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Optimal heat exchanger network synthesis using particle swarm optimization

Article  in  Optimization and Engineering · January 2008

DOI: 10.1007/s11081-009-9089-z

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EngOpt 2008 - International Conference on Engineering Optimization
Rio de Janeiro, Brazil, 01 - 05 June 2008.

Optimal Heat Exchanger Network Synthesis Using Particle Swarm Optimization

M. A. S. S. Ravagnani1, A. P. Silva 1,2, E. C. Biscaia Jr2. and J. A. Caballero3

1Chemical Engineering Department – State University of Maringá – Maringá – Brazil

2PEQ/COPPE - Federal University of Rio de Janeiro – Rio de Janeiro – Brazil
3University of Alicante – Alicante – Spain

1. Abstract
Heat exchanger network (HEN) synthesis has been a well-studied subject over the past decades. Many studies and methodologies
were proposed to make possible the energy recovery between process streams, minimizing the utilities consumption, the number of
heat transfer equipment and the gaseous and liquid pollutant emissions from the combustible burn and water usage.
Most of papers published in this subject are based on Pinch Analysis, mathematical programming or hybrid techniques, including
natural algorithms. The solutions proposed using Pinch Analysis do not use optimization criteria and no optima solutions are
achieved but good ones. The works based on mathematical programming are problems of small scale, i.e., problems with no more
than four or six process streams. This restriction is related to the mathematical programming methods and limitations.
Some recent papers use meta-heuristic techniques like Genetic Algorithms or Simulated Annealing to solve the HEN synthesis
problem and good results are found but with large computational effort.
In this paper an optimization model for the synthesis of HEN is proposed. The approach is based on the use of Particle Swarm
Optimization to determine the HEN that minimizes the total annualized cost, accounting for capital costs of heat exchangers, and the
energy costs for utilities and pumping duties. The algorithm is based on a superstructure simultaneous optimization model for the
HEN synthesis considering stream splitting and by-pass without isothermal mixing.
Some examples from the literature were used to show the application of the proposed algorithm, and the results confirm the
achievement of the optimum HEN configuration with little computational effort.

2. Keywords: Heat exchanger network synthesis, Superstructure model, Particle Swarm Optimization

3. Introduction
One of the most frequent problems in industrial plants is the excessive energy consumption. It represents one of the most important
contributions to the composition of the global cost of industrialized products.
In industrial processes there are streams that need heating and streams that need cooling, usually achieved by using hot and cold
utilities, respectively. Heat exchanger network (HEN) synthesis is a mean to obtain heating and cooling by process streams energetic
integration, by using heat streams to heat cold streams and cold streams to cool hot streams. In this way, it is possible to reduce the
amount of hot and cold utilities. Besides the utilities consumption reduction, it is important to use a small number of heat transfer
equipment, decreasing the fixed cost of the final network.
HEN synthesis has been a well-studied subject over the last 40 years. As a research theme, numerous papers have been published
focusing distinct methods and techniques of synthesis. Heat recovery systems were always subject of interest in synthesis studies.
After the first energy crisis, during the 1970s, which can be considered as the driving force of the heat exchanger network synthesis
study, as a research area, a considerable increase occurred in the number of papers related to the subject. Industries, universities and
research centers became to find solutions to minimize the use of thermal energy from the burn of combustibles, like crude oil.
Essentially, the HEN synthesis task consists of finding a practical sequence of equipment combining pairs of streams, in a way that
the network is optimal in relation to the global cost. The great complexity of the problem is its combinatorial nature. For a fixed
number of streams, there are a great number of possibilities of combinations. Nevertheless, the number of HEN configurations that
satisfies the minimum utilities consumption is smaller than the total number of possible configurations.
According to RAVAGNANI et al. [1], several kinds of studies were done aiming to develop methodologies to obtain optimal HEN,
to reach these goals. Research was concentrated in two important areas, Pinch Analysis, which uses thermodynamic concepts and
heuristics and Mathematical Programming, as Linear, Non Linear and Mixed Integer Linear and Non Linear Programming. Recently
heuristic methods of optimization have also been used to solve linear and non-linear models.
Gundersen and Naess [2] and Furman and Sahinidis [3] published complete reviews on HEN synthesis. Important research lines have
being proposed, like pinch analysis and mathematical programming.
Pinch Analysis uses thermodynamic concepts and heuristics, as can be seen in the works of Linnhoff and Flower [4], Linnhoff et al.,
Linnhoff et al. [6], Linnhoff and Hindmarsh [7] and Linnhoff [8, 9].
In mathematical programming the HEN synthesis is treated as an optimization problem. According to Grossmann et al. [10]), a
gradual evolution has occurred relative to mathematical programming method utilization, from the sequential approaches, where one
aims to obtain the problem solution step by step, as can be seen in the papers of Cerda and Westerberg [11], Colberg and Morari [12],
Floudas et al. [13], Gundersen and Grossmann [14] and Papulias and Grossmann [15] and, to the works using simultaneous
optimization, where all of the variables are optimized simultaneously, as can be seen in Bjork and Westerlund [16], Ciric and Floudas
[17], Quesada and Grossmann [18]), Yee and Grossmann [19] and Zamora and Grossmann [20].
The HEN synthesis MINLP problem formulations are highly nonlinear, and some papers, as Daichendt and Grossmann [21],
Quesada and Grossmann [18] and Zamora and Grossmann [20] were published using global optimization, trying to avoid local
minima.
Although conventional MINLP methods are based integrally on algebraic discrete/continuous optimization problems, a model using
generalized disjunctive programming (Lee and Grossmann [22]; Raman and Grossmann [23]; Turkay and Grossmann [24]) can
combine logical and algebraic equations, to represent discrete decisions.
In the present paper a methodology is proposed to the HEN synthesis using a non-deterministic optimization method to solve the
optimization problem, trying to avoid local optima and the difficult of the non-linearity.
A model similar to the proposed by Yee and Grossmann [19] and Ravagnani and Caballero [25] for the HEN synthesis is used. It is
based on a stage-wise superstructure representation, considering stream splitting and constant heat transfer coefficients.
The problem is solved using Particle Swarm Optimization witch suits very well to non-linear problems.

