Objectives

Chapter 1
INTRODUCTION AND
BASIC CONCEPTS

Understand how thermodynamics and heat transfer are related

to each other

Distinguish thermal energy from other forms of energy, and heat

transfer from other forms of energy transfer

Perform general energy balances as well as surface energy

balances

Understand the basic mechanisms of heat transfer, which are

conduction, convection, and radiation, and Fourier's law of heat
conduction, Newton's law of cooling, and the StefanBoltzmann
law of radiation

Identify the mechanisms of heat transfer that occur

simultaneously in practice

Develop an awareness of the cost associated with heat losses

Solve various heat transfer problems encountered in practice

2

THERMODYNAMICS AND HEAT TRANSFER

Heat: The form of energy that can be transferred from one
system to another as a result of temperature difference.
Thermodynamics is concerned with the amount of heat
transfer as a system undergoes a process from one
equilibrium state to another.
Heat Transfer deals with the determination of the rates of
such energy transfers as well as variation of temperature.
The transfer of energy as heat is always from the highertemperature medium to the lower-temperature one.
Heat transfer stops when the two mediums reach the same
temperature.
Heat can be transferred in three different modes:
conduction, convection, radiation
4

Application Areas of Heat Transfer

Historical Background

Kinetic theory: Treats molecules as

tiny balls that are in motion and thus
possess kinetic energy.
Heat: The energy associated with the
random motion of atoms and
molecules.
Caloric theory: Heat is a fluidlike
substance called the caloric that is a
massless, colorless, odorless, and
tasteless substance that can be
poured from one body into another
It was only in the middle of the
nineteenth century that we had a true
physical understanding of the nature
of heat.

Careful experiments of the

Englishman James P. Joule published
in 1843 convinced the skeptics that
heat was not a substance after all, and
thus put the caloric theory to rest.
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ENGINEERING HEAT TRANSFER

Heat transfer equipment such as heat exchangers, boilers, condensers, radiators,
heaters, furnaces, refrigerators, and solar collectors are designed primarily on the
basis of heat transfer analysis.
The heat transfer problems encountered in practice can be considered in two
groups: (1) rating and (2) sizing problems.
The rating problems deal with the determination of the heat transfer rate for an
existing system at a specified temperature difference.
The sizing problems deal with the determination of the size of a system in order to
transfer heat at a specified rate for a specified temperature difference.
An engineering device or process can be studied either experimentally (testing and
taking measurements) or analytically (by analysis or calculations).
The experimental approach has the advantage that we deal with the actual physical
system, and the desired quantity is determined by measurement, within the limits of
experimental error. However, this approach is expensive, timeconsuming, and often
impractical.
The analytical approach (including the numerical approach) has the advantage that it
is fast and inexpensive, but the results obtained are subject to the accuracy of the
assumptions, approximations, and idealizations made in the analysis.
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Modeling in Engineering

HEAT AND OTHER FORMS OF ENERGY

Energy can exist in numerous forms such as:

thermal,
mechanical,
kinetic,
potential,
electrical,
magnetic,
chemical,
nuclear.
Their sum constitutes the total energy E (or e on a unit mass
basis) of a system.
The sum of all microscopic forms of energy is called the
internal energy of a system.

10

Internal Energy and Enthalpy

Internal energy: May be viewed as the sum of the kinetic and potential
energies of the molecules.
Sensible heat: The kinetic energy of the molecules.

Latent heat: The internal energy associated with the phase of a system.
Chemical (bond) energy: The internal energy associated with the
atomic bonds in a molecule.
Nuclear energy: The internal energy associated with the bonds within
the nucleus of the atom itself.

In the analysis of systems that

involve fluid flow, we frequently
encounter the combination of
properties u and Pv.
The combination is defined as
enthalpy (h = u + Pv).
The term Pv represents the flow
energy of the fluid (also called
the flow work).

What is thermal energy?

What is the difference between thermal
energy and heat?

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12

Specific Heats of Gases,

Liquids, and Solids

Specific heat: The energy required to raise the

temperature of a unit mass of a substance by
one degree.

Two kinds of specific heats:

specific heat at constant volume cv
specific heat at constant pressure cp

The specific heats of a substance, in general,

depend on two independent properties such
as temperature and pressure.

At low pressures all real gases approach ideal

gas behavior, and therefore their specific heats
depend on temperature only.

Incompressible substance: A substance

whose specific volume (or density) does
not change with temperature or
pressure.

