Renewable and Sustainable Energy Reviews 138 (2021) 110479

Contents lists available at ScienceDirect

Renewable and Sustainable Energy Reviews

journal homepage: http://www.elsevier.com/locate/rser

Heat exchanger network retrofit with heat exchanger and material type
selection: A review and a novel method
Bohong Wang a, *, Jiří Jaromír Klemeš a, Nianqi Li b, Min Zeng b, Petar Sabev Varbanov a,
Yongtu Liang c
a
Sustainable Process Integration Laboratory – SPIL, NETME Centre, Faculty of Mechanical Engineering, Brno University of Technology – VUT Brno, Technická 2896/2,
616 69, Brno, Czech Republic
b
Key Laboratory of Thermo-Fluid Science and Engineering, Ministry of Education, Xi’an Jiaotong University, Xi’an, Shaanxi, 710049, China
c
National Engineering Laboratory for Pipeline Safety/Beijing Key Laboratory of Urban Oil and Gas Distribution Technology, China University of Petroleum-Beijing, Fuxue
Road No.18, Changping District, Beijing, 102249, China

A R T I C L E I N F O A B S T R A C T

Keywords: Heat Integration with heat exchanger network (HEN) is a widely used way to save energy and improve efficiency.
Heat integration Varied types of heat exchangers and materials would influence the investment cost and affect the design of HEN
Heat exchanger retrofit. This paper critically reviews the features of various types of heat exchangers, their working conditions
Heat exchanger network
and investment costs, as well as the state-of-the-art of the current methods for HEN synthesis and retrofit, to
Retrofit
Graphical approach
introduce a framework for HEN retrofit which considers heat exchanger and material selection. The proposed
framework divides the retrofit design process into two stages, diagnosis and optimisation. In the diagnosis stage,
two graphical decision-making tools, the Shifted Retrofit Thermodynamic Grid Diagram with Shifted Heat
Exchanger Temperature Range (SRTGD-SHTR) and Shifted Material Temperature Range (SRTGD-SMTR) are
proposed for analysis and diagnosis of the existing HEN to determine feasible retrofit plans with pre-selected heat
exchangers and materials. In the optimisation stage, the constrained particle swarm optimisation algorithm is
applied to optimise the plans made in the first stage and minimise the total annual cost. A case study demon­
strates a possible implementation of the proposed framework. The suitable types for new heat exchangers and
their materials are selected, and the retrofitted design can reduce the utility cost by 8.9% compared with the
existing HEN. This framework can be applied easily with a sound solution for HEN retrofit.

[3]. The variation and new methods for HEN synthesis and retrofit have
led to great improvements in many directions in recent years. This
1. Introduction
development was closely supported by dedicated conferences such as
PRES (Process Integration, Modelling and Optimisation for Energy
Reducing the consumption of materials and increasing energy uti­
Savings and Pollution Reduction) [4].
lisation efficiency are key goals towards building a more environmen­
Most research has focused on the following four approaches:
tally friendly world. They have a vast potential to save energy in the
industries as they may account for 80% of the total energy consumption
(i) Propose new diagrams for providing more information about
[1]. Energy efficiency can be significantly increased by recovering and
processes and networks, for easy synthesis and retrofit of the
reusing waste heat between processing plants [2]. Heat recovery in in­
HEN.
dustrial sites and plants has been a significant issue in Process Integra­
(ii) Develop new algorithms to solve large-scale mixed-integer
tion, as most of sites and plants have considerable potential for energy
nonlinear programming (MINLP) models for more efficient HEN
savings. One of the common methods in the process industries is using
synthesis and retrofit design.
Heat Exchanger Networks (HENs) for heat recovery to gain the benefits
(iii) Combine investment estimations and calculations in the synthesis
of waste heat utilisation and economic efficiency improvement.
and retrofit design of the HEN to increase the accuracy and make
In the last five decades, several advanced methods and approaches
the design results more practical.
have been proposed since the initial idea of Pinch Analysis was proposed

* Corresponding author.
E-mail address: wang.b@fme.vutbr.cz (B. Wang).

https://doi.org/10.1016/j.rser.2020.110479
Received 22 July 2020; Received in revised form 12 September 2020; Accepted 16 October 2020
Available online 27 October 2020
1364-0321/© 2020 Elsevier Ltd. All rights reserved.
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Abbreviations PCHE Printed Circuit Heat Exchanger

PFHE Plate and Frame Heat Exchanger
A vs H Area versus Enthalpy PHE Plate Heat Exchanger
CCs Composite Curves PSO Particle Swarm Optimisation
CS Carbon Steel PTA Problem Table Algorithm
CTHE Coiled Tube Heat Exchanger QC Duty of Cold Utilities
CTI Cold Stream Inlet Temperature QH Duty of Hot Utilities
CTO Cold Stream Outlet Temperature RW Random Walk
DE Differential Evolution RTD Retrofit Thermodynamic Diagram
DPHE Double Pipe Heat Exchanger SA Simulated Annealing
ETD Energy Transfer Diagram SaT Shell-and-Tube
FOB Free on Board SPHE Spiral Plate Heat Exchanger
GA Genetic Algorithm SQP Sequential Quadratic Programming
GCCs Grand Composite Curves SRTD Shifted Retrofit Thermodynamic Diagram
GDT Grid Diagram Table SRTGD Shifted Retrofit Thermodynamic Grid Diagram
HE Heat Exchanger SRTGD-SHTR Shifted Retrofit Thermodynamic Grid Diagram with
HEN Heat Exchanger Network Shifted Heat Exchanger Temperature Range
HDF Heat Flow Diagram SRTGD-SMTR Shifted Retrofit Thermodynamic Grid Diagram with
HTI Hot Stream Inlet Temperature Shifted Material Temperature Range
HTO Hot Stream Outlet Temperature SS Stainless Steel
IDE Integrated Differential Evolution SSHE Scraped Surface Heat Exchanger
LP Linear Programming STEP Stream Temperature versus Enthalpy Plot
MILP Mixed-Integer Linear Programming STEPS Stream Temperature versus Enthalpy Plot Supertargeting
MINLP Mixed-Integer Nonlinear Programming STHE Shell-and-Tube Heat Exchanger
NLP Non-Linear Programming TAC Total Annual Cost
NPV Net Present Value TDF Temperature Driving Force
NSM Non-Structural Model T–H Temperature–Enthalpy
OBL Opposition-Based Learning

(iv) Develop new methods that combine the advantages of Pinch

Analysis and Mathematical Programming for better visualisation
and optimisation as the combined methods utilise both the
experience of engineers and the searching ability of computers.

Along with the improvement of the methods in these approaches,

other considerations which could make the synthesis and retrofit design
more practical have been studied, such as pressure drop [5], equipment
layout [6], compressors [7] and heat pump placement [8], fouling [9],
and emissions limitations [10]. Along with these important issues in the
HEN synthesis and retrofit implementation, heat exchanger (HE) types
and corresponding materials selection is another vital aspect that should
be considered [11].
With the development of HE equipment, many types of HEs have
been developed. Shells, tubes, spiral tubes, plates, and fins are the most
commonly used shapes in HEs [12]. These types of HEs have their Fig. 1. Schematic diagram of the double pipe heat exchanger (DPHE) [13].
relative features for different use scenarios. Their working temperature
ranges and pressures are different, as well as the investment cost. The detailed way, and the HE and material types are recommended.
materials used for HE construction are mostly metals, including carbon
steel, copper, titanium, stainless steel, and some special alloys. They 2. A review of the features of various types of HE for
should be chosen depending on the requirement of different working temperatures and pressures covering the cost
conditions, such as temperature and pressure. These features should be
considered in the HEN synthesis and retrofit design as they have a strong 2.1. Selection of HE types
influence on the design results.
This study reviews the most commonly used types of HEs and the HEs are vital devices in numerous industries and are closely related
following new developments, as well as the manufacturing and oper­ to energy transport, efficiency, and savings. As extensively diverse tasks
ating costs calculation methods for detailed synthesis and retrofit of are involved in the implementation of HEs, manifold HEs with entirely
HENs. The recently developed methods for synthesis and retrofit have different design protocols are proposed to meet the production demands.
been described as well to show the latest trend of Process Integration and The selection of an appropriate HE type is a multi-factor decision due to
heat recovery. A framework for HEN retrofit, which considers HE types the various kinds, their thermal design, material selection, capital cost
and materials selection was developed. This framework allows the first and operation cost management. Given a specific process demand, the
step of analysis and diagnosis of the existing process with the graphical following points have to be considered. They include operating pressure,
method and uses a mathematical method in the second step for optimal operating temperature, flow rates, fluids properties, materials of con­
results searching. The investment cost of HEs is calculated in a more struction, fouling, fabrication cost, and maintenance cost. In this section,

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B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

features of different HE types are discussed to provide insight into the

selection of a HE type.

2.1.1. Double pipe heat exchanger

A Double Pipe Heat Exchanger (DPHE) is equipped with two
concentric circular pipes. The inner and outer pipes have different di­
ameters, and the inner tube pass and the annulus pass are flow regions.
The dominant heat transfer path inside a DPHE is through the wall of the Fig. 2. Schematic diagram of the Shell-and-Tube Heat Exchanger (STHE) [23].
inner pipe. The pipes are usually U-turned to increase the heat transfer
area within a limited space (see Fig. 1), and U-turned DPHEs are capable
of heat transfer with a temperature cross (when the outlet temperature
of the hot flow is lower than the outlet temperature of the cold flow).
Given the simplicity of the structure, the DPHE could be combined in
series or parallel to satisfy requirements. As the most straightforward
tubular heat transfer device, DPHE has a limited heat transfer area
compared to other tubular HEs. Typical DPHEs are employed to deal
with small duties in an application. Increasing the pipe length is the most
obvious way to enhance heat transfer performance. However, longer
pipes also lead to higher pressure drop, material cost, and operating cost.
DPHEs are suitable for high-fouling or high-viscosity conditions due to
their straightforward structure. Original DPHEs are designed with
smooth pipes, but finned-tube is a simplified heat transfer enhancement
for DPHEs.
Lachi et al. [14] studied the dynamic response of DPHEs and found
that the time constant decreases as the flow rate increases both for the
DPHE and the one-pass shell-and-tube heat exchanger, and proposed a
model to predict the response of the HE to the sudden flow rate change at
the entrance. Maré et al. [15] deployed particle image velocimetry (PIV)
in the experimental study of a DPHE, and water served as the working Fig. 3. Schematic diagram of the coiled tube heat exchanger [30].
fluid. The velocity distribution showed that an annulus high volume
flow rate leads to a constant temperature boundary at the inner tube, internal cleaning and maintenance are required during the service
and reported the simultaneous back-flow in the annulus and the inner period. Many contributions have been made to optimise both the per­
tube of a double-duct parallel-flow HE. Typical DPHEs are commonly formance and structure of the STHE to overcome the intrinsic flaws.
adopted in low duty conditions with mild pressure and temperature There are two strategies for STHE enhancement: shell-side
range, but in some cases, there are exceptions. Ma et al. [16] deployed a enhancement and tube-side enhancement. Shell-side enhancement
DHPE in the Supercritical CO2 (sCO2)–water test loop near the modifies the flow pattern with different baffle styles such as the flower
pseudo-critical temperature. The variation of sCO2-side heat and total baffle [19] and the helical baffle [20]. Different baffle styles induce
transfer coefficients with temperature performed similarly to the spe­ diverse flow patterns in the shell-side, which has a profound impact on
cific heat, and the DPHE is capable of supercritical working conditions at the heat transfer performance and pressure drop (see Fig. 2). The choice
the laboratory-scale. As mentioned before, the structure of a typical of baffles also affects suitable working conditions, i.e., temperature
DPHE is simple and has many constraints in applications. To enhance span, pressure drop limitation, and working medium. The rod baffle
the performance of a DPHE, Yang et al. [17] proposed a periodically consists of multiple rods which are perpendicular to the tube bundles,
varying-curvature curved-pipe DPHE. The experimental results showed and induce a longitudinal flow with mild flow disturbance and pressure
that the heat transfer rate is enhanced compared with a normal DPHE, drop. Although there is a deficiency in heat transfer within the rod
and a more significant curvature corresponds to a stronger secondary baffle, the overall energy efficiency is superior to the conventional
flow. Especially in the cooling case, the curvature ratio effect is not segmental baffle [21]. Helical baffles could be further subclassified as
overwhelming, and the heat transfer rate relates only to the Dean discontinuous helical baffles and continuous helical baffles. Discontin­
number. This is a classic heat enhancement via surface and shape uous helical baffles are a set of overlapped helix plates with certain
modification, which is a general duty for all type of HEs. adjacent angles. Distinct from the discontinuous helical baffles with
discrete helix structure, the continuous helical baffles have an entire
2.1.2. Shell-and-tube heat exchanger helix structure and eliminate the leakage in discontinuous helical baf­
Shell-and-Tube Heat Exchanger (STHE) is a substantial and widely fles. The helical baffle leads to helical flow, which minimises the stag­
used device for heat transfer processing, and STHEs account for more nation effect, but the central tube decreases the heat transfer area and
than half of all HEs. The fully developed design codes and worldwide compactness of the HE [22]. The manufacturing cost of a curved surface
fabrication standards make STHEs the primary choice for many appli­ is much higher than that of the segmented baffle and rod baffle. The
cations [18]. The robust internal geometry has improved versatility for tube-side enhancement is commonly delivered by using an enhanced
different scenarios and also provides convenience for maintenance and tube, which could both increase the heat transfer surface area and
upgrades. The major parts of an STHE are the shell, the tube bundle, the provide more turbulence perturbations. The enhanced tubes are dis­
baffles, the front head, the rear head, and the nozzles. Original STHEs cussed in the following section.
are equipped with segmental baffles, which induce the zigzag flow
pattern. This flow pattern shows advantages in local mixing and heat 2.1.3. Coiled tube heat exchanger
transfer intensification as the main flow is frequently turned and The most prominent feature of the Coiled Tube Heat Exchanger
continuous vertical strike the tube bundle. However, the zigzag flow also (CTHE) is that a large number of tubes are enwound in a helix fashion
leads to a significant pressure drop, stagnant zones, and destructive vi­ around the central tube (see Fig. 3). The tubes have a multilayer layout,
brations. These defects severely increase the operating cost (significant and the diameter of the tubes are commonly small. The direction of the
pump work demands) and shorten the asset lifespan. Thus, regular enwinding has no limitations, as long as the tubes are accumulated from

