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 Title Page
Basic Mechanical
Engineering

Second Edition

Pravin Kumar
Assistant Professor
Department of Mechanical Engineering
Delhi Technological University (DTU)

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 Brief Contents
Brief Contents
Preface to the Second Edition
Preface to the First Edition
About the Author
Acknowledgements
1. Concepts of Thermodynamics and Properties of Gases
2. Fuels and Combustion
3. Power Plant Engineering and Sources of Energy
4. Properties of Steam and Steam Generators
5. Steam and Gas Turbines
6. Internal Combustion Engines
7. Heat Transfer
8. Refrigeration and Air Conditioning
9. Fluid Mechanics and Hydraulic Machines
10. Air Compressors
11. Centroid and Moment of Inertia
12. Stress and Strain
13. Machine Elements
14. Flywheel and Governors
15. Power Transmission Devices
16. Couplings, Clutches, and Brakes
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17. Engineering Materials
18. Mechanical Measurement
19. Machine Tools
20. Casting and Welding
21. Mechanical Working of Metals, Sheet Metal Work, Powder Metallurgy, and
Smithy
22. Manufacturing Systems: NC, CNC, DNC, and Robotics
23. Heat Treatment
Appendix 1: Mollier Diagram for Steam
Appendix 2: Steam Table
Index

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Contents
Preface to the Second Edition
Preface to the First Edition
About the Author
Acknowledgements
1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
1.1 Introduction
1.2 Important Terminologies Used in Thermodynamics
1.3 Specific Heat Capacity
1.3.1 Specific Heat at Constant Volume (Cv )

1.3.2 Specific Heat at Constant Pressure (CP)

1.3.3 Relationship Between Cp and Cv

1.4 The First Law of Thermodynamics

1.4.1 Mechanical Equivalent of Heat
1.4.2 Internal Energy
1.4.3 Physical Interpretation of Internal Energy
1.4.4 Energy Transfer Across the System Boundary (Heat and Work)
1.4.5 Non-flow Processes
1.4.6 Application of First Law of Thermodynamics in Steady Flow Process and Variable
Flow Process
1.4.7 Limitations of First Law of Thermodynamics
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1.5 The Second Law of Thermodynamics
1.5.1 Kelvin–Planck Statement
1.5.2 Clausius Statement
1.5.3 Equivalence of Kelvin–Planck and Clausius Statement
1.6 Reversible and Irreversible Processes
1.7 The Carnot Cycle
1.8 The Clausius Inequality
1.9 Entropy and Entropy Generation
1.9.1 Entropy
1.9.2 Entropy Generation
1.9.3 Entropy Balance
1.9.4 Evaluation of Entropy Change
1.10 Third Law of Thermodynamics
1.11 Gas Laws
1.11.1 Boyle’s Law
1.11.2 Charles’s Law
1.11.3 Gay–Lussac’s Law
1.11.4 The Combined Gas Law
1.11.5 Gas Constant
Points to Remember
Important Formulae
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Multiple-choice Questions
Fill in the Blanks
Review Questions
Exercise Problems
2 FUELS AND COMBUSTION
2.1 Introduction
2.2 Coal
2.2.1 Analysis of Coal
2.2.2 Advantages of Solid Fuels over the Liquid Fuels
2.3 Liquid Fuels
2.3.1 Petroleum
2.3.2 Kerosene
2.3.3 Diesel
2.3.4 Gasoline
2.3.5 Calorific Value of Liquid Fuels
2.3.6 Major Contents of Liquid Fuels
2.3.7 Advantages and Disadvantages of Liquid Fuels over Solid Fuels
2.4 Gaseous Fuels
2.4.1 Liquefied Petroleum Gas (LPG)
2.4.2 Compressed Natural Gas (CNG)
2.4.3 Advantages and Disadvantages of Gaseous Fuels over the Solid Fuels
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2.5 Biofuels
2.5.1 Bioalcohols
2.5.2 Biodiesel
2.5.3 Green Diesel
2.5.4 Vegetable Oil
2.5.5 Biogas
2.5.6 Bioethers
2.5.7 Syngas
2.5.8 Solid Biofuels
2.5.9 Scope of Second-generation Biofuels
2.6 Combustion
2.6.1 Principle of Combustion
2.7 Determination of Calorific Value of Fuel Using Bomb Calorimeter
Points to Remember
Important Formulae
Review Questions
Exercise Problems
3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY
3.1 Introduction
3.2 Prime Movers
3.2.1 Historical Development of Prime Movers
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3.3 Power Plant Engineering
3.3.1 Thermal Power Plant
3.3.2 Hydroelectric Power Plant
3.3.3 Nuclear Power Plant
3.3.4 Diesel Power Plant
3.3.5 Tidal Power Plant
3.3.6 The Geothermal Power Plant
3.3.7 Windmill
3.4 Sources of Energy
3.4.1 Renewable Energy
3.4.2 Non-renewable Energy
Points to Remember
Multiple Choice Questions
Answers
Review Questions
4 PROPERTIES OF STEAM AND STEAM GENERATORS
4.1 Introduction
4.2 Formation of Steam at Constant Pressure
4.3 Throttling Calorimeter
4.4 Separating and Throttling Calorimeter
4.5 Steam Table
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4.6 Mollier Diagram or h–S Chart

4.7 Steam Generators/Boilers

4.7.1 Classification of Boilers
4.7.2 Requirements of a Good Boiler
4.7.3 Cochran Boiler
4.7.4 Babcock and Wilcox Boiler
4.7.5 Locomotive Boiler
4.7.6 Lancashire Boiler
4.7.7 Cornish Boiler
4.8 Boiler Mountings
4.8.1 Safety Valves
4.8.2 High Steam Low Water Safety Valve
4.8.3 Water Level Indicator
4.8.4 Pressure Gauge
4.8.5 Feed Check Valve
4.8.6 Steam Stop Valve
4.8.7 Blow-off Cock
4.8.8 Fusible Plug
4.8.9 Manhole
4.9 Boiler Accessories
4.9.1 Economizer
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4.9.2 Air Preheater
4.9.3 Superheater
4.9.4 Feed Pump
4.9.5 Injector
4.9.6 Steam Trap
4.9.7 Steam Separator
4.9.8 Pressure Reducing Valve
4.10 Performance of Boilers
Points to Remember
Important Formulae
Multiple-choice Questions
Fill in the Blanks
Review Questions
Exercise Problems
5 STEAM AND GAS TURBINES
5.1 Introduction
5.2 Steam Engines and their Working Principles
5.2.1 Modified Rankine Cycle: Theoretical Indicator Diagram
5.2.2 Rankine Cycle
5.3 Steam Turbines
5.3.1 Classification of Steam Turbine
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5.3.2 Compounding of Impulse Turbine
5.3.3 Impulses-reaction Turbine (Reaction Turbine)
5.3.4 Differences Between Impulse and Reaction Turbines
5.3.5 Losses in Steam Turbines
5.3.6 Governing of Steam Turbines
5.4 Gas Turbines
5.4.1 Classification of Gas Turbine
5.4.2 Applications of Gas Turbines
5.4.3 Gas Turbine Cycle with Regenerator
5.4.4 Gas Turbine Cycle with Reheating and Intercooling
Points to Remember
Important Formulae
Objective Questions
Fill in the Blanks
Review Questions
Exercise Problems
6 INTERNAL COMBUSTION ENGINES
6.1 Introduction
6.2 Classification of I.C. Engines
6.3 Basic Structure of I.C. Engines
6.3.1 Nomenclature
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6.4 Working Principle of I.C. Engines
6.4.1 Four-stroke Spark Ignition Engine
6.4.2 Four-stroke Compression Ignition Engine
6.4.3 Two-stroke Spark Ignition Engine
6.4.4 Two-stroke C.I. Engine
6.4.5 Comparison Between Four-stroke and Two-stroke Engines
6.4.6 Comparison Between S.I. and C.I. Engines
6.4.7 Comparison Between Otto Cycle and Diesel Cycle
6.5 Valve Timing Diagrams
6.5.1 Valve Timing Diagram for Four-stroke S.I. Engines
6.5.2 Port Timing Diagram for Two-stroke S.I. Engines
6.5.3 Valve Timing Diagram for Four-stroke C.I. Engine
6.6 Otto Cycle
6.7 Diesel Cycle
6.8 Dual Cycle
6.9 Engine Performance Parameters
6.10 Emission Control
6.10.1 Types of Emissions
6.10.2 Emission Control Techniques
6.11 Some Recent Developments in Automotive Technology
6.11.1 Multi-point Fuel Injection
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6.11.2 Common Rail Direct Injection (CRDI)
6.11.3 Hybrid Engine
Points to Remember
Important Formulae
Multiple-choice Questions
Fill in the Blanks
Review Questions
Exercise Problems
7 HEAT TRANSFER
7.1 Introduction
7.1.1 Conduction
7.1.2 Convection
7.1.3 Radiation
7.1.4 Combined Heat Transfer
Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
8 REFRIGERATION AND AIR CONDITIONING
8.1 Introduction
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8.2 Refrigerator and Heat Pump
8.3 Components of Refrigeration System
8.3.1 Evaporator
8.3.2 Compressor
8.3.3 Condenser
8.3.4 Expansion Valve
8.4 Types of Refrigeration Systems
8.4.1 Air-refrigeration System
8.4.2 Vapour Compression Refrigeration System
8.4.3 Absorption Refrigeration Cycle
8.5 Type of Refrigerants
8.6 Domestic Refrigerator
8.7 Psychrometry
8.8 Psychrometric Processes
8.8.1 Psychrometric Chart
8.9 Air Washers
8.10 Human Comfort Conditions
8.11 Room Air Conditioner
8.11.1 Window Air Conditioner
8.11.2 Split Air Conditioner
8.11.3 Difference Between Split and Window ACs
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Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
9 FLUID MECHANICS AND HYDRAULIC MACHINES

FLUID MECHANICS
9.1 Introduction
9.2 Properties of Fluids
9.2.1 Density
9.2.2 Viscosity
9.2.3 Newtonian and Non-Newtonian Fluids
9.2.4 Surface Tension
9.2.5 Capillarity
9.2.6 Pressure Variation with Depth
9.3 Bernoulli’s Equation
9.4 Types of Flow

HYDRAULIC MACHINES
9.5 Introduction
9.6 Hydraulic Turbines
9.6.1 Classification of Hydraulic Turbines
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9.7 Terminology Used in Turbine
9.8 Pelton Turbine
9.8.1 Main Components of Pelton Turbine
9.8.2 Selection of Speed of Pelton Turbine
9.8.3 Velocity Triangle for Pelton Turbine
9.9 Francis Turbine
9.9.1 Main Components of Francis Turbine
9.9.2 Different Shapes of Draft Tubes
9.10 Kaplan Turbine
9.10.1 Velocity Triangle for Kaplan Turbine
9.11 Governing of Turbines
9.12 Pumps
9.13 Centrifugal Pump
9.13.1 Main Components of Centrifugal Pump
9.13.2 Velocity Triangle for Centrifugal Pump
9.13.3 Various Heads and Efficiencies of Centrifugal Pumps
9.13.4 Some Important Points Related to Centrifugal Pump
9.14 Reciprocating Pump
9.14.1 Air Vessels
9.15 Gear Pump
9.16 Vane Pump
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9.17 Lobe Pump
9.18 Screw Pump
9.18.1 Two-screw, Low-pitch, Screw Pump
9.18.2 Three-screw, High-pitch, Screw Pump
Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
10 AIR COMPRESSORS
10.1 Introduction
10.2 Classification of Compressors
10.3 Reciprocating Compressors
10.3.1 Polytropic Compression
10.3.2 Isothermal Compression
10.3.3 Effect of Clearance on Work Done
10.3.4 Volumetric Efficiency
10.3.5 Multistage Compression
10.3.6 Work Done in Multistage Compression
10.4 Rotary compressors
10.4.1 Fixed Vane Type Compressors
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10.4.2 Multiple Vane Type Rotary Compressors
10.5 Centrifugal Compressors
10.6 Axial Flow Compressors
Points to Remember
Important Formulae
Multiple-choice Questions
Fill in the Blanks
Review Questions
Exercise Problems
11 CENTROID AND MOMENT OF INERTIA
11.1 Introduction
11.2 Determination of Position of Centroid of Plane Geometric Figures
11.2.1 Center of Gravity, Center of Mass, and Centroid of an Irregular Shape
11.2.2 Centroid of I-section
11.2.3 Centroid of U-section
11.2.4 Centroid of H-section
11.2.5 Centroid of L-section
11.2.6 Centroid of T-section
11.2.7 Centroid of C-section
11.2.8 Centroid of Circular Arc
11.2.9 Centroid of Semicircular-section of a Disc
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11.2.10 Centroid of a Sector of a Circular Disc
11.2.11 Centroid of a Parabola
11.2.12 Centroid of a Triangle
11.3 Second Moment of Area
11.3.1 Radius of Gyration
11.3.2 Theorem of Perpendicular Axis
11.3.3 Theorem of Parallel Axis
11.3.4 Moment of Inertia from First Principle
11.3.5 Moment of Inertia of Some Composite Sections
11.4 Center of Gravity of Solids
11.5 Mass Moment of Inertia
11.5.1 Mass Moment of Inertia of a Circular Ring
11.5.2 Mass Moment of Inertia of a Circular Disc
11.5.3 Mass Moment of Inertia of a Hollow Cylinder
11.5.4 Mass Moment of Inertia of Sphere
11.5.5 Mass Moment of Inertia of a Circular Cone
Points to Remember
List of Mass Moment of Inertia
List of Area Moment of Inertia
Important Formulae
Multiple-choice Questions
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Review Questions
Exercise Problems
12 STRESS AND STRAIN
12.1 Introduction
12.2 Hooke’s Law
12.3 Stress–Strain Diagram
12.4 Extension in Varying Cross-section or Taper Rod
12.5 Stress and Strain in Varying Cross-section Bar of Uniform Strength
12.6 Stress and Strain in Compound Bar
12.7 Stress and Strain in an Assembly of Tube and Bolt
12.8 Stress and Strain in Composite Bar
12.9 Temperature Stress
12.10 Stress and Strain Due to Suddenly Applied Load
12.11 Stress and Strain for Impact Load
12.12 Relation Between Stress and Volumetric Strain
12.13 Relation Between Modulus of Elasticity and Bulk Modulus
12.14 Relation Between Modulus of Elasticity and Modulus of Rigidity
Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions

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Exercise Problems
13 MACHINE ELEMENTS

SPRINGS
13.1 Introduction
13.2 Types of Springs
13.3 Materials used for Springs
13.4 Shear Stress in Helical Springs
13.5 Deflection in Helical Spring
13.6 Series and Parallel Connection of Helical Springs
CAM AND FOLLOWER
13.7 Introduction
13.8 Types of Cams
13.9 Types of Followers
BUSHING AND ROLLER BEARING
13.10 Introduction
13.11 Bushing Materials
13.12 Bearings
13.12.1 Sliding Contact or Bush Bearings
13.12.2 Rolling Contact Bearings
13.13 Properties of Bearing Materials
13.14 Bearing Materials

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Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
14 FLYWHEEL AND GOVERNORS

FLYWHEEL
14.1 Introduction
14.2 Mass Moment of Inertia of Flywheel

GOVERNORS
14.3 Introduction
14.4 Terminology Used in Governors
14.5 Classification of Governors
14.6 Gravity Controlled Centrifugal Governors
14.6.1 Watt Governor
14.6.2 Porter Governor
14.6.3 Proell Governor
14.7 Spring Controlled Centrifugal Governor
14.7.1 Hartnell Governor
14.7.2 Willson–Hartnell Governor
14.7.3 Hartung Governor
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14.8 Sensitiveness of Governors
14.9 Governing of I.C. Engines
14.9.1 Qualitative Governing
14.9.2 Quantitative Governing
14.9.3 Hit and Miss Governing
14.10 Differences Between Flywheel and Governors
Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
15 POWER TRANSMISSION DEVICES
15.1 Introduction
15.2 Belt Drive
15.2.1 Type of Belt Cross-sections
15.2.2 Velocity Ratio
15.2.3 Creep
15.2.4 Flat Belt Drives
15.2.5 Ratio of Tensions
15.2.6 Effect of Centrifugal Force on Belt Drive
15.3 Rope Drive
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15.4 Chain Drive
15.4.1 Chain Length
15.4.2 Types of Chain
15.5 Gear Drive
15.5.1 Gear Terminology
15.5.2 Law of Gearing
15.5.3 Forms of Teeth
15.6 Classification of Gears
15.6.1 Parallel Shafts
15.6.2 Intersecting Shaft
Points to Remember
Important Formulae
Multiple-choice Questions
Fill in the Blanks
Review Questions
Exercise Problems
16 COUPLINGS, CLUTCHES, AND BRAKES

COUPLINGS
16.1 Introduction
16.2 Rigid Coupling
16.3 Flexible Bushed Coupling
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16.4 Universal Joint

CLUTCHES
16.5 Introduction
16.6 Single Plate Clutch
16.7 Multi-plate Disc Clutch
16.8 Cone Clutch
16.9 Centrifugal Clutch
BRAKES
16.10 Introduction
16.10. 1 Block or Shoe Brake
16.10.2 Band Brake
16.10.3 Band and Block Brake
16.10.4 Internal Expanding Shoe Brake
Points to Remember
Important Formulae
Multiple-choice Questions
Review Questions
Exercise Problems
17 ENGINEERING MATERIALS
17.1 Introduction
17.2 Mechanical Properties of Engineering Materials
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17.3 Mechanical Testing of Engineering Materials
17.3.1 Tensile Test
17.3.2 Hardness
17.4 Impact Test
17.5 Classification of Engineering Materials
17.5.1 Ferrous Metals
17.5.2 Non-ferrous Metals
17.5.3 Plastics
17.5.4 Abrasive Materials
17.5.5 Ceramics
17.5.6 Silica
17.5.7 Glasses
Points to Remember
Multiple-choice Questions
Review Questions
18 MECHANICAL MEASUREMENT
18.1 Introduction
18.2 Temperature Measurement
18.2.1 Thermocouple
18.2.2 Resistance Temperature Devices (RTD)
18.2.3 Infrared Temperature Measurement Devices
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18.2.4 Bimetallic Temperature Measurement Devices
18.2.5 Fluid-expansion Temperature Measurement Devices
18.2.6 Change-of-state Temperature Measurement Devices
18.3 Pressure Measurement
18.3.1 Manometers
18.3.2 Bourdon Tube Pressure Gauge
18.3.3 Low Pressure Measurement
18.4 Velocity Measurement
18.4.1 Velocity Measurement of Fluid with Pitot Tube
18.4.2 Hot Wire Anemometer
18.5 Flow Measurement
18.5.1 Flow Measurement Through Velocity of Fluid Over Known Area
18.5.2 Orificemeter
18.5.3 Rotameter
18.6 Strain Measurement
18.6.1 Strain Gauge
18.7 Force Measurement
18.7.1 Cantilever Beam
18.8 Torque Measurement
18.8.1 Prony Brake Dynamometer
18.8.2 Rope Brake Dynamometer
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18.8.3 Torque Measurement by Pointer and Scale
18.9 Measurement Errors
18.10 Uncertainties of Measurement
18.11 Vernier calipers
18.12 Micrometer or Screw Gauge
18.12.1 Measurement Procedure
18.13 Dial Gauge or Dial Indicator
18.14 Slip Gauges
18.14.1 Classification of Slip Gauges
18.14.2 Applications of Slip Gauge
18.15 Sine Bar
18.16 Combination Set
Points to Remember
Multiple-choice Questions
Review Questions
19 METAL CUTTING AND MACHINE TOOLS
19.1 Introduction
19.2 Mechanism of Metal Cutting
19.2.1 Types of Chip Formation
19.3 Orthogonal and Oblique Metal Cutting
19.4 Lathe

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19.4.1 Classification of Lathes
19.4.2 Specifications of Lathe
19.4.3 Constructional Detail of Lathe
19.4.4 Power Transmission System in Lathe Machine
19.4.5 Cutting Tools Used in Lathe
19.4.6 Types of Operations on Lathe Machine
19.5 Shaper, Slotter, and Planer
19.5.1 Shaping and Planing
19.5.2 Constructional Detail of Shaper
19.5.3 Slotter Machine
19.5.4 Crank and Slotted Arm Quick Return Mechanism
19.5.5 Specification of Shaper
19.5.6 Constructional Detail of Planer
19.5.7 Fast and Loose Pulleys Driving Mechanism of Planer
19.5.8 Specifications of Planer
19.5.9 Difference Between Shaper and Planer
19.6 Drilling Machine
19.6.1 Driving Mechanism in Drilling Machine
19.6.2 Drill Bit
19.6.3 Specifications of a Drilling Machine
19.6.4 Operations Performed on Drilling Machine
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19.6.5 Advanced Types of Drilling Machine
19.7 Boring
19.7.1 Specification of Boring Machines
19.8 Milling Machines
19.8.1 Constructional Detail of Milling Machine
19.8.2 Basic Milling Operations
19.8.3 Nomenclature of Milling Cutter
19.9 Grinding Machines
19.9.1 Grinding Wheel Specification
19.9.2 Methods of Grindings
19.9.3 Cylindrical Grinders
19.9.4 Plain Cylindrical Grinders
19.9.5 Plain Surface Grinders
19.9.6 Universal Cylindrical Grinders
19.9.7 Centerless Grinders
Points to Remember
Multiple-choice Questions
Fill in the Blanks
Review Questions
20 CASTING AND WELDING

CASTING
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20.1 Introduction
20.2 Classification of Casting Process
20.3 Sand Casting
20.3.1 Steps in Sand Casting
20.3.2 Pattern Making
20.3.3 Types of Pattern
20.3.4 Mould Making
20.3.5 Properties of Mouldings Sands
20.3.6 Hand Tools Used in Moulding
20.3.7 Moulding Procedure
20.3.8 Gating System
20.3.9 Chills
20.3.10 Chaplets
20.3.11 Cores
20.3.12 Sand Testing
20.4 Special Casting Methods
20.4.1 Gravity/Permanent Mould Casting
20.4.2 Die Casting
20.4.3 Centrifugal Casting
20.5 Casting Defects
20.6 Surface Cleaning of the Casting
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WELDING
20.7 Introduction
20.7.1 Definition of Welding
20.8 Classification of Welding Process
20.9 Gas Welding
20.9.1 Oxyacetylene Welding
20.9.2 Gas Welding Methods
20.10 Electric Arc Welding
20.10.1 Functions of Electrode Coatings
20.10.2 Ingredients of Electrode Coating
20.10.3 Selection of Electrodes
20.10.4 Specifications for Electrodes
20.11 Types of Electric Arc Welding
20.11.1 Carbon Arc Welding
20.11.2 Shielded Metal Arc Welding (SMAW)
20.11.3 Metal Inert Gas Arc Welding (MIG)/Gas Metal Arc Welding (GMAW)
20.11.4 Tungsten Inert Gas Arc Welding (TIG)/Gas Tungsten Arc Welding (GTAW)
20.11.5 Submerged Arc Welding (SAW)
20.11.6 Electroslag Welding
20.11.7 Atomic Hydrogen Welding
20.11.8 Plasma Arc Welding
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20.12 Resistance Welding
20.12.1 Resistance Spot Welding
20.12.2 Resistance Seam Welding
20.12.3 Resistance Projection Welding
20.12.4 Flash Welding
20.12.5 Percussion Welding
20.12.6 Resistance Butt Welding
20.13 Thermit Welding
20.14 Welding Allied Processes
20.14.1 Soldering
20.14.2 Brazing
20.14.3 Braze Welding
20.15 Welding Defects
Points to Remember
Multiple-choice Questions
Fill in the Blanks
Review Questions
21 MECHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER
METALLURGY, AND SMITHY

MECHANICAL WORKING PROCESS

21.1 Introduction

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21.1.1 Advantages of Mechanical Working Process Over Other Manufacturing Processes
21.2 Rolling
21.2.1 Terminology
21.2.2 Types of Rolling Mills
21.2.3 Rolling Defects
21.3 Forging
21.3.1 Different Types of Forging
21.4 Extrusion
21.4.1 Hot Extrusion
21.4.2 Cold Extrusion
21.4.3 Impact Extrusion
21.5 Wire Drawing
21.6 Bar Drawing
21.7 Tube Drawing
21.8 High Energy Rate Forming
21.8.1 Explosive Forming
21.8.2 Electrohydraulic Forming
21.8.3 Electromagnetic Forming
21.9 Thread Rolling
21.10 Piercing or Seamless Tubing
21.11 Some Other Forming Processes
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SHEET METAL PROCESS
21.12 Introduction
21.13 Sheet Metal Joints
21.14 Materials Used for Sheet Metal
21.15 Hand Tools Used in Sheet Metal Work
21.16 Sheet Metal Operations
21.16.1 Shearing
21.16.2 Bending
21.16.3 Stretch Forming
21.16.4 Deep Drawing
21.16.5 Hot Spinning
POWDER METALLURGY
21.17 Introduction
21.18 Manufacturing of Metal Powders
21.18.1 Characteristics of Metal Powder
21.18.2 Methods of Production
21.19 Blending/Mixing of the Metal Powders
21.20 Compacting
21.21 Sintering
21.22 Finishing Operations
21.23 Advantages of Powder Metallurgy
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21.24 Limitations of Powder Metallurgy
21.25 Applications of Powder Metallurgy

SMITHY
21.26 Introduction
21.27 Major Tools Used in Smithy Shop
21.27.1 Smith’s Forge or Hearth
21.27.2 Anvil
21.27.3 Hammer
21.27.4 Swage Block
21.27.5 Tongs
21.27.6 Chisels
21.27.7 Punches
21.27.8 Flatters
21.27.9 Set Hammer
21.27.10 Fullers
21.27.11 Swages
Points to Remember
Multiple-choice Questions
Fill in the Blanks
Review Questions
22 MANUFACTURING SYSTEMS: NC, CNC, DNC, AND ROBOTICS
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22.1 Introduction
22.1.1 Production Machines, Tools, Fixtures, and Other Related Hardware
22.1.2 Material Handling System
22.1.3 Computer Systems
22.1.4 Human Workers
22.2 Automation
22.3 Computer Integrated Manufacturing (CIM)
22.4 CAD/CAM
22.4.1 Computer Aided Design (CAD)
22.4.2 Computer Aided Manufacturing (CAM)
22.5 Numerical Control (NC)
22.5.1 Limitations/Drawback of Conventional NC System
22.6 Computer Numerical Control (CNC)
22.7 Programming Methods
22.8 Comparison of NC and CNC Machines
22.9 Direct Numerical Control (DNC)
ROBOTICS
22.10 Introduction
22.11 Robot Anatomy
22.12 Three Degree of Freedom for Robot’s Wrist
22.13 Robot Configurations

40
 Contents
22.14 Robot Control
22.14.1 Type of Robot Control
22.15 Control Systems
22.15.1 Basic Form of Control Systems
22.15.2 Sequential Control
22.15.3 Microprocessor Based Controllers
22.15.4 Sensors Used in Robotics
22.15.5 Transducers used in Robotics
22.16 Applications of Robots
Points to Remember
Multiple-choice Questions
Review Questions
23. HEAT TREATMENT
23.1 Introduction
23.2 Iron–Carbon Phase Diagram
23.3 TTT (Time–Temperature–Transformation) Diagram
23.4 Normalizing
23.5 Annealing
23.6 Spheroidizing
23.7 Hardening
23.8 Tempering

41
 Contents
23.8.1 Austempering
23.8.2 Martempering
23.9 Carburizing
23.10 Cyaniding
23.11 Nitriding
23.12 Induction Hardening
Points to Remember
Multiple-choice Questions
Fill in the Blanks
Review Questions
Appendix 1: Mollier Diagram for Steam
Appendix 2: Steam Table
Index

42
 Preface to the Second Edition
Preface to the Second Edition
It is my great pleasure to present the second edition of the Basic Mechanical Engineering
textbook after the much praised first edition of the book. Due to continuous change in the
curriculum of the engineering education, it becomes necessary to modify the contents of
the book as per the requirements of the universities. After the first edition, it has been
observed that few topics of the book are not much relevant for the first year engineering
students, for example, Chapter 13—Lifting Machines and Chapter 23—Unconventional
Machining Processes and therefore, these two chapters are removed from the second
edition of the book.
Also, in the second edition, several topics have been added. Global warming and biofuels
are now discussed in detail in Chapter 2. Due to fast change in the technology, some
advanced technologies such as Multi-point Fuel Injection Engine (MPFI), Common Rail
Direct Injection (CRDI), Hybrid Engines have been introduced in Chapter 6. Chapter 13
has been upgraded by removing the Lifting Machines and adding spring, CAM and
followers, and bushing and bearing. In Chapter 19, grinding and surface finishing
processes have been included. Smithy works have been added in Chapter 21.
Introduction to Automation and Robotics have been included in Chapter 22.
In addition to the above changes, some minor improvements have been done in the entire
book and the questions asked in various university examinations have also been included.
These questions are indicated by an asterisk (*) symbol.

Chapter Structure and Coverage

This book provides a basic knowledge of the various aspects of mechanical engineering.
The chapter structure and coverage are discussed below:
Chapter 1 covers the laws of thermodynamics and properties of gases. Under the laws of
thermodynamics, we first discuss, second and third laws of thermodynamics, concepts of
specific heat, enthalpy, entropy, etc., followed by the discussion on properties of gases
such as Boyle’s Law, Charles’s Law, Gay Lusssac’s Law, combined gas law and gas
constant, etc.
Chapter 2 deals with fuels and their combustion. The various types of fuels such as solid,
liquid, and gaseous fuels are introduced and their applications for power generation have
been discussed. Again to measure the calorific value of fuel, a basic idea about
43
 Preface to the Second Edition
calorimeters and their working procedure has been given.
Chapter 3 describes power plant engineering. In this chapter, the methods of conversion
of various forms of energy into mechanical energy and electrical energy along with an
introduction to the basic concepts of thermal power plant, hydroelectric power plant, and
nuclear power plant with some of the non-conventional energy sources has been
discussed.
Chapter 4 covers steam properties and its generation. Various properties of steam such as
internal energy, enthalpy, and entropy at different ambient conditions are discussed. The
steam table and the Mollier diagram that are helpful in showing the methods to find the
properties of steam at the given condition are also introduced. In addition to this, the
working of steam generators (boilers) and the functions of various mountings and
accessories used in boilers are also discussed.
Chapter 5 deals with the conversion of heat energy into mechanical energy or shaft
power followed by discussion on the working of steam engines, steam turbines, and gas
turbines in detail. These are the devices used to convert heat energy carried by steam or
gases into shaft power. The shaft power is further converted into electrical energy using
an electricity generator.
Chapter 6 describes internal combustion engines and their working. There is a wide scope
to discuss various mechanisms and developments in I.C. engines, we have however
focused our discussion only to the basic concepts of working on I.C. engines such as
petrol (Gasoline) engines, diesel engines, two-stroke engines, four-stroke engines,
thermodynamic cycles, and performance measurement of an I.C. engine.
Chapter 7 deals with the various modes of heat transfer. It gives a basic idea about the
thermal conductivity and the overall heat transfer coefficient.
Chapter 8 covers refrigeration and air conditioning. Refrigeration deals with the various
types of processes such as vapor compression refrigeration, air refrigeration, absorption
type refrigeration, and the properties of some of the refrigerants. Air conditioning deals
with psychrometric properties of air and the processes to control these properties.
Chapter 9 covers fluid mechanics and hydraulic machines. Fluid mechanics provides an
introduction to fluid statics and fluid dynamics. Hydraulic machines deal with the
working of water turbines, water pumps, hydraulic coupling, and torque converters.

44
 Preface to the Second Edition
Chapter 10 describes air compression systems. Single-stage and multistage compressors,
as well as rotary compressors, are discussed in detail and vane type compressors,
centrifugal compressors, and axial flow compressors are discussed at an introductory
level.
Chapter 11 describes centroid, the center of gravity and moment of inertia for various
sections. Parallel and perpendicular axis theorems are used to find the moment of inertia
for the different cross sections. This chapter is very useful to analyze the dynamics of a
machine element.
Chapter 12 describes stress and strain, that is, the properties of materials under various
types of loading. It also demonstrates relationships among different types of elastic
constants.
Chapter 13 deals with springs, different types of CAMs and followers, bushing and
bearing.
Chapter 14 describes the working of flywheel and governor. Flywheel works just like an
energy reservoir while governor controls the speed by controlling the fuel supply.
Chapter 15 deals with power transmission devices such as belt drive, chain drive, and
gear drive. In belt drive, we discuss open and cross belt drives and their applications; in
the chain drive, we provide a basic idea about the power transmission mechanisms; and
in gear drive, we discuss different types of gears and working on gear trains.
Chapter 16 covers other types of power transmission devices such as coupling and
clutch. It also discusses the mechanisms of various types of braking systems. Clutch
provides a flexibility to engage or disengage the engine from the load.
Chapter 17 covers some of the important engineering materials and their mechanical
properties such as tensile strength, hardness, toughness, ductility, malleability, etc. Some
practical methods to measure the tensile strength, hardness, and toughness are also
discussed.
Chapter 18 demonstrates various types of measurements such as the measurement of
pressure, velocity, flow, force, torque, etc. Also, some of the devices used in metrology
have been introduced such as vernier caliper, screw gauge, sine bar, dial gauge and slip
gauge.

45
 Preface to the Second Edition
Chapter 19 deals with the mechanism of machining and working of various machine tools
such as lathe, shaper and planer, drilling and boring, and milling operations.
Chapter 20 describes the primary shaping (casting) and joining (welding) processes such
as welding. In this chapter, sand casting and other casting processes with casting defects
are discussed. Different conventional and non-conventional welding and allied processes
with welding defects are also explained.
Chapter 21 covers various forging operations, sheet metal processes, and powder
metallurgy. These are the basic processes frequently used in mechanical workshops.
Chapter 22 provides a basic idea of the numerical control machine, computer numerical
control machine, and direct numerical control machines. Also, the basic concepts of
automation and robotics have been discussed. These are the machines used in metal
cutting with improved productivity and accuracy.
Chapter 23 deals with heat treatment processes. In this chapter, the mechanism of
controlling the mechanical properties by heating and cooling with different rates is
discussed.

46
 Preface to the First Edition
Preface to the First Edition
In many institutions and universities, Basic Mechanical Engineering is a compulsory
paper for the first year engineering students. This book covers a basic overview of several
areas of mechanical engineering. The main purpose to teach Basic Mechanical
Engineering to the non-mechanical students is to provide the knowledge of the basic
mechanical operations and familiarize the students with the commonly used mechanical
machines/instruments. It is broadly divided into three parts—thermal engineering,
mechanical design, and manufacturing engineering.
In thermal engineering, we discuss various forms of energy transfer, laws of
thermodynamics, steam properties and steam generators, fluid mechanics, turbines,
internal combustion engines, heat transfer, refrigeration and air conditioning,
compressors, etc. In mechanical design, we discuss the mechanism of working of machine
elements such as belt drive, chain drive, gear drive, springs, CAM and follower, bushing
and bearing, couplings, etc. Also, some basic concepts of centroid and moment of inertia,
stress and strain, power transmission, etc have been discussed. In manufacturing
engineering, we discuss basic manufacturing processes such as casting, welding,
machining, machine tools (Lathe, Drilling, Boring, Slotting, Shaper, Planer, Milling, and
Grinding Machines), powder metallurgy, sheet metal working, smithy and metrology and
provide a basic idea of automation (NC, CNC, DNC) and robotics. Thus, the basic
concepts of mechanical engineering are covered completely and hence this book will be
useful to both mechanical as well as other engineering students. In this book, the author
has tried to cover the maximum syllabi of all the major institutions/ universities in India.
Pravin Kumar

47
 About the Author
About the Author

Pravin Kumar obtained his Ph.D. from IIT Delhi and M.Tech. from Institute of
Technology (BHU), Varanasi. Presently, he is working as a faculty in the Department of
Mechanical Engineering, Delhi Technological University (Formerly Delhi College of
Engineering). He has more than 16 years of teaching and research experience. He has
been teaching Basic Mechanical Engineering for several years. He has also authored two
more books—Industrial Engineering and Management, published by Pearson Education,
and Fundamentals of Engineering Economics, published by Wiley India Pvt. Ltd. He has
published more than 50 research papers in the National and International Journals and
Conferences.

48
 Acknowledgements
Acknowledgments
I am thankful to my colleagues Dr Naokant Deo, K. Srinivas, Dr R.K. Singh, Prof. D.S.
Nagesh, Prof. Naveen Kumar, Prof. R.K. Sinha, and Prof. Moin Ud Din (Ex-Pro-Vice
Chancellor, DTU) for their motivation, encouragement, and moral support during writing
of this book.
I am thankful to my Guru Prof. Ravi Shankar and Prof. Surendra S. Yadav for their
inspiration and support. The second edition of Basic Mechanical Engineering has been
improved based on the suggestions and constructive comments of the readers and the
faculty of various engineering institutions who have read the first edition of the book. I
am thankful to all those students and teachers for their suggestions and comments. I am
also thankful to Prof. Yogesh Singh, Vice-Chancellor, DTU Delhi for the motivation and
moral support.
I am grateful to my elder brothers Arun Kumar Singh and Pramod Kumar for their moral
support and motivation to pursue my research and publish this work. I would like to
thank my wife Dr Prerna Sinha and my sons Harshit and Arpit for their support, patience,
and wholehearted participation in accomplishing this work. I am also grateful to all the
wellwishers, whose names could not be mentioned here, for their direct and indirect
support. I would also like to express my gratitude to my parents, father-in-law and
mother-in-law, who remain a continuous source of inspiration.
Last but not least, I am immensely grateful to the Pearson Education, especially Harsha
Singh and G. Sharmilee, for their continuous support during writing and editing process of
the book. This book could not have attained its present form both in content and
presentation without their active interest and direction.
Pravin Kumar

49
 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
CHAPTER 1
Concepts of Thermodynamics and Properties of Gases
Learning Objectives

By the end of this chapter, the student will be able:

To describe the basic concepts of thermodynamics
To state the laws of thermodynamics
To apply the laws of thermodynamics for different engineering applications
To state the gas laws and solve the related problems

1.1 INTRODUCTION

There are different forms of energy; all the energy cannot be used as a work. The
convertibility of energy into work depends on its availability, i.e., how much energy can
be converted into useful work. Thermodynamics is a branch of science and engineering
that deals with interaction of energy mainly in the forms of heat and work.
Thermodynamics is concerned with the thermal behavior of a matter and its interaction
with other physical and chemical behavior of the matter. Broadly, thermodynamics is
studied into two forms—Classical and Statistical. Classical thermodynamics is concerned
with the macrostructure of matter. It addresses the gross characteristics of large
aggregations of molecules and not the behavior of individual molecules. The
microstructure of matter is studied in kinetic theory and statistical mechanics. Statistical
thermodynamics is concerned with the microstructure of the matter and addresses
behavior of individual molecules of the matter. In this chapter, only classical approach to
thermodynamics has been discussed. Gases are very important part of engineering
thermodynamics; therefore, to know the behavior of an ideal gas at standard temperature
and pressure is very important. In this chapter, we have also discussed about the different
gas laws and universal gas constants.

Macroscopic Vs Microscopic Viewpoint of Thermodynamics

Macroscopic and Microscopic views are used to study the behavior of the matter. If the
matter is studied about its behavior on the basis of certain amount or volume without
consideration of its properties at the molecular level, it is known as macroscopic
50
 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
thermodynamics. If the matter is studied at its molecular level for its properties, it is
known as microscopic thermodynamics. Both, macroscopic and microscopic
thermodynamics are discussed in the following sections in detail.

Macroscopic (Classical Thermodynamics)

In this approach, a certain quantity or volume of the matter is considered, without taking into account the
events occurring at the molecular level.
This approach to the study of thermodynamic properties does not require knowledge of the behavior of
individual particles.
It is only concerned with the effects of the action of many combined molecules, and these effects can be
perceived by human senses.
The macroscopic observations are completely independent of the assumptions regarding the nature of
matter.

Microscopic (Statistical Thermodynamics)

From the microscopic viewpoint, it is assumed that matter is composed of a large number of small
molecules and atoms.
This approach to the study of thermodynamics requires knowledge of the behavior of individual
particles.
It is concerned with the effects of the action of many molecules, and these effects cannot be perceived
by human senses.
The microscopic observations are completely dependent on the assumptions regarding the nature of
matter.

1.2 IMPORTANT TERMINOLOGIES USED IN THERMODYNAMICS

Thermodynamics: It is the field of thermal engineering that studies the properties of

systems that have a temperature and involve the laws that govern the conversion of
energy from one form to another, the direction in which heat will flow, and the
availability of energy to do the work.
Mass and Force: Mass is one of the fundamental dimensions, like time, it cannot be
defined in terms of other dimensions. Much of our intuition of what mass is followed
from its role in Newton’s second law of motion

F=M⋅f

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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
In this relationship, the force F required to produce a certain acceleration f of a particular
body is proportional to its mass M.
Volume: The familiar property, volume, is formally defined as the amount of space
occupied in three-dimensional space. The SI unit of volume is cubic meters (m3).
Pressure: For a fluid system, the pressure is defined as the normal force exerted by the
fluid on a solid surface or a neighboring fluid element, per unit area. From a molecular
point of view, the pressure exerted by a gas on the walls of its container is a measure of
the rate at which the momentum of the molecules colliding with the wall is changed.
The SI unit for pressure is a Pascal,

1 Pa = 1 N/m2
Also commonly used unit is bar, which is defined as

1 bar = 105 Pa = 105 N/m2

As a result of some practical devices measuring pressures relative to the local
atmospheric pressure, we distinguish between gauge pressure and absolute pressure. Gage
pressure is defined as

Pgauge = Pabs + Patm

System: System is the fixed quantity of matter and/or the region that can be separated
from everything else by a well-defined boundary/surface. Thermodynamic system is the
system on which thermodynamic investigation is done. The surface separating the system
and surroundings is known as the control surface or system boundary. The control
surface may be movable or fixed. Everything beyond the system is the surroundings. A
system of fixed mass is referred to as a closed system. When there is flow of mass
through the control surface, the system is called an open system. An isolated system is a
closed system that does not interact in any way with its surroundings.
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
Properties of a System

Any characteristic of a system by which its physical condition is defined called as

property. Pressure, temperature, volume, mass, viscosity, thermal conductivity, modulus
of elasticity, thermal expansion coefficient, electrical resistivity, velocity, elevation, etc.
are the examples of the properties of a system. Properties may be either intensive or
extensive.
Intensive properties are those that are independent of the mass of a system, such as temperature,
pressure, and density.
Extensive properties are those whose values depend on the size or extent of the system. Total mass,
total volume, and total momentum are some examples of extensive properties.
Extensive properties per unit mass are called specific properties.

