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Energy Procedia 107 (2017) 369 – 376

3rd International Conference on Energy and Environment Research, ICEER 2016, 7-11 September
2016, Barcelona, Spain

Compression and Air Storage Systems for Small Size CAES Plants:
Design and Off-design Analysis
Coriolano Salvini*, Pietro Mariotti, Ambra Giovannelli
Dipartimento di Ingegneria-Università degli Studi ROMA TRE, Via della Vasca Navale 79, 00147 Rome, Italy

Abstract

The paper deals with the design and off-design analysis of a compression and storage system for small size Compressed Air
Energy Storage (CAES) plants. The system is constituted by a multi-stage reciprocating compressor coupled with an artificial air
reservoir. A methodology for preliminary sizing and off-design modelling has been developed. In order to ensure an
appropriately wide range of operations, particular attention has been paid to the selection of the most suitable compressor
capacity control devices. Given the compressor capacity regulation margins and the actual level of charge of the reservoir, the
proposed approach allows the instant-by-instant evaluation of minimum and maximum absorbable electric power. The developed
tool gives useful information to appropriately size the compression system and to manage it in the most effective way.
© 2017
© 2016TheTheAuthors.
Authors. Published
Published by Elsevier
by Elsevier Ltd. Ltd.
This is an open access article under the CC BY-NC-ND license
Peer-review under responsibility of the scientific committee of the 3rd International Conference on Energy and Environment
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Research. under responsibility of the scientific committee of the 3rd International Conference on Energy and Environment Research.
Peer-review

Keywords: Compressed air energy storage (CAES); reciprocating compressors; compression system management.

1. Introduction

The worldwide increasingly penetration of Renewable Energy Sources (RES) in the electric system is bringing
noticeable benefits in terms of CO2 emission reduction and sustainability of the overall energy system. Conversely,
the intermittency and uncertainty of RES availability cause unbalances along the time between electric power

* Corresponding author. Tel.: +39 06 55173249; fax: +39 06 57333425.

E-mail address: coriolano.salvini@uniroma3.it

1876-6102 © 2017 The Authors. Published by Elsevier Ltd. This is an open access article under the CC BY-NC-ND license
(http://creativecommons.org/licenses/by-nc-nd/4.0/).
Peer-review under responsibility of the scientific committee of the 3rd International Conference on Energy and Environment Research.
doi:10.1016/j.egypro.2016.12.178
370 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376

production and demand. Moreover, in case of high RES availability, a production curtailment is unavoidable if the
producible electric power exceeds the power transmission line limits.
The introduction of Electric Energy Storage (EES) systems can give a relevant contribution in solving the above
problems. Among the presently available EES technologies, Compressed Air Energy Storage (CAES) shows
interesting potentialities [1, 2]. Basically, a CAES system operates according to a Brayton cycle where compression
and expansion processes occur in different time periods. During the charging phase, electric power is absorbed from
the grid to compress ambient air which is stored in a natural or artificial reservoir. During the discharge phase, the
compressed air is heated and expanded to generate electric power delivered to the grid. Along the time, many CAES
concepts have been introduced and investigated [3]: i) the traditional diabatic CAES (D-CAES), in which air is
heated prior the expansion by using an external heat source (usually a fuel), ii) the adiabatic CAES (A-CAES) in
which air is cooled after the compression process, the absorbed heat is stored in suitable Thermal Energy Storage
(TES) systems and, finally, re-used to heat the compressed air prior the expansion, iii) the Isothermal CAES (I-
CAES) in which low temperature quasi-isothermal compression and expansion processes are proposed to achieve a
satisfactory storage efficiency avoiding the necessity of high temperature TES.
In [4], Budt et Al. analyze why the CAES technology has not been extensively employed in the past. They
conclude that in the next future, CAES can play a relevant role in the electric system as a mid-term storage
technology (from some hours to some days) for off-grid and self-consumption applications as well as for the
provision of ancillary services on the lower grid levels. Moreover, the newly built CAES systems will be at small or
medium scale and, finally, to deliver the above services, new plants must be featured by high flexibility in terms of
quick start-up and load following capabilities.
Most of published research works about CAES explore the overall performance of large size systems [3, 5-8].
Relevant issues related to load following capabilities of the compression section are not usually taken into
consideration. When specified, the charging phase is supposed to occur at constant absorbed power [9] or at constant
air mass flow rate [10].
The present work, according to suggestions reported in [4], is focused on how to improve the operational
flexibility of the system. A high load following capability can be achieved if the power absorbed by the compressor
can be adjusted according to instantaneous grid requirements. As a result, suitable capacity control devices capable
to modulate the air mass flow entering the compressor are needed. In addition, it has to be pointed out that
operations during the charging phase necessarily occur in a wide increasing pressure ratio range. Generally speaking,
for each kind of compressor (reciprocating, centrifugal, etc.), at a given pressure ratio the range of absorbable power
is related to the peculiar features of the compressor itself and to the modulating capability of the installed capacity
control devices. Therefore, the absorbable electric power can range from a minimum to a maximum value depending
on the actual pressure level within the storage reservoir. In addition, the compressor efficiency changes continuously
due to the continuously increasing pressure ratio and to the required mass flow rate variations to adjust the absorbed
power at the desired value. Such an aspect is usually neglected in most of the published works [5-7], where constant
efficiency operations are assumed. The above issue is, to some extent, addressed in [9], where a generalized
simplified correlation is adopted to account for the change of compressor efficiency with air mass flow rate. The
Authors suitably state that more precise and complex curves can be adopted once a specific machine is selected or
designed. Such an approach is pursued in [10, 11], where the compressor off design model is built on maps supplied
by the Manufacturers.
Aim of the present work is to give an approach for the investigation and the improvement of the operating
flexibility and performance of the compression and storage section of a small CAES plant. The system is constituted
by a multistage intercooled/after cooled reciprocating compressor and by an artificial storage tank to overcome any
geological restriction related to the availability of suitable natural reservoirs. The compression/storage system can be
coupled indifferently with D-CAES and A-CAES concept based plant. In order to explore the load following
capabilities of the system, two commercially available flow control devices have been taken as reference. To
improve the storage efficiency, the capacity control system is set up to absorb the required amount of electric power
by minimizing the specific compression work requirement for each instantaneous operating condition. Such
conditions are defined by the pressure ratio and electric power to be absorbed. The system performance is evaluated
by taking actual compressor efficiency into account. A case taken from an Authors’ previous work has been
investigated. Results are given and discussed.
 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376 371

