Introduction

 A compressor is the most important and often the costliest

component (typically 30 to 40 percent of total cost) of any vapour
compression refrigeration system (VCRS).
 The function of a compressor in a VCRS is to continuously draw the
refrigerant vapour from the evaporator, so that a low pressure and
low temperature can be maintained in the evaporator at which the
refrigerant can boil extracting heat from the refrigerated space.
 The compressor then has to raise the pressure of the refrigerant to a
level at which it can condense by rejecting heat to the cooling
medium in the condenser.
 Types of compressor based on working principle
 Positive displacement machines- reciprocating, rotary, scroll and
screw compressors.
 Non-positive displacement machines- radial flow type
(centrifugal compressors), axial flow type compressors.
 Types of compressor based on arrangement of compressor motors
 Open type- The rotating shaft of the compressor extends through
a seal in the crankcase for an external drive. The external drive
may be an electrical motor or an engine. The compressor may be
belt driven or gear driven. Open type compressors are normally
used in medium to large capacity refrigeration system.
 Hermetic type- The motor and the compressor are enclosed in the
same housing to prevent refrigerant leakage. Hermetic
compressors are almost universally used in small systems such as
domestic refrigerators, water coolers, air conditioners etc.
 Semi-hermetic- In some (usually larger) hermetic units, the
cylinder head is usually removable so that the valves and the
piston can be serviced.
 Hermetic type compressor

Open type compressor

Positive Displacement Compressors
 In positive displacement type compressors, compression is achieved
by trapping a refrigerant vapour into an enclosed space and then
reducing its volume.
 Since a fixed amount of refrigerant is trapped each time, its pressure
rises as its volume is reduced.
 When the pressure rises to a level that is slightly higher than the
condensing pressure, then it is expelled from the enclosed space and a
fresh charge of low-pressure refrigerant is drawn in and the cycle
continues.
 Since the flow of refrigerant to the compressor is not steady, the
positive displacement type compressor is a pulsating flow device.
However, since the operating speeds are normally very high the flow
appears to be almost steady on macroscopic time scale.
 Since the flow is pulsating on a microscopic time scale, positive
displacement type compressors are prone to high wear, vibration and
noise level.
 Non-positive Displacement Compressors
 In non-positive displacement compressors, the pressure rise of
refrigerant is achieved by imparting kinetic energy to a steadily
flowing stream of refrigerant by a rotating mechanical element and
then converting into pressure as the refrigerant flows through a
diverging passage.
 Unlike positive displacement type, this type compressors are steady
flow devices, hence are subjected to less wear and vibration.
 Centrifugal compressors are widely used in large capacity
refrigeration and air conditioning systems. Axial flow compressors
are normally used in gas liquefaction applications.
Thermodynamic Processes During
Compression
 Isentropic compression-
 Work of compression

 Isothermal compression

 Polytropic compression
 For isentropic compression n =  (or k), and for isothermal
compression n = 1. Higher the value of  for a substance, more the
work required and higher the discharge temperature. In the case of
high value of  compressor are cooled during the compression to
reduce to the work of compression and discharge temperature.
 Reciprocating compressor- polytropic compression with heat
removed during the process (non-adiabatic). n will be less than .
 Centrifugal compressors- polytropic compression with friction
(adiabatic). n will be greater than .
 If the value of  for a gas is very high, such as 1.4 for air and 1.3 for
ammonia, the compressor cylinders are cooled by water-jacketing.
 If the value of  is not so high as in the case of fluorocarbons,
cooling by air through natural convection is done.
 In centrifugal compressors, the process is nearly adiabatic.
Cooling is not provided.
 An actual compression process in reciprocating compressors
will have both cooling and friction. The compression line will
be accordingly as shown on p-v diagram.
 The work of compression with cooling is isothermal work.
Often isothermal efficiency is used to express the performance
of reciprocating compressors.
 The work of compression without cooling is isentropic work.
Adiabatic efficiency is used to express the performance of
centrifugal compressors.
 Reciprocating Compressor
 Reciprocating compressor is the most widely used compressor with
cooling capacities ranging from a few Watts to hundreds of kilowatts.
Modern day reciprocating compressors are high speed (≈ 3000 to
3600 rpm), single acting, single or multi-cylinder (upto 16 cylinders)
type.
 Reciprocating compressors consist of a piston moving back and forth
in a cylinder, with suction and discharge valves to achieve suction
and compression of the refrigerant vapor.
 Its construction and working are somewhat similar to a two-stroke
engine, as suction and compression of the refrigerant vapor are
completed in one revolution of the crank.
 The suction side of the compressor is connected to the exit of the
evaporator, while the discharge side of the compressor is connected
to the condenser inlet.
 The suction (inlet) and the discharge (outlet) valves open and close
due to pressure differences between the cylinder and inlet or outlet
manifolds respectively.
 Ideal Compression

 Process D-A: This is an isobaric suction process, during which the piston moves from the
Inner Dead Centre (IDC) to the Outer Dead Centre (ODC). The suction valve remains
open during this process and refrigerant at a constant pressure Pe flows into the cylinder.
 Process A-B: This is an isentropic compression process. During this process, the piston
moves from ODC towards IDC. Both the suction and discharge valves remain closed
during the process and the pressure of refrigerant increases from Pe to Pc.
 Process B-C: This is an isobaric discharge process. During this process, the suction valve
remains closed and the discharge valve opens. Refrigerant at a constant P is expelled from
the compressor as the piston moves to IDC.
 Actual Compression

 In actual compressors, a small clearance is left between the

cylinder head and piston to accommodate the valves and to
take care of thermal expansion and machining tolerances. As a
thumb rule, the clearance C in millimetres is given by:
C = (0.005L + 0.5) mm, where L is stroke length in mm
 This space along with all other spaces between the closed valves and
the piston at the inner dead center (IDC) is called as Clearance
volume, Vc. The ratio of the clearance volume to the swept volume
(VSW) is called as Clearance ratio, ε,

 The clearance ratio ε depends on the arrangement of the valves in the

cylinder and the mean piston velocity. Normally ε is less than 5
percent for well designed compressors with moderate piston
velocities (≈ 3 m/s), however, it can be higher for higher piston
speeds.
 The clearance volumetric efficiency can be written as:
 The above expression holds good for any reversible compression process
with clearance.

