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Ann. Rev. Energy 1984. 9: 447-72 Quick links to online content
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HEAT PUMPS:
Basics, Types, and Performance
Characteristics

Victor W. Goldschmidt
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R. W. Herrick Laboratories, School of Mechanical Engineering, Purdue

University, West Lafayette, Indiana 47907

INTRODUCTION

A heat pump is a device that extracts thermal energy from a low­

temperature source (such as the outside air or ground) and transfers it to a
higher-temperature sink (such as the heated indoors of a building). For
instance, a household refrigerator may be thought of as a heat pump. While
cooling the food products, it takes thermal energy from them. The outside
coil, on the other hand, transfers thermal energy to the ambient air. The
food acts as the source, the air in the kitchen as the sink.
Basic laws in thermodynamics recognize that work is not required to
transfer heat from a high-temperature source to a lower-temperature sink (a
simple conductive path would suffice), but it is required to transfer thermal
energy from a low-temperature source to a higher-temperature sink. Figure
1 identifies the basic energy exchanges in a heat pump. The shaft work per
unit time, w., is the input needed to operate the heat pump, while Qh is the
rate of thermal energy transferred to the warmer environment, and Qc is
that taken from the colder environment. The case represented is that of
heating the warmer indoors, at 1j, while extracting thermal energy from the
colder outdoors, at 7;,. The desired output in this case of a heating mode is
Qh' The cost to the consumer is in the shaft work w.. Hence, the coefficient
of performance of the heat pump, in the heating mode, would be:
COP =
QJw.. 1.
From Figure 1, principles of conservation of energy require that
Qh = w.+Qc. 2.
Hence, COP> 1.0.
447
0362-1626/84/1010--0447$02.00
 448 GOLDSCHMIDT

It is obvious that heat pumps can also operate in the cooling mode. The
desired output is then Qe, rather than Qh, with a corresponding performance
coefficient of
COP = Qe/W., 3.
a value that is not necessarily larger than unity (for Qc and W. in equivalent
units). For convenience in marketing, the industry has selected to use not a
COP cooling, but instead an EER (energy efficiency ratio), defined as in
Equation 3 but with Qc in Btulhr and W. in watts. In the overview that
follows, the case of heating is considered. However, for economy, most heat
pumps in the continental United States are designed to operate in both
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heating and cooling modes-permitting heating and air conditioning with

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the same equipment.

The process of transferring thermal energy from the source to the sink
calls, in the basic designs, for a fluid to flow in a circuit, passing through one
heat exchanger that receives heat from the cooler heat source, and a second
heat exchanger that rejects heat to the warmer region. Although air cycles
are not unusual (see e.g. 1, 2), the great majority of traditional designs call
for the use of a refrigerant. The refrigerant in condensing rejects heat, and in

T.
1

..... - .....
/ "
I \
I \
W l
s � I
,
\
\ I
\ /
"-
- /'

T
a

Figure 1 Energy exchanges.

 HEAT PUMPS 449
evaporating absorbs heat. This is because the enthalpy of a liquid is much
lower than that of a vapor; hence, heat is required to change phase from
liquid to vapor. (The enthalpy is a measure of the internal and flow energies
of the refrigerant.) The heat exchanger in which the evaporation occurs is
called the evaporator; that in which the condensation occurs is called the
condenser. The indoor coil of a heat pump, while operating in the heating
mode, is the condenser. While operating in the cooling mode, it becomes the
evaporator.
Comfort requires that for space heating the temperature of the air
supplied to the indoors be not much more than 40°C or so. Thus,
condensing temperatures on the order of 50°C are required. On the other
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hand, the evaporator should be at a temperature lower than the ambient

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temperature (to permit transfer of thermal energy from the outdoor

ambient to the refrigerant to be boiled). Evaporator temperatures on the
order ofO°C would thus be expected. The most common refrigerant used in
heat pumps is R22.lts saturation pressures atO°C and 50°C are on the order
of 0.5 and 2 MPa respectively (Pa pascal). It is obvious that the
=

refrigerant in the condenser should be at a higher pressure than that in the

evaporator. A compressor is therefore an important component in the cycle
to maintain the refrigerant flowing while increasing its pressure. The high­
pressure refrigerant, when leaving the compressor, is routed to the
condensing coil. The thermal energy released in the condenser then causes
the refrigerant to liquefy. Under the best operating conditions, the liquid
refrigerant leaving the condensing coil is slightly subcooled. In order to
have its pressure lowered to that desired in the evaporator coil, a throttling
device is required downstream of the condenser. This may be a passive
device (such as a capillary tube, or an orifice) or an active device (such as a
valve actuated by a sensor of some refrigerant property some place in the
cycle). The decrease in evaporator pressure should be such that the
refrigerant leaving the evaporator is fully evaporated, preferably with some
5°C to lOoC of superheat. This requirement has two reasons: (a) to ensure
that liquid does not flow to the compressor, causing mechanical damage;
and (b) to utilize fully the evaporator itself.
The type of cycle described is called a vapor compression cycle-the most
common cycle used in heat pumps. The four basic components are
compressor, condenser, throttling device (expansion valve), and evaporator
(Figure 2).
Additional components may be used in specific designs, e.g., in many
instances, an accumulator. Placed upstream of the compressor, it is
designed to trap any liquid refrigerant, preventing it from being sucked up
by the compressor. As already noted most heat pumps are designed to
operate in both heating and cooling modes. (Heating-only heat pumps are
 450 GOLDSCHMIDT

