Applied Energy 197 (2017) 83–99

Contents lists available at ScienceDirect

Applied Energy
journal homepage: www.elsevier.com/locate/apenergy

Recuperators for micro gas turbines: A review

Gang Xiao a, Tianfeng Yang a, Huanlei Liu a, Dong Ni b, Mario Luigi Ferrari c, Mingchun Li a,
Zhongyang Luo a, Kefa Cen a, Mingjiang Ni a,⇑
a
State Key Laboratory of Clean Energy Utilization, Zhejiang University, 38 Zheda Road, Hangzhou 310027, China
b
State Key Laboratory of Industrial Control Technology, Zhejiang University, 38 Zheda Road, Hangzhou 310027, China
c
Thermochemical Power Group (TPG) – DIME, Università di Genova, via Montallegro 1, Genova 16145, Italy

h i g h l i g h t s

A review on recuperators for micro gas turbines is presented.

Different types of recuperators and material selection are given and compared.

Research on heat transfer and pressure drop characteristics is summarized.

Optimization methods used to improve recuperator performance are reviewed.

Future development of recuperators is discussed.

a r t i c l e i n f o a b s t r a c t

Article history: Micro gas turbines are a promising technology for distributed power generation because of their compact
Received 28 October 2016 size, low emissions, low maintenance, low noise, high reliability and multi-fuel capability. Recuperators
Received in revised form 19 March 2017 preheat compressed air by recovering heat from exhaust gas of turbines, thus reducing fuel consumption
Accepted 22 March 2017
and improving the system efficiency, typically from 16–20% to 30%. A recuperator with high effective-
Available online xxxx
ness and low pressure loss is mandatory for a good performance. This work aims to provide a comprehen-
sive understanding about recuperators, covering fundamental principles (types, material selection and
Keywords:
manufacturing), operating characteristics (heat transfer and pressure loss), optimization methods, as well
Micro gas turbine
Recuperator
as research hotspots and suggestions. It is revealed that primary-surface recuperator is prior to plate-fin
Material selection and manufacturing and tubular ones. Ceramic recuperators outperform metallic recuperators in terms of high-temperature
Heat transfer effectiveness mechanical and corrosion properties, being expected to facilitate the overall efficiency approaching
Pressure drop loss 40%. Heat transfer and pressure drop characteristics are crucial for designing a desired recuperator,
Optimization and more experimental and simulation studies are necessary to obtain accurate empirical correlations
for optimizing configurations of heat transfer surfaces with high ratios of Nusselt number to friction fac-
tor. Optimization methods are summarized and discussed, considering complicated relationships among
pressure loss, heat transfer effectiveness, compactness and cost, and it is noted that multi-objective opti-
mization methods are worthy of attention. Moreover, 3D printing and printed circuit heat exchanger
technologies deserve more research on manufacturing of recuperators. Generally, a metallic cost-
effective primary-surface recuperator with high effectiveness and low pressure drop is a currently opti-
mal option for a micro gas turbine of an efficiency of 30%, while a ceramic recuperator is suggested for a
high efficiency micro gas turbine (e.g. 40%).
Ó 2017 Elsevier Ltd. All rights reserved.

Contents

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 85
2. Types of recuperators for micro gas turbines . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86
2.1. Primary-surface recuperators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 86

⇑ Corresponding author.
E-mail address: ceu_ni@zju.edu.cn (M. Ni).

http://dx.doi.org/10.1016/j.apenergy.2017.03.095
0306-2619/Ó 2017 Elsevier Ltd. All rights reserved.
84 G. Xiao et al. / Applied Energy 197 (2017) 83–99

Nomenclature

A heat transfer surface area (m2) PCHE printed circuit heat exchanger
A0 wavy fin amplitude (mm) Pr Prandtl number
bc mean spacing between plates (mm) PSO particle swarm optimization
C heat capacity rate ratio qw heat flux (W/m2)
CC cross-corrugated Re Reynolds number
CFD computational fluid dynamics RH relative humidity
CU corrugated-undulated RNG renormalized group
CW cross-wavy RSM Reynolds stress model
Cmax larger of the two heat capacity rates (W/K) SLM selective laser melting
Cmin smaller of the two heat capacity rates (W/K) s fin pitch (mm)
Comp compactness (m2/m3) t fin thickness (mm)
cp specific heat (J/(kg K)) T temperature (K)
DNS direct numerical simulation TIT turbine inlet temperature (K)
dh hydraulic diameter (mm) U average velocity (m/s)
ECS energy conversion system W width (mm)
EGT exhaust gas temperature (K)
e scale height (mm) Greek symbols
f friction factor a s/hf
GA genetic algorithm c t/s
H height (mm) DP pressure drop (Pa)
Hi channel internal height (mm) DPair pressure drops of air side (Pa)
h heat transfer coefficient (W/(m2 K)) DPgas pressure drops of gas side (Pa)
hf fin height (mm) d plate thickness (mm)
j Colburn factor d0 t/l
k over heat transfer coefficient (W/(m2 K)) e effectiveness
L length (mm) h corrugation angle
Lc flow length of flow channel (mm) h0 intersection angle
LES large eddy simulation k thermal conductivity (W/(m K))
LMTD logarithmic mean temperature difference l dynamic viscosity (N s/m2)
LOM laminated object manufacturing q fluid density (kg/m3)
l fin length (mm)
MOGA multi-objective genetic algorithm Subscripts
m _ mass flow rate (kg/s)
b bulk value
Nu Nusselt number f fluid
NPGA Niched-Pareto genetic algorithm in inlet
NSGA nondominated sorting genetic algorithm max maximum
NTU number of transfer unit
min minimum
P pressure (Pa) out outlet
Pair inlet pressure of air side (Pa) w wall condition
Pgas inlet pressure of gas side (Pa)
PAES Pareto archived evolution strategy

2.2. Plate-fin recuperators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87

2.3. Tubular recuperators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
2.4. Comparison of recuperators . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 87
3. Material selection and manufacturing for recuperators. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 89
4. Heat transfer and pressure drop characteristics. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
4.1. Experimental research activities. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 90
4.2. CFD research activities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.2.1. Plate-fin type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 91
4.2.2. CW primary-surface type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
4.2.3. CC primary-surface type . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
4.2.4. Other types . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
5. Design and optimization methods . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 92
6. Conclusions. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95
Acknowledgements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 96
 G. Xiao et al. / Applied Energy 197 (2017) 83–99 85

