International Journal of Heat and Mass Transfer 55 (2012) 27922799

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International Journal of Heat and Mass Transfer

journal homepage: www.elsevier.com/locate/ijhmt

Objective function proposed for optimization of convective heat transfer devices

Ki-Don Lee, Kwang-Yong Kim
Department of Mechanical Engineering, Inha University, 253 Yonghyun-Dong, Nam-Gu, Incheon 402-751, Republic of Korea

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

Article history: In this work, a general method using exergy analysis has been proposed to achieve a compromise
Received 19 October 2011 between heat transfer effectiveness and pressure loss in heat transfer optimization problems involving
Received in revised form 25 January 2012 internal channels. The proposed method is applied to the design optimization of a channel roughened
Accepted 25 January 2012
by staggered arrays of dimples for heat transfer augmentation. Optimization is performed using surro-
Available online 22 March 2012
gate-based optimization techniques and three-dimensional Reynolds-averaged NavierStokes analysis.
Three nondimensional design variables are dened using the dimpled channel height, dimple print diam-
Keywords:
eter, dimple spacing, and dimple depth. The objective function is dened as the net exergy gain consid-
Optimization
Dimpled channel
ering the exergy gain by heat transfer, and exergy losses generated by friction and heat transfer. Twenty
Exergy design points are generated using Latin hypercube sampling, and the Kriging model is used as a surrogate
Objective function model to approximate the objective function values in the design space. Through optimization, the objec-
Kriging model tive function is successfully improved with respect to the reference geometry.
RANS analysis 2012 Elsevier Ltd. All rights reserved.

1. Introduction
Recently, with increased emphasis on energy savings, various
heat transfer augmentation devices such as pin ns, dimples, and
ribs have been developed and utilized. These devices improve con-
vective heat transfer by disturbing the thermal boundary layer and
enhancing the production of turbulent kinetic energy [1]. However,
such heat transfer augmentation devices inevitably result in in-
creased hydrodynamic resistance due to added friction.
Several researchers have examined heat transfer and friction
losses over dimpled surfaces using experimental and numerical
studies. Ligrani et al. [1] reviewed turbulent heat transfer enhance-
ment techniques such as ribs, pin ns, and dimples in internal ow
passages (e.g., turbine blades). Mahmood and Ligrani [2] reported
that heat transfer is augmented as the ratio of channel height to
dimple print diameter decreases. Burgess and Ligrani [3] deter-
mined experimentally that the heat transfer rate increases as the
ratio of dimple depth to dimple print diameter increases. Experi-
mental results for dimples and protrusions in an internal cooling
channel were reported by Hwang and Cho [4]. They suggest that
dimples on both surfaces of a channel are better than dimples on
a single surface or on a protruded surface with respect to pressure
drop or Nusselt number enhancement. Laminar ows (Re = 1000
5000, based on hydraulic diameter) in parallel channels with
hemi-cylindrical cavities on opposite walls were studied by
Ridouane and Campo [5], and they presented that the heat transfer
Corresponding author. Tel.: +82 32 872 3096; fax: +82 32 868 1716.
E-mail address: kykim@inha.ac.kr (K.-Y. Kim).
can be increased by 30% with the cavities as compared to the chan-
nel with smooth surface while pressure loss increased by 19%. Silva
et al. [6] investigated dimples on surfaces of heat sinks of micro-
electronic cooling and suggested that the dimples increase the heat
transfer by 2.5 times for laminar and transition ow. Moon et al.
[7] showed that the friction factor is relatively independent of
the Reynolds number and channel height for a single surface
roughened by staggered dimples. They suggest that dimples
change the ow pattern, thereby increasing turbulent heat transfer
and pressure drop. Therefore, modication of the shape and
arrangement of dimples in a channel affects cooling channel
performance.
Heat transfer is generally enhanced by sacricing some energy
into uid friction. Exergy loss is directly proportional to irreversi-
bilities. Heat transfer enhancement and increased friction loss re-
sult in increased exergy loss. In our previous works [811], in
order to achieve a compromise between the enhancement of heat
transfer and the reduction of friction loss from heat transfer aug-
mentation devices, a weighted sum multi-objective optimization
approach was applied to transform a bi-objective problem into a
mono-objective problem using a weighting factor. These studies
described the need to determine a weighting factor, and this is
the motivation of the present work. And, it is determined that exer-
gy analysis could be used to solve this problem.
Exergy analysis is an effective method used to identify the
causes of losses in a thermal system, and to calculate their magni-
tudes [12,13]. Bali and Sarac [12] experimentally investigated the
heat transfer and pressure drop characteristics of decaying swirl
ow in a horizontal pipe. They performed exergy analysis to

