also contain a strict requirement to promote consumer reuse and recycling pursuant to Section 4: Product Design. Member states are obliged to take action to stop manufacturers from the use of particular design characteristics or particular production processes unless such characteristics or processes are legally required or the actual advantages are immensely beneficial. In product design, to consider whether any of these approaches is most effective, the options for reuse of an item should be analyzed and correlated to raw recycling and disman-

The concept of reuse may include either individual components or the whole of the product, depending on its age and condition. Reuse can take place for the same purpose in the same system or to serve another purpose. During the design of the concepts or possibilities for reuse, the following criteria must be taken into

• *Criteria* for the compatibility of reusable devices with the standards of new EEE

• Other criteria, for example, market behavior, obligations, patents and property

• Design for recycling. Selection of recyclable materials, low material diversity,

rights. Design strategies that support reuse and recycling include:

• Structured design and standardization of components

• Recovery of valuable materials in electronic products

low toxicity, marking of materials and ease of dismantling:

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

**6.2 Design for reuse and recycling of EEE**

economically and environmentally feasible.

tling policies.

account [36]:

• Technical criteria

• Quantitative criteria

• Economic criteria

• Innovative criteria

• Delivery criteria

• Longevity design

• Time criteria

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

terms of renovation and reuse, particularly those that require a fairly low preliminary cost or are in prestigious positions in residences. Manufacturers' prohibitive practices, such as patents, property rights and anti-competitive processing, also prevent refurbishment and reuse. For example, some printer manufacturers have designed the ink cartridges to self-destruct when they are empty, thus preventing their rebuilding. However, if the old products do not exist to get rid of them or take good aspects of existing second-hand products, then the technology to produce new parts becomes obsolete, and therefore refurbishing the product will be impossible.

## **6.2 Design for reuse and recycling of EEE**

*Product Design*

parties.

supplier (be it manufacturer or independent).

**6.1 Design issues in reconstruction**

standards ISO, CEN, or national standards such as BSI or DIN. In particular, in the UK, BSI offers a protocol that includes descriptions and guidelines for the repair and future sales of used IT appliances [34]. This template has the acronym MADE (made for assembly, disassembly and end of life). This includes descriptions of procedures for re-assembly levels and re-launch of the equipment back to the market. At present, this standard serves as a voluntary industry guide without any certification or accreditation procedure that will confirm the correct practice by the

Many of the suppliers of used equipment also have a waste permit for their reprocessing facilities to ensure compliance with legislation and to properly dispose of the waste generated in the re-operational processes. As with some repair work, some suppliers of used equipment may outsource the recycling operations to third

**6. Design issues in reconstruction and for reuse and recycling of EEE**

least in its original state of operation. These include the following:

Improvement of refinancing and refurbishment would require changes in the architecture of the product as the architecture is the lifespan characteristic of the commodity that has the greatest influence on ecological burden [35] and also defines the commodity's capacity. That is, it will immediately raise the particular product cost and it will initially be costly but it will lead to long-term sustainability, bearing in mind the relative cost of waste management and many other environmental requirements. One major problem at this point is the lack of know-how of designers for designing products for reuse. A key issue in product design for reuse is to avoid features that prevent the product or component from being returned at

• Non-lasting component that may result in rupture during reconstruction (construction, maintenance or upgrade) as well as a limitation during use to

• Involvement of techniques that prohibit element isolation or are likely to result in element destruction during separation: epoxy resin welding, for example, can be used to promote fast assembly but will prohibit disassembly without harm, leading to an increase of even further innovation in recycling or reuse

• Characteristics involving banned elements or techniques of storage or anything

Several of these main refurbishments and reuse considerations, though, bypass the influence of the manufacturer. The most critical of these are the rules, demands and restriction procedures of factories. Laws and regulations will have a significant impact as they allow businesses to raise the value added of their commodities and increase the cost of disposal. This can also motivate companies to produce refurbished commodities. Furthermore, if laws prevent the use of a chemical, the products that contain it cannot be re-imported into the marketplace and thus will not be reused. Refurbishment and reuse are only acceptable if the revived item has a demand. Fashion-affected goods are improper since consumers may choose the latest offering irrespective of the refurbished's price and quality. Many consumers demand modern goods as fashion options, so goods are usually less attractive in

the degree that the commodity is inadequate for "refurbishment"

that might constitute the process costs unviable economically

**100**

According to the EU waste hierarchy, the mandatory priorities for EEE are prevention, reuse, recycling and other forms of recovery and finally disposal, if economically and environmentally feasible.

WEEE regulations also contain a strict requirement to promote consumer reuse and recycling pursuant to Section 4: Product Design. Member states are obliged to take action to stop manufacturers from the use of particular design characteristics or particular production processes unless such characteristics or processes are legally required or the actual advantages are immensely beneficial. In product design, to consider whether any of these approaches is most effective, the options for reuse of an item should be analyzed and correlated to raw recycling and dismantling policies.

The concept of reuse may include either individual components or the whole of the product, depending on its age and condition. Reuse can take place for the same purpose in the same system or to serve another purpose. During the design of the concepts or possibilities for reuse, the following criteria must be taken into account [36]:


All these strategies have as a common feature that they are very dependent on the systems around them. Waste, waste management and logistics systems affect recovery and reuse rates, while end-of-life design requires real planning elements and communication with the end-of-life industry.

Recycling is usually the ecological goal as it preserves the assets (materials and energy) expended in the commodity throughout production. This is accompanied by the recovery cycle recycling of parts and components. Such techniques include dismantling that is non-destructive. The most standard procedure at the moment, however, is product recycling whereby resources are acquired and structural specifics are destroyed. This technique makes catastrophic modification feasible and is a standard procedure for retrieving precious materials, for example, platinum and gold.

The life cycle reuse and recycling methods of a material can be applied as follows:


Financial factors are important in the design and analysis of reuse and recycling approaches, the market price of recycling versus the price of new products. Luckily, increasing resource international market costs advantage reuse and recycling. However, we must also be interested in the effects of reuse, for example, when much better effective and eco-friendly new technologies and services become accessible, the replacement of obsolete goods might be environmentally less harmful.

## **7. Effects on renovation and reuse**

Traditionally, safety, performance and cost were the key factors in the decision to build a product. However, globally changing business conditions force organizations to re-analyze their strategic decisions. Thus, additional factors such as raw material costs and environmental legislation are taken into account in planning

**103**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

and construction decisions. This leads to a shift in factors that affect reuse and refurbishment. Two key factors are the shift from the sale of the product to the sale of capacity (shifting to 'product-service' systems [37]) and the shifting of some companies away from production to the assembly or redemption of segments. As for the first, traditionally, manufacturers sell the products to their customers, so that there is a transfer of ownership from the manufacturer to the customer. Today, some manufacturers choose to retain the ownership of their product and instead sell the product's capability to the customer. One such example is the "provision with time" in the aerospace industry. The manufacturer acts as a service provider and assumes any risks associated with the failure of the product. As the consumer buys only the capacity guarantee, the interest is focused on customer satisfaction with the provided capacity, and so the product age (number of life cycles) becomes less important. Renovation and reuse reduce the costs of organizations that adopt the business model of service, for example, maintenance costs are reduced through the use of refurbished and reused components, and whole remanufactured or refurbished machines can be used instead of more expensive new ones. In the latter case, some producers, in order to reduce costs, buy components from countries with lower labor costs and simply assemble these parts. This however, leads to the loss of

**8. Availability of information on components, materials and methods of repairing products (including influence of scarce resources on** 

There is a clear difference between the position of the original manufacturer and the independent specialist. The original manufacturer will have access to all original manufacturing information as well as subsequent mechanical changes throughout the product's production path. Most manufacturers provide a dedicated production line to keep their interest in producing new products, but some companies such as Ricoh are running re-operational products on the same lines as new products. The required detailed info usually provided by the company would assign the opening to an associated operator who can work on-site at the location of the producer or at one's own venue. The producer could also have links to authentic products of spare parts and distributors, and perhaps provide new and existing

Autonomous repair professionals are far more constrained to restart because they work without the initial producer license. They have no links to method or item suppliers' information and therefore need to gain substantial technological capabilities in other manners. Necessary parts are bought from the open market, whether new or even used, and often specifically from licensed and autonomous service suppliers, or from the distribution channel of the supplier or its associate. In certain situations, full systems for parts acquisition should be acquired to allow components to be replaced for products to be re-operated. Product knowledge and experience may be acquired through the recruitment of staff previously employed

by the original manufacturer or their authorized sales and repair partners.

Depending on the size of independent experts, resumption capabilities vary with the size and depth of the process, but even larger independent companies cannot invest in full reproduction of the original maker's production or restart environment. Repair and restoration methods will generally be similar between the manufacturer, the authorized representative or the independent specialist, to test the product, re-operate at the required level and prepare for use. Independent experts may generally have the most efficient line to bring a used product back into

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

the required engineering skills for the reconstruction.

**sustainable EEE design)**

parts to update the re-launched devices.

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

and construction decisions. This leads to a shift in factors that affect reuse and refurbishment. Two key factors are the shift from the sale of the product to the sale of capacity (shifting to 'product-service' systems [37]) and the shifting of some companies away from production to the assembly or redemption of segments. As for the first, traditionally, manufacturers sell the products to their customers, so that there is a transfer of ownership from the manufacturer to the customer. Today, some manufacturers choose to retain the ownership of their product and instead sell the product's capability to the customer. One such example is the "provision with time" in the aerospace industry. The manufacturer acts as a service provider and assumes any risks associated with the failure of the product. As the consumer buys only the capacity guarantee, the interest is focused on customer satisfaction with the provided capacity, and so the product age (number of life cycles) becomes less important. Renovation and reuse reduce the costs of organizations that adopt the business model of service, for example, maintenance costs are reduced through the use of refurbished and reused components, and whole remanufactured or refurbished machines can be used instead of more expensive new ones. In the latter case, some producers, in order to reduce costs, buy components from countries with lower labor costs and simply assemble these parts. This however, leads to the loss of the required engineering skills for the reconstruction.

## **8. Availability of information on components, materials and methods of repairing products (including influence of scarce resources on sustainable EEE design)**

There is a clear difference between the position of the original manufacturer and the independent specialist. The original manufacturer will have access to all original manufacturing information as well as subsequent mechanical changes throughout the product's production path. Most manufacturers provide a dedicated production line to keep their interest in producing new products, but some companies such as Ricoh are running re-operational products on the same lines as new products.

The required detailed info usually provided by the company would assign the opening to an associated operator who can work on-site at the location of the producer or at one's own venue. The producer could also have links to authentic products of spare parts and distributors, and perhaps provide new and existing parts to update the re-launched devices.

Autonomous repair professionals are far more constrained to restart because they work without the initial producer license. They have no links to method or item suppliers' information and therefore need to gain substantial technological capabilities in other manners. Necessary parts are bought from the open market, whether new or even used, and often specifically from licensed and autonomous service suppliers, or from the distribution channel of the supplier or its associate. In certain situations, full systems for parts acquisition should be acquired to allow components to be replaced for products to be re-operated. Product knowledge and experience may be acquired through the recruitment of staff previously employed by the original manufacturer or their authorized sales and repair partners.

Depending on the size of independent experts, resumption capabilities vary with the size and depth of the process, but even larger independent companies cannot invest in full reproduction of the original maker's production or restart environment. Repair and restoration methods will generally be similar between the manufacturer, the authorized representative or the independent specialist, to test the product, re-operate at the required level and prepare for use. Independent experts may generally have the most efficient line to bring a used product back into

*Product Design*

• Disassembly of components containing dangerous substances

upgrading, leasing, exchange, centralized services

and communication with the end-of-life industry.

parts and materials throughout usage cycle.

**7. Effects on renovation and reuse**

ning. It includes technical upgrade

• Design dismantling and assembly

tions for end users

• Disassembling components that obstruct recycling technologies upgrade plan-

• Design concepts that make wear and tear of parts detectable and visible.

• Provision of instructions and information on recyclers and disposal instruc-

• Design of product-service systems. Maintenance, recovery and repair, lease

All these strategies have as a common feature that they are very dependent on the systems around them. Waste, waste management and logistics systems affect recovery and reuse rates, while end-of-life design requires real planning elements

Recycling is usually the ecological goal as it preserves the assets (materials and energy) expended in the commodity throughout production. This is accompanied by the recovery cycle recycling of parts and components. Such techniques include dismantling that is non-destructive. The most standard procedure at the moment, however, is product recycling whereby resources are acquired and structural specifics are destroyed. This technique makes catastrophic modification feasible and is a standard procedure for retrieving precious materials, for example, platinum and

The life cycle reuse and recycling methods of a material can be applied as

• Improve consumer recycling alternatives, namely recycling and end-of-life management, item recycle and recycling solutions (prolonged service life via simple and rapid substitute of broken parts) and recyclable pieces; consumable

• Improve after-life recycling involving recovery/exchange programs, secondhand sales, non-destructive dismantlement and refurbishment recycling of the

Financial factors are important in the design and analysis of reuse and recycling approaches, the market price of recycling versus the price of new products. Luckily, increasing resource international market costs advantage reuse and recycling. However, we must also be interested in the effects of reuse, for example, when much better effective and eco-friendly new technologies and services become accessible, the replacement of obsolete goods might be environmentally less harmful.

Traditionally, safety, performance and cost were the key factors in the decision to build a product. However, globally changing business conditions force organizations to re-analyze their strategic decisions. Thus, additional factors such as raw material costs and environmental legislation are taken into account in planning

item and minimizing the components used in the commodity.

**102**

gold.

follows:

a repaired or refurbished mode, while the manufacturer may choose to invest more in time and cost of re-operation to provide a good quality of used product with a similar warranty.

All participants are responsible through decision-making phases, which assess the product's re-launch at different stages to guarantee an environmentally friendly degree of re-operation is selected that facilitates second-hand market at a gain rather than a loss. Many producers will not pursue the high secondary market revenue of used appliances since they are willing to give independent companies the first and most favorable deal to provide as much customer service as feasibly possible.

## **8.1 Selection of sustainable materials and processes**

The choice of materials and processes is another important element of DFS. There are eight key criteria for these purposes: (1) consumption of resources, (2) energy consumption, (3) dangerous substances emissions, (4) origin and transport, (5) aspects of life span, (6) waste generation, (7) biodiversity and protection of natural areas, and (8) social aspects.

## **9. Conclusions**

Currently, in the sector of recycling of waste electrical and electronic equipment, there is a growing need for rigorous and comprehensive policies to reduce the ecological effects of WEEE. Challenges and opportunities involve ecological pollution, mineral resources scarcity, waste treatment, and landfill deterioration. Thus, WEEE's regeneration and reconstruction are rather essential owing to its huge environmental consequences. Sustainability is not a stationary condition, but a system of dynamic equilibrium between the human environment and the ecosystem. Cofactors that play an influential role is sustainability strategy and environmentally friendly design techniques, dismantlement and reuse architecture, and what they indicate for home appliances. Policies and regulations as well as standards should be identified in the light of opportunities, techniques and equipment for environmentally friendly architecture of consumer electronics, with specific focus on reuse, recycling, choice of environmentally friendly new materials, and finally limited resources.

**105**

**Author details**

Mytilene, Greece

Panagiotis Sinioros1

Michael Lasithiotakis3

Piraeus (TEIPIR), Greece

Commission (EEAE), Athens, Greece

provided the original work is properly cited.

, Abas Amir Haidari2

\*Address all correspondence to: michalis.lasithiotakis@eeae.gr

\* and Ourania Tzoraki<sup>2</sup>

1 Department of Electrical Engineering, Technological Educational Institute of

3 Environmental Radioactivity Monitoring Department, Greek Atomic Energy

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,

2 Marine Science Department, University of the Aegean, University Hill,

, Nikolaos Manousakis1

,

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

## **Author details**

*Product Design*

similar warranty.

**9. Conclusions**

limited resources.

possible.

a repaired or refurbished mode, while the manufacturer may choose to invest more in time and cost of re-operation to provide a good quality of used product with a

All participants are responsible through decision-making phases, which assess the product's re-launch at different stages to guarantee an environmentally friendly degree of re-operation is selected that facilitates second-hand market at a gain rather than a loss. Many producers will not pursue the high secondary market revenue of used appliances since they are willing to give independent companies the first and most favorable deal to provide as much customer service as feasibly

The choice of materials and processes is another important element of DFS. There are eight key criteria for these purposes: (1) consumption of resources, (2) energy consumption, (3) dangerous substances emissions, (4) origin and transport, (5) aspects of life span, (6) waste generation, (7) biodiversity and protection

Currently, in the sector of recycling of waste electrical and electronic equipment, there is a growing need for rigorous and comprehensive policies to reduce the ecological effects of WEEE. Challenges and opportunities involve ecological pollution, mineral resources scarcity, waste treatment, and landfill deterioration. Thus, WEEE's regeneration and reconstruction are rather essential owing to its huge environmental consequences. Sustainability is not a stationary condition, but a system of dynamic equilibrium between the human environment and the ecosystem. Cofactors that play an influential role is sustainability strategy and environmentally friendly design techniques, dismantlement and reuse architecture, and what they indicate for home appliances. Policies and regulations as well as standards should be identified in the light of opportunities, techniques and equipment for environmentally friendly architecture of consumer electronics, with specific focus on reuse, recycling, choice of environmentally friendly new materials, and finally

**8.1 Selection of sustainable materials and processes**

of natural areas, and (8) social aspects.

**104**

Panagiotis Sinioros1 , Abas Amir Haidari<sup>2</sup> , Nikolaos Manousakis1 , Michael Lasithiotakis3 \* and Ourania Tzoraki<sup>2</sup>

1 Department of Electrical Engineering, Technological Educational Institute of Piraeus (TEIPIR), Greece

2 Marine Science Department, University of the Aegean, University Hill, Mytilene, Greece

3 Environmental Radioactivity Monitoring Department, Greek Atomic Energy Commission (EEAE), Athens, Greece

\*Address all correspondence to: michalis.lasithiotakis@eeae.gr

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

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[17] Hora M. 'Consumer Advisory Services' and 'European Directive on Waste from Electrical and Electronic Equipment (WEEE)' in 'Policy Instruments for Resource Efficiency– Towards Sustainable Consumption and Production'. Eschborn: GTZ (Deutsche Gesellschaft für technische Zusammenarbeit), UNEP/Wuppertal Institute CSC P, Wuppertal Institute; 2006

[18] European Commission. Directive 2005/32/EC on the Eco-design of Energyusing Products (EuP): Environmentally-friendly Design of Energy-using Products: Framework

**107**

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction…*

[Online]. 2002. Available from: http://www.iso.org/iso/catalogue\_ detail?csnumber=33020 [Accessed: 24

[25] ISO 14006. Environmental

[Accessed: 24 July 2011]

[Accessed: 24 July 2011]

[Accessed: 30 April 2011]

[28] Sinus. The Sinus Milieus in Germany [Online]. 2011. Available from: http://www.sinus-institut.de/en/

[29] Ijomah WL. A model-based

University of Plymouth; 2002

7 November 2011]

Publishing; 2006

definition of the generic remanufacturing business process. [PhD dissertation]. UK:

[30] Gray C, Charter M. Remanufacturing and Product Design [Online]. 2006. Available from: http://www.cfsd.org. uk/Remanufacturing%20and%20 Product%20Design.pdf [Accessed:

[31] Tukker A, Tischner U. New business

for old europe, product-service development. In: Competitiveness and Sustainability. Sheffield, UK: Greenleaf

[32] Agarwal S, Nath A. Green

computing - A new horizon of energy

Management Systems—Guidelines for Incorporating Ecodesign. International Organisation for Standardization [Online]. 2011. Available from: http:// www.iso.org/iso/iso\_catalogue/catalogue\_ tc/catalogue\_detail.htm?csnumber=4324l

[26] KIA. Environmental Certificates [Online]. Available from: http://www. kiaglobal.com/sg/en/NewsPromotions/ NewsRelease/013303.html [Accessed: 24

[27] Daimler. Mercedes Benz Models with Environmental Certificates [Online]. Available from: www.

daimler.com, http://www.daimler.com/ dccom/0-5-1312394-1-1312442-1-0-0- 0-0-0-36-7145-0-0-0-0-0-0-0.html

July 2011]

July 2011]

*DOI: http://dx.doi.org/10.5772/intechopen.91376*

Directive for Setting Eco-design Requirements for Energy-using Products [Online] 2005. Available from: http://ec.europa.eu/enterprise/

eco\_design/index\_en.htm

[19] European Commission.

[20] Communication from the Commission to the European

Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions Public procurement for a better environment {SEC(2008) 2124} {SEC(2008) 2125} {SEC(2008) 2126}/\* COM/2008/0400 final \*/. Document 52008DC0400. Eurlex - :52008DC0400 - EN - Eur \_Lex

[21] Monti M. A New Strategy for the Single Market at the Service of Europe's Economy and Society. Report to the President of the European Commission José Manuel Barroso [Online]. 2010. Available from: http://ec.europa.eu/bepa/ pdf/monti\_report\_final\_10\_05\_2010\_ en.pdf [Accessed: 30 April 2011]

[22] [Online]. Available from: http://www. ecolabelindex.com/ecolabels/?st=categor y=electronics [Accessed: 25 June 2011]

[23] US Government. Dodd–Frank Wall Street Reform and Consumer Protection Act ('Dodd-Frank Act') [Online]. 2010. Available from: http://www.sec. gov/about/laws/wallstreetreform-cpa. pdf, http://www.sec.gov/spotlight/ dodd-frank/speccorpdisclosure.shtml

[Accessed: 25 June 2011]

Management—Integrating

[24] ISO/TR 14062. Environmental

Environmental Aspects into Product Design and Development. International Organisation for Standardization

Manufacturing Visions Report No. 3, Integrating Diverse Perspectives into Pan-European Foresight, Delphi Interpretation Report, Contract No. NMP2-CT-2003-507139-MANVIS, 11/2005 [Online]. 2005. Available from: http://forera.jrc.ec.europa.eu/ documents/Final\_Report\_final.pdf

*Renovation and Reuse of Waste Electrical and Electronic Equipment in the Direction… DOI: http://dx.doi.org/10.5772/intechopen.91376*

Directive for Setting Eco-design Requirements for Energy-using Products [Online] 2005. Available from: http://ec.europa.eu/enterprise/ eco\_design/index\_en.htm

[19] European Commission. Manufacturing Visions Report No. 3, Integrating Diverse Perspectives into Pan-European Foresight, Delphi Interpretation Report, Contract No. NMP2-CT-2003-507139-MANVIS, 11/2005 [Online]. 2005. Available from: http://forera.jrc.ec.europa.eu/ documents/Final\_Report\_final.pdf

[20] Communication from the Commission to the European Parliament, the Council, the European Economic and Social Committee and the Committee of the Regions Public procurement for a better environment {SEC(2008) 2124} {SEC(2008) 2125} {SEC(2008) 2126}/\* COM/2008/0400 final \*/. Document 52008DC0400. Eurlex - :52008DC0400 - EN - Eur \_Lex

[21] Monti M. A New Strategy for the Single Market at the Service of Europe's Economy and Society. Report to the President of the European Commission José Manuel Barroso [Online]. 2010. Available from: http://ec.europa.eu/bepa/ pdf/monti\_report\_final\_10\_05\_2010\_ en.pdf [Accessed: 30 April 2011]

[22] [Online]. Available from: http://www. ecolabelindex.com/ecolabels/?st=categor y=electronics [Accessed: 25 June 2011]

[23] US Government. Dodd–Frank Wall Street Reform and Consumer Protection Act ('Dodd-Frank Act') [Online]. 2010. Available from: http://www.sec. gov/about/laws/wallstreetreform-cpa. pdf, http://www.sec.gov/spotlight/ dodd-frank/speccorpdisclosure.shtml [Accessed: 25 June 2011]

[24] ISO/TR 14062. Environmental Management—Integrating Environmental Aspects into Product Design and Development. International Organisation for Standardization

[Online]. 2002. Available from: http://www.iso.org/iso/catalogue\_ detail?csnumber=33020 [Accessed: 24 July 2011]

[25] ISO 14006. Environmental Management Systems—Guidelines for Incorporating Ecodesign. International Organisation for Standardization [Online]. 2011. Available from: http:// www.iso.org/iso/iso\_catalogue/catalogue\_ tc/catalogue\_detail.htm?csnumber=4324l [Accessed: 24 July 2011]

[26] KIA. Environmental Certificates [Online]. Available from: http://www. kiaglobal.com/sg/en/NewsPromotions/ NewsRelease/013303.html [Accessed: 24 July 2011]

[27] Daimler. Mercedes Benz Models with Environmental Certificates [Online]. Available from: www. daimler.com, http://www.daimler.com/ dccom/0-5-1312394-1-1312442-1-0-0- 0-0-0-36-7145-0-0-0-0-0-0-0.html [Accessed: 24 July 2011]

[28] Sinus. The Sinus Milieus in Germany [Online]. 2011. Available from: http://www.sinus-institut.de/en/ [Accessed: 30 April 2011]

[29] Ijomah WL. A model-based definition of the generic remanufacturing business process. [PhD dissertation]. UK: University of Plymouth; 2002

[30] Gray C, Charter M. Remanufacturing and Product Design [Online]. 2006. Available from: http://www.cfsd.org. uk/Remanufacturing%20and%20 Product%20Design.pdf [Accessed: 7 November 2011]

[31] Tukker A, Tischner U. New business for old europe, product-service development. In: Competitiveness and Sustainability. Sheffield, UK: Greenleaf Publishing; 2006

[32] Agarwal S, Nath A. Green computing - A new horizon of energy

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*Product Design*

**References**

[1] Ijomah WL, Chiodo JD. Application

design. Waste Electrical and Electronic Equipment (WEEE) Handbook. 2nd ed. Woodhead Publishing Series in Electronic and Optical Materials. 2019. DOI: 10.1016/ B978-0-08-102158-3.00017-3

[12] Charter M, Tischner U. Sustainable Solutions: Developing Products and Services for the Future. Sheffield, UK:

[13] NRC. Buy Recycled Guidebook. 1999. Available from: http://www.nrc-recycle. org/brba/Buy\_Recycled\_Guidebook.pdf

[15] Chick A, Micklethwaite P. Obstacles

[16] Ijomah WL, Childe SJ. A model of the operations concerned in re-manufacture. International Journal of Production Research. 2007;**45**:5857-5880

Greenleaf Publishing; 2001

[Accessed: 21 November 2003]

2010;**163**:157-163

[14] Ijomah WL. The application of remanufacturing in sustainable manufacture. Proceedings of ICE– Waste and Resource Management.

to UK Architects and Designers Specifying Recycled Products and Materials, Design History Society Conference. Aberystwyth: The University of Wales; 2002

[17] Hora M. 'Consumer Advisory Services' and 'European Directive on Waste from Electrical and Electronic Equipment (WEEE)' in 'Policy Instruments for Resource Efficiency– Towards Sustainable Consumption and Production'. Eschborn: GTZ (Deutsche Gesellschaft für technische Zusammenarbeit), UNEP/Wuppertal Institute CSC P, Wuppertal Institute; 2006

[18] European Commission. Directive 2005/32/EC on the Eco-design of Energyusing Products (EuP): Environmentally-friendly Design of Energy-using Products: Framework

[3] Council Directive 91/689/EEC of 12 December 1991 on hazardous waste. Document 31991L0689. 91/689/EEC -

[4] Council Directive 94/31/EC of 27 June 1994 amending Directive 91/689/ EEC on hazardous waste. Document 31994L0031. EUR-Lex - 31994L0031 -

[5] Stern N. The Economics of Climate Change. The Stern Review. Cambridge, UK: Cambridge University Press; 2007

[6] European Environment Agency. Environmental Pressures from European Consumption and Production. 2007. EE A Publication

[7] World Commission on Environment and Development. Our Common Future. Brundtland Commission. Oxford, UK:

Oxford University Press; 1987

[8] United Nations, Agenda 21: The Earth Summit Strategy to Save Our Planet. 1992. Document E. 92-38352

[9] Papanek V. Design for the Real World: Human Ecology and Social Change. New York: Pantheon Books; 1971

[10] Papanek V. The Green Imperative: Natural Design for the Real World. New York: Thames and Hudson; 1995

[11] Tischner U, Hora M. Chapter 17 - Sustainable electronic product

of active disassembly to extend profitable remanufacturing in small electrical and electronic products. International Journal of Sustainable

Engineering. 2010;**3**:246-257

[2] Hawken P. The Ecology of Commerce—A Declaration of Sustainability. New York: Harper

Collins; 1993. pp. 45-46

EUR-Lex - Europa EU

EN - EUR-Lex - europa.eu

TH-78- 07-137-EN-D

## *Product Design*

efficiency and electronic waste minimization: A global perspective. In: International Conference on Communication Systems and Network Technologies. Katra, Jammu; 2011. pp. 688-693. DOI: 10.1109/ CSNT.2011.148

[33] Cole C, Gnanapragasam A, Cooper T. Towards a circular economy: exploring routes to reuse for discarded electrical and electronic equipment. Procedia CIRP. 2017;**61**:155-160. ISSN: 2212-8271. DOI: 10.1016/j. procir.2016.11.234

[34] BSI, BS 8887-2:2009—Terms and definitions, BS 8887-1:2006—General concepts, process and requirements. Produced by British Standards institute technical product specification committee (TDW/004/0-/05 Design for MADE BSI). 2009

[35] Graedel TE, Allenby BR, Comrie VR. Matrix approaches to abridged life cycle assessment. Environmental Science & Technology. 1995;**29**(3):134-139. Available from: https://pubs.acs.org/doi/pdf/10.1021/ es00003a751

[36] Rosemann B, Brüning R, Enderle B, Schmidt K, Spengler TS, Plumeyer M. The VDI 2343 guideline gives recommendations for the concerned parties: Part reuse. In: ISWA World Congress, Hamburg, Deutschland; 2010. Available from: https://eref.uni-bayreuth.de/id/ eprint/32026 [Accessed from: 15-18 November 2010]

[37] Sundin E, Lindahl M, Ijomah W. Product design for product/service systems: Design experiences from Swedish industry. Journal of Manufacturing Technology Management. 2009;**20**:723-753

**109**

**Chapter 6**

**Abstract**

Adaptation: A Lens for Viewing

Construction Site Management

*Aghaegbuna Obinna U. Ozumba and Winston Shakantu*

the use of the technology transfer (TT) subconcept of adaptation to explain the uptake of recent information and communication technologies (ICT) in the construction industry. The specific focus is the management of construction site processes. The studies explored the need for management process enhancement, availability of relevant information and communication technologies, occurrence of such technologies in construction site management (CSM), influencing factors, and challenges to their adoption in construction site management. Results from stages in the phased methodology are used to generate certain hypotheses that are based on analysis of primary and secondary data. Insights from testing the hypotheses and findings from the series of studies are used to model an adaptation-based understanding of the transfer of information and communication technologies in construction site management. While using site management as the specific focus, the study contributes an understanding that is relevant to the construction industry

**Keywords:** adaptation, adoption, construction, management, ICT, IT,

The focus of this chapter is the use of the concept of adaptation [1], which is a subconcept of technology transfer (TT) [2, 3], to explain the uptake of recent digital and automation technologies, here classified as information and communication technologies (ICT), in the built environment. The chapter looks at management functions, specifically focusing on construction site management (CSM) and its process. The chapter is based on a series of studies within a doctoral research project. The following themes were explored: the construction industry in a continuously changing environment, implications of changes and increasing complexities of construction sites, challenges and strains to site management, human weakness and limitations in managing construction sites, and technology in an evolving construction industry. It was possible to highlight the realities being faced by the building and construction sectors, and the use of ICT to enhance the site management process, in the face of attendant challenges and limitations.