 The above expression shows that ηV,cl ↓ as rp↑ and ε↑. It can also be seen
that for a given compressor with fixed clearance ratio ε, there is a limiting
pressure ratio at which the clearance volumetric efficiency becomes zero.
This limiting pressure ratio is obtained from the equation:
 Volumetric Efficiency
1Τ𝛾
𝑝𝑑𝑖𝑠𝑐ℎ𝑎𝑟𝑔𝑒
 𝜂𝑣 = 1 + 𝐶 − 𝐶
𝑝𝑠𝑢𝑐𝑡𝑖𝑜𝑛

𝑣𝑠𝑢𝑐𝑡𝑖𝑜𝑛
 𝜂𝑣 = 1 + 𝐶 − 𝐶
𝑣𝑑𝑖𝑠𝑐ℎ𝑎𝑟𝑔𝑒
 It can be seen that with decreasing suction
pressure, or increasing pressure ratio, the suction
volume Vsuction and hence volumetric efficiency
decreases until both become zero at a certain low
pressure pmin.
𝑝2 1 𝛾
 = +1
𝑝1𝑚𝑖𝑛 𝐶
1 𝛾
 𝑟𝑝𝑚𝑎𝑥 = +1
𝐶
 For polytropic process, we have n- polytropic
exponent
1Τ𝑛
𝑝𝑑𝑖𝑠𝑐ℎ𝑎𝑟𝑔𝑒
𝜂𝑣 = 1 + 𝐶 − 𝐶
𝑝𝑠𝑢𝑐𝑡𝑖𝑜𝑛
 Exponent of Re-expansion Curve
 The clearance gases are expanded and compressed in every
cycle. The curve 3-4 is called re-expansion curve.
 With increase in n-polytropic index or exponent, volume reduces.
Hence, the area under the curve reduces. Isothermal process has less
work of compression compared to isentropic.
 With cooling during compression, process tries to become isothermal
n will be less than  and greater than 1.
 Effect of heat gain from the walls to increase volume V4. As per the
equation, volumetric efficiency v decreases.
 In case of Ammonia, = is high, high heat transfer to the
refrigerant from cylinder during re-expansion. There will be increase
in V4 and reduction is v. With cooling, cylinder wall temperature
reduces, low heat transfer to gas from cylinder, V4 is reducing and
increase in v.
 In case of fluorocarbon, the  is low. As a result, the volume is V4
high. This reduces volumetric efficiency. Therefore, the clearance e
is kept as minimum as possible (less than 5%).
 In case of high  refrigerant, the clearance of 6-7% is permitted.
Effect of Valve Pressure Drops
 Both suction and discharge valves
will open only when there is a
pressure drop across them.
 As a result of throttling or pressure
drop on the suction side the pressure
inside the cylinder at the end of the
suction stroke is ps while the pressure
at the suction flange is p1. The
pressure in the cylinder rises to the p1
only after the piston has travelled a
certain distance inward during which
the volume of the fluid has decreased
from Vp+Vc to V1.
Considering the effect of pressure drop at the discharge valve as
well, it can be shown that the expression for volumetric efficiency is
 Leakage Loss
 The effect of leakage past piston rings and under the suction
valve elements is normally accounted for by allowing 1.5 per
cent leakage per unit of the compression ratio.
 Old worn out compressors tend to have more leakage.
 Overall Volumetric Efficiency
 Considering the effect of valve pressure drops, polytropic
compression, re-expansion and leakage, we may write the
expression for overall volumetric efficiency as follows,

 Methods of improving the volumetric efficiency

 Providing clearance as small as possible
 Maintaining low pressure ration
 Cooling during compression
 Reducing pressure drops at the valves by designing a light-
weight valve mechanism, minimizing valve overlaps and
choosing suitable lubricating oils.
 Effect of Clearance on Work
 When the exponents are different,

 Polytropic exponent n- for compression and m for re-expansion

 When the two exponents are equal (m=n),

where Vs = V1-V4
 Principal dimensions
 The principal dimensions of a reciprocating compressor are the
bore D and stroke L.
 These are to be decided in conjunction with the rpm N or mean
piston speed Cm = (2LN/60).
 Stroke to bore ratio  = L/D is a very important consideration
in compressor design.
 Equation for suction volume,
 Performance Characteristic

