Heat Pumps
Herbert W. Stanford, III
Contents
27.1 Heat Pump Concept......................................................................................................... 679
27.2 Air-Source Heat Pumps................................................................................................... 682
27.2.1 Premium Efficiency Air-Source Heat Pumps................................................. 682
27.2.2 Cold Climate Air-Source Heat Pumps............................................................684
27.2.3 Dual Fuel Air-Source Heat Pumps..................................................................684
27.3 Water-Source Heat Pumps..............................................................................................684
27.3.1 Closed-Circuit Water-Source Heat Pump Systems........................................ 685
27.3.2 Closed-Circuit Geothermal Heat Pump Systems.......................................... 685
27.3.3 Open-Circuit Geothermal Heat Pump Systems............................................ 691
27.3.4 Gas-Fired Engine-Driven Heat Pumps........................................................... 691
27.3.5 Heat Recovery Chiller/Heat Pump System.................................................... 691
27.3.6 Variable Refrigerant Flow Heat Pump System............................................... 692
27.4 Advanced-Technology Heat Pumps.............................................................................. 693
27.4.1 Absorption Cycle Heat Pumps......................................................................... 693
27.4.2 Solar-Assisted Heat Pumps............................................................................... 694
Bibliography694
679
2016 Taylor & Francis Group, LLC
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As shown in Figure 27.1, the vapor-compression refrigeration system consists of four components that perform these four steps. The compressor raises the pressure of the initially
low-pressure refrigerant gas. The condenser is a heat exchanger that cools the high-pressure gas so that it changes phase to liquid. The expansion valve (or other pressure-reducing
device) controls the pressure ratio, and thus flow rate, between the high- and low-pressure
regions of the system. The evaporator is a heat exchanger that heats the low-pressure liquid,
causing it to change phase from liquid to vapor.
High
pressure
Low
pressure
Expansion
Valve
Liquid
gas
Condenser
Evaporator
Compressor
High
pressure
Low
pressure
Figure 27.1
Schematic of basic vapor-compression refrigeration cycle.
Liquid
gas
Heat Pumps
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For any heat pump utilizing the vapor-compression refrigeration cycle, there is a fifth
element required: a reversing valve. This allows the condenser and evaporator heat exchangers to switch roles as the system switches from providing cooling to providing heating and
vice versa by reversing the direction of refrigerant flow between these two components.
The amount of energy consumed by the compressor is dictated by the lift or pressure
increase that the compressor must provide to raise the pressure/temperature of the lowpressure, low-temperature vapor that enters to the high-pressure, high-temperature vapor
that leaves. On the low-pressure, low-temperature side of the system, refrigerant conditions
depend on the temperature needed to provide required sensible cooling and dehumidification (typically about 45F [7C]), while the high-pressure/hot side refrigerant must be at
conditions that allow it to condense at ambient temperatures of 105F125F (51C65C).
If condensing temperatures are lowered to the heat sinks temperature condition, then the
required lift is decreased and required energy input to the compressor also decreases.
The type of heat pump is typically defined by the environmental component that is used
as a heat source, from which heat is extracted when providing heating, and heat sink, to
which heat is rejected when providing cooling. The heat source/sink may be atmospheric
air, directly or indirectly; the ground; or large water sources, such as lakes, rivers, or
oceans. Subtypes of heat pumps are also sometimes defined on the basis of heat transfer
media utilized: air, refrigerant, or water.
Vapor-compression cycle heat pumps have been available since the 1950s and factorybuilt heat pump units are widely used in residential and light commercial applications in
mild climate regions, mostly in the South. However, since the early 2000s, the energy efficiency of these units, both air source and water source, has been improved dramatically:
Variable air volume supply air: Variable indoor airflow provided by the use of electronically commutated motors (ECMs). ECMs are DC motors that function using a built-in
inverter and a magnet rotor and as a result are able to achieve greater efficiency
inairflow systems than conventional permanent split capacitor (PSC) motors used in
the past. Initially, silicon rectifier controllers were added to PSC motors to provide
variable speed control. But, as PSC motor speed was reduced, efficiency suffered,
falling from 65%70% to as low as 12%. ECMs, on the other hand, maintain a high
level (65%75%) of efficiency over almost its full speed range. Additionally, unlike
PSC motors, ECMs are not prone to overheating and do not require additional
measures to offset the generation of heat.