2. Technical considerations

The proposed compression and storage system is addressed to small size CAES plant capable of absorbing
electric power from the grid in the range of 100-500 kW. Design storage pressures can range from 40 to more than
100 bar, as reported in literature [3, 4]. Therefore, the resulting pressure ratios call for the adoption of multi-staged
intercooled compressors. To select the most proper compressor stage, a preliminary investigation aimed at
estimating specific compression works and air mass flow rates has been performed. Three and four stage
compression train arrangements have been taken into consideration. Evaluations have been performed by assuming
conditions close to those of minimum work requirement (i.e. stages operating with the same pressure ratio).
Analyses carried out by varying the pressure ratio from 40 to 100 have evidenced specific work requirements from
450 to 650 kJ/kg. Therefore, the absorption of electric power from the grid in the range 100-500 kW implies air
mass flow rates from 0.2 to some 1 kg/s, corresponding to compressor inlet volumetric flow rates from 0.15 to 0.8
m3/s. Those expected operating conditions have led to the selection of a multi-stage intercooled reciprocating
compressor, according to common engineering practice [12].
During the charging phase, the pressure inside the reservoir changes continuously along the time and,
consequently, the compressor operates at variable pressure ratio. The electric power absorbed at each instant t by an
N-stage compressor can be expressed as in equation (1):

N
PEL = m × ¦ i =1WSP ,i / ηME (1)

being m the air mass flow rate, ǡ‹ the specific i-th stage compression work and ηME the mechanical-electrical
efficiency (accounting for mechanical and electrical losses occurring in the compressor-motor group). The absorbed
power can be varied along the time by varying the air mass flow rate, depending the specific work on the pressure
ratio β. Therefore, to ensure an adequate load following capability, the compressor has to be equipped with suitable
flow control devices. Moreover, such devices, if properly selected and operated, can give an important contribution
in improving the overall system performance.
As previously stated, a rule to reduce the compression specific work is to operate with equal stage pressure ratios,
i.e. β‹ൌ ξβ. If the compression train is sized accordingly for a reference pressure ratio β , widely varying β
operations lead to a strong deviation from the sub-optimal minimum work condition. As an example, let’s consider a
two stage intercooled compressor operating in the range 4 < β < 20. For the sake of simplicity, a stage ideal behavior
is assumed. Moreover, it is assumed that the cooling system keeps the second stage air inlet temperature constant
and equal to that of air entering the first stage. If the mass flow rates entering both the stages is expressed in terms of
stage capacity and ideal volumetric efficiency, imposing the first stage outlet mass flow rate equal to the second
stage inlet one, the following equation is obtained:

