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HEAT AND MASS TRANSFER

MODULE IV: Combined conduction and convection heat transfer-Overall heat transfer coefficient - Heat exchangers:
Types of heat exchangers, AMTD, Fouling factor, Analysis of Heat exchangers- LMTD method, Correction factor,
Effectiveness- NTU method, Special type of heat exchangers (condenser and evaporator, simple problems only).
THE OVERALL HEAT-TRANSFER COEFFICIENT
While dealing with the problems of fluid to fluid heat
transfer across a metal boundary, it is usual to adopt an overall heat
transfer coefficient U which gives the heat transmitted per unit area
per unit time per degree temperature difference between the bulk
fluids on each side of the metal. Refer to Fig. Let, L = Thickness of
the metal wall, k = Thermal conductivity of the wall material, T1=
Temperature of the surface-1, T2 = Temperature of the surface-2, Ta=
Temperature of the hot fluid, Tb = Temperature of the cold fluid, ha =
Heat transfer coefficient from hot fluid to metal surface, and hb =
Heat transfer coefficient from metal surface to cold fluid. (The
suffices a and b stand for hot fluid and cold fluid respectively.)The
equations of heat flow through the fluid and the metal surface are
given by, Fig 1.12 Overall heat transfer-Plane wall

Q = ha A (Ta − T1 ) (i)

Q = k. A
(T1 − T2 ) (ii)
L
Q = hb A (T2 − Tb ) (iii )
By rearranging (i), (ii) and (iii),
Q
Ta − T1 = (iv)
ha . A
Q.L
T1 − T2 = ( v)
k. A
Q
T2 − Tb = (vi )
hb A

 1 L 1 
By rearranging (iv), (v) and (vi), Ta − Tb = Q  + + 
 ha . A k . A hb . A 
A(Ta − Tb )
Or, Q=
1 L 1
+ +
ha k hb
I
If the overall heat transfer coefficient, U =
1 L 1
+ +
ha k hb

Then, Q = UA(Ta − Tb )
It may be noticed from the above equation that if the individual coefficients differ greatly in
magnitude only a change in the least will have any significant effect on the rate of heat transfer.

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2. HEAT EXCHANGERS
A Heat exchanger may be defined as an equipment which transfers the energy from a hot fluid to
a cold fluid, with maximum rate and minimum investment and running costs. In heat exchangers the
temperature of each fluid changes as it passes through the exchangers, and hence the temperature of the
dividing wall between the fluids also changes along the length of the exchanger. Examples of heat
exchangers are (i) Intercoolers and preheaters; (ii) Condensers and boilers in steam plant; (iii)
Condensers and evaporators in refrigeration units; (iv) Regenerators; (v) Automobile radiators; (vi) Oil
coolers of heat engine; (vii) Milk chiller of a pasteurising plant; (viii) Several other industrial processes.
2.1 GENERAL CLASSIFICATION OF HEAT EXCHANGERS
In order to meet the widely varying applications, several types of heat exchangers have been
developed which are classified on the basis of nature of heat exchanging process, relative direction of
fluid motion, design and constructional features, and physical state of fluids
2.1.1 Nature of heat exchanging process
Heat exchangers, on the basis of nature of heat exchange process, are classified as (i) direct contact (or
open) heat exchangers, (ii) Indirect contact heat exchangers [(a) Regenerators. (b) Recuperators]. The
flow through direct heat exchangers and recuperators may be treated as steady state while through
regenerators, the flow is essentially transient.
(i) Direct contact heat exchangers:
In a direct contact or open heat exchanger the exchange of heat
takes place by direct mixing of hot and cold fluids and transfer of heat
and mass takes place simultaneously. The use of such units is made
under conditions where mixing of two fluids is either harmless or
desirable. Examples: (i) Cooling towers; (ii) Jet condensers; (iii)
Direct contact feed heaters. Figure 2.1.1 shows a direct contact heat
Fig. 2.1.1. Direct contact heat exchanger
exchanger in which steam mixes with cold water, gives its latent heat
to water and gets condensed. Hot water and non-condensable gases leave the container as shown in the
figure.
(ii) Indirect contact heat exchangers
In this type of heat exchanger, the heat transfer between two fluids could be carried out by
transmission through wall which separates the two fluids. This type includes (a) Regenerators and (b)
Recuperators or surface exchangers.
(a) Regenerators: In are generator type of heat exchanger the hot and cold fluids pass alternately
through a space containing solid particles (matrix), these particles providing alternately a sink
and a source for heat flow. Examples: I.C. engines and gas turbines; Open hearth and glass
melting furnaces; and Air heaters of blast furnaces. The performance of these regenerators is
affected by the following parameters:
Advantages: 1. Higher heat transfer coefficient; 2. Less weight per kW of the plant; 3.
Minimum pressure loss; 4. Quick response to load variation;5. Small bulk weight; 6. Efficiency
quite high.
Disadvantages: 1. Costlier compared to recuperative heat exchangers; 2. Leakage is the main
trouble, therefore, perfect sealing is required.
(b) Recuperators: It is the most important type of heat exchanger in which the flowing fluids
exchanging heat are on either side of dividing wall (in the form of pipes or tubes generally).
These heat exchangers are used when two fluids cannot be allowed to mix i.e., when the mixing
is undesirable. Examples: Automobile radiators, Oil coolers, intercoolers, air preheaters,
economizers, super heaters, condensers and surface feed heaters of a steam power plant, Milk
chiller of pasteurising plant, Evaporator of an ice plant:
Advantages: 1. Easy construction; 2. More economical;3. More surface area for heat transfer;
4. Much suitable for stationary plants.

