Energy 194 (2020) 116825

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Energy
journal homepage: www.elsevier.com/locate/energy

Dynamic performance of the transcritical power cycle using

CO2-based binary zeotropic mixtures for truck engine waste heat
recovery
Gequn Shu, Rui Wang, Hua Tian*, Xuan Wang**, Xiaoya Li, Jinwen Cai, Zhiqiang Xu
State Key Laboratory of Engines, Tianjin University, 92 Weijin Road, Nankai District, Tianjin, 300072, China

a r t i c l e i n f o a b s t r a c t

Article history: CO2 transcritical power cycle (CTPC) technology has received substantial interest and attention for use in
Received 27 March 2019 waste heat recovery, but its high operating pressure and low condensing temperature restrict its wide
Received in revised form application. CO2-based binary zeotropic mixtures are considered a promising solution. Therefore, a CTPC
25 August 2019
system dynamic model with different CO2 mixtures as the working fluids in the context of engine waste
Accepted 22 December 2019
heat recovery is examined using Simulink simulation to understand the effects of different mixtures and
Available online 27 December 2019
composition ratios on system performance in various working conditions. A system dynamic model of
the system is thoroughly validated against experimental data, and the results are reasonably consistent.
Keywords:
Waste heat recovery
Based on these foundations, the dynamic response of the CTPC system with CO2 mixtures of different
CO2-Based binary zeotropic mixtures proportions and components is compared and analysed. The results show that the system responds
Finite volume method faster when the proportion of CO2 is greater. The proportion of refrigerant also affects the optimal net
CO2 transcritical power cycle power output and thermal efficiency. The preliminary results presented in this paper will be helpful for
Dynamic performance future design of CO2 transcritical power cycles and the development of control strategies for these
systems.
© 2020 Elsevier Ltd. All rights reserved.

1. Introduction
The total transportation market share of diesel fuel (including
biodiesel) was 36% in 2012 [1], and heavy-duty vehicles contribute
about 80% of total CO2 emissions from commercial vehicles [2].
Therefore, reducing engine emissions and improving energy effi-
ciency have gained great attention from academia and industry [3].
Therein, waste heat recovery (WHR) technology is regarded as a
promising solution in terms of energy savings and emission
reduction. Some well-known institutions such as Argonne National
Laboratory [4], Cummins [5], and BMW [6] pointed out that WHR
has the maximum potential to increase engine efficiency, and is
necessary in internal combustion engines.
A CO2 transcritical power cycle (CTPC) system is considered one
of the most promising WHR technologies [7,8]. As the working fluid
in CTPC, CO2 is natural, non-toxic, harmless, clean, and easy to
* Corresponding author.
** Corresponding author.
E-mail addresses: thtju@tju.edu.cn (H. Tian), wangxuanwx@tju.edu.cn
(X. Wang).
produce. It was shown in earlier studies that CTPC can be used to
recover energy from high temperature exhaust and low tempera-
ture jacket water simultaneously with maximum recovery rate of
greater than 80%. This type of system has fast response speed and
can be miniaturized [9e11]. Li et al. [11] compared the dynamic
response of CTPC system with that of ORC system with R123 as
working fluid, and the experimental results show that the response
speed of CTPC system was almost four times faster than the ORC
system. A 10 MW CO2 turbine was studied by Echogen Power
Systems Company [10], and their results show that the using heat
exchangers with CO2 as working fluid provided 87.4% weight
reduction. Simulations and experimental results on the use of CTPC
for engine waste heat recovery have been performed. Chen at al. [8]
compared different CO2 WHR systems for use with engines and
found that the CTPC was more attractive than the CO2 Brayton cycle
and the CO2 combined power and cooling cycle, because it can
make full use of low-grade small-scale in the exhaust. A kW-scale
CTPC for waste heat recovery in a 243 kW heavy-duty diesel en-
gine was tested by Shi et al. [12]. Their results show that the CTPC
can improve engine efficiency by 2%. These studies indicated the
application potential of CTPC for HDDEs waste heat recovery. Thus,
a CTPC system is an effective solution for waste heat recovery in a

https://doi.org/10.1016/j.energy.2019.116825
0360-5442/© 2020 Elsevier Ltd. All rights reserved.
2 G. Shu et al. / Energy 194 (2020) 116825