By varying the indoor airflow rate in response to the imposed cooling and heating loads, indoor fan energy consumption is reduced significantly since no heat
pump system is required to operate at peak capacity more than a few hours each
year. Additionally, when providing cooling, variable airflow results in much better humidity control than provided by older, single-speed systems, a real boon for
installations in the South.
Variable speed compressor(s): Variable compressor speed/load control provides a better
match between the imposed load and the compressor capacity. Older, single-speed
compressors cycled on and off as the imposed cooling/heating load was reduced,
resulting in thermal losses at the beginning and end of each run cycle. The next level
of improvement was to provide two-speed compressors and, for the last 10years or so,
fully variable speed compressors. Some very high-efficiency systems even use multiple variable speed compressor configurations in which one compressor is used during normal part load operation and the second is used only during peak load conditions.
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Variable heat sink/source medium flow: For both air-source and water-source heat
pumps, variable sink/source flow is being applied to reduce energy consumption
required for air or water transport.
Demand defrost control: For air-source heat pumps, demand defrost control is incorporated to minimize energy losses associated with the buildup of frost or ice on the
outdoor heat exchanger when the unit is providing heating.
And vapor-compression cycle heat pumps now typically utilize R-410A or R-134a refrigerant in lieu of the older R-22 refrigerant that is no longer available, significantly reducing
the potential for atmospheric ozone depletion and warming in the event of a refrigerant
leak. The refrigerant change has resulted in the heat transfer area of both indoor and outdoor heat exchanges being increased, improving both cooling/heating performance and
energy consumption even further.
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Heat Pumps
ASHRAE has established current minimum performance requirements for packaged (all
components in one outdoor enclosure) and split system (separate indoor and outdoor components) air-source heat pumps at SEER = 13.0 and HSPF = 7.7 for heat pumps rated with a
cooling output of less than 65,000 Btu/h (19 kW). All air-source heat pumps with a cooling
output of less than 65,000 Btu/h (19 kW) available from larger equipment manufacturers
will meet or exceed the minimum ASHRAE performance standards. Additionally, most
manufacturers offer high-efficiency units that have SEER = 1516 and HSPE = 89 and
some offer premium efficiency units that have SEER = 1920 and HSPE = 910, which comply generally with the EPAs Energy Star requirements.
For larger-capacity air-source heat pump units, the following table summarizes
ASHRAEs current minimum requirements:
Minimum Cooling
Minimum Heating
Performance (EER)
Performance (COP)
11.0
10.6
9.5
Again, though, manufacturers typically offer larger-capacity premium efficiency equipment with EER = 1212.5 and COP (at 47F [9C]) = 3.54.5.
An additional important part of achieving high-efficiency air-source heat pump energy
performance is to select each heat pump capacity as close as possible to the anticipated
peak load. Since most heat pumps are installed in mild climate areas where cooling is
more of a consideration than heating, units are typically selected on the basis of the peak
imposed cooling load in order to minimize oversizing and loss of cooling efficiency. For
example, a residence or commercial area may require 40,800 Btu/h (12 kW) or 3.4 tons of
cooling. Because heat pump units are manufactured in specific capacity ranges, typically
26 tons at 1 ton increments, 71/2 tons, and 10 tons, contractors would normally recommend installation of a 4.0 tons heat pump for this example.
But the more efficient and less costly approach would be to install a 3.0 tons heat pump.
