research paper shell & tube heat exchanger …technicaljournalsonline.com/ijaers/vol ii/ijaers...

Patel et al, International Journal of Advanced Engineering Research and Studies E-ISSN2249–8974

IJAERS/Vol. II/ Issue I/Oct.-Dec.,2012/130-135

Research Paper

SHELL & TUBE HEAT EXCHANGER THERMAL DESIGN

WITH OPTIMIZATION OF MASS FLOW RATE AND BAFFLE

SPACING 1Sandeep K. Patel,

2Professor Alkesh M. Mavani

Address for Correspondence 1L.D.R.P –I.T.R, Gandhinagar, Guj., INDIA

2Professor, L.D.R.P –I.T.R, Gandhinagar, Guj., INDIA

ABSTRACT A characteristic of heat exchanger design is the procedure of specifying a design. Heat transfer area and pressure drops and

checking whether the assumed design satisfies all requirement or not. The purpose of this paper is how to design the shell

and tube heat exchanger which is the majority type of liquid –to- liquid heat exchanger. General design considerations and

design procedure are also illustrated in this paper. In design calculation HTRI software is used to verify manually calculated

result.

KEY WORDS: heat exchanger, mass flow rate, baffle spacing, pressure drop, heat transfer coefficient, LMTD, HTRI.

INTRODUCTION

Heat Exchanger is a device which provides a flow of

thermal energy between two or more fluids at

different temperatures. Heat exchangers are used in a

wide variety of engineering applications like power

generation, waste heat recovery, manufacturing

industry, air-conditioning, refrigeration, space

applications, petrochemical industries etc. Heat

exchanger may be classified according to the

following main criteria.

1. Recuperators and Regenerators.

2. Transfer process: Direct contact and Indirect

contact.

3. Geometry of construction: tubes, plates and

extended surfaces.

4. Heat transfer mechanisms: single phase and two

phase.

5. Flow arrangements: parallel, counter and cross

flows.

Shell and tube heat exchangers are most versatile

type of heat exchanger; they are used in process

industries, in conventional and nuclear power station

as condenser, in steam generators in pressurized

water reactor power plants, in feed water heaters and

in some air conditioning refrigeration systems.

Shell and tube heat exchanger provide relatively

large ratio of heat transfer area to volume and weight

and they can be easily cleaned. Shell and tube heat

exchanger offer great flexibility to meet almost any

service requirement. Shell and tube heat exchanger

can be designed for high pressure relative to the

environment and high pressure difference between

the fluid streams.

Basic Components of Shell and Tube Heat

Exchanger:

Shell and tube heat exchanger are built of round

tubes mounted in a cylindrical shell with the tubes

parallel to the shell. One fluid flow inside the tubes,

while the other fluid flows across and along the axis

of the exchanger, the major components of this

exchanger are tubes (tube bundles), shell, front end

head, rear end head, baffles and tube sheets. Typical

parts and their arrangement are show in figure 1.

TEMA Standards:

The standard of the Tubular Exchanger

Manufacturers Association (TEMA) describe various

components in detail of shell and tube heat

exchanger (STHE).

STHE is divided into three parts: the front head, the

shell and the rear head. Figure 1 illustrates the

TEMA nomenclature for the various construction

possibilities. Exchangers are described by the letter

codes for the three sections.

Each part has different construction and specific

function. The construction of front and rear head as

well as flow patterns in the shell are defined by the

TEMA standards- for example, a BFL exchanger has

a bonnet cover, a two-pass shell with a longitudinal

baffle and a fixed tubesheet rear head.

Classification Based on TEMA Construction:

There three basic classification based on TEMA

based on their end connection and shell type.

a. BEM b. CFU c. AES

Figure 1: Construction Parts and Connections

There are various types of STHE, but most of process

industries and chemical industries mostly use fixed-

tube sheet shell and tube type heat exchanger because



of its low cost, simple construction and low

maintenance cost. From industrial point of view it is

necessary to operate shell and tube heat exchanger at

optimal condition thus it reduce an operating and

maintenance cost.