The constant-volume and constantpressure specific heats are identical for

incompressible substances.

The specific heats of incompressible

substances depend on temperature only.

13

Energy Transfer

14

THE FIRST LAW OF THERMODYNAMICS

Energy can be transferred to or from a given

mass by two mechanisms:

when

The first law of thermodynamics (conservation of energy

principle) states that energy can neither be created nor destroyed
during a process; it can only change forms.

is constant:

heat transfer and work.

Heat transfer rate: The amount of heat
transferred per unit time.

The net change (increase or

decrease) in the total energy of
the system during a process is
equal to the difference between
the total energy entering and the
total energy leaving the system
during that process.

Heat flux: The rate of heat transfer per unit

area normal to the direction of heat transfer.
Power: The work
done per unit time.

The energy balance for any

system undergoing any process
in the rate form

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16
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Energy Balance for Closed Systems (Fixed Mass)

A closed system consists of a fixed mass.
In heat transfer problems it is convenient to
write a heat balance and to treat the
conversion of nuclear, chemical,
mechanical, and electrical energies into
thermal energy as heat generation.

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The total energy E for most systems

encountered in practice consists of the
internal energy U.
This is especially the case for stationary
systems since they dont involve any
changes in their velocity or elevation during
a process.

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Energy Balance for

Steady-Flow Systems

Surface Energy Balance

A surface contains no volume or mass,
and thus no energy. Theoretically, a
surface can be viewed as a fictitious
system whose energy content remains
constant during a process.

A large number of engineering devices such as

water heaters and car radiators involve mass flow
in and out of a system, and are modeled as
control volumes.
Most control volumes are analyzed under steady
operating conditions.
The term steady means no change with time at a
specified location.
Mass flow rate: The amount of mass flowing
through a cross section of a flow device per unit
time.
Volume flow rate: The volume of a fluid flowing
through a pipe or duct per unit time.

This relation is valid for both steady and

transient conditions, and the surface
energy balance does not involve heat
generation since a surface does not
have a volume.

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CONDUCTION

HEAT TRANSFER MECHANISMS

Conduction: The transfer of energy from the more

energetic particles of a substance to the adjacent less
energetic ones as a result of interactions between the
particles.

Heat as the form of energy that can be transferred from one system to
another as a result of temperature difference.
A thermodynamic analysis is concerned with the amount of heat transfer
as a system undergoes a process from one equilibrium state to another.
The science that deals with the determination of the rates of such
energy transfers is the heat transfer.
The transfer of energy as heat is always from the higher-temperature
medium to the lower-temperature one, and heat transfer stops when
the two mediums reach the same temperature.
Heat can be transferred in three basic modes:
conduction
convection
radiation
All modes of heat transfer require the existence of a temperature
difference.

In gases and liquids, conduction is due to the

collisions and diffusion of the molecules during their
random motion.
In solids, it is due to the combination of vibrations of
the molecules in a lattice and the energy transport by
free electrons.
The rate of heat conduction through a plane layer is
proportional to the temperature difference across the
layer and the heat transfer area, but is inversely
proportional to the thickness of the layer.

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When x 0

20

Heat conduction
through a large plane
wall of thickness x
and area A.
22

Fouriers law of
heat conduction

Thermal conductivity, k: A measure of the ability of

a material to conduct heat.
Temperature gradient dT/dx: The slope of the
temperature curve on a T-x diagram.
Heat is conducted in the direction of decreasing
temperature, and the temperature gradient becomes
negative when temperature decreases with
increasing x. The negative sign in the equation
ensures that heat transfer in the positive x direction
is a positive quantity.

In heat conduction
analysis, A represents
the area normal to the
direction of heat
transfer.

The rate of heat conduction

through a solid is directly
proportional to its thermal
conductivity.
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24

Thermal
Conductivity
Thermal conductivity:
The rate of heat transfer
through a unit thickness
of the material per unit
area per unit
temperature difference.
The thermal conductivity
of a material is a
measure of the ability of
the material to conduct
heat.

The range of
thermal
conductivity of
various
materials at
room
temperature.

A high value for thermal

conductivity indicates
A simple experimental setup
that the material is a
to determine the thermal
good heat conductor,
conductivity of a material.
and a low value indicates
that the material is a
poor heat conductor or
insulator.
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26

The thermal conductivities of gases such

as air vary by a factor of 104 from those
of pure metals such as copper.
Pure crystals and metals have the
highest thermal conductivities, and gases
and insulating materials the lowest.