Refrigeration capacity is
given by

W* is power per ton

 Introduction
 Condensers and evaporators are basically heat exchangers in which
the refrigerant undergoes a phase change.
 In a typical refrigerant condenser, the refrigerant enters the
condenser in a superheated state. It is first de-superheated and then
condensed by rejecting heat to an external medium. The refrigerant
may leave the condenser as a saturated or a sub-cooled liquid,
depending upon the temperature of the external medium and design
of the condenser.
 Classification of condensers:
Based on the external fluid, condensers can be classified as:
a) Air cooled condensers
b) Water cooled condensers
c) Evaporative condensers
 Air-cooled condenser
 As the name implies, in air-cooled condensers air is the external fluid, i.e.,
the refrigerant rejects heat to air flowing over the condenser. Air-cooled
condensers can be further classified into natural convection type or forced
convection type.
 In natural convection type, heat transfer from the condenser is by buoyancy
induced natural convection and radiation. Since the flow rate of air is small
and the radiation heat transfer is also not very high, the combined heat
transfer coefficient in these condensers is small. As a result a relatively large
condensing surface is required to reject a given amount of heat. Hence these
condensers are used for small capacity refrigeration systems like household
refrigerators and freezers.
 In forced convection type condensers, the circulation of air over the
condenser surface is maintained by using a fan or a blower. These
condensers normally use fins on air-side for good heat transfer.
 Air cooled condensers are rarely made in sizes over 5 TR because excessive
power consumption and objectionable fan noise.
 The condensers are made of steel, copper or aluminum tubing provided with
fins to improve air side heat transfer coefficient.
 Water Cooled Condensers
 In water cooled condensers water is the external fluid.
Depending upon the construction, water cooled condensers can
be further classified into:
 Double pipe or tube-in-tube type
 Shell-and-coil type
 Shell-and-tube type
 Double Pipe or Tube-in-tube Type
 Double pipe condensers are normally
used up to 10 TR capacity. Figure shows
the schematic of a double pipe type
condenser. As shown in the figure, in
these condensers the cold water flows
through the inner tube, while the
refrigerant flows through the annulus in
counter flow. The refrigerant in the
annulus rejects a part of its heat to the
surroundings by free convection and
radiation.
 Shell-and-coil type
 These condensers are used in
systems up to 50 TR capacity. The
water flows through multiple coils,
which may have fins to increase
the heat transfer coefficient. The
refrigerant flows through the shell.
In smaller capacity condensers,
refrigerant flows through coils
while water flows through the
shell.
 Shell-and-tube type
 This is the most common type of condenser used in systems from 2
TR upto thousands of TR capacity.
 In these condensers the refrigerant flows through the shell while
water flows through the tubes in single to four passes. The condensed
refrigerant collects at the bottom of the shell.
 The coldest water contacts the liquid refrigerant so that some
subcooling can also be obtained. The liquid refrigerant is drained
from the bottom to the receiver.
 There might be a vent connecting the receiver to the condenser for
smooth drainage of liquid refrigerant. The shell also acts as a
receiver.
 Further the refrigerant also rejects heat to the surroundings from the
shell. The most common type is horizontal shell type.
 Vertical shell-and-tube type condensers are usually used with
ammonia in large capacity systems.
A Two-pass, Shell-and-tube Type Condenser
 Evaporative condensers
 In evaporative condensers, both air and water are used to
extract heat from the condensing refrigerant. Evaporative
condensers combine the features of a cooling tower and water-
cooled condenser in a single unit.
 In these condensers, the water is sprayed from top part on a
bank of tubes carrying the refrigerant and air is induced
upwards. There is a thin water film around the condenser tubes
from which evaporative cooling takes place. The heat transfer
coefficient for evaporative cooling is very large.
 The water spray countercurrent to the airflow acts as cooling
tower. The role of air is primarily to increase the rate of
evaporation of water. The required air flow rates are in the
range of 350 to 500 m3/h per TR of refrigeration capacity.
 Evaporative condensers are used in medium to large capacity
systems. These are normally cheaper compared to water cooled
condensers, which require a separate cooling tower. Evaporative
condensers are used in places where water is scarce. Since water is
used in a closed loop, only a small part of the water evaporates.
Make-up water is supplied to take care of the evaporative loss.
 Condensation
 When a vapour is exposed to a surface at a temperature below Tsat,
condensation in the form of a liquid film or individual droplets occurs on
the surface.
 In film condensation, the condensate wets the surface and forms a liquid
film on the surface that slides down under the influence of gravity. The
thickness of condensate increases in the flow direction.
 In film condensation, the surface is blanketed by a liquid film of increasing
thickness and this liquid wall between surface and the vapour serves as a
resistance to heat transfer.
 In dropwise condensation, the condensed vapour forms droplets on the
surface instead of continuous film and the surface is covered by countless
droplets of varying diameters.
 In dropwise condensation, there is no liquid film to resist the heat transfer.
As a result heat transfer rates are more than 10 times larger than those in
film condensation. Researcher are trying to achieve dropwise condensation
but not much successful.
 All designs are based on film condensation.
 Condensation
 When a vapour is exposed to a surface at a temperature below Tsat,
condensation in the form of a liquid film or individual droplets
occurs on the surface.
 In film condensation, the condensate wets the surface and forms a
liquid film on the surface that slides down under the influence of
gravity. The thickness of condensate increases in the flow direction.
 In film condensation, the surface is blanketed by a liquid film of
increasing thickness and this liquid wall between surface and the
vapour serves as a resistance to heat transfer.
 In dropwise condensation, the condensed vapour forms droplets on
the surface instead of continuous film and the surface is covered by
countless droplets of varying diameters.
 In dropwise condensation, there is no liquid film to resist the heat
transfer. As a result heat transfer rates are more than 10 times larger
than those in film condensation. Researchers are trying to achieve
dropwise condensation but not much successful.
 All designs are based on film condensation.
 The liquid film resists heat transfer, hence, for high condensation
heat transfer rates, the thickness of the liquid film should be kept as
small as possible. This requires continuous draining of condensed
liquid so that the vapour has better contact with the heat transfer
surface of the condenser.
Condensation Heat Transfer Coefficient
for Outside Horizontal Tubes
 Nusselt’s correlation for film-wise condensation outside a bank of
horizontal tubes

 As density of liquid is much more than vapour, one can have

approximately,

 This expression is valid for still vapour. In actual practice the vapour
will not be still but it will move with some velocity and the
condensate will splash and ripples will be caused which may lead to
larger value of heat transfer coefficient. Hence the above equation
gives a very conservative estimate of condensation heat transfer
coefficient.
 Subscript f means- saturated liquid, k- thermal conductivity, -
density, N- no of tube in vertical row, - dynamic viscosity, t-
temperature difference between refrigerant and wall
Observations from the above correlation are as follows:
 As thermal conductivity kf increases, the heat transfer coefficient
increases since conduction thermal resistance of the condensate film
decreases.
 Similarly a decrease in viscosity or increase in density will offer less
frictional resistance and cause rapid draining of the condensate,
thereby causing an increase in heat transfer coefficient.
 A high value of latent heat hfg means that for each kW of heat
transfer there will be smaller condensate thickness and higher heat
transfer coefficient.
 An increase in diameter means larger condensate thickness at the
bottom and hence a smaller heat transfer coefficient.
 A large value of temperature difference will lead to more
condensation and larger condensate thickness and will lead to a
smaller heat transfer coefficient
 An increase in number of tubes will lead to larger condensate
thickness in the lower tubes leading to smaller heat transfer
coefficient
Condensation Heat Transfer Coefficient
for Outside Vertical Tube
 For laminar flow (Ref < 1800) the average heat transfer coefficient
by Nusselt’s Correlation for condensation over a vertical tube is as
follows

