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Heat Transfer and Exergy Analysis of a Spiral Heat Exchanger

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DOI: 10.1080/01457632.2015.1104159

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 Heat Transfer Engineering

ISSN: 0145-7632 (Print) 1521-0537 (Online) Journal homepage: http://www.tandfonline.com/loi/uhte20

Heat Transfer and Exergy Analysis of a Spiral Heat

Exchanger

Duc-Khuyen Nguyen & Jung-Yang San

To cite this article: Duc-Khuyen Nguyen & Jung-Yang San (2016) Heat Transfer and Exergy
Analysis of a Spiral Heat Exchanger, Heat Transfer Engineering, 37:12, 1013-1026, DOI:
10.1080/01457632.2015.1104159

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Oct 2015.
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 Heat Transfer Engineering, 37(12):1013–1026, 2016
Copyright 
C Taylor and Francis Group, LLC
ISSN: 0145-7632 print / 1521-0537 online
DOI: 10.1080/01457632.2015.1104159

Heat Transfer and Exergy Analysis of

a Spiral Heat Exchanger

DUC-KHUYEN NGUYEN and JUNG-YANG SAN

Mechanical Engineering Department, National Chung Hsing University, Taichung, Taiwan
Downloaded by [University of Tennessee, Knoxville] at 21:31 31 March 2016

The heat transfer effectiveness of a countercurrent spiral heat exchanger is expressed as a function of number of transfer units,
ratio of flow capacity rates, number of spiral turns, and dimensionless start-point angle of spiral (dimensionless angular
angle of the start point of a spiral curve constituting the solid wall of the heat exchanger). The heat transfer effectiveness is
weakly dependent on the dimensionless start-point angle of spiral, but moderately increases with the number of spiral turns.
As the number of spiral turns is larger than 20, the heat transfer effectiveness of the spiral heat exchanger approaches that
of a counterflow heat exchanger. The heat transfer effectiveness of the spiral heat exchanger has a maximum. The optimum
number of transfer units at the maximum heat transfer effectiveness increases with the number of spiral turns, whereas it
increases with a decrease of the ratio of flow capacity rates. In the second-law analysis, an optimum hot flow-to-cold flow
capacity-rate ratio is found. For obtaining a large net recovered exergy rate, the spiral heat exchanger needs to possess
a large number of transfer units (greater than 2.0) and operate at a near balanced-flow condition. In addition, a small
consumed mechanical power is demanded.

INTRODUCTION
The spiral heat exchanger is a compact-type heat exchanger.
Its flow pattern can be arranged to be countercurrent, which is
similar to that in a counterflow heat exchanger. In addition, the
spiral channel in the heat exchanger provides the flow with a
high convective heat transfer coefficient. These reasons make it
possess a high heat transfer performance.
The concept of a spiral heat exchanger was first proposed in
the late 19th century. During the 1930s, this device was rein-
vented in Sweden [1]. Since then, much work on spiral-type
heat exchangers has been done by different researchers. Wil-
helmsson [2] introduced applications of spiral heat exchangers.
Sterger et al. [3] analyzed the optimum characteristic parame-
ters for a double-spiral heat exchanger. Wu [4] showed a cal-
culation procedure for constructing the geometric shape of a
spiral heat exchanger. Picón-Núñez et al. [5, 6] proposed a de-
sign methodology for a spiral heat exchanger. Targett et al. [7]
presented fluid temperature distribution in a double-spiral heat
exchanger. Naphon and Wongwises [8] measured average in-
tube heat transfer coefficients in a spiral-coil heat exchanger. Ho
Address correspondence to Professor Jung-Yang San, Mechanical Engi-
neering Department, National Chung Hsing University, 250 Kuo-Kuang Road,
Taichung, Taiwan. E-mail: jysan@dragon.nchu.edu.tw
et al. [9] and Wijeysundera et al. [10] investigated heat transfer
performance of a compact spiral-coil heat exchanger. Bes [11]
used the Laplace transformation method to solve fluid temper-
ature distribution in a spiral heat exchanger. Bes and Roetzel
[12–14] proposed a set of formulas using for determining the
heat transfer performance of a spiral heat exchanger. Burmeister
[15] examined the effect of number of heat transfer units (NTU)
on the heat transfer effectiveness of a spiral-plate heat exchanger.
Adamski [16] measured heat transfer and pressure drop data for
a spiral recuperator in a ventilation system. Rennie and Ragha-
van [17] analyzed heat transfer performance of a double-pipe
helical heat exchanger. San et al. [18] investigated heat trans-
fer characteristics of a serpentine heat exchanger. Salem et al.
[19] obtained a closed-form solution of the ε-NTU relation for
a counterflow heat exchanger. Martin [20] presented empirical
correlations of fluid friction data and Nusselt number for a spiral
heat exchanger.
The heat transfer effectiveness of a heat exchanger (ε) is
defined as the actual heat transfer rate of the heat exchanger di-
vided by the maximum possible heat transfer rate. In the indus-
try, this performance factor is widely used to evaluate thermal
performance of heat exchangers. The heat transfer effective-
ness reflects the amount of thermal energy involved in a heat
exchanger. Nevertheless, due to a lack of consideration of the
consumed pumping power for driving the working fluids, it can-
not be solely used to determine the overall performance of the

