Dynamic Modeling and Control of a Plate Heat
Exchanger
Hector Bastida, Carlos E. Ugalde-Loo, Muditha Abeysekera, Meysam Qadrdan
School of Engineering, Cardiff University, Cardiff, UK
{BastidaHernandezJH; Ugalde-LooC; AbeysekeraM; QadrdanM}@cardiff.ac.uk
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Keywords—heat exchanger; heat transfer coefficient; discrete
control; linearization; Apros; Python
I. INTRODUCTION
Several engineering applications such as power production,
waste recovery, chemical processing, air-conditioning and heat
supply in district heating use two fluids at different temperatures
to exchange heat [1]. In an integrated energy system (IES), heat
exchangers are the link between the energy sources and thermal
loads [2]. Heating substations regulate the heat input to buildings
in district heating systems. Thus, it is necessary to have efficient
controllers to reduce energy waste and to guarantee an adequate
heat supply to dwellings [3].
Fig. 1 shows the basic configuration of a heating substation.
The heat supplied by the energy generator should be decreased
from a higher to a lower temperature. In other words, a heat
exchanger is to an IES like a step-down transformer is to an
electric power system [4]: for the heat exchanger temperature
and pressure are reduced, whereas for a transformer voltage is
reduced while current is increased so that power is kept constant.
In terms of energy balance a change in temperature is related to
the change in the mass flow of the involved streams. Thus, if the
temperature of the cold stream needs to be raised there should
be an increment in the mass flow of the hot stream.
Different approaches have been used to model and control a
heat exchanger. A non-linear controller is presented in [5],
where multi-time scaling is employed to simplify a model
described by hyperbolic partial differential equations (PDEs). A
modified heat exchanger model based on PDEs is presented in
This work has been founded by the National Council for Science and
Technology and the Energy Ministry of Mexico (CONACYT-SENER). This
work was also supported by FLEXIS –a project part-funded by European
Regional Development Fund (ERDF) through the Welsh Government.
‹,(((
[6, 7], where the singularity problem due to low values of stream
flow is solved. However, the use of PDEs is only necessary if a
detailed description of the internal behavior of the system is
required. Another approach using the energy conservation law
is presented in [8], where the energy balance equation is used to
define ordinary differential equations (ODEs) describing the
dynamic behavior of a heat exchanger. This model offers the
necessary information to develop practical control strategies and
has been used in the following references: in [9], a PID control
design is presented; in [10], a comparison between PID, generic
model and fuzzy logic control is carried out; in [11], a non-linear
controller for a spiral plate heat exchanger is presented; and in
[12], a multivariable robust controller is proposed. All heat
exchanger dynamic models in [9]-[12] consider the heat transfer
coefficient, which is a crucial parameter for the control design
process. However, only a few references show its calculation.
For instance, [13, 14] consider an equation to obtain it, but its
dynamic changes during simulation are not regarded.
Fig. 1. Schematic of heating substation.
In this paper, a dynamic co-current plate heat exchanger
model is proposed, implemented in MATLAB, and then
validated on a commercial advanced process simulation
software called Apros. The model considers the inner structure
of the heat exchanger, where the heat transfer coefficient is
computed by taking into account the thermal and mechanical
properties of water at different temperatures. Control system
design is carried out in the frequency domain following system
linearization. To assess the control system performance the
designed controller is discretized, implemented in Python and
linked to Apros using the open platform communications (OPC)
protocol. Closed-loop system performance is evaluated with
regards to reference tracking and disturbance rejection.
It should be emphasized that the heat exchanger model
presented in this paper could be coupled to the reciprocating
engine model in [15] to link a heating source to thermal loads in
district heating systems. This work is part of ongoing research
into the long-term aim to develop dynamic models and control
strategies for IESs.
 II. MATHEMATICAL MODEL OF A HEAT EXCHANGER hot and cold outlet stream fluids. Equations (4) and (5) describe
The flat plate type heat exchanger is the most popular option the non-linear behavior of the co-current heat exchanger.
used in district heating substations [4]. The great variety of sizes A. Heat Transfer Coefficient
in which it can be manufactured provides versatility for A fundamental parameter for the design of a heat exchanger
different heating substation capacities. A schematic diagram of and its dynamic analysis is the heat transfer coefficient ( ). It
a co-current plate heat exchanger is presented in Fig. 2. is usually obtained experimentally or from manufacturer
datasheets and its value depends on the fluid’s thermophysical
properties, the operating mean velocities and the type of heat
exchanger. However, despite the complexity in the fluid
mechanics calculations involved in its computation, can be
determined using the procedure given in [18]. This is relevant
as it provides enough accuracy to be applied in control design.
(a) (b) Fig. 3(a) shows a cross-sectional diagram of the heat
Fig. 2. Co-current heat exchanger (a) An Alfa-Laval manufacturer plate heat exchanger, where is the length and is the distance between
exchanger [16]; (b) schematic diagram. the plates (where water flows). and are used to calculate the
