Energy and AI 5 (2021) 100078

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Energy and AI
journal homepage: www.sciencedirect.com/journal/energy-and-ai

Review

Review of dynamic performance and control strategy of supercritical CO2

Brayton cycle
Xuan Wang a, Rui Wang a, Xingyan Bian a, Jinwen Cai a, Hua Tian a, Gequn Shu b, *, Xinyu Li c,
Zheng Qin c
a
State Key Laboratory of Engines, Tianjin University, No. 92, Weijin Road, Nankai District, Tianjin 300072, China
b
Department of Thermal Science and Energy Engineering, University of Science and Technology of China, Hefei 230027, China
c
Shanghai Marine Diesel Engine Research Institute, 400 Newtonian Road, Pudong New Area, Shanghai, China

A B S T R A C T

In recent years, the supercritical carbon dioxide Brayton cycle (SCBC) has been regarded as a promising next generation power conversation system, owing to its high
efficiency, compact components, applicability for various kinds of heat sources and so on. This paper makes a detailed review of the dynamic performance and
control strategy of SCBC. The dynamic simulation model of SCBC is overviewed in detail including different modeling methods of the main component models and
validation of system model. As the most inevitable approach to evaluate the dynamic performance of SCBC in practice, existing SCBC test benches concerning SCBC
are well collected and presented. Based on these, the open loop dynamic system performances by changing different manipulated variables are reviewed and then
various control methods for essential state parameters by different manipulated variables are summarized. Finally, various control strategies of load following and
startup/shutdown are clearly presented. With the rapid development of artificial intelligence, combining the core mechanism model and key parameters identifi­
cation based on experimental data and machine learning to obtain an accurate model within a wide range of working condition is a popular trend in modeling of
SCBC. Moreover, deep reinforcement learning will be a potential method for the control strategy in SCBC.

compressibility factor to reduce compression power consumption [5].

1. Introduction
Increasing energy demand and severer environment pollution drive
researchers worldwide to find cleaner energy sources as alternatives and
energy conversion technologies with higher efficiency. Recently, the
supercritical carbon dioxide Brayton cycle (SCBC) has been regarded as
a promising next generation power conversation system, owing to its
high thermal cycle efficiency, feasible integration with compact com­
ponents, applicability for various kinds of heat sources and so on [1–3].
The SCBC works at supercritical state that the pressure and tem­
perature of working fluid (CO2) are above the critical point (31.1
◦
C,7.38 MPa). The high efficiency and unique characters of SCBC are due
to the special thermo-properties of supercritical CO2. The physical
properties of CO2 near the critical point or pseudo critical point (a fluid
state at a pressure higher than critical pressure and at a temperature
corresponding to the maximum specific heat [4]) are strongly nonlinear.
Near the critical point or Pseudo critical point, CO2 has the character­
istics of both gas and liquid, that is its viscosity is less than that of liquid,
and its density and specific heat capacity are higher than that of gas. The
CO2 fluid at the inlet of the compressor is usually maintained near the
critical point; thus, it takes advantage of high density and small
In addition, the high density helps to reduce the size of turbomachinery
and the construction cost is hence saved [6]. Besides the above advan­
tages of high efficiency and compact components, CO2 is chemically
inert, nontoxic, non-corrosive, non-flammable and quite cheap. More­
over, it is environment-friendly with ozone depletion potential (ODP) of
zero and global warming potential (GWP) over 100 years of one [7]. The
above advantages make CO2 an extremely suitable working fluid for
closed Brayton cycle.
Actually, early in 1948 the CO2 Brayton cycle has been proposed by
Sulzer Bros [8], and then the advantages of SCBC were revealed by more
and more researchers [9,10]. However, owing to the high operating
pressure and temperature of the cycle, it is fairly difficult to achieve the
design and construction of heat exchanger and turbomachinery. The
research interest decayed after a short while and the technology was
almost abandoned [11]. Around 2000s, as the breakthrough develop­
ment of printed circuit heat exchanger (PCHE) and CO2 gas turbine, the
study of SCBC enjoyed a revival [4]. Many leading research institutions
such as Argonne National Laboratory (ANL) [12], Sandia National Lab
(SNL) [13], Tokyo Institute of Technology [14], Korea Atomic Energy
Research Institute (KAERI) [15], and so on have begun to conduct
research on SCBC for different applications including nuclear power,

* Corresponding author.
E-mail address: sgq@tju.edu.cn (G. Shu).

https://doi.org/10.1016/j.egyai.2021.100078
Received 20 January 2021; Accepted 8 April 2021
Available online 21 May 2021
2666-5468/© 2021 The Author(s). Published by Elsevier Ltd. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
X. Wang et al. Energy and AI 5 (2021) 100078

Nomenclature ṁ Mass flow rate [kg/s]

M Mass [kg]
Abbreviations ns Isentropic volume exponent
SCBC Supercritical Carbon dioxide Brayton Cycle N Rotation speed [rpm]
RC-SCBC Recompression SCBC Nu Nusselt number
S-SCBC Simple SCBC P Pressure [Pa]
R-SCBC Recuperated SCBC Pr Prandtl number
FV Finite Volume R Gas constant [J/(mol∙K)]
GWP Global Warming Potential Re Reynolds number
HTCs Heat Transfer Coefficients t Times [s]
MCIT Main Compressor Inlet Temperature T temperature [K]
ODP Ozone Depletion Potential U wheel tip speed [m/s]
PHE Plate Heat Exchanger v velocity [m/s]
PR Pressure Ratio V volume [m3]
PCHE Printed Circuit Heat Exchanger W work [W]
TIT Turbine Inlet Temperature z direction along tube length [m]
TG Turbine-Generator Z compression factor
TAC Turbo-Alternator-Compressor
TC Turbine-Compressor Greek letters
BMPC Bechtel Marine Propulsion Corporation ρ Density [kg/m3]
GE General Electric α Heat transfer coefficient (W/m2⋅K)
HEU Harbin Engineering University γ Specific heat ratio
KAPL Knolls Atomic Power Laboratory η Efficiency
KAERI Korea Atomic Energy Research Institute ϕ Flow coefficient
KAIST Korea Advanced Institute of Science and Technology ψ Pressure ratio coefficient
MIT Massachusetts Institute of Technology φ Head coefficient
NETL National Energy Technology Laboratory ζ Spouting velocity [m/s]
NNL Naval Nuclear Laboratory Subscripts
SNL Sandia National Laboratory a Actual
SWRI Southwest Research Institute ave Average
TPG Thermal Power Group aero Aerodynamic
TRCF Technical Research center of Finland c Compressor (or Cold side)
UQ University of Queensland cr Critical
USYD The University of Sydney is Isentropic
XJTU Xi’an Jiaotong University contr Contraction
A Area [m2] exp Expansion
C Corrective factor f Fluid
Cv Valve coefficient h Hot side
Cd Discharge coefficient in Inlet
Cp Constant pressure specific heat capacity [J/(kg•K)] norm Normalized
d Diameter [m] out Outlet
D Equivalent diameter [m] r Refernence
f Friction coefficient or valve opening s Species
g Gravitational constant [m/s2] t Turbine
Gr Grashof number T Tank
H Specific enthalpy [J/kg] w Wall
K Loss coefficient
l Length [m]

coal power, solar thermal power, waste heat recovery and so on [11].
Nowadays, SCBC technology has been acknowledged as one of the most
promising next generation power systems for various kinds of heat
sources. Consequently, numerous related technical development pro­
jects have been approved around the world. For example, the Depart­
ment of Energy in the USA has carried out some projects based on the
SunShot program [16]. Simultaneously, the Europe Directorate General
for Research and Development is also developing SCBC projects mainly
applied to nuclear field with the Horizon 2020 program [11].
The main research topics for SCBC are system configuration, ther­
modynamic analysis and optimization, key component design mainly
including heat exchangers and turbomachines, dynamic simulation and
control strategy. There have been a few reviews on the SCBC. Liao et al.
[6] present a detailed overview of SCBC, including the thermodynamic
analysis, control strategy, the design of heat exchangers and turbo­
machines for different applications such as nuclear, solar, coal-fired
power, fuel cell and others. Liu et al. [17] make a similar comprehen­
sive state-of-the-art review concerning SCBCs. Wu et al. [4], Li et al.
[18], Yin et al. [19] and Marchionni et al. [20] make a review of the
SCBCs in nuclear power, coal power, solar thermal power and waste heat
recovery, respectively. All of the above reviews are extensive for all
research topics mentioned above. Crespi et al. [11] present a quite
detailed review about SCBC system configurations including 42 kinds of
stand-alone cycles and 38 kinds of combined cycles, and carry out
comparative analysis among them. Mohammed et al. [21] provide a
review concerning performance improvement of SCBCs through inte­
gration with other cycles and application of advanced design of heat
exchangers.

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X. Wang et al. Energy and AI 5 (2021) 100078

The dynamic performance and control strategy are critical research
topics when SCBC system is subjected to various load demand and heat
sources. For example, the SCBC system applied to nuclear power or coal-
fired power need to track the load change of user demand. Solar energy
and industrial waste heat as heat sources for SCBC system are fluctu­
ating. There have been many researches on this topic. However, ac­
cording to the author’s knowledge, there is no review specially for this
topic. An exhaustive review concerning dynamic simulation and control
strategy of SCBC is valuable to grasp the corresponding development
state for researchers and industry developers. With this holistic view,
reasonable decision would be taken for them. Consequently, this study
aims to fill this gap in the review literature by providing a detailed
overview of researches on dynamic performance and control strategy for
SCBC.
The rest of the paper is organized as follows: as an important way to
study the dynamic performance and control strategy, the dynamic
simulation model of SCBC is described in detail in Section 2, including
the main component models and system models. The different modeling
techniques, technical difficulties, and model validation are presented.
Experimental research is of great importance to understand the actual
performance of SCBC and prepare for the practical application; thus,
Section 3 makes an overview of the existing SCBC test bench, and the
present experiment performances of the systems are summarized. In
Section 4, the dynamic system performance under the open loop by
changing different manipulated variables are reviewed and then various
control methods for some essential state parameters by different
manipulated variables are discussed in detail. Based on these, various
control strategies of load following and startup/shutdown are presented
in detail in Section 5 and Section 6, respectively. Finally, conclusions
and directions for future research are presented.
2. Dynamic simulation model of SCBC
The simulation study is the cornerstone of the research on SCBC. It
helps us understand the working process of the system under different
working conditions such as, cold startup, safe shutdown, load following
and so on before the actual system is established. It also provides
theoretical guidance for the construction and safe operation of the actual
system subsequently. The simulation of SCBC was first extensively
studied in the USA, then other countries like Korea, Australia, UK,
Finland started to establish an integrated simulation model for
completed performance analysis and control strategy development. In
addition, many Chinese research institutes, such as Xi’an Jiaotong
University, Harbin Engineering University, EDF R&D China Center, have

Table 1
The overall details of wordwide simulation researches of SCBC.
Institution Layout Software/Code Heat exchanger Recuperator: R; Turbomachines Application
Heater: H; Cooler: C object