Mass velocity strongly influences the heat-transfer

coefficient. For turbulent flow, the tube side heat-

transfer coefficient varies to the 0.8 power of tube

side mass velocity, whereas tube side pressure drop

varies to the square of mass velocity. Thus, with

increasing mass velocity, pressure drop increases

more rapidly than does the heat-transfer coefficient.

Consequently, there will be an optimum mass

velocity above which it will be wasteful to increase

mass velocity further. The construction geometry and

thermal parameters such as mass flow rate, heat

transfer coefficient etc are strongly influenced by

each other. A detail study of research of design

procedures, effect and variation of thermal

parameters under different conditions and

optimization methods implemented for STHE has

been carried out in literature review.

BAFFLE

Baffles serve two important functions. They support

the tubes during assembly and operation and help

prevent vibration from flow induced eddies and direct

the shell side fluid back and forth across the tube

bundle to provide effective velocity and Heat

Transfer rates. The diameter of the baffle must be

slightly less than the shell inside diameter to allow

assembly, but must be close enough to avoid the

substantial performance penalty caused by fluid

bypass around the baffles. Shell roundness is

important to achieve effective sealing against

excessive bypass. Baffles can be made from a variety

of materials compatible with the shell side fluid.

They can be punched or machined. Some baffles are

made by a punch which provides a lip around the

tube hole to provide more surfaces against the tube

and eliminate tube wall cutting from the baffle edge.

The tube holes must be precise enough to allow easy

assembly and field tube replacement, yet minimize

the chance of fluid flowing between the tube wall and

baffle hole, resulting in reduced thermal performance

and increased potential for tube wall cutting from

vibration. Baffles do not extend edge to edge, but

have a cut that allows shell side fluid to flow to the

next baffled chamber. For most liquid applications,

the cuts areas represent 20-25% of the shell diameter.

For gases, where a lower pressure drop is desirable,

baffle cuts of 40-45% is common.

Baffles must overlap at least one tube row in order to

provide adequate tube support. They are spaced

throughout the tube bundle somewhat evenly to

provide even fluid velocity and pressure drop at each

baffled tube section. Single-segmental baffles force

the fluid or gas across the entire tube count, where is

changes direction as dictated by the baffle cut and

spacing. This can result in excessive pressure loss in

high velocity gases. In order to affect Heat Transfer,

yet reduce the pressure drop, double-segmental

baffles can be used. This approach retains the

structural effectiveness of the tube bundle, yet allows

the gas to flow between alternating sections of tube in

a straighter overall direction, thereby reducing the

effect of numerous changes of direction.

Figure:2

Type of baffles: Baffles are used to support tubes,

enable a desirable velocity to be maintained for the

shell side fluid, and prevent failure of tubes due to

flow-induced vibration. There are two types of

baffles: plate and rod. Plate baffles may be single-

segmental, double-segmental, or triple-segmental as

shown in Figure 2.

Baffle spacing: Baffle spacing is the centerline-to-

centerline distance between adjacent baffles. It is the

most vital parameter in STHE design. The TEMA

standards specify the minimum baffle spacing as one-

fifth of the shell inside diameter or 2 in., whichever is

greater. Closer spacing will result in poor bundle

penetration by the shell side fluid and difficulty in

mechanically cleaning the outsides of the tubes.

Furthermore, a low baffle spacing results in a poor

stream distribution as will be explained later.

Figure:3. Types of Baffles

The maximum baffle spacing is the shell inside

diameter. Higher baffle spacing will lead to

predominantly longitudinal flow, which is less

efficient than cross-flow, and large unsupported tube

spans, which will make the exchanger prone to tube

failure due to flow-induced vibration. Optimum

baffles pacing. For turbulent flow on the shell side

(Re > 1,000), the heat-transfer coefficient varies to

the 0.6–0.7 power of velocity; however, pressure

drop varies to the 1.7–2.0 power. For laminar flow

(Re < 100), the exponents are 0.33 for the heat-

transfer coefficient and 1.0 for pressure drop. Thus,

as baffle spacing is reduced, pressure drop increases

at a much faster rate than does the heat-transfer

coefficient. This means that there will be an optimum

ratio of baffle spacing to shell inside diameter that

will result in the highest efficiency of conversion of

pressure drop to heat transfer. This optimum ratio is

normally between 0.3 and 0.6.