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Fig. 4. Enhanced tubes: (a). Finned-tube [33]; (b). Tube inserts [35]; (c) hiTRAN inserts reducing fouling as well [36].

the surface of the central tube. This flexibility in tube layout provides an
optional design to integrate different tube-side fluids into a single shell-
side. The most common type of CTHE is the helically coiled tube heat
exchanger due to the compact design, simplicity of manufacture, and
efficiency of heat transfer [24]. The small diameters of tubes and mul­
tiple layers provide a flexible design of pass arrangements. Compared to
conventional tubular HEs with straight tubes, the heat transfer perfor­
mance of the CTHE is intensified due to the secondary flow, which re­
sults in an improved local fluid mixing and reduces the thickness of the
thermal boundary layer [25]. The small diameter also restricts the
cleaning procedure to chemical cleaning, given that mechanical clean­
ing in such limited space is insufficient.
Moribumi et al. [26] investigated a helically-coiled CTHE with test
sections made of stainless steel tubes for use as a once-through steam
generator. The results showed that the steam quality has little effect on
the local heat transfer coefficient of convective boiling in the coiled tube
sections. Austen and Soliman [27] found that with a uniform input heat
flux, the pitch effects were inspected in both coiled tubes at low Rey­
nolds numbers, due to variation in the friction factor and the Nusselt
number. Zhao et al. [28] fabricated a coiled tube steam generator with a
9-mm inner diameter (ID) 1Cr18Ni9Ti stainless steel tube and obtained
a new two-phase frictional pressure drop correlation in coiled tubes. The
importance of the nucleation mechanism and the convection mechanism
are different in small horizontal helically coiled tubes and in large tubes.
Chung et al. [29] found that the dry out in a helically coiled tube
occurred at a high-quality region due to the liquid film formed under a
high-quality condition due to the centrifugal force from a helical coil.
Fig. 5. The typical structure of the PFHE [30].
2.1.4. Enhanced-tube heat exchanger
As mentioned before, the heat transfer enhancement in STHEs is
and increased the shell-side heat transfer. Longer fins contribute to
classified as shell-side enhancement and tube-side enhancement, the
boosting of the phase change material melting time, and also provide the
tube-side enhancement is not only deployed in STHEs but also in other
potential heat transfer enhancement of the lower double-fin. Organic
tubular HEs. According to the thermal design principle for HE design, a
phase change materials commonly show high viscosity and poor
larger heat transfer surface area contributes to a higher heat transfer
mobility; the finned-tubes effectively increase the contact area and
performance. In addition, the turbulence intensity directly affects the
overcome the defects of the fluid properties. Gurturk and Kok [33]
local fluid mixing, which is intimate to the local heat transfer. The tubes
designed a novel finned-tube with dimensional gradient modification
are commonly enhanced by surface area increases and surface structure
(see Fig. 4). The results showed that the added surface area with fins
modifications. Finned-tube and tube inserts are typical enhanced-tube
could accelerate the melting process under certain conditions, which is
designs, and both of them could be applied to the tubular HEs that are
not always desirable. Finned-tubes are common modifications of the
discussed above.
outer surface of the tube, while tube inserts are internal modifications.
A finned-tube has an extended surface from the smooth tube, and
Suri et al. [34] inserted multiple square perforated twisted tapes into
enhances the heat transfer to or from the fluids by increasing convection.
heat transfer tubes and increased the Nusselt number by a factor of 5.92.
Desai et al. [31] studied the fluid elastic vibrations in the square finned
The value of the twist ratio is inversely proportional to the heat transfer,
tube arrays, and found that the fine finned-tube arrays are much more
and wider inserted tapes intensify the local turbulence and increase the
stable than coarse finned tube arrays because the dense fin arrangement
velocity of the fluid.
increases the structural damping. Deng et al. [32] deployed STHEs with
finned-tube to store thermal energy, and the working fluid is lauric acid.
The locally installed double-fin sharply improved the melting process

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Fig. 6. The typical structure of the fin used in PFHE [43].

2.1.5. Plate heat exchanger

The Plate Heat Exchangers (PHE) has been broadly adopted in many
fields, although it is less popular than tubular HEs, while the unique
structure and peculiarities remain irreplaceable [37]. The prototype of
various PHEs is the Plate and Frame Heat Exchanger (PFHE). A PFHE
typically consists of a series of heat transfer plates, fixed frames, carrying
bars, and supporting parts [38]. The heat transfer plates are clamped
tightly in a fixed frame to form a multi-layered structure and created
more fluid pass in a limited device volume. The heat transfer plates are
commonly surface modified to create fluids channels and enhance heat
transfer. Each plate has four apertures distributed at the edge ends
which serve as inlets and outlets to the fluid pass. Gaskets are cemented
in the grooves at the periphery of each plate. Since the plates are fixed by
frame, proper leak proofness is delivered by gaskets. Gasket failure may
not result in fluid mixing, but will cause undesirable leakage and pres­ Fig. 7. PCHE with zigzag channels [45].
sure drop. PHEs are superior to STHEs in several aspects such as
compactness, low cost, flexibility in structure modification because the
transfer plates are integrated by diffusion bonding. The flow passages in
number of plates can be changed. While the pressure resistance is worse
the PCHE are prepared by photochemical etching, which achieves more
than STHEs due to the structure and fabrication procedure, and current
refined processing than machining. The operating conditions control the
PHEs are commonly equipped with enhanced fins to satisfy the demands
channel configuration of the plates for different working fluids, but the
and increase the compactness.
advanced processing methods provide variety and complexity to designs
The concept of the plate-fin heat exchanger is similar to the tube-fin
(see Fig. 7). The combination of photochemical etching and diffusion
heat exchanger, which is mainly based on the original PHE and modified
bonding provides many inherent advantages to PCHE, such as high
with fins for extra heat transfer area and disturbed flow components (see
compactness, excellent pressure and temperature endurance, and high
Fig. 5, the typical structure of the fin used in plate-fin heat exchanger is
heat transfer area density. Considering the applications and fabrications
presented in Fig. 6). Guo et al. [39] developed a design method for
of PCHEs, the majority of diffusion-bonded HEs are made from 300 se­
multi-stream plate-fin heat exchangers which minimises the HE volume,
ries austenitic stainless steel. Other metals are well-matched with the
which could increase the compactness and decrease the manufacturing
diffusion-bonded process such as 22 chrome-duplex, copper-nickel,
cost. The discontinuous optimisation can be converted to a continuous
nickel alloys, and titanium [30]. Given these unusual features, PCHEs
problem to overcome potential computation difficulties due to the
are commonly applied in high-parameter or supercritical conditions
discrete standardised fin types, and the designed plate-fin layout
with carbon dioxide and helium media [44].
simultaneously considered the thermal design and the optimal structure
Figley et al. [46] investigated the PCHE by numerical simulation and
design. Wang et al. [40] reviewed the layer pattern thermal design and
found that a higher mass flow rate increases the pressure drop. The
optimisation for multi-stream plate-fin heat exchangers. The multifield
maximum pressure drop in the hot channel is relatively 1.5% of the
synergy theory is necessary to solve the coupling problem with thermal
system operating pressure. A comparison of the proposed PCHE model
design and layer pattern optimisation, and a plate-fin layer is a control
and previous studies, which achieved 98% thermal effectiveness,
object of the local heat load balance criterion. The plate-fin heat
showed that the thermal effect is much lower. The straight channel
exchanger is commonly designed for low-pressure applications, except
design in the case is the reason for undesirable thermal efficiency, which
for cryogenics applications, where the operating pressure is about 9
also leads to the relatively small heat transfer surface area. Zheng et al.
MPa. The hydraulic diameter passages are smaller than for PHE without
[47] modified the straight channel to a periodic zigzag channel and
fins [41]. The plate-fin heat exchangers are also comparatively chal­
simulated the transient laminar heat transfer performance. A chaotic
lenging to clean and are not appropriate to implement in even moder­
transient flow regime was found in the proposed zigzag channels. The
ately fouling processes [42].
unit-based heat transfer and pressure drop performance became iden­
tical, which indicated that the performance of a single unit could be used
2.1.6. Printed circuit heat exchanger
to estimate the overall thermo-hydraulic performance. Ma et al. [48]
The Printed Circuit Heat Exchanger (PCHE) is constructed with a
varied the inclination angle of the zigzag channels and numerically
multilayer printed circuit heat transfer plate, and the printed circuit heat
studied the local heat transfer and pressure drop mechanisms. The