truck’s internal combustion engine. with CO2 mixture as working fluid and with pure CO2 due to a
Nevertheless, the high operating pressure of CTPC, which is al- composition shift, which is caused by the composition and velocity
ways above 15 MPa, brings safety problems during real operation difference between gas and liquid [27], that occurs in the two-
[13]. The condensing temperature of CTPC must be lower than the phase region [28,29].
CO2 critical temperature (31.1
C). The high operating pressure and Therefore, this study focuses on the modelling process and dy-
low condensing temperature limit the broader use of CTPC for namic performance of a CTPC system with CO2 mixtures as the
waste heat recovery from truck engines. Moreover, the efficiency of working fluid when the components and proportions of CO2 mix-
CTPC with optimised operation parameters is no more than 6% [14]. tures are different. A dynamic mathematic model of a CTPC system
To improve the performance of a CTPC system, CO2-based binary is built based on the actual CTPC test bench and carefully validated
zeotropic mixtures were proposed as a replacement for pure CO2 as against the experimental data. The simulation results are to be
the working fluid. Shu et al. [15] focused on the use of these CO2 consistent with measurements. The real test bench was built by our
mixtures in CTPC systems for engine waste heat recovery, and eight group and was described in a previous publication [24]. Therein,
refrigerants were investigated. The results show that the the condenser is described using the moving boundary (MB)
condensing temperature of the CTPC system increased and the method, and a gas heater with 20 segments is built with the finite
operating pressure decreased. Wu et al. [13] conducted a thermo- volume (FV) method. External disturbances such as pump rotation
economic performance evaluation and optimisation of CTPC sys- speed, and the temperature and mass flow rate of exhaust are
tems with CO2 mixtures as the working fluid. The results show that considered with the goal of understanding the dynamic behavior of
the thermodynamic and economic performance of the system with systems with different proportions of CO2 mixtures. Moreover, the
CO2 mixtures were deemed more attractive than the system with offset in the optimal net power output and thermal efficiency with
pure CO2. different ratios of refrigerant is studied. In this work, the following
Prior research has mainly focused on the steady state perfor- contributions are made with respect to existing literature:
mance of a CTPC system, with the goal of optimising power output,
exergy efficiency, and thermal efficiency. However, the mass flow 1) A dynamic CTPC system model with CO2 mixtures as the
rate and temperature of engine are transient and variable [16]. For working fluid is developed and validated against experimental
example, during actual operation, the exhaust temperature of data. The model gives confidence to research the dynamic per-
heavy-duty engines ranges from 400 to 650
C [17,18]. The tran- formance and control strategy for system with mixtures of
siency and variability of the heat source brings great challenges to different working fluid.
reliability, durability, and stability of a CTPC system because the 2) The influence of mixture components and proportions on the
dynamic performance of a WHR system influences the system’s speed of the system’s dynamic response is assessed.
characteristics and affects the control strategies. Therefore, dy- 3) The influence of mixture proportions on the optimal points
namic modelling and dynamic performance appear as key areas of under the off-design condition is investigated, which can pro-
future research and development for WHRs. Models describing the vide guidance for optimal system control.
dynamic of an organic Rankine cycle (ORC) and transcritical CO2
cycles can be found in the literature [19e22], which provides
guidance for understanding the CO2 mixture model. Desideri et al. 2. System description
[19] developed a dynamic model of ORC using the ThermoCycle
library and then validated the result against experimental data The WHR system contains a topping system that provides a heat
from a test rig. Their steady-state and dynamic simulation results source and bottoming system that utilizes the heat source. The
are consistent with experimental. The dynamic model describing topping system is a heavy-duty diesel engine, and the bottoming
CTPC was built with an algebraic and moving boundary approach to system is a CTPC. The simulation model presented therein is based
analyse the design condition and operating strategy [20]. Moreover, on an actual test bench that was built by our group. For more details
the dynamic performance has also been researched in recent years. on the actual system, please refer to the article published by our
Shu et al. [23] created a dynamic model in MATLAB/Simulink and group [24].
analysed the CTPC system performance under engine mapping
conditions. Their results show that the net power output from the
2.1. Topping system
system varies significantly in different engine conditions. Li et al.
[24] conducted experimental studies of a CTPC system with pure
In this study, an inline 4-stroke 6-cylinder heavy-duty diesel
CO2 as the working fluid and examined the effect of external per-
engine is chosen as the topping system; its main parameters are
turbations on dynamic performance. Zhao et al. [25] established an
listed in Table 1. The engine exhaust is used as the heat source for
engine-WHR dynamic model and concluded that the net power
output of a CTPC system varied visibly with operating conditions,
and optimal parameters should be controlled to provide high dy- Table 1
namic engine conditions. Sylvain et al. [21] developed a dynamic Basic parameters of the diesel engine.
model of a small-scale ORC and proposed three different control Parameter Unit Content
strategies to ensure the system operates effectively in different
Engine type e Inline, 6 cylinders
working conditions. What’s more, due to the different physical Intake system type e Turbo-charge/Intercooler
properties of different working fluids, in addition to operation Fuel type e Diesel
model parameters, the dynamic response of an ORC system varies Bore mm 113
with the working fluid [26]. Stroke mm 140
Displacement L 8.424
However, a review of related research reveals that limited in-
Maximum torque N$m 1280
formation is available on the dynamic performance of a power cycle Compression ratio e 17.5
with CO2 mixtures in simulations and experiments. Essentially, the Rate power kW 243
physical parameters of different working fluids significantly impact Rate speed rpm 2200
the dynamic performance of the system [26]. There are some dif- Speed at maximum torque rpm 1200e1700
Valve per cylinder e 4
ference between the process for modelling the dynamics of CTPC
 G. Shu et al. / Energy 194 (2020) 116825
the bottoming CTPC system. The composition of the exhaust is:
N2 ¼ 73.4%, CO2 ¼ 7.11%, H2O ¼ 14.22%, and O2 ¼ 5.27%.
2.2. Bottoming system
Fig. 1 shows the basic cycle model of the CTPC, which consists of
a gas heater, condenser coupled with a receiver, expander and a
pump. The working fluid is pumped to supercritical pressure and
then heated by the exhaust in the gas heater. Next, high-
temperature, high-pressure working fluid expands through the
expander to generate shaft power. Finally, the working fluid is
cooled in the condenser and enters the receiver. Then the working
fluid leaves the receiver in a saturated liquid state and enters the
pump to finish a cycle. It is worth noting that the working fluid
enters the pump as a supercooled liquid and thus pump cavitation
is avoided.
3. Mathematic model
A mathematic model of a CTPC system is built in MATLAB/
Simulink (2014a) [30], and REFPROP (9.0) [31] software is used to
calculate the thermodynamic properties of pure CO2 and CO2
mixtures. Four models for the main components are established
using sequential S-function in MATLAB. The system model shown
in Fig. 2 is built by combining the four component models based on
their relationships.
3.1. Heat exchanger model
3.1.1. Gas heater model
The working fluid in the gas heater is in a supercritical state,
thus there is no phase change in the gas heater. The exhaust
Fig. 1. Schematic layout of the system.
3
temperature changes violently, which causes a dramatic change in
heat transfer along the length of the gas heater, so the dynamic
mathematic model is established with the finite volume (FV)
method. Fig. 3 shows a gas heater divided into n segments, where
the length of each lumped volume is Dx. For every control cell, the
discrete nodes are at the centre. Along the radial direction, the
subscript f (working fluid), w (pipe wall), and g (exhaust) are
defined for every control cell, and their states are represented as an
average state at the inlet and outlet. It is important to emphasise
that the physical properties of CO2 in the supercritical state change
violently, as shown in Fig. 4, so the number of control cells could
affect the accuracy of heat transfer calculation. Details regarding
the effects of the number of control cells will be described below. To
simplify the FV model, the following assumptions are made.
(1) The gas heater is a typical horizontal tube-in-tube heat
exchanger.
(2) The working fluid is compressible while the exhaust is
incompressible, and the exhaust pressure is constant.
(3) Axial heat conduction is negligible.
(4) Heat transfer losses are negligible.
(5) The organic working fluid is perfectly mixed with the CO2.
(6) The lumped thermal capacitance and temperature of the
tube wall are assumed.
Based on these assumptions, the differential equations of mass
and energy conservation for the working fluid are given in Eqs. (1)
and (2), respectively. The energy conservation differential equation
of the exhaust is listed in Eq. (3). The energy conservation differ-
ential equation of the gas heater wall is given in Eq. (4). ain and aout
are the heat transfer coefficient inside and outside the tube wall,
respectively.
4 G. Shu et al. / Energy 194 (2020) 116825

