energies

Review
CO2 Refrigeration and Heat Pump Systems—A
Comprehensive Review
Frank Bruno 1, * , Martin Belusko 2 and Edward Halawa 1
1 Future Industries Institute, University of South Australia, Mawson Lakes Campus,
Mawson Lakes SA 5095, Australia
2 Barbara Hardy Institute, School of Engineering, University of South Australia, Mawson Lakes Campus,
Mawson Lakes SA 5095, Australia
* Correspondence: Frank.Bruno@unisa.edu.au; Tel.: +61-8-830-23230




Received: 2 July 2019; Accepted: 25 July 2019; Published: 1 August 2019


Abstract: An increased awareness of the impacts of synthetic refrigerants on the environment

has prompted the refrigeration industry and researchers worldwide to seek better alternatives in
terms of technical, economic and environmental performance. CO2 refrigerant, also known as
R744, has re-emerged as a potential alternative to existing refrigerants with its zero ozone depletion
potential (ODP) and impressively low global warming potential (GWP). A refrigeration system
utilising this refrigerant, however, suffers performance degradation when it operates in warm or
hot climatic regions due to its inevitable operation in the supercritical region. In addition, the CO2
refrigerant properties necessitate the need for components designed to withstand very high operating
pressures. These challenges have not been let unnoticed; related industries and researchers are
actively involved in research and development of various components and systems which in turn
encourages increased applications of these systems. In this paper, a comprehensive review of CO2
refrigeration systems and the state of the art of the technology and its applications in various industries
is presented. In particular, the paper reviews recent research and developments on various aspects
of CO2 systems including cycle modifications, exergy analysis of the systems, system modelling,
transcritical operation consideration and various existing and potential applications.

Keywords: CO2 refrigeration; dew point cooler; evaporative cooling; gas cooler; subcritical operation;
supercritical state; transcritical operation

1. Introduction
The refrigeration and air conditioning (RAC) industry is an inseparable part of economic activities.
The industry provides services such as food and medicine preservation, climate control for human
comfort, data centres and agricultural production, and any other services that require temperature
and humidity control. It is therefore no surprise that this technology segment is amongst the highest
electricity consuming sectors. In Australia, RAC electrical energy consumption represented 23.6% of
the total electricity production of 258,000 GWh in 2016 [1] with consequent indirect greenhouse gas
emissions. Carbon dioxide, also known as R744, is a refrigerant that has recently surged in attractiveness
in the refrigeration industry after being overlooked for a relatively long time [2–5]. The resurgence
of popularity of this refrigerant comes after it was realised that most synthetic refrigerants pose dire
threats to the environment. The global push to phase out various synthetic refrigerants through
international treaties has triggered industries and researchers alike to find more environmentally
friendly substitutes and developed the corresponding systems. One such substance is carbon dioxide,
CO2 , discovered by Dr James Black who called the substance “fixed air” [3]. In terms of global warming
potential (GWP) and ozone depletion potential (ODP), CO2 is one of the most environmentally friendly

Energies 2019, 12, 2959; doi:10.3390/en12152959 www.mdpi.com/journal/energies

Energies 2019, 12, 2959 2 of 39

natural refrigerants. It has a GWP of 1 and zero ODP [1]. Another cited reason for adopting the
use of CO2 refrigerant—at least in the supermarket and food retailer sector—is “the rising cost of
synthetic refrigerants. In the last five years alone, the cost of HFC-404A, a commonly used synthetic refrigerant,
has risen substantially—raising not only the cost of initial installation, but also operation and maintenance.” [6].
According to this NCI report, CO2 was priced at around USD 2.2/kg whilst the HFC-blends (R404A
and R407A) cost around USD 8.8/kg [6]. Other cited benefits for the use of CO2 as a refrigerant are:
(a) reduced size of compressor and piping due to its high volumetric capacity, (b) higher compression
isentropic efficiency due to lower compression ratio, and (c) low risk for decomposition within the
system because of its stable molecule [7].
The use of CO2 as the primary refrigerant poses a challenge in terms of the system performance
due to the potential of the system operating in a supercritical state. As such, heat rejection capacity is
degraded, reducing the coefficient of performance (COP) of cooling. Although the critical temperature
of the CO2 gas is relatively low, a system utilising CO2 as the refrigerant must operate at very high
pressures [8]. Therefore, the CO2 system components, piping and equipment need to be designed to
conform to the high pressure requirements [7].
The revival of the CO2 systems has only started recently. For instance, in the US, the first system
using this technology was introduced in 2013 [6]. In Australia, Coles supermarket recently installed
a CO2 system in Coburg North, Melbourne, claimed to be a world-first CO2 transcritical system
combining 100% of the store air conditioning and refrigeration requirements in the one plant design [9].
The historical background of the rise, fall and the re-emergence of CO2 refrigerant in various
applications has been well covered by many researchers with relatively detailed accounts reported [2,3,5].
In short, the rise and fall of the R744 refrigeration industry are attributed mainly to the competing
technologies, technological advancement in the field and the people’s awareness of and attitude
towards environmental issues. Modern industries and other sectors relying on refrigeration processes
and researchers alike are challenged to search for an ideal refrigerant that is technically reliable,
economically attractive and environmentally friendly. In engineering terms, these are translated into
the following ideal refrigerant criteria: it (the refrigerant) “should have good thermophysical properties,
higher than ambient condensing temperature, low freezing temperature, high critical temperature, low critical
pressure, good heat transfer properties, no ODP or GWP, should be non-toxic, non-flammable, non-corrosive,
non-explosive, should have low system cost and should be easily obtainable.” [8]. In terms of the environmental
impacts and safety, R744 is among the best natural refrigerants. R744 has zero ODP, its GWP is unity,
it is non-toxic, inflammable and non-explosive [5].
The phase down and phase out of ozone depletion causing substances through the Montreal
Protocol has narrowed refrigerant options for refrigeration industries to a handful, including ammonia
and hydrocarbons. However, these two options have serious drawbacks including toxicity (ammonia)
and flammability (both substances) and can be considered only for very specific circumstances [10].
It has been nearly 15 years since a first comprehensive treatment on the subject was published [2]
and since then there has been progress in many aspects of the system and technology including in
the system performance improvement, cycle analysis, design, applications and other aspects. A new
comprehensive review therefore is needed to cover the recent advances in the field and to present
all necessary information useful to various audience groups. To the readers who are new to CO2
refrigeration, this review paper covers the necessary information to familiarise them with this topic.
To the readers who currently work or are involved in the research on the topic, this review paper can be
employed as a quick reference of the state of the art of current CO2 refrigeration systems. Finally, to the
readers who are interested in the potential applications of the system in various sectors, the paper
provides considerable information from various industries.
This paper focusses on refrigeration and heat pump cycles for CO2 systems; recent developments
in CO2 power cycles technology and applications can be found in other review papers, some of which
were published relatively recently [11–13]. A review specifically for CO2 refrigeration subcooling can
be found in [14].
Energies 2019, 12, 2959 3 of 39

The paper is structured in such a way that it provides a natural flow of knowledge/information on
the subject, starting from the basic thermodynamic overview of CO2 refrigeration/heat pump basic
Energies 2019, 12, x FOR PEER REVIEW 3 of 100
cycles in Section 2. This section lays the foundation for understanding the basic CO2 cycles and its
uniqueness Thecompared to cycles
paper is structured usinga way
in such other refrigerants.
that it provides a Despite theoflow
natural flow (practically zero) direct
knowledge/information
impact of CO refrigerant
on the subject,
2 on the environment as discussed earlier, the indirect
starting from the basic thermodynamic overview of CO2 refrigeration/heat impact from
pumplowbasicsystem
cycles can
efficiency in Section
outweigh 2. This
thesection
former. lays the foundation
Therefore, for understanding
it is imperative the basic
to identify CO2 cycles
the sources of and its
inefficiency
uniqueness
through an exergy compared to cycles
analysis. Thisusing other refrigerants.
is discussed in Section Despite
3. Oncethe low
the (practically
sources of zero) direct are
inefficiency
impactseveral
identified, of CO2 ways refrigerant on theeach
to address environment as discussed
of them through cycleearlier, the indirect
modifications impact from
is discussed low
in Section 4.
system efficiency can outweigh the former. Therefore, it is imperative to identify the sources of
This is followed by a short presentation in Section 5 on the several basic configurations of CO2 -based
inefficiency through an exergy analysis. This is discussed in Section 3. Once the sources of inefficiency
refrigeration systems. For design, research and optimisation purposes, system modelling and various
are identified, several ways to address each of them through cycle modifications is discussed in
modelling
Section tools
4. Thisare presented
is followed by in Section
a short 6. Transcritical
presentation in Sectionoperation of CObasic
5 on the several 2 systems is the one
configurations of that
distinguishes them from systems using other refrigerants; it is also the main
CO2-based refrigeration systems. For design, research and optimisation purposes, system modelling source of inefficiency
and where potential
and various modellingimprovements can bein
tools are presented made.
SectionThis is presented
6. Transcritical in Section
operation of CO 7 2accompanied
systems is the by a
briefone
discussion on cooling
that distinguishes techniques
them and control
from systems using othermechanisms
refrigerants;being
it isinvestigated
also the maintosource
optimise of the
systeminefficiency
performance and where
duringpotential improvements
transcritical operation.can be made.
Section This isapplications
8 discusses presented inofSection 7
CO2 systems
accompanied by a brief discussion on cooling techniques and control mechanisms
and provides brief information on market acceptance and penetration. Section 9 briefly discusses the being investigated
to optimise
proposed futurethe system performance
direction of researchduring transcriticalsystems
on transcritical operation. Section 8in
operating discusses
warm and applications
hot climates.
of CO2 systems and provides brief information on market acceptance and penetration. Section 9
The paper concludes with a brief summary of all topics covered in the paper.
briefly discusses the proposed future direction of research on transcritical systems operating in warm
andThermodynamic
2. CO hot climates. The paper
Basicconcludes with a brief summary of all topics covered in the paper.
Cycles Overview
2

2. COsystems
Like 2 Thermodynamic
using other Basic Cycles Overview
refrigerants, the refrigeration process using CO2 can be depicted using
various thermodynamic diagrams such
Like systems using other refrigerants, the as a T-s, p-h or T-pprocess
refrigeration diagram.using Using
CO2 canthese diagrams,
be depicted one will
using
be able to identify
various various diagrams
thermodynamic processessuchandasconditions
a T-s, p-h orundergone
T-p diagram. byUsing
the refrigerant and one
these diagrams, to develop
will a
thermodynamically
be able to identifysound variousapproach
processestoandmake the system
conditions perform
undergone by efficiently
the refrigerantandand
effectively.
to develop a
thermodynamically
A simple CO2 refrigerationsound approach
systemto make the
working insystem performregion
the subcritical efficiently and effectively.
is shown in Figure 1. As shown,
A simple CO refrigeration system working in the subcritical
the process starts at point 1 where low pressure CO2 refrigerant vapour is pressurised
2 region is shown in Figure 1. As
in a compressor
shown, the process starts at point 1 where low pressure CO 2 refrigerant vapour is pressurised in a
to a pressure p2 . The high pressure vapour at p2 then passes through a condenser where its enthalpy is
compressor to a pressure p2. The high pressure vapour at p2 then passes through a condenser where
reduced, crosses the saturated vapour line and appears in the form of a mixture of liquid and vapour.
its enthalpy is reduced, crosses the saturated vapour line and appears in the form of a mixture of
Depending on the condensation process (segment 20 -3), the CO2 refrigerant can stay as a mixture
liquid and vapour. Depending on the condensation process (segment 2′-3), the CO2 refrigerant can
(under
staythe
as saturation curve)the
a mixture (under or saturation
be totally curve)
liquefied ortotally
or be subcooled (i.e.,or
liquefied it subcooled
crosses the(i.e.,
saturated liquid
it crosses the line
to thesaturated
left) before it line
liquid enters theleft)
to the evaporator at point
before it enters the 4evaporator
through an expansion
at point 4 through valve.
an expansion valve.

100
90
80
70
COND 60
2 50
3
40
Pressure, bar

3 -5.5°C 2’ 2
30
EV C
20

4 1
10
EVAP 4 1

5
Enthalpy, kJ/kg

(a) (b)

Figure 1. (a)
Figure Schematic,
1. (a) Schematic,and
and(b)
(b) p-h diagramfor
p-h diagram fora asubcritical
subcritical process
process of aof
CO a2CO 2 refrigeration
refrigeration system.
system.

Transcritical operation occurs beyond the ◦ C. In the

Transcritical operation occurs beyond thecritical
criticalpoint
pointof
ofCO
CO22, which is73.8
which is 73.8bar
barand
and31.1
31.1°C. In
the supercritical
supercritical stateabove
state (i.e., (i.e., above
the the critical
critical pointwhere
point where liquid
liquid and
andgas phases
gas phasesare are
indistinguishable),
indistinguishable),
the heat
the heat accumulated
accumulated in in
thethecondenser
condenser cannot
cannot be be removed
removedthrough
throughcondensation
condensation of the
ofCO
the2 gas.
CO2 gas.
Energies 2019, 12, 2959 4 of 39

Energies 2019, 12, x FOR PEER REVIEW 4 of 100

Instead, the CO2 gas is cooled by a gas cooler at a constant pressure but at slowly reducing (gliding)
Energies 2019, 12, x FOR PEER REVIEW 4 of 100
Instead, the COas
gas temperatures, 2 gas is cooled
shown by a gas
in Figure 2. cooler at a constant pressure but at slowly reducing (gliding)
gas temperatures, as shown in Figure 2.
Instead, the CO2 gas is cooled by a gas cooler at a constant pressure but at slowly reducing (gliding)
gas temperatures, as shown in Figure 2.

Figure 2. A2.p-h
Figure diagram
A p-h diagramofofaatranscritical processofofa aCO
transcritical process CO 2 refrigeration
2 refrigeration system.
system.

Figure 2. A p-h diagram of a transcritical process of a CO2 refrigeration system.