The variation of
the thermal
conductivity of
various solids,
liquids, and gases
with temperature.

The mechanisms of heat

conduction in different
phases of a substance.
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Thermal Diffusivity

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CONVECTION

cp Specific heat, J/kgC: Heat capacity per

unit mass
cp Heat capacity, J/m3C: Heat capacity
per unit volume
Thermal diffusivity, m2/s: Represents
how fast heat diffuses through a material

Convection: The mode of

energy transfer between a
solid surface and the
adjacent liquid or gas that is
in motion, and it involves
the combined effects of
conduction and fluid motion.
The faster the fluid motion,
the greater the convection
heat transfer.

A material that has a high thermal

conductivity or a low heat capacity will
obviously have a large thermal diffusivity.

In the absence of any bulk

fluid motion, heat transfer
between a solid surface and
the adjacent fluid is by pure
conduction.

The larger the thermal diffusivity, the faster

the propagation of heat into the medium.
A small value of thermal diffusivity means
that heat is mostly absorbed by the
material and a small amount of heat is
conducted further.
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Heat transfer from a hot surface to air

by convection.

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Newtons law of cooling

Forced convection: If
the fluid is forced to flow
over the surface by
external means such as
a fan, pump, or the wind.
Natural (or free)
convection: If the fluid
motion is caused by
buoyancy forces that are
induced by density
differences due to the
variation of temperature
in the fluid.

h
As
Ts
T

convection heat transfer coefficient, W/m2 C

the surface area through which convection heat transfer takes place
the surface temperature
the temperature of the fluid sufficiently far from the surface.

The convection heat transfer

coefficient h is not a property
of the fluid.
It is an experimentally
determined parameter
whose value depends on all
the variables influencing
convection such as
- the surface geometry
- the nature of fluid motion
- the properties of the fluid
- the bulk fluid velocity

The cooling of a boiled egg by

forced and natural convection.

Heat transfer processes that involve change of phase of a fluid are also
considered to be convection because of the fluid motion induced during
the process, such as the rise of the vapor bubbles during boiling or the
fall of the liquid droplets during condensation.
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32

RADIATION

Radiation: The energy emitted by matter in the form of electromagnetic

waves (or photons) as a result of the changes in the electronic
configurations of the atoms or molecules.

Unlike conduction and convection, the transfer of heat by radiation does

not require the presence of an intervening medium.

In fact, heat transfer by radiation is fastest (at the speed of light) and it
suffers no attenuation in a vacuum. This is how the energy of the sun
reaches the earth.

In heat transfer studies we are interested in thermal radiation, which is

the form of radiation emitted by bodies because of their temperature.

All bodies at a temperature above absolute zero emit thermal radiation.

Radiation is a volumetric phenomenon, and all solids, liquids, and

gases emit, absorb, or transmit radiation to varying degrees.

However, radiation is usually considered to be a surface phenomenon

for solids.

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StefanBoltzmann law

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Absorptivity : The fraction of the radiation energy incident on a

surface that is absorbed by the surface. 0
1

= 5.670 108 W/m2 K4 StefanBoltzmann constant

A blackbody absorbs the entire radiation incident on it ( = 1).

Blackbody: The idealized surface that emits radiation at the maximum rate.

Kirchhoffs law: The emissivity and the absorptivity of a surface at

a given temperature and wavelength are equal.

Radiation emitted
by real surfaces
Emissivity : A measure of how closely
a surface approximates a blackbody for
which = 1 of the surface. 0
1.

Blackbody radiation represents the maximum

amount of radiation that can be emitted from
a surface at a specified temperature.

The absorption of radiation incident on

an opaque surface of absorptivity .
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36

Net radiation heat transfer:

The difference between the
rates of radiation emitted by the
surface and the radiation
absorbed.
The determination of the net
rate of heat transfer by radiation
between two surfaces is a
complicated matter since it
depends on
the properties of the surfaces
their orientation relative to
each other
the interaction of the medium
between the surfaces with
radiation
Radiation is usually
significant relative to
conduction or natural
convection, but negligible
relative to forced convection.

When a surface is completely enclosed by a

much larger (or black) surface at temperature
Tsurr separated by a gas (such as air) that
does not intervene with radiation, the net rate
of radiation heat transfer between these
two surfaces is given by

When radiation and convection occur

simultaneously between a surface and a gas:

Combined heat transfer coefficient hcombined

Includes the effects of both convection and radiation

Radiation heat transfer between a

surface and the surfaces surrounding it.