1. Introduction
Distributed power generation has great development potential
for remote regions, service sectors, households and small indus-
tries [1–3], whose overall efficiency can be further improved, con-
sidering cogeneration and tri-generation systems [4]. This
technology has already been studied worldwide [5–8], and many
efforts have been made to facilitate distributed power generation
in response to the climate change challenge and the need to
enhance energy source diversity [9]. Currently, internal combus-
tion engines are the most widely used as small-scale energy con-
version systems (ECS) because of their relatively low price but
are mainly limited by their high pollutant emissions, low fuel flex-
ibility and reliability. Micro gas turbines (small power scale: less
than 500 kW [10]) are very suitable for distributed power genera-
tion, whose pollutants are much lower than those of internal com-
bustion engines [11]. Moreover, the configuration and feeding fuel
of micro gas turbines are very flexible and linked with very high
efficient plant solutions: micro gas turbine combined with solid
oxide fuel cell systems could achieve high thermal efficiency over
60% [12–14]. Both traditional fuels, such as natural gas, syngas
and diesel, and renewable biogas and biomass could also be fed
for micro gas turbines [15–18]. Since the development of solar
pressurized air receivers [19–23], solarized micro gas turbines
have been proposed and analyzed [24–27], where compressed air
is heated by concentrated solar radiation in a solar air receiver
before entering a combustor, which can reduce the consumption
of fossil fuels. Table 1 lists the manufacturers involved in micro
gas turbines over the past several decades. Although micro turbine
systems have promising utilization because of their compact size,
system flexibility, low emissions, high reliability and multi-fuel
capability, their efficiency and cost are still the main challenges
for the large-scale utilization of this technology. Redesigning and
optimizing micro gas turbine systems is necessary to improve their
competitiveness.
A typical micro gas turbine system mainly consists of a centrifu-
gal compressor, radial turbine, combustor, recuperator and high
speed generator as shown in Fig. 1(a). The compressor, turbine
and permanent magnet of the generator are assembled on a single
shaft, which makes the engine very compact, as shown in Fig. 1(b).
The pressure ratio is approximately 3–5 and is limited by the
single-stage layout of the compressor. Because of the small size
of the turbine, the blades are not air-cooled and the turbine inlet
temperature (TIT) is restricted by the material performance, usu-
ally below 950 °C for high-temperature alloys. The recuperator is
a compact heat exchanger that preheats compressed air before it
enters the combustor by recovering heat from exhaust gas, which
reduces fuel consumption and increases the global electrical effi-
ciency. This parameter for micro gas turbines is usually 16–20%
without recuperators and approximately 30% with recuperators
[2]. It is noted that a recuperator comprises 25–30% of the overall
cost [28] and is one of the key components of a micro gas turbine
system to obtain acceptable performance [29]. Therefore, strong
incentive exists to develop high-performance recuperators at low
cost.
Heat transfer and pressure drop (thermal-hydraulic) character-
istics are key performance metrics of recuperators. Heat transfer
performance, which is also known as thermal effectiveness, is usu-
ally defined as
Tair out  Tair in
e¼ ð1Þ
Tgas in  Tair in
where Tair in , Tair out and Tgas in are the temperatures of the recuper-
ator inlet air, outlet air and inlet exhaust gas, respectively. Usually, a
higher effectiveness requires large heat transfer area, leading to
large size and pressure loss. Total relative pressure drop is defined
as
DPair DPgas
dP ¼ þ ð2Þ
Pair Pgas
where DPair and DPgas are the pressure drops of the air side and gas
side, respectively, and Pair and Pgas are the inlet pressure of the air
side and gas side, respectively.
Muley and Sundén [30] (2003) presented a brief review on
thermal-hydraulic performance modeling and testing of recupera-
tors. Shah [2] (2005) focused on recuperators with various heat
transfer surfaces, performance, durability, packaging etc., espe-
cially for metallic recuperators. Jeong et al. [31] (2007) reviewed
heat exchangers for aero gas turbines in terms of heat exchanger
matrices, material selection, manufacturing technologies and opti-
mization. Similarly, Min et al. [32] (2009) reported several design
schemes of heat exchangers for gas turbine recuperators, intercool-
ers and cooling-air coolers. A desired recuperator for micro gas tur-
bine requires high heat transfer effectiveness (>90%), low relative
pressure loss (<3%), good resistance of oxidation and creep at a
high temperature (>650 °C), compact lightweight matrix at low
cost, etc. Moreover, micro gas turbines can be used in different
applications and operated in various conditions. With the rapid
development of micro gas turbines used in the field of renewable
energy systems, adaptable and flexible design methods of recuper-
ators deserve more attention, especially for various rated powers,
frequently changing operation conditions (start-up, shut-down
and load regulation) and different working media (air, gas,

Table 1
Micro gas turbine manufacturers and basic information of their products.

Manufacturer Country Power/kWe Pressure ratio TIT/EGT/ °C Speed/rpm Efficiency/%

Capstone turbine corporation [33] America 30 3.2 –/275, 96,000 26,
65 –/308, 85,000 29
200 –/280 45,000 33
Turbeca [34] Italy 100 4.5 950/270 70,000 30(±1)
Honeywell (Allied Signal) [35] America 75 3.7 900/250 85,000 28.5
Ingersoll-Rand [36] America 70 3.3 870/200 60,000 33
Bowman [37] England 80 4.3 680/300 68,000 27
Elliott energy system [38] America 45 4.0 871/280 116,000 30
80 68,000
200 43,000
Nissan [2] Japan 2.6 2.8 850/250 100,000 8–10
MTT BV [39,40] Netherlands 3 2.8 – 240,000 16
Bladon Jets [41] England 12 – – 134,000 –
ET Group [42] Netherlands 45 – – 60,000 28
a
Turbec micro gas turbine now is manufactured by Ansaldo Energia, Italy.
86 G. Xiao et al. / Applied Energy 197 (2017) 83–99
Combustor
Recuperator
Fuel
Exhaust
Compressor Turbine
Generator
Air
(a)
Fig. 1. Schematic of a micro gas turbine system (a) and a single-shaft rotor (b) [16].
air-steam mixture, supercritical CO2, etc.). This paper attempts to
create a relatively comprehensive review based on previous work,
covering fundamental principles (types, material selection and
manufacturing), operating characteristics (heat transfer and pres-
sure loss), design and optimization methods, as well as research
hotspots and suggestions.
2. Types of recuperators for micro gas turbines
For over half a century, gas turbines have been widely used in
the power generation fields, mechanical drives and aircraft propul-
sion, and heat exchangers have always taken important roles in
terms of the system efficiency [43]. Initial exchangers that have
been used in the gas turbine systems, including recuperators, were
essentially designed based on boiler technology, but the applicabil-
ity of these heat exchangers is limited because of their bulky size,
poor reliability and high cost [44]. For this reason, many new types
of recuperators with smaller size, lower cost and higher effective-
ness have recently been proposed. They are usually classified into
three types according to their heat transfer surface geometry, i.e.,
primary-surface, plate-fin and tubular recuperators.
2.1. Primary-surface recuperators
Primary-surface recuperators are a type of plate heat exchanger,
where plates are bolted, welded or brazed to separate cold and hot
fluids. Generally, there are three patterns of primary-surface recu-
perators, i.e., cross-corrugated (CC) [45], corrugated-undulated
(CU) [46,47] and cross-wavy (CW) [48], as shown in Fig. 2. Some
typical parameters of these patterns are summarized in Table 2
[49].
Primary-surface recuperators have been developed at Caterpil-
lar Tractor Co. since the 1970s [50]. RSAB developed a completely
Fig. 2. Schematics of a cross-corrugated (CC) surface (a), corrugated-undulated (CU) surface (b) and cross-wavy (CW) surface (c).
(b)
welded primary-surface recuperator, as shown in Fig. 3(a) [51].
This recuperator is a counter-flow heat exchanger with CC duct
configuration, and the heat exchanger matrix is composed of thin
stainless steel plates sealed by laser welds. The air inlet and outlet
manifolds are welded to the recuperator core at the opening of the
cross flow sections. End beams and some tie bars are arranged to
withstand the internal air pressure and to prevent excessive stress.
The recuperator for Turbec T100 micro gas turbine (now manufac-
tured by Ansaldo Energia, Italy) is similar to RSAB’s recuperator.
Ferrari et al. [52,53] investigated the T100 recuperator behavior
under both steady-state and transient conditions during start-up
and load rejection phases, which was very important to the recu-
perator design, improvements and validation of devoted theoreti-
cal models. Honeywell Corporation developed a primary-surface
counter-flow recuperator, as shown in Fig. 3(b) [2]. In this device,
CC plates that are used in the main heat transfer region are welded
at the periphery. Wilson et al. [54] designed a plate type micro-
channel recuperator based on silicon carbide (SiC) as shown in
Fig. 3(c), and found that the overall electrical efficiency could be
improved from 27% to over 40% because the inlet temperature of
hot gas could reach 955 °C with this material.
Capstone Turbine Corporation began commercial production of
recuperated micro gas turbines in 1998 [55]. These recuperators
are primary-surface ones with annular and fully welded assem-
blies, which can offer benefits from minimal ducting, simplicity,
and compactness, as shown in Fig. 3(d). ACTE developed a spiral
recuperator for micro gas turbine applications, as shown in Fig. 3
(e) [56]. This recuperator is an all-welded structure that forms a
core, which consists of a pair of corrugated sheets to create two
spiral-shaped chambers and air feed manifolds. The structural
integrity is enhanced by contact points, while the heat transfer is
enhanced by turbulence that is created by the corrugated spiral
plates. Rolls-Royce also developed a spiral recuperator, as shown
in Fig. 3(f). Air enters the top and goes downwards, while gas
 G. Xiao et al. / Applied Energy 197 (2017) 83–99 87

Table 2
Geometrical data of different primary surfaces [49].

