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ISSN 1392 - 1207. MECHANIKA. 2006. Nr.5(61)

Failures and fouling analysis in heat exchangers

V. Vasauskas*, S. Baskutis***Kaunas University of Technology, Kstuio 27, 44025 Kaunas, Lithuania, E-mail: vytvas@ktu.lt

**Kaunas University of Technology, Kstuio 27, 44025 Kaunas, Lithuania, E-mail: saubask@ktu.lt

1. Introduction

A heat exchanger (HE) is a device built forefficient heat transfer from one fluid to another, whetherthe fluids are separated by a solid wall so that they nevermix, or the fluids are directly contacted [1]. The heavyturbulence and counterflow principle enable efficient heattransfer. HE are widely used in refrigeration, airconditioning, space heating (SH), for domestic hot water(DHW), power production, and chemical processing(Fig. 1). Some examples are intercoolers, pre-heaters, boil-ers and condensers in power plants [2]. A typical HE is theshell and tube heat exchanger which consists of a series offinned tubes, through which one of the fluids runs. Thesecond fluid runs over the finned tubes to be heated orcooled. During HE operation, high temperature and high-

pressure water or steam are flowing at high velocity insidetubes or plate systems. In tubes of HE, local wall thinningmay result from erosion/corrosion. Therefore, it is impor-tant to evaluate the strength and ductility for wall-thinnedtubes, assess the risk of failures to maintain the integrity ofthe secondary tubing systems. Another type of HE is the

plate heat exchanger, which can be done with brazed(Fig. 2) or gasket plates. It directs flow through baffles sothat the fluids are separated by plates with very large sur-face area [3]. This plate type arrangement can be moreefficient than the shell and tube.

The beginning of using first heat exchangers forSH and DHW in district heating substations is early 1980s(1990s in Lithuania). A pioneer is this matter was Swedishcompany Alfa Laval. A survey of Lithuanian district heat-ing revealed that in 2005 approximately 95% of all heatexchangers were brazed plate type. Although the HE areusually designed for a normal life of more than 10 years,their actual service life, however varies from 2-3 to 6-8years, depending on the service conditions and of course

on the quality of heat transfer media. The type of scalediffers from industry to industry, depending on the mineralcontent of the available water.

Despite the enormous costs associated with fail-ure and fouling, only very limited research has been doneon this subject. Reliable knowledge of fouling economicsis important when evaluating the cost efficiency of variousmitigation strategies. The total failure and fouling relatedcost can be broken dawn into three main areas:

- capital expenditure, which includes excess sur-face area (10-50%, with the average about 35%), costs forstronger foundations, previsions for extra space, increasedinstallation costs;

- extra fuel costs, which arise if fouling leads toextra fuel burning in furnaces or boilers or if more secon-dary energy such as electricity or process steam is neededto overcome the effects of fouling;

- production losses during planned and unplanned

plant shutdowns due to failure and fouling.This paper presents the results of an investigation

the failure of steels tubes or plates in heat exchangers usedin district heating and industry.

Heatexchangers

3

1

48

10

9

6

5

2

12

7

11

Fig. 1 Brazed plate type heat exchangers for domestic hotwater and space heating in district heating substa-tion: 1- heat exchanger for SH; 2- heat exchangerfor DHW; 3- control unit; 4- circulating pump forDHW; 5 - pump for SH; 6 - difference pressureregulator; 7 - valve with actuator for SH;8- valve with actuator for DHW; 9- flanged filter;10- manometer; 11- thermometers; 12- ball valves

The material of the tubes and plates has sufferedcorrosion, localized overheating, probably as a result oflocal heat flux impingement phenomenon, caused by heat

water steaming. The aim of this paper is to identify whichare the major factors that contribute to water main failures.In this paper, we explain the impact of fouling and corro-sion on heat transfer and pressure drop in HE. The studiesincluded microstructural examinations of cracked and un-cracked tubes, fracture surface investigations and estima-tion of creep rupture strength, etc.