Doing so would result in better match between imposed load and available capacity during part load operating periods, reducing energy consumption. The shortfall in capacity at
peak load may result in indoor temperatures rising 1F2F (1C) above cooling set point
temperature, but since the peak cooling period occurs for only a few hours each year, the
negative comfort impact is minimal.
For applications located where heating requirements are more significant, sizing the heat
pump unit on the basis of heating need rather than cooling need may result in improved heat
pump performance and improved energy efficiency. While this selection may result in some
oversizing relative to cooling and a small loss in cooling efficiency, the larger system will be
able to provide compressor-based heating for longer periods,reducing the amount of lowefficiency supplement heating required, saving energy, and reducing operating costs.
Careful review of imposed heating and cooling loads is required to select an air-source
heat pump unit and maximize energy efficiency. It is important that consumers and
designers evaluate alternative unit selections and make the final decision on the basis of
the lowest life-cycle cost, considering both first cost and anticipated energy costs of the
anticipated life of the unit, typically 15years.
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Heat Pumps
HP
HP
HP
HP
Loop temperature
sensor/controller
T
Loop pump
Boiler/heater
Outdoor evaporative
cooler
Figure 27.2
Schematic of basic closed-circuit water-source heat pump system.
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HP
HP
HP
HP
Loop temperature
sensor/controller
T
Loop pump
Boiler/heater
Outdoor evaporative
cooler
Figure 27.3
Schematic of basic closed-circuit geothermal heat pump system.
and evaporative cooler(s) that represent the heat source and sink in the basic closed-circuit
heat pump system are augmented by a ground-coupled heat exchanger or water-coupled heat
exchanger that is utilized as the primary system heat source and sink. The supplemental
heater(s) and evaporative cooler(s) are maintained to augment the ground-coupled heat
exchanger and/or to operate under emergency conditions.
Figure 27.3 illustrates the common ground-coupled geothermal heat pump system
configuration.
The ground-coupled heat exchanger may be installed either horizontally directly in the
ground or vertically through one or more wells, typically referred to as boreholes. The fluid
could be either water or a refrigerant.
Geothermal heat pumps take advantage of the natural constant temperature of the
ground 56 ft [1.51.8 m] below grade where the ground mean annual temperature remains
between 45F and 65F [7C18C], depending on location and water table. The ground temperature is warmer than the air above it in the winter and cooler than the air in the summer,
resulting in the need for less compressor lift and more efficient heating and cooling.
The geothermal heat pump system has three major parts: the ground-coupled heat
exchanger, the heat pump unit, and the air delivery system (ductwork and air outlets/inlets).
The heat exchanger is a system of pipes that is buried in the shallow ground near the
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Heat Pumps
Residential
GeoExchange system
(cooling mode)
Room air
returns to
air handler
Hot outside air
temperatures
Relatively cool
ground
Room air
returns to
air handler
In cold zone,
refrigerant
absorbs heat
from circulating
interior air
Cooled air
is distributed
through the
house via
ductwork
Cooled air
is distributed
through the
house via
ductwork
Pressure reducer
Compressor
Ground loop
releases heat
to cool earth
Figure 27.4
Example of a residential geothermal heat pump configuration in the summer months. (Courtesy of the
Geothermal Heat Pump Consortium.)
building. A fluid (usually water or a mixture of water and antifreeze) circulates through
the pipes to absorb or deposit heat within the ground (Figure 27.4).
In the winter, the heat pump removes heat from the heat exchanger and pumps it into
the indoor air delivery system. In the summer, the process is reversed, and the heat pump
moves heat from the indoor air into the heat exchanger. The heat removed from the indoor
air during the summer can also be used to heat water (Figure 27.5).
The ground-coupled heat exchanger provides the means of transferring heat to the earth
in summer and extracting heat from the earth in winter. Physically, the heat exchanger
consists of several lengths of plastic pipe typically installed either in horizontal trenches
or vertical boreholes that are backfilled to provide close contact with the earth.
