National Conference in Mechanical Engineering Research and Postgraduate Students (1st NCMER 2010)

26 -27 MAY 2010, FKM Conference Hall, UMP, Kuantan, Pahang, Malaysia ; pp. 292-307
ISBN: 978-967-5080-9501 (CD ROM); Editors: M.M. Rahman, M.M. Noor and K. Kadirgama
Universiti Malaysia Pahang

FAILURE ANALYSIS OF HEAT EXCHANGER TUBES IN THE INDIRECT

AIR-COOLED ROTARY SHELL
E. H. Jamaluddin 1, M. M. Noor1, K. Kadirgama1, M. M. Rahman1,2 and
K. V. Sharma1
1

Faculty of Mechanical Engineering, Universiti Malaysia Pahang

26600 UMP, Kuantan, Malaysia, Phone: +609-4242278, Fax: +609-4242202
Email: [email protected], muhamad, [email protected]
2
Automotive Excellence Center, Universiti Malaysia Pahang,
26300 UMP, Kuantan, Pahang, Malaysia

ABSTRACT
In this paper, a bundle of 6 tubes of DIN 1.4878 with each 20300 mm length, 511 mm
diameter and 5 mm thickness operates under thermal and rotary bending stress with
fixed support at one-end and simply supported (fix and adjustable) at the various point
are examined. Newly installed tubes failed before 1 year in operation compared to 13
years from the previous one. Failure mood identified; severe metal loss and cracks at the
outer tubes surface in contact with the supports and connection bolts snapped. Authors
main objective is to examine the tubes and try to indentify the problems and suggestions
to overcome the tube failure.
Keywords: Shell and tube heat exchanger, thermal stress, rotary bending, tube failure
INTRODUCTION
Cooling is a very important process in many industries today. During the cooling
process, catastrophic failure of tubes often happens on shell & tube type of heat
exchanger compared to other component. A set of tube called tube bundle located inside
the shell is impossible to be inspect without shutting the equipment down. Tube failure
more often discovered when process data shows an up-set result and it is already too
late. It is important to understand all the stresses acting to the tubes and to ensure all the
stresses been taken into consideration during design stage. Heat exchanger (HE)
calcified as a specialized devise that assist in the transfer of heat from one fluid to the
other. In general, HE is known as a static type of equipment. Stress analysis of the
equipment is more focus on mechanical stresses of installation, startup, shutdown,
normal operation, emergencies and maintenance and thermal stress induced by
temperature differences. There are four types of failure of heat exchanger that can
possibly occur: mechanical, chemically induced, combination of mechanical and
chemically induced and scale, mud and algae fouling (P. Schwartz, 1982). Dynamic
type of HE is a lot more complicated and being used in specific type of industries.
Indirect Air-Cooled Rotary Shell & Tube Heat Exchanger (IACRSTHE) or Cooler is
widely use in cement and pigment manufacturing industry and it assist the transfer of
heat from solid to the fluid (ambient air). Working temperature applied is anonymously
high. The temperature of bulk-material is up to 950C at the inlet tube. As the HE
rotates, there is another stress that need to be taken into consideration; Rotary Bending
Stress (RBS). RBS results the tubes experiencing tension-compression stress, which the
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position continuously changes due to the rotational movement of the tubes (Andrea,
2000).
It is also important to understand the effects caused by changes of operating
parameters that may lead to catastrophic failure to the equipment. In large capacity or
size of HE, the design may imposed quite a complex mechanism with limited
mechanical adjustment parameter range especially in dynamic type of HE. Slight
changes in operating parameter i.e.: temperature surge, will cause different magnitude
of material expansion and further will affect the cold gaps (allowable restriction) on
tubes-to-shell supports that been set for certain range of temperature and lead to metal
loss due to rubbing effect from the rotational movement of equipment.
Sequence of Tube Failure Event
September, 2007
October, 2007

February, 2008
November, 2008
February, 2009

A total replacement of tubes after 17 years in service.