PRESSURE DROP IN STHE

PRELIMINARY CALCULATION A selected shell and tube heat exchanger must satisfy

the process requirements with the allowable pressure

drops until the next scheduled cleaning of plant. The

methodology to evaluate thermal parameters is



explained with suitable assumptions. The following

are the major assumptions made for the pressure drop

analysis;

1. Flow is steady and isothermal, and fluid

properties are independents of time.

2. Fluid density is dependent on the local

temperature only or is treated as constant.

3. The pressure at a point in the fluid is

independent of direction.

4. Body force is caused only by gravity.

5. There are no energy sink or sources along

streamline; flow stream mechanical energy

dissipation is idealized as zero.

6. The friction factor is considered as constant

with passage flow length.

Heat transfer or the size of heat transfer exchanger

can be obtained from equation,

Q = UoAo∆Tm (1)

The overall heat transfer coefficient Uo based on the

O.D. of tubes can be estimated from the estimated

values of individual heat transfer coefficients, the

wall and fouling resistance and the overall surface

efficiency using equation

(2)

For the single tube pass, purely countercurrent heat

exchanger, F= 1.00. For preliminary design shell with

any even number of tube side passes, F may be

estimated as 0.9 Heat load can be estimated from the

heat balance as:

(3)

If one stream changes phases:

Q = mhfg (4)

LMTD (Log Mean Temperature Difference Method)

calculation:

If three temperatures are known, the fourth one can

be found from the heat balance,

(5)

Heat transfer area can be calculated from equation

(3.1). Number of tubes of diameter (do), shell

diameter (Ds) to accommodate the number of tubes

(Nt), with given tube length (L) can be estimated,

(6)

One can find the shell diameter (Ds), which would

contain the right number of tubes (Nt), of diameter

(dt).

Figure 4: Square and Triangular Pitch Tube

Layout

The total number of tubes can be predicted in fair

approximation as function of the shell diameter by

taking the shell circle and dividing it by the projected

area of the tube layout (fig 4) pertaining to a single

tube A1.

(7)

Where CTP is the tube count calculation constant that

accounts for the incomplete coverage of the shell

diameter by the tubes. Based on fixed tube sheet the

following values are suggested:

One tube pass: CTP = 0.93

Two tube pass: CTP = 0.90

Three tube pass: CTP = 0.85

A1 = (CL) (PT)2 (3.8)

Where CL is the tube layout constant:

CL = 1.0 for 90 and 45

CL = 0.87 for 30 and 60

Equation (3.7) can be written as:

(8)

Where PR is the Tube Pitch Ratio (PR = PT/do).The

shell diameter in terms of main construction diameter

can be obtained as from equations (3.6) and (3.9),

(9)

TUBE SIDE PRESSURE DROP The tube side pressure drop can be calculated by

knowing the number of tube passes (Np) and length

(L) oh heat exchanger; the pressure drop for the tube

side fluid is given by equation

(10)

(11)

The change of direction in the passes introduction in

the passes introduction an additional pressure drop

due to sudden expansions and contractions that the

tube fluid experiences during a return that is

accounted for allowing four velocity head per pass

(12)

The total pressure drop of the side becomes:

(13)

SHELL SIDE PRESSURE DROP The shell side pressure drop depends on the number

of tubes, the number of times the fluid passes the tube

bundle between the baffles and the length of each

crossing. The pressure drop on the shell side is

calculated by the following expression:



(14)

Where,

фs = (µb+ µs) 0.14

Nb = Number of baffles

(Nb + 1) = Number of times fluid passes to the tube

bundle

Friction factor (f) calculated from:

(15)

Where,

(16)

The correlation has been tested based on data

obtained on actual exchangers. The friction

coefficient also takes entrance and exit losses into

account.

LITERATURE REVIEW

The subject of shell and tube heat exchanger (STHE)

has a wide variety of process and phenomena. A vast

amount of the material is published regarding STHE

which depicts various factors affecting the thermal

efficiency of the STHE. On the basis of that a brief

summary is reviewed as follows:

LITERATURE REVIEW RELATED TO

DESIGN OF STHE

Su Thet Mon Than, Khin Aung Lin, Mi Sandar

Mon:[1]

In this paper data is evaluated for heat

transfer area and pressure drop and checking whether

the assumed design satisfies all requirement or not.

