PPEQ 6006:

Principles of Heat
Exchangers
Global Operations and Maintenance Training
Table of Contents
Learning Outcome ........................................................................................................................ 2
Learning Objectives ...................................................................................................................... 2
Introduction ................................................................................................................................... 3
Heat Exchanger ..................................................................................................................... 3
Heater .................................................................................................................................... 3
Reboiler ................................................................................................................................. 3
Cooler .................................................................................................................................... 3
Condenser ............................................................................................................................. 3
Objective 1 .................................................................................................................................... 4
Learning Material .......................................................................................................................... 4
Fundamentals of Heat Transfer ................................................................................................. 4
Conduction............................................................................................................................. 4
Convection ............................................................................................................................. 7
Radiation ............................................................................................................................... 9
Objective 2 .................................................................................................................................. 12
Learning Material ........................................................................................................................ 12
Resistance to Heat Flow ......................................................................................................... 12
Fluid Films ........................................................................................................................... 12
Thickness of the Heating Surface ........................................................................................ 13
Cleanliness of the Heating Surface ..................................................................................... 13
Objective 3 .................................................................................................................................. 14
Learning Material ........................................................................................................................ 14
Operations of Heat Exchangers .............................................................................................. 14
Problems and Maintenance ................................................................................................. 15
Fouling ................................................................................................................................. 16
Vibration .............................................................................................................................. 18

1 PPEQ 6006: Principles of Heat Exchangers

© 2016, Southern Alberta Institute of Technology
PPEQ 6006: Principles of Heat Exchangers
Learning Outcome
Discuss the fundamentals (principles) of heat transfer and the operation of heat exchangers.

Learning Objectives
1. Describe three basic means of heat transfer.
2. Explain what factors affect heat transfer.
3. Discuss the operation, maintenance and problems of heat exchangers.

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Introduction
Hydrocarbons, or other fluids, must be heated, or cooled, as they are piped from one process to
another. Heat exchangers are the equipment where this energy transfer takes place, without
mixing fluids. Heat exchange does not only refer to the gain of heat. In many situations, the
main purpose of heat exchange is to remove heat from a process.

The extent to which the cold fluid picks up the available heat in the hot fluid measures the
efficiency of the heat flow.

Preheating a fluid on its way to a process is usually beneficial because it:

• Increases the thermal efficiency of the cycle

• Saves significant utility costs
• Improves the capacity of the equipment
• Causes less thermal shock at the points of entry

Heat exchange equipment is used in situations such as liquid-to-liquid heat exchange, vapour-
to-liquid, gas-to-liquid, gas-to-gas and vapour-to-gas.

Names for heat exchange vessels include heat exchanger, heater, reboiler, cooler, and
condenser.

Heat Exchanger
A vessel in which the primary fluid acquires heat and neither fluid condenses nor evaporates.

Heater
A vessel in which process fluid gains heat by the condensing of steam.

Reboiler
A vessel that supplies stripping vapour to a tower, as part of a distillation process.

Cooler
A vessel in which the primary fluid loses heat.

Condenser
A vessel in which vapours are condensed.

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© 2016, Southern Alberta Institute of Technology
Objective 1
Describe three basic means of heat transfer.

Learning Material
Fundamentals of Heat Transfer
There are three basic means of heat transfer:

• Conduction

• Convection

• Radiation

Conduction
Conduction is one of the most important forms of heat flow in heat exchangers. It is the transfer
of heat when a fluid contacts a metal surface. There is a direct transfer of energy between
molecules. Heat exchangers are equipped with tubes, or heating surfaces, that separate fluids
at different temperatures. Heat energy passes from the hotter fluid, through the separating wall,
to the colder fluid.

At the molecular level, this is the loss of energy from the hot fluid molecules vibrating and
bombarding against the molecules in the metal wall. The molecules in the heated wall then
transmit their energy to the cold fluid molecules on the other side of the wall.

An example of heat conduction is shown in Figure 1, in which a rod has its bent ends protruding
into separate vessels of water. One vessel contains heated water and the other contains cooler
water. As long as there is a temperature difference, or gradient, heat will be conducted from the
warmer water through the rod to the cooler water.

If no more heat is added to the system, a state of equilibrium will be reached between the two
vessels and the atmosphere. All will eventually reach the same temperature.

If heat is added to the warmer vessel, then the cooler vessel will become gradually warmer, until
the temperatures again become equal. The amount of heat required to equalize the
temperatures will be greater than the heat necessary just to raise the temperature of the cool
water to that of the hot water, because some heat will be lost by radiation to the surroundings.

