Heat Exchangers and Heat Pipes

Greg F. Naterer
University of Ontario Institute of Technology, Oshawa, Ontario, Canada

Abstract
This entry provides an overview of the design and opertion of heat exchangers and heat pipes. Different
types of heat exchangers are discussed, including concentric-tube, cross-flow, and shell-and-tube heat
exchangers. Methods of analysis are briefly discussed, with correction and geometrical factors for complex
configurations. Condensers and evaporators are described in more detail. Heat pipes are additional types of
heat exchange devices that use a porous wick material in a tube structure. The performance and operation of
heat pipes are discussed. Limitations of wicking, entrainment, sonic, and boiling conditions are outlined,
with respect to their effects on heat pipe performance.

INTRODUCTION configuration permits complete mixing of the fluid streams

in the external cross-flow.
Heat exchangers are devices allowing energy exchange Another common type of heat exchanger is a shell-and-
between fluid streams at different temperatures. They are tube heat exchanger. In this case, the configuration

commonly used in many applications, including power
generation, energy storage, air conditioning systems,
materials processing, and various others. Some common
configurations include concentric-tube, cross-flow, and
shell-and-tube heat exchangers (see Figs. 1 and 2).
Another widely used device for heat exchange is a heat
pipe, for applications such as spacecraft thermal control
and thermal energy management in microelectronic
assemblies. This entry explains the fundamental operating
principles of heat exchangers and heat pipes.
In a concentric-tube heat exchanger, an internal fluid
flows through the inner tube, and an external flow passes
through the annular region between the inner and outer
tubes. In a parallel-flow configuration, the outer fluid flows
in the same direction as the inner flow. Otherwise, if the
outer fluid flows in a direction opposite to the inner flow,
then it is called a counter-flow heat exchanger. Analysis of
heat exchangers usually requires empirical or advanced
computer simulation techniques.
A cross-flow heat exchanger consists of an outer flow
passing across tubes carrying fluid that flows in a direction
perpendicular to the cross-flow. An example of this type of
heat exchanger is found in a car radiator, where the outer
and inner flows consist of air and water, respectively. The
tubes are often covered with fins or other annular
attachments to enhance the rate of heat transfer between
the different fluid streams. For systems having fluid
streams separated from one another by fins or baffles, the
configuration is called unmixed, whereas a mixed
Heat Inde
consists of an outer shell pipe where fluid enters through
one end, passes across internal tubes carrying a fluid at a
different temperature, and exits through the other end.
Baffles are often placed perpendicular to the inner tubes to
enhance mixing and turbulence of the outer fluid stream.
Baffles refer to perforated plates that obstruct some region
of the outer flow while directing the flow around the
remaining uncovered sections. Condensers in power plants
are common examples of shell-and-tube heat exchangers.
In these condensers, the outer flow is steam that condenses
and leaves as water following heat exchange with the inner
tubes carrying cold water.
Heat transfer occurs between fluids at different
temperatures or phases. In the case of heat exchange
between fluids of the same phase, but at different
temperatures, the heat gained by the colder fluid stream
balances heat lost by the hotter fluid stream, minus any
external heat losses to the surroundings (often assumed
negligible). Spacing and packing of tubes within heat
exchangers varies with different applications. The surface
area density of surfaces characterizes this packing, based
on the number and diameter of tubes within the heat
exchanger. The packing is often expressed in terms of a
hydraulic diameter of tubes, Dh. A typical range is
0.8 cm!Dh!5 cm for shell-and-tube heat exchangers,
while 0.2 cm!Dh!0.5 cm for automobile radiators and
0.05 cm!Dh!0.1 cm for gas turbine regenerators. For
heat exchange in biological systems (such as human
lungs), the range is typically 0.01 cm!Dh!0.02 cm.

HEAT EXCHANGER ANALYSIS

Keywords: Tubular heat exchanger; Cross-flow heat exchanger; Shell-
and-tube heat exchanger; Condensers and evaporators; Heat pipe; Heat exchange between two fluid streams in a concentric-
Wicking limit; Entrainment limit; Sonic limit. tube heat exchanger depends on the overall heat transfer

