Chapter 1

INTRODUCTION AND BASIC

CONCEPTS
 Objectives
• 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 Stefan–Boltzmann
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 higher-
temperature 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
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4
Application Areas of Heat Transfer

5
5
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. 6
7
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.
8
Modeling in Engineering

9
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: 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.

What is thermal energy?

What is the difference between thermal
energy and heat?

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Internal Energy and Enthalpy

• 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).

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.

13
• Incompressible substance: A
substance whose specific volume (or
density) does not change with
temperature or pressure.
• The constant-volume and constant-
pressure specific heats are identical
for incompressible substances.
• The specific heats of incompressible
substances depend on temperature
only.

14
Energy Transfer
Energy can be transferred to or from a given
mass by two mechanisms: when is constant:
heat transfer and work.
Heat transfer rate: The amount of heat
transferred per unit time.
Heat flux: The rate of heat transfer per unit
area normal to the direction of heat transfer.
Power: The work
done per unit time.

15
THE FIRST LAW OF THERMODYNAMICS
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.
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.

The energy balance for any

system undergoing any process
in the rate form

16
16
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.

17
Energy Balance for Closed Systems (Fixed Mass)
A closed system consists of a fixed mass.
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 don’t involve any
changes in their velocity or elevation during
a process.

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Energy Balance for
Steady-Flow Systems
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.

19
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.

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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 HEAT TRANSFER MECHANISMS
• 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. 21
CONDUCTION
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.
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.
Heat conduction
through a large plane
wall of thickness x
and area A.

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When x → 0 Fourier’s 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 rate of heat conduction
the area normal to the through a solid is directly
direction of heat proportional to its thermal
conductivity. 23
transfer.
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.
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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The range of
thermal
conductivity of
various
materials at
room
temperature.

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 mechanisms of heat

conduction in different
phases of a substance. 27
The variation of
the thermal
conductivity of
various solids,
liquids, and gases
with temperature.
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Thermal Diffusivity
cp Specific heat, J/kg·°C: Heat capacity per
unit mass
cp Heat capacity, J/m3·°C: Heat capacity
per unit volume
 Thermal diffusivity, m2/s: Represents
how fast heat diffuses through a material

A material that has a high thermal

conductivity or a low heat capacity will
obviously have a large thermal diffusivity.
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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CONVECTION
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.
In the absence of any bulk
fluid motion, heat transfer
between a solid surface and
Heat transfer from a hot surface to air
the adjacent fluid is by pure
by convection.
conduction.

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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 The cooling of a boiled egg by
variation of temperature forced and natural convection.
in the fluid.

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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 Newton’s law of cooling

h convection heat transfer coefficient, W/m2 · °C

As the surface area through which convection heat transfer takes place
Ts the surface temperature
T 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
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33
 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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 Stefan–Boltzmann law
 = 5.670  108 W/m2 · K4 Stefan–Boltzmann constant
Blackbody: The idealized surface that emits radiation at the maximum rate.

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. 35
Absorptivity : The fraction of the radiation energy incident on a
surface that is absorbed by the surface. 0   1
A blackbody absorbs the entire radiation incident on it ( = 1).
Kirchhoff’s law: The emissivity and the absorptivity of a surface at
a given temperature and wavelength are equal.

The absorption of radiation incident on

an opaque surface of absorptivity . 36
Net radiation heat transfer: When a surface is completely enclosed by a
The difference between the much larger (or black) surface at temperature
rates of radiation emitted by the Tsurr separated by a gas (such as air) that
surface and the radiation does not intervene with radiation, the net rate
absorbed. of radiation heat transfer between these
two surfaces is given by
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 Radiation heat transfer between a
relative to forced convection. 37
surface and the surfaces surrounding it.
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

38
SIMULTANEOUS HEAT
TRANSFER MECHANISMS
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.
PREVENTION THROUGH DESIGN
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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Within the context of heat and mass
transfer, the PtD concepts can be presented
along with the physical mechanisms
involved and practical applications.

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. 41
 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

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44
Engineering Software Packages
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.

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.
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A Remark on Significant Digits
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.
Reporting results in more
significant digits implies greater
accuracy than exists, and it A result with more significant
should be avoided. digits than that of given data
falsely implies more accuracy.

46
 Summary
• Thermodynamics and Heat Transfer
 Application areas of heat transfer
 Historical background
• Engineering Heat Transfer
 Modeling in engineering
• Heat and Other Forms of Energy
 Specific heats of gases, liquids, and solids
 Energy transfer
• The First Law of Thermodynamics
 Energy balance for closed systems (Fixed Mass)
 Energy balance for steady-flow systems
 Surface energy balance

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• Heat Transfer Mechanisms
• Conduction
 Fourier’s law of heat conduction
 Thermal Conductivity
 Thermal Diffusivity
• Convection
 Newton’s law of cooling
• Radiation
 Stefan–Boltzmann law
• Simultaneous Heat Transfer Mechanisms
• Prevention through Design
• Problem Solving Technique
 Engineering software packages
 Engineering Equation Solver (EES)
 A remark on significant digits 48