Aerosol Science and Technology

ISSN: 0278-6826 (Print) 1521-7388 (Online) Journal homepage: http://www.tandfonline.com/loi/uast20

Filtration performances of HVAC filters for

PM10 and microbial aerosols— Influence of
management in a lab-scale air handling unit

Luisa F. González, Aurélie Joubert, Yves Andrès, Myriam Liard, Christophe

Renner & Laurence Le Coq

To cite this article: Luisa F. González, Aurélie Joubert, Yves Andrès, Myriam Liard, Christophe
Renner & Laurence Le Coq (2016) Filtration performances of HVAC filters for PM10 and microbial
aerosols— Influence of management in a lab-scale air handling unit, Aerosol Science and
Technology, 50:6, 555-567, DOI: 10.1080/02786826.2016.1167833

To link to this article: https://doi.org/10.1080/02786826.2016.1167833

Accepted author version posted online: 28

Mar 2016.
Published online: 28 Mar 2016.

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AEROSOL SCIENCE AND TECHNOLOGY
2016, VOL. 50, NO. 6, 555–567
http://dx.doi.org/10.1080/02786826.2016.1167833

Filtration performances of HVAC filters for PM10 and microbial aerosols—

Influence of management in a lab-scale air handling unit
Luisa F. Gonz
aleza,b, Aur
elie Jouberta, Yves Andresa, Myriam Liardb, Christophe Rennerb, and Laurence Le Coqa
a
GEPEA, CNRS, UMR6144, Mines Nantes, Nantes, France; bVeolia Recherche et Innovation (VERI), Centre de Recherche de Maisons-Laffitte,
Chemin de la Digue, Maisons-Laffitte, France

ABSTRACT ARTICLE HISTORY

Filtration performances of air handling unit (AHU) filters for particles and microbial aerosols were Received 7 December 2015
investigated. The influence of the AHU operational conditions on the behavior of microorganisms Accepted 9 March 2016
collected on the filters was also studied. A lab-scale AHU with two filtration stages was developed EDITOR
and validated for the study of downsized filters with industrial geometries. Three types of filters of Tiina Reponen
different efficiency were considered: G4, F7, and F9, according to European standard EN 779. Two
configurations of filters were studied: G4 pleated/F7 bag and F7/F9 bag. Filters were sequentially
clogged by alumina particles, which provided a mineral fraction in the particulate cake, and then by
micronized rice particles, which provided the fungus Penicillium chrysogenum and an organic
fraction that acts as a substrate for microorganisms. Finally, a microbial aerosol composed of
endospores of Bacillus subtilis and spores of Aspergillus niger was nebulized to contaminate filters.
After clogging, periods of 5 days on and 2 day weekend stops with restarts of ventilation were
simulated for 6 weeks. The results showed that the filter efficiency for particles was quite
comparable to that for microbial aerosols expressed in cultivable concentration. The particulate
cake composed of alumina and micronized rice particles enabled the growth of the endogenous
species P. chrysogenum and the survival of exogenous species B. subtilis and A. niger on filters.
During restarts of ventilation, low particle concentrations were detected downstream of the second
filtration stages by release but the microbial concentration from the fraction of air sampled was
below the detection limit.

Introduction The effects of particles and microbial aerosols on

human health have been widely reported in the literature
Indoor air quality (IAQ) is a major concern because
as presented in the review of Harada et al. (2010) and
most people spend almost 90% of their time in indoor
other studies (Griffiths and DeCosemo 1994; Stetzenbach
environments and breathe around 15–20 m3 of air per
1998; Fischer and Dott 2003; Srikanth et al. 2008). Sick
day (Bennett 2009; ADEME 2011; Sarbu and Sebarchie-
building syndrome (SBS) is a term introduced by the
vici 2013). Many factors affect IAQ such as pollutant
World Health Organization (WHO) in 1983 to explain
emissions from indoor sources like occupants or con-
the symptoms and discomfort of workers. Microbial
struction materials, the penetration of outdoor air pollu-
aerosols and microbial secondary metabolites are
tants, and the design and operation of ventilation
involved in this syndrome (Bonetta et al. 2010).
systems (natural or mechanical). According to Gustavs-
Heating, ventilation, and air conditioning (HVAC)
son et al. (2010), about 50% of airborne outdoor pollu-
systems renew indoor air by mechanical ventilation and
tants are transported into buildings through the
their air handling units (AHUs) control air quality by
ventilation system and air infiltration, and these have a
maintaining temperature and relative humidity and
large impact on the indoor air quality. Many of them
eliminating indoor air pollutants. Positive effects have
have been detected in indoor air, such as particulate mat-
been demonstrated such as health benefits and better
ter (PM), microbial aerosols, and volatile organic com-
productivity of workers when HVAC systems are well
pounds (VOCs; Yu et al. 2009; Wolkoff 2013; Liu and Li
operated (Sepp€anen and Fisk 2004; Yu et al. 2009; Xu
2013).
et al. 2010). Nevertheless, systems have been suspected

CONTACT Aur
elie Joubert aurelie.joubert@mines-nantes.fr GEPEA, CNRS, UMR6144, Mines Nantes, 4 rue Alfred Kastler, BP 20722, 44307 Nantes cedex
03, France.
Color versions of one or more of the figures in the article can be found online at www.tandfonline.com/uast.
© 2016 American Association for Aerosol Research
556