This book chapter presents the results from a series of studies which explored

Technology Transfer in

and other project-related environments.

site management, technology transfer

**1. Introduction**

## **Chapter 6**

## Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management

*Aghaegbuna Obinna U. Ozumba and Winston Shakantu*

## **Abstract**

This book chapter presents the results from a series of studies which explored the use of the technology transfer (TT) subconcept of adaptation to explain the uptake of recent information and communication technologies (ICT) in the construction industry. The specific focus is the management of construction site processes. The studies explored the need for management process enhancement, availability of relevant information and communication technologies, occurrence of such technologies in construction site management (CSM), influencing factors, and challenges to their adoption in construction site management. Results from stages in the phased methodology are used to generate certain hypotheses that are based on analysis of primary and secondary data. Insights from testing the hypotheses and findings from the series of studies are used to model an adaptation-based understanding of the transfer of information and communication technologies in construction site management. While using site management as the specific focus, the study contributes an understanding that is relevant to the construction industry and other project-related environments.

**Keywords:** adaptation, adoption, construction, management, ICT, IT, site management, technology transfer

## **1. Introduction**

The focus of this chapter is the use of the concept of adaptation [1], which is a subconcept of technology transfer (TT) [2, 3], to explain the uptake of recent digital and automation technologies, here classified as information and communication technologies (ICT), in the built environment. The chapter looks at management functions, specifically focusing on construction site management (CSM) and its process. The chapter is based on a series of studies within a doctoral research project. The following themes were explored: the construction industry in a continuously changing environment, implications of changes and increasing complexities of construction sites, challenges and strains to site management, human weakness and limitations in managing construction sites, and technology in an evolving construction industry. It was possible to highlight the realities being faced by the building and construction sectors, and the use of ICT to enhance the site management process, in the face of attendant challenges and limitations.

**108**

*Product Design*

CSNT.2011.148

procir.2016.11.234

MADE BSI). 2009

es00003a751

November 2010]

efficiency and electronic waste minimization: A global perspective. In: International Conference on Communication Systems and

[33] Cole C, Gnanapragasam A,

Network Technologies. Katra, Jammu; 2011. pp. 688-693. DOI: 10.1109/

Cooper T. Towards a circular economy: exploring routes to reuse for discarded electrical and electronic equipment. Procedia CIRP. 2017;**61**:155-160. ISSN: 2212-8271. DOI: 10.1016/j.

[34] BSI, BS 8887-2:2009—Terms and definitions, BS 8887-1:2006—General concepts, process and requirements. Produced by British Standards institute

committee (TDW/004/0-/05 Design for

Environmental Science & Technology. 1995;**29**(3):134-139. Available from: https://pubs.acs.org/doi/pdf/10.1021/

technical product specification

[35] Graedel TE, Allenby BR, Comrie VR. Matrix approaches to abridged life cycle assessment.

[36] Rosemann B, Brüning R, Enderle B, Schmidt K, Spengler TS, Plumeyer M. The VDI 2343 guideline gives recommendations for the concerned parties: Part reuse. In: ISWA World Congress, Hamburg, Deutschland; 2010. Available from: https://eref.uni-bayreuth.de/id/ eprint/32026 [Accessed from: 15-18

[37] Sundin E, Lindahl M, Ijomah W. Product design for product/service systems: Design experiences from Swedish industry. Journal of Manufacturing Technology Management. 2009;**20**:723-753

The construction sector is arguably a big role player in every economy, and the CSM process is strategic in the construction process, being the management of physical delivery of the construction product. The term product refers to any type of physical facility, structure, and infrastructure. Despite appreciable research, technology uptake in the construction industry has been regarded as slower than other sectors. While there is increasing uptake of ICT in construction, there is a persistent shortfall in the exploitation of benefits offered in recent outputs of such technologies. This is especially true in developing countries such as South Africa, which was used as context for the research project, where studies such as [4, 5] suggest the need for more ICT uptake. Without an increase in utilisation of ICT, potential benefits for various aspects of construction, including CSM, remain untapped. The situation is undesirable, considering the sector's need for performance in the face of persistent demand for more development. The construction sector is commonly used by governments, as a vehicle for physical and social development, thereby increasing the limitations and pressures experienced in managing projects. The implications for CSM, the need for management process enhancement, and the relevance and potential of recent ICT and its slow uptake in construction formed the research background. For scope, three focus areas were chosen: site materials management (SMM), site health and safety management (H&S), and site information management and communication (IM&C). The research problem was articulated as follows: Exploitation of the adaptability of recent ICT developments to improve the site management process is suboptimal, resulting in lost opportunities that manifest as lapses in information management and communication, H&S, and materials management.

Thus, the broad research aim was to investigate the exploitation of the adaptability of recent ICT developments to improve CSM and to build an understanding of the nature of this exploitation through the lens of adaptation, in order to ultimately generate propositions for addressing the suboptimality.

## **1.1 Initial theoretical studies in the research project**

The research project included an extensive literature review and a multistage investigation strategy, set in South Africa, spanning an initial time frame from 2008 to 2013. From 2014 to 2019, more research was carried out, generating papers and articles, extending the literature, and addressing the many sub-objectives of the wider research project. Between 2008 and 2019, the research project resulted in 14 research papers, of which 2 were based on extensions of the research, by supervised students, 4 (4) journal articles, and a doctoral thesis. A historical perspective of publications from the initial studies is presented in **Table 1**.

Except for publications in 2010, all papers in **Table 1** are theoretical. This period saw an extensive theoretical exploration of various areas deemed relevant to the research, using secondary data and limited primary data. Results of [6–8] substantiated the need for an improved CSM and the need to use ICT for that purpose. This was followed by substantiation of CSM needs in relevant aspects such as SMM and IM&C [10, 11]. The need for user-centredness, in terms of usability, acceptability, ICT readiness, and/or skills issues, was substantiated in [9, 12]. In 2010, the relevance of contextual and compatibility issues such as the developing country context, local ICT education, and indigenous technology cultures was addressed, with empirical data in [13, 15]. From the studies in **Table 1**, it was determined that in the face of unparalleled pace of output from the ICT sector, it was reasonable to query the noted slow pace of ICT adoption in construction. In order to explain the situation within the scenario of CSM, various useful subconcepts of innovation [16] and technology transfer were considered, as discussed in section 2.

**111**

**Table 1.**

**2.1 The adaptation concept**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

[7] Achieving ubiquity in the site management process: a theoretical study of the

[8] Improving materials management through utilisation of information and

[9] Balancing site information and communication technology systems with available

[10] Information and communication technology – based application of 'just-in-time'

[11] Enhancing on-site communications by adaptation of multimedia systems: looking

[14] Information and communication Technology education within South African

[15] Indigenous iron technology evolution: lessons from Uzu culture of Awka in

[13] Cutting-edge technology for construction

**Reference Publication Year** [6] Improving site management process through ICT 2008

potential for innovative ICT solutions

communication technology

ICT skills

(JIT) to internal logistics on site

into the future of construction

ICT in a developing country

built environment schools

Nigeria

[12] Improving people-centeredness in H&S risk management through ICT 2009

2008

2008

2009

2009

2009

2010

2010

2010

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

**2. Summary of theoretical basis for the research**

*Historical perspective of initial publications from the research project.*

In the research, information was accessed from historical and more contemporary literature. An appreciable effort was made to understand the relevant and key concepts and theories, including theory of reasoned action (TRA) and theory of planned behaviour (TPB) [12, 13]; technology acceptance model (TAM) [14, 15]; unified theory of acceptance and use of technology (UTAUT) [12]; technologyorganisation-environment (TOE) framework [16]; MIT90 model of organisational information system innovation [17]; business process adaptation models, referred to as business process automation (BPA) [18, 19]; structural equivalence theory [20]; threshold innovation theory [21]; and the process theory, among others [22]. Considering the research focus, technology (i.e. ICT) and its transfer were determined as key issues. The research inherently centred around the parent concept of technology transfer. Hence, relevant theories and concepts were explored, including technology and technology culture [23, 24]; TT [2, 3, 25]; innovation [11, 26]; diffusion [27, 28]; diffusion of innovations [27, 29, 30]; adoption theory [29, 31]; adoption and user acceptance [29, 31]; the function of knowledge in adoption and innovation diffusion [29]; and adoption model based on the contagion concept, social influence, and social learning [32]. Going through the plethora of relevant concepts and theories, none adequately or fully explained the interaction of people and ICT in the unique area of CSM. Further deliberation led to the concept of adaptation [33, 34],

which was employed as the main perspective for understanding the results.

The word adaptation appeared as a borrowed term, originating from Latin in the thirteenth century. The term was used in both the tangible and the abstract sense. The modern use of the term began in the sixteenth century [33]. It is derived from

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*


**Table 1.**

*Product Design*

The construction sector is arguably a big role player in every economy, and the CSM process is strategic in the construction process, being the management of physical delivery of the construction product. The term product refers to any type of physical facility, structure, and infrastructure. Despite appreciable research, technology uptake in the construction industry has been regarded as slower than other sectors. While there is increasing uptake of ICT in construction, there is a persistent shortfall in the exploitation of benefits offered in recent outputs of such technologies. This is especially true in developing countries such as South Africa, which was used as context for the research project, where studies such as [4, 5] suggest the need for more ICT uptake. Without an increase in utilisation of ICT, potential benefits for various aspects of construction, including CSM, remain untapped. The situation is undesirable, considering the sector's need for performance in the face of persistent demand for more development. The construction sector is commonly used by governments, as a vehicle for physical and social development, thereby increasing the limitations and pressures experienced in managing projects. The implications for CSM, the need for management process enhancement, and the relevance and potential of recent ICT and its slow uptake in construction formed the research background. For scope, three focus areas were chosen: site materials management (SMM), site health and safety management (H&S), and site information management and communication (IM&C). The research problem was articulated as follows: Exploitation of the adaptability of recent ICT developments to improve the site management process is suboptimal, resulting in lost opportunities that manifest as lapses in information management and communication, H&S, and materials management. Thus, the broad research aim was to investigate the exploitation of the adaptability of recent ICT developments to improve CSM and to build an understanding of the nature of this exploitation through the lens of adaptation, in order to ulti-

mately generate propositions for addressing the suboptimality.

of publications from the initial studies is presented in **Table 1**.

and technology transfer were considered, as discussed in section 2.

The research project included an extensive literature review and a multistage investigation strategy, set in South Africa, spanning an initial time frame from 2008 to 2013. From 2014 to 2019, more research was carried out, generating papers and articles, extending the literature, and addressing the many sub-objectives of the wider research project. Between 2008 and 2019, the research project resulted in 14 research papers, of which 2 were based on extensions of the research, by supervised students, 4 (4) journal articles, and a doctoral thesis. A historical perspective

Except for publications in 2010, all papers in **Table 1** are theoretical. This period saw an extensive theoretical exploration of various areas deemed relevant to the research, using secondary data and limited primary data. Results of [6–8] substantiated the need for an improved CSM and the need to use ICT for that purpose. This was followed by substantiation of CSM needs in relevant aspects such as SMM and IM&C [10, 11]. The need for user-centredness, in terms of usability, acceptability, ICT readiness, and/or skills issues, was substantiated in [9, 12]. In 2010, the relevance of contextual and compatibility issues such as the developing country context, local ICT education, and indigenous technology cultures was addressed, with empirical data in [13, 15]. From the studies in **Table 1**, it was determined that in the face of unparalleled pace of output from the ICT sector, it was reasonable to query the noted slow pace of ICT adoption in construction. In order to explain the situation within the scenario of CSM, various useful subconcepts of innovation [16]

**1.1 Initial theoretical studies in the research project**

**110**

*Historical perspective of initial publications from the research project.*

## **2. Summary of theoretical basis for the research**

In the research, information was accessed from historical and more contemporary literature. An appreciable effort was made to understand the relevant and key concepts and theories, including theory of reasoned action (TRA) and theory of planned behaviour (TPB) [12, 13]; technology acceptance model (TAM) [14, 15]; unified theory of acceptance and use of technology (UTAUT) [12]; technologyorganisation-environment (TOE) framework [16]; MIT90 model of organisational information system innovation [17]; business process adaptation models, referred to as business process automation (BPA) [18, 19]; structural equivalence theory [20]; threshold innovation theory [21]; and the process theory, among others [22]. Considering the research focus, technology (i.e. ICT) and its transfer were determined as key issues. The research inherently centred around the parent concept of technology transfer. Hence, relevant theories and concepts were explored, including technology and technology culture [23, 24]; TT [2, 3, 25]; innovation [11, 26]; diffusion [27, 28]; diffusion of innovations [27, 29, 30]; adoption theory [29, 31]; adoption and user acceptance [29, 31]; the function of knowledge in adoption and innovation diffusion [29]; and adoption model based on the contagion concept, social influence, and social learning [32]. Going through the plethora of relevant concepts and theories, none adequately or fully explained the interaction of people and ICT in the unique area of CSM. Further deliberation led to the concept of adaptation [33, 34], which was employed as the main perspective for understanding the results.

## **2.1 The adaptation concept**

The word adaptation appeared as a borrowed term, originating from Latin in the thirteenth century. The term was used in both the tangible and the abstract sense. The modern use of the term began in the sixteenth century [33]. It is derived from

a Latin root *apt* or *apt-us*, which refers to something that is appropriate, or suited for purpose, or the context, which is in turn derived from the root *ap-ere*, meaning to fasten, affix, clip onto, or attach. It can be defined as the process or the product of these actions [34]. Adaptation is also described as making fit, and it will involve more than simply imposing something into a different setting [35]. The definitions allude to adaptation being purpose-driven [34]. Adaptation as a generic concept has expressions in disciplines such as psychology, biology, anthropology, sociology, and geography [33]. By extension it has been used to explain certain patterns of TT. While many authors allude to the concept in defining and describing TT, there are others such as Brooks in [25] '…explicitly theorizing adaptation as a sub-concept of…' TT, being a process of moving technology, '…from more basic scientific knowledge into technology or adaptation of an existing technology to a new use'. Furthermore, in [36] TT is described as having two possible routes: by means of imitation and through an analogy, which means that '…the technology must be adapted before it can be adopted…someone must see an analogy between the characteristics of the original invention or innovation and the requirements of the new situation'. The outline of the TT process in [25] shows that the receiver of technology will either repair and maintain; modify and adapt; or design and produce new equipment or products, based on the technology. Adaptation is also described as a fundamental concept in technology transfer in [37]. Here it highlights the significant movement of technology between different sets of users and the movement of technology for the purpose of application towards addressing another problem apart from that for which it is originally designed. Furthermore, it is arguable that the process of diffusion in some cases may produce a profoundly different result from the original technology. There could be a case of slight modifications which may be a 'fine-tuning' requirement. The technique of applying the technology could also be addressed differently in varying degrees.

With TT as the parent concept, and the subconcept of adaptation as the lens for the research, key assumptions held in the research include the following: While diffusion and innovation exist in their own rights, they also manifest in technology and its transfer; technology and its transfer embody innovation in thought, process, and activity; diffusion is the spread component of the transfer process; technology and TT, innovation, diffusion, and innovation diffusion all share a close relationship; technology could be described as innovation; TT involves innovative practices which generate more innovations and practices through which innovations spread or diffuse into society; technology is more than the artefact; and technology is made up of different bodies of knowledge and their related techniques, contraptions, contrivances, machines, and material and immaterial things, among others. As a subconcept of technology transfer, which is viewed here as a systemic concept, adaptation borrows from the concepts of innovation and diffusion. Furthermore, due to the breadth of applicability of the adaptation concept, it manifests some features and attributes of other concepts and theories that are relevant to TT. In this case, adaptation is framed by technology innovation, technology diffusion, and diffusion of innovations. Moreover, innovation and diffusion exist in other knowledge areas apart from technology. As such they are not only defined within TT alone. However, they frame adaptation within TT, as presented in **Figure 1**.

In the research, analogies were drawn from most of the intellectual traditions of the adaptation concept. The psychology dimension relates to issues of perception of CSM level participants in construction. Such perceptions result from interaction with ICT, with other humans through ICT, and with other humans who use ICT. There is also the issue of perception of CSM process needs and utility in the ICT. The biology and anthropology traditions relate to the need to survive, remain competitive, and be technologically advanced for CSM people and construction industry organisations. It also speaks to the mutual adaptation

**113**

tial utility, are determined.

**Figure 1.**

bespoke research methodology.

**3. Research design for the chapter**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

that occurs in the engagement with technology, especially ICT. The sociology and geography traditions relate to the influencing environments, which would impact on the nature of adaptation of ICT in CSM. Following the analogies, the adaptation concept identifies 'structural or functional similarities in otherwise dissimilar situation of things' [36]. This description refers to the identification of opportunities in recent ICT, for weaknesses/inefficiencies/lapses in the dissimilar situation of CSM process. Hence, attributes of the research concept include that in recent ICT, there are utility, structural, and functional characteristics, and features, which are referred to as ICT potential utility. The exploitation of ICT potential utility for CSM through adaptation involves specific steps. Recent ICT is assessed to identify potential utility for possible process enhancement in CSM. The relevant application of such potential utility could be via direct usage, through a degree of modification, or integration of features into a hybrid system. It could be used as a component of other innovative products, and in areas of relevant application. CSM is investigated to compare the available ICT and its transfer. The areas of need in the CSM process, which could be improved by exploitation of ICT poten-

Following the preceding discussion, constructs generated from the study include time frame, which refers to the time frame to complete the adaptation process; unit of adaptation, which is about the key agency in the adaptation; type, which refers to the extent, aspect, and depth of adaptation; pathway, which refers to the natural route of adaptation based on the nature of required/initiated adaptation; and process, which is focused on the source, pattern, end point, and location of adaptation. These were reduced to measurable attributes or variables and examined through a

The overall methodological dimensions for the wider research project could be described as a mixed method [39] and multistage research design [40], which utilised quantitative and qualitative data. A fundamentally descriptive purpose was adopted, which started with an exploratory approach and ended with an evaluation.

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

*Framing of the adaptation subconcept of technology transfer [38].*

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

**Figure 1.** *Framing of the adaptation subconcept of technology transfer [38].*

that occurs in the engagement with technology, especially ICT. The sociology and geography traditions relate to the influencing environments, which would impact on the nature of adaptation of ICT in CSM. Following the analogies, the adaptation concept identifies 'structural or functional similarities in otherwise dissimilar situation of things' [36]. This description refers to the identification of opportunities in recent ICT, for weaknesses/inefficiencies/lapses in the dissimilar situation of CSM process. Hence, attributes of the research concept include that in recent ICT, there are utility, structural, and functional characteristics, and features, which are referred to as ICT potential utility. The exploitation of ICT potential utility for CSM through adaptation involves specific steps. Recent ICT is assessed to identify potential utility for possible process enhancement in CSM. The relevant application of such potential utility could be via direct usage, through a degree of modification, or integration of features into a hybrid system. It could be used as a component of other innovative products, and in areas of relevant application. CSM is investigated to compare the available ICT and its transfer. The areas of need in the CSM process, which could be improved by exploitation of ICT potential utility, are determined.

Following the preceding discussion, constructs generated from the study include time frame, which refers to the time frame to complete the adaptation process; unit of adaptation, which is about the key agency in the adaptation; type, which refers to the extent, aspect, and depth of adaptation; pathway, which refers to the natural route of adaptation based on the nature of required/initiated adaptation; and process, which is focused on the source, pattern, end point, and location of adaptation. These were reduced to measurable attributes or variables and examined through a bespoke research methodology.

## **3. Research design for the chapter**

The overall methodological dimensions for the wider research project could be described as a mixed method [39] and multistage research design [40], which utilised quantitative and qualitative data. A fundamentally descriptive purpose was adopted, which started with an exploratory approach and ended with an evaluation.

*Product Design*

a Latin root *apt* or *apt-us*, which refers to something that is appropriate, or suited for purpose, or the context, which is in turn derived from the root *ap-ere*, meaning to fasten, affix, clip onto, or attach. It can be defined as the process or the product of these actions [34]. Adaptation is also described as making fit, and it will involve more than simply imposing something into a different setting [35]. The definitions allude to adaptation being purpose-driven [34]. Adaptation as a generic concept has expressions in disciplines such as psychology, biology, anthropology, sociology, and geography [33]. By extension it has been used to explain certain patterns of TT. While many authors allude to the concept in defining and describing TT, there are others such as Brooks in [25] '…explicitly theorizing adaptation as a sub-concept of…' TT, being a process of moving technology, '…from more basic scientific knowledge into technology or adaptation of an existing technology to a new use'. Furthermore, in [36] TT is described as having two possible routes: by means of imitation and through an analogy, which means that '…the technology must be adapted before it can be adopted…someone must see an analogy between the characteristics of the original invention or innovation and the requirements of the new situation'. The outline of the TT process in [25] shows that the receiver of technology will either repair and maintain; modify and adapt; or design and produce new equipment or products, based on the technology. Adaptation is also described as a fundamental concept in technology transfer in [37]. Here it highlights the significant movement of technology between different sets of users and the movement of technology for the purpose of application towards addressing another problem apart from that for which it is originally designed. Furthermore, it is arguable that the process of diffusion in some cases may produce a profoundly different result from the original technology. There could be a case of slight modifications which may be a 'fine-tuning' requirement. The technique of applying the technology could also be addressed differently in varying degrees. With TT as the parent concept, and the subconcept of adaptation as the lens for the research, key assumptions held in the research include the following: While diffusion and innovation exist in their own rights, they also manifest in technology and its transfer; technology and its transfer embody innovation in thought, process, and activity; diffusion is the spread component of the transfer process; technology and TT, innovation, diffusion, and innovation diffusion all share a close relationship; technology could be described as innovation; TT involves innovative practices which generate more innovations and practices through which innovations spread or diffuse into society; technology is more than the artefact; and technology is made up of different bodies of knowledge and their related techniques, contraptions, contrivances, machines, and material and immaterial things, among others. As a subconcept of technology transfer, which is viewed here as a systemic concept, adaptation borrows from the concepts of innovation and diffusion. Furthermore, due to the breadth of applicability of the adaptation concept, it manifests some features and attributes of other concepts and theories that are relevant to TT. In this case, adaptation is framed by technology innovation, technology diffusion, and diffusion of innovations. Moreover, innovation and diffusion exist in other knowledge areas apart from technology. As such they are not only defined within TT alone. However, they frame

**112**

adaptation within TT, as presented in **Figure 1**.

In the research, analogies were drawn from most of the intellectual traditions of the adaptation concept. The psychology dimension relates to issues of perception of CSM level participants in construction. Such perceptions result from interaction with ICT, with other humans through ICT, and with other humans who use ICT. There is also the issue of perception of CSM process needs and utility in the ICT. The biology and anthropology traditions relate to the need to survive, remain competitive, and be technologically advanced for CSM people and construction industry organisations. It also speaks to the mutual adaptation

Essentially, the subject was explored, to describe it in full; then further exploration led to confirmations, evaluations, and, ultimately, a final description. Multiple sources were used, according to the stages in the research design and in compliance with the research concepts and the constructs. Based on the research as determined through preliminary studies, a complex set of units were studied: construction sites, practitioners, manufacturers, and products. The main unit of analysis in each case was ICT in CSM, though the outcomes were different for each stage.

Investigations in the research project started with an exploratory single project, multisite case study. This was followed by a global survey of relevant ICT, a national survey of practitioners in South Africa, a case study of multiple project sites, and a final ICT product analysis. Purposive samples of construction sites, ICT-based products, and construction project management practitioners were chosen. The tools used include observation and interview schedules, content analysis schedules, and questionnaires. MS Excel was used in the initial data analysis. Other analytical tools were employed subsequently.

## **4. Summary of results and findings and evaluation of hypotheses**

In the research project, the first stage was a case study of a highly critical single project with multiple sites, presenting rich baseline information for the research. The highly limited occurrence of ICT, appreciable occurrence of weaknesses in CSM, and apparent lack of awareness of some opportunities in recent in ICT were indicated [38]. The global ICT survey results showed a significant indication of a continuously growing list of ICT products, which are relevant to CSM. There is variety for adequate choice to be made for relevant needs. The products exist locally and internationally. They are accessible through the Internet, physical representation by various manufacturers, and a large population of local vendors. This stage was used in [41]. Product types which are well adapted for CSM, such as mobile hand-held devices and geographic surveillances, have appreciable variety. Such significant adaptation and variety highlight the possible influence of usability and user acceptance, which is a function of the extent of adaptation of the product. Such products would continue to experience further adaptations, towards user demands. It would also follow that the more use an ICT product line experiences, the more transformation the product would experience towards user requirements. In comparison, the national practitioner survey indicated a very low degree of innovativeness in the exploitation of ICT potential utility among practitioners. Results showed that while digital surveying equipment was highly utilised, laser ranger and measurer which are directly related to surveying were not comparatively utilised by site managers on site. High usage of mobile hand-held devices occurred with very low usage of wireless technologies and services. This stage was used as empirical basis for [42]. There was appreciable contrast between knowledge and awareness and utilisation of various ICT types. Apparently, knowledge and awareness of ICT did not necessarily translate into usage within CSM. Similarly, selfassessment of skills for such ICT and some depth of utilisation did not translate to utility of the same ICT in SM by practitioners.

The practitioner survey was also used to explore the experience of barriers to ICT uptake from participants. Network service problem was the highest indication. Results of comparative analysis with findings from the literature review showed adequate correlation in terms of the severity of barriers. Essentially, major challenges seem to emanate from technology and management support and the knowledge adequacy of the practitioners. This stage was used as empirical basis for the study presented in [43]. The fourth stage was a case study of four

**115**

**Table 2.**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

purposively selected construction sites. Content analyses, walk-through observations, and informal interviews and evaluations were used for collecting data. The occurrence of lapses in CSM and occurrence of relevant ICT, and its utilisation, were the areas of exploration. This stage was used in [44]. Findings indicated appreciable occurrence of management shortcomings or lapses on sites, largely due to human limitations, general management strains and inefficiencies, and the human factor. The observed lapses demonstrate strains on site management, which constitute process need areas [38, 44], that can be addressed by adapting potential utility in available ICT. The issue of knowledge was also highlighted. The last stage was the ICT product study. While determining the existence of ICT with such adaptability was central to the research, the main counterpart was assessing the utility of this adaptability for CSM. Therefore, a purposive sample of ICT products was analysed, through physical observation and content analysis of manufacturer's technical documents and online reviews. This stage was used to further substantiate the existence of potential utility in recent ICT that are

Findings from the multistage research project were articulated into publications and additional research and publication of more research papers and articles. The output includes publications based on core empirical data from the research, except for [38], which is the unpublished thesis, and [45–47], which are co-authored with research students. In the latter case, the work was based on the focus, theoretical support, and supervisory guideline, from this research project. See **Table 2**.

Between 2012 and 2013, the first set of core empirical data was used, looking at user awareness and user perception of challenges and effectiveness of ICT [45, 48, 49]. Results highlighted limited knowledge and technology support, but a perceived process improvement and better project experience from adoption of ICT. Extant

**Reference Research output year** [48] ICT in site management process in South Africa 2012 [38] Main research report (unpublished Thesis) 2012–2013

2013

2013

2014

2014

2017

2017

2019

[49] Investigating barriers to ICT adoption in Site management: a pilot study in

[45] Participants' perceptions on investment in ICT and project outcomes in

[46] Use of ICT-based systems in site security management: a South African

[41] Market availability of information and communication technologies and their adoption in site management in South Africa

[47] ICT in the training of South African bricklaying operatives: a pilot in the

[44] Process need areas and technology adoption in construction site

[43] Exploring challenges to ICT utilisation in construction site management 2018

[42] Exploring the knowledge function in the adoption of ICT in site

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

relevant to CSM.

