11.03.

2025

PROCESS DESIGN
Prof. Dr. Mehtap Boroğlu

OBJECTIVE OF THIS COURSE LEARNING OUTCOMES

On successful completion of this course students will be able to:
1. Explain the fundamentals of process plant design; identify and explain the series of stages
• The objective of this course is to introduce undergraduate students of involves in a process plant design
2. Understand and demonstrate how to do a preliminary evaluation of economics and market of
chemical engineering to the fundamentals of process and plant design proposed plant
3. Understand and demonstrate basic engineering principles in a plant design.
when it comes to the design of new chemical plants, the expansion or 4. Develop and analyze flowsheet, material and energy balance of a proposed plant.
5. Evaluate design constraints
revision of existing ones. 6. Develop and evaluate data necessary for final design
7. Explain final cost and economic evaluation of a proposed plant
8. Identify and understand factors that affects location or siting of a plant
9. Do detailed engineering design and procurement analysis of a proposed plant.
10. Develop a preliminary environmental impact assessment of a proposed plant
11. Develop a comprehensive basic engineering design and design report of a proposed plant

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NATURE OF DESIGN What is Chemical Process?

A chemical process is a process which raw material are transformed or
• Chemical engineering has consistently been one of the highest paid
engineering professions. converted into desired product.

• There is a demand for chemical engineers in many sectors of industry,

including the traditional processing industries: chemicals, polymers, fuels,
foods, pharmaceuticals, and paper, as well as other sectors such as
electronic materials and devices, consumer products, mining and metals
extraction, biomedical implants, and power generation.

Strategies for Chemical Product Design Need for Process Design

Need To produce desired product

Ideas To convert a purchased raw material

Selection To convert a waste by-product to a valuable product

Manufacture To find a new way of producing an existing product

To exploit a new technology

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What is plant design? Definition of design

• Chemical engineering design of new chemical plants and the expansion or revision of
Design is a creative activity and is defined as the synthesis, the putting together of
existing ones require the use of engineering principles and theories combined with a
ideas to achieve a desired purpose. Also it can be defined as the creation of
practical realization of the limits imposed by industrial conditions.
manufacturing process to fulfill a particular need. The need may be public need or
• A successful chemical engineer needs more than a knowledge and understanding of the
commercial opportunity.
fundamental sciences and the related engineering subjects such as thermodynamics,
reaction kinetics, and computer technology.

• The engineer must also have the ability to apply this knowledge to practical situations for
the purpose of accomplishing something that will be beneficial to society.

What is a process design? General Structure of Plant

Process design establishes the sequence of chemical and physical

operations; operating conditions; the duties; major specifications and
materials of construction of all process equipment; the general
arrangement of equipment needed to ensure proper functioning of plant;
line sizes; and principal instrument.

The process design is summarized by a process flowsheet.

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CHEMICAL ENGINEERING PLANT DESIGN

• It is important to keep in mind that design problems are
Plant design includes all engineering aspects involved in the
open ended and may have many solutions that are attractive
development of either a new, modified, or expanded industrial plant.
and near optimal.
In this development, the chemical engineer will be making economic
• No two designers design a complex process following evaluations of new processes, designing individual pieces of equipment

exactly the same steps. for the proposed new venture, or developing a plant layout for
coordination of the overall operation.

CHEMICAL ENGINEERING PLANT DESIGN GENERAL OVERALL DESIGN CONSIDERATIONS

Because of these many design duties, the chemical engineer is many times referred to here as a The development of the overall design project involves many different design
design engineer.
considerations.
On the other hand, a chemical engineer specializing in the economic aspects of the design is often
referred to as a cost engineer. • environmental protection,
In many instances, the term process engineering is used in connection with economic evaluation and • safety and health needs of plant personnel and the public,
general economic analyses of industrial processes, while process design refers to the actual design of
the equipment and facilities necessary for carrying out the process. • plant location, plant layout, plant operation and control,
Similarly, the meaning of plant design is limited by some engineers to items related directly to the • utility requirements, structural design, storage
complete plant, such as plant layout, general service facilities, and plant location.
• buildings, materials handling, and patent considerations.

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Process Design Development

The development of a design project always starts with an initial idea or plan.

This initial idea must be stated as clearly and concisely as possible in order to define the
scope of the project.

General specifications and pertinent laboratory or chemical engineering data should be

presented along with the initial idea.

Here, a general survey of the possibilities for a successful process is made by considering
the physical and chemical operations involved as well as the economic aspects.

After that, a pilot plant or a commercial development plant may be constructed.

Flowsheet Development Computer-Aided Design

Once a need has been identified, the chemical engineer creates one or more
solutions to meet this need (different feeds and different intermediates to obtain the Computing hardware and software have become indispensable tools in process and plant design.

same products). The computer-aided process simulator is also a useful tool in preparing material and energy
balances.
Chemical engineer must establish separate flowsheets or road maps for each
This software is especially useful for mass and energy balances, approximate sizing of equipment,
solution.
cost estimating, and economic analysis steps of process design.
Only those simplified flowsheets that provide a favorable gross profit are retained; The capabilities provided by computers for rapid calculations, large storage, and logical decisions
the others are rejected. plus the available technical and mathematical software permit design engineers to examine the effect
that various design variables will have on the process or plant design and to be able to do this more
The material and energy balances are generally performed with the use of a
rapidly than was required in the past to complete a single design by hand calculation.
computer-aided process simulator.

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Cost Estimation Profitability Analysis of Investments

As mentioned earlier, no design project should proceed to the final stages before A major function of the directors of a chemical or biochemical company
costs are considered, and cost estimates should be made throughout all the early
is to maximize the long-term profit to the owners or the stockholders.
stages of the design, even when complete specifications are not available.

The chemical engineer (or cost engineer) must be certain to consider all possible
A decision to invest in fixed facilities carries with it the burden of
factors when making a cost analysis. Fixed costs, direct production costs for raw continuing interest, insurance, taxes, depreciation, manufacturing costs,
materials, labor, maintenance, power, and utilities must all be included along with etc., and reduces the fluidity of the company' s future actions.
costs for plant and administrative overhead, distribution of the final products, and
other miscellaneous items.

Optimum Design Optimum Economic Design

In almost every case encountered by a chemical engineer, there are several alternative One typical example of an optimum economic design is determining the pipe
methods which can be used for any given process or operation. For example, formaldehyde diameter to use when pumping a given amount of fluid from one point to another.
can be produced by catalytic dehydrogenation of methanol, by controlled oxidation of Here the same final result (i.e., a set amount of fluid pumped between two given
natural gas, or by direct reaction between CO and H, under special conditions of catalyst,
points) can be accomplished by using an infinite number of different pipe diameters.
temperature, and pressure.
However, an economic balance will show that one particular pipe diameter gives
the least total cost.
If there are two or more methods for obtaining exactly equivalent final results, the preferred
The total cost includes the cost for pumping the liquid and the cost (i.e., fixed
method would be the one involving the least total cost. This is the basis of an optimum
economic design. charges) for the installed piping system.

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As shown in this figure, the pumping cost

increases with decreased size of pipe diameter Optimum Operation Design
because of frictional effects, while the fixed
charges for the pipeline become lower when
smaller pipe diameters are used because of the Many processes require definite conditions of temperature, pressure, contact time, or
reduced capital investment. other variables if the best results are to be obtained. It is often possible to make a
partial separation of these optimum conditions from direct economic considerations.
The optimum economic diameter is located
where the sum of the pumping costs and fixed
In cases of this type, the best design is designated as the optimum operation design.
costs for the pipeline becomes a minimum, The chemical engineer should remember, however, that economic considerations
since this represents the point of least total ultimately determine most quantitative decisions.
cost. In Fig. l-l, this point is represented by E.
Thus, the optimum operation design is usually merely a tool or step in the
development of an optimum economic design.
FIGURE 1.1
Determination of optimum economic pipe diameter for constant mass-throughput
rate.

An excellent example of an Suppose that all the variables, such as converter

optimum operation design is the size, gas rate, catalyst activity, and entering-gas
determination of operating concentration, are tied and the only possible
conditions for the catalytic variable is the temperature at which the oxidation
oxidation of sulfur dioxide to occurs. If the temperature is too high, the yield of
sulfur trioxide. SO3, will be low because the equilibrium between
Line AB represents the SO2, SO3, and 02, is shifted in the direction of
maximum yields obtainable SO, and O2,. On the other hand, if the temperature
when the reaction rate is is too low, the yield will be poor because the
controlling, while line CD reaction rate between SO2, and O2, will be low.
indicates the maximum yields on Thus, there must be one temperature where The
the basis of equilibrium amount of sulfur trioxide formed will be a
conditions controlling. maximum.
Point 0 represents the optimum
FIGURE 1-2
FIGURE 1-2 operation temperature where the Determination of optimum operation temperature in sulfur dioxide converter.
Determination of optimum operation temperature in sulfur dioxide converter.
maximum yield is obtained.

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CHAPTER 2
HEALTH AND SAFETY HAZARDS
General Design Considerations
The potential health hazard to an individual by a material used in any chemical or biochemical process is a
The development of a complete plant design involves consideration of many function of the inherent toxicity of the material and the frequency and duration of exposure. It is common
practice to distinguish between the short-term and long-term effects of a material.
different topics.
A highly toxic material that causes immediate injury is classified as a safety hazard while a material whose
• health, safety, loss prevention, and environmental considerations. effect is apparent only after long exposure at low concentrations is considered as an industrial health and
hygiene hazard.
Other aspects that will be discussed briefly include; Both the permissible limits and the precautions to be taken to ensure that such limits will not be exceeded are
quite different for these two classes of toxic materials.
• plant location, plant layout, plant operation and control, utility use,
Information on the effects of many chemicals and physical agents is accessible through a number of computer
structural design, materials handling and storage, and patent
databases, such as TOXLINE and TOXNET.
considerations.

Sources of Exposure
The main objective of health hazard control is to limit the chemical dosage of a chemical by
minimizing or preventing exposure.

The most common and most significant source of workplace exposure to chemicals—and the most
difficult to control—is inhalation. Workers become exposed when the contaminant is picked up by
the air they breathe. Thus, an understanding of the sources of contaminants to which workers are
exposed is important for the recognition, evaluation, and control of occupational health hazards.
For example, mechanical abrasions of solid materials by cutting, grinding, or drilling can produce
small particles that can form an airborne dust cloud or solid aerosol.

Gases are usually stored or processed in closed systems. Contamination of air with such gas occurs
from fugitive emissions (leaks) or from venting. Essentially all closed systems leak to some degree.

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Control of Exposure Hazards

When it is concluded that an exposure problem exists, decisions need to

be made regarding the implementation of hazard control measures for
the purpose of reducing exposure and correspondingly reducing the
risks. However, a given set of exposure conditions does not lead to a
fixed set of control strategies. There are many options.
Since zero risk is not attainable, a decision must be made relative to the
degree of risk reduction that is to be attained.
The strategy selected must meet company safety standards, comply with
regulatory requirements, receive worker acceptability, and not adversely
impact production and operability.

Control of Exposure Hazards Control of Exposure Hazards

There are three general control principles utilized in reducing the exposure Various control options or combinations of options need to be selected
of workers to occupational health hazards. These involve to reduce the evaluated exposure level to an acceptable one.
• source controls, The best option or combination of options is then selected by means of a
• transmission barriers, and cost analysis.
• personal protection. The latter is most useful when comparing two or more options that have
In the first strategy, measures are taken to prevent the release of the toxic approximately an equal probability of reducing the exposure below an
contaminant to the air. appropriate occupational exposure limit.
The second strategy provides means for capturing or blocking the
contaminant before it reaches the worker. Costs, including capital and expense, of the various options may then be
The final strategy assumes the first two were unsuccessful and requires
compared by using such economic parameters as net present worth or
workers to wear some protective device to prevent contact with the toxic annualized cost.
contaminant.

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Fire and Explosion Hazards Fire and Explosion Hazards

Besides toxic emissions, fire and explosion are the two most dangerous While the minimum concentration required depends on the temperature
events likely to occur in a chemical plant. of the mixture and, to a lesser extent, on the pressure, greatest interest
Considerable resources are expended to prevent both of these hazards or generally is focused on the ignition conditions necessary at ambient
to control them when they do occur because of an accident. temperature.
These two hazards account for the major loss of life and property in the The minimum concentration of fuel in air required for ignition at
chemical and petroleum industry. ambient temperature is known as the lower flammable limit (LFL). Any
mixture of fuel and air below the LFL is too lean to burn.
For a fire to occur, there must be a fuel, an oxidizer, and an ignition
source. In addition, the combustion reaction must be self-sustaining. Conversely, the concentration above which ignition will not occur is
labeled the upper flammable limit (UFL).
If air is the oxidizer, a certain minimum concentration of fuel is
necessary for the flame to be ignited. There is also a concentration of oxidizer that must be present for
ignition, called the limiting oxygen index (LOI), with a meaning
analogous to the LFL.

Fire and Explosion Hazards Fire and Explosion Hazards

The flammability limits of mixtures can be estimated from the data for Fires are classified into four groups: Class A fires are those burning
individual fuels by using le Chatelier's principle; ordinary solids; class B fires are those burning liquids or gases; class C
fires are those that burn either class A or class B fuels in the presence of
live electric circuits; and class D fires consume metals.
Fire protection systems can be divided into two large categories:
where yi' is the mol fraction of each component of the fuel in the air and • passive and
LFLi is the corresponding LFL value for each component. • active.
A similar relationship can be used to estimate the UFL for a gas mixture. Active systems include such agents as water sprays, foam, and dry
If the concentration of a mixture of fuel gases is known, the LFL and chemicals; these require that some action be taken, either by plant
UFL for the mixture can be approximated from; personnel or as a response by an automatic fire protection system.
Passive fire protection systems do not require any action at the time of
the fire. They are designed and installed at the time the plant is built and
remain passively in place until needed.

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Fire and Explosion Hazards Safety Regulations

One example of passive fire protection is insulating material (called Two of the standards directly related to worker health and important in
fireproofing) that is applied to steel structural members and equipment design work are Toxic Hazardous Substances and Occupational Noise
supports in the plant. The time required for unprotected steel supports to Exposure.
fail during a fire is rather short. The first concerns the normal release of toxic and carcinogenic
substances, carried via vapors, fumes, dust fibers, or other media.
Fireproofing can significantly extend the failure time and provide
additional time for firefighters to reach the scene, apply cooling water to Compliance with the act requires the designer to make calculations of
the supports, and bring the fire under control. concentrations and exposure time of plant personnel to toxic substances
during normal operation of a process or plant. These releases could
An explosion is a sudden and generally catastrophic release of energy, emanate from various types of seals and from control-valve packings or
causing a pressure wave. other similar sources.
An explosion can occur without a fire, such as the failure through Normally, the designer can meet the limits set for exposure to toxic
overpressure of a steam boiler. substances by specifying special valves, seals, vapor recovery systems,
and appropriate ventilation systems.

Safety Regulations LOSS PREVENTION

The Occupational Noise Exposure standard requires a well-planned, The phrase loss prevention in the chemical industry is an insurance
timely execution of steps to conform to the 90-dBA rule in the design term where the loss represents the financial loss associated with an
stages of a project. accident.
Since many cities have adopted EPA's recommended noise-level This loss not only represents the cost of repairing or replacing the
criteria, or have stringent regulations of their own, design-stage noise damaged facility and taking care of all damage claims, but also includes
control must also consider noise leaving the plant. the loss of earnings from lost production during the repair period and
Noise control should be considered at the design stage. any associated lost sales opportunities.
As noted in the previous section, there are numerous hazards associated
with chemical processing.

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LOSS PREVENTION LOSS PREVENTION

Loss prevention in process design can be summarized under the The major weakness of the latter approach is that items not on the
following broad headings: checklist can easily be over looked.
1. Identification and assessment of the major hazards.
2. Control of the hazards by the most appropriate means, for example, The more formalized hazard assessment techniques include, but are not
containment, substitution, improved maintenance, etc. limited to, hazard and operability (HAZOP) study, fault-tree analysis
3. Control of the process, i.e., prevention of hazardous conditions in (FTA), failure mode and effect analysis (FMEA), safety indexes, and
process operating variables by utilizing automatic control and relief safety audits.
systems, interlocks, alarms, etc.
4. Limitation of the loss when an incident occurs.

HAZOP Study HAZOP Study

The hazard and operability study, commonly referred to as the HAZOP This is accomplished by fully defining the intent of each segment and
study, is a systematic technique for identifying all plant or equipment then applying guide words to each segment as follows:
hazards and operability problems. No or not - No part of the intent is achieved, and nothing else
In this technique, each segment (pipeline, piece of equipment, occurs (e.g., no flw).
instrument, etc.) is carefully investigated, and all possible deviations More - quantitative increase (e.g., higher temperature).
from normal operating conditions are identified. Less - quantitative decrease (e.g., lower pressure).
These guide words are applied to flow , temperature, pressure, liquid As well as - qualitative increase (e.g., an impurity).
level, composition, and any other variable affecting the process. Part of - qualitative decrease (e.g., only one of two components
The results of these deviations on the process are then assessed, and the in a mixture).
measures needed to detect and correct the deviations are established. Reverse - opposite (e.g., backflow).
Other than - No part of the intent is achieved, and something
completely different occurs (e.g., flow of wrong material).

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HAZOP Study
Since a majority of the chemical process industry now uses some version of HAZOP
for all new facilities and selectively uses it on existing ones, an example of this
technique, as originally described by Ozog, is given in the following paragraphs.
Assume that a HAZOP study is to be conducted on a new flammable reagent storage
tank and feed pump, as presented by the piping and instrument diagram shown in
Fig. 2-1.
Since process and operating procedure changes are often made during or shortly
after plant start-up, it is strongly advised that hazard assessment not stop after
start-up.
Rather, periodic hazard assessment studies should be used to define the hazard
potential of such changes throughout the life of the facility.
The average time between reviews is about 3 years; more-hazardous facilities are
reviewed more frequently. Figure 2-1: Piping and instrumentation diagram used in HAZOP example

ENVIRONMENTAL PROTECTION
Because of the greater concern for the continued degradation of the
environment, the Environmental Protection Agency has systematically
been rewriting and tightening many policies and regulations.
Early effects of the agency designed to protect the environment focused
on the removal of pollutants from gas, liquid, and solid waste streams.
The effort through the passage of the Pollution Prevention Act of 1990
has now been shifted to waste minimization through waste reduction
and pollution prevention.

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PLANT LOCATION PLANT LOCATION

The geographic location of a final plant can have a strong influence on 1. Raw materials availability
the success of an industrial venture. 2. Markets
3. Energy availability
Considerable care must be exercised in selecting the plant site, and
many different factors must be considered. 4. Climate
5. Transportation facilities
Primarily, the plant should be located where the minimum cost of 6. Water supply
production and distribution can be obtained; but other factors, such as
room for expansion and safe living conditions for plant operation as 7. Waste disposal
well as the surrounding community, are also important. 8. Labor supply
9. Taxation and legal restrictions
10. Site characteristics
11. Flood and fire protection
12. Community factors

Selection of the Plant Site PLANT LAYOUT

The major factors in the selection of most plant sites are; After the process flow diagrams are completed and before detailed piping, structural, and
electrical design can begin, the layout of process units in a plant and the equipment within
these process units must be planned.
(1) raw materials,
1. New site development or addition to previously developed site
(2) markets, 2. Type and quantity of products to be produced
(3) energy supply, 3. Type of process and product control
4. Operational convenience and accessibility
(4) climate, 5. Economic distribution of utilities and services
(5) transportation facilities, and 6. Type of buildings required and building code requirements
7. Health and safety considerations
(6) water supply. 8. Waste disposal requirements
For a preliminary survey, the first four factors should be considered. 9. Auxiliary equipment
10. Space available and space required
11. Roads and railroads
12. Possible future expansion

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DEVELOPMENT OF DESIGN DATABASE

CHAPTER 3 Literature Survey

A primary source of information on all aspects of chemical engineering
principles, design, costs, and applications is Perry's Chemical
Engineers' Handbook (1997).
Process Design Development Other handbooks and reference texts well known to chemical engineers
include the Handbook of Chemistry and Physics (published annually
by CRC Press), Chemical Processing Handbook (1993), Unit
Operations Handbook (1993), Riegel's Handbook of Industrial
Chemistry (1992), JANAF Thermochemical Tables (1985), Handbook
of Reactive Chemical Hazards (1990), Standard Handbook of
Hazardous Waste Treatment and Disposed (1989), and Data for
Process Design and Engineering Practice (1995).

DEVELOPMENT OF DESIGN DATABASE DEVELOPMENT OF DESIGN DATABASE

Literature Survey Patent Search
In addition to the data available from the literature, extensive databases Design engineers must be aware of patents to avoid duplication of
for some 2000 compounds are provided by process simulators such as designs protected by these patents.
ASPEN PLUS, HYSYS, CHEM CAD, and PRO-II. However, expired patents can provide helpful information in the design
of second-generation processes to produce these chemicals or chemicals
These are very useful since they are accessed by large libraries of that have similar properties or chemical reactions.
programs that carry out material and energy balances as well as make Patents from the United States, Germany, Japan, and other countries are
estimates of equipment sizes and costs. available in major libraries from which copies may be obtained.
Since the early 1990s, patents have also become available on the
Internet.

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PROCESS CREATION PROCESS CREATION

Batch Versus Continuous Operation Batch Versus Continuous Operation
In general, continuous processing is the preferred mode of operation used in The choice between continuous or batch as well as semicontinuous
the production of commodity chemicals, petroleum products, plastics, paper,
solvents, etc., because of reduced labor costs, improved process control, and processing is commonly made very early in the process synthesis step.
more uniform product quality. Normally, continuous processing is assumed unless a qualitative
However, batch and semicontinuous processes are often utilized when analysis indicates that batch or semicontinuous processing provides a
production rates are small, such as in the manufacture of specialty chemicals, better mode of operation.
pharmaceuticals, and electronic materials, or when the product demand is
intermittent. Besides in the case of low or intermittent demand, the design engineer
This is particularly true when the demand for the product is interspersed with may opt for batch and semicontinuous operation when the process
the demand for one or more other products that can be manufactured using involves hazardous or toxic chemicals or when safety of the process is a
essentially the same processing equipment. In such cases, the processing major concern.
equipment is cleaned between batches and used alternately to carry out the
steps involved in the production of different products.

PROCESS CREATION PROCESS CREATION

Process Synthesis Steps Process Synthesis Steps
The next step in process synthesis involves the selection of processing
operations to convert the raw material to products. The basic processing Most chemical engineering equipment involves one or more of these
operations listed below are used to eliminate property differences between basic programming operations.
inlet and outlet streams.
Synthesis step Basic processing operation For example, reactors are used in a chemical process to eliminate
Molecular change Chemical reaction differences in the molecular structure between the raw material and
Composition change Separation of mixture product streams (reaction rates, competing side reactions, and the
existence of reversible reactions).
Phase elimination Phase separation
Temperature difference Change in temperature In essence, the process operations are inserted with the goal of reducing
Pressure difference Change in pressure the differences in molecular structure, composition, phase, temperature,
Phase difference Change in phase pressure, etc., until the process stream leaving the last process operation
Distribution change Mixing of streams is identical to that required by the desired product.

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PROCESS DESIGN PROCESS DESIGN

Quite often the process creation step, after elimination of the less
profitable processes, still provides several entirely different processing
flowsheets for the manufacture of the same product.
These processes must be compared in order to select the one that is best
suited for the existing conditions.
This comparison certainly can be accomplished through the
development of complete designs for each process.
In many cases, however, all but one or two of the potential processes
can be eliminated by a weighted comparison of the essential variable
items, and detailed design calculations for each process will not be
required.
The following items should be considered in a comparison of this type:

Types of Process Designs Types of Process Designs

Depending on the accuracy and detail required, design engineers Preliminary designs are ordinarily used as a basis for determining
generally classify process designs in the following manner: whether further work should be done on a proposed process.
1. Order-of-magnitude designs If the results of the preliminary design show that further work is
2. Study or factored designs justified, a detailed-estimate design may be developed.
3. Preliminary designs When the detailed-estimate design indicates that the proposed project
should be a commercial success, the final step before developing
4. Detailed-estimate designs construction plans for the plant is the preparation of a final process
5. Final process designs design. Complete specifications are presented for all components of the
The first two types really are not process designs themselves, but are plant, and accurate costs based on quoted prices are obtained.
quick estimating procedures that sometimes are used to determine the The final process design includes detailed printouts and sufficient
level of investment required for a proposed design project. information to permit immediate development of the final plans used
during the construction phase of the project.

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Preliminary Design Preliminary Design

The first step in preparing the preliminary design is to establish the bases for 1. Columns (distillation): In addition to the number of plates and operating
design. conditions it is necessary to specify the column diameter, materials of construction,
plate layout, etc.
In addition, the design can be controlled by such items as the expected 2. Vessels: In addition to size, which is often dictated by the holdup time desired,
annual operating factor, temperature of the cooling water, available steam materials of construction and any packing should be specified.
pressures, fuel used, value of by-products, etc. 3. Reactors: Catalyst type and size, bed diameter and thickness, heat-transfer
configuration, cycle and regeneration arrangements, materials of constructions, etc.,
The next step consists of preparing a simplified flow diagram showing the must be specified.
processes that are involved and deciding upon the unit operations that will be 4. Heat exchangers and furnaces: Manufacturers are usually supplied with the
required. duty, corrected log mean-temperature difference, percent vaporized, pressure drop
desired, and materials of construction.
Flow rates and stream conditions for the remaining cases are now evaluated
by complete material balances, energy balances, and a knowledge of raw 5. Pumps and compressors: Specify type, power requirement, pressure difference,
material and product specifications, yields, reaction rates, and time cycles. gravities, viscosities, and working pressures.
6. Instruments: Designate the function and any particular requirements.
The temperature, pressure, and composition of every process stream are 7. Special equipment: Provide specifications for mechanical separators, mixers,
determined. Stream enthalpies; percent vapor, liquid, and solid; heat duties; dryers, etc.
and so on are included where pertinent to the process.

Detailed-Estimate Design Final Process Design

The preliminary design and the associated process development work provide The final process design (or detailed design) is prepared for purchasing and
sufficient information necessary for a detailed-estimate design. construction from a detailed-estimate design.
The following factors should be established within narrow limits before a Detailed drawings are made for the fabrication of special equipment, and
detailed estimate design is developed: specifications are prepared for purchasing standard types of equipment and
1. Manufacturing process materials.
2. Material and energy balances A complete plant layout is prepared, and printouts and instructions for
construction are developed. Piping diagrams and other construction details
3. Temperature and pressure ranges are included. Specifications are given for warehouses, laboratories,
4. Raw material and product specifications guardhouses, fencing, change houses, transportation facilities, and similar
5. Yields, reaction rates, and time cycles items.
6. Materials of construction The final process design must be developed with the assistance of individuals
skilled in various engineering fields, such as architectural, ventilating,
7. Utilities' requirements electrical, and civil. Safety conditions and environmental impact factors must
8. Plant site always be included in the design.

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FLOWSHEET DESIGN FLOWSHEET DESIGN

For many years the chemical engineer has used flow diagrams to show
the sequence of equipment and unit operations involved in the overall
process, principally to simplify visualization of the manufacturing
The most effective way of communicating procedures and indicate the quantities of materials and energy that were
information about a process is through transferred.
the use of flow diagrams. In this chapter, we concentrate on three diagrams that are important to
chemical engineers:
• Block Flow Diagrams (BFD)
• Process Flow Diagrams (PFD)
• Piping and Instrument Diagrams (P&ID)
R. Turton and J. A. Shaeiwitz
Of these three diagrams, we will find that the most useful to chemical
Chapter 1 Diagrams for Understanding Chemical
Processes engineers is the PFD. The understanding of the PFD represents a central
goal of this textbook.

1. Block Flow Diagrams (BFDs) 1. Block Flow Diagrams (BFDs)

• Is the simplest flowsheet. Block flow diagrams consisted of a series of blocks representing different
equipment or unit operations that were connected by input and output
• Process engineer begins the process design with a block diagram in streams.
which only the feed and product streams are identified. Important information such as operating temperatures, pressures,
• Input-output diagrams are not very detailed and are most useful in conversions, and yield was included on the diagram along with flowrates and
early stages of process development. some chemical compositions.
However, the diagram did not include any details of equipment within any of
• Flow of raw materials and products may be included on a BFD. the blocks.
• The processes described in the BFD, are then broken down into basic The block flow diagram can take one of two forms.
functional elements such as reaction and separation sections. First, a block flow diagram may be drawn for a single process.
• Also identify the recycle streams and additional unit operations to Alternatively, a block flow diagram may be drawn for a complete chemical
achieve the desired operating conditions. complex involving many different chemical processes.
We differentiate between these two types of diagram by calling the first a
block flow process diagram and the second a block flow plant diagram.

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1. Block Flow Diagrams (BFDs) 1. Block Flow Diagrams (BFDs)

BFD shows overall processing picture of a chemical complex. • Emphasis not on details regarding the blocks; rather, concentration on
flow of streams through the process.
• Flow of raw materials and products may be included on a BFD Table 1.1 Conventions and Format Recommended for Laying Out a
Block Flow Process Diagram
• Operations shown by blocks
• BFD is a superficial view of facility • Major flow lines shown with arrows giving direction of flow
• Flow goes from left to right whenever possible
• Light streams toward top, heavy streams toward the bottom
Creating a BFD is often one of the first steps in developing a
chemical process. Different alternatives can be easily and • Critical information unique to the process supplied (i.e., reaction
inexpensively compared at an early stage using simple BFDs. stoichiometry, conversion)
Once alternatives have been chosen, the BFD serves as a
starting point for a complete process flow diagram (PFD). • Avoid crossing lines. When necessary, horizontal continuous, vertical
broken.
The simplest form of BFD, the I/O (input/output) diagram • Simplified material balance (overall)

1. Block Flow Diagrams (BFDs)

Example 1: Production of Benzene Toluene and hydrogen are used as feed stocks for the
production of benzene.
The toluene and hydrogen are sent to a reactor, and the
effluent is sent to a gas separator where the
noncondensable gases are discharged from the system.
The bottoms of the separator provides a liquid feed to a
still where the lighter benzene gas is collected as the
distillate and the bottom toluene draw is recycled back
into the reactor.
The BFD provided shows the reaction, the stream
names, and the mass flow of the inlets and outlets.
There are many components of this system (heat
exchangers and pumps, etc.) that are not represented
because they are not vital for an understanding of the
main features of the process.
Figure 1.1 Block Flow Process Diagram for the Production of Benzene

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1. Block Flow Diagrams (BFDs) 2. Process Flow Diagram (PFD)

Example 2: Oxidation of Propene to Acrylic Acid Propane is dehydrogenated to propene, which is A Process Flow Diagram generally includes following information;
oxidized to acrolein first and then further oxidized to
acrylic acid. • Flow rate of each stream in case of continuous process or quality of
The products are separated in the end to give acrylic each reactant in case of a batch process.
acid and various by-products. • Composition streams.
The by-products are further separated to yield a propane
recycle stream. • Operating conditions of each stream such as pressure, temperature,
concentration, etc.
Each block in the BFD provided shows what each
individual unit is doing along every step of the process. • Heat added or removed in a particular equipment.
It also shows inlet and outlet streams, as well as
byproducts and recycle streams. • Flows of utilities such as stream, cooling water, brine, hot oil, chilled
A BFD in this style is helpful so that all materials can
water, thermal fluid, etc.
be seen, every step of the process is outlined, and • Major equipment symbols, names and identification.
byproducts can be taken into consideration for waste
removal/treatment. • Any specific information which is useful in understanding the
Figure 3. Block flow process diagram for the production of acrylic acid process. For example, symbolic presentation of a hazard, safety
(Khoobiar et al., 1984) precautions, sequence of flow, etc.

2. Process Flow Diagram (PFD) 1.2 Process Flow Diagram (PFD)

The PFD contains most of the Chemical Engineering data necessary for The basic information provided by a PFD can be categorized into one
design of a chemical process. of the following:
PFDs contain more information than the block flow diagrams from which 1. Process topology
they are derived.
They show more detail about major equipment, subsystems and the flow of 2. Stream information
product between them. 3. Equipment information
A typical PFD contains equipment symbols connected by process lines where We will look at each aspect of the PFD separately.
temperature and pressure information are shown on the line itself.
You can easily refer the properties of a particular stream through stream After we have addressed each of the three topics, we will bring all the
number. For designing a P&ID, equipment layout PFD is mandatory. information together and present the PFD for the benzene process.
It is clear that the PFD is a complex diagram requiring a substantial effort to
prepare.
It is essential that it should remain uncluttered and be easy to follow, to avoid
errors in presentation and interpretation.

