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Effectiveness of Heat Exchanger:

Significance of NTU method

P. R. Dhamangaonkar

Ref: Fundamentals of Heat Exchanger Design,


By Ramesh K. Shah and Duan P. Sekulic

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NTU Method
The number of transfer units NTU is defined as a ratio
of the overall thermal conductance to the smaller heat
capacity rate.

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NTU designates the non-dimensional heat transfer size
or thermal size of the exchanger, and therefore it is a
design parameter.
NTU provides a compound measure of the heat
exchanger size through the (A *U).
Hence, in general, NTU does not necessarily indicate
the physical size of the exchanger. In contrast, the heat
transfer surface area designates the physical size of a
heat exchanger.
A large value of NTU does not necessarily mean that a
heat exchanger is large in physical size.
When comparing heat exchangers for a specific
application, U/Cmin approximately remains constant; and
in this case, a higher NTU value means a heat
exchanger larger in physical size.
Hence, NTU is sometimes also referred to as a heat
exchanger size factor.
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---------------------------------------------------------(a)

The number of transfer units achieved by the


heat exchanger.
How to increase NTU?
Higher NTU is obtained by increasing either U or A or
both or by decreasing Cmin.
Whereas a change in Cmin affects NTU directly, a
change in Cmax (i.e., its flow rate) affects h on the Cmax
side.
A change in the value of R may have direct or indirect
effect on NTU.

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NTU is also variously referred to as a performance
factor or thermal length in the plate heat exchanger
literature, and as reduced thermal flux in the shell-and-
tube exchanger literature.
With increasing values of NTU, the exchanger
effectiveness generally increases and in the limit, it
approaches a thermodynamic asymptotic value.
Note that the perfect exchanger requires that NTU
(because A ) for q max = CminTmax.
utomobile radiator: NTU0.5 40 %

eam plant condenser: NTU1.0 63 %

generator for industrial gas turbine engine: NTU10 9

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Interpretation of NTU as non dimensional
residence time
If C min C
d
1 d d
NTU d
*

1 UA Cmin 1 UA C min R0 C min


Ro =(1/UA) is the overall thermal resistance;

C min ( MC p ) min C min d


Is minimumside fluid capacitance and d is dwell time,
residence time or transit time of a fluid particle passing
through the exchanger.
Thus, NTU can be interpreted as a non-dimensional
residence time
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Another interpretation of NTU
NTU is related to Tm

NTU is referred to as a temperature ratio (TR),


where

------------------------------------(b)

number of transfer units required by the heat duty

NTU=1, WhenTm is equal to Th or Tc

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ransfer coefficient dependences
Stanton number

The Stanton number is the ratio of the conductance to


the mass velocity of the stream.
g
St .

m
h
St .
Cp m

In practice, Stanton numbers often lie in the range


0.001-0.01. They have the significance of the ratio of
the Reynolds flux to the mass flux of the mainstream.

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usselt and Sherwood numbers
hL c
Nusselt Number Nu
k
Lc
Sherwood number Sh

Where is mass transfer coefficient and is the
diffusion coefficient of the species.

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NTU is also directly related to the overall (total) Stanton
number Sto
G=fluid mass velocity based on the minimum
free area, kg/m2

Replacing U in place of h

NTU can also be interpreted as a modified Stanton


number.
p is the porosity, a
ratio of void volume
to total volume of
concern.
First definition of Dh is for constant cross-sectional flow
passages and second definition is applicable to
expanding/contracting flow area across flow cross
sections alongDepartment
the flow length.
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Equations (b) and (a) may also be interpreted as the
number of transfer units required by the heat duty
(NTU=Tmax,i /Tm)
and the number of transfer units achieved by the heat
exchanger (NTU=UA/C
These definitions andmin ), respectively.are for the overall
interpretations
NTU for the exchanger.
The NTU individually on the hot and cold sides of
exchanger are:
o extended surface
efficiency
The overall thermal resistance equation, in the absence
of fouling resistances,