Echogen [22] Layout 2 GT-SUITE R and C: PHE TG-TC –

MIT [23,24] Layout 4, Layout 2 GAS-PASS; PCHE TAC Nuclear
Fortan90
BMPC [25] Layout 2 TRACE H: STHE TG-TC –
NNL [26] Layout 2 TRACE C: STHE TG-TC –
SNL [27] Layout 1 Simulink C:STHE TAC Nuclear
XJTU [28,29] Layout 4/ Layout 2 Simulink/ R and C: PCHE TG-C/TAC Nuclear
SCTRAN
HEU [30] Layout 4 RELAP5 PCHE TAC Nuclear
TRCF [31] Layout 2 Apros R and C: PHE TG-C Solar power
BMPC/KAPL [32] Layout 4/ Layout 2 Modified – TAC Nuclear
TRACE
TPG [33] Layout 4 Simulink R: STHE TG-C Coal
USYD [34,35] Layout 4 Dymola; PCHE TAC Solar power
ANL [36] Layout 4/ Layout 2 PDC H: STHE TAC Nuclear
R: PCHE
Sheffield Univ. [37] Layout 3 Simulink PCHE TAC Industrial
KAERI [38] Layout 1 MARS PCHE TG-C Nuclear
UQ [40] Layout 2 Dymola – TAC Solar power
KAIST [41] Layout 2 GAMMA+ R: PCHE TAC Nuclear
EDF R&D [42] Layout 4 Dymola R: PCHE TG-C Solar power
NETL [43] Layout 4 Aspen Plus R: PCHE TG-C Fossil-fuel
Dynamics power
Brunel University [44] Layout 2 GT-SUITE H: MTHE; TAC Waste heat
R: PCHE; recovery
C: PHE
GE [45] Layout 2 NPSS R and C: PCHE TG-C Natural gas
[1] PHE: Plate heat exchanger [11] TRCF: Technical Research center of
[2] STHE: Shell-and-tube heat Finland
exchanger [12] KAPL: Knolls Atomic Power
[3] PCHE: Printed circuit heat Laboratory
Exchanger [13] TPG: Thermal Power Group
[4] MTHE: micro-tube heat [14] NETL: National Energy Technology
exchangers Laboratory
[5] MIT: Massachusetts Institute [15] USYD: The University of Sydney
of Technology [16] ANL: Argonne National Laboratory
[6] BMPC: Bechtel Marine [17] KAERI: Korea Atomic Energy
Propulsion Corporation Research Institute
[7] NNL: Naval Nuclear [18] UQ: The University of Queensland
Laboratory [19] KAIST: Korea Advanced Institute of
[8] SNL: Sandia National Science and Technology
Laboratoriy [20] GE: General Electric Co.
[9] XJTU: Xi’an Jiaotong
University
[10] HEU: Harbin Engineering
University

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X. Wang et al.
also undertaken extensive simulations on the SCBC in recent years.
These simulation researches of SCBC are summarized in Table 1. In this
table, the research institution, layout, software, application object, and
detailed modeling methodology are presented, which can facilitate our
understanding of the current simulation studies of SCBC and enable us to
conduct further research.
Numerous layouts of SCBC have been researched, such as reheating,
recuperated, intercooling, recompression and so on. Considering the
trade-off among cycle efficiency, layout complexity and control diffi­
culty, the recuperated cycle and recompression cycle are the most
closely focused SCBC systems recently. For brevity, they are called R-
SCBC and RC-SCBC in this paper, respectively. In addition, there is a
small portion of dynamic research on the simple SCBC cycle (S-SCBC),
which is the basis for the dynamic study of SCBC. The typical layouts of
SCBC are shown in Fig. 1. It should be noticed that the turbomachinery
configurations are not presented in Fig. 1, because in one system layout
there can be several kinds of turbomachinery configurations. The
turbomachinery configurations which can be used to support startup,
shutdown, and load tracking have a great impact on the performance of
Fig. 1. Typical layouts of SCBC.
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Energy and AI 5 (2021) 100078
the system. In general, the turbomachinery configurations can be clas­
sified into three kinds as shown in Fig. 21) Turbine-Alternator-
Compressor (TAC), which represents that turbine, compressor and
generator are coaxial; 2) Turbine-Generator and Turbine-Compressor
(TG-TC): which means that one turbine drives the generator and
another turbine drives the compressor; 3) “TG-C”, which refers that the
turbine drives the generator and the motor drives the compressor [39].
Based on the above-detailed description in Table 1, it can be
concluded that the SCBC is currently applied in many fields, including
advanced nuclear reactor, concentrated solar power and waste heat
recovery. Moreover, the simulation layouts of SCBC are mainly focused
on the recuperated cycle and recompression cycle. The simulation
platform of SCBC primarily includes GT-SUITE, Dymola, Matlab/Simu­
link, Aspen Plus Dynamics, Apros, Fortan90, and other original simu­
lation code, such as MARS code, RELAP5 code. Additionally, the
University of Sydney developed an interface platform including the
System Advisor Model (SAM), Excel, and Aspen PLUS to model the
SCBC. The Printed Circuit Heat Exchanger (PCHE) is widely used in
SCBC because of its compactness and high efficiency. Plate Heat
X. Wang et al.
Fig. 2. Typical turbomachinery configurations [39].
Exchanger and Shell-and-Tube heat exchanger are sometimes adopted as
well when considering the economic cost.
2.1. Modeling method
Even though the SCBC is built in a myriad of configurations, its core
components are identical, including turbomachinery, heat exchangers,
Fig. 3. Structural diagram of Printed Circuit Heat Exchanger (PCHE) [46].
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Energy and AI 5 (2021) 100078
pipes, storage tanks, valves, and so forth. During a usual modeling
process of the SCBC, the dynamic models of the components are estab­
lished first, and then the dynamic model of the system is developed by
combining them together according to their interrelationships. The
following section will elaborate on the approaches to developing these
models.
2.1.1. Heat exchangers model
As discussed above on the types of the heat exchanger, only a few
studies on SCBC adopted Plate Heat Exchanger (PHE) and Shell-and-
Tube heat exchanger, while the PCHE is widely adopted, as shown in
Fig. 3 [46]. The microflow channels with a diameter of 0.5 − 2 mm on
the microflow heat transfer surface are processed by the photochemical
etching process and then the heat transfer plates are bonded by diffusion
bonding technology, which makes the PCHE can withstand
high-pressure and high-temperature. The straight channel is the basic
channel type. Besides, as shown in Fig. 4 the zigzag channel, wavy
channel, S-shaped fin channels, and airfoil channels have been proposed
to improve the thermal-hydraulic performance [47].
The finite volume (FV) method was first put forward by Stamatelo­
poulo and his successors [48] to carry out a dynamic simulation pro­
gram, and then was extended by other researchers with a detailed model
for flow and heat transfer. Except for that, the moving boundary
method, and lumped parameter method are also adopted to building the
dynamic modeling of heat exchangers. But it is worth noting that the
lumped parameter method regarding the heat exchanger as a heat
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 4. Schematic diagram of common flow channels [47].

transfer unit results in low accuracy and the moving boundary method is state, which can be regarded as a homogeneous single phase. Therefore,
suitable for heat exchanger with multiple phase regions. For the super­ the existing articles basically adopted the FV method for modeling heat
critical CO2 Brayton cycle, the working fluid all keeps in a supercritical exchangers in the supercritical CO2 Brayton cycle. As presented by

Fig. 5. Fine volume model of heat exchangers.

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X. Wang et al. Energy and AI 5 (2021) 100078

Alobaid et al. [49], the dimension of the flow needed to be taken into ⎛ ⎞
( ) ( )
consideration for dynamic modeling, which includes zero-dimensional ⎝ ∂ρai dHin dHout ∂ρ dp
0.5AΔx H ai + ρai ⎠ + + AΔx H ai − 1 =
modeling, one-dimensional modeling, and two-dimensional modeling. ∂H ai dt dt ∂p dt
It was also advised that the one-dimensional modeling is most desirable (8)
( )
considering the computational cost and accuracy. Hence, it is suitable to ṁi,in Hi,in − ṁi,out Hi,out + αi πDi Δx T w,ai − T f ,ai
adopt the finite volume (FV) method to establish the one-dimensional
model of heat exchangers. The idea of FV method is to discretize the We can learn from Eq.(2) and Eq.(3) (or Eq.(7) and Eq.(8)) that
heat exchanger into N control units, as shown in Fig. 5, and adopt the except for some key structural parameters of the heat exchanger and the
average parameters to calculate the state point in each control unit. In state parameters of the working fluid, the heat transfer coefficient (α)
this way, the heat transfer process is modeled as a serious of thermal plays an important role in the modeling. Combining all the above
resistance. Almost in all the simulation researches, the FV method is equations in each control unit, the whole model of the heat exchangers
used to develop the model of heat exchanger. can be obtained. It should be noted that the finite volume method is
As for the FV heat exchanger model, there are about two consider­ suitable not only for CO2 recuperator, but also for cooler and heater. The
ations: one is based on mass and energy conservation [37,42]; the other main difference when modeling heater, cooler and recuperator is the
is based on mass, energy and momentum conservation [23,29,38]. selection of heat transfer correlations (HTCs). Hence, the HTCs are
Before the establishment of dynamic model, some assumptions need to critical for accurately predicting the heat exchangers’ performance and
be declared. the HTCs should be selected appropriately in modeling the heat ex­
As for the model including mass, energy and momentum changers. The adopted HTCs in the published papers are summarized in
conservation: Table 2. The HTCs described below are all applicable to CO2. In Avad­
hanula’s [22] model, the Dittus-Boelter correlation is adopted because
(1) Uniform flow in the direction of cross section; the supercritical CO2 does not undergo a phase change during the heat
(2) The heat exchangers are adiabatic to the environment; transfer. In Trinh’s [24] model, the HTC can be determined from the
(3) Viscous dissipation of the heat generated is negligible; Gnielinski correlation for turbulent flow. While in Deng’s [28] model,
the HTC identified from supercritical CO2 experiment is used.
The following assumptions need to be added when only mass and
energy conservation are taken into account. 2.1.2. Turbomachinery
The performance of turbomachinery greatly affects the dynamic
(1) The pressure drop through the heat exchangers is ignored; performance of the system, so the accuracy of the turbomachinery model
(2) Potential and kinetic energy changes are negligible. is critical to the SCBC simulation. Owing to fast response time of
turbomachinery compared with heat exchangers, the response time of
With the above assumptions, the initial equations in each control turbomachinery is usually negligible and the steady-state model is
unit can be described as follows: adopted to model the turbomachinery. At present, the turbomachinery
Mass conservation equation for the working fluid [50]: models for turbines and compressors are designed mostly by their two-
∂(Aρ) ∂ṁ dimensional performance maps, which are derived from mean line flow
+ =0 (1) analysis of the components over a wide range of design and off-design
∂t ∂z
conditions [22]. Moreover, a turbomachinery degradation model [41]
Energy conservation equation for the working fluid [50]:
and off-the-shelf turbomachinery design modules [31] are also adopted.
∂(AρH − AP) ∂ṁH One thing needs to be emphasized is that dramatic variation in the
+ = αi πDi (Tw − Th ) (2)
∂t ∂z physical properties of CO2 near the critical point brings great challenges
to the design and simulation of compressor, which is different from
Energy conservation equation for the pipe wall [50]:
turbines. The various modeling methods of turbomachinery are
dTw described in detail as follows.
cpw ρw Aw = αi πDi (Th − Tw ) + αo πDo (Tc − Tw ) (3)
dt
Momentum conservation equation for the working fluid [51]: 1) Modeling using performance map with similarity theory
/
∂(ρv) ∂(ρvv) dP 1 2
=− − ± ρv f D h (4)
∂t ∂z dz 2
Table 2
Besides, the average parameters (as shown in Fig. 5) can be calcu­ Summary of heat transfer coefficients.
lated using the inlet and outlet parameters of each control unit: Researcher Heat exchangers HTCs
( )/
Tf ,ai = Tf ,i− 1 + Tf ,i 2 (5) Avadhanula et al. PHE Dittus-Boelter:
[
[22] (f/8)(Re − 1000)Pr
( )/ Nu = √̅̅̅̅̅̅̅̅ 2/3 1+
Hf ,ai = Hf ,i− (6) 1 + 12.7 f/8(Pr − 1)
1 + Hf ,i 2
( )2/3 ]
d
ct
Based on the initial equations and the average parameters, the mass l
and energy conservation equations for the working fluid can be Carsen [23], Straight channel Gnielinski correlation:
Trinh [24] PCHE (f/8)(Re − 1000)Pr
described in detail as follows: Nu = √̅̅̅̅̅̅̅̅̅ 2/3
1 + 12.7 f/8) − 1)
Detailed mass conservation equation for the working fluid: Deng et al. [28] Straight channel Nu
( (Pr )0.42
Gr
PCHE = 0.36 − 22
( ) Nuref Re2.7
∂ρ dHi,in dHi,out ∂ρi,ai dpi
0.5AΔx ai + + AΔx = ṁi,in − ṁi,out (7) (
ρ
)− 0.3
∂Hai dt dt ∂pi dt Nuref = 0.0183Re0.82 Pr0.5 ave
ρw
Son et at. [41] PCHE Nu = 0.8405Re0.5704 Pr1.08
Detailed energy conservation equation for the working fluid:
Yang et al. [42] Wavy channel k
α = C × 1.414 × 0.6 × 0.1341 ×
PCHE d
Re0.6681 Pr0.333
Tang et al. [45] PCHE Nu = 0.023Re0.8 Pr0.3

