Heat Transfer

K. DARU, Air Products and Chemicals Inc.,

Houston Texas; A. PANCHAL, Independent
Consultant, Mumbai, India; P. GALA, Reliance
Industries Ltd., Mumbai, India

Uncommon lessons: Shell-and-tube

heat exchangers—Part 1
Shell-and-tube heat exchangers cident temperature conditions and evalu- Maximum allowable working pres-
(STHEs) are the most common heat ating thicknesses or stresses in different sure (MAWP). The authors encountered
transfer process equipment in all types components, there are specific require- shell-side MAWP calculation for an ex-
of industrial plants. Due to the variety of ments in the ASME Code, TEMA Stan- changer with a thick (flanged and flued)
available construction options, an STHE dard and the API Standard 660 that are of- expansion bellow. This expansion bellow
can be suitably designed for most process- ten not complied with in design and early was designed (separately) using finite
es and design conditions and can be con- fabrication stages. Based on the authors’ element analysis (FEA) with shell-side
structed from different materials or com- opinion, failure to identify these during design pressure; therefore, the MAWP
bination of materials. STHEs are typically design reviews leads to costs that must be for the expansion bellow is the shell-side
manufactured in accordance with inter- corrected at later stages in fabrication. design pressure. Surprisingly, a higher
national or national codes or standards, This article focuses on specific types of shell-side MAWP obtained from a design
with the American Society of Mechanical lessons and design limitations that none report generated via a computer program
Engineers (ASME) Code1 being the most of the commercial design programs (soft- was indicated on the drawings and ac-
popular, along with associated Tubular ware, Excel spreadsheets, etc.) will iden- cordingly was carried over in the ASME
Exchangers Manufacturers Association tify with their “help” menus or warnings. forms and equipment nameplate. The
(TEMA)2 and American Petroleum Insti- Merely checking drawings with respect higher MAWP was based on the design
tute (API) Standard 6603 requirements. to design calculations is insufficient to of other parts of the shell-side chamber,
According to the ASME Code, an ensure thorough compliance and reliable excluding the expansion bellow.
STHE is a multi-chamber vessel, with two product design that will operate (ther- Note: When a part of a pressure
chambers for most constructions that are mally and mechanically) as intended. chamber (in this example, the bellow)
commonly addressed as shell-side and The authors’ purpose is to shed light on is designed using an FEA program, the
tube-side or channel-side. In an STHE, those uncommon but valuable lessons that pressure used to design the part becomes
the tubesheet, tubes, floating head (if are not discussed in reference manuals or the MAWP of that part, unless a higher
applicable) and internal expansion bel- design guides. These lessons will be help- MAWP is used in the FEA. This should
low (if applicable) are the common ele- ful in engineering and design activities. not be missed when evaluating the govern-
ments. Depending upon process needs,
the STHE may have a variety of external
and internal components, such as cylin- Channel Channel Girth flange Floating head
cover cover
ders, concentric and/or eccentric cones,
Nozzle Shell
dished heads, thick or thin expansion
bellows, tubes (straight, u-tube, low fin,
twisted, etc.), girth flanges, tubesheets,
bolted covers, nozzles, multi-purpose
nozzles, baffles, tie-rods, impingement
rods, sealing strips, sliding strips, bundle
pulling eye bolts, saddle support, lug sup-
port and skirt support (for large and long
exchangers). FIG. 1 illustrates a floating
head type heat exchanger and its major Saddle Floating head
parts/components. Tubesheet
Apart from designing components to
FIG. 1. Floating head heat exchanger.
comply with applicable pressure and coin-
Hydrocarbon Processing | APRIL 202237
 Heat Transfer