Fluid inside the heat exchanger is pumped through a refrigerant heat exchanger in the
geothermal heat pump. In the summer, it absorbs heat from the refrigerant and carries it to
the ground through the ground-coupled heat exchanger piping to be rejected. In winter, it
absorbs heat from the earth and transfers that heat to be extracted by the refrigerant.
Once installed, the heat exchanger remains out of sight beneath the surface. The ground
heat exchanger consists of high-density polyethylene piping with an anticipated service
life of at least 50years.
Horizontal closed heat exchangers are the most cost-effective configuration when
(1)adequate land is available, (2) soil conditions are such that trenches are easy to dig (e.g.,
no rock), and (3) trench depths are not defined by frost lines exceeding 36 in. [1 m] below
grade. Trenching machines or backhoes are utilized to dig the trenches normally 56 ft
688
Residential
GeoExchange system
(heating mode)
Room air
returns to
air handler
Relatively warm
ground
Room air
returns to
air handler
In hot zone,
refrigerant
gives up heat
to circulating
interior air
Warmed air
is distributed
through the
house via
ductwork
Warmed air
is distributed
through the
house via
ductwork
Pressure reducer
Ground loop
absorbs heat
from warm
earth
Compressor
Figure 27.5
Example of a residential geothermal heat pump configuration in the winter months. (Courtesy of the Geothermal
Heat Pump Consortium.)
below finished grade and then lay a series of parallel plastic pipes. Backfilling the trench
requires that great care is taken to eliminate sharp rocks or debris that may damage the
heat exchanger piping. Typically, compacted sand or a mix of sand and bentonite is backfilled for the first 612 in. [1530 cm] to create good contract between the piping and earth.
A typical horizontal heat exchanger will be about 400600 ft [120180 m] long per ton of
required cooling capacity (Figure 27.6).
Figure 27.6
Example of a horizontal heat exchanger configuration in a residential installation. (Courtesy of the Geothermal
Heat Pump Consortium.)
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689
Figure 27.7
Example of a slinky heat exchanger configuration in a residential installation. (Courtesy of the Geothermal Heat
Pump Consortium.)
The pipe may be curled into a slinky shape in order to fit more of it into shorter
trenches. While this reduces the amount of land space needed, it may require more pipes
(Figure27.7).
For vertical heat exchangers, boreholes are drilled into the ground from 150 to 450 ft
[45140 m] deep. Each hole contains a single heat exchanger of pipe with a U-bend at the
bottom. After the pipe is inserted, the hole is backfilled or grouted with a slurry of mixture
of sand and bentonite. Each vertical pipe is then connected to a horizontal pipe, which is
also concealed underground. The horizontal pipe then carries fluid in a closed system to
and from each geothermal heat pump unit (Figure 27.8).
ASHRAE stipulates minimum performance requirements only for ground-coupled
heat pump systems of less than 135,000 Btu/h [40 kW] cooling capacity, requiring a cooling EER = 13.4 and a heating COP = 3.6.
Despite their excellent energy efficiency, the application of ground-coupled heat pump
systems has been relatively limited due to a number of challenges that significantly reduce
their cost effectiveness, especially as conventional air-source and water-source heat pumps
continue to improve their energy performance. These challenges include:
Land type and space for a ground-coupled heat exchanger: The soil in which a horizontal
ground-coupled heat exchanger is installed must be reasonably finely textured, no
rock, and soil that contains little clay. The soil in which boreholes and vertical heat
Figure 27.8
Example of a vertical heat exchanger configuration in a residential installation. (Courtesy of the Geothermal
Heat Pump Consortium.)
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exchangers are installed are less critical since the borehole is backfilled with a mix
of sand and bentonite after the piping is installed to insure good heat transfer with
the surrounding undisturbed earth.
Horizontal trench heat exchangers installed with two pipes per trench typically
require 20004000 ft2 (6001200 m2) of ground surface area per ton of cooling
capacity required. Obviously, that requirement limits the applicability of this type
of heat exchanger. Vertical heat exchangers required only about 200400 ft2 (60
120 m2) of ground surface area per ton of cooling capacity required.