2. Background

There is a high degree of uncertainty associatedwith all the factors contributing to HE elements failureand fouling, and especially corrosion rates because of large

spatial and temporal variability [2]. This requires a detaileduncertainly analysis to quantify the probability of HE fail-ures at a given time in order to plan maintenance and repairstrategies [4]. Reduced efficiency of the HE due to fouling,represents an increase in fuel consumption with repercus-

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sions not only in cost but also in the conservation of theenergy resources. This study was performed to evaluate thefracture behavior, failure and fouling mode and allowablelimit of carbon steel straight tubes with damage and localwall thinning. Maximum moment of tubes was evaluatedusing

f ,Rmand adm , where f is the flow stress,Rm is

the ultimate tensile strength andadm

is admissible stress.

1

5

6

3

4

2

x

y

z

Fig. 2 Two-pass plate heat exchanger. Flow channels con-nected both in parallel and in series: 1- heating wa-ter flow inlet, e.g. district heating; 2- heating waterflow outlet, e.g. district heating; 3 - heated wateroutlet, e.g. domestic hot water; 4- DHW circulationflow inlet; 5- heated water inlet, e.g. domestic coldwater; 6- water returning from the heating heat ex-changer of district heating, a so-called after cooling

feed

Regardless of the tube material, the most effectiveway to ensure that tubes achieve their full life expectancyand heat transfer efficiency is to keep them clean each timethe tube deposits, sedimentation and bio-fouling are re-moved, the surfaces are returned almost to bare metal, pro-viding the most effective heat transfer and the tube itselfwith a new life cycle [5].

Fig. 3 Defects on brazed plate type HE due to pressureinfluence of heat transfer media after two years ofexploitation

Very negative occurrences are hydraulic shocksof heat transfer media which are closely related with ex-

ploitation of all system. Frequent hydraulic shocks maydeform plates of HE (Fig. 3), which causes leakage of the

media.According to the current standard, the main crite-

rion for the tube-line estimation is the condition of staticstrength. Stresses in a pipe wall should not exceed theadmissible value

adm for the pipe material

adm (1)

For the HE tube-lines, the value of circular tensilestresses y caused by the water service pressure p

( tpRy = , where RD 2= is the internal diameter of a

tube, tis a wall thickness), and the value ofadm

is estab-

lished from the ultimate strength of the material and safetycriteria, which is chosen with respect to the type and ser-vice conditions of the tube line. Criterion (1) is the basicone in design calculations and, particularly, in selecting thematerial of tubes and their dimensions. Its applications forthe tube-lines that have been operating for a long time re-quire some additional data, in order to take into considera-

tion the temporal variation of the calculation parameters ascompared with their original values. Firstly, the degrada-tion of material can cause the decrease of the strengthcharacteristics of material, that is, a corresponding de-crease of

adm value. The degradation level can be estab-

lished by laboratory testing or can be approximately evalu-ated by correlation dependences of the material character-istics and its hardness [6]. For a cylindrical tube under bi-axial stress state caused by inner pressure p we can write

( )t

pt

pE tzyy 85.021 =

=+=

RR (2)

( )t

pt

pE tzzz 2.02 =

=+=

RR 1 (3)

( )t

Rp

t

R3pE zytt 45.02

==+=

(4)

where tpRz 2= is axial stress and 0=t , e.g. radial

stress is negligible compared to the circular and axialstresses.

The equivalent strain can be obtained from

t

pRE teqeq 2

3== (5)

giving

( )

=

=

2

3

212

3yeq (6)

where eqeq and are equivalent strain and stress, respec-

tively.Anyhow, as it is seen from the basic three-

dimensional relations, the difference between equivalentand tensile strain is less than 2%. Slightly stronger influ-ence is due to the remote tensile stress which is determinedfrom the tensile and axial strain gauges. The differenceproduced by bi-axial stress state is less than 7.5 % in this

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case.Scibetta et al. [6], summarizing a wealth of exist-

ing data, showed that for ductile metals the hardnessH andyield stress y could be related by the simple relationship

yCH = , where C 2.8is a constant.

Fig. 4 shows a cross-section of a HE tube consist-ing of various forms of iron oxide and other corrosionproducts. The mechanism described in connection withcorrosion at the bottom of a crack in an iron oxide layercontinues till the pit is filled with porous iron compounds.The presence of tubercles generally increases the rough-ness to fluid flow. Large tubercles may break loose fromthe surface as a result of shear stress, and become lodged

in downstream equipment such as heat exchanger headerboxes.