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B. Wang et al.
Fig. 8. Schematic diagram of the scraped surface heat exchanger (SSHE) [50].
results showed that for a certain mass flow rate, there is a best
geometrical structure inclined angle, and local pressure drop and fric­
tion factor decrease with an increase in the Nusselt number. Huang et al.
[49] reviewed fluid flow and heat transfer performance in multiple in­
dustries, and found PCHE is mainly deployed in offshore oil and gas
processing, high-temperature reactor intercoolers, and Brayton-cycle
with supercritical CO2. Those applications demand high energy den­
sity but a relatively small volume from HEs, which perfectly matches the
features of PCHE.
2.1.7. Other types of heat exchangers
The Scraped Surface Heat Exchanger (SSHE), also known as the
scraped wall heat exchanger is especially suitable for a heat transfer
process with high viscous fluids, fouling or crystallisation [30]. This is
due to the scraping action which prevents fouling, maintaining mixing
and heat transfer. An SSHE substantially consists of a cylindrical annulus
flow region, and the fluids are axially driven into the annulus by the
pressure difference gradient. The scraper blades are commonly deployed
at the annulus wall surface, which is moved by the central rotor (see
Fig. 8). Different blade arrangements have distinct enhanced heat
transfer performance. As mentioned before, the SSHEs are mostly
employed for highly viscous fluid conditions under Poiseuille flow and
Taylor–Couette flow [50], as the scraping motion could effectively clean
the wall and provide an externally driven force to maintain the heat
transfer process. Wilson et al. [51] proposed a three-dimensional
mathematical flow model for SSHEs. A periodic array of pivoted
scraper blades is considered to illustrate the wall-motion driven trans­
verse flow and the longitudinal pressure-driven flow. Martínez et al.
[52] suggested a novel wall temperature measurement approach for the
SSHE in light of the disturbances due to the scraping motion.
Fig. 9. Schematic diagram of the spiral plate heat exchanger [54].
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
Another common HE is a Spiral Plate Heat Exchanger (SPHE).
Different from previously mentioned plate heat exchangers, the SPHEs
are consist of multiple spiral heat transfer plates, which are flat plates in
normal PHEs (see Fig. 9). Similar to plate heat exchangers, the flow
channels are constructed by adjacent plates, and the heat transfer pro­
cess takes place through the plate wall. Rangasamy et al. [53] conducted
both experimental and numerical studies of the SPHE. The
thermo-hydraulic performance of different SPHEs under varying work­
ing conditions was tested, and the best plate spacing parameter was
determined. Returi et al. [54] deployed nano-fluids in an SPHE. The use
of different nano-fluids modified the overall heat transfer coefficient,
and the related volume concentration, constituents, and Reynolds
numbers were studied numerically for heat transfer enhancement. Jiang
et al. [55] experimentally studied the performance of an SPHE in a
gas-solid circulating fluidised bed. This study combined the fluidised
bed heat transfer technology and an SPHE for better energy efficiency. It
examined the effect of operating parameters on thermal performance
and pressure drop through experiments.
Table 1 concisely summarises the characteristic information of
different HE types.
2.2. Cost of HEs
HEs are essential assets, both for productivity and profitability. As
the investment in HE is a large proportion of the total investment, the
economic selection and design of HEs are as important as thermal
design. Given the process conditions, properties of work fluids such as
temperature and pressure have a major influence on material selection;
fouling and corrosion tendencies will determine the maintenance
strategy; the total heat loads are key factors to determine the heat
transfer area, which indirectly determine the size of the HE. These are
just a few of the factors that influence the cost of an HE, and the total
cost of HEs Ctotal could be subdivided into the manufacturing cost Cma
and the operating cost Cop (Eq. (1)):
Ctotal = Cma + Cop (1)
The cost of uncertainty and affordability engineering should also be
considered in some instances [56]; however, those issues would demand
another full review paper to be covered in sufficient detail.
2.2.1. Manufacturing cost
Manufacturing cost is the initial capital cost of an HE, which is
B. Wang et al.
greatly affected by structure design and material selection. The material
cost is commonly greater than the manufacturing and assembly costs.
For cost engineering studies, various methods have been proposed for
calculating and estimating the manufacturing cost. These methods can
be categorised as intuitive [57] and parametric methods [58],
variant-based models and generative cost estimating [59]. The deployed
intuitive methods are based on the experience and nature of estimators.
The parametric methods map the characteristic parameters of the
product to the manufacturing cost through statistical approaches. The
main approaches of cost estimation are variant-based models which are
estimated according to the previous cost of products, and generative cost
estimation, where detailed manufacturing operations are specified.
Wierda et al. [60] proposed a systematic idea for process design and
related cost estimation. Direct integration with computer-aided design is
involved in process-oriented methods that rely on databases of practical
applications. Duran et al. [61] applied artificial neural networks to es­
timate the cost of the STHE at the early design stage. Supervised learning
by neural networks was deployed to obtain an accurate estimate with a
detailed design process taken into consideration. The cause-effect rela­
tionship between design solutions and manufacturing costs is extremely
useful for the instruction of the manufacturing process. Buzek et al. [62]
proposed a series of optimisation procedures for the cost of the HE. The
analysis of a series of STHEs consisted of 1,264 units, and the series was
shortened to 20 units. The implementation of the optimum series of
STHEs is advantageous for both manufacturers and users of those units,
which decreases the cost of the fixed heat transfer loads. Azad et al. [63]
deployed constructal theory in the design process of an STHE to reduce
the total cost. The proposed model enhanced the overall heat transfer
coefficient to minimise the capital cost of the heat transfer duty and used
a Genetic Algorithm (GA) to modify the frictional pressure loss. The
results showed a reduction of more than 50% of the total HE costs.
Hendricks [64] considered the effect of the heat loss to the environment
and the related costs and deployed HEs as thermoelectric energy re­
covery units to optimise the total cost.
Most of the available cost estimation methods for HEs are variant-
based models and parametric methods. This is the result of systematic
and complete design criterion and plentiful existing HEs for references,
where the cost equations could be conveniently embedded. For the HEs
in a similar design protocol, the manufacturing cost is closely related to
the heat transfer area, A. There are two basic cost estimation procedures
based on the heat transfer area.
If the HE is designed similarly to the former HE, the manufacturing
cost could be measured by using the heat transfer area (Eq. (2)) [65]:
( )REX
Cma A
= (2)
Cma0 A0
where Cma0 is a given value, which represents the manufacturing cost of
the reference HE; A0 represents the heat transfer area of the reference
HE; A represents the heat transfer area of the new HE; REX represents the
degression exponent, which is typically less than 1 [65]. The degression
exponent is an empirical design parameter, to which the “0.6 rules” for
economic design and rough estimates could be applied [66]. Holland
and Wilkinson [67] found that R = 0.59 is suitable for the cost estima­
tion of the STHE when the heat transfer area varies from 2 m2 to 2000
m2. Remer and Chai [68] published different values of R for different
HEs. This estimating method is regarded as an indirect calculation,
because the results are obtained from the related parameters of a specific
reference HE.
Unlike the indirect estimation, other estimation methods are calcu­
lated directly using the heat transfer surface as the indicator. Hall et al.
[69] proposed a thorough cost estimation method graphically, where
the cost is obtained by using Eq. (3):
Cma = x + y⋅Az (3)
where x is the base cost; y and z are the empirical correction coefficients;
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
Fig. 10. Cost per unit area as a function of area for BEM-type STHEs [70].
A is the design heat transfer area. Different equations were developed
based on Eq. (3) to include the types of HEs and materials used in
fabrication.
Two different cost estimation methods for HE are shown in Eq. (2)
and Eq. (3), and the heat transfer area serves as an indicator of the total
manufacturing cost. The heat transfer area is calculated from Eq. (4):
Q
A= (4)
UΔTm
ΔTm = ψ(ΔTm )ctf (5)
where Q is the overall heat transfer load; U is the overall heat transfer
coefficient; ΔTm is the corrected logarithmic mean temperature differ­
ence (LMTD) determined by Eq. (5), ψ is the correction factor for other
types of flow, and (ΔTm )ctf is the LMTD in the counterflow with given
temperature. The obtained heat transfer area is feasible for regular HEs
with a smooth surface, while for more complex design with fined-tube,
fined-plate, or PCHE, the estimation is not precise enough.
Hewitt [70] proposed the C Value Method to avoids difficulties in
defining the heat transfer area and overall coefficient. The definition of
C is the cost per unit (Q/ΔTm) (in Eq. (6)):
{ / ) [ / )/ ]}
ln C1 C2 ln Q ΔTm (Q/ΔTm )1
C = exp ln C1 + [ / ] (6)
ln (Q/ΔTm )1 (Q/ΔTm )2
where C1 and C2 are the C values of hot side fluid and cold side fluid
pairing at (Q/ΔTm)1 and (Q/ΔTm)2. The relative cost of one exchanger
type against another varies with (Q/ΔTm).
In the C Value Method, the heat transfer load Q and LMTD ΔTm are
directly connected. The heat transfer load Q could be calculated by the
supply temperature, target temperature, and heat capacity flow rate,
which define the change in enthalpy. The LMTD ΔTm can also be
calculated using the supply temperature and the target temperature,
which define the available heat transfer driving force. The advantages of
the C Value Method are distinct. The givens are operating parameters
that could be directly extracted, and the input parameter such as heat
transfer load and LMTD are used in the HE design procedure. HE design
and cost estimation could be coupled for optimal design [70]. Detailed C
value for BEM-type STHEs is shown in Fig. 10, and values for more HEs
are provided at ESDU.com [71].
Material cost constitutes a large proportion of the total
manufacturing cost. The selection of materials involves consideration of
material strength, material cost, and different fabrication procedures.
B. Wang et al.
Table 1
Features and specialities of different heat exchanger types.
HE Features
types
DPHE Straightforward construction; limited heat transfer area; small duties;
suitable for high-fouling or high-viscosity working fluids
STHE The most popular HE types; zigzag flow pattern leads to tube vibration
and stagnant zones; suitable for most working fluids
CTHE Small diameter heat transfer tubes with the strong secondary flow;
compact design; hard to clean and maintain; avoid fouling/high viscosity
fluids
PHE Strong compactness; various structure modification; poor pressure
resistance; easy fouling
PCHE Extreme compactness; excellent pressure and temperature endurance;
applied in high-parameter or supercritical conditions
SSHE Engine-driven scraping motion; suitable for high viscosity, fouling or
crystallisation-prone fluids
SPHE Multi-layered spiral plates; self-cleaning effect; suitable for tough process
conditions
The foremost concern in material selection relates to the operating
temperature, pressure, and fluid properties. The temperature range and
thermal gradient require certain thermal durability materials, and the
high-temperature creep and thermal fatigue caused by excessive tem­
perature are very harmful to the HE. The operating pressure is related to
material strength and regularly refers to tensile and yield strength.
While the HE structure and welding process also influence the pressure
resistance. Another critical issue is corrosion by fluids, and whether the
environment will cause corrosion to the device.
The behaviour of the materials is influenced by the operating tem­
perature, and for the concerns of thermal endurance and temperature
resistance, the operating temperature is divided into the following in­
tervals: sub-zero and cryogenic operation; low-temperature operation
(up to 200 ◦ C); intermediate-temperature operation (200 ◦ C-650 ◦ C);
high-temperature operation (>650 ◦ C). The selection of HE materials
should be implemented accordingly.
Sub-zero and cryogenic operation commonly involve liquefied gas
and liquefaction processes. It can easily lead to undesirable brittle crack
propagation. Steels and nonferrous materials are used to maintain the
toughness of strength under such conditions. The intermediate-
temperature operation covers the most general operating conditions,
and thermal performance is not the dominant selection criterion. Com­
mon vessel metals such as carbon steel and stainless steel are widely
used due to their workability and stress resistance. The ductility of the
material should also be considered. High-temperature operations often
lead to materials in a pseudo-plastic or fully plastic state during opera­
tion, which indicates the strength of the structure and material is a
critical issue to prevent device failure.
For operating temperature over 700 ◦ C, the metallurgical stability
and creep resistance must remain stable to avoid failures at high
Table 2
Different estimation methods of manufacturing cost.
Classification Features
Intuitive The intuitive cost estimation is based on the engineering experience of
estimating estimators, which is a subjective result based on objective experience.
Generative cost The generative cost estimating obtains results using hand
estimating manufacturing operations data, which is detailed but complicated.
Variant-based The variant-based models estimate the cost according to the cost of
models similar previously manufactured products.
Parametric The parametric methods map the characteristic parameters of the
methods product to the manufacturing cost through the statistical approaches
and calculated step by step.
8
Renewable and Sustainable Energy Reviews 138 (2021) 110479
temperatures. Alloying elements such as cobalt, aluminium, silicon,
chromium, nickel, and rare earth elements could effectively intensify the
strength, stability, and heat resistance of metallic materials, but the
addition of such elements will increase costs [30].
Seider et al. [72] suggested several equations for the purchase cost of
various types of HEs. Material factor, pressure factor, and base cost were
considered in purchase cost calculation equations. Table 2 summarises
the methods for estimation of manufacturing cost.
2.2.2. Operating cost
Operating cost constitutes a major part of the total cost, including
electricity consumption, fuel consumption, and labour charges. The
manufacturing cost is the initial cost in the life cycle, while the operating
cost is a durative charge. For the lifespan of a HE, undue fouling and
vibration could lead to device failure and cause damage. In addition, the
hot and cold fluids need pump power to provide momentum to complete
the heat transfer process. And for the HEN, utility charges are indis­
pensable operating costs. This operating cost had been overlooked in the
design procedure of the individual HE because the primary focus was on
manufacturing cost. For HEN studies, the manufacturing cost and
operating cost determine the pay-back period, which is a vital index of
economic concern. Basic models for operating cost estimation are the
parametric model, the accounting model, and the simulation model
[73].
Similarly to the manufacturing cost, estimation of the operating cost
relies on the actual data of the running assets and predicted working
conditions, and an analogy can be made to Eq. (2) for the prediction of
pumping power cost (Eq. (7)):
CP
( )RP
L
= (7)
CP0 L0
where CP0 is the given pumping power cost of the reference HE; L0 is the
pumping power of the reference HE; CP is the unknown pumping power
cost of the new HE; CP0 is the given pumping power cost of the reference
HE; RP represents the degression exponent. This indirect method pro­
vides a rough estimation of pumping power costs. The empirical design
parameter degression exponent RP is decided by practical experience.
Holland and Wilkinson [67] proposed a guide based on the power of the
pump: RP = 0.30 for pump power in the range of 0.35–30 kW; RP = 0.67
for pump power in the range of 30–300 kW; RP = 0.84 for pump power
in the range of 0.75–1500 kW. To be noticed, the degression exponents
(REX and RP) in estimation equations are obtained from practical data,
and can only be roughly estimated. Influenced by the materials, fluids
properties, and working conditions, the indirect estimation is unverifi­
able. However, this simplicity provides a burden-free and efficient
method to instruct the preliminary design with only a small amount of
information required.
To obtain a more accurate estimation method, more detailed pa
Method Description
– –
– –
Indirect Indirect calculation with a reference heat transfer area. Different heat
calculation exchangers have different suitable R values [68].
( )REX
Cma A
= , REX <1
Cma0 A0
Direct The designed heat transfer surface area as the direct indicator for
calculation calculation.
method Cma = x + y⋅Az
C Value Method C Value Method to avoids difficulties in defining the area and overall
coefficient. The definition of C is the cost per unit (Q/ΔTm)
{ }
ln C1 /C2 )ln[Q/ΔTm )/(Q/ΔTm )1 ]
C = exp ln C1 +
ln[(Q/ΔTm )1 /(Q/ΔTm )2 ]
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 3 where cuti is the unit price of utilities, monetary units/kW; cma is the unit
Different methods for estimating the operating cost. price of maintenance and cleaning, monetary units/number of times
Method Description each year; muti is the total utility usage, kW; tma is the maintenance and
cleaning times. For an actual production process, the mass flow in the
Direct The direct calculation method provides a more accurate
calculation estimation, but more detailed parameters of working conditions processing system is continuous, and the maintenance and cleaning for
are required. several devices commonly require a temporary production suspension
( ( ) )
Cop = Y ce
M1 Am1 Δp1 M2 Am2 Δp2
+ + Cuti + Cma
for the whole process or sections of the system. Beyond the cost of
Indirect
ρ1 η1 ρ2 η2
The indirect estimation of operating cost relies on the feedback
maintenance and cleaning, the intermittent production caused by tem­
calculation data of the running assets and predicted working conditions. porary suspensions will decrease the profits, which should be considered
CP
( )RP
L in the economic analysis. Table 3 provides a summary of methods for
estimating the operating cost.
=
CP0 L0