1013
 1014 D.-K. NGUYEN AND J.-Y. SAN

heat exchanger. Especially for some waste heat recovery pro-

cesses, the thermal energy recovered by heat exchangers is in-
tended to convert into work or a cooling effect. In this situation,
how efficient the processes are in terms of exergy transfer (trans-
fer of available work) can no longer be fully revealed by the heat
transfer effectiveness. In view of this, a new performance factor
based on the second law of thermodynamics needs to be defined
in order to assess the economic value of the heat exchangers
used in these processes.
Much work on the second-law analysis of heat exchangers
can also be found in the literature. San et al. [21, 22] analyzed
the second-law performance of a two-dimensional regenerator
and a wet cross-flow heat exchanger. Gupta and Das [23] per-
formed a second-law analysis for a cross-flow heat exchanger
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with axial thermal dispersion in one fluid. San and Pai [24] eval-
uated the second-law efficiency of a serpentine heat exchanger.
Wu et al. [25] proposed a second-law-based effectiveness for
evaluating exergy transfer in heat exchangers. Ruan et al. [26] Figure 1 An Archimedes spiral.
investigated exergy transfer in a three-fluid heat exchanger. San
[27] defined an exergy recovery index for evaluating the second-
law performance of heat exchangers. Hadi et al. [28] analyzed
entropy generation induced by free convection in an inclined and ending at ϕo (Figure 1) [30–32] can be expressed as
cavity filled with a porous medium. 
In this work, heat transfer characteristics and exergy recovery  φo  φo  2
dr
performance of a spiral heat exchanger are analyzed. Firstly, the L= ds= r2 + dφ
φi φi dφ
ε-NTU relationship of the heat exchanger is established. In the
literature [3, 7, 11–15, 20], much work on evaluating the heat    
1
transfer effectiveness of spiral heat exchangers can be found. = a φo φ2o + 1 − φi φi2 + 1
However, in those works, the core regions in the heat exchangers 2
were considered to be completely insulated. In this work, this ⎛
⎞⎤
part of heat transfer is considered in the mathematical model φo +
φ2o + 1
for establishing the ε-NTU relationship. Second, in the previous + ln ⎝  ⎠⎦ (2)
work [3, 7, 11–15], at the ratio of flow capacity rates of 1.0 (C φi + φi2 + 1
= 1, balanced-flow condition), a maximum value of the heat
transfer effectiveness was found. In this study, it is intended to The considered spiral heat exchanger is constructed by two
obtain the maximum values of the heat transfer effectiveness Archimedes spirals. The two spirals originate from the same
at various C values. Third, it is also intended to acquire an center point, but they have a phase difference of π. In addition,
optimum operating condition for the heat exchanger used in the numbers of turns (Nt ) of the two spirals are the same. A spiral
waste heat recovery. At this optimum operating condition, the heat exchanger of this type with Nt = 3.0 is shown in Figure 2.
heat exchanger is capable of recovering a maximum amount of In Figure 2, the two spirals constructing the heat exchanger cor-
exergy from the waste heat source. respond to two independent curvilinear coordinates, φh and φc ,
respectively. The two coordinates also have a phase difference
of π. As shown in the figure, the angles at the start points of
the two spirals are the same (φh,i = φc,i ) and the angles at the
THE ARCHIMEDES SPIRAL end points are also the same (φh,o +π = φc,o +π). Hence, in
Figure 2, after the spiral represented by a solid line rotates with
The trajectory of an Archimedes spiral (Figure 1) can be an angle of π, it will overlap with the spiral represented by a
expressed as [29] dashed line.
Equation (2) can be used to evaluate the heat transfer area in
r = aφ (1) the spiral heat exchanger as [4]

where r and ϕ are the radius and angular angle of a point on At = (L inner + L outer ) H = 2L H
the spiral respectively; a is a constant that represents the rate of   
change of radius.
= (H a) φo φ2o + 1 − φi φi2 + 1
Using Eq. (1), the arc length of the spiral starting from ϕi
heat transfer engineering vol. 37 no. 12 2016
 D.-K. NGUYEN AND J.-Y. SAN 1015
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Figure 2 Schematic of a spiral heat exchanger with Nt = 3.0.

⎛
⎞⎤
φo +
φ2o + 1
+ ln ⎝  ⎠⎦ (3)
φi + φi2 + 1 Figure 3 Control volume for hot flow.

where φh,o = φc,o ≡ φo and φh,i = φc,i ≡ φi .

In Figure 2, the spacing (W) between the solid line and the equations for the hot flow in the innermost half turn, intermittent
dashed line is the channel width of the heat exchanger. Using turns, and outermost half turn can be individually expressed as
Eq. (1), the W value can be derived as [15] [3]:

W = aπ (4) (i) In intermittent turns [φh,i ≤ φh < (φh,o − π)],

In Eq. (4), it is shown that the W value determines the rate
−(ṁc p )h dTh,φh = U dAφh (Th,φh − Tc,φc −π )
of change of radius (a) of the spirals.
+U dAφc +π (Th,φh − Tc,φc +π ) (5)
ENERGY EQUATIONS where
At
2
In the spiral heat exchanger, a hot fluid flows counterclock- dAφh = (H ds)φh = r + a 2 dφh
wise from the central region (core) to the outer region (environ- 2L
ment), while a cold fluid flows clockwise from the outer region 
At
to the central region. In the central region, a partition is used = a φ2h + 1dφh
to prevent the hot flow to mix up with the cold flow. A one- 2L
dimensional heat transfer model is developed for solving the dAφc +π = dAφh +π = (H ds)φh +π
hot-flow and cold-flow temperature distributions. In the model,
the central region of the hot/cold flow channel is considered to At

be a half turn of the channel (innermost half turn). In addition, = a (φh + π)2 + 1dφh
2L
the central partition between the hot and cold flows is assumed
to be insulated, while the outermost half turns of the two walls After arrangement, Eq. (5) can be expressed as
 
a 
are also considered to be insulated. If so, either the hot flow or  
dTh,φh
the cold flow can be divided into three different heat transfer re- = NTUh φ2h + 1 Tc,φc −π − Th,φh
gions (i.e., innermost half turn, intermittent turns, and outermost dφh 2L
half turn).  
 