ing MAWP of the chamber. The MAWP heat exchangers in which the floating to use in the analysis rather than using the
of the chamber is the lowest MAWP of all head cover and flange, and tubes were TE at 20°C (68°F). This critical informa-
the parts that make up the chamber. Due designed without considering the full tion is available in ASME B 31.3 (Piping
to the complexity of expansion bellow vacuum on the shell side. Code)5 or any other reference book. This
calculations, the computer program may was clarified by ASME Code1 in the fol-
not be able to model the equipment inclu- Coefficient of thermal expansion lowing interpretation number 14-1240.
sive of the expansion bellow to determine (TE). The coefficient of thermal ex-
the shell-side MAWP. When any part of pansion (TE) is required to verify the Standard designation:
an exchanger is designed using an FEA, shell-side differential thermal expansion BPV Section VIII Div. 1
the pressure used in the FEA should be stresses. The TE values in Tables TE-1 Edition 2010/Addenda 2011
considered for MAWP calculation; other- to TE-5 of ASME Section II-D4 provide Paragraph/Figure/Table No.:
wise, a higher pressure may get stamped the values of TE coefficients for tempera- UHX-13
on the nameplate and ASME forms. tures down to 20°C (68°F). Subject description:
A similar situation may arise for When evaluating the need for the Axial differential thermal expansion
tube-side, single-pass, TEMA-type AES expansion bellow for heat exchangers in between tubes and shell
exchangers that are provided with tube- low-temperature and cryogenic service, Date issued: 04/08/2015
side internal expansion bellows. The bel- the TE at the mean metal temperature Record Number: 14-1240
lows are designed considering shell-side (MMT) of the materials should be used. Question (1): Are the rules in Part
and tube-side design conditions sepa- It is obvious that at lower temperatures, UHX valid if the MMT of the shell or
rately—it is possible that the internal materials will experience contraction tubes, or both, are below 20°C (68°F)?
bellows are not verified to shell-side and rather than expansion. A common un-
Reply (1): Yes
tube-side MAWPs. derstanding among code users is to apply
the proper value of TE from ASME Sec- Question (2): In accordance
Design of common elements. Regard- tion II-D (Material Properties) to per- with paragraph U-2(g) and the
ing design pressure for common elements, form mechanical design. However, TE Introduction to Subpart 2 Physical
such as tubes, tubesheet and floating head at MMT below 20°C (68°F) is not con- Properties Tables in Section II, Part
assembly, when a full vacuum exists on tained in ASME Section II-D because the D, may other sources be used for
the shell-side or tube-side (or both sides), Materials Code only provides TE down values of TE when the material or
vacuum pressure on one side should be to 20°C (68°F), while for this type of de- temperature is not listed in Tables TE
added to the design pressure of the oppo- sign condition it is necessary to use a TE of Section II, Part D?
site side to arrive at the final design pres- value of far below 20°C (68°F). Reply (2): Yes.
sure for the applicable side, according to If the TE at a sub-zero MMT is un-
UG-21 of the ASME Code.1 available, other references should be ex- In one project that contained fixed
The authors have encountered many plored to source TE at a sub-zero MMT tubesheet exchangers in cold service, it
was observed that the design calculation
report mentioned a TE value at 20°C
(68°F), even if the value of MMT was in
negative single or double digits because
the computer program referred to ASME
Section II, Part D database in which the
lowest temperature for TE is 20°C (68°F),
and the same was used for developing the
expansion bellow design. This led to a
bellow design with an incorrect number
of bellow convolutions.

Length of tube expansion for UHX

calculations. ASME and TEMA codes1,2
specify the tube expansion details with or
without grooves; however, light expan-
sion is not mentioned in either of these
codes. API Standard 6603 mentions
light expansion as one where tube wall
thinning is < 2%. In many instances, the
exchanger data sheet specifies strength
welded tubes to be lightly expanded for a
tube-to-tubesheet joint (TTSJ).
FIG. 2. Tube-to-tubesheet joint details: welded with light expansion (A) and expanded with The purpose of light expansion is to
two grooves (B).
establish metal-to-metal contact between
38APRIL 2022 | HydrocarbonProcessing.com
 Heat Transfer