**4.1 Findings and discussion**

South Africa

South Africa

management

study

management in South Africa

Greater Johannesburg area

*Historical perspective of empirical output from the research project.*

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

purposively selected construction sites. Content analyses, walk-through observations, and informal interviews and evaluations were used for collecting data. The occurrence of lapses in CSM and occurrence of relevant ICT, and its utilisation, were the areas of exploration. This stage was used in [44]. Findings indicated appreciable occurrence of management shortcomings or lapses on sites, largely due to human limitations, general management strains and inefficiencies, and the human factor. The observed lapses demonstrate strains on site management, which constitute process need areas [38, 44], that can be addressed by adapting potential utility in available ICT. The issue of knowledge was also highlighted. The last stage was the ICT product study. While determining the existence of ICT with such adaptability was central to the research, the main counterpart was assessing the utility of this adaptability for CSM. Therefore, a purposive sample of ICT products was analysed, through physical observation and content analysis of manufacturer's technical documents and online reviews. This stage was used to further substantiate the existence of potential utility in recent ICT that are relevant to CSM.

## **4.1 Findings and discussion**

*Product Design*

tools were employed subsequently.

utility of the same ICT in SM by practitioners.

Essentially, the subject was explored, to describe it in full; then further exploration led to confirmations, evaluations, and, ultimately, a final description. Multiple sources were used, according to the stages in the research design and in compliance with the research concepts and the constructs. Based on the research as determined through preliminary studies, a complex set of units were studied: construction sites, practitioners, manufacturers, and products. The main unit of analysis in each case

Investigations in the research project started with an exploratory single project, multisite case study. This was followed by a global survey of relevant ICT, a national survey of practitioners in South Africa, a case study of multiple project sites, and a final ICT product analysis. Purposive samples of construction sites, ICT-based products, and construction project management practitioners were chosen. The tools used include observation and interview schedules, content analysis schedules, and questionnaires. MS Excel was used in the initial data analysis. Other analytical

was ICT in CSM, though the outcomes were different for each stage.

**4. Summary of results and findings and evaluation of hypotheses**

In the research project, the first stage was a case study of a highly critical single project with multiple sites, presenting rich baseline information for the research. The highly limited occurrence of ICT, appreciable occurrence of weaknesses in CSM, and apparent lack of awareness of some opportunities in recent in ICT were indicated [38]. The global ICT survey results showed a significant indication of a continuously growing list of ICT products, which are relevant to CSM. There is variety for adequate choice to be made for relevant needs. The products exist locally and internationally. They are accessible through the Internet, physical representation by various manufacturers, and a large population of local vendors. This stage was used in [41]. Product types which are well adapted for CSM, such as mobile hand-held devices and geographic surveillances, have appreciable variety. Such significant adaptation and variety highlight the possible influence of usability and user acceptance, which is a function of the extent of adaptation of the product. Such products would continue to experience further adaptations, towards user demands. It would also follow that the more use an ICT product line experiences, the more transformation the product would experience towards user requirements. In comparison, the national practitioner survey indicated a very low degree of innovativeness in the exploitation of ICT potential utility among practitioners. Results showed that while digital surveying equipment was highly utilised, laser ranger and measurer which are directly related to surveying were not comparatively utilised by site managers on site. High usage of mobile hand-held devices occurred with very low usage of wireless technologies and services. This stage was used as empirical basis for [42]. There was appreciable contrast between knowledge and awareness and utilisation of various ICT types. Apparently, knowledge and awareness of ICT did not necessarily translate into usage within CSM. Similarly, selfassessment of skills for such ICT and some depth of utilisation did not translate to

The practitioner survey was also used to explore the experience of barriers to ICT uptake from participants. Network service problem was the highest indication. Results of comparative analysis with findings from the literature review showed adequate correlation in terms of the severity of barriers. Essentially, major challenges seem to emanate from technology and management support and the knowledge adequacy of the practitioners. This stage was used as empirical basis for the study presented in [43]. The fourth stage was a case study of four

**114**

Findings from the multistage research project were articulated into publications and additional research and publication of more research papers and articles. The output includes publications based on core empirical data from the research, except for [38], which is the unpublished thesis, and [45–47], which are co-authored with research students. In the latter case, the work was based on the focus, theoretical support, and supervisory guideline, from this research project. See **Table 2**.

Between 2012 and 2013, the first set of core empirical data was used, looking at user awareness and user perception of challenges and effectiveness of ICT [45, 48, 49]. Results highlighted limited knowledge and technology support, but a perceived process improvement and better project experience from adoption of ICT. Extant


**Table 2.** *Historical perspective of empirical output from the research project.* literature in [50] also indicated the quality of the technology as a strong determinant of ICT use. A causal relationship between ICT use and project performance was also established. In [42], the function of knowledge [29] was explored further and [46] was focused on site security management as an aspect of CSM. From the results, it was determined that knowledge-related factors could be indirectly influencing other challenges, such as lack of management support and ICT requirement analysis and input in contracts. There were indications of possible patterns according to age group and experience. In [42] it was concluded that '…the extent of awareness, skills and working knowledge has not approached the adequacy level to increase adoption of ICT in site management appreciably'. The need for more awareness is highlighted in the recent literature such as [51]. Skills and training, which are knowledge-based, were also highlighted in [52]. However, one significant finding was that knowledge did not translate to adoption and use in every case. In 2017, the global ICT survey data was compared to data on awareness and utilisation of relevant ICT in CSM [41]. In addition, a unique area, training of bricklayers, was used to collect and test current data in terms of market availability of ICT and its occurrence [47]. Results show proof of local availability and access to recent ICT but a relatively poor level of awareness among practitioners and training providers for building trades. The impact of knowledge-related factors was further highlighted. In 2018, the studies on barriers to ICT utilisation were taken forward in [43]. Existing studies, various groupings, and different terms of framing were explored internationally and locally. Results generated the current framework for naming, categorising, and understanding challenges to ICT in CSM, which is supported by literature such as [53, 54]. The possible compounding effects of knowledge, technology, and management support factors were highlighted. In extant literature such as [53], the need for management support and increased availability of technology was highlighted. In [43] emergent patterns of identification of challenges according to age and work were indicated. End user response was identified as highly critical for success, highlighting user acceptance, usability, ergonomics, ease of use, and 'adaptability of the ICT to different related uses' [43], among others. Such issues are supported in literature such as [54, 55]. In 2019, the construct of process need areas [38, 44] derived from the research was also taken forward. Recent literatures and relevant concepts and theories were examined and applied. A pluralistic approach of using five theories/concepts was employed to explain the results, highlighting the need for a more comprehensive framework. It was again noted that acquisition of technology and utility of the technology's adaptability are different issues with varying impacts. While technology was embraced, the exploitation of inherent potential utility was not necessarily occurring in the final use. Results highlighted the need for process improvements in CSM, the limitations and inefficiencies in CSM, and the benefits of ICT for CSM. Findings are supported in extant literature such as [56, 57].

## **4.2 Summary of the evaluation of the research hypotheses**

Following the discussion of findings from the research, five hypotheses were generated, to test the emergent ideas. The hypothesis evaluation process was tailored to the research methodology. Thus, a corresponding multistage approach was used. The process involved breaking down each hypothesis into subhypotheses, and they were evaluated individually, using data from various stages in the research methodology. Results were then outlined in summary as evidence for evaluating the main hypothesis, using the rules of evidence for evaluating the hypotheses. Essentially the null hypothesis in each case is rejected if the summary of evidence significantly

**117**

supported.

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

supports the claim in the corresponding hypothesis. Otherwise, the null hypothesis is not rejected. To analyse the data sets for evaluation of the hypotheses, the following were used: descriptive statistics, inferential statistics, content analysis, and narratives. The procedures included Z test of proportions [58, 59] and chi-square test of goodness of fit [58]. Initially MS Excel was used as the main analytical tool. Subsequently, other tools such as Stata, ATLAS.ti, NVivo, WordStat, and Qualtrics were added. Frequency and contingency tables, means and proportions, and chisquare tests were used for most of the analysis. In addition, the Z test of proportions

The first hypothesis, HP1, states that there is limited knowledge of recent ICTbased goods and services that are commercially available, due to lack of awareness and usage in CSM. HP1 was broken down into two subhypotheses, HP1-a (assessing the commercial availability of recent ICT which are relevant to the SMP) and HP1-b (addressing the issue of limited knowledge of recent ICT among practitioners in the SMP). Inferential statistics applied to test availability of recent ICT products indicated that majority of products (above 75%) are available locally and internationally, at 5% level of significance with a minimal 2% risk of error. Secondly the identified ICT types have variety in terms of 85 brands and 439 subbrands, making up a total of 1635 products. Thirdly out of a total possible availability value of 2, all product types had values of 1.8 or above. Similarly, significant occurrence of limited awareness of recent ICT was established from the stage 3 practitioner survey data. Less than 50% of respondents indicated awareness for up to 8 out of the 17 original ICT types considered. Less than 50% awareness values were indicated for the majority of the products (18 out of the 34 types). Furthermore, stage 1 case study indicated that only 3 out of the 35 ICT types under consideration were observed for the 3 sites visited. Moreover, in stage 4 case studies, less than 50% of ICT types under consideration were observed for the 4 sites visited. The evidence supported the commercial availability and range of choice in the majority of recent ICT, for CSM; significantly limited awareness and usage of recent ICT among CSM practitioners; and lack of on-site usage of recent ICT in CSM. Therefore, HP1 is supported. The second hypothesis (HP2) was stated as follows: The adaptation of recent ICT for the SMP is suboptimal due in part to limited knowledge and management and technology support. HP2 was evaluated through two lenses, namely, HP2-a (suboptimal adaptation) and HP2-b (stated barriers to ICT in the SMP). The summary of evidence showed that the evaluation of HP1 established the limited knowledge of recent ICT for CSM. In terms of adaptation, descriptive analysis of practitioner survey data showed the highest indication of ICT awareness as less than 50% of the highest possible value. Other attributes/variables of ICT adaptation such as use, skills, and on-site use were all under 23% of their highest possible values. Aggregated values indicated a grand mean of 75.35 out of a possible 290. Thus, suboptimal adaptation of recent ICT in CSM was evidenced. Inferential statistics indicated a lack of adaptation of ICT in CSM at a statistical significance of more than 65% or 0.65 of the highest possible sample mean. The case studies evaluated in HP1 and their emergent narratives confirm the low occurrence of ICT in CSM. The narratives also show a strong indication of limited management support. In addition, results from exploring the challenges to ICT in CSM support the hypothesis claim of the relatively higher severity of limitations in technology and management support. Moreover, narratives from stage 4 case studies show strong indications of limited knowledge of potential utility in recent ICT. As such within the research scope, adaptation of recent ICT for CSM was found to be suboptimal, due in part to limited knowledge and management and technology support. Therefore, HP2 is

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

was used for the ICT and practitioner surveys.

## *Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

supports the claim in the corresponding hypothesis. Otherwise, the null hypothesis is not rejected. To analyse the data sets for evaluation of the hypotheses, the following were used: descriptive statistics, inferential statistics, content analysis, and narratives. The procedures included Z test of proportions [58, 59] and chi-square test of goodness of fit [58]. Initially MS Excel was used as the main analytical tool. Subsequently, other tools such as Stata, ATLAS.ti, NVivo, WordStat, and Qualtrics were added. Frequency and contingency tables, means and proportions, and chisquare tests were used for most of the analysis. In addition, the Z test of proportions was used for the ICT and practitioner surveys.

The first hypothesis, HP1, states that there is limited knowledge of recent ICTbased goods and services that are commercially available, due to lack of awareness and usage in CSM. HP1 was broken down into two subhypotheses, HP1-a (assessing the commercial availability of recent ICT which are relevant to the SMP) and HP1-b (addressing the issue of limited knowledge of recent ICT among practitioners in the SMP). Inferential statistics applied to test availability of recent ICT products indicated that majority of products (above 75%) are available locally and internationally, at 5% level of significance with a minimal 2% risk of error. Secondly the identified ICT types have variety in terms of 85 brands and 439 subbrands, making up a total of 1635 products. Thirdly out of a total possible availability value of 2, all product types had values of 1.8 or above. Similarly, significant occurrence of limited awareness of recent ICT was established from the stage 3 practitioner survey data. Less than 50% of respondents indicated awareness for up to 8 out of the 17 original ICT types considered. Less than 50% awareness values were indicated for the majority of the products (18 out of the 34 types). Furthermore, stage 1 case study indicated that only 3 out of the 35 ICT types under consideration were observed for the 3 sites visited. Moreover, in stage 4 case studies, less than 50% of ICT types under consideration were observed for the 4 sites visited. The evidence supported the commercial availability and range of choice in the majority of recent ICT, for CSM; significantly limited awareness and usage of recent ICT among CSM practitioners; and lack of on-site usage of recent ICT in CSM. Therefore, HP1 is supported.

The second hypothesis (HP2) was stated as follows: The adaptation of recent ICT for the SMP is suboptimal due in part to limited knowledge and management and technology support. HP2 was evaluated through two lenses, namely, HP2-a (suboptimal adaptation) and HP2-b (stated barriers to ICT in the SMP). The summary of evidence showed that the evaluation of HP1 established the limited knowledge of recent ICT for CSM. In terms of adaptation, descriptive analysis of practitioner survey data showed the highest indication of ICT awareness as less than 50% of the highest possible value. Other attributes/variables of ICT adaptation such as use, skills, and on-site use were all under 23% of their highest possible values. Aggregated values indicated a grand mean of 75.35 out of a possible 290. Thus, suboptimal adaptation of recent ICT in CSM was evidenced. Inferential statistics indicated a lack of adaptation of ICT in CSM at a statistical significance of more than 65% or 0.65 of the highest possible sample mean. The case studies evaluated in HP1 and their emergent narratives confirm the low occurrence of ICT in CSM. The narratives also show a strong indication of limited management support. In addition, results from exploring the challenges to ICT in CSM support the hypothesis claim of the relatively higher severity of limitations in technology and management support. Moreover, narratives from stage 4 case studies show strong indications of limited knowledge of potential utility in recent ICT. As such within the research scope, adaptation of recent ICT for CSM was found to be suboptimal, due in part to limited knowledge and management and technology support. Therefore, HP2 is supported.

*Product Design*

literature in [50] also indicated the quality of the technology as a strong determinant of ICT use. A causal relationship between ICT use and project performance was also established. In [42], the function of knowledge [29] was explored further and [46] was focused on site security management as an aspect of CSM. From the results, it was determined that knowledge-related factors could be indirectly influencing other challenges, such as lack of management support and ICT requirement analysis and input in contracts. There were indications of possible patterns according to age group and experience. In [42] it was concluded that '…the extent of awareness, skills and working knowledge has not approached the adequacy level to increase adoption of ICT in site management appreciably'. The need for more awareness is highlighted in the recent literature such as [51]. Skills and training, which are knowledge-based, were also highlighted in [52]. However, one significant finding was that knowledge did not translate to adoption and use in every case. In 2017, the global ICT survey data was compared to data on awareness and utilisation of relevant ICT in CSM [41]. In addition, a unique area, training of bricklayers, was used to collect and test current data in terms of market availability of ICT and its occurrence [47]. Results show proof of local availability and access to recent ICT but a relatively poor level of awareness among practitioners and training providers for building trades. The impact of knowledge-related factors was further highlighted. In 2018, the studies on barriers to ICT utilisation were taken forward in [43]. Existing studies, various groupings, and different terms of framing were explored internationally and locally. Results generated the current framework for naming, categorising, and understanding challenges to ICT in CSM, which is supported by literature such as [53, 54]. The possible compounding effects of knowledge, technology, and management support factors were highlighted. In extant literature such as [53], the need for management support and increased availability of technology was highlighted. In [43] emergent patterns of identification of challenges according to age and work were indicated. End user response was identified as highly critical for success, highlighting user acceptance, usability, ergonomics, ease of use, and 'adaptability of the ICT to different related uses' [43], among others. Such issues are supported in literature such as [54, 55]. In 2019, the construct of process need areas [38, 44] derived from the research was also taken forward. Recent literatures and relevant concepts and theories were examined and applied. A pluralistic approach of using five theories/concepts was employed to explain the results, highlighting the need for a more comprehensive framework. It was again noted that acquisition of technology and utility of the technology's adaptability are different issues with varying impacts. While technology was embraced, the exploitation of inherent potential utility was not necessarily occurring in the final use. Results highlighted the need for process improvements in CSM, the limitations and inefficiencies in CSM, and the benefits of ICT for CSM. Findings are supported in extant literature

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such as [56, 57].

**4.2 Summary of the evaluation of the research hypotheses**

Following the discussion of findings from the research, five hypotheses were generated, to test the emergent ideas. The hypothesis evaluation process was tailored to the research methodology. Thus, a corresponding multistage approach was used. The process involved breaking down each hypothesis into subhypotheses, and they were evaluated individually, using data from various stages in the research methodology. Results were then outlined in summary as evidence for evaluating the main hypothesis, using the rules of evidence for evaluating the hypotheses. Essentially the null hypothesis in each case is rejected if the summary of evidence significantly

The third hypothesis (HP3) was stated as follows: Increased adaptation of recent ICT could enable ubiquity and real-time operation of the site information management and communication system. HP3 was evaluated through HP3-a (availability of recent ICT and their relevance to information management and communication in the CSM) and HP3-b (occurrence of lapses in the SMP due to poor information management and communication, which could be addressed through the utility of recent ICT). For the summary of evidence, evaluation of HP1 and HP2 established the availability of recent and relevant ICT products in HP1. The global ICT survey, final product study, and mapping of utility for CSM performed in the research were used to confirm that the majority of the identified ICT are relevant to IM&C. Evaluation of HP2 established the lack of occurrence and suboptimal utilisation of ICT in case study sites and also linked the indicators to suboptimal adaptation of ICT in CSM. Furthermore, the case studies highlighted lapses in site IM&C. This is supported by inferential statistics from the practitioner survey data. The evidence supports the notion of appreciable availability of recent ICT which are relevant to IM&C; the occurrence of lapses in site IM&C; and the occurrence of suboptimal adaptation of relevant ICT to site IM&C. Therefore, HP3 is supported.

The fourth hypothesis (HP4) was stated as follows: Increased adaptation of recent ICT for site H&S management could improve real-time monitoring and reporting. The evaluation of HP4 was broken into three areas, namely, availability of recent ICT and their relevance to site H&S; lapses in site H&S; and suboptimal utilisation of recent ICT in CSM. In terms of evidence, HP1 established the availability of recent and relevant ICT products in HP1. HP3 established the primary relevance of up to 20 ICT items to site H&S and the relevance of recent ICT to site IM&C, which form the basis for HP4. HP2 established the lack of occurrence and utilisation of ICT in case study sites. The same evaluation also linked the two indicators to suboptimal adaptation of ICT in the SMP. Furthermore, results of the case studies provide evidence of lapses in site H&S and lack of occurrence of relevant ICT and their utilisation. HP1, HP2, and HP3 strongly support the claim of suboptimal adaptation of relevant ICT in site H&S. The evidence supports the existence of appreciable availability of recent ICT which are relevant to site H&S management; occurrence of lapses in site H&S; and suboptimal adaptation of relevant ICT to site H&S. Therefore, HP4 is supported.

The fifth hypothesis (HP5) was stated as follows: Increased adaptation of recent ICT for on-site materials logistics could result in efficient and dynamic logistics management. HP5 was also broken into three areas, namely, availability of recent ICT and their relevance to site materials logistics; lapses in site materials logistics; and suboptimal utilisation of recent and relevant ICT for site materials management. In terms of evidence, HP1 and HP3 were used to establish the availability of recent ICT products and their relevance to site IM&C, which forms the basis for HP5. HP3 and further mapping of ICT potential utility established that an appreciable proportion (22/34) of recent ICT is relevant to site materials logistics. HP2 established the lack of occurrence and utilisation of ICT on case study sites and linked the indicators to suboptimal adaptation of ICT in CSM. The case studies also present an evidence of lapses in site materials logistics and lack of occurrence of relevant ICT and their limited utilisation SMM. This is supported by HP1 and HP2, on the claim of suboptimal adaptation of relevant ICT in SMM. As such HP5 is supported.

Following the derivation of findings, synthesis with literature, and evaluation of generated hypotheses, it was possible to build appreciable understanding of various attributes/features of the adaptation concept of ICT transfer to CSM. The understanding is presented in the next section.

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*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

**5. An understanding of the adaptation concept of technology transfer of** 

Part of the aim of this research was to build an adaptation-based understanding of the transfer of ICT to the CSM. This section presents an exploration of the attributes, constructs, and concepts, the development of their frameworks, and the articulation of a basic flow model and a detailed conceptual model to explain the nature of the adaptation concept of TT, as it applies to ICT in CSM, and construction in general. In addition to process need areas and ICT potential utility, other derived constructs include time frame of adaptation, unit of adaptation, type of adaptation, pathways,

The construct of time frame is based on the time factor in diffusion of innovation theory and the innovation decision process. For any outcome and process of adaptation, there is a time frame. The time frame could be immediate in the case where the technology's usefulness is identified simultaneously with awareness of it. Then, the identified potential utility is immediately exploited. There could however be a considerable time lapse of short term or long term. Short term would occur within one construction project event. Long term would occur during multiple

Unit of adaptation as a construct refers to the key agent of the adaptation. Basically, it asks the question: Who is implementing the innovation? The answer could be the individual end user, the work group within a project, the project team/ group, or the project organisation. There is also a possible third case where it is initiated by the individual, work group, or project team but adopted and powered by the organisation, all within one process of adaptation. A further possible scenario is the case of adaptation by a project stakeholder other than the contractor, such as client, design team, or major supplier. However, they are viewed as being within the project team or organisation. The unit could also be an external party, while the

The type of adaptation is comparable to the concept of hard and soft technologies, which has found popularity in the climate change remediation discourse. It refers to the mode taken in adapting technology. Hard adaptation mode is the type that requires modification or fine tuning of technology prior to its usage in the intended environment. The example would refer to physical hardware modification and software re-engineering. Soft adaptation mode refers to a degree of minimal alteration, but it relates more to idea components in innovation diffusion. It would therefore not involve any re-engineering of hardware or software. The innovation is on ideas, not involving physical things. It could also be on an idea on which a product is based. Such adaptations may eventually result in hard adaptation.

The pathway construct is related to the type construct, in that it traces the routes

for hard and soft types of adaptation. For pathways, hard adaptation involves hardware adaptation and software adaptation. Soft adaptation could be by ready adaptation, usage adaptation, or context adaptation. Ready adaptation (adoption and use of a well-adapted innovation) is based on the view that adaptation is both a process and an outcome. Therefore, activating the process and acquiring an outcome of the process both fall within the description of adaptation. An example would be the need for remote communication with someone on site and the tasktechnology fit [60] of the mobile phone which is essentially obvious. Usage adaptation means adapting to a different use from the originally intended use. In one of the case studies in the project, a service provider used a laboratory acidity tester

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

and process of adaptation.

outcome is meant for construction.

**ICT in construction site management**

**5.1 Concepts/constructs generated from the research**

project events and probably at an organisational scope or level.

## **5. An understanding of the adaptation concept of technology transfer of ICT in construction site management**

Part of the aim of this research was to build an adaptation-based understanding of the transfer of ICT to the CSM. This section presents an exploration of the attributes, constructs, and concepts, the development of their frameworks, and the articulation of a basic flow model and a detailed conceptual model to explain the nature of the adaptation concept of TT, as it applies to ICT in CSM, and construction in general. In addition to process need areas and ICT potential utility, other derived constructs include time frame of adaptation, unit of adaptation, type of adaptation, pathways, and process of adaptation.

## **5.1 Concepts/constructs generated from the research**

The construct of time frame is based on the time factor in diffusion of innovation theory and the innovation decision process. For any outcome and process of adaptation, there is a time frame. The time frame could be immediate in the case where the technology's usefulness is identified simultaneously with awareness of it. Then, the identified potential utility is immediately exploited. There could however be a considerable time lapse of short term or long term. Short term would occur within one construction project event. Long term would occur during multiple project events and probably at an organisational scope or level.

Unit of adaptation as a construct refers to the key agent of the adaptation. Basically, it asks the question: Who is implementing the innovation? The answer could be the individual end user, the work group within a project, the project team/ group, or the project organisation. There is also a possible third case where it is initiated by the individual, work group, or project team but adopted and powered by the organisation, all within one process of adaptation. A further possible scenario is the case of adaptation by a project stakeholder other than the contractor, such as client, design team, or major supplier. However, they are viewed as being within the project team or organisation. The unit could also be an external party, while the outcome is meant for construction.

The type of adaptation is comparable to the concept of hard and soft technologies, which has found popularity in the climate change remediation discourse. It refers to the mode taken in adapting technology. Hard adaptation mode is the type that requires modification or fine tuning of technology prior to its usage in the intended environment. The example would refer to physical hardware modification and software re-engineering. Soft adaptation mode refers to a degree of minimal alteration, but it relates more to idea components in innovation diffusion. It would therefore not involve any re-engineering of hardware or software. The innovation is on ideas, not involving physical things. It could also be on an idea on which a product is based. Such adaptations may eventually result in hard adaptation.

The pathway construct is related to the type construct, in that it traces the routes for hard and soft types of adaptation. For pathways, hard adaptation involves hardware adaptation and software adaptation. Soft adaptation could be by ready adaptation, usage adaptation, or context adaptation. Ready adaptation (adoption and use of a well-adapted innovation) is based on the view that adaptation is both a process and an outcome. Therefore, activating the process and acquiring an outcome of the process both fall within the description of adaptation. An example would be the need for remote communication with someone on site and the tasktechnology fit [60] of the mobile phone which is essentially obvious. Usage adaptation means adapting to a different use from the originally intended use. In one of the case studies in the project, a service provider used a laboratory acidity tester

*Product Design*

is supported.

H&S. Therefore, HP4 is supported.

standing is presented in the next section.

The third hypothesis (HP3) was stated as follows: Increased adaptation of recent ICT could enable ubiquity and real-time operation of the site information management and communication system. HP3 was evaluated through HP3-a (availability of recent ICT and their relevance to information management and communication in the CSM) and HP3-b (occurrence of lapses in the SMP due to poor information management and communication, which could be addressed through the utility of recent ICT). For the summary of evidence, evaluation of HP1 and HP2 established the availability of recent and relevant ICT products in HP1. The global ICT survey, final product study, and mapping of utility for CSM performed in the research were used to confirm that the majority of the identified ICT are relevant to IM&C. Evaluation of HP2 established the lack of occurrence and suboptimal utilisation of ICT in case study sites and also linked the indicators to suboptimal adaptation of ICT in CSM. Furthermore, the case studies highlighted lapses in site IM&C. This is supported by inferential statistics from the practitioner survey data. The evidence supports the notion of appreciable availability of recent ICT which are relevant to IM&C; the occurrence of lapses in site IM&C; and the occurrence of suboptimal adaptation of relevant ICT to site IM&C. Therefore, HP3

The fourth hypothesis (HP4) was stated as follows: Increased adaptation of recent ICT for site H&S management could improve real-time monitoring and reporting. The evaluation of HP4 was broken into three areas, namely, availability of recent ICT and their relevance to site H&S; lapses in site H&S; and suboptimal utilisation of recent ICT in CSM. In terms of evidence, HP1 established the availability of recent and relevant ICT products in HP1. HP3 established the primary relevance of up to 20 ICT items to site H&S and the relevance of recent ICT to site IM&C, which form the basis for HP4. HP2 established the lack of occurrence and utilisation of ICT in case study sites. The same evaluation also linked the two indicators to suboptimal adaptation of ICT in the SMP. Furthermore, results of the case studies provide evidence of lapses in site H&S and lack of occurrence of relevant ICT and their utilisation. HP1, HP2, and HP3 strongly support the claim of suboptimal adaptation of relevant ICT in site H&S. The evidence supports the existence of appreciable availability of recent ICT which are relevant to site H&S management; occurrence of lapses in site H&S; and suboptimal adaptation of relevant ICT to site

The fifth hypothesis (HP5) was stated as follows: Increased adaptation of recent ICT for on-site materials logistics could result in efficient and dynamic logistics management. HP5 was also broken into three areas, namely, availability of recent ICT and their relevance to site materials logistics; lapses in site materials logistics; and suboptimal utilisation of recent and relevant ICT for site materials management. In terms of evidence, HP1 and HP3 were used to establish the availability of recent ICT products and their relevance to site IM&C, which forms the basis for HP5. HP3 and further mapping of ICT potential utility established that an appreciable proportion (22/34) of recent ICT is relevant to site materials logistics. HP2 established the lack of occurrence and utilisation of ICT on case study sites and linked the indicators to suboptimal adaptation of ICT in CSM. The case studies also present an evidence of lapses in site materials logistics and lack of occurrence of relevant ICT and their limited utilisation SMM. This is supported by HP1 and HP2, on the claim of suboptimal adaptation of relevant ICT in SMM. As such HP5 is

Following the derivation of findings, synthesis with literature, and evaluation of generated hypotheses, it was possible to build appreciable understanding of various attributes/features of the adaptation concept of ICT transfer to CSM. The under-

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supported.

to check the identified groundwater in order to determine if it was portable water leakage or otherwise, using the acidity level. Context adaptation involves adapting from a different intended/primary usage environment to another. The preceding example is also relevant in this case. This category includes adaptation from one sphere, or discipline of origin, to another. The use of laser and infrared scanner in construction and the use of telepresence would be good examples.

Process construct refers to the process of ICT adaptation. It could be completely internal, where it is initiated and completed within a project site/event (internal process). It could also be internally initiated but completed externally in another sector, due to capacity requirements (internal-to-external). In this case the external sphere may be beyond the CSM situation, beyond the immediate project organisation, and at an industry or sectoral level.

To further understand the application of the adaptation concept in this context, the time frame matrix of ICT adaptation is presented in **Table 3**. The time frame construct is used as a categorisation frame, to understand the dynamics of their systemic relationships. While the table is not exhaustive of all possibilities, it gives a clearer sense of what occurs in ICT transfer in construction, from the adaptation perspective, according to time frame.