+ (φh + π) + 1 Tc,φc +π − Th,φh
2
(6)
Energy Balance for Hot Flow
(ii) In the innermost half turn [(φh,i − π) ≤ φh < φh,i ]
The control volume for the hot flow in the hot-flow channel dTh,φh  a 
= NTUh
is shown in Figure 3. Based on the energy balance, the energy dφh 2L
heat transfer engineering vol. 37 no. 12 2016
 1016 D.-K. NGUYEN AND J.-Y. SAN
 
  Dimensionless Energy Equations for (ṁc p )h ≤ (ṁc p )c
× (φh + π)2 + 1 Tc,φc +π − Th,φh (7)
Hot Flow
with initial condition Th,φh (φh = φh,i − π) = Th,in .
(i) For (φ∗h,i − 1/2) ≤ φ∗h < φ∗h,i ,
(iii) In the outermost half turn [(φh,o − π) ≤ φh ≤ φh,o ],
 
  dθh,φ∗h NTU
dTh,φh  a    =
= NTUh φ2h + 1 Tc,φc −π − Th,φh (8) dφ∗h L∗
dφh 2L
⎡ ⎤
 2
1 1  
×⎣ φ∗h + + θc,φ∗c +1/2 − θh,φ∗h ⎦
2 4π2

Energy Balance for Cold Flow

(12)
 ∗ 
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Similar to the procedure just shown, the energy equations

with initial condition θh,φ∗h φ = φ∗h,i − 1/2 = 1.
for the cold flow in the innermost half turn (central region),
(ii) For φ∗h,i ≤ φ∗h < (φ∗h,o − 1/2),
intermittent turns, and outermost half turn can also be derived
and expressed as [3]:   
dθh,φ∗h NTU  ∗ 2 1  
∗ = ∗
φh + 2
θc,φ∗c −1/2 − θh,φ∗h
dφh L 4π
(i) In intermittent turns [φc,i ≤ φc < (φc,o − π)],
 ⎤
  2
dTc,φc 1 1  
∗ a + φ∗h + + θc,φ∗c +1/2 − θh,φ∗h ⎦
= NTUh (C ) φ2c + 1(Th,φh −π − Tc,φc )
dφc 2L 2 4π2


+ (φc + π)2 + 1(Th,φh +π − Tc,φc ) (9) (13)

(iii) For (φ∗h,o − 1/2) ≤ φ∗h ≤ φ∗h,o ,

where C ∗ = (ṁc p )h /(ṁc p )c .
(ii) In the innermost half turn [(φc,i − π) ≤ φc < φc,i ],<εθ>  
dθh,φ∗h NTU
=
dφ∗h L∗
dTc,φc a
= NTUh (C ∗ )  
dφc 2L
 ∗ 2 1  

 × φh + θc,φ∗c −1/2 − θh,φ∗h (14)
4π2
× (φc + π)2 + 1(Th,φh +π − Tc,φc ) (10)

(iii) In the outermost half turn [(φc,o − π) ≤ φc < φc,o ],

Cold Flow
dTc,φc a
= NTUh (C ∗ ) (i) For (φ∗c,i − 1/2) ≤ φ∗c < φ∗c,i ,
dφc 2L
 
  dθc,φ∗c NTU
= C
× φc + 1(Th,φh −π − Tc,φc )
2 (11) dφ∗c L∗
⎡ ⎤
 2
with initial condition Tc,φc (φc = φc,o ) = Tc,in . 1 1  
×⎣ φ∗c + + θh,φ∗h +1/2 − θc,φ∗c ⎦
2 4π2

(15)
DIMENSIONLESS ENERGY EQUATION
where C = (ṁc p )min /(ṁc p )max = (ṁc p )h /(ṁc p )c .
The energy equations for the hot and cold flows are con- (ii) For φ∗c,i ≤ φ∗c < (φ∗c,o − 1/2),
verted into dimensionless forms, respectively. For convenience   
of the analysis, two different operations ((ṁc p )h ≤ (ṁc p )c and dθc,φ∗c NTU  2 1  
= C φ∗c + θh,φ∗h −1/2 − θc,φ∗c
(ṁc p )c ≤ (ṁc p )h ) are separately considered. dφ∗c L∗ 4π2
heat transfer engineering vol. 37 no. 12 2016
 D.-K. NGUYEN AND J.-Y. SAN 1017

 ⎤
 2 Cold Flow
1 1  
+ φ∗c + + θh,φ∗h +1/2 − θc,φ∗c ⎦ (16)
2 4π2 (i) For (φ∗c,i − 1/2) ≤ φ∗c < φ∗c,i ,
 
dθc,φ∗c NTU
(iii) For (φ∗c,o − 1/2) ≤ φ∗c ≤ φ∗c,o , =
dφ∗c L∗
 
dθc,φ∗c NTU ⎡ ⎤
= C  2
dφ∗c L∗ 1 1  
×⎣ φ∗c + + θh,φ∗h +1/2 − θc,φ∗c ⎦
2 4π2
 
 2 1  
× φ∗c + θh,φ∗h −1/2 − θc,φ∗c (17)
4π2 (21)
  (ii) For φ∗c,i ≤ φ∗c < (φ∗c,o − 1/2),
with initial condition θc,φ∗c φ∗c = φ∗c,o = 0.
  
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dθc,φ∗c NTU  2 1  
= φ∗c + θh,φ∗h −1/2 − θc,φ∗c
dφ∗c L∗ 4π2
Dimensionless Energy Equations for (ṁc p )h ≥ (ṁc p )c
 ⎤
 2
1 1  
Hot Flow + φ∗c + + θh,φ∗h +1/2 − θc,φ∗c ⎦
2 4π2
(i) For (φ∗h,i − 1/2) ≤ φ∗h < φ∗h,i ,
  (22)
dθh,φ∗h NTU
= C
dφ∗h L∗ (iii) For (φ∗c,o − 1/2) ≤ φ∗c ≤ φ∗c,o ,
⎡ ⎤  
 2 dθc,φ∗c NTU
1 1   =
×⎣ φ∗h + + θc,φ∗c +1/2 − θh,φ∗h ⎦ dφ∗c L∗
2 4π2
 
 2 1  
(18) × φ∗c + θh,φ∗h −1/2 − θc,φ∗c (23)
4π2
 
with initial condition θh,φ∗h φ∗h = φ∗h,i − 1/2 = 1, where with initial condition θc,φ∗c (φ∗c = φ∗c,o ) = 0.