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2. Process Flow Diagram (PFD)

2. Process Flow Diagram (PFD)
• Process Topology
• Process Topology
Figure 1.3 shows a skeleton process flow • Equipment identified by “Icons” representing a unit operation (no standard, but we will
diagram for the production of benzene.
use that established by the text)
This skeleton diagram illustrates the • Equipment numbering system: XX-YZZ A/B
location of the major pieces of
equipment and the connections that the • XX – equipment classification
process streams make between • Y – area located within plant
equipment.
• ZZ – equipment piece number designation
The location of and interaction between • A/B – identifies parallel units (common with pumps)
equipment and process streams are
referred to as the process topology.
Equipment is represented symbolically
Figure 1.3 Skeleton Process Flow Diagram (PFD) for the by “icons” that identify specific unit
Production of Benzene via the Hydrodealkylation of operations.
Toluene

2. Process Flow Diagram (PFD) 2. Process Flow Diagram (PFD)

Table 1.2 Conventions Used for Identifying Process Equipment

Figure 1.4 contains a list of the

symbols used in process diagrams.
This list covers more than 90% of Figure 1.3 shows that each major piece
those needed in fluid (gas or liquid) of process equipment is identified by a
number on the diagram.
processes.
The convention for formatting and
identifying the process equipment is
given in Table 1.2.
Table 1.2 provides the information
necessary for the identification of the
process equipment icons shown in a
PFD.

Figure 1.4 Symbols for Drawing Process Flow Diagrams

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2. Process Flow Diagram (PFD) 2. Process Flow Diagram (PFD)

As an example of how to use this information, consider the unit operation P- During the life of the plant, many modifications will be made to the
101A/B and what each number or letter means. process; often it will be necessary to replace or eliminate process
P-101A/B identifies the equipment as a pump. equipment.
P-101A/B indicates that the pump is located in area 100 of the plant.
P-101A/B indicates that this specific pump is number 01 in unit 100. When a piece of equipment wears out and is replaced by a new unit that
P-101A/B indicates that a backup pump is installed. Thus, there are provides essentially the same process function as the old unit, then it is not
two identical pumps P-101A and P-101B. One pump will be operating while uncommon for the new piece of equipment to inherit the old equipment’s
the other is idle. name and number (often an additional letter suffix will be used, e.g., H-101
might become H-101A).
Pump P-101 is called the “toluene feed pump” This name will be On the other hand, if a significant process modification takes place, then it
commonly used in discussions about the process and is synonymous with P- is usual to use new equipment numbers and names.
101.

2. Process Flow Diagram (PFD) 2. Process Flow Diagram (PFD)

• Stream Information • Stream Information

Referring back to Figure 1.3, it can be seen that each of the process
streams is identified by a number in a diamond box located on the Also identified in Figure 1.3 are utility streams. Utilities are needed
stream. services that are available at the plant.
Chemical plants are provided with a range of central utilities that
The direction of the stream is identified by one or more arrowheads. include electricity, compressed air, cooling water, refrigerated water,
steam, condensate return, inert gas for blanketing, chemical sewer,
waste water treatment, and flares.
The process stream numbers are used to identify streams on the PFD,
and the type of information that is typically given for each stream is A list of the common services is given in Table 1.3, which also provides
discussed in the next section. a guide for the identification of process streams.

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Table 1.3 Conventions for Identifying Process and Utility

Streams

2. Process Flow Diagram (PFD)

Each utility is identified by the • Stream Information

initials provided in Table 1.3. As • May be included directly on diagram for small processes
an example, let us locate E-102 in • Included in an attached stream summary table for larger processes
Figure 1.3. • Information essential to the diagram includes:
Stream number
The notation, cw, associated with
Temperature
the nonprocess stream flowing
Pressure
into E-102 indicates that cooling
Vapor fraction
water is used as a coolant.
Total mass flow rate
Total mole flow rate
Individual component flow rates

Stream Information
• Since diagrams are small, not much stream information can be included
• Include important data – around reactors and towers, etc.
• Flags are used – see toluene HDA diagram
• Full stream data, as indicated in Table 1.4, are included in a separate flow
summary table – see Table 1.5
• It is divided into two groups—required information and optional
information—that may be important to specific processes.

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Table 1.4 Information Provided in a Flow Summary

Table 1.5 Flow Summary Table for the Benzene Process Shown in Figure 1.3 (and Figure 1.5)
The stream information that is normally
given in a flow summary table is given in
Table 1.4.

It is divided into two groups—required

information and optional information—
that may be important to specific
processes.

With information from the PFD (Figure

1.3) and the flow summary table (Table
1.5), problems regarding material
balances and other problems are easily
analyzed.

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Example 1.2
Check the overall material balance for the benzene process shown in Figure 1.3.
From the figure, we identify the input streams as Stream 1 (toluene feed) and Stream 3
(hydrogen feed) and the output streams as Stream 15 (product benzene) and Stream 16 (fuel
gas). From the flow summary table, these flows are listed as (units are in (103 kg)/h):

Input: Output:
Stream 3 - 0.82 Stream - 15 8.21
Stream 1 - 10.00 Stream - 16 2.61
Total - 10.82 ×103 kg/h Total - 10.82 ×103 kg/h

Balance is achieved since Output = Input.

Figure 1.3 Skeleton Process Flow Diagram (PFD) for the Production of Benzene via the Hydrodealkylation of
Toluene

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Table 1.6 Equipment Descriptions for PFD and PIDs

Equipment Information
The final element of the PFD is the equipment summary.
The information presented in Table 1.6 is used in
This summary provides the information necessary to estimate the costs of preparing the equipment summary portion of the PFD
equipment and furnish the basis for the detailed design of equipment. for the benzene process.

Table 1.6 provides the information needed for the equipment summary for
most of the equipment encountered in fluid processes. The equipment summary for the benzene process is
presented in Table 1.7, and details of how we estimate
and choose various equipment parameters are discussed
in Chapter 11.

Table 1.7 Equipment Summary for Toluene Hydrodealkylation PFD (Benzene process )
Combining Topology, Stream Data, and Control Strategy to
Give a PFD
Up to this point, we have kept the amount of process information displayed on
the PFD to a minimum.
A more representative example of a PFD for the benzene process is shown in
Figure 1.5.
This diagram includes all of the elements found in Figure 1.3, some of the
information found in Table 1.5, plus additional information on the major
control loops used in the process.

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Figure 1.5 Benzene Process Flow Diagram (PFD) for the

Production of Benzene via the Hydrodealkylation of Figure 1.6 Symbols for Stream Identification
Toluene

Figure 1.6 illustrates all the flags used in this text.

Stream information is added to the diagram
by attaching “information flags.” These information flags play a dual role. They provide
information needed in the plant design leading to plant
The shape of the flags indicates the construction and in the analysis of operating problems
specific information provided on the flag. during the life of the plant.

Figure 1.6 illustrates all the flags used in Flags are mounted on a staff connected to the appropriate
this text. process stream. More than one flag may be mounted on a
staff.

Example 1.4 illustrates the different information displayed

on the PFD.

Example 1.4 Example 1.5

We locate Stream 1 in Figure 1.5 and note that immediately following the stream identification diamond a staff is affixed. This staff carries three Acrylic acid is temperature sensitive and polymerizes at 90°C when present in high concentration.
flags containing the following stream data:
1. Temperature of 25°C It is separated by distillation and leaves from the bottom of the tower.
2. Pressure of 1.9 bar
3. Mass flow rate of 10.0 × 103 kg/h In this case, a temperature and pressure flag would be provided for the stream leaving the reboiler.

The units for each process variable are indicated in the key provided at the left-hand side of Figure 1.5. With the addition of the process control Example 1.7
loops and the information flags, the PFD starts to become cluttered.
The pressures of the streams to and from R-101 in the benzene process are also important. The difference in pressure
Therefore, in order to preserve clarity, it is necessary to limit what data are presented with these information flags. between the two streams gives the pressure drop across the reactor.
Fortunately, flags on a PFD are easy to add, remove, and change, and even temporary flags may be provided from time to time.
This, in turn, gives an indication of any maldistribution of gas through the catalyst beds. For this reason, pressure flags
The information provided on the flags is also included in the flow summary table. are also included on Streams 6 and 9.

However, often it is far more convenient when analyzing the PFD to have certain data directly on the diagram. Of secondary importance is the fact that flags are useful in reducing the size of the flow summary table.

Not all process information is of equal importance. General guidelines for what data should be included in information flags on the PFD are For pumps, compressors, and heat exchangers, the mass flows are the same for the input and output streams, and complete
difficult to define. entries in the stream table are not necessary.
However, at a minimum, information critical to the safety and operation of the plant should be given.
If the input (or output) stream is included in the stream table, and a flag is added to provide the temperature (in the case of
This includes temperatures and pressures associated with the reactor, flowrates of feed and product streams, and stream pressures and temperatures a heat exchanger) or the pressure (in the case of a pump) for the other stream, then there is no need to present this stream
that are substantially higher than the rest of the process. Additional needs are process specific. in the flow summary table. Example 1.8 illustrates this point.

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Process Flow Diagram (PFD) Process Flow Diagram (PFD)

Figure C.1 Process Flow Diagram for the Production of Allyl

Chloride (Reaction Section) Figure C.3 Separations Section of Allyl Chloride Production Facility (Unit 600)

Process Flow Diagram (PFD) Process Flow Diagram (PFD)

PURGE
92% flow
H2RCY VFLOW

H2IN H2RCY
T = 120°F
P = 335 psi FEED-MIX REACT
Flow = 330 lbmol/hr HP-SEP
xH2 = 0.97
xN2 = 0.01
RXIN RXOUT T = 120°F
xCH4 = 0.02 P = 5 psi
T = 300°F T = 400°F
P = 330 psi  P = 15 psi
benzene LIQ
conv. = 0.998
BZIN
T = 100°F 30% flow
CHRCY COLFD
P = 15 psi
100 lbmol /hr benzene LFLOW

LTENDS
Nstage = 12
RR = 1.2
Specify cyclohexane mole Mole-B = 99 lbmol /hr
recovery of 0.9999 by varying DV:D = 1
Mole-B from 97 to 101 lbmol /hr P = 200 psi COLUMN
Feed Stage = 8

PRODUCT

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Process Flow Diagram (PFD)

hydrogen
vent to flare
cooling
water in 1.3 Process & Instrumentation Diagram (P&ID)
steam

cooling
water out process
condensate
propylene
• The piping and instrumentation diagram (P&ID), also known as mechanical flow
to treatment
cylinders
propylene recycle
toluene
diagram (MFD), provides information needed by engineers to begin planning for
the construction of the plant.
vent to flare
toluene tanker
cooling water in
T-200
K2CO3

• Support documents of the PFD used for planning for plant construction and
M cooling water out
PI

maintaining the plant thereafter

steam

• Each PFD requires many P&IDs to provide the necessary data

TI
steam
steam

R-200/300 brine out

steam brine in
TI

Na tank condensate
cw out
cw in
• The P&ID includes every mechanical aspect of the plant except the information
given in Table 1.8.
condensate

R-100 s.c.

T-100

• The general conventions used in drawing P&IDs are given in Table 1.9.
cooling water in intermediate
cooling water out storage

electric
steam
TI

condensate

IBB product receiver

Process & Instrumentation Diagram (P&ID)

• contains every mechanical aspect of the plant expect for

• Operating conditions
• Stream flows
• Equipment locations
• Pipe routing (lengths and fittings)
• Supports, structures, and foundations

• referred to as the Mechanical Flow Diagram

• Equipment: Spare units, parallel units, detail summary of each unit
• Piping: Size, schedule, MOC, insulation (thickness, type)
• instrumentation: Indicators, recorders, controllers, instrument lines
• Utilities: Entrance and exit utilities, exit to waste treatment facilities

• show where data is collected and/or recorded and how that information is
handled

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Figure 1.7 Piping and Instrumentation Diagram for Benzene Distillation (adapted from Kauffman, D,
“Flow Sheets and Diagrams,” AIChE Modular Instruction, Series G: Design of Equipment, series editor
J. Beckman, AIChE, New York, 1986, vol 1, Chapter G.1.5, AIChE copyright © 1986 AIChE, all rights Process & Instrumentation Diagram (P&ID)
reserved)

The P&ID presented in Figure 1.7 provides

information on the piping, and this is
included as part of the diagram.

As an alternative, each pipe can be

numbered, and the specifics of every line
can be provided in a separate table
accompanying this diagram.

When possible, the physical size of the larger-

sized unit operations is reflected by the size of
the symbol in the diagram.

Process & Instrumentation Diagram (P&ID) Process & Instrumentation Diagram (P&ID)

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Process & Instrumentation Diagram (P&ID) Process & Instrumentation Diagram (P&ID)
Conventions Used for Identifying Instrumentation on P&IDs
All process information that can be measured in
Utility connections are the plant is shown on the P&ID by circular
identified by a numbered flags.
box in the P&ID.
This includes the information to be recorded and
The number within the used in process control loops.
box identifies the specific
utility. The circular flags on the diagram indicate where
the information is obtained in the process and
The key identifying the identify the measurements taken and how the
information is dealt with.
utility connections is
shown in a table on the Table 1.10 summarizes the conventions used to
P&ID. identify information related to instrumentation
and control.

Process & Instrumentation Diagram (P&ID)

Table 1.10 Conventions Used for Identifying

Instrumentation on P&Ids.

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Process & Instrumentation Diagram (P&ID) Valve Symbols It is worth mentioning that in
virtually all cases of process control
in chemical processes, the final
control element is a valve.
Thus, all control logic is based on the
effect that a change in a given
flowrate has on a given variable.
The key to understanding the control
logic is to identify which flowrate is
being manipulated to control which
variable.
Once this has been done, it is a
relatively simple matter to see in
which direction the valve should
change in order to make the desired
change in the control variable.

More Valve Symbols Compressors

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Pumps & Turbines Heat Exchangers

Process Lines Process Equipment

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 11.03.2025

Reactors Cooling Towers

Basic Instrumentation Symbols

Basic Instrumentation Symbols

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 11.03.2025

Foundation Drawing Elevation Drawing

Electrical Drawing Equipment Location Drawing

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Other Piping Symbols

The final control element in nearly all

chemical process control loops is a
VALVE

Process & Instrumentation Diagram (P&ID)

Process & Instrumentation Diagram (P&ID) Example 1.10
Consider the start-up of the distillation column shown in Figure 1.7. What sequence would be followed? The
• The P&ID is the last stage of process design and serves as a guide for those who procedure is beyond the scope of this text, but it would be developed from a series of questions such as
a. What valve should be opened first?
will be responsible for the final design and construction. Based on this diagram, b. What should be done when the temperature of... reaches...?
• MEs and CEs to build/install equipment c. To what value should the controller be set?
• Instrument engineers to specify/install/check control systems d. When can the system be put on automatic control?
• Piping engineers to develop plant layout and elevation drawings These last three sections have followed the development of a process from a simple BFD through the PFD and
• Project engineers to develop plant and construction schedules finally to the P&ID. Each step showed additional information. This can be seen by following the progress of
the distillation unit as it moves through the three diagrams described.
1. Block Flow Diagram (BFD) (see Figure 1.1): The column was shown as a part of one of the three process
blocks.
•Used as a checklist at the final walk-through prior to start up to assure each detail 2. Process Flow Diagram (PFD) (see Figure 1.5): The column was shown as the following set of individual
has been attended to equipment: a tower, condenser, reflux drum, reboiler, reflux pumps, and associated process controls.
3. Piping and Instrumentation Diagram (P&ID) (see Figure 1.7): The column was shown as a comprehensive
diagram that includes additional details such as pipe sizes, utility streams, sample taps, numerous indicators,
and so on. It is the only unit operation on the diagram.

The value of these diagrams does not end with the start-up of the plant. The design values on the diagram are
changed to represent the actual values determined under normal operating conditions. These conditions form a
“base case” and are used to compare operations throughout the life of the plant.

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2. Process Flow Diagram

(PFD) (see Figure 1.5): The
column was shown as the
following set of individual
equipment: a tower, condenser,
reflux drum, reboiler, reflux
pumps, and associated process
controls.

1. Block Flow Diagram (BFD) (see Figure 1.1): The column was shown as a
part of one of the three process blocks.

Equipment Design and

Specifications

Plant Design and Economics for Chemical Engineers

Max S. Peters
Klaus D. Timmerhaus
Ronald E. West
Page: 81
Figure 1.7 Piping and Instrumentation Diagram for Benzene Distillation

38
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EQUIPMENT DESIGN AND SPECIFICATIONS EQUIPMENT DESIGN AND SPECIFICATIONS

The goal of the chemical engineer in process or plant design is to develop and present a
Table 3-1 presents an analysis of important factors in the design of different types of
complete chemical or biochemical process that can operate on an effective industrial basis.
equipment.
To achieve this goal, the chemical engineer must be able to combine many separate units or
pieces of equipment into one smoothly operating plant.
This table shows the major variables that characterize the size or capacity of the equipment
The design of equipment, therefore, is an essential part of a design. and the maximum scale-up ratios of these variables.
Pilot-plant data are almost always required for the design of filters unless specific
information is already available for the type of materials and conditions involved. Information on the need for pilot-plant data, safety factors, and essential operational data for
the design is included in this table.
Heat exchangers, distillation columns, pumps, and many other types of conventional
equipment can usually be designed adequately without using pilot-plant data.

When accurate data are not available in the literature or when past experience does not give
an adequate design basis, pilot-plant tests may be necessary to design effective plant
equipment.

Equipment Specifications
If the equipment is standard, the manufacturer may have the desired size in stock.
In any case, the manufacturer can usually quote a lower price and give better
guarantees for standard equipment than for special equipment.

Before a manufacturer is contacted, the engineer should evaluate the design needs
and prepare a preliminary specification sheet for the equipment.
Preliminary specifications for equipment should show the following:
• 1. Identification
• 2. Function
• 3. Operation
• 4. Materials handled
• 5. Basic design data
• 6. Essential controls
• 7. Insulation requirements
• 8. Allowable tolerances
• 9. Special information and details pertinent to the particular equipment, such as materials of
construction including gaskets, installation, necessary delivery date, supports, and special
design details or comments

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Final specifications can be prepared by

the engineer; however, care must be
exercised to avoid unnecessary restrictions.
The engineer should allow the potential
manufacturers or fabricators to make
suggestions before preparing detailed
specifications.
In this way, the final design can include
small changes that reduce the first cost with
no decrease in the effectiveness of the
equipment.
Figures 3-4 and 3-5 show typical types of
specification sheets for heat exchangers and
distillation columns.
These sheets apply for the normal types of
equipment encountered by a chemical
engineer in design work.

Materials of Construction
The effects of corrosion and erosion must be considered in the design of chemical
plants and equipment.
Chemical resistance and physical properties of construction materials, therefore,
are important factors in the choice and design of equipment.
The materials of construction must be resistant to the corrosive action of any
chemicals that may contact the exposed surfaces.
Possible erosion caused by flowing fluids or other types of moving substances must
be considered, even though the materials of construction may have adequate
chemical resistance.
Structural strength, resistance to physical or thermal shock, cost, ease of
fabrication, necessary maintenance, and general type of service required,
including operating temperatures and pressures, are additional factors that
influence the final choice of construction materials.

Figure 3-7: Flow diagram for a conventional ethylene process using the front-end deethanizer process scheme

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• Design Data
The cracking yields for
feedstocks of either pure
ethane or pure propane are
listed in Table 3-2.
The yield distribution is based
on actual operating data of
present-day ethylene steam
crackers.

Design Data
The design bases and assumptions for the conventional base-case ethylene plant are
listed in Table 3-3.
All assumptions listed are those currently used in ethylene plants as verified by a
careful search of the literature.

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Material Balance for the Ethylene Process

Equilibrium Conversion of Ethane and Propane The base-case ethylene process was simulated using the CHEMCAD-IIl and ASPEN PLUS
commercial simulation packages.
For ethane pyrolysis, the primary reaction is; These computer programs can perform rigorous mass and energy balances based on any equation of
state selected to provide the properties of the fluid mixtures encountered in the ethylene process.

A more accurate product can only be determined by a simulation program that includes all the unit
operations.
The program includes the two hydrogenation steps and the loss of a small amount of ethylene with other
by-products.
For the base-case ethylene process, sensitivity calculations using the simulator are performed until
convergence matches the desired production capacity.
The material balance summary for the base-case
ethylene process.

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 11.03.2025

Equipment Design
For the preliminary design of the base-case ethylene process, this involves
The acetylene and ethylene hydrogenation reactions
are highly exothermic and are usually carried out in an Economic Assessment of Base-Case Design
adiabatic tubular reactor.
determining the size of the equipment normally selected in terms of An economic analysis of the base-case
Acetylene hydrogenation over Pd/Al2O3.
volume, surface area, or flow per unit time.
(palladium/alumina) catalyst in a fixedbed reactor is Capital Invesment ethylene process is necessary for
the favored industrial process since the acetylene
concentration can be reduced to less than 5 ppm while Production Costs comparing the profitability of this
process with the proposed design
undesirable hydrogenation of ethylene to ethane is
minimized. An adiabatic plug flow reactor model is Start-up Costs alternatives that utilize various
normally used to represent the operation of the
acetylene reactor. distillation/membrane hybrid
Based on this model, Fig. 3-17 shows the decrease in
configurations in the separation section
acetylene concentration as a function of reactor of the process.
volume.
Note for this adiabatic exothermic reaction in which The economic parameters and
the temperature increases along the length of the
reactor, the reaction virtually ceases when the reactor
conditions that are utilized in the base-
volume is increased beyond 2.5 m3 because of the case design and which are also used for
decrease in acetylene concentration. the modified process include
However, a volume of at least 5 m3 is required to lower plant location,
the desired acetylene concentration to about 2 ppm.
raw material costs,
This low acetylene concentration is only attained at
the endpoint of the reactor.
product costs,
utility costs,
The selectivity for the acetylene reaction is calculated
with the aid of Eq. (3-20) and is 89.1 percent. depreciation,
and tax rates.

Capital Investment
The estimated fixed-capital cost
tabulation is given in Table 3-9.
The probable error in this method of
estimating the fixed-capital investment
can be as much as ±20 percent.
However, since the probable error in
estimating the fixed-capital investment
associated with the proposed
modification in the separation section of
the ethylene process will be very similar,
this estimation procedure is acceptable
for making the economic comparison.
An example of such a tabulation is provided in Table 3-7, which lists design details and purchased cost of
individual pieces of equipment associated with the separation section of the ethylene process.

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Production Costs
Such costs include;
• direct costs - doğrudan maliyetler,
• indirect costs - dolaylı maliyetler, and
• general expenses - genel giderler.
Table 3-10 provides the cost in cents per kilogram for the raw materials, the utilities, and
the credit for the sale of by-products in the base-case ethylene process.
Direct costs for labor and maintenance in the conventional ethylene plant are generally
between 3 and 5 percent of the fixed-capital investment, with approximately one-half
of it for material replacements and one-half for maintenance labor.
For this preliminary design, 4 percent of the fixed-capital investment was designated for
maintenance charges.
The indirect costs include depreciation, taxes, insurance, and plant overhead charges.
For ethylene plants, the allowable depreciation rate typically ranges from 7 to 12 percent.
For the cost analysis, the depreciation rate was assumed to be 10 percent.

The general expenses include administration costs, distribution and selling

costs, research and development costs, and financing.
Profitability Analysis

A production cost estimate for the One measure of profitability often used is the return on investment (ROI).
base-case ethylene design is
shown in Table 3-11.
The latter is defined as the annual profit before taxes, divided by the fixed-
capital investment.

The annual profit is the difference between the annual revenue and expenses.

Based on a price of 70.5 0/kg for the ethylene product, the ROI for the base-
case ethylene process before taxes is 25.1 percent.

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CHAPTER 4 As noted earlier, a schematic representation of a chemical process is made by the use
of a flowsheet.

Flowsheet Synthesis This chapter discusses two design procedures for flowsheet synthesis and design,
namely, the hierarchical and algorithmic methods.
and Development The former is based on heuristic rules derived from past experience, and the latter
utilizes mathematical programming procedures that include optimization
techniques.

FLOWSHEET SYNTHESIS AND DEVELOPMENT

FLOWSHEET SYNTHESIS AND DEVELOPMENT

General Procedure Process Information

A generalized hierarchical scheme for flowsheet Given a product that is to be manufactured, conduct a search of the technical and patent
synthesis and development is illustrated as a six- literature for information about the product.
step procedure in Fig. 4-1. Study market conditions and the pricing of the product.
These steps given below are not unique, but Key property data are obtained from the literature or must be estimated.
suggest an organized procedure to follow.
For a new product, there presumably may be laboratory and perhaps pilot-plant data plus a
market evaluation.
Figure 4-1. Flow diagram illustrating hierarchical process—flowsheet
synthesis, development, evaluation, and selection

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FLOWSHEET SYNTHESIS AND DEVELOPMENT

Input/Output Diagram
Examine all potential chemical reaction paths, and do a preliminary economic analysis of
each path.
Eliminate those for which the value of the raw materials exceeds that of the products and
those which appear infeasible for other reasons.
For the rest, construct an input/output (I/O) diagram, showing all major material input
and output streams with a stoichiometric balance.
Figure 4-2a illustrates an I/O diagram for manufacturing sodium dodecylbenzene Figure 4-2
sulfonate, a detergent ingredient known as ABS that is no longer used because of Development stages for sodium
environmental reasons. dodecylbenzene sulfonate
production; (a) input/output
diagram, (b) functions diagram, (c)
operations diagram, and (d) final
flowsheet.

Figure 4-2
Development stages for sodium
dodecylbenzene sulfonate production; (a)
input/output diagram, (b) functions
diagram, (c) operations diagram, and (d)
final flowsheet.

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FLOWSHEET SYNTHESIS AND DEVELOPMENT

FLOWSHEET SYNTHESIS AND DEVELOPMENT
Functions Diagram
For each particular chemical reaction path, indicate all the major functions of the process and the material Operations Diagram
flows to and from these functions.
In this step the technology to be used to accomplish each of the operations is selected.
There is a reaction box for each reaction that must be carried out separately from the rest of the process.
Preprocessing technologies are chosen to accomplish the temperature change, phase
For each raw material input, determine, if possible, whether preprocessing is needed to meet process change, or purification needed.
requirements. When it is needed, or if it is uncertain, show preprocessing box.
Each reactor output stream enters a separation box that produces a recycle to the reactor, intermediate A choice of plug flow or continuous stirred tank reactors is made.
streams to the next reaction step or steps, and possibly products to the finishing steps.
Ranges of temperature, pressure, reactant conversion, and product selectivity are
A finishing box represents converting each final product to its final form. estimated.
Heat flows are suggested by the symbol Q into or out of each reactor, and into and out of each preprocessing, Each purification and separation is examined to determine whether phase separation,
separation, and finishing step, to serve as reminders to examine the heating, cooling, and other energy
requirements of each processing step. stripping, distillation, membrane separation, extraction, or some other technology should
The molar flow rate of each main component is indicated based on 1 mol of a key raw material, 100 percent
be used.
selectivity for the principal products, and perfect separations. Similarly, the technologies needed for finishing are selected.
The result of this step is a functions diagram, as illustrated in Fig. 4-2b for ABS. This is a difficult step, because it requires extensive information and understanding relative
to the available technologies

FLOWSHEET SYNTHESIS AND DEVELOPMENT FLOWSHEET SYNTHESIS AND DEVELOPMENT

Base-Case Design and Optimization
Flowsheet Detailed mass and energy balances be prepared for each flowsheet.
Since most streams consist of several material components, most of the separations If the preceding steps are well done, these balances should reveal no surprises, but they provide the basis for the
actually require several operations in a separation train. quantitative analysis of the flowsheet.
By using the mass and energy balances, or in parallel with them if simulation software is being used, key design
Sometimes more than one technology is used in the train, such as a liquid-vapor phase parameters of the process equipment, such as reactor volumes and heat loads, can be calculated.
separation followed by condensation of the vapor and distillation of the liquid. Such design information provides a base-case design for each flowsheet.
Efficient utilization of energy is another important aspect of flowsheet development that is Each base-case design is reviewed to determine whether it can meet product specifications, environmental
also treated later in the chapter and in Chap. 9. requirements, and health and safety needs.
Also, an economic evaluation is conducted.
The result of this step is a qualitative flowsheet.
With these reviews and evaluations, it may be possible to eliminate some of the flowsheets because process or
The operations and steps of the process are shown with approximate mass and energy economic requirements are not met.
flows, where possible. However, before a process is eliminated, it should be determined whether, by changing conditions and design
parameters, the process can be brought within requirements.
A final flowsheet for the ABS process is shown in Fig. 4-2d. It may or may not be possible to determine this without performing some optimization studies.
All remaining candidate processes should be optimized, and the best alternative should be selected.
The first five steps in developing a flowsheet are covered in this chapter.

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PROCESS INFORMATION Molecular Path Synthesis

If a new desired molecule has been identified, a chemical pathway for its synthesis must be
There are three main approaches to establishing the basis for a potential chemical process; identified.
 use of complete existing designs,
The bonds that attach atoms of a molecule together are the basis for many of the properties of a
 modification of or use of part of an existing design, and
molecular species that often make the molecule valuable.
 generation of a completely new design.
The reactions and their sequence leading to the desired molecule are rarely unique.

All three of these require extensive research at the beginning of the design process, to Selection of appropriate reactions and reaction combinations usually proceeds by starting with the
determine the availability of existing designs or basic chemical processes that will enable desired product and working backward to the required feed materials.
production of the desired product.
The major chemically active functional groups in the target molecule are identified for this
procedure.
Functional groups are relatively stable groupings of atoms with potential external bonding sites.
The composition, structure, and bonding of many functional groups are fully identified and
available in ordered databases

Molecular Path Synthesis

Selecting a Process Pathway
Some rules of thumb for molecular assembly are as follows:
If a commercial chemical process exists for the desired product, it may be utilized. If
1. Divide molecules, especially large organic molecules, into subsections.
patent rights cover the process and are available for licensing, then the cost of using this
2. Divide molecules into repeating subsections.
process must be compared with the cost of a different process not covered by patents or
3. Divide molecular subsections into functional groups. the development of a new process.
4. "Cap" sensitive areas with active groups, and remove the cap once the molecule is complete and
stable.
To develop a new process usually is expensive and time-consuming, but potentially it
5. Limit bond formation through steric hindrance, either permanent or temporary.
may provide a competitive advantage.
6. Build more complex molecules, then cut or cleave them.
7. Rings create steric hindrance and orientation issues; use and then cut the ring if necessary to Using nonprotected aspects of the known technology may reduce the cost and time.
make a linear molecule.
8. Look for readily available, inexpensive raw materials. However, for a new product, research and development generally must be performed.

Once the functional groups and their subassembly possibilities are known, the process of The ultimate decision is based largely on economic comparisons.
investigating functional-group assembly reactions produces a diagram of the molecular synthesis
train.

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Molecular Path Synthesis

EXAMPLE 4.1
Develop information on potential reaction pathways and physical and operational properties involved in the Five potential reaction pathways to
production of vinyl chloride, C2H3CI.
vinyl chloride from two possible
organic raw materials were identified
in the literature:

EXAMPLE 4.2
Compare the product and raw material values for the five vinyl chloride reaction paths identified earlier based on a production
INPUT/OUTPUT STRUCTURE
of 1 kg of vinyl chloride.

The purpose of an investment in a chemical process is to produce a product and derive a It is clear from the results in the table that
reaction path 1 is not economical because of
profit.
the high price of acetylene and can therefore
The raw materials typically represent a substantial fraction of the total cost of producing a be eliminated.
product. Reaction paths 2 and 3 give the same result
because the net reaction is the same in both
Clearly, if the value of the products does not exceed the value of the raw materials, the cases. The literature makes it clear, however,
process cannot be economical. However, if the reverse is true, only further analysis can that when chlorine and ethylene react, the
find whether the process is truly economical. Any reaction path for which this is not true product is almost entirely EDC – 1,2-
can be eliminated from further consideration. Examination of the value of inputs relative to dichloroethane and not vinyl chloride.
outputs is therefore an important screening tool. Thus, reaction path 3 is chemically feasible,
For processes showing favorable economic potential, an input/output diagram can be but reaction path 2 is not and can also be
eliminated.
constructed that shows all the major material inputs and outputs as the basis for further
Reaction paths 4 and 5 show economic
analysis. potential although apparently less than that
Economic analysis of the vinyl chloride reactions, is described in Example 4-2. indicated for reaction path 3.