common in Northern Europe and Canada and other areas where comfort
cooling is not required.) Heat pumps designed to operate in either mode
accomplish this through the use of a reversing valve. The valve directs the
high-pressure refrigerant to the indoor coil when in the heating mode, and
reverses the flow of the refrigerant and the role of the heat exchangers when
in the cooling mode. Figure 3 shows in more detail a typical layout.
As noted, the throttling devices may be either active or passive. The
active devices generally are designed to sense the temperature of the
superheated vapor (downstream of the evaporator) or of the subcooled
liquid (downstream of the condenser). The advantage of thermostatic valves
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3 Condenser 2

Expansion
Valve

Evaporator
4

Qc
Figure 2 Vapor compression cycle.
 HEAT PUMPS 451
Outdoor Finned -Coil
Heat Exchanger Reversing Valve
Indoor Finned - Coi I

¢:J
Outdoor
/'----.
Air ....,...

Sealed Unit Motor

Compressor
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-
Check Valve

Subcooling Control Valve Capi Ilary Tube

c::::=:J Gas, high pressure
_ Liquid, high pressure
"':'-"''-;'''-1 Vapor, low pressure
''''--='4 Liquid - Vapor, low pressure

Figure 3 Heat pump heating mode.

of this type is that they control the mass flow rate of refrigerant to provide
adequate superheating or subcooling. For source or sink temperatures
exhibiting large variations, a thermostatic valve or a similar active
throttling device is desirable. Ambient winter temperatures generally
exhibit much larger variations than ambient summer temperatures. It is
therefore quite customary to have an active throttling device controlling the
heating mode but simple capillary tubes for the cooling mode. Figure 3
shows a thermostatic valve sensing the subcooling. If the sensed tempera­
ture is higher than specified (by a set point) the valve is activated to decrease
the refrigerant flow rate. This reduction, owing to the increased residence
time of the refrigerant in the heat exchanger, tends to remove heat from the
refrigerant, bringing it closer to the desired conditions. Figure 3 shows that
when the heat pump is operated in the cooling mode the control valve
would be fully closed, forcing the high-pressure refrigerant now coming
from the outdoor coil to flow through the capillary tube and lowering its
pressure before it flows into the indoor coil.
The vapor compression cycle, while the most common, is not the only
one used. For a general discussion of heat pumps, see (3-8).

HISTORY

The increased use of heat pumps and interest in them have led to the general
impression of heat pumps as a somewhat novel invention resulting from the
 452 GOLDSCHMIDT

energy crisis of the 1970s. Evidence of their increased use is in the number of
shipments. For example, 56,519 residential air-to-air heat pumps were
shipped in September 1983, 121.9% more than the preceding year (9). The
increase has been steady and almost monotonic since the early 1950s.
Shipments slightly decreased in the mid-to-Iate 1960s, precipitated by a
temporary problem the industry developed owing to failure and lack of
reliability. Sales also notably and temporarily decreased in 1980, a decrease
directly attributable to the recession and the fall in new housing starts. The
industry now holds a strong position, and nearly one quarter of the heating
systems installed in new residential and small commercial buildings are
heat pumps. The United States has approximately 70 manufacturers, of
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whom about 7 account for over 80% of all sales.

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The problems of failure and lack of reliability of earlier systems were due
primarily to failure of the compressors-in most cases to liquid refrigerant
returning to them. Most of these problems were due to one of three causes:
(a) poor design (many early designs were simply reversed air conditioners
not accounting for the dramatic temperature variations seen by the
evaporator), (b) failing defrost sensors (so that ice forming on the outdoor
coil did not melt, thus blocking heat transfer and causing liquid refrigerant
to leave the evaporator in a liquid state), or (c) improper charging in the field
due to untrained or inexperienced personnel. While the third may remain
an isolated problem, the major manufacturers appear to have practically
eliminated the first two problems (10).
The first proposal of a heat pump may have been by Thomson (later to be
Lord Kelvin) in 1852 (11). His proposal was actually for an air system that
did not function in a closed cycle. It did, however, open the door to the
concept of a vapor compression cycle. The development of a heat pump was
to await the design and improvement of refrigeration cycles. Krauss (12)
and later Morley (13) extended the thoughts of Lord Kelvin and analyzed
the potential for heat pumps. Haldane (14) was probably the first to
produce a graph of expected COP versus outside temperature, but he didn't
stop there; he constructed an experimental unit to heat his own home in
Scotland. The system was hydronic (hot-water distribution) and used both
outdoor air and city water as heat sources.
The first large-scale heat pump application may have been by Southern
California Edison. Doolittle (15) describes the system, which used refriger­
ation equipment. A number of systems followed in Switzerland during the
war years of 1938 to 1945. These included heating of the Swiss Council Hall
and a swimming pool, providing process heat for a silk mill, and other
applications. While river and waste water were common heat sources,
instances in which air sources, as well as the fermentation cellar of a
brewery, were used are recorded (4). Sumner (16) describes what may have
 HEAT PUMPS 453
been the first major installation in the United Kingdom. It heated a group
of office buildings in Norwich. The system was water-tci-water with an
estimated COP of 3.0. Montagnon & Ruckley (17) describe a heat pump
system designed for the Royal Festival Hall in London in 1949. The source
was the Thames River and the drive was by gas-driven aircraft engines.
Unfortunately, the output of the heat pump was altogether too high for the
demands of the Festival Hall (especially when occupied) and the system,
despite a number of interesting design features, was never well received.
Incidentally, the longest-running residential system may be that also
designed by Sumner (18) and installed in his own home. Designed in 1950 as
a ground-source heat pump, it was used to heat water for a residential
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hydronic system. A mean COP of 2.8 is attributed to this system.