The primary aim of this design is to obtain a high

heat transfer rate without exceeding the allowable

pressure drop.

Figure 5: Reynolds Number on Number of Baffles and

Length of Tube [1]

Figure 6: Heat Transfer Coefficient on Number of

Baffles and Length of Tube [1]

The decreasing pattern of curves of Reynolds

Number and heat transfer coefficient shown in figure

5 and figure 6 shows that the Re and h are gradually

decreases corresponding as high as tube effective

length. Gradual decrease in Reynolds Number means

there is significant decrease in pressure drop

respectively.

; explains the basics of

exchanger thermal design, covering such topics as:

STHE components; classification of STHEs

according to construction and according to service;

data needed for thermal design; tube side design;

shell side design, including tube layout, baffling, and

shell side pressure drop; and mean temperature

difference. The basic equations for tube side and shell

side heat transfer and pressure drop. Correlations for

optimal condition are also focused and explained

with some tabulated data. This paper gives overall

idea to design optimal shell and tube heat exchanger.

The optimized thermal design can be done by

sophisticated computer software however a good

understanding of the underlying principles of

exchanger designs needed to use this software

effectively.

Studied that, increased

fluid velocities result in larger heat transfer

coefficients and, consequently, less heat-transfer area

and exchanger cost for given rate of heat transfer. On

the other hand, the increased fluid velocities cause an

increase in pressure drop and greater pumping power

cost. The optimum economic design occurs at the

condition where the total cost is a minimum. The

basic problem, therefore, is to minimize the sum of

the variable annual costs for the exchanger and its

operation. The main objective of this paper is to

reduce the operating cost of shell and tube heat

exchanger.

Yusuf Ali Kara, Ozbilen Guraras:[4]

Prepared a

computer based design model for preliminary design

of shell and tube heat exchangers with single phase

fluid flow both on shell and tube side. The program

determines the overall dimensions of the shell, the

tube bundle, and optimum heat transfer surface area

required to meet the specified heat transfer duty by

calculating minimum or allowable shell side pressure

drop.

He concluded that circulating cold fluid in shell-side

has some advantages on hot fluid as shell stream

since the former causes lower shell-side pressure

drop and requires smaller heat transfer area than the

latter and thus it is better to put the stream with lower

mass flow rate on the shell side because of the

baffled space.

M.Serna and A.Jimenez:[5]

They have presented a

compact formulation to relate the shell-side pressure

drop with the exchanger area and the film coefficient

based on the full Bell–Delaware method. In addition

to the derivation of the shell side compact expression,

they have developed a compact pressure drop

equation for the tube-side stream, which accounts for

both straight pressure drops and return losses. They

have shown how the compact formulations can be

used within an efficient design algorithm. They have

found a satisfactory performance of the proposed

algorithms over the entire geometry range of single

phase, shell and tube heat exchangers.



Andre L.H. Costa, Eduardo M. Queiroz:[6]

Studied

that techniques were employed according to distinct

problem formulations in relation to: (i) heat transfer

area or total annualized costs, (ii) constraints: heat

transfer and fluid flow equations, pressure drop and

velocity bound; and (iii) decision variable: selection

of different search variables and its characterization

as integer or continuous.

This paper approaches the optimization of the design

of shell and tube heat exchangers. The formulation of

the problem seeks the minimization of the thermal

surfaces of the equipment, for certain minimum

excess area and maximum pressure drops,

considering discrete decision variables. Important

additional constraints, usually ignored in previous

optimization schemes, are included in order to

approximate the solution to the design practice.

describes to consider suitable baffle spacing in the

design process, a computer program has been

developed which enables designers to determine the

optimum baffle spacing for segmentally baffled shell

and tube condensers. Throughout the current

research, a wide range of design input data

specification for E and J types shell and tube

condensers have been considered and their

corresponding optimum designs for different values

of W1 have been evaluated. This evaluation has been

led to some correlation for determining the optimum

baffle spacing.