tube and tubesheet. Light expansion of wall thinning of 5%—depending on the recommended. This type of inaccuracy
tubes in tube holes does not, in any ca- material of the tube and tubesheet. Of- will lead to a non-performing body flange
pacity, provide mechanical strength to ten, such expansion is provided with and is likely to jeopardize the exchanger.
overall TTSJ capacity except by
centering the tubes in the tube
holes and helping to reduce crev- While the tube-to-tubesheet joint, girth flange
ices (large gaps) between the tube
hole and the tube outside diam- and expansion bellow are the most critical
eter (OD). Mock-up tests for such components in an STHE, often the least attention is
a TTSJ do not include expansion
related parameters (torque, tube paid to these parts in the design and review process.
wall thinning, etc.), and the joint These components must be specified, designed and
is purely qualified considering the
weld for load carrying capacity. reviewed thoroughly to avoid loss of integrity.
ASME Code Part UHX calcu-
lations for tubesheets require the
length of tube expansion in the calcula- grooves in the tubesheet where tube Incorrect gasket factor “m” and
tions to be considered in those equations. material will flow during the expansion seating stress “Y” for a kammprofile
The description of ℓtx in nomenclature process. It is the engineer’s choice to take gasket. The value of “m” and “Y” for a
of UHX-5.1 emphasises various factors advantage of tube expansion in the tube kammprofile gasket varies from manu-
to be considered for expansion length, hole. As discussed earlier, light expan- facturer to manufacturer. To perform the
which is clearly shown in this excerpt sion does not contribute to the TTSJ mechanical design of a girth flange using a
from ASME Code:1 capacity. If the TTSJ is lightly expanded kammprofile gasket, the correct gasket fac-
ℓtx = expanded length of tube in tubes, the expansion length of the tubes tor “m” and seating stress “Y” values must
tubesheet (0 ≤ ℓtx ≤ h) [see Figure should not be considered in the calcula- be obtained from the manufacturer to en-
UHX-11.3-1, sketch (b)]. An tions (as its effect towards strengthening sure the production gasket specifications
expanded tube-to-tubesheet joint the tubesheet will be nearly “zero”). FIG. 2 match the values used in the design of the
is produced by applying pressure shows different types of commonly used girth flange for production. In one case,
inside the tube such that contact is tube-to-tubesheet joints in the industry. the mechanical design of a girth flange
established between the tube and The authors noted tubesheet calcula- with a kammprofile gasket was performed
tubesheet. In selecting an appropriate tions that were using the lightly expanded using “m” and “Y” values from internet
value of expanded length, the length of tubes in the equations and ar- sources; when the actual gasket manu-
designer shall consider the degree riving at thinner tubesheets to save mate- facturer’s certificate was received, the “m”
of initial expansion, differences in rial thickness and cost, jeopardizing the and “Y” values were larger compared to
thermal expansion, or other factors strength and long-term reliability of the those used in the design and construction
that could result in loosening of the TTSJ. In those examples, the tubesheets of the girth flange. The larger “m” and “Y”
tubes within the tubesheet. were calculated 20 mm thinner than values per the gasket manufacturer’s cer-
the actual required thickness computed tificate overstressed the flange, causing
If the length of light expansion is con- without considering the lightly expanded the already-manufactured girth flange to
sidered in the strength calculation of the length of tubes in the calculations. fail ASME Code requirements.
tubesheet, the tubesheet calculation will
provide significantly reduced required Incorrect flange finish. Kammprofile, Shell-side vent and drain nozzle for
thickness, as the equations are written so camprofile or “grooved” gaskets are made vertical fixed tubesheet heat ex-
that the expansion length will add to the of a grooved, solid metal core with soft changer. All chambers of shell-and-tube
strength of the tubesheet; however, the coating of suitable non-metallic sealing heat exchangers should be capable of be-
equations do not differentiate between layer(s) [graphite, polytetrafluoroeth- ing vented and drained independent of
light and heavy expansion and only ylene (PTFE), etc.] on each side. Ac- process piping. A fixed tubesheet heat ex-
heavy expansion will aid in strengthen- cording to API Standard 660, the gasket changer is often provided with vent and
ing the TTSJ. contact surface required for a kammpro- drain connections. For a horizontal ex-
The industry uses different termi- file gasket is 125 micro-in.–250 micro- changer, there are many location choices
nology for expansion, one being light in. However, the authors noted that for for the vent and drain nozzles; however,
expansion, or light-rolled and expanded some heat exchangers, a 63 micro-in. sur- for a vertical fixed tubesheet exchanger—
with or without groves. Light expan- face roughness finish was used for gasket if provided on the shell—there is always
sion is considered when tube thinning is faces. A flange gasket surface roughness some dead space left out without com-
1%–3%; mechanically, this aids the tube of 63 micro-in. is appropriate for solid plete venting and draining. The preferred
OD to contact the tubesheet hole inside metal gaskets, while a kammprofile gas- method is to provide vent and drain on
diameter (ID). ket uses solid metal (core) but has a soft the tubesheet rather than on the shell:
Conversely, tube expansion carried covering on the top and bottom faces; this allows complete venting and draining
out for strength purpose has a minimum therefore, a higher surface roughness is of shell-side fluid. Tubesheets are drilled
Hydrocarbon Processing | APRIL 202239
 Heat Transfer