 Kirkbride has rearranged this in terms of condensation number Co,

 For turbulent flow : Re > 1800 , the Kirkbride Correlation

 Condensation Inside Tubes
 Condensation heat transfer inside tube causes a reduction in the
area of condensation due to liquid collecting in the bottom of
the tubes. The draining of the condensate may retard or
accelerate the vapour flow depending upon whether it flows in
same direction as the vapour or in opposite direction.
 This cause complication in heat transfer inside the tube
 Many correlations are available for this condensation
Water-side heat transfer coefficient
 In water cooled condensers, the water flows through the tubes.
The water flow is normally turbulent, hence one can use Dittus-
Boelter equation given by:

 If the flow is laminar and not fully developed, then one can use
Hausen’s correlation given by:
Air-side Coefficient (Tube Banks)
 In air cooled condensers, air flows outside the tubes in
crossflow to the refrigerant.
 Fouling Factor
 The condenser tubes are clean when it is assembled with new
tubes. However with usage some scale formation takes place in
all the tubes and the value of overall heat transfer coefficient
decreases. It is a standard practice to control the hardness of
water used in the condenser. Even then it is good maintenance
practice to de-scale the condenser once a year with 2% HCl or
muric acid solution. Stoecker suggests the following values of
deposit coefficients.
 Effect of Air and Non-Condensables
 This is usually a problem with high boiling point refrigerants such as R 11,
R 113 and R718 (water), which operate under vacuum leading to air leakage
into the system. In addition, some air may be left behind before the system
is evacuated and charged with refrigerant. If some non-condensable gases or
air enters the system, it will collect in the condenser where they affect
performance in two ways:
 Condensation takes place at saturation pressure corresponding to condenser
pressure, which will be the partial pressure of refrigerant in mixture of
refrigerant and air in this case. The air will have its partial pressure
proportional to its amount in the condenser. The total pressure will be the
sum of these two partial pressures, which will be high and the compressor
has to work against this pressure ratio hence the work requirement will
increase.
 Non-condensable gases do not diffuse throughout the condenser as the
refrigerant condenses. They cling to the tubes and reduce the precious heat
transfer area. The reduction in heat transfer area causes the temperature
difference between cold water and refrigerant to increase. This raises the
condenser temperature and the corresponding pressure thereby reducing the
COP.
 Heat Rejection Ratio
 The heat rejection ratio (HRR) is the ratio of heat rejected to
the heat absorbed (refrigeration capacity),

 For a fixed condenser temperature, as the evaporator

temperature decreases the COP decreases and heat rejection
ratio increases. For fixed evaporator temperature as the
condenser temperature increases the COP decreases hence the
heat rejection ratio increases.
Augmentation of Condensing HTC
 We will have Uo always less than lower of (ho or hi). So it will
be advantageous to decrease the major heat transfer resistance.
 It can be done by providing fins on the side of lower HTC.
 Introduction
 An evaporator, like condenser is also a heat exchanger.
 In an evaporator, the refrigerant boils or evaporates and in
doing so absorbs heat from the substance being refrigerated.
 The name evaporator refers to the evaporation process
occurring in the heat exchanger.
 Classification of evaporators
 Refrigerant Flow Inside or Outside Tubes
 Flooded and Direct expansion or dry Type
 Flooded Type Evaporator
 The liquid refrigerant covers the entire heat transfer surface
 A float valve is used for the expansion of the refrigerant
 This is typically used in large ammonia systems.
 The refrigerant enters a surge drum through a float type expansion
valve. The compressor directly draws the flash vapour formed during
expansion. This vapour does not take part in refrigeration.
 The liquid refrigerant enters the evaporator from the bottom of the
surge drum. This boils inside the tubes as heat is absorbed. The
mixture of liquid and vapour bubbles rises up along the evaporator
tubes.
 The vapour is separated as it enters the surge drum. The remaining
unevaporated liquid circulates again in the tubes along with the
constant supply of liquid refrigerant from the expansion valve.
 Since, liquid refrigerant is in contact with whole of evaporator
surface, the refrigerant side heat transfer coefficient will be very
high. Sometimes a liquid refrigerant pump may also be used to
further increase the heat transfer coefficient.
 Direct expansion evaporator
 A part of the heat transfer surface is used for superheating the
vapor.
 Types of direct expansion evaporators
 Direct expansion chiller
 Direct expansion cooling coil for air with forced convection
 Direct expansion coil for air blast freezer
 Natural convection evaporator for freezers of domestic
refrigerators
 Evaporators coils submerged in brine tanks for ice plants
 Direct Expansion Chiller
 Water flows in the shell across a number of baffles and
refrigerant from the liquid line, directly expands inside tube
and flow through a number of passes simultaneously
evaporating and absorbing heat from recirculated water.
 Direct Expansion Coil
 It is used with fins on the air side in air-conditioning equipment
 The coil shown in figure has 4 rows of tubing
 Direct Expansion Coil For Air
Blast Freezers
 Similar in construction like previous evaporator except that the
refrigerant temperature is much lower (-35 to -40oC)
 Because of this there is frost formation in between the fins.
Therefore, the flow of air could get blocked. The frosting is
more at the inlet end.
 Accordingly, larger fin-spacing is provided at the inlet end. The
spacing progressively decreases as the air get dehumidified
 Present day frost free refrigerators have similar freezer coils.
These are placed outside the freezer/refrigerant cabinet. Air
flows by forced convection between the coil and the freezer
compartment.
 Evaporators Coils Submerged In
Brine Tanks For Ice Plants
 The ice plants use ammonia evaporator coils submerged in
agitated brine tanks.
 The amount of refrigerant charge is large.
 Some Information
 50 to 500 fins per meter length of the tube are used in heat
exchangers.
 For low temperature coils a wide spacing with about 80 to 200 fins
per m is used to avoid restriction of flow passage due to frost
formation.
 In air-conditioning applications a typical fin spacing of 1.8 mm is
used.
 Addition of fins beyond a certain value will not increase the
capacity of evaporator by restricting the airflow. The frost layer has
a poor thermal conductivity hence it decreases the overall heat
transfer coefficient apart from restricting the flow.
 The conventional refrigerators use bonded evaporators. The
refrigerant flows and evaporates inside channels formed by binding
engrooved plated.
 Heat Transfer in Evaporators
 Three heat transfer resistances:
 Refrigerant side for the transfer of heat from solid surface to the
liquid refrigerant
 Metal wall
 Cooled medium side which could be due to air, water, brine or
any other fluid
 Compared to the design of refrigerant condensers, the design of
refrigerant evaporators is more complex. The complexity arises due
to the following factors:
 On the refrigerant side, the heat transfer coefficient varies widely
when evaporation takes place in tubes due to changing flow
regimes.
 On the external fluid side, if the external fluid is air (as in air
conditioning and cold storage applications), in addition to
sensible heat transfer, latent heat transfer also takes place as
moisture in air may condense or even freeze on the evaporator
surface. If frost formation due to freezing of moisture takes place,
then heat transfer resistance varies continuously with time.
 The lubricating oil gets separated in the evaporator tubes due to
low miscibility of oil at evaporator temperature and pressure. The
separation of oil affects both heat transfer and pressure drop
characteristics. A minimum refrigerant velocity must be provided
for oil carry over in direct expansion type evaporators.
 Compared to condenser, refrigerant pressure drop in evaporator is
more critical as it has significant influence on the performance of
the refrigeration system. Refrigerant velocity has to be optimized
taking pressure drop and oil return characteristics into account.
 Estimation of Heat Transfer
Coefficients
 Air side heat transfer coefficients
 If air undergoes only sensible cooling as it flows over the
evaporator surface (i.e., dry evaporator), then the correlations
presented for air cooled condensers for heat transfer coefficients
can be used for air cooled evaporator also. However, if air
undergoes cooling and dehumidification, then analysis will be
different and correlations will also be different.
 Liquid side heat transfer coefficients
 Liquid flowing in tubes: When liquids such as water, brine, milk
etc. flow through tubes without undergoing any phase changes,
the correlations presented earlier for condensers (e.g. Dittus-
Boelter, Sieder-Tate) can be used for evaporator also.
  Liquid flowing in a shell: In direct expansion type, shell-and-tube
evaporators refrigerant flows through the tubes, while water or
other liquids flow through the shell. Analytical prediction of
single phase heat transfer coefficient on shell side is very
complex due to the complex fluid flow pattern in the presence of
tubes and baffles. The heat transfer coefficient and pressure drop
depends not only on the fluid flow rate and its properties, but also
on the arrangement of tubes and baffles in the shell. A typical
correlation suggested by Emerson is given below:

where constant C depends on the geometry, i.e, on the arrangement

of the tubes, baffles etc.
 Boiling heat transfer coefficients
 Boiling
 Boiling process occurs in two types of situations:
 When boiling takes place outside the tubes (flooded
evaporators), called as Pool boiling.
 When boiling takes place inside the tubes (direct expansion
evaporators), called as flow boiling.
 Pool Boiling
 Boiling curve showed here is for water, but the general shape
of the curve remains the same for different fluids.
 Four different boiling regimes are observed: natural convection
boiling, nucleate boiling, transition boiling and film boiling.
 Natural convection boiling (Upto point A): The fluid motion in
this mode is governed by natural convection current and heat
transfer from the heating surface to the fluid is by natural
convection. There is no bubble forming on the heating surface
until the liquid is heated few degrees above the saturation
temperature.
Boling Curve for Water at 1 atm Pressure
 Nucleate boiling (regime AC) : With increasing t = tw – ts, vapour
bubble form and agitate the liquid in the vicinity of the heating
surface (Regime AB). Further increasing t = tw – ts, the bubbles rise
and break through the free surface (Regime BC). In this regime the
heat transfer coefficient is higher. This kind of boiling with bubble
growth is called nucleate boiling. Here, one can see maximum value
of heat transfer.
 Transition boiling (regime CD) : If temperature difference is
increased beyond this value, then a blanket of film forms around the
heat transfer surface. This vapour film offers conduction thermal
resistance; as a result the heat transfer rate decreases. The film
however is unstable and may break at times. This regime is called
unstable film regime.
 Film boiling (regime above point D): If temperature difference is
increased further it becomes so high that radiation heat transfer
becomes very important and heat transfer rate increases because of
radiation component. This regime is called stable film boiling
regime.
 Flow Or Forced Convection Boiling
 When boiling takes place inside the tubes (direct expansion
evaporators), called as flow boiling. Heat transfer rates in this case
are substantially higher than those of pool boiling.
 The forced convection boiling process is very complex. At the inlet
end, the flow is of a low quality. As the evaporation proceeds, the
quality increases, a critical condition (tube wall dryout) reaches and
then the tube may have superheated vapour.
 Possibilities of two-phase flow
 Laminar or stratified flow: both the phases flowing beside each
other are separated by a plane surface
 Wavy flow: two phases are separated by a wavy surface
 Slug flow: slugs of the liquid are enclosed in the gas stream
 Annular flow: the liquid flowing in an annular form and the gas
flowing in the central core. The occurrence of this phase can be
expected when the mixture velocity exceeds above 2 m/s.
 Foam or mist flow: the flow patterns corresponding to definite
mass flow rates or liquid velocities.
 The evaporator tube can be divided in three parts: stratified flow at
the inlet, first slug, then annular flow in the middle and mist flow at
the outlet
 The heat transfer coefficient increases when the flow becomes
annular, but when most of the liquid is evaporated and the dry out
point is reached, the coefficient falls of rapidly to a low value
 Heat Transfer Coefficient For
Nucleate Boiling
 Normally evaporators are designed to operate in nucleate pool
boiling regime as the heat transfer coefficients obtained in this
regime are stable and are very high.