M. M. El-Fawal, A. A. Fahmy and B. M. Taher:[8]

In this paper a computer program for economical

design of shell and tube heat exchanger using

specified pressure drop is established to minimize the

cost of the equipment. The design procedure depends

on using the acceptable pressure drops in order to

minimize the thermal surface area for a certain

service, involving discrete decision variables. Also

the proposed method takes into account several

geometric and operational constraints typically

recommended by design codes, and provides global

optimum solutions as opposed to local optimum

solutions that are typically obtained with many other

optimization methods. LITERATURE REVIEW RELATED TO

EXPERIMENTAL AND METHOD FOR

EVALUATING SHELL SIDE HEAT TRANSFER

COEFFICIENT

Zahid H. Ayub:[9]

A new chart method is presented

to calculate single-phase shell side heat transfer

coefficient in a typical TEMA style single segmental

shell and tube heat exchanger. A case study of rating

water-to-water exchanger is shown to indicate the

result from this method with the more established

procedures and softwares available in the market.

The results show that this new method is reliable and

comparable to the most widely known HTRI

software.

R. Hosseini, A. Hosseini-Ghaffar, M. Soltani:[10]

experimentally obtained the heat transfer coefficient

and pressure drop on the shell side of a shell-and-tube

heat exchanger for three different types of copper

tubes (smooth, corrugated and with micro-fins). Also,

experimental data has been compared with theoretical

data available. Experimental work shows higher

Nusselt number and pressure drops with respect to

theoretical correlation based on Bell’s method. The

optimum condition for flow rate (for the lowest

increase of pressure drop) in replacing the existing

smooth tube with similar micro-finned tube bundle

was obtained for the oil cooler of the transformer

under investigation.

LITERATURE REVIEW RELATED TO

DIFFERENT OPTIMIZATION TECHNIQUES

Resat Selbas, Onder Kızılkan, Marcus Reppich:[11]

Applied genetic algorithms (GA) for the optimal

design of shell-and-tube heat exchanger by varying

the design variables: outer tube diameter, tube layout,

number of tube passes, outer shell diameter, baffle

spacing and baffle cut. From this study it was

concluded that the combinatorial algorithms such as

GA provide significant improvement in the optimal

designs compared to the traditional designs. GA

application for determining the global minimum heat

exchanger cost is significantly faster and has an

advantage over other methods in obtaining multiple

solutions of same quality.

G.N. Xie, Q.W. Wang , M. Zeng, L.Q. Luo:[12]

carried out an experimental system for investigation

on performance of shell-and-tube heat exchangers,

and limited experimental data is obtained. The ANN

is applied to predict temperature differences and heat

transfer rate for heat exchangers. BP algorithm is

used to train and test the network. It is shown that the

predicted results are close to experimental data by

ANN approach. Comparison with correlation for

prediction heat transfer rate shows ANN is superior

to correlation, indicating that ANN technique is a

suitable tool for use in the prediction of heat transfer

rates than empirical correlations. It is recommended

that ANNs can be applied to simulate thermal

systems, especially for engineers to model the

complicated heat exchangers in engineering

applications.

B.V. Babu, S.A. Munawarb:[13]

in the present study

for the first time DE, an improved version of genetic

algorithms (GAs), has been successfully applied with

different strategies for 1,61,280 design configurations

using Bell’s method to find the heat transfer area.

In the application of DE, 9680 combinations of the

key parameters are considered. For comparison, GAs

are also applied for the same case study with 1080

combinations of its parameters. For this optimal

design problem, it is found that DE, an exceptionally

simple evolution strategy, is significantly faster

compared to GA and yields the global optimum for a

wide range of the key parameters.

José M. Ponce-Ortega et al.:[14]

presented an

approach based on genetic algorithms for optimum

design of shell and tube heat exchanger and for

optimization major geometric parameters such as the

number of tube-passes, standard internal and external

tube diameters, tube layout and pitch, type of head,

fluids allocation, number of sealing strips, inlet and

outlet baffle spacing, and shell side and tube-side

pressure drops were selected.