The stream fluids enter at different temperatures and mean velocities reached by the fluids. The temperature distribution
velocities: [°C] and [m/s] for hot water, and and through the heat exchanger is shown in Fig. 3(b). Since the
for cold water. The volumetric capacities for the hot and flows are parallel the temperature of the cold stream output will
cold streams inside the heat exchanger are given by and never be greater than the temperature of the hot stream output.
[m3]. The specific heat ( ) [J/kg°C] is an important This performance is sought when it is important to ensure that
thermophysical property required to define the fluid enthalpies. the cold stream temperature is maintained below a certain level.
The heat exchange process increases the cold fluid enthalpy
(ℎ ) while the hot fluid enthalpy (ℎ ) decreases. The thermal
energy equation for each fluid is given by
= ̇ (ℎ − ℎ ) = ̇ ( − ), 1)
where [W] is the energy in heat form, ℎ and ℎ are the inlet
and outlet enthalpies, ̇ [kg/s] is the fluid mass flow, and and
[°C] are the inlet and outlet stream fluid temperatures. The
heat flow given by the hot stream should overcome the overall
resistance (1/ ) to transfer heat so that the temperature of the
(a) (b)
cold stream can be increased [17], where [m2] is the heat Fig. 3. Heat exchanger schematic: (a) Dimensions of heat exchanger;
transfer area and [W/(m2°C)] is heat transfer coefficient. In (b) Temperature change along the length (x).
this case, both fluids are water. The ranges of operating points
As in any dynamic modeling exercise, some assumptions are
for a heating substation are 25/50°C for the cold stream and
made: the heat exchanger is sufficiently insulated so that the heat
80/60°C for the hot stream, which in turn implies no phase
loss to the surroundings is negligible, the kinetic and potential
change (liquid to gas). The total heat transferred between the energy changes are insignificant, and the thermal properties of
flat plates is given by the fluids are constant around an operating point.
= ∆ , (2) The first step to calculate is to obtain the mean velocity of
where ∆ is the difference between the cold and hot each fluid through the gaps. This is given by
temperatures. is affected by the temperature dependence of = ̇⁄ , (6)
the fluid properties and flow conditions (velocity).
where [kg/m3] is the density of the fluid and [m2] is the
The energy balance equation for each stream can be defined cross area. The Reynolds number (Re ) can be calculated as
as the rate of the energy stored inside the heat exchanger ( ̇ ) Re = ⁄ , (7)
that must equal to the rate at which the thermal energy is
supplied by the inlet flow ( ̇ ) minus the rate at which thermal which is a non-dimensional factor that gives the relation between
the inertia and viscous forces in the fluid, where [Ns/m2] is the
energy is transferred ( ̇ ). In other words,
fluid viscosity and = 2 [m] is the hydraulic diameter for a
̇ = ̇ − ̇ , (3) plate heat exchanger [18]. Then, the Nusselt number
3
where = and [kg/m ] is the water density. Thus, the /
Nu = 0.023Re Pr / , (8)
energy balance equation for each stream can be established
using (1), (2) and (3) as can be obtained, which defines the convection heat transfer in
the heat exchanger. In (8), Pr is a thermophysical property called
̇ = ̇ ( − )− ( − ), (4) Prandtl number, which defines the relation between momentum
̇ = ̇ ( − ) − ( − ). (5) and energy transport by diffusion and is obtained from tables.
where and are the masses of the hot and cold stream The convection coefficient for each fluid is given by
fluids, and are the specific heats of the hot and cold = Nu / (9)
stream fluids, and are the temperatures of the hot and where is the fluid thermal conductivity [W/(m°C)]. Finally the
cold inlet stream fluids, and and are temperatures of the overall heat transfer coefficient is given by
 = + , (10) drop and (the flow coefficient for each ) are required to
obtain the mass flow for a specific operating point [19].
where and [W/(m2°C)] are the convection coefficients for The mass flow versus valve opening characteristic could be
the hot and cold streams, respectively. either given by the manufacturer or obtained experimentally.
B. Linearized Heat Exchanger Dynamic Model Simulations are carried out in Apros under constant pressure
conditions (∆ = 1 bar) to identify the behavior of a suitable
Since the heat exchanger model described by (4) and (5) is valve. The valve is selected from the control actuators library of
non-linear, linearization using Taylor series expansions is Apros, with = 0.75 m3/s (additional information on Apros is
performed to obtain a representation suitable for control system provided in Section IV). Fig. 4(a) shows valve’s mass flow for
design. In state-space form, the linearized system is given by different valve openings ( ). Such a response is called
∆ ̇= ∆ + ∆ , installation curve. It can be observed that although a linear
∆ = ∆ + ∆ , (11) relationship is not achieved throughout the whole valve opening
Let the state variables be defined as the hot and cold stream range, the behavior when lies between 0 to 50% is almost
temperatures ( = , = ), the system input be the hot linear. If the time response is defined as 0.5 seconds, the valve
stream mass flow ( = ̇ ), and the system output be the cold can be characterized by the following first order system:
̇( )
temperature ( = ). Equations (4) and (5) can be rewritten as = . (20)
( ) .
̇ = ( − )− ( − ) , (12) Fig. 4(b) shows the step response of the valve. It is important to
̇ = ( − )− ( − ) . (13) notice that the mass flow required to control the cold stream
temperature must not exceed 60 kg/s as the valve’s characteristic
Equations (12) and (13) can be linearized as follows: becomes non-linear after this value.
∆̇ ∆
= + [∆ ],
∆ ̇ ∆