L. F. GONZALEZ ET AL.
as sources of contamination when they are not well-
designed or operated (Chow et al. 2005; Yu et al. 2009; Li
et al. 2010).
In-duct air cleaners in AHUs have been developed to
remove pollutants from air, for example, photocatalytic
oxidation (PCO) cleaners or electrostatic precipitators
(ESPs). PCO removes VOCs at low pressure drops but it
can be an expensive technique and can produce undesir-
able by-products or ozone (O3) (Farhanian and Haghighat
2014). These by-products can be more toxic than the initial
pollutants. The collection of particles by electrostatic pre-
cipitation involves the ionization of the stream passing
through the ESP, the charging, migration, and collection of
particles on oppositely charged surfaces, and the removal
of particles from the collection surfaces. Thus, particles in
the airstream are precipitated by the application of an elec-
trical field on the charged particles. ESPs remove fine par-
ticles from air at high efficiencies and low pressure drops.
When particles are deposited on the collection surfaces,
they lose their charge and can be tapped from the plates
into a hopper underneath. There is a significant risk of
dust being pulled back in this step because particles can
break up while falling and be swept up into the airflow
(Woodard 1998). The minimum collection efficiency is
observed in the 0.1–1 mm diameter range, which is usually
lower than 90%. This low performance can be explained
by the difficulty of charging submicronic particles as low
charge results in low particle mobility and low collection
efficiency (Jaworek et al. 2007).
Air filtration using fibrous media is widely used
because it protects other AHU components like the fan
and heat exchangers. Nevertheless, airflow through filters
generates high pressure drops during clogging and con-
sequently a high energy cost. Thus, different configura-
tions of filters are proposed in full-scale AHUs to reduce
maintenance and operation costs. Different fibrous
media have also been developed such as those using
charged fibers in order to obtain electret filters. These fil-
ters lead to improved filtration performances without
increasing the pressure drop. However, performance
characteristics change with the operation time. During
filter loading, filtration performances decrease. Three
explanations have been proposed: (i) a neutralization
effect that leads to a reduction in the charge of the filter
fibers (Baumgartner and L€offler 1987; Ji et al. 2003; Cha-
zelet et al. 2011), (ii) chemical interactions between fibers
and aerosols (Barrett and Rousseau 1998), and (iii) a
“screening” effect on the fibers due to the deposited aero-
sols. The latter explanation resulted from an industry-
based study (Brown et al. 1988).
Studies at laboratory-scale have already focused on
microbial growth and release on flat filters in different
operating conditions (Bonnevie Perrier et al. 2008;
Forthomme et al. 2014). It was found that factors such as
the structural properties of filters, the nature of the col-
lected particles, and the AHU operating conditions could
influence microbial behavior on filters. Filter porosity
and capacity to retain water are important parameters
regarding microbial growth (Burge 1995; Kemp et al.
2001), as is the nature of the collected particles. For
example, particulate cake can serve as a protection for
microorganisms or as a support for the adsorption of
organic matter, which is used as a substrate (Kuehn et al.
1991; Li et al. 2010). AHU management improves energy
saving and indoor air quality criteria by optimizing sev-
eral factors: filtration efficiency, comfort of occupants,
energy consumption, frequency of changing filters, and
efficiency/cost balance (Kemp et al. 2001; M€oritz et al.
2001; Farnsworth et al. 2006). Operation of AHUs can
influence IAQ, for example, when ventilation is stopped
or reduced during nights, weekends, or holidays. When
the system restarts, particle release is possible and aero-
sols can pollute the treated air.
This study aimed to study filter performances during
clogging with mineral and organic particles as well as
microbial aerosols. Moreover, the influence of stop/go
cycles of ventilation on the treated air was also investi-
gated. A lab-scale AHU composed of two filtration stages
was developed to study the filtration performances of
downsized filters with industrial geometries (pleated and
bag). HVAC systems for tertiary buildings (commercial,
residential, or service sectors) were the focus of this
study. Mineral, organic, and microbial aerosols with par-
ticle size distributions representative of urban atmo-
spheric aerosols in the PM10 range (Monn 2001; Zhang
et al. 2007) were used. Controlled conditions of particles
and microbial aerosols concentration were provided for
constant airflow, temperature, and relative humidity.
Ventilation stops were simulated in order to study par-
ticles and microbial release during restarts and influence
on IAQ.
Materials and methods
Lab-scale air handling unit (AHU)
The lab-scale AHU developed is a closed-loop duct
through which air can be continuously circulated for
controlled temperature (T) and relative humidity (RH)
set-points (Figure 1). The loop can be divided into two
units. The filtration unit is composed of two sequential
filtration stages (3 and 5 in the figure), an aerosol injec-
tion point (1 in the figure), and sampling points
upstream and downstream of each filter (2, 4, and 6 in
the figure) for particle counting and microbial sampling.
A straight length equivalent to 10 times the hydraulic