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Effectivenessnumber of Transfer Unit
Relationships
is a function of NTU, R, and flow arrangement.
1.The heat exchanger
effectiveness increases
monotonically with increasing
values of NTU for a specified
R.
2.The exchanger effectiveness
increases with decreasing
values of R for a specified
NTU.
3. For 40%, the heat
Counter flow exchanger capacity rate ratio R does not
as a function of NTU have a significant influence on
and R.
the exchanger effectiveness".
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4.Heat exchanger effectiveness increases with
increasing NTU as noted above in item 1, but at a
diminishing rate.
5.Because of the asymptotic nature of the -NTU
curves, a significant increase in NTU and hence in the
exchanger size is required for a small increase in at
high values of .
6. Alternatively, a larger increase in NTU (or the size of
the exchanger) is required to compensate for the same
(or
The small) amountexchanger
counter-flow of heat loss
has to
thethe surroundings
highest exchanger at
high values of
effectiveness for specified
in comparison
NTU andto that
R of forfora all
that lower
other
exchanger flow arrangements. Alternatively, the heat
exchanger.
transfer surface area is utilized most efficiently for counter-
flow compared to all other flow arrangements.
It should be emphasized that many industrial heat
exchangers are not counter-flow

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Interpretation of -NTU Results

The heat exchanger design problem in general has six


independent and one or more dependent variables.

If we increase the flow rate on the Cc =Cmin side, it will


increase R, (Cmin/Cmax), reduce NTU (UA=Cmin), and hence
will reduce nonlinearly at a lower rate .
Thus q will increase linearly with increasing Cmin and q
will decrease nonlinearly at a lower rate with decreasing
. The net effect will be that q will increase.
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The P-NTU Method
In the P-NTU method, the heat transfer rate from the
hot fluid to the cold fluid in the exchanger is expressed
as

Where P is the temperature effectiveness for fluid 1 or


2, depending on the subscript 1 or 2, C= m C p is the
heat capacity rate for fluid 1 or 2 with the
corresponding subscripts, and the inlet temperature
difference is Tmax =T
The temperature hi -Tci = T2i-T
effectiveness P,1i similar to , is non-

dimensional and is dependent on the number of


transfer units, heat capacity rate ratio, and the flow
arrangement.

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perature Effectiveness P (thermal effectivenes
It is different for each fluid of a two-fluid exchanger.

For fluid 1, it is defined as the ratio of the temperature


range (rise or drop) of fluid 1 (regardless of whether it is
a cold fluid or a hot fluid) to the inlet temperature
difference (Tmax or ITD) of the two fluids:
T1o - T1i T2o - T2i
P1 P2
T2i - T1i T2i - T1i

It can be shown that P1=P2R2 and P2=P1R1

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The temperature effectiveness P1 and the exchanger
effectiveness are related as

Thus, the values of P1 and P2 will always be less than or


equal to .

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umber of Transfer Units, NTU
The number of transfer units NTU1 and NTU2 are
defined asUA UA
NTU 1 NTU 2
C1 C2
It can be shown that
NTU 1 NTU 2 R2 NTU 2 NTU 1 R1
These NTUis are related to NTU based on Cmin
as

Thus, NTU1 or NTU2 is always less than or equal to


NTU. Department of Mechanical Engineering
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eat Capacity Rate Ratio R
The heat capacity ratio R is defined as
C1 T2i T2o C2 T T1o 1
R1 and R2 1i and hence, R1
C2 T1o T1i C1 T2 o T2i R2

Thus R1 and R2 are always greater than or equal to C*.