SinceSince
the cooling capacity
the cooling is severely
capacity limited
is severely without
limited condensation,
without condensation,thethe
performance
performance of of
thethe
system
system
running arunning
inSince in a supercritical
supercritical state is much degraded. In this
thestate, the COP
system COP
very is very dependent
much
the coolingstate is much
capacity degraded.
is severely In this
limited state,
without system
condensation, the isperformance
much of the
on thedependent
gas onpressure
cooler the gas cooler
and pressure
can vary and can vary
greatly [15].greatly [15].
system running in a supercritical state is much degraded. In this state, the system COP is very much
Figure Figure 3 shows
3 shows a CO2 system running at three transcritical pressure levels at the same
dependent on thea gas
COcooler
2 system running
pressure andatcanthree
varytranscritical
greatly [15].pressure levels at the same evaporating
evaporating temperature. From the diagram it is clear that the COP of the system operating on three
temperature.FigureFrom the diagram
3 shows it is clear
a CO2 system that the
running COPtranscritical
at three of the system operating
pressure levelsonat three different
the same
different cycles (1-2-3-4-1, 1-2a-3a-4a-1, 1-2b-3b-4b-1) does not increase linearly with a rise in gas
cyclesevaporating
(1-2-3-4-1,temperature.
1-2a-3a-4a-1, From the diagram it
1-2b-3b-4b-1) is clear
does notthat the COP
increase of the system
linearly with aoperating
rise in gason three
pressure.
pressure. The “s-curve” shape of isotherms in the transcritical region – where states 3, 3a and 3b lie—
different cycles
The “s-curve” shape (1-2-3-4-1, 1-2a-3a-4a-1,
of isotherms 1-2b-3b-4b-1)
in the transcritical does not increase
region—where linearly
states 3, 3a with
and 3ba rise in gas rise
lie—gives
gives rise to this phenomenon.
pressure. The
to this phenomenon. “s-curve” shape of isotherms in the transcritical region – where states 3, 3a and 3b lie—
gives rise to this phenomenon.

Figure 3. A CO2 system running at three subcritical pressures at the same evaporating temperature.
Figure 3. A CO2 system running at three subcritical pressures at the same evaporating temperature.
Figure 3. A CO2 system running at three subcritical pressures at the same evaporating temperature.
In other words, for a constant CO2 gas exit temperature, there is an optimum value of gas
In other words,
pressure for a constant
that maximises COofgas
the COP theexit temperature,
system operating there
at theissame
an optimum value
evaporating of gas pressure
temperature
In other words, for a constant2 CO2 gas exit temperature, there is an optimum value of gas
[15,16].
that maximises the COP of the system operating at the same evaporating temperature [15,16].
pressure that maximises the COP of the system operating at the same evaporating temperature
The impact
[15,16]. of gas cooler pressure on the COP is shown in a plot similar to the one generated by
Sawalha [17] (Figure 4). As seen, for a given gas cooler exit temperature, the pressure range from the
 Energies
Energies 2019, 2019, 12, x FOR PEER REVIEW
12, 2959 5 of 1005 of 39

The impact of gas cooler pressure on the COP is shown in a plot generated by Sawalha [17]
(Figure
optimum 4). As
point to seen, for initially
the left a given gas cooler exit
plateaus, temperature,
where the spantheof pressure
plateau range from the
is narrower asoptimum point exit
the gas cooler
to the leftdecreases.
temperature initially plateaus, where
After this the span
range of plateau
further to theisleft,
narrower as the in
the change gasdischarge
cooler exitpressure
temperature
is more
decreases. After this range further to the left, the change in discharge pressure is more
sensitive to COP degradation than the one on the right side of the optimum point. This sensitivity is sensitive to COP
degradation than the one on the right side of the optimum point. This sensitivity is also more
also more pronounced at the lower exit temperature. For example, a system operating in supercritical
pronounced at the lower exit temperature. For example, a system operating in supercritical state at 80.5
state at 80.5 bar at gas exit temperature of 32 ◦ C has a COP of 2.4. However, if the system operates at
bar at gas exit temperature of 32°C has a COP of 2.4. However, if the system operates at 75 bar at the
75 barsame
at the
gassame gas exit temperature,
exit temperature, the system
the system COP will dropCOP will drop
to around 1.7. to around 1.7.

Figure 4. Effect of gas cooler pressure on COP at various gas exit temperature TGex.
Figure 4. Effect of gas cooler pressure on COP at various gas exit temperature TGex .

For a given approach temperature difference (ATD), the optimum discharge pressure, Popt, is a
For a given approach temperature difference (ATD), the optimum discharge pressure, Popt , is a
function of the ambient temperature, Tamb, and the approach temperature difference in the gas cooler,
function of the ambient temperature, Tamb , and the approach temperature difference in the gas cooler,
ΔTgc,app. For an ATD of 5 K, the following correlation was produced [17]:
∆Tgc,app . For an ATD of 5 K, the following correlation was produced [17]:
Popt = 2.7 × (Tamb +ΔTgc,app) − 6.1 (1)
Popt = 2.7 × (Tamb +∆Tgc,app ) − 6.1 (1)
A generalised correlation for the optimum pressure is given in [18], claimed to be valid by the
authors for the evaporation temperature range from −50 °C to −30 °C and gas cooler exit temperature
A generalised
range from 30 °Ccorrelation
to 50 °C. for the optimum pressure is given in [18], claimed to be valid by the
authors for the evaporation temperature range from −50 ◦ C to −30 ◦ C and gas cooler exit temperature
range3.from ◦ C to 50 ◦ C.
30Analysis
Exergy of CO2 Systems
While various modelling tools are available to study the performance characteristics of a
3. Exergy Analysis of CO2 Systems
refrigeration system (see Section 6), it is always fundamental to understand the inherent losses and
While
maximum various modelling
potential energy that tools
can beareextracted
available
from tosuch
study the performance
a system. The traditionalcharacteristics
energy analysis of a
based on system
refrigeration the first law
(seeofSection
thermodynamics is a tool to
6), it is always assess how efficient
fundamental a system utilises
to understand a form oflosses
the inherent
energy. For instance, in a refrigeration system, the COP can be evaluated
and maximum potential energy that can be extracted from such a system. The traditional based on the ratio of energy
energy
output and energy input. In this case, the energy output is the refrigeration effect or cooling capacity
analysis based on the first law of thermodynamics is a tool to assess how efficient a system utilises
needed from the system to serve a certain load. Once the required cooling capacity is determined, the
a form of energy. For instance, in a refrigeration system, the COP can be evaluated based on the
energy input (i.e., electrical input to run the compressor) is evaluated based on technical
ratio specifications
of energy output and energy input. In this case, the energy output is the refrigeration effect or
of all the components involved. Thus, the use of a very efficient compressor may not
cooling capacity needed from
necessarily result in high the system
overall system to serve a certain
performance load.
if other Once the
components required
such cooling capacity
as the condenser or
is determined,
the evaporator are not equally efficient. The traditional first law analysis records all the heatbased
the energy input (i.e., electrical input to run the compressor) is evaluated and on
technical
workspecifications
transfers but of all theidentify
cannot components involved.
the sources Thus, the use
and magnitude of a very
of energy efficient compressor
degradation during its may
not necessarily result in high overall system performance if other components such as the condenser or
the evaporator are not equally efficient. The traditional first law analysis records all the heat and work
transfers but cannot identify the sources and magnitude of energy degradation during its utilisation.
To derive the maximum losses and the maximum potential energy extractable, the exergy analysis
Energies 2019, 12, 2959 6 of 39

can be employed. The importance of the exergy analysis lies in the fact that exergy represents the
maximum work that a work producing system can deliver [19], or the minimum work that a work
consuming system requires [20] thermodynamically. In addition, exergy balance can be regarded as
the mathematical statement governing the energy degradation [19]. In other words, exergy analysis
is a tool for sustainability. While refrigeration systems do not produce power, the exergy analysis
helps identify opportunities for minimising the system power consumption. Furthermore, an exergy
analysis is an effective tool to easily identify the source(s) of exergy destruction [21].
In this review, the general formula for the exergy of a system is presented as well as the exergy
destruction that occurs in each of the system components. The detailed derivation of the exergy
equations can be found in engineering thermodynamics textbooks such as Moran et al. [22], Bejan [23]
and Çengel and Boles [20] and books dedicated to exergy methods such as Kotas [19].
The exergy balance of the system can be developed by considering the three types of energy
transfer across the system boundary, namely: work transfer, heat transfer and energy transfer associated
with mass transfer [19]. In addition, for an irreversible process, the irreversibility term must also be
included in the balance. Equation (2) shows an exergy balance for a control volume [19,21–23]:
X .
X . . To . .
mi × xi − mo × xo + Q × (1 − ) − W − XL = 0 (2)
T
For the system under discussion, the kinetic and potential energies can be neglected; hence the
specific steady-flow exergy x in Equation (2) can be calculated as:

x = (h − ho ) − To × (s − so ) (3)

Expressed in a simpler form, Equation (2) can be written as:

X . X . . 
To
 . .
Xi − Xo + Q × 1 − − W − XL = 0 (4)
T
. .
where Xi and Xo represents the exergy flow rate entering and leaving the control volume, respectively.
Application of the exergy balance of Equation (2) to each of the system components/processes
leads to the formulation of irreversibility or exergy losses/destruction of each component. In deriving
the exergy balance and exergy destruction of each of the components, the order of process as used in
Figures 1 and 2 are adopted, i.e., compression (1–2), condensation or gas cooling (2–3), expansion (3–4)
and evaporation (4–1). Also, it is assumed that (1) any process occurs in steady state mode, (2) losses
in the piping connecting one component to another are ignored, and (3) each process is adiabatic.
The diagrams involved were largely adopted from [24] with Figure 9a introduced to depict the exergy
losses when the system operates in subcritical state, a state not covered in Figure 9b by Cavallini [25].

3.1. Exergy Balance of Compression

The exergy balance of a compression process (Process 1–2 of Figure 5) takes into account the
. . . .
exergy transfers associated with mass X1 and X2 , work input W comp and irreversibility, XL-Comp :
. . . .
X1 + W comp = X2 + XL-Comp (5)
 </semantics>
</math>
<!-- MathType@End@5@5@ -->

Energies 2019, 12, 2959 7 of 39

Equation (6) represents adiabatic losses during the compression.

𝑋 𝑋 𝑋
Compressor 𝑊
𝑋
𝑊
(a) 𝑋 (b)

T 2

To
1

S1 S2 S
(c)
Figure 5. Exergy balance in compressor. (a) control volume, (b) Grassman diagram, (c)
Figure 5. Exergy balance in compressor. (a) control volume, (b) Grassman diagram, (c) irreversibility
irreversibility on T-s Diagram
on T-s Diagram.
.
3.2. Exergy Balance of Condensation (Subcritical Operation) and Gas Cooler (Supercritical Operation)
The irreversibility in the compression process, XL-Comp , can be expressed as:
.
XL-Comp = To × (S2 − S1 ) (6)

Equation (6) represents adiabatic losses during the compression.

3.2. Exergy Balance of Condensation (Subcritical Operation) and Gas Cooler (Supercritical Operation)
The exergy balance during the condensation and gas cooling (process 2–3 of Figure 6) takes
the form: . . . .
X2 = X3 + Xth + XL-C/GC (7)
Energies 2019, 12, x FOR PEER REVIEW 30 of 100

Qo
𝑋 condenser / 𝑋 𝑋 /
𝑋
gas cooler 𝑋
(a) (b)
T 2 T 2

3 3
To To

S3 S2 S S3 S2 S
condensation gas cooling
(c)
Figure 6. Exergy
Figure balance
6. Exergy in condenser
balance and and
in condenser gas cooler control
gas cooler volume,
control (a) control
volume, volume,
(a) control (b) Grassman
volume, (b)
diagram, (c) irreversibility
Grassman on T-s Diagram.
diagram, (c) irreversibility on T-s Diagram.
.
3.3.
TheExergy
exergyBalance of Expansion
transferred (Throttling):
to the environment as heat, Xth , is as per the exergy definition zero.
TheFor
irreversibility, IRcon , can
expansion (process beFigure
3-4 of calculated
7), the from:
exergy balance can be expressed as:
. . . .
<!-- MathType@Translator@5@5@MathML2
XL-C/GC = X2 − X3 = H2 − H3(no− Tnamespace).tdl@MathML
O × (S2 − S3 )
2.0
(8)
(no namespace)@ -->
<math>
<semantics>
<mrow>
<msub>
Energies 2019, 12, 2959 8 of 39

While the exergy loss formulation for condenser and gas cooler is identical, for the same evaporator
temperature and suction pressure (Figure 3), the system operating in a supercritical mode will suffer
much higher losses than that running in a subcritical mode. From Equation (8), additional exergy loss
of the system running in supercritical mode can be estimated as:
.
. . . .
∆XL = ∆X2 − ∆X3 = ∆H2 − ∆H3 − TO × (∆S2 − ∆S3 ) (9)
.
Any effort to improve the system performance, i.e., minimising the ∆XL , needs to ensure that the
work introduced is less than the saved/recovered exergy. Therefore:
. .
Saved/recovered exergy = ∆XL ≤ W input (10)

The traditional exergy balance and exergy losses formulation for a condenser/gas cooler is as
shown in Equations (7) and (8). The two equations are worth modifying to take into account the impact
of heat rejection rate brought about by the cooling medium (air in this case) with the input power
required to operate the fan. From the exergy standpoint, the condenser is the reverse of an evaporator;
in the condenser the heat is rejected by the condenser whilst the exergy due to cooling medium is
flowing into the control volume. Hence, Equation (7) can be modified as follows:
. . . . . .
X2 + XQ-IN + W FAN = X3 + Xth + XL-C/GC (11)

whilst Equation (8) becomes:

. . . . .
XL-C/GC = (X2 − X3 ) + W F + XQ−IN (12)

3.3. Exergy Balance of Expansion (Throttling)

For expansion (process 3–4 of Figure 7), the exergy balance can be expressed as:
. . .
X3 = X4 + XL-Exp (13)
Energies 2019, 12, x FOR PEER REVIEW . 33 of 100
XL-Exp = To ·(S3 − S4 ) (14)

𝑋 𝑋 𝑋
Expansion
𝑋
valve 𝑋

(a) (b)

T 3

To
4
S3 S4 S
(c)
Figure 7. Exergy
Figure balance
7. Exergy during
balance expansion:
during (a) control
expansion: volume,
(a) control (b) Grassman
volume, diagram,
(b) Grassman (c) irreversibility
diagram, (c)
on T-s Diagram.
irreversibility on T-s Diagram.

3.4. Exergy balance of evaporation)

The exergy balance for evaporation (process 4-1, Figure 8) can be expressed as:
<!-- MathType@Translator@5@5@MathML2 (no namespace).tdl@MathML 2.0
(no namespace)@ -->
<math>
<semantics>
 feaagKart1ev2aqatCvAUfeBSjuyZL2yd9gzLbvyNv2CaerbuLwBLn
hiov2DGi1BTfMBaeXatLxBI9gBaerbd9wDYLwzYbItLDharqqtubsr
4rNCHbWexLMBbXgBd9gzLbvyNv2CaeHbl7mZLdGeaGqiVCI8FfYJH8
YrFfeuY=Hhbbf9v8qqaqFr0xc9pk0xbba9q8WqFfeaY=biLkVcLq=J
Hqpepeea0=as0Fb9pgeaYRXxe9vr0=vr0=vqpWqaaeaabiGaciaaca
Energies 2019, 12, 2959 9 of 39
qabeaadaqaaqaafaGcbaaeaaaaaaaaa8qaceWGybWdayaacaWaaSba
aSqaa8qacaWG0bGaamiAaaWdaeqaaaaa@425D@
3.4. Exergy</annotation>
Balance of Evaporation
</semantics>
The</math>
exergy balance for evaporation (process 4–1, Figure 8) can be expressed as:
<!-- MathType@End@5@5@ --> . . . .
X4 +asXthe
in Equation (16) can be interpreted th =minimum
X1 + XL-Ev
work required to maintain the given (15)
cooling rate.

