CHAPTER – 1

INTRODUCTION
1.1 HEAT TRANSFER
Heat Transfer is a discipline of thermal engineering that concerns the
generation, use, conversion, and exchange of thermal energy and Heat between
physical systems. Heat Transfer is energy in transit due to Temperature difference.
Whenever there exists a temperature difference in a medium or between media, Heat
Transfer must occur. The basic requirement for Heat Transfer is the presence of
Temperature difference. Larger the temperature gradient, the higher the rate of Heat
Transfer.

1.2 MODES OF HEAT TRANSFER

Heat Transfer is classified into various mechanisms, such as thermal
conduction, thermal convection and thermal radiation.
1.2.1 Conduction

Conduction is the mode of Heat Transfer in which Heat is transferred from one part of
Substance to another part of same substance like solid, liquids and gases.
In conduction Heat spreads through a substance when faster atoms and molecules
collide with neighbouring slower ones, and results in transferring some of their kinetic
energy to them. When an object is at a different Temperature from another body or its
surroundings, Heat flows so that the body and the surroundings reach the same
Temperature, at which point they are in thermal equilibrium. Such spontaneous Heat
Transfer always occurs from a region of high Temperature to another region of lower
Temperature, as described by the second law of thermodynamics.

Fig. 1.1 Conduction Mode of Heat Transfer

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Fourier’s law: Joseph Fourier published his remarkable book “Theorie
Analytique de la Chaleur” in 1822. In it he formulated a very complete exposition of
the theory of Heat conduction
The Heat Transfer by conduction was given by Fourier according to which the
rate as Heat conduction is proportional to the area measured normal to the direction of
Heat flow, and to the Temperature gradient in that direction.
dT
Q c   KA ,
dX
Where,
k, is called the thermal conductivity in W/m·K
A is the surface area of Heat Transfer in m2.
dT
is the Temperature gradient along the length in °k/m.
dX
The Heat flux is vector quantity, normal to the isothermal surface. Because
according to the second law of thermodynamics Heat is always flows from hotter
point to colder one. Equation is the one-dimensional form of Fourier’s law. We
develop its three-dimensional form.
 dT 
q  K 
 dX 
TABLE 1.1 THERMAL CONDUCTIVITY FOR DIFFERENT MATERIALS

Sl. No. Material Thermal Conductivity (K) W/m k

1 Diamond 1000
2 Silver 410
3 Copper 385
4 Aluminium 225
5 Cast iron 55 - 65
6 Steel 20 - 45
7 Concrete 1.20
8 Water at 20̊̊ 0.634
9 Glass 0.75
10 Asbestos Sheet 0.17
11 Cork, felt 0.05 - 0.10
12 Saw dust 0.07

Pure metals have high ‘k’ while gases and vapours have lowest. Pure metals
have ‘k’ decreases with increasing Temperature and for gases, insulating materials
increases with increasing Temperature.
1.2.2 Convection
Convective Heat Transfer, often referred to simply as convection, is the mode

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of Heat Transfer in which energy is transferred from a surface to a fluid flowing over
it, as a result of Temperature difference in between the surface and the fluid.
Convection is usually the dominant form of Heat Transfer in liquids and gases.
Convection Heat Transfer mode is comprised of two mechanisms
 Energy transfer due to random molecular motion (diffusion).
 Energy transferred by the bulk or motion of the fluid (advection)

Newton's law of cooling: Convection-cooling is sometimes called "Newton's law of

cooling" in cases where the Heat Transfer coefficient is independent or relatively
independent of the Temperature difference between object and environment. In this
case, Newton's law only approximates the result when the temperature changes are
relatively small. Another situation with Temperature-dependent transfer coefficient is
radiative Heat Transfer.

Fig. 1.2 Convection Mode of Heat Transfer

Newton's law states that the rate of Heat loss of a body is proportional to the
difference in Temperatures between the body and its surroundings. The rate of Heat
Transfer in such circumstances is derived below.
Q conv  hA Ts  T 

Where,
h is Convection Heat Transfer coefficient in W/m2°C
A is surface area in m2.
Ts is the body surface Temperature in K.
T is the Temperature of the fluid sufficiently far from the surface in K.

