A Hybrid Modeling for the Real-time Control and
Optimization of Compressors
Xudong Ding1,2, Lei Jia Wenjian Cai, Changyun Wen
1 2
School of Control Science and School of Electrical and Electronic
Engineering Engineering
Shandong University Nanyang Technological University
Jinan 250061, China Singapore 639798, Singapore
e-mail:xdding@ntu.edu.sg e-mail:ewjcai@ntu.edu.sg
Abstract—This paper proposes a hybrid compressor model
for the purpose control and optimization of vapor compression
systems. Unlike those existing models, this model is determined
by only the inlet and outlet conditions of compressor without
requiring detailed geometric specifications, and only the variables
responsible to the system performance, which can be measured
and controlled, are selected as the input/output (I/O) of the
models. The model is derived based on the concept of volumetric
efficiency and the assumption of a polytropic compression
process. The unknown empirical parameters of the model are
identified by the nonlinear least squares methods. The
effectiveness of the proposed model is validated by the
compressor catalogs data obtained from the manufactures.
Results show that the model is accurate and robust and gives a
better match to the real performances of compressors over the
entire operating range than the existing models. This model is
expected to have wide applications in real time control and
optimization of vapor compression systems.
Index Terms—Compressor, Hybrid model, I/O Selection,
Parameter identifications, Least squares methods.
I. INTRODUCTION
Compressors are widely employed in food processing,
chemical and air conditioning/refrigeration industries, but
consume large amounts of energy every year. A feature of
these systems operation is that the ambient temperature and the
thermal load from the heat source are likely to vary
considerably. This requires that the inlet and delivery pressures
for the compressor vary with the operation conditions to sustain
a sound condensing temperature at the condenser and a sound
evaporating temperature at the evaporator, respectively, so as to
improve energy efficiency of the systems. Since the
compressor is run by engine, it must operate under a wide
range of rotating speeds, affecting its refrigerating capacity.
Recent advances in variable-speed drive technology offer
tremendous opportunities for improving energy efficiency and
machine reliability in industry systems. The compressor speed
can be continually adjusted so as to modulate the heat
exchanger capacity to match the actual thermal load. As a
result, compressor capacity modulation becomes an essential
part of these systems operation. Hence, a simple, reliable, yet
accurate model which can predict the performance of operating
compressor is of significant importance for performance
simulation, optimization and control.
However, since the fact of this field is technologically and
production oriented, and strongly influenced by competition,
there are only a few published papers for compressor modeling.
978-1-4244-2800-7/09/$25.00 ©2009 IEEE 3256
Guiqing Zhang
School of Information and Electrical
Engineering
Shandong Jianzhu University
Jinan 250101, China
e-mail:qqzhang@sdjzu.edu.cn
In the open literatures, most of them are found in the
International Compressor Engineering Conference at Purdue,
and most of them are related to compressor performance,
internal leakage, multi staged designs, and scroll wrap designs.
Among the consulted studies, the models are divided into three
wide classes: black-box models, theoretical models and hybrid
models.
The black-box models [1-3] are typically represented by
some equations, which numerically relate the output of the
system of interest (e.g. cooling capacity or energy demand) to
the influential input (e.g. operating conditions). The required
output is the dependent variables and the input is the
independent variables of the mathematical function, which is to
be derived by curve-fitting the function to a set of known
output/input data. For the model development, there is less
emphasis on the theoretical derivation of equations and more
on the processing and manipulating of the plant data. This is
particularly beneficial when there is a lack of knowledge
required to form the equations and determine plant parameters
but there is an abundance of process data. Obviously,
application of such a model is subject to restrictions, e.g. it
cannot reflect the effects of any factors the influence of which
was omitted in the model derivation; and the predictions will be
unreliable when the model is applied to situations outside the
set of conditions based upon which is was derived.