rameters of the working conditions are required. Verein Deutscher
Ingenieure [65] proposed a total cost estimation of total operating cost
(Eq. (8)):
( ( ) )
Cop = Y ce
M1 Am1 Δp1 M2 Am2 Δp2
+ + Cuti + Cma (8)
ρ1 η 1 ρ2 η 2
where Y is the annual operating time, h/y; ce is the price of unit electrical
energy, monetary units/kWh; M is the core mass flow rate, kg/h; Am is
the minimum free flow area, m2; Δp is the absolute pressure drop, Pa; ρ is
the mean working fluid density, kg/m3; η is the pump efficiency; Cuti is
the total utility cost each year; Cma is the total cost of maintenance each
year; cost subscripts 1 and 2 represent the hot and cold streams. This
method has solid thermal backgrounds with the consideration of fluids
properties, operating conditions, and pump quality. It is appropriate for
the estimation of a single HE, but when considering a HEN with many
HEs, this equation may cause difficulties in the calculation. Eq. (9) could
be applied to situations where the pressure drop is determined, for the
cases that the pressure drop is unknown, the pressure drop could be
estimated as in [74]:
ΔP = Kf Ahf m
where A is the designed heat transfer area; hf is the film heat transfer
coefficient; Kf is a constant and solely dependent on the fluids properties,
geometric parameters, and the volumetric flowrate; m is an exponent
that varies with geometry. This estimation equation is originally
developed for STHEs, but it could be extended to other HEs by select
proper K and m [75].
The total utility cost Cuti, and total maintenance cost Cma in Eq. (8)
could be calculated as:
Cuti = cuti ⋅muti
Cma = cma ⋅tma
3. A review of HEN synthesis and retrofit methods
HEN synthesis and retrofit are two categories of HEN design
research. They both aim to integrate hot and cold streams to satisfy their
cooling and heating requirements with the lowest possible utility con­
sumption and a reasonable investment cost. The commonly used
methods for HEN synthesis and retrofit are listed in Fig. 11.
3.1. Pinch Analysis
Pinch Analysis, for more comprehensive information, see, e.g.
Ref. [76], is mainly operated through graphical and numerical tools to
target the minimum energy required to plan for HEN synthesis and
retrofit. The very first and the most widely used graphical tools are
Composite Curves (CCs) and Grand Composite Curves (GCCs) proposed
by Linnhoff et al. [77]. The mostly used numerically supported tool is
Problem Table Algorithm (PTA) developed by Linnhoff and Flower [78].
These tools were invented for more than fifty years ago [3] and have
been still drawing considerable research attention until now.
The results of Pinch Analysis-based methods are advantageously
(9) based on thermodynamic insights, and they can provide the thermody­
namic global optimum. The Pinch Analysis has a strong ability to target
minimum energy consumption. However, when considering the
network topology and its related investment cost in the synthesis and
retrofit application, some follow-up methods should be developed to
find a trade-off between utility saving and capital cost. These modifi­
cations include where to place the new or additional heat transfer area
and how large it should be. The results obtained by Pinch Analysis in the
first step are a substantial base to be further developed and modified to
achieve a lower total annual cost (TAC) or a higher synthesis or retrofit
(10a) profit.
Following the steps of Pinch Analysis, many useful and advanced
(10b) tools for HEN synthesis and retrofit have been developed in recent years.
The development of HEN synthesis from 1975 to 2008 was reviewed by
Morar and Agachi [79]. A more recent review of flexible synthesis was

Fig. 11. Common methods for HEN synthesis and retrofit.