Fig. 2. System model built in Simulink.

  
vrf 1;ai dTf 1;i1 dTf 1;i vrf 1;ai dpf 1 dT w;ai
0:5A1 Dx þ þ A1 D x ¼ m_ f 1;i1 Aw Dxrw CPw ¼ aout;i pDo Dx T f 2;ai  Tw;i
vT f 1;ai dt dt vPf 1 dt dt
 
 m_ f 1;i þ ain;i pDi Dx T f 1;ai  Tw;i (4)
(1)

!
vrf 1;ai vhf 1;ai 3.1.2. Condenser with receiver model
0:5A1 Dx hf 1;ai þ rf 1;ai
vT f 1;ai vT f 1;ai The condenser model is coupled to a receiver, as shown in Fig. 5.

 A phase transition occurs in the condenser, and different phase
dTf ;i1 dTf 1;i vrf 1;i regions have different heat transfer characteristics. Thus, the dy-
 þ þ A1 Dx hf 1;i þ rf 1;ai
dt dt vPf 1 namic model for the condenser is built using the moving boundary
! (MB) method. The condenser is divided into two regions: a super-
vhf 1;ai dPf 1  
 1 ¼ ain;i pDi Dx Tw;i  T f 1;ai þ m_ f 1;i1 hf 1;i1 heated region and two-phase region. Component shift occurs in the
vPf 1 dt condenser, and the component shift model is rather complicated.
 m_ f 1;i hf 1;i However, the model validation results presented below show that
component shift has little effect on system performance. Therefore,
(2)
component shift is ignored in this study. The lengths of super-
! heated region and two-phase region are dynamically changing
vrf 2;ai vhf 2;ai with time. Some assumptions are made in the MB method.
0:5A2 Dx hf 2;ai þ rf 2;ai
vT f 2;ai vT f 2;ai

   (1) The condenser is a typical horizontal tube-in-tube heat
dT2;i dTf 1;i1
 þ ¼ aout;i poDx Tw;i  T f 2;ai þ m_ f 2;i hf 2;i exchanger.
dt dt (2) The pressure of cooling water is considered to be constant,
_
 mf 2;i1 hf 1;i1 and the cooling water is considered incompressible.
(3) Axial heat conductive is negligible in the working fluid,
(3)
cooling water, and pipe wall.
(4) The mean void fraction assumption is taken into account.
 G. Shu et al. / Energy 194 (2020) 116825 5

Fig. 3. Finite Volume model of the gas heater.

Fig. 4. The physical properties of supercritical CO2. (a) The specific heat capacity of supercritical CO2. (b)The density of supercritical CO2.

Fig. 5. Condenser with receiver model.

(5) The value for the lumped thermal capacitance and temper-
ature of the tube wall are assumed.
vðArÞ vm_
þ ¼0 (5)
The general mass balance differential equation for the working vt vz
fluid in the superheated region and two-phase region is: The general energy balance differential equation for the working
6 G. Shu et al. / Energy 194 (2020) 116825

fluid in the superheated region and two-phase region is: two-phase region is thought as a function of the overheating and
subcooled heat transfer coefficients, the saturated gas and liquid
vðArh  APÞ vmh
_  
þ ¼ ai pDi Tw  Tf (6) densities, the average team quality [36]. The Petukhov-Kirillov
vt vz correlation [35] is implemented for overheating region in
The general energy balance differential equation for the condenser and subcooled region in the receiver. All these heat
condenser wall of the superheated region and two-phase region is: transfer coefficients are listed in Table 2.
Where, the mean void fraction model is assumed and used [37]
dTw   in the two-phase region. The void fraction g defined as the volume
Cpw rw Aw ¼ ai pDi Tf  Tw þ ao pDo ðTc  Tw Þ (7) ratio of vapor to total flow has long be used to describe the prop-
dt
erties of the working fluid in the two-phase region. The relationship
where z is the direction along the tube, A and Aw are cross-sectional between void fraction g and liquid fraction h is described by Eq. (9)
area of the tube interior and the tube wall, respectively; Tw, Tf and Tc and it is the same with the average values g and h [37].
are the temperature of the tube wall, working fluid, and cooling
water. Di and Do are the inner and outer diameter of the tube, hþg ¼ 1 (9)
respectively. Cpw and rw are heat capacity and density of tube wall.
The slip flow model proposed by Zivi [38] is used to calculate the
ai is the heat transfer coefficient between the working fluid and
liquid fraction. The average liquid fraction h in the two-phase re-
tube wall, and ao is the heat transfer coefficient between the
gion can be expressed by Eq. (11), which is only the function of the
cooling water and tube wall.
density ratio, then the void fraction h can be got according to it.
The Leibniz integration rule is used to integrate the governing
partial differential equations (PDEs). Detailed modelling processes    1=3
S ¼ ug ul ¼ rg rl ¼ m1=3 (10)
are shown in Appendix 1.