State: At any instant of time, the condition of a system is called a state. The state at a
given instant of time is defined by the properties of the system such as pressure, volume,
temperature, etc. A property is any quantity whose numerical value depends on the state
but not on the history of the system. There are two types of properties—extensive and
intensive. Extensive properties depend on the size or extent of the system. Volume, mass,
energy, and entropy are examples of extensive properties. An extensive property is
additive in the sense that its value for the whole system equals the sum of the values for
its molecules. Intensive properties are independent of the size or extent of the system.
Pressure and temperature are examples of intensive properties.

State and Equilibrium

When no change occurs in the system properties, at this point, all the properties can be
measured or calculated throughout the entire system. The properties at this static
condition describe the state of the system. At a given state, all the properties of a system
have fixed values. If the value of even one property changes, the state will change to a
different one. The word equilibrium implies a state of balance. In an equilibrium state,
there are no unbalanced potentials/forces within the system. When a system is isolated
from its surroundings, the system experiences no change in it. There are mainly three
types of equilibrium, and a system is not in thermodynamic equilibrium unless the
conditions of all the three relevant types of equilibrium are satisfied:
1. Thermal equilibrium: Temperature should be same throughout the system.
2. Mechanical equilibrium: Unbalanced forces should be absent, e.g., change in pressure.
3. Chemical equilibrium: No chemical reaction and mass transfer occur.

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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
Change in State: Thermodynamic system undergoes changes due to flow of mass and
energy. The mode in which the changes in the state of a system take place is known as
process such as isobaric (constant pressure) process, isochoric (constant volume) process,
isothermal (constant temperature) process, adiabatic (constant entropy) process, etc. The
path is the loci of series of state changes from initial state to final state during a process.
The changes in state and path of a process are shown in Figure 1.1. The thermodynamic
cycle refers to the sequence of processes in which initial and final states of the system are
same. For example, Otto cycle, Diesel cycle, Duel cycle, Joule cycle, Rankine cycle,
Carnot cycle, etc. have identical initial and final states.

FIGURE 1.1
Change in State with a Process
Process: Two states are identical if, and only if, the properties of the two states are same.
When any property of a system changes its value, there is a change in the state, and the
system is said to undergo a process. When a system from a given initial state goes into a
sequence of processes and finally returns to its initial state, it is said to have undergone a
cycle.
Phase: Phase refers to a quantity of matter that is homogeneous throughout in its
chemical composition and physical structure. A system can contain one or more phases.
A mixture of water and water vapor has two phases. A pure substance is one that is
uniform and invariable in chemical composition. A pure substance can exist in more than
one phase, but its chemical composition must be the same in each phase. For example, if
liquid water and water vapor form a system with two phases, the system can be regarded
as a pure substance because each phase has the same composition.
Equilibrium: In thermodynamics the concept of equilibrium includes not only a balance
of forces, but also a balance of other influencing factors, such as thermal equilibrium,
pressure equilibrium, phase equilibrium, etc. To observe a thermodynamic equilibrium in
54
 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
a system, one may test it by isolation of the system from its surroundings and watch for
changes in its observable properties. If no change takes place, it may be said that the
system is in equilibrium. The system can be in an equilibrium state. When a system is
isolated, it cannot interact with its surroundings; however, its state can change as a
consequence of spontaneous changes occurring internally as its intensive properties, such
as temperature and pressure, tend toward uniform values. When all such changes cease,
the system is in equilibrium. At equilibrium, temperature and pressure are uniform
throughout. If gravity is significant, a pressure variation with height can exist, as in a
vertical column of liquid.

Systems and Control Volumes

A system is defined as a quantity of matter or a region in space considered for study.

The mass or region outside the system is called the surroundings. The real or imaginary
surface that separates the system from its surroundings is called the boundary. The
boundary of a system can be fixed or movable. The boundary is the contact surface
shared by both the systems and the surroundings. The boundary has zero thickness, and
thus it can neither contain any mass nor occupy any volume in space.

Open and Closed Systems

Systems may be considered as closed, open, and isolated depending on the flow of mass
and energy. A closed system consists of a fixed amount of mass, and no mass can cross
its boundary. But energy, in the form of heat or work, can cross the boundary; and the
volume of a closed system is not to be fixed necessarily. When the energy is also not
allowed to cross the boundary, that system is called an isolated system. In an open system
or a control volume, both mass and energy can cross the boundary of a control volume.
In general, any arbitrary region in space can be selected as a control volume. The
boundaries of a control volume are called a control surface, and they can be real or
imaginary.

Zeroth Law of Thermodynamics

It is law of thermal equilibrium, which states that if a system A is in thermal equilibrium

with systems B and C, then systems B and C will be in thermal equilibrium.
Zeroth law of thermodynamics is the basis of temperature measurement. To measure the
temperature, a reference body is used, and a certain physical characteristic of this body,
55
 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
which changes with temperature is selected. The change in the selected characteristic
may be taken as an indication of change in temperature. The selected characteristic is
called the thermometric property, and the reference body, which is used in the
determination of temperature is called the thermometer. A commonly used thermometer
consists of a small amount of mercury in an evacuated capillary tube. In this case, the
extension of the mercury in the tube is used as the thermometric property.
Quasi-static Process: When a process proceeds in such a way that the system remains
infinitesimally close to an equilibrium state at all times, it is called a quasi static process.
A quasi-static process can be understood as a sufficiently slow process that allows the
system to adjust internally so that properties in one part of the system do not change any
faster than those at other parts.
Temperature: Temperature is a property of a substance by which it can be differentiated
from other substance in terms of degree of hot or cold. A scale of temperature
independent of the thermometric substance is called a thermodynamic temperature scale.
The Celsius temperature scale (centigrade scale) uses the degree Celsius (°C), which has
the same magnitude as the Kelvin. Thus, temperature differences are identical on both
scales. However, the zero point on the Celsius scale is shifted to 273.15 K, as shown by
the following relationship between the Celsius temperature and the Kelvin temperature:

0C = K – 273.15

Two other temperature scales are commonly used are the Rankine and Fahrenheit scale,
the various relationships between temperature scales are as shown below:

R = 1.8 K

F = R − 459.67

F = 1.80C + 32
56
 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
Internal Energy: The Internal Energy (U) of a system is the total energy content of the
system. It is the sum of the kinetic, potential, chemical, electrical, and all other forms of
energy possessed by the atoms and molecules of the system. U is path independent and
depends only on temperature for an ideal gas. Internal energy may be stored in the
system in the following forms:
Kinetic energy of molecules.
Molecular vibrations and rotations.
Chemical bonds that can be released during a chemical reaction.
Potential energy of the constituents of the system.

Work: Work in thermodynamics may be defined as any quantity of energy that flows
across the boundary between the system and surroundings which can be used to change
the height of a mass in the surroundings.
Heat: Heat is defined as the quantity of energy that flows across the boundary between
the system and surroundings because of a temperature difference between system and
surroundings. There are following characteristics of heat:
Heat is transitory and appears during a change in state of the system and surroundings. It is not a point
function.
The net effect of heat is to change the internal energy of the system and surroundings in accordance to
first law.
If heat is transferred to the system, it is positive and if it is transferred from the system it is negative.

Enthalpy: Enthalpy, h, of a substance is defined as h = u + PV. It is intensive properties

of a substance and measured in terms of kJ/kg.

1.3 SPECIFIC HEAT CAPACITY

1.3.1 Specific Heat at Constant Volume (Cv)

The rate of change of internal energy with respect to absolute temperature at constant
volume is known as specific heat at constant volume (Cv).

; Where u is internal energy and T is absolute temperature.

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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES

Enthalpy is sum of internal energy and product of pressure and volume, i.e., h = u + PV.
But,

Q = ∂u + PdV = ∂u + ∂(PV ) = ∂(u + PV ) = ∂h

since dP = 0 at constant pressure

1.3.2 Specific Heat at Constant Pressure (CP )

The rate of change of enthalpy with respect to absolute temperature when pressure is
constant is known specific heat at constant pressure (CP).

; for a constant pressure process.

EXAMPLE 1.1

The property of a substance is given as

u = 186 + 0.718t
pv = 0.287(t + 273)
where u is the specific internal energy (kJ/kg), t is the temperature in °C, p is pressure in
kN/m2, and v is specific volume (m3/k). Find the Cv and Cp of the substance.
SOLUTION

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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES

1.3.3 Relationship Between Cp and Cv

The specific heat capacity of a gas is the amount of heat required to raise the temperature
by one degree Celsius of unit mass of the gas. We will use here specific values of the
state variables (of the variable divided by the mass of the substance). The value of the
constant is different for different materials and depends on the process. It is not a state
variable.
If we are considering a gas, it is most convenient to use forms of the thermodynamic
equations based on the enthalpy of the gas. From the definition of enthalpy:

h = u + pv
where h in the specific enthalpy, p is the pressure, v is the specific volume, and u is the
specific internal energy. During a process, the values of these variables change. Let’s
denote the change by Δ. For a constant pressure process the enthalpy equation becomes:

Δh = Δu + pΔv

The enthalpy, internal energy, and volume are all changed, but the pressure remains the
same. From our derivation of the enthalpy equation, the change of specific enthalpy is
equal to the heat transfer for a constant pressure process:

Δh = cp.ΔT

where ΔT is the change of temperature of the gas during the process, and c is the specific
heat capacity. We have added a subscript p to the specific heat capacity at a constant
pressure process.
The equation of state of a gas relates the temperature, pressure, and volume through a gas
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
constant R. The gas constant is derived from the universal gas constant, but has a unique
value for every gas.

pv = RT
For a constant pressure process:

pΔv = RΔT
Now let us consider a constant volume process with a gas that produces exactly the same
temperature change as the constant pressure process that we have been discussing. Then
the first law of thermodynamics tells us:

Δu = Δq − Δw
where q is the specific heat transfer and w is the work done by the gas. For a constant
volume process, the work is equal to zero. And we can express the heat transfer as a
constant times the change in temperature. This gives:

Δu = cv ΔT

where ΔT is the change of temperature of the gas during the process, and c is the specific
heat capacity. We have added a subscript v to the specific heat capacity a constant
volume process. Even though the temperature change is the same for this process and the
constant pressure process, the value of the specific heat capacity is different.
Because we have selected the constant volume process to give the same change in
temperature as our constant pressure process, we can substitute the expression given
above for Δu into the enthalpy equation. In general, we can’t make this substitution
because a constant pressure process and a constant volume process produce different
changes in temperature. If we substitute the expressions for Δu, pΔv, and Δh into the
enthalpy equation we obtain:
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES

cp ΔT = cv ΔT + R ΔT

Dividing the above equation by ΔT, we get

cp = cv + R

The specific heat constants for constant pressure and constant volume processes are
related to the gas constant for a given gas. This rather remarkable result has been derived
from thermodynamic relations, which are based on observations of physical systems and
processes. Using the kinetic theory of gases, this same result can be derived from
considerations of the conservation of energy at a molecular level.
We can define an additional variable called the specific heat ratio, which is given the
Greek symbol γ, which is equal to cp divided by cv:

γ = cp /cv
γ is a number whose value depends on the state of the gas. For air, γ = 1.4 for standard
conditions.
For monoatomic gas, γ = Cp/Cv = 5/3 = 1.66

For diatomic gas, γ = Cp/Cv = 7/5 = 1.40

For triatomic gas, γ = Cp/Cv = 8/6 = 1.33

1.4 THE FIRST LAW OF THERMODYNAMICS

1.4.1 Mechanical Equivalent of Heat

The mechanical equivalent of heat is a concept that has an important part in the
development and acceptance of the conservation of energy and the establishment of the
science of thermodynamics in the 19th century. The concept stated that motion and heat
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are mutually interchangeable and that in every case, a given amount of work would
generate the same amount of heat, provided the work done is totally converted to heat
energy.

FIGURE 1.2
Mechanical Equivalent of Heat

First Law of Thermodynamics

The first law of thermodynamics is equivalent to the law of conservation of energy. It

deals with the transformation of heat energy into work and vice versa. For closed
systems, energy can be transferred by work and heat transfer. In thermodynamics, the
term work denotes a means for transferring energy. Work done by a system is considered
positive—W > 0. Work done on a system is considered negative—W < 0. Heat given to a
system is considered as positive—Q > 0; Heat exhaust by a system is considered as
negative—Q < 0. The heat generation by the work done on the system is shown in Figure
1.2. A weight is moving in downward direction which rotates the steerer. Due to the
rotation of steerer in the water, heat is generated.
When a small amount of work (dw) is supplied to a closed system undergoing a cycle,
the work supplied will be equal to the heat transfer or heat produced (dQ) in the system.

∮ dw = J ∮ dQ

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Where J is a joule constant; 1 Calorie = 4.18 Joule
If the Q amount of heat is given to a system undergoing a change of state and W is the
work done by the system and transferred during the process, the net energy (Q − W)
will be stored in the system named as internal energy of simply the energy of the system
(ΔU).

Q − W = ΔU
Sign Convention: The convention is adopted that Q indicates the heat added to the
system and W the work done by it. Thus,
dQ > 0, heat added to system or system absorbs heat.
dQ < 0, heat removed from system or system rejects heat.
dW > 0, work is done by the system.
dW < 0, work is done on the system.
ΔU > 0, internal energy of the system increases.
ΔU < 0, internal energy of the system decreases.

First Kind of Perpetual Motion Machine (PMM1)

The machine which would continuously supply mechanical work without some other
form of energy disappearing simultaneously. Such a fictitious machine is called first kind
of perpetual motion machine (PMM1). PMM1 is impossible. It is a fictitious machine.

1.4.2 Internal Energy

Energy exists in various forms such as thermal, mechanical, kinetic, potential, electric,
magnetic, chemical, and nuclear, etc. In thermodynamic, it is considered that the various
forms of energy make up total energy of a system. This total energy can be represented
into two groups—macroscopic and microscopic. The macroscopic forms of energy are
those a system possesses as a whole with respect to some outside reference frame, such
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as kinetic and potential energies. The microscopic forms of energy are those related to
the molecular structure of a system and the degree of the molecular activity, and they are
independent of outside reference frames. The sum of all the microscopic forms of energy
is called the internal energy of a system and is denoted by U. The macroscopic energy of
a system is related to motion and the influence of some external factors such as gravity,
magnetism, electricity, surface tension, etc.
The energy that a system possesses as a result of its motion relative to some reference
frame is called kinetic energy. The energy that a system possesses as a result of its
elevation in a gravitational field is called potential energy. In the absence of the effect of
external factors, the total energy of a system consists of the kinetic, potential, and
internal energies;

i.e.,
where m is the mass of the system, v is the velocity of the system, h is height from
reference point, and U is the internal energy of the system. The change in the total energy
E of a stationary system is equal to the change in its internal energy, U since the changes
in kinetic and potential energies in the stationary close system are negligible.

1.4.3 Physical Interpretation of Internal Energy

Internal energy can be defined as the sum of all the microscopic forms of energy of a
system. It is related to the molecular structure and the degree of activities at the
molecular level and can be viewed as the sum of the kinetic and potential energies of the
molecules. Let us consider a system for analysis of internal energy at the molecular level.
Due to different type of movements of molecules, such as translational, rotational and
vibrational, the kinetic energy in the system is developed. The vibrational motion of the
molecules becomes more significant at higher temperature. If we analyze the system at
the atomic level, the fundamental particles rotate in their orbits around the nucleus and
also spin about their own axis. Thus, rotational kinetic energy and spin energy are
associated with the system. The part of internal energy associated with the kinetic energy
is known as sensible energy and proportional to the temperature of the system. At higher
temperature, degree of activity at the molecular level will be larger and system will have
higher internal energy.
Internal energy may be presented in the form of binding force at the atomic level. If
external energy is supplied to break the bond and to change the phase from solid to liquid
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or liquid to solid, a certain amount of energy is stored as latent energy. This latent energy
represents the internal energy of the system. Similarly, it may be associated with nuclear
and some other forms of energy in the system.

1.4.4 Energy Transfer Across the System Boundary (Heat and Work)

Energy transfer across the boundary of a closed system may occur in the form of heat
and work. When a closed system is left in a medium of different temperature, energy
transfer takes place between the system and the surroundings until thermal equilibrium is
reached. The direction of energy transfer is always from the higher temperature side to
the lower temperature side. Once the temperature equilibrium is established, energy
transfer stops. In the processes described above, energy is said to be transferred in the
form of heat. Heat is defined as the form of energy that is transferred between two
systems or between a system and its surroundings, by virtue of a temperature difference.
During adiabatic process heat transfer is negligible. A process can be adiabatic when
either the system is well insulated so that only a negligible amount of heat can pass
through the boundary, or both the system and the surroundings are at the same
temperature. Even though there is no heat transfer during an adiabatic process, the
energy content and thus the temperature of a system can still be changed by other means
such as work, i.e., the heat can be transformed into work. If the energy crossing the
boundary of a closed system is not heat, it must be in the form of work. Heat is easy to
recognize as its driving force is a temperature difference between the system and its
surroundings. Then we can simply say that an energy interaction that is not caused by a
temperature difference between a system and its surroundings is work.

Sign Conventions for Heat and Work Interaction

Heat and work are directional quantities, and thus the complete description of a heat or
work interaction requires the specification of both the magnitude and direction. One way
of doing that is to adopt a sign convention. The generally accepted formal sign
convention for heat and work interactions is as follows:
1. Heat transfer to a system and work done by a system are positive;
2. Heat transfer from a system and work done on a system are negative.

Similarity between Heat and Work

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Heat and work are energy transfer mechanisms between a system and its surroundings.
Some of the similarities between heat and work can be given below as:
1. Heat and work are boundary phenomena.
2. Systems possess energy, but not the heat or work.
3. Both are associated with a process, not a state.
4. Both are path functions.

1.4.5 Non-flow Processes

The various non-flow processes and their characteristics are shown in Figure 1.3.

FIGURE 1.3
Non-flow Processes

Constant Volume Process

In this process, volume remains constant, i.e., ΔV = 0. This is also known as isochoric
process. From first law of thermodynamics:
Q = ΔU + W
W = ∫pdV = 0
Q = ΔU = m (u2 − u1 ) = m × cvdT = m × cv (T2 − T1 )kJ

Constant Pressure Process

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In this process, pressure remains constant, i.e., Δp = 0. This is also known as isobaric
process.
The work done from state 1 to state 2.

W = pdV = p(V2 − V1 )

From first law of thermodynamics

Constant Temperature Process

In this process, temperature remains constant, i.e., ΔT = 0. This is also known as

isothermal process.
PV = P1V1 = P2V2 = Constant

Work,
From first law of thermodynamics

Q1−2 = W1−2 + (U2 − U1 ) = W1−2 + 0

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U2 − U1 = mcv (T2 − T1 ) = 0 as T1 = T2

Adiabatic Process

In this process, heat transfer is equal to zero.

Work done during adiabatic process

From the first law of thermodynamics

Polytropic Process

In this process, the law is governed by PVn = constant.

Work done during adiabatic process

From the first law of thermodynamics

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EXAMPLE 1.2

The initial pressure and temperature of 1 mole of an ideal gas are 1 MPa and 380 K
respectively. It is heated at constant pressure till the temperature is doubled and then is
allowed to expand reversibly and adiabatically till the temperature is reduced to 380 K as
shown in Figure 1.4, find the heat transferred and work interaction. If it is required to
restore the system from final state to the original state by a reversible isothermal path,
determine the amount of work to be done on the system.

FIGURE 1.4
P–V Diagram
SOLUTION
P–V diagram for the process is shown in Figure 1.4.
Let P1 = 1MPa, T1 = 380K, T2 = 2, T1 = 2 × 380K = 760K
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Since from 1 to 2 pressure is constant

Change in internal energy in the process 2 to 3,

u3 − u2 = Cv (T3 − T2 ) = Q2−3 − W2−3 (Since Q2−3 = 0 due to adiabatic process)

W2−3 = Cv (T2 − T3 ) = Cv (2T1 − T1 ) = CvT1 (Since T3 = T1 and T2 = 2T1 )

For the process 2 to 3

here Q2−3 = 0,

W = W1−2 + W2−3 = RT1 + CvT1 = CpT1 = 11.05MJ

For the reversible isothermal process

= −7.66 kJ

EXAMPLE 1.3

A system undergoes the cyclic process a-b-c-d-e. The values of Q, W, and Δu for the
individual process are as follows, find the heat transferred in the cyclic process:

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SOLUTION
Process a − b : Q = Δu + W = −510kJ + 310kJ = −200kJ (Heat liberated).
Process b − c : Q = Δu + W ⇒ 410kJ = Δu − 510kJ or Δu = 920kJ
Process c − d : Q = Δu + W ⇒ W = Q − Δu = 510kJ − 610kJ = −100kJ
(Work done on system)
In a cyclic process ∫ Δu = 0 ⇒ Δuab + Δubc + Δucd + Δude

− 510kJ + 920kJ + 610kJ + Δude = 0 ⇒ Δude = −1,020kJ

Q = Δu + W = −1,020kJ + 810kJ = −210kJ (Heat liberated)

EXAMPLE 1.4

There is a cylinder-piston system in which pressure is a function of volume, P = x + yV,

and internal energy is given by u = 36 + 3.16 PV, where u is in kJ, P is in kN/m2, V is in
m3. If gas changes state from 150 kN/m2 and 0.02 m3 to 350 kN/m2 and 0.04 m3. Find the
heat and work interaction.
SOLUTION

Δu = u2 − u1 = 3.16(P2V2 − P1V1 ) = 3.16(350kN/m2 × 0.04m3 − 150kN/m2 ×

0.02m3 )
= 34.76kJ
P = x + yV

150kN/m2 = x + y × 0.02m3
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350kN/m = x + y × 0.04m3
2

On solving these two equations, we get x = −50 kN/m2 and y = 10,000 kN/m2

Q1−2 = Δu + W1−2 = 34.76kJ + 5kJ = 39.76kJ

EXAMPLE 1.5

Calculate the quantities of work if initial pressure and volume are 15 bar and 15 m3 and
final volume 25 m3. The process is non-flow reversible as (i) P = constant; (ii) V =
constant; (iii) PV = constant; (iv) PVn = constant, where n = 1.3; and (v) PV γ = constant,
where γ = 1.4.
SOLUTION
1. P = constant

2. V = constant

3. PV = constant = K

4. PV n = constant = K

5. PV n = constant = K

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EXAMPLE 1.6

A cylinder consists of a frictionless spring loaded piston; the pressure of gas at an instant
is 5 bar. The spring force exerted on the piston is proportional to the volume of gas. Also,
additional atmospheric pressure of 1 bar acts on the spring side of piston as shown in
Figure 1.5. Calculate the work done by the gas in expansion from 0.2 m3 to 0.8 m3.

FIGURE 1.5
Cylinder Piston Arrangement
SOLUTION
The pressure exerted on spring by the piston,
Ps = Pressure of gas inside the cylinder − Atmospheric pressure

= 5bar − 1bar = 4 bar

EXAMPLE 1.7
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A cylinder fitted with a piston has an initial volume of 0.1 m3 and contains nitrogen at
150 kPa, 25°C. The piston moves compressing the nitrogen until the pressure becomes 1
MPa and temperature becomes 150°C. During the compression process heat is
transferred from nitrogen and work done on nitrogen is 20 kJ. Determine the amount of
this heat transfer. Assume R = 2,968 J/kg K and Cv = 743 J/kg.

SOLUTION
Change in internal energy of nitrogen = m ⋅ Cv ⋅ dT

Δu = 0.0169kg × 743J/kg × 125K = 1.569kJ

W = −20kJ; Q = Δu + W = 1.569kJ − 20kJ = −18.43kJ

EXAMPLE 1.8

Figure shows two reversible processes a − b − c − a and a − d − c − a. The change in

internal energy from c to a is 50 kJ and work done by the system during the process a – d
is 30 kJ. Find:
1. Heat interaction during the process a − b − c.
2. Heat interaction during the process a − d − c if work done during d − c is 10 kJ.
3. Heat interaction during the process c – a if work done on the system during the process c − a is 20 kJ.

FIGURE 1.6
P–V Diagram
SOLUTION

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1. Wa −b = 30kJ

Δu = ua − uc = 50kJ or uc − ua = −50kJ

Wb−c = 0; Wa−b−c = 30kJ

Qa −b−c = uc − ua + Wa−b−c = −50kJ + 30kJ = −20kJ (Heat liberated)

2. Wd−c = 10kJ; Wa−d = 0; Wa−d−c = 10kJ

uc − ua = −50kJ; Qa−d−c = uc − ua + Wa−d−c = −50kJ + 10kJ = −40kJ (Heat

liberated)

3. Wc−a = −20kJ

Δu = ua − uc = 50kJ; Qc−a = ua − uc + Wc−a = 50kJ − 20kJ = 30kJ (Heat

absorbed)

EXAMPLE 1.9

A hydraulic brake is used to test an engine at a speed of 1200 rpm. The measured torque
of the engine is 15000 Nm and the water flow rate is 0.8 cubic meter per second, its inlet
temperature is 15°C. Calculate the water temperature at the exit, assuming that the whole
of the engine power is ultimately transformed into heat which is absorbed by the water
flow.
SOLUTION

Power = Heat transfer rate

1,570 = ṁsΔt = 0.8 m3/ sec × 1000kg/m3 × 4.2kJ/kg.K(t2 − 15°C)

t2 = 15.46°C
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EXAMPLE 1.10

In a cyclic process, the amount of heat transfers are given as 15 kJ, –27 kJ, –4 kJ and 32
kJ. Calculate the net work done in the cyclic process.
SOLUTION

W = Q1 + Q2 + Q3 + Q4 = 15kJ − 27kJ − 4kJ + 32kJ = 16kJ

EXAMPLE 1.11

In a cyclic process, an engine engages into two work interactions—18 kJ to the fluid and
48 kJ from the fluid, and two heat interactions out of three are given as—80 kJ to the
fluid and 44 kJ from the fluid. Find the magnitude and direction of the third heat transfer.
SOLUTION
W1 + W2 = Q1 + Q2 + Q3

Q3 = W1 + W2 − Q1 − Q2 = −18kJ + 48kJ − 80kJ + 44kJ = −6kJ (Heat rejection)

EXAMPLE 1.12

During a certain period of analysis, a refrigerator consuming the energy at the rate of 1.5
kJ per hour loses internal energy of its system by 4500 kJ. Calculate the heat transfer for
the system for that period.
SOLUTION
W = −1.5kWh, Δu = −4,500kJ
Q = Δu + W = −4,500kJ − 1.5kJ × 3,600 sec = −9,900kJ = −9.9 MJ (Heat rejection)

EXAMPLE 1.13

2 kg of water having a constant specific heat 4.18 kJ/kgK is stirred in a well-insulated jar
results in rise of temperature by 18°C. Find the Δu and W of the process.
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SOLUTION
Δu = mCv Δt = 2 × 4.18 kJ/kg.K × 18°C = 150.48 kJ;

ΔQ = 0 = Δu + W
W = −150.48 kJ

EXAMPLE 1.14

1 kg of air at 9 bar pressure and 80°C temperature undergoes a non-flow work polytropic
process. The law of expansion is PV1.1 = C. The pressure falls to 1.4 bar during process.
Calculate: (i) Final temperature, (ii) Work done, (iii) Change in internal energy, and (iv)
Heat exchange. Take R = 287 J/kg and γ = 1.4 for air.
SOLUTION
m = 1kg; P1 = 9 bar; T1 = 273 + 80°C = 353K; P2 = 1.4 bar;

n = 1.1; γ = 1.4; R = 0.287kJ/kgK

= 157.85kJ
Q = Δu + W = −39.443kJ + 157.85kJ = 118.407kJ

EXAMPLE 1.15

0.2 kg of air is compressed by following the process of isothermal from 40 kPa 30°C to
0.2 MPa and is expanded at constant pressure to the original volume as shown in Figure
1.7. Compute the net work to be obtained and also the heat transfer.

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FIGURE 1.7
Isothermal Compression and Constant Pressure Expansion
SOLUTION
P1 = 40kPa; T1 = 30°C = 273 + 30°C = 303K ; m = 0.2kg ; P2 = 0.2MPa

Isothermal Process: 1 − 2
P1V1 = mRT1

Constant Pressure Process: 2 − 3

W2−3 = P2 (V3 − V2 ) = 0.2(106 )Pa × (0.434 m3 − 0.086 m3 ) = 69.6kJ

Q2−3 = mCv (T3 − T2 ) + W2−3

= 0.2kg × 0.718(103) J/kgK × (1512.195K − 303K ) + 69.6(103)J

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= 243.24kJ
Net work, W = W1−2 + W2−3 = −27.939kJ + 69.6kJ = 41.661kJ
Total heat transfer, Q = Q1−2 + Q2−3 = −27.939kJ + 243.24kJ = 215.301kJ

EXAMPLE 1.16

0.2 m3 of air at 4 bar and 150°C expands isentropically to a pressure of 1 bar. The gas is
then heated at constant pressure till it attains its initial temperature. Determine the change
of internal energy and work done.
SOLUTION

V1 = 0.2 m3 ; P1 = 4 bar; T1 = 150°C = 273 + 150 = 423K; P2 = 1bar.

Q = Δu + W = 0 (Since heat transfer in isentropic process is zero)

W = −Δu = −mCv (T2 − T1 ) = −0.659kg × 0.718 kJ / kgK × (284.657K − 423K )

= 65.458kJ

1.4.6 Application of First Law of Thermodynamics in Steady Flow Process and

Variable Flow Process

FIGURE 1.8
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Schematic Diagram of Steady Flow Process
Steady Flow Process: In a steady flow process, thermodynamic properties at any section
remain constant with respect to time; it can vary only with respect to space. A schematic
diagram of steady flow process is shown in Figure 1.8.

Let A1, A2 - Cross-sectional area at section 1 and 2, m2

M1, m2 - Mass flow rate at section 1 and 2, kg/sec

P1, P2 - Absolute pressure at section 1 and 2, N/m2

V1, V2 - Specific volume at section 1 and 2, m3/kg

u1, u2 - Specific internal energy at section 1 and 2, J/kg

v1, v2 - Velocity at section 1 and 2, m/sec

Z1, Z2 - Elevation of the section 1 and 2 above the arbitrary datum, m

dQ/dt - Net rate of heat flows through control surface, J/sec

dW/dt - Net rate of work transfer through control surface, J/sec
t - Time, sec

From continuity equation: m1 = m2 ;

Energy balance equation:

This is known as steady flow energy equation (SFEE) for a single stream.
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Variable Flow Process: In some flow process, mass flow rate is not steady but varies
with respect to time. In such a case, the difference in energy flow is stored in system as
ΔEv.

The rate of energy increase = Rate of energy inflow – Rate of energy outflow

EXAMPLE 1.17

An air conditioning system, as shown in Figure 1.9, handling 1 kg/sec of air at 37°C and
consumes a power of 20 kW and rejects heat of 38 kW. The inlet and outlet velocities of
air are 50 and 80 m/sec, respectively. Find the exit air temperature, assuming adiabatic
conditions. Take Cp of air as 1.005 kJ/kg.

FIGURE 1.9
Air Conditioning System
SOLUTION

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EXAMPLE 1.18

In a cooling tower of a power plant (Figure 1.10), air enters at a height of 1 m above the
ground and leaves at 8 m. The inlet and outlet velocities are 18 and 27 m/sec,
respectively. Water enters at a height of 10 m and leaves at a height of 0.5 m. The
velocity of water at entry and exit are 5 and 1.5 m/sec, respectively. Water temperatures
are 85 and 420°C at inlet and exit, respectively. Air temperatures are 27 and 700°C at
entry and exit, respectively. The cooling tower is fully insulated and a fan of 2.5 kW
drives air through the cooler. Find the air per sec required for 1 kg/sec of water flow. The
values of Cp of air and water are 1.005 and 4.18 kJ/kgK, respectively.

SOLUTION

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FIGURE 1.10
Cooling Tower

EXAMPLE 1.19

In a centrifugal air compressor, initial pressure, and specific volume are 1 bar and 1
m3/kg, respectively and final pressure is 5 bar and volume is 0.1 m3/kg, respectively. The
air flow rate is 30 kg/min. The heat liberated to atmosphere from compressor is 60 kW
and inlet velocity of air = 10 m/sec, outlet velocity of air = 5 m/sec. Find:
1. Compressor work.
2. Ratio of inlet and outlet area, if internal energy at the outlet is 100 kJ more than that of inlet. Solve the
problem using SFEE.

SOLUTION

1.

2.

EXAMPLE 1.20
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Air enters in a compressor at the rate of 0.5 kg/sec, at 8 m/sec with a pressure of 1 bar
and a specific volume of 0.85 m3/kg, and leaving at 5 m/sec with a pressure of 6 bar and a
specific volume of 0.2 cubic meter per kg (Figure 1.11). The internal energy of the air
leaving is 80 kJ/kg greater than that of the air entering. Cooling water in a jacket
surrounding the cylinder absorbs heat from the air at the rate of 70 W. Calculate the
power required to drive the compressor and the inlet, and outlet cross-sectional areas.

FIGURE 1.11
Compressor
SOLUTION

1.4.7 Limitations of First Law of Thermodynamics

First law of thermodynamics does not tell about the following:

How much of the given quantity of heat is changed into work?
In which direction does the changing take place (heat to work or work to heat)?
Under which condition will the changing take place?

1.5 THE SECOND LAW OF THERMODYNAMICS

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Second law of thermodynamics overcomes the limitations of the first law of
thermodynamics. First law of thermodynamics doesn’t tell how much of the heat is
changed into work. Second law of thermodynamics shows that the total heat supplied to a
system cannot be transferred solely into the work using single reservoir, i.e., some part of
heat must be rejected to sink. It also shows the direction of the energy transfer, i.e., heat
cannot be transferred from a lower temperature reservoir to higher temperature reservoir
without the external work done on the system.

1.5.1 Kelvin-Planck Statement

The Kelvin-Plank statement of the second law of thermodynamics refers to a thermal

reservoir. A thermal reservoir is a system of infinite heat capacity that remains at a
constant temperature even though energy is added or removed as heat transfer. A
reservoir is an idealization, of course, but such a system can be approximated in a number
of ways—by the Earth’s atmosphere, large bodies of water (oceans), and so on.
The Kelvin-Planck statement of the second law can be given as—It is impossible for any
system to operate in a thermodynamic cycle and deliver a net amount of energy by work
to its surroundings while receiving energy by heat transfer from a single thermal
reservoir.
In Figure 1.12, it is shown that there are two reservoirs from which heat is interacted to
do a work Wnet. Heat, QH is taken from the higher temperature reservoir and work is
done and rest amount of heat is rejected to lower temperature reservoir. Thus, the total
conversion of heat to work is impossible, there will be always rejection of some part of
the heat supplied the heat engine.

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FIGURE 1.12
Heat Engine

1.5.2 Clausius Statement

It is impossible to construct a device that operates in a cycle and produces no effect

other than the transfer of heat from a lower-temperature body to higher-temperature
body. In other words, a refrigerator cannot be operated without external work supplied to
the refrigeration system.
Heat flows from high-temperature to the low-temperature reservoir. To reverse the
direction of flow of heat, there is a requirement of some additional work on the system.
On this principle refrigerator and heat pump are working. The violation of Clausius
statement is shown in Figure 1.13.

FIGURE 1.13
The Violation of the Kelvin–Planck Statement Leads to Violation of Clausius
The two statements of the second law are equivalent. In other words, any device violates
the Kelvin-Planck statement also violates the Clausius statement and vice versa. Any
device that violates the first law of thermodynamics (by creating energy) is called a
perpetualmotion machine of the first kind (PMM1), and the device that violates the
second law is called a perpetual-motion machine of the second kind (PMM2).
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1.5.3 Equivalence of Kelvin–Planck and Clausius Statement

Violation of Kelvin–Plank Statement by Violating Clausius Statement

From Figure 1.14 (a) let us assume that a heat pump receives heat QL from the low-
temperature reservoir at TL and supplies it to high-temperature sink at TH without any
external work, thus violating the Clausius statement. A larger quantity of heat (QH + QL)
is supplied to heat engine (by high-temperature source at TH).

Which produces net work output, Wnet, equal to QH and rejects an amount of heat, QL, to
the low-temperature reservoir. The composite of two devices is shown in Figure 1.14 (b).
It shows that the heat pump helps the heat QL to flow from the low-temperature reservoir
to high-temperature reservoir, whereas, the heat engine supplies back heat QL from
hightemperature reservoir to low-temperature thermal energy reservoir. The equivalent
system receives heat QH from the high-temperature reservoir and produces an equivalent
amount of work, as shown is Figure 1.14 (c).
From Figure 1.14 (c), it can be observed that a heat engine receives heat from a single
reservoir and produces an equivalent amount of work. It is, therefore, a perpetual motion
machine II (PMM-2), which violates the Kelvin-Plank’s statement for the second law of
thermodynamics. Thus, a violation of Clausius statement leads to violation of Kelvin
Plank’s statement, and we can say, the two statements are equivalent.

FIGURE 1.14
Violation of Kelvin–Plank Statement by Violating Clausius Statement
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FIGURE 1.15
Violation of Clausius Statement by Violating Kelvin–Plank’s Statement

Violation of Clausius Statement by Violating Kelvin–Plank’s Statement

From Figure 1.15 (a), let us assume that a heat engine receives heat QH from a high-
temperature reservoir and convert it into work rejecting no heat to sink, thus violating
Kelvin Plank’s statement. Refrigerator’s receives heat QL from the low-temperature
reservoir and supplies an amount (QH + QL) to the high-temperature reservoir when W =
QH work is supplied to it. Thus, it operates to conform the Clausius statement. But, from
Figure 1.15 (b), it can be observed that heat QH follows a loop though HE and HP and
perform no function. From Figure 1.15 (c), it is obvious the heat is being transferred from
a low-temperature thermal energy reservoir to the high-temperature thermal energy
reservoir, without any external work. It is therefore a violation of Clausius statement.
Thus, a violation of Kelvin-Plank’s and we can say, the two statements are equivalent.

1.6 REVERSIBLE AND IRREVERSIBLE PROCESSES

In reversible process things happen very slowly, without any resisting force, without any
space limitation, everything happens in a highly organized way (it is not physically
possible; it is an idealization). Internally reversible process—a system undergoes through
a series of equilibrium states, and when the process is reversed, the system passes through
exactly the same equilibrium states while returning to its initial state. Externally
reversible process—heat transfer between a reservoir and a system is an externally
reversible process if the surface of contact between the system and reservoir is at the
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same temperature.
A process is said to be reversible if it is possible for its effects to be eradicated in the
sense that there is some way by which both the system and its surroundings can be
exactly restored to their respective initial states. A process is irreversible if there is no
way to undo it. Thus, there are no means by which the system and its surroundings can be
exactly restored to their respective initial states. A system that has undergone an
irreversible process is not necessarily precluded from being restored to its initial state.
There are many effects whose presence during a process renders it irreversible. These
include the following—heat transfer through a finite temperature difference; unrestrained
expansion of a gas or liquid to a lower pressure; spontaneous chemical reaction; mixing
of matter at different compositions or states; friction; electric current flow through a
resistance; magnetization or polarization with hysteresis; and inelastic deformation, etc.
Irreversibilities can be divided into two classes—internal and external. Internal
irreversibilities are those that occur within the system, while external irreversibilities are
those that occur within the surroundings, normally the immediate surroundings. For a gas
as the system, the work of expansion arises from the force exerted by the system to move
the boundary against the resistance offered by the surroundings:

W = ∫ FdX = ∫ PAdX = ∫ PdV

where the force is the product of the moving area and the pressure exerted by the system
and Adx is the change in total volume of the system.

1.7 THE CARNOT CYCLE

The efficiency of a heat-engine cycle greatly depends on how the individual processes
are executed. The net work can be maximized by using reversible processes. The best
known reversible cycle is the Carnot cycle.
Note that the reversible cycles cannot be achieved p in practice because of
irreversibilities associated with real processes. But, the reversible cycles provide upper
limits on the performance of real cycles.
Consider a gas in a cylinder-piston (closed system). The Carnot cycle has four processes
as (Figure 1.16):

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FIGURE 1.16
P–V Diagram of Carnot Cycle
1-2 Reversible isothermal expansion: The gas expands slowly; heat is added reversibly
at constant temperature (TH) to the system. Work is done on the surrounding.

2-3 Reversible adiabatic expansion: The cylinderpiston is now insulated (adiabatic) and
gas continues to expand reversibly (slowly). So, the gas is doing work on the
surroundings, and as a result of expansion, the gas temperature reduces from TH to TL.

3-4 Reversible isothermal compression: The gas is allowed to exchange heat with a sink
at temperature TL as the gas is being slowly compressed. So, the surrounding is doing
work (reversibly) on the system and heat is transferred from the system to the
surroundings (reversibly) such that the gas temperature remains constant at TL.

4-1 Reversible adiabatic compression: The gas temperature is increasing from TL to TH

as a result of compression. Carnot cycle is the most efficient cycle operating between two
specified temperature limits.
The efficiencies of all reversible heat engines operating between the two same reservoirs
are the same. The thermal efficiency of a heat engine (reversible or irreversible) is:

The efficiency of an irreversible (real) cycle is always less than the efficiency of the
Carnot cycle operating between the same two reservoirs.

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Carnot Corollaries

The two corollaries of the second law known as Carnot corollaries:

1. The thermal efficiency of an irreversible power cycle is always less than the thermal efficiency of a
reversible power cycle when each operates between the same two thermal reservoirs.
2. All reversible power cycles operating between the same two thermal reservoirs have the same thermal
efficiency.

