CHAPTER 1

Introduction

Shell-and-tube heat exchangers (STHEs) in their various manifestations are undoubtedly

the most widely and commonly used unfired heat transfer equipment in the chemical
processing industries. They are also used extensively in coal- and gas-based, nuclear,
ocean thermal, and geothermal power generation facilities.
Although strongly challenged by the plate heat exchanger in recent years, the STHE still
remains the undisputed leader in the arena of heat exchangers. The reasons for this are
manifold:
1) STHEs are very flexible in size and can vary from less than one square meter to a
thousand square meters and even more.
2) They are mechanically robust to withstand normal shop fabrication stresses, the
rigors of transportation and erection, as well as the stresses of normal and abnor-
mal operating conditions.
3) They can be cleaned relatively easily. Both mechanical as well as chemical
cleaning programs can be employed.
4) The components that are most liable to failure—tubes and gaskets—can be re-
placed easily.
5) Good thermal and mechanical design methods are widely available.
6) A very wide fabrication base is available globally.
Besides, the development of tube inserts, helical baffles, and twisted tubes promises to
make the STHE even more superior as these eliminate some of the inherent shortcomings of
STHEs.
Evidently, since the STHE is the oldest model of the heat exchanger, it has a well-
established methodology [1–5]. Until the late 1970s and early 1980s, this knowledge was
not esoteric but was widely understood. However, with the development of the shellside
stream analysis model and the subsequent advent of the personal computer and tremendous
computing speeds, powerful software for the thermal design of STHEs gradually evolved.
Today, several very sophisticated software packages are available for the thermal design of
STHEs, a task now carried out by engineering contractors, fabricators, and operating
companies all over the world, representing a wide global fraternity. Since these software
packages are very user-friendly as well, it is now very convenient to optimize and produce a
near-perfect design for a given application.
However, with the availability of such superior software, there has been an undue
dependence on the software and much of the basic understanding of thermal design has been
lost. In other words, these software packages are often employed as “black boxes” without
the designer being truly in control of the design process and understanding the nuances of
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design. It must be appreciated that software is only a tool and with any sophisticated
software, a proper and sound understanding of the fundamental principles and interplay of
parameters is essential in order to exploit it successfully for producing an optimum design.
The principal purpose of writing this book is to help the heat exchanger thermal designer
attain such an understanding.
As example is better than precept, several case studies are presented in this book in
order to vividly bring out a particular methodology, principle, or practice that has been
advocated.
The design of STHEs comprises two distinct activities, viz., thermal design and
mechanical design. In thermal design, the basic sizing of the heat exchanger is
accomplished. That is to say, parameters such as the number, outer diameter, thickness and
length of tubes, tube pitch, number of tube passes, shell diameter, baffle spacing and cut,
nozzle sizes, and some other construction details are frozen. In the subsequent activity of
mechanical design, the thicknesses and precise dimensions of the various components are
determined and a bill of materials produced. Detailed engineering drawings are prepared
based upon which actual fabrication drawings are made. In this book, as the title suggests,
we shall talk principally about thermal design.
Presently there is no book available on “practical” shell-and-tube heat exchanger
thermal design. The books that are available dwell heavily or fully on the theoretical aspects
of unfired heat transfer as they are applicable to shell-and-tube heat exchangers. If they carry
worked-out examples, these are very simplistic and certainly not comparable to what the
commercial software designers employ for carrying out real-life designs. The present book is
based upon the author’s experience of 32 years in the design of heat exchangers for the oil
refineries and chemical process industries and mirrors many real-life situations, which were
far from straightforward. All these experiences have been put together in a structured,
focused, logical, and didactic manner and special effort has been made at bringing out the
interplay of parameters for a thorough understanding of basic issues.
Now, we come to the individual chapters themselves. Chapter 2, “Classification of shell-
and-tube heat exchangers,” gives a detailed rundown of the various components and
constructional features of STHEs, as a good understanding of these is vital to the thermal
design of this equipment. For example, the thermal engineer must be very familiar with the
various components and their relationship, know when to use which type of STHE and be
aware of the clearances between various components, some of which are crucial. As such,
this chapter will be of considerable interest to mechanical designers of STHEs as it explains
the implications of several constructional features on thermal design.
Chapter 3, “Thermal design and its optimization: single-phase heat exchangers,” is a
very important chapter as it discusses various basic features which are relevant not just to
single-phase heat exchangers, but to condensers and reboilers as well. Shellside stream
analysis and the consequent temperature profile distortion with its associated penalty factor
are explained at length. These are very basic concepts which form much of the foundation of
knowledge for heat exchanger design. The simultaneous optimization of shellside and
tubeside calculations is certainly not an easy task. With so many parameters (such as type of
shell, baffling, tube pitch, and tube layout pattern), shellside optimization is itself quite
complex. However, with the help of logical explanation, arguments, and case studies, the
design methodology is made easy to understand and apply. The selection of shell and/or
baffling styles for the progressive reduction of shellside pressure drop is brought out in a
clear, step-by-step method.
Chapter 4 is entitled, “Mean temperature difference.” After discussing fundamental