4 PPEQ 6006: Principles of Heat Exchangers

© 2016, Southern Alberta Institute of Technology
 Figure 1: Heat Transfer by Conduction
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The rate of heat transfer by conduction is affected by:

• The difference of temperature between the two substances

• The area of contact between the metal wall and the fluids (the heating surface)
• The conductivity of the metal wall
• The nature of the substances
• The thickness of the barrier

Conductivity is the ability to conduct heat and its rapidity depends on the molecular construction
of the conducting metal. The closer together the molecules in the metal, the more frequent their
contact and the more rapidly their heat energy is transferred. All metals are better conductors
than liquids, and liquids are better conductors than gases. For example, the conductivity of
silver is 750 times that of water, and water conducts heat 25 times better than air. Very poor
conductors provide an opposite function - they are used as insulators.
The conductivity of a material is expressed in terms of heat loss:

• Per hour
• Per square metre of surface area
• Per metre of thickness
• Per degree of temperature

Table 1 shows the conductivity of various solids, liquids and gases. Metals such as copper and
aluminum are the best conductors. Asbestos, earth and felt are among the poorest conductors
(therefore, the best insulators).

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© 2016, Southern Alberta Institute of Technology
 Table 1: Thermal Conductivities

The amount of heat conducted varies:

• Directly with thermal conductivity of the material (e.g., metal wall)

• Directly with the area of the conducting material
• Directly with the time elapsed
• Directly with the temperature difference
• Inversely with the thickness of the conducting material (length of the heat path)

k × A× t ×T
Q=
L

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Where:

Q = Heat conducted J
K = thermal conductivity of the material, W/mK
A = area, m2
T = time, s
T= temperature difference through the material, K
L = length of heat path (thickness of material), m

Convection
This mode of heat transfer results from the movement of masses of fluids from a warm location
to a cooler location. It is a physical movement or circulation of a heated substance, which may
be a gas or a liquid. Convection does not occur in a solid. Natural convection takes place when
a fluid moves and mixes with another. This is due to the differences in density caused by
temperature differentials between two fluids.

An example of this type of heat transfer is the hot air in the furnace (Figure 2). Heated air
expands and becomes lighter, moving upwards. The heavier, cold air falls and takes its place so
it can then be heated.

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© 2016, Southern Alberta Institute of Technology
 Figure 2: Convection in Warm Air Heating
© 2016, Southern Alberta Institute of Technology
Another example of convection is a tank containing water for heating (Figure 3).

Heat is supplied at one side of the bottom of the tank. The arrows show the currents created in
the tank by the temperature difference and the density difference. The hot water rises to the top
because the cooler water has a greater density. If the tank was closed, and insulated, the entire
mass of water would soon reach the same temperature.

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© 2016, Southern Alberta Institute of Technology
 Figure 3: Convection Currents in Warm Water
© 2016, Southern Alberta Institute of Technology

Convection currents are increased by auxiliary equipment such as pumps, fans or air blowers
that move the fluids. This is called "forced convection" and is common in hot water heating
systems, hot oil fired heaters and aerial coolers.

The rate of heat transferred by natural or forced convection is affected by the:

• Velocity of the fluids inside and outside of the tubes

• Thermal and physical properties of the fluids

In heat exchangers, both conduction and convection mechanisms of heat transfer are usually
needed. The heat transferred by conduction occurs when heat flows through the metal and
conducts to adjacent fluid, while convection mixes and moves the heated fluid away, allowing
cooler fluid to take its place.

Radiation
This form of heat transfer is predominant in direct heaters and plays a relatively minor part in
unfired heat exchangers. Radiation is described as electro-magnetic waves moving straight
across the combustion chamber or space. It requires no medium of transport, and will travel
across a vacuum. This is similar to how light and radio waves move through space.

Illustrations of radiant heat are shown in Figures 4, 5 and 6. The radiant heat pursues a direct
path.

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© 2016, Southern Alberta Institute of Technology
 Figure 4: Bodies Both Radiate and Absorb Heat
© 2016, Southern Alberta Institute of Technology

Figure 5: Radiant Heat Moves in Straight Lines

© 2016, Southern Alberta Institute of Technology

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 Figure 6: Heat is Radiated in All Directions
© 2016, Southern Alberta Institute of Technology

Fired heaters use all three forms of heat transfer conduction, convection and radiation, with
radiation being the primary mode.