Type Surface Pitch/mm Height/mm Length/mm Amplitude/mm Compactness/(m2/m3) h/° dh/mm

CC CC-45 3.48 0.87 4.54 – 1299 45 1.54
CC CC-60 3.48 0.87 3.48 – 1299 60 1.54
CC CC-75 3.48 0.87 2.85 – 1299 75 1.54
CW CW2-z3 1.38 2.28 2.98 0.99 1717 – 1.54
CW CW2-z5 1.38 2.28 4.96 0.99 1422 – 1.54
CW CW3-z3 1.38 2.28 2.98 0.79 1496 – 1.54
CW CW3-z8 1.38 2.28 7.94 0.79 1343 – 1.54
CU UCS-30 2.24, 3.17 1.30, 0.79 6.33 – 1299 30 1.54
CU UP2-30 2.78, 2.15 1.61, 0.45 4.3 – 1299 30 1.54
CU US-50 2.74, 2.66 1.59, 0.44 3.47 – 1299 50 1.54

Air out Air in

End beam Exhaust gas
Heated
Cold feed feed

Manifold
Cooled
exhaust

Air in
Insulated
Exhaust gas shell
Air out
Shell and Plate
Recuperator Hot SOFC
Tie bars Hot exhaust: shell side
Exhaust gas in exhaust

(a) (b) (c) (d)

Air in

Gas in
Air out

(e) (f) (g)

Fig. 3. Pictures of recuperators from RSAB (a) [51], Honeywell (b) [2], SiC (c) [54], Capstone (d) [55], ACTE (e) [31], Rolls-Royce (f) [31] and Swiss-Roll (g) [58].

enters the spiral from the bottom and goes upwards with corruga-
tions on the gas side and a narrow primary surface on the higher
pressure air side. This structure is able to achieve a high heat trans-
fer coefficient and low pressure drop [57]. Swiss-Roll’s recuperator
is another type of primary-surface recuperator, as depicted in Fig. 3
(g), which is composed of two flat plates that are wrapped around
each other, creating two concentric channels of a rectangular
cross-section [58].
2.2. Plate-fin recuperators
Ingersoll-Rand began to develop plate-fin recuperators in 1994,
which adopts offset fins in the heat exchange area, as shown in
Fig. 4 [59]. AlliedSignal produced an industrial gas-turbine plate-
fin recuperator with offset plate-fin surfaces, and the entire heat
exchanger (plates, fins, headering bars and manifolds) was brazed
to form a very strong monolithic unit [60]. Abiko et al. [61]
invented a plate-fin heat exchanger for micro gas turbines with
four different embodiments of their invention. Independent config-
urations were employed for low-temperature channels, making it
possible to lessen thermal stresses caused by non-uniform temper-
ature distribution inside fluid channels. Furthermore, their inven-
tion could achieve high endurance and heat exchange efficiency
under extreme variations of thermal load and are suitable for mass
production.
2.3. Tubular recuperators
Tubular recuperators consist of a series of tubes within an outer
shell. Proe Power Systems developed the Proe 90TM recuperator
[62]. As shown in Fig. 5(a), this recuperator consists of two header
assemblies (1), low- and high-pressure flow tubes (2 and 3) and
heat exchanger assemblies (4) that consist of four tubes (4A, 4B,
4C and 4D) for three concentric annular flow paths. Analytical
methods were established to simulate the heat transfer and pres-
sure loss relationships, and the performance of a 30 kW recupera-
tor was also predicted. The results showed that the effectiveness
could reach 95% and the pressure drop was very low. MTU devel-
oped a cross-counter flow recuperator that consisted of two man-
ifold tubes and a bundle of profile tubes [63]. Compressed cold air
is delivered through pipes and manifolds to the profiled tubes,
while hot gas flows in the spaces among the tubes, as illustrated
in Fig. 5(b). The excellent features of this recuperator are its high
compactness and high resistance to thermal gradients. However,
this layout is heavy and remarkably increases the total weight of
the engine.
2.4. Comparison of recuperators
Plate-fin and primary-surface recuperators can reach fairly high
effectiveness but still have some shortcomings [62]. These recuper-
88 G. Xiao et al. / Applied Energy 197 (2017) 83–99

Fig. 4. Flow paths (a) and a unit cell (exploded) (b) of an Ingersoll-Rand’s plate-fin recuperator [55].

Fig. 5. Schematics of a Proe 90TM recuperator (a) [58] and MTU tubular recuperator (b) [59].

ators are expensive to manufacture and hard to assemble because
of the large number of plates. Highly stressed welds (or brazing
operations) used for sealing introduces risks of leakage and failure.
Additionally, the pressure load on the high-pressure side may gen-
erate out of shape plates because the creep strength is low at work-
ing temperatures, which affects the lifetime of recuperators.
Tubular recuperators have high reliability but typically are very
large and bulky. Therefore, tubular recuperators are seldom used
for commercial micro gas turbines. To complete this discussion,
the main aspects of some typical recuperators are summarized in
Table 3.
Primary-surface recuperators have been adopted by many
micro gas turbine manufacturers, and their effectiveness
approaches 90% with a total pressure loss that is usually less than
5%. Ward and Stephenson [64] reported that 2.8 times the unit vol-
ume for plate-fin recuperators or 11.8 times of unit volume for
tubular recuperators is needed for a given thermal load that
requires a unit volume for primary-surface recuperators. Utriainen
and Sundén [49] compared the thermo-hydraulic performance of
three primary-surface recuperators (CC, CU and CW) and an offset
strip-fin recuperator. The results revealed that the CC surface
showed superior performance over the other types of surfaces.
CC recuperators had the minimum matrix specific volume for a
given specific recuperator effectiveness. Wang et al. [65] conducted
experimental investigations on the heat transfer and pressure drop
in a micro gas turbine recuperator with CW primary-surface chan-
nels. These authors obtained the average Nusselt numbers and fric-
tion factor correlations with Reynolds numbers. In their opinion,
recuperators with CW primary-surface channels achieved an
acceptable compromise between the heat transfer and pressure
drop performance, which could be a potential choice for future
micro gas turbines. However, in a later paper [66], these authors
concluded that CC primary surfaces showed superior performance
to CW primary surfaces based on genetic algorithm optimization

Table 3
Performance of some typical recuperators.