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issues of co-current and countercurrent flow, it progresses to a combination of the two and
the resultant Ft correction factor. It discusses temperature cross, the use of multiple shells in
series, and the determination of Ft for various situations. Finally it discusses shellside
temperature profile distortion and its associated penalty on the MTD of a heat exchanger. A
case study demonstrates how and when to reduce this penalty factor by the use of multiple
shells in series, even when there is no temperature cross.
The allocation of sides, that is, which stream should be allocated to the shellside of an
STHE and which stream to the tubeside, is often not a straightforward process. The several
parameters that influence the selection process are discussed in considerable detail in
Chapter 5, “Allocation of sides: shellside and tubeside.” A case study guides the reader
through the selection process.
Chapter 6 is on the “Methodology of the use of multiple shells.” Multiple shells are
often required to be used either in series or in parallel (or in a combination thereof). In some
extreme situations, one side (say, the shellside) is connected in series while the other side (in
this case, the tubeside) in parallel. This chapter, embellished by two case studies, explores in
detail the methodology of selection of multiple shells. Among other things, it is clearly
brought out that multiple shells in series are not just used for “temperature cross” situations,
but also to utilize allowable shellside pressure drop fully, and often result in a lower first cost
when compared to a single-shell design.
So far, the book has dwelt on the thermal design of single-phase STHEs. We now move
over to services and applications involving phase change. Chapter 7, “Thermal design of
condensers,” is a comprehensive elaboration of this subject. After a brief classification of
condensers according to various construction and service parameters and a brief account of
the mechanisms of condensation, the chapter comes to its real intent: practical guidelines for
thermal design. These include the determination of shell style and baffling, the use of
multiple shells, the handling of desuperheating and subcooling, nozzle sizing, and handling
of condensing profiles and physical property profiles. Low pressure condensing, the use of
low-fin tubes, and vacuum condenser design are also addressed. There are, in all, eleven case
studies in this chapter to highlight various issues in condenser design.
Chapter 8 is on “Thermal design of reboilers,” and begins with an account of pool
boiling and the parameters which affect the same. After a brief discussion of flow boiling,
the reader is then taken through an analytical description of the various types of distillation
column reboilers which includes the principal features, advantages, and disadvantages of
each. Among all reboilers, the design of vertical thermosyphon reboilers is the most
elaborate and complex and flow regime, liquid circulation, tube size, elevation, and piping
play a more profound role here than in other reboilers. Special considerations such as very
wide boiling range, operation near critical pressure, film boiling and boiling at very low ∆T
are all discussed in a lucid manner. The chapter closes after offering a guide on the selection
of reboilers and a discussion of the start-up of reboilers. There are six case studies in this
chapter on reboilers.
In Chapter 9, “Physical properties and heat release profiles,” insight is offered on the
various vapor and liquid physical properties which are essential for thermal [Link] are
necessarily to be furnished by the process licensor. Some unusual situations regarding
variation of physical properties with temperature are reported, one example being
hydrocarbon-hydrogen mixtures. The reader is given guidance on how to feed heat release
profiles, a matter that is not as simple as it may appear.
The subject of overdesign of heat exchangers is perceived to be important enough to
deserve an entire chapter, hence Chapter 10. It describes why overdesign is provided and

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discusses the modalities of overdesign for single-phase services, condensers, and reboilers.
Guidelines are furnished regarding the optimum overdesign value for various situations. The
effect of overdesign is brought out by case studies for two different situations, a high
temperature approach case and a low temperature approach case.
Chapter 11, “Fouling: its causes and mitigation,” is a chapter of considerable practical
significance to the thermal designer, as fouling is often a severe problem. After reviewing
the various categories of fouling and the parameters which affect it, suggestions are offered
on how to specify fouling resistance. Comprehensive guidelines are then recommended in
order to minimize fouling. Although fouling is an extremely complex phenomenon, it is still
possible to minimize it by adopting these design practices. These range from the use of
specific non-tubular heat exchangers in certain situations to various steps and measures the
design engineer can adopt for STHEs, whether the fouling fluid is on the tubeside or on the
shellside. One case study demonstrates how the shellisde velocity of a dirty stream can be
increased and another case study shows the profound influence of fouling layer thickness on
pressure drop.
Chapter 12 is on flow-induced vibration analysis. This is an extremely important subject
as heat exchangers must be designed so that they are safe against failure of tubes due to
flow-induced vibration. The mechanics of flow-induced vibration and the modes of tube
failure are described. Guidelines are described for predicting flow-induced vibration. Four
case studies are presented on how to produce designs that are safe against flow-induced
vibration. The vital link between allowable pressure drop and flow-induced vibration is
brought out clearly. Finally, there is a brief exposition of the mechanics of acoustic vibration
with ways and means of preventing it.
Enhanced heat transfer is not a new subject, but it has become popular only of late.
Chapter 13 dwells on enhanced heat transfer, the various techniques that are applied to
achieve it, and its benefits as compared to conventional shell-and-tube heat exchangers.

References
[1] Jacob, M., Heat Transfer, Vol. 1, John Wiley and Sons, 1949.
[2] Kern, D.Q., Process Heat Transfer, McGraw-Hill Book Co., 1950.
[3] McAdams, W.H., Heat Transmission, 3rd Edition , McGraw-Hill Book Co., 1958.
[4] Ludwig, E.E., Applied Process Design for Chemical and Petrochemical Plants, Vol. 3, Gulf
Publishing Co., 1965 (2nd ed. 1977, 3rd ed. 1995).
[5] Coulson, J.M., and Richardson, J.F., Chemical Engineering, Vol. 6, Pergamon Press, 1954
(2nd ed. 1964, 3rd ed. 1977, 4th ed. 1990).