1.8 THE CLAUSIUS INEQUALITY

The Clausius inequality is given by the equation

where δQ represents the heat transfer at a part of the system boundary during a portion of
the cycle, and T is the absolute temperature at that part of the boundary. The symbol δ is
used to distinguish the differentials of nonproperties, such as heat and work, from the
differentials of properties, written with the symbol δ. The subscript b indicates that the
integrand is evaluated at the boundary of the system executing the cycle. The symbol
indicates that the integral is to be performed over all parts of the boundary and over the
entire cycle. The Clausius inequality can be demonstrated using the Kelvin-Planck
statement of the second law, and the significance of the inequality is the same—the
equality applies when there are no internal irreversibilities as the system executes the
cycle, and the inequality applies when internal irreversibilities are present.
The Clausius inequality can be expressed alternatively as:

Where Sgen can be viewed as representing the strength of the inequality. The value of
Sgen is positive when internal irreversibilities are there and zero when no internal
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irreversibilities are there; Sgen cannot be negative. Thus, Sgen is a measure of the
irreversibilities within the system executing the cycle.

1.9 ENTROPY AND ENTROPY GENERATION

1.9.1 Entropy

Defining entropy in an exact word or line is impossible. It can be viewed as a measure of

molecular disorder or molecular randomness. As a system becomes more disordered, the
positions of the molecules become less predictable and the entropy increases. Thus, the
entropy of a substance is the lowest in the solid phase and highest in the gas phase. Heat
is, in essence, a form of disorganized energy, and some disorganization (entropy) will
flow with heat. Work instead is an organized form of energy, and is free of disorder or
randomness and thus free of entropy. There is no entropy transfer associated with energy
transfer as work. Unlike energy, entropy is a non conserved property.

According to Clausius inequality, is a cyclic integral of differential heat flow δQ

at absolute temperature T. For a process change in entropy is defined by

Entropy always increases. For all process

To make it equality, add entropy generation term

1.9.2 Entropy Generation

SGEN > 0 for an irreversible (real) process

SGEN = 0 for a reversible (ideal) process
SGEN < 0 for an impossible process

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SGEN includes the change in S of the substance in the system and the heat transfer, Q,
to/from the surroundings. Entropy always increases. It cannot be conserved (does not
balance or return to zero, i.e., there is no law of conservation of entropy). The amount of
entropy increase gives a measure of the magnitude of irreversibility in a process.

1.9.3 Entropy Balance

ΔSsystem = Stransfer + SGEN

ΔSsystem = Sfinal – Sinitial
ΔSsystem = m(sfinal – sinitial ) using specific entropy

stransfer comes from heat transfer, Q, or from mass flow ṁ,

If heat transfer occurs, Stransfer = Q/T

If mass flow occurs,

Stransfer = m ⋅ s (for mass entering the system)
Stransfer = –m ⋅ s (for mass leaving the system)
SGEN = 0 for an internally reversible process
SGEN > 0 for a real, irreversible process

For a closed system (no mass flow):

in terms of rate:
For an Adiabatic System (when dQ = 0):

S2 – S1 = SGEN

For an open system steady flow process:

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1.9.4 Evaluation of Entropy Change

From equation:
1. Tds = du + pdV

or,

or,
Similarly,
1. ii. Tds = dh − dpV

or,

or,

EXAMPLE 1.21

A heat engine having an efficiency of 35% is used to run a refrigerator of COP of 4, what
is the heat input into the each MJ removed from the cold body by the refrigerator? If this
system is used as a heat pump (Figure 1.17), how many MJ of heat would be available for
heating for each MJ of heat input to the engine?

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FIGURE 1.17
Heat Reservoir and Sink
SOLUTION

EXAMPLE 1.22

A heat pump working on a Carnot cycle takes in heat from a reservoir at 8°C and delivers
heat to the reservoir at 50°C. The heat pump is driven by a reversible heat engine taking
heat from a reservoir at 850°C and rejecting heat to a reservoir at 50°C (Figure 1.18). The
reversible heat engine also drives a machine of input required of 25 kW. If the heat pump
extracts 15 kJ/sec from the 8°C reservoir, determine (a) the rate of heat supply from the
850°C source and (b) the rate of heat rejection to 50°C sink.

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FIGURE 1.18
Heat Pump and Heat Engine
SOLUTION

= 17.241kJ/ sec
W = Q1 − Q2 = 17.241kJ/ sec − 15kJ/ sec

= 2.241kJ/ sec
Total work delivered by heat engine = W + 25kJ/ sec = 27.241kJ/ sec

Total heat given to 50°C reservoir = Q1 + Q4 = 17.24kW + 0.287 × 38.20kW

= 28.20kW.

EXAMPLE 1.23

A reversible heat engine as shown in Figure 1.19 during a cycle of operation draws 5 MJ
from the 400 K reservoir and does 840 kJ work. Find the amount and direction of heat
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interaction with other reservoirs.

FIGURE 1.19
Reversible Heat Engine
SOLUTION

Q1 + Q2 + Q3 = 840kJ

ΔS = 0

Solving Equations (1.1) and (1.2), we get

Q3 = 820kJ to the heat engine
Q2 = −4,980kJ rejection from heat engine

EXAMPLE 1.24

Two blocks of metal each of mass M and specific heat C, initially at absolute temperature
T1 and T2 respectively brought to the same final temperature Tf by means of reversible
process. Derive an expression for the amount of work obtained during the process in
terms of M, C, T1, and T2.

SOLUTION
Let T1 > T2 and final temperature be Tf .

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Change in entropy in block 1

Change in entropy in block 2

For reversible process, total entropy = 0

EXAMPLE 1.25

An insulated tank of 1 m3 volume contains air at 0.1 MPa and 300 K. The tank is
connected to the high-pressure line in which air at 1 MPa and 600 K flows. The tank is
quickly filled with air by opening the value between the tank and high-pressure line. If
the final pressure of air in the tank is 1 MPa (Figure 1.20), determine the mass of air
which enters the tank and the entropy change associated with the filling process. Take
universal gas constant R̄ = 0.287 kJ/kgK.

FIGURE 1.20
Insulated Tank
SOLUTION

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End temperature of entering mass, (T2 ) = 840K

Initial mass of the air in the cylinder,

Let the mass of air entered inside the cylinder = m2

Final temperature of air inside the cylinder = T

m1T1 + m2T2 = (m1 + m2 )T

From Equations (1.3) and (1.4)

Final temperature,

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Entropy change associated with the process = ΔS1 + ΔS2 = 0.88261 kJ / K

EXAMPLE 1.26

10 kg of water at 0°C is brought into contact of a heat reservoir at 100°C, where water
temperature becomes 100°C. Find the entropy change of water, reservoir and universe.
SOLUTION

Heat absorbed from reservoir = m ⋅ C ⋅ dT = 10kg × 4.18kJ/kg.K × 100K = 4,180kJ

EXAMPLE 1.27

Calculate the entropy change when 5 kg of water at 20°C is mixed with 5 kg of water at
100°C. The specific heat of water is 4.18 kJ/kg.
SOLUTION
Let Tf is final temperature

m1C1(Tf − T1 ) = m2C2 (T2 − Tf ). Here, m1 = m2 = 5kg and C1 = C2 = 4.18

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1.10 THIRD LAW OF THERMODYNAMICS

Third law of thermodynamics is the law of entropy. It is a statement about the ability to
create an absolute temperature scale, for which absolute zero is the point at which the
internal energy of a solid is zero. Third law of thermodynamics states that it is impossible
to reduce any system to absolute zero in a finite series of operations.

1.11 GAS LAWS

There are some relationships among temperature, volume, pressure, and quantity of a gas
that could be described mathematically. This chapter deals with Boyle’s law, Charles’s
law, Gay-Lussac’s law, and the combined gas law. These laws have one condition in
common, i.e., fixed mass. In addition, some other properties of gases such as internal
energy, specific heat capacity, and enthalpy have been introduced. Some of the important
non-flow processes such as a constant volume process, constant pressure process,
isothermal processes, polytropic process, and adiabatic process have been explained with
suitable examples. Some laws have been proposed by the various chemists such as
Boyle’s law, Charle’s law, Gay-Luccac’s law based on the behavior of ideal gases. These
laws are discussed in following subsections.

1.11.1 Boyle’s Law

Robert Boyle, a British chemist gave the first gas law, now known as Boyle’s law. This
law describes the relationship between the pressure and volume of a sample of gas
confined in a container. Boyle observed that when the pressure on an ideal gas is
increased volume decreases. Similarly, when pressure is released the volume starts to
increase. But Boyle’s law is true only when the temperature of the gas remains constant
and no additional gas is added to the container or leaks out of the container. On the basis
of these observations the Boyle’s law is stated as:
“Boyle’s law states that the volume and pressure of a sample of gas are inversely
proportional to each other at constant temperature”.
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This statement can be expressed as follows.

Where V is the volume and P is the pressure.

For two different conditions 1 and 2, Boyle’s law can be expressed as

P 1V 1 = P 2V 2

Where P1 and V1 are the pressure and volume respectively at condition 1 and P2 and V2
are the pressure and volume respectively at condition 2.

EXAMPLE 1.28

A sample of nitrogen collected in the laboratory occupies a volume of 720 mL at a

pressure of 1 atm. What volume will the gas occupy at a pressure of 2 atm, assuming the
temperature remains constant?
SOLUTION
Given: V1 = 720 mL; P1 = 1 atm; P2 = 2 atm; V2 = ?

P 1V 1 = P 2V 2

1.11.2 Charles’s Law

Jacques Charles carried out experiments on ideal gas and observed a relationship
between the absolute temperature and volume of gases at constant pressure. Volume of
the gas increases with an increase in temperature and decreases with a decrease in
temperature. The Charle’s law can be stated as:
“Charles’s law states that the volume of a sample of gas is directly proportional to the
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absolute temperature when pressure remains constant”.
Charles’s law can be expressed as follows.

Where V is the volume and T is the absolute temperature of the gas.

For two different conditions 1 and 2, Boyle’s law can be expressed as:

where T1 and V1 are absolute temperature and volume, respectively at condition 1 and T2
and V2 are absolute temperature and volume, respectively at condition 2.

EXAMPLE 1.29

A container of a gas has a volume of 360 ml at a temperature of 20°C. What volume will
the gas occupy at 60°C?
SOLUTION
Given: V1 = 360 mL; T1 = 273 + 20 = 293 K; T2 = 273 + 60 = 333 K; V2 = ?

1.11.3 Gay–Lussac’s Law

Pressure of a confined gas increases with increasing temperature. If the temperature of

the gas increases enough, the container can explode because of the pressure that builds
up inside of it. The relationship between the pressure and temperature of a gas is
described by Gay-Lussac’s law. “Gay-Lussac’s law states that the pressure of a sample
of gas is directly proportional to the absolute temperature when volume remains
constant”.
Gay-Lussac’s law can be expressed as follows.
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where P is the pressure and T is the temperature of the gas.

For two different conditions 1 and 2, Gay–Lussac’s law can be expressed as

where T1 and P1 are absolute temperature and pressure, respectively at condition 1 and
T2 and P2 are absolute temperature and pressure, respectively at condition 2.

EXAMPLE 1.30

A cylinder of a gas has a pressure of 5 atm at 50°C. At what temperature in °C will it

reach a pressure of 12 atm?
SOLUTION
Given: P1 = 5 atm; T1 = 273 + 50 = 323 K; P2 = 12 atm; T2 = ?

1.11.4 The Combined Gas Law

We have three different relationships among temperature, volume, and pressure of a gas;
these are as follows:
Boyle’s Law: PV = k at constant temperature.

Charle’s Law: = at constant pressure.

Gay-Lussac’s Law: at constant volume.

These three gas laws can be combined in one combined gas law. This law can be
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expressed as:

EXAMPLE 1.31

A sample of a gas has a volume of 80.0 mL at a pressure of 1 atm and a temperature of

20°C. What volume will the gas occupy at 1.5 atm and 45°C?
SOLUTION
Given: V1 = 80 mL; P1 = 1 atm; T1 = 273 + 20 = 293 K; P2 = 1.5 atm; T2 = 273 + 45 =
318 K; V2 = ?

1.11.5 Gas Constant

Since 1 mole of a gas occupies 22.4 L at standard temperature (273 K) and pressure (1
atm), it is possible to arrive at a mathematical expression to relate moles, pressure,
temperature and volume. This expression is called the ideal gas law. This law contains an
additional term “R” which is called the universal gas constant. In this expression “N”
equals the number of moles of a gas, the volume “V” must be expressed in liters, the
pressure “P” must be expressed in atmospheres and the temperature must be expressed in
degrees Kelvin.

This constant can be calculated by using the above values in this law.

When the values of 22.4 liters and 273 degrees Kelvin are applied, the value of
R is found to be

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If we use CGS units, P will be expressed in dynes per square cm, V is the volume of a
mole (i.e., the volume occupied by 6.0221 × 1023 molecules), and the value of the
universal gas constant is 8.3145 × 107 erg mole−1 K−1. If we use SI units, P will be
expressed in Pascal (N m−2), V will be the volume of a kilo mole (i.e., the volume
occupied by 6.0221 × 1026 molecules), and the value of the universal gas constant is
8.3145 J / mole.K.

RECAP ZONE

Points to Remember

Thermodynamics is a branch of science that deals with the conversion of energy from one form to
another form.
The system is the subject of the investigation, which is a fixed quantity of matter and/or a region that
can be separated from everything else by a well-defined boundary/surface.
The defining surface is known as the control surface or system boundary.
The control surface may be movable or fixed. Everything beyond the system is the surroundings.
The system plus surroundings, both jointly known as the universe .
At any instant of time, the condition of a system is called a state.
The state at a given instant of time is defined by the properties of the system such as pressure, volume,
temperature, etc.
There are two types of properties—extensive and intensive.
Extensive properties depend on the size or mass of the system. Volume, mass, energy, and entropy are
examples of extensive properties.
An extensive property is additive in the sense that its value for the whole system equals the sum of the
values for its molecules.
Intensive properties are independent of the size or extent of the system. Pressure and temperature are
examples of intensive properties.
When any property of a system changes its value there is a change in the state, and the system is said to
undergo a process.
When a system from a given initial state goes into a sequence of processes and finally returns to its
initial state, it is said to have undergone a cycle.
Phase refers to a quantity of matter that is homogeneous throughout in its chemical composition and
physical structure.
In thermodynamics, the concept of equilibrium includes not only a balance of forces, but also a balance
of other influencing factors, such as thermal equilibrium, pressure equilibrium, phase equilibrium, etc.
Zeroth law of thermodynamics is law of thermal equilibrium; it states that if a system A is in thermal
equilibrium with systems B and C, then systems B and C will be in thermal equilibrium.
When a process proceeds in such a way that the system remains infinitesimally close to an equilibrium
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state at all times, it is called a quasi-static process.
Temperature is a property of a substance by which it can be differentiated from other substance in
terms of degree of hot or cold.
The Internal Energy (U) of a system is the total energy content of the system.
Work in thermodynamics may be defined as any quantity of energy that flows across the boundary
between the system and surroundings.
Heat is defined as the quantity of energy that flows across the boundary between the system and
surroundings because of a temperature difference between system and surroundings.
Heat transfer to a system and work done by a system are positive.
Heat transfer from a system and work done on a system are negative.
The rate of change of internal energy with respect to absolute temperature at constant volume is known
as specific heat at constant volume.
The rate of change of enthalpy with respect to absolute temperature when pressure is constant is known
as specific heat at constant pressure.
First law of thermodynamics: (a) When a small amount of work (dw) is supplied to a closed system
undergoing a cycle, the work supplied will be equal to the heat transfer or heat produced (dQ) in the
system. (b) If the Q amount of heat is given to a system undergoing a change of state and W is work done
by the system and transferred during the process, the net energy (Q – W) will be stored in the system
named as internal energy or simply the energy of the system (ΔU).
In a steady flow process, thermodynamic properties at any section remain constant with respect to time;
it can vary only with respect to space.
In some flow process, mass flow rate is not steady but varies with respect to time. In such a case, the
difference in energy flow is stored in the system as ΔEv.
The Second law of thermodynamics: The Kelvin–Planck statement of the second law can be given as
—It is impossible for any system to operate in a thermodynamic cycle and deliver a net amount of
energy by work to its surroundings while receiving energy by heat transfer from a single thermal
reservoir.
It is impossible to construct a device that operates in a cycle and produces no effect other than the
transfer of heat from a lower temperature body to higher temperature body.
A process is said to be reversible if it is possible for its effects to be eradicated in the sense that there
is some way by which both the system and its surroundings can be exactly restored to their respective
initial states. (It is not physically possible; it is an idealization.)
A process is irreversible if there are no means by which the system and its surroundings can be exactly
restored to their respective initial states.
The thermal efficiency of an irreversible power cycle is always less than the thermal efficiency of a
reversible power cycle when each operates between the same two thermal reservoirs.
All reversible power cycles operating between the same two thermal reservoirs have the same thermal
efficiency.
Entropy is a degree of measurement of disorderness of a system.
Third law of thermodynamics states that it is impossible to reduce any system to absolute zero in a
finite series of operations.
Boyle’s law states that the volume and pressure of a sample of gas are inversely proportional to each
other at a constant temperature.
Charles’s law states that the volume of a sample of gas is directly proportional to the absolute
temperature when pressure remains constant.
Gay–Lussac’s law states that the pressure of a sample of gas is directly proportional to the absolute
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temperature when volume remains constant.
The sum of all the microscopic forms of energy is called the internal energy of a system and is denoted
by U.
Due to different type of movements of molecules, such as translational, rotational and vibrational, the
kinetic energy in the system is developed.
Internal energy may be presented in the form of binding force at the atomic level.
If external energy is supplied to break the bond and to change the phase from solid to liquid or liquid to
solid, a certain amount of energy is stored as latent energy. This latent energy represents the internal
energy of the system.
In constant volume process, work done is equal to zero.
In an adiabatic process, heat transfer is equal to zero.

Important Formulae

1. Relationship between Celsius and Kelvin: °C = °K − 273.15

2. Relationship between Rankine and Kelvin: °R = 1.8°K
3. Relationship between Fahrenheit and Rankine: °F = °R − 459.67
4. Relationship between Fahrenheit and Celsius: °F = 1.8°C + 32

5. Specific heat capacity at constant volume:

6. Heat to a system at constant volume:

7. Specific heat at constant pressure: ; for a constant pressure process.

8. Change in enthalpy:
9. Change in enthalpy: Δh = cp.ΔT
10. Change in internal energy: Δu = cvΔT
11. cpΔT = cvΔT + R ΔT
12. cp = cv + R
13. γ = cp / cv
14. Constant volume process
15. W = ∫ pdV = 0

Q = ΔU = m(u2 − u1 ) = m × cvdT = m × cv(T2 − T1 )kJ

16. Constant pressure process
17. W = pdV = p(V1 − V2 )

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18. Constant temperature process

19.

20. Adiabatic process:

21. Polytropic process

22.
23. Work done in cyclic process: ∮dw = J∮dQ
24. Internal energy: Q − W = ΔU
25. Steady Flow Energy equation (SFEE):

26. Variable flow equation

27. Entropy generation:

28. Clausius inequality:

29. Change in entropy:

30. Rate of entropy generation:

31.

32.
33. ΔSsystem = Stransfer + SGEN

34. Boyle’s law:

35. Charle’s Law:

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36. Gay-Lussac’s Law:
37. Combined gas law:

REVIEW ZONE

Multiple-choice Questions

1. A closed system is one, which:

1. Permits the passage of energy and matter across boundaries
2. Does not permit the passage of energy and matter across boundaries
3. Permits the passage of energy but does not permit the passage of matter
4. Does not permit the passage of energy but permits the matter
2. An isolated system is one, which:
1. Permits the passage of energy and matter across boundaries
2. Permits passage of energy only
3. Does not permit the passage of energy and matter across boundaries
4. Permits the passage of matter only
3. A system comprising of single phase is known as:
1. Open system
2. Closed system
3. Homogeneous system
4. Heterogeneous system
4. Control volume refers to:
1. A specified mass
2. A fixed region in space
3. A closed system
4. None of the above
5. Specific heat is the amount of heat required to raise the temperature:
1. By unit degree of a substance
2. By unit degree of a unit mass
3. Of a unit mass by 5°C
4. None of these
6. Internal energy of a perfect gas depends upon:
1. Temperature only
2. Temperature and pressure
3. Temperature, pressure and specific heats
4. None of these
7. For a closed system, the difference between the heat added to the system and work done by the gas is
equal to the change in:
1. Enthalpy
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2. Entropy
3. Internal energy
4. Temperature
8. The properties of the system, whose value for the entire system is equal to the sum of their values for
individual parts of the system, are known as:
1. Thermodynamic properties
2. Extensive properties
3. Intensive properties
4. None of the above
9. Temperature of a system is:
1. Thermodynamic properties
2. Extensive properties
3. Intensive properties
4. None of the above
10. When two bodies are in thermal equilibrium with a third body, they are also in thermal equilibrium with
each other:
1. Zeroth law of thermodynamics
2. First law of thermodynamics
3. Second law of thermodynamics
4. None of the above
11. The measurement of thermodynamic properties known as temperature is based on:
1. Zeroth law of thermodynamics
2. First law of thermodynamics
3. Second law of thermodynamics
4. None of the above
12. Heat and work are mutually convertible. This statement is:
1. Zeroth law of thermodynamics
2. First law of thermodynamics
3. Second law of thermodynamics
4. None of the above
13. Second law of thermodynamics defines:
1. Enthalpy
2. Entropy
3. Heat
4. Work
14. Kelvin–Planck’s law deals with:
1. Conversion of work into heat
2. Conversion of heat into work
3. Conservation of work
4. Conservation of heat
15. According to Kelvin–Planck’s statement, a perpetual motion machine:
1. Of first kind is possible
2. Of first kind is impossible
3. Of second kind is impossible
4. Of second kind is possible
16. A perpetual motion machine of the first kind, i.e., a machine which produces power without consuming
any energy is:
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
1. Possible according to the first law of thermodynamics
2. Impossible according to first law of thermodynamics
3. Impossible according to second law of thermodynamics
4. Possible according to second law of thermodynamics
17. Heat flows from cold substance to hot substance with the aid of external work. This statement is given
by:
1. Kelvin
2. Joule
3. Gay Lussac
4. Clausius
18. Specific heat at constant volume is given by:

1.

2.

3.

4.
19. Specific heat at constant pressure is given by:

1.

2.

3.

4.
20. The condition for reversibility of a cycle is:

1.

2.

3.
4. None of the above
21. The condition for irreversibility of a cycle is:

1.

2.

3.
4. None of the above

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22. If , the cycle is:
1. Reversible
2. Irreversible
3. Impossible
4. None of the above
23. Biogas is produced under anaerobic conditions by the fermentation of biological materials. What is the
main constituent of biogas?
1. Butane
2. Ethane
3. Methane
4. Propane
24. A sample of neon gas occupies a volume of 2.8 l at 1.8 atm. What will its volume be at 1.2 atm?
1. 1.2 l
2. 1.8 l
3. 2.2 l
4. 4.2 l
25. The pressure required to compress 48 l of oxygen gas at 99.3 kPa in order to reduce its volume to 16 l
is:
1. 198 kPa
2. 278 kPa
3. 298 kPa
4. 320 kPa
26. Volume of sulphur dioxide gas at 0.989 atm is 59 ml. What will be its volume at 0.967 atm?
1. 60.3 ml
2. 68 ml
3. 80 ml
4. 108 ml
27. A sample of hydrogen gas at 6.5 atm pressure occupies a volume of 2.2 l. What will be its volume at
1.15 atm?
1. 10 l
2. 12 l
3. 14 l
4. 16 l
28. A balloon full of air has a volume of 2.75 l at a temperature of 291 K. What will be volume of the
balloon at 318 K?
1. 2.10 l
2. 3.01 l
3. 3.5 l
4. 4.12 l
29. A sample of argon gas has a volume of 0.43 ml at 297 K. At what temperature will it have a volume of
0.57 ml?
1. 394 K
2. 294 K
3. 494 K
4. 194 K
30. When the atmospheric pressure is increased on a balloon, the volume of the balloon will:
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
1. Increase
2. Decrease
3. Stay the same
4. None of these
31. When the temperature of a gas is increased in a balloon, the volume of the balloon will:
1. Increase
2. Decrease
3. Stay the same
4. None of these
32. When the volume of a gas is decreased, the pressure of the gas will:
1. Increase
2. Decrease
3. Stay the same
4. None of these
33. A balloon is filled with helium gas to a pressure of 107 kPa when the temperature is 295 K. If the
temperature changes to 318 K, what will be the pressure of the helium in the balloon?
1. 115 kPa
2. 125 kPa
3. 135 kPa
4. 145 kPa
34. An isothermal process is governed by:
1. Boyle’s law
2. Charle’s law
3. Joule’s law
4. Gay Lussac’s law
35. When the expansion follows the law PVn = C, the process is:
1. Isothermal process
2. Adiabatic process
3. Polytropic process
4. Hyperbolic process
36. Real gas follows the relation:
1. PV = RT
2. PVn = RT
3. PV = nRT
4. (PV)n = C
37. For real gas, Cp = Cv, at:
1. Absolute zero
2. Critical temperature
3. Triple point
4. All temperature

Fill in the Blanks

1. 38. The system and surrounding together constitute _________ system.

2. 39. In an adiabatic process, energy can be exchanged in the form of _________.
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
3. 40. For an ideal gas (dh/dT ) is a measure of _________ at constant pressure.
4. 41. Second law of thermodynamics establishes the law of _________.
5. 42. The slope of constant volume line on T–S diagram is _________ than that of constant pressure line.
6. 43. The unit of entropy is _________.
7. 44. In case of free expansion enthalpy _________.
8. 45. The entropy of universe tends to be _________.

Answers

1. c
2. c
3. c
4. b
5. b
6. a
7. c
8. b
9. c
10. a
11. a
12. b
13. b
14. b
15. c
16. b
17. d
18. a
19. b
20. c
21. a
22. c
23. c
24. d
25. c
26. a
27. b
28. b
29. a
30. b
31. a
32. a
33. a
34. a
35. c
36. c
37. a
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
38. Isolated
39. Heat
40. Specific heat
41. Entropy
42. More
43. kJ/kg K
44. Remains constant
45. Maximum

Theory Questions

1. Define: (i) property, (ii) state, (iii) system, (iv) control volume, and (v) process.
2. Discuss the concept of thermal equilibrium and state zeroth law of thermodynamics.
3. * What do you understand by quasi-static process? How it is achieved?
4. Differentiate among temperature, heat, and internal energy.
5. * Derive an expression for the first law of thermodynamics applied to a closed system. Define the
internal energy of a system.
6. Define work. Show that work done W = PdV.
7. Discuss the thermodynamic system, surrounding, and universe. Also Discuss the various types of system
with suitable example.
8. Prove that work and heat are the path function.
9. Derive the expression for work done in steady flow process.
10. Distinguish between the term ‘change of state’, ‘path’, and ‘process’.
11. * State the zeroth law of thermodynamics and first law of thermodynamics.
12. Explain and derive steady flow energy equation (SFEE).
13. * State the Kelvin–Planck and the Clausius statements of the second law of thermodynamics. Explain the
equivalence of Kelvin–Planck and Clausius statements.
14. State and explain Carnot theorem.
15. * Write the statement of Boyle’s law.
16. * Write the statement of Charle’s law.
17. * Write the statement of Gay–Lussac’s law.
18. Derive the expression for combined gas law.
19. * Discuss about entropy and avaliable energy?
20. * Explain air standard Carnot cycle with PV and TS diagram and write its efficiency?
21. * Discuss about entropy and Clausius inequality.
22. * Define open, closed and isolated systems. Classify each with example.
23. * Differentiate among heat, work and internal energy.
24. * Derive C -C = R, with usual notations.
p v
25. * Define the isothermal process. Derive the expression for work done, change in internal energy and
heat transfer for this process.
26. * Define the following terms:
1. Absolute pressure and Atmospheric pressure.

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2. Enthalpy and Energy.

Numerical Problems

1. An ideal gas is heated from 25°C to 145°C. The mass of the gas is 2kg. Determine: (i) specific heats,
(ii) change in internal energy, (iii) change in enthalpy. Assume R = 287 J/kgK and ϒ = 1.4 for the gas.
2. A single stage compressor is required to compress 94 m3 air per min from 1bar and 25°C to 9 bar. Find
the temperature at the end of compression, work done, the power required and heat rejected during each
of the following process: (i) isothermal, (ii) adiabatic, (iii) Polytropic following the law PV1.3 =
constant. Assume no clearance.
3. Determine the work done in compressing 1 kg of air from a volume of 0.15m3 at a pressure of 1 bar to a
volume of 0.05m3, when the compression is (i) isothermal and (ii) adiabatic, take ϒ = 1.4.
4. 0.15m3 of air at a pressure of 900 kPa and 300°C is expanded at constant pressure to three times its
initial volume, It is expanded polytropically following the law PV1.5 = C and finally compressed back
to initial state isothermally. Calculate heat received, heat rejected, efficiency of the cycle.
5. In an air compressor, air enters at 1.013bar and 27°C having volume 5 m3/kg and it is compressed to
12bar isothermally. Determine work done, heat transfer, and change in internal energy.
6. The work and heat per degree change of temperature for a process executing a non flow process is

given by and Determine change in internal energy of a system when its

temperature increases from 60°C to 110°C.
7. A blower handles 2 kg/sec. of air at 30°C and consumes 40 kW power. The inlet and outlet velocities
of air are 100 m/sec. and 150 m/sec. respectively. Find exit temperature assuming the process is
adiabatic. (Take CP for air 1.005 kJ/kgK)
8. The centrifugal pump delivers 50kg of water per second. The inlet and outlet pressures are 1 bar and
4.2bar respectively. The suction is 2.2 m below the center of the pump and delivery is 8.5 m above the
center of the pump. The suction and delivery pipe diameters are 20 and 10 cm, respectively. Determine
the capacity of the electric motor to run the pump.
9. Two reversible heat engine E1 and E2 are arranged in series between a hot reservoir at temperature T1
of 600 K and a cold reservoir at temperature T2 of 300K. Engine E1 receives 500 kJ of heat from a
reservoir at T1. Presuming both engines have equal thermal efficiency, determine—the temperature at
which heat is rejected by E1 and received by E2, the thermal efficiency of each engine, work done by
engine E1 and E2, and heat rejected by E2 to a cold reservoir.
10. A reversible heat engine operates between 875 K and 310 K and drives a reversible refrigerator
operating between 310 K and 255 K. The engine receives 2000 kJ of heat and net work output from the
arrangement equals 350 kJ. Make calculations for cooling effect.
11. A new temperature scale in degree N is desired with a freezing point at 100°N and the boiling point at
400°N. Establish a correlation between degrees Celsius and degrees N. What would be the absolute
temperature at 0°N?
12. A reversible heat engine operates within the higher and lower temperature limits of 1400K and 400K
respectively. The entire output from this engine is utilized to operate a heat pump. The pump works on a
reversed Carnot cycle, extracts heat from a reservoir at 300K and delivers it to the reservoir at 400K. If
100 kJ/sec. of net heat is supplied to the reservoir at 400K, calculate the heat supplied to the engine by
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 1 CONCEPTS OF THERMODYNAMICS AND PROPERTIES OF GASES
a reservoir at 1400 K.
13. A sample of a gas with a volume of 575 ml and a pressure of 756 mm has to be given a volume of 375
ml. What pressure is needed if the temperature is kept constant?
14. What is the new pressure on a sample of gas that has an initial volume of 1.4 L and a pressure of 750
mm if the volume becomes 2.2 L at the same temperature?
15. A balloon contains a gas with a volume of 1.1 L at 22°C and 756 mm. What would be the volume of the
gas at a higher altitude where the pressure of the gas in the balloon decreases to 500 mm? Assume the
temperature remains the same.
16. How many liters will 10 g of dry ice (carbon dioxide) occupy at 1 atm and 23°C?
17. * One kg of gas is compressed polytropically from 160 kPa pressure and 280 K temperature to 760 kPa.
The compression is according to law PV1.3 = Constant. Find: (i) Final Temperature (ii) work done (iii)
change in internal energy (iv) amount of heat transfer, and (v) change in enthalpy. Take R = 0.287
KJ/KgK and Cp = 1.002 KJ/KgK.

[Hint: Refer Example 1.14]

18. * One cubic meter of air at a pressure of 1.5 bar and 80°C is compressed to final pressure 8 bar and
volume 0.28 m3. Determine: (i) mass of air, (ii) index of ‘n’ compression, (iii) change in internal
energy, and (iv) Heat transfer during compression. Take y = 1.4 and R = 287 J/kgK.

[Hint: and Refer Example 1.14]

19. * A cylinder contains 0.6 m3 of gas at a pressure of 1 bar and 90° C the gas is compressed to a volume
of 0.18 m3 according to law PVn = C. The final pressure is 5 bar. Assuming R = 0.287 KJ/Kg K and γ =
1.4 Calculate: (i) The mass of gas, and (ii) The Value of Index n for compression.

[Hint: and Refer Example 1.14]

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 2 FUELS AND COMBUSTION
CHAPTER 2
Fuels and Combustion
Learning Objectives

By the end of this chapter, the student will be able:

To differentiate the solid, liquid, and gaseous form of fossil fuels
To describe the method for preparation of biofuels
To demonstrate the experimental set up to determine the calorific value of the fuel

2.1 INTRODUCTION

Any material that can be burned to release thermal energy is called a fuel. Most familiar
fuels consist primarily of hydrogen and carbon, called hydrocarbon fuels. Hydrocarbon
fuels exist in all phases; some examples are coal, gasoline, and natural gas. Fuels are the
materials which ignite in presence of oxygen and produce heat. The heat energy is then
converted into various forms of energy. The different types of fuels like liquid, solid and
gaseous fuels are available for firing in boiler’s furnaces and other combustion
equipments. The selection of right type of fuels depends on various factors such as
availability, storage, handling, pollution and landed cost of fuel.
The knowledge of the fuel properties helps in selecting the right fuel for the right purpose
and efficient use of the fuel. The increasing worldwide demand for energy has focused
attention on fuels, their availability and environmental effects. The fuels available to
produce electricity are largely nuclear and fossil, both essentially non-renewable. Fossil
fuels take nature’s millions of years to manufacture. Fossil fuels originate from the earth
as a result of the slow decomposition and chemical conversion of organic material. They
exist in nature in three basic forms—solid (coal), liquid (oil) and natural gas. Coal
represents the largest fossil-fuel energy resource in the world.
The use of various types of fuels plays an important role in global warming. Global
warming means a gradual increase in the average temperature of the Earth’s atmosphere
and oceans and a permanent change in the Earth’s climate. There is great debate
regarding the reality of global warming. But scientists looking at the data and facts agree
that the planet is warming. While many view the effects of global warming to be more
substantial and more rapidly occurring than others do, the scientific consensus on climatic
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changes related to global warming is that the average temperature of the Earth has risen
between 0.4 and 0.8°C over the past 100 years. It has been predicted that average global
temperatures could increase between 1.4 and 5.8°C by the year 2100. Changes resulting
from global warming may include rising sea levels due to the melting of the polar ice
caps, as well as an increase in occurrence and severity of storms and other severe
weather events.
Global warming occurs due to a collection of carbon dioxide (CO2) and other air
pollutants and greenhouse gasses in the atmosphere and absorption of sunlight and solar
radiation that have bounced off the earth’s surface. Normally, this radiation would escape
into space, but these pollutants, which can last for years to centuries in the atmosphere,
trap the heat and cause the planet to get hotter. That is known as the greenhouse effect.
The global warming may affect the environmental, economic, and health of the living
beings on the earth in the following terms:
Melting the glaciers, early snowmelt, and severe droughts may cause more dramatic water shortages
and increase the risk of wildfires.
Rising sea levels may lead to coastal floodings like Mumbai and Kolkata area. Forests, farms, and
cities may face troublesome new pests, heat waves, heavy downpours, and increased flooding. All
those factors may damage or destroy agriculture and fisheries.
Disruption of habitats such as coral reefs and Alpine meadows could drive many plant and animal
species to extinction.
Allergies, asthma, and infectious disease outbreaks may become more common due to increased growth
of pollen-producing ragweed and higher levels of air pollution.

2.2 COAL

Coal is classified into three major classes, namely anthracite, bituminous, and lignite.
However, there is no clear demarcation between them and coal is also further classified
as semi-anthracite, and sub-bituminous. Anthracite is the oldest coal from a geological
perspective. It is a hard coal composed mainly of carbon with little volatile content and
practically no moisture. Lignite is the youngest coal from a geological perspective. It is a
soft coal composed mainly of volatile matter and moisture content with low fixed carbon.
Fixed carbon refers to carbon in its free state, not combined with other elements. Volatile
matter refers to those combustible constituents of coal that vaporize when coal is heated.
The common coals used in Indian industry are bituminous and sub-bituminous coal. The
gradation of Indian coal based on its calorific value is given in Table 2.1.

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Table 2.1: Calorific values of various grades of Indian Coals

2.2.1 Analysis of Coal

There are two methods for coal analysis—ultimate and proximate analysis. The ultimate
analysis determines all solid or gaseous coal components, and the proximate analysis
determines only the percentage of carbon, volatile matter, moisture, and ash.
Ultimate Analysis: The ultimate analysis indicates the various chemical constituents
such as Carbon, Hydrogen, Oxygen, Sulfur, etc. It is useful in determining the quantity of
air required for combustion and the volume and composition of the combustion gases.
This information is required for the calculation of flame temperature and the flue duct
design, etc.
Proximate Analysis: Proximate analysis indicates the percentage by weight of the Fixed
Carbon, Volatiles, Ash, and Moisture Content in coal. The amounts of fixed carbon and
volatile combustible matter directly contribute to the heating value of coal. Fixed carbon
acts as a main heat generator. The high volatile matter content indicates easy ignition of
the fuel. The ash content is important in the design of the furnace grate, combustion
volume, and pollution control equipment and ash handling systems of a furnace. Fixed
Carbon—Fixed carbon is the solid fuel left in the furnace after the volatile matter is
distilled off. It consists of carbon but also contains some hydrogen, oxygen, sulfur, and
nitrogen not driven off with the gases. Fixed carbon gives a rough estimate of the heating
value of coal. Volatile Matter—Volatile matters are the methane, hydrocarbons,
hydrogen and carbon monoxide, and incombustible gases like carbon dioxide and
nitrogen found in coal. Thus, the volatile matter is an index of the gaseous fuels present.
Typical range of volatile matter is 20 to 35%. Volatile matter proportionately increases
flame length, and helps in easier ignition of coal, sets the minimum limit on the furnace
height and volume, influences secondary air requirement and distribution aspects and also
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influences secondary oil support.
Ash Content: Ash is an impurity that does not burn. It ranges from 5 to 40%. Ash reduces
handling and burning capacity, increases handling costs, affects combustion efficiency
and boiler efficiency and causes clinkering and slagging. Moisture Content—Moisture in
coal must be transported, handled and stored. Since it replaces combustible matter, it
decreases the heat content per kg of coal. It ranges from 0.5 to 10%. Moisture increases
heat loss due to evaporation and superheating of vapor.
Sulfur Content: It ranges from 0.5 to 0.8%. Sulfur affects clinkering and slagging
tendencies, corrodes chimney, and other equipment such as air heaters and economizers,
and limits exit flue gas temperature.

2.2.2 Advantages of Solid Fuels over the Liquid Fuels

In case of liquid fuels, there is a chance of explosion.

Liquid fuels are costlier in comparison to solid fuels.
Sometimes liquid fuels give unpleasant odors during burning.
Liquid fuels require special types of burners for burning.
Liquid fuels pose problems in cold climates since the oil stored in the tanks is to be heated in order to
avoid the stoppage of oil flow.

2.3 LIQUID FUELS

2.3.1 Petroleum

Petroleum means ‘rock oil’, as it is found underground in porous rocks. It is often used
synonymously for ‘Crude Oil’, ‘Crude Petroleum‘, or simply ‘Oil’. Petroleum is a dark
colored liquid with the potential to release energy to generate heat through combustion
and is the source of a wide range of industrial liquid fuels for process heating and power
generation. Though its composition varies with geological location, a general indication of
the chemical composition (by weight) of petroleum would be—C(84%); H(14%);
S(1−3%); N(<1%); O(<1%); metals and salts (<1%). The value of petroleum is high due
to its ease of storage, transportation, utilization, high stored-energy density and relative
ease of conversion to thermal energy. The primary use of petroleum fuel is for
transportation, with industrial process heating and power applications also accounting for
significant consumption.
The major source of liquid fuels is crude petroleum; other sources are shale and tar sands.
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Synthetic hydrocarbon fuels such as gasoline and methanol can be made from coal and
natural gas. Ethanol, some of which is used as an automotive fuel, is derived from
vegetable matter.
Crude petroleum and refined products are a mix of a wide variety of hydrocarbons—
aliphatic (straight or branched chained paraffins and olefins), aromatics (closed rings, six
carbons per ring with alternate double bonds joining the ring carbons, with or without
aliphatic side chains), and naphthenic or cycloparaffins (closed single-bonded carbon
rings, five to six carbons). Refining is required to yield marketable products that are
separated by distillation into fractions, including a specific boiling range. Further
processing (such as cracking, reforming, and alkylation) alters the molecular structure of
some of the hydrocarbons and enhances the yield and properties of the refined products.

2.3.2 Kerosene

Kerosene is a refined petroleum distillate consisting of a homogeneous mixture of

hydrocarbons. It is used mainly in wick-fed illuminating lamps and kerosene burners. Oil
for illumination and for domestic stoves must be high in paraffin to give low smoke. The
presence of naphthenic and especially aromatic hydrocarbons increases the smoking
tendency. A “smoke point” specification is a measure of flame height at which the tip
becomes smoky. The “smoke point” is about 73 mm for paraffin, 34 mm for naphthalene,
and 7.5 mm for aromatics and mixtures.
Low sulfur content is necessary for kerosene because:
Sulfur forms a bloom on glass lamp chimneys and promotes carbon formation on wicks.
Sulfur forms oxides in heating stoves. These swells, are corrosive and toxic, creating a health hazard,
particularly in non-vented stoves.