Individually, values of R1 and R2 range from 0 to 1, zero
being for pure vapor condensation and infinity being for
pure liquid vaporization.
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eneral P-NTU Functional Relationship
Similar to the exchanger effectiveness , the functional
relationship of P1 represented by the function 1:
P1=1(NTU1;R1;flow
arrangement)
P2=2(NTU2;R2;flow
Hence the functions 1 and 2 will be dependent on
arrangement)
the exchanger flow arrangement and different for a
stream asymmetric exchanger.
The origin of the P-NTU method is related to shell-and-
tube exchangers, and the most useful NTU design
range is from about 0.2 to 3.0 for shell-and-tube
exchangers.
Hence, the NTU scale is chosen as a logarithmic scale
to stretch it in the range 0.2 to 3.0 to determine
graphically a more accurate value of NTU
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Parallel Counter-flow Exchanger, Shell
Fluid Mixed, 12 TEMA E Shell
The simplest arrangement is one shell pass and two
tube passes, simply referred to as a 12exchanger.
P-NTU Relationships.
Explicit P-NTU formulas for a large number of
exchanger flow arrangements are

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Idealized temperature distributions in a 12 TEMA E exchanger with
shell fluid
mixed for (a) high-NTU2 case with solid lines, and (b) low-NTU2 case
with dashed linesDepartment
(FromShah,1983).
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Now changing the nozzle orientation of the shell fluid as
in Fig. 3.17a, we find no apparent crossing of the
temperature distributions, although the temperature
cross (Tto-Tso) does exist due to the counter-flow direction
of the shell fluid and the tube fluid in the second pass.
Note that in a counter-flow exchanger, the cold-fluid
outlet temperature can be higher than the hot-fluid
outlet temperature. These cases then have an external
temperature cross.
It must be emphasized that Tt, l can never exceed Ts,o
since the shell fluid and the fluid in tube pass 1
represent a parallel-flow exchanger, as seen in Fig.
3.17a.
The temperature cross is undesirable, particularly for
shell-and-tube exchangers, because the tube surface
area is not utilized cost-effectively.
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26
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Theoretically, the optimum design would have the
temperature cross (or temperature meet) point just at
the end of the second tube pass.
(Tt,o=Tso ) or Tt;o=Ts;o= 0

This equation provides the limiting (maximum) value of


P for a given R, correspondingly NTU computed from the
NTU equation for the 12 TEMA E provides the limiting
(maximum) value of NTUs beyond which there will be a
temperature cross.

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This concept of the temperature cross (or meet) at the
exchanger outlet can readily be utilized to determine
whether or not one or more shells in series will be
necessary to meet the required heat duty without
having a temperature cross in any individual shell.

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Consider desired inlet and
outlet temperatures for the
hot fluid to be 310 and
185oC, and those for the
cold fluid to be 105 and
275oC.
Considering a linear
variation in specific heats,
the hot- and cold-fluid
temperature profiles for an
overall counter-flow
exchanger can be drawn
as shown in Fig.
The number of horizontal lines then indicates the
number of shells required to avoid the
temperature cross in the exchanger.
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Multi-pass Exchangers
A multipass exchanger is a single exchanger having
multipassing of one or both fluids in the exchanger.
A heat exchanger array consists of a number of
individual heat exchangers connected to each other in a
specified arrangement.
If the two fluids are the same in a given exchanger
array, the analysis presented below applies.
However, in petrochemical and refining applications,
there are many heat exchangers interconnected with
more than two fluids (although any given exchanger
may have only two fluid streams) in such a heat
exchanger train.
Lets derive the overall effectiveness and related results
for multipass extended surface, shell-and-tube and
plate exchangers, and
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including heatCollege
exchanger arrays.
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An important additional assumption:
An individual fluid stream is perfectly mixed
between passes or between exchangers in an
array.
Flow arrangements are categorized as:
(1)a series coupling of n-passes of a multipass cross-
flow exchanger or n-individual exchangers of an
exchanger array, either overall counter-flow or
parallel-flow,
(2)a parallel coupling of n-passes of a multipass cross-
flow exchanger or n-individual exchangers,
(3)a combination of series and parallel couplings or
other compound multipass/array exchangers.

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Series Coupling: Overall Counter-flow.

(a) Series coupled exchangers A and B in overall counter-flow


arrangement;
(b) combined equivalent exchanger C.

Hypothetical exchanger array made up of counter-flow (cf), 12


TEMA E, parallel-flow (pf ), and cross-flow exchangers.