801

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 802
Fig. 1 Types of heat exchangers.
coefficient between both streams, including thermal
Heat Inde
resistances due to convection, fouling (due to fluid
impurities such as rust formation), and conduction through
the pipe wall. Frequent cleaning of the heat exchanger
surfaces is needed to reduce and minimize the adverse
effects of fouling, such as an increased pressure drop and
reduced heat transfer effectiveness. Finned surfaces
produce additional thermal resistances in a heat exchanger.
These effects are often modeled based on the surface
efficiency of a finned surface, which includes the
efficiency for heat exchange through the fin, as well as
heat transfer through the base surface (between the fins).
Using analytical methods for basic parallel-flow
configurations of heat exchangers, the total heat transfer
from a hot fluid stream to a cold stream between an inlet
(1) and outlet (2) can be readily determined based on given
(or measured) temperature differences, DT1 and DT2. A
similar analysis can be derived for both parallel and
counter-flow heat exchangers. In a parallel-flow heat
exchanger, the highest temperature difference is encoun-
tered between the two incoming fluid streams. In the
Fig. 2 Shell-and-tube heat exchanger.
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Heat Exchangers and Heat Pipes
streamwise direction, heat transfer from the hot stream to
the cold stream reduces the temperature difference
between the fluids. But in a counter-flow heat exchanger,
the temperature difference increases in the flow direction,
since the temperature of the incoming cold fluid stream
increases due to heat transfer from the hot stream flowing
in the opposite direction. A counter-flow heat exchanger is
generally considered to be more effective, since a smaller
surface area is required to achieve the same heat transfer
rate (assuming equivalent heat transfer coefficients
between the fluid streams).
Predicted results for parallel-flow and counter-flow
heat exchangers can be extended to more complicated
geometrical configurations, such as cross-flow and shell-
and-tube heat exchangers, after multiplying the heat
transfer rate by a correction factor, F, which is usually
based on experimental data to account for baffles and
other geometrical parameters. The value of F depends on
the type of heat exchanger. For example, FZ1 for a one-
shell-pass, one-tube-pass heat exchanger. For more
complex arrangements, values of F are usually tabulated
Heat Exchangers and Heat Pipes
and graphically depicted. For example, results of
correction factors for a variety of heat exchanger
configurations have been presented and graphically
illustrated by Bowman et al.[1] Incropera and Dewitt,[5]
and others. The Standards of the Tubular Exchange
Manufacturers Association (6th edition, New York, 1978)
provides additional results in terms of algebraic
expressions or graphical representations.
The competing influences of pressure drop and heat
exchange are important considerations in heat exchanger
design. Larger rates of heat transfer can usually be
achieved by increasing the packing of tubes within the
heat exchanger or using baffles or other heat enhancement
devices. But this comes at the expense of an increased
pressure drop, which is disadvantageous due to additional
pumping power required to move the fluid through the
system at a specified mass flow rate. On the other hand,
fewer heat exchange tubes can lead to a smaller pressure
drop, but often at the expense of lower heat transfer, in
comparison to a design with a high surface area density.
Thus, optimization serves to provide an effective balance
between the heat exchange and pressure losses. Empirical
correlations are often used to predict the pressure drop in
heat exchangers, in terms of additional parameters such as
fluid velocity, the ratio of the free-flow area of the finned
passages to the frontal area of the heat exchanger, friction
factor, flow length, and flow passage hydraulic radius
(total heat exchanger volume divided by the total heat
transfer surface area). Values of friction factors have been
documented extensively by Kays and London[6] for a
variety of heat exchangers, including finned and various
tubular configurations.
Plate-to-fin heat exchangers are commonly used in
applications involving heat exchange between gas-to-gas
streams. For example, air-to-air heat exchangers are
typically based on plate-to-fin arrangements. These fins
are classified into various types, such as plain fins, strip
fins, pin fins, perforated fins, and others. Detailed design
data involving these types of heat exchangers are outlined
in Kays and London.[6]
CONDENSERS AND EVAPORATORS
Other common types of heat exchangers are condensers
and evaporators, which are two-phase heat exchangers
used in various engineering systems, such as power-
generation and refrigeration systems. When a fluid stream
evaporates or condenses within a heat exchanger and
experiences a change of phase, then it is usually more
useful to evaluate enthalpy (rather than temperature) in
energy balances for heat exchanger analysis. The fluid
temperature can remain nearly constant during the phase
change, even though heat is transferred between the fluid
streams. When calculating an enthalpy difference, the heat
transfer analysis would include both the latent and sensible