C = (ṁc p )min /(ṁc p )max = (ṁc p )c /(ṁc p )h Heat Transfer Effectiveness (ε)

(ii) For φ∗h,i ≤ φ∗h < (φ∗h,o − 1/2), The heat transfer effectiveness of the spiral heat exchanger is
   defined as the actual heat transfer rate divided by the maximum
dθh,φ∗h NTU  ∗ 2 1   possible heat transfer rate as [33]
= C φh + θc,φ∗c −1/2 − θh,φ∗h
dφ∗h L ∗ 4π 2
(ṁc p )c (Tc,out − Tc,in )
ε=
 ⎤ (ṁc p )min (Th,in − Tc,in )
 2
1 1  
+ φ∗h + + θc,φ∗c +1/2 − θh,φ∗h ⎦(19) (ṁc p )h (Th,in − Th,out )
2 4π2 = (24)
(ṁc p )min (Th,in − Tc,in )
(iii) For (φ∗h,o − 1/2) ≤ φ∗h ≤ φ∗h,o ,
  i. For (ṁc p )min = (ṁc p )h ,
dθh,φ∗h NTU
= C ε = 1 − θh,out = θc,out /C (25)
dφ∗h L∗
  ii. For (ṁc p )min = (ṁc p )c ,
 ∗ 2 1  
× φh + θc,φ∗c −1/2 − θh,φ∗h (20) ε = θc,out = (1 − θh,out )/C (26)
4π2

heat transfer engineering vol. 37 no. 12 2016

 1018 D.-K. NGUYEN AND J.-Y. SAN

In Eqs. (12)–(23), L ∗ denotes the dimensionless length of
the wall. The L ∗ value can be calculated by using the φi∗ and
Nt values. Hence, the NTU, C, φi∗ , and Nt are the characteristic
parameters determining the heat transfer performance of the
spiral heat exchanger. In the four parameters, the dimensionless
start-point angle of spiral (φi∗ ) is found to be a weak factor
affecting the heat transfer effectiveness (ε). As the φi∗ value
increases from 2 to 20, at Nt = 3 and NTU ≤ 10, the deviation
in the ε value is less than 0.72%; at Nt = 20 and NTU ≤ 10, it
is less than 0.38%. In this work, the φi∗ value is fixed at 2.0.
Numerical Analysis
The forward finite-difference scheme is used to discretize
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For ideal gas flow, c = c p ; for incompressible flow,
c = cv .
The calculation of the exergy rate needs to be based on a
common reference state at which the fluid is unable to do further
work. The atmospheric condition is generally selected as the
reference state, which is also known as the dead state. In Eq.
(27), T0 denotes the dead-state temperature or the atmospheric
temperature, while FP represents the pressure-drop factor of
the flow. For ideal gas flow, the FP can be expressed as FP =
[1 − (1/κ)][ln(1 + P/Pout )]; for incompressible flow, it can
be expressed as FP = P/(ρcv T0 ), where P stands for the
pressure drop of the flow (Pin − Pout ). In Eq. (27), the first term
on the right-hand side represents the thermal exergy change
rate in the flow, while the second term represents the consumed

mechanical exergy rate.

the differential energy equations. In the numerical scheme, ev-
ery turn of the hot-flow/cold-flow channel is divided into n
segments. In other words, there are (n + 1) node points or fi-
nite difference equations in each turn. Based on the successive Net Recovered Exergy Rate
iteration technique, a Fortran computer program is written for
solving the finite-difference equations. The computer program The spiral heat exchanger is considered to be used for recov-
is set to stop until the deviation in each fluid nodal temperature ering waste heat. The net recovered exergy rate of the heat ex-
.
between two consecutive iteration loops is less than 10−8. changer, ( E X )net , is defined as the recovered thermal exergy
rate in the cold flow subtracting the total consumed mechani-
Error Analysis cal exergy rate in the hot and cold flows. Using Eq. (27), it is
expressed as [27]
For knowing the effect of n and Nt values on the accuracy . . .
of the numerical result, different n and Nt values are tested and ( E X )net = ( E X )ther mal − ( E X )mech
the error in the energy balance between the cold and hot flows   
for each case is calculated. The error tends to decrease with Tc,out − Tc,in Tc,out
= (ṁc)c T0 − ln
an increase of the n and Nt values. In this work, the n value T0 Tc,in
is selected to be 200. At this n value, the errors in the energy
balance for all the considered cases are less than 1%. − (ṁc)h T0 Fp,total (28)

where
SECOND-LAW ANALYSIS 
FP,total ≡ FP,c C ∗ + FP,h
Exergy Change Rate in a Flow
C ∗ ≡ (ṁc)h /(ṁc)c
The heat exchange process in the spiral heat exchanger in-
volves a transfer of thermal energy from the hot flow to the and for ideal gas flow, c = c p ; for incompressible flow, c = cv .
.
cold flow and a consumption of mechanical energy (P) for Using Eqs. (25) and (26), the ( E X )net values at
driving the working fluids. For assessing the economic value of (ṁc)min = (ṁc)c and (ṁc)min = (ṁc)h are expressed respectively
the heat exchanger, the two different forms of energy (thermal as:
energy and mechanical energy) are converted into a common
basis: exergy. The exergy change rate in the hot/cold flow is the (i) At (ṁc)min = (ṁc)c ,
difference in the exergy rate of the fluid between the inlet and
.
the outlet. It is expressed as [27] ( E X )net
. ψnet ≡ = ψther mal − ψmech
( E X ) = E X .out − E X in
.
= ṁ (h − T0 s) (ṁc)h T0
       ∗ 
Tout − Tin Tout 1  ∗ ∗
 θh
= (ṁc) T0 − ln = ε θh − θc − ln 1 + ε ∗ − 1
T0 Tin C∗ θc