1.2.3 Convection Types

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 1. Free convection: Free or natural convection is the process of Heat
Transfer, which occurs due to movement of the fluid particles by density
changes associated with Temperature differential in a fluid. This mode of
Heat Transfer occurs very commonly.

2. Forced convection: In this process of Heat Transfer the fluid motion is

artificially created by means of an external agency like a blower or fan. In
free convection, the flow velocities encountered are lower compared to
flow velocities in forced convection, consequently the value of convection
coefficient is lower.

TABLE 1.2 Types of Flows

S.No Types of Flows h (W/m2ºC or W/m2.K)

1 Free convection , air 5-28

2 Forced convection ,air 10-500

3 Water 100-17,000

4 Boling water 2500-57,000

5 Condensation of steam 5000-1,10,000

Basic modes of Heat Transfer conduction, convection, Radiation are often

combined both in nature and engineering applications. Therefore it is not possible to
isolate entirely one mode from interactions with other mode. Convective Heating or
cooling in some circumstances may be described by Newton's law of cooling: "The
rate of Heat loss of a body is proportional to the difference in Temperatures between
the body and its surroundings." However, by definition, the validity of Newton's law
of cooling requires that the rate of Heat loss from convection be a linear function of
("proportional to") the Temperature difference that drives Heat Transfer, and in
convective cooling this is sometimes not the case. In general, convection is not
linearly dependent on Temperature gradients, and in some cases is strongly nonlinear.
In these cases, Newton's law does not apply.

1.3 RADIATION

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 Thermal radiation is electromagnetic radiation generated by the thermal
motion of charged particles in matter. All matter with a Temperature greater than
absolute zero emits thermal radiation. The mechanism is that bodies with a
Temperature above absolute zero have atoms or molecules with kinetic energies
which are changing, and these changes result in charge-acceleration and/or dipole
oscillation of the charges that compose the atoms. This motion of charges produces
electromagnetic radiation in the usual way. However, the side spectrum of this
radiation reflects the wide spectrum of energies and accelerations of the charges in
any piece of matter at even a single Temperature.

Examples of thermal radiation include the visible light and infrared light
emitted by an incandescent light bulb, the infrared radiation emitted by animals and
detectable with an infrared camera, and the cosmic microwave background radiation.
A person near a raging bonfire feels radiant heating from the fire, even if the
surrounding air is very cold.
Sunlight is thermal radiation generated by the hot plasma of the Sun. The
Earth also emits thermal radiation, but at a much lower intensity and different spectral
distribution (infrared rather than visible) because it is cooler.

1.3.1 Stefan-Boltzmann Law

According to Stefan-Boltzmann law, the radiation energy emitted by a body is
proportional to the fourth power of its absolute Temperature.
Q = AT4
Where,
-8 W
 is Stefan-Boltzmann constant 5.6697 x 10 &
m2K 4
T is the surface Temperature in degree Kelvin.
Steady state conduction is a form of conduction that happens when the
Temperature difference driving the conduction is constant, so that after an
equilibration time, the spatial distribution of Temperatures in the conducting object
does not change any further. In steady state conduction, the amount of Heat entering a
section is equal to amount of Heat coming out.