0017-9310/$ - see front matter 2012 Elsevier Ltd. All rights reserved.
doi:10.1016/j.ijheatmasstransfer.2012.02.003
 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799 2793

Nomenclature

Ac cross sectional area of channel (m2) s specic entropy (J/kg K)

Ah area of heat transfer surface (m2) S distance between dimples (m)
d dimple print diameter (m) T temperature (K)
Dh hydraulic diameter (m) T0 reference temperature (K)
e specic ow exergy (J/kg) T1 wall temperature (K)
E_ exergy transfer rate (W) T2 uid temperature (K)
f friction factor u, v, w velocity components in x, y, and z-directions, respec-
F objective function tively (m/s)
h specic enthalpy (J/kg) U average axial velocity at inlet (m/s)
H channel height (m) v specic volume (m3/kg)
Hd dimple depth (m) wf weighting factor

h overall heat transfer coefcient (W/m2 K) y distance from the wall
k uid thermal conductivity (W/m K) y+ y in wall coordinate
m _ mass ow rate (kg/s)
Nu Nusselt number Greek symbols
p pressure (Pa) q uid density (kg/m3)
Q_ heat transfer rate (W) xx vorticity component in x-direction (1/s)

determine the net exergy loss of turbulent pipe ow. Bejan [13] re-
ported the fundamentals of methods of exergy analysis and mini-
mization of entropy generation. Durmus [14] investigated the
effects of a cut-out conical turbulator placed in a heat exchanger
tube on heat transfer rates and pressure loss. Exergy analysis was
performed for conditions with and without the turbulator.
In this study, to determine the method to compromise between
heat transfer and pressure loss in general heat transfer optimiza-
tion problems in internal channels, exergy was used as an objective
function for the optimization of a dimpled cooling channel. The
objective function was dened as the net exergy gain considering
the exergy gain by heat transfer, and exergy losses by friction
and heat transfer. The optimum geometry was obtained using sur-
rogate-based optimization techniques with a three-dimensional
(3-D) Reynolds-averaged NavierStokes (RANS) analysis.
2. Numerical analysis
The computational domain and geometric variables of a stag-
gered array dimpled channel are shown in Fig. 1. Thirteen dimples
were printed on the bottom side of the channel, and dimple edges
next to the at surface were made sharp for maximum heat trans-
fer augmentation. To perform a 3-D steady RANS analysis of the
uid ow and convective heat transfer in a dimpled channel,
ANSYS CFX-12.1 computational uid dynamics (CFD) commercial
software [15], which employs unstructured grids, was used in this
work. The solutions were obtained using the nite volume method
to discretize the RANS equations. The shear stress transport (SST)
model reported by Menter [16] was employed as a turbulence clo-
sure. Fig. 2 shows an example of the grid system for the whole
computational domain and near the dimpled wall. The grid was
created using ANSYS ICEM-11.0 mesh generation software. An
unstructured tetrahedral grid system was used with a hexahedral
grid at the wall region to resolve the high velocity gradient. The
rst nodes from the end wall were chosen such that the y+ value
was of the order of unity or less, which is required to implement
a low Reynolds number SST model.

Fig. 1. Computational domain and geometric variables. Fig. 2. Example of computational grids.
2794 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799

Table 1
Design variables and design space.

Limits Variables
H/d Hd/d d/S
Lower 0.2 0.1 0.30
Upper 1.5 0.3 0.57

Fig. 3. Exergy transfer in heat transfer process.

