Caterpillar Engine Technologies

An Engine System Approach to Exhaust Waste Heat Recovery

Principal Investigator: Richard W. Kruiswyk DOE Contract: DE-FC26-05NT42423

Caterpillar Inc. DOE Technology Manager: John Fairbanks
NETL Project Manager: Carl Maronde

DEER Conference
Detroit, MI
August 6, 2008

Note: This presentation does not contain any proprietary or confidential information.
 AGENDA

ƒ Overview - Engine Thermal Efficiency and Waste Heat Recovery

ƒ EWHR Program Objectives, Timeline, Scope
ƒ Technical Developments
ƒ Summary and Conclusions

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 Diesel Engine Thermal Efficiency

2007 C15 On-Highway Truck ATAAC Heat Fuel Energy, %

Engine Rejection 100
Fuel Heat
Rejection Exhaust ~ 22%
Brake
Engine C15 Energy
Power
80
A/C CGI Cooler HR ~ 5%
ATAAC HR ~ 10%
HP Comp HP Turb

Fuel Energy (kW)

Fuel
Energy 60
Stack Coolant
CGI Heat Heat Rej ~ 21%
Rejection
LP Comp LP Turb
40
DPF
Brake Power
CGI ~ 42%
Cooler CGI 20

Ambient
Brake Exhaust
• Series Turbocharged Power Energy
0
• LPL CGI (clean gas induction)
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 Diesel Engine Thermal Efficiency & Exhaust Waste Heat

HPL Engine Fuel Energy, % LPL Engine Fuel Energy, %

100 100
Brake
HE EGR Engine C15
Power

Engine C15
Brake
Power Exhaust ~ 22% A/C
Exhaust ~ 22%
A/C Energy HP Comp HP Turb Energy
80 Stack 80
HP Comp HP Turb
EGR Cooler HR ~ 7% CGI Cooler HR ~ 5%
Stack LP Comp LP Turb

ATAAC HR ~ 8% DPF
ATAAC HR ~ 10%
Fuel Energy (kW)

LP Turb

Fuel Energy (kW)

LP Comp
60 CGI
Cooler 60
DPF
Coolant CGI
Coolant
Ambient
Heat Rej ~ 21% Ambient
Heat Rej ~ 21%

40 40

~ 42% Brake Power

Brake Power
~ 42%
20 20

Roughly half of the lost fuel energy is

0 0
carried in the exhaust streams
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 Diesel Engine Thermal Efficiency & Exhaust Waste Heat
HTCD 50% OTE Program – Analysis Results
Research Reduced Combustion
45% OTE HE Nox Improved Heat Turbo- System
Engine A/T Air System Rejection compound Optimization
100
Exhaust
25% 26% Energy
80
EGR HR
ATAIC HR
15% 9%
Fuel Energy, %)

ATAAC HR
60 Coolant
14% Heat Rej
15%
40
Waste
45.0%
heat
45.2%
recovery
47.0%
from the
47.3% 48.2%
exhaust
50.5% Brake
Power
20 streams
OTE will beOTEessential
OTE OTE to OTE
achieving
OTE

50 - 55% thermal efficiency

0
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 Challenges to Efficient Exhaust Waste Heat Recovery
Challenges for
Technology 2010 & Beyond Development Needs

Turbocompound ƒ Turbo Efficiencies

ƒ Turbo Efficiencies
ƒ Transmission
ƒ Aftertreatment BP
ƒ Electrical Machines

ƒ Combustion
Bottoming ƒ Cycle Efficiencies
Cycles
ƒ Packaging ƒ Aftertreatment
ƒ Transmission
ƒ Aftertreatment ƒ Compact Heat
inlet temperatures Exchangers
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 AGENDA

ƒ Overview - Engine Thermal Efficiency and Waste Heat Recovery

ƒ EWHR Program Objectives, Timeline, Scope
ƒ Technical Developments
ƒ Summary and Conclusions

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 Program Objective

Develop components, technologies, and methods to recover energy

lost in the exhaust processes of an internal combustion engine and
utilize that energy to improve engine thermal efficiency by 10% (i.e.
from ~ 42% to ~46% thermal efficiency)

‰ No increase in emissions
‰ No reduction in power density
‰ Compatible with anticipated aftertreatment

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 Program Timeline

Program Phases Per Contract

We are here
Define Validate Mid-Program
Roadmap roadmap System Demo Refine Recipe Final System Demo
Phase 1 Phase 2 Phase 3 Phase 4 Phase 5

2005 2006 2007 2008 2009 2010 2011

Phase 3 Objective: Demonstration of significant progress (+ 5-10%) in system thermal

efficiency improvement via testing/analysis of prototype components. This will include
an on-engine system demonstration of prototype hardware.