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The prices of the four species included have fluctuated over the 12-yr period shown.
It would be unwise to base the economics of a process on this unusually low price.
Therefore, the preliminary economic calculations for reaction paths 3, 4, and 5 have been recalculated using the average
A major factor that makes reaction path 3 price between 1990 and 2002 for ethylene, chlorine, vinyl chloride, and hydrogen chloride and the 8-year average for
oxygen as mentioned earlier.
appear attractive is the high price of the
The results are shown in the following table.
byproduct HCl coupled with the low price
of Cl2.
In fact, all the prices used should not be
just one-time values, but should be
examined over an extended period of time
when possible.
This has been done for the vinyl chloride
synthesis with the results presented in Fig.
4-3.

FUNCTIONS DIAGRAM
This step involves the identification of the major functions or subprocesses that must be achieved by the process
to produce the desired product.
A completed functions diagram is shown in Fig. 4-4.
The result is a diagram showing those functions with material flows for major products and raw materials.

The three principal reactions of the path— direct

EXAMPLE 4.3
Based upon reaction path 5 from Example 4-2, develop a function diagram for the vinyl chloride process. chlorination, oxychlorination, and pyrolysis—require
distinctly different conditions, so each must be
conducted in a separate reactor.

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OPERATIONS DIAGRAM
Selection of the types of processing equipment, or unit operations, necessary to
accomplish the functions previously identified, along with specification of some of the
key conditions such as temperatures and pressures, is the next step. An operations
diagram is constructed indicating these choices.
Preprocessing
Reactors
Separations Methods
Heating and Cooling
Minimization of Processing

PROCESS FLOWSHEET
ALGORITHMIC FLOWSHEET GENERATION
The traditional approach to flowsheet synthesis employs a series of hierarchical steps to obtain a
The final steps in defining a flowsheet result.
are to estimate key equipment This is not a firm, concrete method, but rather the application of common sense, heuristics, and
performance parameters, improve the analysis.
mass balances, estimate approximate Therefore, flowsheets generated in this way are not necessarily even near optimal.
energy balances. An alternative method that involves an ordered, mathematical analysis is the algorithmic
approach.
Here mathematical tools are used to generate and evaluate all possible flowsheet arrangements to
possibly eliminate many of them as nonoptimal.

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SOFTWARE USE IN FLOWSHEET SYNTHESIS

There are currently a number of software applications which aid and facilitate the generation, selection, and
development of process flowsheets.
CHAPTER 5
These include both custom algorithmic programs and commercial software packages.

The custom programs aimed at studying and implementing algorithms have demonstrated certain usefulness in a
limited number of studies. Software Use in Process
Design
They do, however, require human interaction at almost all stages of synthesis and are by definition customized to
specific study cases.

There are a number of commercial packages that are aimed at flowsheet synthesis.

The commercial packages are more widely applicable, but again usually require intensive human interaction and
constant supervision. Current software is therefore not sufficiently developed to allow completely autonomous
flowsheet synthesis and evaluation, although it does prove useful in analyzing very complex defined process systems
and in the generation of process arrangements once the processes have been defined.

As with all other aspects of engineering as well as those in everyday living, computer software use and utilization are now an
ingrained and indispensable part of process design and economic evaluation.

In the very first steps of the development process, computerized databases, research results, and electronic versions of
traditional publications aid in the selection of appropriate reactions and raw materials to determine potential chemical
processes that provide the desired product.

Computers are also useful whenever experimentation is required, to plan, run, and analyze the experiments.

Software can then be used to generate, evaluate, and select from the best process flow diagrams.

Computerized optimization of the process is then also possible using either dedicated optimization software or combinations of
non-optimization-specific software.

Once the process components and operating conditions are established, the physical arrangement of the process can also be
evaluated and optimized.

Finally, the schematics, drawings, and all the necessary planning aspects for constructing the process can be generated using
computers

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EVALUATION OF SOFTWARE RESULTS

Software is a sophisticated, often complex tool that can seemingly operate independently
and with near consciousness.
The sophistication and power of software unfortunately result in a tendency of users to
The key to correct software
assume that software results are correct with little or no discrimination.
This is a tendency that must be avoided.
use is for the user to be active,
Software is a tool and only responds to the command of the user.
In fact, the very complexity of software creates an even greater potential for inaccuracy in
critical, and thoughtful at all
its use. But how can software results be evaluated when they often arise from calculations so
complex that manual reconstruction is not feasible?
times.
There are three ways of ensuring the quality of software results.
The first is the proper use of the software. A majority of erroneous software results are due
to human error in employing the correct software, entering the correct design parameters,
or following the correct software procedures. Paying attention to all the steps of software
use, use of real and sensible parameters, and use of judgment at all times greatly reduce the
possibility of human error in setting up the software.

Figure 6-1 illustrates capital inputs and

outputs for an industrial operation using a tree
growth analogy, depicting as the trunk the

CHAPTER 6 total capital investment, excluding land cost,

necessary to initiate the particular operation.

The total capital investment comprises the

Analysis of Cost fixed-capital investment-sabit sermaye
yatırımı in the plant and equipment, including

Estimation the necessary investment for auxiliaries, and

nonmanufacturing facilities, plus the working
capital investment-işletme sermayesi yatırımı.
Some of the capital investments can usually
be considered to occur as a lump sum, such as
the provision of working capital required at
the start of operation of the completed plant.
An acceptable plant design must represent a plant that can produce a product which will sell at a profit.
In this chapter, investment and plant operation costs are reviewed as well as cash flow and gross and net profits.
Figure 6-1
Tree diagram showing cash flow for
industrial operations

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CASH FLOW FOR INDUSTRIAL OPERATIONS CASH FLOW FOR INDUSTRIAL OPERATIONS

The flow of cash for the fixed-capital investment is usually spread over the entire construction period.
Depreciation is subtracted as a cost before income tax charges are calculated and paid, and net profits are
Because income from sales and the costs of operation may occur on an irregular time basis, a reservoir of reported to the stockholders.
working capital must be available to meet these requirements.
Consequently, removal of depreciation as a charge against profits is shown at the top of Fig. 6-1. The
The rectangular box in the Fig. 6-1 represents the operating phase for the complete project with working- depreciation charge dj is added to the net profit to make up the total cash flow for return to the capital reservoir.
capital funds maintained at a level acceptable for efficient operation.
The resulting gross profit of (sj — c0j — dj) that accounts for the depreciation charge is taxable. The income
Cash flows into the operations box as dollars of income sj from all sales while annual costs for operation, such tax charge-gelir vergisi is shown at the top of the diagram where it is removed in the amount (sj — c0j — dj)
as for raw materials and labor, but not including depreciation, are shown as outflow costs c0j. (Ф), where Ф is the fixed income tax rate-sabit gelir vergisi oranı designated as a fraction of the annual gross
These cash flows for income and operating expenses can be considered as continuous and represent rates of profits.
flow at a given time using the same time basis, such as dollars per day or dollars per year; the subscript j The remainder after income taxes are paid (sj — c0j — dj) (1 - Ф), is the net profit after taxes that is returned to
indicates the /th time period. the capital reservoir. When the depreciation charge dj is added to the net profit, the total project generated cash
Since, as discussed in Chap. 7, depreciation charges are in effect costs that are paid into the company capital flow returned to the capital reservoir on an annual basis is
reservoir, such charges are not included in the operation costs. Aj = (sj — c0j) (1 - Ф) + dj Ф
The difference between the income and operating costs sj — c0j is the gross profit before depreciation charge
and is represented by the vertical line rising out of the operations box.

Cumulative Cash Position

Figure 6-2 is for the same type of cash flow for an industrial operation except that it depicts the situation as the
cumulative cash position over the life cycle of a project.
In the situation depicted in Fig. 6-2, land value is included as part of the total capital investment to show
clearly the complete sequence of steps in the full life cycle for an industrial project.
The zero point on the time coordinate represents the point at which the plant has been completely constructed
and begins start-up of operation.
The total capital investment at the zero time point includes land cost, manufacturing and nonmanufacturing
fixed-capital investment, and working capital.
The cash position is negative by the amount of the total capital investment at zero time. In the ideal situation,
revenues come in from the operation as soon as time is positive.
Cash flow to the company treasury, in the form of net profits after taxes plus depreciation, starts to accumulate
and gradually repays the total capital investment.
For the conditions shown in Fig. 6-2, the total capital investment is repaid in 5 years, and the cumulative cash
position is zero.
After that time, profits accumulate on the positive side of the cumulative cash position until the end of the
Figure 6-2: Graph of cumulative cash position showing effects of cash flow over the
project life, when the plant is shut down and project operation ceases. At shutdown, the working capital and
full life cycle for an industrial operation, neglecting the time value of money
land value are recovered.

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FACTORS AFFECTING INVESTMENT FACTORS AFFECTING INVESTMENT

AND PRODUCTION COSTS AND PRODUCTION COSTS
When a chemical engineer determines costs for any type of industrial process, Company Policies
these costs should be of sufficient accuracy to provide reliable decisions.
Policies of individual companies have a direct effect on costs. For example,
To accomplish this, the engineer must have a complete understanding of the some companies have particularly strict safety regulations, and these must be
many factors that can affect costs. met in every detail.
Sources of Equipment
Accounting procedures and methods for allocating corporate costs vary
One of the major costs involved in any chemical process is for equipment. In among companies.
many cases, standard types of tanks, reactors, or other equipment are used,
and a substantial reduction in cost can be realized by employing idle Company policies with reference to labor unions must be considered, because
equipment or by purchasing secondhand equipment. these can affect overtime labor charges and the type of work that operators or
Price Fluctuations other employees can perform. Labor union policies may, for example, even
dictate the amount of wiring and piping that can be done on a piece of
In today's economic market, prices may vary widely from one period to
another. For example, plant operators or supervisors cannot be hired today at equipment before it is brought into the plant and thus have a direct effect on
the same wage rate as in 1985. The chemical engineer, therefore, must keep the total cost of installed equipment.
up to date on price and wage fluctuations.

FACTORS AFFECTING INVESTMENT

CAPITAL INVESTMENT
AND PRODUCTION COSTS
Operating Time and Rate of Production • A traditional economic definition of capital is «a stock of accumulated wealth».
One of the factors that has a major effect on the profits is the fraction of time a Before an industrial plant can be put into operation, a large sum of money must be
process is in operation. available to purchase and install the required machinery and equipment.
If equipment stands idle for an extended period, raw materials and labor costs are Land must be obtained, service facilities must be made available, and the plant must
usually low; however, many other costs, designated as fixed costs, for example,
maintenance, protection, and depreciation, continue even though the equipment is be erected complete with all piping, controls, and services.
not in active use. The capital needed to supply the required manufacturing and plant facilities is
More importantly, anytime that a plant is not producing a product, it is also not called the fixed-capital investment (FCI), while that necessary for the operation of
producing revenue. Some time must be allowed periodically to perform scheduled the plant is termed the working capital (WC).
routine maintenance; however, downtime should be kept to a necessary minimum,
as it is one of the chief sources of poor profitability in process plants. The sum of the fixed-capital investment and the working capital is known as the
Government Policies total capital investment (TCI).
The national government has many laws and regulations that have a direct effect on Fixed-capital investment + the working capital = total capital investment (TCI).
industrial costs. Some examples of these are import and export tariff regulations, The fixed-capital portion may be further subdivided into manufacturing fixed-
depreciation rates, income tax rules, and environmental and safety regulations. Of capital investment, also known as direct cost, and nonmanufacturing fixed-capital
these, income tax regulations and depreciation have the largest impact on most investment, also known as indirect cost.
businesses.

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Fixed-Capital Investment Working Capital

The working capital for an industrial plant consists of the total amount of money invested in
Manufacturing fixed-capital investment represents the capital necessary for the installed process
(1) raw materials and supplies carried in stock;
equipment with all components that are needed for complete process operation.
(2) finished products in stock and semifinished products in the process of being manufactured;
Expenses for site preparation, piping, instruments, insulation, foundations, and auxiliary
facilities are typical examples of costs included in the manufacturing fixed-capital investment. (3) accounts receivable;

The capital required for construction overhead and for all plant components that are not directly (4) cash kept on hand for monthly payment of operating expenses, such as salaries, wages, and raw
material purchases;
related to the process operation is designated the nonmanufacturing fixed-capital investment.
These plant components include the land; processing buildings, administrative and other offices, (5) accounts payable; and
warehouses, laboratories, transportation, shipping, and receiving facilities, utility and waste disposal (6) taxes payable.
facilities, shops, and other permanent parts of the plant. The construction overhead cost includes
field office and supervision expenses, home office expenses, engineering expenses, miscellaneous The ratio of working capital to total capital investment varies with different companies, but most chemical
plants use an initial working capital amounting to 10 to 20 percent of the total capital investment. This
construction costs, contractors' fees, and contingencies.
percentage may increase to as much as 50 percent or more for companies producing products of seasonal
In some cases, construction overhead is proportioned between manufacturing and nonmanufacturing demand, because of the large inventories which must be maintained for appreciable periods.
fixed-capital investment.

ESTIMATION OF CAPITAL INVESTMENT

• Most estimates of capital investment are based on the cost of the
equipment required.

• The most significant errors in capital investment estimation are

generally due to omissions of equipment, services, or auxiliary
facilities rather than to gross errors in costing.

• Table 6-1 provides a checklist of items for a new facility and is an

invaluable aid in making a complete estimation of the fixed-capital
investment.

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Types of Capital Cost Estimates Types of Capital Cost Estimates

• An estimate of the capital investment for a process may vary from a 1. Order-of-magnitude estimate {ratio estimate) based on similar
predesign estimate based on little information except the magnitude of previous cost data; probable accuracy of estimate over ±30 percent.
the proposed project to a detailed estimate prepared from complete 2. Study estimate (factored estimate) based on knowledge of major
drawings and specifications. items of equipment; probable accuracy of estimate up to ±30
percent.
3. Preliminary estimate (budget authorization estimate or scope
• Between these two extremes of capital investment estimates, there can estimate) based on sufficient data to permit the estimate to be
be numerous other estimates that vary in accuracy depending upon the budgeted; probable accuracy of estimate within ±20 percent.
stage of development of the project. 4. Definitive estimate (project control estimate) based on almost
complete data but before completion of drawings and specifications;
probable accuracy of estimate within ±10 percent.
• These estimates are called by a variety of names, but the following
five categories represent the accuracy range and designation normally 5. Detailed estimate (contractor's estimate) based on complete
used for design purposes: engineering drawings, specifications, and site surveys; probable
accuracy of estimate within ±5 percent.

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COST INDEXES
Most cost data that are available for making a preliminary or predesign
estimate are only valid at the time they were developed.
Because prices may have changed considerably with time due to Cost indexes can be used to give a general estimate, but no index can take into account
changes in economic conditions, some method must be used for all factors, such as special technological advancements or local conditions.
updating cost data applicable at a past date to costs that are
representative of conditions at a later time. The common indexes permit fairly accurate estimates if the period involved is less than
This can be done by the use of cost indexes. 10 years. Indexes are frequently used to extrapolate costs into the near future.
For example, the cost estimator may project costs forward from the time a study is being
A cost index-maliyet endeksi is an index value for a given time showing the done until the expected start-up time of a plant.
cost at that time relative to a certain base time.
If the cost at some time in the past is known, the equivalent cost at present
can be determined by multiplying the original cost by the ratio of the present
index value to the index value applicable when the original cost was obtained,
namely.

Figure 6-4 shows the information required for

the preparation of these five levels of estimates Many different types of cost indexes are published regularly. Some can be used for
and the approximate limits of error in these estimating equipment costs; others apply specifically to labor, construction, materials, or
methods. other specialized fields.
Predesign cost estimates (defined here as order- The most common of these indexes are the Marshall and Swift all-industry and
of-magnitude, study, and preliminary estimates) process-industry equipment indexes, the Engineering News-Record construction
require much less detail than firm estimates such index, the Nelson-Farrar refinery construction index, and the Chemical Engineering
as the definitive or detailed estimates. plant cost index. Table 6-2 presents a list of values for various types of indexes over the
However, the predesign estimates are extremely past 15 years.
important for determining whether a proposed There are numerous other indexes presented in the literature that can be used for
project should be given further consideration or specialized purposes. For example, cost indexes for materials and labor for various.
comparing alternative designs.

For this reason, much of the information

presented in this chapter is devoted to predesign
estimates, although it should be understood that
the distinction between predesign and firm
estimates gradually disappears as more and more
Figure 6-4. Cost-estimating information guide details are included.

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COST COMPONENTS IN CAPITAL INVESTMENT

Capital investment is the total amount of money needed to supply the
necessary plant and manufacturing facilities plus the amount of money
required as working capital for operation of the facilities.
Table 6-3 summarizes these typical variations in component costs as
percentages of fixed-capital investment (FCI) for multiprocess grass-roots
plants or large batter-limit additions.

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Purchased Equipment
The cost of purchased equipment is the basis of several predesign methods for estimating capital
investment. Estimating Equipment Costs by
Scaling
The various types of equipment can often be divided conveniently into (1) processing equipment, (2)
raw materials handling and storage equipment, and (3) finished-products handling and storage It is often necessary to estimate the cost
equipment. of a piece of equipment when cost data
are not available for the particular size
The sizes and specifications of the equipment needed for a chemical process are determined from or capacity involved.
the equipment parameters fixed or calculated along with the material and energy balances. According to this rule, if the cost of a
The most accurate method for determining process equipment costs is to obtain firm bids from given unit b at one capacity is known,
the cost of a similar unit a with X times
fabricators or suppliers.
the capacity of the first is X0,6 times the
Often, fabricators can supply quick estimates that will be close to the bid price but will not take too cost of the initial unit.
much time.
Second-best in reliability are cost values from the file of past purchase orders.

Example 6.2: Estimating Cost of Equipment Using Scaling Factors

and Cost Index

The purchased cost of a 0.2-m3, glass-lined, jacketed reactor (without

drive) was $10,000 in 1991. Estimate the purchased cost of a similar
1.2-m3, glass-lined, jacketed reactor (without drive) in 1996. Use the
annual average Chemical Engineering plant cost index to update the
purchase cost of the reactor.

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Purchased-Equipment Delivery
Purchased-equipment prices are usually quoted as f.o.b. (free
METHODS FOR ESTIMATING CAPITAL
on board, meaning that the purchaser pays the freight). INVESTMENT
Clearly freight-nakliye costs depend upon many factors,
such as the weight and size of the equipment, distance from
source to plant, and method of transport. Various methods can be employed for estimating capital investment. The choice of any one
For predesign estimates, a delivery allowance of 10 percent
of the purchased equipment cost is recommended.
method depends upon the amount of detailed information available and the accuracy
desired.
Purchased-Equipment Installation
Installation of process equipment involves costs for labor, 1. Method A: Detailed-Item Estimate: A detailed-item estimate requires careful
foundations, supports, platforms, construction expenses, and
other factors directly related to the erection of purchased determination of each individual item shown in Table 6-1. Equipment and material needs
equipment. are determined from completed drawings and specifications and are priced either from
Table 6-5 presents the general range of installation costs as a current cost data or preferably from firm delivered quotations. Estimates of installation
percentage of the purchased-equipment costs for various
costs are determined from accurate labor rates, efficiencies, and employee-hour
types of equipment.
calculations.
Installation labor cost as a function of equipment size shows
wide variations and is difficult to predict.

METHODS FOR ESTIMATING CAPITAL METHODS FOR ESTIMATING CAPITAL

INVESTMENT INVESTMENT
2. Method B: Unit Cost Estimate: The unit cost method results in good 3. Method C: Percentage of Delivered-Equipment Cost: This method for estimating the fixed-
capital and total capital investment requires determination of the delivered equipment cost.
estimating accuracies for fixed-capital investment provided accurate records
Estimating by percentage of delivered-equipment cost is commonly used for preliminary and study
have been kept of previous cost experiences. estimates.

This method, which is frequently used for preparing definitive and The expected accuracy is in the ±20 to 30 percent range.

preliminary estimates, also requires detailed estimates of purchased price It yields more accurate results when applied to projects similar in configuration to recently
constructed plants.
obtained either from quotations or index-corrected cost records and published
For comparable plants of different capacity, this method sometimes has been reported to yield
data. definitive estimate accuracies, that is, close to ±10 percent.

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Example 6.2: Estimation of Fixed-Capital Investment by

Percentage of Delivered-Equipment Cost
Prepare a study estimate of the fixed-capital investment for the process
plant described in Example 6-1 if the delivered-equipment cost is
$100,000.

Solution: Use the ratio factors outlined in Table 6-9 with modifications
for instrumentation and outdoor operation. Take instrumentation as 10
percent of fixed-capital investment, that is, 0.1(428/100), or 43 percent,
of the purchased equipment delivered. Take buildings as 15 percent of
purchased equipment.

METHODS FOR ESTIMATING CAPITAL

INVESTMENT
4. Method D: Lang Factors for Approximation of Capital Investment: This technique, proposed
originally by Lang and used quite frequently to obtain order-of magnitude cost estimates, recognizes
that the cost of a process plant may be obtained by multiplying the equipment cost by some factor to
approximate the fixed or total capital investment.

These factors vary depending upon the type of process plant being considered.

The percentages given in Table 6-10 are rough approximations that hold for the types of process
plants indicated.

These values may be used as Lang factors for estimating the fixed-capital investment or the total
capital investment.

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METHODS FOR ESTIMATING CAPITAL

INVESTMENT
5. Method E: Power Factor Applied to Plant/Capacity Ratio: This method for
study or order-of-magnitude estimates relates the fixed-capital investment of a new
process plant to the fixed-capital investment of similar previously constructed plants
by an exponential power ratio.

This power has been found to average between 0.6 and 0.7 for many process
facilities.

Table 6-11 gives the capacity power factor x for various kinds of processing plants

METHODS FOR ESTIMATING CAPITAL METHODS FOR ESTIMATING CAPITAL

INVESTMENT INVESTMENT
6. Method F: Investment Cost per Unit of Capacity: Many data have been 7. Method G: Turnover Ratio: A rapid evaluation method suitable for order-of-magnitude
published giving the fixed-capital investment required for various processes estimates are known as the turnover ratio method.

per unit of annual production capacity. The turnover ratio is defined as the ratio of gross annual sales to fixed-capital investment:

Such values may be obtained from Table 6-11 by dividing investment values
by the corresponding capacity in the preceding column. Although these values
depend to some extent on the capacity of the individual plants, it is possible
to determine the unit investment costs which apply for average conditions. The reciprocal of the turnover ratio is sometimes called the capital ratio or the investment
ratio.

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ESTIMATION OF REVENUE ESTIMATION OF REVENUE

Thus far in this chapter methods for estimating the total capital investment required for a given plant
In conducting an economic analysis of a process, the engineer must establish production rates, as a
have been presented.
fraction or percentage of the design capacity, for each year of process operation.
Determination of the necessary capital investment is only one part of a complete cost estimate.
It is common in preliminary economic studies to use 50 percent for the first year of operation
The revenue generated by plant operation clearly is very important. because, during the start-up period, production rates are very low, the length of the start-up period is

Revenue comes from sale of the product or products produced by the plant. uncertain, and the time of the year for the beginning of start-up is unknown.

The total annual revenue from product sales is the sum of the unit price of each product multiplied After the first year, it is common to use the design annual capacity of the plant as the production and

by its rate of sales. sales rate for each subsequent year.

This is based on the usual practice of rating the annual capacity of chemical plants as the actual
Annual sales revenue, $/yr = Σ(sales of product, kg/yr)(product sales price, $/kg)
annual production, with an allowance for downtime.

ESTIMATION OF TOTAL PRODUCT COST

The third major component of an economic analysis is the total of all costs of
operating the plant, selling the products, recovering the capital investment, and
contributing to corporate functions such as management and research and
development.
These costs usually are combined under the general heading of total product cost.
The latter, in turn, is generally divided into two categories: manufacturing costs and
general expenses. Manufacturing costs are also referred to as operating or
production costs. Figure 6-7: Costs involved in total product
cost for a typical chemical process plant

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ESTIMATION OF TOTAL PRODUCT COST

Total product costs are commonly calculated on one of three bases: namely, daily basis, unit of
product basis, or annual basis.

Annual cost is probably the best choice for the purpose of economic analyses. Moreover, annual
estimates;

(1) smooth out the effect of seasonal variations,

(2) include plant on-stream time or equipment operation,

(3) permit more rapid calculation of operating costs at less than full capacity, and

(4) provide a convenient way of considering large expenses that occur infrequently such as annual
planned maintenance shutdowns.
Figure 6-8: Spreadsheet for first-year, annual total
product cost for 100 percent capacity

Manufacturing Costs
Manufacturing Costs
Fixed charges are expenses which are practically independent of production rate.
All expenses directly connected with the manufacturing operation or the physical equipment of a process plant itself are included in
the manufacturing costs. Expenditures for depreciation, property taxes, insurance, financing (loan interest), and rent are usually
classified as fixed charges.
These expenses, as considered here, are divided into three classifications:
These charges, except for depreciation, tend to change due to inflation. Because depreciation is on a
(1) variable production costs,
schedule established by tax regulations, it may differ from year to year, but it is not affected by inflation.
(2) fixed charges, and
Plant overhead costs are for hospital and medical services; general plant maintenance and overhead, safety
(3) plant overhead costs. services, payroll overhead including social security and other retirement plans, medical and life insurance,
Variable production costs include expenses directly associated with the manufacturing operation. This type of cost involves and vacation allowances, packaging, restaurant and recreation facilities, salvage services, control
expenditures for raw materials (including transportation, unloading, etc.), direct operating labor, supervisory and clerical labor directly laboratories, property protection, plant superintendence, warehouse and storage facilities, and special
applied to the manufacturing operation, utilities, plant maintenance and repairs, operating supplies, laboratory supplies, royalties, employee benefits.
catalysts, and solvents. These costs are similar to the basic fixed charges since they do not vary widely with changes in production
These costs are incurred for the most part only when the plant operates, hence the term variable costs. rate.

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GROSS PROFIT, NET PROFIT, AND CASH FLOW

Example 6.7: Breakeven Point, Gross and Net Profit for a
Process Plant
The annual variable production costs for a plant operating at 70 percent capacity are
$280,000. The sum of the annual fixed charges, overhead costs, and general expenses is
$200,000, and may be considered not to change with production rate. The total annual sales
are $560,000, and the product sells for $4/kg.
What is the breakeven point in kilograms of product per year?
What are the gross annual profit Gj (depreciation included) and net annual profit for this
plant at 100 percent capacity if the income tax rate is 35 percent of gross profit?
Solution:

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CHAPTER 7
Interest, Time Value
of Money, Taxes, and
Fixed Charges
In the decision-making process, a careful analysis of the time value of money will help establish the worth of
earnings and investments.
Consideration must also be given to the effect of taxes on the net profit of the proposed project.
In addition to income taxes, there are other fixed charges such as property taxes, depreciation, and insurance.
This chapter examines the various forms of interest available to the borrower or the lender.

INTEREST INTEREST
Simple Interest
Interest-faiz is the cost of borrowed money, or the earnings on money loaned.
The simplest form of interest requires compensation payment at a constant interest rate based only on the
original principal.
Principal-anapara refers to the original amount or the remaining unpaid amount of a loan.

Thus, if $1000 were loaned for a total time for 4 years at a constant interest rate of 10 percent per year, the
Interest rate-faiz oranı is defined as the amount of money earned by, or paid on, a unit of principal in a unit simple interest earned would be;
of time, expressed as a fraction or percentage per year.
($1000) (0.1) (4) = $400
If P represents the principal, N the number of time units or interest periods, and i the interest rate based on
Interest paid-ödenen faiz is an expense of business operation that must be included in the analysis of the length of one interest period, the amount of simple interest I accumulated during N interest periods is;
business profitability.
I = PiN
The principal must be repaid eventually; therefore, the entire amount of principal plus simple interest due
after N interest periods is;
F = P + I = P(l + iN)
where F is the total amount of principal and accumulated interest at time N.

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INTEREST INTEREST
Compound Interest-bileşik faiz is almost universally used in business transactions. The compound amount earned after any discrete number of interest periods can be determined as follows:
Compound interest is the interest earned on accumulated, reinvested interest as well as the principal amount.
This applies to payments on loans or interest on investments.
Thus, an investment of $1000 at an interest rate of 10 percent per year payable annually would earn $100 in
the first year.
If no principal were removed and the interest were left in the investment to earn at the same rate, then at the
end of the second year;
Therefore, the total amount of principal plus interest earned after N interest periods is;
($1000 + $100)(0.10) = $110
F = P(l + i)N
in interest would be earned and the total compound amount would be;
The term (1 + i)N is commonly referred to as the discrete single-payment compound amount factor - (Tek
$1000 + $100 + $110 = $1210 ödemeli akümüle değer faktörü), or the discrete single-payment future-worth-tek ödemeli gelecek değer
faktörü factor. -
It is represented by the functional form (F/P, i, N), and;
(F/P, i, N) = (1 + i) N or
F = P (F/P, i, N)

INTEREST
Nominal and Effective Interest Rates
In common industrial practice, the length of the discrete interest period is taken to be 1 year, and the fixed
interest rate i is based on 1 year.
However, there are cases where other time periods are employed.
Even though the actual interest period is not 1 year, the interest rate is often expressed on an annual basis.
Consider an example in which the interest rate is 3 percent per period and the interest is compounded at
half-year periods.
A rate of this type is referred to as 6 percent per year compounded semiannually, or just 6 percent
compounded semiannually for simplification.
An interest rate stated as an annual rate but compounded other than annually is designated a nominal
interest rate.
The actual annual return (the effective interest rate) would not be 6 percent, but would be higher because of
the effect of compounding twice per year.
Whenever no period for interest is stated or obvious, assume it to be per year.

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INTEREST INTEREST
Nominal and Effective Interest Rates Nominal and Effective Interest Rates
The nominal interest rate does not take into account the compounding period. The effective interest rate The effective interest rate ieff is the rate which, when compounded once per year, gives the same amount of
does take the compounding period into account and thus is a more accurate measure of interest charges. money at the end of 1 year, as does the nominal rate r compounded m times per year.
The interest rate per period is r/m, and the amount at the end of the year, using Eq. (7-3), is;
A statement that the "interest rate is 10%" means that interest is 10% per year, compounded annually. In this
case, the nominal annual interest rate is 10%, and the effective annual interest rate is also 10%. However, if
compounding is more frequent than once per year, then the effective interest rate will be greater than 10%.
The more often compounding occurs, the higher the effective interest rate.

EXAMPLE 7-1:Applications of Different Types of Interest

It is desired to borrow $1000 to meet a financial obligation. This money can be borrowed from a loan agency at a monthly interest
rate of 2 percent. Determine the following:
a. The total amount of principal plus simple interest due after 2 years if no intermediate payments are made.
INTEREST
b. The total amount of principal plus compounded interest due after 2 years if no intermediate payments are made. Continuous Interest
c. The nominal interest rate when the interest is compounded monthly.
d. The effective interest rate when the interest is compounded monthly. The concept of continuous interest is that the cost or income due to interest flows regularly, and this is just
as reasonable an assumption for most cases as the concept of interest accumulating only at discrete intervals.
Equations (7-6) and (7-9) form the basis for developing continuous interest relationships.
The symbol r represents the nominal interest rate with m interest periods per year. If the interest is
compounded continuously, m approaches infinity.

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COST OF CAPITAL COST OF CAPITAL

There are several possible sources of capital for business ventures, including loans, bonds, stocks, and
In the preliminary design of a project, unless more specific information is available, one of the
corporate funds.
Corporate funds, primarily from undistributed profits and depreciation accumulations, are usually a major following two methods is usually employed to account for interest costs:
source of capital for established businesses.
1. No interest costs are included. This assumes that all the necessary capital comes from internal
Borrowed funds are often used to supply all or part of corporate investments.
The interest paid on the portion of an investment that comes from loans is one of the costs of making a
corporate funds, and comparisons to alternative investments must be on the same basis.
product.
2. Interest is charged on the total capital investment, or a predetermined fraction thereof, at a set
Interest paid on bonds is also a cost of doing business.
interest rate, usually equivalent to rates charged for bank loans.
The question sometimes arises as to whether interest on investor-owned funds can be charged as a cost of
doing business.
As the design proceeds to the final stages, the actual sources of new capital should be considered
The answer, based on court decisions and income tax regulations, is definitely no. Therefore, interest on
corporate funds and earnings paid on preferred or common stocks are not a manufacturing cost, because in detail, and more appropriate interest costs can then be used.
they are a return to owners of equity in the corporation.
Furthermore, the borrowed principal, which is first a gain, but must be repaid, is not taxable as a gain; nor
is repaying it deductible as a business expense.