Figure 1. Operating diagram of the lab-scale AHU.
diameter (0.12 m) enables flow stabilization upstream of
the filters. Symmetric velocity profiles upstream of the
first stage and downstream of the second stage validated
the representativeness of sampling points (Gonzalez
et al. 2013). Downsized HVAC filters of different effi-
ciencies (G4 to F9 according to the European standard
EN 779; MERV 7 to 16 according to the US ASHRAE
52.2 rating) and industrial geometries (bag and pleated
filters) were tested in this unit.
In the air conditioning unit, climatic parameters
(RH and T) are regulated and the air is cleaned with
a high efficiency particulate air (HEPA) filter (H14).
The air conditioning unit can maintain set-points
(60% or 90% RH) with less than 1% variation in the
range between 20
C and 25
C (Gonzalez et al. 2013).
Airflow is measured continuously and controlled with
a flow regulator with less than 1% variation. Filters
were tested in the unit at nominal air filtration veloci-
ties of full-scale AHU filters corresponding to an air-
flow of 140 m3/h.
Overall methodology
The overall methodology is composed of three steps. Step
1, filters were clogged sequentially (from injection
upstream of the first filtration stage) with mineral (alu-
mina) and organic (micronized rice) particles until 50%
of the dPmax for first-stage filter. Then, filters were con-
taminated with a microbial consortium aerosolized
for 3 h. During clogging in nominal conditions
(Q D 140 m3/h), filter performances were monitored in
AEROSOL SCIENCE AND TECHNOLOGY 557
terms of pressure drop (dP) and efficiency (E). Step 2,
after clogging with particles and contamination with
microbial aerosols, cycles of 5 days of operation and
2 day stops were simulated for 6 weeks. These stops are a
current operational strategy in full-scale AHUs during
weekends. Throughout the test, the air temperature (T)
and relative humidity (RH) in the lab-scale HVAC unit
were maintained at 24 § 1
C and 60 § 1%. Quantifica-
tion of potential particles and microbial aerosols released
was performed at each restart of ventilation. Step 3, after
6 weeks of operation, filters were analyzed to quantify
the concentration of microorganisms on them. These
concentrations were compared to those estimated at t D
0 to identify the growth, mortality, or stability of micro-
organisms during the filtration process and stops of
ventilation.
Filter characterization
Two configurations of downsized filters in the first C
second stages were studied: G4CF7 and F7CF9. These
configurations are often used in full-scale AHUs of office
buildings. The three types of HVAC downsized filters,
G4, F7, and F9, have different efficiencies according to
the European standard EN 779 (2012) and various geom-
etries and types of filtering media: cotton/polyester-
pleated filter (G4) and glass fiber-bag filters (F7 and F9).
The main characteristics and porous structural parame-
ters of the tested filters are summarized in Table 1.
The thickness (Z) of the filtering media was measured
using a micrometer, paying particular attention to the
558

L. F. GONZALEZ ET AL.

Table 1. Main characteristics and porous structural parameters of the filtering media.
G4 F7 F9

Nature of fibers Cotton and polyester Glass Glass

Filtration surface area of prototype filters (m2) 0.06 0.36 0.36
Geometry Pleated (6 pleats) Bag (2 bags) Bag (2 bags)
Mean efficiency for 0.4 mm particles (%) – 80–90 >95
Nominal filtration velocity (m/s) 0.8 0.1 0.1
Maximal pressure drop dPmax (Pa) 250 450 450
Thickness (mm) 2.8 § 0.7 7.2 § 1.1 6.8 § 1.5
Basis weight (g/m2) 65 § 5 75 § 10 80 § 3
Porosity (%) 92 § 1 96 § 2 94 § 1
Mean fiber diameter (mm) 11 § 2 1 § 0.2 0.5 § 0.2
Permeability (m2) (2.2 § 0.4) £ 10¡9 (1.7 § 0.5) £ 10¡10 (1.4 § 0.2) £ 10¡10

Data from manufacturer.

compressibility of the media (for thinner media, Scan-
ning Electron Microscopy [SEM] observations may be
used). The basis weight was determined by weighing
dried samples with known surface areas of each filtering
medium. The mean porosity (e) value was determined
by the mercury porosimetry technique (mercury poros-
imeter Autopore IV 9500-Micromeritics) from three
samples of each filtering medium. The mean fiber diame-
ter (df) was determined from the modal pore diameter
obtained by porosimetry analyses and considering cylin-
drical fibers, the definition of the specific surface area of
fibers (Sf) (ratio between the external surface area of one
fiber and its volume) and by applying the hydraulic
diameter definition to pores (Equation (1)):
4 4e
Sf D D :
df .1 ¡ e/dpores
Permeability (B) was determined experimentally from
pressure drop (dP) measurements of clean filters at dif-
ferent filtration velocities (n) considering Darcy’s law for
laminar airflow (Equation (2)).
Description, generation, and quantification of
aerosols
In order to represent the varied chemical composition of
urban aerosols, mineral, organic, and biological aerosols
were used to load the filters. Commercial alumina oxide
(Al2O3) dust was selected as the mineral particles because
its size distribution is close to PM10. Rice grains crushed
into fine particles were obtained in the PM10 range. This
micronized rice aerosol was selected as the organic par-
ticles and also provided the endogenous fungal species
Penicillium chrysogenum. The biological fraction was
complemented by a microbial consortium composed of
endospores of Bacillus subtilis bacteria (CIP 52.65) and
spores of Aspergillus niger fungi (UMIP 2467.98). Bacillus
spp. and Aspergillus spp. were selected because they are
very common in indoor and outdoor air (Goyer et al.
½1 2001). Other species of these families, like Bacillus
anthracis and Aspergillus fumigatus, have a powerful toxic
potential, which is why the study of these families and an
understanding of their behavior in filtration is considered
worthwhile. Filters were clogged sequentially by alumina
particles, then micronized rice, and finally contaminated
by microbial aerosols. This methodology was chosen in
order to control the ratio of alumina and micronized rice
particles in the particulate cake for microbial growth.

