ASME EA-1–2009

Energy
Assessment for
Process Heating
Systems

A N A M E R I C A N N AT I O N A L STA N DA R D

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 ASME EA-1–2009

Energy
Assessment for
Process Heating
Systems

AN AMERICAN NATIONAL STANDARD

Copyright ASME International

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No reproduction or networking permitted without license from IHS
 Date of Issuance: January 22, 2010

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 CONTENTS

Foreword . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . iv
Committee Roster . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . v
Correspondence With the EA Committee . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . vi

1 Scope and Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1

2 Definitions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

3 References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

4 Organizing the Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2

5 Conducting the Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5

6 Analysis of Data From the Assessment . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 8

7 Reporting and Documentation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 10

Figures
1 Assessment Activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 6
2 Example Worksheet . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7

Nonmandatory Appendix
A Key References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13

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 FOREWORD

This document provides a standardized framework for conducting an energy assessment for process heating sys-
tems, hereafter referenced as an “assessment.” A process heating system is defined as a group (or a set or combina-
tion) of heating equipment used for heating materials used in production of goods in an industrial plant. Assessments
involve collecting and analyzing information on system design, operation, energy use, and performance data and
identifying energy efficiency improvement opportunities to optimize system energy use or performance. An assess-
ment may also include additional information, such as recommendations for improving resource utilization, reducing
per unit production cost, reducing lifecycle costs, and improving environmental performance related to the assessed
system(s).
This Standard provides a common definition for what constitutes an assessment for both users and providers of
assessment services. The objective is to provide clarity for those types of services that have been variously described
as energy assessments, energy audits, energy surveys, and energy studies. In all cases, systems (energy-using logical
groups of industrial equipment organized to perform a specific function) are analyzed through various techniques,
such as measurement and analysis, resulting in the identification, documentation, and prioritization of energy perfor-
mance improvement opportunities.
This Standard sets the requirements for conducting and reporting the results of an assessment that considers the en-
tire system, from energy inputs to the work performed as the result of these inputs. An assessment meeting this Stan-
dard need not address each individual system component or subsystem within an industrial facility with equal weight;
however, it shall be sufficiently comprehensive to identify the major energy efficiency opportunities for improving the
overall energy performance of the facility. This Standard is designed to be applied primarily at industrial facilities, but
many of the concepts can be used in other facilities, such as those in the institutional and commercial sectors.
The Standard is part of a portfolio of documents and other efforts designed to assist in improving the efficiency
of industrial facilities. Initially, four assessment standards are being developed for compressed air, process heating,
pumping, and steam systems. Other related existing and planned efforts to improve the efficiency of industrial facili-
ties include
(a) ASME guidance documents for the assessment standards, which provide technical background and applica-
tion details to support understanding of the assessment standards. These guidance documents provide rationale for
the technical requirements of the assessment standards and give technical guidance, application notes, alternate ap-
proaches, tips, techniques, and rules-of-thumb.
(b) A certification program for each ASME assessment standard that recognizes certified practitioners as individu-
als who have demonstrated, via a professional qualifying exam, that they have the necessary knowledge and skills to
properly apply the assessment standard.
(c) An energy management standard, “A Management System for Energy, ANSI/MSE 2000:2008,” which is a stan-
dardized approach to managing energy supply, demand, reliability, purchase, storage, use, and disposal and is used
to control and reduce an organization’s energy costs and energy-related environmental impact. NOTE: This ANSI
standard will eventually be superseded by ISO 50001, now under development.
(d) An ANSI-accredited measurement and verification protocol that includes methodologies for verifying the results
of energy efficiency projects.
(e) A program, Superior Energy Performance, that will offer ANSI-accredited certification for energy efficiency
through application of ANSI/MSE 2000:2008 and documentation of a specified improvement in energy performance
using the ANSI measurement and verification protocol.
The complementary documents described above, when used together, will assist organizations seeking to establish
and implement company- or site-wide energy plans.
ASME EA-1-2009 was approved by the EA Industrial System Energy Assessment Standards Committee on October 1,
2009 and approved by the American National Standards Institute (ANSI) on December 2, 2009.

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 EA INDUSTRIAL SYSTEM ENERGY
ASSESSMENT STANDARDS COMMITTEE
(The following is the roster of the Committee at the time of approval of this Standard.)

STANDARDS COMMITTEE OFFICERS

F. P. Fendt, Chair
P. E. Sheaffer, Vice Chair
R. L. Crane, Secretary

STANDARDS COMMITTEE PERSONNEL

J. A. Almaguer, The Dow Chemical Co. A. T. McKane, Lawrence Berkeley National Laboratory
R. D. Bessette, Council of Industrial Boiler Owners W. A. Meffert, Georgia Institute of Technology
R. L. Crane, The American Society of Mechanical Engineers J. L. Nicol, Science Applications International Corp.
G. T. Cunningham, Tennessee Tech University J. D. Rees, North Carolina State University
T. J. Dunn, Weyerhaeuser Co. P. E. Scheihing, U.S. Department of Energy
F. P. Fendt, The Dow Chemical Co. P. E. Sheaffer, Resource Dynamics Corp.
A. R. Ganji, San Francisco State University V. C. Tutterow, Project Performance Corp.
J. C. Ghislain, Ford Motor Co. L. Whitehead, Tennessee Valley Authority
T. A. Gunderzik, XCEL Energy A. L. Wright, Oak Ridge National Laboratory
S. J. Korellis, Contributing Member, Electric Power Research Institute R. G. Wroblewski, Productive Energy Solutions, LLC

PROJECT TEAM EA-1 — ENERGY ASSESSMENT FOR PROCESS HEATING SYSTEMS

A. L. Wright, Chair, Oak Ridge National Laboratory G. S. Faagau, I Cubed Energy
R. L. Bennett, Vice Chair, Janus Technology Group, Inc. S. W. Fruth, TPI Corp.
A. C. Thekdi, Vice Chair, E3M, Inc. S. Q. Ly, Alternate, Southern California Gas Co.
P. E. Sheaffer, Secretary, Resource Dynamics Corp. R. L. Mendelsohn, E. I. DuPont de Nemours and Co., Inc.
A. Atreya, University of Michigan B. A. Purnode, Owens Corning
C. K. Belt, Superior Industries International, Inc. D. G. Schalles, Bloom Engineering Co.
R. De Saro, Energy Research Co. B. Warren, Southern California Gas Co.