1
β1 k β1REF 1k ª 1 1 º 1 1
− β1 «1 + − β1 k » + β1 k = β k (2)
δ β1 ¬ δ ¼

where βͳ and β1 are the actual and reference (design) first stage pressure ratio, δ the stage clearance factor
(assumed equal for both stages) and  the isentropic exponent. Eq. 2 enables the calculation of β when βͳ changes
from the reference condition and, consequently, the calculation of βʹ = β / βͳ. Fig. 1 gives the trends of βͳ and βʹ
for β = 4 (β1 = β2 = 2) and β = 16 (β1 = β2 = 4). Calculations have been performed by assuming δ =
0.05 and  = 1.4.
It can be noticed that in both cases the first stage operates at a nearly constant pressure ratio. The overall pressure
ratio variation is almost entirely charged on the second stage. The βͳ slight increase needs to raise the air density at
the second stage inlet to compensate the volumetric efficiency reduction occurring when βʹ increases.
372 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376

Stage pressurev ratio βi 10 10

β2 8
8
β2 6
βREF = 16

ΔW [%]
6
4
4
β1 2
βREF = 4
2 0
0 -2
0 5 10 15 20 25 30 0 5 10 15 20 25 30
Compressor pressure ratio β Compressor pressure ratio β

Fig. 1. Stage pressure ratio trends versus the overall pressure ratio. Fig. 2. Specific compression work percentage increase versus the
(full line: βREF = 4; dotted line βREF = 16) overall pressure ratio.

According to the simplicity of the adopted approach, such an analysis gives only indicative trends that are,
however, in agreement with those reported in [13] and [14].
By varying β, the departure from optimal operating conditions leads to a specific compressor work augmentation.
With reference to the two-stage arrangement under consideration, Fig. 2 shows the percentage specific work
increase in respect to the minimum work requirement. It can be noticed how operations far from the reference
condition lead to some percentage points increases, which are significant in determining the performance of the
overall storage system. Moreover, an increased stage pressure ratio leads to augmented air temperature and pressure
inside the cylinder that can determine unsafe and dangerous operations. Some kinds of capacity control systems can
give a contribution in equalizing the stage pressure ratio during variable β operations. The topic will be addressed in
the next section.

3. Compressor capacity control systems

Several systems are presently available to control the flow entering a reciprocating compressor [15]. In the
present paper, two flow control systems proposed by Dresser-Rand are taken as reference: the Hydraulic Variable
Volume Clearance Pocket (HVVCP) and the Infinite Step Control (ISC) [16]. Such systems have been selected as
the most suited to achieve the intended target, i.e. flow rate variations minimizing the compression specific work.
HVVCP consists in a variable volume clearance pocket installed on the outer end of the compression cylinder.
Volume changes are determined by the displacement of clearance pocket piston moved by the forces resulting from
the alternating pressure in the compression cylinder. A hydraulic cylinder keeps the clearance pocket piston in the
desired position. The system can regulate the volumetric flow rate in a range defined by the actual operating stage
pressure ratio, as shown in Fig. 3. The flow rate can be varied from 100% to 80% when the stage pressure ratio is
about 1.5. Large regulation margins (up to 100% to 50%) are possible at higher pressure ratios.
ISC system operates by delaying the closing of the suction valve. When the flow has to be reduced, a hydraulic
actuated finger unloader holds the suction valve opened during the discharge stroke allowing a controlled reflux
across the valve. When the compression piston reaches the position corresponding to the desired flow rate, the finger
unloader is deactivated, the suction valve closes and the compression of the air trapped inside the cylinder occurs.
The ISC system can be programmed according to the customer requirements. ISC flow control range is higher than
that of HVVCP (see Fig. 3). In fact, ISC allows flow rate variations from 100% to 10% when the stage pressure ratio
is close to 1. The flow regulation interval decreases following a linear trend by increasing the stage pressure ratio.
Both systems ensure efficient variable flow rate compressor operations. As reported by the Manufacturer,
HVVCP in practice does not cause any horsepower loss. ISC introduces some power loss related to the pressure
drop across the suction valve during the controlled reflux. The resulting additional power consumption is generally
small, but should be taken into account when the overall compressor power consumption is evaluated.
 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376 373

100
90 HVVCP
80
70

Flow rate [%]

60
50
40
30
20 ISC
10
0
1.0 1.4 1.8 2.2 2.6 3.0 3.4 3.8
Stage pressure ratio ɴi

Fig. 3. Achievable percentage flow reduction versus stage pressure ratio for HVVCP and ISC capacity control systems. (Reproduced from [9])

A B C D

M
I II III IV ST

Fig. 4. Schematic system layout.