Costs of ground-coupled heat exchanger: Horizontal trenching, assuming no rock is
present near the ground surface, is relatively inexpensive since it is accomplished
by conventional backhoes or trenching machines fairly quickly. Drilling boreholes
for vertical heat exchangers is more difficult and expensive than trenching. And,
even with vertical heat exchangers, some horizontal trenching is required to connect each borehole piping heat exchanger to a common piping system.
Another cost element associated with vertical heat exchangers is the need to drill a
test bore prior to designing the system in order to determine actual subsurface
conditions. The soil thermal conductivity can vary as much as 400% depending
on the type of soil and rock encountered, ground water hydrology, etc. This means
that the number and depth of geothermal boreholes may vary significantly from
site to site for the same system capacity.
Circuit pumping energy consumption: Geothermal heat pumps require a flow ranging
from 2.5 to 3.5 gal/min (9.413.2 L/min) for each ton of cooling load. In older
systems, the pumps to provide this flow operated at all times at a constant speed
and, thus, significant pumping energy was consumed. Todays systems utilized
variable flow pumping and the costs of pumping have been reduced.
System complexity: Geothermal heat pump systems have more components, more
complex controls, and higher maintenance costs than conventional systems.
A more efficient alternative to the ground-coupled heat exchanger is a water-coupled heat
exchanger. Large ponds, lakes, rivers, and even the ocean represent excellent heat sources/
sinks for use with heat pumps. While water temperatures vary in these bodies of water
summer to winter, the water temperature swing is always more moderate than for air,
rarely falling below about 32F [0C] or rising above 85F [29C]. Even water that freezes on
the surface is above freezing below the ice.
Water-to-water heat exchange is 20%50% more efficient than water-to-ground heat
exchange, significantly improving the efficiency of heat exchange of water-coupled systems over ground-coupled systems, and these systems typically have a cooling EER of
1820 and a heating COP of 34.
Water-coupled heat exchangers may be configured with horizontal coiled piping submerged in the body of water. The alternative is to install a high-efficiency plate-and-frame
heat exchanger with closed-circuit flow to the heat pump unit(s) on one side and flow from
the body of water on the other. This second configuration, despite having somewhat higher
pumping energy consumption, is preferred to avoid the problems with silting, drift, and
mechanical damage that can occur to submerged piping loops.
While the applicability of water-coupled heat pump systems is limited simply because
availability of usable water sources/sinks is more limited, the systems themselves are both
less expensive and more energy efficient than ground-coupled systems and represent a
very cost-effective approach when applicable.
Heat Pumps
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692
140F
Boiler
120F
HWS
HWR
Boiler
Condenser
Evaporater
Heat recovery
Chiller/heat pump
45F
Chiller
CHWS
55F CHWR
Chiller
Figure 27.9
Schematic of HRC/heat pump system.
When providing cooling, the chilled water system rejects the excess collected heat to the
outdoor air via cooling towers via condenser water at 85F95F [29C35C] temperature.
These temperatures are typically too low to allow condenser water to be used for heating,
so the dedicated heat recovery chiller (HRC) heat pump system is sometimes applied as illustrated by Figure 27.9.
Though not a truly reverse cycle system, this system is a heat pump configuration. A lead
HRC is configured with a primary/secondary piping loop on the chilled water return piping upstream of the remaining cooling-only chillers. The HRC capacity is selected based
on the need to provide heating during the summer. Thus, the HRC removes heat from the
return chilled water, lowering its temperature, and rejects that heat to the hot water system
at 130F140F [54C60C]. The effect is to reduce the imposed load on the cooling-only
chillers by precooling the return chilled water while simultaneously producing hot water at
sufficiently high temperature to be useful.