1.4 OVERALL HEAT TRANSFER COEFFICIENT

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 If more than two modes of Heat Transfer is taking place then overall Heat
Transfer comes in to play. The overall Heat Transfer coefficient is defined in terms of
the total resistance. For the common configurations, plane and cylindrical walls of this
coefficient is of the form
Plane wall
Cylindrical wall or

Where, i and o represent the inside and outside surfaces of the wall,
respectively.
1.5 INTRODUCTION TO HEAT EXCHANGERS
Heat Exchanger is a device specially designed for efficient transformation of
Heat from one fluid to another fluid over solid surface. In Heat Exchangers the
Temperature of each fluid changes as it passes through the Exchangers, and hence the
Temperature of dividing wall between the fluids also changes along the length of
Exchanger.
Some examples of Heat Exchangers:
 Intercoolers and pre Heaters
 Condensers and boilers in stream plant
 Condensers and evaporators in refrigeration unit
 Regenerators
 Automobile radiators
 Oil coolers of Heat engine
 Milk chiller of a pasteurizing plant
 Several industrial processes

Many types of Heat Exchangers have been demand for use at such varied
levels of Technological sophistication and sizes as power plants, chemical processing
plants, Building Heating, power systems, space or aeronautical, refrigeration and air
conditioning Household refrigerators, car radiators, radiators for space vehicles and
other common types.

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1.6 CLASSIFICATION OF HEAT EXCHANGERS
Heat Exchangers are made in so many sizes, types, configurations, and flow
Arrangements that some kind of classification, even through arbitrary, is necessary for
Study of Heat Exchangers.

Heat Exchangers are broadly classified on the basis of

1.6.1. Flow arrangement
1.6.2. The transfer process
1.6.3. Compactness
1.6.4. Construction type and
1.6.5. Heat Transfer mechanism

1.6.1 Classification Based on Flow Arrangement

Numerous possibilities exist for flow arrangement in Heat Exchangers. We
summarize her principal ones.
a. Parallel-Flow Heat Exchanger
The hot and the cold fluids enter at the same side end of the Heat Exchanger,
flow through in same direction, and leave together at the other end.

Fig. 1.3 Parallel Flow Heat Exchanger

b. Counter- Flow Heat Exchanger

The hot and the cold fluids enter in opposite ends of Heat Exchanger and
flows in opposite directions

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 Fig. 1.4 Counter Flow Heat Exchanger
c. Cross- Flow
In the Cross-flow Heat Exchanger, the two liquids usually flow at right Angles
to each other. In cross-flow arrangement the flow may be called mixed or unmixed,
depending on the design, In this arrangement both hot and cold fluids are not to move
free in transverse direction. Then each stream is to be unmixed. The inlet
Temperatures for both fluids are assumed to be uniform, but the outlet Temperatures
exhibit variation transverse to the flow.

Fig. 1.5 Cross Flow Heat Exchanger

In flow arrangement the cold fluid flows inside the Tube and so is not free to
move in transverse direction. Therefore the cold fluid is said to be unmixed. However
the hot Fluid is free to move in transverse direction.

General in cross flow Exchangers, three idealized flow arrangements are

possible.
 Both fluids are mixed
 One fluid is mixed other fluid is unmixed and
In shell and Tube type Heat Exchanger, the presence of large number of
Baffles serves to “mix” the shell fluid in a sense as discussed above that is its

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Temperature tends to uniform at any cross section.
d. Multi pass Flow Heat Exchanger

The Multi pass flow Arrangement is frequently used in Heat Exchanger

design, because multi passing increases the overall effectiveness over individual
effectiveness. A wide variety of multi pass flow arrangements are possible.

1.6.2. Classification Based on Transfer Process

a. Recuperative Type
In which fluid exchange Heat on either side of a dividing wall. The
recuperative Type of Heat Exchanger, which is most common in practice, may be
designed according to one of the parallel, counter and cross flow Heat Exchangers.

Fig. 1.6 Recuperative Heat Exchanger

b. Regenerative Type
A regenerative Heat Exchanger, or more commonly a regenerator, is a type
of Heat Exchanger where Heat from the hot fluid is intermittently stored in a thermal
storage medium before it is transferred to the cold fluid. To accomplish this hot fluid
is brought into contact with the Heat storage medium, and then the fluid is displaced
with the cold fluid, which absorbs the Heat. There are classified as
 Rotary regenerators
 fixed matrix regenerator
 micro scale regenerative Heat Exchanger
c. Evaporative Type
Such as cooling water tower in which a liquid is cooled evaporative in the
same Space as coolant.
1.6.3. Classification Based on Compactness
a. Compact Heat Exchanger