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X. Wang et al. Energy and AI 5 (2021) 100078

The turbomachinery performance map is used to describe their 2) Turbomachinery degradation model
working conditions, which is usually composed of four parameters.
Therein, the pressure ratio (or the isentropic enthalpy rises) and isen­ The above approaches to modeling turbomachinery focus on the
tropic efficiency are the output, and the mass flow rate and rotation processing of performance maps with similarity theory. However, these
speed are the input. Typically, the performance map is generated in the methods have been pointed out to cause errors [54,55]. Therefore, the
design point (constant inlet point). However, the inlet condition changes deep neural network (DNN)-based regression model of the
during actual operation and it is unrealistic to generate the performance one-dimensional mean-line method is adopted to express the off-design
map of each inlet point. Therefore, the corrected concept derived from performance in Son’s model [41]. Wherein, around 50,000 sets of data
dimensional analysis and similitude theory [53] is introduced to predict are used for neural network learning. The temperature, pressure, mass
the off-design performance at different inlet conditions. For the time flow rate, and rotation speed are taken as the inputs, while the pressure
being, there are some different corrected relations to predict the ratio and isentropic efficiency are taken as the outputs. Based on this, the
turbomachinery off-design performance, and they are summarized in health parameter is introduced to describe the performance degradation
Table 3. of turbomachinery, which is divided into erosion index for turbines and
Based on the above-corrected relations, the corrected mass flow rate fouling index for compressors.
and isentropic efficiency can be calculated by the performance map: For turbines:
( )
ṁcorrected = fmap Ncorrected , ΔHis,corrected (9) Δmt
= 1 + EI (11)
mt
( )
η = fmap Ncorrected , ṁcorrected (10) Δηt
= 1 − EI / Zc (12)
ηt
Beyond that, some scholars have taken alternative approaches in
processing the turbomachinery performance map. In Avadhanula’s [22] For compressors:
model, the flow coefficient and inlet flow temperature are adopted as the Δmc
primary corrected variables and linear interpolation is applied to = 1 − FI (13)
mc
calculate the isentropic efficiency and head rise coefficient of the
compressor. The flow coefficient is also developed in the work of Olu­ Δηc
= 1 − FI / Zc (14)
mayegun [37] to express the performance of turbomachinery, while the ηc
corresponding relations being used are different. In the modeling work
of Olumayegun et al. [37], the compressor map is constructed by
3) Modeling with the off-the-shelf turbomachinery design modules
adopting the approach developed for pumps. Firstly, calculate the flow
coefficient according to the mass flow rate, inlet pressure, and inlet
Apart from the turbomachinery performance map, the off-the-shelf
temperature of the compressor, then the pressure ratio and isentropic
turbomachinery design modules in the software also are adopted to
efficiency can be calculated by the flow coefficient and rotational speed
build the turbomachinery model. In Hakkarainen’s model [31], the
according to the given performance map. Therein, the pressure rise is
turbine was modeled using the standard Turbine Section module of
scaled with U2 ρ while the mass flow rate is scaled with Uρ. U and ρ
Apros. The Apros basic pump module was used to construct the
denote the impeller tip speed and the fluid density, respectively. Unlike
compressor performance model for the reason that the CO2 compress­
this, the supercritical CO2 is considered as an ideal gas in constructing
ibility factor is very low near its critical point, which makes the
the turbine map.
compressor work resembles more pumping than compression. The
In Carsen’s [23] and Trinh’s [24] models, the normalized parameters
modified head coefficient φ*, flow coefficient ψ *, and efficiency η* are
are introduced to process the turbomachinery performance map. The
defined to reflect the compressor performance, which is also used in
main difference between the two models is that Carsen suggested a cubic
Singh’s model [52].
spline and linear interpolation method for the simulation of turboma­
For compressor:
chinery, while a single polynomial curve was used to represent the
Modified head coefficient:
behavior of the turbomachinery over a wide range of mass flow rate and
shaft speed in Trinh’s model. In Trinh’s compressor model, the m
(
N
)15
normalized pressure ratio is a function of the variable χ. χ is a function of φ∗ = (15)
ρUC DC 2 Ndesign
mass flow rate, inlet density, and shaft speed of the compressor. Then the
pressure ratio of the compressor can be calculated by the normalized Flow coefficient:
pressure ratio, the inlet density, and shaft speed of the compressor. The ( )(20φ∗ )3
calculation of the isentropic efficiency of the compressor follows the Δhi Ndesign
ϕ∗ = 2
(16)
same method. In Trinh’s turbine model, the polynomial fit for the tur­ UC N
bine performance map is based upon the variable λ, which is dependent Efficiency:
on the fluid inlet temperatures and pressures [24]. These relations are
( )(20φ∗ )5
summarized in Table 4. Ndesign
η∗ = η (17)
N

Table 3
Different corrected relations of the turbomachinery [33,50].
Name IG IGZ BNI TPG
( √̅̅̅̅̅̅̅̅) ( ) ( √̅̅̅̅̅̅̅̅̅̅̅) ( ) ( √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅) ( ) √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
ṁcorrected γRT γP γRZT γP γRZcr Tcr γPcr ṁ (ZT)a /(ZT)ref
ṁ √̅̅̅̅̅̅̅̅ ṁ √̅̅̅̅̅̅̅̅̅̅̅ ṁ √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
γP γRT ref γP γRZT ref γPcr a γRZ T
cr cr ref √̅̅̅̅̅ √̅̅̅̅̅
( )
a
( )
a
( ) (P ns )a /(P ns )ref
Ncorrected 1 √̅̅̅̅̅̅̅̅ 1 √̅̅̅̅̅̅̅̅̅̅̅ 1 √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅ N
N √̅̅̅̅̅̅̅̅ ( γRT)ref N √̅̅̅̅̅̅̅̅̅̅̅ ( γRZT)ref N √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅ ( γRZcr Tcr )ref √̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
γRT a γRZT a γRZcr Tcr a (ns T)a /(ns T)ref
( ) ( ) ( )
ΔHis,corrected 1 1 1 ΔHis
ΔHis (γRT)ref ΔHis (γRZT)ref ΔHis (γRZcr Tcr )ref
γRT a γRZT a γRZcr Tcr a (ns ZT)a /(ns ZT)ref

8
X. Wang et al. Energy and AI 5 (2021) 100078

Table 4
Summary of the corresponding relations of turbomachinery.
Model Compressor Turbine

Avadhanula’s model [22] η = fη (ϕ, T) Corrected method

ψ = fψ (ϕ, T) √̅̅̅̅̅̅
Olumayegun’s model [37] ṁ ṁ Tin
ϕ= ϕ=
Uρ Pin
PR PR = fmap (ϕ, N)
ψ= = fmap (ϕ)
U2 ρ η = fmap (ϕ, N)
η = fmap (ϕ) √̅̅̅
Carsen’s model [23] ρref T Pref
ṁnorm = ṁ ṁnorm = ṁ√̅̅̅̅̅̅̅̅
ρ Tref P
ρ √̅̅̅
ΔPnorm = ΔPref T
ρref Nnorm = N √̅̅̅̅̅̅̅̅
Tref
√̅̅̅̅̅̅̅̅
̅
Trinh’s model [24] ṁ ρref Nref ṁ Tin Pref
χ=
ṁref ρ N λ=
ṁref Tref Pin
Pr,map = α0 + α1 χ + α2 χ 2 + α3 χ3 + α4 χ 4
Pr = Pr,ref (β0 + β1 λ + β2 λ2 + β3 λ3 )
( )
ρ N 2 ηmap,norm = k + kλ
Pr = Pr,ref Pr,map
ρref Nref
ηmap,norm = ε0 + ε1 χ + ε2 χ2 + ε3 χ3 + ε4 χ4

follows:
1) Using simplified modeling Conservation of mass equation:
dρ
In Deng’s [28]and Yang’s [42] models, the turbomachinery is V = ṁin − ṁout (26)
dt
designed by the thermodynamic equations of turbomachinery. What’s
more, the turbomachinery is simplified with constant compression/ Conservation of energy equation:
expansion ratio and isentropic efficiency, and the adiabatic boundaries d(ρH)
are assumed. Once the inlet conditions are determined, the outlet con­ V = ṁin Hin − ṁout Hout (27)
dt
ditions and the power consumed by the turbomachinery can be
calculated. Conservation of momentum equation:
The isentropic power of the turbomachinery can be calculated from: ṁ2
Pin − Pout = μ (28)
Ws = Hin − Hout,s (18) ρ