9
B. Wang et al.
conducted by Kang and Liu [80] in 2019. An overview of the graphical
and numerical tools used for HEN retrofit design can be found in two
review papers contributed by Čuček et al. [81] and more recently by
Klemeš et al. [18]. Some important issues reviewed in this paper are
Advanced Grid Diagrams, Bridge Analysis, Stream Temperature versus
Enthalpy Plot (STEP), and other graphical and numerical methods.
3.1.1. Pinch Analysis based method
Pinch Analysis based method has been still intensively studied to
improve its application in synthesis and retrofit design. Linnhoff and
Hindmarsh [82] invented a Pinch Design Method for HEN synthesis. The
design was started from the Pinch, which is the most temperature con­
strained region, and it allowed the designers to find the most practical
topology options easily.
Li and Chang [83] proposed a Pinch Analysis-Based method to
reduce energy consumption while retrofitting an existing HEN and
ensuring any additional capital investment was kept at a reasonable
level. The Cross-Pinch Matches were removed, and the heat loads on the
hot and cold streams were divided into two according to the Pinch
temperatures. Later Li et al. [84] extended the previous research and
proposed a Pinch Analysis-based retrofit approach to reduce the energy
consumption using a new minimum temperature approach with a minor
capital cost. A temperature–enthalpy (T–H) diagram was proposed to
identify the Cross-Pinch heat load and graphically address the phases
change in the Cross-Pinch HE. Piacentino [85] integrated several
methods to form a procedure for retrofit of existing networks. A Heat
Loads Plot which has heat capacity rate as x-axis and temperature as
y-axis was proposed to recognise the Heat Integration potential of pro­
cess streams intuitively. And a spider-type graph was introduced to
evaluate the retrofit topologies and make the retrofit design results
feasible.
3.1.2. Advanced Grid Diagram
Grid Diagram is a useful tool to present the structure of a HEN. A
Retrofit Thermodynamic Diagram (RTD) was first proposed by Laksh­
manan and Bañares-Alcántara [86] and it was introduced in the retrofit
application. Each stream is represented by a rectangle, the height shows
the heat capacity flowrate of the stream, and the length illustrates the
temperature information. RTD overcomes the drawback of Grid Dia­
gram in the retrofit design. It can clearly show if the placement of a new
HE placement is feasible. It also includes the heat capacity flowrate in
the diagram to help identify loads of streams.
Yong et al. [87] proposed the Shifted Retrofit Thermodynamic Dia­
gram (SRTD) to overcome the shortcomings of the previous RTD. The
minimum allowed temperature difference (ΔTmin) was integrated in the
SRTD, and connecting the ends of both cold and hot streams of a HE to
show the thermodynamic feasibility. The hot streams are shifted by
subtracting ΔTmin from their actual temperatures. The thermodynamic
feasibility is presented by the slanted line, where a negative slant line
indicates the infeasibility of the HEN structure. Yong et al. [88] extended
the SRTD to the Shifted Retrofit Thermodynamic Grid Diagram (SRTGD)
to support retrofit analysis. The SRTGD can indicate the Process and
Network Pinch locations and is used to diagnose and determine different
retrofit options for maximum heat recovery. Wang et al. [89] extended
the Grid Diagram by incorporating the temperature ranges of different
HEs in the SRTGD, which enabled the visualisation of HE-type selection
in the potential retrofit plan of a HEN. It considered the investment cost
of HEs as well as the utility cost to make the retrofit design more
practical.
Another advanced Grid Diagram was proposed by Nemet et al. [90],
called Retrofit Tracing Grid Diagram. In this diagram, all streams and
HEs are illustrated in temperature scale. HEs are separately presented
from each other to make the diagram clear. The Cross-Pinch Analysis
and path approach for retrofit are coupled.
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
3.1.3. Bridge Analysis
Bonhivers et al. [91] proposed an energy transfer diagram (ETD) for
the analysis of industrial plant heat systems. It is based on the idea that
the flowrate of heat is transferred from the heating utilities through cold
utilities to the environment. Useful information such as degradation of
energy due to the utility system, HEN, and process operations is
included. Along with the ETD, the Bridge Analysis is proposed. The
bridge links heaters (hot utility exchangers) and coolers (cold utility
exchangers) through a set of modifications, which can be identified with
a network table, a heat transfer diagram, a grid diagram, or an algorithm
[92]. Bonhivers et al. [92] also introduced the use of the ETD and a
network table to evaluate and show the bridges. Based on this idea, the
Heat Exchanger Load Diagram, a graphical approach, was presented for
the identification of HE configurations [93]. The procedures to imple­
ment this tool are stepwise, from the bridges identification, the corre­
sponding exchanger configuration, and finally modifying the HEN to
reduce the investment cost. To show the advantages of Bridge Analysis,
Bonhivers et al. [94] compared Pinch Analysis and Bridge Analysis in a
HEN retrofit of a kraft pulp mill. The GCC, the advanced composite
curves and the ETD were constructed for retrofit analysis. The results
showed that Bridge Analysis could provide more detail about heat sav­
ings modifications.
The ETD and Bridge Analysis were also applied and developed by
other researchers. Rohani [95] used the concept of a bridge to create a
cooler-heater path, and also introduced a superstructure optimised by a
MINLP model for the minimisation of the total utility consumption to
determine which HEs should be added. This is a hybrid method which
combined Bridge Analysis with mathematical programming. Chen [96]
applied ETD to identify a set of possible heat modifications involving
absorption heat or rectification heat recovery and then compared the
performances of these modifications. Two approaches were proposed to
increase thermal performance; one of them used Bridge Analysis to
reduce heat consumption. Jahromi and Beheshti [97] proposed a new
conceptual diagram along with the procedure of drawing ETDs for
sub-ambient and super-ambient temperature processes in the HEN
retrofit. The Bridge Analysis and Pinch Analysis were compared, and it
was concluded that Bridge Analysis had a greater reduction in utility
consumption and provided more detail about heat savings modifica­
tions. To enhance the development of Bridge Analysis, two new tools
were proposed by Lal et al. [98]: the Modified Energy Transfer Diagram
and the Heat Surplus-Deficit Table. They were used to identify and
quantify Retrofit Bridges. The first tool can represent the cascade and
distribution of heat from the hot utilities to the cold utilities to identify
new HE matches. The second tool enabled the numerical evaluation of
these matches. As the role and the characteristics of the participation of
the internal exchangers in the initial network were not dealt with clearly
or quantitatively, Mosadeghkhah and Beheshti [99] developed a Heat
Flow Diagram (HFD) and a corresponding analysis algorithm. In the
HFD, cumulative energy is used to replace point amounts or energy
packs in very small temperature intervals. Their method improved the
performance of identifying the potential for energy saving.
3.1.4. Stream temperature vs enthalpy plot (STEP)
STEP was first developed by Wan Alwi and Manan [100] to target
and design a HEN simultaneously. A shifted temperature versus
enthalpy diagram, which has the continuous individual hot and cold
streams can illustrate the Pinch Points and be used for energy targeting.
The maximum heat allocation is converted to a maximum energy re­
covery network graphically and represented on a Heat Allocation and
Targeting diagram. The STEP method was later extended by taking the
effect of heat losses and heat gains during stream matching into
consideration [101]. Several rules were proposed for the proper location
of pipe insulation. Also, heat loss minimisation and heat gain max­
imisation can be achieved by stream shifting. A stream temperature vs
enthalpy plot supertargeting (STEPS) method proposed by Sun et al.
[11] considered various HE and utility types. Their STEP-based
B. Wang et al.
supertargeting method optimises the cost-minimised plan for the HEN
design.
As the STEP was developed for HEN synthesis, it has been extended
to retrofit by Lai et al. [102]. This enabled users to diagnose existing
HENs and to perform individual stream mapping visually. Lai et al.
[103] considered the required overall heat exchanger area and devel­
oped a heat exchanger area versus enthalpy (A vs H) plot. This plot can
be combined with STEP to optimise a retrofit plan within a required
payback period. Lai et al. [104] further extended the use of STEP for
process and utility changes as well as for the retrofit of original HENs. In
this way, more heat can be utilised and recovered to improve energy
efficiency.
3.1.5. Related graphical and numerical methods
Abbood et al. [105] proposed a Grid Diagram Table (GDT) which has
both advantages of numerical and visualisation for establishing Pinch
Points and utility targets in the retrofit design of the HEN. It is presented
by stream intervals temperature scale and was developed based on core
Composite Curve construction. Bakar et al. [106] proposed a trade-off
plot and considered energy-saving, operability, flexibility, and total
cost in the synthesis to select the design target. Kang and Liu [10] pro­
posed heuristic and graph-theoretic strategies for multi-period HEN
retrofit. Two objectives, including retrofit cost and CO2 emissions, were
minimised. As a first step, they suggested single-period optimisation
implementation, then multi-period HEN retrofit was targeted based on
the multi-objective optimisation. As the second step, the required and
existing HEs were matched, and retrofit schemes were selected.
Temperature Driving Force (TDF) is a graphical method used for
HEN retrofit, which was extended by Gadalla [107]. Temperatures of
process hot streams and temperatures of process cold streams were
presented on the same figure as the x-axis and y-axis. A straight line is
used to represent the HE, and the slope denotes the proportion of the
ratios of heat capacities and flows. The heat flow transferred across the
HE determines the length of the corresponding line in the graph. HEs
across the Pinch and Network Pinch are easily identified by this
graphical method. This temperature–temperature based graph can also
be used for HEN Grassroot Design to determine the Pinch temperatures
and Energy Targets and to increase the heat recovery [108]. Gadalla
et al. [109] further developed the TDF method for the HEN retrofit
without a network topology change. The Pinching Matches that limited
heat recovery were identified and the Network Pinch was debot­
tlenecked using the graphical representation. The TDF was further
improved and applied to an existing HEN to increase energy savings
with minor structural modifications [110].
Matrix approach can be a supplementary tool for Pinch Analysis in
the area targeting and heat path identifying. The area matrix approach
was first proposed by Shokoya [111], which considered the area of HEs.
Silva and Zemp [112] developed a combined area matrix and pressure
drop approach for the retrofit targeting of the HEN. Bulatov [113]
developed a retrofit framework which was based on a grassroots design
method and a retrofit matrix approach for plate-fin HENs. Akpomiemie
and Smith [114] proposed an Incidence Matrix Approach to identify HEs
on a utility path for the reduction of energy consumption of existing
HENs without topology changes. Yong et al. [115] developed a HEN
Steam Matrix to support synthesis or retrofit tasks. Temperatures, tem­
perature differences and duties of all the HEs in a HEN are recorded. The
HEN Steam Matrix can identify Process and Network Pinches. A retrofit
case was used to illustrate the method.
3.2. Network Pinch
Network Pinch indicates the heat recovery limit for a particular HEN
topology within a given process [116]. It can be used to debottleneck the
energy recovery of the existing HEN by modifying the topology
(including operations such as resequencing, re-piping, and adding
additional HEs). This method divides the retrofit task into two steps: i)
11
Renewable and Sustainable Energy Reviews 138 (2021) 110479
the diagnosis stage which increases the heat recovery by modifying the
topology, and ii) the optimisation stage which optimises the HEN to­
pology obtained in the diagnosis stage to achieve the cost minimised
solution. The Network Pinch method combines the advantage of Pinch
Analysis to provide insight for HEN topology identification and selection
in the retrofit process, and mathematical programming to find the
optimised solution. Users can intervene in the retrofit design with the
help of mathematical programming techniques.
Zhu and Asante [117] extended their Network Pinch approach by
introducing an evaluation stage between the diagnosis stage and opti­
misation stage. This evaluation stage enhanced user interaction. The
costs of piping, foundation, and area are estimated. Safety and opera­
bility issues can also be considered. Varbanov and Klemeš [118]
developed a heuristic algorithm to generate a heat path under the
framework of the Network Pinch approach. It initialises the retrofit
when a Network Pinch cannot be found. Al-Riyami et al. [119] studied
the retrofit of HENs in the fluid catalytic cracking process. The topol­
ogies in the diagnosis stage were generated using Sprint Software [120],
and further optimised in the second stage to minimise the total cost,
including capital cost and energy cost. Smith et al. [121] modified the
Network Pinch approach by combining the two stages in a single step to
avoid missing cost-effective design solutions. All the possible modifi­
cations of a single retrofit type are listed and optimised by simulated
annealing (SA) algorithm to achieve the minimal TAC. The feasible so­
lutions were ranked, and the best solution was selected. Bakhtiari and
Bedard [122] improved the Network Pinch method to consider complex
HEN configurations such as stream segmentation and splitting. In its first
structural modification stage, the topology with the maximum heat re­
covery was obtained. While in the second cost optimisation stage, the
cost for an additional exchanger area was minimised. Yong et al. [88]
developed an SRTGD which can identify both Network Pinch and Pro­
cess Pinch.
For the Network Pinch, one of the most practical ideas is to identify
and pre-determine several potential topologies for the HEN retrofit, then
perform optimisation on each topology to adjust continuous variables to
achieve the target on both utility saving and investment cost mini­
misation. This can easily find the trade-off between utility saving and
investment cost.
3.3. Mathematical programming
Mathematical programming has roots in the previous century. It was
pioneered by a transportation model which usd linear programming to
formulate the minimum utility calculation for HEN synthesis proposed
by Cerda et al. [123]. It was later improved to a transhipment model
which can solve a HEN with minimum utility cost and minimised the
number of units proposed by Papoulias and Grossmann [124]. Next,
Floudas [125] presented a procedure which had three steps: minimising
the utility cost, minimising the number of units, and minimising the
investment cost for the automatic generation of optimal configurations
for HENs. Floudas and Ciric [126] proposed a hyperstructure, and a
MINLP formulation was derived to optimise process stream match se­
lections and HEN configurations. To overcome the trapping in subopti­
mal networks due to the sequential method, Yee and Grossmann [127]
presented a MINLP model using stage-wise superstructure to optimise
utility cost, areas of HEs, and match selections simultaneously. Many
researchers subsequently used and improved this stage-wise super­
structure for the HEN synthesis and retrofit problem.
3.3.1. Representation of the network (superstructure)
The basic requirement for the implementation of mathematical
programming is the generation of a superstructure. This is a key and
sensitive issue. If the superstructure is not sufficiently comprehensive, it
is possible to miss crucial solutions. The smaller the superstructure is,
the easier and more efficient the solution would be [128].
One widely used stage-wise superstructure [127] modelled the HEN
B. Wang et al.
as a MINLP problem. In this superstructure, a HEN is divided into K
stages, and I and J are the sets of hot and cold processes and utility
streams.
Recent developments in superstructures include the proposal of two
new superstructures by Huang and Karimi [129]. The first one was
multistage and match-centric. The superstructure had K stages, I hot
streams and J cold streams. Each stage of a process stream splits into J+1
(or I+1) sub-streams, and all sub-streams merge when they exist at each
stage. The utilities can exist at any stage, but heat exchange is not
allowed among these utilities. The second superstructure was
exchanger-centric and did not have stages. It assumed a possible num­
ber, E, of HEs, and determined whether a process stream uses a specific
HE, e. The second superstructure reduced the nonlinear constraints, but
increased the bounds of temperature variables and introduced more
binary variables. Both superstructures have the advantages of allowing
cross flows, cyclic matching, series matches on a sub-stream, and mul­
tiple utilities.
Nair and Karimi [130] modified the exchanger-centric superstruc­
ture. It assumes a pool of two-stream exchangers, and all possible HEN
configurations are embedded in their superstructure. There are I hot
process and utility streams, J cold process and utility streams, S generic
streams (including hot and cold process and streams), and E 2-stream
exchangers.
Kim et al. [131] proposed a stage/substage-wise superstructure
model, adding several substages in the main stage, and branches in both
hot and cold streams. This enables the possibility of serial HEs in a
branch stream.
Pavão et al. [132] extended the stage-wise superstructure [127] by
developing the substages concept to enable serial units in single
branches. Taking a hot sub-stream in one of the substages as an example,
the hot sub-stream was re-split into the total number of cold sub-streams
plus the number of cold utility types, with each sub-branch containing a
possible match or a possible utility. This superstructure increased the
number of binary variables dramatically, and it was taken as the basis
for the development of a HEN retrofit framework in Pavão et al. [133].
The structural models, such as stage-wise superstructure, require
computational efforts to get the global optimal solutions for the HEN. To
overcome these shortcomings, a novel non-structural model (NSM) was
presented by Xiao et al. [134] for the simultaneous synthesis of the HEN.
A mathematical model and a general implementation method were
developed. Kayange et al. [135] extended the NSM by considering the
effects of stream splitting and presented the random walk (RW) algo­
rithm with compulsive evolution to solve the model.
3.3.2. Optimisation methods applicable to this problem