Rohsenow’s Correlation for nucleate pool boiling: This correlation is

applicable to clean surfaces and is relatively independent of shape and
orientation of the surface.
Ratiani and Avaliani recommended the following simple
correlation for pool boiling of Freon refrigerants,

Combining above equations

 Heat Transfer Coefficient For Flow Boiling
Rohsenow and Griffith suggested that flow boiling in tubes be analyzed
as a combination of pool boiling and forced convection. The total heat
flux (qtotal) is the sum of heat flux due to nucleate pool boiling (qnb) and
forced convection (qfc),

Heat flux due to nucleate pool boiling is calculated by using nucleate

pool boiling correlations and heat flux due to forced convection can be
calculated by using standard forced convection correlations, such as
Dittus-Boelter correlation.
Some of the other correlations suggested for flow boiling
Horizontal vs Vertical tubes: Boiling heat transfer
coefficients in vertical columns will be different from that in
a horizontal tube. In a vertical tube, due to hydrostatic head,
the saturation temperature increases, which in turn reduces
the driving temperature difference, and hence, the heat
transfer rate.

Effect of oil in evaporator: Studies on R 12 evaporators

show that the boiling heat transfer coefficient inside tubes
increases initially with oil concentration upto a value of
about 4 percent and then decreases. The initial increase is
attributed to the greater wetting of the tube surface due to
the presence of oil. The subsequent reduction is due to the
rapid increase in viscosity of the refrigerant-oil mixture as
oil is more viscous than refrigerant. For the estimation of
heat transfer coefficient, the presence of oil may be
neglected as long as its concentration is low (less than 10
percent).
 Augmentation of Boiling Heat
Transfer
 The overall resistance to heat transfer is greatly dependent
upon largest of the component resistances. It is advisable to
reduce the largest resistance component. It can be done with
different techniques:
 Turbulence promoters

 Swirl flow generators

 Extended surfaces

 Inner fins

 Recirculation

 Roughening of surfaces
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 Introduction
 The basic functions of an expansion device used in refrigeration systems are
to:
 Reduce pressure from condenser pressure to evaporator pressure

 Regulate the refrigerant flow from the high-pressure liquid line into the
evaporator at a rate equal to the evaporation rate in the evaporator
 The expansion devices used in refrigeration systems can be divided into
fixed opening type or variable opening type. In fixed opening type the flow
area remains fixed, while in variable opening type the flow area changes
with changing mass flow rates.
 Fixed opening type: Capillary Tubes

 Variable opening type: Constant pressure or Automatic Expansion Valve

(AEV) and Thermostatic Expansion Valve (TEV)

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 Flow Rate Through Orifice
 In variable area type expansion devices, such as automatic and
thermostatic expansion valves, the pressure reduction takes place as the
fluid flows through an orifice of varying area.
 Let A1 and A2 be the areas at the inlet and the outlet of the orifice
where, A1> A2. Let V1 and V2 be the velocities, P1 and P2 are the
pressures and ρ1 and ρ2 be the densities at the inlet and outlet
respectively of the orifice.
 Assuming steady, incompressible, inviscid flow and neglecting gravity,
Bernoulli’s equation may be used to write the flow rate through the
orifice.

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4/21/2026 84
Automatic Expansion Valve (AEV)
 An Automatic Expansion Valve (AEV) also known as a constant pressure
expansion valve acts in such a manner so as to maintain a constant pressure
and thereby a constant temperature in the evaporator.

 The valve consists of an adjustment spring that can be adjusted to maintain

the required pressure in the evaporator. This exerts force Fs on the top of the
diaphragm. The atmospheric pressure, Po also acts on top of the diaphragm
and exerts a force of F0= P0 Ad, Ad being the area of the diaphragm.

 The evaporator pressure Pe acts below the diaphragm. The force due to
evaporator pressure is Fe=PeAd. The net downward force Fs + Fo - Fe is fed
to the needle by the diaphragm. This net force along with the force due to
follow-up spring Ffs controls the location of the needle with respect to the
orifice and thereby controls the orifice opening.

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  If F e+ F fs> F s+ Fo the needle will be pushed against the orifice and the
valve will be fully closed.
 On the other hand, if F e+ F fs< F s+ Fo, the needle will be away from the
orifice, and the valve will be open. Hence, the relative magnitude of these
forces controls the mass flow rate through the expansion valve.
 The adjustment spring is usually set such that during off-cycle the valve is
closed, that is, the needle is pushed against the orifice. Hence,
Feo + Ffso > Fso + Fo

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  When compressor starts from off-cycle, the needle moves down and
valve opens,

 When the refrigerant starts to enter the evaporator,

 This will be the equilibrium position. Then onwards, the valve acts in
such a manner that the evaporator pressure remains constant as long
as the refrigeration load is constant. At this point, the mass flow rate
through the valve is the same as that through the compressor.

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Effect of Load Variation
 If the refrigeration load decreases, there is a tendency in the
evaporator for the evaporator temperature to decrease and thereby
the evaporator pressure (saturation pressure) also decreases. This
decreases the force Fe. The sum Fe+Ffs will become less than Fs+ Fo
and the needle stand will be pushed downwards opening the orifice
wider.
 This will increase the mass flow rate through the valve. This is
opposite of the requirement since at lower load, a lower mass flow
rate of the refrigerant is required. This is the drawback of this valve
that it counteracts in an opposite manner since it tries to keep the
evaporator pressure at a constant value.
 The valve feeds more refrigerant to the evaporator than the
compressor can remove from the evaporator.
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Effect of Load Variation
 This causes accumulation of liquid refrigerant in the evaporator. This is
called “flooding” of the evaporator. The liquid refrigerant may fill the
evaporator, and it may overflow to the compressor causing damage to it.
 On the other hand, if the refrigeration load increases or the evaporator heat
transfer rate increases, the evaporator temperature and pressure will increase
for a flooded evaporator.
 This will increase Fe. A look at the schematic diagram reveals that this will
tend to move the needle stand upwards, consequently making the orifice
opening narrower and decreasing the mass flow rate.
 Again, the valve counteracts in a manner opposite to what is required. The
compressor draws out more refrigerant than that fed by the expansion valve
leading to starving of the evaporator.