Calciners combustion chamber tripped due to pigments carry-over.
One of the tubes found shifted results from the nuts self-undo and
snapped. Pigments sucked to the combustion chamber through the
opening.
Snapped bolts found at coolers discharge.
Tubes found cracked at manhole support and severe metal loss
observed.
All 6 numbers of tubes taken out for thorough inspection and
repair. All the tubes experienced severe metal loss suspected due to
rubbing process between the tubes and the supports. One of the
tube found cracked at manhole support.
IACRSTHE

IACRSTHE is use to reduce temperature of solids as shown in Figure 1. Contraction

between the solids and the cooling air is via the metal tube walls of the apparatus. The
heat exchanged indirectly via thermal conduction. Thus, there is no direct material
contact between the solids and the cooling air. Solids or product and the cooling air pass
through the IACRSTHE in counter flow. Figure 2 shows the products distributed to
several numbers of tubes and the cooling air flows around the tubes in meandering
movement. A series of a special designed baffle plates cause the meandering movement
of the cooling air and increase the cooling effects. The product passes through the
apparatus as a result of the rotary movement and slight inclination of the drum. A fan
draws ambient air into the apparatus to serve as cooling air as in Figure 2. Fan capacity
is the key in obtaining cooling capacity.
The IACRSTHE basically consist of a drum jacket that rotates around its longitudinal
axis and supported by two tires and four tread rollers and driven via one girth gear and
one pinion. Figure 3 shows the drum is closed off at one end by a product feed housing
and by a discharge housing at the opposite end. Special seals arranged between these
stationary housings and the rotating drum jacket provide for a suitable air seal. The
product tubes through which the product to be cooled passes are located inside the
jacket in the revolver-type or planetary arrangement. Cooling air pass around the
product tube through the tubes-to-baffle plates gaps as shown in Figure 4. An advantage
of using IACRSTHE is the indirect heat transfer between product and cooling air
precludes any dust emission into the air. Heated cooling air is thus suitable for further
293

E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

energy saving utilization. Plant concepts utilizing this energy can save a corresponding
amount of primary energy; fuel and electricity. Depending in individual case, the
exhaust temperature is usually at a relatively high and efficiently usable level of 150 to
300C.

Figure 1: IACRSTHE or Cooler main operation.

Figure 2: Product distributed to 6 tubes.

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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

Figure 3: Overall Cooler set-up.

Figure 4: Tube and jacket arrangement.

From an economic point of view all those applications of interest in which a
solid is treated or produced in a hot-gas fired oven or kiln (such as rotary kiln) at high
temperatures. In these cases heating the kiln usually requires a high amount of primary
energy on the other hand the finished product normally needs to be cooled down for
handling and further processing. The primary energy consumption can be reduced if the
exhaust from IACRSTHE is used as pre-heated supply or combustion air. Such
solutions are often selected in combination with direct-fired rotary kiln used for titanium
dioxide production and also for other inorganic chemical products that are discharge
from the kiln or calciner at temperature of 800 to 950C.
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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

Tube Failure
Tube failures in heat exchanger have been studied by several authors (Nusair and
Usman, 2006, Jose and Pablo 2004, Purbolaksono et al, 2008 and B. Kuznicka, 2009)
and are mainly focused on static type of equipment. The failure of the tube could force
entire plant to shut down for costly repairs and suffer loss of production. Typically there
are 4 types of failures in heat exchanger; mechanical, chemically induced, combination
of mechanical and chemically induced and scale, mud and algae fouling (Plant
Engineering, 1982). Factors that can contribute to tube failure:
1.
2.
3.
4.
5.
6.
7.

Unsuitable selection of construction material.

Substandard fabrication work.
Improper installation.
Operates above capacity limits.
Improper maintenance.
Thermal fatigue.
Design procedure.

Unsuitable selection of construction material happen either the design engineer

wrongly selects the material due to overlook on certain process parameters or limitation
of the suitable material in the market. It could be also results from wrong information
given from customer. Strongest material (with cost effective) always being chosen as a
construction material but it does not mean the material will last forever. Wear and tear
pattern of the material should be determined through thorough engineering study. There
are industries that having heavy corrosion environment as well as the products, which
will corrode the material when in contact. Slurry or suspended solid particles type of
product may create higher erosion effect compared to liquids. In more extreme situation,
corrosion-erosion effect might be appearing, results from the process reactions (B.
Kuznicka, 2009). Suitable construction material maybe varies from time to time
depends on the material science development. The most important thing is the designer
should fully aware and understand the product behavior and the impact to the
construction material. Study can be done to understand the behavior of the product. Few
main elements like corrosion-rate, erosion-rate and impact to the construction material
when its in contact with the product can determine the tubes service life. With this
kind of information, the failure of the tubes can be predicted.
Substandard fabrication work is due to lack of control in quality. Metal joint
through fusion method is one of the biggest contributions in tubes failure. Work method
to carry out the work often threaded lightly (Jose, 2004). This is maybe because of short
cuts, skill level, and pressure in meeting delivery date or budget cutting. Tubes
preparation such as using rolling technique will leave residual stress on the material
rolled and stress release activities has to take place (Alfantazi, 2009). Welding
mismatch can cause thermal buckling at the weldment and subsequently will crack the
tubes at the same location with presence of thermal fatigue (Katsumi, 1995).
Improper installation can create residual stress to the tubes. Contact areas
between parts if not being taken care properly will develop crevice corrosion.
Microstructures and mechanical characteristic of Heat Affected Zone (HAZ) known as a
weak point, which may influence crack propagation (Alfantazi, 2009).