Organization Recuperator type Pressure ratio Pressure loss/% Effectiveness/%

Turbeca [67] Primary-surface 4.5 4.8 88.9–93.1
Tokyo institute of technology [68] Plate-offset-strip-fin 3 6.3 80
4 7.8 80
RSAB [51] Primary-surface <4.5 <4.5 >89
Ingersoll-Rand [69] Primary-surface >3 5 90
Capstone [29] Primary-surface 2.7–4.2 <2.5 90
Chang Gung University [70] Swiss-roll 2.77 10–30 60–85
Rolls-Royce [57] Primary-surface >6 – 92
ACTE [56] Primary-surface – – 90
a
Turbec micro gas turbine now is manufactured by Ansaldo Energia, Italy.
 G. Xiao et al. / Applied Energy 197 (2017) 83–99
method. According to the previous work, primary surfaces may be
the appropriate choice for future recuperator development. The
design and optimization of heat transfer surfaces for recuperators
still require effort to achieve widely acceptable surface configura-
tions because of the complex geometry and flow pattern in
primary-surface channels.
3. Material selection and manufacturing for recuperators
The operating temperature of recuperators is limited by corro-
sion, oxidation and creep resistance of the material that is used,
such as stainless steel (<650 °C), Inconel (<800 °C) and ceramics
(>870 °C) [71]. Oak Ridge National Laboratory compared the oxida-
tion results of seven alloys, i.e., 347 stainless steel (347SS), alloy
120, alloy 625, 20/25/Nb, Fe-20/20 + MS, Fe-20/20 + 4Mn and Fe-
15/15 + Al, at 650 °C, 700 °C and 800 °C [72]. The results showed
that 347SS cannot be used when the temperature is over 650 °C
because of accelerated corrosion by water vapor in the exhaust
gas. Alloy 625 and alloy 120 showed excellent corrosion resistance
in foil form, but these materials are expensive for micro gas tur-
bines. Finally, these authors considered less expensive alternatives
based on Fe-20Cr-20Ni and Fe-20Cr-25Ni as better choices, which
also showed satisfactory corrosion resistance in humid air, but the
temperature was limited to 725 °C. Matthews et al. [73,74] sum-
marized the characterization results for Haynes alloy HR-120 at
666 °C and 720 °C, which was approximately 55 °C higher than
the normal Capstone C65 micro gas turbine operating temperature,
and compared the surface oxidation and Cr-depletion of HR-120
with field-operated 347SS recuperators. The results showed that
a field-operated HR-120 primary-surface core at 666 °C exhibited
Cr-loss of only 1.5 wt.% after exposure for 7800 h compared to
2.2 wt.% Cr-loss in the 347SS primary-surface core after only
1800 h of exposure, and the HR-120 samples did not exhibit signs
of breakaway oxidation even at 720 °C. Maziasz and Swindeman
[75] conducted creep-rupture tests at 750 °C and 100 MPa on a
group of heat-resistant and oxidation-/corrosion-resistant austeni-
tic stainless alloys. Alloys 740, 230, 120, and modified 803 lasted
longer than 347SS, while alloys 625 and 214 showed much better
creep-rupture resistance and potential for use at low stresses at
800 °C or above. These results suggested that alloy 120 and modi-
fied alloy 803 may be the best alternatives to 347SS for recupera-
tors in terms of cost. When using a bi-metallic approach, only the
hot end of the recuperator required costly super alloy, and the cold
end can use 347SS. As claimed by McDonald [76], the electric effi-
ciency of micro gas turbines with recuperators consisting of 23%
Inconel 625 and 77% 347SS could be increased from 30% to 35%.
Welding is widely used in recuperator manufacture commer-
cially. McDonald [43] proposed an annular primary-surface recu-
perator including only five basic parts, and the matrix was
formed by continuous stamping, folding and welding operations.
The corrugated metal sheet was created by stamping, and the
matrix is formed by the to and fro folding of the corrugated metal
sheet with leak tight by external welding. Treece et al. [55] applied
a similar procedure to manufacture annular primary-surface recu-
perators for commercial Capstone micro gas turbines. A Printed
Circuit Heat Exchanger (PCHE) has channels of about 1 mm
hydraulic diameter by using photo-chemical etching technique
and diffusion bonding method [77]. PCHE can be used as a recuper-
ator because of compact heat exchanger type with good heat trans-
fer performance, and has the durability under high pressures,
which is especially suitable for a supercritical CO2 Brayton cycle
[78–80]. Supercritical CO2 cycle operates in a closed-loop and
offers great potential of high efficiency and compactness for
nuclear power, solar thermal power, distributed power, etc. [81–
84]. Recuperators of supercritical CO2 Brayton gas turbines are
89
probably very interesting, although less research has been reported
up to now. A rapid manufacturing process, Selective Laser Melting
(SLM), is a quick manufacture method for compact heat exchangers
with complicated geometries and had been reported with a low
pressure drop and an enhanced heat transfer property [85–87].
Tsopanos et al. [88] fabricated a cross-flow micro heat exchanger
by SLM using stainless steel powder, and the experimental result
showed that it was possible to achieve a volumetric heat transfer
coefficient of 3.14 MW/(m3 K). Although SLM is still in a developing
stage, the technology can provide custom designed, small volume
heat exchangers, which is very suitable for rapid fabrication of
experimental recuperators with various geometries those hardly
made by other methods. It is expected to make commercial recu-
perators for micro gas turbines by SLM in the near future.
Ceramic recuperators outperform metallic recuperators, in
terms of high-temperature mechanical and corrosion properties,
and improve micro gas turbine efficiency approaching 40%. Cera-
mic recuperators have been developed since the early 1970s
[89,90]. Omatete et al. [91] reviewed the development of ceramic
recuperators and suggested that silicon nitride and cordierite were
suitable candidates for further development. Carman et al. [92]
proposed a ceramic micro-channel recuperator with a polymer-
derived ceramic (SiCN), which could remain thermally stable up
to 1300 °C in combustion gas. The cycle efficiency, effectiveness
and pressure loss were expected to reach 39.4%, 0.961 and 2.86%
for a square cross-section design, respectively, and 42.2%, 0.983
and 2.4% for a triangular cross-section design, respectively.
McDonald and Rodgers [93] proposed an approach to design, fabri-
cate and test a 7.5 kW ceramic micro gas turbine demonstrator
concept, including a ceramic turbine, ceramic combustor and com-
pact ceramic recuperator, which had potential efficiencies over
40%. An example of a basic ceramic plate, including gas flow chan-
nel, manifold and header, is shown in Fig. 7(a), and these plates are
then stacked to form the recuperator matrix as shown in Fig. 7(b).
Wilson et al. [54] proposed and tested a ceramic micro-channel
recuperator by utilizing laminated object manufacturing (LOM)
[94]. Kelly et al. [95] investigated a fabrication method of ceramic
recuperators that could be divided into three steps: laser-cutting
thin sheets of tape-cast material into complex patterns, laminating
them together into stacks and sintering at high temperature. Sig-
nificant progress has been achieved in developing ceramic matrix
composite components for aircraft turbine engines [96–98], which
can be also used for recuperators and micro turbines. Material
selection and manufacture are the two main related problems,
and considerable effort is still required to develop mature, reliable
and low-cost ceramic recuperators. The effect of recuperator-inlet
Fig. 6. Effect of recuperator-inlet temperatures.
90 G. Xiao et al. / Applied Energy 197 (2017) 83–99
temperatures (the highest temperature for a recuperator) is shown
in Fig. 6 [71,72,76,89–93], and the super alloy and ceramic recu-
perators are preferred for further development.
4. Heat transfer and pressure drop characteristics
Heat transfer and pressure drop (thermal-hydraulic) character-
istics are key performance metrics of recuperators. The definition
of heat transfer performance (thermal effectiveness) and relative
pressure drop can be found in the section of introduction. The aver-
age Nusselt number (Nu) is given by
hdh
Nu ¼
kf
where h, dh and kf are the heat transfer coefficient of the fluid, the
hydraulic diameter and the thermal conductivity of the fluid. Some
researchers have adopted the Colburn factor j to describe the heat
transfer as a function of Reynolds number (Re), which is defined as
Nu
j¼
RePr1=3
where Pr Pr is the Prandtl number. A higher effectiveness requires
large heat transfer area, leading to large size and pressure loss. A
dimensionless friction factor f is given by
jDPjdh
f ¼
qLc U 2 =2
where Lc and U are the flow length of flow channel and the average
velocity along the main flow direction. Both the effectiveness and
pressure drop have an important effect on the thermal efficiency,
taking a 200 kW micro gas turbine for instance, as shown in Fig. 8
[99]. A high j/f ratio usually means high heat transfer performance
Fig. 7. Ceramic plate component (a) and recuperator matrix (b) [77].
Fig. 8. Microturbine (200 kW) efficiency changes vs. the recuperator effectiveness (a) and the total relative pressure drop (b) [80].
but a low pressure drop, which is also the main objective of this
section.
4.1. Experimental research activities
Stasiek et al. [100] described the method of applying ther-
mochromic liquid crystals and true-color image processing to
determine local Nu number distribution over corrugated passages.
Wall pressure distributions were measured by pressure tappings,
and preliminary investigations of the flow field by particle-image
velocimetry were conducted. The experimental results of the heat
transfer and pressure drop in corrugated passages were presented
ð3Þ
and discussed for various geometries and Reynolds numbers. The
same measurement methods were also adopted to investigate
the heat transfer and fluid flow across CU heat transfer surfaces
with inclination angles between 20° and 70° and Re numbers from
1400 to 10,000 [46]. The inclination angle was found to be a major
parameter that influences the performance of plate heat
exchangers.
ð4Þ Kanaris et al. [101] conducted experiments to study the pres-
sure drop and overall temperature differences of the CC heat trans-
fer surface with Re numbers from 1000 to 2300. These authors
placed a PlexiglasÒ plate that was embossed by a lithographic tech-
nique to facilitate the visualization of the flow and created a ‘win-
dow’ in the PlexiglasÒ plate. An IR thermography camera was used
ð5Þ to obtain the thermographic image of the temperature distribution
over the hot/cold fluid plate surfaces. Temperatures at various
locations along the hot and cold sides of the heat exchanger were
simultaneously measured by nine thermocouples that were
implanted into the ducts to check the above assumption. The tem-
peratures acquired by the thermocouples and the thermograph
agreed well within ±5% deviation.
 G. Xiao et al. / Applied Energy 197 (2017) 83–99 91