In our numerical simulation, a constant temperature condition

was specied on the dimpled surface, and the other at walls were
assumed to be adiabatic. A uniform velocity condition was speci-
ed at the inlet, and the dimpled wall temperature was 400 K.
The temperature of the working uid was 310 K, and the Reynolds
number (based on the hydraulic diameter) was 10,000. Conver-
gence was attained when the root mean square (RMS) residual val-
ues of all ow parameters fell below 1.0  106, and both the mass
and energy imbalances in the entire computational domain were
less than 0.001%. The computations were performed using an Intel
Quad Core CPU 2.4 GHz personal computer. The solver nished a
single simulation in approximately 1000 iterations, and the com-
putation time was about 15 h.

Fig. 4. Grid dependency test (x/S = 0).

3. Design variables

Fig. 1 shows a channel with a single surface roughened by stag-
gered dimples. Using ve geometric parameters (channel height H,
dimple print diameter d, dimple depth Hd, distance between dim-
ples S, and dimple pitch P), H/d, Hd/d, d/S, and S/P were determined.
In this work, S/P was set to 1.73 to reduce the number of variables.
Hence, three design variables, H/d, Hd/d and d/S, were selected for
the optimization.
The design space was set as shown in Table 1. To determine the
ranges of the design variables, preliminary calculations were per-
formed over wide ranges. Before selecting the nal ranges of the
variables, it was checked that the lower and upper limits of the
variables produce feasible geometries.
4. Objective function
improved operation or technology [17]. Heat transfer enhance-
ment is generally achieved by sacricing some energy into uid
friction. In any heat transfer process, irreversibilities occur mainly
by friction and heat transfer, as shown in Fig. 3. Therefore, in this
study, the objective function was dened as the net exergy gain
considering the exergy gain by heat transfer, and exergy losses
by friction and heat transfer process, as follows:
F E_ gain  E_ loss 1
where Egain represents the exergy transfer accompanying heat
transfer Q_ , and is dened as follows:
 
T0 _
E_ gain 1  Q 2
T1

The concept of exergy is based on both the rst law and second where T0 and T1 are the reference (environment) and wall temper-
law of thermodynamics. Exergy analysis can clearly indicate the atures, respectively, and the exergy loss by friction and heat transfer
locations of energy degradation in a process, which could lead to is dened as
 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799 2795

transfer and friction, respectively. The second term (E_ m ) related

to friction loss can be obtained as follows. The specic exergy by
uid ow through a control volume is represented by
e h  ho  T o s  so 4
The Gibbs equation is given by
ds dh  v dp=T 5
From Eqs. (4) and (5), a useful equation for the exergy loss by fric-
tion in the heat transfer process can be obtained as
Z 2
ev T o v =Tdp 6
1