2.3.3 Diesel

Diesel engines, developed by Rudolf Diesel, rely on the heat of combustion of the fuel.
Fuel is injected into the combustion chamber in an atomized spray at the end of the
compression stroke after air has been compressed to 450–650 psi and has reached a self-
ignition temperature due to compression of at least 500°C. This temperature ignites the
fuel and initiates the piston’s power stroke. The fuel is injected at about 2000 psi to
ensure good mixing. Diesel is expensively used in truck transport, rail trains, and marine
engines. They are being used more in automobiles. In addition, they are employed in
industrial and commercial stationary power plants. Fuels for diesel vary from kerosene to
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medium residual oils. The choice is dictated by engine characteristics, namely, cylinder
diameter, engine speed, and combustion wall temperature. High speed small engines
require lighter fuels and are more sensitive to fuel quality variations. Slow-speed, larger
industrial and marine engines use heavier grades of diesel fuel oil. Ignition qualities and
viscosity are important characteristics that determine performance. The ignition qualities
of diesel fuels may be assessed in terms of their cetane numbers or diesel indices.

2.3.4 Gasoline

Gasoline, or petrol, is made of a mixture of hydrocarbons, which are molecules composed

of carbon and hydrogen atoms. Typically, in standard gasoline, the hydrocarbons consist
of carbon chains are 5–10 carbon atoms long. The exact mixture of which types of
hydrocarbons depends entirely on the specific sample of gasoline (what type of oil it was
made from, which company refined it, what additives were added, etc.). Gasoline is more
volatile than diesel oil, or kerosene, not only because of the base constituents but also
because of the additives. Volatility is often controlled by blending with butane, which
boils at −0.5 °C. The volatility of petrol is determined by the Reid vapor pressure (RVP)
test. The desired volatility depends on the ambient temperature. In hot weather, petrol
components of higher molecular weight and thus lower volatility are used. In cold
weather, too little volatility results in cars failing to start.
In hot weather, excessive volatility results in what is known as “vapor lock”, where
combustion fails to occur, because the liquid fuel has changed to a gaseous fuel in the
fuel lines, rendering the fuel pump ineffective and starving the engine of fuel.

2.3.5 Calorific Value of Liquid Fuels

The calorific value is the measurement of heat or energy produced and is measured in
terms of gross calorific value or net calorific value. Gross calorific value (GCV) assumes
all vapor produced during the combustion process is fully condensed. Net calorific value
(NCV) assumes the water leaves with the combustion products without fully being
condensed. Fuels should be compared based on the net calorific value.
The calorific value of coal depends on the ash, moisture content and the type of coal. The
typical Gross Calorific Values of some of the commonly used liquid fuels are as—
Kerosene oil (11,100 kCal/kg), Diesel oil (10,800 kCal/kg), Light Diesel Oil (LDO)
(10,700 kCal/kg), Furnace oil (10,500 kCal/kg), and Low Sulfur Heavy Stock(LSHS)
(10,600 kCal/kg).
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2.3.6 Major Contents of Liquid Fuels

Sulfur

The amount of sulfur in the fuel oil depends mainly on the source of the crude oil and to a
lesser extent on the refining process. The normal sulfur content in the residual fuel oil
(furnace oil) is in the order of 2–4%. The ranges of variation of sulfur in liquid fuels in
percentage are as—Kerosene oil (0.05–0.2), Diesel oil (0.05–0.25), Light Diesel Oil
(LDO) (0.5–1.8), Furnace oil (2.0–4.0), and Low Sulfur Heavy Stock (LSHS) (less than
0.5).
The main disadvantage of sulfur is the risk of corrosion by sulfuric acid formed during
and after combustion, and condensing in cool parts of the chimney or stack, air preheater,
and economizer.

Ash Content

The ash value is related to the inorganic material in the fuel oil. The ash levels of distillate
fuels are negligible. Residual fuels have more of the ash-forming constituents. These salts
may be compounds of sodium, vanadium, calcium, magnesium, silicon, iron, aluminum,
nickel, etc.
Typically, the ash value is in the range 0.03-0.07%. Excessive ash in liquid fuels can
cause fouling deposits in the combustion equipment. Ash has an erosive effect on the
burner tips, causes damage to the refractories at high temperatures and gives rise to high-
temperature corrosion and fouling of equipment.

Carbon Residue

Carbon residue indicates the tendency of oil to deposit a carbonaceous solid residue on a
hot surface, such as a burner or injection nozzle, when its vaporizable constituents
evaporate. The residual oil contains carbon residue ranging from 1 per cent or more.

Water Content

The water content of furnace oil when supplied is normally very low as the product at
refinery site is handled hot and maximum limit of 1% is specified in the standard. Water
may be present in free or emulsified form and can cause damage to the inside furnace
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surfaces during combustion especially if it contains dissolved salts. It can also cause
extinguishing the flame and reducing the flame temperature or lengthening the flame.

2.3.7 Advantages and Disadvantages of Liquid Fuels over Solid Fuels

Advantages

Handling of liquid fuel is easy and they require less storage space.
Liquid fuels can be fired easily and the maximum temperature is attained in less time than that of solid
fuels.
The solid fuels containing higher of moisture burn with great difficulty.
The solid fuels leave a large quantity of ash after burning and then disposal of ash becomes a problem,
whereas the liquid fuels as very little ash after burning. The combustion of liquid fuel is uniform,
therefore, the change in load can be easily met by controlling the flow of fluid.

Disadvantages

They are costly as compared to solid fuels.

They require special type of burners.
In cold climate, the oil stored in tanks is to be heated in order to avoid the stoppage of flow.

2.4 GASEOUS FUELS

Gaseous fuels in common use are liquefied petroleum gases (LPG), Natural gas, producer
gas, blast furnace gas, coke oven gas, etc. The calorific value of gaseous fuel is expressed
in kilocalories per normal cubic meter (kCal/Nm3), i.e., at normal temperature (20oC) and
pressure (760 mm Hg).

2.4.1 Liquefied Petroleum Gases (LPG)

LPG is a predominant mixture of propane and Butane with a small percentage of

unsaturates (Propylene and Butylene) and some lighter C2 as well as heavier C5
fractions. Included in the LPG range are propane (C3H8), Propylene (C3H6), normal and
iso-butane (C4H10) and Butylene (C4H8). LPG may be defined as those hydrocarbons,
which are gaseous at normal atmospheric pressure, but may be condensed to the liquid
state at normal temperature, by the application of moderate pressures. Although they are
normally used as gases, they are stored and transported as liquids under pressure for
convenience and ease of handling. Liquid LPG evaporates to produce about 250 times
volume of gas.
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LPG vapor is denser than air—butane is about twice as heavy as air and propane about
one and a half times as heavy as air. Consequently, the vapor may flow along the ground
and into drains, sinks to the lowest level of the surroundings and be ignited at a
considerable distance from the source of leakage. In still air vapor will disperse slowly.
Escape of even small quantities of the liquefied gas can give rise to large volumes of
vapor/air mixture and thus cause a considerable hazard. To aid in the detection of
atmospheric leaks, all LPG’s are required to be odorized. There should be adequate
ground level ventilation where LPG is stored. For this very reason, LPG cylinders should
not be stored in cellars or basements, which has no ventilation at ground level.

2.4.2 Compressed Natural Gas (CNG)

Methane is the main constituent of Natural gas and accounting for about 95% of the total
volume. Other components are—Ethane, Propane, Butane, Pentane, Nitrogen, Carbon
Dioxide, and traces of other gases. Very small amounts of sulfur compounds are also
present. Since methane is the largest component of natural gas, generally, properties of
methane are used when comparing the properties of the natural gas to other fuels. Natural
gas is a high calorific value fuel requiring no storage facilities. It mixes with air readily
and does not produce smoke or soot. It has no sulfur content. It is lighter than air and
disperses into air easily in case of a leak. CNG (Compressed Natural Gas) is made by
compressing natural gas (which is mainly composed of methane [CH4]), to less than 1%
of the volume, it occupies at standard atmospheric pressure. It is stored and distributed in
hard containers at a pressure of 200–248 bar, usually in cylindrical or spherical shapes.

2.4.3 Advantages and Disadvantages of Gaseous Fuels over the Solid Fuels

Advantages

Gaseous fuels are easier to handle than solid fuels.

Gaseous fuels can be transported easily through pipelines whereas solid fuels cannot be transported in
this way.
Gaseous fuels do not leave any residue after burning.
Gaseous fuels have higher calorific values than the solid fuels. In other words, for a given mass of the
fuel, liquid and gaseous fuels produce more heat.
Gaseous fuels produce little or no smoke, whereas most of the solid fuels burn with smoke.
Gaseous fuels have relatively low ignition temperature and hence they burn more easily than solid fuels.

Disadvantages

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Very large storage tanks are required for storing gaseous fuels.
Gaseous fuels are highly inflammable, so chances of fire hazards are high in their use.
Gaseous fuels are more costly than solid or liquid fuels.

2.5 BIOFUELS

A biofuel is a derived from biological carbon fixation. Biofuels include fuels derived from
biomass conversion, as well as solid biomass, liquid fuels, and various biogases. Fossil
fuels having their origin in ancient carbon fixation are not considered biofuels because
they contain carbon that has been out of the carbon cycle for a very long time.
Bioethanol is an alcohol made by fermentation of carbohydrates produced in sugar or
starch crops such as corn or sugarcane. Cellulosic biomass, derived from non-food
sources such as trees and grasses, is also being developed as a feedstock for ethanol
production. Ethanol can be used as a fuel for vehicles in its pure form, but it is usually
used as a gasoline additive to increase octane and improve vehicle emissions.
Biodiesel is made from vegetable oils and animal fats. Biodiesel can be used as a fuel for
vehicles in its pure form, but it is usually used as a diesel additive to reduce levels of
particulates, carbon monoxide, and hydrocarbons from diesel-powered vehicles.
Biodiesel is produced from oils or fats using transesterification.

2.5.1 Bioalcohols

Bioalcohols are produced by the action of microorganisms and enzymes through the
fermentation of sugars or starches or cellulose. Biobutanol is also known as biogasoline as
claimed to provide a direct replacement for gasoline because it can be used directly in a
gasoline engine. Ethanol can be used in petrol engines as a replacement for gasoline; it
can be mixed with gasoline to any percentage. Most existing car petrol engines can run
on blends of up to 15% bioethanol with petroleum/gasoline. Ethanol has a smaller energy
density than does gasoline; this fact means that it takes more fuel (volume and mass) to
produce the same amount of work. An advantage of ethanol is that it has a higher octane
rating than ethanolfree gasoline available at roadside gas stations, which allows an
increase of an engine’s compression ratio for increased thermal efficiency.
Ethanol: It can be produced using any feedstock containing significant amounts of sugar,
such as sugarcane, sugar beet, starch, maize, and wheat, etc. Sugarcane can be directly
fermented to alcohol, but starch is first required to be converted to sugar. The
fermentation process is a type of distillation process, which is commonly used for
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producing wine or beer. The main producers are Brazil and the USA.
Ethanol can be mixed with petrol or burned in almost pure form in slightly modified
spark-ignition engines. A liter of ethanol contains approximately two-thirds of the energy
provided by a liter of petrol. However, when mixed with petrol, it improves the
combustion performance and lowers the emissions of carbon monoxide and sulfur oxide.
Methanol is currently produced from natural gas, a non-renewable fossil fuel. It can also
be produced from biomass as biomethanol. The methanol economy is an alternative to
the hydrogen economy, compared to today’s hydrogen production from natural gas.

2.5.2 Biodiesel

Biodiesel is produced from oils or fats using transesterification and is a liquid similar in
composition to fossil/mineral diesel. Chemically, it consists mostly of fatty acid methyl
esters (FAMEs). Feedstocks for biodiesel include animal fats, vegetable oils, soya,
rapeseed, jatropha, mahua, mustard, flax, sunflower, palm oil, hemp, field pennycress,
pongamia pinnata and algae. Pure biodiesel (B100) is the lowest emission diesel fuel.
Although liquefied petroleum gas and hydrogen have cleaner combustion, they are used
to fuel much less efficient petrol engines and are not as widely available.

2.5.3 Green Diesel

Green diesel, also known as renewable diesel, is a form of diesel fuel, which is derived
from renewable feedstock rather than the fossil feedstock used in most diesel fuels.
Green diesel feedstock can be sourced from a variety of oils including canola, algae,
jatropha, and salicornia in addition to tallow. Green diesel uses traditional fractional
distillation to process the oils, not to be confused with biodiesel, which is chemically
quite different and processed using transesterification.

2.5.4 Vegetable Oil

Lower quality oil can be used as fuel. Used vegetable oil is increasingly being processed
into biodiesel, or (more rarely) cleaned of water and particulates and used as a fuel. Oils
and fats can be hydrogenated to give a diesel substitute. The resulting product is a straight
chain hydrocarbon with a high cetane number, low in aromatics and sulfur and does not
contain oxygen. Hydrogenated oils can be blended with diesel in all proportions.
Hydrogenated oils have several advantages over biodiesel, including a good performance
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at low-temperatures, no storage stability problems and no susceptibility to microbial
attack.

2.5.5 Biogas

Biogas is produced by the process of anaerobic digestion of organic material by

anaerobes. It can be produced either from biodegradable waste materials or by the use of
energy crops fed into anaerobic digesters to supplement gas yields. The solid byproduct
and digestate can be used as a biofuel or a fertilizer.

2.5.6 Bioethers

Bioethers (oxygenated fuels) are cost-effective compounds that act as octane rating
enhancers. They also enhance engine performance, whilst significantly reducing engine
wear and toxic exhaust emissions. Greatly reducing the amount of ground-level ozone,
they contribute to the quality of the air we breathe.

2.5.7 Syngas

Biogas is methane produced by the process of anaerobic digestion of organic material by

anaerobes. It can be produced either from biodegradable waste materials or by the use of
energy crops fed into anaerobic digesters to supplement gas yields. The solid byproduct,
digestate, can be used as a biofuel or a fertilizer.

2.5.8 Solid Biofuels

Syngas is a mixture of carbon monoxide, hydrogen, and other hydrocarbons and

produced by partial combustion of biomass. Before partial combustion, the biomass is
dried and sometimes pyrolyzed. The resulting gas mixture, syngas, is more efficient than
direct combustion of the original biofuel; more of the energy contained in the fuel is
extracted. Solid biofuels are wood, sawdust, grass trimmings, domestic refuse, charcoal,
agricultural waste, non-food energy crops, and dried manure. When raw biomass is
already in a suitable form, it can burn directly in a stove or furnace to provide heat or
raise steam. When raw biomass is in an inconvenient form, the typical process is used to
densify the biomass. This process includes grinding the raw biomass to an appropriate
particulate size (known as hogfuel), which depending on the densification type can be
from 1 to 3 cm, which is then concentrated into a fuel product. The current types of
processes are wood pellet, cube, or puck. The pellet process is most common in Europe
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and is typically a pure wood product. The other types of densification are larger in size
compared to a pellet and are compatible with a broad range of input feedstocks. The
resulting densified fuel is easier to transport and feed into thermal generation systems
such as boilers.

2.5.9 Scope of Second-generation Biofuels

Second-generation biofuels currently are under development phase. It would use

lignocellulosic feedstock such as wood, tall grasses, and forestry and crop residues. This
would increase the quantitative potential for biofuel generation per hectare of land and
could also improve the fossil energy and greenhouse gas balances of biofuels. The cost of
the cellulosic feedstock itself is lower than the first-generation feedstocks. Second-
generation feedstocks and biofuels could also offer advantages in terms of reducing
greenhouse gas emissions. Currently, the liquid biofuel production based on sugar and
starch crops (for ethanol) and oilseed crops (for biodiesel) is generally referred to as first-
generation biofuels.
A second-generation biofuels may make it possible to use the lingocellulosic biomass.
Cellulosic biomass is more resistant to being broken down than starch, sugar, and oils.
The difficulty of converting it into liquid fuels makes it more expensive. The conversion
of cellulose to ethanol involves two steps—in the first step, the cellulose and
hemicellulose components of the biomass are first broken down into sugars. In the second
step, ethanol is obtained after fermentation of sugars. The first step is technically
challenging, although research continues on developing efficient and cost-effective ways
of carrying out the process.

2.6 COMBUSTION

2.6.1 Principle of Combustion

Combustion refers to the rapid oxidation of fuel accompanied by the production of heat
or heat and light. Complete combustion of a fuel is possible only in the presence of an
adequate supply of oxygen. Oxygen (O2) is one of the most common elements on earth,
making up 20.9% of our air. Rapid fuel oxidation results in large amounts of heat. Solid
or liquid fuels must be changed to a gas before they will burn. Usually, heat is required to
change liquids or solids into gases. Fuel gases will burn in their normal state if enough air
is present. The percentage of nitrogen in air is 79%. It is considered to be a temperature
reducing dilutant that must be present to obtain the oxygen required for combustion.
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Nitrogen reduces combustion efficiency by absorbing heat from the combustion of fuels
and diluting the flue gases. This reduces the heat available for transfer through the heat
exchange surfaces. It also increases the volume of combustion by-products, which then
have to travel through the heat exchanger and up the stack faster to allow the
introduction of additional fuel air mixture. This nitrogen also can combine with oxygen
(particularly at high flame temperatures) to produce oxides of nitrogen (NOx), which are
toxic pollutants. Carbon, hydrogen, and sulfur in the fuel combine with oxygen in the air
to form carbon dioxide, water vapor, and sulfur dioxide, releasing 8084, 28922, and 2224
kCals of heat, respectively. Under certain conditions, Carbon may also combine with
Oxygen to form Carbon Monoxide, which results in the release of a smaller quantity of
heat (2430 kCals/kg of carbon) Carbon burned to CO2 will produce more heat per pound
of fuel than when CO or smoke are produced.

C + O2 = CO2 + 8084 kCal/kg of C

2C + O2 = 2CO + 2430 kCal/kg of C
2H2 + O2 = 2H2O + 28,9222 kCal/kg of H2
S + O2 = SO2 + 2224 kCal/kg of S

2.7 DETERMINATION OF CALORIFIC VALUE OF FUEL USING BOMB CALORIMETER

A bomb calorimeter is normally used for the determination of the calorific value of solid
fuels. However, it can be also used for liquid fuels. The combustion of the fuel takes
place at constant volume in a tightly closed vessel as shown in Figure 2.1. The higher
calorific value of the fuel is determined at constant volume.

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FIGURE 2.1
Experimental Set-up of Bomb Calorimeter
The bomb calorimeter consists of strong stainless steel shell, which is known as a bomb.
The capacity of the bomb is 650 CC and it can withstand pressure up to 200 atm. Water
is filled in the bomb to a specific level. To act as a water seal. In the top cover of the
bomb oxygen connection and product release valve is arranged. Bottom cover of the
bomb supports an upright, one of them is carrying a ring to support crucible made up of
silica and quartz. The uprights are provided through the bottom with two insulating firing
plugs through which the leads from the main supply are taken via a rheostat. During the
test, the bomb is placed in a copper calorimeter containing 2500 CC of water that is
agitated by a stirrer run by a motor.
The Calorimeter is surrounded by an outer walled vessel with water jacket and air space
between these two containers reduces the radiation loss. The thermometer used to read
up to 1/100 degree centigrade at total rage is 5°C.
The fuel is placed in the crucible. The bomb is then connected to oxygen cylinder and
pressure is adjusted to about 25 to 30 atm. Water in the container is continuously stirred
and the temperature is noted up to steady state. Now stirring is stopped. The fuse wire
ignites the fuel in the presence of oxygen. The temperature of water starts rising. At
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certain intervals (10 sec.) temperature is noted up to maximum temperature and after
each ½ minute decreasing temperature.

True temperature rise, Recorded temperature rise

where rc is maximum temperature reached.

Let C is calorific value of the fuel burnt

C1 is calorific value of wire burnt

W is mass of water contained in calorimeter

w is water equivalent of calorimeter
x is quantity of fuel burnt
xw is quantity of wire burnt

θ1 is steady temperature before combustion

θ2 is max temperature after combustion

t is time elapsed for reaching maximum temperature

qm = θ1 – θ2 and true temperature rise,

EXAMPLE 2.1

A 1g sample of fuel is burned in a bomb calorimeter containing 1.2 kg of water at an

initial temperature of 25°C. After the reaction, the final temperature of the water is
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33.2°C. The heat capacity of the calorimeter is 837 J/°C. The specific heat of water is
4.184 J/g0C. Calculate the heat of combustion of the fuel in kJ/mol.
SOLUTION

Heat gained by water and calorimeter = W. Sw. Δθ + w. Sc. Δθ = 1200g × 4.18 J/goC ×
(33.2°C − 25°C) + 837 J/goC × (33.2°C − 25°C) = 47994.6J = 47.994 kJ
Heat released by fuel = Heat gained by water and calorimeter
Q = 47.994 kJ/1g = 47.994 kJ/g

RECAP ZONE

Points to Remember

Any material that can be burned to release thermal energy is called a fuel.
Fossil fuels originate from the earth as a result of the slow decomposition and chemical conversion of
organic material.
Coal is classified into three major classes—anthracite, bituminous, and lignite.
There are two methods for coal analysis: ultimate and proximate analysis. The ultimate analysis
determines all solid or gaseous coal components, and the proximate analysis determines only the
percentage of carbon, volatile matter, moisture, and ash. The ultimate analysis indicates the various
chemical constituents such as carbon, hydrogen, oxygen, sulfur, etc.
The major source of liquid fuels is crude petroleum; other sources are shale and tar sands.
Synthetic hydrocarbon fuels such as gasoline and methanol can be made from coal and natural gas.
Ethanol, some of which is used as an automotive fuel, is derived from vegetable matter.
Kerosene and diesel are refined petroleum distillate consisting of a homogeneous mixture of
hydrocarbons.
Gasoline , or petrol, is made of a mixture of hydrocarbons, which are molecules composed of carbon
and hydrogen atoms. Typically, in standard gasoline, the hydrocarbons consist of carbon chains are 5-
10 carbon atoms long.
The calorific value is the measurement of heat or energy produced and is measured in terms of gross
calorific value or net calorific value.
Gaseous fuels in common use are liquefied petroleum gases (LPG), natural gas, producer gas, blast
furnace gas, coke oven gas, etc. LPG is a predominant mixture of propane and Butane with a small
percentage of unsaturates (Propylene and Butylene) and some lighter C2 as well as heavier C5 fractions.
Biofuels include fuels derived from biomass conversion, as well as solid biomass, liquid fuels, and
various biogases.
Bioethanol is an alcohol made by fermentation of carbohydrates produced in sugar or starch crops such
as corn or sugarcane.
Biodiesel is made from vegetable oils and animal fats.
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Bioalcohols are produced by the action of microorganisms and enzymes through the fermentation of
sugars or starches or cellulose.
Green diesel, also known as renewable diesel, is a form of diesel fuel, which is derived from
renewable feedstock rather than the fossil feedstock used in most diesel fuels.
Bioethers (oxygenated fuels) are cost-effective compounds that act as octane rating enhancers.
Biogas is methane produced by the process of anaerobic digestion of organic material by anaerobes.
Syngas is a mixture of carbon monoxide, hydrogen, and other hydrocarbons and produced by partial
combustion of biomass.
Solid biofuels are wood, sawdust, grass trimmings, domestic refuse, charcoal, agricultural waste,
nonfood energy crops, and dried manure.
Combustion refers to the rapid oxidation of fuel accompanied by the production of heat or heat and light.
Bomb calorimeter is normally used for the determination of the calorific value of solid fuels. However,
it can be also used for liquid fuels.

Important Formulae

REVIEW ZONE

Multiple-choice Questions

1. Which of the following is not a fossil fuel?

1. Oil
2. Natural gas
3. Geothermal
4. Coal
2. The total amount of heat or energy produced by 1 kg of fuel is the:
1. Heat content
2. Net Calorific Value (NCV)
3. Gross Calorific Value (GCV)
4. Specific heat
3. Moisture, ash content, volatile matter and fixed carbon are measured for coal as part of:
1. Proximate analysis
2. Proximate and ultimate analysis
3. Ultimate analysis
4. None of the above
4. What is the percentage of oxygen by volume in the atmosphere?
1. 14%
2. 23%
3. 20.9%
4. 79%
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5. LPG is predominantly a mixture of propane and:
1. Methane
2. Isopropane
3. Butane
4. Ethane
6. Combustion of which of the following fuels requires the highest amount of excess air:
1. Light diesel oil (LDO)
2. Natural gas
3. LPG
4. Coal
7. The presence of carbon monoxide (CO) in flue gases means:
1. High excess air
2. Poor combustion
3. High thermal efficiency
4. All of the above
8. The complete combustion of C2H4 in air yields:
1. C2H4 and H2
2. CO and H2O
3. CO2 and H2O
4. C and H2
9. Which fuels are used for running automobiles?
1. Wood
2. Coal
3. Diesel
4. Charcoal
10. Charcoal burns in air, producing:
1. CO2
2. CO
3. H2
4. O2
11. Combustion is a reaction in which a Substance reacts with:
1. Hydrogen
2. Nitrogen
3. Oxygen
4. Chlorine
12. Fuel may be:
1. Solid
2. Liquid
3. Gas
4. All of these
13. Combustion is a:
1. Physical process
2. Chemical process
3. Both (a) and (b)
4. None of these
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14. Fire extinguisher:
1. Cut off the supply of air
2. Bring down the temperature of fuel
3. Both (a) and (b)
4. None of these
15. For combustion ____ is necessary:
1. Air
2. Water
3. Paper
4. Fuel
16. Good fuel is:
1. Readily available
2. Cheap
3. Burn easily in air
4. All of these
17. Which is better domestic fuel?
1. CNG
2. LPG
3. Wood
4. Coal
18. Use of ____ in vehicle reduces pollution:
1. Petrol
2. Diesel
3. CNG
4. None of these
19. Ideal fuel has ____ calorific value:
1. Low
2. High
3. Moderate
4. Zero
20. Calorific value is measured in:
1. Kilo Joule
2. Kilograms
3. Kilo Joule per Kg
4. Kilometre
21. Incomplete combustion gives:
1. CO2
2. CO
3. Carbon
4. None of these

Answers

1. c
2. b
3. a
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4. c
5. c
6. d
7. b
8. c
9. c
10. a
11. c
12. d
13. b
14. c
15. a
16. d
17. b
18. c
19. b
20. c
21. b

Theory Questions

1. Discuss the use of fuels and their classifications.

2. * Write a short note on Global Warming.
3. * Give detailed classification of fuel.
4. Write notes of proximate and ultimate analysis of coal.
5. * What are LPG and CNG?
6. Write the various types of coals available for combustion and mention their properties.
7. Write short notes on major petroleum products such as diesel and kerosene.
8. What are the major contents of liquid fuels? Explain in detail.
9. Explain the properties and use of LPG, and natural gas.
10. * What do you mean by calorific value? Explain the experimental setup to measure the calorific value of
a liquid fuel.
11. State the advantages of gaseous fuels over solid and liquid fuels.
12. * List various liquid fuels. State their merits over solid fuels.
13. * Write a short-note on bio-fuels.

Numerical Problems

1. A 1 g sample of fuel is burned in a bomb calorimeter containing 1 kg of water at an initial temperature

of 200C. After the reaction, the final temperature of the water is 300C. The heat capacity of the
calorimeter is 837 J/0C. The specific heat of water is 4.184 J/g0C. Calculate the heat of combustion of
the fuel in kJ/mol.

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 3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY
CHAPTER 3
Power Plant Engineering and Sources of Energy
Learning Objectives

By the end of this chapter, the student will be able:

To understand the conventional and nonconventional forms of energy
To demonstrate the method of conversion of different forms of energy into electricity
To differentiate the renewable and non-renewable forms of energy

3.1 INTRODUCTION

There are different forms of energy; all the energy cannot be used as a work. The
convertibility of energy into work depends on its availability. In this chapter, we will
discuss about the conversion of energy from one form to another and various sources of
energy. The principles of operations of various types of power plant have been discussed
such as thermal power plant, hydroelectric power plant, and nuclear power plant. Also,
the different sources of the renewable and non-renewable form of energy have been
introduced. The main application of power plant is to produce electrical power from other
sources of energy such as coal, water, diesel, kerosene oil, gasoline, nuclear materials,
tidal power, wind energy, geothermal energy, etc.

3.2 PRIME MOVERS

The prime mover is a primary source of power. All the machinery that provides power for
performing various kinds of mechanical work is prime movers. It is a group of machines
that transform various forms of energy such as thermal, electrical, or pressure into
mechanical form. Engines, turbines, pumps, actuators, etc. are the examples of prime
movers.
On the basis of the direction of movement, prime movers may be classified as
reciprocating prime movers and rotating prime movers. Steam engine, reciprocating
pump, reciprocating compressors, internal combustion engines, mechanical actuators, etc.
are the example of reciprocating prime movers and centrifugal pump, gas turbines, steam
turbines, rotary compressors, etc. are the examples of rotating prime movers.
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3.2.1 Historical Development of Prime Movers

The revolution was begun when the technology of the steam engine was invented by James Watt.
For power generation, three principal competitors are introduced in the field of production of
mechanical power. They are the steam turbine plant, the diesel piston engine, and the gasoline piston
engine.
Steam turbines became the most important prime mover for power generation in the nineteenth century.
Because of this, new bulky and expensive steam generating equipment, the boiler and the nuclear
reactor, were introduced. They are intended to produce steam as an intermediate working fluid.
Later, many other power generation systems were introduced. The example of such types of power
generators is diesel plant. In many locations, these machines started replacing bulky power plants for
power generation.
Gasoline engines were used in the early days for aircraft propulsion. A device named the gas turbine
was also introduced during that time, and it supplanted the use of superchargers based on piston
engines.
The main development of the gas turbine started only after the World War II. They were based on shaft
power technology and were called turboprops. After some time the development of turbojet engines for
aircraft usage started, and these are based on the mass airflow rather than shaft output.

3.3 POWER PLANT ENGINEERING

Power plant engineering is a branch of engineering which deals with the conversion of
various forms of energy into electrical energy. In this text, we will discuss about thermal
power, hydroelectric power, nuclear power, and non-conventional sources of energy. In a
thermal power plant, coal, diesel, petrol, natural gas, and kerosene oil are used as fuel and
chemical energy of these fuels is converted into mechanical energy and then mechanical
energy into electrical energy. In a hydroelectric power plant, the potential energy of
water is converted into mechanical energy as shaft power and then mechanical energy
into electrical energy. Similarly, in the case of nuclear energy, nuclear power is used to
generate the heat required to produce superheated steam and then the heat energy is
converted into mechanical energy and the mechanical energy is converted into electrical
energy.

3.3.1 Thermal Power Plant

Thermal power plants may be coal based or gas based. In coal based power plant coal is
used as burning fuel and the heat energy is transferred to water to convert it into
superheated steam. The heat energy of the steam is converted into shaft power through
the expansion of steam in a steam turbine. The shaft of the steam turbine is coupled to a
generator where electricity is generated. The exhaust steam from steam turbine is
condensed in condenser using cooling water. Condenser works just like a heat exchanger
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where heat energy of steam is transferred to cooling water and steam is condensed in the
form of water, which is then pumped into the boiler. The cooling water is recirculated
through a cooling tower to release the heat. A self-explanatory diagram is shown in
Figure 3.1. The detail working of boilers and steam turbines are discussed in detail in
Chapter 4 and 5, respectively.
In gas based power plant or gas power plant, air is compressed to high pressure and heat
energy is added to compressed air using combustion chamber by direct burning of fuel in
compressed air or indirect heat transfer to the compressed air. The high pressure and
hightemperature air is expanded inside the gas turbine, which is coupled to a generator
that generates electricity due to shaft rotation. The exhaust gas from the turbine is
released into the atmosphere in the case of the open cycle gas turbine and re-circulated to
the compressor in the case of closed cycle gas turbine. The self explanatory diagram of
the gas power plant is shown in Figure 3.2. The detail discussion about gas turbine and
compressor are given in Chapters 5 and 10, respectively.

FIGURE 3.1
A Block Diagram of Thermal Power Plant

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FIGURE 3.2
A Block Diagram of Gas Power Plant

3.3.2 Hydroelectric Power Plant

The principle of electricity generation in the case of hydroelectric power plant is same as
in thermal power plant only difference is that the shaft power to the turbine is provided
by pressure and kinetic energy of water in the case of hydroelectric power plant; but in
thermal power plant the shaft power to the turbine is provided by heat energy of
superheated steam or gas. As shown in Figure 3.3, the potential energy of water stored in
a dam is used to rotate the turbine blades mounted on a shaft coupled to a generator.
Different types of turbines may be used in a hydroelectric power plant depends on the
availability of water heads. The applicability of different types of water turbine for
various water heads and their specific speeds are discussed in detail in Chapter 9.

3.3.3 Nuclear Power Plant

In a nuclear power plant, the nuclear energy released from radioactive materials due to
fission reaction is utilized to heat the water and convert it into superheated steam. The
rest of the electricity generation process is similar to the steam power plant as discussed
in section 1.3. The main problem is the careful handling of radioactive fuel used in a
nuclear reactor. Radiations from nuclear fuel are very harmful and dangerous for human
beings. Therefore, complete shielding of a nuclear reactor is required. After a useful life
of nuclear fuel, disposal of nuclear waste is the second major problem with nuclear power
plant. The installation cost of nuclear power plant is very high, but the operational cost
and production cost per unit of electricity is very economical. A self-explanatory block
diagram of nuclear power plant is shown in Figure 3.4.

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FIGURE 3.3
A Block Diagram of Hydroelectric Power Generation

FIGURE 3.4
A Block Diagram for Nuclear Power Plant

Components of Nuclear Reactor

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Fuel: 92U235, Pu239,
94 U233 are nuclear fuel used in a nuclear reactor to release the
92
heat energy. In Uranium ore, 92U235 is available only up to 0.7% remaining is 92U238.
The other two fuels 94Pu239 and 92U233 are formed in the reactor during the fission
process of 92U235. 90Th232 is formed due to absorption of a neutron by 92U235 without
fission. In homogeneous reactors, the fuel (Uranium) and moderator (Carbon)are mixed
uniformly and used in the form of rods or plates in the reactor. In heterogeneous reactors,
fuel is used in the form of rod and moderator surrounds it. The fuel rod is clad with
aluminum, stainless steel, or zirconium to prevent from oxidation.
Moderator: The moderator is a material which is used to reduce the kinetic energy of fast
neutron (1MeV or 13200 km/sec to 0.25 eV or 2200 m/sec) within a fraction of a second
to maintain the fission chain reaction. H2, D2, N2, C, Heavy water, Be, are some
important moderators. The ordinary water is used as a moderator only with enriched
uranium (Enrichment is a process to increase the amount of 92U235) whereas graphite,
heavy-water, Beryllium can be used with natural uranium. The major characteristics of
moderators are the ability to slow down neutrons, resistant to corrosion, high melting
point, high chemical stability, and non-absorbent of neutrons.
Control Rod: The function of the control rod is to start the nuclear chain reaction when
the reactor is started from cold, to maintain the chain reaction at steady state condition,
and to shut down the reactor automatically under an emergency condition. The materials
used for control rods must have very high absorption capacity for neutrons. The common
materials used for control rods are cadmium, boron, or hafnium.
Shielding: Neutrons, gamma rays, and all other radiations are efficiently absorbed by the
concrete and steel. The inner lining of the core is made of 50 to 60 cm thick steel plate
and it is further thickened by a few meters of concrete. The lining of steel plate absorbs
these engines and becomes heated, but prevent the adjacent wall of the reactor vessel
from becoming heated. The thermal shield is cooled by circulating water.
Reactor Vessel: It consists of the reactor core, reflector, and shield. It also provides the
entrance and exit passage for directing the flow of the coolant. It should have
withstanding capacity of more than 200 bars. At the top of the vessel, a hole is provided
to insert the control rods. The reactor core is generally placed at the bottom of the vessel.

Different Types of Nuclear Reactors

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The nuclear reactors can be classified on the basis of neutron energy, fuel used,
moderator used, and coolant used. On the basis of neutron energy, we can classify the
nuclear reactor as Fast reactor and thermal reactor; on the basis of fuel used, we can
classify them as a natural fuel reactor and enriched uranium reactor; on the basis of
moderator, we can classify them as water moderated, heavy water moderated, graphite
moderated, and beryllium moderated; on the basis of coolant, we can classify them as
water cooled reactor, gas cooled reactor.
Pressurized Water Reactor (PWR): Fuel used in this reactor is enriched uranium
(Uranium Oxide). Uranium oxide is highly resistant to irradiation damage and is very well
adapted to high burn up. It is also highly resistant to corrosion by high-pressure water in
the event of break-up in the fuel cladding. The water becomes radioactive during passing
from the reactor. Therefore, the entire primary circuit including steam generator must be
shielded to protect the operating people. The radioactive coolant does not make the
steam radioactive in the boiler.
Boiling Water Reactor (BWR): In this reactor, enriched uranium is used as fuel and
water is used as a coolant and moderator like PWR except the steam is generated in the
reactor itself.
Heavy Water Cooled and Moderated CANDU (Canadian Deuterium Uranium)
Reactor: In this reactor, natural uranium is used as fuel and heavy water is used as a
coolant and moderator. The heavy water is passed through the pressure tubes in the
reactor and heat exchanger in the primary circuit in the same way as in a PWR and the
steam is raised in the secondary circuit. Heat is transferred from heavy water to ordinary
water in the heat exchanger. The control of the reactor is achieved by the level of the
moderator, i.e., heavy water in the reactor. Therefore, the control rod is not required in
this reactor.
Gas Cooled Reactor (GCR): The reactor is cooled by the gas and the heat carried away
by the as from the reactor is either used for generating steam in the secondary circuit like
PWR or it can be directly used in a gas turbine.
Liquid Metal Cooled Reactor: The excellent heat transfer capacity of molten metals
makes them attractive as reactor coolant. The liquid metal coolant is circulated through
the reactor at moderate pressure and high-temperature (5400C). In this reactor enriched
uranium is used as fuel and graphite as moderator. The common metals which can be
used as coolant may be sodium, potassium, etc. Sodium is most suitable coolant as it has
low absorption, low melting point, high boiling point, high specific heat, high thermal
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conductivity and considerably cheaper in cost.
Fast Breeder Reactor (FBR): In a fast breeder reactor, enriched uranium or plutonium is
kept in a casing without a moderator. The casing is covered with a thick blanket of
depleted fertile uranium. The ejected excess of neutrons is absorbed by the fertile blanket
and it converts into fissile material. The heat produced in the reactor core is carried away
by liquid metal. The major difficulty is to remove the large quantity of heat from the core
as the power density is very high (430 kW) per liter of core volume, which 40 times
greater than a CANDU type reactor, 13 times greater than BWR, and 20 times greater
than a gas cooled reactor.

3.3.4 Diesel Power Plant

The diesel power plant produces mechanical power based on the principle of diesel
engines as shown in Figure 3.5. The generator is coupled with the diesel engine and the
mechanical power or the shaft power produced by the diesel engine is converted into
electrical power with the help of a generator. This is used in combination of the thermal
power plant or the hydraulic power plant to meet the requirement of power during the
peak load or power failure due to some unavoidable circumstances. The diesel power
plant can be divided into two classes—stationary and mobile. A stationary diesel power
plant generally uses four-stroke diesel engines and less frequently uses two-stroke diesel
engines, with power ratings of 110, 220, 330, 440, and 735 kilowatts (kW). The
stationary diesel power plant may be used for more than 750 kW ratings and this may go
up to 2200 kW ratings. The main advantages of the diesel power plant are an economy of
operation, stable operating characteristics, and easy and quick start-up. The main
disadvantage of the diesel power plant is comparatively short intervals between major
overhauls. The efficiency of the diesel power plant can be increased by utilizing the
major part of the waste heat for preheating the air and fuel. The stationary diesel power
plant is used where construction of thermal power plant or the hydroelectric power plant
is difficult. Mobile diesel power plant is generally used for the agriculture, forestry, and
for the special occasion where the power supply is not available.

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FIGURE 3.5
A Schematic Diagram of Diesel Power Plant
Working Principle of the Diesel Power Plant: In the diesel engine power plant, the fuel
mixture and air are used as a working medium. During suction stroke, atmospheric air
enters the combustion chamber. With the help of the injection pump fuel is injected into
the chamber at the end of compression stroke. Inside the engine, the air and the fuel are
mixed and the charge is ignited because of the compression present inside the cylinder.
The main principle observed in the diesel engine is the thermal energy, it must be
converted into the mechanical energy and further, the mechanical energy must be
converted into the electrical energy. The main purpose is to develop electricity with the
help of the alternator or generator.
Applications of the Diesel Engine Power Plant During Peak Load: During the peak
load, the diesel power plant is used to supply the extra power required quickly and then
stopped after the peak hours.
Mobile Plant: Diesel plants can be tied on trailers and can be traveled for emergency or
temporary purposes.
Standby Unit: If it cannot handle up with the demand or main unit fails, then the diesel
plant can supply the required power source.
Emergency Plant: During the time of power disruption in a diesel electric plant, the
emergency plant can be used to generate the power. Starting stations: The diesel station
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may be used to run the induced draft fans, forced draft fans. Boiler feed is required for
the larger steam power plants.

Advantages of Diesel Power Plant

Low capital cost.

Simple design and easy installation of the plant.
Availability in the standard capability.
Requirement of less space in comparison to the other plants.
Quick start and stop facility.
Requirement of less amount of cooling.
Higher part loads efficiency.
Requirement of less number of engineers.
No ash handling problems.

Disadvantages of Diesel Power Plant

High operating cost.

High lubrication and maintenance cost.
Limited capacity.
Sound pollution.
No overloading.
Released unwanted emissions.
Limited life time of 7 to 10 years.