Shaji et al. [102] proposed a concept of logarithmic mean pres-
sure difference to determine an accurate friction coefficient for
variable flow in parallel flow channels of plate heat exchangers
by considering the first and the last channel pressure drops. The
nature of the flow distribution in parallel channels could be pre-
dicted using the logarithmic mean pressure difference method,
and the last channel pressure drop could be determined by mea-
suring the first channel pressure drop of the plate package, which
might help us to design and analyze the hydraulic performance of
parallel channels.
Cho et al. [103] conducted experiments to measure the static
pressure distribution without flow disturbance in the corrugated
heat exchangers by embedding pressure tapping holes in a CC sur-
face flow channel. These authors introduced the process of fabri-
cating a micro channel-embedded CC plate for pressure tapping
holes through metal etching, diffusion bonding and stamping pro-
cesses. The friction factor of the dimensionless hydraulic perfor-
mance was calculated by using the pressure drop and was also
compared with the friction factors that were obtained from similar
experimental and numerical results. Moreover, the influence of the
accuracy of the heat exchanger manufacturing was considered. The
flatness of the corrugated plates should be kept under the thick-
ness of the brazing foil.
Some useful correlations of heat transfer and friction factor
are summarized based on experimental studies, as shown in
Table 4.
4.2. CFD research activities
Experiments on recuperators are costly in terms of both time
and money, which is difficult to get detailed information such as
the distributions of temperature, pressure and velocity. With the
rapid development of numerical methods for integration of non-
linear partial differential equations and advanced computers, com-
putational fluid dynamics (CFD) has become a possible method to
get detailed information of the flow field, which is a very important
supplement of experimental researches. The variation of geometric
parameters in CFD is much easier and less costly than that in
experimental tests. The CFD approach is a promising solution to
search for recuperator geometries with high ratios of heat transfer
to pressure drop. The Finite volume method [114,115] is com-
monly used to solve the above equation. Nowadays, commercial
CFD softwares such as FLUENT, STAR-CD, CFX, etc. are available
and frequently applied in industry research activities [30].
4.2.1. Plate-fin type
Dong et al. [116] experimentally and numerically studied the
thermal-hydraulic performance of wavy fin channels. Their test
was performed in a wind tunnel, with uncertainties in the convec-
tion heat transfer coefficient and pressure drop of 6.3% and 3.0%,
respectively. The standard k-e model and renormalized group
(RNG) k-e model were adopted for turbulent flow. The results
showed that the steady laminar model was more close to the

Table 4
Heat transfer and pressure drop correlations for different types.

Author (year) Type/parameter Correlations of heat transfer coefficient Correlations of friction factor
O’Brien and Corrugated duct; h: 30°; Re: 1500– Nu ¼ 0:409Re 0:614
Pr 0:34 –
Sparrow 25,000
[104]
(1982)
Sparrow and Corrugated duct Nu ¼ 0:491Re0:632 Pr0:3 –
Comb
[105]
(1983)
Manglik and Plate-offset-fin; j ¼ 0:6522Re0:5403 a0:1541 d0:1499
0 c0:0678 f ¼ 9:6243Re0:7422 a0:1856 d0:3053
0 c0:2659
Bergles dh : 1.209–3.414; a: 0.134–0.997 5 1:340 0:504 0:456 1:055 0:1 0:1
½1þ5:269  10 Re a d0 c  ½1 þ 7:669  108 Re4:429 a0:920 d3:676
0 c0:236 
[106] d0 : 0.012–0.048; c: 0.041–0.121
(1995) Re: 120–10,000
Stasiek [100] CC; Nu ¼ Re2=3 (p/H = 4.00, h: 60° and 75°) f ¼ Re1=2 (p/H = 4.00, h:60° and 75°)
(1996) p/H: 2.22–4.00; h: 30°–79°; 
Nu ¼ eh=50 (p/H = 3.06 and 4.00, Re: 1000 and 4000)