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 Program Scope Engine C15
Brake
Power
A/C

HP Comp HP Turb
ƒ Solutions compatible w/ production engines – Stack

transferable technologies
LP Turb
– Baseline - 2007 C15 on-highway engine with
LP Comp

DPF

LPL CGI system CGI

Cooler CGI
Ambient

LPL CGI System

HE EGR
ƒ Solutions compatible with future engines – Brake
Power
Engine C15
technologies for HECC solutions A/C
– HPL or HPL-LPL advantageous in some
scenarios HP Comp HP Turb

Stack

LP Turb
Program scope revised to include LP Comp

investigation of LPL & HPL DPF

Ambient
solutions HECC HPL EGR System
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 AGENDA

ƒ Overview - Engine Thermal Efficiency and Waste Heat Recovery

ƒ EWHR Program Objectives, Timeline, Scope
ƒ Technical Developments
ƒ Summary and Conclusions

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 Technical Developments – Proposed System
An integrated system solution to
waste heat recovery Piping Intercooling
Port Insul. (0.5%)
Brake (0.5%) (1.3%)
Engine C15
Power HP Turbine
A/C (2.0%)

Energy transmission
HP Comp HP Turb
Stack
Strategy Optimization
I/C

LP Comp LP Turb

DPF
LP Turbine
Stack Recovery*
CGI Compressors (1.0%)
Cooler CGI (4.0%)
Ambient (0.7%)
* Turbocompound or bottoming cycle: supplements
engine power via electrical or mechanical connection
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Engine Technologies to flywheel

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Caterpillar Engine Technologies
 Technical Developments – Stack Energy Recovery
Phase 1 Proposed Solution
Open Air Brayton Cycle
Brake Phase 2 Engine Simulations
Power
Engine C15 BSFC Benefit of Brayton on C15
3000

A/C
Stack Ambient Early in program:
2500 4.0% 4.3%
• 2010 A/T backpressure levels not

Engine Load
HP Turb
HP Comp
known with certainty
2000
3.0% 3.5%
Turb Comp Stack
• Turbocompound
1500
2.3%
known to be
2.8%
LP Comp LP Turb negatively affected by backpressure
1000

500 Brayton cycle w/ high efficiency

HE DPF
Forced consideration
turbomachinery ofexhaust ports
& insulated
0
“backpressure
500 insensitive”
1000 Engine Speed
1500 solutions
2000
CGI
Ambient
Performance Objective CAN be
Packaging??? met with Brayton Cycle Solution
and supporting technologies
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 Technical Developments – Stack Energy Recovery
Phase 1 Proposed Solution
Open Air Brayton Cycle Phase 2
Brake Heat Exchanger Technology Evaluations
Power
Engine C15 ¾ Primary Surface technology
A/C
Stack Ambient
Caterpillar technology
HP Turb
HP Comp 2 ft3 core vol.
Turb Comp Stack

LP Comp LP Turb ¾ Microchannel manufacturing technology

HE DPF Preliminary estimate: ~ 0.5 - 1 ft3 core
Concept design: 1.5 ft3 core vol.
CGI
Ambient
At end of Phase 2, no line of
Packaging??? sight to a HE core smaller than
1.5 – 2.0 ft3
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 Technical Developments – Stack Energy Recovery
Phase 1 Proposed Solution Phase 2 Packaging Studies with
Open Air Brayton Cycle 1 ft3 heat exchanger core
Brake
Power
Engine C15

A/C
Stack Ambient

HP Comp HP Turb
Turb Comp Stack

LP Comp LP Turb

HE DPF

CGI
Ambient

Packaging??? Even at 1 ft3 core volume,

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system packaging is challenge
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 Technical Developments – Stack Energy Recovery
Electric Turbocompound
ƒ Gen1 – Caterpillar / DOE 2001-2004 Development Program
– Approach – Turbocompound function integrated into engine turbo
– Specification – 40kw @ 60krpm in generating mode
– Results
• Excellent stability of rotor / shaft system
• Generated 44kw at 59krpm
– Turbo generator short of efficiency target
– Heating problems – powers above 15kw limited to 30-60sec runtime
Measured Turbo Shaft Generator Pow er and Torque