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 CORRESPONDENCE WITH THE EA COMMITTEE

General. ASME Standards are developed and maintained with the intent to represent the consensus of concerned
interests. As such, users of this Standard may interact with the Committee by requesting interpretations, proposing
revisions, and attending Committee meetings. Correspondence should be addressed to:

Secretary, EA Committee
The American Society of Mechanical Engineers
Three Park Avenue
New York, NY 10016-5990
http://go.asme.org/Inquiry

Proposing Revisions. Revisions are made periodically to the Standard to incorporate changes that appear necessary
or desirable, as demonstrated by the experience gained from the application of the Standard. Approved revisions will
be published periodically.
The Committee welcomes proposals for revisions to this Standard. Such proposals should be as specific as possible,
citing the paragraph number(s), the proposed wording, and a detailed description of the reasons for the proposal,
including any pertinent documentation.
Proposing a Case. Cases may be issued for the purpose of providing alternative rules when justified, to permit early
implementation of an approved revision when the need is urgent, or to provide rules not covered by existing provi-
sions. Cases are effective immediately upon ASME approval and shall be posted on the ASME Committee Web page.
Requests for Cases shall provide a Statement of Need and Background Information. The request should identify
the Standard, the paragraph, figure or table number(s), and be written as a Question and Reply in the same format as
existing Cases. Requests for Cases should also indicate the applicable edition(s) of the Standard to which the proposed
Case applies.
Interpretations. Upon request, the EA Committee will render an interpretation of any requirement of the Standard.
Interpretations can only be rendered in response to a written request sent to the Secretary of the EA Committee.
The request for interpretation should be clear and unambiguous. It is further recommended that the inquirer submit
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Subject: Cite the applicable paragraph number(s) and a concise description

Edition: Cite the applicable edition of the Standard for which the interpretation is being requested.
Question: Phrase the question as a request for an interpretation of a specific requirement suitable for general
understanding and use, not as a request for an approval of a proprietary design or situation. The in-
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should not contain proprietary names or information.
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may inadvertently change the intent of the original request.
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activity.
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public. Persons wishing to attend any meeting or telephone conference should contact the Secretary of the EA Stand-
ards Committee.

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 ASME EA-1–2009

ENERGY ASSESSMENT FOR PROCESS HEATING SYSTEMS

1 SCOPE AND INTRODUCTION This Standard sets requirements for

(a) organizing and conducting a process heating
1.1 Scope assessment
This Standard covers process heating systems that are (b) analyzing the data from the assessment
defined as a group (or a set or combination) of heating (c) reporting and documentation of assessment findings
equipment used for heating materials in the production When contracting for assessment services, plant per-
of goods in an industrial plant. These systems, commonly sonnel may use the Standard to define and communi-
referred to using terms such as furnaces, melters, ovens, cate their desired scope of assessment activity to third
and heaters, use heat sources such as fuels, electricity, party contractors or consultants.
steam, or other fluids to supply the required heat.
This Standard sets the requirements for conducting and 1.2 Limitations
reporting the results of a process heating energy assess- This Standard does not provide guidance on how to
ment (hereafter referred to as an “assessment”) that con- perform a process heating system assessment but sets the
siders the entire system, from energy inputs to the work requirements that need to be performed during the system
performed as the result of these inputs. An assessment assessment. For additional assistance, see the companion
complying with this Standard need not address each in- ASME Guide for ASME EA-1-2009 Energy Assessment for
dividual system component or specific system within an Process Heating Systems on how to apply this Standard.
industrial facility with equal weight; however, it shall be (a) This Standard does not specify how to design a
sufficiently comprehensive to identify the major energy process heating system.
efficiency opportunities for improving the overall energy (b) This Standard does not specify the qualifications
performance of the system. This Standard is designed to and expertise required of the person using the Standard.
be applied primarily at industrial facilities, but many of (c) This Standard does not specify how to implement
the concepts can be used in other facilities, such as those the recommendations developed during the assessment
in the institutional and commercial sectors. but does include recommendations for implementation
Assessments involve collecting and analyzing activities.
data on system design, operation, energy use, and (d) This Standard does not specify how to measure
performance and identifying energy performance and validate the energy savings that result from imple-
improvements. An assessment may also include rec- menting assessment recommendations.
ommendations for improving resource utilization, (e) This Standard does not specify how to calibrate
reducing per unit production cost, reducing lifecycle test equipment used during the assessment.
costs, and improving environmental performance re- (f) This Standard does not specify how to estimate the
lated to the assessed system(s). Assessment activities implementation cost or conduct financial analysis for
shall include, but are not limited to, engaging facility recommendations developed during the assessment.
personnel and providing information about the as- (g) This Standard does not specify specific steps required
sessment process; collecting and analyzing data on for safe operation of equipment during the assessment.
system design, operation, energy use, and perform- The plant personnel in charge of normal operation of the
ance; and identifying energy performance improve- equipment are responsible for ensuring that it is operated
ment opportunities and making recommendations in safely during the data collection phase of the assessment.
a written report. This report shall document system (h) For outside individuals working in a private or
design; quantify energy operation and performance publicly owned company facility, issues of intellectual
data; document the assessment process; show results, property, confidentiality, and safety shall be addressed
recommendations, and savings projections; and im- before beginning an assessment. While the importance
prove facility personnel’s understanding of system of satisfying these requirements and related issues is ac-
energy use and operation. knowledged, they are not addressed in this Standard.