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Heat pump applications have increased world wide since the late 1960s
and the early 1970s, notably in Japan (19), as well as in the United States,
France, and other parts of the Western world. Heat pumps are now
recognized as a practical and economical alternative for heating buildings
(8).

THERMODYNAMIC ASPECTS

Thermodynamics is governed by laws of thermal equilibrium, conservation

of mass and energy, and directions of exchanges of energy. The last accounts
for effects of irreversibility in certain processes. In accounting for these
effects of irreversibility a property called entropy is defined. An irreversible
adiabatic (i.e. no heat transfer) process would be isentropic-having
constant entropy. An idealized compressor would compress the fluid
without frictional losses or thermal energy losses; it would achieve this
compression isentropically. An actual compressor has mechanical friction
and exchanges heat with its surroundings; the compression is thus
accompanied by an increase in entropy.
The vapor compression cycle is related to an idealized cycle called the
Carnot cycle. The four processes in it would be isentropic compression,
constant-temperature heat transfer to a high-temperature sink at Th,
isentropic expansion, and constant-temperature heat gain from a source at
a temperature 7;,. The COP for this idealized cycle is given by
COP Carnot = 'Ib/(Th T.,),
- 4.
where the temperatures are given as absolute temperatures. The Carnot
COP becomes in essence a standard or upper bound for the idealized COP
reachable by a vapor compression cycle. The ambient temperature, Th, is
essentially constant while the value of 7;, is, of course, weather dependent. It
is apparent then that as 7;, decreases so does the COP.
 454 GOLDSCHMIDT

An idealized vapor compression cycle is shown in Figure 4. It is

represented on a pressure-enthalpy diagram (also called a Mollier chart).
(The enthalpy is the sum of the internal energy and the "flow energy" of the
refrigerant.) The saturation lines (shown in bold) indicate the locus of points
on the thermodynamic space where the refrigerant changes phase (from
liquid to two phase and from two phase to vapor and vice versa). As shown,
the compressor is assumed to be isentropic and the heat exchangers are
treated as having no pressure drops. The work of compression is given by
the difference in the enthalpies at states 2 and 1, while the heat transferred to
the indoors (via the condenser) is given by the difference in enthalpies at
states 2 and 3. A casual review of Figure 4 would clearly exhibit the drop in
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COP due to decreases of 7;" as well as the dependence on 1(,. The throttling
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device, between states 3 and 4, lowers the pressure and brings about a
change in the refrigerant to a two-phase state. The process is essentially at
constant enthalpy.
In actual vapor compression cycles, the refrigerant entering the com­
pressor is slightly superheated, while that leaving the condenser is generally
slightly subcooled. The heat exchangers also exhibit a slight pressure drop,
while the actual work of compression is higher than the isentropic value of
the idealized cycle. This leads to the definition of a compressor isentropic
efficiency, by which the actual and isentropic work terms are compared. In
either case, the idealized or actual cycles, plots on the pressure-enthalpy
diagram become useful analytical tools.
The major limitation in the performance of heat pumps becomes the size
of the heat exchangers. Attainment of the Carnot COP would require

compression

(superheated)

Enthal py h
Figure 4 Idealized vapor compression cycle.
 HEAT PUMPS 455

infinite heat transfer surfaces (with infinitesimal temperature gradients).

The size of the heat exchangers is related to installation spatial limitations,
cost of materials, and shipping constraints. To enhance heat transfer and to
drive the air distribution system in air-to-air-type heat pumps, blowers are
used with the outdoor and indoor coils. The energy used to drive these
blowers (or pumps in the case of water-to-air, air-to-water, or water-to­
water systems) must be accounted for in computing system COP. The
system COP is then defined as
COP = thermal energy delivered/total energy input. 5.
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CLASSIFICATION
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Heat pump systems can be described as being air source, water source, or
ground coupled, according to the source of heat derived by the evaporator
coil. Furthermore, the heat pumps may be used to heat air, as in a forced-air
distribution system, or water (either for service water heating or for
hydronic space heating). Thus, heat pumps are referred to as air-to-air, air­
to-water, ground-to-water, etc. The source itself, whether air, water, or
ground, may in turn be a receiver of thermal energy from some industrial or
waste process (in the form of waste heat or heat recovery) or even from
radiant energy from the sun (solar assisted).
The relative merits of air-, ground- and water-source heat pumps are
essentially the following. Air-source heat pumps are easier to install and
maintain and have a lower first cost. Ground- and water-source heat pumps
are not subject to the large variations in source temperature seen by most
air-source systems. The relative constancy in the source temperature
permits optimization of the design and, generally, achievement of higher
seasonal efficiencies.
Regarding application, heat pumps generally fall into one of three types:
room, unitary, and field erected (or applied). Room-type units are usually
single-package units serving single limited zones and mounted through
walls. The unitary types may be central one-zone or multizone systems, or
may be classified as single-package or split systems. The single-package
units have the condenser, evaporator, and compressor in one package,
while the split systems generally have the outdoor coil and compressor in
one package and the indoor coil in another. The field-erected (built-up or
applied) systems have individual components selected to meet particular
designs. Generally they are used exclusively in buildings with large loads
and other nonresidential applications. Most of the discussion that follows
considers air-to-air unitary-type systems, which are by far the most
prevalent and of most general interest.
 456 GOLDSCHMIDT