From **Table 3**, hard adaptation refers to physical or software modification of product, while soft adaptation refers to adaptation without physical adjustment to the product specifications. Hard adaptation could be minor or major. For pathways, there are hardware adaptation and software adaptation, specific to ICT. For process, there is also the case of externally initiated and completed adaptation by an external party, but within the CSM (external process). An example would be where a relatively temporal participant who is external to a project identifies a need and adapts technology to address the need, due to the very limited project exposure. Adaptation could also be initiated by an external party but assumed and completed by site management within CSM (external-to-internal). An example would be where a known need in CSM is addressed through adaptation of technology, by an interested party, who is external to the project, or industry.


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**Figure 2.**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

organisational management decisions and implementation. The organisational level transcends the short term and long term and enables effective translation of strategy into implementation. Between short term and immediate occurrence, the division could have grey areas because there are more individuals influencing the dynamics of adaptation in these divisions. However, hard adaptation would not occur in the immediate as it requires some degree of preconditioning of the ICT before use. It is argued that soft adaptation could occur within the short term and long term, depending on how sensitive management is to their needs and relevant opportunities. Similarly, usage adaptation could occur in the short term, but context adaptation pathway and internal-to-external adaptation process would typically fall into short term and long term. Ready adaptation could also be long term, in the case of management taking considerable time to make decisions. Furthermore, protracted implementation processes would inevitably result in long-term adaptation. Moreover, it is possible that some forms of adaptation could outlive a project and continue in other projects, at an organisational level. A basic conceptual model of the dynamics of adaptation of ICT in CSM is shown in **Figure 2**, using the cluster of constructs and attributes in their subenvironments

Time is used as one major environment of the adaptation process, to emphasise the feature of duration. However, there are other environmental factors such as compatibility requirements [61], which influence the adaptation of technology generally. Arguably, compatibility requirements would include monetary compatibility, which refers to the financial demands of transferring the technology; materials compatibility, which refers to the receiver being able to provide compatible material resources for the functioning and maintenance of the technology; production level compatibility, which refers to the technology being able to function productively and/or being replicated in the receiving environment; infrastructure compatibility, which refers to the availability and reliability of the enabling infrastructural environment; social and political compatibility, which refers to factors such as culture, national, and political interests and skills; and ecological compatibility, which refers to the environmental impact of the technology. It also refers to the technology being

From the findings and discussions thus far, and developments in **Table 3** and **Figure 2**, a detailed conceptual model of the nature of ICT adaptation in CSM, and

The attributes are organised in their subsystemic relationships, and their systemic relationships, using the unit, time, process, type, and pathway constructs as bases. The unit construct is primary, followed by time. The type of adaptation and its process and pathway then emerge. The project-related situation, which is the unit, could be an individual, work group, project team, firm or organisation, or the industry.

in the construction projects, is proposed in **Figure 3**.

*Basic conceptual model of the dynamics of adaptation of ICT in CSM [38].*

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

and the flow of the adaption process within this context.

transferable in an environment [61].

Long-term adaptation processes would be the domain of the industry and organisation system levels. This is the realm of strategic alignment and

## **Table 3.**

*Time frame matrix of ICT adaptation in CSM [38].*

## *Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

organisational management decisions and implementation. The organisational level transcends the short term and long term and enables effective translation of strategy into implementation. Between short term and immediate occurrence, the division could have grey areas because there are more individuals influencing the dynamics of adaptation in these divisions. However, hard adaptation would not occur in the immediate as it requires some degree of preconditioning of the ICT before use. It is argued that soft adaptation could occur within the short term and long term, depending on how sensitive management is to their needs and relevant opportunities. Similarly, usage adaptation could occur in the short term, but context adaptation pathway and internal-to-external adaptation process would typically fall into short term and long term. Ready adaptation could also be long term, in the case of management taking considerable time to make decisions. Furthermore, protracted implementation processes would inevitably result in long-term adaptation. Moreover, it is possible that some forms of adaptation could outlive a project and continue in other projects, at an organisational level. A basic conceptual model of the dynamics of adaptation of ICT in CSM is shown in **Figure 2**, using the cluster of constructs and attributes in their subenvironments and the flow of the adaption process within this context.

Time is used as one major environment of the adaptation process, to emphasise the feature of duration. However, there are other environmental factors such as compatibility requirements [61], which influence the adaptation of technology generally. Arguably, compatibility requirements would include monetary compatibility, which refers to the financial demands of transferring the technology; materials compatibility, which refers to the receiver being able to provide compatible material resources for the functioning and maintenance of the technology; production level compatibility, which refers to the technology being able to function productively and/or being replicated in the receiving environment; infrastructure compatibility, which refers to the availability and reliability of the enabling infrastructural environment; social and political compatibility, which refers to factors such as culture, national, and political interests and skills; and ecological compatibility, which refers to the environmental impact of the technology. It also refers to the technology being transferable in an environment [61].

## **Figure 2.**

*Product Design*

to check the identified groundwater in order to determine if it was portable water leakage or otherwise, using the acidity level. Context adaptation involves adapting from a different intended/primary usage environment to another. The preceding example is also relevant in this case. This category includes adaptation from one sphere, or discipline of origin, to another. The use of laser and infrared scanner in

Process construct refers to the process of ICT adaptation. It could be completely internal, where it is initiated and completed within a project site/event (internal process). It could also be internally initiated but completed externally in another sector, due to capacity requirements (internal-to-external). In this case the external sphere may be beyond the CSM situation, beyond the immediate project organisa-

To further understand the application of the adaptation concept in this context, the time frame matrix of ICT adaptation is presented in **Table 3**. The time frame construct is used as a categorisation frame, to understand the dynamics of their systemic relationships. While the table is not exhaustive of all possibilities, it gives a clearer sense of what occurs in ICT transfer in construction, from the adaptation

From **Table 3**, hard adaptation refers to physical or software modification of product, while soft adaptation refers to adaptation without physical adjustment to the product specifications. Hard adaptation could be minor or major. For pathways, there are hardware adaptation and software adaptation, specific to ICT. For process, there is also the case of externally initiated and completed adaptation by an external party, but within the CSM (external process). An example would be where a relatively temporal participant who is external to a project identifies a need and adapts technology to address the need, due to the very limited project exposure. Adaptation could also be initiated by an external party but assumed and completed by site management within CSM (external-to-internal). An example would be where a known need in CSM is addressed through adaptation of technology, by an

construction and the use of telepresence would be good examples.

interested party, who is external to the project, or industry.

Long-term adaptation processes would be the domain of the industry and organisation system levels. This is the realm of strategic alignment and

Unit Individual Organisation Industry level

Pathway Ready adaptation Ready adaptation Ready adaptation

Process Internal process Internal process Internal process

**Immediate Short term Long term**

Work group Project level Organisation

Soft adaptation Soft adaptation Soft adaptation

Context adaptation Context adaptation Hardware adaptation Usage adaptation Usage adaptation Software adaptation Software adaptation

External process Internal-to-external Internal-to-external

Hard adaptation (major) Hard adaptation (major)

External-to-internal External-to-internal

tion, and at an industry or sectoral level.

perspective, according to time frame.

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**Table 3.**

**Adaptation construct**

Type Hard adaptation

*Time frame matrix of ICT adaptation in CSM [38].*

(minor)

*Basic conceptual model of the dynamics of adaptation of ICT in CSM [38].*

From the findings and discussions thus far, and developments in **Table 3** and **Figure 2**, a detailed conceptual model of the nature of ICT adaptation in CSM, and in the construction projects, is proposed in **Figure 3**.

The attributes are organised in their subsystemic relationships, and their systemic relationships, using the unit, time, process, type, and pathway constructs as bases. The unit construct is primary, followed by time. The type of adaptation and its process and pathway then emerge. The project-related situation, which is the unit, could be an individual, work group, project team, firm or organisation, or the industry.

**Figure 3.**

*Model of adaptation dynamics of technology transfer in CSM [38].*

## **6. Conclusions**

This chapter presented a research on the uptake of ICT to enhance construction site management process, using the South African context, through the lens of the adaptation subconcept of TT. Essentially, the exploitation of the adaptability of recent ICT to improve CSM was investigated. Through the series of studies leading to the chapter, the common thread has been defined by a collection of concepts/ constructs, which embody the essence of the research: information and communication technology; technology; technology transfer; diffusion; the site management process; and adaptation. A deeper understanding of innovation [62], technology acceptance and adoption [63], moderating effects on adoption [64], and the nexus between user-centeredness and technology acceptance [65], was derived. The central discussion is the exploitation of adaptability in recent ICT, as opposed to the adaptability itself, which is established in extant literature. This approach addresses a management problem rather than an application problem.

## **6.1 Overview of the research**

The research is predicated on the problem of suboptimal adaptation of potential utility in recent ICT to improve the CSM. Three aspects of CSM were focused, namely, H&S, SMM, and IM&C. Though various research methods have inherent weaknesses, a robust methodology with adequate rigour was developed to address such weaknesses. The research was conducted through a mixed method, and multistage research design, which generated results and hypothetical statements. The hypotheses alleged suboptimality in the exploitations of ICT potential utility to improve CSM in the focus areas, limited knowledge of available relevant ICT, and the existence of some key challenges to uptake of ICT in CSM. The literature review on technology, ICT, and the construction industry pointed to the sheer capacity of modern technology, especially ICT. It also highlighted the applicability, scalability, and pervasive nature of ICT. These attributes substantiate the adaptability

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technologies and the performance of other industries in that regard.

ICT in addressing requirements of ubiquity and real-time capacity.

Field research results pointed to underutilisation of innovations located in recent technology. The main causative factors include inadequate knowledge of potential utility of recent ICT and a lack of effective approaches to technology integration and management support. Results highlight the fact that all possible units of adaptation agency can initiate and drive the required innovation. Beyond the primary usage of products, there is more utility offered in their designs and specifications. It is therefore important that usage of ICT goes beyond what is immediately discernible as practical usage. Exploiting potential utility in recent ICT requires innovative thinking and approach in their use. The need identified here applies to the individual, group, project team, organisation, and industry. Thus, while the demand for construction products and better delivery persists, putting construction under more

of recent ICT, which could be usefully exploited to achieve far-reaching advantages in construction, especially CSM. Following the deductions from literature review and conceptual basis for the methodology, the analysis of data showed a strong evidence of the existence of gaps identified in the literature. It also presented more telling indications in the local context. Suboptimal exploitation of the adaptability of recent ICT for CSM was highlighted. Issues of limited awareness, limited working knowledge, and limited management and technology support were highlighted. The gravity of these specific issues and their synergistic impact on ICT adoption in CSM was strongly supported by the evaluation of the hypotheses. The overarching deduction with regard to the research problem is that the hypotheses as stated are supported. Within the limits of the research project, the results strongly substantiate the claim that the exploitation of the adaptability in recent ICT to improve the CSM is suboptimal. This flies in the face of the proliferation and availability of such

Findings from the literature review are that ICT adoption in CSM is inadequate and inexpedient, falling short of potential benefits for construction. The literature review for this research revealed the need of humans for technology to enhance their natural processes and take full advantage of their natural environment. This need has evolved and extended to every aspect of human life including construction and CSM. Literature also revealed that construction has developed largely through technological innovations. Particularly the industry in recent history has grown by exploiting the adaptability of technology originating from other sectors such as ICT. Through innovation, rather than reinvention, many technologies have been successfully adapted to construction in areas such as CSM. Literature revealed the capacity and pervasiveness of ICT in modern life and its relevance to the enhancement of CSM. Nevertheless, adaptation of ICT to construction and CSM depends appreciably on factors including awareness and working knowledge and technology and management support. CSM contends with challenges of limited human capacity, overstretching of management, and blind spots in overseeing the site constitutions and activities. This leads to lapses in various areas of CSM such as IM&C, H&S, and SMM. Thus, the SMP has many potential beneficiary areas for adaptation of recent ICT. However, literature from the study has also shown that the construction industry in general falls behind other industries in adapting potential utility of recent ICT to improve CSM. While not entirely resulting from the lack of adequate ICT, lapses observed in CSM case studies demonstrate weaknesses in site management, which cannot be effectively addressed through increase in personnel as observed. In practice, not all designated personnel are on site at the same time, due to unsustainability of such measures. Furthermore, there is currently no known substitute to

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

**6.2 General conclusion to the research**

## *Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

of recent ICT, which could be usefully exploited to achieve far-reaching advantages in construction, especially CSM. Following the deductions from literature review and conceptual basis for the methodology, the analysis of data showed a strong evidence of the existence of gaps identified in the literature. It also presented more telling indications in the local context. Suboptimal exploitation of the adaptability of recent ICT for CSM was highlighted. Issues of limited awareness, limited working knowledge, and limited management and technology support were highlighted. The gravity of these specific issues and their synergistic impact on ICT adoption in CSM was strongly supported by the evaluation of the hypotheses. The overarching deduction with regard to the research problem is that the hypotheses as stated are supported. Within the limits of the research project, the results strongly substantiate the claim that the exploitation of the adaptability in recent ICT to improve the CSM is suboptimal. This flies in the face of the proliferation and availability of such technologies and the performance of other industries in that regard.

## **6.2 General conclusion to the research**

*Product Design*

**6. Conclusions**

**Figure 3.**

**6.1 Overview of the research**

This chapter presented a research on the uptake of ICT to enhance construction site management process, using the South African context, through the lens of the adaptation subconcept of TT. Essentially, the exploitation of the adaptability of recent ICT to improve CSM was investigated. Through the series of studies leading to the chapter, the common thread has been defined by a collection of concepts/ constructs, which embody the essence of the research: information and communication technology; technology; technology transfer; diffusion; the site management process; and adaptation. A deeper understanding of innovation [62], technology acceptance and adoption [63], moderating effects on adoption [64], and the nexus between user-centeredness and technology acceptance [65], was derived. The central discussion is the exploitation of adaptability in recent ICT, as opposed to the adaptability itself, which is established in extant literature. This approach addresses

The research is predicated on the problem of suboptimal adaptation of potential

utility in recent ICT to improve the CSM. Three aspects of CSM were focused, namely, H&S, SMM, and IM&C. Though various research methods have inherent weaknesses, a robust methodology with adequate rigour was developed to address such weaknesses. The research was conducted through a mixed method, and multistage research design, which generated results and hypothetical statements. The hypotheses alleged suboptimality in the exploitations of ICT potential utility to improve CSM in the focus areas, limited knowledge of available relevant ICT, and the existence of some key challenges to uptake of ICT in CSM. The literature review on technology, ICT, and the construction industry pointed to the sheer capacity of modern technology, especially ICT. It also highlighted the applicability, scalability, and pervasive nature of ICT. These attributes substantiate the adaptability

a management problem rather than an application problem.

*Model of adaptation dynamics of technology transfer in CSM [38].*

**122**

Findings from the literature review are that ICT adoption in CSM is inadequate and inexpedient, falling short of potential benefits for construction. The literature review for this research revealed the need of humans for technology to enhance their natural processes and take full advantage of their natural environment. This need has evolved and extended to every aspect of human life including construction and CSM. Literature also revealed that construction has developed largely through technological innovations. Particularly the industry in recent history has grown by exploiting the adaptability of technology originating from other sectors such as ICT. Through innovation, rather than reinvention, many technologies have been successfully adapted to construction in areas such as CSM. Literature revealed the capacity and pervasiveness of ICT in modern life and its relevance to the enhancement of CSM. Nevertheless, adaptation of ICT to construction and CSM depends appreciably on factors including awareness and working knowledge and technology and management support. CSM contends with challenges of limited human capacity, overstretching of management, and blind spots in overseeing the site constitutions and activities. This leads to lapses in various areas of CSM such as IM&C, H&S, and SMM. Thus, the SMP has many potential beneficiary areas for adaptation of recent ICT. However, literature from the study has also shown that the construction industry in general falls behind other industries in adapting potential utility of recent ICT to improve CSM. While not entirely resulting from the lack of adequate ICT, lapses observed in CSM case studies demonstrate weaknesses in site management, which cannot be effectively addressed through increase in personnel as observed. In practice, not all designated personnel are on site at the same time, due to unsustainability of such measures. Furthermore, there is currently no known substitute to ICT in addressing requirements of ubiquity and real-time capacity.

Field research results pointed to underutilisation of innovations located in recent technology. The main causative factors include inadequate knowledge of potential utility of recent ICT and a lack of effective approaches to technology integration and management support. Results highlight the fact that all possible units of adaptation agency can initiate and drive the required innovation. Beyond the primary usage of products, there is more utility offered in their designs and specifications. It is therefore important that usage of ICT goes beyond what is immediately discernible as practical usage. Exploiting potential utility in recent ICT requires innovative thinking and approach in their use. The need identified here applies to the individual, group, project team, organisation, and industry. Thus, while the demand for construction products and better delivery persists, putting construction under more pressure, the ICT sector continues to produce relevant products, services, and ideas which can be usefully exploited by construction. Useful exploitation of such output would enhance construction performance in many areas.

Through a customised approach, the research established foundational understanding of the adaptation of ICT in CSM. Contributions from the research include the time frame matrix of adaptation of ICT in CSM, the basic flow model of adaptation of ICT in CSM, and the detailed conceptual model of adaptation of ICT in CSM. Thus, the research contributes to the following bodies of knowledge: technology transfer, innovation, ICT in construction, user experience of ICT in construction, adaptation of ICT in construction, and construction project management. The proposed model is arguably relevant to the exploitation of the adaptability of ICT in other project-based systems and environments, beyond CSM, construction project management, and the construction industry.

The work presented in this chapter is the conclusion to a research project which was first proposed in 2007 and essentially started in 2008, generated a doctoral report in 2013 and additional publications up to December 2019. Through 19 publications, the attributes and dynamics of the adaptation concept for TT of ICT in the CSM have been derived, framed, and modelled. The outcomes at this stage are still not exhaustive of all possible scenarios. Future studies should therefore focus on the uptake of ICT/IT in other aspects of construction, user experience (UX) issues, other levels of construction project management, and comparison of the adaptation concept with other relevant concepts, and the use of contributions from the current study, to work on ICT based solutions for various needs in construction. Such studies should also aim to develop a deliberate/formalised approach to the transfer of ICT in construction, using the natural patterns discovered in the research, emphasizing user centeredness and user experience.

## **Author details**

Aghaegbuna Obinna U. Ozumba1 \* and Winston Shakantu<sup>2</sup>

1 University of the Witwatersrand, Johannesburg, South Africa

2 Nelson Mandela University, Port Elizabeth, South Africa

\*Address all correspondence to: obinna.ozumba@wits.ac.za

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

**125**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

Conference; 4-5 September 2008; Dublin. London: RICS; 2008. pp. 22-31

[8] Ozumba AOU, Shakantu WM. Improving materials management through utilisation of information and communication technology. In: Proceedings of the SACQSP Research Conference on Construction beyond 2010; September 2008; Johannesburg. Johannesburg: SACQSP; 2008. p. 23

[9] Ozumba A, Shakantu W. Balancing site information and communication technology systems with available ICT skills. In: Proceedings of the RICS Construction and Building Research Conference; 10-11 September 2009; Dublin. London: RICS; 2009. pp.

[10] Ozumba A, Shakantu W. Information and communication technology – Based application of 'just- in- time' (JIT) to internal logistics on site improving site management process through ICT. In: Proceedings of the RICS Construction and Building Research Conference; 10-11 September 2009; Dublin. London:

RICS; 2009. pp. 447-461

[11] Ozumba AOU, Shakantu WMW. Enhancing on-site communications by adaptation of multimedia systems: Looking into the future of construction. In: Proceedings of the SACQSP Quantity Surveying Conference on the Future – What Next?; September 2009; Durban. Johannesburg: SACQSP; 2009. p. 06

[12] Ozumba AOU, Shakantu WMW, Smallwood JJ. Improving peoplecenteredness in H&S risk management through ICT. In: Proceedings of the CIB TG59 Conference on People in Construction; March 2009; Port

Elizabeth. Port Elizabeth: Nelson Mandela metropolitan University; 2009. p. 34

[13] Ozumba AOU, Ata ON, Oburo NC, David N. Cutting edge technology for construction ICT in a developing

128-137

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

[1] Lahiri R, Ding J, Chinzara Z. Technology adoption, adaptation and

growth. Economic Modelling. 2018;**70**:469-483. DOI: 10.1016/j.

[2] Bauer ST, Flagg JL. Technology transfer and technology transfer intermediaries. Assistive Technology Outcomes and Benefits Journal (ATOB). 2010;**6**:1. Available from: https://www. atia.org/wp-content/uploads/2015/10/

econmod.2017.08.026

ATOBV6N1.pdf

[3] Lane JP. Understanding technology transfer. Assistive Technology. 1999;**11**(1):5-19. DOI: 10.1080/10400435.1999.10131981

[4] Ojiako U, Froise T, Shakantu W, Ozumba AO, Alasdir M, Chipulu M. Building information modeling (BIM) as a collaborative tool in construction project delivery. In: Proceedings of the UK Academy for Information Systems (UKAIS) Information Systems Comes of Age: 21 Years, Looking Back to Look

Forward. Oxford: UKAIS; 2016

[5] Venkatachalam S. Analysis of the challenges and implementation strategies on the adoption of building information modelling in south African architectural firms. Journal of Construction Engineering.

[6] Ozumba AOU, Shakantu WM. Improving site management process through ICT. In: Proceedings of the CIDB 5th Postgraduate Conference on Construction Industry Development; 16-18 March 2008; Bloemfontein. Pretoria: CIDB; 2008. pp. 22-31

[7] Ozumba AOU, Shakantu WM. Achieving ubiquity in the site management process: A theoretical study of the potential for innovative ICT solutions. In: Proceedings of the RICS Construction and Building Research

2015;**8**(2):7-12

**References**

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

## **References**

*Product Design*

**124**

**Author details**

Aghaegbuna Obinna U. Ozumba1

provided the original work is properly cited.

\* and Winston Shakantu<sup>2</sup>

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,

pressure, the ICT sector continues to produce relevant products, services, and ideas which can be usefully exploited by construction. Useful exploitation of such output

Through a customised approach, the research established foundational understanding of the adaptation of ICT in CSM. Contributions from the research include the time frame matrix of adaptation of ICT in CSM, the basic flow model of adaptation of ICT in CSM, and the detailed conceptual model of adaptation of ICT in CSM. Thus, the research contributes to the following bodies of knowledge: technology transfer, innovation, ICT in construction, user experience of ICT in construction, adaptation of ICT in construction, and construction project management. The proposed model is arguably relevant to the exploitation of the adaptability of ICT in other project-based systems and environments, beyond CSM, construction project

The work presented in this chapter is the conclusion to a research project which was first proposed in 2007 and essentially started in 2008, generated a doctoral report in 2013 and additional publications up to December 2019. Through 19 publications, the attributes and dynamics of the adaptation concept for TT of ICT in the CSM have been derived, framed, and modelled. The outcomes at this stage are still not exhaustive of all possible scenarios. Future studies should therefore focus on the uptake of ICT/IT in other aspects of construction, user experience (UX) issues, other levels of construction project management, and comparison of the adaptation concept with other relevant concepts, and the use of contributions from the current study, to work on ICT based solutions for various needs in construction. Such studies should also aim to develop a deliberate/formalised approach to the transfer of ICT in construction, using the natural patterns discovered in the research, empha-

would enhance construction performance in many areas.

management, and the construction industry.

sizing user centeredness and user experience.

1 University of the Witwatersrand, Johannesburg, South Africa

2 Nelson Mandela University, Port Elizabeth, South Africa

\*Address all correspondence to: obinna.ozumba@wits.ac.za

[1] Lahiri R, Ding J, Chinzara Z. Technology adoption, adaptation and growth. Economic Modelling. 2018;**70**:469-483. DOI: 10.1016/j. econmod.2017.08.026

[2] Bauer ST, Flagg JL. Technology transfer and technology transfer intermediaries. Assistive Technology Outcomes and Benefits Journal (ATOB). 2010;**6**:1. Available from: https://www. atia.org/wp-content/uploads/2015/10/ ATOBV6N1.pdf

[3] Lane JP. Understanding technology transfer. Assistive Technology. 1999;**11**(1):5-19. DOI: 10.1080/10400435.1999.10131981

[4] Ojiako U, Froise T, Shakantu W, Ozumba AO, Alasdir M, Chipulu M. Building information modeling (BIM) as a collaborative tool in construction project delivery. In: Proceedings of the UK Academy for Information Systems (UKAIS) Information Systems Comes of Age: 21 Years, Looking Back to Look Forward. Oxford: UKAIS; 2016

[5] Venkatachalam S. Analysis of the challenges and implementation strategies on the adoption of building information modelling in south African architectural firms. Journal of Construction Engineering. 2015;**8**(2):7-12

[6] Ozumba AOU, Shakantu WM. Improving site management process through ICT. In: Proceedings of the CIDB 5th Postgraduate Conference on Construction Industry Development; 16-18 March 2008; Bloemfontein. Pretoria: CIDB; 2008. pp. 22-31

[7] Ozumba AOU, Shakantu WM. Achieving ubiquity in the site management process: A theoretical study of the potential for innovative ICT solutions. In: Proceedings of the RICS Construction and Building Research

Conference; 4-5 September 2008; Dublin. London: RICS; 2008. pp. 22-31

[8] Ozumba AOU, Shakantu WM. Improving materials management through utilisation of information and communication technology. In: Proceedings of the SACQSP Research Conference on Construction beyond 2010; September 2008; Johannesburg. Johannesburg: SACQSP; 2008. p. 23

[9] Ozumba A, Shakantu W. Balancing site information and communication technology systems with available ICT skills. In: Proceedings of the RICS Construction and Building Research Conference; 10-11 September 2009; Dublin. London: RICS; 2009. pp. 128-137

[10] Ozumba A, Shakantu W. Information and communication technology – Based application of 'just- in- time' (JIT) to internal logistics on site improving site management process through ICT. In: Proceedings of the RICS Construction and Building Research Conference; 10-11 September 2009; Dublin. London: RICS; 2009. pp. 447-461

[11] Ozumba AOU, Shakantu WMW. Enhancing on-site communications by adaptation of multimedia systems: Looking into the future of construction. In: Proceedings of the SACQSP Quantity Surveying Conference on the Future – What Next?; September 2009; Durban. Johannesburg: SACQSP; 2009. p. 06

[12] Ozumba AOU, Shakantu WMW, Smallwood JJ. Improving peoplecenteredness in H&S risk management through ICT. In: Proceedings of the CIB TG59 Conference on People in Construction; March 2009; Port Elizabeth. Port Elizabeth: Nelson Mandela metropolitan University; 2009. p. 34

[13] Ozumba AOU, Ata ON, Oburo NC, David N. Cutting edge technology for construction ICT in a developing

country. In: Proceedings of the RICS Construction and Building Research Conference; 2-3 September 2009; Paris. London: RICS; 2010

[14] Ozumba AOU, Dlamin TC, Shakantu WMW. Information and communication technology education within south African built environment schools. In: Proceedings of the RICS Construction and Building Research Conference; 2-3 September 2009; Paris. London: RICS; 2010

[15] Ozumba AOU, Udeh CA, Shakantu WMW. Indigenous iron technology evolution: Lessons from Uzu culture of Awka in Nigeria. In: Proceedings of the CIDB 5th Postgraduate Conference on Construction Industry Development; 16-18 March 2008; Bloemfontein. Pretoria: CIDB; 2008. pp. 22-31

[16] Leung D, Lo A, Fong LHN, Law R. Applying the technology-organizationenvironment framework to explore ICT initial and continued adoption: An exploratory study of an independent hotel in Hong Kong. Tourism Recreation Research. 2015;**40**(3):391-406. DOI: 10.1080/02508281.2015.1090152

[17] Chen JS, Tsou HT. Information technology adoption for service innovation practices and competitive advantage: The case of financial firms. Information Research. 2007;**12**:3. Available from: http://informationr.net/ ir/12-3/paper314.html

[18] Rizk Y, Bhandwalder A, Boag S, Chakraborti T, Isahagian V, Khazaeni Y, et al. A Unified Conversational Assistant Framework for Business Process Automation [cs.AI]. 2020. arXiv:2001.03543v1. Available from: https://arxiv.org/pdf/2001.03543.pdf

[19] Stohr EA, Zhao JL. A Technology Adaptation Model for Business Process Automation. In: Proceedings of The Thirtieth Annual Hawwaii International Conference on System Sciences. Hawaii: IEEE Computer Society; 1997. pp. 405-414

[20] Zhang B, Pavlou PA, Ramayya K. On direct versus indirect peer influence in large social networks. Information Systems Research. Fox School of Business Research Paper No. 17-016; 2017. Available from: https://ssrn.com/ abstract=2989057

[21] Milli L, Rossetti G, Pedreschi D, Giannotti F. Information diffusion in complex networks: The active/passive conundrum. In: Cherifi C, Cherifi H, Karsai M, Musolesi M, editors. Complex Networks & Their Applications VI. COMPLEX NETWORKS 29 November – 1 December 2017. Studies in Computational Intelligence. Vol. 689. Lyon, France: Springer; 2018. pp. 305-313

[22] Pensupap V, Walker DHT. Innovation diffusion at the implementation stage of a construction project: A case study of information communication technology. Construction Management and Economics. 2006;**24**:321-332. DOI: 10.1080/01446190500435317

[23] Hardey M. Gender and technology culture: Points of contact in tech cities. Sociological Research Online. 2019;**25**(1):101-118. DOI: 10.1177/1360780419851137

[24] Wyrwicka MK. Technology culture and its interpretation: Research results in Poland. Human Factors. 2010;**21**:178- 187. DOI: 10.1002/hfm.20254

[25] Organisation for Economic Co-operation and Development (OECD). North/South technology transfer: The adjustments ahead. Report, OECD Committee for Scientific and Technological Policy, Paris. Paris: OECD; 1981

[26] Drucker P.F. The discipline of innovation. Harvard business Review. November–December 3-8, 1998.