𝑋 𝑋 𝑋
Evaporation 𝑋
𝑋
𝑋
(a) 𝑋 (b)

T b
To d c

TL e a
TE 4 1
S

S4 S1
(c)
Figure 8. 8. Exergy
Figure balanceduring
Exergy balance during evaporation:
evaporation: (a) control
(a) control volume,volume, (b) Grassman
(b) Grassman diagram,
diagram, (c)
(c) irreversibility on T-s Diagram.
irreversibility on T-s Diagram.
.
The exergy transferred to the space, Xth , also called the thermal exergy flow, can be expressed as:
. To
Xth = QEv (1 − ) (16)
TEV
.
The term Xth in Equation (16) can be interpreted as the minimum work required to maintain the
given cooling rate.
Combining Equations (15) and (16) gives the following exergy loss during the evaporation:
. . . . . . To
XL-Ev = (H4 − H1 ) − To × (S4 − S1 ) + QEv × (1 − ) (17)
TEV

Equation (17) can be simplified further to take the form:

. . . . |QEv |

XL-Ev = To × S1 − S4 − (18)
TEv

The exergy loss during evaporation is shown graphically as a dark-colored area in Figure 8c which
can be interpreted from Equation (16) as the difference between the exergy transferred to the load (area
1-b-d-4-1) and the exergy received by the load at load temperature TL (area a-b-c-e-a).
The various exergy losses from all the components detailed above are listed in Table 1 and
presented in graphical form in Figure 9 for both subcritical and supercritical operations. As shown,
for the same evaporating temperature, the system running in supercritical mode (Figure 9b) will suffer
larger exergy losses during the gas cooling process than that operating in a subcritical mode.
Energies 2019, 12, 2959 10 of 39

Table 1. Exergy Losses in CO2 Refrigeration System.

Component/Process Exergy Loss

.
Compression XL-Comp = To × (S2 − S1 )
.
. . . .
Condensation/Gas Cooling XL-C/GC = X2 − X3 = H2 − H3 − TO × (S2 − S3 )
. . . . .
XL-C/GC = (X2 − X3 ) + W F + XQ-IN
.
Expansion XL-Exp = To × (S3 − S4 )
Energies 2019, 12, x FOR PEER REVIEW . . . .
|QEv |
 10 of 39
Evaporation XL-Ev = To × S1 − S4 − TEv

(a)

(b)

Figure
Figure 9. Exergy
9. Exergy losses
losses in allinthe
allsystem
the system components
components (a) subcritical
(a) subcritical operation,
operation, (b) supercritical
(b) supercritical operation.
operation.
The exergy losses occurring during transcritical operation increase the work input from the
minimum Thetheoretical
exergy losses occurring during
requirement transcritical
to attain the same operation
coolingincrease the work
effect [24]. Thisinput from
is true thefor the
also
minimum theoretical requirement to attain the same cooling effect [24]. This is true also for the
subcritical operation.
subcritical operation.
Using the exergy balance derivation by Kotas [19], the exergetic efficiency formulation for a CO2
refrigeration system can be expressed as follows [24]:
∆𝑋̇𝑂𝑢𝑡𝑝𝑢𝑡 ∆𝐻𝑆𝑝𝑎𝑐𝑒 𝑥𝑒𝑣
𝑡ℎ
× (1 − 𝑇𝑜 /𝑇𝑒𝑣 )
𝑥 = = = (19)
∆𝑋̇𝐼𝑛𝑝𝑢𝑡 𝑊𝐶𝑜𝑚𝑝 𝑊𝐶𝑜𝑚𝑝

The above equation can be slightly modified to include the power required to operate the
condenser fan(s) for the case of the air-cooler condenser or gas cooler. This is particularly relevant
when the improvement in the system performance is to be realised through the introduction of a
Energies 2019, 12, 2959 11 of 39

Using the exergy balance derivation by Kotas [19], the exergetic efficiency formulation for a CO2
refrigeration system can be expressed as follows [24]:
.
∆XOutput ∆HSpace xth
ev × (1 − To /Tev )
ηx = . = = (19)
∆XInput WComp WComp

The above equation can be slightly modified to include the power required to operate the condenser
fan(s) for the case of the air-cooler condenser or gas cooler. This is particularly relevant when the
improvement in the system performance is to be realised through the introduction of a cooling system
which requires additional fan(s), such as the dew point cooler [26]. In that case, Equation (19) can be
modified to become:
.
∆XOutput ∆HSpace xth
ev × (1 − To /Tev )
ηx = . = = (20)
∆XInput WComp + wFan WComp + wFan

It is worth emphasizing that due to inherent exergy destruction or losses, attainment of the
optimum (i.e., 100%) exergetic efficiency is not practicable and should not be the main objective of any
design improvement.
Findings by Yumrutaş et al. [27] suggest that exergy destruction in the evaporator and condenser
are significantly affected by evaporating and condensing temperatures. These temperatures, however,
do not affect the exergy destruction in the compressor and the expansion valve. In a study using exergy
analysis [28] it was found that the exergy loss in the throttling valve represents more than one third of
the irreversibility of the cycle. The same study found that gas cooling and compression were the main
sources of exergy destruction for the system with expander.
When comparing single stage systems of R290, R404A and R744, Shilliday et al. [29] observed that
a single stage CO2 system was found to exhibit the highest total cycle exergy destruction ratio, i.e.,
ratio of exergy destroyed per unit of work input. The system also exhibits the greatest increase in that
ratio with increased condensing and evaporating temperatures.
The various studies cited above have been directed to either (1) study the impact of various
parameters (such as evaporating or gas cooling temperature) on the exergy losses, or (2) comparing the
exergy losses of the transcritical CO2 systems with that of traditional refrigeration systems. Another
direction of study which has not been attempted so far is the comparison of a CO2 system operating in
subcritical mode against that operating in supercritical state.
A case study by Cavallini [24] compares the exergy losses of a single stage CO2 refrigeration
system and an R22 system. Both systems operate at an ambient temperature of 28 ◦ C, an evaporating
temperature of −10 ◦ C, compression isentropic efficiency of 80%, with the degree of superheat at
compressor inlet being 0 ◦ C. The CO2 system operates in the supercritical state with a gas cooler
pressure of 78 bar and an outlet gas cooler temperature of 31 ◦ C (i.e., a temperature approach of 3 K).
The study found that the greatest exergy loss of 16.6 kJ/kg occurred at the expansion process, followed
by compression (9.6 kJ/kg), gas cooling (9.5 kJ/kg) and evaporation (3.1 kJ/kg). The same study reveals
that the exergetic efficiency of the transcritical system is about 17% less than that of the R22 system
(0.31/0.34) implying slightly greater room for exergetic improvement for the CO2 system. The total
efficiency defect of 0.69 (1–0.31) spreads across the various components as follows: compressor: 0.171,
gas cooler: 0.170, throttling (0.294) and evaporator (0.055). For the R22 system, with total efficiency
defect of 0.374, the defect share of each component is as follows: compressor (0.173), condenser (0.224),
throttling (0.161) and evaporation (0.068).
Extending Cavallini’s simple case study on CO2 systems to subcritical operation enables one
to: (1) assess the extent of the exergy loss magnitude due to supercritical operation compared to
subcritical operation, which in turn (2) demonstrates the impact of minimising or totally eliminating
the supercritical operation. If the exergy defects created by supercritical operation cannot be ignored,
Energies 2019, 12, 2959 12 of 39

then minimising or totally eliminating the supercritical operation is an effort worth considering.
The performance of the CO2 system with such capability has recently be reported [26]. For this exercise,
the Cavallini’s case study is slightly modified for subcritical operation where the ambient temperature is
changed from 28 ◦ C to a value below 20 ◦ C which enables the system to operate subcritical (i.e., the CO2
gas condenses within the condenser). The selection of 20 ◦ C temperature as a maximum temperature
at which the system can operate in the subcritical state is based on an ATD of 8 K [26]. In such a case,
the condenser air inlet temperature can now be much lower than the ambient temperature, a situation
which can be envisaged during summer months. This implies that an additional air precooling unit
exists that enables the high temperature ambient air to be cooled down to 20 ◦ C or less. The DPCO2
system [26] can serve that role in warm to hot climatic zones with not too high humidity. It is also
assumed that the CO2 refrigerant leaving the condenser is saturated liquid. Another case for the
supercritical operation is also added in the case study that represents hotter weather which is typical
for summer in hot climates. It involves a system operating at ambient temperature of 35 ◦ C with an
approach temperature of 3 K resulting in the gas cooler outlet temperature of 38 ◦ C (instead of 31 ◦ C in
the existing case study). For the cases where the system operates in a subcritical state, the ambient
temperature is assumed 28 ◦ C.
Table 2 presents a summary of the exergetic performances of a CO2 system operating in supercritical
and subcritical states. For the subcritical case, condenser air inlet temperatures of 18, 19 and 20 ◦ C
were chosen, whilst for supercritical operation, gas cooler exit temperatures of 31 ◦ C and 28 ◦ C
(from Cavallini’s case study [24]) were chosen with the ATD value and other conditions adopted from
the case study.

Table 2. Comparison of Exergetic Performance of a CO2 Refrigeration system operating at both

supercritical and subcritical states.

Subcritical Operation
Supercritical Operation
(Through Dew Point Evaporative Cooling)
Ambient Temperature Condenser Air Inlet Temperature
35 ◦ C 28 ◦ C 20 ◦ C 19 ◦ C 18 ◦ C
Gas Cooler Outlet Temp. (◦ C) Condensing temperature (◦ C)
[kJ/kg]
38 ◦ C 31 ◦ C 28 27 26
QEV 130.2 141.2 145 150.9 156
Wcomp 71.1 56 49.8 47.8 47
XL-COMP 11.9 7.7 9.2 8.4 8.5
XL-C/GC 14.5 11.1 4.4 3.7 2.8
XL-EXP 22.5 15.7 15.1 14.5 13.1
XL-EV 3.3 2.6 3.3 2.6 3.2
COP[–] 1.83 2.5 2.91 3.16 3.32
% XL Reduction 1 11.2 14.7 16.1
% XL Reduction 2 30 32.7 33.9
1 Exergy loss reduction if the system can operate in subcritical state instead of supercritical state at ambient
temperature of 28 ◦ C. 2 Exergy loss reduction if the system can operate in subcritical state instead of supercritical
state at ambient temperature of 35 ◦ C.

As seen, the performance of the system operating in subcritical mode is significantly better
than that operating in supercritical mode. As expected, as the condensing temperature is reduced,
the refrigeration effect increases for the same evaporating temperature. Observing the values of exergy
destruction of each component/process, one can conclude that the largest destruction occurs during
expansion, which is in agreement with previous findings [25,27]. However, a close observation also
reveals that the exergy destruction during supercritical operation is very much dictated by the ambient
temperature (which in turn affects the gas cooler exit temperature for a fixed ATD). On the other hand,
for the system running in subcritical state the change in condensing temperature will marginally affect
the exergy destruction during expansion.
Energies 2019, 12, 2959 13 of 39

The impact of bringing down the temperature of air entering the condenser to 20 ◦ C or lower is
clearly demonstrated through the figures in Table 2. For instance, the COP of the system operating in
supercritical state at ambient temperature of 35 ◦ C is 1.83. The system operating in subcritical mode
with condensing temperature of 28 ◦ C (i.e., with condenser air inlet temperature of 20 ◦ C) is 2.91.
This is a COP improvement of 59%. The system operating at a condensing temperature of 27 ◦ C avoids
32.7% of exergy losses compared to the same system operating at supercritical state with an ambient
temperature of 35 ◦ C.

4. Basic Cycle Modifications

Energies 2019, 12, x FOR PEER REVIEW 62 of 100
The single stage
Energies 2019, 12, cycles
x FOR PEERpresented
REVIEW in Section 2 have two main limitations: (a) low system 62 of 100 COP due
4. Basic Cycle
to its low critical Modifications
temperature, and (b) limited capacity. The exergy analysis discussed in the previous
4. Basic
section shows theCycle
The single Modifications
stage cycles for
opportunities presented
system in performance
Section 2 have two main limitations:
improvements (a) low system
through COP
modifications of the
existing basic cycles. Cycle modifications of this basic system is normally carried outthe
due toThe itssingle
low critical
stage temperature,
cycles presentedandin(b) limited
Section 2 capacity.
have two The exergy
main analysis
limitations: (a) discussed
low system inCOP
to serve the
previous
due to its section
low criticalshows the opportunities
temperature, for system
and (b) limited capacity.performance improvements
The exergy analysis through
discussed in the
following modifications
purposes: (1) toexisting
of the improve the
basic system
cycles. Cycleperformance,
modifications of (2)
thisto enable
basic system the systemcarried
is normally to cope with or
previous section shows the opportunities for system performance improvements through
meet the load
out toconditions
modifications theor
serve theoffollowing requirements.
purposes:
existing (1) toCycle
basic cycles. improve the systemofperformance,
modifications (2) toisenable
this basic system the system
normally carried
to
outcope with the
to serve or meet the load
following conditions
purposes: (1) toorimprove
requirements.
the system performance, (2) to enable the system
4.1. Internal Heatwith
to cope Exchanger
or meet the load conditions or requirements.
4.1. Internal Heat Exchanger
An internal heat
4.1. Internal exchanger
Heat Exchanger (IHX) is a heat exchanger introduced to utilise the heat available from
An internal heat exchanger (IHX) is a heat exchanger introduced to utilise the heat available
the outlet from
of the theCO
An 2 gas
outlet
internal
cooler
ofheat
the CO 2 to
gassuperheat
exchangercooler to is
(IHX)
the gasthe
superheat in gas
theincompressor
a heat exchanger
suction
the compressor
introduced suction
to utilise
line,
theline,
Figure
heatFigure
10. The IHX
10.
available
increases subcooling
The IHX at
increasesthe entrance
subcooling at of
the the expansion
entrance of the device
expansion and
device decreases
and decreases the amount
the
from the outlet of the CO2 gas cooler to superheat the gas in the compressor suction line, Figure 10. amount of flash gas
of
flash
The gas
IHX production.
increases The p-h
subcooling atdiagram
the of
entrance the
of CO
the refrigeration
2expansion system
device and with
production. The p-h diagram of the CO2 refrigeration system with enthalpy loss and enthalpy gain in enthalpy
decreases the loss
amountand
of
enthalpy
flash gasin gain in an IHX is shown in Figure 11.
production.
an IHX is shown Figure 11.The p-h diagram of the CO2 refrigeration system with enthalpy loss and
enthalpy gain in an IHX is shown in Figure 11.