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Applications of Automatic Expansion Valve
 The automatic expansion valves are used wherever constant
temperature is required, for example, milk chilling units and water
coolers.
 In air-conditioning systems, it is used when humidity control is by
DX coil temperature.
 Automatic expansion valves are simple in design and are
economical. These are also used in home freezers and small
commercial refrigeration systems where hermetic compressors are
used.
 Normally the usage is limited to systems of less than 10 TR
capacities with critical charge. Critical charge has to be used since
the system using AEV is prone to flooding.
 Hence, no receivers are used in these systems. In some valves a
diaphragm is used in place of bellows.

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 Thermostatic Expansion Valve

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 Thermostatic Expansion Valve
 Thermostatic expansion valve (TEV) is the most versatile expansion valve
and is most commonly used in refrigeration systems.
 A thermostatic expansion valve maintains a constant degree of superheat at
the exit of evaporator; hence it is most effective for dry evaporators in
preventing the slugging of the compressors since it does not allow the liquid
refrigerant to enter the compressor.
 This consists of a feeler bulb that is attached to the evaporator exit tube so
that it senses the temperature at the exit of evaporator. The feeler bulb is
connected to the top of the bellows by a capillary tube.
 The feeler bulb and the narrow tube contain some fluid that is called power
fluid. The power fluid may be the same as the refrigerant in the refrigeration
system, or it may be different. In case it is different from the refrigerant,
then the TEV is called TEV with cross charge.

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  If the evaporator temperature is Te and the corresponding
saturation evaporator pressure is Pe, then the purpose of TEV is to
maintain a temperature Te+ΔTs at the evaporator exit, where ΔTs is
the degree of superheat required from the TEV.
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  The evaporator pressure is exerted below the bellows. In case the evaporator
is large and has a significant pressure drop, the pressure from evaporator
exit is fed directly to the bottom of the bellows by a narrow tube.

 This is called pressure-equalizing connection. Such a TEV is called TEV

with external equalizer, otherwise it is known as TEV with internal
equalizer.

 During off-cycle, the evaporator temperature is same as room temperature

throughout, so the degree of superheat ΔTs is zero. If the power fluid is the
same as the refrigerant, then Pp= Pe and Fp= Fe. Therefore, any arbitrarily
small spring force Fs acting upwards will push the needle stand against the
orifice and keep the TEV closed.

 If it is TEV with cross charge or if there is a little degree of superheat during

off-cycle then for TEV to remain closed during off-cycle, Fs should be
slightly greater than (Fp- Fe).

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  As the compressor is started, the evaporator pressure decreases at a very fast
rate hence the force Fe decreases at a very fast rate.
 This happens since TEV is closed and no refrigerant is fed to evaporator
while compressors draws out refrigerant at a very fast rate and tries to
evacuate the evaporator. The force Fp does not change during this period
since the evaporator temperature does not change.
 Hence, the difference Fp-Fe, increases as the compressor runs for some time
after starting. At one point this difference becomes greater than the spring
force Fs and pushes the needle stand downwards opening the orifice. The
valve is said to open up.
 As the refrigerant enters the evaporator it arrests the fast rate of decrease of
evaporator pressure. The movement of needle stand also slows down. The
spring, however gets compressed as the needle stand moves downward to
open the orifice. If Fs0 is the spring force in the rest position, that is, off-
cycle, then during open valve position

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  Eventually, the needle stand reaches a position such that,

 That is, Fp is greater than Fe or Pp is greater than Pe. The pressure Pp

and Pe are saturation pressures at temperature (Te+ ΔTs) and Te
respectively. Hence, for a given setting force Fs of the spring, TEV
maintains the difference between Fp and Fe or the degree of superheat
ΔTs constant.

 This is irrespective of the level of Pe, that is, evaporator pressure or

temperature

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  If the load on the plant increases, the evaporation rate of liquid refrigerant
increases, the area available for superheating the vapor increases. As the
degree of superheat increases, pressure of power fluid Pp increases, the
needle stand is pushed down and the mass flow rate of refrigerant increases.
 The evaporation rate of refrigerant is proportional to the load and the mass
flow rate supplied through the expansion valve is also proportional to the
load.
 On the other hand, if the load on the plant decreases, the evaporation rate of
refrigerant decreases, as a result the degree of superheat decreases. The
thermostatic expansion valve reacts in such a way so as to reduce the mass
flow rate through it. The flow rate of refrigerant in this valve is proportional
to the evaporation rate of refrigerant in the evaporator.
 Hence, this valve always establishes balanced flow condition of flow
between compressor and itself.

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 Advantages and Disadvantages
 The advantages of TEV compared to other types of expansion devices are:
 It provides excellent control of refrigeration capacity as the supply of
refrigerant to the evaporator matches the demand
 It ensures that the evaporator operates efficiently by preventing starving
under high load conditions
 It protects the compressor from slugging by ensuring a minimum degree of
superheat under all conditions of load, if properly selected.
 However, compared to capillary tubes and AEVs, a TEV is more expensive, and
proper precautions should be taken at the installation. For example, the feeler
bulb must always be in good thermal contact with the refrigerant tube. The
feeler bulb should preferably be insulated to reduce the influence of the ambient
air. The bulb should be mounted such that the liquid is always in contact with
the refrigerant tubing for proper control.
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 Capillary Tube
 A capillary tube is a long, narrow tube of constant diameter. Typical tube
diameters of refrigerant capillary tubes range from 0.5 mm to 3 mm and the
length ranges from 1.0 m to 6 m.
 The pressure reduction in a capillary tube occurs due to the following two
factors:
 The refrigerant has to overcome the frictional resistance offered by tube
walls. This leads to some pressure drop
 The liquid refrigerant flashes (evaporates) into mixture of liquid and vapour
as its pressure reduces. The density of vapour is less than that of the liquid.
Hence, the average density of refrigerant decreases as it flows in the tube.
The mass flow rate and tube diameter (hence area) being constant, the
velocity of refrigerant increases since mass flow rate = ρVA. The increase in
velocity or acceleration of the refrigerant also requires pressure drop.