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 A compact Heat Exchanger can be defined as Heat Exchanger which has area
density greater than 700m2/m3 for gas or greater than 300m2/m3 when operating in
liquid or two-phase streams. The concept behind compact Heat Exchanger is to
decrease size and increase Heat load which is the typical feature of modern Heat
Exchanger. The importance of compact Heat Exchangers (CHEs) has been
appreciated in aerospace, automobile, cryogenics, gas turbine power plant, and other
industries for the last 60 years or more. This is due to various factors, for example
packaging constraints, sometimes high performance requirements, low cost, and the
use of air or gas as one of the fluids in the Exchanger. The other driving factor from
last three decades for Heat Exchanger design has been reducing energy consumption
for operation of Heat Exchangers and minimizing the capital investment in industries.
1.6.4 Classification Based on Construction Type
Heat Exchangers also can be classified according to their construction feature
are described below.
a. Tubular Heat Exchangers
Tubular Heat Exchangers are widely used, and they are manufacture in many
Sizes, flow arrangements, and types. They can accommodate a wide range of
operating Pressures and Temperatures. A Commonly used design, called the shell-
and-Tube Exchanger, consists of round Tubes Mounted on a cylindrical shell with
their axis parallel to that of shell. Straight Tube Heat Exchangers are the example of
tubular Heat Exchanger.
b. Plate Heat Exchangers
As the name implies, plate Heat Exchangers usually are constructed of thin
plates. The plates may be smooth or may have some form of corrugation. Since the
plate Geometry can’t accommodate as high Pressure and or Temperature differentials
as a Circular Tube, they are generally designed for moderate Temperature and or
Pressure. The Compactness factor for plate Exchangers ranges from 120 to
230sq.m/cubic.metere.shown.

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 Fig. 1.7 Plate Type Heat Exchanger

c. Plate-fin Heat Exchangers

The compactness factor can be significantly improved (i.e., up to about
6000sq.m/cubic. Metre) by using the plate-fin type of Heat Exchanger. Flat plates
separate Lowered or corrugated fins. Cross-flow, counter flow, or parallel-flow
Arrangements can be obtained readily by properly arranging the fins on each side of
the Plate. Plate-fin Heat Exchangers are generally used for gas-to-gas applications,
but they are used for low-Pressure application not exceeding about 10atm.
(i.e,1000k.pa). The minimum operating Temperatures are limited to about 800°c.
Plate-fin Heat Exchangers also have been used for cryogenic applications.

Fig. 1.8 Plate Fin Heat Exchangers

d. Tube-Fin Heat Exchangers

When a high operating Pressure or an extended surface is needed on side,
Tube-Fin Exchangers are used. Tube-Fin Exchangers can be used for wide range of
Tube fluid operating Pressures not exceeding about 870°c the maximum compactness

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ratio of about 330sq.m/cubic. Meter is less than that obtainable with plate- fin
Exchangers.
1.6.5 Classification by Heat Transfer Mechanism
The possibilities for the Heat Transfer mechanism include a combination of
the following.
 Single-phase forced or free convection
 Phase boiling (Boiling or Condensation)
 Radiation or combined convection and radiation.
For all the cases discussed earlier we considered single-phase3 forced
convection on both Sides of Heat Exchanger. Condensers, boilers and radiators for
space power plants include the mechanism of condensation, boiling and radiation
respectively on one of the surfaces Of the Heat Exchanger.