Figure 10. Schematic of a counter flow double pipe IHX.

Figure 10. Schematic of a counter flow double pipe IHX.
Figure 10. Schematic of a counter flow double pipe IHX.

3
4 2
3
4 2

5 1
6
5 1
6

A p-h11.diagram
Figure 11.Figure of a CO refrigeration system showing enthalpy loss and gain on both sides
A p-h diagram of a 2CO2 refrigeration system showing enthalpy loss and gain on both sides
of an internal
of anheat
Figure
exchanger.
internal heat
11. A p-h
Processes:
exchanger.
diagram
1–2:1 –compression,
Processes:
of a CO 2: compression,2–3:
2 – 3:cooling ingas
cooling in gascooler,
cooler,3 –3–4:
2 refrigeration system showing enthalpy loss and gain on both sides
4: gasgas cooling
in IHX, 4–5: expansion,
cooling
of an internal 4 –5–6:
in IHX,heat expansion,
5:exchanger.
expansion, 5 – 6:6–1: 1 superheating
expansion,
Processes: in2 IHX.
6 – 1: superheating
– 2: compression, in IHX. in gas cooler, 3 – 4: gas
– 3: cooling
cooling in IHX, 4 – 5: expansion, 5 – 6: expansion, 6 – 1: superheating in IHX.
The installation of an IHX is normally aimed to increase the system cooling capacity and improve
the COP. The IHX typically
The installation increases
of an IHX the system
is normally aimed toefficiency
increase[8].
the However, the benefit
system cooling of and
capacity installing
improvean
IHX to improve the system performance is affected by the working fluid and the system operating
the COP. The IHX typically increases the system efficiency [8]. However, the benefit of installing an
IHX to improve the system performance is affected by the working fluid and the system operating
Energies 2019, 12, 2959 14 of 39

The installation of an IHX is normally aimed to increase the system cooling capacity and improve
the COP. The IHX typically increases the system efficiency [8]. However, the benefit of installing an
IHX to improve the system performance is affected by the working fluid and the system operating
conditions [15]. According to experimental results conducted on a transcritical CO2 mobile air
conditioning system, the installation of an IHX improved the cycle performance by up to 25% [30].
An increase in the degree of sub-cooling due to an IHX increases the refrigerating effect; however, this
also results in an increase of compressor work [31].
A numerical study of a transcritical CO2 heat pump system [32] reveals that the impact of the IHX
on the system performance and discharge pressure was found to be insignificant for a system running
low and medium temperature CO2 refrigerant at the outlet of the gas cooler.
Through numerical modelling, Ituna-Yudonago et al. [33] investigated the transient behaviour of
the CO2 flowing in an IHX similar to that shown in Figure 10. The research found that the CO2 inlet
temperature and mass flow rate affect the CO2 thermophysical properties. The transient behaviour
of the IHX was also found to have more influence on the supercritical CO2 gas coming from the gas
cooler. The system COP was found to be inversely proportional to the effectiveness of the IHX and
highly influenced by the inlet temperature of the CO2 transcritical gas.
The numerical simulation work by [34] which was supported by experimental validation
investigated the dependence of the COP of a CO2 system running in transcritical mode on the
length of the IHX at varying gas cooler pressure. The COP of a system with a 2 m length IHX was
found to increase by about 23% compared to that without an IHX at an ambient temperature of 35 ◦ C.
A further increase in IHX length, however, resulted in an insignificant increase in COP. The COP of the
same system (i.e., with 2 m IHX) exposed to a higher ambient temperature of 43 ◦ C increases by 35%
compared to that without an IHX. This implies that the higher the ambient temperature, the higher the
potential of the COP improvement using the IHX. This study also indicates that based on the CO2
thermophysical properties, the improvement in the COP is realised through the increase of cooling
capacity which is larger than the increase in power consumption.
The impact of the IHX on the system COP and optimum discharge pressure was also noticed by
Sarkar et al. [15]. According to this study, a cooler exit temperature affects the improvement in the
COP and the optimum discharge pressure. At a cooler temperature of 30 ◦ C, the COP improves by
merely 1% and the optimum discharge pressure decreases only by 2%. However, when the cooler
exit temperature is raised to 60 ◦ C, the COP improves by 15% and the optimum discharge pressure
decreases by 13%. In studying the system, the authors set the evaporator temperature to 0 ◦ C and
assumed the compressor isentropic efficiency to be 70%. They concluded that the use of the IHX can be
beneficial if the gas cooler outlet temperature is high.
Findings from a handful of the previous investigations mentioned above suggest that a generalised
statement about the impact of the IHX on the system performance cannot be made as it depends of
various influencing factors such as working fluid and operating conditions. An earlier theoretical study
of Domanski et al. [35] summarises the factors that dictates the benefits of an IHX as “a combination of
operating conditions and fluid properties—heat capacity, latent heat, and coefficient of thermal expansion with
heat capacity being the most influential property”. This study further unveils that if the refrigerant used
already gives a good performance of the basic system then the impact of the IHX is marginal or even
“negative”. The assumptions made in their study includes isentropic compression, no-pressure-drop
infinite heat exchangers, and no-pressure-drop liquid line/suction line heat exchanger.

4.2. Mechanical Expander

A significant loss due to expansion [28,36–38] is one of the main drawbacks of the CO2 cycle.
Throttling is an irreversible process which imposes a double penalty, i.e., decrease in refrigerating
effect and increase in work input to the compression [39]. A mechanical expander can be introduced to
minimise the throttling loss suffered by a transcritical CO2 system and recover this loss for mechanical
power generation. Thermodynamically, introduction of a work-generating component, in this case an
Energies 2019, 12, 2959 15 of 39

expander, to the system will improve the system performance by transforming the isenthalphic process
to the one closer to isentropic process. A p-h diagram of a CO2 refrigeration system with (and without)
Energies 2019, 12, x FOR PEER REVIEW 64 of 100
a mechanical expander is shown in Figure 12. As shown, the replacement of an expansion valve with
a mechanical expandervalve
of an expansion results in aanmechanical
with expansionexpander
process results
closer to
in an
an isentropic processcloser
expansion process and therefore
to an
increases the cooling effect.
isentropic process and therefore increases the cooling effect.

3 2

1
4’ 4

Figure 12. A p-h

Figure 12. diagram of a CO
A p-h diagram of2asystem with awith
CO2 system mechanical expander.
a mechanical Processes:
expander. 1–2:
Processes: compression,
1–2: compression,2–3:
gas cooling, 3–4: expansion without mechanical expander, 3–4: expansion with mechanical expander.
2–3: gas cooling, 3–4: expansion without mechanical expander, 3–4: expansion with mechanical
expander.
Theoretical investigations [24,36,40] present an interesting insight on the introduction of the
expander toTheoretical
replace theinvestigations
expansion valve. [24,36,40]According
present to an[24,36], an expander
interesting insight oncan the increase
introductionthe COP
of theof a
basic CO 2 system
expander to due
replaceto reduced exergy
the expansion lossAccording
valve. during expansion.
to [24,36], anHowever,
expanderthe canbenefit
increaseofthe introducing
COP of
a basic will
an expander CO2 system
be cancelleddue to reduced
out, in fact exergy loss during
it results expansion.
in reduced COP,However,
by an IHX the benefit
(Section of introducing
4.1) added to
an expander
the system. This is will be cancelled
because an IHX,out, whichin fact it results
cools in reduced
the fluid leavingCOP,
thebygas ancooler,
IHX (Section
reduces 4.1)the
added to
potential
the system. This is because an IHX, which cools the fluid leaving
work that would have been extracted by the expander. A similar effect was observed by Huff and the gas cooler, reduces the potential
work that would have been extracted by the expander. A similar effect was observed by Huff and
Radermacher [40]. Due to the IHX’s role in protecting the compressor from flooding, the installation of
Radermacher [40]. Due to the IHX’s role in protecting the compressor from flooding, the installation
this component cannot simply be overlooked.
of this component cannot simply be overlooked.
The workThe recovered
work recovered from the expansion
from loss is loss
the expansion normally utilisedutilised
is normally to drive tothe compressor
drive resulting
the compressor
in increased compressor efficiency. However, this normally involves a high
resulting in increased compressor efficiency. However, this normally involves a high initial cost and initial cost and resolving
technical issues technical
resolving related to the recovery
issues related to [31]. The types
the recovery [31].ofThe
energy
typesrecovery
of energyexpanders that have
recovery expanders been
that
proposed/employed for CO2 systemsfor
have been proposed/employed include: piston include:
CO2 systems expander, vaneexpander,
piston expander,vane scroll expander,
expander, screw
scroll
expanderexpander,
and turboscrew expander[39,41,42].
expander and turbo expander [39,41,42].
In many systems,
In many systems, the compressor the compressor andand thethe expanderare
expander arehighly
highly integrated
integratedand andshare
share thethe
samesame
drive shaft. This can restrict the volumetric flow rate to the volume displacement rate forofthe
drive shaft. This can restrict the volumetric flow rate to the volume displacement rate for the case
a positive-displacement-type compressor and expander. Conduction heat loss through the
case of a positive-displacement-type compressor and expander. Conduction heat loss through the
condenser-expander housing can also reduce the recoverable work. The cost of expanders which is
condenser-expander housing can also reduce the recoverable work. The cost of expanders which is
comparable to that of compressors is another factor hindering their applications in refrigeration and
comparable
HVACtosystems
that of–compressors
for smaller systemsis another factor hindering
in particular [39]. their applications in refrigeration and
HVAC systems—for
Another type smaller systems
of expansion in particular
device [39].Figure 13. An ejector utilises momentum transfer
is the ejector,
Another
betweentype two of expansion
streams device
of fluid, is the
i.e., the ejector,
primary Figurehigh
(motive) 13. pressure
An ejector fluidutilises
and the momentum
suction
transfer(secondary)
between two fluid.streams of fluid,
The primary fluidi.e.,
flowsthe primary
through the (motive) high pressure
primary nozzle convertingfluid and the
its pressure suction
energy
to kinetic energy drawing in the secondary fluid where both fluids
(secondary) fluid. The primary fluid flows through the primary nozzle converting its pressure energymix in the mixing chamber. In the
to kinetic energy drawing in the secondary fluid where both fluids mix in the mixing chamber. the
diffuser section the mixed fluid gains back their pressure energy in the form of static pressure in In the
diffuserdiffuser
sectionsection.
the mixed fluid gains back their pressure energy in the form of static pressure in the
diffuser section.
Energies 2019, 12, 2959 16 of 39
Energies 2019, 12, x FOR PEER REVIEW 65 of 100
Energies 2019, 12, x FOR PEER REVIEW 16 of 39

Figure 13. Schematic

Figure13. ofan
Schematic of anejector.
ejector.
Figure 13. Schematic of an ejector.

During supercritical operation

During of aaCO refrigerationsystem,
system, the high pressure CO2 exiting
gas exiting
During supercritical
supercritical operation
operation of
of a CO
CO222 refrigeration
refrigeration system, the
the high
high pressure
pressure CO
CO22 gas
gas exiting
the gas
thecooler is employed to increase the pressure of the refrigerant at the exit section
the gas cooler is employed to increase the pressure of the refrigerant at the exit section of
gas cooler is employed to increase the pressure of the refrigerant at the exit of the
section evaporator
of the
the
whichevaporator which in turn increases the compressor suction pressure and reduces the
evaporator which in turn increases the compressor suction pressure and reduces the compressorinput,
in turn increases the compressor suction pressure and reduces the compressor compressor
power
power
Figure 14. input,
power input, Figure
Figure 14.
14.

Figure 14. Schematic and p-h diagrams of a CO2 refrigeration system with ejector during transcritical
(a) (b)
operation.
Figure 14. Schematic and p-h diagrams of a CO2 refrigeration system with ejector during transcritical
Figure 14. Schematic and p-h diagrams of a CO2 refrigeration system with ejector during
Aoperation. (a): of
derivation system schematic;relationships
thermo-fluid (b): p-h diagram.
governing the operation of an ejector is given in [43].
transcritical operation. (a) system schematic, (b) p-h diagram.
Liu and Groll [44] carried out a study and developed a method for calculating the efficiencies of
A derivation of thermo-fluid relationships governing the operation of an ejector is given in [43].
ejector
A internal components (i.e., motive nozzle,governing
suction nozzle and mixingofzone). They isfound that
Liuderivation
and Groll of [44]thermo-fluid
carried out arelationships
study and developed a method the operation an ejector
for calculating given
the efficiencies in [43].
of
these
Liu and efficiencies
Groll [44] are
carried influenced
out a study by
andgeometry
developedand aoperating
method conditions
for as
calculating opposed
the to constant
efficiencies of ejector
ejector internal components (i.e., motive nozzle, suction nozzle and mixing zone). They found that
efficiencies assumed in previous studies (see e.g., [45–47]).
internal
thesecomponents
efficiencies are (i.e.,influenced
motive nozzle, suction
by geometry andnozzle and mixing
operating conditions zone). They found
as opposed that these
to constant
The various constraints of a single ejector system can be overcome by the multi-ejector concept
efficiencies are influenced
efficiencies by geometry
assumed in previous studiesand(seeoperating conditions as opposed to constant efficiencies
e.g., [45–47]).
discussed by Hafner et al. [48] and later developed by Banasiak et al. [49], experimentally analysed
assumed The various constraints
in previous studies of e.g.,
(see a single ejector system can be overcome by the multi-ejector concept
[45–47]).
by Haida et al., [50] and numerically studied by Body et al. [51]. The multi-ejector system discussed
discussed
The variousby Hafner
constraintset al. [48] and later developed by can
Banasiak et al. [49],by
experimentally analysed
in these studies consists ofofa apack single ejector
of ejectors system
placed be overcome
in parallel as shown in the multi-ejector
Figure 15. In such concept
an
by
discussed Haida
by et al.,
Hafner [50]
et and
al. numerically
[48] and laterstudied by
developed Bodyby et al. [51].
Banasiak The
et multi-ejector
al. [49], system
experimentally discussed
analysed
arrangement, the ejectors substitute the role of the expansion valves. The three vapour ejectors E1, E2
in these studies consists of a pack of ejectors placed in parallel as shown in Figure 15. In such an
by Haida
and E3 ethave
al., [50] and numerically
different mass flow rates, studied by Body
designed in suchetaal.
way [51].
thatThe multi-ejector
the mass flow rate system
through discussed
E3 is
arrangement, the ejectors substitute the role of the expansion valves. The three vapour ejectors E1, E2
twice
in these that which
studies flowsof
consists through
a packE2ofand four times
ejectors that in
placed which flowsas
parallel through
shown E1.in Figure 15. In such an
and E3 have different mass flow rates, designed in such a way that the mass flow rate through E3 is
arrangement,
twice that the
which ejectors substitute
flows through the four
E2 and role times
of thethat
expansion
which flows valves.
throughTheE1.
three vapour ejectors E1,
E2 and E3 have different mass flow rates, designed in such a way that the mass flow rate through E3 is
twice that which flows through E2 and four times that which flows through E1.
Energies 2019, Energies
12, 29592019, 12, x FOR PEER REVIEW 66 of
17 of 39
100