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 Capillary Tube
 Several combinations of length and bore are available for the same mass
flow rate and pressure drop.

 However, once a capillary tube of some diameter and length has been
installed in a refrigeration system, the mass flow rate through it will vary in
such a manner that the total pressure drop through it matches with the
pressure difference between condenser and the evaporator.

 Its mass flow rate is totally dependent upon the pressure difference across it;
it cannot adjust itself to variation of load effectively.

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 Balance Point of Compressor and Capillary
 The compressor and the capillary tube, under steady state must arrive at
some suction and discharge pressures, which allows the same mass flow rate
through the compressor and the capillary tube. This state is called the
balance point.
 The mass flow rate through the compressor decreases if the pressure ratio
increases since the volumetric efficiency of the compressor decreases with
the increase of pressure ratio. The pressure ratio increases when either the
evaporator pressure decreases or the condenser pressure increases.
 The pressure difference across the capillary tube is the driving force for the
refrigerant to flow through it, hence mass flow rate through the capillary
tube increases with increase in pressure difference across it. Thus, the mass
flow rate through the capillary tube increases as the condenser pressure
increases and/or the evaporator pressure decreases.
 Both are having opposite effects.

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 Increase in Refrigeration Load
 If the refrigeration load increases, there is a tendency for the evaporator
temperature to increase due to higher rate of evaporation. The balance point
for design load is shown by point B. As the load increases, the evaporator
temperature rises to C. At point C the mass flow rate through compressor is
more than the mass flow rate through the capillary tube.
 In such a situation, the compressor will draw more refrigerant through the
evaporator than the capillary tube can supply to it. This will lead to starving
of the evaporator. However, emptying of evaporator cannot continue
indefinitely. The system will take some corrective action since changes are
occurring in the condenser also.
 Since the capillary tube feeds less refrigerant to the evaporator, the
refrigerant accumulates in the condenser. The accumulation of refrigerant in
the condenser reduces the effective area of the condenser that is available
for heat transfer.

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  The condenser heat transfer rate is given by, Qc = UcAc (Tc-T∞ ). If
heat transfer coefficient Uc and T∞ are constant, then for same heat
transfer rate a decrease in area Ac will lead to a higher condenser
temperature Tc.
 An increase in condenser temperature leads to a decrease in
compressor mass flow rate and an increase in capillary mass flow
rate. Hence, the system will find a new balance point at higher
condenser temperature.

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 Decrease in Refrigeration Load
 If the refrigeration load decreases, there is a tendency for the evaporator
temperature to decrease. In this condition the capillary tube feeds more
refrigerant to the evaporator than the compressor can remove. This leads to
accumulation of liquid refrigerant in the evaporator causing flooding of the
evaporator.
 This may lead to dangerous consequences if the liquid refrigerant overflows
to the compressor causing slugging of the compressor. This has to be
avoided at all costs; hence the capillary tube based refrigeration systems use
critical charge as a safety measure.
 Critical charge is a definite amount of refrigerant that is put into the
refrigeration system so that in the eventuality of all of it accumulating in the
evaporator, it will just fill the evaporator up to its edge and never overflow
from the evaporator to compressor.

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  The flooding of the evaporator is also a transient phenomenon, it cannot
continue indefinitely. The system has to take some corrective action. As less
refrigerant in condenser, vapor enters the capillary tube. The vapor has a
very small density compared to the liquid; as a result, the mass flow rate
through the capillary tube decreases drastically.
 This is not desirable since the refrigeration effect decreases and the COP
also decreases. Hence, attempts are made in all the refrigeration plants to
subcool the refrigerant before entry to the expansion device. A vapor to
liquid subcooling heat exchanger is usually employed.

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 Advantages
 It is inexpensive.
 It does not have any moving parts hence it does not require maintenance.
 Capillary tube provides an open connection between condenser and the
evaporator hence during off-cycle, pressure equalization occurs between
condenser and evaporator. This reduces the starting torque requirement of
the motor since the motor starts with same pressure on the two sides of the
compressor. Hence, a motor with low starting torque can be used.
 Ideal for hermetic compressor based systems, which are critically charged
and factory assembled.

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 Disadvantages
 It cannot adjust itself to changing flow conditions in response to daily and
seasonal variation in ambient temperature and load. Hence, COP is usually
low under off design conditions.
 It is susceptible to clogging because of narrow bore of the tube, hence, utmost
care is required at the time of assembly. A filter-drier should be used ahead of
the capillary to prevent entry of moisture or any solid particles.
 During off-cycle liquid refrigerant flows to evaporator because of pressure
difference between condenser and evaporator. The evaporator may get flooded
and the liquid refrigerant may flow to compressor and damage it when it
starts.
 Therefore critical charge is used in capillary tube based systems. Further, it is
used only with hermetically sealed compressors where refrigerant does not
leak so that critical charge can be used. Normally an accumulator is provided
after the evaporator to prevent slugging of compressor .

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 Selection of Capillary
 For any new system, the diameter and the length of capillary tube have to be
selected by the designer such that the compressor and the capillary tube
achieve the balanced point at the desired evaporator temperature.

 There are analytical and graphical methods to select the capillary tube. The
fine-tuning of the length is finally done by cut-and-try method.

 A tube longer than the design (calculated) value is installed with the
expected result that evaporating temperature will be lower than expected.
The tube is shortened until the desired balance point is achieved.

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 References
 NPTEL notes
 Refrigeration and Air-conditioning book by C.P. Arora.

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 Acknowledgement
 Presentation material is prepared with the help of notes from NPTEL
and Book- Refrigeration and Air-conditioning by C.P. Arora.

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