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 ASME EA-1–2009

2 DEFINITIONS normal operating conditions: the conditions at which the

heating system is operated for a majority of the time.
assessment: activities undertaken to identify energy Parameters such as production rate, operating tempera-
performance improvements in a process heating sys- tures and pressures, and load or charge conditions (e.g.,
tem that consider all components and functions, from temperature, moisture content) should be used as a guide
energy inputs to the work performed as the result of to determine normal operating conditions.
these inputs. Individual components or subsystems
might not be addressed with equal weight, but sys- process heating system: process heating system includes
tem assessments shall be sufficiently comprehensive to a group (or a set or combination) of heating equipment
identify the major energy efficiency opportunities for used to heat materials used in production of goods in an
improving overall system energy performance. System industrial plant. The system includes heating equipment,
impact versus individual component characteristics such as furnaces, melters, ovens, heaters.
should be discussed. resource utilization: use of available resources such as
batch furnace: a furnace into which the entire work load is energy, money, material, and manpower to perform the
introduced periodically. necessary functions in plant operation.

continuous furnace: a furnace into which the work load is Sankey diagram: specific type of flow diagram in which
introduced continuously or at short time intervals. flows are represented by arrows. The width of the arrows
is shown proportionally to the flow quantity. They are
energy intensity (also called specific energy): the ratio of the typically used to visualize energy or material transfers
energy used during a heating operation to the product between processes.
unit or mass that absorbs the energy.
thermal efficiency: for a particular process heating system, it
energy use baseline: amount of energy use measured dur- is the ratio of the energy absorbed by the material being
ing the operating conditions existing at the time of the processed to the total energy consumed to heat the system.
assessment. It should be expressed in terms of energy per
unit of production, energy per unit of mass or volume
3 REFERENCES
produced or in terms of energy per unit of time. Exam-
ples of the baseline units are: Btu/lb (kWh/kg), Btu/hr 3.1 Reference Standards
(kW), or Btu/unit of product (widget) or (kWh/unit of
There are no reference standards in this document.
product).
functional requirement: description of what the plant ex- 3.2 Informative References
pects the manufacturing system to do using the heat-
This Standard can be incorporated into an energy man-
ing system. The parameters could be expressed in terms
agement plan developed using ANSI/MSE 2000:2008,
such as production output, quality (insofar as it can be
A Management System for Energy, Georgia Institute of
controlled by the heating process), energy consumption
Technology, 2008. Nonmandatory Appendix A lists key
(per production unit, if applicable), and emissions.
references with additional information on process heat-
furnace: a term generically used in this Standard to de- ing systems.
scribe process heating equipment, such as furnaces, melt-
ers, ovens, and heaters. 4 ORGANIZING THE ASSESSMENT
heat balance: a procedure in which an imaginary control
4.1 Identification of Assessment Team Members
boundary is placed around a process heating system and
all energies and mass flows crossing that boundary are A comprehensive and complete assessment can be
determined and summed. achieved only when a set of knowledgeable personnel
participates in the assessment process. Functions required
maximum installed energy input rate: the maximum amount to accomplish an assessment are listed in para. 4.1.1. The
of energy that can be supplied, usually expressed in terms assessment team shall have members who are assigned
such as Btu/h, kW, kCal/h, kJ/h. In most cases, the max- responsibility and authority to carry out these functions.
imum installed energy input rating can be obtained from
the nameplate of the heating equipment, the operating
4.1.1 Required Functions and Personnel
manual, design drawings, or documents provided by the
4.1.1.1 Resource Allocation
equipment supplier. In some cases, this is known as “con-
(a) Allocate funding and resources necessary to plan
nected heat input” or power rating.
and execute the assessment.
maximum production capacity: maximum attainable or de- (b) Exercise final decision-making authority on resources.
sign production capacity expressed in terms such as lb/ (c) Oversee the participation of outside personnel,
hr, tons/hr, and number of pieces per hour while operat- including contracts, scheduling, confidentiality agree-
ing the equipment in safe mode. ments, and statement of work.

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 ASME EA-1–2009

4.1.1.2 Coordination, Logistics, and Communications (c) other information sources, such as drawings, man-
(a) Obtain necessary support from plant personnel uals, test reports, historical utility bill information, com-
and other individuals and organizations during the as- puter monitoring and control data, control panels, and
sessment. calibration records
(b) Participate in organizing the assessment team, and
coordinate access to relevant personnel, systems, and 4.5 Assessment Goals and Scope
equipment.
The overall goals and scope of the assessment shall
(c) Organize and schedule assessment activities.
be discussed and agreed upon at an early stage by the
assessment team. The overall goal of the assessment shall
4.1.1.3 Process Heating Systems Knowledge include identification of performance improvement op-
(a) Have background, experience, and recognized portunities in the process heating system being assessed
abilities to perform the assessment activities, data analy- and using a systems approach. The scope of the assess-
sis, and report preparation. ment shall define the portion(s) of the facility that are to
(b) Be familiar with operating and maintenance prac- be assessed.
tices for process heating systems.
(c) Have experience applying the systems approach in 4.6 Initial Data Collection and Evaluation
assessments.
Information on other assessment team members is The following data shall be obtained for each of the
identified in para. 4.8.3. process heating systems being evaluated:
(a) Type of energy (fuel, electricity, steam, etc.) used
4.2 Facility Management Support and power input ratings (when available) in terms of
units, such as kW or Btu/h.
Facility management support is essential for the success- (b) Actual production throughputs and energy use
ful outcome of the assessment. Facility management shall of specific processes in terms of Btu, kCal, kJ, or kWh
understand and support the purpose of the assessment. over a defined time interval (hour, shift, day, week,
They shall allow assessment team members from the plant month, etc.) collected from individual equipment me-
to participate in the assessment to the extent necessary. The ters or other available resources. Where individual
assessment team shall gain written support of plant man- meters are not installed on the equipment, the process
agement prior to conducting the assessment, as follows: heating energy use information shall be collected at the
(a) Commit the necessary funding, personnel, and plant level closest to the process heating equipment, if
resources to support the assessment. it is useful.
(b) Communicate to facility personnel the assess- (c) Where individual meters are not available, energy
ment’s importance to the organization. use should be estimated by using information on operating
hours, percentage of the installed or designed equipment
4.3 Communications heat input rate, and equipment up-time or load factor.
Lines of communication required for the assessment
shall be established. The assessment team shall provide 4.6.1 Initial Facility Specialist Interviews. The as-
clear guidance to facilitate communications among mem- sessment team shall contact personnel and specialists
bers of the assessment team so all necessary information within the plant to collect information on operating prac-
and data can be communicated in a timely manner. This tices and any specific operating considerations that affect
includes administrative data, and logistics information, energy use for the equipment. This information shall be
as well as operational and maintenance data. used to help develop the site-specific goals and assess-
ment plan of action (paras. 4.7 and 4.8).
4.4 Access to Equipment, Resources, and
Information 4.6.2 Energy Project History. The assessment team
For the performance of a complete and comprehensive shall collect and review information on energy saving
assessment of a facility’s process heating system, it is nec- projects, assessments, audits, baselines, or benchmarking
essary to physically inspect and make selected measure- already conducted for the process heating system.
ments on the system components. The assessment team
shall have access to 4.6.3 Primary Energy Cost. The cost data shall include
(a) plant areas and process heating systems required values in terms of units such as cost per million Btu (MMBtu)
to conduct the assessment or kWh, or other similar terms, considering all charges, such
(b) plant personnel (engineering, operations, mainte- as purchased cost, transportation cost, demand charges,
nance, etc.), their equipment vendors, contractors, and peak rates, time-of-the-day rate, and any other costs up to
others, to collect information pertinent and useful to the the point of use. Where necessary, appropriate costs should
assessment activities and analysis of data used for prepa- be assigned to by-product fuels and steam, on-site gener-
ration of the report ated electricity or steam, and in-house generated utilities