− (ṁc) T0 FP (27) −Fp,total (29)

heat transfer engineering vol. 37 no. 12 2016


(ii) At (ṁc)min = (ṁc)h ,
ψnet = ψther mal − ψmech
    ∗
  1 ∗ θh
=ε θ∗h − θ∗c − ln 1 + εC
C∗
−Fp,total
where θ∗c ≡ Tc,in /T0 , θ∗h ≡ Th,in /T0 .
In Eqs. (29) and (30), the dimensionless recovered thermal
exergy rate (ψther mal ) of the spiral heat exchanger is expressed
as a function of the ε, θ∗c , θ∗h , and C∗ values. As indicated earlier,
the ε value can be presented as a function of the NTU, C, Nt ,
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and φi∗ values, and it can also be expressed as a function of
the NTUh , C∗ , Nt , and φi∗ values. Hence, as long as the NTUh ,
C∗ , Nt , θ∗c , θ∗h , and φi∗ values are specified, the ψther mal value is
determined. Subtracting the ψmech value from the ψther mal value
yields the dimensionless net recovered exergy rate (ψnet ). From
the derivation, it is also known that the ψmech value is equal to
the Fp,total value.
RESULTS AND DISCUSSIONS
The temperature distributions of the hot flow and cold flow
in the spiral heat exchanger (C = 1.0, Nt = 10, and φi∗ = 2.0) at
NTU = 2 and 10 are shown in Figures 4 and 5, respectively. By
comparing Figures 4 and 5, it is known that as the NTU value
increases, the temperature difference between the cold flow and
the hot flow decreases. In Figures 4 and 5, it is also shown
that either the hot flow or the cold flow can be divided into
Figure 4 Temperature distributions at NTU = 2.0.
heat transfer engineering
D.-K. NGUYEN AND J.-Y. SAN 1019

−1
θ∗c
(30)
Figure 5 Temperature distributions at NTU = 10.
three regions with different heat transfer characteristics (i.e.,
innermost half turn, intermittent turns, and outermost half turn).
In the intermittent turns (region 2 in Figures 4 and 5), the hot
flow exchanges heat with the cold flow through the channel
walls on its inner side and outer side; similarly, the cold flow
also exchanges heat with the hot flow through the channel walls
on both sides. However, in the innermost half turn (region 1) and
the outermost half turn (region 3), only one side of the channel
has heat transfer. Hence, the heat transfer characteristic in these
two regions is slightly different from that in the intermittent
turns.
The ε values at various C, NTU, and Nt values are pre-
sented in Table 1. As shown, at C = 0, the ε value of the spiral
heat exchanger slightly increases with the Nt . For instance, at
NTU = 4.0 and C = 1.0, the ε value for Nt = 3 is 0.739;
at the same NTU and C values, the ε value for Nt = 20 is
0.798. The effect of Nt value on the ε value increases with
the NTU and C values. At small NTU and C values, the ef-
fect of Nt value on the ε value is small. At C = 0, despite the
Nt value, the ε value is the same as that of a condenser or an
evaporator [33].
The ε-NTU relationship of the spiral heat exchanger is pre-
sented in Figures 6—9. In an earlier work done by Bes [11], at
C = 1, a maximum heat transfer effectiveness was found. This
phenomenon was also mentioned by other researchers in their
studies [3, 7, 12—15]. In this work, the maximum heat transfer
effectiveness also appears in our result. As shown in Figure 6,
at a set of C and Nt values, initially the ε value considerably
increases with the NTU value. As the NTU value is increased to
an optimum value, the ε value reaches a maximum. After that,
a further increase of the NTU value causes a slight decrease
of the ε value. The optimum NTU value increases moderately
increases with a decrease of the C value, whereas it increases
vol. 37 no. 12 2016
 1020 D.-K. NGUYEN AND J.-Y. SAN

Table 1 ε values at various NTU, C, and Nt values

Nt
NTU C 3 6 10 20

0.5 0 0.394 0.394 0.394 0.394

0.25 0.377 0.378 0.378 0.378
0.5 0.362 0.362 0.362 0.362
0.75 0.347 0.347 0.347 0.348
1 0.332 0.333 0.333 0.333
1.0 0 0.632 0.632 0.632 0.632
0.25 0.597 0.598 0.598 0.598
0.5 0.561 0.564 0.564 0.565
0.75 0.527 0.530 0.531 0.532
1 0.494 0.498 0.499 0.500
2.0 0 0.865 0.865 0.865 0.865
0.25 0.816 0.821 0.822 0.823
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0.5 0.761 0.770 0.773 0.774

0.75 0.702 0.716 0.719 0.721
1 0.644 0.660 0.664 0.666
4.0 0 0.982 0.982 0.982 0.982
0.25 0.949 0.958 0.961 0.962
0.5 0.894 0.917 0.923 0.926
0.75 0.821 0.856 0.866 0.871
1 0.739 0.780 0.791 0.798 Figure 7 ε-NTU relationship at Nt = 6.
8.0 0 1.000 1.000 1.000 1.000
0.25 0.987 0.996 0.997 0.998
0.5 0.941 0.979 0.986 0.990 A comparison between the ε value of a counter-flow heat
0.75 0.858 0.929 0.949 0.958 exchanger (dashed lines) [33] and that of the spiral heat ex-
1 0.760 0.843 0.868 0.883 changer (solid lines) is also shown in Figures 6–9. At small Nt
values (Nt ≤ 6.0), the ε value of the spiral heat exchanger is
apparently smaller than that of the counterflow heat exchanger.
considerably increases with the Nt value. For Nt = 3 (Figure 6), However, the deviation decreases with an increase of the Nt
the optimum NTU values at C = 1.0, 0.75, and 0.5 are 6.9, 7.9, value. At Nt = 10 (Figure 8), this deviation becomes quite
and 9.7, respectively; for Nt = 6 (Figure 7), the optimum NTU small; at Nt = 20 (Figure 9), the ε value of the spiral heat
values at C = 1.0, 0.75, and 0.5 are increased to 13.1, 15.2, and exchanger is almost the same as that of the counterflow heat
18.5, respectively. exchanger.