For this concept to be cost effective, there must be a need for heating during the summer
cooling period. This heat may be needed for reheat associated with space temperature or
humidity control, service hot water heating, pool heating, etc. To maximize the energy
efficiency of this concept, though, there must be a need for chilled water cooling for as
long as feasible. This means that the use of airside economizer cycles, required by most
energy conservation building codes, needs to be carefully evaluated to determine when it
is more efficient to provide mechanical cooling and capture the rejected heat versus using
the outdoor air to provide free cooling and operating boilers to provide heat.
27.3.6 Variable Refrigerant Flow Heat Pump System
Since about 2000, the use of variable refrigerant flow (VRF) systems that achieve a better level
of thermal zoning in buildings while using a common outdoor air unit has increased significantly. With VRF systems, up to 16 indoor evaporator units of varying capacity can be
coupled with a single outdoor condensing unit. Currently widely applied in large buildings
Heat Pumps
693
such as offices and hospitals outside the United States, especially in Japan, Europe, and
Canada, these systems are just catching on in the United States.
These systems use multiple compressors, including inverter-driven variable speed units,
and deliver excellent part-load performance and zoned temperature control, resulting in
excellent occupant comfort. The basic difference between these systems and conventional
HVAC systems is that they circulate refrigerant directly to multiple indoor units, rather
than using water (as in a chiller) or air (as in a ducted DX system) to achieve heat transfer
to the space.
VRF systems are extremely flexible, enabling a single condensing unit to be connected
to a large number of indoor units of varying capacity and configuration. The exact number
of indoor units varies according to the manufacturer, but one typical manufacturer allows
connection of up to 16 indoor units to one condensing unit or up to 30 indoor units on a
single refrigerant circuit supplied by 3 outdoor units.
Typically, each condensing unit uses two or three compressors, one of which is an
inverter-driven variable speed compressor. Systems are commonly designed by combining multiple condensing units to achieve system capacities of up to several hundred tons.
Energy savings are due to several factors:
High part-load efficiency: Because VRF systems consist of multiple compressors, some
of which are variable speed, the systems part load efficiency is excellent. A typical dual-compressor system can operate at 21 capacity steps. Since most HVAC
systems spend most of their operating hours between 30% and 70% of their maximum capacity, a load range in which the COP of the system is very high and, thus,
the seasonal energy efficiency of these systems is excellent.
Effective zone control: Indoor units can easily be turned off in locations needing no
cooling, while the system retains highly efficient operation.
Heat pump operation: In buildings where simultaneous heating and cooling are needed,
such as many office buildings, the system is configured as a three-pipe heat recovery system. In this configuration, refrigerant flow control is used to circulate refrigerant from the discharge of the evaporators in space being cooled to the evaporators
of zones needing heat and vice versa. By using refrigerant to move heat between
zones, a very high heating COP can be realized (perhaps as high as 4.0).
Because the energy savings of VRF systems are so application dependent, it is difficult
to make definitive, general statements about their energy efficiency. Initial estimates of
energy savings are in the range of 5%15%, with higher savings in hot, humid climates,
and lower savings in cold climates.
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Bibliography
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Ground-Source Heat Pump Engineering Manual, American Society of Heating, Refrigerating, and
Air-Conditioning Engineers, Atlanta, GA, 1995.
American Society of Heating, Refrigerating, and Air-Conditioning Engineers. ASHRAE Handbook:
HVAC Applications, American Society of Heating, Refrigerating, and Air-Conditioning
Engineers, Atlanta, GA, 2011 (Chapter 34).
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HVAC Systems and Equipment, American Society of Heating, Refrigerating, and Air-Conditioning
Engineers, Atlanta, GA, 2012 (Chapters 7 and 49).
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Buildings, American Society of Heating, Refrigerating, and Air-Conditioning Engineers,
Atlanta, GA, 2012.
Staffell I., Brett D., Brandon N., and Hawkes, A. A review of domestic heat pumps, Energy
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Stanford, H.W., III. Analysis and Design of Heating, Ventilating, and Air-Conditioning Systems, PrenticeHall, Englewood Cliffs, NJ, 1988.
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