The rate of heat transfer by radiation is affected by:

• The temperature difference between the two substances

• The surface area of the colder body exposed to radiation
• The medium through which heat waves are moving

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Objective 2
Explain what factors affect heat transfer.

Learning Material
Resistance to Heat Flow
Heat exchangers do not perform at 100% efficiency and they do not transfer all the heat to the
colder side for a number of reasons. Heat transfer is primarily affected by factors such as:

• Flow of fluids
• Temperature differentials
• Area of heating surface
• Duration of contact
• Conductivity
• Nature of fluids
Additional factors influence the flow of heat energy:

• Fluid films, adjacent to the inside and outside metal wall surfaces
• The thickness of the heating surface
• The cleanliness of the heating surface

Fluid Films
Fluid films, on inside and outside of the metal wall, are layers of the fluid which move very
slowly due to the rough surface of the metal they are in contact with. Heat transfer from a fluid,
or to a fluid, is inhibited when these films are not moving, as the entire mass can only be heated
or cooled layer-by-layer.

Figure 7 shows a metal wall having a source of heat on one side and a fluid in motion on the
other. Fluid films, shown on either side of the plate, act as barriers to heat transfer from the
heating medium to the cooler substance on the other side of the wall.

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© 2016, Southern Alberta Institute of Technology
 Figure 7: The Surface Layer or Film of Fluid
© 2016, Southern Alberta Institute of Technology

Heat energy must pass not only through the heating surface wall, but also through the
resistance films. The thickness of these films can be decreased if smaller tubes (increased
velocity) or pumping equipment are used. Increased velocity of fluids results in turbulent motion
and a better rate of heat transfer.

Thickness of the Heating Surface

The thickness of the metal wall also influences the heat transfer. Heat exchangers are designed
and built with fairly thick wall tubes to withstand operating pressure and to allow for corrosion
allowances. Thick-walled tubes require a high conductance metal to transfer the heat rapidly
and efficiently through the layers. Copper, copper alloys, brass, steel, nickel, Monel and
aluminium have all been used for heat exchangers.

Cleanliness of the Heating Surface

Clean heating surfaces, inside and outside, facilitate better conduction and convection. Scale or
dirt that is deposited on the tubes has low conductivity, and slows the rate of heat flow from the
wall to the fluid. Scale materials also form a very abrasive surface that slows the movement of
the fluid layer adjacent to the wall. Fluids that are likely to cause fouling are usually put through
the tube side of the heat exchangers for easier maintenance.

13 PPEQ 6006: Principles of Heat Exchangers

© 2016, Southern Alberta Institute of Technology
Objective 3
Discuss the operation, maintenance and problems of heat exchangers.

Learning Material
Operations of Heat Exchangers
New heat exchangers should be acidized and cleaned of any sludge or salt material prior to
use. A thorough inspection should also be done to assess the tightness of all joints and
connections. All valves and controls should be checked for proper positioning.

When all preliminary work is satisfactory, the shell fluid flow (or both flows, depending on the
design) is gradually started, with the vent valve at the top opened. This is to prevent air from
being trapped inside the unit, which impairs the shell fluid circulation. The vent valve is then
closed and both fluids are circulated to bring the unit up to the design temperature. When the
warming period is complete, another check is made to see that all joints, gaskets, tube ends and
valve packings are tight.

Avoid subjecting the heat exchanger to improper temperature stresses, hydraulic hammer and
excessive pressure when starting up or shutting down. Conditions such as these may result in
leaks or other failures. Table 2 summarizes the various start-up and shutdown procedures for
heat exchangers. Fluids include gases and liquids, which are substances that flow or fill their
containers.

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 Table 2: Summary of Start-Up and Shutdown Procedures for Heat Exchangers
Constructio Shell-side Tube-side Cold Start-up Shutdown
n Fluid Fluid Procedure Procedure

Fixed tube Hot Liquid. Cold Liquid. Gradually start Gradually stop
sheet (tube both fluids at both fluids at the
bundle not Condensing Cold liquid the same time. same time.
removable). gas (steam). or gas.
Start hot fluid, Stop cold fluid
Hot gas. Cold liquid. then cold fluid. then stop hot
fluid.
Start cold fluid,
then hot fluid. Gradually stop
cold fluid then
stop hot fluid.