∆
⌈∆ ⌉ = [0 , 1] (14)
∆
where = ̇ and = ̇ . By solving the partial derivatives in
(14), the following linear state equation is obtained:
( )
∆̇ ∆
= + [∆ ].
∆ ̇ ̇ ∆
0
(15) (a)

The state-space model formed by (15) and the output

equation in (14) can be represented by a transfer function
establishing the relation between the output cold temperature
( = ) and the input hot stream mass flow ( = ̇ ) as:
( )
= ( )= ( − ) (16)
( )
where

( )= ̇ ( )
̇

(17)
(b)
C. Control Valve Model Fig. 3. (a) Installation curve (valve opening versus mass flow). (b) Dynamic
To achieve a desired temperature reference, the hot stream response of the valve.
mass flow inlet should be regulated (see Fig. 1). The most III. CONTROL SYSTEM DESIGN
common device to achieve this in district heating applications is The non-linear heat exchanger model given by (4) and (5)
a motorized valve. The dynamic behavior of the valve is is implemented in MATLAB/Simulink in an open loop
described by its time response and by the relationship between configuration. This enables the calculation of steady-state
the valve opening input signal and the mass flow rate under values for all variables to be used in the linear model for control
constant pressure. The valve’s mass flow is defined by: design purposes. To achieve this, the hot stream mass flow ( ̇ )
̇ = √∆ (19) is varied until the temperature of the cold stream output ( )
where 3
[m /s] is the flow coefficient and ∆ [Pa] is the reaches 40 ℃ (Case 1) and 45 ℃ (Case 2), which are common
pressure drop across the valve. is usually given at full load; operating points in district heating networks [4]. Look-up tables
are used to define the thermophysical stream properties during
i.e. for a full valve opening = 100%. However, the pressure
the simulations [18]. Since , , , and depend on stream are translated to the frequency domain as a damping ζ = 0.69, a
conditions, temperature changes will affect these parameters phase margin of at least 58° and a minimum bandwidth =
and, hence, this should be considered when is calculated. 0.0163 rad/s (where = 4/( ζ)) [20]. These requirements
Table I shows the parameters of the heat exchanger. Table can be satisfied with a proportional-integral (PI) controller:
II shows the values of the thermophysical properties when ( )= + ⁄ . (20)
is equal to 40 and 45℃, while Table III provides the steady- The following controller gains (obtained via Bode shaping)
state values obtained from the non-linear simulations. satisfy the performance requirements: = 0.00015 and =
TABLE I. HEAT EXCHANGER PARAMETERS 0.0005 for Case 1 and = 0.00009 and = 0.000035 for
Variable Unit Value
Case 2. This is evidenced by the frequency responses of
Plates gap m 0.005
Plate length m 1 ( ) ( ) and ( ) ( ) also shown in Fig. 6. It can be
Plate width m 1 observed that the specifications are satisfied: a bandwidth of ≈
Number of plates - 100 0.0182 is exhibited (see the magnitude plot) together with a
Hot stream volumetric capacity m3 0.25 phase margin greater than 80° (see the phase plot) for both cases.
Cold stream volumetric capacity m3 0.25
Heat transfer area m 2
200 Fig. 7 shows the closed-loop step responses of ( ) ( )
Hydraulic diameter m 0.01 and ( ) ( ). As it can be seen, there is no overshoot present
Cross Area m2 0.5
duringg the transient response
p and the settlingg time is 350 s.
TABLE II. VALUES OF THE THERMOPHYSICAL PROPERTIES
Case [W/(m°C)] [W/(m°C)]
[J/kg°C] [J/kg°C]
1 4184 4179 0.6497 0.6318
2 4186 4180 0.6561 0.6378
Case [kg/m3] [kg/m3] [Ns/m2] [Ns/m2]
1 984.4 991.8 4912×10-7 6545×10-7
2 982.2 989.8 4522×10-7 5965×10-7
TABLE III. STEADY-STATE VALUES
̇ ̇
Case [kg/s] [kg/s] % [°C] [°C] [W/m2 °C]
1 9.96 15.29 16.9 61.97 45 246.6
2 9.96 8.103 8.1 56.6 40 188.8