zð2 zð2
 .  .  
ð11 þ ð1=mÞ2=3 2 3 ln 1 m  1
vf ðz; tÞ d dz dz
dz ¼ f ðz; tÞdz  f ðz2 ; tÞ 2 þ f ðz1 ; tÞ 1 (8) h ¼ hðzÞdz ¼ 2 (11)
vt dt dt dt
z1 z1 0 ðð1=mÞ2=3  1

As for the average steam quality c which can be elicited from the
following equations.
3.1.3. Heat transfer coefficients
Because of the different properties of hot and cold fluids in the havg  hl
c¼ (12)
gas heater and condenser, the choice of different internal and hg  hl
external transfer correlations has a great influence on the simula-
tion result. The heat transfer correlations especially of exhaust are ravg ¼ rl ð1  gÞ þ rg g (13)
carefully selected based on the heat transfer performance. Horst
et al. [32] also proved that the exhaust side have the maximal in-
havg ¼ rl hl ð1  gÞ þ rl hl g
fluence on total heat transfer. The heat transfer coefficient of (14)
exhaust at the outside of the gas heater pipe is gained from
ravg havg
Ref. [33], which is suitable for high temperature gas outside the
tube heat exchangers. The Ptukhov-Krasnoshchekov-Protopopov
correlation [34] is applied to CO2 and CO2 mixtures in tubes
which are in supercritical phase. The working fluid outside the 3.2. Pump and expander models
condenser tube is non-phase change cooling water, so the
Petukhov-Kirillov correlation [35] is adopted. The working fluid The model of the pump can be described as:
inside the tube of condenser is CO2 or CO2 mixture where exists
phase transition under the condensing pressure, and there are m_ pump ¼ hv rp up Vcyl (15)
many heat transfer correlations can be applied to phase change
heat exchanger. In current work, the heat transfer coefficients of where,up , Vcyl , rp , and hv is the pump rotation speed, the cylinder

Table 2
Heat transfer correlations.

Part Fluid region Heat transfer correlations

Gas heater Exhaust side 1 0:14




l de wn r 0:6 Cp m 3 m
ao ¼ 1:72
d0:4
o
m l mw
Working fluid side !0:35
0:33
0:11
ðf =8Þ:Re:Pr Cp kb mb
Nu ¼
12:7ðf =8Þ 0:5
ðPr 2=3
 1Þ þ 1:07 Cpb kw mw
Condenser Cooling water side ðf =8Þ:Re:Pr
Nuc ¼
12:7ðf =8Þ0:5 ðPr 2=3  1Þ þ 1:07
single phase ðf =8Þ,Re,Pr
Nuf ¼
12:7ðf =8Þ0:5 ðPr 2=3  1Þ þ 1:07
two-phase


0:37 2:2
0:7
0:67 2 !0:5
r ag 0:01 rl
a ¼ al ð1  xÞ þ 1:2x0:4 ð1  xÞ l þ x ð1 þ 8ð1  x
rg al rg
 G. Shu et al. / Energy 194 (2020) 116825 7

volume, the density of working fluid at the pump inlet and the
volumetric efficiency, respectively. The consumed work and the hspout  hpin
working fluid enthalpy at the outlet of the pump can be defined as: hpout ¼ hpin þ (17)
hsp
 
W_ p ¼ m_ hpout  h (16)
pin
where, hpin and hspout represent the working fluid enthalpy at the
inlet of the pump and the ideal enthalpy of working fluid after

Fig. 6. (a)The experiment bench for CTPC dynamic model validation. (b)Detailed structure of the experiment bench.
8 G. Shu et al. / Energy 194 (2020) 116825

isentropic pumping. hsp is the isentropic efficiency of the pump.

The expander model can be replaced with a nozzle [37] and
computed as follows:
pffiffiffiffiffiffiffiffiffiffiffi
m_ exp ¼ Cv rexP P (18)

where, Cv , rexp , andP are nozzle coefficient, working fluid density at

the inlet of expander and the operating pressure, respectively. The
power output of the expander and the working fluid enthalpy at the
outlet of expander can be described as:
 
_ t ¼ m_ h
W expin  hexpout (19)

 
hexpout ¼ hexpin  hexpin  hsout hst (20)
Fig. 7. Calculation error for the gas heater model with different number of segments.

where, hexpin and hsout represent the working fluid enthalpy at the
inlet of the expander and the ideal enthalpy of working fluid after Table 3
isentropic expansion. hst is the isentropic efficiency of the Parameters of the heat source and heat sink used for model validation.
expander.
Parameter Unit Content