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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

Operates above capacity limits will cause deterioration to the tubes. Erosion
caused by turbulence flow, crack caused by higher operating pressure or temperature
(Jose, 2004) or tube bends due to overweight mass transferred are some of the failure
examples that can happen to the tubes. Three types of failure modes such as ovalization,
buckling and crack initiation subjected to bending moment (Ki-Woo Nam, 2006).
Tubes wall thinning, thickening and cross-section ovality of tube are obtained due to
bending process (LI Xue-tong, 2006).
Improper maintenance will decrease equipments service life. If the maintenance
method did not being fully understood or not being carried-out carefully, maintenance
actives that supposed to pro-long the service life will turns to damaging the equipment.
Impact of corrosion due to chemical cleaning activity during degreasing and passivation
prior to service (Jose, 2004) and scaling work during routine maintenance has
significant impact to the tubes.
Thermal fatigue results from cyclic heating and cooling caused the
circumferential crack (Nusair Khan, 2006). Thermal stratification found contributes to
thermal fatigue and thermal buckling (Katsumi, 1995).
Design procedure such as ASME, API 660 and BS 3274 did not entirely govern
the underlying affects that may cause the tube failure. Experiment carried out (Shahab,
2003) shown the failure of the tube caused by excessive vibrations under normal
operating conditions.
TUBES FAILURE AT IACRSTHE
IACRSTHE or known as Cooler was commissioned in 1991. After 10 years in service,
the cooler starts giving symptoms of failure:
1. Manhole support covers cracked and bolts snapped.
2. Failure rate of down streams equipment increased.
i. Primary Hot Gas Fan (PHGF).
ii. Wet Electrostatic Precipitator (WESP)
3. Natural gas used by Calciner burner increased.
As the plant required to continuously running, the maintenance regime of the
cooler is based on reactive mood. In 2004 turnaround, robot with camera was sent into
each of the tube for inspection. Almost all of the tubes found cracked and punctured.
Cracks and punchers localize at tubes supports area. After repair activities took place,
the cooler back to operation. Capital Expenditure Request (CER) immediately created
and approved. In 2007 turnaround, all 6 numbers of tubes replaced. Less than a year the
tubes failed. The failure mood is totally different from previous. Numbers of the
connecting bolts found undo and snapped. The opening between the tube flange and
tube sheet allows the pigments being sucked to the Calciners combustion chamber
through heat recovery system and caused the burner tripped. Method of bolts
installation was changed and all the bolts replaced. Before the burner tripped, there are
indicators i.e.: PHGF frequently experienced high vibration and has to be switched for
maintenance. WESP performance dropped at shorter service period and frequently has
to be switched for maintenance.
Bolts snapped found at downstream equipment but the numbers of snapped bolts
is not worrying because mapping method already implemented. With the mapping,
engineers fully aware which bolts are snapped. But however it indicates the root cause
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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

is still not fully understood and yet to be tackled. After a year, in 2008 maintenance
team decided to shutdown the cooler for inspection. Crack found at one of the tube,
located at manhole support and repaired. The crack was located along the welding-toe.
All the information from previous failures are gathered and studies being
carried-out to find the root cause of the failure. In 2009, the cooler was brought down
and dissembled for thorough maintenance.
Tube failure investigation focused on:
1.
2.
3.
4.

Manhole support cover cracked and bolts snapped.

Tubes connecting bolts snapped.
Tube crack at manhole support.
Tube punctured at center support.

Manhole Support Cover (MSC) Cracked and Bolts (MSB) Snapped.

Manhole support is basically used for cold-gap adjustment to cater tubes thermal
expansion subjected to product inlet temperature at tube feed. Tubes were designed to
operate up to 900C and the recommended gaps by OEM as per Table 1. Each tube has
2 manhole supports, located at 6.5m and 14.5m from feed-end. From the investigation,
although the maintenance record shows the gap value was followed and the job method
is correct, but the bolt MSC
assembly was not according to OEM specification.
MSC
MSC

MSC

Table 1: Cold-gaps at manhole support.