The theoretical models are derived based on the physical
laws that govern the processes taking place in the system and
the state of the working substances within and crossing the
system boundary. Hiller and Glicksman [4] reported a detailed
compressor model of reciprocating compressors and compared
the simulation results with experimental data. Duffy [5]
developed a computer model of centrifugal compressor which
is capable of calculating the steady state operation of one or
several compressors operating in any combination of series and
parallel operation. Schein et al. [6] developed a computer
model in Visual Basic which predicts the power, capacity, and
efficiencies of a scroll compressor for given operating
conditions and scroll designs. Tian et al. [7,8] developed
mathematical models of variable displacement wobble plate
compressor and variable displacement swash plate compressor,
respectively. The models were obtained by combining with the
three sub-models of control mechanism, moving components
dynamics and compression process. There are merits and
limitation of using this approach. Since the predictions of such
models bear physical meaning, it is easier to detect modeling
errors, input errors (e.g. unrealistic boundary conditions) or
ICIEA 2009
problems with the number solution processes (e.g. divergence
in iterative calculations) by examining if the values of the
model outputs are reasonable or physically possible, which is
especially important to debugging of the model during the
development stage. However, for complex compressors, such
models can be rather complicated and often require input of a
large set of parameters for description of the physical
characteristics of the compressor. This, in turn, can limit their
application, as the required information can be difficult to
obtain.
The hybrid models (or named as semi-empirical models)
are obtained based on thermodynamic principles, but the
unknown parameters are identified using a large data base.
Popovic et al. [9] presented a semi-empirical model of the
positive displacement reciprocating compressor using this
method. The model needs data on pressure, temperature, mass
flow rates, at the compressor inlet and the outlet and power
input. The model took into account the energy transactions that
occur between compressor and its surroundings. Dagmar [10]
developed a similar model for the domestic refrigerator/freezer
compressor to reliably interpolate and/or extrapolate
experimental compressor data. The model can be used to
estimate the refrigerant mass flow rate and power using as few
as four experimental data points. Unfortunately, such models
are only suitable for the type of reciprocating compressor and a
universal model is lack.
The goal of this study is to find a model that can predict the
performance of a compressor (i.e. the mass flow rate or
capacity and the electrical power input) for a range of operating
conditions. The first step of modeling is to derive an
appropriate formulation from the energy and material balance,
and thermodynamic principles. After a mathematical
expression for the model has been determined, the unknown
parameters in the model equation can be evaluated by nonlinear
least squares methods in which attempt is made to minimize the
total error between the model predictions and the known
operating data. The merit of the model is that it takes
advantages of both physical and empirical modeling
approaches and can accurately predict performance in wide
operating range and in real-time, which can significantly
reduce the computational burden and increase the prediction
accuracy. The model is verified with the experimental data
taken from the compressor catalogs data obtained from the
manufactures. The results show that the model can achieve
accurate performance estimation over the entire operation
range.
II. THEORETICAL MODEL AND DESCRIPTION
A detailed thermodynamic model of a compressor is
extremely complex due to the inherently complicated structure
of the compressor and refrigerant flow pathways, along which
heat transfer and pressure vary substantially and rapidly. For
some applications (e.g. design of variable-speed drives) such
detailed modeling is necessary. However, our hypothesis is that
the requirements for optimization of operating compressor are
much less demanding, so a steady-state model which can
reflect the influence of the basic operating variables on the
compressor performance is enough.
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In the present study, to satisfy the requirements of the
actual engineering practice, only the variables that can easily be
measured and controlled are to be selected as the
Inputs/Outputs of the model, as illustrated in Figure 1. There
are four input variables to the compressor model: discharge
pressure, Pdisc , inlet temperature, Tin , suction pressure, Psuct ,
exit temperature, Tout , shell temperature, Tshell , and
compressor speed, RPM . The output variables from the
compressor model are mass flow rate, m , and compressor
power, Powerelec , respectively. Since we model the steady-
state compressor, the inlet mass flow rate and the outlet flow
rate are equal; namely, m  in = m out = m .