m£Z Mineral and organic particles

BD n:
dP
The three fibrous media clearly have different charac-
teristics. Bag filters (F7 and F9) are thicker than the
pleated G4 filter because of their multilayer structure. F7
and F9 filtering media have lower permeability than the
G4 filter. The mean fiber diameter of the G4 filter is
almost 10 times higher than that of F7 and F9. These
porous structural differences explain the differences in
efficiencies of these media.
½2
Aerosols were generated in the lab-scale AHU at a flow
rate of 5 m3/h with a powder generator (RBG 1000,
Palas) fed with dried air (RH < 5%). First, alumina par-
ticles were generated and then micronized rice particles.
The organic mass fraction of PM10 urban aerosols can
vary between 20% and 70% (Putaud et al. 2004; Zhang
et al. 2007). As a consequence, a generated mass ratio of
1:1 was targeted to correspond to an organic fraction of
50%. Filters were clogged until half of the maximal pres-
sure drop of the first filtration stage was reached in order
to study filters in a half-life clogging state, at filtration

velocities close to nominal conditions. As presented later
in the article, the mineral/organic ratio was not exactly
but close to 1:1 because of difficulties to evaluate pre-
cisely pressure drop evolution during multi-pollutant
(alumina—micronized rice) sequential clogging.
During clogging, particles were counted upstream and
downstream of each filter stage sequentially with an Opti-
cal Particle Counter (OPC) WELAS 2100 (Palas, Karls-
ruhe) in order to estimate filter efficiency (E). This
counter is a high-resolution spectrometer that discretizes
particles into 59 channels in three possible measuring
ranges, including 0.2–10 mm and 0.6–40 mm. An LED is
used as a white light source that illuminates the particles
carried by the airstream and a 90
scattering angle detec-
tor is used to measure the light redirected by them. The
optical sensing volume of this model has a patented T-
shaped cross-section that enables the elimination of false
signals from particles travelling near the border zone
(M€ olter and Munzinger 1998; M€olter and Keßler 2004a;
M€ olter and Keßler 2004b). Note that according to Mullins
et al. (2012), the counting efficiency is similar to that of
other OPCs. Regarding the smallest size range of 200 nm
(detection limit specified by the manufacturer), which is
close to the most penetrating particle size (MPPS) of the
filters tested, the counting efficiency is close to 70% but it
quickly reaches 100% at 300 nm. Regarding the sizing
accuracy, Mullins et al. (2012) observed that the counter
accurately sizes the particles between 0.3 and 1 mm but
slightly overestimates the size by around 10% at 200 nm.
The particle concentrations measured were in the range
specified by the manufacturer for a 10% coincidence error:
<1 part/cm3 and 105 part/cm3 (expressed in number of
particles per volume of air: part/cm3).
Mass distributions of particles were calculated consider-
ing spherical particles with a density, determined by mer-
cury porosimetry, of 3950 kg/m3 and 1440 kg/m3 for the
alumina and micronized rice particles, respectively. The
mass and number size distributions of particles were char-
acterized (Gonzalez et al. 2014). Median diameters (d50)
of alumina and micronized rice particles were 0.3 and
0.6 mm in number and 1.7 and 7.4 mm in mass, respec-
tively; average generated concentrations were 70 £ 103
and 6 £ 103 part/cm3 in number and 67 £ 103 and 85 £
103 mg/m3 in mass, for alumina and micronized rice
particles, respectively.
During restarts of ventilation, particles were counted
(Welas, Palas) downstream of the second filtration stage
for 15 min (discretization time was 1 min) to quantify
particle release.
Microbial aerosols
The microbial suspension was prepared according to the
methodology of Forthomme et al. (2014). It was
AEROSOL SCIENCE AND TECHNOLOGY 559
composed of B. subtilis endospores and A. niger spores.
The cultivable concentrations were close to 106 CFU/mL
and 105 CFU/mL, respectively. The microbial consor-
tium was prepared on the same day as filters were
contaminated.
After filters were clogged with particles, the microbial
consortium was generated for 3 h with a nebulizer (AGK
2000, Palas) at a flow rate of 6 L/min (RH  60%)
upstream of the first filtration stage to contaminate fil-
ters. Simultaneous samplings were performed upstream
and downstream of each filtration stage with a BioSam-
pler (SKC), which is specially designed to sample micro-
organisms (Lin et al. 1999). The collection liquid was an
isotonic solution composed of NaCl (9%) in distilled
water. It was analyzed by a culture-based method for col-
ony-forming unit (CFU) counting, to determine the filter
efficiency for microbial aerosols (ECFU). The concentra-
tions upstream of the first filtration stage were close to
105 CFU/m3 and 103 CFU/m3 for B. subtilis and A. niger,
respectively, and remained stable throughout aerosol
generation.
For B. subtilis, a culture medium composed of tryp-
tone (10 g/L), meat extract (5 g/L), and sodium chloride
(5 g/L) (Biokar Diagnostics) with 1.2% agar was used.
The plates were incubated at 37
C for 24 h. For the fungi
A. niger and P. chrysogenum, a dichloran rose bengal
chloramphenicol agar was used (DRBC agar, Biokar
Diagnostics). The plates were incubated at 25
C for
3 days. The quantification and detection limits for B. sub-
tilis and A. niger were 350 and 35 CFU/m3, respectively.
The concentrations below the quantification limit were
not used in the data analysis (i.e., calculation of the aver-
age concentration).
Particle size distribution of the generated endospores
of B. subtilis was quantified in the lab-scale AHU with a
particle counter (APS, TSI). The median aerodynamic
diameter measured was 0.8 mm. The geometric diameter
of A. niger and P. chrysogenum spores was determined
by SEM observations and found to be between 1.5 and
3 mm for A. niger and between 1 and 2.5 mm for P.
chrysogenum.
During restarts of ventilation, microorganism sam-
pling was performed with a BioSampler (SKC) down-
stream of the second filtration stage for 15 min to
quantify the microorganism release. The same protocol,
previously described, was used to quantify the
microorganisms.
Microbial concentration on clogged filters
After clogging/contamination of filters and simulation of
stops of ventilation, filters were analyzed to quantify the
concentration of microorganisms at the end of the tests.
560