Fig. 5 shows a block diagram of the closed-loop control

system. The controller should regulate the hot stream mass flow Fig. 6. Open loop Bode plots of ( ) and ( ) (uncontrolled plants) and of
( ̇ ) by means of the control valve defined by (20) so that the ( ) ( ) and ( ) ( ) (using the designed controllers).
cold stream output temperature ( ) adequately tracks a
desired reference temperature ( ).

Fig. 5 Closed-loop control block diagram.

Using the information from Tables I, II, and III in (17) and
considering (20), the relationships between the valve opening
and for the two operating points are given as (see Fig. 5)
( )
( )= = (18)
( ) . Fig. 7. Closed-loop step responses of ( ) ( ) and ( ) ( ).
( )
( )=
( )
= (19) IV. CONTROLLER IMPLEMENTATION AND RESULTS
.
Apros is a commercial dynamic simulation software for
It is important to understand the heat exchanger dynamics to
modeling and simulation of various types of processes. It is an
design effective controllers. The controller should not demand a
independent platform where a consistent flow of information
fast response as this would require a large mass flow in a limited
can be established with other software packages. It features a
amount of time, which could in turn potentially damage the
detailed library of devices from different manufacturers that can
system. Thus, a settling time = 350 s and a maximum
be linked together, enabling flexibility. Apros has different
overshoot of 5% are established.
layers in its workspace. The settings for the actuators and
The control system design is performed using transfer sensors to be used in the simulations can be established in the
functions (18) and (19). Fig. 6 shows the frequency responses of automation layer. It is also possible to access the state of
( ) and ( ) in a Bode diagram. As it can be observed, a variables from this layer using the OPC communication
similar response is exhibited for both operating points except for protocol [21]. Thus, to implement controllers in Apros, it is
the difference in dc gain. The desired performance requirements essential to use a software that supports OPC.
 Following the control design task presented in Section III,
the controller is implemented in Apros. Python was selected as
the programming language for the controllers in this paper.
However, it should be emphasized that the method presented
next can be used in other software platforms, in industrial
devices like PLCs, or in open source platforms like Arduino.
A. Controller Discretization
Fig. 8 shows a screenshot of the co-current flow plate heat
exchanger and the control valves for each stream in Apros. The
PI controllers designed in Section III should receive the cold
stream temperature of the heat exchanger and their output
should be sent to the valve so that the supplied hot stream mass
flow is modified. Since the controllers are implemented as
Python functions that receive arguments and output results
every time period, transfer function (20) should be discretized.
Fig. 9 shows the discrete closed-loop diagram, where the
controller transfer function is defined as a function of .
Fig. 8. Plate type heat exchanger implementation in Apros.
[ ]= [ ]+ [ − 1] + [ − 1]. (22)
B. Results
Once (22) is programmed and OPC modules are loaded in
Python, the heat exchanger parameters from Table I are set in
Apros. Simulations are performed for changes in the reference
temperature from 40°C to 45°C at 600 s as shown in Fig.
10, with = = 75℃ and = = 25℃ as initial
conditions. As it can be seen, both controllers respond
adequately for the operating point they have been designed for.
However, if the controller is required to operate in a different
condition, its performance is slightly compromised. The
controller for Case 1 exhibits an overshoot of 7.25% when the
operating point is 40℃. Conversely, the controller for Case 2
shows a settling time of 700 s when the temperature reference
is set to 45℃.
A simulation is performed to assess the controller
performance under disturbances in the hot stream input, as
shown in Fig. 11. This perturbed operation simulates potential
disturbances which may occur in the heating source of a district
heating substation. An effective controller should be capable of
rejecting such disturbances. Fluctuations of 5°C above and
below the initial value of ( ) occur at 720 s and 1380 s,
respectively. The length of each fluctuation is 30 s. As it can be
observed, the controller is able to successfully track the
temperature reference following the disturbance.
C. Discussion
The procedure to design the heat exchanger controller can
be summarized as follows: the heat exchanger and control valve
parameters are obtained from manufacturer datasheets, steady-
state values are obtained by operating the heat exchanger at a
desired condition, the controller is tuned using the linear model
and discretized using MATLAB, and the discretized controller
is implemented in Python and linked to Apros using OPC.