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Disadvantages: 1. Less heat transfer coefficient; 2. Less generating capacity; 3. Heavy and
sooting problems.
2.1.2 Relative direction of fluid motion
According to the relative directions of two fluid streams the heat exchangers are classified into
three categories; (i) Parallel flow or unidirectional flow;(ii) Counter-flow; and (iii) Cross-flow.
(i) Parallel flow heat exchangers
In a parallel flow heat exchanger, as the name
suggests, the two fluid streams (hot and cold) travel
in the same direction. The two streams enter at one
end and leave at the other end. The flow
arrangement and variation of temperatures of the
fluid streams in case of parallel flow heat
exchangers are shown in Fig. 2.1.2. It is evident Fig. 2.1.2 Parallel flow heat exchanger

from the Fig.2.1.2 (b) that the temperature difference between the hot and cold fluids goes on decreasing
from inlet to outlet. Since this type of heat exchanger needs a large area of heat transfer, therefore, it is
rarely used in practice. Examples: Oil coolers, oil heaters, water heaters etc. As the two fluids are
separated by a wall, this type of heat exchanger may be called parallel flow Recuperator or surface heat
exchanger.
(ii) Counter-flow heat exchangers
In a counter-flow heat exchanger, the two
fluids flow in opposite directions. The hot and cold
fluids enter at the opposite ends. The flow
arrangement and temperature distribution for such a
heat exchanger are shown schematically in Fig.
2.1.3. The temperature difference between the two
fluids remains more or less nearly constant. This
type of heat exchanger, due to counter flow, gives
maximum rate of heat transfer for a given surface Fig. 2.1.3 Counter-flow heat exchanger
area. Hence such heat exchangers are most favoured
for heating and cooling of fluids.
(iii)Cross-flow heat exchanger
In cross-flow heat exchangers, the two fluids
(hot and cold) cross one another in space, usually at
right angles. Fig. 2.1.4 shows a schematic diagram
of common arrangements of cross-flow heat
exchangers. (a) Mixed system; (b) Unmixed system.
(a) Mixed cold fluid system: Here (Fig. 2.1.4. (a)
hot fluid flows in the separate tubes and there is
no mixing of the fluid streams. The cold fluid is Fig. 2.1.4 Cross-flow heat exchangers
perfectly mixed as it flows through the exchanger. The temperature of this mixed fluid will be
uniform across any section and will vary only in the direction of flow. Examples: The cooling unit
of refrigeration system etc.
(b) Unmixed cold fluid system: In this case (Fig. 2.1.4. (b) )each of the fluids follows a prescribed path
and is unmixed as it flows through heat exchanger. Hence the temperature of the fluid leaving the
heater section is not uniform. Examples: Automobile radiator etc.
(c) Mixed - Both cold and hot fluid: In this arrangement, both the fluids are mixed while they travel
through the exchanger; consequently the temperature of both the fluids is uniform across the section
and varies only in the direction in which flow takes place.

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2.1.3 Design and constructional features

On the basis of design and constructional features, the heat exchangers are classified as, (i)
concentric tubes; (ii) Shell and tube; and (iii) Multiple shell and tube passes.
(i) Concentric tubes: In this type, two concentric tubes are used, each carrying one of the fluids. The
direction of flow may be parallel or counter as depicted in Fig. 2.1.2 (a) and Fig. 2.1.3 (a) T h e
effectiveness of the heat exchanger is increased by using swirling flow.
(ii) Shell and tube: In this type of heat exchanger one of the fluids flows through a bundle of tubes
enclosed by a shell. The other fluid is forced through the shell and it flows over the outside surface
of the tubes. Such an arrangement is employed where reliability and heat transfer effectiveness are
important. With the use of multiple tubes heat transfer rates improved due to increased surface area.
(iii) Multiple shell and tube passes:Multiple shell and tube passes are used for enhancing the overall
heat transfer. Multiple shell pass is possible where the fluid flowing through the shell is re-routed.
The shell side fluid is forced to flow back and forth across the tubes by baffles. Multiple tube pass
exchangers are those which re-route the fluid through tubes in the opposite direction.