Figure 6 ε-NTU relationship at Nt = 3. Figure 8 ε-NTU relationship at Nt = 10.

heat transfer engineering vol. 37 no. 12 2016

 D.-K. NGUYEN AND J.-Y. SAN 1021
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Figure 9 ε-NTU relationship at Nt = 20. Figure 10 Comparison of ε values at φi∗ = 2.5 and Nt = 9.25.

the recovered thermal exergy rate. In Figures 12–14, the dot-

In addition to the Nt value, the C and NTU values are also
dashed lines represent the loci of the maximum ψnet at Fp,h =
factors affecting the deviation in the ε value between the coun-
Fp,c = 0.0001, 0.001, and 0.01, respectively. As shown, the
terflow heat exchanger and the spiral heat exchanger. For a set
optimum C∗ value (Copt ∗
) at the maximum ψnet decreases with
of Nt and NTU values, the deviation increases with the C value. ∗
an increase of the NTUh value. At NTUh > 2, the Copt value is
At C = 1.0, it reaches a maximum. The deviation also increases
close to 1.0.
with the NTU value, but it is remarkable only at large NTU
A comparison between the ψnet value of a counterflow heat
values. In Figure 6, it is shown that at Nt = 3.0, NTU = 8.0, and
exchanger (dashed lines) and that of the spiral heat exchanger
C = 1.0, the deviation is 12.9%, which is also the maximum
(solid lines) is also shown in Figures 11–14. The ψnet value
deviation at Nt ≥ 3 and NTU ≤ 8.0.
of the spiral heat exchanger appears to be slightly smaller than
A comparison between our predicted ε value (C = 1.0) and
the data presented in the literature is shown in Figure 10. Our
result appears to match well with the data obtained by Strenger
et al. [3] and Bes and Roetzel [13]. At NTU ≤ 10, the deviation
between our result and the data obtained by Burmeister [15]
is also small. But as NTU > 10, this deviation significantly
increases with the NTU value. Burmeister’s data were calculated
using an approximate series solution. At large NTU values, this
solution might have lost its accuracy.
The ψther mal values at θ∗h = 1.8 and θ∗c = 1.0 are shown in
Figure 11. The ψther mal value tends to increase with the NTUh
value. At ψmech = 0, the ψther mal value equals the dimensionless
net recovered exergy rate (ψnet ) of the heat exchanger.
The ψnet values at Fp,c = Fp,h = 0.0001, 0.001, and 0.01
are shown in Figures 12–14, respectively. In the three figures, the
θ∗h and θ∗c values are fixed at 1.8 and 1.0, respectively. As shown,
at a fixed NTUh value, the heat exchanger has a maximum ψnet .
To the left of the maximum, a decrease of the C∗ value can be
viewed as an increase of the cold-flow capacity rate ((ṁc p )c ).
This causes a descent of the cold-fluid temperature at the exit.
Thus the recovered thermal exergy rate is decreased. To the
right of the maximum, an increase of the C∗ value means a
decrease of the (ṁc p )c value. This also results in a decrease of Figure 11 ψther mal at θ∗h = 1.8 and Nt = 10.

heat transfer engineering vol. 37 no. 12 2016

 1022 D.-K. NGUYEN AND J.-Y. SAN
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Figure 12 ψnet at θ∗h = 1.8 and FP,h = FP,c = 0.0001.
that of the counterflow heat exchanger. The deviation in the ψnet
value between the two heat exchangers increases with the NTUh
∗
value, while the maximum deviation occurs at the Copt value.
∗ ∗
The Copt and ψnet values at various θh , NTUh and Fp,h (or
∗
Fp,c ) values are presented in Table 2. The Copt value is slightly
∗
affected by the θh and Fp,h (or Fp,c ) values, whereas it varies
∗
remarkably with the NTUh value. At NTUh < 2, the Copt value
increases dramatically with a decrease of the NTUh value; at
NTUh ≥ 4, it is almost invariant with the NTUh value. In Ta-
ble 2, it is also shown that the maximum ψnet value significantly
decreases with the θ∗h value. At small θ∗h values and large Fp,h
Figure 13 ψnet at θ∗h = 1.8 and FP,h = FP,c = 0.001.
heat transfer engineering
Figure 14 ψnet at θ∗h = 1.8 and FP,h = FP,c = 0.01.
(or Fp,c ) values (i.e., θ∗h = 1.2 and Fp,h = 0.01), the ψnet
value could turn into a negative value.
For using the spiral heat exchanger in a waste heat recovery
process, if the thermal energy recovered by the heat exchanger
is intended to convert into work or a cooling effect, the ψnet
value needs to be positive and it should be designed to be as
large as possible. From an economic viewpoint, a large ψnet
value implies a short payback period of the utility cost for the
process. From Table 2, it can be known that for obtaining a large
net recovered exergy rate (ψnet ), the NTUh value of the heat ex-
changer needs to be larger than 2.0 and the heat exchanger needs
to operate at a near balanced-flow condition ((ṁc p )h ≈ (ṁc p )c
or NTUh ≈ NTU). In addition, for recovering low-grade ther-
mal energy (small θ∗h values), a small ψmech value is highly
demanded for avoiding the occurrence of a negative net recov-
ered exergy rate. A negative net recovered exergy rate means
the consumed mechanical exergy rate (i.e., power consumption
of fans or pumps) is larger than the recovered thermal exergy
rate.
In many engineering applications, both the hot-flow capacity
rate and the cold-flow capacity rate are specified. Under this
circumstance, the C∗ value is fixed and thus the heat exchange
∗
process won’t be able to operate at the Copt value. However,
in some engineering applications, the flow capacity rate of the
hot fluid (heat source) is specified, whereas the flow capacity
rate of the cold fluid can be selected. For instance, consider a
heat exchanger that is used to recover waste heat from a flue gas
that is exhausted from a thermal system. The thermal energy
recovered by the heat exchanger then is input into an engine
operating with the organic Rankine cycle (ORC) to produce
electricity. In this case, the hot-flow capacity rate (flow capacity
rate of the flue gas) is fixed whereas the size of the ORC engine
can be selected to meet the requirement for obtaining the Copt ∗
vol. 37 no. 12 2016
 D.-K. NGUYEN AND J.-Y. SAN 1023