50000 100

45000 90

40000 80

35000 70
G enerator Pow er W

30000 60
25000 50

20000 40

15000 30

10000 20
Elecronics O/ P pow er (W)
5000 10
% Torque
0 0
25000 30000 35000 40000 45000 50000 55000 60000 65000
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Engine Technologies Turbo Shaft Speed rpm

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 Technical Developments – Stack Energy Recovery
Electric Turbocompound
ƒ Gen2 – Concept design collaboration with consultant
– Specification: 20-25kw power generation
– Two design options to be evaluated
• ‘Between-the-wheels’ option
• ‘In-front-of-compressor’ option
– Thermal, stress, rotordynamic analysis to evaluate options
– Scheduled completion: 30Oct08
Fly wheel Fly wheel
HE Motor/ Ge nerator HE Motor/ Generator
EGR EGR
Engine C15 Engine C15
Brake Brake
A/C Power A/C Power
Electrical Power

Electrical Power
HP Comp HP Turb HP Comp HP Turb
Stack Stack
I/C I/C

LP Comp GEN. LP Turb GEN. LP Comp LP Turb

DPF DPF
Ambient Ambient
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 Technical Developments – HP Turbine
+2% Thermal Efficiency Requires
Piping
Port Insul. (0.5%) Intercooling +10% Turbine Stage Efficiency
(0.5%) (1.3%)
HP Turbine
(2.0%)

Turbine-Mech Efficiency, T-S

0.840

0.820
Target +10%
Strategy Optimization 0.800

0.780

0.760

0.740

0.720

0.700
Baseline
LP Turbine 0.680
2%
Stack Recovery 0.55 0.6 0.65 0.7 0.75 0.8

Compressors (1.0%) Velocity Ratio, U/C

(4.0%)
(0.7%)
Technologies
ƒ RND – radial, nozzled, divided turbine
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 Technical Developments – HP Turbine

Piping
Port Insul. (0.5%) Intercooling
(0.5%) (1.3%)
HP Turbine
(2.0%) Nozzled
Nozzled/ Divided Turbine
/ Divided Turbine vsvs Production
Production

T-S
0.840
Shift efficiency

Efficiency,T-S
0.820
peak Target

Turbine-Mech Efficiency,
Strategy Optimization 0.800
Gap
0.780

RND Optimized
0.760

Turbine-Mech
RND Measured
0.740

0.720

Baseline
LP Turbine 0.700

Stack Recovery 2%
Compressors (1.0%) 0.680

(4.0%) 0.55 0.6 0.65 0.7 0.75 0.8

(0.7%) Velocity Ratio, U/C

Majority of exhaust energy is

entering turbine in this region

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 Technical Developments – HP Turbine

Piping
Port Insul. (0.5%) Intercooling
(0.5%) (1.3%)
HP Turbine
(2.0%) Nozzled
Nozzled/ Divided Turbine
/ Divided Turbine vsvs Production
Production

T-S
0.840

Efficiency,T-S
0.820
New Target Target

Turbine-Mech Efficiency,
Strategy Optimization 0.800

0.780

RND Optimized
0.760

Turbine-Mech
RND Measured
0.740

0.720

Baseline
LP Turbine 0.700

Stack Recovery 2%
Compressors (1.0%) 0.680

(4.0%) 0.55 0.6 0.65 0.7 0.75 0.8

(0.7%) Velocity Ratio, U/C

Shifting peak efficiency –

mixed flow turbine
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 Technical Developments – HP Turbine
Mixed Flow Turbine

radial mixed flow

ƒ Gen1 wheel designed / procured / tested

MF Turbine vs 2007 Production HP

0.76
Target – Nozzleless Mixed Flow
0.74
T-ST-S
(%)

0.72
Gen1 missed target performance:
Turb-Mech Eff,Eff.

0.7
ƒ Over-aggressive design
Turbine-Mech

Production Radial – Data

0.68
– Desire to clearly demo
0.66
efficiency shift
0.64
Mixed Flow – Gen1 Data ƒ First use of codes for mixed flow
– Calibration required
0.62
0.5 0.55 0.6 0.65 0.7 0.75 0.8
Velocity Ratio, U/C