Energies 2019, 12, x FOR PEER REVIEW 17 of 39

Sketch
Figure 15.Figure 15.of a multi-ejector
Sketch system
of a multi-ejector [51]. [51].
system

From an experimental analysis analysis

From an experimental [50], it was
[50], found that thethatsystem COPCOP improved byby 7%7%and
andthe
Figure 15. Sketch of aitmulti-ejector
was found systemthe system
[51]. improved the
exergy efficiency
exergy by 13.7% by
efficiency compared to that of
13.7% compared to the
thatparallel compression
of the parallel compressionsystem. It was
system. also
It was observed
also observed
that the compression
thatan
From efficiencyanalysis
theexperimental
compression is affected
efficiency is by
[50], the cooling
affected
it was load
by thethat
found theand
cooling loadheat
system and rejection.
COPheat Danfoss
rejection.
improved 7%[52],
byDanfoss which
and[52],
the is
which
supported is
bysupported
SINTEF by SINTEF
Energy Energy
research research
[51], has [51], has
developed developed
variousvarious multi-[vapor
multi-[vapor
exergy efficiency by 13.7% compared to that of the parallel compression system. It was also observed and and liquid]
liquid] ejector
ejector
products products
which
that the which
it claims
compression it claims
to improve
efficiency istoaffected
improve bythe
theperformance
the performance CO2ofand
of load
cooling COheat
2 systems.
systems. rejection. Danfoss [52], which
is supported by SINTEF Energy research [51], has developed various multi-[vapor and liquid] ejector
4.3.which
4.3. Compression
products Compression
Staging Staging
it claims to improve the performance of CO2 systems.
The concept of two or multi-stage compression aims to reduce the work input to the compressor.
TheCompression
4.3. concept of Staging
two or multi-stage compression aims to reduce the work input to the compressor.
This is realised through intercooling, flash gas intercooling or flash gas bypass. In the two-stage
This is realised through intercooling, flash gas intercooling or flash gas bypass. In the two-stage compression
Thecompression
concept of twowithorintercooling,
multi-stage Figure 16, an aims
compression external fluid cools
to reduce the CO
the work 2 refrigerant
input coming from the
to the compressor.
with intercooling,
low Figure
pressure 16, an external
compressor (LP) as fluid
it cools
passes the CO
through the2 refrigerant
intercooler. coming
This cooled from
CO the
gaslow pressure
is compressed
This is realised through intercooling, flash gas intercooling or flash gas bypass. In the two-stage 2
compressorand (LP) as it in
passes through the intercooler. This cooled CO gasstate is compressed and heated
compression heated the high
with intercooling, pressure
Figure compressor
16, an external reaching
fluid cools the CO22 refrigerant
the supercritical at 4. The gas
coming is
from then
the cooled
in thelow
high
pressure compressor (LP) as it passes through the intercooler. This cooled CO 2 gas is compressedin the
inpressure
the gas compressor
cooler to state reaching
5 and its the supercritical
pressure is reduced state
to at
state 4.
6 The
before gas
it is
entersthen
thecooled
evaporator. To
gas cooler to state
ensure
and heated 5 and
thehigh
in the its
gas enterspressure
pressure is
thecompressor reduced
suction linereaching to state
of the low 6 before
thepressure it enters
compressor
supercritical the
in The
state at 4. evaporator.
the dry state,
gas is thenthe To ensure
gas exiting
cooled
the gas
in the the cooler
enters
gas evaporator
the suction isline
to state 5usually
ofits
and superheated
the low pressure
pressure by absorbing
is reduced compressor
to state some inheat
6 beforetheitfrom
dry thethe
state,
enters outlet
the of the
gas
evaporator. gas
To cooler
exiting the
ensure through
evaporator is usually
the an superheated
gas enters IHXthe(see Section
suction byline4.1).
absorbing
of the lowsome heatcompressor
pressure from the outlet
in the of
drythe gasthe
state, cooler through an
gas exiting
the evaporator
IHX (see Section 4.1). is usually superheated by absorbing some heat from the outlet of the gas cooler
through an IHX (see Section 4.1).

Figure 16. Two-stage compression with intercooling.

(a) (b)

Figure
Figure 16. 16. Two-stage
Two-stage compressionwith
compression with intercooling.
intercooling. (a):
(a)system
systemschematic; (b):(b)
schematic, p-hp-h
diagram
diagram.
 Energies
Energies 2019, 2019, 12, x FOR PEER REVIEW
12, 2959 67 of 100
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Energies 2019, 12, x FOR PEER REVIEW 67 of 100
In the two-stage compression with flash gas intercooling, Figure 17, he gas entering the high
In In the
pressure
the two-stage
compressor
two-stage compression
is cooled down
compression with flash
flashgas
gasintercooling,
(de-superheated)
with Figure
by the gas
intercooling, 17, 17,
flashing
Figure he gas
fromhetheentering
gas the high
expansion
enteringvalve
the high
pressure
located
pressure compressor is iscooled
at the outlet
compressor cooled down
of thedown (de-superheated)
gas cooler. This resultsbyin
(de-superheated) the
by gasgas
reduced
the flashing
work from
flashing input the
from toexpansion valve valve
the expansion
the compressor.
located at thetwo-stage
located at the outletoutlet
Introducing of theofgas the gas cooler.
compression with
cooler. This This
resultsresults in reduced
an intercooler,
in reduced Shilliday work input
et al. to
work input [29] to the compressor.
theobserved an increased
compressor. Introducing
Introducing
performance two-stage
(COP) ofcompression with
the CO2 system byanupintercooler, Shilliday
to 12% compared withet the
al. [29]
singleobserved an increased
stage system.
two-stage compression with an intercooler, Shilliday et al. [29] observed an increased performance
performance (COP) of the CO2 system by up to 12% compared with the single stage system.
(COP) of the CO2 system by up to 12% compared with the single stage system.

(a) (b)
(a) (b)
Figure 17. Two-stage compression with flash gas intercooling. (a) system schematic, (b) p-h
Figure 17. Two-stage
Figure 17. Two-stage compression
compression with with
flashflash gas intercooling.
diagram.
gas intercooling. (a)(a)system
systemschematic,
schematic, (b)
(b)p-h
p-h diagram.
diagram.
Figure
Figure 18 hows
18 hows thethe two-stage
two-stage compression cycle
compression cycle utilising
utilisingflash
flashgas bypass.
gas bypass.In this configuration,
In this configuration,
the Figure 18 hows
saturated vapourthecoming
two-stage
fromcompression
the cycleatutilising
evaporator 1 is flash gas bypass.
compressed to state In
2 thisthe
by configuration,
low pressure
the saturated vapour coming from the evaporator at 1 is compressed to state 2 by the low pressure
the saturated and
compressor vapour coming
mixed withfrom the evaporator
saturated vapour 3atfrom
1 is compressed to stateto
the flash chamber 2 by the4.low
state pressure
This scheme
compressor and mixed with saturated vapour 3 from the flash chamber to state 4. This scheme increases
compressor and
increases the mixed with
refrigerating saturated
effect vapour
and reduces the3 work
from input
the flash
to thechamber to state
compressor [31].4. This scheme
the refrigerating effect and reduces the work input to the compressor [31].
increases the refrigerating effect and reduces the work input to the compressor [31].

(a) (b)
(a) (b)
Figure
Figure 18. Two-stage
18. Two-stage compressionwith
compression withflash
flashgas
gas bypass.
bypass. (a):
(a):Schematic,
Schematic,andand
(b):(b):
p-h p-h
diagram.
diagram.
Figure 18. Two-stage compression with flash gas bypass. (a): Schematic, and (b): p-h diagram.
In optimising two-stage CO2 heat pump cycles, Agrawal et al. [18] found that for the two-stage
system, in addition to the gas cooler pressure, the intermediate pressure also has an impact on the
value of system maximum COP.
 Energies 2019, 12, x FOR PEER REVIEW 68 of 100

In optimising two-stage CO2 heat pump cycles, Agrawal et al. [18] found that for the two-stage
system,
Energies 2019,in12,
addition
2959 to the gas cooler pressure, the intermediate pressure also has an impact on the 19 of 39
value of system maximum COP.

4.4.4.4.
Parallel
ParallelCompression
Compression

InIn parallelcompression,
parallel compression, Figure
Figure19,
19,the gas
the exiting
gas the the
exiting gas gas
cooler expands
cooler through
expands the expansion
through the expansion
valve EV1 (1 → 2) and enters the vapor-liquid separator. The liquid portion
valve EV1 (1 → 2) and enters the vapor-liquid separator. The liquid portion is further is further expanded
expanded
through EV2 valve (3 → 4) before entering the evaporator. The gas portion leaving the separator
through EV2 valve (3 → 4) before entering the evaporator. The gas portion leaving the separator enter enter
compressor C1 and at point 9 meets with the gas leaving compressor 2.
compressor C1 and at point 9 meets with the gas leaving compressor 2.

(a) (b)
Figure19.
19.Parallel
Parallel compression
compression ofofa aCO
CO2 refrigeration cycle. (a) system schematic; (b) p–h diagram.
Figure 2 refrigeration cycle. (a) system schematic; (b) p-h diagram.

InIn a numerical
a numerical study
study carried
carried outout by Sarkar
by Sarkar and and
AgrawalAgrawal
[53], [53],
it wasit found
was found that parallel
that parallel compression
compression has more impact when the system operates at lower evaporating temperatures. In this
has more impact when the system operates at lower evaporating temperatures. In this study they also
study they also developed the equation for an optimum discharge pressure as a function of
developed the equation for an optimum discharge pressure as a function of evaporating and gas cooler
evaporating and gas cooler exit temperature for a system involving parallel compression. In addition
exit
totemperature
an improvedfor a system
optimum COPinvolving
of up toparallel compression.
47%, parallel In addition
compression to an improved
also reduces the optimum optimum
COP of up to
discharge 47%, parallel
pressure. The studycompression also with
was performed reduces the optimum
the evaporator discharge
temperature pressure.
range of −45°C The study was
to 5°C
◦ C to 5 ◦ C and the gas cooler exit temperature
performed
and the gaswith the exit
cooler evaporator temperature
temperature range from 30°Cofup−45
range to 60°C.
range from 30 ◦ C upand
For moderate to 60
warm◦ C.climates, parallel compression elevates the CO2 system status to be the

most
Forefficient
moderatesystem
andamong
warmsystems being
climates, investigated
parallel (cascade,elevates
compression conventional booster,
the CO cascade
2 system with
status to be the
gasefficient
most bypass, and booster
system amongsystem with parallel
systems compression).(cascade,
being investigated Performance improvements
conventional of 5%
booster, and with
cascade
gas3.6% for warmer
bypass, climate
and booster (Athens,
system withGreece) and
parallel moderate climate
compression). (London, improvements
Performance UK), respectively, were
of 5% and 3.6%
found compared to the baseline conventional CO2 booster system [54].
for warmer climate (Athens, Greece) and moderate climate (London, UK), respectively, were found
The impact of parallel compression on the performance of a commercial CO2 booster system (see
compared to the baseline conventional CO2 booster system [54].
Section 5.1) was carried out by Gullo et al. [55] employing the exergy analysis. The analysis indicated
The
that theimpact
highest of parallel compression
irreversibilities were foundon in the performance
the gas of a commercial
cooler/condenser, the high stageCOcompressor
2 booster system
(see Section 5.1) was carried out by Gullo et al. [55] employing the
and the medium temperature (MT) display cabinet. In the study, the outdoor temperature range exergy analysis. Theofanalysis
indicated that was
25°C to 35°C the considered.
highest irreversibilities were found in the gas cooler/condenser, the high stage
compressor and the issue
An important medium withtemperature (MT) display
parallel compression is that cabinet. In the study,
it only compresses the outdoor
the bypassed flashtemperature
gas
which
range of 25 ◦ C to 35
delivers ◦ C was
a minor increase in capacity and a small COP improvement at high ambient
considered.
temperatures.
An important issue with parallel compression is that it only compresses the bypassed flash gas
which delivers a minor increase in capacity and a small COP improvement at high ambient temperatures.
4.5. Summary of Cycle Modification Improvement Outcomes
4.5. Summary of Cycle Modification Improvement Outcomes
The summary of the outcomes of the cycle modification improvement attempts discussed above is
presented in Table 3. It should be noted that the summary avoids quoting the values of improvement
made from particular case studies carried out with specific conditions as discussed in previous
sub-sections. This is to avoid unintended consequences of generalisation of such specific findings.
Energies 2019, 12, 2959 20 of 39

Table 3. Summary of Cycle Modification Improvement Outcomes.

Modification Main Features, Advantages, Drawbacks, General Notes

• utilises heat available from CO2 gas cooler outlet to superheat gas
Internal Heat entering compressor
Exchanger • Increases subcooling at expansion device inlet
• Decreases the amount of flash-gas production

• increase of subcooling increases cooling capacity

• increase of subcooling degrades COP due to increase in compressor
work input
• benefits depend on working fluid and system operating conditions

• transforms isenthalpic process into one closer to isentropic

• minimise the throttling losses
• the losses recovered is utilised to generate power to drive the compressor
Mechanical expander • simultaneous presence of mechanical expander and IHX will degrade the
system COP; IHX reduces the work potentially extractable
• installation involves high initial cost and resolving of technical issues related
to work recovery

• Utilises momentum transfer between motive fluid and suction fluid to

increase the compressor suction pressure which in turn reduces compressor
power input
Ejector • efficiencies of the motive nozzle, suction nozzle and mixing zone are
influenced by geometry and operating conditions
• Multi-ejector concept mitigates the constraints of the single ejector

• aims to reduce the compressor work input through intercooling, flash gas
intercooling, and flash gas bypasss
• In the intercooling, external fluid cools the refrigerant leaving low pressure
compressor. The IHX is normally installed at the low pressure compressor to
ensure refrigerant dry state
Compressor Staging • In the flash gas intercooling, gas flashing from the expansion valve cools down
(de-superheats) the gas entering high pressure compressor
• In flash gas bypass staging, the gas coming from the low pressure compressor is
mixed with saturated vapor coming from the flash chamber which increases
the cooling capacity and reduces the compressor work input

• In the system with parallel compression, the gas exiting the vapor-liquid
separator is compressed separately from the gas coming from the evaporator.
• Parallel compression can bring significant improvement in COP and reduction
Parallel compression in optimum discharge pressure for system working at lower
evaporating temperatures.
• In terms of improved cooling capacity, parallel compression contribution
is small.