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There are many possible combinations of the multipass
overall cross-counter-flow exchanger, depending on the
following:
(1)each fluid is mixed or unmixed between passes (in
the preceding section we considered the fluids
mixed between passes);
(2)each fluid is mixed or unmixed within each pass;
(3)the fluid that is unmixed between passes has an
identical or inverted order (see Fig. 1.55);
(4)fluid 1 is the Cmin or Cmax fluid; and
(5)the number of passes.

This equation is adequate for the design and analysis of


most two- and three-pass industrial exchangers.

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Series Coupling. Overall Parallel-flow:

(a) Series-coupled exchangers A and B in overall parallel-flow


arrangement;
(b) combined equivalent exchanger C.

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Possible combinations of this flow arrangement:

(1)each fluid is mixed or unmixed between passes (in


the preceding section we considered the fluids mixed
between passes;
(2)each fluid is mixed or unmixed within each pass;
(3)The fluid that is unmixed between passes has an
identical or inverted order (see Fig. 1.55);
(4) fluid 1 is the Cmin or Cmax fluid; and
(5) the number of passes.

This equation is adequate for the design and analysis of


most two-and three-pass industrial exchangers.

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Classification According to Flow
Arrangements

Two-pass cross-counter-flow Single-pass cross-flow exchanger


exchanger

unfolded exchangers of (a) and (b), unfolded exchangers of (a) and (b),

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Single-Pass Exchangers
Counter-flow Exchanger

(a) Double-pipe heat exchanger with pure counter-flow; (bf)


plate-fin exchangers with counter-flow core and cross-flow
headers

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Temperature distributions in a counter-flow heat exchanger of
single-phase fluids (no boiling or condensation).

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Parallel flow Exchanger
Temperature distributions in a parallel flow heat
exchanger

In a parallel flow exchanger, a large temperature difference


between inlet temperatures of hot and cold fluids exists at the
inlet side, which may induce high thermal stresses in the
exchanger wall at the inlet.

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Cross-flow Exchanger

Serpentine (one tube row) tube-fin


unmixedmixed cross-flow heat
Plate-fin unmixedunmixed
exchanger
cross flow heat exchanger;

Temperature distributions at inlets and


outlets of an unmixedunmixed cross-
flow
heat exchanger

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Symbolic presentation of various degrees of mixing in a single-phase
cross-flow
exchanger.

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(1) the exchanger effectiveness generally decreases
with increasing mixing on any fluid side, although
counter examples can be
found in the multipass case; and
(2) if the Cmax fluid is placed on the unmixed fluid side,
the exchanger effectiveness and performance will be
higher than that for placing Cmax on the mixed fluid side.

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Split-Flow Exchanger, TEMA G Shell.

(a) Single-pass split-flow (TEMA G) (a) Single-pass divided-flow (TEMA J)


exchanger; exchanger with shell fluid mixed;
(b) idealized shell fluid and tube (b) idealized shell and tube fluid
fluid temperature distributions. temperature distributions.

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Multipass Cross-flow Exchangers.
(a) a series coupling of n passes or over-and-under
passes,

(b) a parallel coupling of n passes or side-by-side


passes,

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(c) a combination of both or a compound arrangement

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ultipass Shell-and-Tube Exchangers
Parallel Counter flow Exchanger, Split-Flow Exchanger, TEMA G
TEMA E Shell. Shell.

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ultipass Shell-and-Tube Exchangers
Divided-Flow Exchanger, TEMA J
Shell.

Two shell passfour tube pass


exchanger

Three shell passsix tube pass


exchanger.
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Single- and multipass plate heat exchanger
arrangements.

U arrangement Z arrangement

2 pass 1 pass

3 pass 1 pass

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Single- and multipass plate heat exchanger
arrangements.

4 pass 2 pass

Series flow

Now let us solve few numerical

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Additional Considerations for Shell-and-
tube
Exchangers
Any of the basic methods (-NTU,P-NTU, MTD etc) can
be used for the design of shell-and-tube heat
exchangers. However, the construction features of
these exchangers may invalidate assumptions 11, 12,
and 14 previously discussed. The influence of flow
bypassing and leakages, unequal pass area, and a finite
number of baffles on the MTD analysis is discussed in
this lecture.