vertically through half of the thickness flanged and flued joint, an internal sleeve baffle location. FIG. 4A illustrates an ac-
and then further drilled horizontally to is purposely required for mechanical rea- ceptable construction.
vent or drain out to the atmosphere, as sons and to support the baffle (as well as Design review experience is acquired
shown in FIG. 3; and a similar arrange- prevent the tube bundle from sagging) by continuous practice and improvement,
ment can be applied to drain nozzle. because a possibility exists that one or and the authors believe that the feedback
two baffles will most likely be located of uncommon lessons is helpful.
Lack of baffle support (to the tube- along the length of the expansion joint
bundle) due to a flanged and flued where a portion of cylindrical shell will Part 2 of this article will appear in the
expansion joint. A flanged and flued be unavailable due to placement of the May issue.
expansion joint is typically provided with expansion joint. Without a sleeve or lin-
an internal sleeve to assist the shell-side er, a baffle (or baffles) that falls within the LITERATURE CITED
1
flow; however, a sleeve may not be nec- ends of the flanged and flued joint will American Society of Mechanical Engineers
(ASME) Boiler and Pressure Vessel Code, Section
essary in a vertical exchanger. An internal lack shell support. The sleeve acts as the VIII, “Rules for construction of pressure vessels—
sleeve is necessary for process reasons to shell and provides mechanical support to Division 1,” New York, New York, July 2019.
minimize the frictional losses or pressure the tube bundle to resist gravity. 2
“Standards of the Tubular Exchangers
drop and ensure smooth shell-side flow. Without the sleeve, maldistribution Manufacturer’s Association Inc. (TEMA), 10th
Ed., 2019.
For horizontal exchangers with a of shell-side flow, resonant vibrations or 3
American Petroleum Institute (API) Standard
sagging of the tube bundle—or all these 660, “Shell-and-tube heat exchangers,” 9th Ed.,
LWN flange combined—can ultimately cause the ex- Washington, D.C., May 2020.
Hole for vent
Tubesheet
changer to fail. The authors encountered Complete literature cited available online at
some horizontal exchangers with flanged www.HydrocarbonProcessing.com.
and flued expansion joints in which inter- KUNTAK DARU is a Pressure Vessel
nal sleeves were not provided. Engineer with Air Products and
Consider FIG. 4C: a sleeve is still re- Chemicals Inc. Mr. Daru works
in the mechanical equipment
quired where baffles are clearing the ex- division of Air Products, supporting
pansion joint, which is not designed to engineering and design activities
share part of the bundle weight (acting of AP projects worldwide from
as a point load). For the situation shown the Houston, Texas location. Prior to working with
Shell
Air Products, Mr. Daru was a Technical Director in
in FIG. 4B, a sleeve is necessary to provide mechanical engineering at Fluor Corp. in Sugar Land,
FIG. 3. Vent and/or drain nozzle arrangement baffle support. Providing a sleeve will Texas. He has more than 30 yr of experience in the
for vertical heat exchanger. also give more flexibility with respect to engineering, designing and specifying of static
equipment in the refining, oil and gas, petrochemical
and chemical industries. Mr. Daru has produced more
than 10 publications in his field and holds a BS degree
in mechanical engineering from SVNIT in Surat, India.
Mr. Daru is a Registered Professional Engineer in the
states of Texas and Louisiana. The author can be
reached at [email protected].

ANILKUMAR PANCHAL is an
Independent Consultant in
Mumbai, India. He has more than
15 yr of hands-on experience as a
Mechanical Design Engineer in
butyl rubber, gasification, ethane
cracker, chlorinated PVC and various
revamp projects. He previously worked for L&T Heavy
Engineering, Bechtel India Ltd., Jacobs Engineering,
Reliance Industries Ltd. and KIPIC, Kuwait. He holds
a BS degree in mechanical engineering and an
MS degree in industrial process equipment design.
He is a Certified Chartered Engineer and Professional
Engineer in India. The author can be reached at
[email protected].

PUNITA GALA is a Senior Design

Engineer at Reliance Industries Ltd.
and is part of the project
management team. She has worked
on benzene recovery units, extract
hydrotreater units, SCAN-Finer
units, as well as pressure vessels,
shell-and-tube heat exchangers and packaged items.
Prior to Reliance Industries Ltd., she worked for
Bechtel India and Larsen & Toubro Ltd. Ms. Gala
graduated from L. D. College of Engineering,
FIG. 4. Acceptable construction of expansion bellow (A) and unacceptable construction (B and C).
Ahmedabad, India, in mechanical engineering.

40APRIL 2022 | HydrocarbonProcessing.com