f ¼ eh=20 (p/H = 3.06 and 4.00, Re: 1000 and 4000)
Re: 500–5000
Vlasogiannis CC; Nu ¼ 0:000672Re1:6 Pr0:33 (Re < 650) –
et al. [107] L: 430 mm; W: 123 mm; bc : 2.4 mm; Nu ¼ 0:51Re0:58 Pr 0:33 (Re > 650)
(2002) d: 0.6 mm; A: 0.032 m2
Muley et al. Novel wavy channel j ¼ 0:173Re0:385 ðlb =lw Þ0:14 f ¼ 0:173Re0:6365
[108] r: 0.15; a: 0.4533; Re: 70–830
(2002)
0:27 0:181
Maiti [109] Plate-fin j ¼ 0:36Re0:51 ðh=sÞ ðt=sÞ0:063 Re < Re* f ¼ 4:67Re0:7 ðh=sÞ ðt=sÞ0:104 Re < Re*
0:275 0:196
ðl=sÞ ðl=sÞ
(2002) 0:184 0:27
j ¼ 0:18Re0:42 ðh=sÞ ðt=sÞ0:05 Re > Re* f ¼ 0:32Re0:286 ðh=sÞ ðt=sÞ0:063
0:288 0:221
ðl=sÞ ðl=sÞ
Re > Re*
0:096529 1:3385
Lin et al. [110] CW; f ¼ 0:02403Re0:41543 ðs=dh Þ RH0:13035
2:5906 0:47028
Nu ¼ 0:02656Re0:92333 ðs=dh Þ h RH0:07773 h
(2002) h: 15°; S: 8.4 mm; H: 2.6 mm
Kurtbas and I: Flat-plate; II: Flat profile; III: I: Nu ¼ 11:353Re0:168 I: f ¼ 0:122Re0:612
Durmusz Onduline profile plate; IV: Flat-plate; II: Nu ¼ 28:889Re0:199 II: f ¼ 0:154Re0:719
[111] L:900 mm; W:400 mm
III: Nu ¼ 37:244Re0:243 III: f ¼ 0:188Re0:774
(2004) H:25 mm
IV: Nu ¼ 43:901Re0:228 IV: f ¼ 0:221Re0:724
Wang et al. CW; Nu ¼ 3:83  107 Re2:69155 f ¼ 66:634Re0:64407
[65] (2005) dh : 1.98 mm; Comp: 1438m2/m3
p/Hi : 4; L/H: 7; d: 0.12 mm
Nu ¼ ð0:0896þ0:0596e0:92d ÞRe0:815 (for forward flow) f ¼ 2:679Re0:318 (for forward flow)
x
Chang et al. Rectangular narrow channel
[112] L: 155 mm; W: 80 mm; H: 10 mm; e: Nu ¼ ð0:169 þ 0:638e0:81d ÞRe0:7 (for downward flow)
x
f ¼ 8:836Re0:39 (for downward flow)
(2005) 1 mm; p: 10 mm; dh : 10 mm
a: 11°; Re: 1500–15,000
Dong et al. Fin-tube j ¼ 0:0836Re0:2309 ðs=HÞ0:1284 ½s=ð2A0 Þ0:153 ð1=k0 Þ0:326 f ¼ 1:16Re0:309 ðs=HÞ0:3703 ½s=ð2A0 Þ0:25 ð1=k0 Þ0:1152
[113] s: 2.0, 2.25, 2.5 mm; l: 43, 53, 65 mm;
(2007) H: 7, 8, 10 mm; Re: 800–6500
92 G. Xiao et al. / Applied Energy 197 (2017) 83–99
experiment when Re < 1000; when Re > 1000, the turbulent model
was more accorded with the experiment, which means that transi-
tional regime may have existed around Re = 1000. The standard k-e
model better matched the experimental results compared to the
RNG k-e model, and the predicted j and f factors by using the stan-
dard k-e turbulence model are 7.2% and 3.8%, larger than those of
the experimental results, respectively.
Muley et al. [117,118] investigated the enhanced force-
convection heat transfer properties of sinusoidal wavy plate-fin
channels. A numerical model consisted of a one-period-long wavy
channel with periodically laminar, fully developed flow with fin
walls at constant heat flux for 10  Re  1000. The SIMPLE algo-
rithm was applied to evaluate the coupling between the pressure
and velocity. The numerical results had good agreement with
experimental measurements, and the performance, as evaluated
by the Area Goodness Factor (j/f), was the highest when the ratio
of the fin wave length to fin amplitude (L/A0) was 30.
4.2.2. CW primary-surface type
Utriainen and Sundén [48] performed a numerical study on the
heat transfer and pressure drop characteristics of a rounded CW
primary-surface recuperator by using a commercially available
CFD code STARCD. A three-dimensional, finite volume, steady-
state method with a body-fitted grid was employed for the simula-
tion. The simulation results indicated that the waveness of the
recuperator duct perturbed the flow layer near the wall region,
which significantly affected the heat transfer and pressure drop.
The Nu number was enhanced by 600% compared to the straight
duct with a similar order of magnitude increase in the pressure
drop. Numerical investigations of a trapezoidal CW primary-
surface recuperator were conducted by Rokni and Sundén [119],
using Speziale’s non-linear k-e model to predict the secondary
velocity fields and the simple eddy diffusivity concept to calculate
the turbulent heat fluxes. The Nu number and friction factor
increased with increasing the waviness of a channel. The Nu num-
ber depended on the amplitude, wave length and cross section area
of the channel. However, the friction factor mostly depended on
the amplitude of the channel. Capstone Turbine Corporation devel-
oped and tested an annular primary-surface recuperator for a
200 kW micro gas turbine with the design goal of 90% effectiveness
and 2.5% pressure drop [99]. 2D and 3D FLUENT models were
established to simulate the flow field of the recuperator core seg-
ment and manifolds. It was found that the flow distribution signif-
icantly affects the recuperator performance.
4.2.3. CC primary-surface type
Ciofalo et al. [120] performed a 3D numerical investigation on
the fluid flow and heat transfer characteristics of a CC channel by
adopting periodic boundary conditions and the SIMPLEC pressure
coupling algorithm, using the computer code Harwell-FLOW3D. A
variety of flow models were applied, from the laminar flow
assumption to the standard and low-Reynolds number k-x turbu-
lence models and large-eddy simulation. The results showed that
the low-Reynolds number k-x turbulence model and large-eddy
simulation better matched the experimental data [100] than the
laminar and the standard k-x turbulence models.
Zhang and Che [121] presented a numerical investigation on the
thermal hydraulic performance of CC channels with different pro-
files, such as sinusoidal, isosceles triangular, trapezoidal, rectangu-
lar, and elliptical corrugations. The low Reynolds number k-e
turbulence model was employed to investigate the influences of
Reynolds number, corrugation inclination angle, and corrugation
profile on the flow and heat transfer. The results showed that the
Nu and f of the trapezoidal channels were approximately 1 to 4
times higher than those of elliptical channels, which indicated
the significant influence of the corrugation profile. The Optimal
structures were among those with smooth corrugation shapes
and small inclination angles.
4.2.4. Other types
Kim et al. [77] proposed a PCHE with airfoil type finned chan-
nels and numerically investigated the heat transfer and pressure
drop characteristics of supercritical CO2 flow for a supercritical car-
bon dioxide gas turbine cycle. A three-dimensional numerical anal-
ysis model was established by using the FLUENT code with the
standard k-e model, and the numerical data of the pressure drop
and temperature difference matched well with the experimental
results, with a maximum error of 2.4% [79]. This new PCHE with
airfoil had the same heat transfer performance and a pressure drop
that was only one-twentieth as much as in the original one. Tsai
and Wang [58] investigated a Swiss-Roll recuperator that had con-
centric circles with a fixed-thickness plate between the low- and
high-temperature channels. A comparison of the numerical results
and theoretical predictions for the effectiveness of heat recovery
showed a 10% error, and the pressure drop predictions were con-
sistent. The test results showed that an engine with this recupera-
tor had an electrical efficiency of 27%.
Several other CFD studies are listed in Table 5. CFD is an effec-
tive and reliable tool to simulate various geometrical configura-
tions and to study their effect on heat transfer and flow
characteristics under different working conditions. The accuracy
of CFD simulation greatly depends on the application of appropri-
ate numerical models. Turbulence models still exhibit problems
with attaining accurate and reliable predictions of flow separation;
reattaching, impinging and recirculating flow regions [122]. The
flow patterns and transition Reynolds number sensitively vary
with the flow channel geometry and working conditions. LES are
considered more appropriate for turbulent flow simulation. The
LES model has been expected to emerge as the future model for
industrial applications but is still limited to relatively low Reynolds
number and simple geometries, which is considered less robust
and more computationally expensive. The accuracy and appropri-
ate CFD models are still an open issue [123,124].
5. Design and optimization methods
The main objective of recuperator design is to determine the
geometry of recuperators to determine a compromise among the
heat transfer effectiveness, pressure drop, small recuperator size
and low-cost requirements [30]. Additionally, this approach
includes mechanical aspects, such as determining a suitable thick-
ness of the wall to resist the pressure differential, thermal stress,
creep and fatigue [147]. Designing recuperator is challenging
because of the multi-objective optimization procedure to find the
best compromised solutions among different constraints.
The NTU and logarithmic mean temperature difference (LMTD)
methods are the two widely used, simple design methods for recu-
perators [148]. The NTU is defined as
kA
NTU ¼ ð6Þ
C min
where k, A and C min are the overall heat transfer coefficient, heat
transfer surface area and the smaller of the two heat capacity rates
_ p Þmin . The effectiveness of a counter-flow
on the cold or hot side ðmc
heat exchanger can be calculated by the equation:
1  exp½NTU ð1  CÞ
e¼ ð7Þ
1  C exp½NTU ð1  CÞ
where C is the heat capacity rate ratio of C min =C max . The pressure
drops on the gas side and air side can be calculated according to
the Eq. (5). The accuracy of the heat transfer effectiveness and pres-
 G. Xiao et al. / Applied Energy 197 (2017) 83–99 93

Table 5
Summary of some other CFD studies.