U-tube, Hot liquid. Cold liquid.

floating- Start cold fluid Stop hot fluid,
head, and Condensing Cold liquid then gradually then cold fluid.
floating-tube gas (steam). or gas. start hot fluid.
sheet types Gradually stop
(removable Hot gas. Cold liquid. Start cold fluid hot fluid then
tube then gradually stop cold fluid.
bundles). start hot fluid.
Stop hot fluid,
Start cold fluid then cold fluid.
then gradually
start hot fluid.

Problems and Maintenance

These are factors to consider in selecting heat exchanger equipment:

• Performance criteria, such as flow rates, thermal design, pressure drops, and operating
pressures and temperatures

• Proper selection of materials for the required service

• Types and phases of fluids

• Mechanical design, including venting, draining, piping connections and base support

• Stress analysis

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 • Fouling characteristics

• Start-up and shutdown requirements

• Inspection and testing procedures

• Maintenance, cleaning and repair procedures

• Handling and storage requirements

Assuming exchangers meet the above criteria, proper operation and maintenance should
ensure long life and dependable service. Poor heat exchanger performance can be traced to
one or more of the following:

• Poor design

• Poor fabrication

• Poor installation

• Inadequate inspection and testing

• Inadequate or infrequent maintenance

• Violations of manufacturing codes and standards

• Operation conditions different than design specifications

• Vibration

• Corrosion

• Fouling

The two most common problems are fouling and vibration.

Fouling
Over time, most heat exchangers lose heat transfer capability because of fouling. Fouling
happens when undesirable deposits on heat exchanger surfaces build up and create resistance
to both fluid flow and heat transfer. Fouling is classified according to the following processes by
which it is formed:

• Precipitation
• Chemical reaction

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 • Polymerization
• Particulate (sedimentation)
• Corrosion
• Microbial
• Solidification
• Coking

1. Precipitation Fouling (Crystallization)

Precipitation fouling occurs when liquids, with dissolved substances, have inverse properties
of solubility versus temperature. This also occurs when liquids, with direct solubility
properties, precipitate crystals on heated or cooled surfaces. This is also called scaling.

2. Chemical Reaction Fouling

Chemical reaction fouling occurs when chemical reactions form deposits on heat transfer
surfaces. Some organic products or inorganic salts may oxidize at high temperatures and
precipitate out.

3. Polymerization Fouling

Polymerization fouling occurs when compounds become polymerized and are deposited on
heat transfer surfaces. Coking is an example of polymerization fouling.

4. Particulate Fouling (Sedimentation)

Particulate fouling occurs when material such as dirt, sand, clay, or corrosion products,
suspended in the process fluid, settles on the heat transfer surface. This type of fouling can
create nucleation sites for other fouling deposits.

5. Corrosion Fouling

Corrosion fouling occurs when corrosion products adhere to heat transfer surfaces. Some
corrosion product is removed by process streams, and forms particulate fouling
downstream. The corrosion product that remains on a heat transfer surface reduces thermal
conductivity and acts as a nucleation site for other fouling deposits.

6. Microbial Fouling

Microbial fouling occurs when biological organisms adhere to heat transfer surfaces.

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© 2016, Southern Alberta Institute of Technology
7. Solidification Fouling

Solidification fouling occurs when the heat transfer surface sub-cools components in the
process stream. The components solidify on the heating surface.

8. Coking Fouling

Coke fouling is a very specific fouling related to high temperature processing of various
hydrocarbons.

Vibration
This discussion of vibration failures is limited to vibrations induced by the flow of the shell-side
fluid across the tubes. Tubes fail as a result of flow-induced vibration in a number of ways:

• Loosening of tube-tubesheet joints

• Bending of tubes repeatedly, producing fatigue

• Thinning of tube walls, as a result of tubes impacting adjacent tubes

• Baffle damage, as a result of tubes striking the baffle repeatedly

• The tube can be cut as the tube vibrates against the sharp edge, at the inner tubesheet -
this is called fretting wear

• Stress corrosion cracking, enhanced by high stresses caused from continuous vibration

Most tube failures are located in areas of the exchanger where tube spans are long and
unsupported. The inlet baffle is a prime area for failures because of the span length and high
local velocity.

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© 2016, Southern Alberta Institute of Technology
© 2016, Southern Alberta Institute of Technology. All rights reserved.
This publication and materials herein are protected by applicable intellectual property laws.
Unauthorized reproduction and distribution of this publication in whole or part is prohibited.

For more information, contact:

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Southern Alberta Institute of Technology
1301 16 Ave. N.W., Calgary, AB T2M 0L4