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 ASME EA-1–2009

(process gases, water, other fluids, etc.). These costs should following list includes commonly used measuring and
be used in subsequent analyses. The assessment team shall monitoring instruments:
agree on the period during which the costs would be con- (a) gas temperature-measuring instruments, such as
sidered valid. Although average values are appropriate in thermocouples and thermometers
most cases, the assessment team should also consider issues (b) flue gas analyzer with capability to measure oxygen
such as demand charges and trends to identify situations (O2), carbon monoxide (CO), and total hydrocarbons (HC)
not made obvious by the use of averages. (c) surface temperature measurement instruments,
From this information, an average annual energy such as infrared pyrometers and contact thermocouples
cost/ kWh (electric) or cost/MMBtu (fossil fuel if on-site (d) pressure-measuring instruments, such as pressure
generation is used) over the previous 12 mo, or another gages, digital or liquid-filled manometers, and draft gages
appropriate time period, shall be determined. A facility (e) voltmeters, ammeters, and wattmeters
may have already established a marginal cost for energy (f) steam flow meters
that can be used. (g) other special-purpose instruments as required
Additional instruments and measurement devices
for specific purposes should be used, if required. The
4.7 Site-Specific Goals ranges of instrument measurement scales will depend
The assessment team shall develop the assessment on the operating parameters (e.g., temperature, pres-
goals as they apply to the plant site. These goals should sures, flow) of the equipment. The assessment team
be consistent with the organizational goals for the proc- shall define the range of measurement parameters ex-
ess heating systems. pected during the assessment.
In the assessment plan of action, described in para. 4.8,
the assessment team shall identify assessment objectives 4.8.1.2 Definition of Data Collection Methods.
and action items that will contribute to achieving the as- The assessment team, in consultation with the ap-
sessment goals. propriate plant personnel, shall define data collection
methods for the selected equipment in a measurement
4.7.1 Preliminary Selection of Process Heating Systems plan. Options include measurements of the required
for Assessment. The assessment team shall prepare a operating parameters at selected locations on the equip-
preliminary list of systems for the assessment. Selection ment itself, data collection using permanently installed
shall be based on data and information collected in the instruments on the equipment, data displayed on con-
activities described in paras. 4.6.1 through 4.6.3 and the trol panels or other locations such as computer screens,
priorities established by plant management. operating data provided by plant personnel and design
The assessment team may divide the opportunities data given in drawings, and operating instructions sup-
into three categories plied by vendors. In each case, the measurement plan
(a) worthy of further analysis shall include details of the method of data collection,
(b) possible candidates for analysis after higher prior- source of data, and measuring instruments used.
ity opportunities are dealt with
(c) unsuitable for assessment 4.8.2 Initial Measurement Plan: Where and When to
The selection shall be based on factors such as energy Collect Data. The assessment team shall prepare a mea-
use, applicability, past experience with application of the surement plan that describes and/or displays, for each
identified opportunities, effect on current and future op- piece of equipment
erations, considerations for product quality, safety, and (a) a sketch of the equipment showing points where
equipment life. the measurements are to be taken and the test equipment
to be used at those locations
4.8 Assessment Plan of Action (b) a list of measurements, types of instruments to be
used, frequency, and timing of measurement (especially
An assessment plan of action shall be developed that in-
for batch operations or in cases where production and
cludes the items discussed in paras. 4.8.1 through 4.8.5.
operating parameters change) to ensure true representa-
tion of average operating conditions
4.8.1 Definition of Data Collection Requirements and The plan should be discussed with the appropriate per-
Methods sons to ensure minimum adverse impact on production,
product quality, etc. when the external instrumentation or
4.8.1.1 Measuring, Metering, and Diagnostic Equip- data collection equipment is used. The plan should also in-
ment Required. The assessment team shall identify clude special requirements for the measurements, such as
the instruments, data loggers, and other data collection providing access ports at the required locations, installing
equipment required for the assessment. This equipment sampling lines, and providing utility services required by
shall be inspected and calibrated or repaired, if necessary, the sensors and measuring instruments. The plan should
before the assessment to ensure reliable indications. The also include a tentative schedule, work breakdown, and