5. Several Configurations of CO2 -based Refrigeration System

5.1. CO2 Booster System

A booster system can consist of two or more pressure (temperature) sections served by two or more
compressors. A schematic of a CO2 booster system with low temperature and medium temperature
loads is shown in Figure 20 with a corresponding p-h diagram. The medium temperature compressor
(MT-C) elevates the CO2 gas pressure from state 1 to 2 before the gas enters the condenser/gas cooler.
During the summer periods, when the ambient temperature is high, the CO2 in the condenser can
reach the critical point (temperature) of 31 ◦ C, above which, the gas in the condenser/gas cooler will
stay as supercritical fluid as it passes through this component. Below this point, the gas will condense
Energies 2019, 12, 2959 21 of 39

before it passes the high-pressure control valve between points 3 and 4. In the liquid receiver (LR),
CO2 gas is sent through the by-pass valve and returns back to the MT-C together with the gas from the
LT load and MT load which meet at 8. The liquid at state 5 is split into branches, one enters the MT
load/evaporator through the MT expansion valve (MTEV) (states 5–6–7 in Figure 16) and the other
enters the LT
Energies 2019, 12, xLoad through
FOR PEER REVIEWthe LT expansion valve (LTEV) (states 5–8–9). The gas from 21 both
of 39 branches

meets again at state 10 after the one that enters the LT load is pressurised by the LT compressor (9–10).
from both branches meets again at state 10 after the one that enters the LT load is pressurised by the
According to [10], the design pressure for the high temperature section is typically 90–120 bar, 40 bar
LT compressor (9 - 10). According to [10], the design pressure for the high temperature section is
for the MT
typically 90 –section
120 bar,and 25 bar
40 bar forMT
for the thesection
LT section.
and 25 bar for the LT section.

(a)

(b)

2 booster system: BPV—by-pass valve; LR = liquid receiver; HP-VC:

Figure
Figure20.
20.(a)(a)
Schematic
Schematicof aofCO booster
a 2CO system: BPV – by-pass valve; LR = liquid receiver; HP-VC:
high pressure control valve; MTEV –
high pressure control valve; MTEV—medium medium temperature expansion
temperature valve; LTEV
expansion – low
valve; temperature
LTEV—low temperature
expansion valve, MT-C – medium temperature compressor; LT-C – low temperature compressor., (b)
expansion valve, MT-C—medium temperature compressor; LT-C—low temperature compressor.,
p-h diagram.
(b) p-h diagram.
The following set of steady state thermodynamic equations governs the operation of the system
The following set of steady state thermodynamic equations governs the operation of the system
and is normally used to design and assess the system performance.
and is normally used to design and assess the system performance.
The refrigeration effect in the LT evaporator which is equal to the amount of heat absorbed by
the refrigerant from the refrigerated space, Q8-9, is given by:
𝑄̇𝐸−𝐿𝑇 = 𝑚̇𝐿𝑇−𝑟𝑒𝑓 (ℎ9 − ℎ8 ) (21)
Energies 2019, 12, 2959 22 of 39

The refrigeration effect in the LT evaporator which is equal to the amount of heat absorbed by the
refrigerant from the refrigerated space, Q8–9 , is given by:
. .
QE-LT = mLT-re f (h9 − h8 ) (21)

The power required by the compressor to elevate the pressure and temperature of the refrigerant
from state 9 to state 10 is: . .
W 9–10 = mLT-re f (h10 − h9 ) (22)

The refrigeration effect in the MT evaporator can be calculated as follows:

. .
QE-MT = mMT-re f (h7 − h6 ) (23)

The refrigerant from both evaporators meet at point 11

. . .
m11 = m7 + m10 (24)
. .
and m11 - together with the refrigerant coming through the bypass-valve, m6 will enter the MT
compressor:
. . .
m1 = m11 + m6 (25)

to be pressurised to state 2.
The COP of both the LT loop and MT loop and the total system can be calculated as follows:
LT loop COP:
COPLT = (h9 − h8 )/(h10 − h9 ) (26)

MT loop COP:
COPMT = (h7 − h6 )/(h2 − h1 ) (27)

System COP:
COPSYS (h9 − h8 + h7 − h6 )/((h10 − h9 + h2 − h1 ) (28)

Heat rejected in the condenser/gas cooler:

. .
QGC = m1 (h2 − h3 ) (29)

When the ambient temperature becomes higher forcing the system to reject heat beyond the
critical point, it follows that the value of each of the above COPs will be lower when the evaporating
temperatures of both the LT and MT loops are kept constant.
Such a system was modelled in [56] for supervisory control in the smart grid and in [57] for a
supermarket application. According to [57], booster systems for supermarkets normally have four
pressure sections (high, intermediate, medium and low). The high-pressure section can operate in
either subcritical or transcritical modes depending on the prevailing ambient conditions. The existence
of two or more pressure sections makes it possible for a booster system to serve loads operating at
difference temperature levels.

5.2. Cascade System

In a cascade system (Figure 21) the HT loop and the LT loop is connected by a cascade HX which
acts as an evaporator for the HT loop and condenser for the LT loop. In a simple CO2 cascade system,
the LT loop uses CO2 as the refrigerant and operates in the subcritical state. The HT loop—which uses
HFC or ammonia as the refrigerant—absorbs heat (cooling load) from the cascade HX. This system
is well suited for warm climates. Cascade systems are suitable for conditions where heat rejection
temperature is very high while the cooling effect is needed at much lower temperature making the
system difficult to deliver the cooling effect using a single refrigerant [58].
Energies 2019, 12, x FOR PEER REVIEW 23 of 39
Energies 2019, 12, 2959 23 of 39

Figure 21. Schematic of a CO2 -HFC/NH3 cascade system.

Figure 21. Schematic of a CO2-HFC/NH3 cascade system.
In a study, Pattingale [59] summarised the findings of previous researchers and listed the benefits
In a study, Pattingale [59] summarised the findings of previous researchers and listed the
of using the CO2 -NH3 cascade system over the two-stage NH3 refrigeration system as follows: (1) lower
benefits of using the CO2-NH3 cascade system over the two-stage NH3 refrigeration system as follows:
capital cost due to the smaller compressor size of the former, (2) constant positive pressure, (3) reduction
(1) lower capital cost due to the smaller compressor size of the former, (2) constant positive pressure,
in
(3) NH 3 charge,
reduction where
in NH a charge below 4.5 tons is possible in many circumstances, and (4) design
3 charge, where a charge below 4.5 tons is possible in many circumstances, and
flexibility
(4) design flexibility of theto
of the former enable
former to the NHthe
enable 3 loop
NH3 hidden fromfrom
loop hidden the the
public area.
public area.
A theoretical
A theoreticalstudy
study carried
carried outout by Dopazo
by Dopazo et al. et al.points
[60] [60] points to the existence
to the existence of a maximum
of a maximum system system
COP
COP at atan
anoptimum
optimum condensing
condensing temperature
temperature of the
of the LT loop.LT loop.
The sameThe same
trend trend was
was observed whenobserved
the when
degrees of subcooling and superheating are varied [58]. The work of Dopazo et al.
the degrees of subcooling and superheating are varied [58]. The work of Dopazo et al. [60] is worth [60] is worth
paying special
paying specialattention
attentionasas
it provides
it providesdetails on how
details on howto attain the highest
to attain COP of COP
the highest a CO 2of
-NH 3 cascade
a CO 2 -NH3 cascade
system. They observe that maximum COP is attained when the evaporating temperature (TE) is as
system. They observe that maximum COP is attained when the evaporating temperature (TE ) is as
high as possible.
high as possible.
5.3. Secondary System
5.3. Secondary System
In a CO2 secondary system, Figure 22, CO2 acts as a secondary fluid that serves the load and is
cooledInbya CO secondary
the 2primary system,
refrigerant Figureis22,
– which CO2 acts
typically as aorsecondary
R134A ammonia –fluid thataserves
through cascadetheHX.load and is
cooled by the through
CO2 circulates primarythe refrigerant—which
secondary loop by means is typically
of a pumpR134A andoritsammonia—through a cascade HX.
cooling capacity is higher
CO circulates
than2 other through
secondary fluidsthe
as itsecondary
undergoes loop phaseby means
change as itof a pump
passes andthe
through itsload
cooling capacity
section. In this is higher
than other secondary
configuration, the use of fluids
CO2 asas itthe
undergoes
secondaryphase change
refrigerant is as
an itattractive
passes through
option asthe loada section.
it has high In this
volumetric capacity which leads to reduced costs of piping and other components.
configuration, the use of CO2 as the secondary refrigerant is an attractive option as it has a high The system
operates at constant
volumetric capacitypressure avoiding
which leads pressurecosts
to reduced pulsation. Sinceand
of piping CO2other
is a nontoxic refrigerant,
components. its use operates
The system
as a secondary fluid is favourable from the safety standpoint. There
at constant pressure avoiding pressure pulsation. Since CO2 is a nontoxic refrigerant, is also benefit in the form of low
its use as a
pump power due to the high capacity of latent heat. Using CO2 as the secondary refrigerant allows
secondary fluid is favourable from the safety standpoint. There is also benefit in the form of low pump
the use of a high-stage chiller with easily available components. On the downside, the efficiency of
power due to the high capacity of latent heat. Using CO2 as the secondary refrigerant allows the use of
secondary systems is somewhat reduced due to additional heat exchange and temperature difference.
aPumps
high-stage
neededchiller
for thewith easilyloop
secondary available
are not components.
readily available Onand themaydownside, the efficiency
be more expensive of secondary
and pose
systems is somewhat reduced
technical challenges to the engineers [7]. due to additional heat exchange and temperature difference. Pumps
needed for the secondary loop are not readily available and may be more expensive and pose technical
challenges to the engineers [7].
Energies 2019, 12, 2959 24 of 39
Energies 2019, 12, x FOR PEER REVIEW 24 of 39

Figure Schematic
22.Schematic
Figure 22. of of a CO
a CO 2 Secondary
2 Secondary System.
System.

Table 4Table
lists4 the
lists main features,
the main features,advantage and
advantage and drawback
drawback of various
of various configurations
configurations of the CO2 of the CO2
refrigeration
refrigeration systems
systems discussedabove.
discussed above.

Table
Table 4. 4. Summaryof
Summary of main
main features,
features,advantages
advantagesand drawbacks
and of the
drawbacks ofvarious configurations
the various of the of the
configurations
CO2 refrigeration systems.
CO2 refrigeration systems.
Configuration Main features, Advantages, Drawbacks, General Notes
Configuration
Booster system Main Features,
• Two / more pressure Advantages,
/ temperature sections Drawbacks, General Notes
• • No heat exchanger
Two/more between temperaturesections
pressure/temperature levels
• • Same
NoCO 2 refrigerant
heat exchanger serves the whole
between loop
temperature levels
Booster system • • CanSame
serve CO
loads at different temperature levels
2 refrigerant serves the whole loop
• • Operates at high
Can serve pressures
loads at different temperature levels
• Operates at high pressures
Cascade • HT and LT loops connected by a heat exchanger
system • • CO2HT and LT circulated
refrigerant loops connected byLT
within the a heat
loop,exchanger
HFC/ammonia in HT loop
Cascade system • • WellCO refrigerant
suited
2 for warm circulated
climates within the LT loop, HFC/ammonia in HT loop
• Well suited for warm climates
Secondary • Primary and secondary loops connected through a HX
• Primary and secondary loops connected through a HX
• Primary refrigerant typically R134A or ammonia
•
• CO2Primary refrigerant
refrigerant typically
in the secondary R134A or ammonia
loop
• CO refrigerant in the secondary
• Higher cooling capacity in secondary loop
2 loop
due to phase-change
Secondary • Higher cooling capacity in secondary
• High volumetric capacity leads to reduced cost loop due toand
of piping phase-change
other components
• High volumetric capacity leads to reduced cost of
• Efficiency somewhat reduced due to presence of heat exchanger piping
andand other components
temperature
• difference
Efficiency somewhat reduced due to presence of heat exchanger and
temperature difference
6. System Modelling Tools
Energies 2019, 12, 2959 25 of 39

6. System Modelling Tools

The complexity of the system due to the unique characteristics of each component coupled
with the unique characteristics of the CO2 thermophysical properties makes the system modelling
an unavoidable tool in the design of the system for a given task or in evaluating the performance
of existing systems. As the discussion in Section 4 has shown, the impact of modifying the cycle
such as with the addition of a component into a system cannot be easily generalised for a main clear
reason: such a modification does not always bring an improvement to the system performance without
any negative consequence. After all, the system is a collection of interrelated components. System
modelling can be used to thoroughly assess the impacts. A good system model can also reveal how a
system performs and behaves at a particular set of inputs and therefore enable the designer to predict
the system performance (COP), the economic performance (rate of return, payback period etc.) and
operating characteristics including safety issues. As such, system modelling usually involves exposing
the system to typical weather conditions given the system loads which are assumed constant or varied
to some extent. The modelling needs to detail the behaviour of the CO2 refrigerant as it circulates
around the system loop through various components and it undergoes various changes of states.
The equation of state of CO2 developed by Span and Wagner [61] is widely used and implemented
in a number of software packages such as CoolProp [62] and REFPROP [62–64] for calculating CO2
properties at a given condition. CoolProp is an open-source thermophysical property library written
in C++ that covers pure and pseudo-pure fluids. It covers more than 120 fluids and more than
40 incompressible fluids and humid air [65,66]. It also provides models for properties of mixture,
incompressible fluids and psychrometric calculations. CoolProp routines can be accessed/called by
other modelling tools such as TRNSYS [67]. REFPROP has the capabilities and modelling scopes
similar to that of CoolProp but it is not open-source.
Some manufacturers of refrigeration and air conditioning such as Bitzer and Danfoss have
developed software to assist in choosing the best configuration of a product for a particular application
or given specifications [68,69]. Bitzer software [68] is as a design tool for refrigeration system products
developed by Bitzer. It contains the database of Bitzer products from which the designer can chose
various components to build a system. The component specifications and design conditions entered by
the designer are used to simulate the system performance (cooling capacity, COP, power input, etc.).
The software also produces polynomial coefficients that enables the calculation of cooling capacity,
compressor power consumption and refrigerant mass flow rate at a given compressor operating
frequency. These coefficients are applicable only to Bitzer products. The CoolSelector software [69] was
developed by Danfoss as a design tool for its products. It contains the database of Danfoss products from
which the designer can choose various components to build a system. The component specifications
and design conditions entered by the designer are used to simulate the system performance (cooling
capacity, COP, power input, etc.). The outputs are available in graphical forms as well as report file
form. The log(p)-h diagram can be used to show the values of thermophysical properties of various
refrigerant (including CO2 ) at given (p,h) point.
CoolPack, developed by the Technical University of Denmark (DTU), can be used to carry out cycle
analysis, component sizing, energy analysis and optimization [70]. It contains a collection of simulation
programs for designing, sizing, analysing and optimising refrigerant systems. The programs include:
cycle analysis, design, evaluation, auxiliary and dynamic analysis, as well as the refrigeration utilities.
CoolPack incorporates the Engineering Equation Solver (EES) as its calculating engine for cycle analysis,
system dimensioning, component calculations etc. The cycle analysis is used to calculate the various
quantities such as cooling capacity, COP, etc. from given inputs (i.e., evaporation temperature, degree
of superheat, condensing temperature, subcooling, refrigeration capacity, isentropic efficiency etc.).
For the CO2 systems, the following configurations can be analysed: one-stage cycles, two-stage cycles,
combinations of one-stage cycles, transcritical one-stage cycles and transcritical two-stage cycles. In each
of the available configurations, sub-configurations such as flooded evaporator, one-stage compressor, etc.
are provided, depending on the system. The refrigeration utilities in the package are used to calculate
Energies 2019, 12, 2959 26 of 39