Engine speed rpm 1100

4. Model validation Engine torque N$m 603


Exhaust temperature C 444.68e452.49
Because the gas heater is modelled using the finite volume (FV) Exhaust mass flow rate kg/s 0.10e0.11


method, there is an inevitable trade-off between simulation accu- Cooling water temperature C 13.59e14.20
Cooling water mass flow rate m3/h 1.86e1.92
racy and computation time. More segments or subsections of the
gas heater will bring higher accuracy at the cost of greater addi-
tional calculation time. Therefore, the influence of the segments on
the gas heater are fully examined in this part, and the results are
presented in Section 4.1. The system model is validated against the
experimental data in Section 4.2.
The experiment bench shown in Fig. 6 was built by our group to
validate the dynamic model for basic CTPC system. The major
components of the system, installed sensors and their accuracy, and
uncertainty analysis in the experiment are shown in Appendix 2.
The experimental system primarily consists of a gas heater,
condenser, receiver, pump, and expander (replaced by an expan-
sion valve in this system). The system is a CO2 transcritical power
cycle, and the working fluid can be pure CO2 or CO2 mixtures. The
model with pure CO2 as the working fluid is validated against
experimental data in a previous study [24], while the model with
CO2 mixture as the working fluid is validated against experimental
data gathered by the author using the test bench, these results have
not been published yet. Fig. 8. Pump speed and working fluid mass flow rate.

4.1. The effect of segments on gas heater model

The gas heater is one of the most important components as it

influences the system’s thermal inertia. However, in the FV method,
using more divided segments provides higher accuracy at the cost
of additional computation time, thus the number of segments in-
fluences the computation time. Chowdhury [39] also presented
that the errors in finite volume calculations were reduced when the
number of segments used in a gas heater model increases. There-
fore, the gas heater is modelled by dividing it into different seg-
ments (5, 10, 20, 50, and 100). The results are compared in Fig. 7,
which shows the calculation errors and calculation time for the
operating pressure and exhaust temperature at the gas heater
outlet.
The calculation errors in operating pressure and exhaust outlet
temperature for different numbers of segments are compared
against a reference model with 100 segments, as shown in Fig. 7.
One can see that the accuracy of the gas heater model is quite
significant. The operating pressure errors are less than 0.1% in all
cases, while exhaust outlet temperature errors for 5, 10, 20, and 50 Fig. 9. Temperature of the cooling water in the simulation and experiment.
G. Shu et al. / Energy 194 (2020) 116825 9

Fig. 10. Model validation.

10 G. Shu et al. / Energy 194 (2020) 116825

segments are 5.58%, 2.64%, 1.18%, and 0.29% respectively. Therefore,
in order to find a compromise between the accuracy and iteration
time, the number of segments in the gas heater is set as 20 in the
following analysis.
4.2. Model validation
In this section, the system model is validated against experi-
mental data, using pure CO2 or CO2 mixture (CO2/R134a with the
proportional of 0.7/0.3) as the working fluid. Validation is per-
formed by comparing some critical parameters while changing the
pump speed. Some parameters of the CTPC system, such as the
expander nozzle coefficient and pump volumetric efficiency are
calibrated against experimental data under the design condition
and then determined as a constant value. This method is widely
used in related researches [20,40]. One should note that the same
experimental processes are used for the system with pure CO2 and
that with the CO2 mixture. The experimental data for pure CO2
were published by our team [24], while the result from the tests
with CO2 mixture have not been published yet.
During the experiment, the mass flow rate is changed by
adjusting the pump speed after the system works safely and
steadily. The experiment is repeated several times to check repro-
ducibility. Table 3 shows the parameters of the heat source and heat
sink. The experimental pump speed and mass flow rate of working
fluid are shown in Fig. 8. The working fluid mass flow varies with
pump speed in real time, and data is collected using the experi-
mental bench at 1 sample per second. The pump speed is set to
80 rpm initially, which then declined to 70 rpm. After regulating
the pump speed back to 80 rpm, it is lowered to 65 rpm. The same
regulation rules are used for 60 rpm and 55 rpm. Once should note
that the cooling pressure of the CO2 mixture presents the tilted
trend in Fig. 10(b) because the cooling water temperature is un-
controllable during the experiment. In order to ensure the
boundary conditions in the simulation and experiment are
consistent, the measured temperature of the cooling water is used
in simulation. The measured temperature values and the values
used in the simulation are shown in Fig. 9.

Table 4
Parameters at steady state.

Component Parameter

Gas heater Pe ¼ 13 MPa Tgin ¼ 792.15 K mg ¼ 0.2794 kg/s L ¼ 26.94 mm

Do ¼ 0.025 m Di ¼ 0.02 m Tfin ¼ 573.15 K
condenser Pc ¼ 5.09 MPa Tcin ¼ 283.15 K mc ¼ 3.256 kg/s Lc ¼ 12.92 m
Do ¼ 0.03 m Di ¼ 0.08 m Tamb ¼ 300.15 K
Expander hexp ¼ 0:7 Cv ¼ 2:5e  7 m3 m_ f ¼ 0:22kg/s nv ¼ 0.6
Pump hp ¼ 0:8 up ¼ 80 rpm