COMPONENTS AND CONTROLS

Compressors
Figure 5 sketches the various compressor types. A high pressure difference
for a moderate refrigerant flow rate at a high efficiency is called for. Positive­
displacement compressors are the most commonly used. Among them the
reciporcating compressor is the most prevalent, primarily in systems with
capacities in the range of 1.5 to 350 kW (0.5 to 100 tons). (The capacity of
compressors is usually given in terms of the evaporator cooling capacity.
Cooling capacities are sometimes given in tons; this is historical and related
to the weight of ice generated.) For a general discussion of compressors, see
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(7, ch. 12).

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Compressors are referred to as "open" or "hermetic." Open compressors

have a drive shaft emerging from the casing containing the refrigerant.
Hermetic compressors have the motor within the casing, eliminating the
need for seals and providing motor cooling by the refrigerant. Semi­
hermetic compressors permit access via bolted casings, while fully hermetic
compressors have welded casings. Unitary heat pumps use hermetic
compressors, while larger applied (field-erected) systems might tend to use

Reciprocating Rotary Vane . Wankel

Screw Turbine Centrifugal

Compressor Types
Figure 5 Compressor types.
 HEAT PUMPS 457
open compressors. (Applied systems, unlike unitary systems, are erected in
the field with separate subcomponents.)
Centrifugal and turbine compressors are usually used in place of positive­
displacement compressors for very high capacity systems. Rotary vane
compressors are usually most suited for applications of less than 5 kW.
Compared with reciprocating compressors they have the advantages of not
needing valves, and a generally easier introduction of the lubricating oil. As
a result they seem to be more robust and capable of withstanding "slugging"
(i.e. the input of saturated refrigerant and droplets).
Screw compressors are also capable of withstanding some slugging.
However, in the 1960s they lost some favor in the industry, partly because of
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problems related to loss of lubrication and too large clearances in smaller

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units. Screw compressors appear to be regaining acceptability in

residential-type units, never having lost it in applied systems.

Heat Exchangers
Air-to-refrigerant (or air-to-water) heat exchangers are usually finned-tube
units with the air driven by blowers. Water-to-refrigerant (or water-to­
water) heat exchangers are normally of the shell-and-tube type. The
geometry of the heat exchanger and circuiting, and size, are crucial
parameters in the design of a system (see also 7, ch. 16).

Controls
The refrigerant flow may be controlled by the use of a thermostatic
expansion valve, designed to maintain a certain amount of superheat (see 7,
ch. 20). Also, as noted earlier, flow control may be based on the conditions
at the outlet of the condensor, thus providing a drained condensor and a
flooded evaporator. Although a simple capillary tube could take the place
of a thermal expansion valve, owing to the wide range of operating
temperatures of air-source heat pumps it would tend to cause liquid
floodback to the compressor. Accumulators or charge-control devices are
sometimes added to minimize the likelihood of floodback. Detailed models
and analyses of capillary tubes as throttling devices are given in (20-22);
thermostatic valves are discussed in (23-25).
The operation of the heat pump itself is controlled by a thermostat; most
residential systems have simple on-off controls such as those used in
conventional heating systems. More sophisticated controls are already
available, and will become more popular to the extent that they reduce
energy consumption. These may use logic based on outside conditions and
their rates of changes as well as occupancy patterns. Even conventional
thermostats differ for cooling and heating controls because of the manner in
which their anticipators are connected. In the cooling mode the anticipator
 458 GOLDSCHMIDT

provides heating to the thermostat element while the demand is off. The
reverse is true for heating; there the anticipator is on only while the demand
is on. For a detailed analysis of the effect of the anticipator see (26); models
for thermostats are given in (27-29).
Air-source heat pumps, when operating at outside air temperatures
around O°C, tend to experience condensation and frost formation on their
outside coils. The formation of frost actually depends on the moisture
content of the outside air, as well as the dew-point temperature reached at
the coil surface. Field testing of frosting is reported in (30-32), and O'Neal
(33) analyzed the phenomena by simulating it under laboratory conditions.
Too much frost inhibits heat transfer, and thus degrades performance.
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Controls are called for to bring about defrosting once it occurs or is sensed.
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Defrosting is accomplished through either timed or demand defrost (34).