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personnel responsibility to ensure efficient data collection. Periodic reporting to facility managers in the form
The plan should include provision for independent verifica- of debriefings should occur as agreed upon by the
tion of data, especially when it has been collected from per- assessment team. Also, irregularities may occur dur-
manently installed instruments or from control panels or ing an assessment (e.g., the failure of a computerized
displays. Verification requirements should be determined records system). If and when such events occur, the
by the assessment team members’ confidence in the meas- assessment team shall determine a corrective course
urement system used and/or their prior experience. of action.
The on-site assessment activities will conclude with a
4.8.3 Identification of Other Assessment Team Mem- wrap-up meeting designed to outline the assessment in-
bers Required. The assessment team shall identify vestigations and initial recommendations. This meeting
other members to participate in the assessment activities. is discussed in para. 5.7.
The assessment team members should have knowledge
of one or more aspects of process heating, such as 4.8.5 Key Personnel Interviews. Subject to modifica-
(a) manufacturing processes for which the heating tion during the course of the assessment, the dates and
systems are used times for the assessment team to meet with key plant or
(b) design, controls, and instrumentation for the heat- facility managers and process operators shall be speci-
ing systems and equipment fied and agreed upon by all individuals who will be par-
(c) operating practices of the heating systems being ticipating in each meeting event. It shall be recognized
assessed that all data initially identified as essential to the assess-
(d) maintenance of subsystems or critical components, ment shall be obtained in discussions with knowledge-
such as, but not limited to, burners or other types of heat- able facility staff.
ing systems, material handling system, equipment struc-
ture, and heat recovery equipment
(e) company goals, financial hurdles, company cul- 4.9 Goal Check
ture, and available capital Prior to conducting the assessment, the assessment
(f) access to at least several months of historical energy team shall ensure that the plan of action meets the stated
use and operating and technical data assessment goals. The assessment plan of action shall be
Assessment team members shall be empowered to al- reviewed for relevance, cost effectiveness, and capacity
locate the required time and resources as identified by to produce the desired results.
the assessment plan of action.

4.8.4 Assessment Schedule. The assessment team 5 CONDUCTING THE ASSESSMENT

shall prepare a schedule for the assessment activities. The
schedule shall include a list of specific process heating The assessment team should follow the assessment ac-
devices to be assessed, times when the equipment will tivities shown in Fig. 1.
be available for data collection, and a list of the required
data collection equipment and personnel. The following 5.1 Establishing Data Collection Priorities
shall also be made available, as needed:
Requirements for the development of a preliminary list
(a) safety briefing.
of process heating systems are detailed in para. 4.7.1. The
(b) nondisclosure agreements.
requirements for data collection methods are detailed in
(c) liability insurance requirements.
para. 4.8.1. These should be reviewed and updated be-
(d) requirements for personal protective equipment.
fore conducting the assessment.
All assessment team members shall have the necessary
equipment prior to the assessment.
It is essential to schedule the dates reserved for the as- 5.2 Determining the Functional Requirement of Each
sessment and to organize a set of scheduled events. For System
this reason, the dates of the assessment, and dates and For each process heating system studied, the assess-
times of key meetings, shall be designated in advance of ment team shall determine the system’s functional
beginning the assessment. requirements, such as production output, quality (in-
A meeting shall occur just prior to the commencement sofar as it can be controlled by the heating process),
of the assessment. The purpose of this meeting is to re- energy consumption (per production unit, if applica-
view information collected in the preliminary data col- ble), and emissions. The assessment team should poll
lection and evaluation and establish the work schedule. appropriate plant departments to develop a complete
At this meeting, the assessment team should discuss the profile of expectations or use original design param-
tools, methods, measurement, metering, and diagnostic eters as a guide. These might include parameters such
equipment required. The assessment team should also es- as energy use per unit of product (energy intensity)
tablish the daily schedule(s) for the on-site assessment. and product yield.

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Fig. 1 Assessment Activities

Identify Equipment

Identify Operating Condition

During Assessment

Identify Data Requirements for

Conducting Heat Balance
(Including location where
data will be collected)

Identify Data Sources

Other sources (operator, past logs,

Installed instruments Control panel Field measurement
design information, etc.)

Use calibrated
Verify accuracy Verify accuracy Confirm validity of
instruments at
and reliability and reliability values given and used
proper location

Define and confirm data analysis and savings calculation methodology

Heat balance and analysis, identify savings opportunities, and

select specific project recommendations

Optional savings analysis for the selected projects and preliminary payback analysis

Draft report, review, and final report

5.3 Review of Permanently Installed Meters manufacturers’ recommendations for accurate operation
and that they are properly calibrated per manufacturer’s
The team shall identify all the utility flow (e.g., fuels,
recommendations.
oxygen) and electrical power meters permanently in-
stalled on process heating devices. As needed, they will
5.4 Identification of Control System and Strategy Used
obtain output data, if it has been recorded and preserved,
for a period of time and in a format they deem appro- For each process heating device or system assessed,
priate. This may include input or production-related the assessment team shall determine the type of control
consumption data. The assessment team shall also con- systems and strategies used. These shall include (where
firm that the installation of the meters conforms to their applicable), but are not limited to, control systems for

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temperature, heat input, air-fuel ratio, furnace pressure (b) instruments and test procedures used to monitor
or draft, atmosphere generation, and safety. those operating parameters and procedures for and fre-
quency of calibration.
(c) maintenance history, with particular attention paid
5.5 Identification of Operating and Maintenance to parameters and equipment requiring frequent correc-
Practices tive intervention.
The assessment team shall obtain information on oper- (d) planned outage schedules and forced outage history.
ating and maintenance practices for the process heating
devices covered by the assessment.
5.6 Implementation of Measurement Plan (Data
5.5.1 Operating data and information shall include, Collection)
but not be limited to The assessment team shall develop a measurement
(a) heating process cycles, production cycles, product plan to ensure that data collected is accurate, repeatable,
throughput, and product mix and reliable under the same operating conditions.
(b) operating parameters, such as temperatures, pres-
sure (draft), and flue gas analysis (e.g., oxygen, carbon
5.6.1 Identification of Data Collection Requirements.
monoxide)
The assessment team shall identify the necessary data
(c) frequency and duration of typical process interrup-
requirements for the heat balance and shall identify spe-
tions due to factors outside the process heating system
cific sources, such as preinstalled instruments, control
(d) product- or production-related issues that impact
panels, operator input, or additional measurement using
how the heat processing operations are run
instrumentation at specific locations.
(e) product and process quality factors that must not
The assessment team shall review the available data
be negatively impacted by a change in heat processing
sources and data collected up to this point and determine
operations
what additional data are needed to conduct heat balances
(f) other operating parameters that are monitored reg-
on the selected process heating equipment.
ularly (e.g., Btu/lb of product), along with historical data
The assessment team shall prepare a worksheet that
on these parameters
shows the required data, the most suitable source for
that data, and method of validation, if required. This ma-
5.5.2 Maintenance practices and data shall include, trix shall be used to define the data collection activities.
but not be limited to Example of a typical worksheet is shown in Fig. 2.
(a) preventive maintenance and burner and combus-
tion equipment tuning schedules. The assessment team 5.6.2 Determination of Data Collection Methods.
shall verify these schedules are, in fact, observed in prac- Once the required data have been identified, the
tice. If not, the assessment team shall determine what the assessment team shall determine how it is collected. This
practices actually are. shall require