Fig. 11. Dynamic response of the CTPC system under different step changes.
 G. Shu et al. / Energy 194 (2020) 116825
Fig. 10 shows a comparison of the operating pressure,
condensing pressure, mass flow rate of the working fluid, and
temperature at the outlet of the gas heater in the experiment and
simulation. One can see that most of the simulation results are
consistent with the measurements. The average error in operating
pressure, mass flow rate of pure CO2, condensing pressure, and
working fluid temperature at the gas heater outlet are 1.04%, 1.19%,
7.62%, and 2.32%, respectively. For CO2 mixtures, the average errors
are 4.76%, 4.45%, 6.55% and 5.56%, respectively. The average error of
the system with CO2 mixture as the working fluid is greater than
that of pure CO2. The pure CO2 system and the system with mixture
share the same heat transfer correlations shown in Table 2, which
are more suitable for pure CO2. In addition, the influence of
component shift on the CO2 mixture is not considered. The results
indicate that the difference in heat transfer for pure CO2 and the
CO2 mixture and the composition shift of the mixture can be
ignored to simplify the modelling process. Meanwhile, these results
show that the finite volume method and moving boundary method
are suitable for describing the behavior of the gas heater and
condenser with CO2 mixtures as the working fluid.
5. Results and discussion
The dynamic behavior of the CTPC system with pure CO2 and
CO2 mixtures as the working fluid based on the disturbance pa-
rameters are studied in Section 5.1. The dynamic speed of different
CO2 mixtures is reflected by the rising time, settling time, and peak
time which are compared in Section 5.2. Moreover, the offset of the
optimal operation points corresponding to the largest net power
output and thermal efficiency for pure CO2 and CO2 mixtures with
Fig. 12. Dynamic response of the CTPC system under the changes in exhaust temperature.
11
different proportions are presented in Section 5.3. The steady state
parameters of the CTPC system are listed in Table 4.
5.1. Dynamic behavior description
As reported by Li et al. [20], the system exhibits different sen-
sitivities with various disturbances. In this paper, the pump rota-
tional speed, temperature, and mass flow rate of the exhaust gas are
taken as disturbances when analysing the dynamic responses of
CTPC systems with pure CO2 or CO2 mixtures as the working fluid.
The low critical temperature (31.1
C) of pure CO2 brings diffi-
culties for condensation in the CTPC system, and the operating
pressure of the system is quite high. The CO2 mixture, including a
certain refrigerant and can be used to overcome these challenges.
The mixture working fluid, taking advantage of the temperature
glide, can be used to increase the condensation temperature. The
compounds in the mixture were investigated by many studies
[41e43]. Refrigerant components selected as potential candidates
in the current work are reference to Shu [15]. Three kinds of non-
corrosive, non-toxic refrigerants with low ODP and low GWP are
analysed and compared with pure CO2. CO2/R32 (0.7/0.3) can
decrease the optimal operation pressure by 1.4 MPa and the net
power output increases by 8.8% [15], so R32 is selected to analyse
the effects of different proportions on the dynamic response of the
CTPC system. The other two refrigerants used in the mixtures are
R152a and R134a.
The CO2/R32 working fluid is mixed in proportions of 1/0, 0.9/
0.1, 0.7/0.3, and 0.5/0.5. The dynamic performances of the CTPC
system with each fluid are compared. The refrigerant is added to
improve the performance of CO2, so the proportion of refrigerant is
12 G. Shu et al. / Energy 194 (2020) 116825
no more than 50% in this paper. The same system design is used for
all mixtures. The dynamic performance of the system is observed
by the step change of disturbance parameters. At 300 s, the tem-
perature of the exhaust decreased by 5%. At 600 s, the mass flow
rate of exhaust increased by 10%. Finally, the pump rotation speed
decreased by 10% at 900 s.
Fig. 11 shows the dynamic response of the system under three
different step changes. When exhaust temperature declines by 5%,
all parameters decrease smoothly, except the mass flow rate of the
working fluid, which shows obvious undershoot. Decreasing the
exhaust temperature causes a sudden decrease in the heat absor-
bed by the working fluid. Thus, the operating pressure declines
instantly, causing the mass flow rate decrease quickly. Then the
density of working fluid increases as the working fluid temperature
in the gas heater decreases, according to Eq. (18). The mass flow
rate gradually rises to its original value. One can see that overshoot
occurs in the operating pressure and the working fluid mass flow
rate when the exhaust mass flow rate increases by 10%. This occurs
due to a sudden increase in the exhaust mass flow rate before the
flow rate of working fluid increase, resulting the heat imbalance in
the gas heater. Several seconds later, the system returns to thermal
equilibrium, then the pressure and flow rate stabilise to a constant
value. When the pump speed decreases by 10%, the operating
pressure and the working fluid mass flow rate both decrease, and
the temperature of working fluid and exhaust at the gas heater
outlet gradually increase. Fig. 11(c) and (d) show that the difference
between the outlet temperatures of the working fluid and exhaust
with different proportions of CO2 and R32 under different steps are
small. This means that the heat absorbed by the working fluids is
Fig. 13. Dynamic response of the CTPC system under the changes in exhaust mass flow rate.
nearly equal for all mixed working fluids. However, the mass flow
rates of the CO2/R32 mixtures change by different amounts with
different steps, as shown in Fig. 11 (b). This is because the specific
heat capacity of the working fluid increases as the refrigerant ratio
increases. Fig. 11(a) shows that the operating pressure of CO2
mixture is nearly constant. A relative difference calculation is used
to examine the dynamic response speed.
5.2. Dynamic response speed
Figs. 12e14 show that the dynamic performance of the system
under three different steps presents different trend. Meanwhile,
the trend is similar for working fluids with different proportion
under the same step change, but the transient responses are visibly
different. Overall, the average transient slope for pure CO2 is the
steepest among all the four proportions, meaning it provides the
fastest dynamic response speed. The setting time, time constant,
and the peak time are used to qualify the transient response. The
setting time (ts ) is the time required for the response curve to reach
and stay within a range of certain variation (usually 5% or 2%; 5% is
used here) of the final value [44]. The time constant (t) is the time
required for the step response to reach 1-1=ez63.2% of its final
value. The peak time (tp Þ describes the time that the system’s unit
step response reaches the first peak during overshoot.
Fig. 12 illustrates the dynamic response under a step change in
the exhaust temperature. The response speed decreases as the
proportion of refrigerant increases. The dynamic response under a
step change in exhaust mass flow rate and pump speed (Figs. 13 and
14, respectively) exhibit the same dependence on the proportion of
 G. Shu et al. / Energy 194 (2020) 116825 13