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Rose MR, Lauder GV, editors. Adaptation. New York: Academic Press; 1996. pp. 11-53. Available from: https://www. researchgate.net/publication/233820303\_ Historical\_development\_of\_the\_concept\_

of the concept of adaptation. In:

[35] Edwards P. Adaptation: Two theories. Text and Performance Quarterly. 2007;**Q.27**:369-377. DOI: 10.1080/10462930701587592

[36] Rosenbloom RS. The transfer of military technology to civilian use. In: Kranzberg M, Pursell CW, editors. Technology in Western Civilization Volume II. London: Oxford University

[37] Holliday GD. Western technology transfer to the Soviet Union, 1928-1937 and 1966-1975: With a case study in the transfer of automotive technology [thesis]. Washington D. C.: The George

Press; 1967. pp. 601-612

Washington University; 1978

[38] Ozumba AOU. Exploiting the adaptability of recent ICT to improve the site management process [thesis]. Port Elizabeth: Nelson Mandela Metropolitan University; 2013

[39] McKim CA. 2015. The value of mixed methods research: A mixed methods study. Journal of Mixed Methods Research. 2015;**11**(2):202-222. DOI: 10.1177/1558689815607096

[40] Gesink D, Filsinger B, Mihica A, Norwood TA, Sarai C, Perez RD, et al. Cancer screening barriers and

[41] Ozumba AOU, Shakantu WMW. Market availability of information and communication technologies and their

pii/S1877782116302041

facilitators for under and never screened populations: A mixed methods study. Cancer Epidemiology. 2016;**45**:126- 134. Available from: https://www. sciencedirect.com/science/article/abs/

of\_adaptation

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

Available from: http://wwwcbpa. louisville.edu/bruceint/drucker.pdf

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[28] Rogers EM, Shoemaker FF. Communication of Innovations. New

York: The Free Press; 1971

[29] Rogers EM. Diffusion of

[30] Rogers EM, Singhal A,

Innovations. 5th ed. New York: The Free

Quinlan MM. Diffusion of innovations. In: Stacks D, Salwen M, editors. An Integrated Approach to Communication

Theory and Research. New York: Routledge; 2006, 2006. Available from: http://utminers.utep.edu/asinghal/ reports/emr-singhal-quinlan-june19-07-

doi-word-file-stack-salwen%

[31] van Oorschot JAWH, Hofman E, Halmana JIM. A bibliometric review of the innovation adoption literature. Technological Forecasting and Social Change. 2018;**134**:1-21. DOI: 10.1016/j.

[32] Lee N, Li S, Shin B, Kwon O. Social comparison, goal contagion,

and adoption of innovative information technology. The Journal of Computer Information Systems. 2016;**56**(2):127-136. DOI: 10.1080/08874417.2016.1117374

[33] Simonet G. The concept of adaptation: Interdisciplinary scope and involvement in climate change. SAPIENS. 2010;**3**:1. Available from: https://journals.openedition.org/

pp. 293-296

Press; 2003

5B1%5D.pdf

techfore.2018.04.032

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

Available from: http://wwwcbpa. louisville.edu/bruceint/drucker.pdf

*Product Design*

London: RICS; 2010

London: RICS; 2010

[15] Ozumba AOU, Udeh CA, Shakantu WMW. Indigenous iron technology evolution: Lessons from Uzu culture of Awka in Nigeria. In: Proceedings of the CIDB 5th Postgraduate Conference on

Construction Industry Development; 16-18 March 2008; Bloemfontein. Pretoria: CIDB; 2008. pp. 22-31

[16] Leung D, Lo A, Fong LHN, Law R. Applying the technology-organizationenvironment framework to explore ICT initial and continued adoption: An exploratory study of an independent hotel in Hong Kong. Tourism Recreation Research. 2015;**40**(3):391-406. DOI: 10.1080/02508281.2015.1090152

[17] Chen JS, Tsou HT. Information technology adoption for service innovation practices and competitive advantage: The case of financial firms. Information Research. 2007;**12**:3. Available from: http://informationr.net/

[18] Rizk Y, Bhandwalder A, Boag S, Chakraborti T, Isahagian V, Khazaeni Y, et al. A Unified Conversational Assistant

arXiv:2001.03543v1. Available from: https://arxiv.org/pdf/2001.03543.pdf

[19] Stohr EA, Zhao JL. A Technology Adaptation Model for Business Process Automation. In: Proceedings of The Thirtieth Annual Hawwaii International

Framework for Business Process Automation [cs.AI]. 2020.

ir/12-3/paper314.html

country. In: Proceedings of the RICS Construction and Building Research Conference; 2-3 September 2009; Paris. Conference on System Sciences. Hawaii: IEEE Computer Society; 1997. pp.

[20] Zhang B, Pavlou PA, Ramayya K. On direct versus indirect peer influence in large social networks. Information Systems Research. Fox School of Business Research Paper No. 17-016; 2017. Available from: https://ssrn.com/

[21] Milli L, Rossetti G, Pedreschi D, Giannotti F. Information diffusion in complex networks: The active/passive conundrum. In: Cherifi C, Cherifi H, Karsai M, Musolesi M, editors. Complex Networks & Their Applications VI. COMPLEX NETWORKS 29 November –

1 December 2017. Studies in

[22] Pensupap V, Walker DHT. Innovation diffusion at the

communication technology. Construction Management and Economics. 2006;**24**:321-332. DOI: 10.1080/01446190500435317

[23] Hardey M. Gender and

187. DOI: 10.1002/hfm.20254

OECD; 1981

[25] Organisation for Economic Co-operation and Development (OECD). North/South technology transfer: The adjustments ahead. Report, OECD Committee for Scientific and Technological Policy, Paris. Paris:

[26] Drucker P.F. The discipline of innovation. Harvard business Review. November–December 3-8, 1998.

technology culture: Points of contact in tech cities. Sociological Research Online. 2019;**25**(1):101-118. DOI: 10.1177/1360780419851137

[24] Wyrwicka MK. Technology culture and its interpretation: Research results in Poland. Human Factors. 2010;**21**:178-

Computational Intelligence. Vol. 689. Lyon, France: Springer; 2018. pp. 305-313

implementation stage of a construction project: A case study of information

405-414

abstract=2989057

[14] Ozumba AOU, Dlamin TC, Shakantu WMW. Information and communication technology education within south African built environment schools. In: Proceedings of the RICS Construction and Building Research Conference; 2-3 September 2009; Paris.

**126**

[27] Lou TF, Li EY. Integrating innovation diffusion theory and the technology acceptance model: The adoption of blockchain technology from business managers' perspective. In: Proceedings of the 17th International Conference on Electronic Business, December 4-8. Dubai; UAE: ICEB; 2017. pp. 293-296

[28] Rogers EM, Shoemaker FF. Communication of Innovations. New York: The Free Press; 1971

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[31] van Oorschot JAWH, Hofman E, Halmana JIM. A bibliometric review of the innovation adoption literature. Technological Forecasting and Social Change. 2018;**134**:1-21. DOI: 10.1016/j. techfore.2018.04.032

[32] Lee N, Li S, Shin B, Kwon O. Social comparison, goal contagion, and adoption of innovative information technology. The Journal of Computer Information Systems. 2016;**56**(2):127-136. DOI: 10.1080/08874417.2016.1117374

[33] Simonet G. The concept of adaptation: Interdisciplinary scope and involvement in climate change. SAPIENS. 2010;**3**:1. Available from: https://journals.openedition.org/ sapiens/997

[34] Amundson R. Historical development of the concept of adaptation. In: Rose MR, Lauder GV, editors. Adaptation. New York: Academic Press; 1996. pp. 11-53. Available from: https://www. researchgate.net/publication/233820303\_ Historical\_development\_of\_the\_concept\_ of\_adaptation

[35] Edwards P. Adaptation: Two theories. Text and Performance Quarterly. 2007;**Q.27**:369-377. DOI: 10.1080/10462930701587592

[36] Rosenbloom RS. The transfer of military technology to civilian use. In: Kranzberg M, Pursell CW, editors. Technology in Western Civilization Volume II. London: Oxford University Press; 1967. pp. 601-612

[37] Holliday GD. Western technology transfer to the Soviet Union, 1928-1937 and 1966-1975: With a case study in the transfer of automotive technology [thesis]. Washington D. C.: The George Washington University; 1978

[38] Ozumba AOU. Exploiting the adaptability of recent ICT to improve the site management process [thesis]. Port Elizabeth: Nelson Mandela Metropolitan University; 2013

[39] McKim CA. 2015. The value of mixed methods research: A mixed methods study. Journal of Mixed Methods Research. 2015;**11**(2):202-222. DOI: 10.1177/1558689815607096

[40] Gesink D, Filsinger B, Mihica A, Norwood TA, Sarai C, Perez RD, et al. Cancer screening barriers and facilitators for under and never screened populations: A mixed methods study. Cancer Epidemiology. 2016;**45**:126- 134. Available from: https://www. sciencedirect.com/science/article/abs/ pii/S1877782116302041

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[45] Pedro L, Ozumba A. Participants' perceptions on investment in ICT and project outcomes in South Africa. In: Proceedings of the RICS Construction and Building Research Conference; 10-12 September 2013; New Delhi. London: RICS; 2013

[46] Ozumba A, Mapatha D, Shkantu W. Use of ICT-based systems in site security management in South Africa. Journal of Construction Project Management and Innovation. 2014;**4**(2):912-929. Available from: https://hdl.handle. net/10520/EJC165619

[47] Ozumba AOU, Botjie T, Daya B, Leonard JS. ICT in the training of south African bricklaying operatives: A pilot in the greater Johannesburg area. In: Proceedings of the ASOCSA Research Conference; 6-8 August 2017; Durban. Durban: ASOCSA; 2017. pp. 49-59

[48] Ozumba A, Shakantu W. ICT in site management process in South Africa. In: In Proceedings of the RICS Construction and Building Research Conference; 10-13 September 2012; Las Vegas. London: RICS; 2012. pp. 1189-1197

[49] Ozumba A, Shakantu W. Investigating barriers to ICT adoption in site management: A pilot study in South Africa. In: Proceedings of the RICS Construction and Building Research Conference; 10-12 September 2013; New Delhi. London: RICS; 2013

[50] Ikediashi DI, Ogwueleka AC. Assessing the use of ICT systems and their impact on construction project performance in the Nigerian construction industry. Journal of Engineering, Design and Technology. 2016;**14**(2):252-276. DOI: 10.1108/ JEDT-08-2014-0047

[51] Osunsanmi TO, Aigbavboa C, Oke A. Construction 4.0: The future of the construction industry in South Africa. International Science Index, Civil and Environmental Engineering. 2018;**12**:3. Available from: http://scholar. waset.org/1307-6892/10008621

[52] Lew YL, Toh TC, Lim KL, Yan FYY, Yow LP. A study on the constraints of implementing information and communication technology (ICT) in Malaysian construction industry. IOP Conference Series: Earth and Environmental Science. 2019;**385**:1. DOI: https://iopscience.iop.org/ article/10.1088/1755-1315/ 385/1/012005/meta

[53] Ern PAS, Kasim N, Masrom MAN, Chen GK. Overcoming ICT barriers in IBS management process in Malaysia construction industry. In: Proceedings of the ISCEE 2016; MATEC Web of Conferences. Vol. 103. 2017, 2017. p. 03007

[54] Bosch-Sijtsema P, Isaksson A, Lennartsson M, Linderoth HCJ. Barriers and facilitators for BIM use among

**129**

2007

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management*

Symposium; 27-30 April 1979. UK:

[62] Taylor SP. What is innovation? A study of the definitions, academic models and applicability of innovation to an example of social housing in England. Open Journal of Social Sciences. 2017;**5**:128-146. DOI: 10.4236/

[63] Taherdoost H. A review of technology acceptance and adoption models and theories. Procedia

Manufacturing. 2018;**2018**(22):960-967. DOI: 10.1016/j.promfg.2018.03.137

[64] Ameen N, Willis R. An analysis of the moderating effect of age on smartphone adoption and use in the united Arab emirates. Social transformation. In: Proceedings of the 23rd UK Academy for Information Systems (UKAIS) International Conference. Oxford: UKAIS; 2018

[65] Shore L, Power V, de Eyto A, O'Sullivan LW. Technology acceptance and user-centred design of assistive exoskeletons for older adults: A

10.3390/robotics7010003

commentary. Robotics. 2018;**7**:1-3. DOI:

Pergamon Press; 1980

jss.2017.511010

*DOI: http://dx.doi.org/10.5772/intechopen.93264*

Swedish medium-sized contractors – "We wait until someone tells us to use it". Visualization in Engineering. 2017, 2017;**5**:1-3. DOI: 10.1186/

[55] Eadie R, Odeyinka H, Browne M, McKeown C, Yohanis M. Building information modelling adoption: An analysis of the barriers to

implementation. Journal of Engineering and Architecture. 2014;**2**(1):77-101

[56] Fang W, Ding L, Luo H, Love PED. Falls from heights: A computer visionbased approach for safety harness detection. Automation in Construction.

2018;**91**:53-61. DOI: 10.1016/j.

10.1016/j.autcon.2018.03.021

[58] Remenyi D, Onofrei G,

English J. An Introduction to Statistics Using Microsoft Excel. 2nd ed. UK: Academic Publishing Ltd.; 2010

[59] Agresti A. An Introduction to Categorical Data Analysis. 2nd ed. New Jersey: John Wiley and Sons Inc.;

[60] Golizadeh H, Hosseini MR, Edwards DJ, Abrishami S, Taghavi N, Banihashemi S. Barriers to adoption of RPAs on construction projects: A task– technology fit perspective. Construction Innovation. 2019;**19**(2):149-169. DOI:

10.1108/CI-09-2018-0074

[61] Radhakrishna S, editor. International Council of Scientific Unions (ICSU) and committee on science and Technology in Developing Countries (COSTED). Science, technology and global problems, views of the developing world. In: Proceedings of the Kuala Lumpur

[57] Dong C, Li H, Luo X, Ding L, Seibert J, Luo H. Proactive struck-by risk detection with movement patterns and randomness. Automation in Construction. 2018;**91**:246-255. DOI:

autcon.2018.02.018

s40327-017-0040-7

*Adaptation: A Lens for Viewing Technology Transfer in Construction Site Management DOI: http://dx.doi.org/10.5772/intechopen.93264*

Swedish medium-sized contractors – "We wait until someone tells us to use it". Visualization in Engineering. 2017, 2017;**5**:1-3. DOI: 10.1186/ s40327-017-0040-7

*Product Design*

300-311

2014;**4**(2):990-1011

CI-03-2017-0027

adoption in site management in South Africa. In: Proceedings of the ASOCSA Research Conference; 6-8 August 2017; Durban. Durban: ASOCSA; 2017. pp.

In Proceedings of the RICS Construction and Building Research Conference; 10-13 September 2012; Las Vegas. London: RICS; 2012. pp. 1189-1197

Investigating barriers to ICT adoption in site management: A pilot study in South Africa. In: Proceedings of the RICS Construction and Building Research Conference; 10-12 September 2013; New Delhi. London: RICS; 2013

[49] Ozumba A, Shakantu W.

[50] Ikediashi DI, Ogwueleka AC. Assessing the use of ICT systems and their impact on construction project performance in the Nigerian construction industry. Journal of Engineering, Design and Technology. 2016;**14**(2):252-276. DOI: 10.1108/

[51] Osunsanmi TO, Aigbavboa C, Oke A. Construction 4.0: The future of the construction industry in South Africa. International Science Index, Civil and Environmental Engineering. 2018;**12**:3. Available from: http://scholar.

waset.org/1307-6892/10008621

[52] Lew YL, Toh TC, Lim KL, Yan FYY, Yow LP. A study on the constraints of implementing information and communication technology (ICT) in Malaysian construction industry. IOP Conference Series: Earth and Environmental Science. 2019;**385**:1. DOI: https://iopscience.iop.org/ article/10.1088/1755-1315/ 385/1/012005/meta

[53] Ern PAS, Kasim N, Masrom MAN, Chen GK. Overcoming ICT barriers in IBS management process in Malaysia construction industry. In: Proceedings of the ISCEE 2016; MATEC Web of Conferences. Vol. 103. 2017, 2017. p.

[54] Bosch-Sijtsema P, Isaksson A, Lennartsson M, Linderoth HCJ. Barriers and facilitators for BIM use among

03007

JEDT-08-2014-0047

[42] Ozumba A, Shkantu W. Exploring the knowledge function in the adoption of ICT in site management in South Africa. The Journal of Construction Project Management and Innovation.

[43] Ozugmba AOU, Shakantu W. Exploring challenges to ICT utilisation in construction site management.

2018;**18**(3):321-349. DOI: 10.1108/

[44] Ozumba AO, Ojiako U, Shakantu W, Marshall A, Chipulu M. Process need areas and technology adoption in construction site management. The Journal of Construction in Developing Countries. 2019;**24**(2):123-155. DOI:

[45] Pedro L, Ozumba A. Participants' perceptions on investment in ICT and project outcomes in South Africa. In: Proceedings of the RICS Construction and Building Research Conference; 10-12 September 2013; New Delhi.

[46] Ozumba A, Mapatha D, Shkantu W. Use of ICT-based systems in site security management in South Africa. Journal of Construction Project Management and Innovation. 2014;**4**(2):912-929. Available from: https://hdl.handle.

[47] Ozumba AOU, Botjie T, Daya B, Leonard JS. ICT in the training of south African bricklaying operatives: A pilot in the greater Johannesburg area. In: Proceedings of the ASOCSA Research Conference; 6-8 August 2017; Durban. Durban: ASOCSA; 2017. pp. 49-59

[48] Ozumba A, Shakantu W. ICT in site management process in South Africa. In:

Construction Innovation.

10.21315/jcdc2019.24.2.6

London: RICS; 2013

net/10520/EJC165619

**128**

[55] Eadie R, Odeyinka H, Browne M, McKeown C, Yohanis M. Building information modelling adoption: An analysis of the barriers to implementation. Journal of Engineering and Architecture. 2014;**2**(1):77-101

[56] Fang W, Ding L, Luo H, Love PED. Falls from heights: A computer visionbased approach for safety harness detection. Automation in Construction. 2018;**91**:53-61. DOI: 10.1016/j. autcon.2018.02.018

[57] Dong C, Li H, Luo X, Ding L, Seibert J, Luo H. Proactive struck-by risk detection with movement patterns and randomness. Automation in Construction. 2018;**91**:246-255. DOI: 10.1016/j.autcon.2018.03.021

[58] Remenyi D, Onofrei G, English J. An Introduction to Statistics Using Microsoft Excel. 2nd ed. UK: Academic Publishing Ltd.; 2010

[59] Agresti A. An Introduction to Categorical Data Analysis. 2nd ed. New Jersey: John Wiley and Sons Inc.; 2007

[60] Golizadeh H, Hosseini MR, Edwards DJ, Abrishami S, Taghavi N, Banihashemi S. Barriers to adoption of RPAs on construction projects: A task– technology fit perspective. Construction Innovation. 2019;**19**(2):149-169. DOI: 10.1108/CI-09-2018-0074

[61] Radhakrishna S, editor. International Council of Scientific Unions (ICSU) and committee on science and Technology in Developing Countries (COSTED). Science, technology and global problems, views of the developing world. In: Proceedings of the Kuala Lumpur

Symposium; 27-30 April 1979. UK: Pergamon Press; 1980

[62] Taylor SP. What is innovation? A study of the definitions, academic models and applicability of innovation to an example of social housing in England. Open Journal of Social Sciences. 2017;**5**:128-146. DOI: 10.4236/ jss.2017.511010

[63] Taherdoost H. A review of technology acceptance and adoption models and theories. Procedia Manufacturing. 2018;**2018**(22):960-967. DOI: 10.1016/j.promfg.2018.03.137

[64] Ameen N, Willis R. An analysis of the moderating effect of age on smartphone adoption and use in the united Arab emirates. Social transformation. In: Proceedings of the 23rd UK Academy for Information Systems (UKAIS) International Conference. Oxford: UKAIS; 2018

[65] Shore L, Power V, de Eyto A, O'Sullivan LW. Technology acceptance and user-centred design of assistive exoskeletons for older adults: A commentary. Robotics. 2018;**7**:1-3. DOI: 10.3390/robotics7010003

**131**

**Chapter 7**

**Abstract**

Recent Developments of

Systems for Buildings

*Wahiba Yaïci, Evgueniy Entchev,* 

future research were recommended.

**1. Introduction**

microgeneration, design, performance, buildings

Combined Heat Pump and

*Pouyan Talebizadeh Sardari and Michela Longo*

Organic Rankine Cycle Energy

To develop efficient and lower emission heating and cooling systems, this book chapter focuses on interests for the innovative combination of a heat pump (HP) and organic Rankine cycle (ORC) for building applications. In this state-of-the-art survey, the potentials and advantages of combined HP-ORC systems have been investigated and discussed. Past works have examined various combinations, comprising indirectly-combined as series and parallel, directly-combined units, as well as reversible combination configurations. Following describing such arrangements, their performance is discussed. Considerations for optimising the overall architecture of these combined energy systems are pinpointed using these same sources, taking into account heat source and sink selection, expander/compressor units, selection of working fluids, control strategies, operating temperatures, thermal energy storage and managing more variable seasonal temperatures. Furthermore, experimental works present further functional problems and matters needing additional research, and assist to emphasise experimental techniques that can be utilised in this field of research. Finally, from the studies surveyed, some areas for

**Keywords:** heat pump (HP), organic Rankine cycle (ORC), energy systems,

Overall, the building sector represents approximately 40% of the final utilisation of energy and 36% of greenhouse gas emissions (GHGs). For meeting international emission targets, there is a requirement for more efficient heating and cooling systems in order to decrease electricity needs while improving system efficiency as well as reliability; this is because such systems involve over 80% of residential heating usage in many nations and particularly in countries with colder climates, such as Canada [1]. In buildings, advanced heating and cooling as well as micro cogeneration technologies can possibly decrease electricity and fossil fuel-derived use via increased usage of renewable energy sources, thermal storage, micro-cogeneration as well as systems with better efficient energy

## **Chapter 7**

## Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems for Buildings

*Wahiba Yaïci, Evgueniy Entchev, Pouyan Talebizadeh Sardari and Michela Longo*

## **Abstract**

To develop efficient and lower emission heating and cooling systems, this book chapter focuses on interests for the innovative combination of a heat pump (HP) and organic Rankine cycle (ORC) for building applications. In this state-of-the-art survey, the potentials and advantages of combined HP-ORC systems have been investigated and discussed. Past works have examined various combinations, comprising indirectly-combined as series and parallel, directly-combined units, as well as reversible combination configurations. Following describing such arrangements, their performance is discussed. Considerations for optimising the overall architecture of these combined energy systems are pinpointed using these same sources, taking into account heat source and sink selection, expander/compressor units, selection of working fluids, control strategies, operating temperatures, thermal energy storage and managing more variable seasonal temperatures. Furthermore, experimental works present further functional problems and matters needing additional research, and assist to emphasise experimental techniques that can be utilised in this field of research. Finally, from the studies surveyed, some areas for future research were recommended.

**Keywords:** heat pump (HP), organic Rankine cycle (ORC), energy systems, microgeneration, design, performance, buildings

## **1. Introduction**

Overall, the building sector represents approximately 40% of the final utilisation of energy and 36% of greenhouse gas emissions (GHGs). For meeting international emission targets, there is a requirement for more efficient heating and cooling systems in order to decrease electricity needs while improving system efficiency as well as reliability; this is because such systems involve over 80% of residential heating usage in many nations and particularly in countries with colder climates, such as Canada [1]. In buildings, advanced heating and cooling as well as micro cogeneration technologies can possibly decrease electricity and fossil fuel-derived use via increased usage of renewable energy sources, thermal storage, micro-cogeneration as well as systems with better efficient energy

systems. A thermodynamic-based, the organic Rankine cycle (ORC) is a remarkable system that is appropriate for recovering low-temperature heat from different heat sources, such as solar, geothermal or low-grade thermal power sources for cogenerating heat and power. Of noteworthy relevance is its combination with a heat pump (HP), with which it would be able to more efficiently supply heating and cooling, hence decreasing electricity utilisation and generation of pollutant emissions.

The thermodynamic organic Rankine cycle is characterised as a heat and power generation system, which is labelled as organic due to it utilising working fluids and this allows it to operate at lower temperatures, contrastingly to a steam Rankine cycle. This is positive as it allows the system temperatures to operate efficiently at lower temperatures, in this manner permitting small-scale applications.

**Figure 1** illustrates a typical ORC cycle. Advanced ORC systems can include additional units such as a regenerator and recuperator units or extra heat exchanger/turbine, alike to the assortment of potential components for a steam Rankine cycle. In the evaporator, the heat source transfers heat to the working fluid, which evaporates and is hereafter pressurised. This working fluid is sent to the expander turbine unit, which converts the high-pressure gas to low pressure gas, converting the work produced from this process into electricity. The low-pressure gas moves in the condenser, where surplus heat that has not been converted into electricity is dissipated to the heat sink, raising the heat sink fluid's temperature and condensing the working fluid. Ultimately, a pump is employed for circulating the working fluid flow in the cycle [2, 3]. Detailed principle and research works on ORC systems can be found in [2–13].

A heat pump has an analogous working operation to that of an organic Rankine cycle, apart from it just supplying heat rather of generating of power. As its name indicates, it finally receives heat from the heat source and transfers it to the heat sink, reducing the heat source temperature and rising the heat sink temperature. A compressor and a throttling valve are employed for aiding drive and enhance the performance of this process, which can, on typical manner, operate in either heating or cooling mode, and this is where both the heat sink and source are interchanged. The efficiency of the heat pump is denoted by its coefficient of performance (COP), defined as the ratio of total heat delivered by the heat pump to the amount of electricity needed to drive the heat pump. An example of the unit's schematic is illustrated in **Figure 2**. One main benefit of this cycle is that it is able of removing heat from a heat source versus a temperature gradient with a

**133**

can be found in [14–29].

**Figure 2.**

*Schematic of the heat pump.*

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

higher temperature heat sink, enabling it to get to low-grade thermal sources. A heat pump has an assortment of arrangements and configurations available, which are generally out of the extent of this review. Representative heat pumps viable, incorporate a water-source heat pump (WSHP) that include a liquid–liquid heat exchange; a ground-source heat pump (GSHP), and this is fundamentally the same as a WSHP, however the heat source liquid works as a heat transfer medium for geothermal heat exchangers as well; and an air-source heat pump (ASHP) that includes an air-liquid heat exchange, with performance reliant on ambient conditions. Moreover, there are likewise absorption as well as adsorption heat pumps that have increasingly complex operation. For the motivations behind this paper, the heat pump arrangements are optional as against to the overall system arrangement, and thus, will not be examined thoroughly. More detailed works regarding HP systems

In spite of there being various surveys addressing HPs and an ORC system's design, performance and technical-economic studies, there are a lack of reviews focusing on the combined HP and ORC systems for low-temperature and micro co/ trigeneration applications. Hence, building upon and extending the work of the authors [30], the aim of the present chapter is to focus on innovative combination of a HP and ORC for use in buildings. In this overview survey, the potentials and advantages of combined HP-ORC systems will be investigated and discussed.

With these objectives in mind, the remaining part of this chapter is organised as follows: Section 2 presents the various types of combined HP-ORC systems. Section 3 elaborates the performance results from the configurations in the Section 2. Section 4 presents further thorough on specific design considerations for optimisation purposes found in important works reviewed. Section 5 summarises findings from experimental works. This later section is followed by a brief overview of

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

**Figure 1.** *Schematic of the ORC without (left) and with (right) recuperator.*

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

**Figure 2.** *Schematic of the heat pump.*

*Product Design*

pollutant emissions.

systems. A thermodynamic-based, the organic Rankine cycle (ORC) is a remarkable system that is appropriate for recovering low-temperature heat from different heat sources, such as solar, geothermal or low-grade thermal power sources for cogenerating heat and power. Of noteworthy relevance is its combination with a heat pump (HP), with which it would be able to more efficiently supply heating and cooling, hence decreasing electricity utilisation and generation of

The thermodynamic organic Rankine cycle is characterised as a heat and power generation system, which is labelled as organic due to it utilising working fluids and this allows it to operate at lower temperatures, contrastingly to a steam Rankine cycle. This is positive as it allows the system temperatures to operate efficiently at

**Figure 1** illustrates a typical ORC cycle. Advanced ORC systems can include additional units such as a regenerator and recuperator units or extra heat exchanger/turbine, alike to the assortment of potential components for a steam Rankine cycle. In the evaporator, the heat source transfers heat to the working fluid, which evaporates and is hereafter pressurised. This working fluid is sent to the expander turbine unit, which converts the high-pressure gas to low pressure gas, converting the work produced from this process into electricity. The low-pressure gas moves in the condenser, where surplus heat that has not been converted into electricity is dissipated to the heat sink, raising the heat sink fluid's temperature and condensing the working fluid. Ultimately, a pump is employed for circulating the working fluid flow in the cycle [2, 3]. Detailed

A heat pump has an analogous working operation to that of an organic Rankine cycle, apart from it just supplying heat rather of generating of power. As its name indicates, it finally receives heat from the heat source and transfers it to the heat sink, reducing the heat source temperature and rising the heat sink temperature. A compressor and a throttling valve are employed for aiding drive and enhance the performance of this process, which can, on typical manner, operate in either heating or cooling mode, and this is where both the heat sink and source are interchanged. The efficiency of the heat pump is denoted by its coefficient of performance (COP), defined as the ratio of total heat delivered by the heat pump to the amount of electricity needed to drive the heat pump. An example of the unit's schematic is illustrated in **Figure 2**. One main benefit of this cycle is that it is able of removing heat from a heat source versus a temperature gradient with a

lower temperatures, in this manner permitting small-scale applications.

principle and research works on ORC systems can be found in [2–13].