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Shell-and-tube exchanger with one shell pass and one tube pass

Shell-and-tube exchanger (BEU) with one shell pass and two tube
passes.
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Plate baffle types

Single segmental baffle

Double segmental baffle

Disc-and-Doughnut
baffle

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No-tubes-in-window
baffle

Triple segmental baffle

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Shell Fluid Bypassing and Leakage
Conventional shell-and-tube exchangers have
segmental plate baffles. The shell-side flow is very
complex in such a heat exchanger, due to a substantial
portion of the fluid bypassing the tube bundle through
necessary constructional clearances.

As a result, the conventional heat transfer correlations


and the MTD method applied to a shell-and-tube
exchanger generally do not predict the actual
performance.

Let us first discuss the shell-side flow phenomenon.

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Shell-side Flow Patterns.
One of the major functions of the plate baffle is to induce
cross-flow (flow normal to the tubes) for higher heat
transfer coefficients and hence improved heat transfer
performance.

Clearances are required for the construction of the


exchanger and the shell fluid leaks or bypasses through
these clearances with or without flowing past the tubes.

The three clearances:


* tube-to-baffle hole clearance
* bundle-to-shell clearance
* and baffle-to-shell clearance

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Distinct partial streams:
The total shell-side flow distributes itself into a number
of distinct partial streams due to varying flow
resistances.
Various streams in order of decreasing influence on
thermal effectiveness.

Shell-side flow distribution and identification of various streams.

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B stream: cross-flow
stream flowing over the
tubes (and fins, if any)
between successive
windows. This stream is the
desired stream and is
considered fully effective for
both heat transfer and
pressure drop.

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A stream: tube-to-baffle
hole leakage stream
through the annular
clearance between the
tubes and baffle holes of a
baffle. This stream is
created by the pressure
difference on the two sides
of the baffle. As heat
transfer coefficients are
very high in the annular
spaces, this stream is
considered fully effective.
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C stream: bundle-to-shell
bypass stream through the
annular spaces (clearances)
between the tube bundle
and shell. This bypass flow
area exists because the
tube holes cannot be
punched close to the tube
sheet edge, due to the
structural strength
requirement. The C stream
flows between successive
baffle windows. This stream
is only partially effective for
heat transfer, as it contacts
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E stream: shell-to-baffle
leakage stream through the
clearance between the edge
of a baffle and the shell.
This stream is least effective
for heat transfer,
particularly in laminar flow,
because it may not come in
contact with any tube.

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F stream: tube-pass
partition bypass stream
through open passages
created by tube layout
partitions (when placed in
the direction of the main
cross-flow stream) in a
multipass unit. This stream
is less effective than the A
stream because it comes
into contact with less heat
transfer area per unit
volume; however, it is
slightly more effective than
the C stream. It is listed
last because not all
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more passes.
ow Fractions for Each Shell-Side Stream
Flow fraction Fi of the total flow to keep the total
pressure drop same for each stream from the entrance
to the exit of the exchanger.

Each stream influences heat transfer in different ways.


Most of the flow (ideally, about 80%)
should be the cross-flow B stream.
The narrow baffle spacing results in a
higher p for the B stream and forces
more flow into the A, C, and E streams.
If the computed values of the B stream are lower than
those indicated, the baffle geometry and various
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A stream flow:
Is effective from a heat transfer point of view, hence
hardly matters if flow fraction is large.

With plugged tube-to-baffle hole clearance due to


fouling, the shell-side pressure drop increases.

The flow fraction of the A stream generally decreases for


increasing values of multiple-segmental baffles.

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C and F stream flow:
These are only partially effective, the design of the tube
bundle should be such that it minimizes the flow fraction
for each of these streams to below 10%. Sealing devices
are used for this purpose
E stream:
This stream does not contact the heat transfer area and
is ineffective from the heat transfer viewpoint.