COST OF CAPITAL COST OF CAPITAL

Income Tax Effects Loan Payments
The effect of income taxes on the cost of capital is very important. There are many types of loan repayment terms.

In determining income taxes, interest on loans and bonds can be considered as a cost, while the A very common type, used for nearly all home mortgages and many business loans, calls for
return of both preferred and common stock cannot be included as a cost. constant periodic payments for a fixed period.

If the incremental annual income tax rate is 35 percent, every $1 spent for interest on loans or Each payment covers the current interest due and repays some of the remaining principal
bonds has a true cost after taxes of only $0.65. balance.

Thus, after income taxes are taken into consideration, a bond issued at an annual interest rate of 5 The total payment is constant, but the principal balance decreases, so that the interest portion of
percent actually has an interest rate of only (5)(65/100) = 3.25 percent. each payment is smaller than the previous one and the principal portion of each payment is larger
than the previous one.

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TIME VALUE OF MONEY TIME VALUE OF MONEY

Money can be used to earn money by investment, for example, in savings accounts, bonds, stocks, Methods for calculating the worth of money at different times are similar to those for
or projects. calculating interest.
An amount of money available at some time in the future is worth or equivalent to, a
Therefore, an initial amount of money that is invested increases in value with time. This effect is smaller amount at present.
known as the time value of money. For example, $1100 available at the end of 1 year after being compounded at 10 percent
over that 1-year period is actually only worth $1000 at present. The $1000 is the present
By virtue of this earning capacity, an amount of money available now is worth, or equivalent to, a
worth (also known as present value) of the future $1100. This comparison again
greater amount in the future. exemplifies the concept of the time value of money.
For example, $1000 invested at 10 percent per year compounded annually is worth $1100 one These amounts—$1000 now, $1100 one year from now, and $2594 ten years from now—
are all said to be equivalent at a 10 percent rate of interest, and only at that rate,
year later and $2594 ten years later.
compounded annually.
The value at a future time is the future worth (also known as the future value) of the money.

This earning power of money can be included in the analysis of business profitability.

TIME VALUE OF MONEY TIME VALUE OF MONEY

The time value of money often is a very important consideration when investments are compared The calculation of the future worth of a present amount of money, known as compounding, was
that require or generate different amounts of funds at different times.
illustrated earlier in this chapter.
In fact, the timing of expenses and income may significantly impact the present worth of such
funds. The inverse of compounding that is, obtaining the present worth of a future amount, is designated
Put another way, the most appropriate way to make economic comparisons is to make all cash
as discounting.
flows equivalent.
Thus, it is necessary to be able to determine the value of investments at any selected time. The expression for discrete compounding of a single present amount to obtain its future worth was
The time value of money is related solely to the capacity of money to earn money. presented in Eq. (7-3) or (7-5).
It has nothing to do with inflation. Inflation, or deflation, refers to the change in the prices of
goods and services, not to the amount of money available. F = P(l + i)N (7-3)
For example, if the rate of inflation is 4 percent per year and if the cost of an item is $100 now, it F = P(F/P, i, N) (7-5)
will cost $104 one year from now—regardless of the time value of money.
The equation for discrete discounting of a single future amount to obtain its present worth is
obtained by rearranging Eq. (7-3) to give

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The operations of compounding and

F = P (1 + i) N discounting are inverses of each other.

The present-worth factor of Eq. (7-31) is the

inverse of the future-worth factor of Eq. (7-
4).

Figure 7-2 illustrates that compounding and

discounting are inverse operations.
P = F (1 + i) -N

CASH FLOW PATTERNS CASH FLOW PATTERNS

The annual cash flow is equal to the net (after-tax) profit plus the allowed depreciation charges Discrete Cash Flows
for the year. Cash flow patterns are often best perceived graphically.
Since cash flows of a project occur over the lifetime of a project, it is necessary to convert them to Figure 7-3 shows equal discrete cash flows occurring once per month at the end of the month for a period of
equivalent values. 1 year; each cash flow is represented by a bar.
This is done either by discounting future cash flows or by compounding earlier cash flows to a
particular point in time.
While it is essential that all cash flows be converted to the same time, the time selected is not
critical, because different present-worth amounts at any one time will be in the same rank order
and in the same ratio as at any other time.
Often the selected time is not the present, but rather sometime in the future.
It is common, while in the design phase of a project, to select the projected start-up time as the
time at which all "present" values are calculated.
Figure 7-3: Constant, end-of-month cash flows for 1 yr.

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CASH FLOW PATTERNS

Figure 7-4 shows unequal cash flows occurring at the end of each month for 1 year.
The cash flows shown in Figs. 7-3 and 7-4 are equivalent at a discount rate of 10 percent per year.
That is, they have the same worth at a particular time when calculated at that discount rate, whether that
worth is calculated at time zero, at 12 months, or at any other time.
It follows that if two different cash flows are equivalent at one interest rate, they are not equivalent at any
other interest rate.

The results show that the present and future worths are the same for both cash flows; therefore, the two cash
flows are equivalent at the specified interest rate.
This is true even though the patterns are very different and the actual totals of the two cash flows are somewhat
Figure 7-4: Series of unequal end-of-monlh cash flows different.

CASH FLOW PATTERNS COMPOUNDING AND DISCOUNTING FACTORS

Several compounding and discounting factors have already been introduced.
Continuous Cash Flows
Cash flows and interest compounding can be either discrete or continuous. This gives four possible
A continuous cash flow is one in which receipts and expenditures occur continuously over time. combinations of cash flow and interest types, as shown in Table 7-2.
This is an idealized approximation of cash flows that occur frequently compared to once per year. The period of discrete compounding can be any time interval, and a discrete cash flow can occur at any time
Good business practice dictates investments of available funds as soon as they are received. throughout the period.

Therefore, in the case of a continuous cash flow, the cash flow is invested continuously as it is received. The most common choices are a compounding period of 1 year and the year-end convention for cash flow.
These two choices will be used for discrete times and cash flows throughout the rest of this chapter, unless
otherwise indicated.
If interest is compounded continuously, the rate of earning at any instant consists of two terms:
For simple cash flow patterns, such as a single amount as shown in Fig. 7-5 or equal flows for a period of years as
(1) a continuous, constant rate of cash flow P in dollars per period (usually 1 year) and presented in Fig. 7-6, it is possible to derive compounding and discount factors.
(2) the compound rate of earning on the accumulated amount M that has been invested at the rate r. Some of these were derived earlier in this chapter.
The rest of these factors will be presented without derivation and are available from many sources.
Table 7-3 shows the common compounding and discounting factors for case 1, discrete interest and discrete cash
flow.
These same factors are also applicable to case 3 since the final result is independent of the pattern of cash flow
over the year when interest for a year is calculated based on the amount of principal at the beginning of the year.

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INCOME TAXES
Corporate income taxes are levied by the governments and by some of the states as well.

The federal income taxes are by far the largest of these.

State income taxes are often calculated by closely following federal policies.

Therefore, federal corporate taxes are emphasized here.

Federal Income Taxes: Because the federal corporate income tax rate is as high as 39 percent of net profit,
it is an extremely important component in corporate planning.

To estimate corporate income tax for a new project, the actual incremental, or marginal, tax rate associated
with the taxable income added to corporate earnings should be used, if known.

For convenience, a rate of 35 percent will be used here, unless stated otherwise.

INCOME TAXES INCOME TAXES

Taxable Income-Vergiye tabi gelir: In the assessment of the performance of a particular unit or process within a corporation, the revenues and
Income taxes are paid on a corporatewide basis. costs associated with that process are determined and used in the evaluation.

The taxable income of a corporation is the total gross profit.

In addition, there are expenses incurred at levels above that of the individual operating units, at the plant,
Gross profit, or gross earnings, equals total revenue minus total product cost (TPC). division, or corporate level.
Total revenue is income from all sources, primarily product sales, but including sales of assets and supplies,
royalties, and other revenues. These include such items as safety, payroll, restaurant, recreation, control laboratories, waste disposal,
administrative costs, donations, advertising, and research and development.
Dividends and interest paid to the corporation and its shareholders are not considered as allowable costs of
doing business for income tax purposes, nor are repayments of loan principal, and therefore cannot be
subtracted from revenues in the calculation of gross profit. Such costs are allocated to particular processes, usually as a percentage of the capital investment in each
process.

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INCOME TAXES INCOME TAXES

Capital Gains Tax:
Capital Gains Tax: A capital gains tax is levied on profits made from the sale of capital assets, such as
land, buildings, and equipment. Thus, a piece of equipment originally purchased for $80,000 which has already had $50,000 of depreciation
charged as an expense, and is sold for $45,000 with $2000 in selling expense—advertising and removal
from service—would show a capital gain of $45,000 — (80,000 — 50,000) —2000 = $13,000.
The profit on the sale of land equals the selling price less the acquisition price, costs of selling, and costs of
improvements. The capital gain on an item held for 1 year or more before sale is known as a longterm capital gain.

The capital gain on items held for less than 1 year is designated as a short-term capital gain.
Land is not depreciable.
Under current income tax laws, the tax rate on a long-term capital gain is 20 percent, while that on a short-
For depreciable assets, such as buildings and equipment, profit is the selling price less the costs of selling, term capital gain is equal to the incremental income tax rate.

and less the cost of acquisition reduced by the amount of depreciation that has already been charged. Normally, a 35 percent rate can be used for estimates.

INCOME TAXES INCOME TAXES

Losses: Other Federal Taxes:
The tax laws also make provisions for losses as well.
Employers pay a percentage of employees' wages as a contribution to Social Security and
Losses within a company may be used to offset gains within the company in the same year, thereby reducing Medicare taxes.
the taxable income.

If total corporate operations show a loss within a given year, that loss can be carried back for up to 3 years These are considered part of the total employee benefits package which includes medical
to offset past profits; or they may be carried forward for up to 5 years to offset future profits.
insurance and retirement plans that are usually combined with wages to obtain labor costs.
A particular project may be profitable overall, but show losses in one or more years.

In such cases, the question arises as to whether the losses should be used to reduce overall corporate income
Such benefits depend upon individual corporate benefits plans, but a typical value is 40 percent of
taxes or whether these reductions should be used as a "negative income tax" in the evaluation of the process. wages.
Even though it may be realistic to do so, it is unwise to use this argument for justifying the economic
viability of a project. Here, again, company policy determines the decision.

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INCOME TAXES INCOME TAXES

Nonincome Taxes: Nonincome Taxes:

In addition to income taxes, property and excise taxes may be levied by federal, state, or local Excise taxes (Tüketim vergileri) are levied by federal and state governments.
governments. Excise taxes include charges for import customs duties, transfer of stocks and bonds, and a large number of
similar items.
Taxes of this type are referred to as direct since they must be paid directly by the particular
business and cannot be passed on as such to the consumer. Manufacturers and retailers excise taxes are levied on the sale of many products such as gasoline and
alcoholic beverages.
Property taxes may vary widely from one locality to another, but the average annual amount of
these charges is 1 to 4 percent of the assessed valuation. Taxes of this type are often referred to as indirect since they can be passed on to the consumer.

For economic evaluation purposes, 2 percent of the fixed-capital investment in a project is a Many businesses must also pay excise taxes for the privilege of carrying on a business or manufacturing
typical property tax rate charge. enterprise in their particular localities.

Excise taxes are included in economic evaluations only when they are known to apply specifically to the
project under consideration.

FIXED CHARGES
Among the many costs included in the total product cost, as listed in Fig. 6-7, are a group of fixed charges.

The first three of these charges — depreciation, property taxes (discussed above), and insurance — are
costs related to the capital investment in a project.

Once the facility for the project has been built, these charges are fixed.

The other fixed charge, rent, is also fixed if there has been a contractual agreement for the rental of space.

These charges are fixed in that they are not related to the activity level of the plant and continue even if the
plant does not operate.

Interest is sometimes included as a fixed charge, but because of its importance has been treated separately in
this chapter.

Figure 6-7: Costs involved in total product

cost for a typical chemical process plant

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FIXED CHARGES FIXED CHARGES

Depreciation: Depreciation:

Depreciation is an unusual charge in that it is paid into the corporate treasury. One common type of functional depreciation is obsolescence.

Depreciation, has a significant effect on corporate cash flow. This is caused by technological advances which make an existing property obsolete.

The concept of depreciation is based upon the fact that physical facilities deteriorate and decline in Other causes of functional depreciation could be;
usefulness with time; thus, the value of a facility decreases.
(1) decrease in demand for the service rendered by the property,
Physical depreciation is the term given to the measure of the decrease in value of a facility due to changes
(2) shifts in population,
in the physical aspects of a property.
(3) changes in requirements of public authority,
Wear and tear, corrosion, accidents, and deterioration due to age or the elements are all causes of physical
depreciation. (4) inadequacy or insufficient capacity, and
With this type of depreciation, the serviceability of a property is reduced because of the physical changes. (5) abandonment of the enterprise.
Depreciation due to all other causes is known as functional depreciation.

FIXED CHARGES FIXED CHARGES

Depreciation and Income Tax: Depreciation and Income Tax:
Depreciation is a charge to the revenue resulting from an investment in real property.
One definition of depreciation is as follows: "A deduction for depreciation may be claimed each year for
It is entirely reasonable that invested principal should be recovered by the investor and that project revenues property with a limited useful life that's used in a trade or business or held for the production of income.
be charged to pay that principal.
This deduction allows tax payers to recover their costs for the property over a period of years. "
In the case of other investments, such as savings accounts, the original investment is available in addition to
any return that has been earned, and thus a recovery of invested capital is to be expected in plant Amortization, a word sometimes used interchangeably with depreciation, has a more restricted meaning in
investments as well.
tax policy: "You may claim an amortization deduction for intangibles with limited useful lives that can be
Depreciation is charged as an expense and then paid to the corporation. It is added and subtracted on the
corporate books, and because of this, it is sometimes referred to as an accounting artifact. estimated with reasonable accuracy.

Depreciation is more than an artifact, however, because of the effect it has on the amount of income tax that For example, patents and copyrights are amortizable.
a corporation must pay.

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FIXED CHARGES
Depreciable Investments:
In general, all property with a limited useful life of more than 1 year that is used in a trade or business, or held for the
production of income, is depreciable.

Physical facilities, including such costs as design and engineering, shipping, and field erection, are depreciable.

Land is not depreciable, but improvements to the land, such as grading and adding utility services, are depreciable.

Working capital and start-up costs are not depreciable. Inventories held for sale are not depreciable.
Amortisman Ayırma Şartları:
In project terminology, the fixed-capital investment, not including land, is depreciable. •İşletmede bir yıldan fazla kullanılabilir olması
Maintenance is necessary for keeping a property in good condition; repairs connote the mending or replacing of broken •Yıpranmaya, aşınmaya veya kıymetten düşmeye maruz bulunması
or worn parts of a property.
•Değerleme gününde envantere dahil ve kullanıma hazır olması
The costs of maintenance and repairs are direct operating expenses and thus are not depreciable. •İktisadi kıymetin değerinin 900 TL’yi (2017 yılı için) aşması
The total amount of depreciation that may be charged is equal to the amount of the original investment in a property—
no more and no less.

FIXED CHARGES FIXED CHARGES

Current Value: Salvage Value:
The current value of an asset is the value of the asset in its condition at the time of valuation. Salvage value is the net amount of money obtainable from the sale of used property over and above any charges
involved in removal and sale.
Book value is the difference between the original cost of a property and all the depreciation charged up to a time. It is
important, because it is included in the values of all assets of a corporation. The term salvage value implies that the property can be of further service.

The method of determining depreciation may be different for purposes of obtaining the book value than that which is If the property is not useful, it can often be sold for material recovery. Income obtainable from this type of disposal is
used for income tax puiposes, depending on corporate policy. known as scrap value.

The price that could be obtained for an asset if it were sold on the open market is designated the market value. As of 2002, tax laws do not permit considering salvage or scrap value in the calculation of depreciation.

It may be quite different from the book value and clearly is important for determining the true asset value of the Income from the sale of used property, to the extent that it exceeds the undepreciated value of the property, is therefore
company. taxed as a capital gain.

If the net sale price is less than the undepreciated value, it is not taxable but it is included as an income to the project at
the time of the sale.

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FIXED CHARGES
Recovery Period:
The period over which the use of a property is economically feasible is known as the service life
of the property.

The period over which depreciation is charged is the recovery period, and this is established by tax
codes.

While originally the recovery period was at least approximately related to the service life, the
reality now is that there is little relationship between the two.

Recovery periods for some chemical- and process-industries related depreciation are shown in
Table 7-8.

FIXED CHARGES FIXED CHARGES

Methods for Calculating Depreciation: Insurance:
There are several methods for calculating depreciation; however, because of the federal income tax rules in effect since
1987, we shall consider here only three of the methods: straight-line, double-declining balance, and the modified The annual insurance costs for ordinary industrial projects are approximately 1 percent of the fixed-capital
accelerated cost recovery system (MACRS). investment.
Depreciation results in a reduction in income tax payable in the years in which it is charged.
Despite the fact that insurance costs may represent only a small fraction of total costs, it is necessary to
The total amount of depreciation that can be charged is fixed and equal to the investment in depreciable property. Thus,
consider insurance requirements carefully to make certain the economic operation of a plant is protected
over any recovery period, the same total amount is depreciated; hence, the same total amount of tax is paid—assuming
that the incremental tax rate is the same in all those years.
against emergencies or unforeseen developments.
However, because money has a time value, it is economically preferable to receive benefits, including tax savings, The design engineer can aid in reducing insurance requirements if all the factors involved in obtaining
sooner rather than later. adequate insurance are understood.
Therefore, it is usually in the taxpayer's interest to depreciate property as rapidly as possible.
From the federal government's perspective, however, for the same reason, it is preferable to receive tax revenues sooner In particular, the engineer should be aware of the different types of insurance available and the legal
rather than later. responsibilities of a corporation with regard to accidents and other unpredictable emergencies.
Counterbalancing this, from the government's point of view, is the desire to encourage business activity and thus the
overall economy.
For these reasons, the rate and length of time during which depreciation can be charged are a matter of government
policy.

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• A proposed investment must be evaluated for its economic feasibility. When a new
technical project is proposed, a design study must be carried out.
CHAPTER 8 The design study produces specifications from which cost estimates can be made.
These cost estimates, in turn, become the data for evaluating the economic
Profitability, Alternative consequences of the project.
This chapter introduces principles and methods for carrying out economic evaluations.
Investments, and • In the economic evaluation of a particular project, there are always alternative uses
for the resources.
Replacements For example, the available capital can be invested in another project or projects, or
invested in various financial instruments such as stocks, bonds, and savings accounts.
Since economic evaluation is always performed in the context of these alternatives,
evaluation methods must permit rational comparisons of these alternatives.
Several such methods are discussed in this chapter.
• Equipment replacement strategy also is reviewed in the light of these economic
evaluation criteria.

PROFITABILITY STANDARDS PROFITABILITY STANDARDS

In the process of making an investment decision, the profit anticipated from an investment must be judged relative to
some profitability standard. Cost of Capital

A profitability standard is a quantitative measure of profit with respect to the investment required to generate that profit. The cost of capital based upon corporate experience is often used as a basic profitability standard.

Profit is the goal of any investment, but maximizing profit is an inadequate profitability standard. Cost of capital is the amount paid for the use of capital from such sources as bonds, common and preferred stock, and
loans.
The profit must be judged relative to the investment. For example, suppose two equally sound investment opportunities
are available. The cost of capital after income taxes is found by weighting the cost of each of these outside sources according to its
fraction of the total capital from these sources.
One of these requires a $ 100,000 capital investment and will yield a profit of $ 10,000 per year, while the second
requires $1 million of capital investment and will yield a profit of $25,000 per year. Bond dividends and loan interest are contractual amounts and as such are charged as an expense of doing business.

While the second investment provides a greater yearly profit than the first, the annual rate of return on that investment The argument for using the cost of capital as a basic profitability standard is that any project must earn at least that
is only ($25,000/$l,000,000)(100), or 2.5 percent, while it is 10 percent for the first investment. If one had $1 million rate just to repay these external capital sources.
to invest and there were no alternative uses for these funds, then one might select the second investment.

However, because there are numerous reliable alternatives, such as bonds, that will yield annual returns greater than 2.5
percent, the second investment is not attractive.

In this case, it would be thadvisable to invest $100,000 in the first alternative, assuming that it is not significantly more
risky than the second alternative, and invest e remaining $900,000 in other reliable alternatives that provide higher
annual returns.

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PROFITABILITY STANDARDS PROFITABILITY STANDARDS

Minimum Acceptable Rate of Return Minimum Acceptable Rate of Return

A commonly used profitability standard is the minimum acceptable rate of return (also known as the minimum attractive The basic, safe value selected for mar is then normally adjusted to account for the uncertainties associated with a new
rate of return, or MARR). project.

The minimum acceptable rate of return is a rate of earning that must be achieved by an investment in order for it to be From the unknown future behavior of the overall economy to the uncertain future of price and demand for a particular
acceptable to the investor. product, there are risks associated with investing in a project.

The symbol mar will be used for the minimum acceptable annual rate of return, and it is used as a fraction per year but The risk is further increased whenever most of the capital is invested in equipment and plant construction, because that
often expressed as a percentage per year. capital is not liquid; that is, it is not easily recoverable on demand.

The mar generally is based on the highest rate of earning on safe investments that is available to the investor, such as Therefore, the practice is to adjust the safe cost of capital or earning rate in order to make the minimum acceptable rate
corporate bonds, government bonds, and loans. of return commensurate with the risk.

The argument for this choice is that any investment in a project must show earnings at a rate that is at least equal to the There is no given formula for doing this.
highest safe alternative opportunity available to a company or corporation.
The compensation for risk is largely a judgment call established for each corporation by upper management. Some
The cost of capital can be used as an alternative basis from which to establish a minimum acceptable rate of return. guidance for establishing this level of risk compensation is suggested below.

Suppose that a corporation has a weighted cost of capital, based on Table 7-1, of 8 percent per year after taxes.

PROFITABILITY STANDARDS
Minimum Acceptable Rate of Return

This rate of return on safe investments available to the company likewise could be used as the value for mar.

If 8 percent per year is used as the after-tax rate of earning on all the investment in the project, including that
from corporate funds as well as from outside sources, then just enough funds are available to pay the
dividends and interest on the outside capital sources and provide earnings at that same rate on the corporate
investment. Such a rate of earnings on the corporate investment is not likely to be considered satisfactory to
either management or shareholders.

Rather, the basic rate is increased sufficiently to make it attractive in the face of risk, thereby arriving at a
mar value that can be used in project evaluations.

The cost of capital and the rate of earnings on alternative investments are generally expressed as a single,
end-of-the-year amount after income taxes, calculated as a percentage per year of the capital obtained or
invested.

This is equivalent, in project terms, to the net profit divided by the total capital investment (Net Profit/Total
Capital Investment).

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PROFITABILITY STANDARDS
Minimum Acceptable Rate of Return

Various degrees of risk and corresponding mar values are presented in Table 8-1.

These are suggestions, for use when no other guidance is supplied, inferred from rates of return used in numerous
sources.

Both risk and mar should be considered to be on a continuum.

For new products that require large investments in research, development, and testing before their future is determined,
such as biotechnology products, the minimum acceptable return may be even higher than those listed in the table,
especially for the earlier stages of the project study.

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METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

The calculation of profitability is generally performed with one of the methods listed below. Methods That Do Not Consider the Time Value of Money

• The methods that do not consider the time value of money include; Table 8-2 shows the results of a recent survey on the use of these methods in economic analyses.

rate of return on investment, Table 8-2 notes that there are methodology differences between small and large companies and also indicates that large
companies often use more than one method.
payback period, and

net return.

• The methods that consider the time value of money involve;

the discounted cash flow rate of return and

net present worth.

METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Return on Investment (ROI)
Methods That Do Not Consider the Time Value of Money
This profitability measure is defined as the ratio of profit to investment. (Profit/Investment)
For those methods that do not consider the time value of money, it is not important what depreciation schedule is used
in the evaluation. Although any of several measures of profit and investment can be used, the most common are net profit and total
capital investment.
Therefore, straight-line depreciation is often used for convenience.
This can be expressed as
Any depreciation period that is less than or equal to the evaluation period is usable for evaluations, although the
recovery period specified by the Internal Revenue Service (IRS) must be used for income tax purposes.

Where;

ROI: the annual return on investment expressed as a fraction or percentage per year, (Yatırım Getirisi)

Np: the annual net profit, and

F: the total capital investment.

This definition agrees with the way in which the m ar values in Table 8-1 are defined.

Gross profit, before income taxes, or cash flow is sometimes used in place of net profit. Fixed-capital investment can
be used rather than total investment. Corporate policy or the preference of the resource analyst determines the choice.

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METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Return on Investment (ROI) Return on Investment (ROI)

Net profit usually is not constant from year to year for a project; total investment also changes if additional An ROI calculated from any of these three prior equations can be compared directly with a mar value supplied or
investments are made during project operation. In such a case, no one year is necessarily likely to be representative of selected from Table 8-1.
the entire project life; therefore, it becomes a question of what value to use for the net profit in Eq. (8-la).
If the ROI equals or exceeds the minimum acceptable rate of return m ar then the project offers an acceptable rate of
The recommended procedure is to take the average ROI over the entire project life as given by return.

If it does not, then the conclusion is that the project is not desirable for the investment of either borrowed or corporate
funds.

where N is the evaluation period, Np,j the net profit in year j, —b the year in which the first investment is made in the
project with respect to zero as the start-up time, and F the total capital investment in year j.

Note that for j > 0, that is, anytime after the original investment, Fj may often be zero or at most small compared to the
original investment, and the denominator can be replaced by the initial total capital investment to simplify Eq. (8-1b) to

METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Payback Period Payback Period

The profitability measure of payback period, or payout period, is the length of time necessary for the total return to It is subject to the fact that the cash flow usually changes from year to year, thereby raising the question of which
equal the capital investment. annual values to use. A particular year can be selected, or the average of the Aj values may be used to give;

The initial fixed-capital investment and annual cash flow are usually used in this calculation, so the equation is;

PBP is the payback period in years, A PBP calculated from either Eq. (8-2a) or (8-2b) should be compared to a PBP obtained from the minimum acceptable
rate of return.
V the manufacturing fixed-capital investment,
Because V + Ax is approximately equal to 0.85F and (Aj)ave is equal to Np,ave + dj,ave = marF + 0.85F/N,
Ax the nonmanufacturing fixed-capital investment,
(8-2c)
V + Ax the fixed-capital investment, and

Aj the annual cash flow .

To be acceptable, a project payback period should be less than or equal to the reference value given by Eq. (8-2c).
This PBP represents the time required for the cash flow to equal the original fixed-capital investment.

It is subject to the fact that the cash flow usually changes from year to year, thereby raising the question of which
annual values to use.

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METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Net Return Net Return

Another profitability measure is the amount of cash flow over and above that required to meet the minimum acceptable
rate of return and recover the total capital investment.

This quantity is calculated by subtracting the total amount earned at the minimum acceptable rate of return, as well as
the total capital investment, from the total cash flow .

Each of these quantities represents the total amount obtained over the length of the evaluation period. where Rn is the net return in dollars and recj the dollars recovered from the working capital and the sale of physical
assets (equipment, buildings, land, etc.) in year j.
The net return is given by;
By noting that the sum of dj plus the sum of the recovered amounts is equal to the total capital investment or the sum
of F, the equation simplifies to

METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Net Return Methods That Consider the Time Value of Money
The right-hand side of Eq. (8-3a), (8-3b), or (8-3c) is the total cash flow less the amount of money required to repay the
total capital investment and also provide the earnings that are anticipated at the minimum acceptable rate. The methods that do consider the time value of money include net present worth and
discounted cash flow rate of return.
Any positive value for Rn indicates that the cash flow to the project is actually greater than the amount necessary to
repay the investment and obtain a return that meets the minimum acceptable rate. These methods account for the earning power of invested money by the discounting
Therefore, it is earning at a rate greater than the minimum acceptable rate. If Rn happens to equal zero, then the project techniques described in Chap. 7.
is repaying the investment and matching the required mar.
As shown in Table 8-2, they are the methods of economic analysis most often used by
Either result indicates a favorable rating for the project.
large companies.
A negative value for Rn, however, indicates that the project obtains a return that is less than the mar, and therefore the
project should be unfavorably rated. Market value added, another popular evaluation method, is equivalent to the net present
worth method so it is not discussed here.
While not widely used, this method is effective as an optimization criterion.

EXAMPLE 8-1: Calculation of Profitability Measures Not Considering Time Value of Money – Page:325

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METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Net Present Worth Net Present Worth

The net present worth (NPW) is the total of the present worth of all cash flows minus the present worth of all The appropriate discount rate to use for discrete compounding is the minimum acceptable rate of return or m ar
capital investments, as defined by; originally selected as the evaluation standard. For continuous compounding the nominal interest rate is used, as given
by;

rma = ln(1 + mar ) (8-5)

where rma is the minimum acceptable nominal rate for continuous compounding.

The net present worth is the time value of money equivalent of the net return defined in Eq. (8-3).
where NPW is the net present worth, PWFcf,j the selected present worth factor (from Table 7-3, 7-4, or 7-5) for the cash
flows in year j, sj the value of sales in year j, coj the total product cost not including depreciation in year j, PWFv,j the If the net present worth is positive, then the project provides a return at a rate greater than the discount (earning) rate
appropriate present worth factor for investments occurring in year j, and Fj the total investment in year j. used in the calculations.

An earning rate is incorporated into the present worth factors by the discount rate used. In making comparisons of investments, the larger the net present worth, the more favorable is the investment.

Thus, the net present worth is the amount of money earned over and above the repayment of all the investments and the If the net present worth is equal to zero, then the project provides a return that matches the discount rate.
earnings on the investments at the discount (earning) rate used in the present worth factor calculations.
In either of these cases, the project is judged as favorable compared to the mar selected.

If the net present worth is less than zero, then the project rates unfavorably with respect to the mar standard.

METHODS FOR CALCULATING PROFITABILITY

Discounted Cash Flow Rate of Return

The discounted cash flow rate of return, or DCFR, is the return obtained from an investment in which all investments
and cash flows are discounted. It is determined by setting the NPW given by Eq. (8-4) equal to zero and solving for the
discount rate that satisfies the resulting relation. Thus,

The DCFR is only of concern when the project rates favorably compared to the value of m ar used in calculating the net
present worth. Clearly, if the NPW that is calculated equals zero, then the mar or ram used is the DCFR. However, if the
NPW is greater than zero, then the DCFR must be calculated from Eq. (8-6). Since the discount rate appears in
377.45
numerous exponents, it is generally impossible to solve for the discount rate analytically and an iterative solution is
required.

As guidance, the discounted cash flow rate of return will be greater than the mar or ram used. Thus, the mar or ram
value used is a good starting point. When the NPW is favorable, the DCFR will necessarily be favorable and will be the
actual earning rate of the investment. The two methods—net present worth and DCFR—are nearly always used
together.

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EBITDA
It is an acronym for

Earnings Before Interest, Taxes, Depreciation and Amortization

Its turkish translation is

FAVÖK
which is a shorthand notation for

Faiz, Amortisman ve Vergi Öncesi Kar.

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METHODS FOR CALCULATING PROFITABILITY

Selecting a Profitability Method

The net present worth method, combined with the discounted cash flow rate of return method,
is strongly recommended for making economic decisions.

These methods not only include all the pertinent information of the other methods, but also take
into account the time value of money. In that way they give a more realistic picture of the value of
the earnings in relationship to the investment than do those methods that do not include the time
value of money.

Income tax effects can be included in all the evaluation methods, and there is no good reason not
to include them. Income taxes affect the net profit and cash flow into the corporate treasury, but
not the capital investment.

Thus, taxes impact all measures of return with respect to investment, and that includes all five
profitability measures considered here. Table 8-3 reviews the quantities involved in order to
emphasize and clarify many of these income tax effects.

METHODS FOR CALCULATING PROFITABILITY

Selecting a Profitability Method

It is recommended that all investment opportunities that are being analyzed be compared using the
same profitability methods.