Fig. 2 Example Worksheet

Name of the equipment _________________________________________________________________

Operating conditions ___________________________________________________________________

Date _____________ Time of data collection_____________________________

Required Data Source of the Data Validation Method Responsible Assessment Team Member Remarks

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(a) determination of the appropriate instruments to energy efficiency, the tentative results of the assessment,
gather the data and ensure they are properly calibrated the recommended assessment measures with energy, and
(b) determination of the appropriate locations and in- approximate cost savings projections, if available. The re-
stallation procedure for data collection and the correct sults presented in this meeting shall be qualified as pre-
sampling equipment and procedures liminary, subject to needed further analysis. The target
(c) determining the appropriate times in the equip- dates for the delivery of a draft and final versions of the
ment operating cycle for data collection and the fre- final written report shall be set by mutual agreement.
quency of collection
6 ANALYSIS OF DATA FROM THE ASSESSMENT
5.6.3 Data Collection. Data collection duties shall be
assigned to various members of the assessment team. 6.1 Introduction
Wherever possible, all data pertaining to a particular The purpose of the analysis is to develop, for each
process heating device should be collected at the same heating device studied, an energy balance (and mate-
time to ensure it is a “matched set.” rial balance, when appropriate) based on the collected
The assessment team shall verify the instruments used data, to compare the results of this energy balance with
for data collection are properly functioning, calibrated, industry-accepted benchmarks, determine areas where
and installed at proper locations within the system. energy efficiency could be improved, identify ways this
improvement could be obtained, and, as an optional
5.6.4 Data Review. Assessment team members shall activity, conduct a financial analysis of those suggested
review the collected data. The review process shall in- improvements.
clude cross-checking of data obtained from installed
instrumentation or control panels with an independent 6.2 System Data Analysis
source (direct or indirect) for the same data. Should any
results appear inconsistent or in conflict with other data, The assessment team shall develop energy (heat) bal-
the members shall collect a second set of data at the iden- ances for the equipment evaluated during the assessment.
tical operating conditions to verify the original figures. Raw data collected during the assessment shall be used to
If serious inconsistencies appear between the first and calculate energy (heat) distribution for the system using
second sets, assessment team members shall review the manual calculations or software tools designed for the pur-
sampling procedures, instrument calibration, and equip- pose. Where raw data are used to calculate components of
ment operating modes at the times of the tests. the energy flow, such as wall heat losses from outside sur-
Data are considered acceptable only after assessment face (skin) temperatures, accepted equations, graphs, or
team members have determined the reasons for the in- software shall be used to conduct these supporting calcu-
consistencies and have corrected them. If the assessment lations. These calculation methods and assumptions and
team discovers any equipment or operating conditions their sources shall be clearly documented and described
that compromise safety or product or process perform- in the assessment report. The heat balance for each system
ance, they shall report these issues immediately to plant assessed can be presented in the form of a table or chart
management. that illustrates energy input and its distribution, including
recycling of energy, if any, within the system.
For continuous processes, the heat balance should be
5.6.5 Process Heating System Baseline. To com-
presented in terms of energy flow per hour (e.g., Btu/
pletely define assessment conditions, it is necessary to
h, kJ/h, kW, etc.). For batch processes, the heat balance
establish the system(s) baseline through gathering proc-
should include energy flow in terms of quantity of en-
ess heating energy use data and relevant production
ergy (e.g., Btu, kJ, kWh, etc., per unit of production or for
operating data. These data are the basis of future sys-
a specific duration or cycle time).
tem performance comparisons. The assessment should
Data analysis results should include heat balances,
record system operating conditions in a way that can be
energy intensity for the process equipment, and obser-
accessed in the future.
vations about equipment conditions (e.g., condition of
insulation, openings, and areas of losses) not directly
mentioned in the heat balance but which provide infor-
5.7 Wrap-Up Meeting and Presentation
mation on future energy savings opportunities.
As the final step in conducting the on-site part of the
assessment, some or all members of the assessment team
6.3 Calculations and Identification of Specific
shall make a presentation of findings. This event shall be
Energy Savings Opportunities
attended by all managers involved in and concerned with
the assessment and all assessment team members. The The assessment team shall compare the output of the
presentation should include the assessment process used, energy balance analyses (reported as overall energy
review of the current status of process heating system consumption, energy intensity, or thermal efficiency)