The actual consumption power of the compressors: What’s more, a detailed model of the pipe modeling can be repre­
sented as follows:
Wis,c Detailed mass conservation of the working fluid:
Wc = (19)
ηis,c ( )
∂ρf ,ai dHf ,in dHf ,out ∂ρf ,ai dpf
The actual production power of the turbines: 0.5AΔx + + AΔx = ṁf ,in − ṁf ,out (29)
∂H f ,ai dt dt ∂pf dt
Wt = Wis,t ηis,t (20) Detailed energy conservation of the working fluid:
In Singh’s [52] model, the turbine (without diffuser) is represented ⎛ ⎞
( )
( )
as an adiabatic nozzle using an effective nozzle area, and the mass flow ⎜ ∂ρf ,ai ⎟ dHf ,in dHf ,out ∂ρf dpf
0.5AΔx⎝H f ,ai + ρf ,ai ⎠ + + AΔx H f ,ai − 1 =
rate and isentropic efficiency of the turbine can be expressed as follows: ∂H f ,ai dt dt ∂pf dt
ṁt = CAeff ρt,in (21) ṁf ,in Hf ,in − ṁf ,out Hf ,out
√̅̅̅̅̅̅̅̅̅̅̅̅̅̅ (30)
ζsp = 2ΔHt,is (22)
Detailed momentum conservation of the working fluid:
√̅̅̅̅̅̅̅̅̅̅̅̅̅
ηt,aero = 2ν 1 − v2 (23) dṁ ṁ2 ṁ2out (pin − pout − Δp)
= in − + (31)
/ dt ρin V ρout V L
ν = Ut ζsp (24)
2.1.4. Valves
ηt = ηt,aero ηt,is (25)
The valves play an essential role in the SCBC, which can balance and
adjust the pressure, regulate split ratio and loads, and prevent com­
2.1.3. Pipes pressors surge or chock, simultaneously. Generally, the relationship
The pipe models adopt the same method as heat exchangers model, between the relative throttling area and the relative opening of the valve
but ignore the heat transfer with the environment. Similarly, there are is defined as the structural characteristics of the control valve. According
two methods to modeling the pipes: One is considering the conservation to its structural characteristics, the valve can be classified into four
of mass, energy, and momentum [37], while the other is only consid­ categories: linear valve, equal percentage valve, fast-opening valve, and
ering the conservation of mass and energy [42]. Note that, the mo­ parabolic valve. In terms of the linear valve, its relative throttling area is
mentum conservation equation is simplified to a quasi-static equation of linearly related to the relative opening, while the ratio of the relative
pressure loss in reference [37], which adopts a similar method as the throttling area change with stroke is proportional to the throttling area
reference [42]. In Yang’s model [42], the pressure loss is modeled of this point for equal percentage valve. At present, the linear valve and
separately in the “pressure loss” component, which is excluded from the equal percentage valve are adopted in the SCBC.
pipe model. The corresponding initial equations are presented as The linear model is the most commonly adopted modeling method

9
X. Wang et al. Energy and AI 5 (2021) 100078

for control valves, which is used as a throttle valve in Olumayegun’s loss coefficient to collect valve openings in one function:
model [37]. Generally, the linear model ignores the mass and energy ( )( )
Kv 1.5 − fopen 1 − fopen
storage and it is expressed as follows: ′
Kv = 2 = (37)
fopen 2
fopen
√̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅
ṁ = Cv y Pin ρin (1− Pout /Pin ) (32)
The derivatives of the flow rates through valves are corrected to add
Therein, Cv is the constant valve construction coefficient. y denotes the valve resistance:
the relative valve opening or flow area and it is defined as the ratio of the ⃒ ⃒
∂ṁi− v ∂ṁi− v Ai− v Kv ⃒ ⃒
valve’s current flow area to its flow area when fully open. In March­ = − ṁ ⃒ṁi− v ⃒ (38)
∂t ∂t Δxi− v 2ρA2i− v fopen
i− v ⃒ ⃒
ionni’s model [44], the valves are modeled as orifices and the equal
percentage model is adopted. The valves module accesses the discharge Wherein, i-v =, indices for the valve locations.
coefficient by the look-up table, which is a function of the pressure
differential across the valves. The correlations between the valve 2.1.5. Inventory tank
discharge coefficient and the ratio between the lift L and the valve Inventory tank is usually arranged for preventing compressor surge
diameter D is presented as follow: and adjusting the system performance by filling and discharging the CO2
to the SCBC system. The inventory tank is usually modeled by adopting
(33)
L
Cd = 0.0112e0.196D
the mass and energy conservations, which has been described thor­
The control valves can be classified as throttling valves and bypass oughly in reference [24] as shown in Fig. 6 and the corresponding for­
valves according to their installation purpose. The throttling valves can mulas are as follows:
be modeled by Eq. (32), while for the bypass valves, the large differ­ The mass conservation:
ential pressure between its inlet and outlet is large, which may cause the
dMT
working fluid into chocked flow state. Therefore, the modeling approach = ṁin − ṁout (39)
dt
[56] presented below is used:
√̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅̅ The energy conservation:
[( )2 ( )γ+1 ] ( )γ−γ 1
2γ Pout γ Pout γ 2 Pout d(MT HT ) dPT
ṁ = Cd fopen A ρin Pin − for ≤ ≤1 = ṁin Hin − ṁout HT + VT (40)
γ− 1 Pin Pin γ+1 Pin dt dt
( )2(γ−γ+11) ( )γ−γ 1
2 √̅̅̅̅̅̅̅̅̅̅̅̅̅ Pout 2
ṁ = Cd fopen A γρin Pin for0 ≤ ≤
γ+1 Pin γ+1 2.2. Model validation
(34)
Model validation is a crucial step, which determines if the simulation
The valve model mentioned above all ignored the valve resistance,
results of the model are reliable. So far, the model has been validated
while the hydraulic resistance presented by a valve is modeled in mainly from components and system aspects.
Argonne’s model [57] by adopting a modified momentum equation to
We have learned from the above modeling approach that the
calculate the pressure drop. The valve is assumed as a flow contraction turbomachinery is designed as the quasi-state model and the perfor­
followed by a flow expansion. Therefore, the total pressure loss is
mance map is mainly adopted to build the turbomachinery model, so the
expressed as the sum of the forms of contraction and expansion loss. turbomachinery model is relatively reliable. Therefore, the accuracy of
The valve open fraction is defined as the ratio of the open area to the
the heat exchanger model determines the reliability of the system model
total area of the valve:
to a large extent. Currently, qualitative and quantitative validation of
Aopen the heat exchanger model has been performed based on experimental
fopen = (35)
Atotal data. Olumayegun [37] adopts the experimental data from a kW-scale
simple transcritical CO2 cycle test bench to quantitatively validate the
Then the valve loss coefficient can be expressed as follows:
simple recuperator recompression SCBC model because the CO2 during
( )( )
Kv = Kcontr + Kexp = 1.5 − fopen 1 − fopen (36) the heating process in the transcritical and the supercritical cycles both
keeps in the supercritical state. Only the heater model is validated by
Then the open area fraction in the denominator is added to the valve comparing calculation with experiment for outlet temperature and the

Fig. 6. Inventory tank dynamic modeling [24].