If the flow fraction computed for the E stream is found to


be excessive (15% or more), prefer multiple-segmental
baffles instead of a single-segmental baffle.
The total shell-side pressure drop is lower for the
multiple-segmental baffle case, thus forcing more flow to
the B, A, and C streams.
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It is surprising to note from this table that the B stream
may represent only 10% of the total flow for some
exchangers. Even for a good design, it represents only
65% of the total flow in turbulent flow.
Hence the performance predicted based on the
conventional MTD method will not be accurate in
general.
As a result, there is no need to compute very
accurate values of the MTD correction factor F for
various exchanger
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True Meaning of the Heat Exchanger
Effectiveness
Effectiveness is a measure of thermal performance of
a heat exchanger. It is defined for a given heat
exchanger of any flow arrangement as a ratio of the
actual heat transfer rate from the hot fluid to the cold
fluid to the maximum possible heat transfer rate q max
thermodynamically permitted.

This formulates heat exchanger effectiveness in terms


of terminal temperatures of the fluids and their heat
capacity rates.

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However, this approach requires a priori definition of a
hypothetical infinite surface area of the heat exchanger.
On the other hand, by knowing the temperature
distributions of a given heat exchanger, we can devise
the concept of heat exchanger effectiveness without
invoking the concept of a hypothetical counter flow heat
exchanger of infinite surface.
The definition of heat exchanger effectiveness is
obtained using the first law of thermodynamics only,
without invoking explicitly the second law of
thermodynamics.

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Interpretations of the Meaning of Heat Exchanger
Effectiveness
Traditional
Meaning

True Meaning

Department of Mechanical Engineering


College of Engineering, Pune (COEP)
Forerunners in Technical Education 68
Irreversibilities in Heat Exchangers
Important phenomena that shape the heat transfer and
flow characteristics within a heat exchanger are
(1)heat transfer at finite temperature differences,
(2)mixing and/or split-ting of the fluid streams, and
(3)fluid flow friction phenomena;
(4)additional phenomena when present are phase
change, flow throttling, and so on.

The first two phenomena influence temperature


distributions, and the third the flow friction
characteristics on each fluid side of a heat exchanger.
These processes are accompanied by entropy
generation, an indicator of undesirable thermodynamic
irreversibilities that diminish the thermal performance.
Department of Mechanical Engineering
College of Engineering, Pune (COEP)
Forerunners in Technical Education 69
Thermodynamic irreversibility is an inevitable by-
product of these processes and a principal cause of
exchanger/system performance deterioration.
Heat transfer across a finite temperature difference
(including both heat transfer between the fluids and
heat transfer across the heat exchanger boundary,
i.e., heat leak and/or gain to/from surroundings)
Mixing of dissimilar fluids (dissimilar with respect to
p, T, and/or composition)
Fluid friction and flow impact
Phase change where initial conditions are not in
equilibrium
Flow throttling

Department of Mechanical Engineering


College of Engineering, Pune (COEP)
Forerunners in Technical Education 70
There are three dominant irreversibilities in a heat
exchanger:
(1)irreversibility caused by a finite temperature
difference,
(2)irreversibility caused by fluid mixing, and
This analysis willcaused
(3)irreversibility assist by
usfluid
in assessing
friction. the quality of
heat transfer and associated phenomena in heat
exchangers that cannot be evaluated and explained by
the analysis discussed previously. This analysis requires
simultaneous use of both the first and second laws of
thermodynamics and introduction of the concept of
exergy.

Department of Mechanical Engineering


College of Engineering, Pune (COEP)
Forerunners in Technical Education 71
Thermodynamic irreversibility(simply referred to as
irreversibility) is a term used to describe a natural
tendency of any real system not to be able to revisit the
same sequence of states during a reverse change of
state from the final to the initial state without additional
energy interaction(s).
In practical terms, this means that the presence of
irreversibilities is accompanied by thermodynamic
losses, ultimately leading to poorer thermal
performance than predicted by an idealized reversible
process.
The value of irreversibility cannot be negative and it is
not a system property.

Department of Mechanical Engineering


College of Engineering, Pune (COEP)
Forerunners in Technical Education 72

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