Fig. 9. Discrete closed-loop diagram showing the interactions between Python

and Apros.
To discretize (20) it is necessary to choose a suitable
sampling time . According to [22], is mainly related to
system bandwidth and should be chosen considering a
sampling frequency of at least twice the value of . It should
be borne in mind that the selection of has an impact on the
computing resources where the controller is implemented. For
instance, the smaller the value of , the higher the required
processing time. Given the slow heat exchanger dynamics, a
sampling time = 1 s has been selected. Discretization is
performed using a bilinear approximation method, where the
discretized transfer function of PI controller (20) is given by
( )
( )= = , (21)
( )

where = 0.0004 and = 0.0001 for Case 1, and =

0.000215 and = 0.000035 for Case 2.
To be programmed in Python, controller (21) is transformed
into a difference equation. It can be observed from Fig. 9 that
the controller transfer function is the relation between ( )
(i.e. ( )) and ( ) = ( ) − ( ). Thus, the
measurement of the cold stream temperature ( ) is sent to
Python and then the controller output ( ) is returned to Apros. Fig. 10. Simulation responses (cold stream temperature, hot stream temperature
Therefore, is computed every sampling time period as and hot stream mass flow) of closed-loop heat exchanger system.

Fig. 11. Simulation responses (cold stream, hot stream and Th1 disturbance, and
hot stream mass flow).
The results shown in Fig. 10 evidence that when a controller
operates in a different operating condition for which it has been
designed, the system performance is affected: overshoots may
result and the response may become slow. This adverse
behavior could be eliminated by defining linear models
(transfer functions) for additional operating conditions within
the operating range and designing a separate PI controller for
each plant. The proportional and integral gains could be stored
in a look-up table, with the controller gains being selected
depending on the temperature reference. However, the
application of such a technique is out of the scope of this work.
V. CONCLUSIONS
In this paper, a dynamic non-linear model of a co-current
plate heat exchanger has been developed from first principles
of fluid mechanics and energy transfer. Following system
linearization, transfer functions were derived for two operating
points. Control system design was performed in MATLAB
using the linear models. A commercial simulation software
(Apros) was then used to validate the control system design
following a control discretization exercise in Python. The
interaction between Python and Apros was evaluated, showing
that the discrete controller performs well.
Given that the steady-state values required by the linear
model of the heat exchanger can be obtained with the aid of
tables, the methodology adopted in this paper can be extended
to real applications. For instance, operators of heating
substations may be able to simulate and test controllers to
improve the performance of the system.
It should be emphasized that the work presented in this
paper is part of ongoing research on the dynamic modeling and
control of IESs. Future work will consider other types of heat
exchangers (such as the counter-current type) to be able to
model combined heat and power plants –a key component of
IESs.
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