1.7 INTRODUCTION TO SHELL AND TUBE HEAT EXCHANGERS:

The most widely applied Heat Exchangers are those constructed of a “shell”
which contains one of the fluids as well as the Tubes, and the “Tubes”, which contain
the other fluid. The shell and Tube type Heat Exchanger allow a great deal of
flexibility in design applications and, as a result is frequently found in heavy duty
applications

Fig. 1.9 Double Pass Shell and Tube Heat Exchanger

1.8 PRINCIPAL COMPONENTS:

 Tubes
 Shell assembly
 Baffles and
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  Tube sheets
1.8.1 Tubes:
Heat Exchangers with shell diameter of 10 to more than 100” typically are
manufactured to the standards set forth by the Tubular Exchangers Manufacturers
Association. Generally Tubes in Heat Exchangers are made from low carbon steel
Copper, Admiralty, Copper-nickel; stainless, titanium or other materials.

Fig. 1.10 Tubes

Tubes are either drawn and seamless, or welded. High quality electro
resistance welded Tubes exhibit good grain structure at the weld. Extruded Tube with
low fins and interior rifling is specified for certain applications. Surface enhancements
are used to increase the available metal surface or aid in fluid turbulence, thereby
increasing the effective Heat Transfer rate. Finned tubing is recommended when the
shell-side fluid has a substantially lower Heat Transfer coefficient than the Tube-side
fluid. Finned tubing is hot finned in its landing areas, where it contacts the Tube
sheets. Also, the outside diameter of the finned positions of this Tube design is
slightly smaller than the unfinned areas. These features allow the Tubes to be slid
easily through the Baffles and Tube supports during assembly while still minimizing
fluid bypass.
U-Tube designs are specified when the thermal difference between the fluids
and flow would result in excessive thermal expansion of the Tubes. U-Tube bundles
do not have as much Tube surface as straight Tube bundles due to the bending radius,
and the curved ends cannot be easily cleaned.
1.8.2 Shells:
The shell is constructed either from pipe or rolled and welded plate metal. For
reasons of economy, low carbon steel is in common use, but other materials suitable
for extreme Temperature or corrosion resistance often are specified. Using commonly
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available shell pipe to 24 diameter. Results in reduced cost and ease of manufacturing,
partly because they generally are more perfectly round than rolled and welded shells.
Roundness and consistent shell inner diameter are necessary to minimize the space
between the Baffle outside edge and the shell, as excessive space allows fluid bypass
and reduces performance. Expanding the shell around a mandrel or double dolling
after welding the longitudinal seam can increase roundness.

Fig. 1.11 Shell

In extreme cases, the shell can be cast and then bored to the correct inner
diameter. In applications where the fluid Velocity for the nozzle diameter is high, an
impingement plate is specified to distribute the fluid evenly to the Tubes and prevent
fluid-induced erosion capitations and vibration. An impingement plate can be
installed inside the shell, eliminating the need to install a full Tube bundle, which
would provide less available surface. Alternatively, the impingement Plate can be
installed in a domed area (either be reducing coupling or a fabricated dome) above the
shell. This style allows a full Tube count and therefore maximizes utilization of shell
space.
1.8.3 Baffles
Baffles serve two important functions. First, they support the Tubes during
assembly and operation and help prevent vibration from flow-induced eddies. Second,
they direct the shell-side fluid back and forth across the Tube bundle to provide
effective Velocity and Heat Transfer rates.