10
X. Wang et al.
simulation results are found to agree well with the experimental data, as
shown in Fig. 7. We can infer from Fig. 7 that the average relative error
of the heater outlet temperature between experiments and simulations is
− 6.5%, while keeping the same inputs. Besides, Deng [28] makes a
qualitative verification of the high temperature recuperator with the
experimental data from the solar power field. Concerning the recuper­
ator, the cold side inlet is kept constant, and the response trend of hot
side and cold side outlet temperature is compared with the experimental
data by adjusting the hot side inlet temperature.
Actually, system validation is more convincing than component
validation. At present, only the experimental data from the Korean Di­
vision of Advanced Nuclear Engineering test bench and the SNL test
bench have been adopted to verify the simulation model. Park [38] build
a simulation model of simple SCBC and the compressor is validated
against experimental data at different inlet conditions. It is found that
the simulated compressor inlet and outlet pressure agreed well with
experimental data, while the simulated compressor outlet temperature
is higher about 1.7℃ than experimental data. Then the dynamic
response of the temperature, pressure at the main state point, and the
mass flow rate with the bypass valve in the simulation are found to be
consistent with experimental data, as shown in Fig. 8. Moisseytsev [36]
adopts the plant dynamic code to build the recompression SCBC model
and verifies this model with the SNL experimental data. It is discovered
that the calculated temperature, pressure of the cycle is in agreement
with the SNL experimental data when setting the same input. These
verification results show that the current modeling method has a certain
accuracy and give confidence for subsequent accurately dynamic
simulations.
Apart from the published model validation, our research team also
builds a dynamic model of the RC-SCBC with the simulation platform
named ‘Jingwei’ developed by ourselves, and applied it to perform the
model validation. Wherein, all the heat exchangers are PCHE except for
the heater of CO2. The FV method and the performance maps are
adopted to build the heat exchangers and turbomachinery model,
respectively. The PCHE model is verified using experimental data from
the transcritical CO2 test bench constructed by our team because the CO2
during the heating process in the transcritical and the supercritical
Fig. 7. Model validation against experimental data [37] .
11
Energy and AI 5 (2021) 100078
cycles both keep in the supercritical state. For PCHE, the inlet temper­
ature and mass flow rate are considered as inputs and the outlet tem­
perature of the hot and cold sides are considered as the outputs. The
simulation results with the experimental data are shown in Fig. 9. Eq.
(41) describes the error calculation. Therein, subscript Sim and Exp
indicate simulation and experiment data, respectively. ΔTExp means the
variation range in the Figure Based on Eq. (41) it can be calculated from
Fig. 9 that the max error between experimental data and simulation data
in Fig. 9(c) is 15% and that in Fig. 9(d) is 10%. Therefore, the given
dynamic model can predict the dynamic performance with a certain
accuracy.
( )/
error = Tsim − TExp ΔTExp (41)
2.3. Modeling with AI
In summary, the FV method has been widely applied to develop the
dynamic model of heat exchanger in the SCBC and shown a certain ac­
curacy with the experiment data. However, the accuracy of the model
has not been validated within a large range of SCBC working conditions,
such as during the process of startup and shutdown. As well known, the
dynamic model usually has enough accuracy around the design working
condition, while it may become more and more inaccurate, as the
working condition gets further and further away from the design point.
Therefore, the model usually needs to be calibrated under different
working conditions and this is a quite challenging task. It is the same for
the model of turbomachinery. Although there have been numerous ap­
proaches to developing the turbomachinery models, none of them can
ensure enough accuracy within a large range of SCBC working
conditions.
As the rapid development of Artificial Intelligence (AI), the data-
based modeling method demonstrates advantages in accuracy, such as
Artificial Neural Networks (ANNs), which has already been proved
successful in energy applications. Kalogirou et al. [58] present a detailed
overview of the neural networks in energy applications and emphasize
their potential in modeling energy systems. Kumpati et al. [59] discuss
the application of ANN in identification and control of non-linear
X. Wang et al.
Fig. 8. Model validation against experimental data [36].
systems. Mohanraj et al. [60] present a review of the application of ANN
for modeling heat exchangers. The ANN-based models rely on vast
amounts of data. For example, Son [41] used 50,000 sets of data for
learning the deep neural network (DNN)-based regression model of
turbomachinery to express the off-design performance. Sometimes, it is
hard for an energy system to obtained such sufficient data. Besides, the
ANN-based model total has no physical meaning, and the neural
network is unexplainable, so the model may predict confusing output. It
is believed that the combination of core mechanism model and key
parameters identification based on experiment data and machine
learning is a potential way to obtain an accurate model within a wide
range of working condition.
3. Experimental bench of SCBC
Experimental research is of great importance to understand the
actual performance of SCBC and prepare for the practical application.
The earliest experiment study started in SNL in the USA since 2008. SNL,
Argonne National Laboratory made a mass of experiment to explore the
system performance. The other countries such as Korea and Japan
started to investigate the systematic experimental research of SCBC,
subsequently. Recently, the SCBC projects have gained a substantial
interest and attention in China from both academic and industry. The
layouts of current test loops are assembled in Fig. 10, and the parameters
of the above test loops displayed in Fig. 10 are summarized in Table 5.
The technical progress and system performance of existing and under-
construction SCBC test loops are summarized in this part for under­
standing the latest research progress.
3.1. Sandia National Lab
The SNL research team developed several different types of small-
scale SCBC test loops by phased development approach to design,
fabrication, assemble and operate since 2008 [70,71,72]. Testing results
and design parameters of the first two SCBC test loops including a
compression loop and an un-recuperated Brayton power system are
shown in Ref [61]. Schematic of supercritical compression loop as
shown in Fig.10-a1 using a 50 kW motor driving a radial compressor at
12
Energy and AI 5 (2021) 100078
75,000 rpm with a flow rate of 3.5 kg/s. As shown in Fig.10-a2, a heater
and turbine are added to the compression loop, the remaining design
parameters are consistent with the compression loop. A comparison of
the predicted and measured flow performance for the main compressor
in the SNL test loops demonstrates that the measured main compressor
performance map agrees very well with the predicted data in terms of
predicting the corrected ideal change in enthalpy and efficiency. The
behavior of the loop when the compressor inlet drops below the critical
point is also illustrated. It is noted that the density and flow oscillations
are observed while operating below the critical point. As the key
component of the compression loop, the turbo-alternator-compressor
unit has been operating for over one year to test the performance
including compressor map, the thrust loads, labyrinth seal leakage,
operations in the two-phase region, and operations using gas foil bear­
ings [27]. The major control mechanisms including compressor motor
speed, different valves, inventory tank and cooling water controls are
tested.
The recompression Brayton cycle loop is established by adding a
turbo-alternator-compressor (TAC) and two recuperators to the un-
recuperated Brayton cycle [62]. Both TACs in this closed Brayton
cycle simultaneously for the first time in the world produced 10 kW
power (the main compressor consumed 2 kW) despite the cycle effi­
ciency and total power production were far below optimum design
point. The action process of the recompression cycle from cold startup
conditions through transition to power generation on both turbines and
finally to a safe shutdown are described in detail [73]. Numerous factors
such as turbo-compressor thrust state, CO2 thermodynamic state at the
compressor inlet, compressor surge and stall, turbine pressure ratio are
considered to reduce the risk in commercial development.
The small scale SCBC developed by SNL described above aims at
studying the key issue of compression near the critical point of CO2. In
terms of large equipment, Edward et al. [74]conducted a concept study
on a SCBC for a 200MW scale gas-cooled fast reactor. In solar applica­
tions, SNL planned to develop the turbomachinery for the SCBC which is
capable of achieving DOE SunShot objectives of greater than 50%
dry-cooled efficiency. A 10 MW supercritical CO2 Turbine was devel­
oped and tested, but the joint test facility is not pursued.
X. Wang et al.
Fig. 9. Model validation against experimental data from transcritical test bench.
3.2. Southwest Research Institute
The Southwest Research Institute (SWRI) began to build an inte­
grated SCBC covering large pressure and temperature range (8–28 MPa,
45–700 ◦ C) to test the performances of turbine and heat exchangers,
with the aim of supporting the development of Brayton cycle based on
concentrated solar power [63]. A 1 MW-scale CO2 turbine at speed of 24,
000 rpm was developed and applied to the Brayton loop with the 550 ◦ C
temperature and 20 MPa pressure [75]. In continuous commissioning,
the turbine reached the design speed of 27,000 rpm in 2019 [76]. The
13
Energy and AI 5 (2021) 100078
operating temperature and pressure are 715 ◦ C and 25 MPa respectively,
it gives confidence to the integrated SCBC to produce electricity of MW
level at high temperature and pressure. The system layout of SWRI test
loop is shown in Fig.10-b and the test report of the system experiment is
being expected by the public.
3.3. Bechtel Marine Propulsion Corporation
A 100 kW two shaft R-SCBC with a variable speed turbine-driven
compressor and a constant speed turbine-driven generator was
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 10. Existing test loops of SCBCs.

constructed by Bechtel Marine Propulsion Corporation (BMPC) from While operation at higher turbine-compressor speeds results in unstable
2011 autumn. The turbine-generator is designed at a speed of 75,000 turbine-generator operation [78]. In 2016, the generator output 40 kW
rpm to generate an output power of 100 kW [77]. The corresponding power under the speed of 60,000 rpm [25].
schematic layout is shown in Fig.10-c. The operation including the
startup process and normal power generation of this test facility are
3.4. Dresser-Rand Group INC
demonstrated. The turbine-generator power generation increases with
the turbine-compressor speed with a peak power generation of 17.6 kW.
The Dresser-Rand Group established a 7 to 8 MW-class, commercial-

14
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 10. (continued).

15
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 10. (continued).

16
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 10. (continued).

17
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 10. (continued).

scale SCBC called EPS100, and the individual subcomponents have been components has been confirmed to meet model predicted values for
modeled and tested [64]. The system layout is shown in Fig.10-d. The multiple operating conditions, while the full design-point performance
primary control mechanisms are valves located at key locations and the of the system is not presented.
most important of these are the compressor bypass valve and turbine
throttle valves. Moreover, the compressor inlet pressure is actively
3.5. Korea Institute of Energy Research &Korea Atomic Energy Research
managed at the desired value by inventory control tank. The test results
Institute
indicate that electrical output power levels up to 2.35MW when oper­
ating the power turbine at full speed. Off-design performance of key
A 10-kW-class simple SCBC experimental loop including a turbo-

18
X. Wang et al. Energy and AI 5 (2021) 100078

Table 5
Descriptions of the supercritical carbon dioxide power cycle experimental loops.
Institution SNL SWRI BMPC Dresser-Rand KIER Japan Hua
Group Neng
Cycle type S-SCBC S-SCBC RC-SCBC S-SCBC R-SCBC R-SCBC S-SCBC RC- R-SCBC RC- RC-SCBC
SCBC SCBC

Turbomachinery Compressor TAC TAC TG-C TAC TAC TAC TAC TAC TG TAC
Layout only TAC TG TG TG TAC
Maximum heat / 260 780 11,700 205.3 / 697 1300 160 30 18,300
source power (kW)
Design capacity / / 252 1000 100 7000–8000 10 120 10 / 5000
(kW)
Low/high 31.85/49.65 31.85/ 31.85/ 45/ 36/300 –/485 35.9/ 33.2/ 35/277 35/300 /600
temperature 49.65 537 700 (282) )275( 180 500
(℃) (399) (715)
Low/high pressure 7.69/13.84 7.69/13.84 7.69/13.8 8/28 9.18/ / 7.9/13 7.78/20 8.23/12 5/14 /20
(MPa) (13.6) (25) 16.5
Mass flow 3.51 3.51 5.77 15 5.46 / 3.2 6.4 1.2 0.11 83.3
(kg/s) (8.41) (3.54) )4.8(
Rotating Speed 75,000 75,000 75,000 27,000 75,000 30,000 70,000 70,000 100,000 / 9000
(rpm) (65,000) (65,000) (65,000) (55,000) (30,000) (69,000)
Turbine efficiency / / 86(T1) / 79.1(T1) <82 84 85 65 / 76
/% /87(T2) 79.8(T2)
Compressor 66 66 67(MC) / 60.8 79 70 65 48 / 69
Efficiency /% /70(RC)
Power (kW) / 6 10 / 40 2350 / 1.2 0.11 / /

alternator-compressor unit (using a centrifugal compressor and a radial
turbine) is developed by KIER (Korea Institute of Energy Research) [65].
The preliminary performance test including cold-run test, electric parts
test, the heat/cold source and the turbomachinery has been conducted.
The turbine inlet temperature is controlled successfully by the heat
source bypass position valve. In the 2014 experiment, preliminary
operation at 30,000 rpm, turbine inlet temperature of 83 ◦ C, and pres­
sure of 8.5 MPa was successful, while the power output is not declared.
This research confirms the possibilities of the composition and operation
of the supercritical carbon dioxide turbomachinery and closed-loop
Brayton cycle.
KAERI (Korea Atomic Energy Research Institute) started a research
project for designing a comprehensive test loop since 2013 [79]. At first,
a compressor test loop was manufactured, and a compression test was
conducted. To explore the transient behavior near the critical point
operation, a supercritical CO2 pressurizing experiment loop is con­
structed and utilized to analyze the compressor data near the critical
point of CO2 [80]. In the compressor test experiment, the compressor
speed turns at 35,000 rpm [66]. The electricity of 1.2 kW was produced
in the experiment in 2016 [81]. A series of simulation code called MARS
is developed based on the test loop described above to develop a
whole-loop level cycle operation strategy for a SCBC [38]. Valve con­
trols are used to verify the system behavior, and 50% of the steady state
power output can be varied without any other control methods.
3.6. Tokyo Institute of Technology & Institute of Applied Energy
The Japan Atomic Energy Agency has researched optimal SCBC for
the sodium-cooled fast reactor. Working with the Tokyo Institute of
Technology, the Institute of Applied Energy established a 10 kW simple
recuperated closed Brayton cycle as shown in Fig. 1-f1. 110 W of net
power was obtained at 10.5 MPa/260 ◦ C, and the rotating speed was
69,000 rpm, in 2012 [67]. The Tokyo Institute of Technology integrated
a SCBC test facility to carry out thermal-hydraulic tests [68]. The system
layout with maximum operating pressure and temperature around 14
MPa and 573 K is shown in Fig. 1-f2. Some operation stability tests such
as the compressor efficiency tests, the transition from subcritical to su­
percritical state were carried out to explore the characteristics of SCBC.
3.7. Chinese Academy of Sciences& China HuaNeng Group
The technology development of SCBC has got great attention in
China in recent years. Chinese Academy of Sciences is building a MW
class SCBC text bench. As one module of the full test loop, the heat
transfer performance of a 100 kW class PCHE has been experimentally
investigated [82,83]. The experiment research on the expander shows
that the compressor reached its nominal operation state [84]. At present,
the relevant researches focus on the component stage.
Xi’an Thermal Power Research Institute of China HuaNeng Group is
preparing to set up a 5MW fossil-fired supercritical CO2 power cycle,
design analysis of key components has been completed [85]. Further­
more, the preliminary design assessment of key components such as
boiler, turbomachines and compact heat exchangers has been performed
to demonstrate the technical feasibility of commercial scale utility [69].
The design of a simple recuperated and reheat cycle has been accom­
plished and currently under construction.
3.8. Summary
According to the above review, the design power of the test benches
ranges from tens of kilowatts to megawatts. Usually the lower the system
power level is, the higher the turbomachinery rotating speed is, and high
rotating speed brings challenges in turbomachinery design and opera­
tion. The aforementioned review indicates that the turbomachinery
rotating speed of a small power test loop is always lower than its target
rotating speed, which results in low power conversion efficiency. As the
key component in a SCBC test loop, the turbomachinery needs more
attention. The operation status of the existing integrated SCBC test loops
demonstrates that the maximal achieved power is 2.35MW obtained by
Dresser-Rand Group in 2014 [64], the highest turbine inlet temperature
and pressure is 715 ◦ C and 25 MPa conducted by SWRI in 2019 [76], and
the turbomachinery rotating speed can reach 69, 000 rpm [67]. Exper­
iments conducted above give strong confidence that the SCBC test loop is
not far from practical application.
4. Open loop dynamic performance and control methods of
essential state parameters
The open loop simulation means that the input signal is unaffected by
the output signal of the given system, that is, the system does not
feedback the simulation results to affect the current control. The dy­
namic simulation is typically classified into open loop and closed loop
simulation. The open loop simulation is the basis for studying the dy­
namic performance of the system, which can help us better understand