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 Technical Developments – HP Turbine
Mixed Flow Turbine
ƒ Gen2 wheel designed / analyzed
– Gen1 lessons used to optimize design
– 6-8% improvement in efficiency predicted vs Gen1 over range of interest

Gen1 Gen2
MF Turbine vs 2007 Production HP

0.76
Gen2 Mixed Flow - Predicted
0.74

T-ST-S
(%)
0.72

Turb-Mech Eff,Eff.
0.7

Turbine-Mech
Production Radial Data
0.68

0.66

0.64
Mixed Flow – Gen1 Data
0.62
0.5 0.55 0.6 0.65 0.7 0.75 0.8
Velocity Ratio, U/C

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 Technical Developments – HECC HPL EGR Waste Heat Recovery
Brayton Cycle
Brayton Cycle Ambient Ambient

ƒ System Capability Evaluation Turb GEN. Comp

Electrical
Power
ƒ Assumptions: HE
EGR
Fly wheel
Motor/ Generator

– Brayton turbo efficiencies 80% Engine C15

Brake
– Single stage for packaging A/C Power
Stack
– Heat exchanger: 90% effectiveness Turb
Comp
– Transmission Efficiency: 90%
Ambient DPF
ƒ Packaging: Excellent 4.5

– Heat Exchanger: 0.25 core

ft3 4.0

BSFC Improvement (%)

– Turbo: ~ 2” compressor 3.5

3.0
ƒ Performance: Low-Moderate
2.5
– At 20 - 40% EGR:
2.0
+ ~2 - 4% w/ 80% turbomachinery 1.5

+ ~1.5 - 2.5% w/ 74% turbomachinery 1.0

20.0 25.0 30.0 35.0 40.0 45.0
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Engine Technologies EGR Flow Rate (%)

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 Technical Developments – HECC HPL EGR Waste Heat Recovery
Rankine Cycle Cond
Rankine Cycle

RC
ƒ System Capability Evaluation Pump GEN. Turb

Electrical
Power
ƒ Assumptions: EV SH
Fly wheel
Motor/ Generator
EGR
– Turbine efficiency 80% Engine C15
Brake
– Pump efficiency 65% A/C Power
Stack
– R245fa working fluid Turb
Comp
– Transmission Efficiency: 90%
Ambient DPF

ƒ Packaging: Challenge 7

– Multiple heat exchangers

6.5

BSFC Improvement (%)

6

5.5
ƒ Performance: Moderate-Good 5

– + 3-6% depending on EGR rates 4.5

Exhaust temp
4
640degC
3.5

3
660degC
2.5 680degC
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20 25 30 35 40 45
% EGR
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 AGENDA

ƒ Overview - Engine Thermal Efficiency and Waste Heat Recovery

ƒ EWHR Program Objectives, Timeline, Scope
ƒ Technical Developments
ƒ Summary and Conclusions

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 Summary
ƒ Significant progress made toward program objectives:
ƒ With LPL CGI, turbocompound + high efficiency turbos provides
+4% BSFC w/ 20kPa aftertreatment backpressure.
ƒ Progress on supporting technologies, especially turbine
technologies, suggests performance target can be met
ƒ Waste heat recovery for future HECC engine solutions prompts
consideration of HPL and HPL-LPL EGR configurations
– Turbocompound still effective for stack recovery. Benefit
dependent on aftertreatment backpressure, required EGR rates
– Brayton cycle offers moderate benefit for HPL loop heat recovery
– Rankine cycle offers significant benefit for HPL loop heat recovery

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 Acknowledgements

Caterpillar Thanks:
Turbomachinery design consulting,
Honeywell component procurement and integration.

Turbomachinery design consulting and

ConceptsNREC
optimization.

Turbomachinery design consulting and

Turbo Solutions optimization.

Electric turbocompound design

Barber-Nichols Inc.
consulting

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 Acknowledgements

Caterpillar Thanks:

• Department of Energy
• Gurpreet Singh
• John Fairbanks

• DOE National Energy Technology Laboratory

• Ralph Nine
• Carl Maronde

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