The exergy loss rate is represented by

T m_
_ v  0 Dp
E_ v me 7
T2 q
In the design of convective heat transfer devices, an important
but difcult problem is to achieve a compromise between the
enhancement of heat transfer and the reduction of pumping
power. In many multi-objective optimizations [811] of these
Fig. 5. Validation of numerical results: Nusselt number distribution along the
two objectives, a weighted-sum approach has been applied to
dimple diagonal in streamwise direction (z = 0). transform a bi-objective problem into a mono-objective problem
using a weighting factor. For example, the objective function can
be dened as follows:
Table 2 F 1 Nu  wf f 8
Experimental designs and their objective function values.
where Nu is the Nusselt number, f is the friction factor, and wf is a
Case Design variables Objectives
weighting factor. The weighting factor must be determined in this
H/d Hd/d d/s Egain Eloss by heat Eloss by F approach; however, a general method to nd the weighting factor
[W] transfer [W] friction
has not yet been suggested. The objective function used in this work
[W]
(Eq. (1)) provides the solution for this problem in the following
1 1.089 0.100 0.542 6.126 0.930 1.254 3.942 manner.
2 0.679 0.279 0.527 8.488 1.288 2.301 4.899
3 0.816 0.247 0.328 12.01 1.822 4.298 5.890
The net exergy gain is used as the objective function (Eq. (1)).
4 1.158 0.163 0.314 9.314 1.431 2.159 5.724 This objective function can be rewritten as
5 1.021 0.184 0.556 6.027 0.915 1.231 3.881      
6 1.432 0.121 0.385 7.197 1.092 1.239 4.866 T0 _ T0 _ _ T0
m
F 1 Q  1 Q  Dp
7 1.226 0.205 0.414 7.040 1.069 1.502 4.469 T1 T2 q T2
8 0.474 0.195 0.57 10.19 1.547 3.757 4.886
9 0.953 0.289 0.428 8.269 1.255 2.051 4.963 T 1  T 2 2 kAh _ T0
m
10 0.747 0.216 0.456 8.933 1.356 2.810 4.767
T0 Nu  Dp 9
T 1T2 Dh q T2
11 1.500 0.153 0.499 5.755 0.874 0.707 4.174
12 0.405 0.300 0.399 15.40 2.338 10.08 2.982  T 1  T 2 ; Nu hD
where Q_ hA  =k, and A is the area of the heat
h h h
13 1.295 0.258 0.513 6.043 0.917 0.873 4.253 2
2 T 0 kAh
transfer surface. Dividing both sides of Eq. (9) by T 1TT
1T2 Dh
yields
14 0.200 0.237 0.471 20.76 3.151 17.34 0.269
15 0.337 0.132 0.485 13.73 2.084 7.054 4.592 the following expression:
16 0.611 0.174 0.300 14.17 2.151 6.409 5.610
_
m T 1 Dh T1 2qPU 3 Ac
17 0.268 0.226 0.357 22.22 3.374 15.00 3.846 F 0 Nu  Dp Nu  f 10
18 1.363 0.268 0.343 7.731 1.174 1.609 4.948 q T 1  T 2 kAh
2 2
T 1  T 2 kAh
19 0.884 0.142 0.442 7.896 1.199 2.117 4.580
20 0.542 0.111 0.371 15.58 2.365 8.263 4.952 where f 2DqpDh
U2 P
_ qUAc . Dh, q, U, P, and Ac are the channel
and m
hydraulic diameter, uid density, average axial velocity, dimple
    pitch, and cross sectional area of the channel, respectively. Then,
T0 _ _ T0
m from Eqs. (8) and (10), the weighting factor can be obtained as
E_ loss 1 Q DP 3
T2 q T2 follows:

T1 2qPU 3 Ac
In Eq. (3), T2 is the uid (air) temperature, and the rst and second wf 2
11
T 1  T 2 kAh
terms on the right hand side represent the exergy losses by heat

Table 3
Optimization results.

Shape Design variables Objectives Objective function

H/d Hd/d d/S Egain [W] Eloss by friction [W] Eloss by heat transfer [W] FRANS FSurrogate
Reference 1.155 0.289 0.499 6.500 0.951 1.244 4.520
Optimal 0.901 0.194 0.314 8.190 0.996 0.987 6.000 6.495
2796 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799

5. Optimization methodology components in the x and z directions, respectively, at x/S = 0. Four

Initially, the design variables and objective functions were de-
ned, and a design space consisting of the lower and upper ranges
of the design variables was specied. The design points within the
design space were selected with the help of Latin hypercube sam-
pling (LHS). The objective function values at these design points
were then evaluated using the RANS solver, and a surrogate-based
approximation procedure was applied.
The Kriging model [18] was used as a surrogate model for the
optimization. The Kriging model in its basic formulation estimates
the value of a function (response) at some unsampled location as a
combination of two components: the global model and a system-
atic departure. Mathematically,
yx f x Zx
different grid systems with the number of grids ranging from about
4.0  105 to 2.0  106 were tested. The optimum number of grids
was determined to be about 1.0  106.
The numerical results were validated in comparison with the
experimental data presented by Hwang and Cho [4] for the same
condition (Re = 10,000) and dimensions (H/d = 1.155, Hd/d = 0.289,
d/S = 0.499, Dh = 26.25 mm and Re = 10,000). The experiment
was performed for dimpled channel which has a rectangular
cross-sectional shape with the aspect ratio of 7, and a constant heat
ux condition was provided on the dimpled surface. Both of the
numerical results obtained under the conditions of constant
temperature and constant heat ux on the dimpled surface,
respectively, were compared with the experimental data. Fig. 5
shows Nusselt number distributions along the dimple diagonal in
12