Table 2 Optimum C∗ values at Nt = 10 and θ∗c = 1.0

Fp,c = Fp,h = 0.0001

NTUh θ∗h = 1.2 θ∗h = 1.8 θ∗h = 2.4
ψnet ∗
Copt ψnet ∗
Copt ψnet ∗
Copt

0.5 0.0030 3.0 0.040 2.7 0.105 2.4

1 0.0053 1.9 0.069 1.7 0.179 1.5
2 0.0082 1.3 0.106 1.2 0.273 1.1
4 0.0112 1.1 0.142 1.02 0.362 0.96
8 0.0133 1.02 0.167 0.97 0.422 0.93
0.5 0.0018 3.4 0.039 2.7 0.104 2.4
1 0.0039 2.0 0.068 1.7 0.178 1.5
2 0.0067 1.4 0.105 1.2 0.271 1.1
4 0.0095 1.1 0.141 1.02 0.360 0.97
8 0.0116 1.04 0.165 0.97 0.420 0.93
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0.5 −0.0091 6.3 0.027 3 0.091 2.6

1 −0.0084 3.6 0.054 1.8 0.163 1.6
2 −0.0073 2.3 0.089 1.3 0.254 1.2
4 −0.0061 1.6 0.123 1.07 0.342 0.99
8 −0.0051 1.3 0.147 0.99 0.401 0.94

value (i.e., the size of the ORC engine determines the cold- 0.01 m and H = 0.11 m were obtained. The correlation of the
∗
flow capacity rate). Operating at the Copt value, more exergy heat transfer data was expressed in the following form:
can be extracted from the flue gas and thus more exergy can be
N u = 0.003025Re + 18.4 for 3209 ≤ Re ≤ 14932 (31)
delivered to the ORC engine. Consequently, a maximum amount
of electricity is produced in the process. Equation (31) is used to calculate the Nu values for the hot
and cold flows in the channels of the heat exchanger. It is worth
mentioning that the channel aspect ratio (H/W) in this exam-
ple is different from that established by Eq. (31). A different
NUMERICAL EXAMPLE channel aspect ratio could result in a deviation in the Nu value.
However, in these two cases, the channel aspect ratios are quite
A numerical example using the acquired ε-NTU relation- large, which could make the deviation in the Nu value be small.
ship to predict the heat transfer performance of a spiral heat
exchanger is illustrated. The number of turns of the spiral (Nt ) Table 3 Geometric parameters and operating conditions of a spiral heat
constructing the heat exchanger is 6 and the dimensionless start- exchanger
ing angle (φ∗h,i = φ∗c,i ) is 4. In addition, the channel width (W) is
Geometric Number of turns (Nt ) 6
0.011 m and the channel height (H) is 0.3 m. From a geometric
parameters Dimensionless starting angle (φi∗ ) 4
calculation, the length of the spiral wall (L) and the total heat Channel width (W) 0.011 m
transfer area of the heat exchanger (2LH) are estimated to be Channel height (H) 0.3 m
5.13 m and 3.08 m2, respectively. Length of the spiral wall (L) 5.13 m
The heat exchanger recovers waste heat from a flue gas at Total heat transfer area (At ) 3.08 m2
Channel hydraulic diameter (Dh ) 0.0212 m
temperature of 453.15 K and volumetric flow rate of 4 m3/min.
Operating (i) Hot-flow (flue gas) side
The inlet temperature and volumetric flow rate of the cold flow conditions Inlet temperature 453.15 K
(air) are 298.15 K (environmental temperature) and 2.5 m3/min, Volumetric flow rate at inlet 4.0 m3/min
respectively. The thermal energy acquired by the cold flow is Density at inlet (ρ f ) 0.8 kg/m3
intended to regenerate a desiccant wheel, which is incorporated Mass flow rate (ṁ f ) 0.0533 kg/s
Average specific heat (c p, f ) 1122 J/kg-K
with a vapor-compression type air conditioner to form a hybrid
Average thermal conductivity (k f ) 0.0343 W/m-K
air-conditioning system (using the desiccant wheel for dehumid- Average kinematic viscosity (μ f ) 2.5 × 10−5 kg/m-s
ification and using the vapor-compression type air conditioner (ii) Cold-flow (air) side
for cooling). A detailed specification of the geometric parame- Inlet temperature 298.15 K
ters and operating conditions of the heat exchanger is listed in Volumetric flow rate at inlet 2.5 m3/min
Density at inlet (ρa ) 1.18 kg/m3
Table 3.
Mass flow rate (ṁ a ) 0.0492 kg/s
In order to calculate the NTU value, the average convective Average specific heat (c p,a ) 1007 J/kg-K
heat transfer coefficients for the hot and cold flows (hf and ha ) Average thermal conductivity (ka ) 0.0317 W/m-K
need to be known. In an earlier experimental work [34], the Average kinematic viscosity (μa ) 2.21 × 10−5 kg/m-s
heat transfer data for an airflow in a spiral channel with W =
heat transfer engineering vol. 37 no. 12 2016
 1024 D.-K. NGUYEN AND J.-Y. SAN