Author (year) Type/Re range CFD models Result summary

Amano [125] Corrugated Laminar flow model; Both the friction and heat transfer patterns changed remarkably from laminar to turbulent
(1985) plate-fin Standard k-e model; flows.
Re: 10–25,000 Refined near-wall model; Nu ¼ 0:307Re0:642 ðH=WÞ0:592
Periodic boundary condition where H is the step height and W is the channel width
Rokni and Sundén Trapezoidal CW Speziale’s non-linear k-e Increasing the waviness of a duct increased the Nu number and friction factor. Nu number
[119] (1998) Re: 7000–72,000 model; depends on the amplitude, wave length and exact cross section area. The friction factor
SIMPLEC algorithm; mostly depends on the amplitude
Periodic boundary condition
Sawyers et al. CC Laminar flow model; A small mean flow in the transverse direction increased the heat transfer. As the transverse
[126] (1998) Re: 0–250 PISO-SIMPLER algorithm; flow became stronger, recirculation was destroyed and the heat transfer correspondingly
Periodic boundary condition decreased
Mehrabian and Sinusoidal CC CFX code; A discrepancy occurred between the computed pressure gradients and the imposed
Poulter [127] Re: 1.76, 1.16, 0.88 Laminar flow model; gradient; the computed pressure gradients were smaller by a factor of 0.3–0.4
(2000) Periodic boundary condition
Utriainen and Trapezoidal CW CFX 4 code; The Nu number increased by up to 400% compared to the straight ducts with a similar
Sundén [128] Re: 450–2100 Laminar flow model; increase of the pressure drop. The performance varied considerably, with relatively small
(2000) SIMPLEC algorithm; changes in the geometric parameters
Periodic boundary condition
Blomerius and CC FIVO code; The onset of self-sustained flow oscillation occurred above a critical Reynolds number with
Mitra [129] Re: 600–2000 SIMPLEC algorithm; an associated heat transfer enhancement. The configuration with an inclination angle of
(2000) Deferred-correction 45° was the best, with the smallest heat transfer area among all the cases studied
approach;
Periodic boundary condition
Zhang et al. [118] Sinusoidal wavy Laminar flow model; The CFD results were compared with experiments (within ±8%). The overall heat transfer
(2003) plate-fin SIMPLE algorithm; performance improved considerably, compared to the straight channel, with a relatively
Re: 10–1500 Periodic boundary condition smaller increase in pressure drop
Kanaris et al. CC CFX code;SIMPLEC algorithm; Corrugations improved both the flow distribution and heat transfer compared to a smooth-
[101,123] Re: 400–1400 Shear-stress transport model wall plate. The results adequately matched the experimental results
(2005)
Zhang [130] (2005) Triangular CC Low-Re k-x model; Laminar parallel flows were predominant in the upper corrugation for lower Re. The
Re: 100–3000 SIMPLEC algorithm; secondary and swirl flows played a major role in the lower corrugation for higher Re
Periodic boundary condition
Liang et al. [131] CW FLUENT 6.3 code; The waveness of the flow channel had a non-negligible influence on heat transfer
(2005) Re:150–500 laminar flow model; enhancement and pressure drop. Heat transfer was enhanced at high L/A0, and the
constant wall temperature pressure drop penalty increased. L/A0 = 7.4 was the most appropriate one in the all
considered cases
Etemad and CC STARCD code; The Reynolds stress model (RSM) appeared to be unstable and produced similar results to
Sundén [132] Re = 4930 Chen’s high-Re k-e model; Chen’s k-e model. The heat transfer was dominated by the acceleration of the flow near the
(2007) Suga’s low-Re k-e model; inlet and outlet corners of the unitary cell, where the boundary layer was thin. The
V2F k-e model; secondary flow tended to transfer the heated flow from the wall region into the core
Reynolds stress model;
SIMPLE algorithm;
Periodic boundary condition
Tao et al. [133] Wavy fin Laminar flow model; The mean deviation of the Nu number was 3.3% with a maximum deviation of 6.0%, and the
(2007) Re: 500–4000 Harmonic mean method; mean deviation of f factor was 1.9%, with a maximum deviation of 7.5%
SIMPLE algorithm
Jain et al. [134] Chevron CC FLUENT code; The prediction errors of Nu and f were less than 13% and 10%, respectively
(2007) Re: 400–1300 Realized k-e model;
Periodic boundary conditions
Tsai et al. [135] Chevron CC FLUENT 6.3 code; The deviation of the numerical predictions from the experimental data was 20%. The
(2009) Re: 600–1700 Realizable k-e model; distribution of the fluid from the inlet port was not uniform according to the CFD
Nonequilibrium wall function
Babu and Talekala CC FLUENT 6.1 code; The average heat transfer coefficient increased with the aspect ratio while decreased with
[136] (2009) Re: 600–900 Shear-stress transport the corrugation angle. The heat transfer surface with the minimum recuperator matrix
turbulence mode core volume seemed to be with the lowest average friction factor for the separating wall
Ismail et al. [137] Plate-fin FLUENT 6.2 code; The CFD results matched the analytical results for the low Reynolds number region, and
(2009) Re: Standard k-e model; the variations were approximately 2% for j and 9% for f
2,000–15,000 Enhanced wall treatment;
SIMPLER algorithm
Ismail and Velraj Plate-fin FLUENT code; The friction and Colburn factors in both the laminar and turbulent regions were
[138] (2009) Re: 100–800 standard k-e model; investigated. The CFD model could provide reasonably satisfactory results for the Colburn
1000–15,000 enhanced wall treatment; factor, while the friction factor of numerical model is suggested be multiplied by a factor of
laminar model 1.6 in a case of real application
Han et al. [139] Chevron CC RNG k–e model; The maximum deviation between the experimental values and simulation was within 2 °C.
(2010) Gambit meshing code The maximum pressure drop deviation was approximately 35%
Liu and Tsai [140] CC FLUENT code; The local velocity vectors exhibited different characteristics for the flow field in the
(2010) Re: 660–2000 Realizable k–e model; Non- developing and fully developed turbulent areas. The mean deviation between the
equilibrium wall function numerical and experimental results was 7%
Freund and CC CFX code; The CFD results partially explained the distribution of convection coefficients. The RSM
Kabelac [141] Re: 1060, 2120, Shear-stress transport model; with an explicit algebraic heat flux model yielded better results than the shear-stress-
(2010) 3980 Reynolds stress model; transport model but under-predicted the measured values by 25%
Periodic boundary condition

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94 G. Xiao et al. / Applied Energy 197 (2017) 83–99

Table 5 (continued)

Author (year) Type/Re range CFD models Result summary

Du et al. [142] CW COMSOL3.5 code; The amplitude (A0) and the length unit cell (L) significantly influenced the performance of
(2011) Re: 100–1000 Laminar flow model; the unit cell, with the best performance when L/A0was 6
Periodic boundary condition
Zhang and Chen Triangular CC FLUENT code; The Nu number deviations ranged from 5% to 12%.
[143] (2011) Re: 500–5000 low Reynolds k-x model; The friction factor deviations ranged from 8% to 10%.
Standard wall functions; The convective mass transfer coefficients could then be estimated by the heat mass
SIMPLEC algorithm analogy
Aliabadi et al. Wavy fin FLUENT code; The average deviations of the j and f factors were 3.8% and 8.2%, respectively. The CFD
[144] (2011) Re: 600–7000 RNG k-e model; simulation results showed that the geometrical parameters of wavy fins affected both j and
Symmetrical boundary f factors
conditions
Zhou et al. [145] CC FLUENT code; The numerical heat transfer and friction factor were in good agreement with experimental
Re: < 1200 SIMPLE algorithm; results, with deviations less than 15.4% and 15.7%, respectively. For a given Reynolds
laminar flow model; number, j and f decreased with an increasing pitch-to-height ratio
periodically fully developed
flow domain
Glazar et al. [146] Flat tubes fin FLUENT code; The numerical simulations adequately matched the experimental results
(2015) Re: 100–800 Laminar flow model;
SIMPLE algorithm

sure drop greatly depend on choosing the appropriate correlations.
Heat transfer surface configurations with high j/f are desirable.
Durmus et al. [149] used the entropy-generation-minimization
approach [150,151] to analyze plate heat exchangers with different
surface configurations. The heat transfer greatly affects exergy loss,
and the exergy loss of CC type is less than that of other types.
Pandey and Nema [152] measured the ineffectiveness of a corru-
gated plate heat exchanger in terms of exergy loss. The average
exergy loss in plate heat exchanger with rectangular wavy surface
was 79.5% of that with a rectangular geometry. Dong et al. [116]
examined the synergy between the velocity and temperature gra-
dients in a wavy-fin channel based on the field synergy principle

Table 6
Optimization method summary.

Author (year) Optimization method Type Results

Kenichi et al. [177] Variational analysis based on Primary-surface The j/f factor increased with the Re and was larger compared to conventional ones. An
(2005) CFD to maximize the j/f factor optimal shape design method with adjoined velocity and thermal field variables was also
employed
Traverso and CHEOPE code based on the Plate-fin; Cost reduction of 6%, 12%, and 20% on average for 50 kW, 100 kW, and 500 kW micro gas
Massardo [147] weighting method Primary-surface turbines
(2005)
Xie et al. [178] Log-mean temperature Fin-and-Tube Minimum weight: length decreased by 50%, volume decreased by 50%, and total
(2008) difference and genetic weight decreased by 35%
algorithm Minimum cost: length decreases by 50%, volume decreased by 30%, total weight
decreases by 30%, total annual cost decreases by 40%
Peng and Ling Genetic algorithm combined Plate-fin The GA combined with the BP algorithms provided significant improvement in the
[179] (2008) with BP neural networks optimal designs compared to the traditional designs
Xie et al. [180] Genetic algorithm Plate-fin This method provided strong auto-searching and combined optimization in the optimal
(2008) design compared to the traditional designs. The heat exchanger configurations/structures
could be optimized according to different design objectives, such as minimum surface
area and cost, by applying this genetic algorithm for the optimal design
Micheli et al. [181] Automatic multi-objective CC primary An optimal primary-surface shape for a 50 kW micro gas turbine recuperator was
(2008) genetic algorithm surface obtained that differed remarkably from the usual geometries in the literature
Stevens et al. [174] Simplified optimization based Plate-fin The results of this optimization were almost identical to the full multi-dimensional
(2008) on the Brayton cycle optimization with an accuracy of approximately 1% on geometrical parameters and an
excellent agreement for cycle efficiency
Liu and Cheng Linear weighting method Primary-surface High total heat transfer coefficient, low pressure loss and light weight could hardly be
[182] (2008) achieved simultaneously, while a compromised scheme can be reached through this
method
Mishra et al. [183] Genetic algorithm based on the Plate-fin A multilayer plate-fin heat exchanger was solved for minimum-entropy-generation units.
(2009) second law The effect of some selected design variables on the optimal result, i.e., on irreversibilities
and the pressure drops on the two sides, was anticipated
Sayyaadi and Non-dominated sorting genetic Tubular Three scenarios for optimization were considered. One was to minimize the cost of
Aminian [184] algorithm II recuperators; another was to maximize the cycle exergetic efficiency; and the third was a
(2010) combination of the previous two scenarios. The third scenario could achieve a balance
between both the heat exchanger manufacturer and the end user
Yousefi et al. [185] Learning automata based on Plate-fin Two illustrative examples included three objectives, namely, minimum total annual cost,
(2012) particle swarm optimization minimum weight and minimum number of entropy-generation units. The presented
approach had higher accuracy and a higher success rate compared to GA and PSO
Yousefi et al. [186] Imperialist competitive Plate-fin The objectives were the minimization of the total weight and total annual cost. The ICA
(2012) algorithm (ICA) presented less computational time and higher accuracy compared to GA
Zhou et al. [187] Non-structural fuzzy decision Compact heat A three-level fuzzy optimum decision was introduced with success to cover most of the
(2014) making method exchanger effective factors and determine the optimal design projects, which considered the
physical characteristics, thermal parameters, reliabilities and economical aspects
 G. Xiao et al. / Applied Energy 197 (2017) 83–99 95