19
X. Wang et al.
the key features of the system dynamic behavior affected by various
manipulated variables and provide guidance for the development of
control strategies. In this part, the dynamic system performance under
the open loop by changing different manipulated variables are reviewed
and then various control methods of some essential state parameters by
different manipulated variables are discussed in detail.
4.1. Dynamic performance under open loop
For the time being, the open loop simulation of SCBC is primarily
carried out in three boundary conditions: the heat source [33,37,38,86,
87], the cold source [86,38] , and the valve opening [38].
Olumayegun et al. [37]build a RC-SCBC to recover waste heat from
industrial process to generate electrical power of 5 MW. The open loop
simulation of this system is performed to investigate the dynamic per­
formance under the step decrease in exhaust gas temperature. It is
discovered that a decline in exhaust gas temperature leads to a reduction
in the net power output of the system to almost zero and makes the
system unstable. More importantly, the compressor outlet pressure
reaches up to 40 MPa, which exceeds the maximum pressure that this
system can withstand. Therefore, it is essential to implement controls for
the safe and stable operation of the system. Lambruschini et al. [33]
build a 10 MW RC-SCBC model and make an open loop simulation
consisting of a 10% decrease in the heat input without any other
modification to the system or active controls. It is discovered that the
temperature, pressure of each point all decrease with the decreased heat
input. Park et al. [38] model the SCBC named MARS and validate the
performance of key components and the whole system against experi­
mental data of the SCBC test bench. Based on this verified model, the
effects of the bypass valve, power swing, and heat sink reduction on the
mass flow rate, temperature, and pressure of the system are investigated.
Osorio et al. [86]study the dynamic behavior of a concentrated solar
power simple R-SCBC with multi-stage compression and expansion in
the typical clear sky and partially cloudy sky under different seasonal
conditions. It is found that this system obtains greater efficiency due to
lower dissipation temperatures in winter. Besides, the instantaneous
efficiency fluctuates exponentially due to the irregular energy input, and
Fig. 11. The main valves position of RC-SCBC.
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Energy and AI 5 (2021) 100078
some sharp peaks during winter, summer. Van et al. [87] build a model
of R-SCBC integrated with a concentrated solar power to explore the
dynamic performance of key components, including the output power
and efficiency of the turbine changing with the increased mass flow rate
and varying heat flux input.
Based on the above studies, we can find that the existing open loop
simulation is primarily focused on the interaction of heat input swings
on the system, then followed by a small amount of research on cold
source swings and valve opening. However, in the practical operation of
the SCBC, except for the swing of heat and cold source, the rotational
speed of the turbomachinery, the opening degree of the control valve,
and the filling and discharging of the storage tank all have a significant
impact on the safe and efficient operation of the system. Although these
operation variables have been applied in the control of the system, it is
necessary to make a clear description of their influence on the dynamic
performance of the system, giving a legible guidance for selecting the
control variables and control approaches.
4.2. Control methods of essential state parameters
During the operation process of SCBC, many state parameters need to
be controlled to ensure the safety and efficiency of the system. Some
control variables are essential for all test loop such as compressor inlet
temperature and pressure, turbine inlet temperature, and surge margin
of compressor, which play important role in preventing hot leg alarm or
cold leg into the subcritical region. For each parameter, there are various
control methods with different manipulated variables such as different
valves, turbomachinery speed, heat and cold source, and so on. For easy
understanding, the typical manipulated variables are marked in Fig. 11
which is a typical structure of RC-SCBC. Almost all the manipulated
variables in different common SCBC layouts mentioned in the below
literature review can be found in this Figure. These control methods will
be introduced in detail in the below content. However, at present, the
research about the specific controller is rare and almost all the con­
trollers used in SCBC are PID.
X. Wang et al.
4.2.1. Main compressor inlet state parameters
The state of the CO2 at the main compressor inlet usually operates
near the critical point (31.3℃, 7.38 MPa), where the physical properties
of the CO2 change dramatically and have a great influence on the system
performance; thus, it is of great significance to maintain the compressor
inlet state to prevent cold leg into the subcritical region. The compressor
inlet temperature and pressure are usually controlled to maintain the
stable operation [24,34,88], and the manipulated variable is usually the
cold source or some control valves. The main compressor inlet temper­
ature (MCIT) is commonly controlled by cold source mass flowrate [43,
89]: the actual compressor inlet temperature is compared with the set
point signal to adjust the cooling source mass flow rate by changing the
position of the cooler valve (V1 in Fig. 11) or rotation speed of the cooler
pump. Besides, it has been proved that dry air [90] or cooling water [91]
mass coupling with cooler bypass valve control (V2 in Fig. 11) is a very
effective way to control MCIT. Moisseytsev et al. [92] include a cooler
bypass derivative control to maintain the MCIT, but the single cooler
bypass valve (V2) is out of operation when the MCIT is expected to
decrease much, it has to cooperate with cold source mass flow rate
control.
The compressor inlet pressure is usually maintained by injecting or
rejecting CO2 into or from the system [93,35]. Clementoni et al. [26]
point out that the loop pressure is a function of the CO2 mass in the
entire system during normal operation. For example, to maintain the
compressor inlet pressure at the setpoint value, Avadhanula et al. [22]
use an inventory tank to inject or withdraw the CO2 fluid into or from
the main system. Few researchers use valves to control the compressor
inlet pressure. Olumayegun et al. [37] investigate the dynamic perfor­
mance of a supercritical CO2 power cycle under changes in exhaust mass
flow and temperature. The compressor inlet pressure and temperature
are controlled by the recuperator throttle valve (V9 in Fig. 11) and
cooling water mass flow rate, respectively.
4.2.2. Turbine inlet temperature
Turbine inlet temperature (TIT) as another important state param­
eter affects the system power directly and is also associated with the
system security. The TIT can be controlled by various methods, such as
heat source mass flowrate, different valves, inventory tank, and
compressor speed [43,89,65]. Luu et.al [34] highlight that it must
control the right combination of TIT and CO2 split ratio to achieve the
highest thermal efficiency, and the TIT is controlled by heat source mass
flow rate which affects the input heat into the system. Moreover, the TIT
can be controlled by valves such as the turbine bypass valve (V4 in
Fig. 11) [37], because the valve position can change the CO2 mass flow
rate through the heater.
There are other control methods to maintain the turbine inlet con­
ditions. Matteo et al. [94] assess the most suitable manipulated variables
to control the TIT by steady-state analysis, and the mass flow rate
adjusted by inventory tank performs the best due to the small impact on
turbine performance. The inventory tank is set between the turbine and
compressor as shown in Fig. 11. The CO2 mass flow rate can be changed
by injecting or withdrawing the CO2 fluid into or from the main system
(inventory control) and a first order relationship between the system
mass flow rate and the TIT is considered. Thus, the TIT can be controlled
through inventory control. Du et al. [30] use the compressor speed to
control TIT, because the CO2 mass flow rate can be affected by changing
the compressor rotation speed. In the control loop the TIT is the target
parameter. When there is an error between the actual TIT and the set­
point value, the differential signal is sent to a PID controller to control
the main compressor rotation speed, changing the CO2 mass flow rate.
4.2.3. Compressor surge control
Compressor surge is a phenomenon which brings abnormal vibration
of compressor and seriously affects the system performance and even
damages the turbomachinery. Compressor surge protection is commonly
achieved by adjusting the turbomachinery rotation speed [73] or valves
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Energy and AI 5 (2021) 100078
control [43,95]. During the power generation process of Sandia’s SCBC
test-loop, turbine speed is successfully controlled to prevent surge con­
ditions [73]. Surge appears when the mass flow rate decreases to a
certain extent; thus, the mass flow rate can increase by boosting
turbomachinery rotation speed to avoid surge.
Moreover, the compressor recirculation valve such as V11 in Fig. 11,
and the compressor throttling valves such as V10 and V12 are also
effective methods to prevent surge. Eric et al. [26] present a
thermal-hydraulic lead control strategy for SCBC power cycle over a
wide range of conditions. The surge margin is maintained by controlling
the opening of compressor recirculation valve (V11 in Fig. 11). It is
proved that the control method works well over a wide range of con­
dition. Michael et.al [32] develop a model of RC-SCBC, recompressor
speed is controlled to maintain the pressure ratio, main compressor and
recirculation flow control valves (V11 in Fig. 11) are used to follow load
and surge margin, respectively. Moreover, Gao et al. [95] develop a
S-SCBC model and the compressor throttling valves (V10, V12 in Fig. 11)
are also adopted to control compressor-choking and provide strong
stability of the control system.
4.2.4. Other parameter control
The aforementioned control variables are considered to be essential
in most researches. Other control variables such as heat exchanger inlet
temperature, flow-split fraction and compressor speed are sometimes
used during the system operation. In literature [91] a high temperature
recuperator bypass valve (V7 in Fig. 11) is introduced to control heat
exchanger inlet temperature, thereby enabling more active reactor
controls. The flow-split fraction can be actually changed by many
manipulated variables such as valves at different positions, compressor
speed and so on to optimize the system efficiency, but it is not focused in
many former researches. In literature [23], the authors point out that the
split fraction can be controlled by valves at the outlets of the main
compressor and recompressor (V5, V10 in Fig. 11), or the compressor
speed. The compressor is usually driven by a shaft motor or a separate
turbine, so it can be controlled by the motor speed or compressor
recirculation valve [25,26].
4.2.5. Control with AI
Most of the published researches have focused on control strategies
and existing control strategies introduced above are all accomplished by
PID controller, no matter in many simulation researches [32,43,90,94]
or experimental researches [25,78]. For example, Matteo et al. [94]
propose an inventory control strategy during transient heat load profiles
based on a 50 kW model and the PI controller shows good accuracy and
dynamic performance to regulate the turbine inlet temperature. Liese E
et al. [43] control the TIT and MCIT by the mass flow rate of natural gas
and cooling water. A gain schedule PID is introduced to the control
structure of the TIT and MCIT temperature controllers due to the long
settling time and oscillatory nature of SCBC responses to disturbances.
In other thermodynamic systems such as Organic Rankine Cycle
(ORC), many advanced control algorithms have been applied, such as
various kinds of model predictive control (MPC) [96], dynamic pro­
graming [97] and so on. The model of SCBC may be too complex for
these model-based control algorithms. However, as mentioned in Sec­
tion 2.3, the model can be learned by ANN with satisfactory accuracy,
and then the computation task is reduced greatly. Therefore, the
ANN-based MPC has been used in thermodynamic system control such
as in literature [98]. Recently, our group has proposed new control al­
gorithms based on deep reinforcement learning (DRL) for thermody­
namic systems [99]. DRL is the combination of DNNs and reinforcement
learning (RL) [100]; thus, DRL has both the strong nonlinear perceptual
capability of DNNs and the decision-making ability of RL, which makes
it able to solve numerous complex control problems. Owing to these
standout advantages of DRL, we have proposed two kinds of DRL-based
control algorithms for tracking the superheat of ORC as shown in Fig. 12.
One directly uses the DRL agent to learn the control strategy of
X. Wang et al. Energy and AI 5 (2021) 100078

Fig. 12. The DRL-based control method for superheat in the ORC [99].