In the first case a defrosting cycle is triggered by a clock, set to begin
running at a certain outside temperature (35). In the second case defrosting
is initiated when some sensed characteristic indicates the presence of frost.
Typical sensed characteristics are (a) air-side pressure drop across the coil,
(b) increased coil-to-air temperature difference, or (e) increased fan power.
Although numerous schemes have been proposed at different times,
reliability has become the primary concern. From this point of view, timed
defrost, conditioned by outdoor temperature, frequently appears pre­
ferable. Defrosting, for air temperatures above freezing, may indeed be
accomplished simply by allowing the air to melt the frost; this is called off­
cycle air defrost. At lower temperatures a more positive method may be
called for, such as the use of the hot refrigerant gas itself or direct electric
heating. Refrigerant gas defrost is quite common and is usually ac­
complished by reversing the flow of the refrigerant-in essence putting the
heat pump in a cooling mode, or alternatively (as in heat pumps for heating
only) by opening a condenser by-pass line and diverting hot gas from the
compressor directly to the outside coil. Obviously, it is best to stop the air
circulation over the coil while the defrost cycle is needed.
Reversing valves are important control devices for heat pumps using
reversed gas flow for defrosting and/or systems designed for both heating
and cooling modes of operation. While reversing valves may cause some
slight drops in performance due to the possible heat transfer and leakage of
refrigerant from the high to the low pressure side, these losses are in many
cases quite small (e.g. 36-38).
Different types of controls, some of them proprietary, have been
developing in recent years. The driving forces of energy conservation
awareness in the marketplace and the economical nature of micropro­
cessors have led to options such as nighttime setback (i.e. shutting off the
 REA T PUMPS 459
systems during nighttime or other no-demand periods), delayed start of the
blower, and prime mover variable speed, among others.
Even the simplest types of heat pumps have safety control devices to
minimize failure. Compressors fail easily upon refrigerant loss or blockage,
or upon failure of a fan or pump (which may result in overheating or
saturation of the refrigerant). Thus, cut-out sensors responding to high
temperature (or alternatively high current in the compressor motor
windings) and/or high discharge pressure are almost universal, and low­
pressure cut-out sensors to sense out-of-design drops in the suction line
pressure are quite common.
It has been noted that the heating capacities of heat pumps drop
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markedly with outside temperature. In most installations this implies that

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supplementary heat may have to be called for when outside temperatures

drop enough to make the capacity too low, or even earlier, at that
temperature where the COP has dropped to such a low level that the heat
pump is no longer cost effective. This supplementary heat may be from
resistance heating or combustion heating. Controls must be provided to
sense the outdoor temperature (or the heat pump performance) and call for
supplementary heat as the need arises.

PERFORMANCE AND STANDARDS

The three major concerns in analyzing the performance of a heat pump are
(a) system capacity and COP (at different operating conditions), (b)
matching of building design load to system capacity, and (c) operating
conditions. The third is almost always characterized exclusively by the
outside dry-bulb temperature.
Other parameters affecting performance include variables imposed by
the occupants, effects due to cycling of the equipment on and off, and the
effects of frosting and defrosting.
The system capacity and COP are essentially functions of outside
temperature, both decreasing almost linearly without outside dry-bulb
temperature. Rating points have been selected by the industry for
determining the COP and heating capacity. These rating points are as
follows: indoor, 21.1°C; outdoor; 8.3°C and - 8.3°C.
Similarly, rating points of 27.8°C and 35°C outdoors with 26.7°C indoors
have been selected for cooling performance. However, this review considers
only the heating mode. For details on cooling-mode performance see, for
instance, (39).
The building load depends primarily on the outside temperature. It is
also influenced by solar radiation, wind (as it affects the infiltration
 460 GOLDSCHMIDT

component of the load), occupancy patterns, and internal loads. For the
purposes of analysis it is generally assumed that at an outside temperature
on the order of 18.3°C the internal heat gains (such as those from lights,
people, and processes) and solar gains provide the internal comfort
conditions required. This temperature, at which the heating demand just
starts, is called the changeover point. As the outside temperature drops, the
heating required for maintaining comfort in the building increases essen­
tially linearly with temperature. Different geographical locations have
definite winter temperatures that are encountered with average prob�
abilities. The specific temperature that is equaled or exceeded 97.5% of the
time is taken as the winter design temperature. The building design load is
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thus the load at the design temperature. Knowing the design load and the
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changeover point (taken as 18.3°C if not otherwise known), one can plot the
building load as a function of temperature.
The COP drops with outside temperature. It is apparent that operating
the heat pump at outside temperatures at which the overall COP is less than
unity is not economical. Even simple resistance heating performs better in
such cases, since its COP is unity. The efficiency of noncondensing furnaces
is on the order of 60%, while those of condensing furnaces and more advanced
designs could be closer to 90%. The operating and rating efficiencies of
combustion systems differ considerably owing in part to the thermal lags in
these systems (see e.g. 40). However, in most US localities the price per
therm of natural gas is lower than that of electricity. Heat pumps, with
combustion-fired back-up or supplementary systems may then call for
switching from heat pump to back-up heating at other than the point at
which their COP becomes unity. In most cases it is practical to expect that
the controls might call for supplementary heat at outside temperatures at
which the heat pump capacity matches the load and final shut ofT of the heat
pump when its cost of operation becomes more than that of the back-up or
supplementary heat source.
The outside temperature at which the heat pump capacity is matched by
the load and below which supplementary or auxiliary heat is needed is
called the balance point. Conventional air-to-air heat pumps are generally
designed to provide both cooling and heating. Design practice is to size
them according to the cooling load (to provide proper dehumidification).
This usually leaves them undersized for the heating requirements, and
balance points in the order of 2°C to 7°C are common (41). It is not
-