Tube metal

Fe2O3combinations

Fe2O3,FeO

Corrosioncrack Inner tubesurface

Fouling

a b

Fig. 4 Cross-section of heat exchanger tube: a schematiccross-section of a HE tube; b transverse section ofa tube with inner crater on the surface

Table 1Features of some typical exchangers types

No Type Materials of construction Ease of cleaning against fouling Notes1 Shell and tube Most materials Tubes relatively easy to clean, shell

more difficultWidely used

2 Gasket plate Stainless steel (usually) Easy to clean Compact

3 Spiral Most materials Easy access to whole channellength

Compact: useful for andfouling conditions

4 Brazed plate Stainless steel, titanium Only chemical cleaning possible Highly compact

The principal types of fouling encountered inprocess HE include [2]:

- particular fouling- corrosion fouling- biological fouling- crystallization fouling- chemical reaction fouling- freezing fouling.In most cases, it is unlikely that fouling is exclu-

sively due to a single mechanism, and in many situationsone mechanism will be dominant.

3. Characterization of failure and fouling mechanisms

3.1. Failure mechanisms

The failure mechanisms generally encountered arefatigue, corrosion fatigue, stress corrosion cracking (SCC)and ductile fracture [8]. Corrosion represents mechanicaldeterioration of construction materials of HE surfaces un-der the aggressive influence of flowing fluids and envi-ronment in contact. In addition to corrosion, other me-chanically induced phenomena are important for HE de-sign and operation, such as getting (corrosion occurs atcontact areas between metals under load subjected to vi-bration and slip). Fouling and corrosion represent HE op-eration induced effects and should be considered for boththe design of a new HE and operation of an existing ex-changer.

The loss of plate thickness due to corrosion can berelatively uniform or localized. The rate of wall loss hasbeen the subject of debate, where it has been assumed to beconstant or otherwise. The rate of corrosion in uncoatedHE plates is generally high at early age. There is evidenceto suggest that corrosion is a self-inhibiting process,whereby as corrosion proceeds, the protective properties ofits products (generally iron oxides) improve, thus reducingthe corrosion rate over time. Consequently, prediction ofpit depth, say in the first 5-10 years of HE life, should be

considered highly uncertain. The most used model for sur-face corrosion indicates , where = depth of cor-rosion pit (mm), = constant (~2), = constant (~0.3),t= exposure time (years). Table 1 lists some of the featuresof common HE and may be used as a preliminaryguide in HE selection.

nd kt= d

k n

There are two limiting parameters that affect thesizing of HE. They are the required heat transfer surface

area and the pressure drop. The capacity of a HE is directlyproportional to the mass or volume flow and temperaturedifference. Therefore, with small design temperature dif-ferences, such as the 60 80C of radiator circuits, a rela-tively greater flow rate will be required in order to achievethe desired capacity. In this case, the pressure drop be-comes the limiting design parameter. It is well known thatthe grain boundary cavitation is one of the detrimentalprocesses for the degradation of austenitic stainless steelsthat reduce the creep-fatigue life at high temperatures [9].

Beyond a general simple description, stainlesssteels may be collected in five families, which differ fromeach other for the basic microstructure and the specific

characteristics. For example, grade AISI 430 steel belongsto the family of ferritic stainless steel, while grade AISI304 steel belongs to the family of austenitic stainless steel.It is worth nothing that the austenitic type steel is amongthe most easy to weld and allows fabrication of elevatedtoughness welded joints even in the as-welded conditions,without any further treatment.

Although austenitic stainless steel posses excel-lent resistance to general corrosion, they are susceptible tothe localized corrosive attacks.

Before considering the failures, it is useful to con-sider the metallurgical development, corrosion and me-chanical properties of these high-strength austenitic mate-

rials. The high levels of molybdenum in particular but alsoof chromium and nitrogen endow grade 254 SMO steelwith extremely good resistance to pitting and crevice cor-rosion. The addition of cooper provides improved resis-

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tance in certain acids. Furthermore, due to its relativelyhigh nickel content in combination with high levels ofchromium and molybdenum grade 254 SMO steel pos-sesses good resistance to stress corrosion cracking. Nu-merous field tests and extensive application experienceshow that grade 254 SMO steel has a high resistance tocrevice corrosion in seawater at ambient and slightly ele-vated temperatures. Grade 254 SMO steel is anncaled at1150-1200C to obtain an austenitic structure. Grade 254SMO steel has very low carbon content (0.01 %). Thismeans that there is very little risk of carbide precipitationin connection with heating. In the case of the grade AISI316 steel (Cr 17 %, Ni 10.8 %, Mn 1.3 %) and grade AISI304 steel (Cr 18.5 %, Ni 8.7 %, Mn 2.0 %) austeniticstainless steels, it is found that grain boundary is consid-erably serrated with the modified heat treatments to thechange of carbide morphology [10]. Within the termstainless steel it is commonly indicated an alloy, includingat least 10.5 % of carbon.