Fig 2.1.5 Shell and tube heat exchangers

(iv) Compact heat exchangers
These are special purpose heat exchangers and have a very large transfer surface area per unit
volume of the exchanger. They are generally employed when convective heat transfer coefficient
associated with one fluids is much smaller than that associated with the other fluid. Example: Plate-fin,
flattened fin tube exchangers etc.
2.1.4 Physical state of fluids
Depending upon the physical state of fluids the heat exchangers are classified as, (i) Condensers
(ii) Evaporators
(i) Condensers
In a condenser, the condensing fluid remains at constant temperature throughout the exchanger
while the temperature of the colder fluid gradually increases from inlet to outlet. The hot fluid loses
latent part of heat which is accepted by the cold fluid (Refer Fig. 2.1.6).
(ii) Evaporators
In this case, the boiling fluid (cold fluid) remains at constant temperature while the temperature of hot
fluid gradually decreases from inlet to outlet. (Refer Fig. 2.1.7).

Fig. 2.1.6 Temperature distribution in a condenser Fig. 2.1.7 Temperature distribution in an evaporator

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2.2 HEAT EXCHANGER ANALYSIS

For designing or predicting the performance of a heat exchanger it is necessary that the total heat
transfer may be related with its governing parameters like: (i) U (overall heat transfer coefficient due to
various modes of heat transfer, (ii) A total surface area of the heat transfer, and (iii) T1 and T2(the inlet
and outlet fluid temperatures). Fig. 2.2.1shows the overall energy balance in a heat exchanger.

Let ṁ = mass flow rate, in kg/s; cp= specific heat

of fluid at constant pressure in J/kg°C; T= temperature of
fluid, in °C; ∆T= temperature drop or rise of a fluid
across the heat exchanger.
Subscripts hand c refer to the hot and cold fluids
respectively; subscripts 1 and 2 correspond to the inlet
and outlet conditions respectively. Fig. 2.2.1 Overall energy balance in a heat exchanger
Assuming that there is no heat loss to the surroundings and potential and kinetic energy changes
are negligible, from the energy balance in a heat exchanger,
Heat given up by the hot fluid, Q= mhcph(Th1 - Th2) (2.1)
Heat picked up by the cold fluid, Q= mccpc(Tc2– Tc1) (2.2)
Total heat transfer rate in heat exchanger, Q = UAθm (2.3)
Where U= overall heat transfer coefficient between the two fluids, A= effective heat transfer
area, and θm= appropriate mean value of temperature difference or logarithmic mean temperature
difference (LMTD).
2.3 LOGARITHMIC MEAN TEMPERATURE DIFFERENCE (LMTD)
Logarithmic mean temperature difference (LMTD) is defined as that temperature difference
which, if constant, would give the same rate of heat transfer as actually occurs under variable conditions
of temperature difference. In order to derive expression for LMTD for various types of heat exchangers,
the following assumptions are made:
1. The overall heat transfer coefficient U is constant.
2. The flow conditions are steady.
3. The specific heats and mass flow rates of both fluids are constant.
4. There is no loss of heat to the surroundings, due to the heat exchanger being perfectly insulated.
5. There is no change of phase either of the fluid during the heat transfer.
6. The changes in potential and kinetic energies are negligible.
7. Axial conduction along the tubes of the heat exchanger is negligible.
2.3.1 Logarithmic Mean Temperature Difference for “Parallel Flow heat exchanger”
Fig. 2.2.2 shows the flow arrangement and distribution of temperature in a single-pass parallel
flow heat exchanger. Let us consider an elementary area dA of the heat exchanger. The rate of flow of
heat through this elementary area is given by,
d Q = U d A(Th − Tc ) = U . d A . ∆T

Fig 2.3.1 Calculation of LMTD for a parallel flow heat exchanger

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As a result of heat transfer dQ through the area dA, the hot fluid is cooled by dTh where as the
cold fluid is heated up by dTc. The energy balance over a differential area dA may be written as
d Q = − m
h . c p h . d T h = m
c . c p c . d Tc = U . d A .(T h − Tc ) (2 . 4)

(Here dTh is -ve and dTc is +ve)

dQ dQ dQ dQ
d Th = − =− and d Tc = =
m
h . c p h Ch m
c . c p c C c

Where Ch= m
h cph = Heat capacity or water equivalent of hot fluid, and

Cc = m
c cpc = Heat capacity or water equivalent of cold fluid.