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803
heat portions of the energy transfer between different fluid
streams in the heat exchanger.
Unlike previously discussed heat exchangers involving
single phase flows, a main difficulty in the analysis of
condensers and evaporators is the range of phase-change
regimes experienced by the fluid stream. The heat transfer
coefficient depends on the local phase fraction, which
varies throughout the flow path, so the heat transfer
coefficient becomes position dependent. Unfortunately,
the phase distribution is generally unknown until the flow
field solution is obtained. Thus, a systematic procedure is
needed to analyze heat transfer processes in condensers
and evaporators.
The energy balances involve enthalpy to accommodate
the latent heat of phase change, as well as sensible heat
portions of the heat exchange. The fluid possibly under-
goes various phase-change regimes, so the tube length is
usually subdivided into discrete elements, and energy
balances are applied individually over each element. After
the enthalpy in a particular element is computed, its value
may exceed the saturated vapor value of enthalpy at the
flow pressure. In this case, the fluid enthalpy can be used to
Heat Inde
calculate the temperature of the superheated vapor based
on thermodynamic property tables or computer-generated
tabulation of the superheated property values. Alterna-
tively, the specific heat of the fluid can be used to predict
the temperature change corresponding to the enthalpy
difference. This approach assumes a locally constant value
of the specific heat, which requires a sufficiently small
temperature change between elements. This method can be
used when the fluid exists entirely as a superheated vapor,
as the vapor specific heat at the mean temperature can be
used.
However, if the enthalpy is computed to be less than the
saturated vapor enthalpy, then the quality (mass fraction of
vapor in the element) is needed. An updated estimate of
the convection coefficient can be calculated based on the
phase fraction and corresponding flow regime. Additional
empirical factors (such as a transition factor) are often
used to identify the flow regime and appropriate
correlation for heat transfer. Then an updated overall
heat transfer coefficient can be determined from the phase
fraction and flow regimes.
A typical numerical procedure for analyzing two-phase
heat exchangers can be summarized as follows: a boundary
condition is first applied within the initial element of the
tube. Then, a suitable forced convection correlation is used
up to the element in which phase change is first realized. An
appropriate heat transfer correlation can then be selected for
that phase change regime. Near the points of saturated
vapor or saturated liquid, a suitable single-phase correlation
can be used with property values along the saturated liquid
and vapor lines. Then, this procedure can be repeated for
each element in the domain. For either condensing or
boiling problems, a similar procedure can be adopted. In the
latter case (boiling), a two-phase flow map would typically
 804
be utilized to identify the flow regime based on the
computed phase fraction. This mapping would distinguish
between flow regimes, such as the wavy, annular, and slug
flow regimes.
Various design features and aspects of maintenance are
important in terms of the effective performance of
condensers and evaporators. Tubes should be readily
cleanable on a regular basis, either through removable
water heads or other means. Larger flow rates within the
heat exchanger can reduce fouling (buildup of scale and
dirt on the walls), reduce service, and extend the life of the
heat exchanger. Furthermore, higher operating efficiencies
can be achieved by placement of tubes in stacks with
metal-to-metal contact between fins to permit better
drainage of the condensate. Less thermal resistance occurs
when less liquid accumulates on the fins, thereby
improving the thermal efficiency of heat exchange. Also,
a light and compact design is beneficial, as it requires less
space and reduces difficulties in installation and moving,
while often reducing costs associated with maintenance.
Another important factor in proper operation of
condensers and evaporators is safety. For systems
Heat Inde
operating at pressures different from the surrounding
ambient (atmospheric) pressure, leakage can occur. In
maintenance procedures, the specific points of leakage can
be detected and repaired by a basic method of soap or
detergent brushed onto the surfaces where leakage is
suspected, thereby generating bubbles to indicate leakage
points. Alternatively, pressurizing the system and record-
ing changes in pressure over time can indicate the
tightness of a system (but not necessarily the location of
leakage). Certain chemical leaks can be detected indivi-
dually. For instance, sulfur dioxide can be detected by the
white smoke forming when ammonia is brought into close
contact with the leakage point.
Operating materials must be properly selected in
conjunction with the working fluids. Most refrigerants
can be used well under normal conditions with most
metals (such as steel, aluminum, and iron), but some
materials and liquids should never be used together. An
example is methyl chloride fluid with aluminum shells and
tubes, which can produce flammable gas byproducts. Also,
the tensile strength, hardness, and other properties of