Fig. 14. Dynamic response of the CTPC system under the changes in pump speed.

refrigerant. Based on Fig. 12, Table 5 presents calculated data of the
system due to the step change in gas temperature. The response
time in the mass flow rate and temperature of the working fluid,
and the waste heat gas temperature, increase as the refrigerant
proportion increases. Meanwhile, the trend in the operating pres-
sure is not obvious. Tables 6 and 7 show the calculated values of the
system due to a step change in the gas mass flow rate and pump
speed, respectively. It is clear that the response times for the four
parameters increase as the proportion of R32 increases. As
mentioned above, the different outlet temperature of the working
fluid and exhaust under different step changes is small, which
means that the different working fluids absorb nearly the same
amount of heat, although the mixtures contain different pro-
portions of refrigerant. In other words, the mass flow rate of the
working fluid is determined by the working fluid’s heat capacity
and density. The heat capacity and density of working fluid increase
as the refrigerant proportion increases, resulting in the decreased
mass flow rate. One can see that the working fluid with larger mass

Table 5
Dynamic characteristics due to a step change in gas temperature.

CO2 CO2/R32(9/1) CO2/R32(7/3) CO2/R32(5/5)

ts t tp ts t tp ts t tp ts t tp

Pe 22.6 8.7 / 20.4 8.8 / 18.8 8.96 / 18.6 8.74 /

Tf 73.2 26. / 76.9 27. / 79.6 27.9 / 81.9 28.9 /
Tg 60.9 13. / 63.2 14. / 64.8 14.7 / 66.9 15.1 /
mf / / 16.6 / / 17.7 / / 18.6 / / 19.6

Table 6
Dynamic characteristics due to a step change in gas mass flow rate.

CO2 CO2/R32(9/1) CO2/R32(7/3) CO2/R32(5/5)

ts t tp ts t tp ts t tp ts t tp

Pe / 4.56 15.03 / 4.79 15.79 / 5.00 17.29 / 5.30 19.29

Tf 83.27 36.88 / 86.54 38.54 / 89.64 40.19 / 92.79 41.89 /
Tg 62.28 13.27 / 64.69 13.81 / 66.59 14.14 / 68.39 14.54 /
mf / / 13.02 / / 13.79 / / 15.04 / / 16.29
14 G. Shu et al. / Energy 194 (2020) 116825

Table 7
Dynamic characteristics due to a step change in pump speed.

CO2 CO2/R32(9/1) CO2/R32(7/3) CO2/R32(5/5)

ts t tp ts t tp ts t tp ts t tp

Pe 26.25 11.65 / 28.75 12.3 / 34.15 13.35 / 41.65 14.25 /

Tf 86.15 33.3 / 89.75 34.95 / 93.25 36.35 / 96.5 38.00 /
Tg 91.75 36.65 / 94.75 37.6 / 97.5 38.28 / 100.00 38.85 /
mf 48.75 16 / 53 16.85 / 58.5 18.5 / 64.00 20.00 /

flow rate always responds more quickly. This can be explained as
follows: the working fluid stored in the gas heater and condenser is
stable after the gas heater stabilises. The thermal inertia of the
working fluid increases as more the working fluid is stored in the
gas heater. Large mass flow rates accelerate the update of the
working fluid in the heat exchanger, which enables the system
operate quickly and stably. The influence of mass flow rate on the
dynamic response speed was also examined by Gao.et [45]. The
mass flow rate of the working fluid with large heat capacity is al-
ways small. Therefore, the working fluid with slower dynamic
response speed tends to have greater heat capacity in general.
The dynamic speed of the system with CO2/R152a and CO2/
R134a as the working fluid are also calculated and show the same
regular as CO2/R32, so there is no detailed description on CO2/
R152a and CO2/R134a. The dynamic response of the system with
different mixture working fluids due to a step change of exhaust
mass flow rate is shown in Fig. 15. The response of system with pure
CO2 and three different kinds of CO2 mixtures in proportions of 7:3
is shown in the figure. Obviously, the four working fluids exhibit
consistent response. The response time is slightly different for
various CO2 mixtures due to the difference in their physical prop-
erties. From another perspective, the response time is slower when
there is more refrigerant. That is because the heat capacity and
density of the working fluid increase as the proportion of the
refrigerant increases.
5.3. The offset of the optimal operation point
Most of the WHR systems were designed to operate in special
working conditions to maxim energy savings, but these systems

Fig. 15. Response with different kinds of CO2 mixtures.