3.3.5 Tidal Power Plant

Tidal energy is harnessed from the tides of the ocean in the form of the natural ebb and
flow of the tides. Tides are created by the gravitational interaction of the moon and sun
with the earth rotation. It can be harnessed both in the sea, tidal rivers, and estuaries. On
some shorelines, water levels can go up to 8-12 m. Due to drastic changes in water level,
the first type of tidal energy, i.e., tidal barrages as shown in Figure 3.6 can be used. Tides
can occur once or twice a day depending on location. The timing of the tides fluctuates
over a period of two weeks or so.
The tidal energy can be harnessed in mainly in three ways:
1. Tidal barrage
2. Tidal turbines
3. Tidal fence

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Tidal Barrage

A Tidal barrage is very similar to conventional hydroelectric power generation. In this

method, the tidal estuary is blocked off with a dam or barrage. Movable flood gates
(called sluice gates) on the dam allow incoming tidal waters to fill up in a reservoir. Once
the water reaches its maximum level, the gates close and trap the water as shown in
Figure 3.6. The head of the water in the artificial estuary is called a hydrostatic head.
When the high head water returns, it rotates the turbine blade mounted on a shaft, which
is coupled to the generator. The generator generates the electricity using the mechanical
power of the turbine shaft.

FIGURE 3.6
Tidal Barrage

Tidal Turbine

The tidal turbine is another way to exploit tidal power. Tidal turbines are submersible
wind turbines that use water instead of air to turn the blades. Tidal turbines are deep-set
20–30 m and can be situated at the place of strong tidal flow. Because of the heavier
density of water as compared to air, tidal turbines must be built much sturdier than their
terrestrial counterparts as shown in Figure 3.7. Submerged turbines help to reduce the
structural strain. The advantage of the greater density of water is that relatively large
amounts of power can be produced with relatively small current and rotor diameter. A
rotor with a diameter of 10–15 m can generate 200–700 kW of power, whereas the same
power is generated by the wind turbine with a rotor diameter of 45 meters. Tidal turbines
function best at flow rates of 7–11 km/hr. The main advantage of tidal turbines, in
contrast with wind turbines, is their predictability. Tides flow in and out every day,
promising daily energy.

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FIGURE 3.7
Tidal Turbine

Tidal Fences

Tidal fence is an extension of tidal turbine technology. A series of turbines are positioned
in a row as a “fence” through which water passes as shown in Figure 3.8. Tidal fences are
constructed in channels between two land masses. The energy potential depends largely
on the rate of flow, which is unique for each location. It has been observed that little
power is generated when only a few turbines are installed, whereas too many obstructions
to the flow also limit the power potential. Therefore, it is important to determine the
optimum number of turbines, as well as their optimum location. Fence installations are
presumed to be less expensive to develop than tidal barrages, as well as less impacting on
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the environment.

Advantages of Tidal Power

Once the tidal power plant is constructed, tidal power is free.

No greenhouse gases or other wastes are produced.
No fuel is required.
Maintenance is less costly.
Tides are totally predictable.

FIGURE 3.8
Tidal Fences

Disadvantages of Tidal Power

A barrage across an estuary is very expensive to build.

The barrage affects a very wide area.
The environment is changed for many miles upstream and downstream of the barrage.
Only provides power for around 10 h each day, when the tide is actually moving in or out.
There are few suitable sites for tidal barrages.

3.3.6 The Geothermal Power Plant

A thermal power plant needs steam to generate electricity. The steam rotates the turbine
that is coupled with a generator, which produces electricity. The geothermal power plan
also works on the same principle, but steam is produced without heating the water from
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coal, diesel, or nuclear reaction; however, uses steam produced from reservoirs of hot
water found a couple of miles or more below the Earth’s surface. There are three types of
geothermal power plant—dry steam, flash steam, and binary cycle.

Dry Steam Power Plant

The dry steam power plant draws from underground resources of steam. The steam is
piped directly from underground wells to the power plant, where it is directed into a
turbine/ generator unit as shown in Figure 3.9. The rest of the power production process
is same as in the case of thermal power plant. The Geysers is one of the dry steam power
plants in northern California.

FIGURE 3.9
Dry Steam Power Plant

Flash Steam Power Plant

Flash steam power plants are the most common among the geothermal power plants as
shown in Figure 3.10. They use geothermal reservoirs of water with temperatures greater
than 182°C. This hot water flows up through wells in the ground under due to its own
pressure. As it flows upward, the pressure decreases and some of the hot water boils into
steam. The steam is then separated out from the water and used to rotate the blades of
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the turbine, which is coupled to a generator to produce electricity. The separated water
and condensed steam are injected back into the reservoir, making this a sustainable
resource by recycling the water.

FIGURE 3.10
Flash Steam Power Plant

Binary Cycle Power Plants

Binary cycle power plants operate on water at lower temperatures of about 107–182°C.
The heat of the hot water, i.e., underground water is used to heat/boil a working fluid,
usually an organic compound with a low boiling point. The working fluid is vaporized in a
heat exchanger and used to rotate a turbine as shown in Figure 3.11. The water is then
injected back into the ground to be reheated. The water and the working fluid are kept
separated during the whole process, so there are little or no air emissions. There are two
cycles—one cycle is of ground hot water and another is of the working fluid. Thus, this is
known as Binary cycle power plant. Many geothermal reservoirs are located in the
western states, Alaska, and Hawaii in the United States.

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FIGURE 3.11
Binary Cycle Power Plants

3.3.7 Windmill

Winds are produced due to uneven heating of the earth’s surface by the sun, the rotation
of the earth and the irregularities of the earth’s surface. Wind flow patterns vary from
place to place and are affected by bodies of water, vegetation, and differences in terrain.
Wind is nothing more than the movement of air from one place to another. Windmill
harnesses the wind speed into power generation using a generator. The wind rotated the
blades mounted on the hub/propeller of a rotor. The rotor is coupled to the generator,
which converts the mechanical power of the rotor into electrical power. Figure 3.12
shows the installed windmills in a coastal area.
Main Components of the Windmill: Major components of the windmill are blades, rotor,
gearbox, anemometer, and tower. A gearbox is used to maintain the speed of the shaft
constant. Fixed speed windmills run at one speed no matter what the speed of wind is and
use the gearbox (gearbox has gears which convert the slow speed of the spinning blades
into higher-speed rotary motion) to generate electricity at the right frequency for the grid
whereas variable speed windmills speed up and down as the wind speeds up and down.

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FIGURE 3.12
Windmill
In coastal areas where land and water meet, the phenomenon of wind can be observed.
Water usually does not heat or cool as quickly as land. During the day, the air above the
land heats up more quickly than the air above the water. The warm air over the land
expands, becomes less dense, and rises. The heavier, denser, cool air over the water flows
in to take its place, creating the wind. Similarly, the atmospheric winds that circle the
Earth are created because the land near the equator is heated more by the sun than the
land near the North and South Poles.
Windmill converts the wind’s kinetic energy into electrical energy with the help of blades
and generator. The wind flows over the airfoil-shaped blades, creating lift and causing
them to rotate and in the process, the wind slows down. The blades are connected to a
shaft that rotates in an electric generator to produce electricity. The power in the wind is
proportional to the area of the windmill being swept by the wind, the cube of the wind
speed and the air density, which varies with altitude.
Mathematically,

where ρ is the air density in kilograms per cubic meter (kg/m3)

A is the swept rotor area in square meters (m2)

V is the wind speed in meters per second (m/s)
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The kinetic energy in the wind depends on the density of the air, i.e., its mass per unit of
volume. Heavier the air, the more energy is received by the turbine. The rotor area
determines how much energy a wind turbine is able to harvest from the wind. With
doubling of rotor diameter, energy increases by four times. Power in the wind is
proportional to the cubic wind speed. This is because the kinetic energy of an air mass is
proportional to V2 and the amount of air mass moving past a given point is proportional to
wind velocity, V. Hence, identifying a site for a windmill with relatively high mean wind
speed is worthwhile.
Although the above equation derives the power in the wind, the actual power that can be
extracted from the wind is significantly lower than this figure and it depends upon several
factors like the type of machine and rotor used the blade design, friction losses, and the
other losses. The real amount of power that can be extracted from the wind has its
physical limits. The physical limit of the maximum power that can be extracted by any
windmill is 59.3%, defined as Betz limit. The realistic figure varies in the range from 30%
to 45%. Therefore, the power available from the machine is given by:

where Cp is the coefficient of performance of the wind machine

3.4 SOURCES OF ENERGY

The sources of energy can be classified as renewable and non-renewable. A renewable

form of energy can be regenerated and source of energy is infinite, for example, solar
energy, wind energy, tidal energy, geothermal energy are the renewable type of energy.
In contrast to renewable energy, non-renewable energy cannot be regenerated and its
source is limited for example coal, petroleum, fossil fuels, nuclear power, etc. are non-
renewable form of energy.

3.4.1 Renewable Energy

Renewable energy comes from the sources that can theoretically be renewed as quickly
as they are consumed. If used at a sustainable rate, these sources will be available for
consumption for thousands of years or longer. Unfortunately, some potentially renewable
energy sources, such as biomass and geothermal, are being depleted in some areas
because the usage rate exceeds the renewal rate.
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Solar Energy: Solar energy is the ultimate energy source of energy available on the
earth. Though only a small fraction of the solar energy reaches the earth’s surface that is
sufficient to meet the world’s energy requirements. The process of directly converting
solar energy to heat or electricity is considered a renewable energy source. Solar energy
has been used to heat homes and water, and modern technology such as photovoltaic
cells has provided a way to produce electricity from sunlight.
There are Two Basic Forms of Radiant Solar Energy Use: passive and active. Passive
solar energy systems are static and do not require the input of energy in the form of
moving parts or pumping fluids to utilize the sun’s energy. Buildings can be designed to
capture and collect the sun’s energy directly. A southern exposure greenhouse with glass
windows and a concrete floor is an example of a passive solar heating system.
Active solar energy systems require the input of some energy to drive mechanical devices
such as solar panel, which collect the energy and pump fluids used to store and distribute
the energy. Solar panels are generally mounted on a south or west-facing roof. A solar
panel usually consists of a glass-faced, sealed, insulated box with a black matte interior
finish. Inside are coils full of a heat collecting medium such as water. The sun heats the
water in the coils, which is pumped to the coils in a heat transfer tank containing water.
The water in the tank is heated and then either stored or pumped through the building to
heat rooms or supply hot water to taps in the building.
Photovoltaic Cells: A group of cells are linked together to provide the required flow of
current. The electricity can be used directly or stored in storage batteries. Because
photovoltaic cells have no moving parts, they are clean, quiet, and durable. The recent
development of inexpensive semiconductor materials has helped greatly to lower the cost
to the point where solar electric panels can compete cost wise with traditionally produced
electricity.
Hydroelectric Energy: Hydroelectric power is generated by converting the kinetic and/or
pressure energy of water into shaft power (mechanical work) producing electricity with
the help of a generator. Hydroelectric power is generated with the help of dams across
the rivers. A dam built across river creates a reservoir. The head of the water behind the
dam is greater than that below the dam, representing stored potential energy. When water
flows down through the penstock of the dam, the potential energy is converted into
electricity driving the turbines coupled to a generator.
Wind Power: Wind is the result of the sun’s uneven heating of the atmosphere. Warm air
expands and rises, and cool air contracts and sinks. This movement of the air is called
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wind. The wind has been used as an energy source for a long time. It has been used to
pump water, to power ships and to mill grains. Areas with constant and strong winds can
be used by wind turbines to generate electricity. The major drawbacks of wind-powered
generators are—they require lots of open lands and a fairly constant wind supply.
Windmills are also noisy, and some people consider them aesthetically unappealing and
label them as visual pollution.
Biomass Energy: Biomass energy is the oldest source of energy used by human beings. It
is the organic matter that composes the tissues of plants and animals. It can be burned for
heating and cooking, and even generating electricity. The most common source of
biomass energy is from the burning of wood, but energy can also be generated by burning
animal manure, herbaceous plant material, peat, or converted biomass such as charcoal.
Biomass can also be converted into a liquid biofuel such as ethanol or methanol. Biomass
is a potentially renewable energy source. Unfortunately, trees that are cut for firewood
are frequently not replanted. The use of biomass as a fuel source has serious
environmental effects. When harvested trees are not replanted, soil erosion can occur.
The loss of trees results in increased amounts of carbon dioxide in the atmosphere and
contributes to global warming.
Geothermal Energy: Geothermal energy uses heat from the earth’s internal geological
processes in order to produce electricity or provide heating. One source of geothermal
energy is steam. Groundwater percolates down through cracks in the subsurface rocks
until it reaches rocks heated by underlying magma, and the heat converts the water to
steam. Sometimes this steam makes its way back to the surface in the form of a geyser or
hot spring. Wells can be dug to tap the steam reservoir and bring it to the surface to drive
generating turbines, and produce electricity. Hot water can be circulated to heat
buildings. Regions near tectonic plate boundaries have the best potential for geothermal
activity.

3.4.2 Non-renewable Energy

Over 85% of the energy used in the world is from non-renewable sources. Most of the
developed nations are dependent on non-renewable energy sources such as fossil fuels
(coal and oil) and nuclear power. These sources are called non-renewable because they
cannot be renewed or regenerated quickly enough to keep pace with their use.
Coal: Coal is the most abundant fossil fuel in the world with an estimated reserve of one
trillion metric tons. Coal is formed slowly over millions of years from the buried remains
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of ancient swamp plants. During the formation of coal, the carbonaceous matter was first
compressed into a spongy material called ‘peat’, which is about 90% water. As the peat
became more deeply buried, the increased pressure and temperature turned it into coal.
Different types of coal resulted from differences in the pressure and temperature that
prevailed during formation. The softest coal (about 50% carbon), which also has the
lowest energy output, is called lignite. Lignite has the highest water content (about 50%)
and relatively low amounts of smog-causing sulfur. With increasing temperature and
pressure, lignite is transformed into bituminous coal (about 85% carbon and 3% water).
Anthracite (almost 100% carbon) is the hardest coal and also produces the greatest
energy when burned.
Oil: Crude oil or liquid petroleum is a fossil fuel that is refined into many different energy
products (e.g., gasoline, diesel fuel, jet fuel, and heating oil). Oil forms underground in
rock such as shale, which is rich in organic materials. After the oil forms, it migrates
upward into porous reservoir rock such as sandstone or limestone, where it can become
trapped by an overlying impermeable cap rock. Wells are drilled into these oil reservoirs
to remove the gas and oil. Over 70% of oil fields are found near tectonic plate boundaries
because the conditions there are conducive to oil formation. Despite its limited supply, oil
is a relatively inexpensive fuel source. It is a preferred fuel source over coal. An
equivalent amount of oil produces more kilowatts of energy than coal. It also burns
cleaner, producing about 50% less sulfur dioxide. Oil, however, does cause
environmental problems. The burning of oil releases atmospheric pollutants such as sulfur
dioxide, nitrogen oxide, carbon dioxide, and carbon monoxide. These gases are smog
precursors that pollute the air and greenhouse gases that contribute to global warming.
Another environmental issue associated with the use of oil is the impact of oil drilling.
Substantial oil reserves lie under the ocean. Oil spill accidents involving drilling platforms
kill marine organisms and birds. Some reserves such as those in northern Alaska occur in
wilderness areas. The building of roads, structures, and pipelines to support oil recovery
operations can severely impact the wildlife in those natural areas.
Natural Gas: Natural gas production is often a by-product of oil recovery, as the two
commonly share underground reservoirs. Natural gas is a mixture of gases, the most
common being methane (CH4). It also contains some ethane (C2H5), propane (C3H8),
and butane (C4H10). Natural gas is usually not contaminated with sulfur and is, therefore,
the cleanest burning fossil fuel. After recovery, propane and butane are removed from
the natural gas and made into liquefied petroleum gas (LPG). LPG is shipped in special
pressurized tanks as a fuel source for areas not directly served by natural gas pipelines
(e.g., rural communities). The remaining natural gas is further refined to remove
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impurities and water vapor and then transported in pressurized pipelines. Natural gas is
highly flammable and is odorless. The characteristic smell associated with natural gas is
actually that of minute quantities of a smelly sulfur compound, which is added during
refining to warn consumers of gas leaks. The use of natural gas is growing rapidly.
Besides being a clean burning fuel source, natural gas is easy, and inexpensive to
transport once pipelines are in place. In developed countries, natural gas is used primarily
for heating, cooking, and powering vehicles. It is also used in a process for making
ammonia fertilizer.
Nuclear Power: In most electric power plants, water is heated and converted into steam,
which drives a turbine generator to produce electricity. Fossil-fueled power plants
produce heat by burning coal, oil, or natural gas. In a nuclear power plant, the fission of
uranium atoms in the reactor provides the heat to produce steam for generating
electricity. Several commercial reactor designs are currently used. The most widely used
design consists of a heavy steel pressure vessel surrounding a reactor core. The reactor
core contains the uranium fuel, which is formed into cylindrical ceramic pellets and
sealed in long metal tubes called fuel rods. Thousands of fuel rods form the reactor core.
Heat is produced in a nuclear reactor when neutrons strike uranium atoms, causing them
to split in a continuous chain reaction. Control rods, which are made of a material such as
boron that absorbs neutrons, are placed among the fuel assemblies. When the neutron-
absorbing control rods are pulled out of the core, more neutrons become available for
fission and the chain reaction speeds up, producing more heat. When they are inserted
into the core, fewer neutrons are available for fission, and the chain reaction slows or
stops, reducing the heat generated. Heat is removed from the reactor core area by water
flowing through it in a closed pressurized loop. The heat is transferred to a second water
loop through a heat exchanger. The water also serves to slow down or ‘moderate’ the
neutrons, which are necessary for sustaining the fission reactions. The second loop is kept
at a lower pressure, allowing the water to boil and create steam, which is used to power
the turbine generator and produce electricity. Nuclear fission does not produce
atmospheric pollution or greenhouse gases and it proponents expected that nuclear
energy would be cheaper and last longer than fossil fuels. Unfortunately, because of
construction cost overruns, poor management, and numerous regulations, nuclear power
ended up being much more expensive than predicted. The nuclear accidents at Three
Mile Island in Pennsylvania and the Chernobyl Nuclear Plant in the Ukraine, recently in
2011 nuclear radiation in Japan due to earthquake and tsunami raised concerns about the
safety of nuclear power. Furthermore, the problem of safely disposing of spent nuclear
fuel remains unresolved. The United States has not built a new nuclear facility in over 20
years, but with continued energy crises across the country that situation may change.
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RECAP ZONE

Points to Remember

The convertibility of energy into work depends on its availability.

Thermodynamics is a branch of science and engineering that deals with the interaction of energy mainly
in the forms of heat and work.
Thermodynamics is concerned with the thermal behavior of a matter and its interaction with other
physical and chemical behavior of the matter.
The prime mover is a primary source of power. All the machinery that provides power for performing
various kinds of mechanical work is prime movers.
It is a group of machines that transform various forms of energy such as thermal, electrical, or pressure
into mechanical form.
Engines, turbines, pumps, actuators, etc. are the examples of prime movers.
Power plant engineering is a branch of engineering which deals with the conversion of various forms of
energy into electrical energy.
Thermal power plants may be coal based or gas based.
In coal based power plant, coal is used as burning fuel and the heat energy is transferred to water to
convert it into superheated steam.
In gas based power plant or gas power plant, air is compressed to high pressure and heat energy is
added to compressed air using combustion chamber by direct burning of fuel in compressed air or
indirect heat transfer to compressed air.
The high-pressure and high-temperature air is expanded in the gas turbine, which is coupled to a
generator which generates electricity due to shaft rotation.
The principle of electricity generation in the case of hydroelectric power plant is same as in thermal
power plant only difference is that the shaft power to the turbine is provided by pressure and kinetic
energy of water in place of steam in thermal power.
In a nuclear power plant, the nuclear energy released from radioactive materials due to fission reaction
is utilized to heat the water and convert it into superheated steam.
235 239 233 are nuclear fuel used in a nuclear reactor to release the heat energy.
92U , 94Pu , 92U
In Uranium ore, 92U235 is available only up to 0.7% remaining is 92U238.
The moderator is a material which is used to reduce the kinetic energy of fast neutron (1MeV or 13200
km/sec to 0.25eV or 2200 m/sec) within a fraction of second to maintain the fission chain reaction.
H2, D2, N2, C, Heavy water, Be, are some important moderators.
The function of the control rod is to start the nuclear chain reaction when the reactor is started from
cold, to maintain the chain reaction at steady state condition, and to shut down the reactor automatically
under an emergency condition.
The common materials used for control rods are cadmium, boron or hafnium.
The nuclear reactors can be classified on the basis of neutron energy, fuel used, moderator used, and
coolant used.
On the basis of neutron energy, we can classify the nuclear reactor as Fast reactor and thermal reactor;
On the basis of fuel used, we can classify them as a natural fuel reactor and enriched uranium reactor;
On the basis of moderator, we can classify them as a water moderated, heavy water moderated, graphite
moderated, and Beryllium moderated;
On the basis of coolant, we can classify them as water cooled reactor, gas cooled reactor.
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 3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY
The sources of energy can be classified as renewable and non-renewable. A renewable form of energy
can be regenerated and source of energy is infinite, for example, solar energy, wind energy, tidal
energy, and geothermal energy are a renewable form of energy.
In contrast to renewable energy, non-renewable energy cannot be regenerated and its source is limited
for example coal, petroleum, fossil fuels, nuclear power, etc. are nonrenewable form of energy.

REVIEW ZONE

Multiple-choice Questions

1. The radiation in the sunlight that gives us feeling of hotness is:

1. Visible radiation
2. Infra-red
3. Red
4. Ultra-violet
2. Which of the following is not a source of bio-mass:
1. Gobar gas
2. Coal
3. Wood
4. Nuclear energy
3. Which of the following is not derived from the sun:
1. Biomass
2. Fossil fuels
3. Nuclear energy
4. Geothermal energy
4. The substance producing a lot of heat on burning is called as:
1. Oxidizing agent
2. Biogas
3. Biomass
4. Fuel
5. The fuel formed under the earth’s surface by the decomposition of organic matter is called:
1. Organic fuel
2. Bio gas
3. Fossil fuel
4. Underground fuel
6. The main constituent of LPG is:
1. Methane
2. Butane
3. Hydrogen
4. Propane
7. The main constituent of CNG is:
1. Methane
2. Butane
3. Hydrogen
4. Propane
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 3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY
8. Which of the following is not a renewable source of energy?
1. The sun
2. Natural gas
3. Wind
4. Ocean tidal energy
9. Which of the following is not a combustible gas?
1. Oxygen
2. Hydrogen
3. Butane
4. Methane
10. A solar cell converts:
1. Heat energy into electrical energy
2. Solar energy into electrical energy
3. Heat energy into light energy
4. Solar energy into light energy
11. The scientist who first carried out critical nuclear fission reaction is:
1. Otto Hahn
2. Enrico Fermi
3. Hans Bethe
4. Einstein
12. The sources of energy of the sun is:
1. Nuclear fission
2. Chemical reaction
3. Nuclear fusion
4. Photoelectric effect
13. The fuel used in the nuclear reactor is:
1. Cadmium
2. Radium
3. Uranium
4. Thorium
14. In a hydroelectric power plant, which of the following is used to produce shaft power?
1. The pressure and kinetic energy of stored water
2. Heat energy of water
3. Heat energy of flue gas
4. Nuclear energy
15. In a Thermal power plant, which of the following is used to produce shaft power?
1. The pressure and kinetic energy of stored water
2. Heat energy of water
3. Heat energy of flue gas
4. Nuclear energy
16. In a Gas power plant, which of the following is used to produce shaft power?
1. The pressure and kinetic energy of stored water
2. Heat energy of water
3. Heat energy of flue gas
4. Nuclear energy

Answers
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Answers 3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY

1. b
2. d
3. c
4. d
5. c
6. b
7. a
8. b
9. a
10. b
11. b
12. c
13. c
14. a
15. b
16. c

Theory Questions

1. What is prime movers? Discuss its importance in energy conversion.

2. Explain the concept of energy and transformation of one form to another.
3. What is a prime mover? Give some examples of reciprocating and rotating prime movers.
4. Explain the principle of working of thermal power plant.
5. Explain the principle of working of a gas power plant.
6. Explain the principle of working of the hydroelectric power plant.
7. Explain the principle of working of nuclear power plant.
8. Explain the terms used in nuclear power plant such as fuels, fissile materials, moderators, control rods,
working fluids, shield, etc.
9. Explain the basis for classification of nuclear reactors.
10. Differentiate pressurized water reactor and boiling water reactor.
11. What do you mean by renewable and nonrenewable sources of energy?
12. Write short notes on solar energy, wind power energy, biomass, and geothermal energy.
13. Write short notes on the application of coal, oil, natural gas, and nuclear energy.
14. * Explain briefly the principle of conversion of solar energy directly on to electrical energy in a solar
cell.
15. * What is meant by renewable and non-renewable energy sources? Give suitable examples of each.
16. * What is the origin of biomass energy? What are the main advantages and disadvantages of it?
17. * What are the most favorable sites for installing wind turbines?
18. * Draw the layout of a simple thermal power plant and explain the function of its various parts.
19. * What are the advantages and disadvantages of nuclear power plant?
20. * Discuss the merits and demerits of renewable and non-renewable sources of energy with suitable
examples.

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 3 POWER PLANT ENGINEERING AND SOURCES OF ENERGY
21. * What are the methods of harnessing solar energy? Explain the principle of wind-mill.
22. * Describe with a neat sketch the construction and working of a nuclear power plant. Describe the
working principle of the high head hydel power station.
23. * What are the salient features of conventional energy sources?
24. * Explain the working of a solar flat collector.
25. * Describe with neat sketch the working principle of the high-head hydel power plant: (a) What are its
advantages over other power plants? (b) Explain the use of cooling tower in thermal power plant.
26. * What are the various forms of energy? List the non-conventional sources of energy.
27. * Write a short note on solar energy?
28. * Discuss the hydraulic turbines and gas turbines?
29. * Discuss the function of condensers.
30. * Write a short note on wind energy and its conversion.

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
CHAPTER 4
Properties of Steam and Steam Generators
Learning Objectives

By the end of this chapter, the student will be able:

To describe the thermodynamic properties of steam
To differentiate the different types of boilers
To describe the function of mountings and accessories in a boiler
To measure the performance of boilers

4.1 INTRODUCTION

Steam is a gaseous form of water, which has a large number of industrial applications.
Steam is widely used for power generation purpose. Also, it has applications in chemical,
leather, and other industries. Most of the nuclear and thermal power plants use steam to
run the turbines and finally to generate electrical power. Therefore, all the engineers
require basic idea about steam properties, the steam generation process, and apparatus
for steam generation.

4.2 FORMATION OF STEAM AT CONSTANT PRESSURE

Steam is the gaseous form of water and ice. When heat applied to the ice at 0°C is equal
to the latent heat of fusion plus sensible heat from 0°C to 100°C plus latent heat of
vaporization, ice is transformed into steam. Three variables are very important that are
pressure, temperature, and volume. At constant pressure variation in temperature and
volume can be explained by Figure 4.1.
Suppose unit mass of ice below freezing point is kept in a cylinder and a constant
pressure is applied by a piston with a constant load. Now the heat is applied. From point 1
and 2 ice gets warm up and temperature increases with volume. The temperature at point
2 is 273 K.

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

FIGURE 4.1
T-V Diagram for Various Phases of Water
From point 2 to 3, the temperature remains constant due to the heat added is absorbed in
phase transition as latent heat of fusion (hfg). At point 3 ice transforms completely into
the water. On further heating from point 3 to 4, volume decreases up to 4°C (277 K),
since water has a high density at 4°C. This is sensible heating. From point 4 to 5,
temperature and volume, both increase on sensible heating. Again from point 5 to 6, the
temperature remains constant, but the volume increases due to phase transition from
water to vapor. Heat absorbed in this phase is latent heat of vaporization. At point 6,
water transforms completely into vapor. Beyond point 6, the vapor is superheated and
temperature rises continuously. This temperature rise is known as the degree of
superheat. If several graphs are plotted between temperature and volume at different
pressures, we get a curve which is shown in Figure 4.2.
At a pressure of 0.006112 bar, the melting point and boiling point become equal and
change of phase ice-water-vapor is shown by a single straight line ABC as shown in
Figure 4.2, is known as a triple point line. At this line, all the three phases are in
equilibrium (Ptriple = 0.006112 bar, Ttriple = 273.16°C. At a very high pressure, latent
heat of vaporization becomes zero, which is known as critical point (Pc = 221.2 bar, Tc =
647.3°C, Vc = 0.00317 m3/kg).

Similarly, P-V diagram, T-S diagram, h-S diagram, P-S diagram are shown in Figure 4.3:

Enthalpy Change in Generation of Steam from 0°C

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
At 0°C

h0 = u0 + PV0; at 0°C, u0 = 0
∴ h0 = PV0; where V0 is specific volume at 0°C.

FIGURE 4.2
T-V Diagram at Different Pressures

FIGURE 4.3 (a)

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
P-V Diagram

FIGURE 4.3 (b)

T-S Diagram

0°C to Saturation Temperature

hf = uf + PVf where Vf is specific volume at saturation temperature.

h0 = PV0
∴ hf – h0 = h = uf + P (Vf – V0)

FIGURE 4.3 (c)

h-S Diagram

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

FIGURE 4.3 (d)

P-S Diagram

For Complete Transformation of Steam

hfg = hg – hf = (ug – uf) + P (Vg – Vf) kJ/kg

Wet Steam

Wet steam contains partly water as suspended in it and partly steam.

Dryness Fraction

Dryness fraction is defined as the mass of dry steam per kg of wet steam. It is represented
by x.

Enthalpy

h = xhg + (1 – x) hf = hf + xhfg

Specific Volume

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
V = xVg + (1 – x) Vf = Vf + xVfg

Internal Energy

uf = hf – PfVf
ug = hg – PgVg

Entropy of Water

Entropy of Steam

where Cpw ≈ 1, specific heat of water.

Since the value of Cp varies, the values of entropy from these equations are not accurate
and this can be taken from the steam table.

EXAMPLE 4.1

1. Find the temperature, enthalpy, entropy, internal energy, the specific volume of 1 kg of dry saturated
steam at 10 bar.
2. What are the changes in these properties from saturated liquid to dry saturated vapor at the same
pressure?

SOLUTION
1. From the steam table, properties of dry saturated steam at 10 bar or 1 MPa are given below:

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Temperature, t = 179.91°C

Vf = 1.127 cm3/g = 0.00127 m3/kg

hf = 762 kJ/kg

hg = 2,778.1 kJ/kg

Sf = 2.1387 kJ/kg K

Sg = 6.5865 kJ/kg K

ug = 2,583.66 kJ/kg

2. Change in temperature = 0
Change in enthalpy, hfg = hg − hf = 2,778.1 kJ/kg − 762 kJ/kg
= 2,016.1 kJ/kg
Change in entropy, Sfg = Sg − St = 4.4478 kJ/kg K
Change in volume = Vg − Vf = 0.19444 m3/kg − 0.00127 m3/kg
= 0.19317 m3/kg

Change in internal energy, ufg = ug − uf

uf = hf − PfVf = 762 kJ/kg − 10 × 102 kPa × 0.00127 m3/kg

= 760.73 kJ/kg
ug – uf = 2,583.66 kJ/kg − 760.73 kJ/kg
= 1,822.93 kJ/kg

EXAMPLE 4.2

A 2 m3 drum is to be completely filled with any saturated steam at 10 bar. First, the drum
is evacuated, then the necessary amount of water is filled and evaporated by heating.
1. What mass of water is required and what will be the temperature of the vapor?
2. If the drum finally contains a two-phase system with a dryness fraction of 90%. What will be the
required mass?

SOLUTION
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
From Steam Table:
Saturation temperature at 10 bar = 179.91°C

Volume, Vg = 0.19444 m3/kg, Vf = 0.001127 m3/kg

1. Mass of water required = Volume of drum/Secific Volume of vapor
= 2/0.19444 = 10.285 kg.
2. Volume at 10 bar, V = Vf + x. Vfg = 0.00127 m3/kg + 0.9 (0.19444 m3/kg – 0.00127 m3/kg)
= 0.17510 m3/kg

Mass of water required = 2m3/0.1751087 m3/kg = 11.421 kg.

EXAMPLE 4.3

A container of Volume 0.05 m3 contains a mixture of saturated water and saturated

steam at temperature 300°C. The mass of water is 10 kg. Find the pressure, mass, specific
volume, enthalpy, entropy and internal energy.
SOLUTION
From temperature based saturated steam table:

At 300°C, Psat. = 8.581 bar, Vf = 1.404 × 10−3 m3,Vg = 0.02167m3 / kg .

hf = 1344kJ / kg,hfg = 1404.9kJ / kg ,hg = 2749kJ / kg
Sf = 3.2534kJ / kgK,Sg = 5.7045kJ / kgK

Volume of water = 10 kg × Vf = 10 kg × 0.001404 m3/kg = 0.01404 m3

Volume of steam = volume of container – volume of water = 0.05 m3 – 0.01404 m3

= 0.03596 m3.

Mass of steam = Volume of steam/Specific volume of steam = 0.03596 m3/0.02167 m3/kg

= 1.659 kg.
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Total mass of mixture = mass of water + mass of steam = 10 kg + 1.659 kg = 11.659 kg.
Quality of steam, X = mass of steam/(mass of water + mass of steam) = 1.659 kg /11.659
kg
= 0.1422

V = Vf + xVfg= 0.001404m3 / kg + 0.1422(0.02167m3 / kg − 0.001404m3 / kg)

= 4.287 × 10−3 m3 / kg.

h = hf + xhfg = 1344kJ / kg + 0.1422(1404.9kJ / kg) = 1543.774kJ / kg.

S = Sf + xSfg = 3.2534kJ / kgK + 0.1422(5.7045kJ / kgK − 3.2534kJ / kgK )

= 3.6019kJ / kgK

u = h − PV = 1543.778kJ / kg − 8.581 × 102 kPa × 4.287 × 10−3 m3

= 1540.09kJ / kg

EXAMPLE 4.4

Steam at 1 MPa, 300°C and flowing at the rate of 1 kg/s passes into a pipe carrying wet
steam at 1 MPa and 0.8 dryness fraction. After adiabatic mixing, the flow rate becomes
2.5 kg/s as shown in Figure 4.4. Determine the condition of steam after mixing.

FIGURE 4.4
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Mixing of Two Streams of Steam
SOLUTION
m2 = m3 − m1 = 2.5kg /sec− 1kg /sec = 1.5kg /sec.

From steady flow energy equation

At 1MPa, 3000 C, h1 = hg = 3051.2 kJ /kg

hf = 762 kJ /kg; hfg = 2015.3kJ /kg

h2 = hf + xhfg = 762 kJ /kg
+ 0.8 × 2015.3kJ /kg
= 2374.24 kJ /kg.
Putting the values of h1 and h2 in Equation 4.1

1kg × 3051.2 kJ /kg + 1.5kg × 2374.24 kJ /kg = 2.5 kg × h3

h3 = 2645.024 kJ / kg

Now enthalpy at 1 MPa saturated steam = 2774.1 kJ /kg = hg

hg > h3

Hence, steam is wet steam

2645.024 kJ /kg = h3 = hf + xhfg = 762 kJ /kg + x × 2015.3 kJ /kg

or, x = 0.9343

Saturation temperature at 1 MPa = 179.910 C

EXAMPLE 4.5

At 1.2 MPa, 250°C steam enters into a turbine and expands to 30°C. Determine the work
output of turbine for 10 kg/s flow rate steam.
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

FIGURE 4.5
h-s Diagram
SOLUTION
h-s diagram for steam expansion is shown in Figure 4.5.
From steam table, at 1.2 MPa and 250° C
h1 = 2935kJ /kg, S1 = 6.8294 kJ /kgK

Since expansion is adiabatic, entropy remains constant

S1 = S2 = 6.8294 kJ /kgK

From saturated steam table, at 30°C

S2 = Sf + xSfg = 0.4369kJ / kgK + x(8.4533kJ / kgK − 0.4369kJ / kgK )

As S1 = S2, 6.8294kJ / kgK = 0.4369kJ / kgK + x(8.4533kJ / kgK − 0.4369kJ / kgK )

x = 0.7974
h2 = hf + xhfg = 125.79kJ / kg + 0.7974 × 2430.5kJ / kg = 2063.9382kJ / kg

Work output = h1 − h2 = 2935kJ / kg − 2063.93kJ / kg = 871.061kJ / kg

For 10 kg of steam = 10kg × 871.061kJ / kg = 8710.61kJ

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
EXAMPLE 4.6

1.0 kg wet steam of quality 0.7 at 0.3 MPa pressure is heated at constant pressure till the
temperature rises to 300°C. Calculate the amount of energy added as heat.

FIGURE 4.6
h-s Diagram
SOLUTION
h-s diagram for pressure rise of steam is shown in Figure 4.6
At point 1 in Figure 4.6
X = 0.7, P1 = 0.3 MPa

From Steam table

hf = 561.47 kJ /kg, hfg = 2163.8 kJ /kg
h1 = hf + xhfg = 561.47 kJ /kg + 0.7 × 2163.8 kJ /kg = 2076.13kJ /kg

At 0.3 MPa and 300°C, from steam table; h2 = 3069kJ /kg

Heat added = h2 − h1 = 3069.3kJ /kg − 2076.13kJ /kg = 993.17 kJ / kg

EXAMPLE 4.7

A boiler of volume 10 m3 contains wet steam of quality 0.8 at 0.5 MPa pressure. The
inlet and outlet valves of the boiler are closed and the energy addition as heat is stopped.
After some time, the pressure of the steam is found to be 0.2 MPa.

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Determine:
1. the mass of liquid, the mass of vapor in the boiler at the beginning,
2. the mass of liquid and mass of vapor in the boiler at the end, and
3. the energy lost as heat to the surroundings.

From steam table, at 0.5 MPa, saturation temperature, ts = 151.86°C

Vf = 1.093 × 10−3 m3 / kg = 0.001093 m3 /kg

Vg = 0.379 m3 /kg, hf = 640.23 kJ /kg, hfg = 2108.5kJ / kg

SOLUTION

hg = 2748.7 kJ /kg

Initial internal energy per kg is given by

u1 = (h1 + x1hfg ) − x1P1Vg1

Volume of the boiler is given by V1 = m{x1Vg1 + (1 − x1 )Vf1}, where m is mass of steam

10m3 = m × (0.8 × 0.3749 m3 + 0.2 × 0.001093m3 )

or, m = 33.342 kg.
1. Thus, mass of steam = 33.42 kg × 0.8 = 26.6736 kg

Mass of water = 33.342 kg × 0.2 = 6.668 kg.

Suppose quality of steam at final state is x2, mx1Vg1 = mx2Vg2

Since value of Vf is negligible in the equation x1Vg1 + (1 − x1 )Vf1 = x2Vg2 + (1 − x2 )Vf2

From steam table, at 0.2 MPa,

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

1. b. Mass of steam = x2 (mw + mg ) = x2m = 0.3386 × 33.342 kg = 11.28 kg

Mass of water = 33.342 kg − 11.28 kg = 22.062 kg

2. c. Final internal energy/kg at 0.2 bar is given by

u2 = (hf2 + x2hfg2 ) − x2P2Vg2 = (504.7 kJ /kg + 0.3386 × 2201.9kJ /kg)

− 0.3386 × 0.2 × 103 kPa × 0.8857 m3

= 1190.28 kJ / kg
Heat rejected = Change in internal energy during constant volume process
m(u1 − u2 ) = 33.342 kg(2177.07 kJ /kg − 1190.28 kJ /kg) = 32901.552 kJ

EXAMPLE 4.8

A pressure cooker contains 1 kg of saturated steam at 6 bar. Find the quantity of heat
which must be rejected to reduce the quality of steam to 0.8. Determine the pressure and
temperature of steam at the new state.
SOLUTION
From steam table, at 6 bar, tsat = 158.8°5C

Vf1 = 0.00101m3 / kg Vg1 = 0.3157 m3 / kg

hf1 = 670.56kJ / kg hfg1 = 2086.3 kJ / kg
hg1 = 2756.8 kJ / kg

Volume of pressure cooker = 1kg × Vg1 = 1kg × 0.3157m3 /kg = 0.3157m3

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Volume remains constant, hence, V1 = V2 = 0.3157m3

Initial internal energy of steam per kg = hg1 − P1Vg1

u1 = 2756.8kJ / kg − 6 × 102 kPa × 0.3157m3 = 2567.38kJ / kg

Now suppose quality of the steam at the end is x

x = 0.8(given)

V1 = V2 = 0.3157m3 = {(1 − x) × Vf2 + x × Vg2 } × 1kg = Vg2 × x

or,

Pressure corresponding to 0.3946 m3/kg = 0.44 MPa (using linear interpolation in steam
table value)

Total heat transfer = 2178.448kJ − 2567.38kJ = −1911kJ

EXAMPLE 4.9

A sample steam has 5°C as the degree of superheat. Before and after throttling, its
pressures are 40 bar and 1 bar, respectively. Calculate the dryness fraction.
SOLUTION

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

4.3 THROTTLING CALORIMETER

Throttling calorimeter is a device used in the determination of the dryness fraction of

steam. There is a sampling tube, which is placed in the steam main pipe. It consists of a
hole facing upstream to get sample steam. The steam passes through the throttle valve
and then flows into the inner cylinder. The main condition is that after throttling steam
should be superheated. Normally, the degree of superheat should be 5°C. The pressure
after throttling should be a few mm of Hg above atmospheric pressure as recorded by a
manometer. The saturation temperature corresponding to this pressure can be found. If
the temperature recorded by the thermometer is more than saturation temperature, it is
confirmed that steam is superheated after throttling. Steam flows from the top of the
inner cylinder to the annular space between inner and outer cylinders. The calorimeter is
insulated from the surroundings. Before taking a temperature reading, the flow of the
steam should be in the steady state and all parts to be heated to keep temperature remains
constant. The constructional details of calorimeter are shown in Figure 4.7.
Let P1 = Initial pressure of steam

P2 = Final pressure = Atmospheric pressure + manometer reading

hf1 = Enthalpy of water at pressure, P1

hfg1 = Enthalpy of vaporization at pressure, P1

Cpg = Specific heat of superheated steam

tS2 = Saturation temperature at final pressure, P2

tsup = Temperature recorded by thermometer

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
x1 = Dryness fraction of steam before throttling

During throttling, enthalpy remains constant, i.e., enthalpy before throttling = enthalpy
after throttling.