[153–155]. These authors found that the local temperature gradi-
ent and local velocities became more parallel with increasing wavi-
ness amplitude. The synergy angle of the highest waviness
amplitude was smaller than the others; hence, it had the highest
heat transfer coefficients. Song et al. [156] maximized the heat
transfer rate and minimized the pressure losses of a wavy-fin chan-
nel based on the constructal theory [157–161]. A new generation
of wavy-fin channels could reduce pressure drops by more than
54% and enhance the heat transfer rate by around 26%. Guo and
Huai [162] investigated the multi-parameter optimization design
of a plate-fin recuperator based on the entransy dissipation theory
[163]. Under a constant heat transfer area of recuperator condition,
the optimization results showed that the heat transfer rate of recu-
perator increased from 40.33 kW to 148.4 kW, the coefficient of
performance increased from 0.016 to 0.093, and the exergy effi-
ciency increased from 0.028 to 0.207. Meanwhile, the compressor
power decreased from 1426 W to 248.3 W.
Many multi-objective optimization methods have been devel-
oped, such as multi-objective genetic algorithm (MOGA) [164],
Niched-Pareto genetic algorithm (NPGA) [165], nondominated
sorting genetic algorithm (NSGA) [166], Pareto archived evolution
strategy (PAES) [167], particle swarm optimization (PSO) method
[168], etc. Wang et al. [66] implemented a genetic algorithm
(GA) technique to optimize CW and CC primary-surface recupera-
tors and found that optimizing the CW recuperator decreased the
volume and material weight by 12% or more, with the compactness
coefficient increasing by 19% and the total pressure drop increasing
by 0.84%; meanwhile, optimizing the CC primary-surface recuper-
ator decreased the weight by 17–36%, while the compactness coef-
ficient increased by 70%, which demonstrated suitable potential for
future use. Ma et al. [169] optimized the configuration of a CW
primary-surface sheet based on the PSO algorithm to get a minimal
creep deformation. Compared to the baseline design, the Von Mises
stress and the total deformation of the optimal configuration was
reduced by 55% and 41%, respectively. Some studies showed that
PSO may have better performance over traditional GA because this
process requires shorter computational time and produces better
results [170–173].
Some other research on optimization is summarized in Table 6.
The previous optimization literatures mainly focus on recuperator
itself, but the cold- and hot-side pressure drops of recuperators are
tightly correlated in a gas turbine [174], and pressure drops and
the effectiveness of recuperators can significantly influence the
system efficiency. Here, a framework is suggested for developing
an optimization approaches by considering the recuperator criteria
and the system efficiency criterion, as shown in Fig. 9, which is
expected to make a good compromise among pressure drop, heat
transfer effectiveness, system efficiency, weight, cost, etc. More-
over, adaptable and flexible recuperators are required to meet with
various applications of micro gas turbines, and recuperators for
supercritical CO2 turbines are probably very interesting, although
less research is reported now. It is noted that the operating tem-
perature range (300–600 °C) in a recuperator is suitable for cat-
alytic converters [175,176]. Therefore, it is possible to couple the
emission reduction of CO and NOx with recuperators to meet with
increasing strict requirements of environmental protection.
6. Conclusions
This paper provides a comprehensive review of recuperators,
covering types of recuperators, material selection and manufactur-
ing, thermal-hydraulic characteristics and design optimization
methods. Main conclusions include: (1) Primary-surface recupera-
tors gain the most interest among the discussed types, because of
good compactness and effectiveness; (2) More experimental and
simulation research is suggested, especially on pressure drop and
heat transfer effectiveness, and configuration of heat transfer sur-

Determine system parameters

(mass flow, TIT, pressure ratio, etc.)

Pressure drop and effectiveness

Calculate system efficiency
of recuperator

Structure parameter of
recuperator
([x1,x2, ...xn])
Optimization algorithm
(GA, PSO, etc.)
Calculate recuperator
Characteristic
Yes

Optimum? No
(efficiency, compactness, Iteration<Max.
cost, etc.)

Yes No

Output the optimized results

End

Fig. 9. General flow chart of recuperator optimization.

96 G. Xiao et al. / Applied Energy 197 (2017) 83–99
faces requires more attempts to achieve a high j/f factor with a
stable and reliable performance; (3) Heat transfer optimization
methods have been discussed, such as the entropy generation min-
imization approach, field synergy principle, entransy dissipation
theory and construct al law, which are expect to be improved fur-
ther by experimental and simulation work, and it is noted that
multi-objective optimization methods are worthy of attention,
such as GA, MOGA, PSO, etc.; (4) A framework is suggested for
recuperator to develop optimization approaches by considering
the recuperator criteria and the system efficiency.
A desired recuperator for micro gas turbine requires high heat
transfer effectiveness (>90%), low relative pressure loss (<3%), good
resistance of oxidation and creep at a high temperature (>650 °C),
compact lightweight matrix at low cost, etc. Ceramic recuperators
outperform metallic recuperators in terms of high-temperature
(>870 °C) mechanical and corrosion properties, being expected to
facilitate the overall efficiency approaching 40%. Material selection
and manufacturing process are probably the two main problems
for ceramic recuperators, and considerable effort is still required
to develop mature, reliable and low-cost ceramic recuperators.
Laminated object manufacturing (LOM) is a potential option for
ceramic recuperators, while the reliability and cost are the main
challenges. Micro gas turbines will probably have a great improve-
ment once low-cost and high-reliability ceramic components, like
recuperators and turbine vanes, are developed. A metallic cost-
effective primary-surface recuperator is a currently option for
achieving an efficiency of 30–35%. As to commercial recuperators,
to reducing cost, weight or pressure drop is always an issue.
In addition, adaptable and flexible design of recuperators is
another challenge for micro gas turbines used in distributed and
renewable energy systems. There are a lot of efforts to develop
supercritical CO2 turbines with an efficiency of 40–50%, and recu-
perators for supercritical CO2 become very interesting while less
research is reported now. Meanwhile, 3D printing and printed cir-
cuit heat exchanger technologies deserve more research on manu-
facturing of recuperators, especially for supercritical CO2
recuperators. By the way, with increasing strict requirements on
emissions, recuperators may be coupled with catalytic converters
to further reduce emissions of CO and NOx at a suitable tempera-
ture window (300–600 °C). These new technologies for recupera-
tors will greatly improve the performance of micro gas turbine,
reduce the cost and enhance competitiveness comparing with
other engines, like internal combustion engines and Stirling
engines. We hope some of them will be commercially realized in
the next decade.
Acknowledgements
The authors gratefully acknowledge the support from the
State’s Key Project of Research and Development Plan (NO:
2016YFE0124700).
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