4. Compression and storage systems modeling

The multistage compressor behavior is modelled by introducing for each stage generalized performance curves
expressing volumetric and internal efficiency as a function of the actual pressure ratio and capacity. Such curves
have been established on the basis of available data measured on similar compressors as reported in [17]. According
to Manufacturer information, no additional losses associated to variable clearance pockets have been charged when
HVVCP system is adopted [16]. Additional losses occurring when flow rate is varied by installing an ISC system
are neglected. An ε-NTU approach has been adopted to model the compression system heat transfer equipment (i. e.
intercoolers and aftercooler).
According to [18] and [19], an air storage system constituted by sections of large diameter steel pipe connected
by manifolds has been adopted. As reported in [19] and [20], such a solution represents the most cost effective
alternative for storage pressure up to 150 bar. Details about the sizing procedure (carried out according to ANSI
standard) are given in [21]. Since mass, temperature and pressure inside the reservoir vary along the time during the
charging phase, a dynamic model has been set up. A simple approach based on Euler’s method has been adopted to
perform the time integration of mass and energy conservation equations. Heat transfer from/to the environment
during the charging phase has been taken into account.
The charging phase calculation is supervised by an algorithm which establishes instant by instant the optimal
compressor running condition corresponding to the actual pressure ratio (imposed by the pressure inside the storage
tank) and to the amount of electric power a to be absorbed from the grid. Through an iterative procedure, stage inlet
volumetric flow rates leading to an equal distribution of the overall pressure ratio among the various stages are
calculated. The stage flow reduction in respect to the rated capacity enables the determination of the flow control
device setting (i.e. the clearance pocket volume or the timing of the suction valve closing).
374 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376

5. Case study

The compressor and storage system for a small scale CAES proposed by the Author in [22] has been assumed as
a case study. The system is designed to store 10,000 kg of air at 40 bar in an artificial reservoir in a time period of
five hours. Pressure at the beginning of the charging phase is equal to 13 bar. Preliminary evaluations have led to the
selection of a four stage intercooled/after cooled compressor arrangement, as sketched in Fig. 4. The compressor has
been sized by assuming a reference a pressure ratio equal to 13 and a mass flow rate of 0.56 kg/s. Each stage is
constituted by a double acting cylinder sized for a pressure ratio equal to β‹ǡ ൌ4¥13 =1.9

Table 1. Compressor package sizing results.

Main compressor design results Stage I Stage II Stage III Stage IV
Displacement 20656 cm3 11453 cm3 6041 cm3 3185 cm3
Base clearance 15% 15% 15% 15%
Speed 850 rpm 850 rpm 850 rpm 850 rpm
Overall stage efficiency 80% 80% 80% 80%

Main heat exchangers design results Intercooler A Intercooler B Intercooler C Aftercooler D

Inlet air temperature 70°C 88 °C 88 °C 88 °C
Effectiveness 80% 85% 85% 85%
Heat transfer surface 21 m2 25 m2 25 m2 25 m2
Air side pressure losses 3% 3% 3% 3%

100 350
I
90
II 300
80
Electric Power [kW]

HVVCP 250
70 III Max PEL
Flow rate [%]

60 I
IV 200
50
II 150
40
30 III 100
20 ISC Min PEL
IV
50 (optimal operations)
10
0 0
1.6 1.8 2.0 2.2 2.4 2.6 2.8 3.0 0 60 120 180 240 300 360 420 480 540
Stage pressure ratio ɴi Time [min]

Fig. 5. Optimal operations percentage flow reduction versus stage Fig. 6. Electric power absorption during the charging phase
pressure ratio for HVVCP and ISC capacity control systems.