22
X. Wang et al.
superheat tracking (DRL control), and the other uses the DRL agent to
optimize the PID parameters (DRL-based PID control). Both of them
exhibit much better performance than the traditional PID controller. In a
study case, under the DRL control the average setpoint tracking error is
only 0.19 K, while that of the traditional PID control is 2.16 K. The
successful application of DRL on ORC is believed as a good reference for
other thermodynamic systems such as the control of various state pa­
rameters in the SCBC.
5. Control strategy for load following
In the actual process, the SCBC usually needs to follow the load de­
mand. There are many kinds of control strategies for load following with
different performance, and they can be roughly divided into valve
control, heat source control, inventory control and turbomachinery
rotation speed control. Various control strategies can be combined to
achieve better system performance, but the more complex the control
strategy, the more challenging it will bring to control system. In this
section, some key load-follow control strategies, including valve control,
heat and cold source control, inventory control and turbomachinery
rotation speed control, are discussed in detail. The existing control
strategies studied in literature are mainly for R-SCBC and for RC-SCBC.
5.1. Valve control
Valve control with the performance of quick dynamic response in­
cludes throttle valve and bypass valve control. All valves perform the
same function to reduce or prevent flow by changing the flow area of the
working fluid, thereby changing the heat absorption and power output
of the system Some valves perform best in fully open or closed positions.
Others serve the purpose of flow control or throttling flow to a desired
pressure. Turbine bypass valve, turbine throttle valve, heat source
bypass valve and compressor bypass valve (V4, V3, V14, V11 in Fig. 11)
and so on are usually used to control the system load. Gao et al. [95]
propose a set of controllers for a SCBC. Three various bypass control
options (the V4, V14, and V11 in Fig. 11) are used for generator power
control and the bypass valve locating from recuperator to cooler (V11)
Fig. 13. Inventory tank layout of recompression SCBC
Layout 1: [23,34,40,43,89]; Layout 2: [22,88].
23
Energy and AI 5 (2021) 100078
stands out due to its high efficiency, this conclusion is consistent with
the opinion of literature [23]. Heifetz et al. [101] study the load
following performance of RC-SCBC and point out that turbine bypass
valve (V4) controller responses faster compared with inventory
controller, while efficiency is reduced during the steady-state operation
under turbine bypass control. However, it is pointed out in literature
[24] that this bypass valve (V4) brings the largest thermal stresses owing
to the high temperature difference. In many of the former researches, to
meet the load change demand more quickly, the turbine throttle valve
(V3) is used. With reducing the mass flow rate of CO2 and pressure ratio,
it can decrease the turbine power [23,24].
In addition, valve control is often used in conjunction with other
control strategies, such as inventory control, to achieve better perfor­
mance and ensure safety when following load. Moisseytsev et al. [90]
carry out studies about load following control for a 100MW SCBC, in­
ventory is mainly used to follow load and the turbine bypass valve (V4)
is used for precise load control to compensate the tracking error of in­
ventory control. Oh et al. [102] prove that heat source bypass valve
control coupled with inventory control gets the higher cycle efficiency
compared with turbine throttle valve (V3) control during the load
change process.
5.2. Inventory control
Inventory control reduces or increases the system load by extracting
working fluid from the system or by charging it into the system. Its basic
principle is to change the system load by changing the circulating
working fluid flow rate in the system. Inventory control can maintain
high cycle thermal efficiency during load-following operation while the
main drawbacks are slow response rate and the finite capacity of the
inventory tanks. Fig. 13 demonstrates two inventory tank layouts, layout
1 is adopted for the majority and layout 2 for the minority. In layout 1,
the volume of the inventory tank is usually fixed, and the working fluid
is injected into the tank behind the compressor or filled into the system
in front of the cooler according to actual demand. Inventory tank con­
tains CO2 at an intermediate pressure between the high- and low-
pressure legs of the cycle, so that the flow can be controlled by the
X. Wang et al. Energy and AI 5 (2021) 100078

pressure gradient. In layout 2, the volume of tank 1 and tank 2 are 5.3. Turbomachinery rotating speed
generally thought as infinite and used to inject CO2 with a pump and
reject CO2 with a valve, respectively. In some other forms of layout 2, the Adjusting the compressor speed can change the mass flow rate of CO2
two tanks are combined into one with two ports. In both layouts of the and the pressure ratio; thus, the system power can be changed. This
inventory control, the system power is decreased by rejecting the CO2 control method is usually more suitable for non-coaxial system of tur­
from the system to inventory tank, and regained by injecting the CO2 to bine and compressor.
the system. In literature [25,26], the relationship between turbine-compressor
Decrease in system net power significantly reduces thermal effi­ speed and system power is described as a lookup table obtained by
ciency. To mitigate that undesirable outcome, the inventory tank can be using model predictions, and the power is controlled by adjusting the
directly controlled to follow the demand load [23,40] or through the turbine-compressor speed setpoint. Turbine-compressor speed is
corresponding relationship between intermediate variables such as tank controlled by the position of compressor recirculation valve (V11), using
pressure and network [34,43] to realize load following. Singh et al. [40] a PI controller to track the setpoint speed. At the same time, the heat
propose an extremum-seeking controller (maximizing power generation source power is controlled to maintain constant turbine inlet tempera­
while keeping cycle turbine inlet temperature and pressure below design ture. In literature [32], the control system also decides the main
limits) to maximize the system power output as the load changes based compressor speed to meet the load demand. The compressor speed is
on a SCBC model, and the error signal of net power is reduced directly by adjusted by changing the power of compressor shaft motor generator.
controlling the mass flow rate of inventory tank. The results indicate that Meanwhile, the compressor recirculation valve (V11) is automatically
maximal power achieves by manipulating the CO2 inventory controller. adjusted according to a table lookup such that when the compressor
Liese E et al. [43] present transient simulation results for a 10 MW speed change finishes, the power of compressor shaft motor generator
RC-SCBC pilot plant. During the load following process, control variable restores to zero.
and manipulated variables are tank pressure and inlet/outlet valves of
inventory tank, respectively, the system load is indirectly followed by
5.4. Heat source control
controlling the tank pressure. The operation and control of the load
following with a load reduction from design value to part load and
As mentioned above, heat source is usually used to control the TIT,
subsequent increase are discussed. Results show that inventory control
while if the TIT is controlled by other methods or neglected, adjusting
allows accurate load following. Inventory control has been proved by
the heat source can be used to control the input heat into the SCBC for
many researchers such as Carstens [23] to be a very effective load
changing the system output power. In literature [23] the mass flow rate
control method, while it subjects to long response time and narrow load
of the heat source is used to follow the load demand, and the inventory
change range. Milani et al. [35] propose a solar-assisted RC-SCBC. The
control is used to keep the TIT. The study results show accuracy tracking
inventory tank is used to control TIT and the load following can be
performance. In literature [31] the power of heat source (nuclear
achieved according to the function relationship between TIT and
reactor) is also controlled to follow the load demand, but the main
network. They conclude that the inventory control may be only suitable
compressor rotation speed is controlled for three different targets,
for power drops which are significant and stable due to the large time
respectively, which are constant CO2 mass flow rate, constant TIT, and
constant of the process and the temporary disturbance caused by the
an optimized pressure ratio scheme. The three different control strate­
withdrawal/addition of CO2.
gies are compared and the results indicate that the optimized pressure
The inventory control methods described above are all based on a
ratio has the advantages of the both other control strategies.
fixed volume of inventory tank. However, it is not clear how the optimal
volume of inventory tank can be accurately decided in practice. Besides,
the long response time and narrow load change range of layout-1 needs 5.5. Summary
to be improved. Consequently, the design parameters of inventory tank
volume have been provided to be important [24]. It is also concluded by Based on the above review, it can be found that there are many kinds
Yan [103] that inventory control provides a means of maintaining cycle of control strategy to follow the load and each control strategies has its
efficiency while operating at part load, and the location of inventory own advantages and disadvantages. The main characters of different
tank is of great significance. In Korea Advanced Institute of Science and
Technology [88], an inventory tank is modeled to assess various control Table 6
schemes in terms of response and efficiency. They determine initial Characters of different control methods.
thermodynamic states of inventory tanks based on the part load results Method Mechanism Advantage Disadvantage
with an infinite volume of inventory tank, and conclude that control
Inventory Change the density and high cycle Slow response
scheme with layout-2 is more available to meet the part load response mass flowrate by the efficiency Narrow load change
and efficiency, compared with layout-1(shown in Fig. 13). withdrawals or additions range
It can be concluded from the above load following control strategies of CO2 to adjust the load High design cost
that the valve control response faster than inventory control, while the Compressor/ Change the compressor/ Fast load Great challenge
turbine speed turbine speed to change change When compressor
inventory control is more efficient. To achieve both fast dynamic the mass flowrate and turbine are
response and high system efficiency during load following process, coaxial
Heifetz et al. [101] demonstrate an efficient algorithm for quick Complex operation
response to a demand for change in load using the turbine bypass under multiple
components
controller, followed by cycle control transfer to inventory mode. The
Valve Bypass or throttling the Quick Low cycle efficiency
primary interest of their research is designing a mixed-mode control fluid to change mass response Narrow load range
algorithm to transfer turbine bypass control to inventory control grad­ flow rate or pressure Varied under some valves
ually, while keeping tracking load all the time. The cycle efficiency can layouts
be improved when turbine bypass controller is totally passed to the in­ Simple
operation
ventory controller. However, switching control strategies directly can Low cost
result in a power spike, owing to the large discrepancy between the time Heat source Change the heat input Safe Slow response
constants of the two controllers. operation
Simple
operation