where y(x) is the unknown function to be estimated and f(x) is a

known function (usually a polynomial) representing the trend over
the design space (also referred to as the global model). The second
term on the right-hand side of Eq. (12), Z(x), creates a localized devi-
ation to interpolate the sampled data points by quantifying the cor-
relation of points with a Gaussian correlation having zero mean and
nonzero covariance. The covariance matrix of Z(x) is given by

covZxi ; Zxj  r2 RRxi ; xj ; i; j 1; 2; . . . ; ns 13

where R is a correlation matrix consisting of a spatial correlation

function R(xi, xj) as its elements. r2 is the process variance repre-
senting the scalar of the spatial correlation function (SCF) R(xi, xj)
that quanties the correlation between any two ns sampled data
points xi, xj, and thus controls the smoothness of the Kriging model,
the effect of nearby points, and differentiability of the surface. The
Gaussian function used in this work is the most preferable SCF
when used with a gradient-based optimization algorithm because
it provides a relatively smooth and innitely differentiable surface.

6. Results and discussion

In order to determine the optimal number of grids, a prelimin-

ary grid dependency test was performed to verify that the solution
is grid-independent. Fig. 4(a) and (b) show proles of the velocity

Fig. 6. Nusselt number distributions along the streamwise dimple diagonal for the
reference and optimized shapes. Fig. 7. Local Nusselt number distributions on dimpled surface.
 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799
Fig. 8. Distributions of streamwise vorticity component (xx) on yz plane at x/S = 0 (left) and 0.25 (right).
the streamwise direction. As expected, the numerical results with
the constant heat ux condition shows better agreement with
the experimental results than those with the constant temperature
condition. However, the latter results also shows good agreement
with experimental data except in the dimple where the heat trans-
fer is somewhat under-predicted.
Optimization was performed to maximize the net exergy ob-
tained by the heat transfer in the dimpled channel. The dimpled
channel was optimized with respect to three design variables: H/
d, Hd/d, and d/S. Twenty experimental points were selected by
LHS in the design space (Table 1), and numerical predictions for
the objective function were performed at these points to construct
a surrogate model for optimization. Finally, an optimum point was
found from the constructed surrogate model using sequential qua-
dratic programming (SQP).
Table 2 shows 20 experimental points selected by the LHS and
their objective function values. These results clearly show the com-
peting nature between heat transfer enhancement and friction
loss. Case 17 shows the highest exergy gain and exergy loss, and
vice versa for case 11. Cases 3, 4, and 16 show relatively higher
objective function values compared to the other experimental
designs.
Table 3 shows the surrogate predicted values of the design vari-
ables and the objective function for the optimal and reference
geometries, and corresponding results of the RANS calculations.
2797
The geometry presented by Hwang and Cho [4] was used as the
reference shape. The optimization shows that the three design
variables yielded commonly reduced values compared to the refer-
ence shape. The optimal shape shows that the exergy gain by heat
transfer increased by 26.0%, the exergy loss by friction increased by
4.7%, and the exergy loss by heat transfer decreased by 20.7%. Thus,
the value of the objective function increased by 32.8% compared to
the reference geometry. The objective function value predicted
using the Kriging model at the optimal point shows a relative error
of 8% compared to that of the RANS analysis.
A nding by Mahmood and Ligrani [2] suggests that the lower
value of the channel height produces higher heat transfer rate.
The ratio of channel height to dimple diameter (H/d) for the opti-
mum design also shows a lower value in comparison with that of
the reference geometry. On the other hand, the ratio Hd/d for the
optimum geometry is lower than that of the reference geometry,
but this contradicts the results of Burgess and Ligrani [3] who sug-
gested that a deeper dimple (higher value of Hd/d) produces a high-
er heat transfer rate for Hd/d less than or equal to 0.3. This is mainly