**132**

**Figure 1.**

*Schematic of the ORC without (left) and with (right) recuperator.*

higher temperature heat sink, enabling it to get to low-grade thermal sources. A heat pump has an assortment of arrangements and configurations available, which are generally out of the extent of this review. Representative heat pumps viable, incorporate a water-source heat pump (WSHP) that include a liquid–liquid heat exchange; a ground-source heat pump (GSHP), and this is fundamentally the same as a WSHP, however the heat source liquid works as a heat transfer medium for geothermal heat exchangers as well; and an air-source heat pump (ASHP) that includes an air-liquid heat exchange, with performance reliant on ambient conditions. Moreover, there are likewise absorption as well as adsorption heat pumps that have increasingly complex operation. For the motivations behind this paper, the heat pump arrangements are optional as against to the overall system arrangement, and thus, will not be examined thoroughly. More detailed works regarding HP systems can be found in [14–29].

In spite of there being various surveys addressing HPs and an ORC system's design, performance and technical-economic studies, there are a lack of reviews focusing on the combined HP and ORC systems for low-temperature and micro co/ trigeneration applications. Hence, building upon and extending the work of the authors [30], the aim of the present chapter is to focus on innovative combination of a HP and ORC for use in buildings. In this overview survey, the potentials and advantages of combined HP-ORC systems will be investigated and discussed.

With these objectives in mind, the remaining part of this chapter is organised as follows: Section 2 presents the various types of combined HP-ORC systems. Section 3 elaborates the performance results from the configurations in the Section 2. Section 4 presents further thorough on specific design considerations for optimisation purposes found in important works reviewed. Section 5 summarises findings from experimental works. This later section is followed by a brief overview of

some studies on the economic analysis. Finally, the main conclusions drawn in this chapter are provided in the last section.

## **2. Types of combined HP-ORC systems**

This section will give a general overview of various types of HP-ORC systems and discuss related works that are resulted with them.

## **2.1 Indirectly-combined HP-ORC system**

These systems are not directly combined, which will be considered later on in this section. Series HP-ORC systems have comparable connection points to those that are directly coupled, however they have an intermediary loop or device amidst them. An illustration here is a gas-engine HP-ORC system that recuperates engine exhaust gas as ORC heat source as shown in **Figure 3** [31].

Parallel systems provide additional versatility in their mode of operation and are appropriate to be better for regions that have varying temperatures during the year. A study by Li et al. [32] summarised a parallel system to deliver heat, heat storage, as well as power for continental climates, with this system displayed in **Figure 4**. This system included an ORC and a HP, both being able to generate sufficient heat for one household during the cold, or heating, season. A ground heat exchanger (GHE) was utilised as thermal storage, being the hot source that the HP extracted heat from during the heating season and the ORC recharged it during the nonheating season annually.

## **2.2 Directly-combined HP-ORC system**

As the name implies, a directly-combined HP-ORC system is one where the same process unit is shared by the separate HP and ORC units. From the literature, which has been analysed, this takes the arrangement of either a common heat exchanger

**135**

**Figure 5.**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

where the process streams transfer energy to each other with one being the heat source and the other functioning as the sink or serving of a coupled expander/ compressor set. An example of the joint heat exchanger HP-ORC system, which was examined by Yu et al. [33] is illustrated in **Figure 5**. The HP unit shares its condenser that is also the evaporator of the ORC. This design is particular where the recovery of waste heat from another process takes place from the ORC evaporator to

The design from Roumpedakis' work [34] takes a very analogous technique, although this system is constructed in the opposed manner, with the sorption HP obtaining waste heat from the ORC and the heat source for the ORC being a solar

A comparable system to the previously mentioned one can be found in a work by Bellos and Tzivanidis [35], where the absorption HP with working fluid LiBr-H2O, harnesses the rejected heat from the ORC that is solar parabolic trough

thermal loop that underwent assessment for Amsterdam and Athens.

*Schematic of the parallel HP-ORC system with GHE thermal storage capability.*

*Schematic of the directly-combined HP-ORC system: (left) HP; (right): ORC.*

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

the HP evaporator and in return to the preheater.

thermal based.

**Figure 4.**

**Figure 3.** *Schematic of the gas engine HP with the ORC unit for exhaust waste heat recovery.*

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

where the process streams transfer energy to each other with one being the heat source and the other functioning as the sink or serving of a coupled expander/ compressor set. An example of the joint heat exchanger HP-ORC system, which was examined by Yu et al. [33] is illustrated in **Figure 5**. The HP unit shares its condenser that is also the evaporator of the ORC. This design is particular where the recovery of waste heat from another process takes place from the ORC evaporator to the HP evaporator and in return to the preheater.

The design from Roumpedakis' work [34] takes a very analogous technique, although this system is constructed in the opposed manner, with the sorption HP obtaining waste heat from the ORC and the heat source for the ORC being a solar thermal loop that underwent assessment for Amsterdam and Athens.

A comparable system to the previously mentioned one can be found in a work by Bellos and Tzivanidis [35], where the absorption HP with working fluid LiBr-H2O, harnesses the rejected heat from the ORC that is solar parabolic trough thermal based.

**Figure 4.**

*Product Design*

chapter are provided in the last section.

**2. Types of combined HP-ORC systems**

**2.1 Indirectly-combined HP-ORC system**

heating season annually.

**2.2 Directly-combined HP-ORC system**

and discuss related works that are resulted with them.

exhaust gas as ORC heat source as shown in **Figure 3** [31].

*Schematic of the gas engine HP with the ORC unit for exhaust waste heat recovery.*

some studies on the economic analysis. Finally, the main conclusions drawn in this

This section will give a general overview of various types of HP-ORC systems

These systems are not directly combined, which will be considered later on in this section. Series HP-ORC systems have comparable connection points to those that are directly coupled, however they have an intermediary loop or device amidst them. An illustration here is a gas-engine HP-ORC system that recuperates engine

Parallel systems provide additional versatility in their mode of operation and are appropriate to be better for regions that have varying temperatures during the year. A study by Li et al. [32] summarised a parallel system to deliver heat, heat storage, as well as power for continental climates, with this system displayed in **Figure 4**. This system included an ORC and a HP, both being able to generate sufficient heat for one household during the cold, or heating, season. A ground heat exchanger (GHE) was utilised as thermal storage, being the hot source that the HP extracted heat from during the heating season and the ORC recharged it during the non-

As the name implies, a directly-combined HP-ORC system is one where the same process unit is shared by the separate HP and ORC units. From the literature, which has been analysed, this takes the arrangement of either a common heat exchanger

**134**

**Figure 3.**

*Schematic of the parallel HP-ORC system with GHE thermal storage capability.*

**Figure 5.** *Schematic of the directly-combined HP-ORC system: (left) HP; (right): ORC.*

## *Product Design*

Research carried out by Mounier [36] investigated ORC-driven HPs also, with the compressor-turbine unit (CTU) being directly coupled the same as the heat exchanger unit shared between the HP and ORC, as depicted in **Figure 6**. A research paper by Collings et al. [37] assessed an identical system with a combined compressor-turbine unit and an air-source HP.

## **2.3 Reversible HP-ORC systems**

A reversible HP-ORC unit is almost identical essentially to a parallel HP-ORC system, where there is versatility within the operations in what is currently performing, except that it integrates the ORC and HP into one unit that can operate in ORC or HP mode conditional on the need. This unit is favourable as it enables for the re-usage of components between these two modes. It additionally makes the use of thermal storage easier, wherein surplus heat can be utilised by the ORC mode to generate electricity with the residual heat stored for use by the HP to utilise for heating as well as hot water intents.

A reversible HP-ORC system has been suggested by Dumont et al. [38, 39], where the reversible unit is coupled with a solar absorber on one side, with the GHE and thermal storage tank being on the other, for ORC mode and HP mode separately. It is interesting to note that this unit moves heat one way, i.e. from the solar-based absorbers toward thermal energy storage. This system additionally gives the ability to the solar powered absorber to directly heat the thermal storage tank in the event that it can give an adequately high temperature; if not, the HP can extract more when necessary.

The system developed by Schimpf and Span [40, 41] was more basic, with the reversible unit being attached to a GHE on one side, and either the solar absorber array or storage tank on the other part as shown in **Figure 7**. In this system, the reversible unit alters path contingent upon the situation, with the ORC mode

## **Figure 6.**

*Schematic of the directly-combined HP-ORC system showing the connected compressor-turbine unit.*

**137**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

transferring heat from the solar panels to the GHE and the HP mode moving heat from the heat exchanger to the storage tank, and in this circumstance, the collector

*Schematic of the reversible HP-ORC system: (left) the HP mode; (right) the ORC mode.*

The following section on how the combined HP-ORC systems perform will go into details about configurations and results including challenges from the same

As seen before, the essential duty of HP and ORC systems are to supply heating and power, with a considerable lot of these systems moreover performing capacities to supply cooling and domestic hot water. Accordingly, the main performance metrics referenced in these works are aimed at accomplishing these purposes.

There are two central methods to move toward such examination; a subsystem perspective wherein the emphasis is on the effectiveness of the HP-ORC itself, or a whole system point of view where the system's whole capacity is investigated, habitually on a yearly basis. The last is explicitly common when the heat sources and heat loads are transient. The main key performance metrics are listed in **Table 1**. Note that this list is not inclusive, rather only typical of commonly applied metrics.

As stated earlier on, these varieties of systems are usually designed for facilitating a greater level of heat recovery from the system, reusing waste heat via processes. In that capacity, numerous systems applicable in this class are from industrial processes and not appropriate for residential utilisation. However, one possibly applicable investigation by Liu et al. [31] recommended a gas engine-powered HP and ORC

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

panels directly heat the storage tank too.

**3. Performance**

**3.1 Key performance metrics**

**3.2 Indirectly-combined series**

literature.

**Figure 7.**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

## **Figure 7.**

*Product Design*

Research carried out by Mounier [36] investigated ORC-driven HPs also, with the compressor-turbine unit (CTU) being directly coupled the same as the heat exchanger unit shared between the HP and ORC, as depicted in **Figure 6**. A research paper by Collings et al. [37] assessed an identical system with a combined

A reversible HP-ORC unit is almost identical essentially to a parallel HP-ORC system, where there is versatility within the operations in what is currently performing, except that it integrates the ORC and HP into one unit that can operate in ORC or HP mode conditional on the need. This unit is favourable as it enables for the re-usage of components between these two modes. It additionally makes the use of thermal storage easier, wherein surplus heat can be utilised by the ORC mode to generate electricity with the residual heat stored for use by the HP to utilise for

A reversible HP-ORC system has been suggested by Dumont et al. [38, 39], where the reversible unit is coupled with a solar absorber on one side, with the GHE and thermal storage tank being on the other, for ORC mode and HP mode separately. It is interesting to note that this unit moves heat one way, i.e. from the solar-based absorbers toward thermal energy storage. This system additionally gives the ability to the solar powered absorber to directly heat the thermal storage tank in the event that it can give an adequately high temperature; if not, the HP can extract

The system developed by Schimpf and Span [40, 41] was more basic, with the reversible unit being attached to a GHE on one side, and either the solar absorber array or storage tank on the other part as shown in **Figure 7**. In this system, the reversible unit alters path contingent upon the situation, with the ORC mode

*Schematic of the directly-combined HP-ORC system showing the connected compressor-turbine unit.*

compressor-turbine unit and an air-source HP.

**2.3 Reversible HP-ORC systems**

heating as well as hot water intents.

more when necessary.

**136**

**Figure 6.**

*Schematic of the reversible HP-ORC system: (left) the HP mode; (right) the ORC mode.*

transferring heat from the solar panels to the GHE and the HP mode moving heat from the heat exchanger to the storage tank, and in this circumstance, the collector panels directly heat the storage tank too.

## **3. Performance**

The following section on how the combined HP-ORC systems perform will go into details about configurations and results including challenges from the same literature.

## **3.1 Key performance metrics**

As seen before, the essential duty of HP and ORC systems are to supply heating and power, with a considerable lot of these systems moreover performing capacities to supply cooling and domestic hot water. Accordingly, the main performance metrics referenced in these works are aimed at accomplishing these purposes.

There are two central methods to move toward such examination; a subsystem perspective wherein the emphasis is on the effectiveness of the HP-ORC itself, or a whole system point of view where the system's whole capacity is investigated, habitually on a yearly basis. The last is explicitly common when the heat sources and heat loads are transient. The main key performance metrics are listed in **Table 1**. Note that this list is not inclusive, rather only typical of commonly applied metrics.

## **3.2 Indirectly-combined series**

As stated earlier on, these varieties of systems are usually designed for facilitating a greater level of heat recovery from the system, reusing waste heat via processes. In that capacity, numerous systems applicable in this class are from industrial processes and not appropriate for residential utilisation. However, one possibly applicable investigation by Liu et al. [31] recommended a gas engine-powered HP and ORC


## **Table 1.**

*Key performance metrics of HP-ORC systems.*

system utilising this waste heat recover as shown in **Figure 3**. Experiments of this system confirmed a waste heat recovery of over 55% and have possibility for residential buildings. The total cooling capacity ran between 25 and 48 kW, expanding with higher gas engine speeds. This setup found that as the water delta temperature varied in the range 11.8–24°C, the heat pump COP expanded, however the COP likewise reduced with higher gas engine speeds, running from an estimation of 6.5–10.

## **3.3 Indirectly-combined parallel**

There are a number of potential designs within the parallel type of HP-ORC systems. Most of these arrangements have the HP and ORC units totally apart from each other, which do provide advantages, however, will not be explored here as they can be treated as separate, unintegrated systems. One exclusive parallel design is where the HP and ORC share the GHE, as represented in **Figure 4** [32]. This ORC,

**139**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

utilising R123 as a working fluid and a flowrate of 0.15 kg/s, generated around 2.1–2.2 kW of electricity, rejecting around 19.4–20 kW for heating. The heat pump

This seems to present further advantages compared to the ground-source HP on its own, through a reduction in power consumption per unit heating area

heating capacity, and balancing for 78.5% of the power utilisation of the HP. This more energetically efficient system was capable to better swap a standard GSHP system, decreasing the operation time of the GSHP whilst preserving sustainable

For the directly-combined series systems, one study observed that for a system

b.the working fluid of the ORC has a slight ratio of latent to sensible heat;

c.poor thermal match between working fluid and waste heat for standalone

Applying these settings and the optimisation of heat exchanger temperatures, their model, with an ORC evaporation temperature of 120°C, an ORC condensation temperature to the HP of 45°C and a HP condensation temperature of 130°C, stated an expansion in net power yield and level of waste heat recuperated by 9.37 and 12.04% individually, when utilising n-Hexane as the HP refrigerant and R600a as the ORC working fluid [33]. This system had a power production of 400–800 kW when considering the working liquid, with waste heat recovery between 7000 and

In a same system utilising solar-based parabolic trough thermal as a heat source for an ORC unit associated with an absorption HP, the greatest power generation attained was 152.1 kW, with the most extreme cooling generation of 465.2 kW. This was accomplished with a working pair of LiBr-H2O, water/steam as the refrigerant, the heat pump absorber and condensers working at 50°C to provide usable heat in a sensible temperature level for space heating or DHW (domestic hot water) outputs, and the HP evaporator working at 10°C to feed the cooling load. The simulation outcomes recommend that the optimal arrangement has an ORC working fluid of toluene, giving heat source temperatures near the extent of 300°C, a greatest exergetic efficiency of 24.66%, pressure ratio of 0.7605 and a heat rejection temperature

A few investigations have called attention to focal points to exploiting this system, explicitly because it enables for efficient operation in both cold and hot climate conditions using the reversible unit and thermal storage, just as diminishing initial capital expenses. One investigation found that contrasted with the HP solar thermal system employed as the reference, reversing the HP into an ORC unit had the option to diminish the net power request of the system by 2–10% [40]. In this

, with the ORC unit supplying 55.6% of the total

supplied 24.9–28.7 kW of heating, spending approximately 6.9 kW.

of this type to be beneficial, some prerequisites are required [33].

a.the evaporation temperature of the ORC is set correctly;

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

kWh/m<sup>2</sup>

ground temperatures that operate in colder climates.

–3.3 \* 102

**3.4 Directly-combined series**

d.the COP of the HP is adequate.

ORC; and

9000 kW.

of 113.7°C [35].

**3.5 Reversible HP-ORC**

of 2.2 \* 103

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

utilising R123 as a working fluid and a flowrate of 0.15 kg/s, generated around 2.1–2.2 kW of electricity, rejecting around 19.4–20 kW for heating. The heat pump supplied 24.9–28.7 kW of heating, spending approximately 6.9 kW.

This seems to present further advantages compared to the ground-source HP on its own, through a reduction in power consumption per unit heating area of 2.2 \* 103 –3.3 \* 102 kWh/m<sup>2</sup> , with the ORC unit supplying 55.6% of the total heating capacity, and balancing for 78.5% of the power utilisation of the HP. This more energetically efficient system was capable to better swap a standard GSHP system, decreasing the operation time of the GSHP whilst preserving sustainable ground temperatures that operate in colder climates.

## **3.4 Directly-combined series**

*Product Design*

only)

**Subsystem metrics** Coefficient of

performance (heat pump

**Whole system metrics**

Net electricity consumption

**Metric name Typical** 

**units**

Thermal efficiency % For heat pump: *nth* = \_

Total heating provided kWh Integral of heat power output Total cooling provided kWh Integral of cooling power output

Total waste heat recovery % *Waste heat recovery* = \_

Exergetic efficiency % *nex* = \_

**Equations**

For cooling: *COP* = \_

*Q <sup>H</sup>* = *heating provided Q <sup>C</sup>* = *cooling provided Wc* = *work consumed*

For ORC: *nth* = \_

*Wp* = *work produced TC* = *heat sink temperature TH* = *heat source temperature*

> *nth nmax* , *nmax* = 1 <sup>−</sup>

Output cooling kW Derivative of cooling provided by subsystem (HP or ORC) to

Output power kW Derivative of work produced by the organic Rankine cycle Output heat kW Derivative of heating provided by subsystem (HP or ORC) to

*Wp QH* 

house or another subsystem

house or another subsystem

kWh Integral of net power generated by system *Net power* = *PORC* − *Pcon PORC* = *Power generated by ORC Pcon* = *Power consumed* (*pumps*,*etc*.)

\_ *TC TH* 

compared to a baseline, divided by the baseline's electricity

compared to a baseline, divided by the baseline's emissions

*QC QH* 

*QH W*

*QC W*

> *COP CO Prev*

 , *CO Prev* = \_ *TH TH* − *TC* 

— For heating: *COP* = \_

**138**

**Table 1.**

**3.3 Indirectly-combined parallel**

*Key performance metrics of HP-ORC systems.*

system utilising this waste heat recover as shown in **Figure 3**. Experiments of this system confirmed a waste heat recovery of over 55% and have possibility for residential buildings. The total cooling capacity ran between 25 and 48 kW, expanding with higher gas engine speeds. This setup found that as the water delta temperature varied in the range 11.8–24°C, the heat pump COP expanded, however the COP likewise reduced with higher gas engine speeds, running from an estimation of 6.5–10.

Reduction in electricity % Difference between electricity consumed by one system

usage Reduction in emissions % Difference between emissions generated by one system

There are a number of potential designs within the parallel type of HP-ORC systems. Most of these arrangements have the HP and ORC units totally apart from each other, which do provide advantages, however, will not be explored here as they can be treated as separate, unintegrated systems. One exclusive parallel design is where the HP and ORC share the GHE, as represented in **Figure 4** [32]. This ORC,

For the directly-combined series systems, one study observed that for a system of this type to be beneficial, some prerequisites are required [33].


d.the COP of the HP is adequate.

Applying these settings and the optimisation of heat exchanger temperatures, their model, with an ORC evaporation temperature of 120°C, an ORC condensation temperature to the HP of 45°C and a HP condensation temperature of 130°C, stated an expansion in net power yield and level of waste heat recuperated by 9.37 and 12.04% individually, when utilising n-Hexane as the HP refrigerant and R600a as the ORC working fluid [33]. This system had a power production of 400–800 kW when considering the working liquid, with waste heat recovery between 7000 and 9000 kW.

In a same system utilising solar-based parabolic trough thermal as a heat source for an ORC unit associated with an absorption HP, the greatest power generation attained was 152.1 kW, with the most extreme cooling generation of 465.2 kW. This was accomplished with a working pair of LiBr-H2O, water/steam as the refrigerant, the heat pump absorber and condensers working at 50°C to provide usable heat in a sensible temperature level for space heating or DHW (domestic hot water) outputs, and the HP evaporator working at 10°C to feed the cooling load. The simulation outcomes recommend that the optimal arrangement has an ORC working fluid of toluene, giving heat source temperatures near the extent of 300°C, a greatest exergetic efficiency of 24.66%, pressure ratio of 0.7605 and a heat rejection temperature of 113.7°C [35].

## **3.5 Reversible HP-ORC**

A few investigations have called attention to focal points to exploiting this system, explicitly because it enables for efficient operation in both cold and hot climate conditions using the reversible unit and thermal storage, just as diminishing initial capital expenses. One investigation found that contrasted with the HP solar thermal system employed as the reference, reversing the HP into an ORC unit had the option to diminish the net power request of the system by 2–10% [40]. In this

configuration, the ORC mode, with a working fluid of R134a, produced a daily total of between 43.3 and 145.6 kWh, contingent upon the area for solar thermal and the collector type. This production and resulting decrease in net power demand was assisted with the heat pump power between 4.58 and 6.49 kW, 0.2 m3 of hot temperature water demanded at 45°C and a tank volume of 0.9 m3 .

Another model made established that in winter, the HP spent 17.28 kWh every day with a daily mean COP of 4.1 and throughout the summer, the ORC mode had a 5.5% effectiveness, attaining a peak power of 3.28 kW and producing 23.9 kWh the day it was attained [41]. The main difficulty of this recommended system is choosing the optimal control strategy and decreasing the overall thermal system loss as there are a couple of loss situations that ought to be reduced properly. For example, if the solar loop fluid temperature is adequately high, it may not be viable transmitting it for heating in the mid-year/summer since the house and storage are both at temperature; here the energy will rather be lost. As will be discussed in a later section, trial results founded on these designs are encouraging, showing results fundamentally the same as those simulated.

## **4. Design optimisation**

This section will focus on elements for optimising the overall architecture of the combined energy systems, by considering HP and ORC components design, selection of working fluids, control strategies, and operating temperatures, and managing more variable seasonal temperatures.

## **4.1 HP and ORC components**

From the viewpoint of single system and component optimisation, there are many studies concentrating on HPs or ORCs individually. Because of this, the extent of this section will be abridged where doable to considering studies including components in the framework of integrating HP and ORC into an overall combined heating and power system and their design concerns.

## *4.1.1 Heat source and sink selections*

The differences in temperature between each evaporator and condenser pair is a significant factor in the effectiveness of individual cycle, because it closely influences the notional maximum generation and COP. Unfavourably, because of the residential or commercial uses of these systems, the accessible heat sources are habitually lower temperature, which implies the conceivable temperature differential and resulting effectiveness will be smaller. There are different strategies to enhance or optimise the temperature differential, which will be examined beneath.

For a HP-ORC system combined at the HP condenser/ORC evaporator, a work process to upgrade the working states of the combined system was made [33]. This involves adjusting the combined heat exchanger temperature and computing the other temperatures appropriately, diminishing the combined heat exchanger temperature until it either supplies an acceptable measure of waste heat recovery and expands the net power, or it is anything, but a productive combination. This operating procedure proposes that a diminished coupled heat exchanger temperature will expand the quantity of waste heat recuperated yet may not definitely influence the net power yield, which relies to a great extent upon the optimal or accessible heat source temperature.

**141**

**Figure 8.**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

For the directly combined compressor-turbine unit design, one investigation established that at a hot source temperature of 120°C, the maximum COP attainable by the comparing HP-ORC framework is 1.66 [36]. For a hot source temperature of 180°C, the maximum COP attainable by this HP-ORC system is above 1.8, with exergetic efficiencies in surplus of half. This analogous analysis concluded that overall, the conventional sorption systems, for example, the single effect absorption HP, function well at low heat source temperatures under 120°C, whereas these rotor-coupled HP-ORC systems function greater at temperatures above 150°C. While working fluids will be examined in a subsequent section, it should be pointed out that a working fluid that is chosen for use in the system should correspond to the mix of source and sink temperatures for better thermodynamic

The configuration of the system will aid prescribe the temperature differentials.

Combustion heat sources, for example, natural gas and diesel, can normally give greater temperatures yet at a greater emissions generation. These emissions can be mostly decreased by the utilisation of biomass as alternative fuel. Moreover, the dissipated heat from these heat sources can be partly recuperated for additional heat transfer uses in the system as displayed in **Figure 3** [31]. Thus, to the exhaust heat from conventional fuels, the exhaust heat from a SOFC (solid-state fuel cell) can be recovered in a HP-ORC system as the heat source as was investigated in [42] and shown in **Figure 8**, giving a 3–25% increase on exergy efficiency contrasted with

One possibility to additionally decrease emissions in comparison with combustion heat sources is via further renewable sources. Aside from electrically heated heat sources, which would have the option to consume power from the grid or nearby sustainable sources, both geothermal and solar thermal alternatives are frequently utilised to give a heat source, taking into consideration a progressively environmental activity, generally speaking. There are a broad assortment of designs

*Schematic flow diagram of the ORC-driven absorption HP system driven by waste heat from a SOFC.*

Specifically, appropriate choice of a heat source is significant for defining the conceivable temperature from it, and will probably guide the configuration of the

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

the SOFC power cycle, as it stood alone.

maximisation.

whole system.

## *Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

For the directly combined compressor-turbine unit design, one investigation established that at a hot source temperature of 120°C, the maximum COP attainable by the comparing HP-ORC framework is 1.66 [36]. For a hot source temperature of 180°C, the maximum COP attainable by this HP-ORC system is above 1.8, with exergetic efficiencies in surplus of half. This analogous analysis concluded that overall, the conventional sorption systems, for example, the single effect absorption HP, function well at low heat source temperatures under 120°C, whereas these rotor-coupled HP-ORC systems function greater at temperatures above 150°C.

While working fluids will be examined in a subsequent section, it should be pointed out that a working fluid that is chosen for use in the system should correspond to the mix of source and sink temperatures for better thermodynamic maximisation.

The configuration of the system will aid prescribe the temperature differentials. Specifically, appropriate choice of a heat source is significant for defining the conceivable temperature from it, and will probably guide the configuration of the whole system.

Combustion heat sources, for example, natural gas and diesel, can normally give greater temperatures yet at a greater emissions generation. These emissions can be mostly decreased by the utilisation of biomass as alternative fuel. Moreover, the dissipated heat from these heat sources can be partly recuperated for additional heat transfer uses in the system as displayed in **Figure 3** [31]. Thus, to the exhaust heat from conventional fuels, the exhaust heat from a SOFC (solid-state fuel cell) can be recovered in a HP-ORC system as the heat source as was investigated in [42] and shown in **Figure 8**, giving a 3–25% increase on exergy efficiency contrasted with the SOFC power cycle, as it stood alone.

One possibility to additionally decrease emissions in comparison with combustion heat sources is via further renewable sources. Aside from electrically heated heat sources, which would have the option to consume power from the grid or nearby sustainable sources, both geothermal and solar thermal alternatives are frequently utilised to give a heat source, taking into consideration a progressively environmental activity, generally speaking. There are a broad assortment of designs

### **Figure 8.** *Schematic flow diagram of the ORC-driven absorption HP system driven by waste heat from a SOFC.*

*Product Design*

configuration, the ORC mode, with a working fluid of R134a, produced a daily total of between 43.3 and 145.6 kWh, contingent upon the area for solar thermal and the collector type. This production and resulting decrease in net power demand was

Another model made established that in winter, the HP spent 17.28 kWh every day with a daily mean COP of 4.1 and throughout the summer, the ORC mode had a 5.5% effectiveness, attaining a peak power of 3.28 kW and producing 23.9 kWh the day it was attained [41]. The main difficulty of this recommended system is choosing the optimal control strategy and decreasing the overall thermal system loss as there are a couple of loss situations that ought to be reduced properly. For example, if the solar loop fluid temperature is adequately high, it may not be viable transmitting it for heating in the mid-year/summer since the house and storage are both at temperature; here the energy will rather be lost. As will be discussed in a later section, trial results founded on these designs are encouraging, showing results

This section will focus on elements for optimising the overall architecture of the combined energy systems, by considering HP and ORC components design, selection of working fluids, control strategies, and operating temperatures, and

From the viewpoint of single system and component optimisation, there are many studies concentrating on HPs or ORCs individually. Because of this, the extent of this section will be abridged where doable to considering studies including components in the framework of integrating HP and ORC into an overall combined

The differences in temperature between each evaporator and condenser pair is a significant factor in the effectiveness of individual cycle, because it closely influences the notional maximum generation and COP. Unfavourably, because of the residential or commercial uses of these systems, the accessible heat sources are habitually lower temperature, which implies the conceivable temperature differential and resulting effectiveness will be smaller. There are different strategies to enhance or optimise the temperature differential, which will be examined

For a HP-ORC system combined at the HP condenser/ORC evaporator, a work process to upgrade the working states of the combined system was made [33]. This involves adjusting the combined heat exchanger temperature and computing the other temperatures appropriately, diminishing the combined heat exchanger temperature until it either supplies an acceptable measure of waste heat recovery and expands the net power, or it is anything, but a productive combination. This operating procedure proposes that a diminished coupled heat exchanger temperature will expand the quantity of waste heat recuperated yet may not definitely influence the net power yield, which relies to a great extent upon the optimal or accessible heat

of hot tem-

.

assisted with the heat pump power between 4.58 and 6.49 kW, 0.2 m3

perature water demanded at 45°C and a tank volume of 0.9 m3

fundamentally the same as those simulated.

managing more variable seasonal temperatures.

heating and power system and their design concerns.