Play in mm
Temperature C
Cooler Feeder
6.5 m
14.5 m
900
6.0
4.0
800
5.5
3.5
700
5.0
3.5
600
4.5
3.0
500
4.0
2.5
400
3.0
2.5
300
2.5
2.0
200
2.0
1.5
100
1.5
1.5
Each bolt comes with special type of washers as shown in Figure 5. The washers
are meant to absorb minor tubes deformation in diameter, which affected from
temperature fluctuation. This is because the adjustment of the cold-gap was done
manually and based on fixed temperature value and it is impossible to keep the
temperature maintaining as specified without minor fluctuation. The correct way of
assemble the bolts as shown in Figure 6. Bolts were found fully tightened as shown in
Figure 7. This caused restriction to the tubes to expand if there are increases of the
temperature. This could be one of the factor explains the failure of the tubes at manhole
cover.

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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

Convex shape

Concave shape

Figure 5: Manhole bolts washer.

Figure 6: OEM recommendation on Manholes bolts washer installation.

Tubes Connecting Bolts (TCB) Snapped.
Tubes with flange bolted to the tube sheet. In October 2007, plant forced to shut down
due to Calciners burner tripped. The reason discovered that the burner was choked with
pigments (product), which came from cooler. Cooler tube was dislocated due to the
connecting bolts snapped and undo and gaps created between the tube flange and the
tube sheet makes the pigment loss its containment and sucked into calciner burner
through the recovery heat system. Suggestion from OEM to tag-weld the bolts head
and nuts to prevent from undo and to check on torque standards. History of the broken
bolt and nut on tube connecting bolts as shown in Figure 7.

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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

TCB
Shell
Tube sheet

Center Tube
(CB)

Broken Bolt & Nut inspection July 2008

Broken Bolt & Nut inspection Dec 2008
Broken Bolt & Nut inspection both July &
Dec 2008
The first Bolt & Nut measure point
Figure 7: History of the broken bolt and nut
Tube Cracked at Manhole Support (MS)
Tube was made with welded rolled metal sheet. Manhole support used as adjustable
support of tubes subjected to temperature variances. Cold-gaps is the most crucial
parameters. Wrong set-up will cause the tubes severe metal loss and crack due to over
stressed. Tube crack found at one of the tube at the weldment. Crack propagates along
the welding toe, which at the weakest point due to HAZ effects. Tube patch carried out
in such that the contact point between the supports to the tube is no longer at the
weldment area. Tube cracked at main hole support as shown in Figure 8.

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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

Cracks

Weldment

Figure 8: Tube cracked at Manhole support

Tube Punctured at Center Support (CS)
The newly installed tubes suffered the same failure mode as before. Failure at the center
is the worst compared to failure at the MS. The reason being, if the tube crack happen at
the MS area it is easier to do patch repair as the MS can be remove. If its happen at the
CS, the unit needs to be bringing down and dismantle the tube before the repair can be
done. Approximately 8 hours of mean time to repair (MTTR) needed for tube failure at
MS area and approximately 3 days of MTTR needed if its fails at CS area. Tubes are
suspected bends and the rotation makes the highest axial displacement, which is the
center to swing and cause the metal loss. The image of tube punctured and metal loss
was shown in Figure 9 and 10. Based on authors early observation the major
contribution of the tube failure is due to the plants capacity up-rating and followed with
the minor contribution that is lack of knowledge in handling the IACRSTHE.

Metal loss

Punctured

Figure 9: Tube punctured and metal loss

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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

MSC

MSC

Figure 10: Schematic diagram of the tube

MATERIAL AND METHOD
Investigation will be based from the 4 identified failures, the process flow to investigate
the cause of failure as shown in Figure 11. The investigation will lead to the
recommendation of modification or to revise the up-rating capacity to prevent the tubes
from failure in the future.
The process of the investigation flow will be based on few decisions from the
test below:
1.
Positive
Material
Identification
(PMI)
2.
Process Parameter Deviation
3.
Finite Element Analysis (FEA)
4.
Lab Experiment
Positive Material Identification (PMI)
PMI is used to identify the authenticities of construction material. Chemical
composition taken from the test specimen (tube & bolts) will be matched with standard
as shown in Table 2.Material properties of DIN 1.4878 is tabulated in Table 3.
Table 2: Chemical composition of DIN 1.4878

Steel grade
1.4878

C max
0.05

N
-

Typical chemical composition, %

Cr
Ni
Si
17.3
9.1
-

Others
Ti

Table 3: Mechanical properties of DIN 1.4878

Steel grade

Proof strength
Rp0.2
Rp1.0
(N/mm)
(N/mm)

Tensile strength
Rm
(N/mm)
302

Elongation Hardness
max.
%
HB

Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

1.4874

190

230

500 - 720

40

Capacity Up-rating Decision

Process Parameter Deviations

Tube Failure Mode

1. MSC cracked and MSB
snapped.
2. TCB snapped.
3. Tube cracked at MS.
4. Tube punctured at CS

Replace
with
N
Correct
Material

PMI

Lab
Test

Identify
Suitable
Material

Y
Y
FEA

Identify
Feasible
Modification/
RCA

Up-rating Capacity
Recommendation

Y
Modification
Recommendation

303

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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

Figure 11: Flow chart of method.