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SIMULTANEOUS HEAT
TRANSFER MECHANISMS

PREVENTION THROUGH DESIGN

Heat transfer is only by conduction in opaque solids,

but by conduction and radiation in semitransparent
solids.
A solid may involve conduction and radiation but not
convection. A solid may involve convection and/or
radiation on its surfaces exposed to a fluid or other
surfaces.
Heat transfer is by conduction and possibly by
radiation in a still fluid (no bulk fluid motion) and by
convection and radiation in a flowing fluid.
In the absence of radiation, heat transfer through a
fluid is either by conduction or convection, depending
on the presence of any bulk fluid motion.
Convection = Conduction + Fluid motion
Heat transfer through a vacuum is by radiation.
Most gases between two solid surfaces
do not interfere with radiation.
Although there are three mechanisms of
Liquids are usually strong absorbers of
heat transfer, a medium may involve
39
radiation.
only two of them simultaneously.

Within the context of heat and mass

transfer, the PtD concepts can be presented
along with the physical mechanisms
involved and practical applications.

The first of the fundamental canons of ethics for engineers is to hold

paramount the safety, health, and welfare of the public when fulfilling
their professional duties.
In 2007, the National Institute for Occupational Safety and Health (NIOSH)
launched the National Prevention through Design (PtD) initiative, with the
mission to prevent or reduce work-related injuries, illnesses, and
fatalities by including prevention considerations in all circumstances that
impact individuals in the work places.
As such, the concept of PtD involves applying the means of reducing
risks and preventing hazards in the design of equipment, tools,
processes, and work facilities.
The concepts of PtD can also be rationally applied to preventing
failures and damages of devices, products, and systems. Since such
failures and damages are often led to negative impacts on the
environment, profitability, and ultimately the society at large.
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PROBLEM-SOLVING TECHNIQUE
Step 1: Problem Statement
Step 2: Schematic
Step 3: Assumptions and Approximations
Step 4: Physical Laws
Step 5: Properties
Step 6: Calculations
Step 7: Reasoning, Verification, and Discussion

Issues such as prevention of thermal burn,

fire hazard, and thermal failure in systems
are topics that can relate the concepts of
PtD with the basic science of heat and mass
transfer.
The process of solving heat and mass
transfer problems, along with the
application of PtD concepts, involves
incorporating prescribed PtD criteria,
the prevention of burn injury, fire hazard, or
system failure, to the solutions.
To successfully arrive at a solution that
satisfies prescribed PtD criteria requires the
understanding of how the physical
mechanisms of heat and mass transfer
interrelate with the concepts of PtD.

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44

Engineering Software Packages

A Remark on Significant Digits

Thinking that a person who can use the

engineering software packages without
proper training on fundamentals can
practice engineering is like thinking that a
person who can use a wrench can work as
a car mechanic.

In engineering calculations, the

information given is not known to
more than a certain number of
significant digits, usually three
digits.
Consequently, the results
obtained cannot possibly be
accurate to more significant
digits.

EES (Engineering Equation Solver)

(Pronounced as ease): EES is a program that
solves systems of linear or nonlinear
algebraic or differential equations numerically.
It has a large library of built-in thermodynamic
property functions as well as mathematical
functions. Unlike some software packages,
EES does not solve engineering problems; it
only solves the equations supplied by the
user.

Reporting results in more

significant digits implies greater
accuracy than exists, and it
should be avoided.

A result with more significant

digits than that of given data
falsely implies more accuracy.

45

Summary

46

Heat Transfer Mechanisms

Conduction

Thermodynamics and Heat Transfer

Application areas of heat transfer

Fouriers law of heat conduction

Historical background

Thermal Conductivity
Thermal Diffusivity

Engineering Heat Transfer

Convection

Modeling in engineering

Newtons law of cooling

Heat and Other Forms of Energy

Radiation

Specific heats of gases, liquids, and solids

StefanBoltzmann law

Energy transfer

Simultaneous Heat Transfer Mechanisms

The First Law of Thermodynamics

Energy balance for closed systems (Fixed Mass)

Prevention through Design

Energy balance for steady-flow systems

Problem Solving Technique

Surface energy balance

Engineering software packages

Engineering Equation Solver (EES)
A remark on significant digits
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