uncommon that in locations ranging from South Carolina to Minnesota

about 30% of the total heating over a season (in residential-type appli­
cations) is derived from supplementary heating. This percentage is usually
lower in commercial buildings.
 HEAT PUMPS 461
The weather is almost exclusively characterized by the outside dry-bulb
temperature. While an estimate of the annual consumption of energy for
heating could be obtained from the total annual number of heating degree
days, this would not fully take into account the dependence of COP on
outside temperature. (Total degree days is the sum over the year of the
difference between 18.3°C and the mean daily temperature, for each day
with a mean daily temperature below 18.3°C). What is usually done (short
of an hourly analysis with a computer model) is to consider the number of
hours per year during which the outside temperature is expected to be
within a certain interval. These intervals are called bins and are usually
recorded for ranges of 5°F and characterized by the mean temperature
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

within the bin. The "bin method" consists of determining instantaneous

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energy calculations at each of these bin temperatures and weighting each

result by the number of hours per year of occurrence of temperatures within
that bin. [Sources for the weather data are (42) and its references in chapter
24.] Estimates of yearly consumption by the bin method are quite
acceptable, especially when the other uncertainties in predictions related to
unavoidable weather variations from year to year and usually un­
controllable occupancy patterns are noted. A seasonal COP, or what is
referred to as a heating seasonal performance factor (HSPF), can then be
defined simply as the ratio of the heating delivered by the system over the
year to the energy supplied to deliver it (including all fans, supplementary
heat source, and controls). The use of the steady-state data and expected
weather distribution are not improper methods of estimating seasonal
performance factors [for performance predictions see also (43, 44)J.
One important distinction is imperative: The performance factor for the
heat pump unit itself, based on its delivery, may be substantially different
from that based on the actual heating delivered to the building. There may
be considerable duct losses (in forced air systems, for instance) and other
thermal losses that lead to overall performance factors quite low compared
to those based on the equipment itself (see e.g. 45). Furthermore, the
performance of heat pumps depends on the return air (or other used
medium) conditions. This means that operation at return temperatures
different from the rating conditions will cause performance to differ
considerably from that otherwise predicted (see e.g. 41).
Performance and testing standards for applied (field-erected) systems are
not as developed as those for unitary systems. The US Department of
Energy (DOE) promulgated in the late 1970s rather detailed standards for
determining the seasonal performance of unitary-type heat pumps (46, 47).
These standards define the methods of testing and analysis used to
determine the HSPFs for the units. The method is designed to account for
 462 GOLDSCHMIDT

frosting and defrosting effects as well as the cyclic transient effects. While
there have been some critical evaluations ofthe test procedure, partly owing
to the additional test burden placed on manufacturers, the use of the HSPF
is now broadly accepted in the industry. As it was intended primarily to
permit comparison between units, it does not fully take into account aspects
such as (a) return conditions to the condenser at other than 21.1°C (i.e. the
rating point), (b) differing matches of building load to heap pump capacity,
or (c) inherent losses in the transfer of thermal energy from the heat pump to
the indoor space.
Cyclic losses are accounted for by a degradation coefficient (48). This
coefficient is defined after postulating a linear relationship between the part
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

load factor subtracted from one and the heating load factor (also subtracted
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from one). It is actually the ratio between the two. The heating load factor is
the ratio of the total heating delivered at the called for conditions over a
defined on-time divided by the heating that would have been delivered had
the equipment been operating without shutting off over a defined cycle
time. (The test on and cycle times are defined as 6 and 30 minutes
respectively.) The part load factor, on the other hand, is defined as the ratio
of the average COP over a fixed on-time divided by the steady-state COP at
the end of that on-time. The heating load factors under the test procedure
are obviously close to 0.2, while the part load factors are in the order of 0.9.
Typical values of the degradation coefficient, CD, are thus on the order of
0.125. The test procedure calls for steady-state and cyclic testing at one set
of outdoor conditions (to determine the degradation coefficient), as well as
steady-state testing at two sets of outdoor dry-bulb conditions (to
determine the dependence of capacity and COP on outdoor dry-bulb
temperature).
Frosting and defrosting effects are also accounted for in the test
procedure. The energy required to bring about defrosting is measured
under specified conditions, and is then accounted for in the final estimate of
HSPF. That estimate is given by

I � BL(Tj)
HSPF 6.
I nj H
=

o (T)E(T)+ I R (1j)
X(1j) ,

N PLF(X) J J N
where nj is the number of hours with a temperature in the 1j bin, and N is the
sum of all nj.
18.3-1j
BL(Tj) = xCxDHR. 7.
18.3-ToD
 REAT PUMPS 463
C is an experience factor of 0.77, TOD the outside design temperature and
DHR the design heating requirement.
BL(Tj)
X( Tj.) - 8.
_

Q(Tj)
or unity, whichever is smaller.
PLF � 1-CD[1-X(Tj)]. 9.
J(Tj) is a heat pump low-temperature cut-out factor, generally with values
of 0 or 1 if Tj is below or above that low-temperature cut-off and
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

RH(1j) = nj [BL(Tj)- Q(1j)X(1j) J(Tj)]. 10.