Boiler stones

Fig. 5 Damages caused by boiler stones

One of the most important chemical values for theHE manufactures is water hardness. It is the main com-pound which is causing the boiler stones (Fig. 5) which arethe most frequent reason of leakage of HE. As an examplethe standard value of hardness in Europe is between 0.89 2.68 mmol/l. When the value exceeds 3.81 mmol/l then thewater is qualified as very hard one and must be treated.According to the above mentioned criteria, hard water inLithuania has place in iauliai, Jonikis, Jonava districtheating systems.

In low-carbon steels the formation of stress corro-sion failure has two phases:

- the surface layer gets damaged and a new protec-tive layer cannot form because of the presence of corrosivemedium;

- under the combined action of the corrosive me-dium and tensile stress, the surface crack becomes deeper,grows and develops into fracture. The protective layer mayget damaged in consequence of external effects (e.g.scratches, cutting, etc.), but it can also take place undercombined effect of plastic deformation and corrosive envi-ronment.

The heat transfer media has high influence on thedurability of HE not only from biological fouling point ofview but also from exploitation conditions.

Very often failures occur not only in heat ex-

changers but also in the connecting pipes due to unsuitableworking conditions (Fig. 6). The pipes to be connectedmust be mounted so that the strain caused by thermal ex-pansion, for instance, does not harm the heat exchanger.The pipes must be equipped with brackets to prevent any

Defectscaused by

bracket

a

Radial crack

b

Damage due tomedia freezing

c

Fig. 6 Examples of damaged connecting pipes of heat ex-changer: a defects caused by bracket inadequacy;b damage due to corrosion and incorrect fixation;c damage due to media freezing

torsional stress concentration at the HEs pipe connections.

3.2. Fouling mechanisms

When hard water is heated (or cooled) in heattransfer equipment, scaling occurs. When scale deposits ona HE surface, it is traditionally called fouling [2]. Oncefouling occurs in a HE, scale is removed by using acidchemicals, which shorten the life of heat exchanger platesor tubes. Fouling is an accumulation of undesirable mate-rial (deposits) on HE surfaces [11].

Undesirable material may be crystal, sediments,polymers, cooking products, inorganic salts, biologicalgrowth, corrosion products, and so on. This process influ-ences heat transfer and flow conditions in a HE. However,

most manifestations of these various phenomena lead tosimilar consequences. In general, fouling results in thereduction of thermal performance, an increase in pressuredrop, may promote corrosion (Fig. 7), and may result ineventual failures of some HE.

HE dimensioning in some cases considers thefouling factor. The fouling factor use means that it is pos-sible to guarantee a better heat exchanger operation whenthe media or water is dirty. The fouling factor use withdimensioning gives more heat transfer surface. Practicallythis is equal to over-surfacing.

Fouling is usually classified into six categoriesdepending on the key physical or chemical process essen-

tial to the particular fouling mechanism. The categories arecrystallization, particulate, chemical, corrosion, biologicaland solidification [4]. Crystallization fouling accounts forover 30% of fouling problems encountered. Crystallizationfouling, or scaling, occurs when inverse solubility salts that

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are originally dissolved in the process fluid, deposit onheat transfer surfaces.

inner tubesurface

oxide

a

bFig. 7 Cross-sections of connecting pipes of heat exchang-

ers for DHW after two years of exploitation (x150)

Precipitates were found on the internal materialsurfaces of the carbon steel connecting tubes near the tubebeginning. The precipitates were in two forms, namely:broken mud and granular (Fig. 7, a). In addition to the pre-cipitates, localized shallow corrosion attack was observedon the surface of the material (Fig. 7, b).