Since each of the methods discussed has advantages and disadvantages, it is reasonable to apply
and examine the results obtained from each one in the course of any economic analysis. However,
it is quite possible to compare a series of alternative investments by any one of the profitability
methods discussed and find that different alternatives could be recommended depending on the
evaluation technique used.

If there is any question as to which method should be used for a final determination, the net
present worth method should be chosen, since this specific method best accounts for the factors
affecting the profitability of the investment.

EXAMPLE 8-3: Comparison of Alternative Investments by Different Profitability Methods

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The net present worth

(including the discounted
cash flow rate of return) is
recommended as the most
suitable measure for
assessing profitability,
because it includes the
largest number of factors
affecting profitability.

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METHODS FOR CALCULATING PROFITABILITY METHODS FOR CALCULATING PROFITABILITY

Start-up Costs Start-up Costs

After plant construction has been completed, there is a start-up period during which all units are tested for operational During start-up, it sometimes becomes apparent that equipment changes have to be made before the plant can operate at
characteristics and safety. The start-up period process is continued until the desired operating conditions with proper maximum design conditions.
control have been achieved. Depending on the complexity of the plant and the experience of the engineering and
operating personnel, this period may last from a few weeks to as long as a year with little acceptable product being These changes involve expenditures for materials and equipment that become part of the capital investment.
produced.
It is usually expected that such investments will be relatively small and are to be covered from the contingency
In the overall cost analysis, start-up expenses over and above normal operating expenses are represented as a one-time allowance; but a separate investment entry for these items may be included in the estimate if it is desired to monitor
only expenditure in the first year of the plant operation. These start-up expenses can vary from 5 to 20 percent of the their expense.
fixed-capital investment. A typical value is 10 percent.
Losses in product revenue due to such changes are usually included in the capacity allowance mentioned in the previous
The production rate for the first year of operation of a new plant is usually estimated as a fraction of the annual design paragraph.
capacity because of unproductive time at start-up, and because start-up may begin at any time of year. In preliminary
economic estimates, it is common to use a fraction of one-half of annual capacity for the first year. This fraction, of
course, has a profound impact on the sales revenue and variable expenses for that period, and it may be changed as a
start-up date becomes more accurately known.

METHODS FOR CALCULATING PROFITABILITY

Spreadsheet for Economic Evaluation Calculations

Figure 8-1 shows the structure of a model spreadsheet for performing the economic evaluation calculations
described above. The user of the spreadsheet inputs basic data from, for example, the spreadsheets in Figs.
6-7 and 6-8.

Minimal required user inputs are at the top of Fig. 8-1 and in items 1, 9, and 11. The user may modify
default values and relations as needed for a particular project. The five profitability measures considered
here are calculated and tabulated near the bottom of the spreadsheet.

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ALTERNATIVE INVESTMENTS ALTERNATIVE INVESTMENTS

The following simple example illustrates the principle of investment comparison.
In industrial operations, it is often possible to produce equivalent products in different ways. Although the
physical results may be approximately the same, the capital required and the expenses involved can vary A chemical company is considering adding a new production unit that will require a total investment of
considerably depending on the particular method chosen. $1,200,000 and yield an annual after-tax profit of $240,000.
Similarly, alternative methods that require various levels of capital and operating systems can often be used An alternative addition has been proposed requiring an investment of $2 million that will yield an annual
to carry out other types of business ventures. It may be necessary, therefore, to decide not only if a given after-tax profit of $300,000. Although both proposals are based on reliable estimates, the company
business venture would be profitable, but also which of several possible methods would be the most executives feel that other equally sound investments can be made with at least a 14 percent annual after-tax
desirable. rate of return.
The final decision as to the best among alternative investments is simplified if it is recognized that each Therefore, the minimum acceptable rate of return for the new investment is 14 percent after taxes.
dollar of additional investment should yield an adequate rate of return. In practical situations, there are The rate of return on the $1,200,000 unit is 20 percent, and that for the alternative addition is 15 percent.
usually a limited number of choices, and the alternatives must be compared on the basis of incremental Both of these returns exceed the minimum required value, and it might appear that the $2 million investment
increases in the necessary capital investment. should be recommended because it yields the greater amount of profit per year.
However, a comparison of the incremental investment between the two proposals shows that the extra
investment of $800,000 gives a profit of only $60,000, or an incremental return of 7.5 percent. Therefore, if
the company had $2 million to invest, it would be more profitable to accept the $ 1,200,000 proposal and
put the other $800,000 in another investment at the indicated 14 percent return.

ALTERNATIVE INVESTMENTS ALTERNATIVE INVESTMENTS

A general rule for making comparisons of alternative investments can be stated as follows: Alternatives When an Investment Must Be Made
The minimum investment which will give the necessary functional results and the required rate of The design engineer often encounters situations where it is absolutely necessary to make an investment and
return should always be accepted unless there is a specific reason for accepting an alternative investment the only choice available is among various alternatives. An example might be found in the design of a plant
requiring more initial capital. that requires the use of an evaporation system.
When alternatives are available, therefore, the base plan would be that one requiring the The latter must have a given capacity based on the plant requirements, but there are several alternative
minimum acceptable investment. methods for carrying out the operation. A single-effect evaporator would be satisfactory. However, the
operating expenses would be less if a multiple-effect evaporator were used principally because of the
The alternatives should be compared with the base plan, and additional capital should not be
reduction in steam consumption.
invested unless an acceptable incremental return or some other distinct advantage can be shown.
Under these conditions, the optimum number of effects can be determined by comparing the increased
savings associated with the added investment required for each additional effect. A graphical representation
showing this kind of investment comparison is presented in Fig. 8-2.
The base plan for an alternative comparison of the type discussed in the preceding paragraph would be the
minimum investment that gives the necessary functional results.

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ALTERNATIVE INVESTMENTS
Alternatives When an Investment Must Be Made
The alternatives should then be compared with the base plan, and an additional investment would be
recommended only if it gave a definite advantage.
When investment comparisons are made, alternatives requiring more initial capital are compared only with
lower investments that have been found to be acceptable.
Consider an example in which an investment of $50,000 will give a desired result, while alternative
investments of $60,000 and $70,000 will give the same result with less annual expense. Suppose that
comparison between the $60,000 and the $50,000 cases shows the $60,000 investment to be unacceptable.
Certainly, there would be no reason to give further consideration to the $60,000 investment, and the next
comparison should be between the $70,000 and the $50,000 cases. In making a choice among various
alternative investments, it is necessary to recognize the need to compare one investment to another on a
mutually exclusive basis in such a manner that the return on the incremental investment is satisfactory.
Example 8-6 illustrates this principle.

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Because the indicated percent return for each of the first three designs is above the minimum of 15 percent
required by the company, any one of these three designs would be acceptable. Now it becomes necessary to
choose one of the three alternatives. One way to do this is by using the method of return on incremental
investment.
Analysis by means of return on incremental investment is accomplished by a logical step-by-step
comparison of an acceptable investment to another investment that might be better.
If design 1 is taken as the starting basis, comparison of design 2 to design 1 shows that an annual saving of
$3000 — $2000 = $1000 is obtained with an additional investment of $6000.
Thus, the percent return on the incremental investment is (1000/6000)(100) = 16.7 percent. Design 2 is
acceptable by company policy in preference to design 1.
Comparing design 2 to design 3, the annual percent return is (200/4000)(100) = 5 percent.
Thus, design 3 compared to design 2 shows that the incremental return is unacceptable, and design 2 is the
preferred alternative.

REPLACEMENTS REPLACEMENTS
The term replacement, as used in this chapter, refers to a special type of alternative in which facilities are 2. The existing property is capable of yielding the necessary product or service, but more efficient
currently in existence and it may be desirable to replace these facilities with different ones. Although equipment or property is available which can operate with lower expenses.
intangible factors may have a strong influence on decisions relative to replacements, the design engineer When the reason for a replacement is of the first general type, the only alternatives are to make the
must understand the tangible economic implications when a recommendation is made as to whether existing necessary changes or else go out of business. Under these conditions, the final economic analysis is usually
equipment or facilities should be replaced. The reasons for making replacements can be divided into two
reduced to a comparison of alternative investments.
general classes, as follows:
The correct decision as to the desirability of replacing an existing property that is capable of yielding the
1. An existing property in order to continue operation and meet the required demands for service or
necessary product or service depends on a clear understanding of theoretical replacement policies plus a
production must be replaced or changed. Some examples of reasons for this type of necessary replacement
careful consideration of many practical factors. To determine whether a change is advisable, the operating
are that
expenses with the present equipment must be compared with those that would exist if the change were
a. The property is worn out and can give no further useful service. made.
h. The property does not have sufficient capacity to meet the demand placed upon it. Practical considerations, such as amount of capital available or benefits to be gained by meeting a
competitor's standards, may also have an important effect on the final decision.
c. Operation of the property is no longer economically feasible because changes in design or product
requirements have caused the property to become obsolete.

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EXAMPLE 8-9: An Extreme Situation to Illustrate Result of Replacement Economic Analysis EXAMPLE 8-9: An Extreme Situation to Illustrate Result of Replacement Economic Analysis
A new manufacturing unit has just been constructed and put into operation by a midwestern company. The Solution
basis of the manufacturing process is a special computer for control (designated as the OVT computer) as The before-tax annual cost of continuing to operate the OVT computer is the cash expense plus
developed by the research department. The plant has now been in operation for less than one week and is depreciation, or 250,000 + 2,000,000/10 = $450,000.
performing according to expectations.
The total capital investment for the OVT computer is completely lost if the NTR computer is installed; thus,
However, a new computer (designated as the NTR computer) has just become available on the market. This the total investment in the NTR is $1,000,000.
new computer can easily be installed to replace the present computer and will provide the same process The after-tax savings based on a 35 percent tax rate will be (450,000)(0.65) - [50,000 + (1,000,000/10)]0.65.
control at considerably less annual cash expense because of reduced maintenance and personnel costs. or $195,000. The rate of return on this investment is (195,000/1,000,000)( 100), or 19.5 percent.
However, if the new computer is installed, the present computer is essentially worthless because there is no This after-tax return is most likely satisfactory to the company for a safe, though unnecessary, investment. If
other use for it. The pertinent economic information relative to the two computers is shown here: so, then the replacement should be recommended. If the return is not satisfactory, then the possibility of a
corporate capital gains tax reduction on the capital loss for the OVT computer should be investigated and
factored into the calculation.
Because of the reduced costs for the NTR computer, a profitability evaluation method that includes the time
value of money will tend to favor the replacement even more than the rate of return method on ivestment
used in the solution of this example.

What recommendation should be made relative to replacing the present $2,000,000 computer with the new
computer?

Optimum Design and Design Strategy

CHAPTER 9 The factors affecting the economic performance of the design include;
• the types of processing technique used,

Optimum Design •
•
processing equipment used,
arrangement and sequencing of the processing equipment used in the design, and

and Design Strategy • the actual physical parameters for the equipment.
The optimum for a process design is the most cost-effective selection, arrangement, sequencing of
processing equipment, and operating conditions for the design.

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When a design variable is changed, often some costs increase and others decrease.
Under these conditions, the total cost may go through a minimum at one value of the particular design
variable, and this value is the optimum value of that variable.
An example illustrating the principles of an optimum economic design is presented in Fig. 9-1. In this
simple case, the problem is to determine the optimum thickness of insulation for a given steam pipe
installation.
As the insulation thickness is increased, the annual fixed costs increase, the cost of heat loss decreases, and
all other costs remain constant.
Therefore, as shown in Fig. 9-1, the sum of the costs goes through a minimum, and this determines the
optimum insulation thickness.
Although profitability or cost is generally the basis for optimization, practical and intangible factors usually
need to be included as well in the final investment decision.

DEFINING THE OPTIMIZATION PROBLEM DEFINING THE OPTIMIZATION PROBLEM

The first phase in the development of an optimum design is to determine the objective function that is to be Once the optimization basis is determined, it is necessary to determine the process variables in the design
maximized or minimized as well as the structural and parametric variables and constraints that affect the that is to be optimized.
objective function.
Process variables are the variables that affect the values of the objective functions.
Such factors would be total cost per unit of production or per unit of time, profit, amount of final product The process variables are scrutinized and divided into decision and dependent variables.
per unit of time, and percent conversion.
Decision variables are variables that can be determined, or set, while dependent variables arise or are
The objective function typically is an economic performance measure.
influenced by process constraints.

Examples of process decision variables, and dependent variables include operating conditions such as
temperature and pressure as well as equipment specification variables such as the number of trays in a
distillation column.

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DEFINING THE OPTIMIZATION PROBLEM SELECTING AN OBJECTIVE FUNCTION

Process constraints are the constraints on the process. These are sometimes so obvious they are overlooked, The quantity to be maximized or minimized in an optimization is designated as the objective function.
but having these defined completely is critical. The definition of this objective function is fundamental to the success of the optimization effort. The
Common examples of process constraints include process operability limits, reaction chemical species objective function is nearly always an economic function.
dependence, or product purity and production rate.
In Chap. 8, five economic criteria for rating investments were discussed. Each of the five has advantages
The large number of variables that are generally involved in any design can often be reduced through and disadvantages for judging the economic performance of an investment. What is the "best" investment
screening analysis of a variable's relative impact on design performance and costs. strategy?

Further simplification may also be possible through suboptimization of sections of the overall design, either On the basis of the profitability analysis discussed earlier, it is proposed that the best strategy is one that
as a basis for subsequent overall design optimization or for direct analysis. favors those investments that meet or exceed an established minimum acceptable rate of return for each
investment, but that also ensures that no investment is made which does not meet that acceptable return
standard.

SELECTING AN OBJECTIVE FUNCTION Structural Optimization

In particular, any incremental investment must meet the minimum acceptable return standard. Optimization is often divided into two separate fields for convenience, parametric and structural

When several discrete investment alternatives are being compared, an effort should be made first to identify optimization.

the smallest investment that meets the minimum acceptable rate of return standard. This should be followed Structural optimization consists in finding one or more "best" flowsheets for a process.
by comparing the return on the incremental investment for each alternative to the best previous alternative
Selection of one or several "best" flowsheets is done by economic comparisons of these candidates.
to determine whether the incremental investment meets the prescribed standard.
Typically, a few near optimal flowsheets are obtained by establishing several feasible flowsheets and then
For optimization purposes, the methods of return on investment, payback period, and discounted cash flow
comparing their net present worths or annualized costs.
rate of return are not ideal, since it may be possible to invest more than indicated at the maximum or
One or more of these is then subjected to parametric optimization, and the most economically attractive one
minimum of these measures and still earn a rate that is equal to or above the return standard.
is selected.
The other two profitability methods — net return and net present worth —are recommended as the basis
for the objective function in optimization problems. Of these two, the net present worth method is more
strongly recommended because it includes the time value of money.

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Parametric Optimization Variable Screening and Selection

Parametric optimization deals with process operating variables and equipment design variables other than The selection of the more influential key decision variables for optimization can be made by analyzing the
those strictly related to structural concerns. principles underlying the process and consulting optimization literature.

Some of the more obvious examples of such decisions are operating conditions, recycle ratios, and stream However, this type of selection is qualitative and therefore can lead to overlooking influential variables or
properties such as flow rates and compositions. including unnecessary variables and thus needlessly complicating the optimization requirements.

In addition to the decision variables common to most processing equipment, every type and variant of A more quantitative selection is possible if process models are available.
process equipment may have from one to several unique decision variables. Thus, parametric optimization
The model analysis variable selection route is more involved and time consuming, but it does lead to
problems often involve hundreds of decision variables, including many that are common to multiple pieces quantifiable results.
of equipment such as operating pressure and temperature. In this way a balance is struck between the
increased difficulty of high-variable number optimization and optimization accuracy.

SUBOPTIMIZATION-Practical and Intangible Considerations

PROGRAMMING OPTIMIZATION PROBLEMS
There are practical and intangible factors that may be difficult to quantify or include in mathematical optimization
methods yet which can significantly impact the decision of what is the best design. The term programming as used in design optimization literally means optimization.

Practical considerations are realities and uncertainties that may be difficult to include in an optimization procedure Application programming is the practice of assembling the mathematical relationships that describe a
or that require special treatment or judgment. design process and its economic behavior and then using these relationships to explore and optimize the

Other realities, such as the benefits of early entry of a product into a market, financing windows of opportunity design.

and limitations, and fabrication and construction lead times may be difficult to program, but can be very important There are no generalized systematic programming practices that can be applied to all designs. Instead, a
to the success of a project. number of programming methods have been developed for the various kinds of optimization situations most

Uncertainties include such factors as future economic and market conditions, dependability of raw material and commonly encountered.
intermediate supplies, and unproven technologies. This categorization yields two optimization situations, linear integer programming (LIP) and mixed-
Intangible considerations are factors that are not quantifiable. Some examples are corporate image, investors' integer linear programming (MILP).
perceptions, community and labor relations, and compatibility with corporate product lines and policies. Such
factors may be important in corporate planning and decision making, and the inclusion of such considerations in
investment decisions is one of the main responsibilities of top corporate officers.

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PROGRAMMING OPTIMIZATION PROBLEMS PROGRAMMING OPTIMIZATION PROBLEMS

Optimization problems combining discrete or continuous and constrained characteristics give rise to stochastic
The other widely used continuous constrained optimization approach is nonlinear programming (NLP).
programming. Stochastic programming methods are particularly useful for dealing with uncertain processes that
This category of programming is the most commonly encountered situation combining nonlinear objective
exhibit a certain degree of uncertainty or to evaluate process flexibility.
functions or constraints. These are generally demanding and difficult to implement, but are the most useful.
A further subclass of continuous constrained programming is bound constrained programming. These are
situations where some variables or relations are artificially bound. A useful development of these methods is
called branch and bound (BB).

Another widely used continuous constrained optimization type is linear programming. Linear programming is
widely used because of both its relative simplicity and wide availability of good general-purpose linear
optimization algorithms and practices, and because many real-world situations can be converted to linear behavior
without too much difficulty or loss of accuracy. Further, the reduction to linear programming often does not result
in acuity losses, especially in cases where model and data accuracy is inexact or not well known.

Linear Programming
One strategy for simplifying the approach to a programming problem is based on expressing the constraints
and the objective function in a linear mathematical form.

The straight-line, or linear, expressions are stated mathematically as;

where the coefficients a,... ,n and b are known values and V1,..., Vn are unknown variables.

As an example to illustrate the basic methods involved in linear programming for determining optimum
conditions, consider the following simplified problem.

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Analytic Approach to Problems Involving Linear

Linear Programming
Programming
A brewery has received an order for 400 liters of beer with the constraints that the beer must contain 4 A systematic rationalization of a problem being solved by linear programming can be broken down into the
percent alcohol by volume, and it must be supplied immediately. The brewery wishes to fill the order, but following steps:
does not have 4 percent beer in stock. It is decided to mix two beers now in stock to give the desired final
product. One of the beers in stock (beer A) contains 4.5 percent alcohol by volume and is valued at $0.09
per liter. The other beer in stock (beer B) contains 3.7 percent alcohol by volume and is valued at $0.07 per
liter.

Water (W) can be added to the blend at no cost. What volume combination of the two beers in stock with
water, including at least 40 liters of beer A, will give the minimum ingredient cost for the 400 liters of 4
percent beer?

This example is greatly simplified because only a few constraints are involved and there are only three
independent variables, that is, volume of beer A (VA), volume of beer B (VB), and volume of water (Vw).

slack variable = gölge değişken

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Linear Programming
Intuitive Approach to Problems Involving Linear Programming

It can be seen intuitively, from Eqs. (9-6) and (9-7), that the minimum value of the objective function C
occurs when Vw is zero. Therefore, the optimum value of VA from Eq. (9-6) is 150 liters, and the optimum
value of VB from Eq. (9-2) is 250 liters.

Graphical Approach to Problems Involving Linear Programming

Figure 9-3 is the graphical representation of this problem. Line OE represents the overall constraint placed
on the problem by Eqs. (9-2), (9-3), and (9-4). The parallel dashed lines represent possible conditions of
cost. The goal of the program is to minimize cost (i.e., minimize C) while still remaining within the
constraints of the problem. The minimum value of C that still meets the constraints occurs for the line OD,
and the optimum must be at point O. Thus, the recommended blend is no water, 150 liters of A, 250 liters of
B, for a total cost C of $31.00 for 400 liters of blend.

Linear Programming Linear Programming

Computerized Approach to Problems Involving Linear Programming Generalization of Strategy for Linear Programming

Although the simplicity of this problem makes it trivial to use a computer for solution, the following is presented to The basic problem in linear programming is to maximize or minimize a linear function of a form shown in
illustrate the basic type of reasoning involved in developing a computer program for the linearized system.
Eq. (9-1).
An iterative procedure must be used for the computer solution to permit the computer to make calculations for repeated
possibilities until the minimum objective function C is attained. In this case, there are four variables (VA, VB, VW and S)
and three nonzero constraints (total volume, final alcohol content, and VA = 40 + S). Because the number of real
variables cannot e0XFFGI6xceed the number of nonzero constraints, one of the four variables must be zero. Thus, one There are various strategies that can be developed to simplify the methods of solution, some of which can
approach for a computer solution merely involves solving a 4 x 3 matrix with each variable alternatively being set equal
lead to algorithms that allow rote or pure number-plugging methods of solution that are well adapted for
to zero, followed by instruction that the desired combination is the one giving the least total cost.
machine solution.
The structure and implementation of the many computerized procedures for linear programming solutions are beyond
In linear programming, the variables vi,..., vj are usually restricted (or can be transformed) to values of zero
the scope of this text. However, there are many such procedures, or algorithms, available today, some of which are
or greater. This is known as a nonnegativity restriction on vj; that is,
described later in the chapter.

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Simultaneous equations Nonlinear programming

Linear programming is concerned with solutions to simultaneous linear equations where the equations are
developed on the basis of restrictions on the variables. Because these restrictions are often expressed as
inequalities, it is necessary to convert these inequalities to equalities. This can be accomplished by the
Again, f' is generally nonlinear, and h and g may also be nonlinear. All are usually assumed to be smooth,
inclusion of a new variable designated as a slack variable.
typically twice differentiable.
For a restriction of the form;
The programming approaches to solving these types of problems are more varied than those for linear
problems, and a combination of methods is common.

However, a number of major approaches account for most nonlinear programming and are representative of
the methodologies employed in nonlinear programming.

The major approaches are successive linear programming (SLP), successive quadratic programming
(SQP), augmented Lagrangian methods or method of multipliers, and generalized reduced gradient
(GRG) methods.

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OPTIMIZATION SOLUTION METHODOLOGIES

Procedure with One Variable
Solving and obtaining the optimum values for optimization problems is the last phase in design
There are many cases in which the factor being minimized (or maximized) is an analytic function of a single
optimization.
variable. The procedure then becomes very simple.
A number of general methods for solving the programmed optimization problems relate various relations
Consider the example presented in Fig. 9-1, where it is necessary to obtain the insulation thickness that
and constraints that describe the process to their effect on the objective function.
gives the least total cost. The primary variable involved is the thickness of the insulation, and relationships
These examine the effect of variables on the objective function using analytic, graphical, and algorithmic can be developed showing how this variable affects all costs.
techniques based on the principles of optimization and programming methods.
Cost data for the purchase and installation of the insulation are available, and the length of service life can
be estimated. Therefore, a relationship giving the effect of insulation thickness on fixed charges can be
developed.

Procedure with Two or More Variables

When two or more independent variables affect the objective function, the procedure for determining the
optimum conditions may become rather tedious; however, the general approach is the same as when only
one variable is involved.

Consider the case in which the total cost for a given operation is a function of the two independent variables
x and y, or;

By analyzing all the costs involved and reducing the resulting relationships to a simple form, the following
function might be found for Eq. (9-35):

where a, b, c, and d are positive constants.

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Graphical Procedure

The relationship among CT, x, and y could be shown as a curved surface in a three-dimensional plot, with a
minimum value of CT occurring at the optimum values of x and y. However, the use of a three-dimensional plot is
not practical for most engineering determinations.

The optimum values of x and y in Eq. (9-36) can be obtained graphically on a two-dimensional plot by using the
method indicated in Fig. 9-6.

In this figure, the objective function is plotted against one of the independent variables x, with the second variable
y held at a constant value.

A series of such plots is made with each dashed curve representing a different constant value of the second
variable.

As shown in Fig. 9-6, each of the curves (A, B, C, D, and E) gives one value of the first variable x at the point
where the total cost is a minimum.

The solid curve NM represents the locus of all these minimum points, and the optimum value of x and y occurs at
the minimum point on curve NM.

Breakeven Chart for Optimum Analysis of Production

EXAMPLE 9-1: Determination of Optimum Values with Two Independent Variables
In considering the overall costs or profits in a plant operation, one of the factors that has an important effect on
the economic results is the fraction of total available time during which the plant is in operation. If the plant
stands idle or operates at low capacity, certain costs, such as those for raw materials and labor, are reduced, but
costs for depreciation and maintenance continue at essentially the same rate even though the plant is not in full
use.

There is a close relationship between operating time, rate of production, and selling price. It is desirable to
operate at a schedule that will permit maximum utilization of fixed costs while simultaneously meeting market
sales demand and using the capacity of the plant production to give the best economic results. Figure 9-7 shows
graphically how production rate affects costs and profits.

The fixed costs remain constant while the total product cost, as well as the profit, increases with increased rate of
production. The point where total product cost equals total income represents the breakeven point, and the
optimum production schedule must be at a production rate higher than that corresponding to the breakeven point.

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Algorithm Solutions to Optimization Problems

An algorithm is simply an objective mathematical method for solving a problem and is purely mechanical so that
it can be programmed for a computer.

Solution of programming problems generally requires a series of actions that are iterated to a solution, based on a
programming method and various numerical calculation methods. The input to the algorithm can be manual,
where the relations governing the design behavior are added to the algorithm. They can also be integrated or set to
interface with rigorous computer simulations that describe the design.

Use of algorithms thus requires the selection of an appropriate programming method, methods, or combination of
methods as the basic principals for the algorithm function.

It also requires the provision of the objective functions and constraints, either as directly provided relations or
from computer simulation models.

The algorithm then uses the basic programming approach to solve the optimization problem set by the objective
function and constraints. Table 9-2 gives a brief summary of some of the more commonly used algorithms.

OPTIMIZATION APPLICATIONS
Optimization Application: Optimum Production Rates in Plant Operation

The same principles used for developing an optimum design can be applied to determine the most favorable
conditions in the operation of a manufacturing plant.

One of the most important variables in any plant operation is the amount of product produced per unit of
time.

From an analysis of the costs involved under different situations and consideration of other factors affecting
the particular plant, it is possible to determine an optimum rate of production or an economic lot size.

When a design engineer submits a complete plant design, the study ordinarily is based on a given production
capacity for the plant. After the plant is put into operation, however, some of the original design factors will
have changed, and the optimum rate of production may vary considerably from the original design capacity.

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OPTIMIZATION APPLICATIONS OPTIMIZATION APPLICATIONS

Optimization Application: Optimum Production Rates in Plant Operation Optimization Application: Optimum Production Rates in Plant Operation

The total product cost per unit of time may be divided into the classifications of operating costs and It is convenient to consider operating costs on the basis of one unit of production. When this is done, the
organization costs. operating costs can be divided into two types of expenses as follows:

Operating costs depend on the rate of production and include expenses for direct labor, raw materials, (1) minimum expenses for raw materials, labor, power, etc., that remain constant and must be paid for each
power, heat, supplies, and similar items which are a function of the amount of material produced. unit of production as long as any material is produced; and

Organization costs, on the other hand, are due to expenses for directive personnel, physical equipment, (2) extra expenses due to increasing the rate of production.
and other services or facilities which must be maintained irrespective of the amount of material produced.
These extra expenses are known as superproduction costs.
Organization costs are independent of the rate of production.
They become particularly important at high rates of production. Examples of superproduction costs are extra
expenses caused by overload on power facilities, additional labor requirements, or decreased efficiency of
conversion. Superproduction costs can often be represented in the following manner:

OPTIMIZATION APPLICATIONS
Optimum Production Rate for Minimum Cost per Unit of Production

Quite often there is a need to know the rate of production which will give the least cost on the basis of one
unit of material produced.

At this particular optimum rate, a plot of the total product cost per unit of production versus the
production rate shows a minimum product cost; therefore, the optimum production rate must occur where
dCT/dP0 = 0.

Optimum Production Rate for Maximum Total Proper Unit of Time

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EXAMPLE 9-2: Determination of Profits at Optimum Production Rates

OPTIMIZATION APPLICATIONS
Optimization Application: Cyclic Operations

Many processes are carried out by the use of cyclic operations that involve periodic shutdowns for
discharging, cleanout, or reactivation.

This type of operation occurs when the product is produced by a batch process or when the rate of
production decreases with time, as in the operation of a plate-and-frame filtration unit.

In a true batch operation, no product is obtained until the unit is shut down for discharging. In
semicontinuous cyclic operations, product is delivered continuously while the unit is in operation, but the
rate of delivery decreases with time. Thus, in batch or semicontinuous cyclic operations, the variable of
total time required per cycle must be considered when determining optimum conditions.

OPTIMIZATION APPLICATIONS EXAMPLE 9-3

Optimization Application: Cyclic Operations
Determination of Conditions for Minimum Total Cost in
a Batch Operation
Analyses of cyclic operations can be carried out conveniently by using the time for one cycle as a basis.
When this is done, relationships similar to the following can be developed to express overall factors, such as
total annual cost or annual rate of production:

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Optimization Application: Economic Pipe Diameter

Optimization Application: Economic Pipe Diameter
A classic example showing how added refinements can be brought into an optimization analysis involves the
development of methods used to determine the optimum economic pipe diameter in a flow system. For any given set of flow conditions, the use of an increased pipe diameter will cause an increase in the
fixed charges for the piping system and a decrease in the pumping charges.
The following analysis gives a detailed derivation to illustrate how simplified expressions for optimum
conditions can be developed. Therefore, an optimum economic pipe diameter must exist.

The investment for piping and pipe fittings can amount to an important part of the total investment for a The value of this optimum diameter can be determined by combining the principles of fluid dynamics with

chemical plant. cost considerations.

It is necessary, therefore, to choose pipe sizes that provide a minimum total cost for pumping and fixed The optimum economic pipe diameter is found at the point at which the sum of pumping costs and fixed

charges. charges based on the cost of the piping system is a minimum.

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CHAPTER 10
Materials and
Fabrication Selection

Materials and Fabrication Selection FACTORS CONTRIBUTING TO CORROSION

As chemical process plants turn to higher temperatures and flow rates to boost yields and Corrosion is a complex phenomenon that may involve one or more forms.
throughputs, selection of construction materials takes on added importance because these severe Corrosion of metals specifically applies to chemical or electrochemical attack. The corrosion is
conditions intensify corrosive action. often confined to the metal surface, but sometimes it may occur along grain boundaries or other
Fortunately, a broad range of materials is now available for corrosive service. However, this metal weaknesses because of a difference in resistance to attack or local electrolytic action.
apparent abundance of materials also complicates the task of selecting the "best" material because, The deterioration of plastics and other nonmetallic materials is essentially physiochemical rather
in many cases, a number of alloys and plastics will have sufficient corrosion resistance for a than electrochemical and results in swelling, crazing, cracking, softening, and/or decomposition.
particular application. Final choice cannot be based simply on selecting a suitable material from a
corrosion table, but must be based on a sound economic analysis of competing materials. Nonmetallic materials can either deteriorate rapidly when exposed to a particular environment or
be practically unaffected.
The purpose of this chapter is to provide the design engineer with a working knowledge of some
of the major forms and types of materials available, what they offer, and how they are specified.
With this background, the engineer can consult a materials specialist during the early stages of the
design to establish the materials that best meet the process conditions.

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FACTORS CONTRIBUTING TO CORROSION

There are both localized and structural aspects of corrosion associated with metals. Corrosive
action on a localized level occurs at areas such as crevices, intergranular boundaries, oxygen-
deficient cells, or stress-activated surfaces.
Corrosive action can also be initiated by galvanic action, impingement, cavitation, or hydrogen
attack.
In galvanic corrosion, for example, an electric potential can be set up between two different metals
in contact with a conducting fluid.
Table 10-1 shows the galvanic series of various metals. The table should be used with caution,
since exceptions to this series in actual use are possible. However, as a general rule, when
dissimilar metals are used in contact with each other and are exposed to an electrically
conducting solution, combinations of metals that are as close as possible in the galvanic series
should be selected.
Galvanic corrosion can be prevented by insulating the metals from each other.