L. F. GONZALEZ ET AL.
Figure 2. Schematic representation of sampling methodology of downsized filters.
For G4 filters, four samples were cut from different
pleats as presented in Figure 2. For F7 filters, three sam-
ples from each bag were taken from different places:
near the entry of the bag, in the middle and near the air
exit as presented in Figure 2. A total of six samples were
considered. Each sample surface area was 25 cm2.
An experimental protocol to extract microorganisms
from filters was followed as presented by Forthomme et al.
(2014), Bonnevie Perrier et al. (2008), Kemp et al. (2001),
and M€ oritz et al. (1998). The filter sample was placed in an
extraction solution composed of MgSO4 (0.01M) and
Tween 20 (0.25%). This was shaken for 1 h at 300 rpm
before undergoing 1 min of ultrasound (100 W; 20 kHz).
Finally, the solution was directly analyzed by a culture-based
method for CFU counting. Although cultivable microorgan-
isms represent a small fraction of the total microorganisms
present in air, the culture-based method is the most widely
used to study living microorganisms. For the three species
considered in this work, the culture method was accurate
enough to monitor their behavior. The same culture
medium and incubation times previously described were
used. Bacterial and fungal colonies were counted and con-
centrations were expressed in Colony-Forming Units
(CFU) per cm2 of filter (CFU/cm2).
Filtration efficiency calculations
Filter efficiency (E) was determined according to the
ratio of particle concentrations (C) upstream and down-
stream of each filter (Equation (3)):
 
Cdownstream
E.%/ D 1 ¡ £100: ½3
Cupstream
For particles, an overall efficiency was calculated con-
sidering all sizes of particles. Concentrations can be
expressed in number of particles (part/m3) or in mass
(mg/m3). Fractional efficiency (Ei) was calculated using
the same equation but considering a specific particle size
(i). For B. subtilis and A. niger, filter microbial efficiency
(ECFU) was calculated according to the concentrations of
cultivable microorganisms when the values were above
the quantification limit, expressed for each species in
CFU/m3. When microorganisms were not detected, a
minimal microbial efficiency was calculated considering
the detection limit concentration.
Results and discussion
The filtration performances, the release of particles and
microorganisms during ventilation restart, and the con-
centrations of microorganisms on filters are presented
for the two configurations studied (G4CF7 and F7CF9).
Filtration performances
Alumina and micronized rice particles
The ratio between the filter pressure drop and the initial
pressure drop (dP/dP0), as well as the overall particle col-
lection efficiency (E), considering mass and number dis-
tributions, are represented as a function of the mass of
particles collected, normalized by filter surface area.
Al2O3 particles were counted in the range 0.2–10 mm
and micronized particles in the range 0.6–10 mm. The
results are presented in Figures 3 (G4CF7) and 4
(F7CF9). In accordance with the literature (Walsh
1996), clogging of the fibrous filters with solid particles
led to an increase in their pressure drop and efficiency.
Note that filtration performances, efficiency, and pres-
sure drop are strongly dependent on the particle size distri-
bution (PSD) of the aerosol collected. The changes in
filtration performances according to the mass of particles
collected that were observed in this study will be different