Pdisc
Psuct m out
Tout
m in
Powerelec
Tin Tshell
RPM
Fig. 1. Compressor conceptualization
The following is a simple description for the refrigerant
compression process of a reciprocating compressor. Refrigerant
vapor at low pressure and temperature enters the compressor
shell through suction line and is heated as it cools the motor
and other parts, and mixes with hot plenum gas along the
refrigerant suction path. After compression in the cylinder, high
temperature and pressure refrigerant gas discharges through a
muffler, rejecting heat to the plenum gas before exiting via the
discharge line.
The compressor model includes two more features related
to the capacity control in the real-time optimization application.
The first is related to mass flow rate evaluation; and the second
is related to the evaluation of the actual power input. In the
following section, we firstly develop the theoretical models of
compressors based on the concept of volumetric efficiency and
the assumption of a polytropic compression process.
A. The mass flow rate
The concept of the volumetric efficiency is widely used to
calculate the mass flow rate of a compressor [9]. The
volumetric efficiency ηv is defined as the mass of vapor that is
actually pumped divided by the mass of vapor that the
compressor could pump if it could handle the total piston
displacement at the suction state. It is given by the following
equation:
⎡ 1
⎤
⎢ ⎛ Pdisc ⎞ n ⎥ vsuct
ηv = 1 + C − C ⋅ ⎜ ⎟ ⋅ (1)
⎢ Psuct ⎠ ⎥ vb
⎢⎣ ⎝
⎦⎥
where C is the clearance volume ratio, n is the ploytropic
exponent, vsuct and vb are the specific volume of the working
fluid in suction line conditions and in the cylinder after the
intake, respectively.
The volumetric efficiency can also be expressed in terms of
mass flow rate m and displacement volume V . It is the mass
flow rate that is actually pumped divided by the mass of the
working fluid if the entire piston displacement volume were Win n 1
⎡ n −1 n −1
⎤
filled with the working fluid at the suction conditions. Powerin = =  n ⎢ P2 n − P1 n ⎥
mK (10)
t n −1 ⎣ ⎦
m ⋅ vs uct If the heat transfer between the working fluid and
ηv = (2)
V ⋅ RPM compressor casing at the inlet and outlet of the compressor is
where RPM is the compressor motor speed. considering, the energy obtained by the working fluid includes
the absorbed heat at compressor inlet and the rejected heat at
Combining equations (1) and (2) leads to the following the compressor outlet and can be represented by
expression for the mass flow rate.
QWF = Powerin + Qin − Qout (11)
⎡ 1
⎤ V ⋅ RPM
m = ⎢1 + C − C ⋅ ( Pdisc Psuct ) n ⎥ (3) where Qin and Qout are the heat transfer rate of the compressor
⎣ ⎦ vb
at the inlet and the outlet, respectively. The principal modes of
For the given compressor, it is reasonable to assume that heat transfer considered inside the compressor casing are
the value of clearance volume ratio C and the displacement conduction and convection. The conduction heat transfer is
volume V remain constant. Moreover, if the fact that the state expressed as
of the re-expanded clearance vapor is slightly different is
neglected, the specific volume vb can be approximately kAΔT
Qcond = (12)
regarded as a constant, namely, the specific volume after taking Δx
in fresh working fluid is equal to the specific volume of the where k is the thermal conductivity, A is the heat transfer area,
working fluid. By letting a1 = (1 + C ) ⋅ V vb , a2 = − C ⋅ V vb Δx is the distance of heat transfer, and ΔT is the temperature
difference between the working fluid and compressor casing.