Process Parameter Deviation
With process capacity up-rating, it will definitely change the process parameter. The
deviation of the process parameter will be compare to OEMs recommendation as
shown in Table 4. Initial cause of failure can be determined if there is design parameter
being violated.
Table 4: Process condition by the OEM
Product feed rate
Product discharge rate
Product inlet temperature
Product outlet temperature
Drum r.p.m
Drum inclination
Motor r.p.m
Gas (Ambient air) inlet temperature
Gas outlet temperature
Gas flow rate at outlet

6750 kg/h
6750 kg/h
940 C
80 C
4.7 min-1
30 mm/m
1500 min-1
28 C
210 C
36.843 m/h

Finite Element Analysis

Tubes and stresses will be simulated using FEA. The behavior of the tubes under loads
will be compare to the failures identified. Feasible modification recommendation will be
generate through this study. Mechanical properties will follow DIN 1.4878 as shown in
Table 3.
Lab Experiment
Destructive Test (DT) and Non-Destructive Test (NDT) are to provide information of
the specimen condition results from the new process parameters.
Lab experiment as per below:
1. Visual examination (magnifier & microscope) Tube cracks & TCB
2. Hardness Testing Tube crack
3. Microscopic examination TCB & Tube crack
The experiment suggested is to further understand the cause of the failure. Possibility of
overheating, are seen as some of the reason of the failure. This only can be check by
doing lab test.
RESULTS AND DISCUSSION
As first stated, the main possible reason of the tube failure is due to the capacity uprating, which will force higher volume of hot-dried pigments transferred into the Cooler.
Main parameters that will immediately affect is feed rate, which has a correlation to:
1. Input temperature
2. Pigment distribution load
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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

3. Cooling efficiency
Excessive increase of input temperature above form material specification will
change the materials microstructure, which can be one of the factor contributes to TCB
snapped. Tubes expansion magnitude will also affected and can be relates to MSC and
MSB failure. The design of the tubes support is a bit different at the center compared to
the others. Tubes supported with only one support that is located at the tube shell side at
the center as shown in Figure 12. Unlike at the others, tubes supported circumferentially
with 2 supports; at the shell side and at the center tube side. With higher feed rate,
higher distribution load will be distributed to each of the tube and tube will experience
higher degree of deflection. Deflection will cause movement on circumferential
direction as the cooler rotates. While the tube at the top position (0 position), the tube
will off from the center support (CS) due to deflection. When the cooler starts to rotate
down (90 to 180 position) the tubes will start to get-in to the support and this will lead
to rubbing between components as well as when the tubes start to move out when it is
continuing to rotate to the top (270 to 0 position). Insufficient cold-gap between the
MSs and the tubes can be one of the reasons for tubes deflection, which further can fail
the TCB due to cyclic tension-compression load as shown in Figure 13.

Center
support
saddle

Shell support
saddle

Figure 12: Tube support

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E. H. Jamaluddin, M. M. Noor, K. Kadirgama, M. M. Rahman and K .V. Sharma

Figure 13: Bolts cross-sectional snapped due to fatigue

CONCLUSIONS
Possible root cause identified will determine the corrective action. Modification might
be needed to overcome the failure permanently. With introducing another support at the
tube center seen to be feasible to overcome deflection due to the rotary bending stress
(RBS). Recalculate the cold-gab on each supports to avoid tubes from excessive freeplay can reduce the rubbing effect. Rubbing effect cannot be entirely eliminated because
the design of the MS is actually meant to have a metal-to-metal contact to support the
tube from deflect. Sacrificial plate can be installed at MS to avoid tube wall metal loss
due to the rubbing effect.
ACKNOWLEDGEMENT
I would like to take this opportunity to express my appreciation to Universiti Malaysia
Pahang for the financial support.
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Failure Analysis of Heat Exchanger Tubes in the Indirect Air-Cooled Rotary Shell

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