Figure 3. Pressure drop ratio (dP/dP0, ¡) (&), number (D,),
and mass (~,) efficiency (E, %) for G4 (a) and F7 (b) filters.
for particles with a significantly different PSD. Nevertheless,
the expression of performances versus mass of particles col-
lected may enable, in particular, the results to be compared
with the literature (from laboratory or full-scale studies) and
filtration efficiency to be discussed regarding indoor or out-
door air regulations and recommendations that are
expressed in mass concentration for PM10 or PM2.5.
The generated mass ratio of Al2O3/micronized rice
was about 1.4:1. Concerning the first-stage G4 filter, a
sharp increase in dP was observed, which suggests a cake
filtration. A final dP/dP0 ratio of 4.3 was reached for
almost 100 g/m2 of collected mass. An abrupt increase in
efficiency was observed at the beginning of clogging with
micronized rice particles. The efficiency for micronized
rice was higher than for alumina particles, which is
explained by the influence of particle size distribution on
the filter collection efficiency. Concerning the second-
stage F7 filter, the slight increase in dP observed suggests
a deep filtration. A slight increase in efficiency was
observed when the clogging particles changed. A final
AEROSOL SCIENCE AND TECHNOLOGY 561
Figure 4. Pressure drop ratio (dP/dP0, ¡) (&), number (D,),
and mass (~,) efficiency (E, %) for F7 (a) and F9 (b) filters.
dP/dP0 ratio of 1.2 was reached for almost 10 g/m2 of
collected mass. Hence, the second filtration stage was
almost unclogged.
The generated mass ratio of Al2O3/micronized rice
was about 0.8:1. Concerning the first-stage F7 filter, a
sharp increase in dP was observed and a dP/dP0 ratio
equal to 2.3 was reached for about 70 g/m2 of collected
mass. A cake filtration is suggested. There was no abrupt
increase in overall efficiency during the change of clog-
ging particles, as observed for the G4 filter placed in the
first stage. Concerning the second filtration stage F9, an
extremely slight increase in dP was observed and a dP/
dP0 ratio equal to 1.04 was reached for about 0.12 g/m2
of collected mass. A deep filtration is suggested. Because
of the low particle concentration, the data were very
“noisy” and efficiency values were unstable.
For both configurations, as expected, the pressure
drop change in the filter in the second stage was
smaller than that in the first stage due to the lower
mass of particles collected. Finally, the change in
562

L. F. GONZALEZ ET AL.
Figure 5. Fractional efficiency of the G4 (a) and F7 (b) filters at
different clogging stages.
particles led to a change in performance: the filtration
efficiency was greater with the micronized rice par-
ticles. This can be explained by the difference in par-
ticle diameter and density. Indeed, the mean diameter
of the alumina particles is close to the most penetrat-
ing particle size (MPPS) of fibrous media, whereas
the mean micronized rice diameter is larger. In gen-
eral, for the same particle mass loading, the mass effi-
ciency was greater than the number efficiency,
because the alumina and micronized rice particles are
polydisperse aerosols with mean diameters above the
filter MPPS.
Fractional efficiencies (Ei) of the filters are presented
in Figures 5 and 6 for the first and second configuration,
respectively, at four different stages of clogging: (i) at the
beginning of clogging with alumina particles (dP/dP0 D
1), (ii) at the end of clogging with alumina particles, (iii)
at the beginning of clogging with micronized rice
Figure 6. Fractional efficiency of the F7 (a) and F9 (b) filters at the
different clogging stages.
particles, and (iv) at the end of clogging with micronized
rice particles.
The MPPS at the beginning of clogging (dP/dP0 D 1)
was less than 0.4 mm and 0.2 mm for the G4 and F7 fil-
ters, respectively. Filter efficiency close to the MPPS was
almost 20% and 84% for G4 and F7 filters, respectively.
For the first-stage G4 filter, a significant increase in
efficiency between the beginning (dP/dP0 D 1) and end
of clogging (dP/dP0 D 4.3) was observed, as expected in
cake filtration. Efficiency for micronized rice particles
was clearly higher than for alumina particles. In fact,
according to filtration theory, the particles collected on
filters themselves act as filtering media thus increasing
the efficiency. Two sizes of particles are interesting to
analyze, 1 mm and 3 mm, because these are the charac-
teristic diameters of B. subtilis endospore aerosol, and
fungi spores, respectively. At the end of clogging with
particles, which corresponds to the half-life of the filter,