Main sizing results are given in Table 1. The required storage volume is equal to 320 m3. The storage tank is
realized by welding 30” OD, 12 m length carbon steel pipe sections.
In order to explore the system flexibility, the capability of operating at equal stage pressure ratio has been
investigated by adopting HVVCP and ISC capacity control systems. Figure 5 shows the compressor flow rate
maximum reduction allowing optimal operations when the stage pressure ratio varies. Curves are obtained by
imposing to the last stage the maximum volumetric flow reduction, according to curves given in Fig. 3. Under this
condition, volumetric flow rates entering the upstream stages have been evaluated (curves III, II, I on Fig. 5). The
first stage curve expresses, of course, the maximum compressor flow rate reductions permitting optimal operations.
Such a flow rates correspond to the minimum electric power absorbable by the grid by operating the compressor at
 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376 375

equal βǤ  If further power reductions are required, they can be achieved by reducing the compressor inlet flow rate by
acting on the 1st, 2nd and 3rd stage capacity control devices, because the last stage has reached its flow regulation
limit. As a consequence, operations at equal stage pressure ratio are no longer possible. According to Eq. 1, the
minimum power absorption is attained when the compressor operates at minimum flow rate, i. e. when the capacity
control device of each stage is set for the maximum flow rate reduction.
It can be noticed that HVVCP system does not allow equal stage pressure ratio operations for β‹ > 2.35,
corresponding to an overall pressure ratio of about 30. ISC capacity control system allows a wider range of optimal
operations. At the beginning of the charging phase, (β‹ = 1.9), the range of equal stage pressure ratio operations is
extended up to 20% of the rated compressor inlet flow. At the end of charging (β‹ = 2.6), optimal operations are
allowed for flow reductions up to 60%. Fur such a reason an ISC system has been preferred.
As an example, the model has been employed to simulate the charging phase for a given load absorption pattern.
Results are shown in Fig. 6. The load absorption requirements are given as a series of hourly steps (full line).
The upper dotted line gives at each time instant the maximum absorbable electric power. The lower dotted line
represents the minimum electric power absorption achievable by operating the compressor in optimal conditions
(equal β‹ operations). As previously discussed in this section, the lowest power absorption is attained by reducing
the compressor inlet flow at its minimum allowable value.
The charging phase is characterized by different modes of operation:
a) time period 0-120 min: the system can fulfil the power absorption requirement. Due to the pressure
increase inside the storage tank, both minimum and maximum absorbable power show an increasing
trend, according to Eq. 1;
b) time period 120-240 min: the power to be absorbed is lower than the minimum absorbable and the
system is turned off. Since the storage pressure does not change, maximum and minimum absorbable
power remain constant;
c) time period 240-360 min: same behavior described at point a);
d) time period 360-420 min: the power absorption requirement exceeds the system capacity. The system
operates along the line of maximum power and the surplus of the power absorption demand is rejected;
e) time period 420-540 min: same behavior described at point a). At minute 540 the charging phase is
completed.

6. Conclusions

As a mid-term energy storage technology, small size CAES systems can give a relevant contribution in
supporting the increasing penetration of RES in the electric system. Small CAES can play an important role for off-
grid and self-consumption applications as well as in providing ancillary services on the lower grid levels. An
adequate operational flexibility is a necessary precondition to accomplish the above tasks.
An approach to investigate and improve the load following capability and the performance of compression
systems designed for small size CAES plants is presented. The system under consideration is constituted by a
multistage intercooled/after cooled reciprocating compressor and by an artificial storage tank. The compressor is
equipped with suitable capacity control devices to vary instant by instant the absorbed power according to the grid
requirements. In order to improve the storage efficiency, the capacity control systems are also used to minimize the
specific compression work for each instantaneous operating condition. Two different capacity control system have
been taken into consideration: HVVCP (Hydraulic Variable Volume Clearance Pocket) and ISC (Infinite Step
Control). Both systems show satisfactory performance in terms of efficient flow modulation capabilities. Anyway,
to increase the compressor operational flexibility, ISC has been preferred as a result of its higher modulating
capabilities.
The developed model can provide useful information for both preliminary design and management of a small size
CAES system. On the basis of expected electric power absorption requirements, different design solutions can be
quickly investigated and compared to select the most suitable one. In order to assess the power absorption
capabilities of the system, the behavior during the charging phase can be checked under various probable load
patterns for each tentative design solution. Moreover, according to the storage status at each instant, during the
charging phase (essentially defined by the pressure level inside the tank), the model gives the maximum and
376 Coriolano Salvini et al. / Energy Procedia 107 (2017) 369 – 376

minimum absorbable electric power. The possibility of providing at each instant the absorbable power range can
give a valuable contribution in defining the most effective system management policies.
The developed models will be applied to analyze both diabatic and adiabatic CAES systems. Furthermore, in
order to investigate the performance of larger size CAES plants, the developed approach will be extended to
compressor trains constituted by intercooled centrifugal stages.

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