As the water is untreated, calcium and otherchemicals are dissolved and precipitation fouling occurs atleast on the surface of the heating elements of the electricalheater and on the heat transfer surfaces in the HE. So,some customers have to change the HE and/or the circula-tion heater after only a few months of operation. In thiscase, a preventive maintenance can be carried out, and thelifetime of the equipment increases. Periodic cleaning re-sults in additional costs arising from the loss of productionand additional maintenance activities. It is not surprising

that fouling related costs constitute a significant portion ofthe industrys running costs [12].

4. Material and experiments

The chemical composition and mechanical char-acteristics of the HE materials are given in Table 2. Me-chanical properties such as Brinell, Vickers hardness, ten-sile strength and impact toughness were tested on theT-2 and microhardness testers, 50 kN multi-functionalhydraulic servo machine and CIEM-30D testing machine,respectively. The diameter of the tensile specimens was5 mm. The size of the impact toughness specimens was

10x10x55 mm. Three specimens were tested in each ex-periment and an average of the experimental data wastaken as the result. The tube specimens were sectionedperpendicular to the axis, polished and etched by amountof flux. The thickness was measured on the unfailed tube

as well as on the failed tubes using micrometer. A thinlayer of scaling was noticed in the inner side of both thecracked tubes. On the inner surface a thick, hard and stickydeposit noticed and the tubes were found to be distortedand changed their dimensions.

For HE stainless steel is always used. Grade 254SMO steel has a very good resistance to uniform corrosionin environments containing halides and to stress corrosioncracking. Also this material has very high resistance topitting and crevice corrosion.

Table 2Typical properties for HE steels

Parameter Unit AISI 304 AISI 316

CmaxMnmax

CrNiMo

RmRp0.2

A5KCV

Hardness

%%%%%MPaMPa

%J/cm2

HB

0.032.018.58.7-

520190

45100215

0.031.317.010.82.2550210

45100215

0.011.020.018.06.1650300

35120260

inner tube surface corrosionThe corrosionresistance of stainless steels is a re-

sult of passive layer of oxidized chromium contained in thesteel [10]. The formation and stability of this layer mainlydepends on the chromium content, but these qualities canbe increased by the presence of molybdenum and nitrogenin the stainless steel; the environment of use also affectsthe corrosion resistance. Stainless steels are susceptible toboth various forms of local corrosion damage, wear andgeneral corrosion. It has been observed experimentally that

resistance to pitting corrosion follows the index which canbe derived from chemical composition of stainless steel.ThePRE(Pitting Resistance Equivalent) index can be cal-culated as follows:

NMoCrPRE %16%3.3% ++=

The higher is the index value, the better corrosionresistance. Table 3 presents the PRE values of variousstainless steel grades in HE.

Tables 2 and 3 show chemical analysis and me-chanical properties for some steels used for HE. The mi-crostructure is controlled by heat treatment in order to

achieve the best compromise between strength, ductilityand toughness. 9% nickel steels have even higher yield andtensile strength and are the ideal materials for large boilers.

Table 3Pitting resistance equivalent (PRE) values for examined

steels

Steel designation : PRE AISIMaterialstandard

EN

X5 Cr Ni 18-10X2 Cr Ni Mo 17-12-2

X1 Ni Cr Mo Cu N 25-20-7

18.524.042.0

304316

904L

1.41361.40041.4325

Addition of nitrogen as in grade AISI 304 orgrade AISI 316 steels increases yield and tensile strengthand material thickness may be reduced in vessels. Becauseof the high cost the use of stainless steels is restricted and

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is mainly used when there is need also for high corrosionresistance. Strong chlorine or salt-based waters are veryaggressive to stainless steel (AISI 316). Such mediums areusually e.g. seawater and swimming pool water. Chlorineconcentration under 100mg/l grade AISI 316 steel is suit-able. If the chlorine concentration is 100-400 mg/l, onlythe grade SMO 254 steel is available.