the efficiency for 1 mm and 3 mm particles was 70% and
98%, respectively.
For the second-stage F7 filter, efficiencies for alumina
and micronized rice particles were very similar. Hence,
there was no influence of clogging on the Ei curve. A
slight increase in dP was observed between the beginning
(dP/dP0 D 1) and end of clogging (dP/dP0 D 1.2), sug-
gesting a deep filtration. At the end of clogging, the effi-
ciency for 1 mm and 3 mm particles was 96% and almost
100%, respectively.
The MPPS zone at the beginning of clogging (dP/
dP0 D 1) was less than 0.2 mm for both F7 and F9
filters. Filter efficiency for the MPPS was around 83%
for both filters.
For the first-stage F7 filter, a significant increase in
efficiency was observed between the beginning (dP/dP0
D 1) and end of clogging (dP/dP0 D 2.1), as expected,
suggesting cake filtration. At the end of clogging, which
corresponds to the half-life of the filter, the efficiency for
1 mm and 3 mm particles was almost 100%.
For the second-stage F9 filter, efficiencies between the
beginning of clogging (dP/dP0 D 1) and the beginning of
clogging with micronized rice particles (dP/dP0 D 1.04)
were very similar (superposed data). The filter was tech-
nically unclogged and deep filtration is assumed. At the
end of clogging, efficiency was almost 100% for all sizes
of particles.
In nominal conditions, the manufacturer indicated
dP0 of 45 Pa, 100 Pa, and 135 Pa for industrial G4, F7,
and F9 filters, respectively. These values are similar to
those found in this study for prototype filters in nominal
conditions. Efficiency values found in this study are also
comparable to those indicated by the manufacturer and
other filtration studies using the same filters (Liard et al.
2012) even though clogging particles are not the same.
Hence, the use of downsized filters to understand indus-
trial filter performances was considered relevant for the
studied conditions.
Microbial aerosols
The cultivable microbial concentrations, expressed in
CFU/m3, were quantified at different points during
microbial contamination of the filters: upstream of the
first stage of filtration (P1), between the first and second
stage (P2), and downstream of the second filter (P3).
The quantification and detection limits for B. subtilis and
A. niger were 350 and 35 CFU/m3, respectively. P. chrys-
ogenum was not quantified because microbial sampling
was not performed during micronized rice generation.
For the two configurations, there were two samples for
P1 and one sample for P2 and P3, with three dilution
series each time for Petri dish analyses followed by CFU
AEROSOL SCIENCE AND TECHNOLOGY 563
counting. The results of concentrations are expressed
with the average value (max value; min value).
For the first configuration (G4CF7), the microbial
concentrations in P1 were 5.6 £ 104 (1.2 £ 105; 1.3 £
104) CFU/m3 and 1.0 £ 103 (1.2 £ 103; 5.5 £ 102) CFU/
m3 for B. subtilis and A. niger, respectively. The concen-
tration of B. subtilis was 1.4 £ 104 (1.6 £ 104; 1.1 £ 104)
CFU/m3 and 6.5 £ 102 (6.5 £ 102; 3.2 £ 102, and 1.3 £
102 were not used for the calculation of the average con-
centration because they were below the quantification
limit) CFU/m3 in P2 and P3, whereas A. niger was not
detected in P2 and P3. For the second configuration
(F7CF9), the microbial concentrations in P1 were 3.9 £
103 (6.4 £ 103; 1.9 £ 103) CFU/m3 and 1.7 £ 103 (2.9 £
103; 9.3 £ 102) CFU/m3 for B. subtilis and A. niger,
respectively. Neither B. subtilis nor A. niger was detected
in P2 and P3.
Filter efficiencies for microbial aerosols were calcu-
lated from the cultivable microbial concentrations. For
the first configuration (G4CF7), the cultivable microbial
efficiency for the bacterial spores of B. subtilis (1 mm in
size) was 75 § 15% and 95 § 1% for the G4 and F7 fil-
ters, respectively. They are quite comparable with the
number-based efficiency of the filters at the end of the
clogging with micronized rice particles, considering a
particle diameter of 1 mm (Figure 5). As expected
because of their size (3–5 mm), A. niger spores were not
detected downstream of the G4 and F7 filters, suggesting
their collection by the first stage of filtration (G4). For
the second configuration (F7CF9), neither B. subtilis nor
A. niger were detected downstream of the filters, suggest-
ing that they were higher than 99% and 98% for B. subti-
lis and A. niger, respectively (considering the detection
limit), collected by the first filtration stage. These values
are coherent with the number-based efficiency of the fil-
ters at the end of the clogging with particles. In fact, the
F7 filter was 100% efficient for supermicronic particles at
this level of clogging (Figure 6). Forthomme et al. (2014)
also found similar values of filtration efficiency for culti-
vable S. epidermidis cells and cultivable P. oxalicum
spores compared to inert particles (polyvinyl acetate).
The methodology used only quantifies cultivable
microorganisms. It is known that microorganism cul-
tivability can be affected by the filtration process (e.g.,
reduced due to impaction on fibers). Thus, the filtra-
tion efficiency could be lower for the total microbial
aerosol. The agreement between inert particle and
cultivable microbial filtration efficiencies in this study
can be explained by the use of spores and endospores
for the generation of microorganisms. Spores are a
form of resistance developed by microorganisms. The
results could be different for other living cells of
microorganisms.
564

L. F. GONZALEZ ET AL.

Particle release
Particle counting (Welas, Palas) as well as biosampling
for CFU counting were performed downstream of the
second filtration stage during restarts of ventilation for
15 min. The 6 week period included five different restarts
of ventilation. For four of them, the fan was restarted
gradually and there was no overshoot of the set-point
(140 m3/h). In less than 30 s, the airflow set-point was
reached. During the first restart of ventilation, the set-
point was exceeded unintentionally, reaching 200 m3/h
for a few seconds; this means an overshoot of about 40%.
The particle size distributions and the mean concen-
trations observed during the first minutes of counting
are presented in Figure 7 for configuration No. 1
(G4CF7). For four restarts of ventilation, particles were
detected with a particle size distribution close to the
MPPS of the filters (around 0.2 mm). Perhaps as a result
of exceeding the fan set-point, during the first restart of
ventilation a higher concentration of particles was
detected downstream of the F7 filter.
Regarding the cultivable microbial concentrations
downstream of the filters, the values were below the
detection limit (110 CFU/m3, calculated by considering
the sampling time of 15 min) for each restart of ventila-
tion. Nevertheless, the sampling concerned a fraction of
the overall airflow volume downstream of the second fil-
tration stage. Moreover, microbial cell fractions could
have passed through the filters but they were not quanti-
fied by the cultivable method implemented.