and a3 = 1 n , Equation (3) can be further simplified to The convective heat transfer is given by Newton’s law of
cooling,
m = ⎡ a1 − a2 ( Pdisc Psuct ) 3 ⎤ ⋅ RPM
a
(4)
⎣ ⎦ Qconv = hAΔT (13)
In Equation (4), the fluid property factors and compressor
where h is the heat transfer coefficient. The total heat transfer
geometric factors are lumped into several constant parameters,
between the working fluid and the compressor casing is
which can be determined either by manufacturers’ catalogue
obtained by
data or by real time experimental data. Therefore, the mass
flow rate can be sufficiently described by the function of three ⎛ kA ⎞
basic operating variables, i.e., Pdisc , Psuct and RPM . Q = Qcond + Qconv = ⎜ + hA ⎟ ΔT (14)
⎝ Δx ⎠
B. The energy obtained by the working fluid Thus, the heat transfer rate of the compressor at the inlet
In practice, since most compression and expansion and the outlet, Qin and Qout , are expressed as
processes are approximately polytropic processes, the model is
firstly developed from a polytropic compression process which ⎛k A ⎞
Qin = ⎜ i i + hi Ai ⎟ (Tshell − Tin ) (14a)
satisfies the following relationship: ⎝ Δxi ⎠
Pv n = K = constant ( n = 1.0 ~ 1.5 ) (5) ⎛k A ⎞
Qout = ⎜ o o + ho Ao ⎟ ( Tout − Tshell ) (14b)
where P is pressure, v is specific volume and n is a constant ⎝ Δxo ⎠
called the polytropic exponent. By raising both sides of this
where Tin and Tout are the temperature of the working fluid at
equation to the 1 n power and rearranging it, we obtain
the inlet and outlet of the compressor, respectively, and Tshell is
1
v = ( K P)n (6) the compressor shell temperature.
The mechanical work input to the working fluid can be Substituting Equations (10), (14a) and (14b) into Equation
calculated from the following integral: (11) and rearrange it as

Win = ∫ VdP = ∫ mvdP (7) n 1

⎡ n −1 n −1
⎤ ⎛k A ⎞
QWF =  n ⎢ P2 n − P1 n ⎥ + ⎜ i i + hi Ai ⎟ (Tshell − Tin )
mK
Substituting Eq. (2) into Eq. (3), we have n −1 ⎣ ⎦ ⎝ Δxi ⎠
(15)
⎛ ko Ao ⎞
+ ho Ao ⎟ (Tout − Tshell )
1 1
Win = mK n ∫ (1 P ) n dP (8) −⎜
⎝ Δxo ⎠
Eq. (4) is integrated: For the steady stable flow, it is reasonable to assume the
value of K , A and Δx remain constant. Moreover, k and h are
n 1
⎡ n −1 n −1
⎤ approximately constants if the temperature difference is not too
Win = mK n ⎢ P2 n − P1 n ⎥ (9)
n −1 ⎣ ⎦ big [11]. Thus, Equation (15) can be simplified as the following
Thus, the power input to the working fluid can be equation:
represented by
QWF = b1m ⎡⎣ Pdisc
b2 b2
− Psuct ⎤⎦ + b3 ( Tshell − Tin ) − b4 (Tout − Tshell ) (16)

3258
 n 1
n −1 ki Ai
where b1 = Kn , b2 = , b3 =
n −1 n Δxi
ko Ao
b4 = + ho Ao . These four empirical parameters can be
Δxo
identified from the manufacture catalogue data or experiment
data.
C. The actual electrical power input to the compressor
Because of the losses due to non-isentropic compression
and expansion in the compressor, the theoretical power given
by Equation (16) is usually much lower than that required by
the actual machine. Generally, delivery efficiency is used to
account for the irreversibilities in the actual machine, and the
actual electrical power input to the compressor is given by
Powerelec = QWF η (17)
where η is the delivery coefficient, which accounts for all
capacity losses. The losses include: 1) those due to the loss of
capacity as a result of gas leakage; 2) those caused by the heat
transfer between the working fluid and the compressor casing;
and 3) those due to frictional effects and motor inefficiencies.
These losses are considered by a volumetric coefficient, ηv , a
thermal coefficient, ηT , and a motor efficiency, η motor ,
correspondingly. Therefore, the delivery coefficient may be
defined as a product of three coefficients:
η = ηv ⋅ηT ⋅η motor (18)
In all performance losses associated with a compressor, the
main one is gas leakage. Gas leakage occurs whenever a gap
exists between regions of different pressures. The leakage
process not only reduces the quantity of fresh refrigerant, but
also increases the temperature of the gas prior to the
compression process. The temperature increase is a result of the
mixing of the fresh suction gas with leaked gas. The density
and mass flow rate of the gas are reduced as a result of the
temperature increase. The reduced mass flow rate will
ultimately decrease the compressor’s cooling capacity. As a
rule, the performance impacts associated with internal leakage
are measured by the volumetric efficiency.