FACTORS CONTRIBUTING TO CORROSION FACTORS CONTRIBUTING TO CORROSION

The corrosion rate of most metals is affected by pH. The rate of corrosion tends to increase with rising temperature. In addition, temperature has a
Metals such as aluminum and zinc dissolve rapidly in either acidic or basic solutions while noble secondary effect through its influence on the solubility of air (oxygen), the principal oxidizer
metals are not appreciably affected by pH. influencing corrosion. The rate of corrosion quite often will also increase with an increase in the
velocity of the corrosive solution relative to the metallic surface.
Oxidizing agents often are powerful accelerators of corrosion.
Structural corrosion, on the other hand, includes at least three different types of material
In many cases the oxidizing power of a solution may be the most important single property damage.
associated with the corrosion activity. For example, over a pH range from 4 to 10 the corrosion
rate of acid-soluble metals such as iron is controlled by the rate of transport of oxidizer (usually Graphitic corrosion usually involves gray cast iron in which the metal is converted to graphite
dissolved oxygen) to the metal surface. Note, however, that oxidizing agents may accelerate the mixed with iron corrosion products.
corrosion of one class of metals and retard the corrosion of another class of metals by the Dezincification is corrosion of a brass alloy containing zinc in which the principal product of
formation of a protective oxide on the surface. corrosion is metallic copper.
This property of chromium is responsible for the principal corrosion-resisting characteristics of In biological corrosion the metabolic activity of microorganisms can either directly or indirectly
the stainless steels. cause deterioration of a metal by corrosion processes.

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FACTORS CONTRIBUTING TO CORROSION COMBATING CORROSION

Biological activity in a fluid can produce a corrosive environment, create electrolytic In view of the problems that are associated with corrosion, it is necessary for the design
concentration cells on the metal surface, alter the resistance of surface films, have an influence on engineer to make material selection decisions that most economically fulfill the process
the rate of anodic or cathodic reaction, or alter the environmental composition. requirements.
Microorganisms associated with corrosion are either aerobic or anaerobic. The former species The best source of guidance for such a decision is well documented experience from an
readily thrive in an oxygen-containing environment while the latter species thrive in an
identical process unit. In the absence of such data, other data sources must be used.
environment essentially devoid of atmospheric oxygen.
Such a review may suggest a minimization of the corrosion process with a change in the
Most chemical engineers are not, and do not need to become, experts in the details of biological
corrosion. operating environment, use of an inhibitor, cathodic or anodic protection, substitution of
less corrosive materials, or the use of a permissible corrosion rate in the design of certain
What is required, however, is to recognize that this type of corrosion process is active, that process equipment if the corrosion is anticipated and properly allowed for in the thickness
equipment and structures are at risk, and that there are numerous tools available to detect and
calculation.
monitor microbiologically influenced corrosion.

COMBATING CORROSION COMBATING CORROSION

Simple changes in an environment may make an appreciable difference in the corrosion Elimination of moisture in a system can and frequently does minimize corrosion of
of metals and need to be considered as a means of combating corrosion. metals, and this environmental alteration should always be considered.
Oxygen is an important factor, and its removal or addition can result in marked changes in The use of inhibitors as additives to corrosive environments to decrease corrosion of
corrosion. The treatment of boiler feed water to remove oxygen greatly reduces the metals is another means of combating corrosion. Inhibitors are effective when they can
corrosiveness of the water on the chamber and piping. influence the cathode- or anode-area reactions. Typical examples of inhibitors for
Corrosiveness of acid fluids to stainless alloys, on the other hand, may be reduced by minimizing corrosion of iron and steel in aqueous solutions are the chromates,
aeration because of the formation of passive oxide films. phosphates, and silicates.

Reduction in temperature is often beneficial with a reduction in corrosion. Cathodic protection is widely used in the protection of underground pipes and tanks from
external soil corrosion and in water systems to protect water storage tanks and offshore
Modification of pH values to less acidic conditions also can result in less corrosion. structures.

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COMBATING CORROSION PROPERTIES OF MATERIALS

The use of nonmetallic castings and lining materials in combination with steel or other Materials used in the process industry may be divided into two general classifications, namely,
materials has often proved to be an economical solution for combating corrosion. metals and nonmetals.
Organic coatings of many kinds are used. The most dependable barrier linings include Pure metals and metallic alloys are included under the first classification. Because of the many
flake-glass-reinforced resin systems, elastomers, and plasticized plastic systems. types of metallic products used in industry, basic specifications have been developed to define the
chemistry and properties of such materials. The American Iron and Steel Institute (AISI) has set
Special glasses can be bonded to steel, providing an impervious liner with a thickness of up a series of standards for steel products. However, even the relatively simple product
1.5 to 2.5 mm. descriptions provided by AISI and shown in Table 10-2 must be used carefully.
The cladding of steel with an alloy is another approach to the corrosion problem. For instance, the AISI 1020 carbon steel does not refer to all 0.20 percent carbon steels. AISI 1020
is part of the numerical designation system defining the chemical composition of certain
For mild environments, steel can also be coated with zinc, cadmium, aluminum, or lead.
"standard steels" used primarily in bar, wire, and some tubular steel products.
Tests may be required when it becomes necessary to determine the most economical The system generally does not apply to sheet, strip, plate, or structural material. One reason is that
selection for a particular environment. the chemical composition ranges of standard steels are unnecessarily restrictive for many
applications.

PROPERTIES OF MATERIALS
Ferrous Metals and Alloys
Steel
Carbon steel is the most commonly used material in the chemical process industry despite its
somewhat limited corrosion resistance. This type of steel is routinely used with most organic
chemicals and neutral or basic aqueous solutions at moderate temperatures. Because of its
availability, low cost, and ease of fabrication, carbon steel is used even in situations with corrosion
rates of 0.13 to 0.5 mm/yr by specifying an added thickness to ensure achievement of the desired
service life.
Low-alloy steels contain one or more alloying components to improve the mechanical and
corrosion-resistant properties over those of carbon steel. Nickel increases toughness and improves
low-temperature properties and corrosion resistance.
Chromium and silicon improve hardness, abrasion resistance, corrosion resistance, and resistance
to oxidation.
Molybdenum provides added strength for higher-temperature operation.

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PROPERTIES OF MATERIALS PROPERTIES OF MATERIALS

Stainless Steel Stainless Steel
There are more than 70 standard types of stainless steel and many special alloys. These steels are Austenitic stainless steels are the most corrosion-resistant of the three groups of stainless steels.
produced in the wrought form (AISI types) and as cast alloys (ACF types). In the former, there are These steels contain 16 to 26 percent chromium and 6 to 22 percent nickel. Carbon content is
three groups of stainless alloys, namely, martensitic, ferritic, and austenitic. maintained below 0.08 percent to minimize carbide precipitation.
The martensitic alloys contain 12 to 20 percent chromium with controlled amounts of carbon and These alloys can be work-hardened, but heat treatment will not cause hardening.
other alloys. These alloys can be hardened by heat treatment, which can increase the tensile Tensile strength in the annealed condition is about 585 MPa, but work-hardening can increase this
strength from 550 to 1380 MPa. to 2000 MPa. The addition of molybdenum to the austenitic alloy, as in type 316, increases the
Ferritic stainless steels contain 15 to 30 percent chromium with 0.1 percent or less carbon corrosion resistance and improves high-temperature strength.
content. The strength of ferritic stainless can be increased by cold working but not by heat Although fabrication operations on stainless steels are more difficult than on standard carbon
treatment. Corrosion resistance is good, although ferritic alloys experience considerable corrosion steels, all types of stainless steel can be fabricated successfully. The properties of types 430F,
with reducing acids such as HCl. However, mildly corrosive solutions and oxidizing media are 416,410, 310, 309, and 303 make these materials particularly well suited for machining or other
handled with minimum damage. fabricating operations. In general, machinability is improved if small quantities of phosphorus,
selenium, or sulfur are present in the alloy.

PROPERTIES OF MATERIALS
Stainless Steel
A preliminary approach to the selection of the stainless steel required for a specific
application is to classify the various types according to alloy content, microstructure, and
major characteristics.
Table 10-3 outlines the information according to the classes of stainless steels—austenitic,
martensitic, and ferritic.
Table 10-4 presents characteristics and typical applications of various types of stainless
steel while Table 10-5 indicates resistance of stainless steels to oxidation in air.

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PROPERTIES OF MATERIALS PROPERTIES OF MATERIALS

Stainless Steel Stainless Steel
In addition to the three groups of stainless steels noted above, many cast stainless alloys are Oxidizing acids and salts rapidly corrode this alloy, but it provides unusually high resistance to all
available and widely used in pumps, valves, and fittings. These casting alloys are defined under concentrations of hydrochloric acid at all temperatures in the absence of oxidizing agents.
the ACI system where the letter L refers to corrosion-resistant alloys, the letter H refers to a series Hastelloy C, on the other hand, with a reduction in the nickel/molybdenum content to permit
of heat-resistant grades of ACI cast alloys, and the letters PH refer to precipitation-hardening additions of chromium, iron, tungsten, and trace amounts of several key elements, provides an
stainless steels. Essentially, these cast stainless alloys contain chromium and nickel with added alloy with structural strength and good corrosion resistance under conditions of high temperatures.
alloying agents such as copper, aluminum, beryllium, molybdenum, nitrogen, and phosphorus. These characteristics permit this alloy to be used in the form of valves, piping, heat exchangers,
A group of mostly proprietary alloys with somewhat better corrosion resistance than the stainless and various types of vessels.
steels are known as medium alloys. One member of this group is the 20 alloy which was Other types of Hastelloys and Chlorimets are also available for use under special corrosive
originally developed to meet the need for a material with greater resistance to hot sulfuric acid conditions.
than the available stainless steels. Other members of the medium-alloy group are Incoloy 825 and
Hastelloy G-3 and G-30.
Materials in another group designated as high alloys all contain large percentages of nickel. For
example, Hastelloy B contains 61 percent nickel and 28 percent molybdenum.

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PROPERTIES OF MATERIALS PROPERTIES OF MATERIALS

Nonferrous Metals and Alloys Aluminum and Its Alloys
Nickel and Its Alloys : Nickel exhibits high corrosion resistance to most alkalies. The lightness and relative ease of fabrication of aluminum and its alloys are factors
Nickel-clad steel is used extensively for equipment in the production of caustic soda and favoring the use of these materials.
alkalies. The strength and hardness of nickel are almost as great as those of carbon steel, Aluminum resists attack by acids because a surface film of inert hydrated aluminum oxide
and the metal can be fabricated easily. In general, oxidizing conditions promote the is formed.
corrosion of nickel, and reducing conditions retard it. This film adheres to the surface and offers good protection unless materials which can
Monel, an alloy of nickel containing 67 percent nickel and 30 percent copper, is often remove the oxide, such as halogen acids or alkalies, are present.
used in the food industries. This alloy is stronger than nickel and has better corrosion Aluminum alloys generally have a lower corrosion resistance than the pure metal. The
resistance properties than either copper or nickel. Al-clad alloys have been developed to overcome this shortcoming by metallurgically
Another important nickel alloy is Inconel (77 percent nickel and 15 percent chromium). bonding a pure aluminum layer on the core alloy.
The presence of chromium in this alloy increases its resistance to oxidizing conditions. .

PROPERTIES OF MATERIALS PROPERTIES OF MATERIALS

Copper and Its Alloys Lead and Alloys
Copper is relatively inexpensive, possesses fair mechanical strength, and can be fabricated Pure lead has low creep and fatigue resistance, but its physical properties can be
easily into a wide variety of shapes. Although it shows little tendency to dissolve in nonoxidizing improved by the addition of small amounts of silver, copper, antimony, or tellurium.
acids, it is readily susceptible to oxidation.
Lead-clad equipment is in common use in many chemical plants. The excellent corrosion
Copper is resistant to atmospheric moisture or oxygen because a protective coating composed
resistance properties of lead are caused by the formation of protective surface coatings.
primarily of copper oxide is formed on the surface. The oxide, however, is soluble in most acids,
and thus copper is not a suitable material for construction when it must contact any acid in the If the coating is one of the highly insoluble lead salts, such as sulfate, carbonate, or
presence of either oxygen or oxidizing agents. Copper exhibits good corrosion resistance to strong phosphate, good corrosion resistance is obtained.
alkalies, with the exception of ammonium hydroxide.
Little protection is offered, however, if the coating is a soluble salt, such as nitrate,
Copper alloys, such as brass, bronze, admiralty, and Muntz metals, can exhibit better corrosion acetate, or chloride.
resistance and better mechanical properties than pure copper.
As a result, lead shows good resistance to sulfuric acid and phosphoric acid, but is
In general, high-zinc alloys should not be used with acids or alkalies owing to the possibility of susceptible to attack by either acetic or nitric acid.
dezincification. Most of the low-zinc alloys are resistant to hot dilute alkalies.

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PROPERTIES OF MATERIALS PROPERTIES OF MATERIALS

Tantalum Titanium
The physical properties of tantalum are similar to those of mild steel, with the exception Because of its strength and medium weight, titanium has become increasingly important as a
that its melting point (2996 °C) is much higher. construction material. Corrosion resistance is superior in oxidizing and mild reducing media. Its
general resistance to seawater is excellent. Titanium is resistant to nitric acid at all
It is ordinarily used in the pure form and readily fabricated into many different shapes. concentrations except with fuming nitric. The metal also resists ferric chloride, cupric chloride,
The corrosion resistance properties of tantalum resemble those of glass. and other hot chloride solutions. Disadvantages of forming and welding are limits for its general
use.
The metal is attacked by hydrofloric acid, by hot concentrated alkalies, and by materials
containing free sulfur trioxide. Zirconium
Commercial-grade zirconium resembles titanium from a fabrication standpoint.
It is resistant to all other acids and is often used for equipment involving contact with
hydrochloric acid. It also has excellent resistance to reducing environments. Oxidizing agents frequently cause
accelerated attack. Zirconium resists all chlorides except ferric and cupric.
Zirconium alloys are severely damaged when exposed to sulfuric acid at concentrations above
about 70 percent.

Inorganic Nonmetals Inorganic Nonmetals

Stoneware and Porcelain
Glass, stoneware, brick, and cement materials are common examples of inorganic nonmetals
used as materials of construction. Many of the nonmetals have low structural strength. Materials of stoneware and porcelain are about as resistant to acids and chemicals as glass,
Consequently, they are often used in the form of linings or coatings bonded to metal but with the advantage of greater strength. This is offset somewhat by poor thermal
supports. For example, glass-lined equipment has many applications in the chemical conductivity and susceptibility to damage by thermal shock. Porcelain enamels are used to
industries. coat steel, but the enamel has slightly poorer chemical resistance, because of the presence of
surface imperfections.
Glass and Glassed Steel Brick and Cement Materials
Glass has excellent resistance and is subject to attack only by hydrofloric acid and hot Brick-lined construction can be used for many severely corrosive conditions, where high
alkaline solutions. It is particularly suitable for processes which have critical contamination alloys would fail. Acid-proof refractories can be used up to 95 °C.
levels. A disadvantage is its brittleness and damage by thermal shock. On the other hand, A number of cement materials are used with brick. Standard are phenolic and furane resins,
glassed steel combines the corrosion resistance of glass with the working strength of steel. polyesters, sulfur, silicate, and epoxy-based materials. Carbon-filled polyesters and furans are
Nucerite is a ceramic-metal composite made in a manner similar to glassed steel and resists good against nonoxidizing acids, salts, and solvents. Silica filled resins should not be used
corrosive hydrogen chloride gas, chlorine, or sulfur dioxide at 650 C. Its impact strength is 18 against hydrofioric or florosilicic acids. Sulfur -based cements are limited to 95 °C, while
times that of safety glass, and the abrasion resistance is superior to that of porcelain enamel. resins can be used to about 175 °C. The sodium silicate-based cements provide good
protection against acids to 400 °C.

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Organic Nonmetals Organic Nonmetals

In comparison with metallic materials, the use of organic nonmetallics is limited to Plastics
relatively moderate temperatures and pressures. One of the most chemical-resistant plastic commercially available today is
Plastics, for example, are less resistant to mechanical abuse and have high expansion tetrafluoroethylene, or TFE (Teflon). This thermoplastic is practically unaffected by all
rates, low strengths (thermoplastics), and only fair resistance to solvents. However, they alkalies and acids except florine and chlorine gas at elevated temperatures and molten
are lightweight, are good thermal and electrical insulators, are easy to fabricate and metals. It retains its properties up to 260 C.
install, and have low friction factors. Chlorotrifloroethylene or CTFE (Kel-F) also possesses excellent corrosion resistance to
Plastics almost all acids and alkalies up to 175 °C.
Generally, plastics have excellent resistance to weak mineral acids and are unaffected by FEP, a copolymer of tetraflorethylene and hexafloropropylene, has similar properties to
inorganic salt solutions-areas where metals are not entirely suitable. TFE except that it is not recommended for continuous exposures at temperatures above
Since plastics do not corrode in the electrochemical sense, they offer another advantage 200 °C. Also, FEP can be extruded on conventional extrusion equipment, while TFE parts
over metals: Most metals are affected by slight changes in pH, minor impurities, or must be fabricated by complicated powdered-metallurgy techniques.
oxygen content, while plastics will remain resistant to these same changes. Polyvinylidene floride, or PVF2 (Kynar), has excellent resistance to alkalies and acids to
150 °C.

Organic Nonmetals Organic Nonmetals

Plastics Plastics
Perfloroalkoxy , or PFA, on the other hand, can tolerate temperatures up to 300 °C while Acrylonitrile butadiene styrene (ABS) polymers have good resistance to nonoxidizing
exhibiting the general properties and chemical resistance of FEP. and weak acids but are not satisfactory with oxidizing acids. Upper temperature limit is
Polyethylene is the lowest-cost plastic commercially available. Mechanical properties are about 65 C. Resistance to weak alkaline solutions is excellent. They are not satisfactory
generally poor, particularly above 50 °C, and pipe must be fully supported. with aromatic or chlorinated hydrocarbons but have good resistance to aliphatic
hydrocarbons.
Carbon-filled grades are resistant to sunlight and weathering.
Chlorinated polyether can be used continuously up to 125 C and intermittently up to 150
Unplasticized polyvinyl chlorides (type I) have excellent resistance to oxidizing acids C. Chemical resistance is between that of polyvinyl chloride and that of the florocarbons.
except when concentrated, and to most nonoxidizing acids. Resistance is also good when Dilute acids, alkalies, and salts have no effect on the chemical resistance.
exposed to weak and strong alkaline solutions. Resistance to chlorinated hydrocarbons is
not good, but can be greatly improved with the substitution of a polyvinylidene known as Hydrochloric, hydrofloric, and phosphoric acids can be handled at all concentrations up to
Saran. 105C. Sulfuric acid over 60 percent and nitric over 25 percent cause degradation, as do
aromatics and ketones.

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Organic Nonmetals Organic Nonmetals

Plastics Plastics
Acetals have excellent resistance to most organic solvents but are not satisfactory for use Polyphenylene sulfide is resistant to aqueous inorganic salts and bases. In fact, it has no
with strong acids and alkalies. known solvents below 190 to 205 C, and its mechanical properties are unaffected by
Cellulose acetate butyrate is not affected by dilute acids and alkalies or gasoline, but exposure to air at 235 C.
chlorinated solvents cause some swelling. Polysulfone is highly resistant to mineral acid, alkali and salt solutions, detergents, oils,
Nylons resist many organic solvents but are attacked by phenols, strong oxidizing agents, and alcohols up to a temperature of 175C. Damage is sustained with exposure to such
and mineral acids. solvents as ketones, chlorinated hydrocarbons, and aromatic hydrocarbons.

The chemical resistance of polypropylene is about the same as that of polyethylene, but it Polyphenylene oxide displays good resistance to aliphatic solvents, acids, and bases, but
can be used at 120C. poor resistance to esters, ketones, and aromatic or chlorinated solvents.

Polycarbonate is a relatively high-temperature plastic. It can be used up to 150C. Polyamide or polyimide polymers are resistant to aliphatic, aromatic, and chlorinated or
Resistance to mineral acids is good. Strong alkalies slowly decompose it, but mild alkalies florinated hydrocarbons as well as to many acidic and basic systems, but are degraded by
do not. It is partially soluble in aromatic solvents and soluble in chlorinated hydrocarbons. high-temperature caustic exposures.

Organic Nonmetals Organic Nonmetals

Plastics Plastics
Among the thermosetting materials are phenolic plastics filled with carbon, graphite, and Chemical resistance of the epoxy resin is excellent in nonoxidizing and weak acids but poor with
silica. Relatively low cost, good mechanical properties, and chemical resistance (except strong acids. Alkaline resistance is excellent in weak solutions. Chemical resistance of epoxy-
against strong alkalies) make phenolics popular for chemical equipment. glass laminates may be affected by any exposed glass in the laminate.
Phenolics, general-purpose polyester glass, Saran, and CAB (cellulose acetate butyrate) are
Furan plastics, filled with asbestos, have much better alkali resistance than phenolic
adversely affected by alkalies.
asbestos. They are more expensive than the phenolics but also offer somewhat higher
strengths. Thermoplastics generally show poor resistance to organics.

General-purpose polyester resins, reinforced with fiberglass, have good strength and
good chemical resistance, except to alkalies. Some special materials in this class, based on
bisphenol, are more alkali-resistant. Temperature limit for polyesters is 95C.
Epoxies reinforced with fiberglass have very high strengths and resistance to heat.

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Organic Nonmetals Organic Nonmetals

Rubber and Elastomers Rubber and Elastomers
Natural and synthetic rubbers are used as linings or as structural components for equipment in Butyl rubber's resistance to dilute mineral acids and alkalies is exceptional; resistance to
the chemical industries. By adding the proper ingredients, natural rubbers with varying degrees of concentrated acids, except nitric and sulfuric, is good.
hardness and chemical resistance can be produced. Silicone rubbers, also known as polysiloxanes, have outstanding resistance to high and low
Hard rubbers are chemically saturated with sulfur. The vulcanized products are rigid and exhibit temperatures as well as against aliphatic solvents, oils, and greases.
excellent resistance to chemical attack by dilute sulfuric acid and dilute hydrochloric acid. Chlorosulfonated polyethylene, known as Hypalon, has outstanding resistance to ozone and
Natural rubber is resistant to dilute mineral acids, alkalies, and salts; but oxidizing media, oils, oxidizing agents except fuming nitric and sulfuric acids. Oil resistance is good.
benzene, and ketones will attack it. Fluoroelastomers (Viton A, Kel-F) combine excellent chemical and high-temperature resistance.
Chloroprene or neoprene rubber is resistant to attack by ozone, sunlight, oils, gasoline, and The polyvinyl chloride elastomer (Koroseal) was developed to overcome some of the limitations
aromatic or halogenated solvents. of natural and synthetic rubbers. This elastomer exhibits excellent resistance to mineral acids and
Styrene rubber has chemical resistance similar to that of natural rubber. petroleum oils.
Nitrile rubber is known for resistance to oils and solvents.

Organic Nonmetals Low- and High-Temperature Materials

Carbon and Graphite The extremes of low and high temperatures used in many recent chemical processes have created
some unusual problems in fabrication of equipment.
Generally, impervious graphite is completely inert to all but the most severe oxidizing
conditions. For example, some metals lose their ductility and impact strength at low temperatures, although in
many cases, yield and tensile strengths increase as the temperature is decreased.
This property, combined with excellent heat transfer, has made impervious carbon and
graphite very popular in heat exchangers, as brick lining, and in pipe and pump systems. It is important in low-temperature applications to select materials resistant to shock.
One limitation of these materials is low tensile strength. Threshold oxidation temperatures are Table 10-6 provides a brief summary of metals and alloys recommended for low temperature use.
350 °C for carbon and 400 °C for graphite. Among the most important properties of materials at the other end of the temperature spectrum are
creep, rupture, and short-time strengths.
Wood Stress rupture is another important consideration at high temperatures since it relates stress and
This material of construction, while fairly inert chemically, is readily dehydrated by time to produce rupture.
concentrated solutions and consequently shrinks badly when subjected to the action of such
solutions. It also has a tendency to slowly hydrolyze when in contact with hot acids and
alkalies.

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Low- and High-Temperature Materials

Ferritic alloys are weaker than austenitic compositions, and in both groups molybdenum increases
strength.
Higher strengths are available in Inconel, cobalt-base Stellite 25, and iron-base A286.
Other properties that become important at high temperatures include thermal conductivity,
thermal expansion, ductility, alloy composition, and stability.
Actually, in many cases strength and mechanical properties become of secondary importance in
process applications, compared with resistance to corrosive surroundings.
All common heat-resistant alloys form oxides when exposed to hot oxidizing environments.
Whether the alloy is resistant depends upon whether the oxide is stable and forms a protective
film. Thus, mild steel is seldom used above 500C because of excessive scaling rates. Higher
temperatures require chromium. This is evident not only from Table 10-5, but also from Table 10-
7, which lists the important commercial alloys for high-temperature use.

Low- and High-Temperature Materials

Gasket Materials
Metallic and nonmetallic gaskets of many different forms and compositions are used in
industrial equipment.
The choice, as shown in Table 10-8, of a gasket material depends on the corrosive action
of the chemicals that may contact the gasket, the location of the gasket, and the type of
gasket construction.
Other factors of importance are the cost of the materials, pressure and temperature
involved, and frequency of opening the joint.

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TABULATED DATA FOR SELECTING MATERIALS

OF CONSTRUCTION
SELECTION OF MATERIALS
The chemical engineer responsible for the selection of materials of construction must have a
Table 10-8 presents information on the corrosion resistance of some common metals,
thorough understanding of all the basic process information available. This knowledge of the
nonmetals, and gasket materials.
process can then be used to select materials of construction in a logical manner. A brief plan for
Table 10-9 presents similar information for various types of plastics. studying materials of construction is as follows:
These tables can be used as an aid in selecting materials to be used in the various 1. Preliminary selection—experience, manufacturer's data, special literature, general
components of the design. However, no single table can take into account all the factors literature, availability, safety aspects, preliminary laboratory tests
that can affect corrosion. 2. Laboratory testing—reevaluation of apparently suitable materials under process
Temperature level, concentration of the corrosive agent, presence of impurities, physical conditions
methods of operation, and slight alterations in the composition of the construction 3. Interpretation of laboratory results and other data—effect of possible impurities,
material can affect the degree of corrosion resistance. excess temperature, excess pressure, agitation, and presence of air in equipment; avoidance of
electrolysis; fabrication method
The final selection of a material of construction, therefore, may require reference to
manufacturers' bulletins and consultation with individuals who are experts in the 4. Economic comparison of apparently suitable materials—material and maintenance
cost, probable life, cost of product degradation, and liability to special hazards
particular field of application.
5. Final selection

Economics Involved in Selection Economics Involved in Selection

Any cost estimation should include the following items: When these factors are considered, cost comparisons bear little resemblance to first costs. Table
1. Total equipment or materials costs 10-10 presents a typical analysis of comparative costs for alternative materials when based on
return on investment. One difficulty with such a comparison is the uncertainty associated with
2. Installation costs
estimated life. Well-designed laboratory and plant tests can at least give order-of-magnitude
3. Maintenance costs, amount and timing estimates. Another difficulty arises in estimating the annual maintenance cost. This can only be
4. Service life predicted from previous experience with the specific materials.
5. Replacement costs The comparison could be extended by the use of compounding interest methods as outlined in
Chap. 7 to show the value of money to a company. Without compounding, Table 10-10 indicates
6. Downtime costs
that both material B and C are better than material A and material C is marginally better than
7. Cost of inhibitors, control facilities required to achieve estimated service life material B as determined by the annual return on investment method. However, depending on the
8. Depreciation and taxes time value of money to a company, this may not always be true.

9. Time value of money

10. Inflation

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FABRICATION OF EQUIPMENT
Fabrication expenses account for a large fraction of the purchased cost for equipment.
A chemical engineer, therefore, should be acquainted with the methods for fabricating equipment,
and the problems involved in the fabrication should be considered when equipment specifications
are prepared.
Many of the design and fabrication details for equipment are governed by various codes, such as
the ASME codes. These codes can be used to indicate definite specifications or tolerance limits
without including a large amount of descriptive restrictions.
For example, fastening requirements can often be indicated satisfactorily by merely stating that all
welding should be in accordance with the ASME code.

FABRICATION OF EQUIPMENT FABRICATION OF EQUIPMENT

Methods of Fabrication Fabrication expenses account for a large fraction of the purchased cost for equipment.
The exact methods used for fabrication depend on the complexity and type of equipment being A chemical engineer, therefore, should be acquainted with the methods for fabricating equipment,
prepared. In general, however, the following steps are involved in the complete fabrication of and the problems involved in the fabrication should be considered when equipment specifications
major pieces of chemical equipment such as tanks, autoclaves, reactors, towers, and heat are prepared.
exchangers: Many of the design and fabrication details for equipment are governed by various codes, such as
1. Layout of materials the ASME codes. These codes can be used to indicate definite specifications or tolerance limits
2. Cutting to correct dimensions without including a large amount of descriptive restrictions.

3. Forming into desired shape For example, fastening requirements can often be indicated satisfactorily by merely stating that all
welding should be in accordance with the ASME code.
4. Fastening
5. Testing
6. Heat-treating
7. Finishing

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FABRICATION OF EQUIPMENT FABRICATION OF EQUIPMENT

Layout Forming
The first step in the fabrication is to establish the layout of the various components on the basis of After the construction materials have been cut, the next step is to form them into the desired
detailed instructions prepared by the fabricator. Flat pieces ofthe metal or other constructional shape. This can be accomplished by various methods, such as by rolling, bending, pressing,
material involved are marked to indicate where cutting and forming are required. Allowances must bumping (i.e., pounding), or spinning on a die. In some cases, heating may be necessary to carry
be made for losses caused by cutting, shrinkage due to welding, or deformation caused by the out the forming operation. Because of workhardening of the material, annealing may be required
various forming operations. Once the equipment takes shape, location of various outlets and before forming and between stages during the forming.
attachments can be made. When the shaping operations are finished, the different parts are assembled and fitted for
Cutting fastening. When the fitting is complete and all edges are correctly aligned, the main seams can be
Several methods can be used for cutting the laid-out materials to the correct size. Shearing is the tack-welded in preparation for the final fastening.
cheapest method and is satisfactory for relatively thin sheets. The edge resulting from a shearing
operation may not be usable for welding, and the sheared edges may require an additional
grinding or machining treatment. Burning is often used for cutting metals. This method can be
employed to cut and, simultaneously, prepare a beveled edge suitable for welding. Sawing can be
used to cut metals that are in the form of fit sheets. However , sawing is expensive and is used
only when the heat effects from burning would be detrimental.

FABRICATION OF EQUIPMENT FABRICATION OF EQUIPMENT

Fastening Testing
Riveting can be used for fastening operations, but electric welding is far more common and gives All welded joints can be tested for concealed imperfections by X-rays, and code specifications
superior results. The quality of a weld is very important, because the ability of equipment to usually require X-ray examination of main seams. Hydrostatic tests can be conducted to locate
withstand pressure or corrosive conditions is often limited by the conditions along the welds. leaks. Sometimes, delicate tests, such as a helium probe test, are used to check for very small
Although good welds may be stronger than the metal that is fastened together, design engineers leaks.
usually assume a weld is not perfect and employ weld efficiencies of 80 to 95 percent in the
design of pressure vessels.
Heat-Treating
In some cases, fastening can be accomplished by the use of various solders. Screw threads,
packings, gaskets, and other mechanical methods are also used for fastening various parts of After the preliminary testing and necessary repairs are completed, it may be necessary to heat-
equipment. treat the equipment to remove forming and welding stresses, restore corrosion resistance
properties to heat-affected materials, and prevent stress corrosion conditions. A low temperature
may be adequate, or the particular conditions may require a full anneal followed by a rapid
quench.

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FABRICATION OF EQUIPMENT
Finishing CHAPTER 11
The finishing operation involves preparing the equipment for final shipment.
Sandblasting, polishing, and painting may be necessary. Final pressure tests at 1 ^ to 2 or more
times the design pressure are conducted together with other tests as demanded by the specihed
Written and Oral
code or requested by the inspector.
Design Reports

Written and Oral Design Reports Written and Oral Design Reports

A successful engineer not only must be able to apply theoretical and practical principles in the development Some questions that each design engineer should ask before starting, preparing, or finalizing such a
of ideas and methods, but also must have the ability to express the results clearly and convincingly in communication are listed here:
written and oral presentations. What is the purpose of this communication?
During the course of a design project, the engineer may be requested to prepare numerous written and oral
What audience will read or listen to this communication?
reports. These may involve feasibility investigations, environmental impact studies, progress reports, and
project conclusions and recommendations. What is the function of this audience?
The decision on the advisability of continuing the design project will often be made on the basis of the What background information does the audience have?
material presented in the written and oral communications. What is the technical level that the audience will understand?
The value of the engineer's work is measured to a large extent by the results given in these various reports What response is desired from this audience?
covering the design study and the manner in which these results are presented.
The answers to these questions indicate the type of information that should be presented,
the quantity of detail required, and the most satisfactory method of presentation.