m
h and m
c are the mass flow rates of fluids and cph and cpc are the respective specific
heats.
 1 1   1 1 
d T h − d Tc = − d Q  +  and dθ = − d Q  +  (2 . 5)
 Ch Cc  Ch Cc 
Substituting the value of dQ from Eqn. (2.4) the above equation becomes,
 1 1 
dθ = − U . d A .(T h − Tc )  +  (2 . 6)
Ch Cc 
 1 1  dθ  1 1 
dθ = − U . d A .θ  +  Or = −U . d A  + 
Ch Cc  θ Ch Cc 
Integrating between inlet and outlet conditions (i.e. from A = 0 to A = A),
θ2 dθ  1 1  A
∫θ 1 θ
=−  + ∫ U. dA
 Ch Cc  0
 1 1 
Or l n (θ 2 / θ1) = − U . A  +  (2 . 7)
Ch Cc 
Now, the total heat transfer rate between the two fluids is given by
Q = C h (Th1 − Th 2 ) = C c (Tc 2 – Tc1 ) (2 . 8)

1 (Th1 − Th 2 ) 1 (Tc 2 – Tc1 )

Or = = (2 . 9)
Ch Q Cc Q
Substituting the values of 1 C h and 1 C c

 T − T h 2   Tc 2 – Tc1  
l n ( θ 2 / θ 1 ) = − U . A  h1 + 
 Q   Q 
UA UA
l n (θ 2 / θ 1 ) = (Th 2 − Tc 2 ) − (T h1 – Tc1 )  = (θ 2 − θ 1 )
Q Q
U A (θ 2 − θ 1 )
Q= Or Q =U A θ m (2 . 1 0)
l n (θ 2 / θ 1 )

Wh er e, θm =
(θ 2 − θ 1 ) = (θ 1 − θ 2 ) (2 . 1 1)
l n (θ 2 / θ 1 ) l n (θ 1 / θ 2 )

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θmis called the logarithmic mean temperature difference (LMTD).

2.3.2 Logarithmic Mean Temperature Difference for “Counter-flow heat exchanger”
Fig. 2.3.2showsthe flow arrangement and temperature distribution in a single-pass counter-flow
heat exchanger.

Fig. 2.3.2 Calculation of LMTD for a counter-flow heat exchanger

Let us consider an elementary area dA of the heat exchanger. The rate of flow of heat through
this elementary area is given by,
d Q = U d A(Th − Tc ) = U . d A . ∆T
In this case also due to heat transfer dQ through the area dA, the hot fluid is cooled by dTh whereas
the cold fluid is heated up by dTc. The energy balance over a differential area dA may be written as
d Q = − m
h . c p h . d T h = − m
c . c p c . d Tc = U . d A .(T h − Tc ) (2 . 1 2)
In a counter-flow system, the temperatures of both the fluids decrease in the direction ofheat
exchanger length, hence the -ve signs.
dQ dQ dQ dQ
d Th = − =− and d Tc = − =−
m
h . c p h Ch m
c . c p c Cc

Where Ch= m
h cph = Heat capacity or water equivalent of hot fluid, and

Cc = m
c cpc = Heat capacity or water equivalent of cold fluid.

m
h and m
c are the mass flow rates of fluids and cph and cpc are the respective specific heats.

 1 1   1 1 
d Th − d Tc = − d Q  −  Or dθ = − d Q  −  (2 . 1 3)
Ch Cc   Ch Cc 
Substituting the value of dQ from Eqn. (2.12) the above equation becomes,
 1 1 
dθ = − U . d A .(T h − Tc )  −  (2 . 1 4)
Ch Cc 
 1 1  dθ  1 1 
dθ = − U . d A .θ  −  Or = −U . d A  − 
Ch Cc  θ Ch Cc 
Integrating between inlet and outlet conditions (i.e. from A = 0 to A = A),
θ2 dθ  1 1  A  1 1 
∫θ 1 θ
=−  − ∫ U. dA
Ch Cc  0
O r l n (θ 2 / θ 1 ) = − U . A  −
Ch Cc 
 (2 . 1 5)

Now, the total heat transfer rate between the two fluids is given by
Q = C h (Th1 − Th 2 ) = C c (Tc 2 – Tc1 ) (2 . 1 6)

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1 (Th1 − Th 2 ) 1 (Tc 2 – Tc1 )

Or = = (2 . 1 7)
Ch Q Cc Q
Substituting the values of 1 C h and 1 C c into Eqn. (2.17)

 T − T h 2   Tc 2 – Tc1  
l n ( θ 2 / θ 1 ) = − U . A  h1 − 
 Q   Q 
UA UA UA
l n (θ 2 / θ 1 ) = − (Th1 − Tc 2 ) − (Th 2 – Tc1 )  = − (θ 1 − θ 2 ) = (θ 2 − θ 1 )
Q Q Q
U A (θ 2 − θ 1 )
Q= Or Q =U A θ m (2 . 1 0)
l n (θ 2 / θ 1 )