Substituting Eq. (1) into Eq. (18) we obtain
⎡ 1
⎤ v
η = η0ηTη motor = ⎢1 + C − C ⋅ ( Pdisc Psuct ) n ⎥ ⋅ suct ⋅ηT ⋅η motor (19)
⎣ ⎦ vb
For the above mentioned reasons, it is reasonable to assume
that the value of the specific volume remain constant, namely,
vb = vsuct . Moreover, if ηT , η motor and n are regarded as
constants, Equation (19) can be simplified as
η = c1 + c2 ( Pdisc Psuct )
c3
vsuct v equations:
where c1 = (1 + C ) ⋅ ⋅ηT ⋅η motor , c2 = −C ⋅ suct ⋅ηT ⋅η motor
vb vb
and c3 = 1 n . These three empirical parameters can be
identified from the manufacture catalogue data or experiment
data.
Once the delivery coefficient and the actual power obtained
+ hi Ai and by the working fluid are determined, the actual electrical power
input to the compressor can be obtain from Equation (17).
III. PARAMETER IDENTIFICATION
To establish the models, variables Pdisc , Ps uct , RPM ,
Tin , Tout , Tshell , m , Powerelec , PowerWF and η are required.
The measurement of pressures and temperatures are relatively
easy, which can be obtained by the readings of pressure and
temperature transducers installed at corresponding locations.
Similarly, the electrical power can be measured by the power
meter installed on the compressor motor and the compressor
speed can be estimated by the frequency of the motor driven
the compressor. However, accurate measurement of the mass
flow rates is difficult, especially when the flow is turbulent. In
addition, flow meters are much more expensive than pressure
and temperature transducers. Therefore, for engineering
applications, the mass flow rate can be obtained from the
expansion valve connected to the evaporator by measuring the
pressure difference across the expansion valve to calculate its
flow rate by this correlation:
m WF = Cv Av ρv ΔP (21)
where Cv is the coefficient of expansion valve; Av is the valve
opening area; +P is the pressure difference across the
expansion valve and ρv is the density of working fluid at the
valve inlet. The energy obtained by the working fluid and the
delivery coefficient can be computed using the following
equations:
QWF = m ( H out − H in ) (22)
QWF
η= (23)
Powerelec
where H in and H out are the enthalpy of the working fluid at
the inlet and outlet of the compressor, respectively, which can
be computed by the NIST database based on the measurement
of the pressures and temperatures [13].
To determine the empirical parameters of the models, the
following three optimization problems have to be solved:
N
min E ( β ) = min ∑ ( f ( xi , β ) − yi )2 (24)
i =1
Since they are non-linear unconstraint optimization
problems, several existing algorithms can be used to find the
solution. Here, Levenberg–Marquardt method [12] is
implemented, which incorporates a constant or variable scalar
number to deal with problems related to singularities and is an
effective algorithm for small residual problems. The downhill
(20) iteration direction can be obtained by solving the following
(J T
)
J + λ diag ( J T J ) δ = J T ⎡⎣ y − f ( β ) ⎤⎦ (25)
where J is the Jacobian matrix.
The method has the nice property that, for some scalar
Δ related to λ , the vector δ is the solution of the constrained
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subproblem of minimizing J δ + ( y − f ( β ) )
2
2 subject to
2

β ≤ Δ [14]. This makes it less effective than that of Gauss-

2
Newton search direction but more robust.
IV. MODEL VALIDATION
To validate the simplicity and effectiveness of the proposed
models, a curve fit method for representing compressor test
data provided by ARI Standard 540 [1] is used to make a
comparison. The method was firstly described in ARI Standard
540 at 1991, and was revised at 1999. The method uses a
bivariate cubic polynomial with cross-terms to describe the
mass flow rate (or capacity) and the electrical power input as a
function of saturated evaporating and condensing temperatures
(Equation 27).