 G. Shu et al. / Energy 194 (2020) 116825
Fig. 16. (a) Net power output (b) Thermal efficiency (c) Operating pressure (d) Outlet temperature of the working fluid.
often work in different conditions, and the operating parameters
vary greatly. Therefore, it is of great significance to explore the
optimal operation points that provide the greatest power and ef-
ficiency under off-design condition for control. The mass flow rate
of the working fluid increase as the pump rotation speed increases,
which increases the amount of absorbed heat. Therefore, the net
power output and thermal efficiency increase. The continuous in-
crease in the working fluid mass flow rate causes the temperature
of the working fluid at the gas heater outlet decrease, and the net
power output and thermal efficiency decrease. Thus, the net power
output and thermal efficiency first increase and then decrease as
the pump speed increase.
As shown in Fig. 16(a) and (b), CO2 mixtures with different
proportion have the same trend as pure CO2. The system has higher
net power output and thermal efficiency when the proportion of
refrigerant is larger. Of particular note is that the optimal net power
output and thermal efficiency offset to the direction of the lower
pump speed with the increase of refrigerant proportion. The
optimal net power output and thermal efficiency do not correspond
to the same pump speed. This means the CTPC system with CO2
mixture as the working fluid should use a lower pump speed
compared to the system with pure CO2 in order to maximise net
power output or thermal efficiency. Fig. 16(c) and (d) show the
operating pressure and temperature of the working fluid at the gas
heater outlet, where the black dots correspond to the system’s
maximum net power output. One can see that the operating
pressure decreases as the refrigerant proportion increases, which
reduces the operation pressure in the CTPC system. The working
15
fluid temperature at the gas heater outlet increases because of the
mass flow rate decreases.
6. Conclusion
In this study, a dynamic model of the CO2 mixture transcritical
power cycle for waste heat recovery in an engine is created in
Simulink and carefully validated against experimental data. The
dynamic performance of the system with mixture working fluid in
different components and proportions are examined. It is found
that:
(1) The finite volume method and moving boundary method are
suitable for modelling a gas heater and condenser with CO2
mixtures as the working fluid, respectively. It gives confi-
dence in the CTPC system modelling especially with mixture
working fluid, which can provide reference value for future
simulation work.
(2) The CTPC system with pure or mixture working fluid exhibits
the same variation tendency under the same step change of
external disturbance. The dynamic response time of the
system increases as the proportion of refrigerant increases,
while the magnitude of the system parameters changes
slightly.
(3) The optimal net power output and thermal efficiency offset
to the direction of the lower pump speed as the proportion of
refrigerant increases. The operating pressure decreases and
16 G. Shu et al. / Energy 194 (2020) 116825

the temperature of working fluid at the gas heater outlet WHRs waste heat recovery system
increases. FV finite volume
MB moving boundary
These studies will be helpful for future design, optimisation, and ORC organic Rankine cycle
control of CTPC system. Control of over the CO2 mixture tran-
scritical power cycle will be examined in future studies.
Appendix 1
Acknowledgements
Mass conservation for superheated region of working fluid:
This work was supported by the National Key R&D Program of

China (2017YFE0102800), and the authors gratefully acknowledge vr1 1 vr1 dhg 1 vr1  
þ AL1 P_c þ AL h_ þ rl  rg
it for support of this work. vPc 2 vh1 dPC 2 vh1 1 i (1a)
AL_ ¼ m_  m_
1 i int1
Nomenclature
Mass conservation for two-phase region of working fluid:
Cp specific heat (kJ/kg$K)

density (kg/m3)   drl drg  
D rg rl ð1gÞAL_1 þ ð1gÞþ g AL2 P_ c þ rg rl AL2 g_ ¼m_ int1
A area (m2) dPc dPc
r density (kg/m3) m_ int2
h specific enthalpy (J/kg)
(2a)
d diameter (m)
T temperature (K) Energy conservation for superheated region of working fluid:
P pressure (Pa)

 
a heat transfer coefficient (W/m2$K) vr1 1 vr1 dhg 1 dhg
þ h1 þ r1  1
Re Reynolds number vPc 2 vh1 dPc 2 dPc


Nu Nusselt number 1 vr1 1  
Pr Prandtl number AL1 Pc þ h þ r AL1 h_ i þ r1 h1  rg hg (3a)
2 vh1 1 2 1
g void fraction (m2/s)
L
h liquid fraction (m2/s) AL_1 ¼ m_ i hi  m_ int1 hg þ ai1 Ai 1 ðTw1  Tr1 Þ
L
x average steam quality
m density ratio Energy conservation for two-phase region of working fluid:
hsp isentropic efficiency of the pump
  
hst   dðrl hl Þ d rg hg
isentropic efficiency of the expander _
rg hg  rl hl ð1  gÞAL1 þ ð1  gÞ þ g1
u pump rotation (rpm/min) dPc dPc
the cylinder volume (m3)  
Vcyl _
AL P c þ r hg  r h AL g_ ¼ m_ hg  m_ h (4a)
2 g l l 2 int1 int2 int2
Cv nozzle cofficient
L2
ts settling time (s) þ ai2 Ai ðT  Tr2 Þ
tp peak time (s) L w2
t time constant (s) Energy conservation for superheated region of tube wall:
W output power (w)
m_ mass flow rate (kg/s) Cpw rw Aw ½L1 T_ w1 þ ðTw1  Tw2 ÞL_1  ¼ ai1 Ai L1 ðTr1  Tw1 Þ
t time (s)
þ a0 A0 L1 ðTc1  Tw1 Þ (5a)
L length (m)
Energy conservation for two-phase region of tube wall:
Subscripts
i inside Cpw rw Aw L2 T_ w2 ¼ ai2 Ai L2 ðTr2  Tw2 Þ þ a0 A0 L2 ðTc2  Tw2 Þ (6a)
o outside
Energy conservation for superheated region of cooling water:
f1 working fluid
f2 exhaust gas

1 dh dr
c cooling water Ac ðrc 1hc1  rc12 hc12 ÞL_1 þ Ac L1 rc1 c1 þ hc1 c1
l liquid 2 dT dT


g gas dTcout dTc12
 þ  m_ c ðhc12  hcout Þ ¼ ao1 pDo L1 ðTw1  T c1 Þ
p pump dt dt
exp expander (7a)
in inlet
out outlet Energy conservation for two-phase region of cooling water:
w wall


avg average 1 dh dr
Ac ðrc12 hc12  rc2 hc2 ÞL_2 þ Ac L2 rc2 c2 þ hc2 c2
rec receiver 2 dT dT
amb ambiance

dTin dTc12
 þ þ m_ c ðhc12  hcin Þ ¼ ao2 pDo L2 ðTw2  T c2 Þ
dt dt
Abbreviations
(8a)
CTPC CO2 transcritical power cycle
WHR waste heat recovery Mass conservation for receiver model of working fluid:
 G. Shu et al. / Energy 194 (2020) 116825 17

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