Wh er e, θm =
(θ 2 − θ 1 ) = (θ 1 − θ 2 ) (2 . 1 1)
l n (θ 2 / θ 1 ) l n (θ 1 / θ 2 )
θm is called the logarithmic mean temperature difference (LMTD).
A special case arises when θ1 = θ2= θ in case of a counter-flow heat exchanger. In such a case,

θm =
(θ − θ ) = 0
l n (θ / θ ) 0
This value is indeterminate. The value of θm for such a case can be found by applying L Hospital’s rule:
θ2 
θ1  − 1
(θ 2 − θ 1 )  θ1 
lim = lim
θ 2 →θ 1 l n (θ 2 / θ 1 ) (θ 2 /θ 1 )→1 l n (θ 2 / θ 1 )

θ ( R − 1)
Let (θ2/θ1) = R. Therefore, the above expression can be written as, l i m
R →1 l n ( R)

θ
Differentiating the numerator and denominator with respect to R and taking limits, l i m =θ
R →1 (1 R )
Hence when θ1 = θ2 Eqn. (2.10) becomes Q = U A θ
θm (LMTD) for a counter-flow unit is always greater than that far a parallel flow unit; hence
counter-flow heat exchanger can transfer more heat than parallel flow one; in other words counter -flow
heat exchanger needs a smaller heating surface for the same rate of heat transfer. For this reason, the
counter-flow arrangement is usually used.
When the temperature variations of the fluids are relatively small, then temperature variation
curves are approximately straight lines and adequately accurate results are obtained by taking the
arithmetic mean temperature difference (AMTD).
T h1 + T h 2 Tc1 + Tc 2 (Th1 − Tc1 ) + (T h 2 − Tc 2 ) θ 1 − θ 2
AMTD = − = =
2 2 2 2
However, practical considerations suggest that the logarithmic mean temperature difference (θm)
θ1
should be invariably used when 〉1 . 7
θ2

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2.4 OVERALL HEAT TRANSFER COEFFICIENT

In a heat exchanger in which two fluids are separated by a
plane wall as shown in the Fig. 2.4.1 the overall heat transfer
coefficient is given by,
1
U=
1 L 1
+ +
hi k h o
If the fluids are separated by a tube-wall as shown in Fig.
2.4.2the overall heat transfer coefficient is given by: Fig 2.4.1 Overall heat transfer coefficient
of two fluids separated by a plane wall
1
Inner surface, Ui =
1 ri 1
+ l n ( ro r i ) + ( ri r o )
hi k ho

1
Outer surface, Uo =
( ro r i ) h1 + rko l n ( ro r i ) + h1
i o

Where, U i Ai = U o Ao ; Ai = 2π ri L; and Ao = 2π o Overall heat transfer coefficient of

Fig 2.4.2
two fluids flowing inside & outside a tube.

It may be noted that eqns. (2.18) and (2.19)are valid only

for clean and uncorroded surface.

2.4.1 Consideration of fouling or scaling

In a heat exchanger, during normal operation the tube surface gets covered by deposits of ash,
soot, dirt and scale etc. This phenomenon of rust formation and deposition of fluid impurities is called
fouling. Due to these surface deposits the thermal resistance increased and eventually the performance
of the heat exchanger lowers. Since it is difficult to ascertain the thickness and thermal conductivity of
the scale deposits the effect of scale on heat flow considered by specifying an equivalent scale heat
transfer coefficient hs. If hsi and hso be the heat transfer coefficients for the scale deposited inside and
outside surfaces respectively then the thermal resistances to scale formation on the inside surface (Rsi)
and outside surface(Rso)are given by,
1 1
Rs i = and Rs o = (2 . 2 0)
Ai h s i Ao h s o
The reciprocal of scale heat transfer coefficient, hs is called the fouling factor, Rf. Thus
1
Rf = m 2 oC /W (2 . 2 1)
hs
Fouling factors are determined experimentally by testing the heat exchanger in both the clean
and dirty conditions. The fouling factor, Rf is thus defined as:
1 1 1
Rf = = − (2 . 2 2)
hs U d i r t y U c l e a n

The heat transfer, considering the thermal resistance due to scale formation, is given by:

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Ti − To
Q= (2 . 2 3)
1 1 1 1 1
+ + l n ( ro ri ) + +
Ai hi Ai h s i 2π L k Ao h s o Ao h o
The overall heat transfer coefficients, U based on the inner and outer surfaces of inner tube are
given by,
1
Ui = (2 . 2 4)
1 r 1
+ R f i + i l n ( ro ri ) + ( ri ro ) R f o + ( ri ro )
hi k ho
1
Uo = (2 . 2 5)
1 r 1
( ro ri ) + ( ro ri ) R f i + o l n ( ro ri ) + R f o +
hi k ho
In case the tube is thin walled and the thermal resistances due to tube wall thickness and scale
formed are neglected, then the overall heat transfer coefficient based on outer surface is given by:
1
Uo = (2 . 2 6)
1 1
+
hi h o
When only fouling factors are neglected, we have
1
Uo = (2 . 2 7)
1 r 1
( ro ri ) + o l n ( ro ri ) +
hi k ho
2.4.2. Factors depends upon overall heat transfer coefficient
(i) The flow rate,
(ii) The properties of the fluid,
(iii) The thickness of material,
(iv) The surface condition of the tubes,
(v) The geometrical configuration of the heat exchanger.
The overall heat transfer coefficient U will generally decrease when any of the fluids (e.g. tars,
oils or any of the gases) having low values of heat transfer coefficient, h flows on one side of the
exchanger. The highly conducting liquids such as water and liquid metals give much higher values of
heat transfer coefficient, h and overall heat transfer coefficient, U. In case of boiling and condensation
processes also, the values of U are high. All the thermal resistances in the heat exchanger must be low
for its efficient and effective design.
2.4.3. Different types of Fouling processes
1. Precipitation or crystallization fouling; 2.Sedimentation or particulate fouling; 3.Chemical
reaction fouling or polymerization; 4.Corrosion fouling; 5.Biological fouling; 6.Freeze fouling.
2.4.4. Different Parameters affecting fouling
1. Velocity; 2.Temperature; 3.Water chemistry; 4.Tube material.
2.4.5. Methods of Prevention of fouling
1. Design of heat exchanger; 2.Treatment of process system; 3.By using cleaning system.
2.4.6. Properties to be considered for selection of materials for heat exchangers
1. Physical properties; 2.Mechanical properties; 3.Climatic properties; 4.Chemical environment;
5.Quality of surface finish; 6.Service life; 7.Freedom from noise; 8.Reliability.

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2.4.7. Common failures in heat exchangers

1. Chocking of tubes either expected or extraordinary; 2.Excessive transfer rates in heat
exchanger; 3.Increasing the pump pressure to maintain throughout; 4.Failure to clean tubes at regularly
scheduled intervals; 5.Excessive temperatures in heat exchangers; 6.Lack of control of heat exchangers
atmosphere to retard scaling; 7.Increased product temperature over a safe design limit; 8.Unexpected
radiation from refractory surfaces; 9.Unequal heating around the circumference or along the length of
tubes.
2.5 HEAT EXCHANGER EFFECTIVENESS AND NUMBER OF TRANSFERUNITS (NTU)
A heat exchanger can be designed by the LMTD (logarithmic mean temperature difference)
when inlet and outlet conditions are specified. However, when the problem is to determine the inlet or
exit temperatures for a particular heat exchanger, the analysis is performed more easily, by using a
method based on effectiveness of the heat exchanger (concept first proposed by Nusselt) and number of
transfer units (NTU).
The heat exchanger effectiveness (ε) is defined as the ratio of actual heat transfer to the
maximum possible heat transfer. Thus
Actualheattransfer Q
ε= = (2 . 2 8)
M a x i m u m p o s s i b l e h e a t t r a n s f e r Qm a x

The actual heat transfer rate Q can be determined by writing an energy balance over either side
of the heat exchanger.
Q = m
h . c p h (T h1 − Th 2 ) = m
c . c p c . (Tc 2 − Tc1 ) (2 . 2 9)
The product of mass flow rate and the specific heat, as a matter of convenience, is defined as the
fluid capacity rate C:
Where Ch = m
h cph = Heat capacity or water equivalent of hot fluid, and

Cc = m
c cpc = Heat capacity or water equivalent of cold fluid.

Cmin = The minimum fluid capacity rate (Chor Cc)
Cmax = The maximum fluid capacity rate (Chor Cc).
The maximum rate of heat transfer for parallel flow or counter-flow heat exchangers would
occur if the outlet temperature of the fluid with smaller value of Ch or Cci.e., Cmin were to be equal to the
inlet temperature of the other fluid. The maximum possible temperature change can be achieved by only
one of fluids, depending upon their heat capacity rates. This maximum change cannot be obtained by
both the fluids except in the very special case of equal heat capacity rates. Thus,
Q m a x = C h (Th1 − Tc1 ) o r C c (Th1 − Tc1 ) (2 . 3 0)
Qmax is minimum of these two values, i.e.,
Q m a x = C m i n (Th1 − Tc1 ) (2 . 3 1)
C h (Th1 − T h 2 ) C c (Tc 2 − Tc1 )
ε= = (2 . 3 2)
C m i n (T h1 − Tc1 ) C m i n (Th1 − Tc1 )
Once the effectiveness is known, the heat transfer rate can be very easily calculated by using the
equation
Q = ε C m i n (Th1 − Tc1 ) (2 . 3 3)