A Baffle must have slightly smaller inside diameter then the shells inside
diameter to allow assembly, but it must be close enough to avoid the substantial
performance penalty caused by fluid bypass around the Baffles. Shell roundness is
important to achieve effective sealing against excessive bypass. Baffles can be
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punched or machined from any common Heat Exchanger material compatible with
the shell side fluid. Some punched Baffle designs have a lip around the Tube hole to
provide more surfaces against the Tube and eliminate Tube wall cutting from the
Baffle edge. The Tube holes must be precise enough to allow easy assembly and field
Tube replacement yet minimize the chance of fluid flowing between the Tube wall
and Baffle hole.
Baffles do not extend edge to edge but have a cut that allows shell-side fluid to
flow to the next Baffled chamber. For most liquid applications, the cuts areas
represent 20 to 25% of the shell diameter. For gases, where a lower Pressure drop is
desirable, Baffle cuts of 40 to 45% are common. Baffles must overlap at least one
Tube row in order to provide adequate Tube support. They are spaced somewhat
evenly throughout the Tube bundle to provide even fluid Velocity and Pressure drop
in each Baffled Tube section.
1.8.4 Tube sheets:
The Tube sheet is in contact with both the fluids, so it must corrosion
resistance allowances and metallurgical and electrochemical properties appropriate for
the fluids and velocities. Low carbon steel Tube sheets can include a layer of a higher
alloy .metal bonded to the surfaces to provide the more effective corrosion resistance
without the expense of using the solid alloy. The Tube hole pattern, or “pitch” varies
from the distance from one Tube to the other as well as the Angle of Tubes relative to
each other and to the direction of flow. This allows the fluid velocities and Pressure
drop to be manipulated to provide the maximum amount of turbulence and Tube
surface contact for effective Heat Transfer when the Tube and Tube sheet materials
are joinable weldable metals, applying a seal weld or strength weld to the joint can
further strengthen the Tube joint. In a strength weld, a Tube is slightly recessed inside
the Tube hole or slightly extended beyond the Tube Sheet The weld adds metal to the
resulting lip.
A seal weld is specified to help prevent the shell and Tube liquids from
intermixing. In this treatment, the Tube is flush with the Tube sheet surface. The weld
does not add metal but rather fuses the two materials. In cases where it is critical to
avoid fluid intermixing, a double Tube sheet can be provided. In this design, the outer
Tube sheet is outside the shell circuit, virtually eliminating the chance of fluid
intermixing. The inner Tube sheet is vented to atmosphere, so any fluid leak is
detected easily.
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1.9 APPLICATIONS:
Shell and Tube Heat Exchangers represent the most widely used vehicle for
Heat Transfer in process applications. They frequently are selected for duties such as;
 Process liquid or gas cooling
 Process or refrigerant vapor or steam condensing
 Process liquid, steam or refrigerant evaporation
 Process Heat removal and pre-Heating of feed water
 Thermal energy conservation efforts, Heat recovery
 Compressor, turbine and engine cooling, oil and jacket water
 Hydraulic and Tube oil cooling
Shell and Tube Heat Exchangers have been around for over 150years. Their
thermal technology and manufacturing methods are well defined and applied by the
modern manufacturer. Tube surfaces range from standard to exotic metals with plain
or enhanced surface characteristics. They can help provide the least costly mechanical
design for the flows, liquids and Temperatures involved.

1.10 TYPES OF FLUIDS USED:

The character of the fluids may be liquid-to liquid, liquid-to-gas, or gas-to-gas.
Liquid-to liquid Exchangers have the most common applications. Both fluids are
pumped through the Exchanger, hence the Heat Transfer on both the Tube side and
the shell side is by forced convection. Since the Heat Transfer coefficient is high with
the liquid flow, generally there is no need to use fins.

The liquid-to-gas arrangement is also commonly used in such cases, the fins
usually added on the gas side of the Tubes, where the Heat Transfer coefficient is low.
Gas-to-gas Exchangers are used in the exhaust-gas and air pre-Heating
remunerators for gas-turbine systems, cryogenics gas-liquefaction systems, and steel
furnaces. Internal and external fins generally are used in the Tubes to enhance Heat
Transfer.

1.11 ADVANTAGES OF SHELL AND TUBE HEAT EXCHANGER:

A large number of advantages attribute to this Exchangers are
 Large variation in Temperature of the service can be tolerated because
the Tubes can readily expand or contact, and no added expansion joints.
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  Very high Pressures can be applied on Tube side.
 Generally, these type of design is less expensive than many of others
types.
 The Tube bundle can usually be removed for cleaning or repair.
 No internal gaskets or special packing are required.

SUMMARY
In the introduction part the definitions of Heat Transfer and modes of Heat
Transfer like conduction, convection and radiation are given and also introduction to
Heat Exchangers, their classifications and Shell and Tube Heat Exchanger. The next
chapter deals with the literature survey.

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