refrigerant and secondary fluid properties, refrigerant plots and cycles and psychrometric charts.
A software package called “Simple CO2 one stage Plant” developed by Department of Mechanical
Engineering (MEK), Section of Thermal Energy (TES) at the Technical University of Denmark (DTU) [70]
can be used to graphically visualise the effect of varying one system parameter (such as discharge
pressure, quality of vapor entering the compressor, efficiency of IHX, evaporator temperature, and gas
cooler outlet temperature) on the system performance. This package can help in interpreting research
outcomes discussed in previous sections.
Modelica [71] is an object-oriented modelling language to model complex systems, including
thermal systems. Modelica facilitates the inclusion of new libraries such as thermal systems
library using the connector classes [72,73] to establish the communications between the components.
Hu et al. [73] used Modelica to perform a real-time optimisation to minimise power consumption of
an air-source transcritical CO2 heat pump water heating system. Using the free ThermoFluid library
available in Modelica, Pfafferott and Schmitz [74] carried out modelling and transient simulations of
CO2 -refrigeration systems for integrated on-board cooling systems for future Airbus aircrafts. Models
of components such as compressors are available in some of the above-mentioned software packages
and in the TIL Library of TLK-Thermo GmbH [75] which also develops software capable of simulating
thermal systems.
The Engineering Equation Solver (EES) of the F-Chart Software [76] has been used to model
CO2 for various applications [28,77,78]. EES is an equation-solving program; it comes with routines
to solve simultaneous non-linear algebraic and differential equations, to carry out optimisation, etc.
It has a database of thermodynamic and transport properties of hundreds of substances including CO2
and many other refrigerants. It also has a library of functions for heat transfer calculations. It can
be linked to other software modelling packages, programs or languages such as MATLAB, C/C+,
TRNSYS [74,79].
If system modelling involves additional components such as thermal storage and other system’s
enhancing components, thermal modelling software packages such as TRNSYS [79] can be employed.
TRNSYS has the capability of calling other routines such as CoolProp [67] in addition to its capability
to accommodate the user-developed routine into its simulation engine linked through the dynamic link
library. TRNSYS can also be used for system performance evaluation purposes utilising monitoring
data recorded from a refrigeration plant. This is made possible through the TRNSYS data reader that
can be used to read large amount of unformatted text data apparently only restricted by the computer
memory. A TRNSYS project can have many data readers to read many data from many files.
Table 5 summarises the main features and capabilities of the software packages mentioned in the
previous discussion. From available literature, one can infer that the decision to select one particular
modeling software package seems to be based mainly on (1) familiarity of the modeler to the program,
and (2) availability of such packages to the modeler. Of course, when a specific modelling purpose
needs to be served, other factors such as cost, processing speed, user-friendliness or ease of use, etc.
can play role in the final selection.

Table 5. Summary of main features and capabilities of several software packages or system modelling
tools used for CO2 refrigeration systems.

Tool (Developer) Ref Main Features, Advantages, Drawbacks, General Notes

• An open-source thermophysical property library written in C++ that
covers pure and pseudo-pure fluids. At the time of writing, it covers
more than 120 fluids and more than 40 incompressible fluids and
humid air.
CoolProp [62,65,66]
• It provides models for properties of mixture, incompressible fluids
and psychrometric calculations
• CoolProp routines can be accessed/called by other modelling tools
such as TRNSYS.
Energies 2019, 12, 2959 27 of 39

Table 5. Cont.

Tool (Developer) Ref Main Features, Advantages, Drawbacks, General Notes

REFPROP • It has capability and modelling scope similar to the CoolProp but it is
[62,64]
(NIST) not open-source

• Developed by Bitzer as a design tool for its products

• It contains the database of Bitzer products from which the designer
can chose various components to build a system
• The component specifications and design conditions entered by the
Bitzer Software designer are used to simulate the system performance (COP, power
[68]
(Bitzer) input, etc).
• The software also produced polynomial coefficients that enables the
calculation of cooling capacity, compressor power consumption and
refrigerant mass flow rate at given compressor operating frequency.
These coefficients are applicable only to Bitzer products.

• Developed by Danfoss as a design tool for its products

• It contains the database of Danfoss products from which the designer
can chose various components to build a system
• The component specifications and design conditions entered by the
CoolSelector designer are used to simulate the system performance (cooling
[69]
(Danfoss) capacity, COP, power input, etc).
• The outputs are available in graphical forms as well as report file.
• The log(p)-h diagram can be used to show the values of
thermophysical properties of various refrigerant (including CO2 ) at
given (p,h) point.

• Contains a collection of simulation programs for designing, sizing,

analysing and optimising refrigerant systems.
• CoolPack incorporates the Engineering Equation Solver (EES, see
CoolPack below) as its calculating engine
(Technical University [70] • The programs include: cycle analysis, design, evaluation, auxiliary and
of Denmark (DTU)) dynamic (see detailed information in the text).
• Other features relevant to CO2 systems include: log(p)-h, T-s, and h-s
diagrams that can be used to show the values of thermophysical
properties of various refrigerant (including CO2 )

• An object oriented modelling language that is used to model and

simulate complex systems including engineering systems.
• It has ThermoFluid library which can be used to model thermal
Modelica [71,72]
systems, including refrigeration systems.
• Other developers can create their own libraries and connect them to
the Modelica as a modelling platform.

• An equation-solving program that is equipped with routines to solve

simultaneous non-linear algebraic and differential equations, carry out
optimisation, etc.
EES • It has a database of thermodynamic and transport properties of
[28,76–78] hundreds of substances including CO2 and many other refrigerants.
(F-Chart Software)
• It has library of functions for heat transfer calculations.
• It can be linked to other software modelling packages, programs or
languages such as MATLAB, C/C+, TRNSYS

• A transient simulation package developed by University of Wisconsin.

• Used to simulate the transient systems, including thermal systems and
has many libraries for thermal systems. Users can also develop
TRNSYS components, called TYPEs, and link them to the
TRNSYS program.
TRNSYS [67,79]
• It is equipped with capabilities to call other programs such as
MATLAB, EES, Excel.
• Its built-in data reader can be used to read unformatted text-data from
one file. A TRNSYS project can have more than one data reader to
read text-data from more than one file.
Energies 2019, 12, 2959 28 of 39

7. Transcritical Operation, Cooling System and Control

When the system operates in the transcritical region there are a number of aspects that need
close attention. Firstly, since transcritical operation involves higher pressure at gliding temperatures,
the amount of heat rejected can be very significant and this can be utilised internally using an
IHX (Section 4.1) or converted to work (Section 4.2) or used externally for space or water heating
(Section 8.2). When such heat recovery is not possible for any reason, significant reduction in the
approach temperature can lead to enhanced performance of the system [2]. Such a reduction can be
attained using a well-designed gas cooler [80]. For economic reasons, finned-tube heat exchangers are
normally used as gas coolers [81] whilst possible use of mini-channel heat exchangers is still at the
research stage [82]. Research on integrated fin and micro-channel CO2 gas cooler used for a vehicle air
conditioning system has been initiated [83]. However, attempts to improve the finned-tube gas cooler’s
air side heat transfer coefficient has gained little success so far. This is worsened by the presence
of a pseudo-critical region above the CO2 critical point. In this region CO2 gas experiences large
variations of properties [84] where the specific heat also reaches its maximum value [85]. Employing a
Computational Fluid Dynamic (CFD) model, Santosa et al. [86] developed the air side heat transfer
coefficient correlations for the finned-tube gas cooler. As part of this research work, slit-fins was added
to the gas cooler, resulting in increased heat rejection rate between 6–8%.
Secondly, the transcritical operation may only occur during a limited number of hours in a year
to satisfy the load during this short period. This can result in selecting a compressor with much
larger capacity only to satisfy this load. This leads to the concept of controlling the minimum gas
cooler temperature through wet-bulb, rather than dry-bulb, temperature as in the case of cooling
towers [87]. Hence, the water spray technique whereby the fin surface of the gas cooler is sprayed with
fine droplets of water using high pressure water nozzles [87]. According to [87], the water spray system
should only operate during peak summer days. The water spray technology comes with a drawback:
the possible corrosion of (and deposition of solid on the surface) of heat exchangers. This can be
overcome by choosing (treating) water with lower solid content of 60 ppm. Special dip coating can also
be used against gas cooler corrosion [88]. Due to the reliance on the ambient wet bulb temperature,
this technique is more suitable for warm to hot but dry climate.
As mentioned in Section 2, for a given CO2 outlet temperature there exists a gas pressure that
maximises the system COP. The system controller needs to be able to achieve this (i.e., to maximise
COP) by controlling the gas cooler pressure. This often involves simulating or experimenting with a
vast amount of data. Kim et al. [89] questions the reliability of such an approach in cases where the data
required falls beyond the available range. Although it is a non-model based real-time optimisation
approach, the extremum seeking control (ESC) [90,91] employed to optimise the system performance is
impractical since the optimum COP search relies upon the system transient response [89].
As in conventional systems, the high-side pressure in subcritical operation is controlled by the
condensing temperature. Due to pressure independence of the gas temperature during the transcritical
operation, the gas cooler pressure is dictated not only by the temperature, but also by the mass of the
refrigerant and inside volume [2], as governed by the following equation of state:

V
 
p = p(v, T ) = p , T (30)
m

Thus, the high-side pressure can be controlled using the following mechanisms: (a) varying the
refrigerant mass, (b) varying the volume, or (c) varying the temperature which is accompanied by
change in mass and/or volume [8,92]. A detailed discussion on these three mechanisms can be found
in [2].
A novel dew point cooler (DPC) [93] is able to provide cooling during transcritical operation when
humidity is not extremely high (up to 17 g/kg) and the ambient air temperature is moderate to high [26].
This normally occurs during late spring to early summer in Mediterranean climates. An intensive
experimental investigation has revealed that dew point cooling technology can significantly improve
Energies 2019, 12, 2959 29 of 39

the overall CO2 system performance through the reduction in condensing temperature during the
mild weather conditions and through shortening the duration of the transcritical operation during
hot ambient conditions. A theoretical case study based on these experimental results has been
carried out. At ambient conditions of 45 ◦ C dry bulb temperature and 10 ◦ C dew point temperature,
the DPC precooling improves the system COP by 140% compared to the conventional CO2 refrigeration
system [26].

8. Applications
The CO2 refrigeration cycles have found its way into applications that require refrigeration,
cooling, space and water heating. One of the major sectors with a significant use of refrigeration and
air conditioning services is the food retail industry, with supermarkets being the forefront. Operating
as heat pumps, CO2 systems have also been utilised to provide space and water heating services.
These two applications are briefly discussed in this Section with a closing summary on the CO2 systems’
market acceptance and penetration.

8.1. Supermarket: Refrigeration and Air Conditioning

Refrigeration systems in supermarkets in general serve two loads at two different temperature
levels, namely: the low temperature room aimed to freeze foods and the medium temperature room
functioning as food cabinets to display chilled foods [57]. The consideration of the application of CO2
systems in supermarkets is based on the fact that supermarket refrigeration requirements represent
about half of the supermarket energy consumption. Furthermore, refrigerant leaks are an issue often
encountered in the direct expansion (DX) system commonly used in the sector [94]. In terms of food
safety, CO2 refrigerant poses no or less contamination in case of system leakage [95].
Sharma et al. [96] carried out a comparative study on the CO2 systems and the R404A system.
For ambient temperatures below −8 ◦ C the transcritical booster system with by-pass compressor
(TBS-BC) was found to be the system with the lowest energy consumption. Above this temperature,
the R404A DX system performs best. Geographically, CO2 TBS-BC is suitable for the northern two-thirds
of the US whilst for the southern portion the R404A multiplex DX system is superior to CO2 systems.
A CO2 system has been shown to outweigh the performance of other refrigeration systems in terms of
energy use and environmental impact for systems exposed to the London climate [97]. In general CO2
systems are as (if not more) efficient as other systems in cooler climates.
Many other studies on the applications of CO2 system for supermarkets, e.g., [77,98–100] with a
recent review on the subject [101] point to the increasing popularity of these systems due to various
factors discussed earlier.