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2.5.1. Number of transfer units (NTU) method:

It is obvious from Eqn. (2.32) that effectiveness ε is a function of several variables and as such it
is inconvenient to combine them in a graphical or tabular form. However, by compiling a non-
dimensional grouping, ε can be expressed as a function of three non-dimensional parameters. This
method is known as NTU method. This method/approach facilitates the comparison between the various
types of heat exchangers which may be used for a particular application.
2.5.2. Effectiveness for the Parallel flow heat exchanger
Refer Fig. 2.3.1. The heat exchange dQ through an area dA of the heat exchanger is given by,
d Q = U .d A(Th − Tc ) = −m
h . c p h (T h1 − Th 2 ) = m
c . c p c . (Tc 2 − Tc1 ) (i )

= −C h d Th = C c d Tc (i i )
dQ dQ dQ dQ
d Th = − =− and d Tc = =
m
h . c p h Ch m
c . c p c C c

 1 1 
d (Th − Tc ) = − d Q  + 
Ch Cc 
Substituting the value of dQ from expression (i) and rearranging,
d ( T h − Tc )  1 1   (T − Tc 2 )   1 1 
= − U .d A  +  , Upon integration, l n  h 2  = −U .A  + 
(Th − Tc ) Ch Cc   (T h1 − Tc1 )  Ch Cc 
 (T − T )  U A  Ch 
Or l n  h2 c2  = − 1 + 
 (T h1 − Tc1 )  Ch  Cc 

 T h 2 − Tc 2 
Or   = e x p  − (U A C h ) {1 + ( C h C c )}  (2 . 3 4)
 T h1 − Tc1 
From eqn. (2.32), we have the expressions for effectiveness
C h (Th1 − T h 2 ) C c (Tc 2 − Tc1 )
ε= = (2 . 3 5)
C m i n (T h1 − Tc1 ) C m i n (Th1 − Tc1 )
ε C m i n (T h1 − Tc1 )
Th 2 = Th1 − (2 . 3 6)
Ch
ε C m i n (Th1 − Tc1 )
Tc 2 = Tc1 + (2 . 3 7)
Cc
Eliminating Th2 and Tc2 from eqn. (2.34) with the help of eqns. (2.36) and (2.37),
 ε C m i n (T h1 − Tc1 )   ε C m i n (T h1 − Tc1 ) 
 Th1 −  −  Tc1 +  (Th1 − Tc1 ) = e x p − (U A C h ) {1 + ( C h C c )} 
 Ch   Cc 
1
(T h1 − Tc1 ) − ε C m i n (T h1 − Tc1 ) [(1 C h ) + (1 C c ) ] = e x p  − (U A C h ) {1 + ( C h C c )} 
T h1 − Tc1 

Or 1 − ε C m i n [(1 C h ) + (1 C c ) ] = e x p  − (U A C h ) {1 + ( C h C c )} 

Or ε = 1 − e x p  − (U A C h ) {1 + ( C h C c )}  C m i n [(1 C h ) + (1 C c ) ] (2 . 3 8)

If Cc > Ch, Cmin= Ch and Cmax= Cc hence equation (2.37) becomes

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1 − e x p  − (U A C m i n ) {1 + ( C m i n C m a x )} 
ε= (2 . 3 9)
1 + (C m i n C m a x )
If Ch˃ Cc, Cmin= Cc and Cmax= Ch hence equation (2.37) becomes
1 − e x p  − (U A C m a x ) {1 + ( C m a x C m i n )} 
ε= (2 . 4 0)
1 + (C m i n C m a x )
By rearranging eqns. (2.38) and (2.39), we get a common equation
1 − e x p  − (U A C m i n ) {1 + ( C m i n C m a x )} 
ε= (2 . 4 1)
1 + (C m i n C m a x )
Where, Cmin and Cmax represent the smaller and larger of the two heat capacities Cc and Ch
The grouping of the terms U A C m i n is a dimensionless expression called the number of transfer
units NTU; NTU is a measure of effectiveness of the heat exchanger. C m i n C m a x is the second
dimensionless parameter and is called the capacity ratio R. The last dimensionless parameter is the flow
arrangement, i.e., parallel flow, counter-flow, cross-flow and so on. Thus the effectiveness of a parallel
flow heat exchanger is given by,
1 − e x p  − N T U (1 + R ) 
ε= (2 . 4 2)
1+ R
2.5.3. Effectiveness for the Counter-flow heat exchanger
Refer Fig. 2.3.1. The heat exchange dQ through an area dA of the heat exchanger is given by,
d Q = U .d A(T h − Tc ) = −m
h . c p h (T h1 − T h 2 ) = − m
c . c p c . (Tc 2 − Tc1 ) (i )

= −C h d Th = − C c d Tc (i i)
dQ dQ dQ dQ
d Th = − =− and d Tc = − =−
m
h . c p h Ch m
c . c p c Cc