Algorithms are needed to solve generated superstructures. The
development and testing of various options have been the topic of
numerous publications.
3.3.2.1. Deterministic method. Mixed-integer linear programming
(MILP) and MINLP models are both used to solve HEN synthesis and
retrofit design problems. Barbaro and Bagajewicz [136] developed a
MILP model based on a special transhipment/transportation structure
for the grass-root design of HENs. Their method aimed to solve
cost-optimal solutions in a single step. However, the cost of HEs used in
their method is an approximate linear expression without any further
adjustment, so the cost can be over or underestimated in different area
ranges. Aaltola [137] proposed a multi-period MINLP model for HEN
synthesis, and then the linear programming (LP) and non-linear pro­
gramming (NLP) search algorithms were proposed to minimise utility
costs considering the exchanger areas.
A HEN design that can be suitable for effective future extensions is
vital. Nemet et al. [138] considered the future price of utilities and
developed deterministic and stochastic multi-period MINLP models for
the HEN synthesis. The net present value (NPV) was evaluated. Later,
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
Nemet et al. [139] developed a multi-period MINLP model. The model
could maximise the expected NPV with two conditions: one without risk
assessment, and another with risk assessment considering the stochastic
utility prices and investment.
Solving large-scale problems by mathematical programming is
another topic studied by many researchers. Chen et al. [140] proposed
several approaches to reduce the calculation time of large-scale MILP
transhipment models. To reduce the solving time, the model was
reformulated for tighter formulations with reduced LP relaxation gaps,
and their strategies improved the efficiency of the branch and bound
algorithm. Nemet et al. [141] proposed a two-step MILP/MINLP
approach to deal with large-scale HEN synthesis problems. The first step
selected the most promising matches based on feasibility and viability,
and the second step used the selected matches to generate a feasible
HEN. The approach was applied to a case with 173 multiple hot utilities
and process streams. Beck and Hofmann [142] proposed tightening
measures for stage-wise superstructure formulation. This method can
reduce the computational time to find the global optimal results for
small cases, and can reduce the duality gap faster for larger cases.
There are some other interesting developments based on the deter­
ministic method. Gu et al. [143] developed a superstructure based
MINLP model intending to minimise the TAC for HEN synthesis. The
flexibility and controllability were considered in the synthesis process,
and a disturbance index was proposed to quantify disturbance propa­
gation. Pan et al. [144] proposed a MILP-based iterative method for HEN
retrofit. Several variables in the retrofit design process were converted
to parameters first and then solved via iteration. The computational
difficulties caused by the nonlinear formulation were reduced.
Ayotte-Sauvé et al. [145] divided the topology retrofit options to add
HEs and relocate HEs, then superstructures were defined and solved as
MINLP models. The designers can intervene in the optimisation process
by stopping the search procedure or selecting the network for the next
iteration. Miranda et al. [146] divided the multi-period synthesis
problem into three sequential steps and proposed an LP, an MILP and an
NLP model. The aim was to minimise total cost with a minimum number
of heat transfer devices and utilities demand. The case where heat
transfer devices operated under different conditions was considered.
Orosz and Friedler [147] presented a P-graph based framework for HEN
synthesis. A list of solutions was generated by P-graph according to the
TAC, and heat recoveries of all the solutions were also calculated. This
could help designers find the trade-off plan between energy efficiency
and capital.
3.3.2.2. Genetic Algorithm (GA). GA, which was proposed by Holland
[148] is useful to optimise discrete variables in HEN design. Ravagnani
et al. [149] proposed a method based on GA. The first step optimised
ΔTmin using the combination of the GA and the PTA. Then the optimal
networks above and below the Pinch were obtained by the GA, and the
stream splitting was considered. Aguitoni et al. [150] proposed a bi-level
hybrid method that combines the GA and differential evolution (DE) for
the synthesis. GA was used to optimise discrete variables, mainly the
network topology. Rathjens and Fieg [151] proposed a novel strategy for
local optimisation in the continuous space and a tailored GA based on a
stage-wise superstructure for the synthesis of HEN to minimise the TAC.
This novel strategy can handle the large scale problem by reducing the
number of variables and simplifying HEN structures. Liu et al. [152]
used the stage-wise superstructure model [127] and developed a hybrid
GA that combined the simple GA with the SA algorithm and the gradient
searching algorithm to overcome unwanted early convergence problem,
avoid trapping in local optima, and increase the calculation efficiency
for HEN retrofit.
3.3.2.3. Differential Evolution (DE). DE has an advantage in handling
continuous variables. Aguitoni et al. [153] proposed two bi-level hybrid
optimisation approaches for HEN synthesis. Both methods applied DE to
B. Wang et al.
optimise the continuous variables, including heat loads and hot stream
split fractions, and cold stream split fractions. Chen et al. [154] devel­
oped a multi-population DE combined with opposition-based learning
(OBL) method for synthesis. DE was used as the basic search method,
and OBL was applied to speed up the convergence rate of the DE algo­
rithm. Tian et al. [155] proposed a model for heat recovery among
multi-plant indirect HENs. The temperatures of the intermediate fluid
were determined by the DE algorithm. The proposed method had the
advantage of reducing the computing time of the MINLP model and
improving the quality of solutions.
Zhang and Rangaiah [156] proposed a one-step approach to optimise
both the HEN structure and continuous variables using integrated dif­
ferential evolution (IDE). The one-step method avoids the weakness of
the commonly used two-step algorithm that can easily be trapped into
local optima. When the termination criterion for IDE is obtained, the
best one is refined using the sequential quadratic programming (SQP)
method as the local optimiser to find the precise solution with a fixed
HEN structure to overcome the limitations brought by IDE in handling
integer variables. Sreepathi and Rangaiah [157] proposed several HE
reassignment strategies for HEN retrofit and solved the problem by IDE
to minimise TAC. Three methods were integrated with DE to improve
the solving efficiency. The taboo list was used to prevent repeated
searches. The parameter self-adaptive strategy was applied in the sub­
sequent generation stage. The probabilities of strategy choosing and
crossover were changed according to the success rate from the previous
generations. The best solution, solved by DE, was further optimised by
the local optimiser in MATLAB. Both the previous papers used nodal
representation adopted from Refs. [158] to formulate the problem.
3.3.2.4. Simulated Annealing (SA). SA is a commonly used algorithm in
solving HEN synthesis problems with topology optimisation because it
can easily handle discontinuous variables [159]. According to Smith
et al. [121], it can also adapt to retrofit problems because of following
features. There is no need to simplify the capital cost and operating cost
calculation. The random characteristics of SA can help find a global
optimum for non-linear problems. Also, SA can deal with an infeasible
initial design.
Peng and Cui [160] proposed a two-level method for synthesis. In
their method, the SA algorithm was used to optimise integer variables to
find the optimal topology in the upper level, and the minimised TAC was
solved at the lower level. Smith et al. [121] modified and extended the
Network Pinch approach for HEN design to the retrofit application, and
employed SA to solve this NLP problem. Ochoa-Estopier et al. [161]
suggested a two-level method to maximise the productivity and mini­
mise the operating cost of existing heat integrated crude oil atmospheric
distillation systems for HEN retrofit. In the first level of the algorithm,
SA was applied to modify the topology of the existing HEN. A combined
SA and Rocket Fireworks Optimisation method was proposed by Pavão
et al. [133]. In this algorithm, SA was applied to deal with the integer
variables. Pan et al. [162] developed an optimisation approach based on
SA for HEN retrofit for total energy consumption reduction. The mea­
sures include structure changes, re-piping, new exchanger installations,
and new stream splitting.
3.3.2.5. Particle Swarm Optimisation (PSO). Since the development of
the PSO algorithm by Kennedy and Eberhart (1995), it has proven to be a
very effective method to minimise nonlinear continuous problems. This
algorithm is analogous to the behaviour of a group of birds or fish
searching for resources. When one of the members of the swarm finds a
better position, it is the leader, and other members are influenced by it.
PSO uses velocities to change positions of solutions. The velocities are
calculated by the individual and global best solutions in each iteration to
guide the changing of particle positions in the next iteration.
Pavão et al. [163] developed a method which combined SA and PSO
algorithms. The continuous heat load variables were optimised by PSO
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
based on the results of the topology optimisation done by SA. Zhang
et al. [164] divided the problem of synthesis for large-scale HEN into
two parts, first grouping the process streams to form sub-networks and
second optimising the sub-networks. The sub-network was optimised by
a Powell particle swarm optimisation method.
The HEN synthesis problem can be solved by the PSO algorithm
[165]. The algorithm was developed according to a superstructure
simultaneous optimisation model with the stream splitting consider­
ation. Meanwhile, a PSO algorithm for retrofit was also developed by
Silva et al. [166]. The existing equipment and potential for more heat
recovery were modelled by adding a supplementary constraint to the
synthesis model. The cost of the hot and cold utilities and the investment
cost for new equipment were minimised. The authors claimed that PSO
performed well for nonlinear problems, and the local optima were
avoided.
Wang et al. [167] applied the PSO algorithm to the second stage of
their proposed HEN retrofit method. The PSO was used to optimise the
topology obtained in the first stage by adjusting the temperatures of HEs
to achieve a TAC minimisation retrofit results.
3.3.2.6. Other heuristic algorithms. Besides the above-listed algorithms
for the synthesis and retrofit design, there are other heuristic algorithms;
some are discussed further.
Escobar et al. [168] proposed a heuristic Lagrangian approach for
the synthesis of HENs in multi-period. Each period corresponded to
operating conditions (inlet temperatures and heat capacity flowrates)
change. The problem was first decomposed into smaller subproblems by
Lagrangian decomposition and an iterative scheme, and then the
Lagrangian multipliers were updated through a subgradient method.
A fine-search strategy proposed by Xiao et al. [169] using the
evolutionary mechanism of an RW algorithm with compulsive evolution
could optimise the continuous and integer variables simultaneously with
the determined structure of the network. Bao et al. [170] combined an
optimum-protection strategy with the RW algorithm with compulsive
evolution to protect and exploit the best solutions. They also proposed a
leader-follower optimisation approach to reduce computational time for
stream splits. A Cuckoo Search Algorithm proposed by Zhang and Cui
[171] could be used to solve the synthesis problem with the fixed
network. Both the integer and continuous variables were optimised.
4. A novel retrofit framework considering HE and material
selection
Many previous studies focused on tuning optimisation methods and
guiding optimisation with their opinions to get a very precise solution of
a model, which can be far from reality. One reason is that only a general
HE was considered for the model. Section 2 demonstrated the variety of
HEs available and their advantages and disadvantages for specific
implementations, which leads to substantially different costs. In this
section, a methodology for HEN retrofit that considers the advantages
and disadvantages of HE types and their materials is proposed.
Another gap is that although the Pinch Analysis based methods have
a strong ability to target minimum energy consumption, when consid­
ering the network topology and the related investment cost in the
retrofit application, the solutions solved by these methods have poten­
tial to be improved with respect to the objective function of the total
annual cost. Follow-up methods should be developed to find a trade-off
between utility saving and capital cost. These topology modifications in
the retrofit design include where to place the new or additional heat
transfer area and how large it should be. The results obtained by Pinch
Analysis in the first step are a substantial base to be further developed
and modified to achieve a lower total annual cost or a higher synthesis
and retrofit profit.
The proposed method is a two-stage approach. In the first stage of
diagnosis and pre-selection, several tasks should be done. The topology
B. Wang et al.
Fig. 12. The framework of the proposed method.
of the retrofit plan should be determined; measures such as HE re-piping,
HE resequencing, and adding a new HE are considered by the SRTGD
method. At the same time, the types of HEs are pre-selected based on
their temperature requirements according to the SRTGD - Shifted Heat
Exchanger Temperature Range (SRTGD-SHTR). When the potential
types of HEs are obtained, the SRTGD - Shifted Material Temperature
Range (SRTGD-SMTR) can be used to determine which types of mate­
rials can be selected for HEs. In this first stage, the potential series of
combinations of HE types and their materials can be obtained.
In the second stage of optimisation, a mathematical programming
model has been developed to minimise the TAC which includes the
utility cost and investment using the results obtained from the first stage,
including topology, pre-selected HE types, and pre-selected material
types. The model considers variables such as the temperatures of new
and modified HEs, and the material selection. A modified, constrained
PSO algorithm is proposed to solve this model. The TAC minimised
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
retrofit plan with the
(i) opology,
(ii) temperatures of HEs, and
(iii) HE and material type requirements for the additional HEs can be
decided.
This algorithm is used to solve each combination and calculate the
overall cost. The final step is finding the solution for the maximum use of
lower-cost HEs according to the previous results. The framework of the
proposed method can be found in Fig. 12.
4.1. Diagnosis and pre-selection
This stage aims to diagnose the existing HEN, and debottleneck the
energy recovery by modifying the topology, including operations such
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 4 When the exchanger type is considered, several choices, including DPHE
Data of the HEs and utilities. or STHE, can be observed in Fig. 14. The pressure requirement should be
HE HTI (◦ C) HTO (◦ C) CTI (◦ C) CTO (◦ C) examined next, and the investment cost of HEs should be calculated.
In Fig. 13, the higher temperature limit of the spiral tube HE is in the
E1 185 60 30 130
E2 250 170 130 210 middle of the temperature range of cold utility CU2. There exists the
E3 570 410 210 306 chance to add two HEs to replace the cold utility. The left one could be a
E4 410 340 306 334 spiral tube, and the other one could be other types. In the retrofit plan
E5 468 368 334 394 represented in Fig. 15, E4 and E5 on S1 should be moved to the left side
E6 560 525 394 464
CU1 60 20
of E3 to ensure the plan is feasible on the heat transfer. It then enables
CU2 410 320 the possibility of adding N1 and N2 for heat recovery.
HU1 464 600 The feasible combinations of the HE types for the retrofit design of
HTI: Hot stream inlet temperature; HTO: Hot stream outlet temperature; CTI:
this HEN are listed in Table 6. The details of implementing the SRTGD-
Cold stream inlet temperature; CTO: Cold stream outlet temperature. SHTR can be found in Ref. [89]. This paper only introduces the most
important part.
Potential exchanger types are identified in this step. As the material
as resequencing, re-piping, and adding additional new HEs.
selection will also affect the investment cost of the retrofit plan, the next
An example can serve to better illustrate the proposed method. The
step should focus on determining the potential material type for
data are obtained from Ref. [89]. The heat from six hot streams can be
exchangers.
transferred to the single cold stream for heat recovery. The ΔTmin is
designated as 10 ◦ C for this HEN. The data of the HEs and utilities are
4.1.2. Material pre-selection by SRTGD–SMTR
presented in Table 4. The SRTGD-SHTR is shown in Fig. 13.
The material selection for the HE is a vital task for the process design.
It is based on factors such as temperature, strength, corrosion, and the
4.1.1. HE type pre-selection by SRTGD-SHTR
cost of fabrication. Several commonly used materials and their
In the diagnosis and pre-selection stage, the first step is to determine
maximum temperatures are listed in Table 7. The related cost of
the topology and select potential types of HEs. A graphical tool, SRTGD-
different types of materials for HEs would be introduced in Section 4.1.3.
SHTR, is applied for this purpose.
The ranges for temperature and area of several types of HEs are listed
in Table 5. These temperature ranges are shifted and then coupled with Table 5
the SRTGD to form an SRTGD-SHTR for the HE type selection. The Commonly used HE types and their ranges for temperature and area.
temperature of the new HE should be within the required range of the HE type Max. Pressure Temp., approx. Normal area,
selected HE type. (MPa) range (◦ C) approx. range (m2)
By checking the temperature boundaries of HEs, and the potential DPHE (liq. and gas) 30 − 100 to ~600 0.25–20
range for extra heat recovery, the feasible HE types can be determined. [11]
The temperatures of a HE on the hot and cold streams should not exceed STHE (liq. and gas) 30 − 200 to 600+ 3–1,000
the maximum temperature boundary limitation. [11]
Scraped–wall (liq.) ~0.01 Up to 200 2–20
For the example studied in this section, it can be observed that if cold
[11]
utility CU2 is removed, then heat can be transferred from S4 (hot Spiral plate (liq. and 2 Up to 300 10–200
stream) to S1 (cold stream) for heat recovery. To perform this change, gas) [11]
HEs E4 and E5 must be moved to enable the retrofit option when heat Spiral tube (liq. and 50 Up to 350 1–50
gas) [11]
from S4 is utilised according to the observation from the SRTGD. A new
PFHE [172] 4 Up to 150 0.03–2,400
exchanger N1 can be implemented to replace CU2 for heat recovery.