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WRITTEN REPORTS
Organization of a Written Report
A design report, generally, presents the results of a design effort to decision makers in an organization and The organization of a formal report requires careful sectioning and the use of subheadings in order to
aids them in their assigned responsibilities. maintain a clear and effective presentation.
Similar to the design process, design reports are of varying scope, detail, and complexity. To a lesser extent, the same type of sectioning is valuable for informal reports. The following discussion
applies to formal reports, but by deleting or combining appropriate sections, the same principles can be
Reports can be designated us formal and informal. Formal reports are often prepared as research,
applied to the organization of any type of report.
development, or design reports. These reports present results in considerable detail, and the design engineer
is generally allowed considerable leeway in selecting the type of presentation to be made. Informal reports
include memoranda, letters, progress notes, survey-type results, and similar items in which the major
A complete design report consists of several independent parts, with each succeeding part giving greater
purpose is to present a result without including detailed information. Stereotyped forms are often used for
detail on the design and its development. A covering letter of transmittal is usually the first item in any
informal reports, such as those for sales, production, calculations, progress, analyses, or summary of report. After this come the title page, the table of contents, and an abstract or summary of the report.
economic relations.
The body of the report is next and includes essential information, presented in the form of discussion,
graphs, tables, and figures. The appendix at the end of the report gives detailed information which permits
complete verification of the results shown in the body of the report.
Tables of data, sample calculations, and other supplementary material are included in the appendix. A typical
outline for a design report is given in Table 11-1.

WRITTEN REPORTS

A design report, generally, presents the results of a design effort to decision makers in an organization and
aids them in their assigned responsibilities.
Similar to the design process, design reports are of varying scope, detail, and complexity.
Reports can be designated us formal and informal. Formal reports are often prepared as research,
development, or design reports. These reports present results in considerable detail, and the design engineer
is generally allowed considerable leeway in selecting the type of presentation to be made. Informal reports
include memoranda, letters, progress notes, survey-type results, and similar items in which the major
purpose is to present a result without including detailed information. Stereotyped forms are often used for
informal reports, such as those for sales, production, calculations, progress, analyses, or summary of
economic relations.

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Materials-Handling Equipment—Design and Costs

CHAPTER 12 The design of equipment and systems used for the safe handling of materials is encountered in nearly every
type of plant design.

Materials-Handling The most common process for transferring liquid materials uses pumps and piping systems.
Compressors, fans, blowers, conveyors, chutes, and hoists are examples of other types of equipment used
extensively to handle and transfer gaseous and solid materials.
Equipment—Design Other types of special equipment may further change the characteristics of the materials with the use of
blenders, mixers, kneaders, crushers, and grinders.

and Costs Collection and storage of these materials are still another phase of this materials-handling process.
In all these cases the design engineer must decide which type of equipment is best suited for achieving the
objectives of the process design to prepare equipment specifications that will satisfy the operational
demands of the process under reasonable cost conditions.
Therefore, design principles, practical problems of operation, and cost effects are all involved in the final
choice of materials transfer, handling, and treatment equipment.

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BASIC CONCEPTS OF FLUID TRANSPORT BASIC CONCEPTS OF FLUID TRANSPORT

A key factor involved in the design of systems providing the transport of fluids from one location to another
is the quantity of power that is required for this particular operation.
The various forms of energy can be related to the total energy balance or the total mechanical energy
balance. On the basis of 1 kg of fluid flowing under steady-state conditions between the inlet and exit
locations in the system, the total energy balance can be written in differentiated form as;
where Z is the vertical distance above an arbitrarily chosen datum plane, g the local gravitational
acceleration, p the absolute pressure, v the specific volume of the fluid, V the average fluid velocity, α the
correction factor to account for the use of the average velocity, u the internal energy of the fluid, Q the heat
energy transmitted across the fluid boundary from an outside source, W the total shaft work provided from
an outside source, W0 the mechanical work provided from an outside source, and F the mechanical energy
loss due to friction.
The value for α is usually assumed to be 1.0 if the flow is turbulent and 0.5 if the flow is viscous.
Equations (12-1) and (12-2) are sufficiently general for treatment of almost any flow problem and are the
basis for many design equations that apply for a number of simplified conditions.

Newtonian Fluids
For a Newtonian fluid in a smooth pipe, dimensional analysis relates the friction drop per unit length of
pipe to the pipe diameter, density of the fluid, and average fluid velocity through two dimensionless groups,
namely, the Fanning friction factor (Fanning sürtünme faktörü), given by;

The friction factor in smooth pipes is a function of the Reynolds number. However, in rough pipes, the
relative roughness (bağıl pürüzlülük) ε /D also affects the friction factor.
Figure 12-1 presents a plot of the friction factor as a function of the Reynolds number and ε/D.
Representative values for the surface roughness factor ε associated with various materials are indicated in
the figure.

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Newtonian Fluids
Many pipe flow problems either include determination of the pressure drop given the flow rate (or
velocity) or the calculation of the flow rate (or velocity) for a given pressure drop.
When the flow rate is given, the Reynolds number is determined to identify the flow regime and the
appropriate friction factor relation that needs to be used.
When the pressure drop is given and the velocity is unknown, the flow regime will have to be assumed and
later verified by checking the Reynolds number.
When Eq. (12-6) is solved for velocity when the pressure drop is given, note that the right-hand side of the
equation is independent of velocity since
Re(f )1/2 = (D3/2 /μ)(ρΔp/2L)
If the velocity, density, and viscosity of the flowing fluid remain constant and the pipe diameter is uniform
over the total pipe length, the mechanical energy loss due to friction may be obtained from:

(12-7)

Newtonian Fluids
Non-Newtonian and Bingham Fluids

(12-7) For flow of non-Newtonian fluids, the Fanning friction factor design chart (Fig. 12-2) developed by
Dodge and Metzner is often used. In this chart, n' is the slope of a plot of D p/(4L) versus 8V/D on
logarithmic coordinates, and γ is a general relationship for the shear rate (kesme hızı) of the fluid given
In a strict sense, Eq. (12-7) is limited to conditions in which the flowing fluid is noncompressible and the by:
temperature of the fluid is constant.
When one is dealing with compressible fluids, such as air, steam, or any gas, it is good engineering practice
to use Equation (12-7) only if the pressure drop over the system is less than 10 percent of the initial
pressure.
If a change in the fluid temperature occurs, Eq. (12-7) should not be used in the form indicated unless the By plotting capillary viscometry information in this manner, the data can be used directly for pressure drop
total change in the fluid viscosity is less than approximately 50 percent based on the maximum viscosity. calculations. For such calculations, the flow rate and diameter determine the fluid velocity from which
8V/D is determined and D p/(4L) is read from the plot.
If Equation (12-7) is used when pressure changes or temperature changes are involved, the best accuracy is
obtained by using the linear velocity, density, and viscosity of the fluid as determined at the average For Bingham plastic materials in turbulent flow, it is generally assumed that the wall stresses greatly
temperature and pressure. exceed the yield stress (akma gerilimi), so that the friction factor-Reynolds number relationship for
Newtonian fluids applies. This is equivalent to setting n' = 1 in the Dodge-Metzner method.
Exact results for compressible fluids or nonisothermal flow can be obtained from the Fanning equation by
integrating the differential expression, taking all changes into consideration.

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Vacuum Flow
For gas flows under high vacuum conditions, the continuum hypothesis used in previous flow calculations Frictional Losses Encountered in Pipelines
is no longer appropriate. Accordingly, vacuum flow is generally described with such flow variables as S
and Q, the pumping speed and throughput, respectively. The pumping speed is the actual volumetric flow If the cross-sectional area of a pipe changes gradually to a new cross-sectional area, the
rate of the gas through a flow cross section, and throughput is the product of the pumping speed and the disturbances to the flow pattern can be so small that the amount of mechanical energy lost
absolute pressure. The mass flow rate (m) is directly related to the throughput, using the ideal gas law, as: as friction due to the change in cross section is negligible.
However, if the change is sudden, an appreciable amount of mechanical energy can be
lost as friction.
where M is the molecular weight of the gas. For a given mass flow rate, throughput is independent of Similarly, the presence of bends, fittings, valves, orifices, or other installations that
pressure. The relation between throughput and pressure drop across a flow element is designated in terms
disturb the flow pattern can cause frictional losses.
of the conductance Cc. Conductance has dimensions of volume per time and is defined as:
All these effects must be included in the friction term appearing in the total mechanical
energy balance.
Recommended expressions for evaluating the important types of frictional losses are
presented in Table 12-1.

Power Requirements for Transport of Liquids and Gases

For noncompressible fluids, Eq. (12-2) can be reduced to:

Since the individual terms in Eq. (12-12) can be evaluated directly from the physical properties of the
system and the associated flow conditions, the design engineer can apply this equation to many liquid-flow
systems without making any major assumptions.
Example 12-1 illustrates the application of Eq. (12-12) to determine the power requirements for the given
pumping operation.

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Example 12 – 1 Solution:
EXAMPLE 12-1: Application of Mechanical Energy Balance to
Noncompressible Flow Systems
Water is pumped from a large reservoir into an open tank using a standard steel pipe with an inside diameter
of 0.0525 m.
The reservoir and the tank are open to the atmosphere.
The difference in vertical elevation between the water surface in the reservoir and the discharge point at the
top of the tank is 21.3 m.
The length of the pipeline is 305 m. Two gate valves and three standard 90° elbows are part of the piping
system.
The efficiency of the pump is 40 percent and includes the losses at the entrance and exit of the pump.
If the flow rate of the water is to be maintained at 3.15 x 10-3 m3/s and the water temperature remains
constant at 16 °C, estimate the power rating of the motor required to drive the pump.

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Power Requirements for Transport of Liquids and Gases EXAMPLE 12-2: Application of the Total Energy Balance to a
Compressible Flow System
The use of the mechanical energy balance is not recommended for compressible fluids when large pressure Nitrogen gas is flowing under turbulent conditions at a constant rate through a long, straight, and horizontal
drops in the flow are involved. In such cases, the total energy balance should be used if the required data are pipe with an inside diameter of 0.0525 m.
available. A rearrangement of the total energy balance given in Eq. (12-1) for the work involved in the fluid At the upstream location (point 1), the temperature of the nitrogen gas is 21 °C, the pressure is 103 kPa, and
system is given by the linear velocity of the gas is 15 m/s.
At the downstream location (point 2), the temperature of the nitrogen gas is 60°C and the pressure is 345
kPa.
An external heater is located between points 1 and 2, and 23.2 kJ is transferred from the heater to each
kilogram of the flowing gas.
where h is the enthalpy and is equal to u + pv. When Eq. (12-13) is applied in design calculations,
information must be available for determining the change in enthalpy over the range of temperature and No other heat sources or losses occur between the gas and the surroundings.
pressure involved. Estimate the work input to the gas in kJ/kg supplied by the compressor located between points 1 and 2.
Example 12-2 shows how Eq. (12-13) can be used to calculate the pumping requirement when a
compressible fluid is involved.

Example 12 – 2 Solution:
PIPING IN FLUID TRANSPORT PROCESSES
The American National Standards Institute (ANSI) and the American Petroleum Institute (API) have
established detailed standards for the most widely used components of piping systems. Lists of these
standards as well as specifications for pipe and fitting materials can be found in the ANSI B31 code
sections. Many of these standards contain pressure-temperature ratings that will be of assistance to
engineers in their design function. Even though safety is the basic consideration of the code, design
engineers are cautioned that the code is not a design handbook and does not eliminate the need for
engineering judgment.
Some of the specific requirements for pumping systems have been included in the Occupational Safety and
Health Administration (OSHA) requirements. A few of the more significant requirements of ANSI B31.3
have been summarized and are included in this section since they relate directly to the minimum
requirements for the selection and design of piping systems.

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PIPING IN FLUID TRANSPORT PROCESSES

Selection of Piping Materials
General aspects that need to be evaluated when selecting piping materials are;
(1) possible exposure to fire with respect to the loss in strength or combustibility of the pipe and
supports;
(2) susceptibility of the pipe to brittle failure or thermal shock failure when exposed to fire;
(3) ability of thermal insulation to protect the pipe from fire;
(4) susceptibility of the pipe and joints to corrosion or adverse electrolytic effect;
(5) suitability of packing, seals, gaskets, and lubricants used on joints and connections;
(6) refrigeration effect during sudden loss of pressure with volatile fluids; and
(7) compatibility with the fluid handled.
Specific material precautions and/or alternatives that need to be considered when selecting piping
materials are presented in Table 12-2.

PIPING IN FLUID TRANSPORT PROCESSES PIPING IN FLUID TRANSPORT PROCESSES

Selection of Piping Materials
Selection of Piping Materials
Iron and steel pipes are specified according to wall thickness by a standard formula for schedule number as
designated by the American Standards Association (ASA). The schedule number is defined by the ASA as Pipe sizes are based on the approximate diameter and are reported as nominal pipe sizes. Although the wall
the approximate value of thickness varies depending on the schedule number, the outside diameter of any pipe having a given
nominal size is constant and independent of the schedule number.
This permits the use of standard fittings and threading tools on pipes of different schedule numbers.
A table showing outside diameters, inside diameters, and other dimensions for pipes of different diameters
and schedule numbers is presented in Appendix D.
The auxiliaries in piping systems must have sufficient structural strength to resist the pressure or other
strains encountered in the operation, and the design engineer should provide a wide safety margin when
specifying the ratings of these auxiliaries.
Fittings, valves, steam traps, and similar items are often rated on the basis of safe operating pressure.

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PIPING IN FLUID TRANSPORT PROCESSES

Design of Piping Systems
When developing the design for a piping system, the overriding factor is the provision of protective
measures as required to ensure the safe operation of the proposed piping system.
General aspects to be evaluated should include;
(1) the hazardous properties of the fluid,
(2) the quantity of fluid that could be released by a piping failure,
(3) the effect of a failure on overall plant safety,
(4) evaluation of the effects of a reaction of the fluid with the environment,
(5) the probable extent of human exposure to all aspects of the piping failure, and
(6) the inherent safety of the piping system by virtue of materials of construction, methods of fabrication,
and history of service reliability.

PIPING IN FLUID TRANSPORT PROCESSES PIPING IN FLUID TRANSPORT PROCESSES

Dynamic Effects
Design of Piping Systems The pipe stresses resulting from thermal expansion or contraction must be considered in any piping system
These safety considerations must also be exercised in such design items as design. For example, if the temperature of the pipe changes from 10 to 315°C, the increase in length for
each 100 m of pipe will be 0.4 m for steel pipe and 0.6 m for brass pipe.
(1) selecting piping materials and pipe sizes,
This amount of thermal expansion could easily cause a pipe or wall to buckle if the pipe were fastened
(2) checking effects of temperature level and temperature changes on thermal expansion, freezing, and
firmly at each end with no allowances for expansion.
insulation requirements,
(3) ensuring flexibility in the piping system to withstand physical and thermal shocks, Ambient Effects
(4) establishing adequate support structures for the system, and If cooling of the fluid in the system results in a vacuum, the design must provide for the additional pressure
difference experienced by the system, or a vacuum breaker may need to be installed. Provision must be
(5) providing a system configuration that is easy to install, inspect, and maintain. made for thermal expansion of fluid trapped between or in closed valves. Nonmetallic or nonmetallic lined
pipe may require protection when the ambient temperature exceeds the design temperature.
Pipe Sizing
Specification of the pipe diameter to be used in a given piping system will depend on the economic factors
involved. Theoretically, the optimum pipe diameter recommended is the one that provides the minimum
total cost of both the annual pumping power and the fixed charges for a particular piping system. Some
general recommendations for use in design estimates of pipe diameters are presented in Table 12-3.

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Costs for Piping and Piping System Auxiliaries

Piping is a major item in the cost of all types of process plants. These costs in a fluid
process plant can run as high as 80 percent of the purchased equipment cost or 25 percent
of the fixed-capital investment. There are essentially two basic methods for preparing
piping cost estimates:
 the percentage of installed equipment method and
 the material and labor takeoff method.
Although accurate costs for pipes, valves, and piping system auxiliaries can be obtained
only by direct quotations from manufacturers, the design engineer can often make
satisfactory estimates from data such as those presented in Figures 12-4 through 12-6 for
various types of pipes, Figures 12-7 through 12-11 for different types of valves, and
Figure 12-12 for insulation and painting costs.
The cost of materials presented in these figures covers the types of equipment most
commonly encountered in industrial operations.

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PUMPING OF FLUIDS PUMPING OF FLUIDS

Pumps are used to transfer fluids from one location to another. The pump accomplishes Selection of Pumps
this transfer by increasing the pressure of the fluid and, thereby, supplying the driving Selection of a pump for a specific service requires knowledge of the liquid to be handled, the total
force necessary for flow. Power must be delivered to the pump from an external source. dynamic head required, the suction and discharge heads, and, in most cases, the temperature,
Thus, electric or steam energy may be transformed into mechanical energy which is used viscosity, vapor pressure, and density of the fluid. Special attention will need to be given to those
cases where solids are contained in the liquid. Additionally, liquid corrosion characteristics will
to drive the pump. Most of this mechanical energy is added to the fluid as work energy,
require the use of special materials.
and the rest is lost as friction due to the inefficiency of the pump and drive.
The different types of pumps commonly employed in industrial operations can be classified as (1)
Although the basic operating principles of gas pumps and liquid pumps are similar, the centrifugal pumps (including turbine and axial pumps), (2) positive displacement pumps, (3) jet
mechanical details are different because of the dissimilarity in the physical properties of pumps, and (4) electromagnetic pumps.
gases and liquids.
Because of the wide variety of pump types and the number of factors which determine the
In general, pumps used for transferring gases operate at higher speeds than those used for selection of any one type for a specific installation, the design engineer will want to reduce this
liquids, and smaller clearances between moving parts are necessary for gas pumps choice as quickly as possible. Since range of operation is always an important consideration, Fig.
because of the lower viscosity of gases and the greater tendency for the occurrence of 12-13 should be useful in this elimination process. Table 12-4 can provide additional guidelines in
leaks. this selection. Supplemental information on some of the more widely used pump types is
summarized below.

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PUMPING OF FLUIDS
Centrifugal Pumps
The major advantages of a centrifugal pump are simplicity, low initial cost, low maintenance
expense, uniform (nonpulsating) flow, quiet operation, and adaptability to use either motor or
turbine drivers.
This type of pump also can handle liquids with large amounts of solids since there are no close
metal-to-metal fits within the pump and there are no valves involved in the pump operation.
On the other hand, centrifugal pumps generally cannot be operated at high heads and have
efficiency problems with handling highly viscous fluids.
The maximum efficiency for a given pump is only available over a fairly narrow range of
operating conditions

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Costs for Pumps and

Motors
Figures 12-19 through
12-24 provide
approximate costs for
different types of pumps
and motors that can be
used for preliminary
design estimates; firm
estimates should be
based on vendors'
quotations.

Güç Bağlantılar
Akışkan sıcaklığı T -15...+120 °C Oval flanş nominal çapı G 1¼

Maks. ortam ısısı T 40 °C Oval flanş nominal çapı G 1¼

Nominal basınç PN PN 16
Maksimum işletme pmax 16 bar kademesi (basınç
basıncı tarafı)
Minimum verimlilik endeksi (MEI) Nominal basınç PN PN 16
Minimum verimlilik endeksi ≥ 0,40 kademesi (emiş tarafı)
(MEI) Malzemeler
Motor Çark 1.4301 [AISI304]
Yalıtım sınıfı F
Pompa gövdesi 1.4301 [AISI304]
Koruma sınıfı IP 55
Pompa mili 1.4301 [AISI304]

Elektrik şebekesi bağlantısı 1~230 V, 50 Hz Statik salmastra EPDM

Nominal motor gücü P2 1,5 kW Mechanical seal Q1BE3GG

Sipariş bilgileri
Güç tüketimi P1 1,99 kW Ürün Wilo

Nominal akım 1~230 V, IN 9,1 A Tip MVI 406

50 Hz
Ürün no. 4018782
Motor verimlilik ηm 76,0 %
derecesi 100%
Ağırlık yakl. m 32,3 kg

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COMPRESSION AND EXPANSION OF FLUIDS

Compressors are used to transfer large volumes of gas while increasing the pressure of the gas from an
inlet condition to pressures as high as 300 MPa.
Even though there are many types of compressors, they are generally classified into two major categories,
namely,
 continuous-flow compressors and
 positive displacement compressors.
Similarly, fans are used to move gas volumes at conditions where the delivery pressure differential is no
more than 3.5 kPa. For blowers the pressure differential is slightly greater but no more than 10 kPa. Fans
and blowers are either centrifugal or axial-flow units.
Expanders, on the other hand, are devices for converting the pressure energy of a gas or vapor stream to
mechanical work as the fluid undergoes an expansion.
Expanders using steam generally are divided into two broad categories: those used to generate electric
power and general-purpose units used to drive pumps, compressors, etc.
When other fluids besides steam are used in an expander, the mechanical work produced generally is a by-
product since the primary objective is to provide cooling of the fluid. Turbo expanders are in wide use in the
cryogenic field to produce the refrigeration required for the separation and liquefaction of gases.

COMPRESSION AND EXPANSION OF FLUIDS COMPRESSION AND EXPANSION OF FLUIDS

Selection of Compressors
Centrifugal and Axial Compressors
In selecting the appropriate compressor for a specific process condition, the volumetric capacity, head, and
discharge pressure are useful parameters in making a preliminary choice. Both centrifugal and axial-flow units are continuous-flow compressors.

Figure 12-25 provides operating boundaries using these parameters for the four types of compressors Centrifugal compressors, in general, are used for higher pressure ratios and lower flow rates compared to
discussed in this section, namely, lower-stage pressure ratios and higher flow rates in axial compressors. The pressure ratio in a single-stage
centrifugal compressor used in the petrochemical industry is about 1.2:1. The pressure ratio of axial flow
Centrifugal, compressors is between 1.05:1 and 1.15:1.
Axial, Axial-flow compressors are mainly used as compressors for turbines. The use of multiple stages permits
Reciprocating, and overall pressure increases up to 30:1. The efficiency of an axial compressor is higher than that of a
centrifugal compressor.
Rotary.
The selection process must also recognize process problems with certain gases at elevated temperatures that
could create a potential explosion hazard or with the admission of small amounts of lubricating oil or water
that would contaminate the process gas stream.
Finally, for continuous process operation, a high degree of equipment reliability will be required since
frequent shutdowns cannot be tolerated.

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COMPRESSION AND EXPANSION OF FLUIDS COMPRESSION AND EXPANSION OF FLUIDS

Positive Displacement Compressors
Design Procedures for Compressors
These type of units are essentially volume gas movers with variable discharge pressures. This classification
includes both reciprocating and rotary compressors. Reciprocating compressors are generally used when a To properly specify any type of compressor requires certain information about the operating conditions—the
high-pressure head is requested at a low flow rate. Such units are available in either single-stage or type of gas, its pressure, temperature, and molecular weight.
multistage types. Single-acting, air-cooled and water-cooled air compressors are available in sizes up to 75 It also requires knowledge about the corrosive properties of the gas so that proper material selection can be
kW with pressure levels as high as 24 MPa. made. Gas fluctuation due to process instabilities must also be pinpointed so that the compressor can
However, because of the difficulty in preventing gas leakage and lubricating oil contamination, these operate without surging.
units are seldom used for compression of other gases than air. The compressors that are used for Expressions for the theoretical power requirements of gas compressors can be obtained from basic equations
compressing gases use a crosshead that connects the piston rod and the connecting rod to provide a straight- of thermodynamics.
line motion for the piston rod and the use of simple packing.
Since most compressors operate along a polytropic path approaching the adiabatic, compressor calculations
are generally based on the adiabatic curve given by the equation of state pvk = constant, where k is the ratio
Selection of Fans and Blowers of specific heat at constant pressure to that at constant volume.
Fans and blowers are used to move large volumes of air or gas through ducts, conveying fine material in a
gas stream, removing fumes, providing air for drying and condensing towers, and other high-flow, low-
pressure applications.

COMPRESSION AND EXPANSION OF FLUIDS

Design Procedures for Compressors
The adiabatic head for a compressor is expressed as:

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The addition of an average compressibility factor Zc in Equations (12-24) and (12-25) attempts
to account for any deviations from the ideal gas law that are present during the compression
process.
For adiabatic multistage compression, assuming equal division of compression work between
the stages and intercooling of the gas after each stage back to the original inlet temperature, Eq.
(12-22b) is modified to:

Table 12-8 provides typical adiabatic efficiencies observed for some of the
compressors discussed in this section.

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COMPRESSION AND EXPANSION OF FLUIDS

Costs for Compressors, Fans, Blowers, and Expanders
Figures 12-28 through 12-30 provide cost data for various types of compressors.
Figures 12-31 and 12-32 give cost data for fans and blowers, while Fig. 12-33 provides
such data for steam-jet ejectors.
Cost data for expanders and internal combustion engines are presented in Figs. 12-34 and
12-35 and for variable-speed drives in Figs. 12-36 and 12-37.
Cost data from these figures are adequate for most preliminary design estimates.

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AGITATION AND MIXING OF FLUIDS AGITATION AND MIXING OF FLUIDS

Selection of Agitators and Mixers
A comparison of agitators and mixers indicates some unique differences between these two types of
equipment. As noted above, mixing of low-viscosity fluids can often be accomplished within the pipe
Besides mixing of fluids, agitation devices can suspend solid particles in fluids, disperse gases, emulsify transporting the fluids to be mixed.
liquids, and even enhance heat transfer between a fluid and a solid surface or increase mass transfer The mixer is often a series of twisted metal ribbons inserted inside a section of pipe. The
between phases.
low capital, maintenance, and operating costs as well as the mixing characteristics and
Mixers, on the other hand, involve the subdivision and blending of separate fluids so that microscopic low pressure drops of these devices make them preferable to orifice plates in many
diffusion or shear will lead to more complete homogeneity.
applications.
As viscosity and/or immiscibility of the fluids increases, more mechanical energy is necessary to achieve
the level of intensity required. Generally, the suspension of solid particles in a fluid will necessitate an even Gas spargers (gaz püskürtücüler) are often used in the mixing of corrosive liquids in a
higher degree of agitation. Propeller turbine agitators, because of their controllability and flexibility, are tank or where mild agitation is required for gas-liquid contact.
nearly always used for this mixing task.
Propeller or turbine mixers (pervaneli ya da türbin karıştırıcılar) still are the most
widely used mechanical agitators for low- to medium-viscosity fluids. These units consist
basically of a motorized rotating impeller immersed in the liquid contained within a tank.
The power requirements of propeller agitators range from laboratory size to more than
50 kW depending on the vessel size and the viscosity of the fluid.

AGITATION AND MIXING OF FLUIDS AGITATION AND MIXING OF FLUIDS

Selection of Agitators and Mixers Selection of Agitators and Mixers
Turbine impellers (türbin çarkları) generally are much larger than propeller agitators For mixing materials that have viscosities greater than 200 Pa-s, such as pastes and polymers,
with impellers operating at lower rotational speeds. simple agitation normally is insufficient. Such materials will require simultaneous queezing,
dividing, and folding to achieve homogeneous mixing and necessitate increasing power
Axial impellers are primarily used for the suspension of solids, dispersion of miscible requirements as the material becomes more viscous.
liquids, heat-transfer enhancement, and promotion of chemical reactions.
Figure 12-38 shows the type of mixing equipment used and the power consumption of these
Radial impellers are excellent for gas dispersion. devices with increasing viscosity.
Power consumption for propeller and turbine agitators generally falls within a range of Extruders, used for plastic fabrication, can also be used as mixers. In such devices, a screw of
0.03 to 0.2 kW/m3 for mild agitation, 0.2 to 0.5 kW/m3 for vigorous agitation, and 0.5 to 2 variable pitch and diameter rotates inside a tapered cylinder and extrudes the mixed product from
kW/m3 for intense agitation. These ranges are for overall power consumption and are the tapered end.
valid for viscosities up to about 25 Pa-s. At higher viscosities, special impellers are Other types of mixers used with high-viscosity semisolids include rotor mixers, muller mixers,
generally used. and mixing rolls.
Rotor mixers are most effective with modestly viscous nonsticky pastes, soft lumpy solids, and
dry powders.

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Design Procedures for Agitators and Mixers
In agitators and mixers, the most important design variables are power consumption and
residence time required to accomplish the mixing process. The power consumption for jet mixing,
orifice plate, motionless mixer, and centrifugal pump mixer is rather straightforward.
In jet mixing, energy must be expended to increase the velocity of one of the streams so that a
pressure differential of at least 100 kPa exists between the two gaseous streams.
If liquids are being mixed by this procedure, the pressure differential must be increased to 100,
200, and 300 kPa for mild, moderate, and intense mixing, respectively, for liquids with viscosities
no greater than 0.001 Pa s.

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Figure 12-40 presents a

typical plot of the power
function as a function of the
Reynolds number for a flat-
bladed turbine mixer with
six blades

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EXAMPLE 12-6: Determination of Power Requirements for a Mixer

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AGITATION AND MIXING OF FLUIDS

Costs for Agitators and Mixers
The costs for jet mixers, orifice plates, and gas spargers are quite small compared with the costs
of other process equipment.
Generally, their cost is the cost of the pumps and compressors that are needed to pressurize the
fluid or overcome the pressure drop generated with the insertion of the mixer. When a vessel or
tank is involved as with a gas sparger or pump-mixing loop, the cost of the vessel or tank is
included in the cost tabulation. For an agitated-line mixer, assume a cost of 1.5 times that of the
centrifugal pump of the same capacity.
Estimated costs for motionless mixers, propeller and turbine agitators, rotary and ribbon blenders,
kneaders, mullers, and extruders are presented in Figs. 12-41 through 12-49. Costs for milling
equipment, used as mixers, can be found later in the chapter by using Figs. 12-68 through 12-74.

STORAGE AND CONTAINMENT OF FLUIDS

The basic data needed
Storage of liquid materials is commonly accomplished in industrial plants by the use of
cylindrical, spherical, or rectangular tanks.
• Vessel function;
These tanks may be constructed of wood, concrete, fiber-reinforced plastic, or metal. • Process materials and services;
The last is the most common material of construction, although use of fiber-reinforced plastics • Operating and design temperature and pressure;
has increased during the past decade.
• Materials of construction;
The design of storage vessels involves consideration of details such as wall thickness, size and • Vessel dimensions and orientation;
number of openings, shape of heads, necessary temperature and pressure controls, and
• Types of vessel heads to be used;
corrosive action of the contents.
• Openings and connections required;
The same principles of design apply for other types of tanks, including pressure vessels such as
• Specification of heating and cooling jackets or coils;
those used for chemical reactors, mixers, and distillation columns.
• Type of agitator;
• Specification of internal fittings.

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STORAGE AND CONTAINMENT OF FLUIDS

Costs for Tanks, Pressure Vessels, and Storage Equipment
For making a preliminary cost estimate for tanks and pressure vessels, it is preferable to estimate
their weight and apply a unit cost in dollars per kilogram of material required.
The unit f.o.b. cost of carbon steel and 304 stainless steel was determined to vary as the —0.34
power of the weight.
Since many stainless-steel vessels frequently use considerable carbon steel in the form of support
skirts, brackets, flanges, bolts, etc., it is necessary to assume that each kilogram of carbon steel is
equivalent to approximately 0.4 kg of stainless steel.
Weights of tanks and pressure vessels are obtained by calculating the cylindrical shell and heads
separately and then adding the weights of the nozzles, manholes, and skirts or saddles.
If information on the weight of this tank hardware is not available, increase the weight
calculated for that required by the tank shell and the two heads by 15 percent for vessels to be
installed in a horizontal position and by 20 percent for vessels to be installed in a vertical position.