exposed materials must be fully considered under all
operating conditions. Effects of certain plastic materials on
refrigerant liquids can often be difficult to predict,
particularly due to the rapid rise in the number and types
of polymer materials. An effective overall design of
condensers and evaporators requires a thorough investi-
gation of both thermal and materials engineering aspects.
HEAT PIPES
A heat pipe is a closed device containing a liquid that
transfers heat under isothermal conditions. It operates
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Heat Exchangers and Heat Pipes
through vaporization of liquid in an evaporator, transport
and condensation of the vapor, and return flow of liquid by
capillary action through a wick structure back to an
evaporator. Due to geometrical requirements, the adiabatic
section is designed to fit within spacing limitations of the
heat pipe. Adiabatic implies zero heat transfer, as in a
well-insulated section. Thermal energy from the external
source is transferred to the working fluid in the heat pipe at
the evaporator section. At the end of the heat pipe, a buffer
volume may be constructed to enclose a non-condensable
gas (such as helium or argon) for controlling the operating
temperature, based on control of pressure within the inert
gas. Flow of vapor occurs through the core interior region
of the heat pipe at high velocities to the condensing section
(up to 500 MPH in some cases).
Along the inner wall of the container of the heat pipe, a
porous wick material with small, random interconnected
channels is constructed for capillary pumping. The pores
in the wick act as a capillary “pump,” which acts
analogously to regular pumping action on fluids in pipes
by pumps. The wick provides an effective means of
transporting liquid back to the evaporator through surface
tension forces acting within the wick. Also, it serves as an
effective separator between vapor and liquid phases,
thereby allowing more heat to be carried over greater
distances than other pipe arrangements (Fig. 3).
Various applications utilize heat pipes, including
heating, ventilating, and air conditioning (HVAC) heat
recovery systems; microelectronics cooling; and space-
craft thermal control. Heat pipes in air-to-air HVAC heat
recovery systems allow effective storage of thermal energy
contained in exiting combustion gases. Heat pipes offer
key advantages over conventional techniques, including
low maintenance (no moving parts), long life, and cost
savings. Another example involves microelectronics cool-
ing. Heat pipes can be up to 1000 times more conductive
than copper (at the same weight). Examples include laptop
computers, as well as telecommunications equipment,
which have adopted heat pipes with success in their
thermal designs. Also, heat pipes appear in several
spacecraft thermal control applications. Heat pipes have
been used in satellites to transfer heat generated by
electronic equipment to radiation panels that dissipate heat
into space. Another application is tubing in satellites,
which provides effective control of temperatures required
for reliable performance of electrical components on the
satellite.
In the evaporator section of a heat pipe, heat is
transferred by conduction from the energy source through
the container wall and wick-to-liquid matrix to the vapor-
to-liquid interface. Then, liquid is evaporated at the vapor-
to-liquid interface, and heat transfer occurs by convection
of vapor (laminar or turbulent) from the evaporator to the
condenser. The temperature of the vapor is approximately
the average between the source and sink temperatures at
the ends of the heat pipe. Following condensation of vapor
Heat Exchangers and Heat Pipes
Container with wick
Liquid return flow
Condenser
Heat out
Fig. 3 Schematic of a heat pipe.
at the condenser end, heat transfer by conduction occurs
through the wick-to-liquid matrix and container wall to the
heat sink. Finally, liquid condensate returns to the
evaporator through the wick structure (generally laminar)
return flow.
The working fluid and wick type are important design
factors in a heat pipe. The working fluid should have a high
latent heat of evaporation, high thermal conductivity, high
surface tension, low dynamic viscosity, and suitable
saturation temperature. Also, it should effectively wet
the wick material. Some typical examples of working
fluids are water or ammonia at moderate temperatures, or
liquid metals such as sodium, lithium, or potassium at high
temperatures (above 6008C). In a typical example of a heat
pipe with water as the working fluid and a vessel material
of copper–nickel, an axial heat flux of about 0.67 kW/cm2
at 473 K and a surface heat flux of about 146 W/cm2 at
473 K are generated. For moderate operating temperatures
(i.e., 400–700 K), water is the most suitable and widely
used working fluid in heat pipes.
It is interesting to compare heat pipes with solid
materials in terms of an effective thermal conductivity.
Consider the axial heat flux in a heat pipe, using water as
the working fluid at 2008C, in comparison with the heat
flux in a copper bar (10 cm long) experiencing a
temperature difference of 808C. For the copper bar at
2008C, the heat flux per unit area can be estimated at about
0.03 kW/cm2. In contrast, the axial heat flux for a
water heat pipe under the given conditions is about