 1 1   1 1 
d (T h − Tc ) = − d Q  −  = dQ − 
 Ch Cc  Cc Ch 
Substituting the value of dQ from expression (i) and rearranging,
d ( T h − Tc )  1 1  2 d (Th − Tc ) A  1 1 
(Th − Tc )
= U .d A  −  ,Upon integration,
 Cc Ch 
∫1 (Th − Tc )
= ∫ U .d A  −
0 
Cc Ch 
 (T − T )   1 1   (T − T )  U A  Cc 
l n  h 2 c1  = U . A  −  or l n  h 2 c1  = − 1 + 
 (Th1 − Tc 2 )  Cc Ch   (Th1 − Tc 2 )  Cc  Ch 

(Th 2 − Tc1 ) = e x p  U A C 1 − C C h )} 
or ( c ){ ( c (2 . 4 3)
(Th1 − Tc 2 )
From eqn. (2.32), we have the expressions for effectiveness
C h (Th1 − T h 2 ) C c (Tc 2 − Tc1 )
ε= = (2 . 4 4)
C m i n (T h1 − Tc1 ) C m i n (Th1 − Tc1 )
ε C m i n (Th1 − Tc1 ) ε C m i n (T h1 − Tc1 )
Th 2 = T h1 − and Tc 2 = Tc1 +
Ch Cc

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(Th1 − ε ( C m i n C h ) × (Th1 − Tc1 ) ) − Tc1 = e x p (U A C ) 1 − ( C C h )} 

Then,  c { c
T h1 − (Tc1 + ε ( C m i n C c ) × (Th1 − Tc1 ) )
T h1 − Tc1 (1 − ε ( C m i n C h ) )
Or = e x p (U A C c ) {1 − ( C c C h )}  (2 . 4 5)
Th1 − Tc1 (1 − ε ( C m i n C c ) )
(1 − ε ( C m i n C h ) ) = e x p (U A C ) 1 − ( C C ) 
Or  c { c h } (2 . 4 6)
(1 − ε ( C m i n C c ) )
If Ch > Cc, Cmin= Cc and Cmax= Ch hence equation (2.46) becomes
(1 − ε ( C m i n C m a x ) ) = e x p  U A C 
( m i n ) {1 − ( C m i n C m a x )} 
(1 − ε ( C m i n C m i n ) )
(1 − ε ( C m i n C m a x ) ) = e x p (U A C ) 1 − ( C C ) 
Or  min { min max } 
(1 − ε )
Or (1 − ε ( C m i n C m a x ) ) = (1 − ε ) × e x p (U A C m i n ){1 − ( C m i n C m a x )} 
(1 − ε ( C m i n C m a x ) ) = e x p (U A C m i n ){1 − ( C m i n C m a x )}  − ε e x p ( (U A C m i n ){1 − ( C m i n C m a x )})
1 − e x p (U A C m i n ) {1 − ( C m i n C m a x )}  = − ε e x p ( (U A C m i n ) {1 − ( C m i n C m a x )})  + ε ( C m i n C m a x ) 
 
1 − e x p (U A C m i n ) {1 − ( C m i n C m a x )}  = ε ( C m i n C m a x ) − e x p ( (U A C m i n ) {1 − ( C m i n C m a x )}) 
 

1 − e x p (U A C m i n ) {1 − ( C m i n C m a x )} 
Or ε=
( C m i n C m a x ) − e x p (U A C m i n ) {1 − ( C m i n C m a x )} 
( )
 
1 − e x p ( −U A C m i n ) {1 − ( C m i n C m a x )} 
Or ε=
1 − ( C m i n C m a x ) e x p ( −U A C m i n ) {1 − ( C m i n C m a x )}

Where, Cmin and Cmax represent the smaller and larger of the two heat capacities Cc and Ch
The grouping of the terms U A C m i n is a dimensionless expression called the number of transfer
units NTU; NTU is a measure of effectiveness of the heat exchanger. C m i n C m a x is the second
dimensionless parameter and is called the capacity ratio R. The last dimensionless parameter is the flow
arrangement, i.e., parallel flow, counter-flow, cross-flow and so on. Thus the effectiveness of a counter-
flow flow heat exchanger is given by,
1 − e x p  − N T U (1 − R ) 
ε= (2 . 4 7)
1 − R.e x p  − N T U (1 − R ) 

2.5.4. Some special cases

When the value of R=0, then the expression for the effectiveness for the parallel and counter
flow heat exchanger may be taken as ε = 1 − e − N T U
When the value of R=1, then Effectiveness for the parallel flow heat exchanger is given by,
1 − e − 2 .N T U
ε=
2
NTU
Effectiveness for the counter flow heat exchanger is given by ε =
1+ N T U

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