4. Problem Definition
Given a set of hot and cold streams with their supply and target temperatures, flowrates and heat capacity, as well as hot and cold
utilities with their temperatures and corresponding costs, the objective is to find the best HEN configuration concerning the minimum
global annual cost, considering utility and area costs. For the problem solution, an algorithm similar to the stage-wise superstructure
representation of Yee and Grossmann [19] and also used for Ravagnani and Caballero [25] is proposed to find the minimum global
annual cost, comprising area and utilities costs. Stream splitting is considered in the HEN synthesis model.
Fig. 1 presents a superstructure for a problem with four streams, based in the work of Yee and Grossmann [19]. The superstructure
comprises stages, within each of which heat exchange occurs between every hot stream and cold stream. Heaters and coolers are
placed at the ends of the streams. As recommended by Yee and Grossmann [19], the maximum number of stages is the maximum of
the number of hot or cold streams.
An objective function to minimize global annual cost is proposed. Optimization problem restrictions are the
thermodynamics restrictions of the heat exchanges. Eq. (1) and (2) present the optimization problem.
Minimize:

( )
unit
C GLOBAL = (C HU ⋅ HU + C CU ⋅ CU) + ∑ a + b ⋅ A ck (1)
k

Subject to:

(Th in )k > (Tc outi ) k


 (2)
(Th ) > (Tc )
 out k in k

k = 1,...,number of heatexchangers
Where, a, b and c are constants that depend of the equipment used; A is the exchanger area; k is the equipments of heat transfer; Thin
and Th out are the inlet and outlet temperatures of the hot streams; Tc in and Tcout are the inlet and outlet temperatures of the cold
streams.

Stage 1 Stage 2
H1

H2

C1

C2

Figure 1. Proposed superstructure for a four streams problem.

5. Particle Swarm Optimization

The proposed HEN problem was solved with Particle Swarm Optimization (PSO). PSO is a stochastic optimisation technique
developed by Kennedy and Elberhart [26], inspired by social behaviour of bird flocking or fish schooling. PSO as an optimisation
tool provides a population-based search procedure in which individuals called particles change their position (state) with time. In a
PSO system, particles fly around in a multidimensional search space. During flight, each particle adjusts its position according to its
own experience, and according to the experience of a neighbouring particle, making use of the best position encountered by itself and
its neighbour.
In the last years, PSO has been successfully applied in many research and application areas. One of the reasons that PSO is attractive
is that there are few parameters to adjust. In this work, it was used a PSO proposed by Vieira e Biscaia [27]. The particles and the
velocity of each particle are actualized according to Eq. (3) and (4).
 ( ) (
v k(i+)1 = ω k v (ki+)1 + c1r1 p (ki ) − x k(i ) + c 2 r2 p kglobal − x k(i ) ) (3)

xk(i+)1 = xk(i ) + v (ki+)1 (4)

Where x(ik ) and v k(i ) are, respectively, position and velocity vectors of the particle i, ω k is the inertia weight, c1 and c2 are constants,

r1 and r2 are two random vectors, pk(i ) is the position with the best result of particle i and pkglobal is the position with the best result
of the group. In above equations subscript k refers to the iteration number.
In a HEN synthesis problem, the variables considered independents are randomly generated at the optimization beginning and are
modified in each iteration by the Eq. (3) and (4). Each particle is formed by the follow variables: fraction of hot stream splitting,
fraction of cold stream splitting, number of stages, and heat exchanged in each equipment.
After the generation of the particle, the heat exchangers areas are calculated, as well as the hot and cold utilities demand. This is done
to all particles even they are not a problem solution. The objective function value (global cost of the HEN) is obtained, if the particle
is not a solution of the problem (any restriction is violated), the objective function is penalized.
The PSO parameters used in this work are presented in Table 1.