8.2. Heat Pump Systems: Heat Utilisation During Transcritical Operation

When operating in transcritical condition, the heat accumulated in the condenser/gas cooler can
be utilized as a heat source for water heating or space heating [94]. High temperature glide during
transcritical operation makes this possible [102]. Figure 23 shows such a concept. As shown, the water
heating unit is typically placed in the upstream of the gas cooler where the temperature is relatively
high to enable effective water heating whilst the space heating is placed in the downstream of the gas
cooler. Since transcritical operation occurs during warm to hot ambient conditions, this type of heat
utilisation needs to take into account the annual duration of transcritical operation and hot water and
space heating requirements of a particular application.
 deliver hot water at a temperature of 70°C from a feed water temperature of 50°C. The findings
revealed that the system performance is significantly influenced by ambient temperature and the
temperature of the heated space. An increase in ambient temperature from -20°C to 0°C results in an
increase in heating capacity of 32.6% and COP of 18.2%. When the ambient temperature is held
constant and feed water temperature is reduced from 50°C to 40°C, the COP increases by 15% but the
Energies
water 2019, 12, 2959
temperature is only raised by 10 K from 40°C to 50°C. 30 of 39

Figure 23. Utilisation of rejected heat for space and water heating during transcritical operation.
Figure 23. Utilisation of rejected heat for space and water heating during transcritical operation.
In relation to this, a theoretical study by Baheta et al. [103] revealed that the CO2 system COP
increases with increasing
A special evaporating
review on transcritical CO2temperatures
heat pump systemssuggesting that the
was published system
recently andis morethesuitable
covers
for various system components
air conditioning and applications
(space cooling) such asrather
applications water than
heating, drying, heating
refrigeration which in cold climate,a lower
demands
and food processing
temperature load. [105].
Yang et al. [104] designed and tested a prototype of a combined R134a and transcritical CO2 heat
8.3. Market Acceptance and Penetration
pump system to provide space heating using water as a medium. In the system, R134a and CO2 loops
are coupledMarketbyattraction
the water to pipe
any new (or in the
originating caseaof
from CO2 re-emerging)
three-way valve (TWV)technology, withoutthrough
and passes any the
external driving / compelling force, is normally dictated by economic considerations,
evaporator of the R134a loop. The feed water is cooled by the R134a in the evaporator. The feed water i.e., initial and
running costs which affect the return on investment (ROI). This is perhaps the only main challenge to
than enters the CO2 gas cooler and heated through heat exchange with the CO2 gas and directed back
the market acceptance and penetration of these systems. These factors can be broken down into the
to the mixing tank. Another branch of feed water flowing through the aforementioned TWV enters the
costs of: refrigerant, energy, equipment, system installation, system maintenance and regulation-related
R134a
costsloop condenser
[106]. A breakdown through whichand
of initial its operating
temperaturecostsincreases.
associatedThis
withheated feedCO
three real water then enters the
2 systems for
mixing tank and[106]
supermarkets mixesshowswith the
that thefeedwater
equipmentcoming from the
costs represents CO62
about 2 loop.
to 69%The system
of the can deliver
total initial cost hot
water at a temperature of 70 ◦ C from a feed water temperature of 50 ◦ C. The findings revealed that the
of the CO2 systems and 59 to 67% for the alternatives. The only items that were against the CO 2
system
systemsperformance is significantly
were the equipment influenced
costs which by ambient
were 11%, 24% andtemperature
17% higher for andthethethree
temperature
systems, of the
compared
heated space.toAn theincrease
alternatives. Despitetemperature
in ambient this, overall,from
CO2 −20 ◦ C topresent
systems 0 ◦ C results
an impressive economic
in an increase in heating
attractiveness:
capacity of 32.6%the andfirst
COPsystem (96.7 kW
of 18.2%. WhenLT load and 308 kW
the ambient MT load) starts
temperature saving
is held at theand
constant timefeed
of water
installation, the second system (73
◦ kW LT ◦load and 220 kW MT load) has
temperature is reduced from 50 C to 40 C, the COP increases by 15% but the water temperature isa ROI in 2.5 years and the
third system (57 kW LT load and 190 kW MT load) has a ROI in 5.6 years. While figures from these
only raised by 10 K from 40 ◦ C to 50 ◦ C.
specific three cases cannot be regarded as the best representation of the potential economic
A special review on transcritical CO2 heat pump systems was published recently and covers the
attractiveness of CO2 in general, they show the trend in an optimistic direction for this technology.
variousOther
system components
factors are positiveandforapplications such asincluding
CO2 refrigeration, water heating, drying, heating
the environmental in cold climate,
considerations
anddiscussed
food processing [105].
earlier in particular the phase down or planned phase out of several widely used
refrigerants. CO2 systems will rid the owner of the issues related to the compliance of future
8.3.regulations
Market Acceptance
[106]. and Penetration
Market attraction to any new (or in the case of CO2 re-emerging) technology, without any external
driving/compelling force, is normally dictated by economic considerations, i.e., initial and running
costs which affect the return on investment (ROI). This is perhaps the only main challenge to the
market acceptance and penetration of these systems. These factors can be broken down into the
costs of: refrigerant, energy, equipment, system installation, system maintenance and regulation-related
costs [106]. A breakdown of initial and operating costs associated with three real CO2 systems for
supermarkets [106] shows that the equipment costs represents about 62 to 69% of the total initial cost of
the CO2 systems and 59 to 67% for the alternatives. The only items that were against the CO2 systems
were the equipment costs which were 11%, 24% and 17% higher for the three systems, compared to the
alternatives. Despite this, overall, CO2 systems present an impressive economic attractiveness: the first
system (96.7 kW LT load and 308 kW MT load) starts saving at the time of installation, the second
system (73 kW LT load and 220 kW MT load) has a ROI in 2.5 years and the third system (57 kW LT
load and 190 kW MT load) has a ROI in 5.6 years. While figures from these specific three cases cannot
Energies 2019, 12, 2959 31 of 39

be regarded as the best representation of the potential economic attractiveness of CO2 in general,
they show the trend in an optimistic direction for this technology.
Other factors are positive for CO2 refrigeration, including the environmental considerations
discussed earlier in particular the phase down or planned phase out of several widely used refrigerants.
CO2 systems will rid the owner of the issues related to the compliance of future regulations [106].
The following numbers gives some highlights on the market penetration of CO2 systems worldwide
thus far. The world’s reported largest CO2 refrigeration system to date is owned by Staay Food Group
in the Dutch city of Dronten [95]. In the all-in-one city farming hall the system serves the vegetable
processor and cooling requirement of the facility, including the humidity and temperature control of
lettuce with 300,000 kg annual production capacity. The total system capacity is 3.36 MW. According
to [106] there are approximately 3000 CO2 systems serving supermarkets/stores worldwide. In 2017
there have been around 700 CO2 heat pump systems installed in China [107].

9. Future Research Directions

From discussions presented in previous sections it is clear that CO2 refrigeration systems have
found their way into various applications—notably in supermarkets, despite the rather lower system
performance due to the inherent operation in supercritical mode in warm climates. In a nearly
decade-old road map for retailers developed by the Carbon Trust [108] in collaboration with the British
Refrigeration Association, CO2 refrigeration was listed under technologies which is available for store
refitting. The road map envisaged the CO2 performance improvement through heat recovery of the
transcritical operation of the system for desiccant cooling or heating. The road map, however, noted
that the heating requirement is normally high during the time when heat recovery potential is low.
Another option being suggested was the use of CO2 as a secondary fluid in a secondary system with
another refrigerant in the primary loop. The installed costs and higher energy consumption of such
systems were noted to be still the main challenges.
Based on the various exergy analyses, improvements have been made to minimize the exergy
loss in various components such as expansion through the expander and ejector, IHX and parallel
compression. However, various cycle modifications discussed earlier have shown mixed results in
terms of improved system performance. Outcomes of various exergy analyses, some having been
discussed earlier, point to the supercritical operation as one of the main sources of exergy destruction
in these systems. Attempts to improve the gas cooler performance by better design has also arrived
at a similar outcome. Unless the significant source of the exergy destruction, namely the presence of
supercritical operation, is totally eliminated (or at least minimised), then the attempts at improving the
system performance may never be effective.
Based on the above observation, for a CO2 system without heat waste recovery unit, minimising
or totally eliminating the supercritical operation seems the most prospective way of bringing a great
improvement to the performance of CO2 systems. The observation is based on the following reasoning:
• Supercritical operation exhibits large exergy losses which affect the system performance in terms
of COP and cooling capacity degradation.
• While gas cooling was found to have the exergy losses in the same order of magnitude as the
exergy losses of the compressor, it was also found that throttling losses during supercritical
operation can be significantly much higher than that of the system running in subcritical state.
The very high exergy losses during the throttling process is obviously because of allowing the
refrigerant from very high pressure to expand without performing any work. In other words,
the supercritical operation spreads the exergy degradation to the whole components, not only the
gas cooling unit.
• It was found that cycle modification through the introduction of more than one component—for
instance, simultaneous introduction of a mechanical expander and IHX—can result in no
performance improvement. All the cycle modifications discussed in Section 4 entail the introduction
of additional internal components to the system, which will certainly affect the overall system
Energies 2019, 12, 2959 32 of 39

balance which, unfortunately, not always in a beneficial way. This is one of the reasons why the
expected improvement can never reach an optimum.
• On the other hand, the external manipulation/modification of cooling medium conditions—in
this case bringing down the gas cooler air inlet temperature to enable the system running in
subcritical state—does not interfere in the internal interaction between the components, it simply
brings the system into its natural condition of operation, where the heat rejection occurs through
condensation. Furthermore, such external modification minimises or eliminates the need for
system internal modification.
• The technology for this climate manipulation already exists in the form of dew point evaporative
cooling [26,93] which works effectively in warm to hot climates. The recent experimental results
on a full-scale CO2 refrigeration system coupled with a dew point cooler [26] as reported in
Section 7 can be considered a breakthrough, in that the solution is directed at attacking one of the
main sources of system exergy destruction.
• Performance improvement of such technology can be done externally, separate from the entire
system. In addition, internal modification such as adding new components (IHX, ejector, etc.) to
the system will not be negatively impacted by the precooling system. Or, more appropriately,
the precooling may deem such components unnecessary, unless it is essential to the operation of
the system.
The current main technological challenges for the dew point cooling technology for CO2 systems
are: (1) minimising the power consumption of the DPC fan which will directly improve the overall
system performance, and (2) improving its performance in warm to hot but more humid climates.
The first challenge can be resolved through optimum design of the DPC and possibly improving the
heat exchanger design of the existing condenser/gas cooler taking into account its coupling with the
DPC. This can also lead to total redesign of the existing heat exchanger to eliminate the duplication
of fans and to optimize the shape factor of the newly design cooling system. The second challenge
may be overcome through the possible introduction of dehumidification technology such as desiccant
dehumidifier to extend the DPC operation to more humid climates. It should be noted that the
dehumidification level required by the DPC to enable the CO2 system to work more efficiently in hot
and humid climates is not as strict as the dehumidification demand for an air conditioning system
operating in the tropics. Bringing down the ambient humidity ratio to 17 g/kg has been found adequate
to enable the effective operation of the DPC [26] although 14 g/kg is an ideal value required to totally
eliminate the supercritical operation.
This dew point cooling technology, coupled with the improvements at the component level
discussed in Sections 4 and 5 should enable CO2 refrigeration to penetrate the wider market worldwide
and eliminate the pessimism voiced in a recently produced refrigerant road map [109].

10. Conclusions
CO2 refrigeration systems have found their way into various applications due to environmental
considerations, safety reasons (e.g., food contamination due to and leakage of gas), and its energy
performance comparable to systems using other refrigerants. In particular, for applications such as
supermarket refrigeration the cost of refrigerants is one of the deciding factors in favour of CO2 based
refrigeration systems.
The performance of CO2 refrigeration systems running in the supercritical state is characterised by
the existence of optimum points of operation at specific conditions. This includes the existence of a COP
optimum value at varying gas cooler pressures at a given gas outlet temperature. Also, an optimum
refrigeration capacity exists at a gas cooler pressure higher than that which gives the maximum COP;
however, this maximum cooling effect is very marginal, and therefore the pressure that gives the
maximum COP should be prioritised. This transcritical operation characteristic of the CO2 systems
originates from the fact that in the supercritical state, the pressure and temperature are independent
with gas cooling at constant pressure and gliding temperatures. The s-curve profile of isotherms in
Energies 2019, 12, 2959 33 of 39

the transcritical region results in the existence of these optimums. Several correlations that attempt to
locate these optimum points at given conditions have been developed.
The exergy analysis shows that the expansion process during the transcritical operation is the
process that contributes to the largest exergy destruction in the CO2 cycle. This is mainly due to the
high pressure of gas exiting the gas cooler that must be expanded to enable the cooling effect in the
evaporator. To recover this loss, a work recovery device such as an expander or ejector can be employed
as a substitute for the expansion device. In the case of the expander, the work recovered can be used to
reduce the compressor work input. The use of an expander, while being able to recover some work,
may not be the best option due to various practical reasons such as the restriction of the volumetric
flow rate to the volume displacement, heat loss through the housing and cost. Another alternative
expansion device, called the ejector, which works on the principle of fluid momentum transfer, is not
constrained by the above drawbacks and has recently attracted research interest.
Other cycle modifications have been proposed to improve the efficiency of CO2 systems. An IHX
takes some heat from the gas cooler outlet to completely vaporise the CO2 fluid leaving the evaporator
before it enters the compressor. An appropriate degree of superheat is required to protect the compressor
from flooding. However, the combined presence of an IHX and an expander can degrade the system
performance due to the cooling of fluid leaving the gas cooler. The effectiveness of an IHX is very
much affected by the gas cooler exit temperature, i.e., an IHX is recommended only for a system with
higher exit temperature.
The outlet temperature of the gas cooler is one of the key parameters that significantly affects the
performance of CO2 systems. A well-designed gas cooler is required to ensure that the value of this
parameter is as low as possible.
Compression staging is aimed at reducing compressor work input and can be realised
through intercooling (using an external fluid for cooling), flash gas cooling or flash-gas bypass
cooling. The effectiveness of each option depends very much on the system operating conditions
and specifications.
Parallel compression can also be used to improve system performance although it may only result
in a small increase in the system capacity and small COP improvement at high ambient temperatures.
For warmer to hot and relatively dry climates, the most effective way of improving the system
performance is to reduce the number of hours the system must operate in the supercritical state.
This can be realised for instance through precooling the ambient air using dew point evaporative cooling
technology which operates very efficiently in such climates. The improved COP from introducing such
a system has been shown to outweigh the increased power consumption of the cooling fans. Future
research in this area may include developing high performance dew point cooling systems with low
power consumption and exploring the possibility of employing this cooling technology in hot and
humid climates.
The CO2 systems have started to show economic attractiveness. The equipment cost, which is
currently 10 to 25% higher than for conventional systems and represents a significant portion of the
system and installation cost (up to about 74% based on limited cases investigated for the purpose
of this review) seems to have been largely recouped by other cost items such as for the refrigerant
installation etc. which are comparable or even less than the similar costs items for conventional
systems. Specifically, CO2 refrigerant installation costs are lower due to the smaller size of copper
pipes. In addition, smaller sizes of CO2 lines allow easy installation which reduces labour costs [106].
In conclusion, as the upfront cost of CO2 refrigeration systems is approaching that of conventional
refrigerant systems and energy efficiency improvements for operation in all climates are being made
through new developments, CO2 refrigeration should become a serious contender in the future mix of
refrigeration systems.
Energies 2019, 12, 2959 34 of 39

Author Contributions: F.B. reviewed the literature on CO2 refrigeration systems, contributed to the content of the
review paper and critically reviewed the work. M.B. reviewed the literature in the field and provided advice on
the structure and scope of the work. E.H. reviewed the literature in the field, laid out the basic structure and scope,
and produced and edited drafts of the paper.
Funding: This work was funded by the South Australian Government through funding for the South Australian
Chair in Energy for Professor Frank Bruno.
Conflicts of Interest: The authors declare no conflict of interest.

List of Symbols
h specific enthalpy, kJ/kg
H enthalpy, kJ
IR irreversibility
m mass flow rate, kg/hr
s entropy, kJ/kg-K
x specific exergy, kJ/kg
X exergy, kJ
X exergy transfer rate
XL exergy losses, kJ
Subscripts
ev evaporator
th thermal energy
x exergetic
Abbreviations
ATD approach temperature difference
COP coefficient of performance
DPC dew point cooler
EV expansion valve
FG flash gas
HP high pressure
HTF heat transfer fluid
IHX internal heat exchanger
KE kinetic energy
LT low temperature
MT medium temperature
PE potential energy
ROI return on investment
SST saturation suction temperature
WB wet bulb

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