0.67 kW/cm2, so the heat pipe transfers heat at a rate more
than 20 times higher than a copper rod. This example
indicates that heat pipes can be beneficial by providing a
higher effective thermal conductivity of material.
In a heat pipe, proper liquid circulation is maintained
within the heat pipe as long as the driving pressure
(capillary forces) within the wick exceeds the sum of
frictional pressure drops (liquid and vapor) and the
potential (gravity) head of the liquid in the wick structure.
Capillary action in the wick arises from surface tension
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805
Evaporator
Buffer
volume
Adiabatic Heat in
Vapor flow
forces at the liquid interface. In the wick structure, a liquid
flow is generated by the capillary action due to liquid
entrainment within the wick structure. Spatial differences
of capillary pressure (due to different curvatures of liquid
menisci) induce the capillary flow. Another pressure drop
Heat Inde
occurs when liquid flows (generally laminar) through
grooves in the wick from the condenser back to the
evaporator. This liquid flow can be analyzed through from
Darcy’s law for laminar flow in a porous medium. The
wick structures can have a wrapped screen along the inner
wall of the heat pipe or screen-covered grooves, in order to
improve their operating performance. Examples of
common wick materials are copper foam, copper powder,
felt metal, nickel fiber, and nickel powder.
A vapor pressure drop arises since vapor drag in the
core region may impede liquid flow in the grooves of the
wick at high vapor velocities. An expression for this
pressure drop can be determined from standard methods of
fluid mechanics. This pressure drop is usually a small
contribution to the overall force balance, since the vapor
density is much smaller than the liquid density. Also,
effects of vapor drag can be reduced by covering the
grooves in the wick structure with a screen.
The equilibrium design condition of a heat pipe is
determined from a balance of the previous pressure forces,
including a gravity term, which can be positive (gravity
assisted) or negative. A positive gravity head implies that
the evaporator is above the condenser. The design
condition is significant because operating beyond the
maximum capillary pressure can dry out the wick and
produce a “burnout” condition.
Wicking, entrainment, sonic, and boiling limitations
have significant effects on the performance of heat pipes.
A wicking limitation occurs on the axial heat flux, due to a
maximum flow rate through the wick for a maximum
capillary pressure rise. Entrainment refers to droplets
entrained by the vapor from the liquid return flow. Under
certain operating conditions, the vapor velocity may
become sufficiently high to produce shear force effects
 806
on the liquid return flow from the condenser to the
evaporator. It is possible that waves can be generated on
the liquid surface and droplets may be entrained by the
vapor flow, since there would be inadequate restraining
forces of liquid surface tension in the wick.
Another factor is the sonic limitation. During conditions
of startup from near-ambient conditions, a low vapor
pressure within the heat pipe can lead to a high resulting
vapor velocity. If the vapor velocity approaches sonic
speed, a choked condition within the pipe limits the axial
heat flux. This sonic limit and other previous depend on the
fluid operating temperature. Heat flux limits generally
increase with evaporator exit temperature due to the effect
of temperature on the speed of sound in the vapor. For
example, the heat flux limit for sodium increases from
0.6 kW/cm2 at 5008C to 94.2 kW/cm2 at 9008C. For liquid
potassium, the heat flux limit is 0.5 kW/cm2 at 4008C
(evaporator exit temperature), and the limit increases to
36.6 kW/cm2 at 7008C. In high-temperature applications,
lithium can be used. Its heat flux limit ranges between
1.0 kW/cm2 at 8008C and 143.8 kW/cm2 at 13008C.
In contrast to the limitations on the axial heat flux, the
Heat Inde
boiling limitation involves the radial heat flux through
the container wall and wick. The onset of boiling within
the wick interferes with and obstructs the liquid return flow
from the condenser. Boiling within the wick may cause a
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Heat Exchangers and Heat Pipes
burnout condition by drying out the evaporator contain-
ment. Recent advances in heat pipe technology are
developing innovative techniques for dealing with this
thermal limitation and enhancing the overall capabilities
of heat pipes. Additional references in the topic of heat
pipe analysis are given by Kreith and Bohn,[7] Hewitt
et al.[4] Dunn and Reay,[3] and Chi.[2]
REFERENCES
1. Bowman, R.A.; Mueller, A.C.; Nagle, W.M. Mean tempera-
ture difference in design. Trans. ASME 1940, 62.
2. Chi, S.W. Heat Pipe Theory and Practice; Hemisphere:
Washington, DC, 1976.
3. Dunn, P.D.; Reay, D.A. Heat Pipes, 3rd Ed.; Pergamon: New
York, 1982.
4. Hewitt, G.F., Shires, G.L., Polezhaev, Y.V., Eds., Inter-
national Encyclopedia of Heat and Mass Transfer, CRC
Press: Boca Raton, FL, 1997.
5. Incropera, F.P.; DeWitt, D.P. Fundamentals of Heat and Mass
Transfer, 3rd Ed.; Wiley: New York, 1990.
6. Kays, W.M.; London, A.L. Compact Heat Exchangers, 3rd
Ed.; McGraw-Hill: New York, 1984.
7. Kreith, F.; Bohn, M.S. Principles of Heat Transfer, 6th Ed.;
Brooks/Cole Thomson Learning: Pacific Grove, CA, 2001.