**4. Design optimisation**

**4.1 HP and ORC components**

*4.1.1 Heat source and sink selections*

**140**

source temperature.

beneath.

for both of these sources that will not be explored in the extent of this chapter, yet they eventually both go about as heat exchangers for a working fluid experiencing their piping components. Aside from the regional climate conditions, the design of the solar thermal collectors for the most part prescribe the workable heat transfer attainable, with further complex as well as costly designs allowing higher temperatures. Because of their sporadic use, solar thermal heat sources frequently involve an intermediate storage between the ORC-HP circuit and the solar thermal collectors, and may additionally require optional heating capacities if the collectors are not adequate for dependable function.

A number of systems exploit certain type of thermal storage, both for keeping up a required heat source or sink temperature and for saving surplus heat. One basic design is a liquid storage tank, which, if the liquid is water, has the additional capacity of giving residential hot water also. An investigation operating a reversible HP-ORC unit found that for sizing this water storage tank, with estimated temperature extends between 100 and 150°C, the required ORC power yield and release period had a definite correlation to the size of the storage tank, with the temperature differential, examined above, showing an opposite relationship to it [43].

Small-scale geothermal units have, for the most part, lower temperatures by design and as such needs a HP to separate the accessible heat. Even though it is accessible dependably, over the lifespan of the system, the quality of this source will deteriorate when more heat is removed. So to alleviate this, it is conceivable to utilise a geothermal heat exchanger as a type of thermal storage in situations when the heat at a given instant is not essential for the consumer, recovering the geothermal heat source.

This technique was applied in the parallel framework displayed in **Figure 4**. It was discovered that the recharging of the GHE by the ORC had advantages for the complete system when contrasted with just the ground-source HP system, keeping up a greater yearly average COP of 3.8 instead of 3.7 to 3.2 in 20 years, and an 85% decrease in total power utilisation [32].

## *4.1.2 Expander/compressor units*

One exclusive arrangement of this component can be found when the compressor of a HP and expander of the ORC are directly combined across their rotor. This provides the capacity of directly exploiting the mechanical energy from the ORC to power the compression in the HP, in spite of the fact that it represents some mechanical difficulties and involves the two units to be working reliably and dependably for suitable application. The most crucial piece of this system is the turbomachinery, which, in one investigation, when it was enhanced, provided efficiencies in surplus of 60%, a 20 point effectiveness increase compared to their proof of concept, featuring the requirement to limit fluid leak and turbomachinery tip clearances during the fabrication [36]. This work proposed a maximum HP COP amount of 1.8, and for the overall system, had 40 kW heating capacity.

Another research utilising this expander/compressor unit found that a fuelto-usable heat efficiency of 136–160% was attained, with the HP COP extending between 2.8 and 5.5 [37]. This investigation employed the condensers of the two units to heat up water for household hot water production with the ASHP rising the water temperature to 25–30°C, the ORC condenser expanding it up to 55°C and the exhaust gas from the natural gas combustion for the ORC evaporator expanding the water temperature to 60°C for use in DHW application. The natural gas combustion rises the ORC working fluid evaporator inlet temperature to 200°C, bringing about an ORC efficiency of 20%. Below 5°C of ambient air temperature, 3.9 kW of energy was generated from the ORC to water, compared with 3.8 kW heating from the HP.

**143**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

Another type of this unit is as a reversible compressor/expander that can work in either way in the event that HP mode or ORC mode is required. One investigation that attempted an assortment of small-scale below <5 kW, expander/compressor units observed that while the biggest isentropic effectiveness was 81% for the scroll expander, compared with 53% for the piston and screw expanders, the mechanical restrictions and working settings are essential for choosing the unit suitable for the application, and recommended an approach to precisely design these units [44].

The selection of working fluid is significant as it directly influences the thermal

So also, the trade-off can likewise be between technical and environmental performances. Similar to the case with testing of a gas-driven HP-ORC system, where R123 generated the greatest thermal efficiency and energy efficiency of 11.84 and 54.24%, while trials of R245fa generated lower amounts of 11.42 and 52.25%, however showed lower ozone depletion potential and global warming potentials [31]. It ought to be noticed that the combination of an ejector directly into the evaporator subsystem of an ORC can possibly enhance the thermal performance of the whole system via efficient usage of working fluid phase transition [47–50]. In reference to **Figure 9**, a model of this system found that the cycle can generate 10.78% more

Mixtures of working fluids can enhance the heat transfer capacities in a heat exchanger by giving a more thermodynamically efficient temperature glide, which can possibly intensify the power production and heat recuperation just as at the same time decreasing expenses and ecological effect contrasted with the more

There are various advantages to working with zeotropic mixtures of dry and wet working fluids, as exhibited by a modelling and simulation study by Zhu et al. [51], which found that inside an ORC combined with an ejector and HP, these blends brought about a higher temperature glide, power effectiveness, cooling efficiency and coefficient of performance. Worth mentioning was R141b/R134a (55:45), R123/ R152a (85:15), and R141b/R152a (80:20), which had, individually, the most power yield with a greatest power efficiency of 6%, the most elevated cooling impact with a maximum cooling efficiency of 20.3%, and the maximum COP of 1.18. An evaluation of the relative net power output of working fluid mixtures compared to the best pure working fluids indicate that the potential rise from simulation, ranges from 2.56 to 13.6% relying upon the approach utilised to evaluate this enhancement [52]. It likewise proposed that if big heat exchangers are possible to utilise, the benefits of

Furthermore, mixtures of working fluids can be finely adjusted in climatereliant systems in accordance on the optimal composition for thermodynamic enhancement. A new investigation of an ORC system with composition modification capabilities, has demonstrated this capacity to upgrade the working fluid

specificities of the system, for this reason it should be appropriately matched with the required functioning conditions. Working fluid selection is reliant to system arrangement and component sizing. One investigation testing the impact of working fluid choice on system performance concluded that working fluids that have greater decomposition temperatures have greater fuel-to-heat efficiency [45]. Frequently, there are a few working fluids that are comparable in performance of the system. Thus, some compromises must be done. For a rotor-coupled HP-ORC system, one research found that R134a and R152a were the ideal working fluids for this system, with the best selection eventually being an accommodation between

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

**4.2 Working fluids selection**

the COP and capital expenses [46].

power, and recover 19.04% more heat from the system [50].

costly or higher effect fluid in the mixture.

mixtures will be further obvious.

Another type of this unit is as a reversible compressor/expander that can work in either way in the event that HP mode or ORC mode is required. One investigation that attempted an assortment of small-scale below <5 kW, expander/compressor units observed that while the biggest isentropic effectiveness was 81% for the scroll expander, compared with 53% for the piston and screw expanders, the mechanical restrictions and working settings are essential for choosing the unit suitable for the application, and recommended an approach to precisely design these units [44].

## **4.2 Working fluids selection**

*Product Design*

mal heat source.

not adequate for dependable function.

decrease in total power utilisation [32].

*4.1.2 Expander/compressor units*

for both of these sources that will not be explored in the extent of this chapter, yet they eventually both go about as heat exchangers for a working fluid experiencing their piping components. Aside from the regional climate conditions, the design of the solar thermal collectors for the most part prescribe the workable heat transfer attainable, with further complex as well as costly designs allowing higher temperatures. Because of their sporadic use, solar thermal heat sources frequently involve an intermediate storage between the ORC-HP circuit and the solar thermal collectors, and may additionally require optional heating capacities if the collectors are

A number of systems exploit certain type of thermal storage, both for keeping up a required heat source or sink temperature and for saving surplus heat. One basic design is a liquid storage tank, which, if the liquid is water, has the additional capacity of giving residential hot water also. An investigation operating a reversible HP-ORC unit found that for sizing this water storage tank, with estimated temperature extends between 100 and 150°C, the required ORC power yield and release period had a definite correlation to the size of the storage tank, with the temperature differential, examined above, showing an opposite relationship to it [43]. Small-scale geothermal units have, for the most part, lower temperatures by design and as such needs a HP to separate the accessible heat. Even though it is accessible dependably, over the lifespan of the system, the quality of this source will deteriorate when more heat is removed. So to alleviate this, it is conceivable to utilise a geothermal heat exchanger as a type of thermal storage in situations when the heat at a given instant is not essential for the consumer, recovering the geother-

This technique was applied in the parallel framework displayed in **Figure 4**. It was discovered that the recharging of the GHE by the ORC had advantages for the complete system when contrasted with just the ground-source HP system, keeping up a greater yearly average COP of 3.8 instead of 3.7 to 3.2 in 20 years, and an 85%

One exclusive arrangement of this component can be found when the compres-

sor of a HP and expander of the ORC are directly combined across their rotor. This provides the capacity of directly exploiting the mechanical energy from the ORC to power the compression in the HP, in spite of the fact that it represents some mechanical difficulties and involves the two units to be working reliably and dependably for suitable application. The most crucial piece of this system is the turbomachinery, which, in one investigation, when it was enhanced, provided efficiencies in surplus of 60%, a 20 point effectiveness increase compared to their proof of concept, featuring the requirement to limit fluid leak and turbomachinery tip clearances during the fabrication [36]. This work proposed a maximum HP COP

amount of 1.8, and for the overall system, had 40 kW heating capacity.

Another research utilising this expander/compressor unit found that a fuelto-usable heat efficiency of 136–160% was attained, with the HP COP extending between 2.8 and 5.5 [37]. This investigation employed the condensers of the two units to heat up water for household hot water production with the ASHP rising the water temperature to 25–30°C, the ORC condenser expanding it up to 55°C and the exhaust gas from the natural gas combustion for the ORC evaporator expanding the water temperature to 60°C for use in DHW application. The natural gas combustion rises the ORC working fluid evaporator inlet temperature to 200°C, bringing about an ORC efficiency of 20%. Below 5°C of ambient air temperature, 3.9 kW of energy was generated from the ORC to water, compared with 3.8 kW heating from the HP.

**142**

The selection of working fluid is significant as it directly influences the thermal specificities of the system, for this reason it should be appropriately matched with the required functioning conditions. Working fluid selection is reliant to system arrangement and component sizing. One investigation testing the impact of working fluid choice on system performance concluded that working fluids that have greater decomposition temperatures have greater fuel-to-heat efficiency [45]. Frequently, there are a few working fluids that are comparable in performance of the system. Thus, some compromises must be done. For a rotor-coupled HP-ORC system, one research found that R134a and R152a were the ideal working fluids for this system, with the best selection eventually being an accommodation between the COP and capital expenses [46].

So also, the trade-off can likewise be between technical and environmental performances. Similar to the case with testing of a gas-driven HP-ORC system, where R123 generated the greatest thermal efficiency and energy efficiency of 11.84 and 54.24%, while trials of R245fa generated lower amounts of 11.42 and 52.25%, however showed lower ozone depletion potential and global warming potentials [31]. It ought to be noticed that the combination of an ejector directly into the evaporator subsystem of an ORC can possibly enhance the thermal performance of the whole system via efficient usage of working fluid phase transition [47–50]. In reference to **Figure 9**, a model of this system found that the cycle can generate 10.78% more power, and recover 19.04% more heat from the system [50].

Mixtures of working fluids can enhance the heat transfer capacities in a heat exchanger by giving a more thermodynamically efficient temperature glide, which can possibly intensify the power production and heat recuperation just as at the same time decreasing expenses and ecological effect contrasted with the more costly or higher effect fluid in the mixture.

There are various advantages to working with zeotropic mixtures of dry and wet working fluids, as exhibited by a modelling and simulation study by Zhu et al. [51], which found that inside an ORC combined with an ejector and HP, these blends brought about a higher temperature glide, power effectiveness, cooling efficiency and coefficient of performance. Worth mentioning was R141b/R134a (55:45), R123/ R152a (85:15), and R141b/R152a (80:20), which had, individually, the most power yield with a greatest power efficiency of 6%, the most elevated cooling impact with a maximum cooling efficiency of 20.3%, and the maximum COP of 1.18. An evaluation of the relative net power output of working fluid mixtures compared to the best pure working fluids indicate that the potential rise from simulation, ranges from 2.56 to 13.6% relying upon the approach utilised to evaluate this enhancement [52]. It likewise proposed that if big heat exchangers are possible to utilise, the benefits of mixtures will be further obvious.

Furthermore, mixtures of working fluids can be finely adjusted in climatereliant systems in accordance on the optimal composition for thermodynamic enhancement. A new investigation of an ORC system with composition modification capabilities, has demonstrated this capacity to upgrade the working fluid

**Figure 9.**

*Schematic diagram of the coupled ejector-ORC. AE: adaptive heat exchanger; HTE: high-temperature heat exchanger; G: generator; LTE: low-temperature heat exchanger; SUP: super heater; cs: cold source; hs: hot source.*

composition to best suit surrounding conditions, providing an improvement of yearly mean thermal efficiency by up to 23% over a traditional ORC at a heat source temperature of 100°C, at a rise in capital expense of under 7%, overall proposing smaller reimbursement terms, particularly in areas with big air temperature variances amongst winter and summer periods [53].

## **4.3 Control strategies**

A rise in convolution of a combined HP-ORC system usually requires several control strategies for appropriate arrangements of components and process flow layouts. These control strategies are commonly consisted of thermocouples to check temperature at various positions in the system, choosing the optimal arrangement of components dependent on thermal accessibility and requirement. A variant of this can be found in the system delineated by **Figure 4** where a duty cycle controls when it is supposed the heating season, when the red stream channels are operating, and non-heating season, when the green streams are effective [32]. During the heating season, a basic differential temperature controller controls if the HP is on or off.

Additionally, the reversible system displayed in **Figure 7** exploit both solar thermal and ground-source HP to expand the temperature in a thermal storage tank. When the tank attains the required temperature, any surplus solar energy is transferred to the now-reversed HP in ORC mode, where it is consumed to generate power and recharge the GHE [40, 41].

While most of systems considered apply the temperature monitoring to recommend system arrangement and system conditions, there are a couple of works that have tried further innovative control. One investigation examined the impacts strategies, for example, better space heating control when household hot water is needed, and the monitoring of occupancy to adjust set point temperatures, and at

**145**

design [31].

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

last established that they are typically beneficial in enhancing thermal and electrical efficiency and decreasing friction on the system parts [54]. Nonetheless, it was noticed that their exploitation and viability do differ dependent on the building properties and occupant schedule, and ought to be applied with attention.

Generally, if there were slight difference in the climate, both hot and cold temperature areas would not have to modify their combined HP-ORC system arrangement to satisfy seasonal conditions. Unfavourably, in areas that have much changeable climate (akin to a lot of Canada with cold winters and hot summers), seasonal prerequisites would prescribe an adjustment in the HP-ORC system

arrangement. Therefore, both reversible HP-ORC systems and parallel units are best alternatives, as the adaptability in these systems take into account such modifications in arrangement, permitting indoor temperatures to be kept up during the time

A significant number of these suitable systems have been surveyed in earlier sections, and will just be referenced here. One investigation demonstrated an ORC with working fluid composition fine-tuning, permitting the system to be thermodynamically maximised dependent on the climate conditions [53]. A parallel system was simulated in an area of China with comparable temperature variances to Ottawa, Ontario, and incorporated a GHE thermal storage with recharging options within its design and control strategy [32]. At last, while not expressly examined in reference to big temperature differences, the investigations with reversible HP-ORC systems address the theme indirectly by their but milder areas of Belgium, Denmark

Most of the studies done on these combined systems has been carried out by means of modelling and simulation studies, for example, the ones considered previously. Generally, this is reasonable, since several of the separable components in the system have validated models to achieve a specific understanding of the system dynamics and viability. There have been a couple of proofs of concept for a combined HP-ORC framework. While it will not be provided directly, individual ORC systems have been investigated, validating past thermodynamic models compared to experimental ORC designs, for example, ORCmKit [55]. As ORC units are generally more recent products, the assembling and configuration needed will probably bring about some intrinsic changeability in results compared with the models. Even though the performance outcomes were before addressed in detail, the work with gas engine-driven HP and ORC heat recovery unit introduced results on a test rig of the system, developing their thermodynamic model of the ORC. For their model of the system, it was discovered that the greatest uncertainty for cooling capacity was 1.23%, gas engine energy consumption was 0.57%, waste heat was 2.11%, COP was 3.42% and primary energy ratio was 3.56%, all proposing a reasonably high conformity amongst their created models and the experimental

For the heat exchanger-combined HP-ORC unit, when contrasting their created models to proof of concept experimental data, it was revealed that their proof of concept has a 30% lesser COP and 43% greater expenses than simulated, recommending that these losses are because of not well optimised compressor-turbine units and heat exchangers and can be improved essentially with appropriate refinement [36].

using thermal storage, and efficient component control.

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

**4.4 Variable weather effect**

and Germany [40, 41, 43, 44].

**5. Experimental studies**

last established that they are typically beneficial in enhancing thermal and electrical efficiency and decreasing friction on the system parts [54]. Nonetheless, it was noticed that their exploitation and viability do differ dependent on the building properties and occupant schedule, and ought to be applied with attention.

## **4.4 Variable weather effect**

*Product Design*

composition to best suit surrounding conditions, providing an improvement of yearly mean thermal efficiency by up to 23% over a traditional ORC at a heat source temperature of 100°C, at a rise in capital expense of under 7%, overall proposing smaller reimbursement terms, particularly in areas with big air temperature vari-

*Schematic diagram of the coupled ejector-ORC. AE: adaptive heat exchanger; HTE: high-temperature heat exchanger; G: generator; LTE: low-temperature heat exchanger; SUP: super heater; cs: cold source; hs: hot* 

A rise in convolution of a combined HP-ORC system usually requires several

Additionally, the reversible system displayed in **Figure 7** exploit both solar thermal and ground-source HP to expand the temperature in a thermal storage tank. When the tank attains the required temperature, any surplus solar energy is transferred to the now-reversed HP in ORC mode, where it is consumed to generate

While most of systems considered apply the temperature monitoring to recommend system arrangement and system conditions, there are a couple of works that have tried further innovative control. One investigation examined the impacts strategies, for example, better space heating control when household hot water is needed, and the monitoring of occupancy to adjust set point temperatures, and at

control strategies for appropriate arrangements of components and process flow layouts. These control strategies are commonly consisted of thermocouples to check temperature at various positions in the system, choosing the optimal arrangement of components dependent on thermal accessibility and requirement. A variant of this can be found in the system delineated by **Figure 4** where a duty cycle controls when it is supposed the heating season, when the red stream channels are operating, and non-heating season, when the green streams are effective [32]. During the heating season, a basic differential temperature controller controls

ances amongst winter and summer periods [53].

**4.3 Control strategies**

**Figure 9.**

*source.*

if the HP is on or off.

power and recharge the GHE [40, 41].

**144**

Generally, if there were slight difference in the climate, both hot and cold temperature areas would not have to modify their combined HP-ORC system arrangement to satisfy seasonal conditions. Unfavourably, in areas that have much changeable climate (akin to a lot of Canada with cold winters and hot summers), seasonal prerequisites would prescribe an adjustment in the HP-ORC system arrangement. Therefore, both reversible HP-ORC systems and parallel units are best alternatives, as the adaptability in these systems take into account such modifications in arrangement, permitting indoor temperatures to be kept up during the time using thermal storage, and efficient component control.

A significant number of these suitable systems have been surveyed in earlier sections, and will just be referenced here. One investigation demonstrated an ORC with working fluid composition fine-tuning, permitting the system to be thermodynamically maximised dependent on the climate conditions [53]. A parallel system was simulated in an area of China with comparable temperature variances to Ottawa, Ontario, and incorporated a GHE thermal storage with recharging options within its design and control strategy [32]. At last, while not expressly examined in reference to big temperature differences, the investigations with reversible HP-ORC systems address the theme indirectly by their but milder areas of Belgium, Denmark and Germany [40, 41, 43, 44].

## **5. Experimental studies**

Most of the studies done on these combined systems has been carried out by means of modelling and simulation studies, for example, the ones considered previously. Generally, this is reasonable, since several of the separable components in the system have validated models to achieve a specific understanding of the system dynamics and viability. There have been a couple of proofs of concept for a combined HP-ORC framework. While it will not be provided directly, individual ORC systems have been investigated, validating past thermodynamic models compared to experimental ORC designs, for example, ORCmKit [55]. As ORC units are generally more recent products, the assembling and configuration needed will probably bring about some intrinsic changeability in results compared with the models.

Even though the performance outcomes were before addressed in detail, the work with gas engine-driven HP and ORC heat recovery unit introduced results on a test rig of the system, developing their thermodynamic model of the ORC. For their model of the system, it was discovered that the greatest uncertainty for cooling capacity was 1.23%, gas engine energy consumption was 0.57%, waste heat was 2.11%, COP was 3.42% and primary energy ratio was 3.56%, all proposing a reasonably high conformity amongst their created models and the experimental design [31].

For the heat exchanger-combined HP-ORC unit, when contrasting their created models to proof of concept experimental data, it was revealed that their proof of concept has a 30% lesser COP and 43% greater expenses than simulated, recommending that these losses are because of not well optimised compressor-turbine units and heat exchangers and can be improved essentially with appropriate refinement [36].

While there have been works trying separate HPs or ORCs, an investigation regarding the reversible HP-ORC system analysed the experimental results from the system, finding different items for real application. This study established that a cycle efficiency of 4.2% is accomplished in ORC mode, from condensation and evaporation temperatures of 25 and 88°C individually, and a COP of 3.1 being acquired in HP mode from condensation and evaporation temperatures of 61 and 21°C, respectively, demonstrating the viability of the concept [38]. One cause of efficiency loss happened at the expander/compressor, as it was not at first geometrically intended for reversible application.

## **5.1 Experimental works**

For model development, validation, and component optimisation intents, it is usual to disconnect or apart a subsystem to assist assessing its viability and use in the more extensive system preceding any bigger scale testing or demonstration. For these separate subsystems, a method known as the reconciliation method can be applied, which means to characterise the most likely physical condition of a system and modify every estimation as much as possible through information on its precision, duplications, restrictions, and solving mass and energy balances [56]. Through this investigation, exploiting this technique when implemented to a reversible HP-ORC unit allowed further effective data collection and validation, decreasing the error for example in the situation of the pinch-point calculation of an evaporator where its normalised root mean square deviation was diminished from 14.3 to 4.1%.

## **5.2 Deployment**

There has not been any associated cases of combined HP-ORC systems beyond experimental facilities for building applications. From the past modelling and experimental studies, in any case, there are an assortment of concerns that ought to be examined once demonstrating these systems. One of these matters is the relative novelty of ORC units. These units, particularly at a small and micro scale, have not generally been adequately optimised in real-word use, and there is lesser data about it contrasted with well-known systems. This will in general reduce the possible advantages and rise the whole prices owing partly to maintenance necessities.

Another huge concern is the territorial changeability in climate and temperature. All together for the system to be monetarily attainable, the system must be designed explicitly to suit the consumers' requirements and application needs, which will be affected by the climate existent in the area. There must likewise be an assurance on what capacities are wanted such as cooling, heating, domestic hot water, power, which will likewise determine the arrangement of the system.

## **6. Economic analysis**

For economic analysis, the basic equations applied are from standard engineering economics. In HP-ORC projects, the determinants of costs comprise of the underlying initial capital for buying the equipment, the net power consumption, and the related overhaul and maintenance necessities. In light of these qualities, the yearly prices and savings can be viably decided, taking into consideration an income investigation, evaluation of return and also financial viability. These outcomes enable for concrete examination between potential systems.

**147**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

Numerous numbers of the studies realised concerning combined HP-ORC systems cover some financial analysis. Because of the intermittence of heating and power options, it is challenging to assess undeviating comparison amongst them accordingly. In contrast with a solar thermal system combined to a ground-source HP, one investigation assessed that the adaptation of this system to a reversible HP-ORC system for a residential system would just cost roughly \$600, and following 20 years of utilisation, presents benefits of \$230 in Ankara and \$110 in Denver [40, 41]. Moreover, it recommends that the primary factors for the viability of the system is the area, especially continental climate conditions, in addition to components and pump expenses, including the working fluid choosing, which the pump is

In view of the reversible HP-ORC system designed by Dumont [44], a comparison of this system with the further developed HP and PV (photovoltaic) system, indicates that as a whole, the reversible system is fewer beneficial, albeit an expansion in heat demand for heating or domestic hot water, can possibly enhance the effectiveness of the reversible system over that of the HP and PV system. This is additionally established from temperature areas with similarly lower temperature deviations. It prescribes further investigation is performed to ascertain where the reversible system is financially cost-effective against the HP and PV system. A few models created stated reimbursement periods for the PV-ORC-chiller arrangement to be 9 years and 6.5 years in Amsterdam and Athens, individually, and for the combined solar thermal-ORC-chiller to have return periods of 16.5 years and 49.5 years in similar areas [34]. Likewise, the greatest exergy efficiency of the described models, for the PV case is 2 and 6%, while the solar thermal case is 18 and 37%. The sensitivity analysis performed with this work disclosed that if the energy cost increments by 10%, this could decrease the return period by 12.9–15.0%,

As shown, a portion of the bigger causes of changeability amongst implementation, are the power costs and areas climate, with the whole system design at last being advised by these factors. Improvement of this system will have some effect on the financial viability, albeit such changes ought to be assessed cautiously to guar-

In conclusion, the combination of HP and ORC units have capacity for more energy efficiencies in various configurations. This survey provided some innovative concepts and designs to aid in prospect modelling and experimental studies alike,

• For improving the heat transfer, it is suggested to emphasise on maximising the temperature differential between the heat source and heat sink, similarly as suitably adjusting a working fluid for the specified ranges. Accounts of the heat sources and comprising thermal storage will be truly efficient at enhancing

• Designs should be selected reliant on what is required from the system. Changing climate conditions across countries such as Canada, would need a variety of heating, cooling, and domestic hot water demands, in addition to being a concern itself for selection of heat sources, such as from air-source and ground-source HPs to solar thermal collectors. Some designs and arrangements are just applicable for particular ambient air temperatures or weather

pinpointing various issues of more research. The main matters are:

besides it is the best effective factor on the financial outputs.

antee some profit is achieved.

**7. Conclusions**

performance.

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

suitable with.

## *Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

Numerous numbers of the studies realised concerning combined HP-ORC systems cover some financial analysis. Because of the intermittence of heating and power options, it is challenging to assess undeviating comparison amongst them accordingly. In contrast with a solar thermal system combined to a ground-source HP, one investigation assessed that the adaptation of this system to a reversible HP-ORC system for a residential system would just cost roughly \$600, and following 20 years of utilisation, presents benefits of \$230 in Ankara and \$110 in Denver [40, 41]. Moreover, it recommends that the primary factors for the viability of the system is the area, especially continental climate conditions, in addition to components and pump expenses, including the working fluid choosing, which the pump is suitable with.

In view of the reversible HP-ORC system designed by Dumont [44], a comparison of this system with the further developed HP and PV (photovoltaic) system, indicates that as a whole, the reversible system is fewer beneficial, albeit an expansion in heat demand for heating or domestic hot water, can possibly enhance the effectiveness of the reversible system over that of the HP and PV system. This is additionally established from temperature areas with similarly lower temperature deviations. It prescribes further investigation is performed to ascertain where the reversible system is financially cost-effective against the HP and PV system.

A few models created stated reimbursement periods for the PV-ORC-chiller arrangement to be 9 years and 6.5 years in Amsterdam and Athens, individually, and for the combined solar thermal-ORC-chiller to have return periods of 16.5 years and 49.5 years in similar areas [34]. Likewise, the greatest exergy efficiency of the described models, for the PV case is 2 and 6%, while the solar thermal case is 18 and 37%. The sensitivity analysis performed with this work disclosed that if the energy cost increments by 10%, this could decrease the return period by 12.9–15.0%, besides it is the best effective factor on the financial outputs.

As shown, a portion of the bigger causes of changeability amongst implementation, are the power costs and areas climate, with the whole system design at last being advised by these factors. Improvement of this system will have some effect on the financial viability, albeit such changes ought to be assessed cautiously to guarantee some profit is achieved.

## **7. Conclusions**

*Product Design*

cally intended for reversible application.

**5.1 Experimental works**

from 14.3 to 4.1%.

**5.2 Deployment**

necessities.

**6. Economic analysis**

While there have been works trying separate HPs or ORCs, an investigation regarding the reversible HP-ORC system analysed the experimental results from the system, finding different items for real application. This study established that a cycle efficiency of 4.2% is accomplished in ORC mode, from condensation and evaporation temperatures of 25 and 88°C individually, and a COP of 3.1 being acquired in HP mode from condensation and evaporation temperatures of 61 and 21°C, respectively, demonstrating the viability of the concept [38]. One cause of efficiency loss happened at the expander/compressor, as it was not at first geometri-

For model development, validation, and component optimisation intents, it is usual to disconnect or apart a subsystem to assist assessing its viability and use in the more extensive system preceding any bigger scale testing or demonstration. For these separate subsystems, a method known as the reconciliation method can be applied, which means to characterise the most likely physical condition of a system and modify every estimation as much as possible through information on its precision, duplications, restrictions, and solving mass and energy balances [56]. Through this investigation, exploiting this technique when implemented to a reversible HP-ORC unit allowed further effective data collection and validation, decreasing the error for example in the situation of the pinch-point calculation of an evaporator where its normalised root mean square deviation was diminished

There has not been any associated cases of combined HP-ORC systems beyond experimental facilities for building applications. From the past modelling and experimental studies, in any case, there are an assortment of concerns that ought to be examined once demonstrating these systems. One of these matters is the relative novelty of ORC units. These units, particularly at a small and micro scale, have not generally been adequately optimised in real-word use, and there is lesser data about it contrasted with well-known systems. This will in general reduce the possible advantages and rise the whole prices owing partly to maintenance

Another huge concern is the territorial changeability in climate and temperature. All together for the system to be monetarily attainable, the system must be designed explicitly to suit the consumers' requirements and application needs, which will be affected by the climate existent in the area. There must likewise be an assurance on what capacities are wanted such as cooling, heating, domestic hot water, power,

For economic analysis, the basic equations applied are from standard engineering economics. In HP-ORC projects, the determinants of costs comprise of the underlying initial capital for buying the equipment, the net power consumption, and the related overhaul and maintenance necessities. In light of these qualities, the yearly prices and savings can be viably decided, taking into consideration an income investigation, evaluation of return and also financial viability. These outcomes

which will likewise determine the arrangement of the system.

enable for concrete examination between potential systems.