Fig. 13. SRTGD-SHTR of the existing HEN for the illustrative example [89].

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B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Fig. 14. SRTGD-SHTR for the example when a HE (N1) is added.

Fig. 15. SRTGD-SHTR for the example when two HEs are added.

and 18 show the corresponding SRTGD-SMTR if one and two new HEs
Table 6 are implemented. In Fig. 16, the temperature ranges of materials are
Potential solutions of HE types for the example. shifted, and when the temperature of a HE is in the range of some types
Number N1 Type N2 Type of materials, then these materials can be used for the HE. Otherwise, it is
Solution 1 STHE
not allowed.
Solution 2 DPHE As can be seen in Fig. 17, HE N1 passes across the upper-temperature
Solution 3 STHE STHE boundary of carbon steel, nickel-based alloys, and titanium-based alloys.
Solution 4 DPHE DPHE This indicates that it is not possible to use these materials as the supply
Solution 5 Spiral tube heat exchanger DPHE
temperature of N1 on hot streams exceeds the upper-temperature
boundary of these materials. It is feasible to use Cr–Mo steel, and
Based on these data, the SRTGD-SMTR is proposed for the identification stainless steel as N1 is in their temperature ranges. For the retrofit plan
of potential materials for HEs in the example. in Fig. 18, as N1 is within the temperature range of carbon steel, nickel-
Fig. 16 illustrates the SRTGD-SMTR for the existing HEN. Figs. 17 based alloys, titanium-based alloys, Cr–Mo steel, and stainless steel,
these types can be selected for N1. For N2, only Cr–Mo steel and stainless

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B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 7 The free on board (FOB) purchase cost for STHEs is determined from
Materials of construction for process equipment [72]. Eq. (11) [72].
Material Maximum Typical Applications
Cs&t = FPs&t FM
s&t s&t
CB (11)
Temperature, ◦ C

Carbon steel 400 Cooling-tower water, boiler-feed where Cs&t is the purchase cost of the STHE, $. FPs&t is the pressure factor
water, steam, air, hydrocarbons,
glycols, mercury, molten salts, for STHE, based on the shell-side pressure. The method to calculate FPs&t
s&t
acetone is shown in Eq. (12). FM is the material factor for various combinations
Cr–Mo steel 500 Same as carbon steel, hydrogen of shell and tube materials. It is calculated by Eq. (13). Cs&t
B is the base
Stainless steel 700 Aqueous salt solutions, aqueous
nitric acid, aqueous basic
cost for the STHE, for the floating head, its calculation method is shown
solutions, food intermediates, in Eq. (14).
alcohols, ethers, freons, ( ) ( )2
hydrogen, hydrogen sulfide, P × 145 P × 145
FPs&t = 0.9803 + 0.018 + 0.0017 (12)
molten salts, molten metals 100 100
Nickel-based alloys (e.g., 400 Aqueous nitric and organic acids,
Hastelloy, Inconel, flue gases, chlorine, bromine, where P is the shell-side pressure, MPa. The equation is applicable from
Monel, Incoloy, halogenated hydrocarbons,
Carpenter 20) ammonia, sulfur dioxide, sulfur
0.7 to 13.8 MPa.
trioxide, organic solvents, ( )b
brackish water, seawater
A
s&t
FM =a + (13)
Titanium-based alloys 400 Aqueous solutions, carbon 100
dioxide, organic solvents
Copper and copper alloys, 150 Aqueous sulfate and sulfite where a and b are parameters listed in Table 8 to determine the value of
aluminium bronze, solutions, hydrogen, nitrogen, s&t
FM .
brass, bronze alcohols and other organic
chemicals, cooling-tower water, { }
CB = exp 11.667 − 0.8709 ln(10.76 × A) + 0.09005[ln(10.76 × A)]2
s&t
boiler-feed water
(14)

steel can be selected. For the material selection in this case, if one
exchanger is implemented, Cr–Mo steel and stainless steel can be chosen (2) DPHE
for the exchanger. In the case that two exchangers are implemented, N2 The FOB purchase cost can be determined by the same method
can only be made of Cr–Mo steel or stainless steel, while N1 has extra as Eq. (15).
options such as carbon steel. CPd− p = FPd− p FM
d− p d−
CB p
(15)

4.1.3. Investment cost calculation where Cd− p

is the purchase cost of a DPHE. The equation to calculate
P
Besides the HE types and materials, the investment cost is the
the pressure factor FPd− p
for DPHE is shown in Eq. (16).
fundamental factor that should be considered in the retrofit design.
Equations used to calculate the investment cost of different types of (
P × 145
) (
P × 145
)2
exchangers and their material factors are listed in the following section. FPd− p = 0.8510 + 0.1292 + 0.0198 (16)
600 600

(1) STHE
The base cost for the DPHE can be calculated by Eq. (17).

Fig. 16. SRTGD-SMTR for the existing HEN.

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B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Fig. 17. SRTGD-SMTR for the example when one HE is added.

Fig. 18. SRTGD-SMTR for the example when two HEs are added.

⃒
CBd− p = exp{7.1460 + 0.16[ln(A)]}⃒ (17)
Table 8
Materials of construction factors, FM, for STHEs [72].
d− p
The material of construction Shell/Tube a in Eq. (13) b in Eq. (13) The material factors FM of DPHE are listed in Table 9.
Carbon steel/Carbon steel 0 0
(3) Spiral plate Heat Exchanger
Carbon steel/Brass 1.08 0.05 The FOB purchase cost for spiral plate heat exchanger made by
Carbon steel/Stainless steel 1.75 0.13 stainless steel can be determined by Eq. (18).
Carbon steel/Monel 2.1 0.13
Carbon steel/Titanium 5.2 0.16 CPsp = 6, 200 × (10.76 × A)0.42 (18)
Carbon steel/Cr–Mo steel 1.55 0.05
Cr–Mo steel/Cr–Mo steel 1.70 0.07
where Csp
P is the FOB purchase cost of the spiral plate heat exchanger.
Stainless steel/Stainless steel 2.70 0.07
Monel/Monel 3.3 0.08 The material factors can be found in Table 10.
Titanium/Titanium 9.6 0.06 (4) PFHE

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B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 9 investment cost for new HE k, $.

d− p
Materials of construction factors FM for DPHEs.
4.2.2. Investment cost
Material of construction outer pipe/inner pipe d−
FM p
in Eq. (15)
One of the major criteria for the evaluation of whether a retrofit plan
Carbon steel/Stainless steel 2 should be selected is the investment cost. According to the investment
Stainless steel/Stainless steel 3 cost equations of HEs in Section 4.1.3, the heat transfer area is one vital
variable that has to be considered in the cost calculation. Eqs. (4), (22)
and (23) calculate the heat transfer area. Eq. (24) calculates the in­
Table 10 vestment cost. The overall heat transfer coefficient can be calculated by
Material factor for spiral plate and plate-and-frame heat exchangers [173]. Eq. (22). The LMTD is determined by the supply and target temperatures
Material The material factor for spiral plate and plate-and-frame heat of HEs on hot and cold streams. And the heat transfer area is determined
type exchangers according to the overall heat transfer coefficient (U), the LMTD, and the
Mild steel 0.43 duty of the HE (Q).
Stainless 1.1
1 1 1
Nickel 1.2 = + (22)
Titanium 2.6 U hh hc
( ) ( H )
TinH − Tout
C
− Tout − TinC
The FOB purchase cost of a PFHE made by stainless steel can be LMTD = (23)
(T H − T C )
ln TinH − ToutC
determined by Eq. (19). ( out in )

CPp&f = 8, 880 × (10.76 × A)0.42 (19) where, ℎℎ and ℎc are the individual heat transfer coefficients of the
connected hot and cold process streams, kW/(m2⋅◦ C); Tin H
and TinC
are the
p&f
where CP is the FOB purchase cost of the PFHE. H C
inlet temperatures of hot and cold streams, C; Tout and Tout are the outlet
◦
For material factors of the PFHE are the same as the data in Table 10. temperatures of hot and cold streams, ◦ C.

(5) Spiral Tube Heat Exchanger INV = fg (A, P, FM ) (24)

Other factors which should be considered in the investment cost

The FOB purchase cost of the spiral tube can be determined by Eq.
(20).
{
CPst = exp 8.0757 + 0.4343 ln(10.76 × A) + 0.03812[ln(10.76 × A)]2
}
(20)
where CstP is the FOB purchase cost of spiral tube heat exchangers.
The above equations can calculate the investment cost of selected
HEs. When the topology, potential HE types, and potential materials are
determined, the next step should further optimise the variables such as
supply and target temperatures of HEs based on the topology obtained in
the diagnosis and pre-selection stage.
4.2. Optimisation
In the optimisation stage, the aim is to minimise the TAC, including
utility cost and investment cost. As the solutions for supply and target
temperatures of HEs are continuous variables, it is difficult to optimise
the solution based on the experience of designers or manual evaluation.
A mathematical model is developed based on the structure of the
SRTGD, and a corresponding algorithm is proposed to solve the model
considering this issue, and to inherit the characteristics of the presented
method.
In this model, the sets I and I′ indicate the cold streams and hot
streams, the sets J and J′ indicate the total positions of cold and hot
streams, and set K indicates the HEs.
4.2.1. Objective function
The aim of the mathematical model is to minimise the total utility
and investment costs. The objective function (Eq. (21)) has three items,
the first two items are the cold and hot utility cost, while the third item is
the investment cost.
∑ ∑ ∑ would not move and remain its best value.
f= RULiC × CPCi × CiC + RULHi′ × CPHi′ × CiH′ + INVk
i∈I ′ ′ k∈K
i ∈I
equations are material factor and pressure. If STHE and DPHE are
selected, then their pressure should also be coupled in the investment
cost calculation equation. FM is the material factor which differs ac­
cording to the material used for the exchangers. The lists of FM for
different types of HEs are shown in Tables 8–10.
Other constraints, including stream temperatures, minimum tem­
perature differences, and enthalpy equality, can be found in Wang et al.
[167].
4.2.3. Solving algorithm
The proposed mathematical model is an NLP model due to the capital
cost calculation equations. The HE type selection, material selection,
and supply and target temperatures should all be optimised. The prob­
lem can be decomposed into several parts. As the potential series of
combinations of pre-selected HE types and material types are limited
numbers, the minimised TAC varied according to the supply and target
temperatures of each combination can be calculated separately. How­
ever, although the topology is obtained by the previous method in the
diagnosis and pre-selection stage, the supply and target temperatures of
each HE has the potential to be optimised to achieve the TAC by finding
a trade-off between utility savings and capital cost. As these tempera­
tures are continuous variables, the improved PSO algorithm which can
solve the optimisation problem with constraints is proposed. The PSO
algorithm has the advantage of optimising variables in real numbers and
finding the global optimum of the studied problem.
There are several PSO variants developed to improve the application
and performance of the original one. For the constrained optimisation
problem, He et al. [174] introduced the fly-back method to deal with the
constraints and improve the performance of the standard PSO. In their
method, each particle would be checked to verify if it violates any of the
constraints of the problem, then, if the condition is met, the particle
(21) In this study, the HEN structure is determined in the diagnosis stage,
and temperatures of the new HEs are optimised by the constrained PSO