Table 1. PSO Parameters

c1 c2 w Npt
1.0 1.0 0.5 50

6. Case studies
Two examples are presented to illustrate the applicability of the proposed methodology for the synthesis of HEN.

6.1. Case 1
This example was extracted from Zhu [28]. The problem has two hot and two cold streams and a hot and a cold utility are available.
Streams and utilities, area and cost data are shown on Table 2.
By applying the proposed methodology, the optimal network configuration obtained is presented in Fig. 2. The value of the HEN
global annual cost is 1,624,768 $/year. Table 3 shows the comparison with literature.

6.2. Case 2
The second example was first used in Castillo et. all [29]. Six hot and five cold process streams are considered, as well as a hot and a
cold utility. Streams and utilities, area and cost data are shown on Table 4.
The value of the HEN global annual cost is 139,777 $/year by applying the proposed methodology. The optimal network
configuration obtained is presented in Fig. 3. Table 5 shows the comparison with literature.

7. Conclusions
In the present paper an algorithm for the synthesis of HEN is proposed. It is based in a model similar to the stage-wise superstructure
representation of Yee and Grossmann [19] for the optimal synthesis of HEN considering stream splitting and by pass. The global
annual cost objective function takes into account investment and utility costs.
Two examples were used to describe the algorithm applicability. The final results obtained in this paper are consistent with the
presented in the literature and lower than those showed for Zhu [28] and Castillo et. all [29]. It happens probably because the other
authors found local optima. The problem was optimised with PSO method, which is a reliable way compared with other methods,
because it suits well to MINLP problems. Although with a very low computational time of 10 and 25 minutes for Case 1 and Case 2
respectively, the results are better than the presented in literature.

Table 2. Streams and Cost Data

Tin Tout CP h
Stream
(K) (K) (kW/K) (kW/m2K)
H1 423 323 200 0.2
H2 443 313 100 0.2
C1 323 393 300 0.2
C2 353 383 500 0.2
UQ 453 453 0.2
UF 293 313 0.2
Area cost=9094 + 221A0.81, A in m2. Hot utility cost =
110 $/kW year. Cold utility cost = 10 $/kW year.
 ºC ºC

423 363 333.40 323

(2080 kW)

443 362.3 334.8 313

(2180 kW)

393 378.8 351.9 323

(4260 kW) (8070 kW)
(5920 kW)
383 377 353
(2750 kW)
(3000 kW) (12000 kW)
Figure 2. Optimal HEN

Table 3 - Final results

Zhu [27] Present paper
Global annual cost ($/year) 1818031 1816470
Area cost ($/year) 1008031 975270
Utility cost ($/year) 810000 841200
CPU time (min) @ Pentium IV 170
~ 10
GHz

Table 4. Streams and Cost Data

Tin Tout CP h
Stream
(K) (K) (kW/K) (kW/m2K)
H1 1113 313 4.9894 1.5
H2 349 318 4.6840 1.5
H3 323 313 0.7720 1.5
H4 453 350 0.6097 1.5
H5 453 452 292.70 0.8
H6 363 318 3.0660 1.5
C1 297 298 329.80 0.8
C2 298 343 0.5383 1.5
C3 308 395 3.7270 1.5
C4 363 453 0.6097 1.5
C5 353 454 2581.1 0.8
UQ 503 503 1.5
UF 293 313 0.8
Area cost=9094 + 485A0.81, A in m2. Hot utility cost =
110 $/kW year. Cold utility cost = 15 $/kW year.
 ºC ºC
1097.15 579.83 520.00
1113 313

349 318

323 313
392.15
453 350

453 452

363 318

297.89
298 297
(37.10 kW) (292.7 kW)
343 298
(24.22 kW)
395 308
(298.5 kW)
453 363
(25.70 kW)
(54.87 kW)
454 453
(2581.1 kW)
Figure 3. Optimal HEN

Table 5. Final results

Castillo [28] Present paper
Global annual cost ($/year) 141554,88 139777,00
Area cost ($/year) 121699,02 119921,89
Utility cost ($/year) 19855,86 19855,11
CPU time (min) @ Pentium IV 170
~25
GHz

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