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to design values, accepted industry benchmarks, and/ 6.3.4 Examples of Revising Control Strategies. Re-
or targets established by plant management. Industry- vised control strategy opportunities deal with the way
accepted benchmarks, if used, should be defined and in which the output of the device’s heating system is
should be for identical or similar operating modes (e.g., regulated. In some cases, they may simply require recon-
batch vs. continuous, very large units vs. very small figuring of existing controls. In others, they will require
units) and similar types of equipment. This analysis, replacement of existing control systems and components.
taking utility costs into account, identifies areas where They include changing the location or type of temperature
energy savings opportunities exist and is critical to de- sensors, replacing electromechanical contactors with sili-
veloping estimates of the savings resulting from taking con-controlled rectifiers (SCRs), converting from two-po-
advantage of those opportunities. Separating opportuni- sition to proportional temperature controls, and revising
ties into categories based on the ease of implementation heating zone temperature profiles. Some of these revi-
and cost of carrying them out may assist in establishing sions can be implemented quickly and may yield signifi-
their priorities. These categories include maintenance cant savings for a modest investment of time and money.
improvements, operational improvements, equipment
upgrades and replacement, revising control strategies 6.3.5 Examples of Process Improvements/Change-
and process improvements, changeovers, and others, as overs. Process improvement and changeover op-
described in paras. 6.3.1 through 6.3.6. portunities require additional detailed study because
they embody fundamental changes to the product
6.3.1 Examples of Maintenance Improvements. and/or its processing to reduce the energy required to
Maintenance improvement opportunities often yield rel- make it. Such opportunities might include changing
atively high savings for the amount of time and money the material of a product to permit a less energy-inten-
invested and often can be quickly implemented. They sive thermal treatment or to eliminate heat processing
require efforts to restore the heating equipment to its altogether.
original design specifications or enhance its performance
with minimal or no capital investment. Examples in- 6.3.6 Examples of Other Energy Savings Opportunities.
clude adjusting excess combustion air to more efficient Other opportunities include all other methods not consid-
levels, repairing door or access cover seals, repairing or ered above. One example is fuel switching. This may in-
recalibrating control instruments, patching or replac- clude conversion of electrical heating systems to fuel fired
ing deteriorated insulation, and developing preventive systems, fuel fired systems to electrical heating systems, use
maintenance procedures. of by-product fuels, or use of a hybrid system where more
than one energy source is used for processing the product.
6.3.2 Examples of Operational Improvements. Op-
erational improvement opportunities deal with the way 6.4 Energy Use Baseline
the heating equipment is operated in the production en- The assessment shall define and develop an energy use
vironment. Examples include rescheduling work flows baseline for the process heating system(s). The baseline
to reduce idle time or temperature set point changes, can be in terms of units such as energy used per unit of
minimizing overall energy consumption associated with production, per unit of time, or other appropriate units
restarts after idle production shifts, and altering work- that can be used for future comparison after implementa-
flow patterns or heating equipment locations to preserve tion of energy efficiency improvement projects.
thermal energy in products between processes. These
changes shall not negatively affect process performance 6.5 Technical and Financial Analysis
or product quality. Changing product quality require- The assessment team, in cooperation with other
ments may be an appropriate way of saving energy or resources, shall carry out a technical analysis for the energy
increasing throughput but only if approved by plant savings opportunities identified for the various heating
management. systems. Technical analysis should include considerations
for issues, such as availability, performance, acceptability,
6.3.3 Examples of Equipment Upgrades and and history. A list of selected and unselected opportuni-
Replacement. Equipment upgrade and replacement ties, with reasons for the decision, shall be documented
opportunities require capital investment to improve the in the reviews as well as the final report.
thermal efficiency of the processing equipment. Typi- Recommendations not meeting the technical criteria
cal upgrades include the addition of exhaust gas heat established by the plant personnel or leadership staff
recovery to fuel-fired furnaces, replacement of heating shall be separated from those that are acceptable.
elements or burners with higher performance designs, A financial analysis, as an optional activity, should be
upgrades to fans and ductwork for higher heat transfer carried out for the technically acceptable recommendations
rates, and replacement of existing insulation with materi- and shall include net savings (economic benefits) and
als of higher thermal performance. estimates of budgetary cost for implementation of each

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of the recommendations. Net savings shall include all (e) performance opportunities identified with associated
appropriate components, such as energy cost, productivity energy and cost savings
changes, labor costs, improved product quality, mainte- (f) recommendations for implementation activities
nance cost savings, and emission reduction. Implementa-
tion costs shall include all appropriate components, such 7.2.2 Facility Information. A detailed description of
as hardware, installation labor, and start-up costs. These the facility, plant background, and products made at the
should be obtained using various resources, such as the plant shall be included in this section.
assessment team experience.
The analyses shall categorize the opportunities, ac-
cording to the plant’s chosen method of evaluation, or 7.2.3 Assessment Goals and Scope. This report sec-
as operating, maintenance, capital, or other specially tion shall contain a brief statement of the assessment’s
funded projects. For capital projects, a financial jus- goals. The report shall identify the boundaries of the spe-
tification like a simple payback analysis or internal cific system(s) on which the assessment was performed
rate of return shall be prepared if a financial analysis and why the boundaries were selected. This report sec-
is completed. tion shall include a description of the general approach
Plant or corporate financial personnel should be con- and methodology used to conduct the assessment.
tacted for guidance on the requirements and specific
methodology to use. 7.2.4 Description of System(s) Studied and Significant
Methods used for the implementation cost estimate, System Issues. The report shall include a detailed de-
data sources, and implementation costs shall be clearly scription of the specific system(s) on which the assess-
noted in the assessment report. ment was performed. Descriptions shall include major
characteristics of the equipment, such as type of device,
operating method (e.g., batch, continuous, semi-batch),
7 REPORTING AND DOCUMENTATION
products processed, production capacity, type of heat
7.1 Final Assessment Report source used, and maximum heat consumption. Any spe-
cial product considerations bearing on system or proc-
At the conclusion of the on-site assessment and any
ess alterations shall be noted. Depending on the system
required follow-up data analysis, the assessment results
assessed, the discussion of system operation can be ex-
shall be reported in a final written report, as described in
tensive and should be supported by graphs, tables, and
para. 7.2.
system schematics. Supporting documentation should
also be included to clarify the operation of the system
7.2 Final Assessment Report Contents components and their interrelationships.
The final assessment report shall include the following Any significant system issues related to energy use and
information: others affecting the energy use shall be described, includ-
(a) executive summary ing an operational review of system. Any existing best
(b) facility information practices found (methods and procedures found to be
(c) assessment goals and scope most effective at energy reduction) shall be documented.
(d) description of system(s) studied in assessment and
significant system issues 7.2.5 Assessment Data Collection and Measurements.
(e) assessment data collection and measurements The methods used to obtain data and conduct measure-
(f) data analysis ments shall be identified, including an overview of the
(g) energy use baseline measurement plan. Measurement data and observations
(h) performance improvement opportunities and pri- required for para. 7.3 not reported in para. 7.2.6 shall be
oritization placed in an appendix. This report section shall also in-
(i) recommendations for implementation activities clude, for each heating system studied, the highlights of
(j) appendices the energy flows represented in form of tables, graphs,
or commonly used methods, such as Sankey diagrams.
7.2.1 Executive Summary. This section shall con- Where information is available, that performance shall
dense and summarize the report in brief. The executive be compared with design values, industry or corporate
summary shall provide an overview of benchmarks, or other similar units used within the plant
(a) the facility, plant background, and products made or other plants of the company. Significant factors con-
at the plant tributing to that performance shall be described, along
(b) goals and scope of the assessment with any other particularly noteworthy findings.
(c) system(s) assessed and measurement boundaries This report section shall also identify the methods,
used models, or software used for analysis and the results
(d) energy use baseline they produced.