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STORAGE AND CONTAINMENT OF FLUIDS Table 12-10 Design equations and data for pressure vessels based on the
ASME Boiler and Pressure Vessel Code.
Costs for Tanks, Pressure Vessels, and Storage Equipment
Steel density can be assumed to be 7833 kg/m3.
The weight of the formed head of such tanks can be approximated by calculating the area of the
blank disk of metal used for forming the heads.
The required diameter of the blank disk can be obtained by multiplying the actual outside
diameter of the shell by the appropriate factor given in Table 12-11.
These factors include an allowance for the flange that is necessary for welding purposes.
Cost for pressure vessels in January 2002 (including nozzles, manholes, saddles or skirts, but no
internals such as trays or agitators) as dollars per kilogram weight of the fabricated unit f.o.b. with
carbon steel as the cost basis is given by:

where Wv is the total calculated weight of the vessel in kg. This relation is applicable over a
weight range from 400 to 50,000 kg.

Table 12-10 Design equations and data for pressure vessels based on the STORAGE AND CONTAINMENT OF FLUIDS
ASME Boiler and Pressure Vessel Code.
If weight information on tanks and pressure vessels is not available, preliminary cost estimates
can be based on the volumetric capacity for small mixing and storage tanks in Fig. 12-52 and for
shop-fabricated tanks with a wall thickness of 6.35 mm in Fig. 12-53.
An adjustment factor can be used for other wall thicknesses.
Purchased cost for horizontal storage vessels is provided in Fig. 12-54. Figures 12-55 and 12-56
provide cost data on small and large field-erected tanks for liquid storage.
Figure 12-57 presents cost data for large-volume gas storage tanks operating at atmospheric
pressure.
In determining the total cost for the tanks in these figures, allowances must be made for nozzles,
supports and foundations, platforms, labor, and indirect costs as well as for all the internals
required in the tank or vessel. Table 12-13 gives costs for selected small containers.

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The following characteristics are normally used to

CHAPTER 13 classify reactor designs
• Mode of operation: batch or continuous.
Reactor Equipment— • Phases present: homogeneous or heterogeneous.

Design and Cost • Reactor geometry: flow pattern and manner of contacting the phases:
• Stirred tank reactor;
• Tubular reactor;
• Packed bed, fixed and moving;
• Fluidized bed.

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REACTOR PRINCIPLES
The basic mathematical model for a reactor system is developed from
(1) reaction rate expressions incorporating mechanism definition and temperature functionality;
(2) material balances including inflow, outflow, reaction rates, mixing effects, and diffusion
effects;
(3) energy balances including heats of reaction, heat transfer, and latent and sensible heat
effects;
(4) economic evaluations; and
(5) special constraints on the design system.
The material and energy balances, shown graphically in Fig. 13-2, are developed from the
fundamental conservation equations based on a differentia] volume of the reacting system.
The material balance is given by

Reactor types Reactor types

The common, idealized designations for types of reactors are batch, plug-flow, and back-mix or These three basic types of reactors, represented schematically in Fig. 13-3, form the basis for all
continuous stirred tank. reactor designs, with modifications to meet specific needs. In reality, very few reactors can
fulfill the requirements for ideality, and the design engineer therefore must generally design for
In an idealized batch reactor, the reactants initially are fully mixed and no reaction mixture is nonideal reactors. While the reasons for nonideal reactor behavior are many, they are generally
removed during the reaction period. Complete mixing is assumed during the reaction so that all well recognized and the design engineer can account for the nonidealities. Another useful
the reactor contents are at the same temperature and concentration during the reaction process. concept in the design of chemical reactor systems is that of recycling some of the reactor
The composition (and often the temperature) changes with time. product and mixing it with the feed stream entering the reactor. Recycling often can improve the
overall performance of the system, particularly if the reacted and nonreacted species in the
The idealized plug reactor is a tubular reactor in which the reacting fluid moves through the reactor product stream are separated, and unreacted reactants are recycled to the reactor inlet.
tube with no back mixing or radial concentration gradients. Conditions are at steady state so that
the concentration as well as the temperature profile along the length of the reactor does not
change with time.
An idealized back-mix flow reactor is equivalent to a continuous stirred-tank reactor (CSTR)
where the contents of the reactor are completely mixed so that the complete contents of the
reactor are at the same concentration and temperature as the product stream. Since the reactor is
designed for steady state, the flow rates of the inlet and outlet streams, as well as the reactor
conditions, remain unchanged with time.

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Space Velocity and Space Time

Flow reactor analysis often utilizes two concepts, space velocity and space time. Space velocity
is defined as the ratio of the volumetric feed rate to the volume of the reactor, which permits
determination of the number of reactor volumes of feed that can be treated during a specified
time period. The expression for this concept is given by

Tubular Plug-Flow Reactors

Batch Reactors Tubular reactors are often designed for steady-state operation on the basis of idealized plug flow
so that Eq. (13-6) applies, or
For batch reactors, Eq. (13-4) can be rearranged to provide the basic design equation as;

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Back-Mix Reactors (CSTRs) Recycle Reactors

Catalytic Reactions

For fluid-phase reactions, solid catalysts are most frequently used, because solids are convenient for
contacting gases and liquids, easy to fabricate, place in a reactor, and separate from the reaction
Few guidelines in selecting a reactor
mixture. The Langmuir-Hinshelwood (L-H) concept of such reactions is that molecules of at least
one reactant must be adsorbed on the catalyst surface, there to react with another reactant either
gaseous or adsorbed, and then the reaction product(s) must desorb from the catalyst surface back to
the gas phase.' Any one of these three steps can be much slower than the others and is therefore called
the rate-limiting or rate-controlling step. A general form of rate expression for such reactions is

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REACTION AND REACTOR PERFORMANCE Parallel Reactions

The mechanisms involved in reactions depend on the appropriate spatial position of the Parallel reactions are reactions that utilize one or more of the reactants but
reacting species, the correct attitude of the species, and the energy level of the reacting species form products other than the desired ones. These parallel, or side, reactions
so that a chemical or physical change between the reactants is possible.
consume valuable reactant, require separation from the desired product, can
Unique products are therefore not common, and the products of a reaction will often react produce substances that react with the desired product, may physically
themselves under the conditions that led to their production in the first place. impede the production of the desired product by changing concentrations, or
It is therefore advantageous to develop a procedure to enable the design engineer to selectively interfere with process equipment.
improve the desired product production over competing, selective, or product-consuming
reactions.
The great variety in reaction types as well as the performance requirements make a simple Series Reactions
process optimization procedure highly unlikely. However, several courses of action can be
pursued for improving and determining an optimal arrangement for a desired chemical Series reactions are reactions where the desired product of a reaction will
synthesis operation. itself react under the conditions that led to its creation. This is very similar to
The optimization guidelines are basically a general set of practices that help the design the process observed in reversible reactions, except here the product-
engineer select a design that best fills the project requirements. These guidelines include an consuming reaction does not lead to more reactant, but rather consumes some
approach for choosing reactor types and arrangements of multiple reactors to facilitate the of the reactant to produce undesired species. Analysis of series reactions
required product production and a broad strategy for determining the best operating conditions follows much the same methodology as for parallel reactions, that is, by
for those situations where other reactions compete or hinder the desired reaction. examination and control of operational temperature, concentration, and
The goal of these methods is always to maximize the desired reaction relative to competing pressure.
reactions through control of the temperature, pressure, concentration, and reactor design.

Systems of Identical Multiple Reactors REACTOR AND CATALYST EQUIPMENT

A number of basic principles and relations govern the performance of Selection of Catalyst
connected multiples of the three basic reactor designs. These relations A key factor in many chemical processes is the use of a catalyst, since an
appropriate catalyst can reduce residence time requirements, provide greater
are useful since multiple smaller reactors are often more advantageous selectivity for the desired product, and thereby reduce investment and operating
costs. There is no single path of finding a catalyst for a particular chemical reaction;
than single reactors because of reduced capital cost, reduced operating experience and imagination are perhaps the main ingredients in the search. Although
cost, redundancy, system reliability, and utilization of used reactor catalyst selection is both an art and a science, trial and error experimentation and
equipment. scientific analysis provide guidance for the selection.
The single most important characteristic of a catalyst is its chemical constituency.
Usually one element or compound is the key species in catalyst performance.
Platinum and related metallic elements such as palladium and ruthenium are known
to catalyze hydrocarbon oxidation and hydrogenation reactions. Zinc and zinc
chloride catalyze the chlorination of organic compounds. Strong acids, such as
sulfuric in aqueous solution catalyze a number of organic synthesis reactions, such
as formation of bisphenolA from phenol and acetone. Zeolites, crystalline
aluminosilicates, catalyze the cracking of petroleum fractions. The chemical and
patent literature can serve as a valuable guide in the selection of a species to
catalyze a particular reaction.

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Types of Reactors
Chemical reactors come in the form of vessels or tanks for batch reactors or back-
mix flow reactors, as cylinders for fluidized-bed reactors, or as single or multiple
tubes inside a cylindrical container for plug-flow reactors, particularly when special
needs exist for temperature control. High pressure and extreme temperatures as well
as corrosive action of the materials involved can introduce complications in the
design of such systems. Tank reactors must be designed with closed ends that can
withstand the operating conditions. Cooling or heating can be provided either by
internal or external coils or pipes, or by jacketing, as shown in Fig. 13-5.

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Fixed-Bed Reactors Moving Bed Reactors

These reactors are solid-catalyst-containing vessels. Their design can lead to high pressure drops. These units are also fluid reactors used where the fluid contains solid particles that can be physically separated
These units are generally used in heterogeneous catalysis, where the catalyst and reacting species are from the suspension fluid. In this case
of different phases. The major advantage of such units is their simplicity and ease of catalyst access however, the slurry travels through the reactor in essentially plug flow. Again, simplicity, access, and control are
for maintenance and regeneration. Use of multiple fixed beds can improve both heat transport and good with a uniform residence time distribution.
control, resulting in improved performance while maintaining the relative simplicity of this reactor
arrangement. Flow through fixed beds tends to approach plug flow. Fluidized-Bed Reactors
Multitubular Reactors These are reactors with a gas-phase working fluid that require gas flow around and past fine particles at a rate
sufficient to fluidize the particles suspended within the reactor. There are considerable operating difficulties
These types of reactors are modified multiple fixed-bed units, where the multiple beds are catalyst- associated with initiating and running fluidized-bed reactors due to the flow and suspension issues.
filled tubes arranged in parallel with a heatconducting fluid flowing outside the tubes. These reactors Further, these types of reactors have large residence time distributions because of the ease of backflow in the gas
offer good thermal control and uniform residence time distribution, but experience increased and approach CSTR behavior. The advantages of these reactors are their ability to process fine particles and
complexity as well as catalyst inaccessibility. Catalyst access is somewhat simplified by the packed suitability to high reaction rate
tube arrangement, although packing and removing the catalyst from the tubes can still be difficult. processes.
Slurry Reactors Moving-Bed Reactors
Reactions of slurries containing solid particles that can be physically separated from the suspension A subset of the fluidized-bed reactor, moving-bed reactors operate by creating a suspension of particles through
fluid are often best performed in agitated tank-type fluid reactors. These reactors offer simplicity, fluid impingement. The usefulness of this type of reactor is limited, but it does allow for processing of particles
good transport properties, and control while sacrificing nothing in catalyst access since catalyst that are too large to be handled in fluidized-bed reactors.
particles can be added and removed continuously. There is, however, an increased element of
equipment degradation due to particle impingement on the fluid-handling equipment, such as Thin- or Shallow-Bed Reactors These designations are reserved for reactors where the reactant fluid flows
impellers, nozzles, and pipes. through catalyst meshes or thin beds. These are simple reactors particularly suitable for fast reactions that
require good control, where catalyst Access is important for purposes of catalyst reactivation or maintenance, or
where large heats of reaction are involved.

Thin- or Shallow-Bed Reactors Selection of Reactors

These designations are reserved for reactors where the reactant fluid flows through The selection of the best reactor type for a given process is subject to a
catalyst meshes or thin beds. These are simple reactors particularly suitable for fast number of major considerations. Such design aspects, for example, include
reactions that require good control, where catalyst Access is important for purposes
of catalyst reactivation or maintenance, or where large heats of reaction are (1) temperature and pressure of the reaction;
involved. (2) need for removal or addition of reactants and products;
Dispersion Reactors (3) required pattern of product delivery (continuous or batchwise);
These types of reactors are fluid-containing vessels that allow dispersion of liquid (4) catalyst use considerations, such as the requirement for solid catalyst
and gas-phase reactants by bubbling the latter through the liquid or dripping the particle replacement and contact with fluid reactants and products;
liquid into the gas stream or into a less dense liquid, to achieve increased contact
area and reaction performance. Even though these reactors are simple and (5) relative cost of the reactor; and
inexpensive reactors, they require careful planning due to their sensitivity to flow (6) limitations of eactor types as discussed in the previous section.
behavior.
Film Reactors Other considerations such as available space, safety, and related factors can
be important and should not be overlooked. The resulting complex set of
A reactor design that maximizes contact area for gas/liquid reactions is the film reactor physical requirements is often possible to achieve by using multiple
reactor that brings together a gas and liquid as a thin film over a solid support. This reactor types, in which such considerations of cost, safety, and related
type of reactor offers an added benefit of increased thermal control via the solid concerns become the determining considerations in selecting a reactor.
support. Such an arrangement also allows for complex phase-dependent reactions in
which solid, liquid, and gas phases are all involved.

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Few guidelines in selecting a reactor Design of Reactor Systems

Generally speaking, a number of connected reactors are often more economical than any single reactor for
It is important to note that while explicit guidelines for reactor selection are achieving the same conversion. This is especially true when designing a new process using existing equipment.
not available, there are some general rules of thumb that can be followed in It is therefore worthwhile to establish which reactor combinations and/or arrangements are optimal for a
prescribed product specification. The choice of reactors and their arrangement is based on the same criteria used
the selection process of an appropriate reactor for a given reaction." These are for single reactor selection, with the added complexity of determining the optimal reactor arrangement.
briefly summarized here: Generally, for any nth-order elementary reaction, where n is positive, the reactors should be connected in series.
1. For conversions up to 95 percent of equilibrium the performance of five or Further, reactant concentrations should be kept as low as possible for reaction orders less than 1 and as high as
possible for reaction orders greater than 1. This simple rule is unfortunately not applicable to more complex,
more nonelementary reactions where the reaction rate has at least one minimum or maximum value. These more
kinetically complex reaction systems must be analyzed on a case-by-case basis that can often result in several
CSTRs connected in series approaches that of a PER. reactor combinations and arrangements of similar performance. Additionally, different conversions of the same
reaction
2. CSTRs are usually used for slow liquid-phase or slurry reactions. system may call for different reactor combinations and arrangements. Nonelementary reactions therefore require
a combinatorial approach to find the optimal solution that is tedious but straightforward when using modem
3. Batch reactors are best suited for small-scale production, very slow computing techniques. In the case of ideal reactors it is possible to do this analysis manually by observing and
reactions, those which foul, or those requiring intensive monitoring or examining the various combinations either rigorously or graphically. The graphical analysis approach is often
control. useful as it is easy, quick, and reasonably accurate, if done correctly. In this method, reactor combinations are
analyzed by graphing the inverse rate versus the conversion for the reaction, so that a reaction can be analyzed
even if the rate expression is unknown. The required reactor volumes that are necessary to achieve a specified
4. The typical size of catalytic particles is approximately 0.003 m for fixed- conversion can then be found since these reactor volumes are directly proportional to the area under the reaction
bed reactors, 0.001 m for slurry reactors, and 0.0001 m for fluidized-bed rate-conversion curve plot for the reaction in plug-flow reactors, and to the rectangular area formed by the
reactors. product of the conversion range and inverse-rate corresponding to the exit conversion for continuous stirred tank
reactors.
5. Larger pores in catalytic particles favor faster, lower-order reactions;
conversely, smaller pores favor slower, higher-order reactions.

EXAMPLE 13-7: Selection of Reactor and Reactor

Combinations by Graphical Method

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Reactor Design Procedure Software

Software is particularly helpful in reaction process design because of the complex calculations
There are often many different reaction synthesis schemes that can required to simulate and optimize chemical reactors and the many possible equipment arrangements
produce a given chemical. Choosing among these can be difficult as in determining the most economic reaction system and conditions. 'However, the large number of
there are a number of economic factors involved. These factors include reactor variations permits use of only a small number of explicit models, limiting the accuracy of off-
raw materials cost, by-product and unreacted chemical disposal, product the-shelf software packages.
separation, safety, and other less obvious factors such as local and There are methods of increasing the accuracy and complexity of mainstream software packages,
federal environmental regulations. Fortunately, a straightforward through experimental data obtained from the reactor manufacturer, from in-house experiments, or
with the use of the mock-up approach discussed earlier in the chapter.
algebraic calculation taking into account costs, conversions, and other
There are many more elaborate and accurate reactor simulation software packages available today as
factors can be set up to establish the more profitable reaction synthesis well as add-on modules and custom software. These can often result in extremely accurate reactor
scheme. This type of calculation is qualitatively given in Eq. (13-40) as; simulations, but these are complex, often unwieldy, and relatively expensive. It is therefore
Gross profit = revenue from products — all costs of production (13-40) worthwhile to at least attempt reactor system analysis using general chemical process simulation
software. If mainstream packages do not fulfill the requirements, it is often advisable to consult
reaction specialists, who are more familiar with both the availability and the use of more specialized
reactor software. Contacting specialists is advisable when it is determined that the system is
sufficiently complex that it cannot be simulated by general software.

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Costs for Reactor Equipment Cost for Reactor Equipment

The design and costing of reactor vessels are handled in a manner similar to that for
regular mixing and pressure vessels, as described in Chap. 12. The most reliable
results are obtained by direct fabricator quotations or by the assistance of a
fabricator representative who is an expert in the design of reactor vessels.
One critical item in the design of reactor vessels, in addition to establishing the type
and size of the reactor by the procedures outlined earlier, is to select the correct
materials of construction and wall thicknesses to handle the given operating
conditions.
Table 12-10 gives design equations and stress values for various materials of
construction that can be applied to the design of reactor vessels, and Tables 12-11
and 12-12 present additional information that can be helpful in the design and
costing of reactor vessels.1 Costs for tubular flow reactors with internal tubes can
often be estimated by considering the reactor unit as equivalent to a heat exchanger,
so that the data presented in Chap. 14 can be used for preliminary cost estimates.
Costs for kettle reactors are given in Fig. 13-14, while Fig. 13-15 gives cost data
forjacketed and agitated reactors.
Figure 13-16 gives the cost information for autoclaves. Costing of reactors is
illustrated in the following two examples..

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EXAMPLE 13-8: Selection, Design, and Costing of a Reactor for

the Production of Styrene
Determine the cost of a reactor required to annually produce 100.000 t (metric) of styrene, assuming 8000
operating h/yr. A literature search reveals that current production of styrene generally entails dehydrogenation of
ethylbenzene using an iron oxide/potassium oxide catalyst. Besides the dehydrogenation step, there are two
competing reactions that must be considered in this production process. The three reactions are,

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EXAMPLE 13-9: Cost of a Pressure Vessel Reactor

Consider the case where a reactor is to be designed and a preliminary cost estimate
(January, 2002) is to be made for the installed reactor for the following conditions:
The reactor will be cylindrical with a 2.74 m inside diameter and a length of 9.15
m. It will be constructed of carbon steel and will operate at a temperature of 670oK
and an internal pressure of 690 kPa guage. It will require double-welded butt joints
and will be spot-examined by the radiograph technique. It will be operated as a How
reactor in a horizontal position with the reacting materials flowing through it. There
are no major heating or cooling needs, and. therefore, no special internal accessories
are needed. Heads for the reactor will be hemispherical and the same thickness as
the shell. The corrosion allowance for the wall thickness is 0.0032 m.

Few guidelines in selecting a reactor

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SUMMARY
Chemical reaction process design is generally encountered in most chemical
processes. The complexity of some chemical reactions and their dependence on
mass and energy transport can lead to considerable difficulties in the design of
reactive chemical processes. These complexities make a simple optimization routine
impossible, although a general approach to designing and optimizing chemical
CHAPTER 15
reaction processes greatly helps in establishing the possible designs that fulfill the
process requirements, the optimal design, and the best operating conditions.
Idealized reactor models can be adapted for use in most situations. While these basic
designs are idealized and often are not accurate enough for proper design, there are
ways of increasing their usefulness through careful analysis and the use of software.
At the same time, the kinetics of the reaction drive the operational requirements of
the design to maximize the required reaction and discourage any unwanted
reactions. This requires careful study of the reaction kinetics and mechanism, Separation Equipment—
followed by the selection of temperature, pressure, concentration, and material
contact operating conditions. Further improvement of reactions is often possible
through the utilization of catalytic substances. These often improve the economics Design and Costs
of a reaction, but require additional equipment design and investigation of operating
conditions to fulfill catalytic requirements and thus achieve an optimal design.

SELECTION OF SUITABLE SEPARATION PROCESSES

The selection of the best separation process often must be made from several
possible separation processes. The important factors to be considered in making the
selection include exploitable property differences, feed and product conditions, and
characteristics of the separation process. The most important feed conditions are
flow rate and composition, particularly of the key components to be recovered or
separated.

Generally, the more dilute the key components are in the feed mixture, the greater is
the cost of separation. However, some separation operations, such as those based on
the use of barriers or solid agents, perform very well even when feeds are dilute in
the component that is to be recovered. The most important product condition is the
product purity of the component or components that are recovered.

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SELECTION OF SUITABLE SEPARATION PROCESSES

Tables 15-2 and 15-3 present some guidelines to assist the design engineer in
identifying one or more feasible processes that would be appropriate for the
separation of homogeneous and heterogeneous mixtures, respectively.
The tables outline the normal feed conditions and the separating agent, force field,
or gradient that will be involved in the separation process under consideration.
Additional information in the table indicates the approximate concentration range of
key components that may be encountered in the feed for each of the listed separation
processes as well as an estimate of the range in flow capacity of the equipment
available for laboratory to commercial use associated with these processes.
Finally, advantages and disadvantages listed for each of the separation processes can
provide insights for recognizing whether such alternative processes could be utilized
to perform the required separation.

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Guidelines for the Separation Process Selection

Distillation: The creation or addition of another phase in distillation is obtained by the repeated vaporization and condensation of the fluid. The separation
process exploits the differences in vapor pressure of the key components in the mixture to initiate the separation. The advantages of distillation are its simple
flowsheet, low capital investment, and low risk. The separation process has the ability to handle wide ranges of feed concentrations and throughputs while
producing a high-purity product.

This separation process can easily be staged. It is possible to have more than 100 theoretical stages in one distillation column. Accordingly, relative volatilities
between key components to be separated can be as low as 1.2, and the separation can still be achieved. In addition, mass-transfer rates between phases are
generally quite high, and phase contacting and disengaging are easily accomplished so that equipment dimensions needed to obtain high degrees of separation
are usually not excessive.

The equipment requirements for distillation are small compared to those for most other separation processes. All that is generally required is a column, a
reboiler, a condenser, and some relatively small ancillary equipment. By comparison, separation processes based on the use of mass-separating agents typically
involve two or more separate mass-transfer zones, or require semibatch operation, or do both to perform the same separation.

Absorption: A widely used alternative to distillation for the separation of a solute from a gas stream is absolution. In this separation process, the gas mixture is
contacted with a liquid solvent which preferentially absorbs one or more components from the gas stream. Liquid flw rate, temperature, and pressure are the
variables that must be set in this separation process.

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Reflux considerations

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Distillation Design Procedures for Columns with Sieve Trays

Designation of Design Bases: The first step in the design procedure (see Fig. 15-1) is to
establish the composition and physical properties of the feed and products, the feed rate,
and any special limitations placed on the separation. The latter could include maximum
temperature and pressure drop restrictions, presence of toxic materials or reactive
components, etc.
Selection of Design Variables: The second step involves selecting adequate design
variables. The operating pressure is generally the first variable to be addressed. An increase
in operating pressure is often reflected by an increase in separation difficulty, an increase in
reboiler and condenser temperatures, an increase in vapor density, and a decrease in the
latent heat of vaporization. As the pressure is lowered, these effects are reversed. The lower
limit is often set by the desire to avoid vacuum operation and use of external refrigeration
for the condenser because of capital and operating cost penalties.
It is usually adequate, if process constraints permit, to fix the operating pressure at as low a
pressure above ambient that permits cooling water or air cooling to be used in the
condenser. In other words, the operating pressure should be selected so that the bubble point
of the overhead product is at least 5 to 10°C above the summer cooling water temperature,
or to atmospheric pressure if the latter would introduce vacuum operation.

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The second variable that needs to be set for the distillation process is the reflux
ratio. With an increase in reflux ratio from its minimum, the capital cost decreases
initially because of a reduction in the number of plates required for the separation.
However, the utility costs increase as more reboiling and condensation duties are
required.
If the capital costs involved in the separation process are annualized and combined
with the annual cost of the utilities, an optimal reflux ratio can be obtained. Most
designers select a ratio of actual reflux to minimum reflux of at least 1.2 or above,
except in special cases such as ultralow-temperature separation, since a small error
in the design data or a small change in the operating conditions might lead to a
process that does not meet the original design specifications.
A design variable of lesser importance is the vapor/liquid condition of the feed. If
the feed is subcooled, the number of trays in the rectifying section is decreased and
the number of trays in the stripping section is increased. This feed condition requires
more heat in the reboiler and less cooling in the condenser. Partially vaporized feed
reverses these effects. For a given separation, the feed conditions can be optimized.

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Column Shells

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Key Design Data Key Design Data by cost classification

• Number of Stages
• McCabe-Thiele Analysis
• Capital
• Stage efficiency • Number of Stages (VLE, efficiency)
• Column Diameter • Column Diameter (vapor velocity)
• maximum allowable vapor velocity • Tray Configuration (slot velocity, pressure
• Tray Configuration drop)
• slot velocity, pressure drop • Materials of Construction
• Materials of Construction
• cost/compatibility analysis
• Operating
• Condenser Duty
• Reboiler Duty

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Continuous Contactors Continuous Contactors

• Continuous contactor holds
advantage over the finite
stage contactor when: • Column Requirements
• lower pressure drop is • Shell
advantageous, • Liquid Distributors & Re-Distributors
• high vacuum service is • Packing Materials (random or structured)
required • Packing Support Plates
• Liquid/Gas Inlet/Outlet
• Tower Foundation
• Distillation Equipment (condenser, reboiler)

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Continuous Contactors
Continuous Contactors
• Packed Column Design Factors
• pressure drop
• flow capacities
• foundation load
• Satisfactory packing should result in;
• low pressure drop
• high throughput (capacity)
• low weight and liquid holdup
• large active surface area per unit volume
• large free (void) volume per unit total volume
• high durability, corrosion resistance
• low side thrust on tower walls

Continuous Contactors
Column Packing
• Types of Packing
• random (dumped)
• stacked (structured)
• Critical Packing Physical Characteristics
• nominal size (in)
• average weight per ft3 of tower volume (lb/ft3)
• average surface area per tower volume (ft2/ft3)
• % free-gas space, 
• packing factor ap/3, effective surface area/(void fraction)3, (ft2/ft3)

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Column Packing
Column Packing

Column Packing Column Packing

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Structured Column Packing

Random Packing Bed Delimiter

Feed Distributor
Liquid Distribution
• To provide max amount of active liquid vapor contact, packing should
be completely wetted during operation.
• Re-distributors are used within a column to reduce the loss of active
surface area due to channeling or improper liquid distribution.

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Flashing Feed Distributor Deck Distributors/Redistributors

Pan Distributor Liquid Trough Distributor

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Mist Eliminator
Pressure Drop
• Factors Affecting P
• fluid flow rates
•  and  of fluids
• packing size, shape, orientation & surface
• Estimation of  P
• use data from similar equipment operating under equivalent conditions
• correlations when unavailable

Stable Continuous Contacting Packed Bed P Correlations

p L G2
log P, (inches of water/ft of tower height)

Flooding Point - upper limit • Leva    (10)  L

of P and rate for practical operation in this region may • irrigated packing h G
operation. result in erratic fluctuations
in column operation • preloading conditions

{
Loading Point - beginning of • countercurrent liquid/gas flow
liquid build-up on packing.
• p = pressure drop (psf)
Pre-loading Range - • h = packed height (ft)
log G vs. log DP about linear • ,  = packing dependent constants
desired operating range • L, G = superficial liquid/gas mass velocity (lb/h/ft2)
• L, G = density of liquid/gas (lb/ft3)
log G, superficial gas rate (lb/h/ft2)

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Packed Bed P Correlations Vapor Velocity / Column Flooding

• Ergun • Design Criteria
• dry packing • Vm for practical operation set by flooding point.
• simultaneous kinetic & viscous energy losses • Diameter for packed column can be determined on basis of limiting vapor
p  1    G 2 150(1  ) G  velocity, similar to fashion determined for finite-staged contactors.
    1.75 • Design value for V limited to 50-70% of Vm
h   3  d p g c G  d pG 
•  = fractional bed void volume (ft3 void/ft3 bed)
• G, = absolute gas viscosity (lb/ft/h)
• dp = effective diameter of packing particle (ft)
= 6(1-)/ap
• ap = surface area of packing per unit of tower
volume (ft2/ft3)

Vapor Velocity / Column Flooding Vapor Velocity / Column Flooding

L
• Simplified Approximate Method for Estimating Flooding Velocities in Vm  K p
G
Packed Distillation Towers • Define Kp as (2gHp)0.5

• Assume flooding occurs when: G m  Vm G  K p  L  G

downward pressure of descending droplets
= upward pressure of rising vapor

• Assume L >> G • Gm = max superficial gas mass velocity (lb/h/ft2)

• Write pressure balance as:  Vm2  • does not include L or L effects
• Hp = packing constant
 G  H p L • most useful when packing data available at known L/G ratios & L’s (assumed negligible if L <
(mean drop diameter)  2g  2cP)
• use only when L < 1.5G

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Effect of Operating Pressure on Flooding Velocity Effect of Operating Pressure on Flooding Velocity

• Write eqns for Vm & Gm at each average operating condition (1&2), • if vapor acts ideally, G = MGP/RT
eliminate Kp; 0 .5 0 .5 0 .5 0 .5
G2  L1 P    L1


  T1   MG2



Vm1  Vm2 Vm1  Vm2  2   
 P1   L   T2   MG 
G1  L2  2   1 

0.5 0 .5 0.5 0 .5
G1  L1 P    L1   T2   M G1 
Gm1  Gm2  1     
Gm1  Gm2  L   T   MG 
G2  L2  P2   2   1  2 

Effect of Operating Pressure on Flooding Velocity

Effect of Operating Pressure

on Flooding Velocity

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Packing Efficiency Packing Efficiency

• Efficiency empirically estimated in terms: • HTU expressed as numberyof transfer units based on V/L-phase driving
forces: dy 2
Z
• HTU NTU  G 
HTU G 
 y L* NTU G
y1 y
• height of packing equivalent to one transfer unit, or x2
dx Z
• HETP NTU L   *
HTU L 
NTU L
x1 x L x
• height of packing equivalent to one theoretical plate

• y, x = gas- and liquid-phase concentrations

• yL*, xG* = gas- and liquid-phase concentrations in equilibrium with y & x.
• Z = height of packing corresponding to distance on the limits indicated by the subscripts on y
& x.

Plate Tower or Packed Tower? Plate Tower or Packed Tower?

• Selection is based on: • Considerations:
• Stage efficiencies for packed must be based on tests with each packing type, fluid rate, fluid property, column
• a rigorous analysis of the optimum economic design for each type diameter, operating pressure,...
• plate tower design is more reliable, requires less over-design at low L/G
• qualitative analysis of the relative advantages/disadvantages of each
• plate towers can handle wide range of liquid rates without flooding
• plates are accessible for cleaning dispersed solids
• plates preferred for interstage cooling (addition of coils or circulation of plate liquid through external cooler)
• dry weight of plate tower less than for packed
• plate preferred with large T, thermal expansion may cause packing to crush
• design data for plates more readily available
• in general: packed tower D < 4 ft, plate tower D > 2 ft
• packed towers cheaper & easier to build for corrosive service
• packed towers preferred if liquids have foaming tendencies
• liquid hold-up considerably less in packed towers
• packing reduces possible wall collapse in vacuum operation

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Plate Tower or Packed Tower? Reboiler Configurations

new
column
tower <30”
diameter
internals
>30” TRAYS
system
pressure
Internal
17-30 psia > 30 psia < 17 psia Reboiler
consider strongly consider
TRAYS
PACKING PACKING
low
high

tower moderate severe

design corrosive
complexity service

Reboiler Configurations Reboiler Configurations

Jacketted
Thermo-
Kettle
Syphon
Reboiler
Reboiler

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Reboiler Configurations

Kettle
Reboiler

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