due to the fact that the objective of the present optimization is not
only enhancing the heat transfer but also reducing the pressure
loss since the pressure loss decreases rapidly with the increase of
dimple depth as can be found in Table 2. And, the contradiction
is partly attributed to the combined effects of the three design vari-
ables. An optimum value of the d/S is near the lower bound of the
2798 K.-D. Lee, K.-Y. Kim / International Journal of Heat and Mass Transfer 55 (2012) 27922799
Fig. 9. Vortex core regions in the dimpled channel.
design space. Silva et al. [6] stated that the area of high heat trans-
fer coefcient increases with the distance between dimples. This is
also supported by the optimizations of inline [8] and staggered ar-
rays [11] of dimples.
A comparison of Nusselt number distributions between the
optimum and reference geometries is shown in Fig. 6. The distribu-
tion for the optimum shape indicates that an improvement in heat
transfer occurred throughout the domain, and the peak value at the
rear rim of the dimple increased by 44%.
Fig. 7 shows the distributions of the local Nusselt number on
dimpled walls for the reference and optimum geometries. And,
Fig. 8 shows the distributions of streamwise vorticity component
(xx) on yz plane at the center of dimple (x/S = 0) and halfway be-
tween the dimples (x/S = 0.25). It is noted that heat transfer was
enhanced, especially at the rear region of the dimpled surface. High
velocity uids impinged on the inside surface of the dimple cavity
and produced a higher mixing zone, and hence a higher heat trans-
fer rate. The heat transfer rate suddenly decreased just down-
stream of the front rim of the dimple due to ow separation.
And, downstream of the rear rim of the dimple, the heat transfer
increased due to pairs of vortices which ow in the direction of
dimple diagonal [13]. These phenomena were also observed in
the present numerical results, and more pronounced for the opti-
mized geometry as shown in Figs. 7 and 8. The optimized shape
shows nearly symmetric vortex structure while asymmetric vortic-
ity distribution is shown for the reference shape in Fig. 8. This is
due to the difference in the dimple depth between the two shapes.
Isaev and Leontev [19] reported that the turbulent ow past deep
dimples (d/D = 0.220.24) becomes asymmetric.
Fig. 9 shows the vortex core regions in the dimpled channel for
the reference and optimized geometries. The vortex core is a spe-
cial type of iso-surface that displays a vortex [15]. As mentioned
above, the vortex pairs generated at the rear rim of the dimple ow
in the direction of dimple diagonal. This vortex structure enhances
the heat transfer. The vortex core regions clearly show the sepa-
rated regions inside the dimples and the vortex pairs generated
over the rear rim of the dimples. And, in the optimum design,
the vortex pair continues longer downstream of the dimple com-
pared to the reference geometry due to the wider spacing between
the dimples.
7. Conclusion
To achieve a compromise between heat transfer and pressure
loss, an exergy analysis was introduced in determining the objec-
tive function of general heat transfer optimization problems in
internal channels. The proposed approach was applied to optimize
a dimpled channel. The objective function was dened as a net
exergy gain with respect to exergy gain by heat transfer, and exer-
gy losses generated by friction and heat transfer. From this deni-
tion, a general expression for the weighting factor using a weighted
sum approach for the bi-objective problem has been derived. For
three design variables (the ratio of channel height to dimple diam-
eter, the ratio of dimple depth to diameter, and the ratio of dimple
spacing to pitch), twenty designs were selected using the LHS
method. The Kriging method was used to predict the optimum de-
sign. The optimum shape of the dimpled channel shows that the
objective function value was improved by 32.8% compared to the
reference geometry. The form of the objective function proposed
in this work could be applied widely to heat transfer optimization
problems involving various internal channels.
Acknowledgements
This research was supported by the National Research Founda-
tion of Korea (NRF) Grant No. 20090083510 funded by government
(MEST) through Multi-phenomena CFD Engineering Research
Center.
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