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Q(1j) and E(1j) are the capacity and power determined at 1j from a linear fit
to the test data. The test data consist of steady-state values at 8.3°C and
-8.3°C and defrost values for the defrost test called for at 1.7°C. The
corresponding expressions are as follows:

+ [ QsS(S.3)-QsS(-S.3a [Tj-(- 8.3)]

Q. 88(-8.3) 16.7
'

Q(Tj) = 11.
+ [ QDEF(1.7)-QsS(S.3)] [Tj-( -8.3)]
Q. 88(-8.3)
10.0

-8.3°C < Tj < 7.2°C.

. [ESS(S.3)-Ess(-S.3)] [Tj-(-8.3)]
£SS(-8.3)+
16.7
1j 2:: 7.2cC or Tj :s; -8.3°C
E(1j) = 12.
. [EDEF(1.7) -ESS(-S.3)] [Tj -( - 8.3)]
£SS(-S.3)+ 10.0
'

- 8.3°C < Tj < 7.2° C .

In the above equations linear dependences between capacity and outside

temperature and between power and outside temperature are assumed. In
addition, frosting is assumed to occur only between 17°F (- 8.3°C) and
45°F (7.2°C) and to contribute a linear correction term. These assumptions,
suggested in the method of testing with the worthy objective of simplifi­
cation, may of course be restricted because of the relatively limited data
 464 GOLDSCHMIDT

base on which they were based. Studies by Hart (30), for example, although
showing defrost events in a similar range of -4°C to 4°C, found the effect
on energy consumption to be somewhat lower than the test procedure
assumes and dependent on outside relative humidity as well as temperature.
Although the trend in the US government in the early to mid-1980s was
away from federal minimum performance standards, trade and professional
societies, such as the Air-Conditioning and Refrigeration Institute (ARI)
and the American Society of Heating, Refrigerating, and Air-Conditioning
Engineers (ASHRAE), have been instrumental in defining a series of
standards from which testing, rating, and performance levels can be
identified (49-51).
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RESEARCH

Research activities related to heat pump systems and components have

received many different stimuli.

Sources
The interest in solar energy of the mid-to-Iate-1970s led to a number of
research programs on solar-assisted heat pump systems, among them
Freeman et al (52). These programs led to studies implementing earth­
coupled systems (53-61) and sparked a growing concern with the applic­
ability of these system as well as water-source systems (62-64). Shelton (65)
presents a rather detailed study of a natural gas engine-driven heat pump,
analyzed by Patani & Bonne (66). This heat pump provides an alternative
source that is less dependent on electricity . The absorption type heat pump
is reviewed in (67-69). Examples of use of waste heat as a source are given in
(70-72), including an absorption system (72).

Cycling and Frosting Effects

A casual review of the available literature does not lead to a conclusive
estimate of the effects of cycling on seasonal performance factors. For that
matter, there is some controversy over the impact of cycling losses on
overall performance. For example, field data are reported from which a
degradation coefficient of 0.16 was inferred (73). The seasonal losses are not
quantified, but it is suggested that they may have been substantial.
Similarly, Wildin and co-workers (74, 75) base an analysis on field data and
conclude that cycling could reduce performance by as much as 17%, while
Kelly & Bean (76), also using field data, suggest losses in seasonal
performance (combining cycling losses and frosting) of about 19%. In a
similar manner, a later study (77) claimed seasonal losses of about 29% (also
 HEAT PUMPS 465
combining effects of cycling and frosting). Bullock & Reedy (78), however,
predicted only about 5% loss due to cycling in the heating mode and
roughly 10% in the cooling mode. Goldschmidt (79), based on data from
(80-83), concludes that although the cyclic losses over the heating season
may be higher, they generally do not exceed much more than 5% with other
effects dominating. Further detailed field data are obviously needed.
The work reported in (84) suggested that the major causes of cyclic losses
are (a) the time to flood the throttling device upon start-up, and (b) the time
either to boil off or to purge out the refrigerant in a liquid state that has
migrated to the evaporator coil during the off-time. To some extent a
detailed analysis of the effect of different components on cyclic degradation
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

is needed. Murphy (85) and, earlier, Dahr & Soedel (86) developed partial
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mathematical predictions of the dynamics of start-up and shutdown.

Further research is needed and is partly underway. The type of throttling
device, the volume in the lines and accumulator, the circuiting in the outside
coil, and the refrigerant control during the shutoff time are all expected to
have major effects on cyclic degradation. We should study these effects both
theoretically and empirically in order to best understand the effects of
cycling on performance.
Seasonal performance depends not only on heat pump design charac­
teristics, but also on weather and duty cycle (i.e. matching of building load
to heat pump capacity). Long on-times, on the order of 15 min or more,
could make cyclic losses insignificant compared with other operating
uncertainties. The balance point (i.e. matching between building load and
heat pump capacity) will thus have a major effect on the HSPF. This
dependence on balance point itself (as well as building dynamics) is partly
addressed in (41). In addition to balance point, the duty cycle and ambient
conditions will affect the HSPF. Awareness of the dependence on duty cycle
will implicitly define the dependence on balance point and on thermostat
characteristics (see e.g. 26).
Under certain operating conditions an air-source heat pump operating
in the heating mode experiences frost formation on the outdoor coil.
Although frosting in the early stages can increase efficiency, in general frost
formation and removal lowers overall efficiency.
A casual review of published literature does not lead to a conclusive
estimate of the effects of frosting and defrosting on HSPFs. The field data
themselves are contradictory. For example, Baxter et al (77) report field
data (going beyond that of 76), from which degradation (due to both cycling
and frosting) is estimated to be on the order of 29%, and claim these losses
could exceed 40% during the spring months. On the other hand, field data
in (74, 75) suggest losses due to defrosting of only 2% to 5%; for one
 466 GOLDSCHMIDT

