Patel et al, International Journal of Advanced Engineering Research and Studies

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Research Paper

SHELL & TUBE HEAT EXCHANGER THERMAL DESIGN

WITH OPTIMIZATION OF MASS FLOW RATE AND BAFFLE
SPACING
1

Sandeep K. Patel, 2Professor Alkesh M. Mavani

Address for Correspondence

1

L.D.R.P I.T.R, Gandhinagar, Guj., INDIA

2
Professor, 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
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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 fixedtube sheet shell and tube type heat exchanger because

Patel et al, International Journal of Advanced Engineering Research and Studies

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 heattransfer 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.
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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 singlesegmental, double-segmental, or triple-segmental as
shown in Figure 2.
Baffle spacing: Baffle spacing is the centerline-tocenterline distance between adjacent baffles. It is the
most vital parameter in STHE design. The TEMA
standards specify the minimum baffle spacing as onefifth 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 0.60.7 power of velocity; however, pressure
drop varies to the 1.72.0 power. For laminar flow
(Re < 100), the exponents are 0.33 for the heattransfer 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

Patel et al, International Journal of Advanced Engineering Research and Studies

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 = UoAoTm
(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:

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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

(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,

(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)
(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
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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:

Patel et al, International Journal of Advanced Engineering Research and Studies

(14)
Where,
s = (b+ s) 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]
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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 BellDelaware 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.

Patel et al, International Journal of Advanced Engineering Research and Studies

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 Bells method. The
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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 Kzlkan, 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 Bells 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.
Jos 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

Patel et al, International Journal of Advanced Engineering Research and Studies

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 nontraditional 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.
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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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