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Raw data, such as flue gas measurements and furnace (e) changes or modifications necessary for the existing
wall losses, the instruments and methods used to collect equipment
them, and energy balances and their supporting calcu- (f) time and cost for implementation
lations, shall reside in the report appendix. Data shall (g) complexity of implementation steps
be reported in units customarily used by the plant. (h) potential parallel benefits (e.g., improved prof-
The assessment report should give details on the con- itability, improved operations, lower environmental
sistency, repeatability, and reproducibility of the measure- impact)
ments. The assessment report should show the confidence,
precision, and data loss of measurements. 7.2.9 Recommendations for Implementation Activities.
The report should include a description of steps needed
7.2.6 Data Analysis. The report shall include the out- to implement the opportunities identified during the as-
come of the measurements and data analysis in accord- sessment. Methods for refining data analysis as needed
ance with the site-specific assessment goals, assessment and for obtaining reliable implementation cost estimates
plan of action, and statement of work. Any significant should be addressed. Steps for optimizing and main-
analytical methods, measurements, observations, and taining system performance following implementation
results from data analysis from completed action items of adopted measures should be identified.
shall be documented. Implementation cost estimates for the performance
improvement opportunities, if developed as an optional
7.2.7 Energy Use Baseline. The assessment report activity, are intended to be in metrics, such as return on
shall contain the energy use baseline for the process heat- investment and payback period.
ing system(s). The analytic method used to develop the The recommendations may include the need for fur-
energy use baseline and units of the baseline shall be de- ther engineering analyses prior to implementing the
scribed. Plant functional and production process obser- identified assessment opportunities.
vations and information shall be reported.
The report shall clearly describe the process heating 7.2.10 Appendices. Material that is somewhat
system energy use baseline. This baseline can be adjusted lengthy and does not necessarily contribute to the overall
for changes in operating conditions. presentation of the report should be included in appen-
dices to keep the body of the report short.
7.2.8 Performance Improvement Opportunities Identi- This section shall include one or more of the following
fied and Prioritization. The analysis shall quantify esti- topics with appropriate details that allow the reader to
mates of energy reduction and energy cost savings from fully understand the assessment process, data analysis, and
recommended performance improvement opportunities. basis for the recommendations. Topics may include details
The report section shall include a list and description of of process heating equipment, energy sources and their use
significant contingent benefits, such as reduced emis- during operations, instrumentation and data sources used
sions, increased productivity, and lowered energy cost for the energy balance, and computational tools, including
per unit of production. Additional calculations may ad- software or other calculation methods used.
dress other energy and non-energy benefits. The report
shall identify the methods of calculation and software
7.3 Data for Third Party Review
models used with assumptions clearly stated.
Performance improvement opportunities can include The report or other documentation delivered with
those from maintenance improvements, operational im- the report shall include sufficient raw data from the
provements, equipment upgrades and replacement, assessment so that the analyses performed in section
revising control strategies, process improvements and 5 can be confirmed by a third party. This documen-
change-over, and other actions that reduce energy tation shall be structured so it can be easily accessed
consumption. by verifiers and other persons not involved in its
Details on performance improvement opportunities to development.
be documented and reported shall include a sufficiently
detailed description of the actions required for project
implementation. To aid in the selection of projects for im- 7.4 Review of Final Report by Assessment Team
plementation, the assessment team should categorize the Members
opportunities as high, medium, or low priority based on Before the assessment report is finalized, members of
factors such as the assessment team shall review the assessment report for
(a) energy and cost savings accuracy and completeness and provide comments. Upon
(b) likelihood of achieving projected savings review of the draft report and requests for modifications,
(c) likelihood of long project life with sustained savings the assessment team shall provide a consensus acceptance
(d) impact to ongoing operations and then prepare and issue the report in final form.

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NONMANDATORY APPENDIX A
KEY REFERENCES

A-1 REFERENCES A-2 SOFTWARE TOOLS FOR PROCESS HEATING AND

RELATED TOPICS
Reed, R., 1986, North American Combustion Handbook,
Vols. I and II, North American Mfg. Co., Cleveland, OH The following software tools are available for down-
44105. load on the U.S. Department of Energy Web site www.
Baukal, C., Jr., 2001, The John Zink Combustion Hand- eere.energy.gov/industry under the section “Software
book, CRC Press, New York, NY. Tools.”
Industrial Heating Equipment Association, 1994, Com- Process Heating Assessment and Survey Tool (PHAST)
bustion Technology Manual, Industrial Heating Equipment Combined Heat and Power Application Tool (CHP)
Association, Cincinnati, OH. NOx and Energy Assessment Tool (NxEAT)
Trinks, W., Mawhinney, M. H., Shannon, R. A., Reed, R. J., Steam System Scoping Tool
and Garvey, J. R., 2004, Industrial Furnaces, John Wiley & Steam System Assessment Tool (SSAT)
Sons, Inc., Hoboken, NJ. 3E Plus
The U.S. Department of Energy, 2005, Improving Process
Heating System Performance: A Sourcebook for Industry, The
U.S. Department of Energy, Washington D.C.

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E06209
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