particular installation the seasonal losses due to frosting effects were under
3% (76), and field data for four different installations (87, 88) indicate that
the energy used for defrost accounted only for 4% to 9% of the total energy
used, with about 2/3 of that not being a penalty.
Semi-empirical predictions of the effect of defrosting are also con­
tradictory. For example, Rettberg (89) (following 90) predicts defrost
seasonal effects of only 2% to 4% for demand defrost and 9% to 16% for
timed defrost. [The merits of demand versus timed defrost are further
presented in (91).] Bonne et al (92) propose little dependence of seasonal
performance on the way defrosting is initiated, and Merrill (93) shows small
differences between demand and timed defrost (for a particular case). There
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

may be some doubt as to the DOE test procedure's ability to predict actual
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frosting and defrosting effects properly (94, 95); in comparison, therefore, it

must be applied with care.
A consensus exists at least that for long periods of frosting, performance
will fall. Laboratory data (96-100) clearly demonstrate this phenomenon.
A casual review of the literature does not lead to a definitive estimate of
the effects of frosting and defrosting on the HSPF; it is thus logical to expect
that even an in-depth review would not provide a universal method of
predicting the effects of different operating and design conditions on the
HSPF (although it would undoubtedly suggest methodologies for doing
so). The type of controls might affect the decrease in the HSPF attributed to
frosting and defrosting. It is also logical to expect that over the season
demand defrost will generally be more efficient than timed defrost, while in
some cases not as reliable. The optimal time between defrost events (as well
as the optimal duration of the defrost cycle itself) will depend on operating
as well as design parameters (such as type of heat exchanger).
The open literature on the mechanisms of frosting is quite extensive­
most of it empirical. An extensive "state of the art" paper was prepared by
Leidenfrost (101). Other relevant contributions include (102-104).

Components and Designs

Considerable research (lOS, 106) has continuously been in progress on
components such as compressors [see the many proceedings of the Purdue
Conferences Short Courses (e.g. 107, 108)], reversing valves (e.g. 37),
throttling devices (21), capillary. tubes (20, 109), and thermal expansion
valves (24, 25), as well as heat-exchanger configurations (110, 111) and
charge-control devices (112, 113). A lot of this work is understandably
proprietary, and not in the open literature.
Areas of growing interest are related to control of the refrigerant charge,
control of the refrigerant migration during the off-cycle, limitation of
 HEAT PUMPS 467
slugging to the compressor, intelligent throttling devices, variable-capacity
systems (114-116), and point-of-use systems. Interest in these areas is
expected to grow in future years.

Modeling
The interest in performing building energy-use analyses has called for the
development of computer programs in which the performance of the
equipment is implicit. Even before this, major manufacturers found that
proper mathematical modeling of the heat pump system and components
permitted product design and improvement. Many of these programs are
currently in use by the private sector. Recently, however, a few programs
Annu. Rev. Energy. 1984.9:447-472. Downloaded from www.annualreviews.org

that mathematically model the performance of heat pumps have been either
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reported or referred to in the open literature (e.g. 81, 86, 117, 121).

Interaction with the Building

Systems in buildings with large thermal masses or using undersized
equipment will exhibit longer on-times than equivalent systems serving
lower thermal masses or using equipment that is not undersized. This will of
course affect the duty cycle of the heat pump and hence the HSPF.
Furthermore, considerable storage effects due to thermal mass may also
affect the overall energy consumption if the outside temperature goes above
the cross-over point in a somewhat periodic manner. From this point of
view the dynamics due to the interaction between the equipment and the
building could deserve some attention, primarily as related to control
opportunities (122). One area of growing concern is related to the transport
losses, measured by the ratio of delivered thermal energy to that energy
required to transport it (123).

CONCLUSIONS

Heat pumps have reached a level of maturity and acceptability as cost­

effective heating devices. They are applicable to both residential and
commercial buildings. The most common type uses air as the source of
thermal energy. Since their efficiencies and capacities decrease with outside
temperature they are usually designed to operate with auxiliary heating
sources.
Research is still needed for improved designs, more descriptive method­
ology, prediction of seasonal energy utilization, control strategies, and use
of thermal sources other than ambient air. The competitive nature of heat
pumps and their increased acceptability will drive some of these improve­
ments into the marketplace.
 468 GOLDSCHMIDT
ACKNOWLEDGMENTS
Students the author has had the privilege to work with and various
colleagues are acknowledged for their part in developing the basis from
which this review has grown. The patience of Jo Johnson in typing the final
manuscript also deserves special recognition.
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