5. Results and discussion

Stress corrosion cracking (SCC) may occur if amaterial is subjected to tensile stress while in contact witha corrosive medium, usually resulting in the formation ofcracks. Tensile stress may be caused by fabrication proc-esses such as welding and bending. Typically, HE withtheir possible plates thickness (

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Base

Fouling

Interlayer HV0.05(360-390)

FoulingHV0.05 (480-560)

600

500

400

300

200

100

0VikersmicrohardnessHV0.0

5kG/mm

2

Distance

Indentation of Vickersmicrohardness

BaseHV0.05 (170-185)

0.2 0.6 0.8 1.0Distance, mm

Fig. 10 Distribution of Vickers hardness indents and hard-ness values in cross-section of the pipe

showed that the coherency strain only plays a minor role inthe hardening of these alloyed super-lattice layers. Zettleret al. [5] concluded that a difference in elastic modulus

between two layer materials is required for the increase inhardness for the fouling. It is very critical to control theinner thickness of the individual layers in this multiplayerfilm and by so doing to control the thickness of the super-lattice period.

However, cracks with similar characteristics, butdistinguished by intergranular fracture are caused by creepor stress-rupture phenomena [13]. The present investiga-tion disclosed both multiple initiation sites and transversefractures. This indicates that the likely failure cause of thecracking heater tube could be attributed to either creep orthermal fatigue. However, intergranular fracture increasesthe possibility of creep damage as the main cause of fail-

ure. Creep is time dependent strain occurring under stressand may terminate in fracture by stress rupture (creep rup-ture). The main variables determining the rate of deforma-tion under creep conditions are temperature, time, andstress. In general, the used cracking heater material ismainly carbide precipitation strengthening alloy.

To minimize such failure in future, periodic in-spection to monitor crack formation will be scheduled.Nondestructive tests including dye penetration test for sur-face cracking and radiographic test for internal crack willbe implemented.

5. Conclusions

1. On the inner wall side, the fracture was foundto be initiating from some pits, and hard, non-brittle regionwhich caused layer wise separation and chipping off of the

material.2. The degradation in microstructure is reflected

by the formation of continuous chains of brittle hard phasealong the grain boundaries of microstructure. This effect ismore pronounced on the inner wall side of the tubes.

3. Fouling starts at areas that are subjected tominimum shearing forces, rear at the end of the tubes andthen spreads to the circumference due to particle transportto the already deposited particles.

4. The investigation has indicated that the foulingattributed to the formation of thick scale of magnetite withmud on the inner surface of the tube wall.

5. The failure in HE tubes could be avoided by:(a) limiting the temperature; (b) minimizing the impuritiesand harmful chemical species of the heat transfer media toreduce the chemical attack on the inner side; (c) removal ofcontaminants in the water to minimize carburisation andscaling on the plates and tube walls.

References

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2. Bott, T.R.Fouling of Heat Exchangers.-Elsevier Sci-ence B.V.-Amsterdam, The Netherlands, 1995.-517 p.

3. Benonysson, A., Boysen, H.Optimum Control of HeatExchangers.-Danfoss A/S, Nordborg, Denmark,09/2002.-14p.

4. Bohnet, M.Fouling of heat transfer surfaces.-ChemicalEngineering Technology, 1987, v.10, p.113-125.

5. Zettler, H.U., Wei, M., Zhao, Q., Muller-Steinhagen,H. Influence of surface properties and characteristics

on fouling in plate heat exchangers.-J. of Heat TransferEngineering, 2005, v.26(2), p.3-17.6. Scibetta, M., Lucon, E., Chaouadi, R., van Welle, E.

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8. Otegui, J.L., Fazzini, P.G. Failure analysis of tube-sheet welds in cracker gas heat exchangers.-Engineering Failure Analysis, 2004, v.11(6), p.903-913.

9. Gong, J.M., Tu, S.T., Yoon, K.B.Damage assessmentand maintenance strategy of hydrogen reformer furnacetubes.-Engineering Failure Analysis. 1999, v.6(3),p.143-153

10.Stichel, W. Korrosionsprobleme mit gelteten Platten-wrmetauschern aus Nichtrostendem Stahl.- Ikz-Haustechnik, Ausgabe 15/1998, Seite 27.-215p.

11.Sheikholeslami, R. Composite fouling of heat transferequipment in aqueous media - a review.-J. of HeatTransfer Engineering, 2000, v.21(3), p.34-42.

12.Abu-Zaid, M.A fouling evaluation system for indus-trial heat transfer equipment subject to fouling.-Int.Communications in Heat and Mass Transfer. 2000,

v.27(6), p.815-824.13.Brooks, C.R., Choudhury, A. Metallurgical FailureAnalysis.-New York.: McGraw-Hill, USA,1993.-413p.

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