24
X. Wang et al. Energy and AI 5 (2021) 100078

control methods are summarized in Table 6. Actually, every kind of
control strategy is a combination method. For example, in inventory
control strategy for following load, the TIT needs to be controlled by
certain methods such as compressor speed, different valves and heat
source. Similarly, in other load following control strategies, the TIT
needs to be controlled by other methods. At the same time, in some
literature the split ratio in compression SCBC is adjusted via valves or
compressor speed to optimize the system efficiency. There are too many
manipulated variables and combination modes which can affect the
power-level and efficiency of the SCBC; thus, now it is hard to find the
most efficient load following strategy during the whole operation pro­
cess. In future research, if the accuracy model of SCBC can be learned
exactly by data-driven methods such as DNN with a great reduction of
computation time, the model-based algorithm will be able to optimize
the load following control strategy. In addition, the authors think the
DRL is also a potential method to learn the optimal load following
control strategy, owing to its strong ability to solve complex control
problems. The load following control is a decision-making process and in
some ways, it is similar to the process of AlphaGo and Atari games in
which the DRL has achieved remarkable breakthroughs.
6. Control strategy for startup/shutdown
System operating stage usually consists of five periods: startup,
break-even, partial load, full load and shutdown. Among them, startup
and shutdown as two key transition stages have an important impact on
the safety and stability of the system operation. To the author’s
knowledge, there are few published researches involving the startup and
shutdown of SCBC. In order to guarantee the safe and efficient operation
of system during these transition modes, dynamic process characteristics
and appropriate control strategies and algorithms are supposed to be
carefully investigated.
Table 7 shows some works related to startup and shutdown of SCBC,
and two of them are experimental researches. Conboy et al. [73]have
tested a RC-SCBC system plant at SNL in different operation modes
including startup, break-even, power generation and shutdown. They
demonstrate that proper CO2 filling before startup contributes to
avoiding two-phase condition at the compressor inlet during operation.
Two turbo-alternator-compressors (TAC) are adopted in their test bench
and two turbines are arranged in parallel on the flow path. As for cold
startup, two TACs are both firstly dragged to an idle speed of 25,000 rpm
during a short period. Meanwhile, the turbine bypass valve is main­
tained fully open for avoiding flow reversal at turbine path during the
initial period. About 10% of the nominal heater power is utilized to
achieve increment of CO2 temperature at heater outlet by 5 K/min. The
bypass valve is gradually turned down when the turbine inlet temper­
ature is near 300 K, and it is fully closed once the required turbine inlet
temperature (400 K) is reached. The shutdown process is executed by
shutting off the heater rapidly and removing the operator speed control
of turbomachinery which means turbomachinery would rotate freely
Table 7
Research concerning startup and shutdown process of supercritical CO2 power
system.
Authors Institutions Cycle Test and /or Startup and/
configurations Simulation or shutdown
Conboy et al. SNL RC-SCBC Test Startup and
[73] shutdown
Clementoni BMPC R-SCBC Test Startup and
et al. [78] shutdown
Hexemer et al. BMPC and RC-SCBC Simulation Startup
[32] KAPL
Luu et al. USYD RC-SCBC Simulation Startup
[93]
Liese et al. NETL RC-SCBC Simualtion Startup and
[43] shutdown
with zero-load. Once TAC speed comes back to the idle, turbines are
turned off quickly and cooling water is continuously pumped to take
residual heat away. Clementoni et al. [78] carry out an experiment on
R-SCBC system. The test bench adopts two parallel turbines to drive
compressor and generator, respectively. They emphasize the CO2 filling
before the loop startup likewise and point out that some CO2 may be
added or bled due to leakage or oscillation during system operation.
They employ an intermediate heat exchanger and electric water heater
to warm up the loop CO2 before turbomachinery startup. Once the
required inlet condition (e.g. above 8.5 MPa and 31 ◦ C) for
turbine-compressor is satisfied, the turbine-compressor is firstly started
and motored to an idle speed of 37,500 rpm. The turbine-generator is
motored to a same idle speed after 30 to 60 s. As the turbomachinery
speeds up, the compressor recirculation valve is repositioned to smaller
opening for sending more CO2 flow through two turbines. As for the
shutdown, the system is cooled down to cold idle operation state by
increasing cooling capacity. Once the turbine inlet temperature is cooled
down to 74 ◦ C, turbine-compressor and turbine-generator are simulta­
neously decelerated and finally stopped from 37,500 rpm by removing
motor power and applying braking to the shafts. The system is safely
shut down at this point.
With regard to system simulation concerning startup and shutdown,
Hexemer et al. [32] implement a transient simulation for RC-SCBC
startup process. When the target conditions (turbine inlet temperature
of 65.6 ℃, main compressor inlet conditions of 37.8 ℃ and 8.62 MPa)
are satisfied with preheating process, the main compressor is motored to
an idle speed which can assure adequate surge margin and large pres­
sure ratio. The recompressor is isolated during the initial period for the
main compressor to provide sufficient CO2 flow. The main compressor
speed is dragged from 37,500 to 42,000 rpm before motoring the
recompressor to the idle speed for preparing applicable pressure ratio
balance. The cooperation of control valves such as two recirculation
valves and inlet and outlet isolation valves contribute to the fast and safe
join of recompressor. In addition, the automatic speed setpoint of
recompressor is used to adjust the recompression pressure ratio to follow
the main compressor pressure ratio. Luu et al. [93] present a startup
operation simulation of a solar-driven RC-SCBC. In the system model, a
turbine is applied to offset the main compressor power consumption and
generate electricity and a motor is used to drive the recompressor. The
startup scheme is starting the system regenerative part firstly and then
introducing the recompression flow path. The inventory tank is initially
used to charge required CO2 into system. Then, system components
except recompressor are activated to form a simple regenerative cycle
configuration and the turbine inlet temperature gradually increases by
heat from auxiliary fossil-fuel back-up. When the steady state of
regenerative cycle is approaching, the recompressor is started and its
inlet is connected to inventory vessel during this period. After a while,
the recompressor inlet is gradually switched to system loop and thus the
startup preparation is successfully completed. Liese et al. [43] conduct a
simulation including warm shutdown and subsequent warm startup
process for a 10 MW RC-SCBC. In their plant design, the turbine is on the
same shaft with bypass compressor and generator, while the main
compressor is motored separately. It should be noted that, warm shut­
down means that temperature and pressure of the system drop to a low
level but the system is not completely shut down. This safe shutdown can
be conveniently achieved with some reserving heat which contributes to
a fast system restart called warm startup. During the warm shutdown,
opening of outlet valves of two compressors and inlet valve of turbine is
ramped down with the reduction of fuel used for combustion. As con­
cerns the speed of turbomachinery, the separate main compressor de­
celerates firstly and the bypass compressor and turbine follow after a
while. Meanwhile, two bypass valves of compressors are applied to
ensure sufficient surge margin. The following warm startup is similar to
the reverse process of warm shutdown and not described anymore.
According to literatures above, vital steps of startup and shutdown
process of SCBC are concluded in Table 8. It can be noted that most

25
X. Wang et al.
Table 8
Vital steps of startup and shutdown process of SCBC.
Institutions SNL BMPC BMPC and KAPL
Phase 1 Started two TACs Preheated Preheated
Phase 2 Preheated Started turbomachinery Started compressors
Phase 3 Turned down Turbine Turned down compressor Opened recompressor isolation valve
bypass valve recirculation valve and closed recirculation valve
Shutdown
Phase 1 Shut off heater Cooled down / /
Phase 2 Removed operator Removed motor power and / /
turbine speed control applied braking
Phase 3 / / / /
startup process requires the compressor inlet to reach a given state. In
addition, the recirculation path of compressor is generally activated in
order to prevent surge in both startup and shutdown period. Specifically,
the bypass of turbine during startup process which can be observed in
SNL’s work is worth learning in the view of turbine protection. The work
presented above provides impressive contributions in startup and
shutdown of SCBC. However, the convincing validation between simu­
lation and experiment about startup and shutdown of SCBC is absent
thus far. In addition, the reasonable performance evaluation between
different startup/shutdown control strategies needs to be investigated in
detail.
Conclusions
In recent years, the supercritical carbon dioxide (S-CO2) Brayton
cycle has been regarded as a promising and next generation power
conversation system, owing to its high efficiency, compact components,
applicability for various kinds of heat sources and so on. This work has
presented a thorough review of the dynamic performance and control
strategy of supercritical CO2 Brayton cycle, including the dynamic
simulation model, experiment test bench, open loop dynamic system
performance, control methods of essential state parameters, control
strategies of load following and startup/shutdown. The main conclu­
sions and challenges are presented as follows:
1) In the dynamic simulation model of SCBC, the heat exchangers,
valves, pipes and inventory tanks are usually mechanism models,
and the FV method is widely applied to develop the heat exchanger
model. The turbomachinery is usually an empirical model. The SCBC
model has been validated by some experiment researches and shown
a certain accuracy. However, the model accuracy has not been
validated within a large range of working condition. As the rapid
development of AI, it is believed that the combination of core
mechanism model and key parameters identification based on
experimental data and machine learning is a potential way to obtain
an accurate model within a wide range of working condition.
2) The operation status of the existing integrated S-CO2 test loops
demonstrate that the maximal achieved power is 2.35MW obtained
by Dresser-Rand Group in 2014, the highest turbine inlet tempera­
ture and pressure is 715 ◦ C and 25 MPa conducted by SWRI in 2019,
and the turbomachinery rotation speed can reach 69,000 rpm in
2012. Experiments conducted above give us strong confidence that
the SCBC test loop is not far for practical application.
3) For each essential state parameters in the SCBC, various control
methods have been developed by different valves, compressor speed,
inventory tank, or heat and cold sources. However, the specific
controllers applied in most published researches are all PID con­
trollers. Therefore, in future research more advanced control algo­
rithms such as model predictive control can be tried to apply. In
26
Energy and AI 5 (2021) 100078
USYD NETL
Startup
Started regenerative part Increased fuel and turned up
throttle valves
Pumped CO2 into loop Ramped up compressors
speed
Connected recompressor Turned down compressor
inlet to loop recirculation valves
Reduced fuel and turned
down throttle valves
Ramped down compressors
speed
Turned up compressor
recirculation valves
addition, the authors think deep reinforcement learning will be a
potential method to control the state parameters in SCBC.
4) There are too many manipulated variables and combination modes
which can affect the power-level and efficiency of the SCBC; thus,
now it is hard to find the most efficient load following strategy
during the whole operation process. As the rapid development of AI,
if the accuracy model of SCBC can be learned exactly by machine
learning such as DNN with a great reduction of computation time,
the model-based algorithm and deep reinforcement learning will be a
potential method to obtain optimized control strategy. There are
only a few published researches on the startup/shutdown, and the
vital steps of the process are similar.
Declaration of Competing Interests
The authors declare that they have no known competing financial
interests or personal relationships that could have appeared to influence
the work reported in this paper.
Acknowledgements
This work was supported by the National Natural Science Foundation
of China (51906173) and Postdoctoral Science Foundation Grand
(2019TQ0227).
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