**146**

In conclusion, the combination of HP and ORC units have capacity for more energy efficiencies in various configurations. This survey provided some innovative concepts and designs to aid in prospect modelling and experimental studies alike, pinpointing various issues of more research. The main matters are:


conditions, despite an improved optimal result is to have better control or resilience in the system if there is difference in seasons.


For future research, it is recommended to:


## **Acknowledgements**

Funding for this work was provided by Natural Resources Canada through the Program of Energy Research and Development.

**149**

**Author details**

**Greek letters**

and Michela Longo3

\*, Evgueniy Entchev1

3 Department of Energy, Politecnico di Milano, Milan, Italy

\*Address all correspondence to: wahiba.yaici@canada.ca

provided the original work is properly cited.

, Pouyan Talebizadeh Sardari2

1 CanmetENERGY Research Centre, Natural Resources Canada, Ottawa, Canada

2 Faculty of Engineering, University of Nottingham, Nottingham, United Kingdom

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium,

Wahiba Yaïci1

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

R245fa 1,1,1,3,3-pentafluoropropane is a hydrofluorocarbon (C3H3F5)

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

ORC organic Rankine cycle

hs hot source

PV photovoltaic *QC* cooling provided *Q <sup>H</sup>* heating provided

HTE high-temperature heat exchanger

LTE low-temperature heat exchanger

R123 2,2-dichloro-1,1,1-trifluoroethane (C2HCl2F3)

R134 1,1,1,2-tetrafluoroethane (CF3CH2F) R141b 1,1-dichloro-1-fluoroethane (C2H3Cl2F)

R152a 1,1-difluoroethane (C2H4F2)

R600 n-Butane (C4H10) SOFC solid-state fuel cell SUP super heater

*WC* work consumed *Wp* work produced

*nex* exergetic efficiency *nth* thermal efficiency

*TC* heat sink temperature *TH* heat source temperature WSHP water-source heat pump

## **Conflict of interest**

The authors declare no conflict of interest.

## **Nomenclature**


*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*


## **Greek letters**

*Product Design*

locations.

**Acknowledgements**

**Conflict of interest**

**Nomenclature**

conditions, despite an improved optimal result is to have better control or

• Other optimisation approaches, for instance, advanced control strategies and individual component optimisation, will have certain influence on upgrading the system, regardless of the way this will not be as substantial as the alternatives above and should be counted economically as it might not be feasible to

• On defining the weather conditions, the area is fundamental at choosing energy costs. Both of these two elements are maybe the greatest influence on

• Compare a variety of advanced designs to a standard to understand which systems are optimal for a range of cold climate (such as Canadian) areas.

• Explore the combination of these systems in newly designs and configurations to realise alternative solutions for utilisation options, for instance, for isolated

• Evaluate relevant combined HP-ORC systems and their readiness for bench testing, demonstration, deployment, in addition to developing models founded

• Perform a sensitivity analysis to understand main drivers in the design and

Funding for this work was provided by Natural Resources Canada through the

assessing economic feasibility and hence, cannot be neglected.

resilience in the system if there is difference in seasons.

implement for every circumstance.

For future research, it is recommended to:

on them to well design the systems.

optimisation of systems of interest.

Program of Energy Research and Development.

The authors declare no conflict of interest.

*COPrev* coefficient of performance of reversible HP

AE adaptive heat exchanger ASHP air-source heat pump *COP* coefficient of performance

CTU compressor-turbine unit

GHE ground heat exchanger GHGs greenhouse gas emissions GSHP ground-source heat pump

G generator

HP heat pump

**148**


## **Author details**

Wahiba Yaïci1 \*, Evgueniy Entchev1 , Pouyan Talebizadeh Sardari2 and Michela Longo3

1 CanmetENERGY Research Centre, Natural Resources Canada, Ottawa, Canada

2 Faculty of Engineering, University of Nottingham, Nottingham, United Kingdom

3 Department of Energy, Politecnico di Milano, Milan, Italy

\*Address all correspondence to: wahiba.yaici@canada.ca

© 2020 The Author(s). Licensee IntechOpen. This chapter is distributed under the terms of the Creative Commons Attribution License (http://creativecommons.org/licenses/ by/3.0), which permits unrestricted use, distribution, and reproduction in any medium, provided the original work is properly cited.

## **References**

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[2] Tchanche BF, Lambrinos G, Frangoudakis A, Papadakis G. Lowgrade heat conversion into power using organic Rankine cycles—A review of various applications. Renewable and Sustainable Energy Reviews. 2011;**15**:3963-3979

[3] Quoilin S, Van Den Broek M, Declaye S, Dewallef P, Lemort V. Techno-economic survey of organic Rankine cycle (ORC) systems. Renewable and Sustainable Energy Reviews. 2013;**22**:168-186

[4] Bao J, Zhao L. A review of working fluid and expander selections for organic Rankine cycle. Renewable and Sustainable Energy Reviews. 2013;**24**:325-342

[5] Ziviani D, Beyene A, Venturini M. Advances and challenges in ORC systems modeling for low grade thermal energy recovery. Applied Energy. 2014;**121**:79-95

[6] Patrick L, Athanasios P, Panos S. Systematic methods for working fluid selection and the design, integration and control of organic Rankine cycles—A review. Energies. 2015;**8**:4755-4801

[7] Lecompte S, Huisseune H, van den Broek M, De Paepe M. Review of organic Rankine cycle (ORC) architectures for waste heat recovery. Renewable and Sustainable Energy Reviews. 2015;**47**:448-461

[8] Rahbar K, Mahmoud S, Al-Dadah RK, Moazami N, Mirhadizadeh SA. Review of organic Rankine cycle for small-scale applications. Energy Conversion and Management. 2017;**134**:135-155

[9] Tocci L, Pal T, Pesmazoglou I, Franchetti B. A small scale organic Rankine cycle (ORC): A technoeconomic review. Energies. 2017;**10**:413

[10] Mahmoudi A, Fazli M, Morad MR. A recent review of waste heat recovery by organic Rankine cycle. Applied Thermal Engineering. 2018;**143**:660-675

[11] Park BS, Usman M, Imran M, Pesyridis A. Review of organic Rankine cycle experimental data trends. Energy Conversation and Management. 2018;**173**:679-691

[12] Pereira JS, Ribeiro JB, Mendes R, Vaz GC, André JC. ORC based microcogeneration systems for residential application—A state of the art review and current challenges. Renewable and Sustainable Energy Reviews. 2018;**92**:728-743

[13] Xu W, Zhao L, Mao SS, Deng S. Towards novel low temperature thermodynamic cycle: A critical review originated from organic Rankine cycle. Energy. 2019;**167**:484-497

[14] Chua KJ, Chou SK, Yang WM. Advances in heat pump systems: A review. Applied Energy. 2010;**87**:3611-3624

[15] Haller MY, Bertram E, Dott R, Afjei T, Ochs F, Hadorn JC. Review of component models for the simulation of combined solar and heat pump heating systems. Energy Procedia. 2012;**30**:611-622

[16] Omojaro P, Breitkopf C. Direct expansion solar assisted heat pumps: A review of applications and recent

**151**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

[25] Lorenzo C, Narvarte L. Performance indicators of photovoltaic heat-pumps.

[26] Goyal A, Staedter MA, Garimella S. A review of control methodologies for vapor compression and absorption heat pumps. International Journal of

[27] Nouri G, Noorollahi Y, Yousefi H. Solar assisted ground source heat pump systems—A review. Applied Thermal

[28] Wang X, Xia L, Bales C, Zhang X, Copertaro B, Pan S, et al. A systematic review of recent air source heat pump (ASHP) systems assisted by solar thermal, photovoltaic and photovoltaic/ thermal sources. Renewable Energy.

[29] Pinheiro M, Salústio S, Rocha J, Valente AA, Silva CM. Adsorption heat pumps for heating applications. Renewable and Sustainable Energy

[30] Yaïci W, Entchev E, Talebizadeh Sardari P, Longo M. Heat pump-organic Rankine cycle hybrid systems for co/ tri-generation applications: A state-ofthe-art overview. In: Proceedings of the ASME 14th International Conference on Energy Sustainability, 16, 17 June 2020. New York, USA: American Society of Mechanical Engineers (ASME); 2020

[31] Liu H, Zhou Q, Zhao H, Wang P. Experiments and thermal modeling on hybrid energy supply system of gas engine heat pumps and organic Rankine cycle. Energy and Buildings.

[32] Li W, Lin X, Cao C, Gong Z, Gao Y. Organic Rankine cycle-assisted ground source heat pump combisystem for space heating in cold regions. Energy Conversion and Management.

2015;**8**:7226-7232

2018;**165**:195-405

Heliyon. 2019;**5**:e02691

Refrigeration. 2019;**97**:1-20

Engineering. 2019;**163**:114351

2020;**146**:2472-2487

Reviews. 2020;**119**:109528

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

research. Renewable and Sustainable Energy Reviews. 2013;**22**:33-45

[17] Sarbu I, Sebarchievici C. General review of ground-source heat pump systems for heating and cooling of buildings. Energy and Buildings.

[18] Kamel RS, Fung AS, Dash PRH. Solar systems and their integration with heat pumps: A review. Energy and

[19] Buker MS, Riffat SB. Solar assisted heat pump systems for low temperature water heating applications: A systematic review. Renewable and Sustainability Energy Reviews. 2016;**55**:399-413

[20] Fischer D, Madani H. On heat pumps in smart grids: A review. Renewable and Sustainable Energy

[21] Zhang L, Jiang Y, Dong J, Yao Y. Advances in vapor compression air source heat pump system in cold regions: A review. Renewable and Sustainable Energy Reviews.

[22] Mohanraj M, Belyayev Y, Jayaraj S, Kaltayev A. Research and developments on solar assisted compression heat pump systems—A comprehensive review (Part-B: Applications). Renewable and Sustainable Energy Reviews.

Reviews. 2017;**70**:342-357

2018;**81**:353-365

2018;**83**:124-155

2018;**98**:317-327

[23] Poppi S, Sommerfeldt N, Bales C, Madani H, Lundqvist P. Techno-economic review of solar heat pump systems for residential heating applications. Renewable and Sustainable

Energy Reviews. 2018;**81**:22-32

[24] Dias JMS, Costa VAF. Adsorption heat pumps for heating applications: A review of current state, literature gaps and development challenges. Renewable and Sustainable Energy Reviews.

Buildings. 2015;**87**:395-412

2014;**70**:441-454

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

research. Renewable and Sustainable Energy Reviews. 2013;**22**:33-45

[17] Sarbu I, Sebarchievici C. General review of ground-source heat pump systems for heating and cooling of buildings. Energy and Buildings. 2014;**70**:441-454

[18] Kamel RS, Fung AS, Dash PRH. Solar systems and their integration with heat pumps: A review. Energy and Buildings. 2015;**87**:395-412

[19] Buker MS, Riffat SB. Solar assisted heat pump systems for low temperature water heating applications: A systematic review. Renewable and Sustainability Energy Reviews. 2016;**55**:399-413

[20] Fischer D, Madani H. On heat pumps in smart grids: A review. Renewable and Sustainable Energy Reviews. 2017;**70**:342-357

[21] Zhang L, Jiang Y, Dong J, Yao Y. Advances in vapor compression air source heat pump system in cold regions: A review. Renewable and Sustainable Energy Reviews. 2018;**81**:353-365

[22] Mohanraj M, Belyayev Y, Jayaraj S, Kaltayev A. Research and developments on solar assisted compression heat pump systems—A comprehensive review (Part-B: Applications). Renewable and Sustainable Energy Reviews. 2018;**83**:124-155

[23] Poppi S, Sommerfeldt N, Bales C, Madani H, Lundqvist P. Techno-economic review of solar heat pump systems for residential heating applications. Renewable and Sustainable Energy Reviews. 2018;**81**:22-32

[24] Dias JMS, Costa VAF. Adsorption heat pumps for heating applications: A review of current state, literature gaps and development challenges. Renewable and Sustainable Energy Reviews. 2018;**98**:317-327

[25] Lorenzo C, Narvarte L. Performance indicators of photovoltaic heat-pumps. Heliyon. 2019;**5**:e02691

[26] Goyal A, Staedter MA, Garimella S. A review of control methodologies for vapor compression and absorption heat pumps. International Journal of Refrigeration. 2019;**97**:1-20

[27] Nouri G, Noorollahi Y, Yousefi H. Solar assisted ground source heat pump systems—A review. Applied Thermal Engineering. 2019;**163**:114351

[28] Wang X, Xia L, Bales C, Zhang X, Copertaro B, Pan S, et al. A systematic review of recent air source heat pump (ASHP) systems assisted by solar thermal, photovoltaic and photovoltaic/ thermal sources. Renewable Energy. 2020;**146**:2472-2487

[29] Pinheiro M, Salústio S, Rocha J, Valente AA, Silva CM. Adsorption heat pumps for heating applications. Renewable and Sustainable Energy Reviews. 2020;**119**:109528

[30] Yaïci W, Entchev E, Talebizadeh Sardari P, Longo M. Heat pump-organic Rankine cycle hybrid systems for co/ tri-generation applications: A state-ofthe-art overview. In: Proceedings of the ASME 14th International Conference on Energy Sustainability, 16, 17 June 2020. New York, USA: American Society of Mechanical Engineers (ASME); 2020

[31] Liu H, Zhou Q, Zhao H, Wang P. Experiments and thermal modeling on hybrid energy supply system of gas engine heat pumps and organic Rankine cycle. Energy and Buildings. 2015;**8**:7226-7232

[32] Li W, Lin X, Cao C, Gong Z, Gao Y. Organic Rankine cycle-assisted ground source heat pump combisystem for space heating in cold regions. Energy Conversion and Management. 2018;**165**:195-405

**150**

*Product Design*

**References**

[1] Office of Energy Efficiency. Residential Secondary Energy Use (Final Demand) by Energy Source and End Use, National Energy Use Database [Online]. Canada: Natural Resources Canada; 2016. Available from: http:// oee.nrcan.gc.ca/corporate/statistics/ neud/dpa/showTable.cfm?type=HB& sector=res&juris=00&rn=1&page=0

[8] Rahbar K, Mahmoud S, Al-Dadah RK, Moazami N,

Rankine cycle for small-scale

Mirhadizadeh SA. Review of organic

applications. Energy Conversion and Management. 2017;**134**:135-155

[10] Mahmoudi A, Fazli M, Morad MR. A recent review of waste heat recovery by organic Rankine cycle. Applied Thermal Engineering. 2018;**143**:660-675

[11] Park BS, Usman M, Imran M, Pesyridis A. Review of organic Rankine cycle experimental data trends. Energy Conversation and Management.

[12] Pereira JS, Ribeiro JB, Mendes R, Vaz GC, André JC. ORC based microcogeneration systems for residential application—A state of the art review and current challenges. Renewable and Sustainable Energy Reviews.

[13] Xu W, Zhao L, Mao SS, Deng S. Towards novel low temperature

[14] Chua KJ, Chou SK, Yang WM. Advances in heat pump systems: A review. Applied Energy.

[15] Haller MY, Bertram E, Dott R, Afjei T, Ochs F, Hadorn JC. Review of component models for the simulation of combined solar and heat pump heating systems. Energy Procedia.

[16] Omojaro P, Breitkopf C. Direct expansion solar assisted heat pumps: A review of applications and recent

Energy. 2019;**167**:484-497

2010;**87**:3611-3624

2012;**30**:611-622

thermodynamic cycle: A critical review originated from organic Rankine cycle.

2018;**173**:679-691

2018;**92**:728-743

[9] Tocci L, Pal T, Pesmazoglou I, Franchetti B. A small scale organic Rankine cycle (ORC): A technoeconomic review. Energies. 2017;**10**:413

[Accessed: 04 May 2020]

2011;**15**:3963-3979

[2] Tchanche BF, Lambrinos G, Frangoudakis A, Papadakis G. Lowgrade heat conversion into power using organic Rankine cycles—A review of various applications. Renewable and Sustainable Energy Reviews.

[3] Quoilin S, Van Den Broek M, Declaye S, Dewallef P, Lemort V. Techno-economic survey of organic Rankine cycle (ORC) systems. Renewable and Sustainable Energy

[4] Bao J, Zhao L. A review of working fluid and expander selections for organic Rankine cycle. Renewable and Sustainable Energy Reviews.

[5] Ziviani D, Beyene A, Venturini M. Advances and challenges in ORC systems modeling for low grade thermal energy recovery. Applied Energy.

[6] Patrick L, Athanasios P, Panos S. Systematic methods for working fluid selection and the design, integration and control of organic Rankine cycles—A review. Energies.

[7] Lecompte S, Huisseune H, van den Broek M, De Paepe M. Review of organic Rankine cycle (ORC) architectures for waste heat recovery. Renewable and Sustainable Energy

Reviews. 2015;**47**:448-461

Reviews. 2013;**22**:168-186

2013;**24**:325-342

2014;**121**:79-95

2015;**8**:4755-4801

[33] Yu H, Gundersen T, Feng X. Process integration of organic Rankine cycle (ORC) and heat pump for low temperature waste heat recovery. Energy. 2018;**160**:330-340

[34] Roumpedakis T. Techno-economic investigations of a solar driven ORCsorption system for combined cooling, heating and power [MSc thesis]. Delft, the Netherlands: TUDelft; 2018

[35] Bellos E, Tzivanidis C. Optimization of a solar-driven trigeneration system with nanofluid-based parabolic trough collectors. Energies. 2017;**10**:848

[36] Mounier V. Potential and challenges of ORC driven heat pumps based on gas bearing supported turbomachinery [PhD thesis]. Lausanne, Switzerland: École Polytechnique Féderale de Lausanne; 2018

[37] Collings P, Al-Tameemi M, Yu Z. A combined organic Rankine cycleheat pump system for domestic hot water application. In: Proceedings of the 12th International Conference on Heat Transfer, Fluid Mechanics and Thermodynamics. Malaga, Spain, 11-13 July 2016. Glasgow, UK: Enlighten Editors; 2016

[38] Dumont O, Quoilin S, Lemort V. Experimental investigation of a reversible heat pump/organic Rankine cycle unit designed to be coupled with a passive house (net zero energy building). International Journal of Refrigeration. 2015;**54**:190-403

[39] Dumont O, Carmo C, Randaxhe F, Quoilin S, Lemort V. Simulation of a passive house coupled with a heat pump/organic Rankine cycle reversible unit. In: Proceedings of the 9th International Conference on System Simulation in Buildings. Liège, Belgium: University of Liège; 2014

[40] Schimpf S, Span R. Technoeconomic evaluation of a solar assisted combined heat pump—Organic Rankine cycle system. Energy Conversion and Management. 2015;**94**:430-437

[41] Schimpf S, Span R. Simulation of a novel solar assisted combined heat pump—Organic Rankine cycle system. In: Proceedings of the 6th International Conference on Applied Energy, 30 May–2 June 2014. Taipei, Taiwan: Elsevier; 2014

[42] Al-Sulaiman FA, Dincer I, Hamdullahpur F. Exergy analysis of an integrated solid oxide fuel cell and organic Rankine cycle for cooling, heating and power production. Journal of Power Sources. 2010;**195**:2346-2354

[43] Staub S, Bazan P, Braimakis K, Muller D, Regensburger C, Scharrer D, et al. Reversible heat pump–organic Rankine cycle systems for the storage of renewable electricity. Energies. 2018;**11**:1352

[44] Dumont O. Investigation of a heat pump reversible into an organic Rankine cycle and its application in the building sector [PhD thesis]. Liege, Belgium: University of Liège; 2017

[45] Liang Y, Yu Z. Working fluid selection for a combined system based on coupling of organic Rankine cycle and air source heat pump cycle. In: Proceedings of the 10th International Conference on Applied Energy, 22-25 August 2018. Hong Kong, China: Elsevier; 2018

[46] Mounier V, Schiffmann J. ORC Driven Heat Pump Running on Gas Bearings for Domestic Applications: Proof of Concept and Thermo-Economic Improvement Potential. Rotterdam: International Energy Agency; 2017

[47] Wang J, Dai Y, Gao L. Parametric analysis and optimization for a combined power and refrigeration cycle. Applied Energy. 2008;**85**:1071-1085

**153**

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems…*

analysis. In: The Proceedings of ECOS 2016: The 29th International Conference on Efficiency, Cost, Optimization, Simulation and Environmental Impact of Energy Systems. Portorož, Slovenia: University of Ljubljana, Faculty of Mechanical Engineering; 2016

[56] Dumont O, Quoilin S, Lemort V. Importance of the reconciliation method

Application to a reversible heat pump/ organic Rankine cycle unit integrated in a positive energy building. International Journal of Energy and Environmental

to handle experimental data in refrigeration and power cycle:

Engineering. 2016;**7**:137-143

*DOI: http://dx.doi.org/10.5772/intechopen.93130*

[48] Wang J, Dai Y, Sun Z. A theoretical study on a novel combined power and ejector refrigeration cycle.

International Journal of Refrigeration.

[50] Zhang C, Lin J, Tan Y. A theoretical study on a novel combined organic Rankine cycle and ejector heat pump.

Thermodynamic analysis of evaporation temperature glide of zeotropic mixtures on the ORC-CCHP system integrated with ejector and heat pump. In: 10th International Conference on Applied Energy. Hong Kong, 2018. Energy Procedia. 2019;**158**:1632-1639

[52] Andreasen JG, Kaern MR, Haglind F. Assessment of methods for performance comparison of pure and zeotropic working fluids for organic Rankine cycle power systems. Energies. 2019;**12**:1783

[53] Collings P, Yu Z, Wang E. A dynamic organic Rankine cycle using a zeotropic mixture as the working fluid with composition tuning to match changing ambient conditions. Applied Energy.

[54] Carmo C, Nielsen MP, Elmegaard B, Dumont O. Performance evaluation of a HP/ORC (heat pump/organic Rankine cycle) system with optimal control of sensible thermal storage. In: Proceedings

Performance Buildings Conference, 14 July 2016. West Lafayette, Indiana, USA:

[55] Dickes R, Ziviani D, De Paepe M, van den Broek M, Quoilin S, Lemort V. ORCmKit: An open-source library for organic Rankine cycle modelling and

of the 4th International High

[49] Wang J, Dai Y, Zhang T, Ma S. Parametric analysis for a new combined

power and ejector/absorption refrigeration cycle. Energy.

2009;**32**:1186-1194

2009;**34**:1587-1593

Energy. 2019;**176**:81-90

[51] Zhu Y, Li W, Sun G.

2016;**171**:581-591

Purdue; 2016

*Recent Developments of Combined Heat Pump and Organic Rankine Cycle Energy Systems… DOI: http://dx.doi.org/10.5772/intechopen.93130*

[48] Wang J, Dai Y, Sun Z. A theoretical study on a novel combined power and ejector refrigeration cycle. International Journal of Refrigeration. 2009;**32**:1186-1194

*Product Design*

[33] Yu H, Gundersen T, Feng X. Process integration of organic Rankine cycle (ORC) and heat pump for low temperature waste heat recovery. Energy. 2018;**160**:330-340

combined heat pump—Organic Rankine cycle system. Energy Conversion and Management. 2015;**94**:430-437

[41] Schimpf S, Span R. Simulation of a novel solar assisted combined heat pump—Organic Rankine cycle system. In: Proceedings of the 6th International Conference on Applied Energy, 30 May–2 June 2014. Taipei, Taiwan:

[42] Al-Sulaiman FA, Dincer I, Hamdullahpur F. Exergy analysis of an integrated solid oxide fuel cell and organic Rankine cycle for cooling, heating and power production. Journal of Power Sources. 2010;**195**:2346-2354

[43] Staub S, Bazan P, Braimakis K, Muller D, Regensburger C, Scharrer D, et al. Reversible heat pump–organic Rankine cycle systems for the storage of renewable electricity. Energies.

[44] Dumont O. Investigation of a heat pump reversible into an organic Rankine cycle and its application in the building sector [PhD thesis]. Liege, Belgium:

University of Liège; 2017

[45] Liang Y, Yu Z. Working fluid selection for a combined system based on coupling of organic Rankine cycle and air source heat pump cycle. In: Proceedings of the 10th International Conference on Applied Energy, 22-25 August 2018. Hong Kong, China:

[46] Mounier V, Schiffmann J. ORC Driven Heat Pump Running on Gas Bearings for Domestic Applications: Proof of Concept and Thermo-Economic Improvement Potential. Rotterdam: International Energy

[47] Wang J, Dai Y, Gao L. Parametric analysis and optimization for a

combined power and refrigeration cycle. Applied Energy. 2008;**85**:1071-1085

Elsevier; 2014

2018;**11**:1352

Elsevier; 2018

Agency; 2017

[34] Roumpedakis T. Techno-economic investigations of a solar driven ORCsorption system for combined cooling, heating and power [MSc thesis]. Delft,

[35] Bellos E, Tzivanidis C. Optimization of a solar-driven trigeneration system with nanofluid-based parabolic trough collectors. Energies. 2017;**10**:848

[36] Mounier V. Potential and challenges of ORC driven heat pumps based on gas bearing supported turbomachinery [PhD thesis]. Lausanne, Switzerland: École Polytechnique Féderale de

[37] Collings P, Al-Tameemi M, Yu Z. A combined organic Rankine cycleheat pump system for domestic hot water application. In: Proceedings of the 12th International Conference on Heat Transfer, Fluid Mechanics and Thermodynamics. Malaga, Spain, 11-13 July 2016. Glasgow, UK: Enlighten

[38] Dumont O, Quoilin S, Lemort V. Experimental investigation of a reversible heat pump/organic Rankine cycle unit designed to be coupled with a passive house (net zero energy building). International Journal of Refrigeration. 2015;**54**:190-403

[39] Dumont O, Carmo C, Randaxhe F, Quoilin S, Lemort V. Simulation of a passive house coupled with a heat pump/organic Rankine cycle reversible

unit. In: Proceedings of the 9th International Conference on System Simulation in Buildings. Liège, Belgium:

[40] Schimpf S, Span R. Technoeconomic evaluation of a solar assisted

University of Liège; 2014

the Netherlands: TUDelft; 2018

Lausanne; 2018

Editors; 2016

**152**

[49] Wang J, Dai Y, Zhang T, Ma S. Parametric analysis for a new combined power and ejector/absorption refrigeration cycle. Energy. 2009;**34**:1587-1593

[50] Zhang C, Lin J, Tan Y. A theoretical study on a novel combined organic Rankine cycle and ejector heat pump. Energy. 2019;**176**:81-90

[51] Zhu Y, Li W, Sun G.

Thermodynamic analysis of evaporation temperature glide of zeotropic mixtures on the ORC-CCHP system integrated with ejector and heat pump. In: 10th International Conference on Applied Energy. Hong Kong, 2018. Energy Procedia. 2019;**158**:1632-1639

[52] Andreasen JG, Kaern MR, Haglind F. Assessment of methods for performance comparison of pure and zeotropic working fluids for organic Rankine cycle power systems. Energies. 2019;**12**:1783

[53] Collings P, Yu Z, Wang E. A dynamic organic Rankine cycle using a zeotropic mixture as the working fluid with composition tuning to match changing ambient conditions. Applied Energy. 2016;**171**:581-591

[54] Carmo C, Nielsen MP, Elmegaard B, Dumont O. Performance evaluation of a HP/ORC (heat pump/organic Rankine cycle) system with optimal control of sensible thermal storage. In: Proceedings of the 4th International High Performance Buildings Conference, 14 July 2016. West Lafayette, Indiana, USA: Purdue; 2016

[55] Dickes R, Ziviani D, De Paepe M, van den Broek M, Quoilin S, Lemort V. ORCmKit: An open-source library for organic Rankine cycle modelling and

analysis. In: The Proceedings of ECOS 2016: The 29th International Conference on Efficiency, Cost, Optimization, Simulation and Environmental Impact of Energy Systems. Portorož, Slovenia: University of Ljubljana, Faculty of Mechanical Engineering; 2016

[56] Dumont O, Quoilin S, Lemort V. Importance of the reconciliation method to handle experimental data in refrigeration and power cycle: Application to a reversible heat pump/ organic Rankine cycle unit integrated in a positive energy building. International Journal of Energy and Environmental Engineering. 2016;**7**:137-143

## *Edited by Cătălin Alexandru, Codruta Jaliu and Mihai Comşit*

Product design is a comprehensive process related to the creation of new products, and the ability to design and develop efficient products are key to success in today's dynamic global market. Written by experts in the field, this book provides a comprehensive overview of the product design process and its applications in various fields, particularly engineering. Over seven chapters, the authors explore such topics as development of new product design methodologies, implementation of effective methods for integrated products, development of more visualized environments for task-based conceptual design methods, and development of engineering design tools based on 3D photogrammetry, among others.

Published in London, UK © 2020 IntechOpen © carloscastilla / iStock

Product Design

Product Design

*Edited by Cătălin Alexandru,* 

*Codruta Jaliu and Mihai Comşit*