FIGURE 4.7
Throttling Calorimeter
Therefore, hf1 + x1hfg = hg2 + Cp (tsup − tS2 )

or, ; where Cp = 0.48

Limitation of the process is that the steam should be superheated after throttling.

EXAMPLE 4.10

A throttling calorimeter is used to measure the dryness fraction of the steam in steam
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main which has steam flowing at 10 bar. The steam after passing through the calorimeter
is at 1 bar pressure and 120°C. Calculate the dryness fraction of the steam in the steam
main. Take cps = 2.1 kJ/kgK.

SOLUTION
From steam table:
At pressure, P1 = 10 bar, hf1 = 762.81 kJ/kg, hfg1 = 2015.3 kJ/kg.

After throttling, at pressure, P2 = 1 bar, ts = 99.63°C, hg2 = 2675.5 kJ/kg.

Enthalpy remains constant during throttling process, Therefore, h1 = h2

hf1 + x.hfg1 = hg2 + cps (tsup 2 – ts2 )

762.81 kJ /kg + x × 2015.3 kJ /kg = 2675.5 kJ /kg + 2.1 kJ /kgK (120° C – 99.63° C)
X = 0.97

4.4 SEPARATING AND THROTTLING CALORIMETER

A pure separating calorimeter suffers from a disadvantage that the steam passing out after
water separation may not be completely dry, or it may have higher dryness fraction. Only
in throttling calorimeter, a high dryness fraction (93%) can be found. Thus a combined
separating and throttling calorimeter may be used to measure the dryness fraction of
steam. The sample steam is first passed through separating calorimeter, where most of the
moisture is separated and measured and then the dryer steam is passed into the throttling
calorimeter. A schematic diagram of separating and throttling calorimeter is shown in
Figure 4.8.
Let M = mass of steam passing through throttling calorimeter.
x2 = the dryness fraction entering into the throttling calorimeter that is determined by
throttling calorimeter.
m = mass of water separated out in separating calorimeter.
x = dryness fraction of steam entering the separating calorimeter.
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Thus,

FIGURE 4.8
Separating and Throttling Calorimeter

EXAMPLE 4.11

Following data was obtained on combined separating and throttling calorimeter:

Pressure of steam sample = 20 bar, pressure steam at exit = 1 bar, temperature of steam
at the exit = 160°C, discharge from separating calorimeter = 1 kg/min., discharge from
throttling calorimeter = 15 kg/min. Determine the dryness fraction of the sample steam.
SOLUTION
Pressure of sample steam, P1 = P2 = 120 bar, pressure at the exit, P3 = 1 bar,
temperature of steam at the exit, tsup3 = 180°C, discharge from separating calorimeter, m
= 1 kg/ min., discharge of dry steam from throttling calorimeter, M = 15 kg/min.
At P1 = P2 = 20 bar, hf2 = 908.79 kJ/kg, hfg2 = 1890.7 kJ/kg.

At P3 = 1 bar and 160°C, h3 = hg3 = 2796.2 kJ/kg

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hf2 + x2.hfg2 = hg3

or, 908.79kJ / kg + x2. 1890.7kJ / kg = 2796.2kJ / kg

x = 0.998 × x1 = (M × 0.998) / (M + m)
= (15kJ / kg × 0.998) / (15kg + 1kg) = 0.935

4.5 STEAM TABLE

The properties of steam are pressure, temperature, volume, enthalpy, entropy, internal
energy. These values are determined experimentally and tabulated as a steam table.
Separate steam tables for saturated and superheated are used. If the temperature of the
steam is more than the saturation temperature, it is known as superheated steam and the
temperature difference of saturated steam and superheated steam is known as the degree
of superheat. The steam tables for saturated and superheated steam are included in
Appendix I of this book.

4.6 MOLLIER DIAGRAM OR h–S CHART

Mollier diagram is a graph between enthalpy and entropy. Various properties of steam
can be shown graphically on this diagram. Natures of various lines are shown in Figure
4.9. A complete Mollier diagram is shown in Appendix II at the end of this book.

FIGURE 4.9
Mollier Diagram

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4.7 STEAM GENERATORS/BOILERS

The steam generator is a combination of apparatus, which is used in power generation

and supply of steam in various plants. Its main purpose is to transfer the heat produced by
fuel to water; water is converted into different types of steam as per requirements, such
as wet steam, saturated steam, and superheated steam. A steam generator is also known
as a boiler. It may be defined as “A combination of apparatus for producing, furnishing
or recovering heat together with apparatus for transferring the heat so made available
to water, which would be heated and vaporized to steam form” (ASME).

4.7.1 Classification of Boilers

There is a number of models of a boiler having different industrial applications. The

boiler can be classified on the following basis:
1. Contents inside the tube
2. Firing system
3. Position of drum
4. Pressure
5. Nature of water circulation

On the basis of contents of the tube, boilers can be classified as Fire tube boilers and
water tube boilers. In fire tube boilers, flue gas passes through the tube and the heat of
flue gas is absorbed by tube and transferred to water surrounding the tube, for example,
Cochran boiler, Locomotive boiler, Lancashire boiler, and Cornish boiler. But, in water
tube boilers, water flows inside the tube and tube is kept in the path of flow of flue gas,
for example, Babcock and Wilcox Boiler, Benson boiler, Loffler boiler, etc. Most of the
high-pressure boilers are water tube boiler. In this boiler, tube absorbs the heat of flue gas
flowing surrounding the tube and transferred to water passing through the tube. The
difference between water tube and fire tube boilers are given in Table 4.1.

Table 4.1: Differences between water tube boilers and fire tube boilers

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On the basis of firing system, boilers can be classified as Internal Fired Boilers and
External Fired Boilers. In internal fired boiler, firing takes place inside the boiler drum,
i.e., furnace is located inside the drum, for example, Cochran boiler, Locomotive boiler,
Lancashire boiler, etc. whereas in external fired boiler, furnace is outside the boiler drum
and water is circulated inside the tube passing through the furnace, for example, Babcock
and Wilcox Boiler.
On the basis of the position of the drum, boilers can be classified as a horizontal boiler,
inclined boiler, and vertical boiler. On the basis of pressure, the boiler can be classified
as a low-pressure boiler, high-pressure boiler, and super critical boiler. Low-pressure
boilers operate below 80 bar; high-pressure boilers operate above 80 bar; and
supercritical boilers operate at 221 bar and above. On the basis of the nature of the
circulation of water, boilers can be classified as natural circulation boilers and forced
circulation boiler. In natural circulation boilers, water circulates automatically due to the
pressure difference created by the temperature difference. But, in forced circulated
boilers, pumps are used to circulate the water through the tubes.

4.7.2 Requirements of a Good Boiler

A good boiler should have the following properties:

1. Low cost of installation, operation, and maintenance
2. Easy maintenance
3. High efficiency
4. Safety
5. High transportability
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6. High steam production rate
7. Good quality of steam
8. Quick steam generation capacity
9. Meeting fluctuating demand of steam, etc.

4.7.3 Cochran Boiler

It is fire tube, multitubular, internal fired and vertical boiler. Its maximum steam
generation capacity is 3,500 kg/h. Its shell diameter and height are 2.75 meters and 5.8
meters, respectively. The fuel (coal) is fired on the grate in the furnace. The hot flue gas
passes through the fire tube located in the water space and heat is transferred to the
water. Water becomes hot in contact with the tube surface. Flue gas goes to the smoke
box and finally in the atmosphere through the chimney. The circulation of water is
natural; hot water rises up and cold water comes down as shown in Figure 4.10. The
steam formed is collected at the upper space of the dome-shaped shell and supplied for
use through a steam stop valve.

FIGURE 4.10
Cochran Boiler
The flames and hot gasses produced as a result of combustion of coal on the grate, rise in
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the dome-shaped combustion furnace. The unburnt fuel is reflected back to the grate and
hot flue gas passes through the fire tubes and dissipates the heat to the water. Finally, the
flue gas escapes into the atmosphere through smoke-box and chimney. Water circulation
is natural circulation. Hot water rises up and cold water comes down continuously. Steam
is collected in the upper space of the boiler.

4.7.4 Babcock and Wilcox Boiler

Babcock and Wilcox boiler is a water tube, horizontal, multitubular, external fired boiler.
It covers a wide range of pressures compared to fire tube boilers. It has a steam
generating capacity of 20,000 to 40,000 kg/h. It operates at an average 20–22 bar, but it
can be operated at the maximum 40–42 bar. Its tubes are inclined at 5° to 15° for natural
circulation. The diameter and length of tubes are designed as per requirement of the
pressure of steam. Baffles are arranged normally for two or three passes of combustion
gas. All mounting and accessories are shown in Figure 4.11, which is explained later in
this chapter. There is a natural circulation of water. Water circulates from drum to tube
and tube to drum with the help of downtake and uptake headers. To get superheated
steam, the steam collected in the upper space of the drum is recirculated through
superheater. The hot flue gas as a result of combustion rises up and moves in the
direction as directed by the baffles. The tubes get exposure of hot gas and transfer the
heat to the water flowing inside the tubes. Hot water rises and reaches into the boiler
drum and cold water comes down into the tubes. Water circulates due to natural
circulation produced by temperature differences.

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FIGURE 4.11
Babcock and Wilcox Boiler

4.7.5 Locomotive Boiler

The locomotive boiler is a fire tube, horizontal, multitubular, natural circulation, movable,
artificial draught, internal fired boiler. It meets the fluctuating demand of steam; its
chimney height is very short. Artificial draught is created by supplying steam. It is
generally used in a steam engine. The functions of all the mountings and accessories are
discussed in the separate section of this chapter. The locomotive boiler is a movable
boiler; therefore, its chimney is kept very small. A forced draught is created using the
flow of steam. The flue gas passes through the tube as directed in Figure 4.12 and transfer
the heat to the water through the tube walls.

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FIGURE 4.12
Locomotive Boiler

4.7.6 Lancashire Boiler

A Lancashire boiler is horizontal, fire tube, internal fired, natural circulation type boiler.
There are two fire tubes. The fuel is burnt on the grate and the hot flue gas is produced.
The flue gas moves along the furnace tubes and is deflected up by Fire Bridge. As soon as
the flue gas reaches the back of main flue gas tubes, it deflects downwards and travels
through the bottom flue gas tube as shown by arrows in Figure 4.13. The bottom flue is
just below the water shell and heats the lower portion of the shell. After traveling from
back to front, the flue gas bifurcates into separate paths in the side flues as shown by
arrows in sectional side view. Now, it travels from front to back inside and heats the side
of the water shell. These two streams of flue gas meet again in the main flue passing;
through the damper, they are discharged to the atmosphere through the chimney.

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FIGURE 4.13
Lancashire Boiler

4.7.7 Cornish Boiler

Cornish boiler is similar to Lancashire boiler, but the number of tube is only one. Also,
the dimension of the drum is smaller than that of Lancashire boiler. Rests are similar
construction and operation.

4.8 BOILER MOUNTINGS

Boiler mountings are the components of boilers, which are mounted on the body of the
boiler for safety and controlling the steam generation processes. There are following
components which are used as mountings in boiler operation:
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1. Safety valve, 2. Water level indicator, 3. Pressure gauge, 4. Fusible Plug, 5. Steam stop
valve, 6. Feed check valve, 7. Blow-off cock, 8. Man and Mudhole.

4.8.1 Safety Valves

The safety valve is used to release the excess pressure inside the boiler drum. When the
pressure inside the drum exceeds the working pressure, safety valves blow-off the steam
into the atmosphere. Generally, four types of safety valves are used in boilers: (i) Dead
weight safety valve, (ii) Spring loaded safety valve, (iii) Lever safety valve, and (iv) High
steam low water safety valve.

Dead Weight Safety Valve

Steam pressure acting in an upward direction is counterbalanced by the dead weight of

safety valve acting in the downward direction. When the steam pressure exceeds the
dead weight of safety valve, valve rises from its valve seat and steam escapes into the
atmosphere. The construction of dead weight safety valve is shown in Figure 4.14. There
is a vertical steam pipe having a valve seat at its mouth. A valve is fitted in the valve seat.
Above the valve, a dead weight is applied. When the steam pressure becomes higher than
the dead weight, valve rises from the valve seat and steam at high pressure is released
into the atmosphere. Again, when the steam pressure becomes normal, i.e., less than dead
weight, the valve returns to the valve seat.

Spring Loaded Safety Valve

This type of safety valve is spring loaded. Spring force works against the steam pressure,
when the steam pressure becomes high, valve lifted off the valve seat and steam is
escaped out. A lever is attached to one end of spring as shown in Figure 4.15. When
steam pressure comes down valve returns to valve seat due to the force of spring.

Lever Safety Valve

The lever safety valve works on the principle of the second system of the lever as shown
in Figure 4.16. In this valve, there is a lever which can rotate about a fulcrum, but its
movement is limited by a guide. When the moment about fulcrum due to steam pressure
exceeds the moment about fulcrum due to the weight applied on the lever valve is lifted
off the seat and steam is escaped out. Again, the valve returns to its seat when the
pressure becomes normal.
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FIGURE 4.14
Dead Weight Safety Valve

FIGURE 4.15
Spring Loaded Safety Valve
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FIGURE 4.16
Lever Safety Valve

4.8.2 High Steam Low Water Safety Valve

There are following functions of high steam and low water safety valve:
1. To blow out steam if steam pressure becomes higher than the working pressure.
2. To blow out steam when the water level in the boiler comes down.

The constructional details of the high-pressure low water safety valve are shown in
Figure 4.17. The arrangement of the outer valve is similar to that of the lever loaded
valve. The balance or counterweight can be fixed at any position along the arm with a set
screw. The arrangement of inner valve and dead weight acts as a dead weight safety
valve. But, the load on the outer valve is both due to dead weight and strut thrust. If the
steam pressure exceeds the limit, valve lifts and steam escapes to waste.

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FIGURE 4.17
High Steam Low Water Safety Valve
The second lever is attached to a float at one end and a balance weight at the other end.
When the float is submerged in water, the lever is balanced about the fulcrum. As soon as
the float is uncovered, it gets unbalanced and tilts the lever towards the right. Due to
tilting, it pushes the collar of the spindle in an upward direction and raising the valve from
its seat. Thus, steam starts escaping through the waste pipe. A drain pipe is provided to
drain out the condensed steam.

4.8.3 Water Level Indicator

The function of the water level indicator is to show the water level inside the boiler drum.
Total two water level indicators are provided on the boiler drum. The constructional
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details are shown in Figure 4.18. One end of the glass tubes is connected to steam space
and the other end to the water space through a hollow pipe of Gunmetal bolted to the
boiler. In case, tube breaks, two balls are provided that move to the dotted positions due
to the rush of water in the passage. The steam will also rush from the upward hollow
column and will push the balls in dotted positions.

FIGURE 4.18
Water Level Indicator

4.8.4 Pressure Gauge

Pressure Gauge is used to measure the pressure inside the boiler drum. The constructional
details are shown in Figure 4.19. There is a tube spring, one end of which is connected to
the steam space and the other end is closed and connected to a link. The link is connected
to toothed quadrant meshed with the pinion. At the center of the pinion, a pointer is fixed
which can rotate with pinion. The quadrant rotates about the pivot and magnifies the
reading. Due to steam pressure, spring tube tends to become straight and moves the
pinion, which rotates the quadrant and pinion. The deflection in the pointer is shown on
graduation on the disc, which shows the pressure of steam in the drum.

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4.8.5 Feed Check Valve

The function of feed check valve is to allow the flow of water under pressure from the
feed pump to the boiler and to prevent the back flow of water in case of failure of the
feed pump. The constructional details are shown in Figure 4.20. The valve rises under
pressure and water is allowed to flow inside the drum. The pressure of feed pump is more
than that of steam inside the drum which allows the flow of water into the drum, but
when supply is stopped, the valve returns to its seat due to steam pressure and prevents
backflow of water. This is a one-way valve.

FIGURE 4.19
Pressure Gauge

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FIGURE 4.20
Feed Check Valve

4.8.6 Steam Stop Valve

The function of steam stop valve is to stop or allow the flow of steam from the boiler to
steam pipe or from the steam pipe to supply. The opening of the valve is controlled by a
hand wheel. The constructional details of steam stop valve are very simple which is
shown in Figure 4.21.

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FIGURE 4.21
Steam Stop Valve

4.8.7 Blow-off Cock

The function of the blow-off cock is to blow down the sediments collected at the bottom
of the drum or to empty the boiler or to lower down the water level in the drum. The
blow-off cock is fitted at the lowest portion of the boiler. The casing is provided with two
flanges, one is connected to the boiler and the other is connected to the steam pipe. The
plug valve has a hole. When it is desired to discharge the water, the plug valve is turned
in a manner so that the hole in the plug can align with the hole in casing and water can
rush out of the boiler. The flow of water can be stopped by turning the plug such that its
solid part comes in line with the hole in the casting. The constructional details are shown
in Figure 4.22.

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FIGURE 4.22
Blow-off Cock

4.8.8 Fusible Plug

The function of the fusible plug is to extinguish the fire in the fire box when the water
level in the boiler comes down the limit. It prevents from blasting the boiler, melting the
tube and overheating the firebox crown plate. The constructional details of the fusible
plug are shown in Figure 4.23. It is located in the water space of the boiler. The fusible
metal is protected from direct contact with water by Gunmetal and Copper plug. When
water level comes down, the fusible metal melts due to high heat and copper plug drops
down and holds in gun metal ribs. Steam comes in contact with fire and distinguishes it.
Thus, it prevents from damages.

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FIGURE 4.23
Fusible Plug

4.8.9 Manhole

This is opening in the boiler. It is used for cleaning and inspection purpose. Through this
hole, the operator enters the boiler in idle condition.

4.9 BOILER ACCESSORIES

The devices used in a boiler to increase its efficiency and quality of steam are known as
accessories. The names of some important accessories are mentioned below:
1. Economizer,
2. Air preheater,
3. Super heater,
4. Steam trap,
5. Steam separator,
6. Injector.

4.9.1 Economizer
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Economizer is a type of heat exchanger which exchanges some parts of the waste heat of
flue gas to the feed water. It is installed between the exit of the furnace and entry into the
chimney. Generally, the economizer is placed after feed pump to avoid the problem of
priming in feed pump. If the economizer is installed before feed pump, some amount of
water may be transformed into vapor, which can create a priming problem in feed pump.
In this case, limit of temperature rise of water is fixed so that water cannot be
transformed into steam. The constructional details of economizer are shown in Figure
4.24. It consists of vertical cast iron tubes attached with scrapers. The function of the
scraper is to remove the soot deposited on the tube. Water flows through the tube to the
boiler drum. These tubes are arranged in the path of the waste flue gas entering into the
chimney. The flow of water is controlled by two valves attached to down header and up
the header of the tubes. The waste heat of the flue gas is transferred to the tube material
and then tube material to water.
Advantages
1. It increases the power output of the plant. For a 6°C increase in temperature of water efficiency of
boiler increases by 1%.
2. It increases the evaporation capacity.
3. It increases the life of boilers due to less thermal stress.

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FIGURE 4.24
Economizer

4.9.2 Air Preheater

Air preheater is a device for recovery of waste heat from flue gas and is placed in the
path of the waste flue gas going to the chimney. Waste heat if the flue gas is transferred
to the air before its use to support economical combustion in a furnace. It is placed in the
chimney and above economizer. If fuels used in the furnace are oil, gasses, or pulverized
coal, the hot air supply is possible. But, in the case of stoker firing, the maximum
temperature of the air is limited due to overheating of stoker parts. The constructional
details of an air preheater are shown in Figure 4.25.
Advantages
1. Due to high furnace temperature, water evaporation rate increase.

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2. Boiler efficiency increases by 2 to 10%.
3. Low-grade fuel can be used.

Disadvantages
Capital cost increases due to use of preheater and two fans (induced fan and forced
draught fan) to create an artificial draught.

4.9.3 Superheater

Steam generated in the boiler is wet due to contact with water. To get superheated steam,
a device known as superheater is used in the boilers. The function of superheater is to
superheat the steam up to the desired level. It is a surface heat exchanger, located in the
path of the flue gas. The wet steam flows inside the tube and hot flue gas passed over the
tubes. Constructional details of a superheater are shown in Figure 4.26.

FIGURE 4.25
Air Preheater
Advantages
1. Superheater increases the efficiency of prime movers due to the supply of steam at high-temperature and
pressure.
2. It minimizes the condensation loss in a prime mover.
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3. It eliminates the problems of erosion and corrosion in turbine blades.
4. It increases the capacity of the plant.
5. It reduces the friction of the steam in a steam engine and other steam parts.

FIGURE 4.26
Superheater

4.9.4 Feed Pump

The function of feed pump is to feed the water to the boiler. Different types of feed
pumps used in boilers are reciprocating, centrifugal, and injector. Centrifugal or rotary
pumps are used where a large amount of water is required. For small boilers,
reciprocating pump and injectors are used.

4.9.5 Injector

The injector is a feed pump which is used to deliver feed water into the boiler under
pressure. It is mostly used in vertical and locomotive boilers. It is not suitable for large
power plants. It consists of a group of nozzles so arrange that the steam expanding in
these nozzles imparts kinetic energy to a mass of water. The constructional details of the
injector are shown in Figure 4.27.
Advantages
1. It requires minimum space.
2. Maintenance cost is low.
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3. The initial cost of installation is low.
4. It is thermally more efficient than feed pump.

FIGURE 4.27
Steam Injector

4.9.6 Steam Trap

The function of a steam trap is to drain the water condensed due to partial condensation
and jacket without allowing the steam to escape through it.

4.9.7 Steam Separator

The function of a steam separator is to separate the suspended water particles carried by
steam on its way from the boiler to the engine of the turbine. It is installed in the
mainstream pipe very near to the engine. The constructional details are shown in Figure
4.28.
The steam from the boiler enters the steam separator through a flange and moves down.
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During its passage down, it strikes the baffles and is deflected upward. The steam on
striking the baffles causes the particles having the higher density to fall to the bottom of
the separator with high inertia. Dry steam deflected up and comes out through the flange
B. The separated water is collected at the bottom, which is drained out by drain cock and
drain pipe.

FIGURE 4.28
Steam Separator

4.9.8 Pressure Reducing Valve

The function of the pressure reducing valve is to maintain constant pressure on its
delivery side of the valve irrespective of fluctuating demand of steam. This is achieved by
throttling of steam passing through the pressure reducing valve. It is generally used in low
capacity boilers where it is difficult to maintain constant delivery pressure with
fluctuating demand of steam. In such a boiler, steam is generated at a higher pressure
than the required by prime movers. The constructional details are shown in Figure 4.29.
From boiler, high-pressure steam enters the steam inlet flange via throttle valve A to
steam outlet flange. The throttling is done by a spring and valve rod mechanism. When
the steam passes through the throttle valve, its pressure reduces. The force exerted by
spring can be adjusted by a screw F. This varies the opening of the throttle valve so that
any exit pressure required can be manipulated.
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FIGURE 4.29
Pressure Reducing Valve

4.10 PERFORMANCE OF BOILERS

Evaporation Rate: it is the steam generation rate of boilers which may be expressed in
terms of kg of steam per unit heating surface area or kg of steam per cubic meter of
furnace volume or kg of steam per kg fuel burnt.
Equivalent Evaporation: It is equivalent of evaporation of 1 kg of water at 100°C to dry
and saturated steam at 100°c, the standard atmospheric pressure of 1.013 bar. Hence, the
equivalent evaporation of 1 kg of water at 100°C needs 2257 kJ.
Factor of Evaporation: It is the ratio of heat absorbed by 1 kg of feed water under
working conditions to the latent heat of steam at atmospheric pressure.

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Boiler Efficiency: It is the ratio of heat absorbed by water in the boiler to heat supplied
to boiler per unit time.

EXAMPLE 4.12

In a boiler trial observations made are as:

Feed water temperature = 40°C

Boiler pressure = 15 bar
Dryness fraction of steam = 0.85
Coal consumption = 450 kg/h
Feed water supplied = 3,500 kg/h
Calorific value of coal = 40,000 kJ/kg
Calculate the evaporation factor and equivalent evaporation at 100°C in kg/kg of coal.
Specific heat of feed water = 4.18 kJ/kgK.
SOLUTION
At 15 bar, (from steam table)

EXAMPLE 4.13 211

 4 PROPERTIES OF STEAM AND STEAM GENERATORS
EXAMPLE 4.13

In a boiler observations made were as:

Rate of feed water per hour = 1,000 kg

Temperature of feed water = 30°C
Steam pressure = 10 bar
Quality of steam = 0.9
Coal consumption rate per hour = 100 kg
Calorific value of coal = 33,000 kJ/kg
Mass of ash and unburnt coal = 10 kg/h
Calorific value of ash and unburnt coal = 3,000 kJ/kg
Quantity of flue gas/kg of coal = 20 kg
Discharged gas temperature = 300°C
Atmospheric temperature = 20°C
Specific heat of flue gas = 1.03 kJ/kgK
Calculate:
1. boiler efficiency
2. percentage of heat loss in flue gas
3. percentage of heat loss to ash and unburnt coal
4. percentage of heat loss unaccounted for.

SOLUTION
From steam table. At 10 bar,

hf = 762 kJ/kg; hfg = 2,015.3 kJ/kg

Enthalpy of feed water at 30°C, hw = 125.79 kJ/kg

1. ηboiler

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2. Heat carried away by flue gas, Q = mfCf(tf − ta ) = 20kg × 1.03kJ/kg(300°C − 20°C)
= 5768kJ/kg of coal

hence, loss
3. Quantity of ash and unburnt coal = 10kg/hour

Heat lost in ash and unburnt coal

4. Total heat accounted for = 74.24% + 17.47% + 0.9% = 92.61%

Heat unaccounted for = (100 − 92.61%) = 7.39%

EXAMPLE 4.14

A boiler plant delivers steam at 20 bar and 360°C to an engine developing 1,350 kW at
the rate of 10 kg/kWh. Temperature of feed water = 80°C. Calorific value of fuel =
28,000 kJ/kg. The grate is to be designed to burn 400 kg of coal per m2 per hour. Find the
grate area required for the above duty, assuming the combustion efficiency of 90% and
boiler efficiency including superheater as 75%.
SOLUTION
Enthalpy of steam at 20 bar and 360°C (from steam table),
hg = 3,159 kJ/kg (use interpolation)

hf = Enthalpy of feed water at 80°C = 334.91 kJ/kg

Mass of steam required to produce, 350 kW power = 1,350 × 10

= 13,500 kg/h
Heat required = 13,500kg/hr (hg – hf) = 13,500kg/hr (3,159kg/hr – 334.91kg/hr)

= 38,125.215 × 103 kJ
Calorific value of fuel = 28,000 kJ/kg
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS

But, combustion efficiency given as 90%

∴ Actual calorific value = 28,000kJ/kg × 0.9 = 25,200 kJ/kg

RECAP ZONE

Points to Remember

Steam is a gaseous form of water.

At very high pressure, latent heat of vaporization becomes zero, which is known as the critical point.
Wet steam contains partly water as suspended in it and partly steam.
Dryness fraction is defined as the mass of dry steam per kg of wet steam. It is represented by x.
The properties of steam are pressure, temperature, volume, enthalpy, entropy, internal energy. These
values are determined experimentally and tabulated as a steam table.
Separate steam tables for saturated and superheated are used.
Mollier diagram is a graph between enthalpy and entropy. Various properties of steam can be shown
graphically on this diagram.
Throttling calorimeter is a device used in the determination of the dryness fraction of steam. Wet
steam is superheated using throttling process. To know the dryness fraction the enthalpy is balanced
before and after throttling.
Separating calorimeter is used to measure the dryness fraction by using the separation of water
particle from the steam.
In this process, the dryness fraction of the separated steam is very less compared to throttling
calorimeter. Therefore, a combined device, i.e., separating and throttling calorimeter is used.
In separating and throttling calorimeter, the separated steam is dried using throttling process.
A combination of apparatus for producing, furnishing or recovering heat together with apparatus for
transferring the heat so made available to water which would be heated and vaporized to steam form.
In fire tube boilers, flue gas passes through the tube and the heat of the flue gas is absorbed by the tube
and transferred to the water surrounding the tube.
In water tube boilers, water flows inside the tube and the tube is kept in the path of flow of flue gas.
In an internal fired boiler, firing takes place inside the boiler drum, i.e., furnace is located inside the
drum.
In an external fired boiler, the furnace is outside the boiler drum and water is circulated inside the tube
passing through the furnace.
Low-pressure boilers operate below 80 bar; high-pressure boilers operate above 80 bar; and
supercritical boilers operate at 221 bar and above.
In natural circulation boilers, water circulates automatically due to the pressure difference created by
the temperature difference.
In forced circulated boilers, pumps are used to circulate the water through tubes.
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Cochran boiler is fire tube, multitubular, internal fired and vertical boiler.
Babcock and Wilcox boiler is a water tube, horizontal, multitubular, external fired boiler.
Locomotive boiler is a fire tube, horizontal, multitubular, natural circulation, movable, artificial
draught, internally fired boiler.
A Lancashire boiler is horizontal, fire tube, internal fired, natural circulation type boiler. There are
two fire tubes.
Cornish boiler is similar to Lancashire boiler, but the number of the tube is only one.
Safety valve is used to release the excess pressure inside the boiler drum.
In a dead weight safety valve, the steam pressure acting in an upward direction is counterbalanced by
the dead weight of safety valve acting in the downward direction.
In a spring loaded safety valve, spring force works against the steam pressure, when the steam pressure
becomes high, valve lifted off the valve seat and steam is escaped out.
Lever safety valve works on the principle of the second system of the lever.
The functions of high steam and low water safety valve are:
1. To blow out steam if steam pressure becomes higher than the working pressure.
2. To blow out steam when the water level in the boiler comes down.
The function of the water level indicator is to show the water level inside the boiler drum.
Pressure gauge is used to measure the pressure inside the boiler drum.
The function of feed check valve is to allow the flow of water under pressure from the feed pump to
the boiler and to prevent the backflow of water in case of failure of the feed pump.
The function of steam stop valve is to stop or allow the flow of steam from the boiler to steam pipe or
from the steam pipe to supply.
The function of the blow-off cock is to blow down the sediments collected at the bottom of the drum or
to empty the boiler or to lower down the water level in the drum.
The function of the fusible plug is to extinguish the fire in the fire box when the water level in the boiler
comes down the limit.
A manhole is used for cleaning and inspection purpose.
Economizer is a type of heat exchanger, which exchanges some parts of the waste heat of flue gas to the
feed water.
Air preheater is a device for recovery of waste heat from flue gas and is placed in the path of the
waste flue gas going to the chimney.
The function of superheater is to superheat the steam up to the desired level.
The function of feed pump is to feed, the feed water to the boiler.
The injector is a feed pump, which is used to deliver feed water into the boiler under pressure.
The function of a steam trap is to drain the water condensed due to partial condensation and jacket
without allowing the steam to escape through it.
The function of a steam separator is to separate the suspended water particles carried by steam on its
way from the boiler to the engine of the turbine.
The function of the pressure reducing valve is to maintain constant pressure on its delivery side of the
valve irrespective of fluctuating demand of steam.
Draught is a small pressure difference causing the flow of flue gas and air through the boilers.
Natural draught is a pressure difference of the hot gasses column inside the chimney and cold air
column of the same height outside the chimney.
If a mechanical induced fan is used at the base of the chimney to suck the air and flue gasses from the
furnace, the draught created is known as induced draught.
If a mechanical fan is installed at the gate of the furnace to force the air inside the furnace, the draught
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
created is known as forced draught.
If both forced draught and induced draught fans are used in a boiler, the draught created is known as
balance draught.
Evaporation rate is the steam generation rate of boilers, which may be expressed in terms of kg of
steam per unit heating surface area or kg of steam per cubic meter of furnace volume or kg of steam per
kg fuel burnt.
Equivalent evaporation is equivalent of evaporation of 1 kg of water at 100°C to dry and saturated
steam at 100°c, the standard atmospheric pressure of 1.013 bar.
Factor of evaporation is the ratio of heat absorbed by 1 kg of feed water under working conditions to
the latent heat of steam at atmospheric pressure.
Boiler efficiency is the ratio of heat absorbed by water in the boiler to heat supplied to boiler per unit
time.

Important Formulae

1. hfg = hg − hf = (ug − uf ) + P(Vg − Vf ) kJ / kg

2.
3. h = xhg + (1 − x)hf = hf + xhfg
4. V = xVg + (1 − x)Vf = Vf + xVfg
5. uf = hf − PfVf

ug = hg − PgVg

6.
7.

REVIEW ZONE

Multiple-choice Questions

1. Device used to generate and supply steam at a high pressure and temperature is known as:
1. Steam injector
2. Steam boiler
3. Steam turbine
4. Steam condenser
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
2. Fire tube boilers are:
1. Internally fired
2. Externally fired
3. Both
4. None of the above
3. Fire tube boilers are:
1. Lancashire boiler
2. Cochran boiler
3. Locomotive boiler
4. All of the above
4. Number of fire tubes in Lancashire boiler are:
1. 1
2. 2
3. 3
4. 4
5. In a Lancashire boiler, the economizer is located:
1. Before air preheater
2. After air preheater
3. Between the feed pump and drum
4. All of the above
6. Locomotive boiler is:
1. Vertical, multitubular, fire-tube type
2. Horizontal, multitubular, fire-tube type
3. Horizontal, multitubular, water-tube type
4. None of the above
7. Water tube boiler is:
1. Babcock and Wilcox boiler
2. Stirling boiler
3. Benson boiler
4. All of the above
8. Babcock and Wilcox boiler has water tubes:
1. Vertical
2. Horizontal
3. Inclined
4. None of the above
9. If circulation of water takes place by convection currents, set up during the heating of water, the boiler
is known as:
1. Natural circulation boiler
2. Forced circulation boiler
3. Internally fired boiler
4. Externally fired boiler
10. If circulation in boiler made by pump, then it is known as:
1. Natural circulation boiler
2. Forced circulation boiler
3. Internally fired boiler
4. Externally fired boiler
11. If combustion takes place outside the boiling water region, the boiler is known as:
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
1. Natural circulation boiler
2. Forced circulation boiler
3. Internally fired boiler
4. Externally fired boiler
12. If combustion takes place inside the boiling water region, the boiler is known as:
1. Natural circulation boiler
2. Forced circulation boiler
3. Internally fired boiler
4. Externally fired boiler
13. In forced circulation boiler, forced is applied to:
1. Draw water
2. Drain off the water
3. Circulate water
4. All of the above
14. Forced circulation boiler is:
1. La-Mont boiler
2. Benson boiler
3. Loeffler boiler
4. All of the above
15. Safety Valve used in locomotive boilers is:
1. Lever safety valve
2. Dead weight safety valve
3. High steam and low water safety valve
4. Spring loaded safety valve
16. A device used to empty the boiler, when required and to discharge the mud, scale or sediments
collected at the bottom of the boiler, is known as:
1. Safety valve
2. Stop valve
3. Fusible plug
4. Blow off cock
17. An accessory of boiler is:
1. Feed pump
2. Feed check valve
3. Stop valve
4. Blow off cock
18. A device used for recovery of waste heat of flue gas to heat the air before it passes into the furnace is
known as:
1. Superheater
2. Air preheater
3. Injector
4. Economizer
19. Boiler mounting is:
1. Economizer
2. Injector
3. Fusible plug
4. Super heater
20. Ratio of heat used in steam generation and heat supplied to the boiler is known as:
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
1. Boiler efficiency
2. Chimney efficiency
3. Economizer efficiency
4. None of the above
21. At very low-temperature at which melting and boiling point of water becomes equal is:
1. 233 K
2. 273.16 K
3. 303 k
4. 0 K
22. The critical pressure at which latent heat of vaporization of water becomes zero is:
1. 225.65 bar
2. 273 bar
3. 100 bar
4. 1 bar
23. For water, below the atmospheric pressure:
1. Melting point rises slowly and boiling point drops markedly
2. Melting point drops slowly and boiling point rises markedly
3. Melting point rises slowly and boiling point rises markedly
4. None of these
24. The latent heat of steam at pressure greater than atmospheric pressure than that at atmospheric pressure
is:
1. Less
2. More
3. Equal
4. None of these
25. The saturation temperature of steam with increasing in pressure increases:
1. Linearly
2. First rapidly then slowly
3. Inversely
4. None of these
26. Heating of dry steam above saturation temperature is known as:
1. Enthalpy
2. Superheating
3. Supersaturating
4. None of these
27. Superheating of steam is done at:
1. Constant volume
2. Constant pressure
3. Constant enthalpy
4. Constant entropy
28. The specific volume of steam with increase in pressure decreases:
1. Linearly
2. Slowly first and then rapidly
3. Rapidly first and then slowly
4. Inversely
29. If x1 and x2 be the dryness fractions obtained in separating calorimeter and throttling calorimeter
respectively, then the actual dryness fraction of steam will be:
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
1. x1x2
2. x1+x2
3. (x1+x2)/2
4. x1/x2
30. The specific heat of superheated steam in kCal/kg is generally of the order of:
1. 0.1
2. 0.3
3. 0.5
4. 0.8
31. A wet steam can be completely specified by:
1. Pressure only
2. Temperature only
3. Dryness fraction only
4. Pressure and dryness fraction
32. On Mollier chart, the constant pressure lines:
1. Diverge from left to right
2. Diverge from right to left
3. First, rise up and then fall
4. None of these
33. On Mollier diagram, free expansion, or throttling process from high pressure to the atmosphere is
represented by:
1. Horizontal straight line
2. Vertical straight line
3. Curved line
4. None of these
34. Latent heat of dry steam at atmospheric pressure is equal to:
1. 539 kCal/kg
2. 539 kJ/kg
3. 539 BTU/lb
4. None of these
35. In throttling process:
1. Entropy remains constant
2. Enthalpy remains constant
3. Pressure remains constant
4. None of these

Fill in the Blanks

1. 36. Water tube boilers produce steam at a _________ pressure than that of fire tube boilers.
2. 37. For same dimensions and thickness of the tube, a water tube boiler has _________ heating surface
than a fire tube boiler.
3. 38. A _________ in a boiler is used to put off a fire in the furnace when the level of water falls to the
unsafe limit.
4. 39. An equivalent evaporation of a boiler is defined as _________.
5. 40. The draught in the locomotive boiler is produced by _________.
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Answers

1. b
2. c
3. d
4. b
5. b
6. b
7. d
8. c
9. a
10. b
11. d
12. c
13. c
14. d
15. d
16. d
17. a
18. b
19. c
20. a
21. b
22. a
23. a
24. a
25. b
26. b
27. b
28. c
29. a
30. c
31. d
32. a
33. a
34. a
35. b
36. Higher
37. More
38. Fusible plug
39. The amount of water evaporated from and at 100°C to dry and saturated steam
40. Passing the steam through the furnace

Theory Questions

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
1. * Define dryness fraction and degree of superheat and show their applications in a steam power plant.
2. Explain the use of steam table and Mollier diagram.
3. * Draw a neat sketch of throttling calorimeter and explain how dryness fraction of steam is determined.
What are its limitations?
4. What are requirements of a good boiler?
5. Differentiate between (i) Natural circulation and forced circulation in boilers, (ii) Internal fired and
external fired boilers, (iii) Fire tube and water tube boilers, and (iv) High-pressure and low-pressure
boilers.
6. Explain very briefly the function of following mountings:
1. Steam stop valve
2. Feed check valve
3. Blow-off cock
4. water level indicator
5. Pressure gauge
6. Safety valve
7. State the advantages of high-pressure boilers. Explain the construction and working of Babcock and
Wilcox boiler with a neat sketch.
8. Explain the construction and working of a pressure gauge with a neat sketch.
9. Explain the working of Cochran boiler and fusible plug with neat sketches.
10. * State the function of following:
1. Fusible plug
2. Safety valve
3. Economizer
*
11. What is boiler? Discuss Construction and working of Cochran boiler with neat sketch.
12. * Write a short note on Separating calorimeter with its limitations.
13. * Define boiler according to IBR. Classify mountings into safety fittings and control fittings.
14. * Describe the functions of chimney in a boiler.
15. * Name all the mountings and accessories of a steam boiler and describe, with neat sketch, the working
of any one of each.
16. * Explain economizer and air-preheater with neat sketch.
17. * Show the function and location of the following in the boiler plant:
1. Feed check valve
2. Air superheater, and
3. Fusible plug.
*
18. Enumerate the advantages and disadvantages of superheated steam.
19. * Explain briefly air preheater, superheater, and chimney with respect to boilers.
20. * Explain with neat sketch and working principle of Lancashire boiler.

Numerical Problems

1. A pressure cooker contains 0.5 m3 water and water vapor mixture at 300°C. Calculate the mass of each
if their volumes are equal.
2. Steam flows through a pipe at the rate of 5 kg/s. The pressure and temperature are 12 bar and 300°C,
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
respectively. If 2,000 kJ of heat is lost to the surroundings at constant pressure. Find the final condition
of steam.
3. A container is filled with a saturated steam at 12 bar. The volume of the container is 1 m3. First, the
container is evacuated, then necessary amount of water is filled and evaporated by heating:
1. What mass of water is required and what will be the temperature of water.
2. If the container, finally, contains a two-phase system with a dryness fraction of 85%. What will be
the required mass?
4. 10 kg of wet steam of quality 0.8 at 5 bar pressure is heated at constant pressure till the temperature rise
is 500°C. Calculate the amount of energy added as heat.
5. A boiler of volume 1 m3 contains wet steam of quality 0.85 at 10 bar. The inlet and outlet valves of the
boiler are closed and energy addition as heat is stopped. After some time, the pressure of steam is found
4 bars. Determine:
1. the mass of liquid and vapor in boiler initially,
2. the mass of liquid and vapor in the boiler at the end, and
3. energy lost to the surrounding as a heat.
6. A pressure cooker contains 10 kg of saturated steam at 8 bar. Find the quantity of heat which must be
rejected to reduce the quality to 85%. Determine the pressure and temperature at the new state.
7. Determine the enthalpy and internal energy of 1 kg steam at a pressure of 10 bar, when (i) the dryness
fraction of steam is 0.85, (ii) the steam is superheated to 300°C, and (iii) when steam is dry and
saturated. Neglect the volume of water and take the specific heat of superheated steam as 2.1 kJ/kgK.
8. Determine dryness fraction of steam supplied to a separating and throttling calorimeter.