Genetic algorithms provide better expectations to

detect global optimum solutions than gradient

methods, in addition to being more robust for the

solution of non-convex problems.

M. Fesanghary et al.:[15]

explores the use of global

sensitivity analysis (GSA) and harmony search

algorithm (HSA) for design optimization of shell and



tube heat exchangers (STHXs) from the economic

viewpoint.

Comparing the HSA results with those obtained using

genetic algorithm (GA) reveals that the HSA can

converge to optimum solution with higher accuracy.

Jiangfeng Guo et al.:[16]

took some geometrical

parameters of the shell-and-tube heat exchanger as

the design variables and the genetic algorithm is

applied to solve the associated optimization problem.

It is shown that for the case that the heat duty is

given, not only can the optimization design increase

the heat exchanger effectiveness significantly, but

also decrease the pumping power dramatically.

Sepehr Sanaye, Hassan Hajabdollahi:[17]

considered seven design parameters namely tube

arrangement, tube diameter, tube pitch ratio, tube

length, tube number, baffle spacing ratio as well as

baffle cut ratio. Fast and elitist non-dominated sorting

genetic algorithm with continuous and discrete

variables were applied to obtain the maximum

effectiveness (heat recovery) and the minimum total

cost as two objective functions.

V.K. Patel, R.V. Rao:[18]

explores the use of a non-

traditional optimization technique; called particle

swarm optimization (PSO), for design optimization

of shell-and-tube heat exchangers from economic

view point. Minimization of total annual cost is

considered as an objective function. Three design

variables such as shell internal diameter, outer tube

diameter and baffle spacing are considered for

optimization. Two tube layouts viz. triangle and

square are also considered for optimization.

The presented PSO technique's ability is

demonstrated using different literature case studies

and the performance results are compared with those

obtained by the previous researchers. PSO converges

to optimum value of the objective function within

quite few generations and this feature signifies the

importance of PSO for heat exchanger optimization.

studied that the optimum ratio

of baffle spacing to shell diameter is determined by

applying the thermo economic analysis method.

Although there is no precise criterion to determine

baffle spacing in the literature, it is obvious that

thermo economic analysis, as defined in this paper, is

a powerful tool for determining of the optimum

baffle spacing. The results obtained, corresponding to

the different objective functions, are also discussed.

The results of these methods are then used to

demonstrate how the optimum baffle spacing ratio is

affected by the varying values of the heat exchanger

geometrical parameters.

CONCLUSION

From literature review it can be concluded that,

• There is increase in pressure drop with increase

in fluid flow rate in shell and tube heat

exchanger which increases pumping power.

• Genetic algorithm provide significant

improvement in the optimal designs compared

to the traditional designs. Genetic algorithm

application for determining the global minimum

heat exchanger cost is significantly faster and

has an advantage over other methods in

obtaining multiple solutions of same quality.

Thus, providing more flexibility to the designer.

• It also reveals that the harmony search

algorithm can converge to optimum solution

with higher accuracy in comparison with

genetic algorithm.

• Tube pitch ratio, tube length, tube layout as

well as baffle spacing ratio were found to be

important design parameters which has a direct

effect on pressure drop and causes a conflict

between the effectiveness and total cost.

In brief, it is necessary to evaluate optimal thermal

design for shell and tube heat exchanger to run at

minimal cost in industries.

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Thermal Design”, 2002.

2. Ramesh K shah and Dusan P. Sekulic, “Fundamental of

heat exchanger design”, Rochester Institute of Technology,

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3. Rajeev Mukharji, “Effective design of shell and tube heat exchanger”, American Institute of Chemical Engineering,

1988.

4. Yusuf Ali Kara, Ozbilen Guraras, “A computer program for

designing of Shell and tube heat exchanger”, Applied

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5. M.Serna and A.Jimenez, “A compact formulation of the

Bell Delaware method for Heat Exchanger design and optimization”, Chemical Engineering Research and Design,

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6. Andre L.H. Costa, Eduardo M. Queiroz, “Design

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exchanger Using Specified Pressure Drop”, Journal of

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9. Zahid H. Ayub, “A new chart method for evaluating single-

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Jiménez-Gutiérrez, “Use of genetic algorithms for the

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