Microorganism behavior on filters Figure 8. Comparison of cultivable microbial concentrations on

filters (CFU/cm2): theoretical concentration estimated after micro-
The cultivable microbial concentrations on filters (CFU/ bial contamination (t D 0) and experimental concentration mea-
cm2) were estimated theoretically after the microbial sured at the end of the tests (t D 6 weeks) with n number of
contamination of the filters (t D 0) and experimentally at measurements. Error bars are min and max values.

the end of the tests (t D 6 weeks). The results are pre-

Figure 7. Particle counting (PSD and particle concentration in
part/cm3) downstream of the F7 filter (configuration 1) at the
restarts of ventilation.
sented in Figure 8, where n is the number of measure-
ments in the form a£b, a is the number of filter samples
and b is the number of dilution series for Petri dish anal-
yses followed by CFU counting.
Concentrations of B. subtilis and A. niger at t D 0
were estimated considering the efficiencies of filters
for each species. Concentrations of P. chrysogenum at
t D 0 were estimated considering the quantity of
micronized rice generated, the filter efficiency, and
the initial concentration of this species per gram of
rice. In fact, a previous test to quantify the presence
of P. chrysogenum in the micronized rice revealed a
concentration of 2250 § 850 CFU/g of micronized
rice.

For configuration No. 1, concentrations of B. subtilis
and A. niger were stable between t D 0 and t D 6 weeks
on both filters, suggesting the survival of these species.
Concentrations of P. chrysogenum increased after 6
weeks on both filters, suggesting the growth of this spe-
cies. A. niger was detected on the F7 filter at t D 6 weeks,
although it was not detected upstream of this filter dur-
ing contamination.
For configuration No. 2, the concentration of B. subti-
lis increased slightly on the F7 filter but was stable on the
F9 filter. B. subtilis was detected on the F9 filter at t D 6
weeks, although it was not detected upstream of this filter
during contamination. The concentration of A. niger was
stable on the F7 filter but was not detected on the F9 fil-
ter, suggesting that it was totally collected in the first fil-
tration stage. This is coherent with measurements in P2
and P3 where A. niger was not detected downstream of
filters. Concentrations of P. chrysogenum increased on
both filters between t D 0 and t D 6 weeks.
The survival of B. subtilis on filters seems to be due to
its sporulation mechanism, developing endospores belong-
ing to this species. The concentration of A. niger on filters
was stable between the beginning and end of tests. The
conditions for spore germination were probably not
reached, so the spore number remained unchanged.
Moreover, A. niger can be inhibited by a competition
effect among Penicillium species for available nutrients. It
seems that P. chrysogenum can grow if a minimal quantity
of micronized rice is collected on filters.
Considering particle release, the second configuration
presented better results because the filters were more effi-
cient and the release of particles or microbial aerosols
was not detected. Nevertheless, this configuration is
more energy-consuming because of higher values of dP
than for the first configuration. For example, for the
same collected mass of 20 g/m2 of alumina particles in
the first stage, the overall dP of the first configuration
was 161 Pa (35 Pa higher than the initial dP0). For the
same mass collected on the first filter, the second config-
uration presented an overall dP of 268 Pa (28 Pa higher
than the initial dP0).
Considering filtration performances, the second con-
figuration of filters was more efficient compared to the
first because of the higher filtration efficiencies and the
detection of neither B. subtilis nor A. niger downstream
of the filters during operation. These results suggest that
a better air quality is provided by the configuration of
two F-filters.
Conclusions
The experimental results indicate that the filter effi-
ciency for particles is comparable to that for microbial
AEROSOL SCIENCE AND TECHNOLOGY 565
aerosols. Hence, filtration efficiency for microbial aero-
sols depends on their size distribution. Culture-based
methods are considered a good technique to estimate
filter efficiency for the microbial aerosols studied. For
the first configuration, the F7 filter carries out a signifi-
cant collection of particles in the second filtration stage
because of the low efficiency of the first G4 filtration
stage. For the second configuration, the particles are
almost totally collected by the F7 filter in the first stage
while the second stage acts as a protection if the first
one has a malfunction. P. chrysogenum, the endogenous
species provided by micronized rice, was able to grow
on filters. However, the particulate cake formed by alu-
mina and micronized rice particles did not allow the
growth of exogenous microorganisms B. subtilis and A.
niger. During restarts of ventilation, for the first config-
uration (G4CF7), low concentrations of particles and
no microbial aerosols were detected downstream of the
second filtration stage. For the second configuration
(F7CF9), neither particles nor microbial aerosols were
detected downstream of the second filtration stage dur-
ing restarts of ventilation. For these reasons, the second
configuration can be considered the most efficient
regarding the quality of treated air. Nevertheless, this
configuration is more energy-consuming because of
high pressure drops. Further studies should be carried
out with other filter configurations and geometries to
understand the behavior of microorganisms on filters,
and particularly in the AHU of full-scale HVAC sys-
tems. The influence of particulate cake composition on
microbial behavior must be studied as well as the capac-
ity of filters to retain water.
Acknowledgments
The authors wish to thank the technical team of the EMN for
the construction and automation of the lab-scale AHU
described in this work.
Funding
This study was a research collaboration between Veolia
Research and Innovation (VERI), who provided financial sup-
port, and the Ecole des Mines de Nantes (EMN).
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