Water separated in separating calorimeter = 0.45 kg

Steam discharged from throttling calorimeter = 7 kg
Steam pressure in the main pipe = 1.2 MPa Barometer reading = 760 mm of Hg
Manometer reading = 180 mm of Hg
Temperature of steam after throttling = 140°C;
Cp = 2.1 kJ/kgK
9. A steam generator evaporates 17,000 kg/h of steam at 14 bar and quality of 0.95 from feed water at
102°C. When coal is fired at the rate of 2,050 kg/h having a calorific value of 27,400 kJ/kg. Assume the
specific heat of water as 4.187 kJ/kgK. Calculate: (i) Heat supplied per hour, (ii) Thermal efficiency,
and (iii) Equivalent evaporation.
10. Determine dryness fraction of steam supplied to a separating and throttling calorimeter.

Water separated in separating calorimeter = 0.2 kg

Steam discharged from throttling calorimeter = 1.8 kg
Steam pressure in main pipe = 9 bar
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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Steam pressure after throttling = 1 bar
Temperature of steam after throttling = 115°C;
Cp = 2.1 kJ/kgK
11. A boiler generates 7.5 kg of steam per kg of coal burnt at a pressure of 11 bar. The feed water
temperature is 70°C; boiler efficiency is 75%; factor of evaporation is 1.15; Cp = 2.1 kJ/kgK.
Calculate: (i) degree of superheat and temperature of steam generated, (ii) calorific value of coal in
kJ/kg, and (iii) equivalent evaporation in kg of steam per kg of coal.
12. What height of chimney is required to produce a draught of 20 mm of water column, if 15 kg of air is
required to burn 1 kg of coal? The mean temperature of gas inside the chimney is 300°C and that of
atmospheric air is 35°C.
13. Calculate the mass of air required to burn per kg of coal for chimney height of 40 mm. Draught produced
is 24 mm of water. The temperature of flue gas inside the chimney is 350°C and that of the air outside
the chimney is 20°C. Also, calculate the drought produced in term of hot flue gas column.
14. In a boiler observations made were as:

Rate of feed water per hour = 800 kg

Temperature of feed water = 30°C
Steam pressure = 12 bar
Quality of steam = 0.95
Coal consumption rate per hour = 100 kg
Calorific value of coal = 32,000 kJ/kg
Mass of ash and unburnt coal = 10 kg/h.
Calorific value of ash and unburnt coal = 3,000 kJ/kg
Quantity of flue gas/kg of coal = 20 kg
Discharged gas temperature = 350°C
Atmospheric temperature = 25°C
Specific heat of flue gas = 1.03 kJ/kgK.

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
Calculate:
1. boiler efficiency
2. percentage of heat loss in flue gas
3. percentage of heat loss to ash and unburnt coal
4. percentage of heat loss unaccounted for.
15. In a boiler trial observations made are as:
Feed water temperature = 30°C
Boiler pressure = 12 bar
Dryness fraction of steam= 0.80
Coal consumption = 400 kg/h
Feed water supplied = 3,000 kg/h
Calorific value of coal = 38,000 kJ/kg

Calculate the evaporation factor and equivalent evaporation at 100°C in kg/kg of

coal. Specific heat of feed water = 4.18 kJ/kgK.
16. * How much heat is to be added to convert 4 kg of water at 20°C in to steam at 8 bar and 200°C. Take
Cp of superheated steam as 2.1 KJ/kg and specific heat of water as 4.187 KJ/kg/K.
17. * What do you understand by mechanical and thermal efficiency? A steam plant uses 3 tonne of coal/h.
The steam is fed to turbine the output of which is 4 MW. The calorific value of the coal is 30 MJ/kg
calculate the thermal efficiency of the plant.
18. * Determine the quality of steam for the following cases:
1. P = 10 bar, v = 0.180 m3/kg
2. P = 10 bar, t = 200°C
3. P = 25 bar, h = 2,750 kJ/kg
19. * Combined separating and throttling calorimeter is used to find out dryness fraction of steam, following
readings were taken:

Main pressure = 12 bar abs.

Mass of water collected in separating calorimeter = 2 kg.
Mass of steam condensed in throttling calorimeter = 20 kg
Temperature of steam after throttling calorimeter = 110°C
Pressure of steam after Throttling = 1 bar abs.
Assume Cp of steam = 2.1 kJ/kg K.

Calculate dryness fraction.

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 4 PROPERTIES OF STEAM AND STEAM GENERATORS
20. * Determine the quality of steam for the following cases:
1. P = 10 bar, v = 0.180 m3/k
2. P = 10 bar, t = 200°C
3. P = 25 bar, h = 2,750 kJ/kg
*
21. Steam at 1,000 kPa and 300°C enters an engine and expands to 20 kPa. If the exhaust steam has a
dryness fraction of 0.9, make calculations for the drop in enthalpy and change in entropy.
22. * Determine the total heat content per unit mass at the following state using the steam tables. Assume
ambient pressure to be 100 kPa and CP = 2.0934 kJ/kg.
1. 10 bar absolute and 300°C
2. 100 kPa gauge and 100 kPa abs and 250 L,C
3. Dry steam at 100 kPa abs
4. Steam at 12 bar and 95% dry
*
23. Determine the specific volume and density of I kg steam at a pressure of 7 × 105 Pa, when the
condition of steam is: (i) Wet, having dryness fraction 0.9, (ii) Dry, and (iii) Superheated at 250°C. If
required use the extract of the steam table provided below:
P ts Vg
7 bar 437.92K 0.27334 m3/kg
24. * Determine enthalpy and internal energy of 1 kg of steam at a pressure of 12 bar when: (i) the dryness
fraction of steam is 0.8, (ii) steam is dry and saturated, and (iii) steam is superheated to 2,800°C. Take
Cps = 2.1 kJ/kg K.
25. * Calculate the internal energy per kg of superheated steam at 10 bar and a temperature of 300°C. Find,
also change in internal energy if this steam is expanded to 1.4 bar and dryness fraction 0.8.

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 5 STEAM AND GAS TURBINES
CHAPTER 5
Steam and Gas Turbines
Learning Objectives

By the end of this chapter, the student will be able:

To understand the utilization of heat energy of steam and flue gas in producing shaft/mechanical
power
To demonstrate the construction and working of steam and gas turbines
To solve the design problems of steam and gas turbines
To describe the principle of working of the Rankine and Jule cycle

5.1 INTRODUCTION

The steam power system is a system in which the heat energy of the steam is used to
produce mechanical power. Various types of fuels (coal, diesel, natural gas, geothermal,
nuclear, etc.) are used to produce the high quality of steam, i.e., superheated steam and
then the thermodynamic expansion process is used to convert the heat energy of the
steam into mechanical power. If mechanical power is developed in the form of shaft
power and the shaft is coupled with electricity generator then the mechanical power is
transformed into electrical energy. The steam engine was developed by James Watt in
1763 after that steam turbines, gas turbines, and I.C. Engines came into the picture.

5.2 STEAM ENGINE AND ITS WORKING PRINCIPLES

A steam engine is a reciprocating heat engine that performs mechanical work using steam
as its working fluid. Steam engines are external combustion engines based on modified
Rankine cycle, where the working fluid is separate from the combustion products. Water
is heated into steam in a boiler until it reaches a high pressure and then expanded through
pistons to do some mechanical work. The reduced-pressure steam is then released into
the atmosphere or condensed and pumped back into the boiler. The working of steam
engine is shown in Figure 5.1.

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 5 STEAM AND GAS TURBINES

FIGURE 5.1
Working Principle of Steam Engine
In a steam engine, the movement of the valve ensures that steam is admitted to and
exhausted from the cylinder at the right moment. For a typical cylinder that has two
ports, i.e., double acting reciprocating steam engine, the function of the valve is to admit
superheated steam at one end while allowing the exhaust steam to escape at the other. As
a result of covering and uncovering these ports in sequence, the piston is pushed forward
and backward by the high-pressure steam from the boiler. To regulate the movement of
the valve, a mechanical valve gear system is used.
Lap refers to the amount of overlap between the valve and the port. In slow moving
locomotives, the long lap on the exhaust port gives time for the steam trapped in the
cylinder to expand fully to push the piston. On the other hand, on higher speed
locomotives the exhaust port is made to open early (short lap) when the valve is in mid-
position thus allowing the steam to escape faster. Higher speed locomotives also have a
long lead, which means that the admission port is already open when the piston is at the
end of its movement so there is a sufficient steam pressure that will immediately push the
piston back to begin its next movement.
The indicator diagram such as shown in Figure 5.2 was used by steam locomotive
engineers during the steam era to estimate the locomotive’s efficiency in converting the
steam’s energy into useful power at various speeds and cut-offs. The horizontal line at the
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 5 STEAM AND GAS TURBINES
top of the indicator diagram shows the pressure as the steam enters the cylinder. At cut-
off, the pressure drops as the steam expands and does work to push against the piston.
Cut-off denotes the position of the piston, at the moment the valve is closing the
admission port. When the engine is working hard and slowly, long cut-off admits steam
for most of the stroke of the piston. On fast running locomotives, this will cause back
pressure to the boiler. To avoid unnecessary back pressure, the cut-off is reduced so that
steam is admitted for only 20% of the piston stroke and the remainder of the stroke is due
to the expansion of the highpressure steam.

FIGURE 5.2
Modified Rankine Cycle
After the exhaust port opens, the horizontal line at the bottom of the indicator diagram
indicates the return stroke of the piston. It shows the low pressure as the steam is
exhausted. The curve at the end of the return stroke shows a pressure rise due to the
compression of the remaining steam after the exhaust port has closed. As fresh steam is
admitted into the cylinder, the pressure rises and the cycle repeats.

5.2.1 Modified Rankine Cycle: Theoretical Indicator Diagram

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Theoretical indicator diagram of a steam engine is shown in Figure 5.3 without clearance
volume and with clearance volume in Figure 5.4. In this diagram, clearance volume is
zero. Steam at boiler pressure enters into the cylinder at the point 1 and cut-off at point 2.
Then the steam expands inside the cylinder isothermally from point 2 to point 3. Point 3
represents atmospheric pressure and the exhaust of the steam occurs at point 4, i.e.,
below the atmospheric pressure. Point 4 is known as the point of release. Exhaust occurs
at constant pressure line 4-5. Again, steam enters into the cylinder at point 5 but suddenly
the pressure increases to point 1.

FIGURE 5.3
Theoretical Indicator Diagram for Steam Engine

FIGURE 5.4
Theoretical Indicator Diagram of Steam Engine with Clearance Volume

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Work done per cycle = Area of 12345
= Area of 1270 + Area of 2367 − Area of 4605

= p1V1(1 + loge r) − pbV2 where r is expansion ratio

Work done per cycle with clearance volume

Mean effective pressure with clearance volume

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FIGURE 5.5
Actual Indicator Diagram for Steam Engine
Actual Indicator diagram: Actual indicator diagram is shown in Figure 5.5.

In actual indicator diagram (Figure 5.5), points 1, 2, 3, 4, and 5 show actual admission
pressure, point of cut-off, point of release, point of closing the exhaust port and starting
of compression, and point of opening of admission port respectively.
The area of actual indicator diagram is less than the theoretical indicator diagram.

Indicated power of single acting reciprocating steam engine

Indicated power of double acting reciprocating steam engine

where pm is a mean effective pressure, L is a length of stroke, A is a piston c/s area, and N
is rpm.

5.2.2 Rankine Cycle

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The Rankine cycle is most commonly used in thermal power plants: steam engine and
steam turbines. The Rankine cycle is sometimes referred to as a practical Carnot cycle
because, when an efficient turbine is used, the TS diagram begins to resemble the Carnot
cycle. The main difference is that heat addition and rejection are at constant pressure in
the Rankine cycle and isothermal in the theoretical Carnot cycle. A pump is used to
pressurize the water received from the condenser. To pump the working fluid through the
cycle as a liquid requires a very small fraction of the energy needed to transport it as
compared to compressing the working fluid as a gas in a compressor (as in the Carnot
cycle). Carnot efficiency of about 63% compared with an actual efficiency of 42% for a
modern coal-fired power station.

FIGURE 5.6
Rankine Cycle
The working fluid in a Rankine cycle follows a closed loop and is reused continuously.
Work is required to drive the pump, the working fluid is in its liquid phase at this point.
By condensing the fluid, the work required by the pump consumes only 1% to 3% of the
turbine power and contributes to a much higher efficiency for a real cycle.

Four Processes in the Rankine Cycle

There are four important processes in the Rankine cycle. These states are identified by
numbers as shown in Figure 5.6.
Process 1–2 (Pumping Process): The working fluid is pumped from low pressure to high
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pressure, as the fluid is a liquid at this stage the pump requires some small amount of
input energy.
Process 2–3 (Heating Process): The high-pressure liquid enters a boiler where it is
heated at constant pressure by an external heat source to become a dry
saturated/superheated steam. The input energy required can be easily calculated using
mollier diagram or h-s chart or enthalpy-entropy chart also known as steam tables.
Process 3–4 (Expansion Process): The dry saturated or superheated steam expands in
the turbine. This decreases the temperature and pressure of the steam, and some
condensation may occur. The output in this process can be easily calculated using the
Enthalpy-entropy chart or the steam tables.
Process 4–1 (Condensation Process): The wet vapor then enters a condenser where it is
condensed at a constant temperature to become a saturated liquid.
Work done in Rankine Cycle
The flow diagram of a steam power plant is shown in Figure 5.7

FIGURE 5.7
Flow Diagram of Power Plant
Suppose
Q̇in heat suppliedtowater inturbine

Q̇out Heat librated in condensor

Ẇpump Work done on pump

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Ẇturbine Work done by turbine

The thermal efficiency of Rankine cycle can be given as:

Where Ẇturbine = h3 − h4 ; Ẇ pump = h2 − h1;

Q̇ in = h3 − h2; Q̇out = h4 − h1

5.3 STEAM TURBINES

Steam turbine is a prime mover, which converts the heat energy of steam into mechanical
energy by rotating motion of the blade. Total energy conversion involves two types of
steam expansion: expansion of steam in the nozzle and expansion of steam in turbine
blades. The function of steam engines and steam turbine are similar, but the steam engine
converts the heat energy of steam into mechanical energy by the reciprocating motion of
the piston whereas in steam turbine the energy conversion takes place due to rotation of
the turbine shaft. Steam energy is used for low power generation and efficiency is lesser
than that of the steam turbine.

5.3.1 Classification of Steam Turbine

Broadly, steam turbine can be classified into two categories as follows:

1. Impulse Turbine
2. Impulse-Reaction Turbine

Pure reaction turbine cannot be used for practical purposes; therefore, the
impulsereaction turbine is referred as reaction turbine.

Impulse Turbine (de-Laval Turbine)

If torque produced on the shaft of the turbine is only due to change in momentum of
steam and pressure of steam at the inlet and outlet of the turbine being same, it is known
as impulse turbine. In this turbine, the expansion of high-pressure steam occurs only in
the nozzle as shown in Figure 5.8 (a) and (b). During passage of steam through the blade,
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its direction changes which results in change in momentum equal to impulse on the blade.

Fdt = d(mv); where Fdt is impulse and d(mv) is the change in momentum.

Working of Impulse Turbine

In the impulse turbine, all the pressure drops occur in the nozzle and there is no pressure
drop of steam passing through the blades. Let us consider steam enters the nozzle with
the pressure of P0 and velocity of V0 after expansion of steam in nozzle pressure drops to
P1 and velocity increases to V1. High-velocity jets of steam impinge on the blades with
velocity V1 gets deflected by an angle and comes out with a smaller velocity V2
producing an impulse on the blades. The pressure P1 remains constant passing through
the blades.
Now, momentum at the inlet of the blade – momentum at the exit of the blade = Impulse
on the blade absorbed in producing shaft work.

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FIGURE 5.8
(a) Impulse Turbine (b) Pressure and Velocity Diagram
After expansion of steam in the nozzle, it strikes the blades with absolute velocity V1
which rotates the blade with mean peripheral velocity u, steam leaves the blade with
relative velocity Vr2 and absolute velocity V2 as shown in Figure 5.9.

α = nozzle angle with direction of rotation of wheel

β1 = inlet blade angle

β2 = outlet blade angle

u = peripheral velocity of wheel

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Here,
γ = Exit blade angle
δ = Angle made by absolute exit velocity of steam leaving the blades with the plane of rotation of wheel
Vω = Velocity of whirl

FIGURE 5.9
Velocity Diagram for Impulse Turbine
ΔVω, (change in velocity of whirl) = Vω1 − Vω2 = V1cosα − V2 cosδ

If δ > 900 ; ΔVω = Vω1 + Vω2

If δ < 900; ΔVω = Vω1 − Vω2

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In figure 5.9 (b), in ΔABC

In ΔCBD
V2 cos(180 − δ ) + u = Vr2 cos(180 − γ )
u − V2 cosδ = −Vr2 cosγ or V2 cosδ = u + Vr2 cosγ

Similarly, in Figure 3.2(c)

u − V2 cosδ = Vr2 cos(180 − γ ) = −Vr2cosγ
V2 cosδ = u + Vr2 cosγ

Blade Friction Factor

It is a ratio of the relative velocity of steam at the exit to the relative velocity at the inlet
of the blade. It is denoted by Kb

K b = Vr2 / Vr1

Energy loss due to friction in blade

In terms of Kb, ΔVw = (V1 cosα − u)(1 + Kb ); If blades are symmetrical, i.e., β1 = β2

Tangential Thrust

Ft = ṁΔVω

Axial Thrust

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Fα = ṁΔVα ; where ΔVα = V1 sin α − v2 sinδ

Blade Work or Diagram Work

WD = Ft × u = ṁΔVω × u

Blade or Diagram Efficiency

Maximum Blade Efficiency and Optimum Velocity Ratio

Substituting ΔVw in equation of blade efficiency as

Velocity ratio is the ratio of mean velocity to the jet velocity

as

Putting the value of ρ as and if loss of energy due to friction is zero, i.e., K = 1

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ηDmax = cos2 α

Thus, the lower is the nozzle angle, the higher is the blade efficiency. But, too low nozzle
angle causes energy loss at the blade inlet. Therefore, the nozzle angle is to be maintained
within a certain range which varies from 16° to 22°.

EXAMPLE 5.1

Steam enters is an impulse turbine at 1000 m/s and at a nozzle angle of 18°. The mean
peripheral velocity of the blades is 600 m/s and blades are symmetrical. If the steam is to
enter the blades without shock, what will be the blade angles?
1. If the friction effect is negligible on the blades, calculate the tangential thrust on the blades and diagram
power for a unit mass flow rate of steam.
2. If blade friction (Kb) is 0.8, estimate the axial thrust, diagram power, and diagram efficiency.

FIGURE 5.10
Velocity Triangle
SOLUTION
Velocity triangle is shown in Figure 5.10

V1 = 1000 m/s, α = 180, u = 600 m/s.

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Blades are symmetrical, i.e., β1= β2; ṁ = 1 kg/s.

1. From Equation (5.1),

Vr1 sin 42.350 = 309.01m /sec or, Vr1 = 467.74m / sec = Vr2
ΔVω = Vr1 cosβ1 + Vr2 cosβ2 = 2Vr1 cosβ1
= 2 × 467.74 m/sec × 0.7506 = 702.25 m /sec
ΔVα = Vr1 sinβ1 − Vr2 sinβ2 = 0
Tangential thrust, Ft = ṁ × ΔVω = 1 kg /sec × 702.25 m/sec = 702.25 N
Axial thrust, Fα = ṁ × ΔVα = 0
Diagram Power, WD = Ft × u = 702.25 N × 600 m / sec = 421.353 kW

2. Kb = 0.8

Vr2 = 0.8Vr1 = 0.8 × 467.74m / sec = 374.192m / sec; β1 = β2 = 41.350

ΔVω = Vr1 cosβ1 + Vr2 cos β2 = 632.028m / sec

ΔVα = Vr1 sin β1 − Vr2 sin β2 = 61.803m / sec

Tangential thrust, Ft = ṁ × ΔVω = 1kg / sec× 632.028m / sec = 632.028N
Axial thrust, Fα = ṁ× ΔVα = 1kg / sec× 61.803m / sec = 61.803N
Diagram Power, WD = Ft × u = 632.028N × 600m / sec = 379.216 kW

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5.3.2 Compounding of Impulse Turbine

Single row of the nozzle with a single row of the blade is called one stage of the turbine.
If steam at very high pressure is allowed to expand in a single stage of the turbine, the
blade velocity will be too high. Such a high rotational speed cannot be used properly and
also there will be velocity loss at the exit of the blade due to high exit velocity of steam.
Therefore, to overcome these difficulties, the turbine is compounded or staged. In
compounded turbines, steam is made to expand in a number of stages instead of single
stage and turbine speed is reduced, which secures the same enthalpy drop of steam.
There are three types of compounding of impulse turbine:
1. Pressure compounding or Reteau staging
2. Velocity compounding or Curtis staging
3. Pressure-velocity compounding.

Pressure Compounding or Reteau Staging

Pressure compounding is splitting of whole pressure drops of steam from the steam chest
pressure to condenser pressure into a series of small pressure drops across several stages
of impulse turbine. The whole pressure drops occur in the series of nozzles and there is no
pressure drop in fixed blades as shown in Figure 5.11. The kinetic energy of steam
increases in nozzles at the expense of the pressure drops and it is absorbed by the blades
in producing a torque on the shaft.
The pressure compounding of the turbine is shown in Figure 5.11 (a) and pressure-
velocity diagram in Figure 5.11 (b). The enthalpy drop in one stage is equal to the total
enthalpy drop divided by the number of stages as shown in Figure 5.11 (c).

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FIGURE 5.11
Pressure Compounding of Impulse Turbine

Velocity Compounding or Curtis Stages

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In this compounding, whole pressure drop takes place in the nozzle (only one row) and
remains constant in fixed and moving blades. The velocity of the steam remains constant
in fixed blades and decreases in moving blades.
Figure 5.12 (a) shows a two row Curtis or velocity staging having two rows of moving
blades and one row of fixed blades in between them. In three-rows of Curtis stage, the
tworow stage is followed by the second row of guide blade and third row of moving
blades. Steam of high kinetic energy passing through nozzle impinges on the first row of
moving blades and gets deflected by the first row of fixed blades of guide blades. The
steam, after a deflection from the first row of fixed blades, impinges on the second row of
moving blades and again gets deflected by second row of guide blades. Finally, steam
impinges on the third row of moving blades and thus, does work on turbine shaft.
The velocity diagrams for first stage and second stage of moving blades are shown in
Figure 5.12 (c) and (d). The blade friction factor Kb may be assumed the same for both
mov-ing and fixed blades.

Hence,
α1 = exit angle of guide blades

β1, β2 = Inlet and exit angles of first row of moving blades

β3, β4 = Inlet and exit angles of second row of moving blades

ΔVω1, ΔVω2 = Change in the velocity component of the whirl in the first and second
rows of moving blades
ΔVα1, ΔVα2 = Change in the axial components of velocity in the first and second rows of
moving blades

Tangential thrust,

Axial thrust,
Blade work or diagram work, WD = Ft × u

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Diagramefficiency,
In two-row curtis stage, 3/4th of the total work is done by steam jets on the first row of moving blades
and one-fourth of the total work is done on the second row of moving blades.
In 3-rows curtis stage, it can be shown that

WD1 : WD2 : WD3 = 5: 3:1

ηDmax = cos2 α

where n is number of stages

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FIGURE 5.12
Velocity Compounding of Impulse Turbine

Pressure-Velocity Compounding

It is a combination of pressure compounding and velocity compounding as shown in

Figure 5.13 (a). There are two-rotors and only two rows of moving blades are attached on
each rotor because two-row wheels are more efficient than three-row wheels. The steam
on passing through each row of moving blades reduces its velocity, but the pressure
remains constant during passing through these blades. Thus, it acts as a velocity
compounded. The whole pressure drops in two nozzles as shown in Figure 5.13, thus, it
acts as a pressure compounded.

5.3.3 Impulses-reaction Turbine (Reaction Turbine)

If steam expands both in the nozzle as well as in blades of a turbine, i.e., pressure at the
inlet of the turbine is more than that of the outlet, it is known as an impulse-reaction
turbine.

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FIGURE 5.13
Pressure-Velocity Compounding of Impulse Turbine
In this case, expansion of steam in nozzle creates impulse on blades and the reaction due
to the minor expansion of steam during passing through moving blades. The small drop in
pressure of steam in the moving blades gives back pressure to the moving blades in the
direction opposite to the velocity. In this turbine there are stages of fixed blades and
moving blades; fixed blades act as nozzles that create an impact on the moving blades by
reducing the pressure and increasing the velocity.
Since the moving blade channels are also of nozzle shape. Due to the expansion of steam,
while flowing through the blades, there is an increase in kinetic energy that produces a
reaction in the opposite direction (by Newton’s third law of motion). The blades rotate
due to both the impulse effect and the reaction force of steam jets. Such turbines are
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called impulsereaction turbine or simply a reaction turbine.
The degree of reaction (R) of these turbines is defined as:

where, mb = moving blades

fb = fixed blades

Note:

If enthalpy drops in moving blade are zero, the degree of reaction will be zero. This is a case of the
pure impulse turbine.
If enthalpy drops in the fixed blade are zero, the degree of reaction will be one. This is a case of the
pure reaction turbine.
If enthalpy drops in the moving blades are equal to the enthalpy drop in the fixed blades, the degree of
reaction will be ½ (half). This is a case of the Parson’s reaction turbine.

Reheat Factor

It is the ratio of cumulative heat drops and isentropic heat drops in multistage turbine.

FIGURE 5.14
Enthalpy Drops in Multistage Turbine

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The line which joins the actual points at the end of expansion in each stage is known as
condition line (Figure 5.14).

FIGURE 5.15
Velocity Diagram for 50% Reaction Turbine

Velocity Diagram for Reaction Turbine

The velocity diagram for 50% reaction turbine is shown in Figure 5.15. Since,

ΔABC ≅ ΔBCD

Therefore, Vr1 = V2 and β1 = 180 − δ

Also, β1 ≠ β2, the blades are unsymmetrical and ΔVα = 0. There is no axial thrust in 50%
reaction turbine. However, there will be considerable tangential thrust produced due to
the pressure difference across the blades in each rotor disc since there is a pressure drop
of steam across the moving blades.

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ΔVω = V1 cosα − V2 cosδ = Vr1 cos β1 − Vr2 cos β2

= V1 cosα − u + V1 cosα = 2V1 cosα − u

The diagram work per kg of steam,

WD = ΔVω u = (2V1 cosα − u)u

Energy input to blades/kg of steam

Now,

Therefore, energy input to the blades

Diagram efficiency of blades

Putting u /V1 = ρ as the velocity ratio

There is an optimum value of ρ at which ηD becomes maximum. Differentiating ηD with

respect to ρ and equating to zero. We get,

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EXAMPLE 5.2

A reaction turbine has the degree of reaction 50% (i.e., Parson’s reaction turbine) and
running at 600 rpm develops 10 MW using 10 kg/kWh of steam flow rate. The exit angle
of the blades is 180 and the velocity of steam relative to the blade at the exit is 1.5 times
the mean peripheral speed. At a particular stage in the expansion, the pressure is 1.2 bar
and the steam quality is 90%. Calculate for the stage:
1. Blade height assuming the ratio of Dm/hb as 12
2. Diagram power

FIGURE 5.16
Velocity Triangle
SOLUTION
Velocity triangle is shown in Figure 5.16
In a Parson’s reaction turbine,
V1 = Vr2, V2 = Vr1,

B1 = δ and β2 = α = 180

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N = 600rpm, P = 10MW, ṁ = 10kg / kWh

Volume of steam at 1.2 bar from steam table

V1 = Vf + xVfg = 0.001046m3 / kg + 0.9 × 1.454m3 / kg = 1.382m3 / kg

Volume flow rate of steam, ṁ × V1 = πDmhbV1 sin α

27.77kg / sec × 1.382m3 / kg = π(12hb )hb (180πhb )sin180

hb = 179.96mm ≈ 180mm.
u = 120πhb = 67.845m / sec
V1 = 1.5u = 101.76m / sec
ΔVω = 2V1 cosα − u = 125.72m / sec

Diagram power, PD = ṁ × ΔVω × u = 236.88kW

EXAMPLE 5.3

In a 4-stage turbine steam is supplied at 240 N/cm2 and 3440C. The exhaust pressure is
0.686 N/cm2 and the overall turbine efficiency is 0.72. Assuming that work is shared
equally between stages and the condition line is a straight line. Find:
1. stage pressure
2. efficiency of each stage
3. reheat factor

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FIGURE 5.17
h-s Diagram
SOLUTION
h-s diagram for four stage turbine is shown in Figure 5.17

P1 = 240N / cm2 = 24 bar; t1 = 3440 C; ηT = 0.72; P5 = 0.068 bar

From llier Diagram,

h1 = 3135kJ / kg; P6 = 0.068 bar

Since work shared is equally divided between each stage,

From Mollier diagram,

P2 = 6.5 bar, P3 = 1.75 bar, P4 = 0.4 bar, P5 = 0.06 bar

h1 − h6 = 3135kJ /kg − 2140 kJ /kg = 995kJ /kg

h1 − h5′ = 0.72 × 995kJ /kg = 716.4 KJ /kg

⇒ h5′ = h1 − 716.4 kJ /kg>= 3135kJ /kg − 716.4 kJ /kg = 2418.6 kJ /kg

h2′ = 2975kJ /kg, h3′ = 2800 kJ /kg, h4′ = 2620 kJ /kg

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h2 = 2885kJ /kg, h3 = 2725kJ /kg, h4 = 2540 kJ /kg, h5 = 2340 kJ /kg.

1. iii. Reheat factor = Cumulative heat drop/Isentropic heat drop

EXAMPLE 5.4

The enthalpy drop in the nozzle of an impulse turbine is 45 kJ/kg. The nozzle is inclined
at 14° to the wheel tangent. The average diameter of the wheel is 0.3 m. Wheel runs at
10,000 rpm. Determine the blade inlet angle for sockless entry. If the blade exit angle is
equal to the blade inlet angle, determine the work done/kg and also the axial thrust for
the flow of 1 kg/s.
SOLUTION
Velocity triangle is shown in Figure 5.18

α = 140,D = 0.3m,N = 10000 rpm,ṁ = 1kg/ sec.

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FIGURE 5.18
Velocity Triangle for the Example 5.4

From Equation (5.3)and (5.4),

Blade is frictionless, therefore Vr1 = Vr2

Vr1 sin β1 = Vr2 sin β2 = Vf 1 = Vf 2

Axial thrust = ṁ(Vf 1 − Vf 2 ) = 0

Vω1 = V1 cos α = 299.99 m / sec× cos140 = 291.07 m/sec

Vω2 = Vr2 cos β2 − u = 152.39 m / sec× cos 28.439 − 157.07m / sec = −23.051m/sec

(Thus, the direction of Vω2 will be reverse due to −ve sign)

Work done per kg of steam = m· (Vω1 + Vω2 ) × u

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= 1kg / sec× (291.07m/ sec− 23.051m / sec) × 157.07 m/sec
= 42.097 kW / kg

5.3.4 Differences Between Impulse and Reaction Turbines

There are some basic differences between impulse and reaction turbines as mentioned in
Table 5.1.

Table 5.1: Differences between Impulse and Reaction Turbines

5.3.5 Losses in Steam Turbines

There may be two types of losses-internal loss and external loss. Internal loss includes all
the losses the flow of steam inside the turbine, such as losses in regulating valves, nozzle
friction loss, blade friction losses, disc friction losses, partial admission losses, leakage
losses, residual velocity losses, and carry over losses, whereas external loss includes pipe
loss, pump loss, radiation loss, etc.

5.3.6 Governing of Steam Turbines

Governing of steam turbines is to control the speed of turbines irrespective of load. There
are following methods of governing:
Throttle governing
Nozzle control governing
By-pass governing

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In throttle governing system, the pressure of steam entering the turbine is reduced at part
loads. It is used in only small turbines due to available heat loss in the irreversible
throttling process. In nozzle governing system, a number of nozzles (4 to 12) are used
with individual propet valve and according to the load requirement steam is supplied to
these nozzles through the valves. All nozzles may be in operation at full load and some
nozzle may be idle at part load. In the bypass governing system, some part of the steam
passes through the first stage and rest of steam passed through the second stage of the
turbine. This is used in highpressure turbines where the use of nozzle governing is not
possible.

5.4 GAS TURBINES

The gas turbine is a rotating type prime mover which converts the heat energy of gas/air
(at high pressure and temperature) into mechanical work. The principle of operation is
based on Newton’s Second Law of Motion. The motive power is obtained from the
change in momentum of high-velocity jet impinge on curved blades of the turbine.
A simple as turbine consists of: (i) compressor, (ii) combustion chamber, and (iii) turbine.
The gas turbine obtains its power by utilization of the energy of burnt gas and air at
hightemperature and pressure expanding through the several rings of fixed and moving
blades. To get a high pressure in order to 4 to 8 atm of the working fluid (gas) which
essential for expansion, a compressor is required. The quantity of working fluid required
is very high, therefore, a centrifugal or axial compressor is employed in gas turbines. The
compressor is driven by a turbine and coupled with turbine shaft.
If after compression, the working fluid is to be expanded in a turbine and there is no loss
in either component, the power developed by the turbine will be equal to the power
required by compressor, i.e., work done will be equal to zero. But, the power developed
by the turbine can be increased by increasing the volume of the working fluid at constant
pressure or increasing the pressure at constant volume. Either of these can be done by
heat addition so that the temperature of working fluid can be increased after
compression. To get a high-temperature of the working fluid, a combustion chamber is
used where combustion of fuel with air takes place.
Since, the compressor is coupled with turbine shaft, the compressor absorbs some part of
the power produced by the turbine and the net work done by the turbine will be equal to
the difference between work done by Turbine and work absorbed by the compressor. Gas
turbines have been constructed to work on the fuels-oil, coal, gas, natural gas, producer
gas, blast furnace gas, and pulverized coal.
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5.4.1 Classification of Gas Turbine

Gas turbines can be classified on the basis of thermodynamic cycles used and the path of
working fluid. On the basis of the thermodynamic cycle, there are two types of gas
turbines: (i) Constant pressure cycle, i.e., Joule or Brayton cycle-heat addition and
rejection are done at constant pressure, and (ii) Atkinson cycle-heat addition at constant
volume and rejection at constant pressure. On the basis of the path of the working fluid,
gas turbine can be classified as: (i) Open cycle gas turbine-Working fluid enters from the
atmosphere and exhausts to the atmosphere. It works similar to I.C. Engine, and (ii)
Closed cycle gas turbineworking fluid is confined within the plant and recirculated. The
working is very similar to external combustion engines.

5.4.2 Applications of Gas Turbines

Gas turbines are used for the following purposes:

Central power stations
Stand-by power plants
Locomotive power plants
Jet engine
Automotives
Pumping station
Main power source for laboratories
vMarine, etc.

Joule or Brayton Cycle

The air standard Brayton cycle or Joule cycle is a most ideal thermodynamic cycle for a
simple gas turbine plant. Its working is shown in Figure 5.19. Atmospheric air is
compressed from pressure P1 to a high-pressure P2 in the compressor and delivered to the
combustion chamber where fuel is injected and burnt. The combustion process occurs
nearly at constant pressure. During the combustion process, heat is added to the working
fluid and its temperature rises from T2 to T3. The product of combustion is expanded in
the turbine from pressure P3 to atmospheric pressure and discharged into the atmosphere.
The turbine and compressor are mechanically coupled to each other; hence the net work
is the difference between turbine work and compressor work.

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FIGURE 5.19
Flow Diagram of Turbines
The actual gas turbine cycle is an open cycle; therefore fresh air must be continuously
introduced into the compressor. In closed cycle gas cycle turbine, heat is added by an
indirect method, called heat exchanger so that, there is no mixing of fuel and air.
Similarly, the heat is rejected in another heat exchanger called cooler.
In the ideal diagram of Joule cycle, the cycle is assumed to be closed one and heat
addition and rejection are only the heat transfer processes at constant pressure. The Joule
cycle is shown on P-V and T-S diagram in Figure 5.20.

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1-2 Isentropic compression in the compressor thus raising pressure and temperature from
P1, T1 to P2, T2.

2-3 Addition of heat at constant pressure raising the temperature from T2 to T3.

3-4 Isentropic expansion of air from high-pressure and high-temperature to low-pressure

and low-temperature and thus doing work.
4-1 Rejection of heat at constant pressure to restore the original state of the air.

FIGURE 5.20
P-V and T-S Diagrams for Joule Cycle
The various processes are:
Heat addition to Combustion Chamber (CC)
QA = Q2−3 = h3 − h2 = Cp (T3 − T2 )

Heat rejection from cooler

QR = Q4−1 = h4 − h1 = Cp (T4 − T1 )
Net work = QA − QR = Cp [(T3 − T2 ) − (T4 − T1 )]
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The net work can also be found as:
Wnet = Work done by turbine − Work doneby compressor

= WT − WC (h3 − h4 ) − (h2 − h1 ) = Cp [(T3 − T4 ) − (T2 − T1 )]

= Cp [(T3 − T2 ) − (T4 − T1 )]

Now, consider the process, 1-2

From isentropic expansion process, 3 − 4

But, P2 = P3 and P1 = P4

Therefore,

or

Putting the value of in Equation (5.5), we get

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Here,

or

Hence, we can say that the thermal efficiency progressively increases with increasing the
value of pressure ratio.

Actual Brayton Cycle

The actual turbine cycle differs from the theoretical cycle in the following manner:
1. Due to frictional losses in the compressor and turbine, entropy increases in compression and expansion
process. In the ideal case the compressor efficiency (ηc ) and turbine efficiency (ηT ) are 100%, but in
practice, they are less than 100% efficient.
2. A small pressure loss occurs in the combustion chamber. This loss is so little that it can be neglected
for the sake of simplicity.
3. The specific heat of combustion gas is slightly higher than that of air. This increase is so little that the
specific heat of combustion gas may be taken as that of air for simplicity wherever necessary.

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FIGURE 5.21
Actual Brayton Cycle
A T-S diagram for an actual Brayton cycle is shown in Figure 5.21.
1-2 Isentropic compression
1-2′ Actual compression
3-4 Isentropic expansion
3-4′ Actual expansion
The compressor efficiency,

Turbine efficiency,

Actual thermal efficency,

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Where WT = Workdone by turbine

WC = Workdone compressor

QA = Actual heat addition

Optimum Pressure Ratio for Maximum Specific Output

In the T-S diagram (Figure 5.22),

Let

For Maximum work done, Wnet should be differentiated with respect to c and equating to
zero.

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FIGURE 5.22
Actual Brayton Cycle

Therefore,

Since

If ηT = ηc = 100%;

EXAMPLE 5.5

In a gas turbine plant, air is compressed from 1 bar and 150C through a pressure ratio 6:1.
It is then heated to 6000C in a combustion chamber and expanded back to atmospheric
pressure of 1 bar in a turbine. Calculate the cycle efficiency and the work ratio. The
isentropic efficiency of the turbine and compressor are 85% and 80%, respectively.

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FIGURE 5.23
T-s Diagram
SOLUTION
T-s diagram for the gas turbine is shown in Figure 5.23
T1 = 237 + 15 = 288 K

P1 = 1bar

T3 = 6000 C + 273 = 873K

P2 = 6 bar, since rp = 6

Efficiency of compressor

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Efficiency of turbine = 0.85 =

Heat supplied = Cp (T3 − T2′) = 1.005kJ/kgK (873K − 528.66K) = 346.06kJ/kg

Compressor work = Cp (T2′ − T1 ) = 1.005kJ/kgK (528.66K − 288K) = 241.863kJ/kg
Turbine work = Cp (T3 − T4′ ) = 1.005kJ/kgK (873K − 618.188K) = 256.086kJ/kg
Net work = Turbine work − Compressor work
= 256.086kJ/kg − 241.863kJ/kg = 14.228kJ/kg

EXAMPLE 5.6

In Example 5.5, if the combustion efficiency is 0.98. Fall in pressure through combustion
chamber is 0.1 bar. Determine: (i) the thermal efficiency, (ii) the work ratio, (iii) air rate
in kg/kW, and (iv) the specific fuel consumption (v) the air-fuel ratio. For air Cp = 1.005
kJ/kgK; γ = 1.333. Calorific value = 42,700 kJ/kg, Cpg = 1.147 kJ/kg.

SOLUTION
From solution of example 5.5 T1 = 288K, T2 = 480.53, T2′ = 528.6K, T3 = 873K

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1. Thermal efficiency,

2.

3.
4.

5.

EXAMPLE 5.7

Air enters the compressor of gas turbine plant operating on the Brayton cycle at 1 bar and
27°C. The pressure ratio in the cycle is 6. Calculate the maximum temperature in the
cycle and the cycle effi ciency, heat rate. Assume WT = 3 Wc, where WT and Wc are
the turbine and compressor work, respectively. Take γ = 1.4.

FIGURE 5.24
T-s Diagram

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SOLUTION
T-s diagram for the gas turbine is shown in Figure 5.24.

Now, from question, WT = 3Wc

5.4.3 Gas Turbine Cycle with Regenerator

The regenerator is a heat exchanger, which is used to exchange the waste heat of gases
exhausted from the turbine to air after compression but before combustion as shown in
Figure 5.25. Due to this fuel economy, the efficiency of plant increases.

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FIGURE 5.25
Gas Turbine with Regenerator
It is theoretically possible to raise the tempera-ture of the compressed air from T2 to T6 =
T4 and reduce the temperature of the gas leaving the turbine from T4 to T5 = T2 by
arranging a counter flow heat exchanger. The T-S diagram of the Brayton cycle for a gas
turbine with regenerator is shown in Figure 5.26.
Addition of heat exchanger in a gas turbine cycle increases the value of both overall
efficiency and s specific output for a given pressure ratio, but the increase in output is
very nominal because regenerator lowers the pressure ratio at which peak efficiency
occurs.