RULCi and RULHi′ are the temperature spans of the hot/cold utilities in algorithm. As the pre-selected HE types and materials are limited
numbers, the best combination can be determined. Each combination
cold/hot stream i/i’ after the retrofit, ◦ C; CPCi and CPHi′ are the heat-
will be optimised by the constrained PSO algorithm to determine the
capacity flow rates of the cold/hot stream i/i’, kW/◦ C; CCi and CHi′ are
optimal temperatures of HEs to find the minimised TAC. The framework
the unit utility costs for the cold/hot stream, i/i’, $/kW. INVk is the

19
B. Wang et al.
Fig. 19. The framework of the solving algorithm.
of the solving algorithm is shown in Fig. 19, and the detailed imple­
mentation steps are explained.
4.2.3.1. Initialization. As the results of the graphical method should be
used in the proposed constrained PSO algorithm, the information of the
first particle in the initialisation is obtained from the retrofit results of
the graphical method. This inherited information includes the number of
HEs, and the temperatures of modified and new HEs. Other particles are
generated to form the whole swarm. But the number of HEs is fixed, and
only the temperatures are randomly generated.
According to Marini and Walczak [175], when the number of par­
ticles is more than 50, the PSO is not sensitive to the size of the popu­
lation. In this case, 50 particles are used to form the first generation of
the swarm.
Some rules should be implemented based on the constraints of the
model to ensure the solution is feasible. They are as follows: 1) The
lowest temperature for a HE on a hot stream should be higher than the
target temperature of that hot stream, and the highest temperature of
the same HE should be lower than the supply temperature of that hot
stream. 2) For the HE which is adjacent to a HE whose temperature
cannot be changed, then the temperature of the first HE on the adjacent
side remains unchanged. 3) The upper bounds of the HEs which have the
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Renewable and Sustainable Energy Reviews 138 (2021) 110479
highest temperature on each stream should be determined by the supply
temperatures of hot streams. For other HEs, their upper limits should be
determined by the temperature of their upstream HEs. 4) For a HE on a
cold stream, the inlet temperature of that HE should be lower than the
outlet shifted temperature of the same HE on the hot stream, and the
outlet temperature should also be lower than the corresponding inlet
shifted temperature.
4.2.3.2. Fitness evaluation. The evolution of particles aims to achieve
the best fitness of the objective function. In this study, the objective
function Eq. (21) is set as the TAC, which combines annual cost on
utilities and annualised capital cost.
4.2.3.3. Velocity and position iteration. To find a better solution for the
problems, the velocity and position of each particle are iterated with Eq.
(25) and Eq. (26).
( ) ( )
vp,d (t + 1) = ωvp,d (t) + c1 r1 bp,d (t) − xp,d (t) + c2 r2 gd (t) − xp,d (t) (25)
xp,d (t + 1) = xp,d (t) + vp,d (t + 1) (26)
In Eqs. (25) and (26), t and t+1 represent the current and next iter­
ations. p represents the particle, and d is the dimension of a particle.
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 11 criteria is satisfied, the iteration steps stop, and the optimised results can
Data of the HEs and utilities. be obtained.
HE HTI (◦ C) HTO (◦ C) CTI (◦ C) CTO (◦ C) Heat load (MW)
5. Case study
E1A 114.1 103 37.8 53 4.4
E3 203.6 143.9 53 73.8 3
E4 275.6 214.5 53 73.8 3 An existing HEN is studied to show the process of implementing the
E5 222.2 166.9 73.8 110.1 10.5 newly developed method. The data of the studied HEN is extracted from
E6 288.4 229.1 110.1 145 10.1 a crude oil refinery plant. The description of this plant and the data can
E8 232.7 191.5 142.6 172.8 12.5
E9 287.1 242.9 172.8 182.4 4
be found in Lai et al. [104] and Gadalla et al. [109]. The data of each HE
E10 281.1 232.7 182.4 217.9 14.7 is shown in Table 11.
E11 336.8 287.1 217.9 228.7 4.5 The data of hot and cold utilities used in this case study are derived
E12 357.2 339.4 228.7 243 5.9 from Lai et al. [104] and are listed in Table 12.
CU1 152.3 56.1 9.8
When the additional area of the new HE is more than 10% of the
CU2 103 38.9 25.4
HU1 363.8 397.2 7.2 existing area, then a new HE should be implemented. The annualisation
HU2 351.7 368.7 14.4 factor for this study is 0.1175.
HU3 325.7 357.3 16.9 For the retrofit design, the HEN is represented by the SRTGD shown
HU4 243 343.3 41.6 in Fig. 20.
HTI: Hot stream inlet temperature; HTO: Hot stream outlet temperature; CTI: As can be observed from Fig. 20, most of the hot streams are fully
Cold stream inlet temperature; CTO: Cold stream outlet temperature. used to transfer their heat to cold streams. Their potential for further
heat recovery is mainly from stream H9 and H8. It should be noted that
the hot utilities HU1 and HU2 have higher temperatures than any of the
Table 12 cold streams and they cannot be utilised for heat transfer. Stream C3 can
Utility information (adapted from Lai et al. [104]). transfer heat with stream H1, but as the heat of H1 has already been
Utility Inlet temperature Outlet temperature Unit cost ($/kW. recovered by HE E12, C3 also does not have much potential to receive
(◦ C) (◦ C) y) heat from hot streams. The most promising approach is to reduce the
Fuel gas 2,050 400 105 utility usage of CU2 and HU4, but some modifications should be made as
Cooling 15 40 16 they cannot be directly used for heat recovery. The duty of HEs on C5
water
should be reduced to achieve this purpose. HE E6 has the highest po­
tential, as the hot stream H3 from which E6 is used to recover heat has a
xp,d (t) and vp,d (t) denote the current position and velocity of particle p; relatively high temperature. By reducing the duty of E6, a new HE can be
bp,d (t) is the personal historical best position and gd (t) represents the implemented to link C4 and H3 for heat recovery. Another new HE
global historical best position; ω denotes the inertia weight and in this should be implemented on H9 and C5 to utilise the heat from H9.
study, it is set as 1. r1 and r2 represent two random numbers in the range The implementation of the new HE NE2 on H3 and C4 has several
[0, 1]. In Eq. (25), c1 and c2 are the acceleration constants. They are options. The HE can be placed between each HE on C4 to satisfy the
both set as 2 in this paper as the number works well for most of the requirement. However, when calculating the total cost of different se­
applications [176]. lections, it can be found that when NE2 is placed between E11 and E12,
When the velocity and position of each particle are updated, the the total cost is the lowest by a large amount.
constraints are examined to ensure the feasibility of the retrofit plan. As In this case, NE2 is placed between E11 and E12 on C4, and on the
this is a constrained problem, when a particle violates the constraints of right of E6 on H3. The SRTGD-SHTR and SRTGD-SMTR are illustrated
the problem, it would return to its previous best position. for selection of HE type and material. In this plan, not only NE1 and NE2
There are two termination criteria set for this method: either the should be purchased, but also new exchangers should be purchased to
optimal solution remains unchanged in 30 iterations, or the maximum replace the old HE E1A, E3, E4, E5, and E12 as the temperature change
number of iteration steps is reached. When either of the termination would increase their heat transfer area more than 10%.

Fig. 20. Existing HEN represented in the form of SRTGD for the case study.

21
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Fig. 21. Retrofit HEN represented in the form of SRTGD-SHTR for the case study.

Fig. 22. Retrofit HEN represented in the form of SRTGD-SMTR for the case study.

The SRTGD-SHTR is shown in Fig. 21. All types of HEs can be used for
E1A and NE1 as they all fall in the temperature ranges for these types,
while for E3, E4, E5 and NE2, they exceed the higher temperature bound
of the scraped-wall HE and the PFHE. STHE and DPHE can be used for
E12. Then the pressure, heat transfer area and capital cost should be
further calculated to determine the feasible and economical solution.
The SRTGD-SMTR is shown in Fig. 22. HE E1A and NE1 can be made
from any of the types of material, while E3, E4, E5, NE2, and E12 is out
of the temperature range of brass, but the other five types of materials
can be selected for further pressure check and cost calculation. Also,
considering the relatively high temperature of streams for NE2 and E12,
and the corrosive capability of the crude oil, it is better to use the
material which has better ability to resist corrosion.
The TAC is obtained by the constrained PSO algorithm, which cal­
culates all the possible HE types and material selections to determine the
optimal temperatures of each HE. The most economical plan can be
obtained and is shown in Table 13. The comparison of the retrofit plan
with the existing network is shown in Table 14.
According to the results shown in Table 14, the retrofit network re­
duces both hot and cold utilities by 6.6 MW, and achieves a utility saving
of 8.9%. The annualised capital cost for this retrofit is 85 k$, and the
total investment can be reclaimed in 0.90 y.

22
B. Wang et al. Renewable and Sustainable Energy Reviews 138 (2021) 110479

Table 13 editing, Supervision, Project administration, Funding acquisition.

The best solution to this case study. Nianqi Li: Writing - original draft. Min Zeng: Writing - review & edit­
Number HE Material type Heat transfer area Investment ing, Project administration. Petar Sabev Varbanov: Writing - review &
type (m2) ($) editing. Yongtu Liang: Writing - review & editing, Supervision.
E1A STHE Carbon steel/Carbon 95.7 54,259
steel
E3 STHE Carbon steel/Carbon 35.8 40,812 Declaration of competing interest
steel
E4 DPHE Carbon steel 19.4 9,175 The authors declare that they have no known competing financial
E5 STHE Carbon steel/Carbon 135.5 62,589
steel
interests or personal relationships that could have appeared to influence
E12 STHE Stainless steel/ 63.4 172,946 the work reported in this paper.
Stainless steel
NE1 STHE Carbon steel/Carbon 237.6 82,478
Acknowledgements
steel
NE2 STHE Stainless steel/ 221.5 298,491
Stainless steel The project LTACH19033 “Transmission Enhancement and Energy
Optimised Integration of Heat Exchangers in Petrochemical Industry
Waste Heat Utilisation”, under the bilateral collaboration of the Czech
Table 14 Republic and the People’s Republic of China (partners Xi’an Jiaotong
Comparison with the existing network. University and Sinopec Research Institute Shanghai; SPIL VUT, Brno
University of Technology and EVECO sro, Brno), programme INTER-
Items Existing network Retrofit network
EXCELLENCE, INTER-ACTION of the Czech Ministry of Education,
QH (MW) 80.1 73.5
Youth and Sports; and by National Key Research and Development
QC (MW) 35.2 28.6
Percentage reduced for QH (%) 8.28% Program of China (2018YFE0108900). Additional funding came from
Percentage reduced for QC (%) 18.83% the EU project “Sustainable Process Integration Laboratory – SPIL”,
Annualised utility cost (k$/y) 8,171 project No. CZ.02.1.01/0.0/0.0/15_003/0000456 funded by EU “CZ
Utility savings (k$/y) 803 Operational Programme Research, Development and Education”, Pri­
Investment (k$) 721
Annualised capital cost (k$/y) 85
ority 1: Strengthening capacity for quality research.
Total annual cost (k$/y) 8,256
Payback period (y) 0.90 References

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6. Conclusions
Considering the selection of HE types and materials in the HEN
synthesis and retrofit is an important issue that requires significant
research attention.
It can be seen from the review that future work could be focused on:
(i) Proposing sophisticated models for more accurate calculation of
the price of various types of new HEs.
(ii) Considering cost more comprehensively and in more detail in the
synthesis and retrofit design application.
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The proposed framework can be used to determine the HEN retrofit
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8.9% utility saving compared with the existing HEN.
With the development of the new types of HEs and materials, the
proposed retrofit framework can also be extended to fit the need of
selecting a wider range of HEs and materials.
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