Hence, the Nu value evaluated by using Eq. (31) should be still 13719, it is 0.0263. Using the data, the pressure drops of the
valid for roughly predicting the heat transfer performance of airflow and flue-gas flow are estimated to be
the heat exchanger. For accurately predicting the heat transfer   
performance, the Nu value needs to be calculated by using a L ρa u a2
(P)a = f a = 591Pa = 60.3mm − H2 O
correlation equation not only with the Re, but also with the di- Dh 2
mensionless channel geometry as the characteristic parameters.
Using the specified values shown in Table 3, the convective (P) f = 1038Pa = 105.8mm − H2 O
heat transfer coefficients on the air side (ha ) and flue gas side
Following these, the FP,a and FP, f values are calculated
(hf ) are evaluated as:
to be 0.00166 and 0.00291, respectively. These two values yield
an overall pressure drop factor (FP,total ) of 0.0043. Then using
(i) Cold-flow (air) side: Eq. (29), the dimensionless net recovered exergy rate (ψnet )
and the net recovered exergy rate input into the hybrid air-
ρa u a Dh ṁ a Dh conditioner system are found to be 0.0496 and 884.6 W, respec-
Rea = = = 14307, N u a = 61.68
μa μa (W H ) tively.
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N u a ka 
ha = = 92.1W m 2 −K
Dh CONCLUSIONS
(ii) Hot-flow (flue gas) side:
From the result of the analysis, it is known that the φi∗ value
is a weak factor affecting the ε value. At C = 0, the ε value
ṁ f Dh
Re f = = 13719, N u f = 60 increases with the Nt value; at C = 0, despite the Nt value, the
μ f (W H ) ε value is the same as that of a condenser or an evaporator.
The deviation in the ε value between the spiral heat exchanger
Nu f k f
hf = = 96.8W/m2 −K and a counterflow heat exchanger decreases with an increase of
Dh the Nt value. At Nt ≥ 10, the deviation is small. In addition
to the Nt value, the deviation also increases with the C and
The overall heat transfer coefficient (U) between the cold NTU values. At Nt ≥ 3 and NTU ≤ 8.0, the maximum devi-
flow and the hot flow is estimated by using the hf and ha values. ation in the ε value is 12.9%. The maximum deviation occurs
Neglecting the solid-conduction (wall) effect, the U value is at C = 1.
equal to For a set of C and Nt values, the spiral heat exchanger has
a maximum ε value. The optimum NTU value at the maximum
1 ε value moderately increases with a decrease of the C value,
U≈   = 47.2W/m2 −K
(1 h a ) + (1 h f ) whereas it significantly increases with the Nt value. At Nt > 3,
the optimum NTU value is larger than 6.9.
Then the NTU, C, and C∗ values of the heat exchanger are In a waste heat recovery process, as the thermal energy re-
evaluated as covered by the heat exchanger is intended to convert into work
U At U At or a cooling effect, the dimensionless recovered thermal exergy
NTU ≡ = = 2.93,
(ṁc p )min (ṁc p )a rate (ψther mal ) needs to be larger than the dimensionless con-
sumed mechanical exergy rate (ψmech ). Subtracting the ψmech
(ṁc p )min (ṁc p )a value from the ψther mal value yields the dimensionless net re-
C≡ = = 0.827 covered exergy rate (ψnet ). The ψnet value can be used to assess
(ṁc p )max (ṁc p ) f
the economic value of the heat exchanger used in the waste heat
(ṁc p )h (ṁc p ) f recovery process. A larger ψnet value implies a shorter payback
C∗ ≡ = = 1.21 period of the utility cost for the process.
(ṁc p )c (ṁc p )a
The ψnet value significantly decreases with the θ∗h value. At
Using the NTU and C values, the heat transfer effectiveness small θ∗h values, as the ψmech value is large, the ψnet value could
(ε) of the heat exchanger is found to be 0.78 (Figure 7). Next, turn into a negative value. This would make the heat recovery
the exit temperatures of the air and flue gas are calculated to be process become meaningless.
419.05 K and 353.12 K, respectively. From the exit temperature A maximum ψnet is found. The optimum C∗ value (Copt ∗
)
∗
of the air, it can be known that the thermal energy recovered by at the maximum ψnet decreases with an increase of the θh and
∗
the heat exchanger is 5990 W. NTUh values. At NTUh > 2, the Copt value is close to 1.0. For
The pressure drops of the hot and cold flows can also be obtaining a large net recovered exergy rate, the NTUh value
calculated using previously acquired fluid friction data [34]. At of the spiral heat exchanger needs to be greater than 2.0 and
Rea = 14307, the Darcy friction factor (f) is 0.026; at Ref = the spiral heat exchanger needs to operate at a near balanced-
heat transfer engineering vol. 37 no. 12 2016
 D.-K. NGUYEN AND J.-Y. SAN 1025

flow condition. In addition, at small θ∗h values, a low consumed θ∗h Th,in /T0
mechanical power is highly demanded. κ specific heat ratio, c p /cv
μ kinematic viscosity, kg/m-s
ρ density, kg/m3
FUNDING φ spiral-direction coordinate, radians
φ∗ dimensionless spiral-direction coordinate, φ/2π
The authors thank the National Science Council of the Re- ψmech dimensionless total consumed mechanical exergy rate
public of China for financial support of this research (NSC-100- ψnet dimensionless net recovered exergy rate
2221-E-005-077). ψther mal dimensionless recovered thermal exergy rate

NOMENCLATURE Subscripts

a radius change rate of Archimedes spiral, m 0 reference state

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At total heat transfer area of heat exchanger, m2 a air

cp constant-pressure specific heat, kJ/kg-K c cold flow
cv constant-volume specific heat, kJ/kg-K f flue gas
C ratio of flow capacity rates, (ṁc p )min /(ṁc p )max h hot flow
C∗ hot flow-to-cold flow capacity-rate ratio, i start point
(ṁc p )h /(ṁc p )c in inlet
D.h channel hydraulic diameter, m max maximum value
EX exergy rate, W mech mechanical
f Darcy friction factor min minimum value
FP pressure-drop factor o end point
FP,total overall pressure-drop factor opt optimum value
h specific enthalpy, kJ/kg, or convective heat transfer out outlet
coefficient, W/m2-K
H height of spiral heat exchanger, m
k thermal conductivity, W/m-K
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Duc-Khuyen Nguyen is a Ph.D. student in the Me-
chanical Engineering Department of National Chung
Hsing University, Taiwan. He received the B.S. de-
gree in mechanical engineering from Nong Lam Uni-
versity, Vietnam, and the M.S. degree in heat transfer
from National Chung Hsing University, Taiwan. His
research interests include heat transfer enhancement,
drying technology, and postharvest technology.
Jung-Yang San is a professor in the Mechanical En-
gineering Department of National Chung Hsing Uni-
versity, Taiwan. He received his master’s degree from
Stanford University and Ph.D. degree from the Illi-
nois Institute of Technology. His research interests
include waste heat recovery, adsorption heat pump,
heat transfer enhancement, and jet impingement
cooling.
vol. 37 no. 12 2016