X = a0 + a1Te + a2Tc + a3TeTc + a4Te2 + a5Tc2 + a6Te3
(26) Fig. 2. Catalog fittings of mass flow rate by the proposed model and ARI
+ a7Tc Te2 + a8TeTc2 + a9Tc3 model
where X is the mass flow rate or the electrical power input;
a0 ~ a9 are the curve fit parameters, which are determined by a
computer program written by ARI called SURFACEC; Te and
Tc are the saturated suction temperature and the saturated
discharge temperature, respectively. The method is commonly
used by compressor manufacturers to generate maps of
compressor performance using calorimeter data.
In order to quantitatively show the performances of the
model prediction, the fitness of the model is evaluated through
the relative error ( ER ) of every predicted point and root mean
square of the relative error ( ERMS ), which are defined,
respectively, by
Relative error
Dreal − Dcalc
ER = ×100% (27) Fig. 3. Catalog fittings of power input by the proposed model and ARI model
Dreal
Root mean square of the relative error
2
⎛ Dreal − Dcalc ⎞
N

∑ ⎜
i =1 ⎝ Dreal
⎟
ERMS = ⎠ ×100% (28)
N
where N is the number of fitted points, Dcalc is the value of
point i predicted by the model and Dreal is the value of point
i acquired from manufacture catalogue data or experimental
data.
The calorimeter testing data provided by compressor
manufacturers are used to identify the empirical parameters.
The fitting results of each model are given in Figures 2–4,
where the calculated value is plotted as a function of the
catalogue data. The Relative Error of each model is shown in
Figure 5. Fig. 4. Catalog fittings of delivery efficiency by the proposed model and ARI
model

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Fig. 5. Relative errors for catalog fittings by the two models.
Comparing the proposed model with the ARI model and the
experimental data, it can be easily seen that:
a) In the range of operating temperatures where
measured data were provided, the errors of all the
models between curve fit and measured data are very
small and the predicted values look reasonable.
However, the predicted values generated with the ARI
curve fit show that extrapolation and even
interpolation can lead to very inaccurate predictions.
b) Although the predicted values of the mass flow rate
and electrical power seem to fit the data reasonably
well for some data sets, as seen in figures 2~4. But the
relative errors are considerably greater for mass flow
rate than for the electrical power, as seen in figure 5. It
is caused from the assuming that measurement errors
are responsible but mass flow rate measurements are
actually more likely to be inaccurate than electrical
power measurements.
c) ARI method is an entirely empirical model and
incapable of considering effect of the ambient
conditions. Extending this model to variable ambient
temperature requires more coefficients, which
increases the complexity for model identification.
In summary, the new proposed model is simple and
accurate for engineering applications. It focuses on the
characteristics of exiting compressors and the effect of ambient
conditions. The advantages of the purposed model are evident
through a comparison with ARI model, which vary in their
degree of complexity and the different purposes of modeling.
The comparison is summarized in Table 1.
TABLE I
COMPARISON OF TWO COMPRESSOR MODELS
Compressor model ARI model New model
Number of parameters 10 3 or 7
Parameters need to adjust when
Yes No
operation conditions change
Geometric data No No
Iterative computation No No
Modeling technique Empirical Hybrid
Model application Control
Simulation
optimization
V. CONCLUSION
A simple compressor model for control and optimization of
vapor compression systems was proposed in this paper. The
model starts from fundamental equations based on the energy
and material balance, and thermodynamic principles, but
captures only few key operational characteristic parameters to
predict their performances. The parameters can be easily
determined by the data either from a manufactures’ catalog or
real time operation. Unlike the ARI method, the proposed
model not only reflects the influence of ambient conditions, but
also has good characteristic of extrapolation and interpolation.
The calorimeter testing data provided by compressor
manufacturers were used to identify and validate the proposed
models, and the results showed that all models can achieve
accurate performance estimation over the entire operation
range.
The significance of the developed model is that it can be
easily applied to real-time optimization of vapor compression
systems. Our next work is to develop model based control and
optimization methods and test them on the pilot plant built in
our Laboratory.
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