FIGURE 5.26
T-S Diagram of the Brayton Cycle using Regenerator

5.4.4 Gas Turbine Cycle with Reheating and Intercooling

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Intercooling is added to reduce the compressor work. If the multistage compressor is
used, the air is cooled to initial temperature between each stage. The reheater is used to
increase the temperature to an initial inlet temperature between each expansion in
turbines. Thus, the intercooler and the reheater are used to increase the work output of
turbines. The flow diagram using intercooling and reheating is shown in Figure 5.27.

FIGURE 5.27
Flow Diagram of a Gas Turbine with Intercooling and Reheating

RECAP ZONE

Points to Remember

The steam power system is a system in which the heat energy of the steam is used to produce
mechanical power.
A steam engine is a reciprocating heat engine that performs mechanical work using steam as its
working fluid.
Steam engines are external combustion engines based on modified Rankine cycle, where the working
fluid is separate from the combustion products.
Steam turbine is a prime mover, which converts the heat energy of steam into mechanical energy by
rotating motion of the blade.
Total energy conversion involves two types of steam expansion: expansion of steam in the nozzle and
expansion of steam in turbine blades.
Pure reaction turbine cannot be used for practical purposes; therefore, the impulse-reaction turbine is
referred as reaction turbine .
If torque produced on the shaft of the turbine is only due to change in momentum of steam and pressure
of steam at the inlet and outlet of the turbine being same, it is known as impulse turbine .
Single row of the nozzle with the single row of the blade is called one stage of the turbine.
In compounded turbines, the steam is made to expand in a number of stages instead of single stage and
turbine speed is reduced which secures the same enthalpy drop of steam.
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Pressure compounding is the splitting of whole pressure drops of steam from steam chest pressure to
condenser pressure into a series of small pressure drops across several stages of impulse turbine.
The whole pressure drops occur in the series of nozzles and there is no pressure drop in fixed blades.
Pressure-velocity compounding is a combination of pressure compounding and velocity compounding
as the steam on passing through each row of moving blades reduces its velocity, but the pressure
remains constant during passing through these blades but when steam passes through fixed blades, its
pressure reduces and velocity remains constant.
If steam expands both in the nozzle as well as in blades of the turbine, i.e., pressure at the inlet of the
turbine is more than that of the outlet, it is known as an impulse-reaction turbine .
The degree of reaction (R) of these turbines is defined as the ratio of enthalpy drop in moving blades
and enthalpy drop in the stage.
Reheat factor is the ratio of cumulative heat drops and isentropic heat drops in multistage turbine.
The gas turbine is a rotating type prime mover which converts the heat energy of gas/air (at high
pressure and temperature) into mechanical work.
A simple as turbine consists of (i) compressor, (ii) combustion chamber, and (iii) turbine.
Intercooling is added to reduce the compressor work.
If the multistage compressor is used, the air is cooled to initial temperature between each stage.
The reheater is used to increase the temperature to an initial inlet temperature between each expansion
in turbines.
The intercooler and the reheater are used to increase the work output of turbines.

Important Formulae

1. Tangential thrust Ft =ṁΔVω

2. Axial thrust Fα = ṁ ΔVα ; where ΔVα = V1 sinα − v2 sinδ
3. Blade work or Diagram work WD = Ft × u = ṁ ΔVω × u

4.

5.

6.

where, mb = moving blades

fb = fixed blades
7. Reheat factor = (Cumulative heat drop)/(Isentropic heat drop)
8. For Reaction Turbine ρopt = cosα

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WD = (2u − u )u = u 2

9. Efficiency of Gas Turbine

10. Optimum Pressure Ration in Gas Turbine

REVIEW ZONE

Objective Questions

Steam Turbine

1. In an impulse turbine, steam expands:

1. Fully in nozzle
2. Fully in blades
3. Partly in nozzle and partly in blades
4. None of the above
2. In impulse turbines, pressure on the two sides of the moving blades:
1. Increases
2. Decreases
3. Remains same
4. None of the above
3. In impulse turbine, when steam flows over the moving blades:
1. Velocity decreases
2. Velocity increases
3. Pressure decreases
4. None of the above
4. In a reaction steam turbine, steam expands:
1. In nozzle only
2. In moving blades only
3. Partly in nozzle partly in blades
4. None of the above
5. De-Lavel Turbine is a:
1. Simple impulse turbine
2. Simple reaction turbine
3. Pressure compounded turbine
4. Velocity compounded turbine
6. Parson’s Turbine is a:
1. Simple impulse turbine
2. Simple reaction turbine
3. Pressure compounded turbine
4. Velocity compounded turbine
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7. Curtis turbine is:
1. Simple impulse turbine
2. Simple reaction turbine
3. Pressure compounded turbine
4. Velocity compounded turbine
8. Rateu turbine is:
1. Simple impulse turbine
2. Simple reaction turbine
3. Pressure compounded turbine
4. Velocity compounded turbine
9. The turbine having identical fixed and moving blades is:
1. De-Lavel turbine
2. Parson’s reaction turbine
3. Rateau turbine
4. Zoelly turbine
10. In reaction turbine, stage is represented by:
1. Each row of blades
2. Number of casting
3. Number of steam exits
4. None of the above
11. Blade efficiency is the ratio of:
1. Work done of blades and energy supplied to the blades
2. Work done on blade and energy supplied to each stage
3. Energy supplied per stage and work done on the blades
4. Energy supplied to blades and work done on blades.
12. Maximum efficiency of Parson’s reaction turbine is equal to:

1.

2.

3.

4.
13. For maximum efficiency of a Parson’s reaction turbine, the speed ratio is equal to:
1.
2. cosα
3. cos2 α

4.
14. For maximum blade efficiency of a single stage impulse turbine, the blade speed is equal to:
1.
2. cosα
3. cos2 α
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4.
15. The compounding of turbine:
1. Increases efficiency
2. Decreases rotor speed
3. Decreases exit loss
4. All of the above

Gas Turbine

1. 16. A gas turbine works on:

1. Rankine cycle
2. Carnot cycle
3. Joule cycle
4. Erriction cycle
2. 17. When working fluid in a plant doesn’t come in contact with the atmospheric air, and is used again,
turbine is said to work on:
1. Open cycle
2. Closed cycle
3. Semi-closed cycle
4. None of these
3. 18. When the entire fluid is taken from the atmosphere and is return back to the atmosphere, the gas
turbine is said to work on:
1. Open cycle
2. Closed cycle
3. Semi-closed cycle
4. None of these
4. 19. Efficiency of closed cycle gas turbine as compared to open cycle gas turbine is:
1. More
2. Less
3. Same
4. None of the above
5. 20. Regenerator in gas turbine:
1. Increases thermal efficiency
2. Decreases heat loss in exhaust
3. Allows use of higher compression ratio
4. All of the above
6. 21. Compressors used in as turbine are:
1. Reciprocating type
2. Centrifugal type
3. Axial flow type
4. None of the above
7. 22. Intercooling in gas turbine:
1. Increases thermal efficiency
2. Decreases compression work
3. Increases turbine work
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4. None of the above
8. 23. Reheating in as turbine:
1. Increases thermal efficiency
2. Decreases compression work
3. Increases turbine work
4. None of the above
9. 24. The air-fuel ratio in gas turbine is:
1. 15:1
2. 30:1
3. 45:1
4. 50:1
10. 25. The pressure ratio in gas turbine is of the order of:
1. 2:1
2. 4:1
3. 6:1
4. 8:1

Fill in the Blanks

1. 26. The ratio of useful heat drop to isentropic heat drop is called ____________.
2. 27. De-Lavel turbine is normally used for ________ pressure and ____________Speed.
3. 28. The pressure-velocity compounded steam turbine allows a _________ pressure drop and hence
_________ number of stages are required.
4. 29. In impulse-reaction turbine, the pressure drops gradually and continuously over __________
blades.
5. 30. The parson’s reaction turbine has __________ and _________ blades.
6. 31. In reaction turbine, the degree of reaction is zero. This implies ___________ heat drops in moving
blades.

Answers

1. a
2. c
3. c
4. a
5. a
6. b
7. d
8. c
9. b
10. a
11. a
12. b
13. b
14. a
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15. d
16. c
17. b
18. a
19. a
20. d
21. c
22. b
23. c
24. d
25. c
26. Reheat factor
27. Low, high
28. High, less,
29. Fixed and moving
30. Identical fixed and moving
31. Zero

Theory Questions

1. With a neat sketch explain the construction and working of a single stage impulse steam turbine.
2. What is compounding of impulse turbine? With a neat sketch explain the working of velocity
compounding.
3. With a neat sketch explain the working of pressure-velocity compounding of impulse steam turbine.
4. Differentiate impulse and reaction type steam turbines.
5. Write short notes on: (i) Degree of reaction, (ii) Reheat factor, (iii) Diagram efficiency, and (iv)
condition line.
6. Explain the methods of governing of the steam turbine.
7. Explain the working of closed cycle gas turbine.
8. Explain the working principle of the open cycle gas turbine.
9. What is a gas turbine? What are the essential components of a gas turbine plant? How it differs from a
steam turbine?
10. * What are the purposes of regeneration, intercooling and reheating in a gas turbine? Compare Rankine
cycle with Carnot cycle.
11. * Derive the equation for thermal efficiency of Rankine cycle.
12. *Discuss the classification of turbines. Also, discuss compounding of impulse turbine.
13. *Explain the working principle of a gas turbine on closed cycle.
14. * List any four differences between closed cycle and open cycle gas turbines.
15. *What are the advantages of the steam turbine over reciprocating engines?
16. * Write the function of the following:
1. Nozzle
2. Moving blade
3. Guide blades in steam turbine
*
17. Why is gas turbine used in aviation?
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18. * Derive an expression for the air standard efficiency of a Brayton cycle in terms of pressure ratio.
19. *State the working principle of a closed cycle gas turbine. Why is it named as constant pressure
turbine?
20. *What is compounding of an impulse turbine? State the principle of working of an open-cycle gas
turbine. What are the advantages of gas turbines over Steam turbines?

Numerical Problems

1. In a single row impulse turbine, the blade speed is 200 m/sec, nozzle angle is 18°. If the steam enters
with an absolute velocity of 300 m/sec. Find: (i) inlet and outlet angles of moving blade so that there is
no axial thrust, (ii) power developed for a steam flow of 1 kg/sec, and (iii) kinetic energy of steam
leaving the stage.
2. A reaction turbine has a degree of reaction 50% (i.e., Parson’s reaction turbine) and running at 500 rpm
develops 8 MW using 10 kg/kWh of steam flow rate. The exit angle of the blades is 18° and the velocity
of steam relative to the blade at exit is 2 times the mean peripheral speed. At a particular stage in the
expansion, the pressure is 1.2 bar and the steam quality is 90%.

Calculate for the stage:

1. Blade height assuming the ratio of Dm/hb as 12
2. Diagram power
3. In a 4-stage turbine, steam is supplied at 300 N/cm2 and 3800C. The exhaust pressure is 0.05 N/cm2
and the overall turbine efficiency is 0.7. Assuming that work is shared equally between stages and the
condition line is a straight line. Find: (i) stage pressure, (ii) efficiency of each stage, and (iii) reheat
factor.
4. The enthalpy drop in the nozzle of an impulse turbine is 50 kJ/kg. The nozzle is inclined at 160 to the
wheel tangent. The average diameter of the wheel is 0.25 m. Wheel runs at 11,000 rpm. Determine the
blade inlet angle for sockless entry. If the blade exit angle is equal to the blade inlet angle, determine
the work done/kg and also the axial thrust for the flow of 1 kg/s.
5. In a gas turbine plant, air is compressed from 1 bar and 30°C through a pressure ratio 6:1. It is then
heated to 600°C in a combustion chamber and expanded back to atmospheric pressure of 1 bar in a
turbine. Calculate the cycle efficiency and the work ratio. The isentropic efficiency of the turbine and
compressor are 85% and 80%, respectively.
6. Air enters the compressor of gas turbine plant operating on Brayton cycle at 1 bar and 20°C. The
pressure ratio in the cycle is 4. Calculate the maximum temperature in the cycle and the cycle efficiency,
heat rate. Assume WT = 2Wc. Where WT and Wc are the turbine and compressor work, respectively.
Take γ=1.4.
7. In a gas turbine cycle, the condition of air at the entrance of compressor is 1 bar and 27°C. Pressure
ratio is 6. Maximum temperature is 700°C. The exhaust pressure of turbine is 1 bar. Assume 100%
efficiency of compressor and 95% efficiency of both turbines and combustion, fall in pressure through
combustion chamber is 0.1 bar, calculate: (i) thermal efficiency, (ii) work ratio, (iii) heat rate, (iv) air-
rate in kg/kW, (v) specific fuel consumption, and (vi) the air-fuel ratio.

Cp = 1.005 kJ/kg
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Cpg = 1.147 kJ/kg

CV = 42,700 kJ/kg

8. * 1.5 kg of steam at a pressure of 10 bar and temperature of 250°C is expanded until the pressure
becomes 2.8 bar. The dryness fraction of steam is then 0.9. Calculate the change in internal energy.
[Hint: Find the value of internal energy of steam (u1) at 10 bar and 250°C, then find the internal energy
(u2) at 2.8 bar as u2 = uf + 0.9(ug − uf ) and then find Δu = 1.5kg (u1 − u2 )]

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 6 INTERNAL COMBUSTION ENGINES
CHAPTER 6
Internal Combustion Engines
Learning Objectives

By the end of this chapter, the student will be able:

To demonstrate the construction and working of different parts of an internal combustion engine
To understand the mechanism of fuel combustion in the internal combustion engines
To demonstrate the Otto cycle, Diesel cycle, and Dual cycle
To describe the various methods of emission control
To demonstrate the latest development in fuel injection technologies in petrol and diesel engines
and also, the concept of hybrid cars

6.1 INTRODUCTION

“The heat engine, in which the combustion takes place inside the cylinder or the product
of combustion (flue gas) directly goes to the cylinder and the heat energy of the flue gas
is converted into mechanical energy, is known as Internal Combustion Engine (I.C.
Engine)”. The combustion may take place either inside or outside the cylinder, but heat
energy of the combustion is directly utilized by the engine to produce mechanical power.
However, in external combustion engines, the heat of the combustion is transferred to the
intermediate medium like water or air and then the heat energy of that intermediate
medium (steam produced from the water or the hot air) is converted into the mechanical
energy. The steam engine/turbine and closed cycle gas turbine work on the principle of
the external combustion engine as the heat of combustion is transferred to water and air
respectively. The steam produced from water in case of steam engine/turbine and hot
compressed air in case of closed cycle gas turbine produce mechanical power. While the
automobile and open cycle gas turbine work on the principle of internal combustion
engine as the flue gas produced during the combustion process produces mechanical
power without transferring the heat energy to any intermediate medium.

6.2 CLASSIFICATION OF I.C. ENGINES

There are several bases for classification of I.C. Engines, some of the important bases can
be explained as:
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 6 INTERNAL COMBUSTION ENGINES
Number of strokes per cycle
Nature of thermodynamic cycle
Ignition systems
Fuel used
Arrangement of cylinders
Cooling systems
Fuel supply systems

Number of Strokes Per Cycle: I.C. Engines can be classified as four-stroke engines (4S)
and two-stroke engines (2s). In four-stroke engines, the thermodynamic cycle is
completed in four strokes of the piston or two revolutions of the crankshaft whereas, in
two-stroke engines, the thermodynamic cycle is completed in two strokes of the piston or
one revolution of the crankshaft.
Nature of Thermodynamic Cycle: I.C. Engines can be classified as Otto cycle, Diesel
cycle, and Duel cycle engine. In an Otto cycle engine, heat addition and heat rejection
occur at constant volume; therefore, this is also known as constant volume engine,
whereas, in the Diesel cycle engine, heat addition occurs at constant pressure and heat
rejection occurs at constant volume. In Duel cycle, heat addition occurs partly at constant
volume and partly at constant pressure, but heat rejection occurs fully at constant
volume.
Ignition Systems: There are two modes of ignition of fuel inside the cylinder—spark
ignition and self or compressed ignition. In spark ignition, sparking starts at the end of
compression stroke from spark plug while in compressed ignition the temperature of the
fuel increased to the self-ignition point by compressing the air alone and at the end of
compression, fuel is injected into the cylinder.
Fuel Used: On the basis of fuel used, I.C. Engines can be classified as (a) gas engines
like CNG, natural gas, etc. (b) Petrol engine, (c) Diesel Engine, and (d) Bi-fuel engine. In
a bi-fuel engine, two types of fuel are used like gaseous fuel and liquid fuel.
Arrangement of Cylinders: According to the arrangement of cylinders (Figure 6.1), I.C.
Engines can be classified as (a) In-line engines, (b) V-engines, (c) Opposed cylinder
engines, (d) Opposed piston engines, (e) X-type engines, and (f) Radial engines.

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 6 INTERNAL COMBUSTION ENGINES

FIGURE 6.1
Classification of I.C. Engines on the Basis of Cylinders Arrangement
In an in-line cylinder engine, all the cylinders are arranged linearly and transmit power
through a single crankshaft. V-engines have two banks of cylinders arranged in the shape
of English letter V and single crankcase and crankshaft is used to transmit the power. In
an opposed cylinder engine, all the cylinders lie in the same plane, but the cylinders are
arranged both sides of the crankshaft at 180°. It is inherently well balanced. When a
single cylinder houses two pistons each of which drives a separate crankshaft, it is called
an opposed piston engine. The moments of the pistons are synchronized by coupling two
crankshafts. It is also inherently well balanced. X-type engines have four cylinders with
the single crankcase and single crankshaft. The cylinders are arranged in the shape of
English letter X. In a radial engine, the cylinders are arranged radial directions like the
spokes of a wheel and are connected to a single crankshaft. These engines are used in
conventional air-cooled aircraft engines.
Cooling Systems: there are two types of cooling systems in I.C. Engines—water cooling
and air cooling. In water cooling, coolant and radiators are provided to cool the cylinder.
In air cooling, fins are provided on the surface of the cylinder to radiate the heat into the
atmosphere. Low power engines like motorbikes are equipped with air cooling systems,
whereas large power producing engines like a car, bus, truck, etc. are equipped with
water cooling systems.
Fuel Supply Systems: On the basis of fuel supply systems, I.C. Engines can be classified
as:

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 6 INTERNAL COMBUSTION ENGINES
Carburetor engine,
Air injection engine, and
Airless or solid or Mechanical injection engines.

In a carburetor engine, air and fuel are properly mixed into the carburetor and then fed
into the cylinder. In air injection engines, fuel is supplied to the cylinder with the help of
compressed air. In mechanical injection engines, the fuel is injected into the cylinder with
the help of mechanical pump and nozzle.

6.3 BASIC STRUCTURE OF I.C. ENGINES

Even though reciprocating internal combustion engines look very simple in appearance,
they are highly complex machines. There are a large number of components which have
to perform their functions to produce power. Before going through the working principle
of the complex machine, a brief description of the engine components as shown in Figure
6.2, are given below as:

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 6 INTERNAL COMBUSTION ENGINES

FIGURE 6.2
The Components of an I.C. Engine
Cylinder: It is a hollow cylindrical structure closed at one end with the cylinder head. The combustion
of the fuel takes place inside the cylinder. This is known as the heart of the engine. It is made of hard
and high thermal conductivity materials by casting. A piston reciprocates inside the cylinder and
produces power.
Cylinder Head: It covers one end of the cylinder and consists of valves/ports and spark plug/injector.
Cylinder Liner: The internal surface of the cinder is equipped with a replaceable liner, which can be
easily replaced after wear and tear. The liner is used to protect the wear of the cylinder so that
replacement of complete cylinder can be avoided.
Piston: It is a cylindrical component which is fitted perfectly inside the cylinder providing a gas-tight
space with the piston rings and the lubricant. The piston is connected to connecting rod by hardened
gudgeon pin. The main function of the piston is to transfer the power produced by combustion of the fuel
to the crankshaft.
Piston Rings: The outer periphery of the piston is provided with several grooves into which piston
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 6 INTERNAL COMBUSTION ENGINES
rings are fitted. The piston is fitted with these rings. The upper ring is known as compression ring and
the lower rings are known as oil rings. The function of the compression ring is to compress the air or
air-fuel mixture and the function of the oil rings is to collect the surplus lubricating oil on the liner
surface.
Water Jacket: Water jacket is an integral part of the cylinder through which cooling water is
circulated to prevent the overheating the engine.
Connecting Rod: It connects the piston and the crankshaft. One end, called the small end, is connected
to the gudgeon pin located in the piston and the other end, called big end, is connected to crank pin. The
function of the connecting rod is to transfer the reciprocating motion of the piston into rotary motion of
the crankshaft.
Crankshaft: It is principal rotating part of the engine which controls the sequence of reciprocating
motion of the pistons. It consists of several bearings and crank pins.
Valves: Normally, the two valves are used for each cylinder, which may be of mushroom shaped
poppet type. They are provided either on the cylinder head or on the side of the cylinder for regulating
the charge coming into the cylinder and for discharging the products of combustion from the cylinder.
The valve mechanism consists of cams, cam follower, push rod, rocker arms, and spring.
Inlet Manifold: This is the pipe which connects the intake system to the inlet valve of the engine and
through which air or air-fuel mixture is drawn into the cylinder.
Exhaust Manifold: This is the pipe which connects the exhaust system to the exhaust valve of the
engine and through which products of combustion escapes into the atmosphere.
Cams and Camshaft: Cam is mounted on a shaft which is known as the camshaft. The function of the
cam is to facilitate the control of the timing of opening and closing of the inlet and exhaust valve. It
provides to and fro motion to the valve rods to open and close the valves.
Spark Plug: In an S.I engine, a spark plug is located near the top of the cylinder and initiates the
combustion of the fuel.
Carburetor: Carburetor is a device which is used to control the fuel qualitatively in an S.I engine. It
atomizes the fuel, mixes with air and vaporizes it and finally sends the air-fuel mixture inside the
cylinder through the inlet valve.
Fuel Pump and Injector Unit: This unit is used in C.I. engines (nowadays injection system is also used
in S.I. engine as multi-point fuel injection, MPFI). Its function is to supply the fuel to injector under
pressure which consists of one or more orifices through which the fuel is sprayed into the cylinder.
Crankcase: It consists of a cylinder, piston, and crankshaft. It helps in lubrication of different parts of
the engine.
Flywheel: It is a heavy wheel mounted on the crankshaft to minimize the cyclic variations in speed. It
absorbs the energy during the power stroke and releases it during the non-power stroke. By employing a
flywheel, the turning moment becomes uniform at the crankshaft.

6.3.1 Nomenclature

There are various terms which are frequently used in an I.C. Engine are discussed below:
1. Cylinder Bore (d): The nominal inner diameter of a cylinder is called a cylinder bore which is
designated by an English letter ‘d’ and expressed in millimeter (mm).
2. Piston Area (A): The area of the inner diameter of a cylinder is known as piston area. It is measured in
terms of a square centimeter (cm2) or square millimeter (mm2).
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3. Stroke (L): The axial distance for which a piston moves inside a cylinder in one stroke is known as
stroke or stroke length (Figure 6.3) which is designated by an English letter ‘L’ and measured in terms
of a millimeter (mm).
4. Dead Centers: The positions of the piston, at the moments when the direction of the piston motion is
reversed are known as dead centers. There are two dead centers—Top dead center (TDC) and Bottom
dead center (BDC). The farthest position of the piston head from the crankshaft is known as TDC and
nearest position of the piston head from the crankshaft is known as BDC as shown in Figure 6.3.
5. Displacement/Stroke/Swept Volume (Vs): The nominal volume swept by the working piston when
traveling from one dead center to the other is called the displacement volume. It is expressed in terms of
a cubic centimeter (cc) and is given by

FIGURE 6.3
Stroke Length and Stroke Volume in an I.C. Engine
6. Clearance Volume (Vc): The nominal volume of the combustion chamber above the piston when it is at
the at the TDC is known as clearance volume (Vc) and is expressed in cc.
7. Compression Ratio (rv): It is the ratio of the total cylinder volume when the piston is at BDC to the
clearance volume.

6.4 WORKING PRINCIPLE OF I.C. ENGINES

The working principle of an I.C. engine consists of thermodynamic cycle involved to

generate the power and thermodynamic processes such as suction, compression, heat
addition expansion, and heat rejection. In this chapter, we will study the operating
principles of four strokes and two strokes of spark ignition engine and compression
ignition engine.

6.4.1 Four-stroke Spark Ignition Engine

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The working of all the four strokes of a spark ignition engine is shown in Figure 6.4. In
this engine, the cycle of operations is completed in 4-strokes of the piston or two
revolutions of the crankshaft. During the 4-strokes, there are five processes to be
completed, viz., suction, compression, combustion, expansion, and exhaust. Each stroke
consists of 180° rotation of the crankshaft and hence a 4-strokes cycle is completed in
two revolutions of the crankshaft. The pressure-volume diagram (P-V diagram) diagram
is shown in Figure 6.5.

FIGURE 6.4
All the Four Thermodynamic Processes in Four-stroke S.I. Engine
Suction Stroke (0-1): It starts when the piston is at TDC and about to move downward,
the inlet valve is open, and the exhaust valve is closed as shown in Figure 6.4 (a). Due to
suction created by the piston movement towards BDC, air-fuel mixture enters into the
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cylinder, and the suction ends when the piston reaches the BDC.
Compression Stroke (1-2): At the end of the suction stroke, the inlet valve is closed and
the piston moves towards TDC. In this stroke, both the valves, inlet and exhaust are
closed; compression of the air-fuel mixture filled in the cylinder starts from BDC and
ends at TDC as shown in Figure 6.4 (b). At the end of compression and at constant
volume (2-3), sparking starts at the spark plug and instantaneously burning takes place in
the compressed air-fuel mixture. Pressure and temperature are increased to the maximum
limit.

FIGURE 6.5
P-V Diagram for Otto Cycle
Power Stroke (3-4): The high pressure developed due to combustion of fuel forces the
piston towards BDC. The power is transferred to the crankshaft. Pressure and
temperature decrease during the stroke. In this stroke, both the valves are closed as
shown in Figure 6.4 (c).
Exhaust Stroke (4-1): At the end of expansion or power stroke, the exhaust valve opens
and the inlet valve remains closed as shown in Figure 6.4 (d). Piston moves towards TDC
and exhaust gas is forced to escape into the atmosphere through the exhaust valve.

6.4.2 Four-stroke Compression Ignition Engine

The four-stroke compression ignition (C.I. Engine) is very similar to the four-stroke spark
ignition engine as shown in Figure 6.6, but it operates at a much higher compression ratio.
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The compression ratio of S.I. Engine varies from 6 to 10 whereas in C.I. Engines it ranges
from 16 to 20. During the suction stroke, air is sucked alone inside the cylinder and then
compressed sufficiently to increase the temperature equal to the self-ignition temperature
of the fuel injected at the end of compression at constant pressure. In this engine, a fuel
pump and injector are used to inject the fuel at high pressure. The ignition system of the
C.I. Engine is completely different from S.I. engine as no spark plug and carburetor are
required.
The sequence of operations of the C.I. Engine can be explained as:
Suction Stroke: In this stroke, the piston moves from TDC to BDC and air is sucked alone as the
vacuum is created inside the cylinder by the piston movement. During suction inlet valve is open and
exhaust valve remains closed as shown in Figure 6.6 (a). On the ideal P-V diagram, the suction is
shown by a straight line from 0 to 1 in Figure 6.7.

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FIGURE 6.6
All the Thermodynamic Processes in Four-stroke C.I. Engine

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FIGURE 6.7
P-V Diagram for Diesel Cycle
Compression Stroke: Both the valves are closed during the stroke and air is compressed into the
clearance volume by the piston movement from BDC to TDC as shown in Figure 6.6 (b). In the P-V
diagram, it is shown by the process 1-2 in Figure 6.7. At the end of compression at constant pressure
fuel is injected as shown in Figure 6.6(c). Due to high pressure and temperature, fuel starts to ignite
automatically as temperature of the air is increased to the flash point of the fuel. The heat addition
process is shown by the line 2-3 on P-V diagram.
Expansion or Power Stroke: Fuel injection starts nearly at the end of the compression stroke. The rate
of injection is such that the combustion maintains the pressure constant in spite of the piston movement
on its expansion stroke increasing the volume. Heat is assumed to have been added at constant pressure.
After the injection of the fuel is completed (after cut-off) the combustion products expand. Both valves
remain closed during the expansion stroke as shown in Figure 6.6 (d). The expansion process is shown
by 3-4 on P-V diagram.
Exhaust Stroke: The exhaust valve is open and the inlet valve is closed during the stroke. The
movement of the piston from BDC to TDC pushes the product of combustion and disposed into the
atmosphere through the exhaust valve as shown in Figure 6.6 (e). The exhaust process is shown by the
line 4-5 on P-V diagram.

6.4.3 Two-stroke Spark Ignition Engine

In a four-stroke S.I. engine, there is one power stroke in two revolutions of the crankshaft
and two strokes, viz., suction and exhausts are nonproductive. If these two nonproductive
strokes could be served by an alternative arrangement, especially without movement of
the piston then there will be one power stroke for each revolution of the crankshaft. In
such an engine, the power output can be doubled, theoretically, for the same speed
compared to four-stroke engine. Based on this concept, D. Clark (1878) developed the
two-stroke engine.

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FIGURE 6.8
Working of Two-stroke S.I. Engine
In this engine, the filling process is accomplished by the charge compression in the
crankcase or by a blower. The induction of the compressed charge pushes the burnt fuel
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products through the exhaust port. Therefore, no piston movement is required for suction
and exhaust process. Two strokes are sufficient to complete the cycle, one for
compressing the fresh charge and other for expansion or power stroke. Figure 6.8 shows
the simplest form of crankcase-scavenged engine. The ideal and actual indicator diagram
is shown in Figure 6.9.

FIGURE 6.9
P-V Diagrams for Two-stroke S.I. Engine
The charge is inducted into the crankcase through the spring loaded inlet valve when the
pressure in the crankcase is reduced due to the upward movement of the piston during
the compression stroke. After the compression and ignition, expansion takes place in the
usual way. During expansion stroke, the charge in the crankcase is compressed. Near the
end of the expansion stroke, piston uncovers the exhaust port and cylinder pressure drops
to atmospheric pressure as combustion products leave the cylinder. Further movement of
piston uncovers the transfer port, permitting the slightly compressed charge in the
crankcase to enter the engine cylinder.
The top of the piston has usually a projection to deflect the fresh charge towards the top
of the cylinder before flowing to the exhaust port. This serves the double purpose—
scavenging the combustion product in the upper part of the cylinder and preventing the
fresh charge from flowing directly to the exhaust port. The same objective can be
achieved without piston deflector by proper shaping of the transfer port. During the
upward motion of the piston from BDC the transfer port is closed first and then the
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exhaust port is closed when compression of charge begins and the cycle is repeated in the
same way.

6.4.4 Two-stroke C.I. Engine

The working of two-stroke C.I. engine is very similar to two-stroke S.I. engine. The main
difference is that in C.I. engine supercharged air is used through the inlet port and in
place of exhaust port exhaust valves are used. Pressurized air is inducted through the
inlet port, which expels the combustion gases through the exhaust valve during the
expansion stroke. Inlet and exhaust valve is closed during the compression stroke, the
piston moves from BDC to TDC. At the end of compression, fuel is injected into the
cylinder and ignites and the piston is forced to move from TDC to BDC. The same
process is repeated again and again. The cut model of two-stroke C.I. engine is shown in
Figure 6.10 and the working strokes are shown in Figure 6.11.

FIGURE 6.10
Cut-section of Two-stroke C.I. Engine

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FIGURE 6.11
Working of Two-stroke C.I. Engine

6.4.5 Comparison Between Four-stroke and Two-stroke Engines

Table 6.1: Comparison between four-stroke and two-stroke engines

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6.4.6 Comparison Between S.I. and C.I. Engines

Table 6.2(a): Comparison between S.I. and C.I. engines

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6.4.7 Comparison Between Otto Cycle and Diesel Cycle

Table 6.2 (b): Comparison between Otto Cycle and Diesel Cycle

6.5 VALVE TIMING DIAGRAMS

6.5.1 Valve Timing Diagram for Four-stroke S.I. Engines

The valve timing diagram is a graphical representation of valve opening and closing time
with ignition time in terms of angle of crank revolution. Figure 6.12 shows the valve
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timing diagram for low speed four-stroke S.I. engines. Practically, the valve cannot be
opened or closed at any sharp points. Therefore, the actual indicator diagram differs from
the theoretical indicator diagram as shown in Figure 6.15.

FIGURE 6.12
Valve Timing Diagram for Four-stroke Engines

Table 6.3: Theoretical and actual valve timing for four-stroke S.I. engines

6.5.2 Port Timing Diagram for Two-stroke S.I. Engines

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Table 6.4: Port timing for two-stroke S.I. engines

FIGURE 6.13
Port Timing Diagram for Two-stroke S.I. Engines.

6.5.3 Valve Timing Diagram for Four-stroke C.I. Engines

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FIGURE 6.14
Valve Timing Diagram for Four-stroke C.I. Engines

Table 6.5: Valve timing for four-stroke C.I. engines

6.6 OTTO CYCLE

In Figure 6.14, Ideal P-V, actual P-V, and T-S diagrams are shown. There are some basic
differences in ideal and actual indicator diagrams as valves do not open or close at sharp
points practically. Valve start to open just before the point and closes just after the points
as shown in Figure 6.14 (b). The process 0-1 shows the suction of the charge which is
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compressed for 1-2. After compression heat is added at constant volume for 2-3. 3-4 is an
isentropic expansion process at the end of expansion exhaust valve opens and heat is
rejected for 4-1.

FIGURE 6.15
Indicator Diagrams for Otto Cycle

Thermal efficiency of Otto Cycle,

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EXAMPLE 6.1

In an air-standard Otto cycle, the pressure and temperature at the start of the
compression stroke are 0.1 MPa and 300 K, respectively. The temperature at the end of
the compression and at the end of the heat addition processes are 600 and 1,600 K,
respectively. Calculate: (i) thermal efficiency, (ii) heat added, (iii) net work per kg of air,
and (iv) mean effective pressure.
SOLUTION
Given P1 = 0.1 MPa, T1 = 300 K, T3 = 1600 K, γair = 1.4, R = 0.287 kJ/rgK.

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EXAMPLE 6.2

An engine operation on an air-standard Otto cycle has a compression ratio equal to 7.

The conditions at the start of compression are 0.1 MPa and 300 K. The pressure at the
end of heat addition is 4 MPa. Determine: (i) thermal efficiency, (ii) net work done per kg
of air where Cv = 0.718 kJ/kg, γ air = 1.4, and (iii) mean effective pressure.

SOLUTION
Given, P1 = 0.1 MPa, T1 = 300 K, P3 = 4 MPa, γair = 7

EXAMPLE 6.3

Derive the expression for compression ratio, in Otto cycle, for maximum work done in
terms of maximum and minimum temperatures.
SOLUTION
Refer Figure 6.10c, Maximum and minimum temperatures in the cycle are T3 and T1,
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respectively.

6.7 DIESEL CYCLE

In a Diesel cycle, heat is added at constant pressure and rejected at constant volume as
shown in Figure 6.16. During heat addition, to maintain the constant pressure piston starts
to move towards BDC. A point 3, injection is stopped which is known as the cut-off
point.

FIGURE 6.16
Indicator Diagrams for Diesel Cycle

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Putting the value of T2, T3, and T4 in the equation of Efficiency, we get

EXAMPLE 6.4

In an air standard diesel cycle, the compression ratio is 18. The pressure and temperature
at the beginning of compression are 0.1 MPa and 300 K, respectively. Heat is added at
constant pressure until the temperature is increased to 1700 K. Calculate: (i) cutoff ratio,
(ii) heat supplied per kg of air, (iii) cycle efficiency, and (iv) mean effective pressure Cp
= 1.005 kJ/kg, γair = 1.4.

SOLUTION

Given, rk = P1 = 0.1 MPa, T1 = 300K, T3 = 1700K.

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Heat addition at constant pressure,

EXAMPLE 6.5

An ideal diesel cycle operates on 1 kg of standard air with an initial pressure of 0.98 bar
and a temperature of 35°C. The pressure at the end of compression is 33 bar and the cut-
off is 6% of the stroke. Determine: (i) compression ratio, (ii) percentage clearance, and
(iii) heat supplied.
SOLUTION
Given, P1 = 0.98 bar, T1 = 273+33 = 308K, P2 = 33 bar.

Cut-off volume = 0.06 × stroke volume

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6.8 DUAL CYCLE

For same compression ratio, Otto cycle is more efficient but delivers less power than the
diesel cycle. Therefore, in duel cycle partly heat is added at constant volume and partly
at constant pressure as shown in Figure 6.17.

FIGURE 6.17
P-V and T-S Diagrams for Dual Cycle
Qin = mCv(T3 − T2) + mCp(T4 − T3); Qout = mCv(T5 − T1)

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EXAMPLE 6.6

An air standard dual cycle has a compression ratio of 18 and compression starts at 0.1
MPa and 300 K. The maximum pressure is 8 MPa. The heat transferred to air at constant
pressure is equal to that at constant volume. Determine: (i) temperatures and pressures at
the end points of all the processes, (ii) cycle efficiency, and (iii) mean effective pressure.
Cp = 1.005 kJ/kg, Cv = 0.718 kJ/kgK, γair = 1.4.

SOLUTION

Given: rk = = 18, P1 = 0.1 MPa, T1 = 300k, P3 = P4 = 8MPa, Q1 = Q2 where Q1 is

heat added at constant volume Q2 is heat added at constant pressure

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Hence,

6.9 ENGINE PERFORMANCE PARAMETERS

There are several parameters to indicate the performance of an I.C. engine, for example,
indicated thermal efficiency (ηth), brake thermal efficiency (ηbth), mechanical efficiency
(ηmech), volumetric efficiency (ηv), relative efficiency of efficiency ratio (ηrel), mean
effective pressure (Pm), mean piston speed (Sp), specific power output (Ps), specific fuel
consumption (SFC), and air-fuel ratio (A/F).

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Indicated Thermal Efficiency: It is the ratio of energy in the indicated diagram (Ip) to
the input fuel energy.

Brake Thermal Efficiency: It is the ratio of energy in brake power (BP) to the input fuel
energy. Brake power is obtained by subtraction of friction losses from indicated power.

Mechanical Efficiency: It is the ratio of the brake power to the indicated power.

where f p is a friction power.

Volumetric Efficiency: It is the ratio of the volume of air inducted at ambient conditions
to the swept volume of the engine.

Relative Efficiency or Efficiency Ratio: It is the ratio of the thermal efficiency of the
actual cycle and the ideal cycle.

Mean Effective Pressure: It is the average pressure inside the cylinder of an I.C. engine
on the measured power output. For any particular engine operating at given speed and
power output, there will be a specific indicated mean effective pressure and
corresponding brake mean effective pressure. They can be expressed as:

Where Pim = indicated mean effective pressure (N/m2)

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pbm = brake mean effective pressure (N/m2)

l = stroke length (m)

A = Cross-sectional area of piston (m2)

N = speed in revolution per minute
N = number of power strikes (N/2 for four-stroke engine and N for two-stroke engine)
k = Number of cylinders
Mean Piston Speed: It is defined as—Sp = 2lN, where l is stroke length in m and N is the
rotational speed of the crankshaft in rpm.
Specific Power Output: It is defined as the power output per unit piston area.

where bp is brake power in kJ and A is piston area in m2.

Specific Fuel Consumption: It is inversely proportional to thermal efficiency. It is the

ratio of fuel consumption per unit time and the power.
Air-fuel Ratio: This is the ratio of the mass of air and fuel.

EXAMPLE 6.7

The following data were noted for a 4-cylinder, 4-stroke engine:

Diameter = 101 mm, stroke = 114 mm, speed = 1600 rpm, fuel consumption = 0.204
kg/min, heating value of fuel = 41,800 kJ/kg. Difference in either side of the brake pulley
= 378 N, Brake circumference = 3.35 m. Assume mechanical efficiency = 83%.
Calculate: (i) brake thermal efficiency, (ii) indicated thermal efficiency, (iii) mean
effective pressure of cylinder, and (iv) fuel consumption per brake power.
SOLUTION

Brake power where N is speed in rotation per minute,

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T is braking torque, R is radius, W is braking load.

Brake thermal efficiency where wf is fuel consumption in kg/min. and

H.V is heating value of fuel

Indicated thermal efficiency

Indicated power where Pi is indicated mean effective pressure, l is

stroke length, A is internal cross-sectional area of cylinder.

Brake specific fuel consumption

6.10 EMISSION CONTROL

Emission is the waste gas or flue gas produced by the vehicles or the industry. It produces
environmental pollution and results in harmful effect for the human body. Nowadays,
pollution is a major issue with the industrial growth. The Government makes an effort to
increase awareness among the people about the clean environment and emission control.

6.10.1 Types of Emissions

The major constituents of the air pollutants in the emission are discussed here under.
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Hydrocarbons: Vehicle produces unburned or partially burned hydrocarbons.
Hydrocarbons are toxins that may cause asthma, liver disease, lung disease, and cancer.
Regulations governing hydrocarbons vary according to the type of vehicles/engines and
jurisdiction; in some cases, non-methane hydrocarbons are regulated while in other cases
total hydrocarbons are regulated. Methane is not directly toxic but is more difficult to
break down in catalytic converters and also it is a greenhouse gas. Thus, elimination of
methane from emission is very important.
Carbon Monoxide: It is produced due to incomplete combustion of a fuel. Carbon
monoxide reduces the blood’s ability to carry oxygen and its overexposure may result in
a fatality. It is a killer in high concentrations.
Nitrogen Oxide (NOx): Nitrogen oxide is produced inside the engine cylinder at
hightemperature and pressure by reacting with oxygen. It may result in smog and acid
rain. NOx is the sum of NO and NO2, NO2 is highly reactive.

Particulate Matter: It is a soot or smoke particle of micro sizes. It causes respiratory

disease, cancer, and other health problems.
Volatile Organic Compounds: They are organic compounds having a boiling point less
than 250°C. Some of the volatile organic compounds as the constituents of emission are
chloro-fluorocarbons (CFCs) and formaldehyde. They are dangerous to health.
Sulfur Oxide (SOx): It is emitted from motor vehicles burning fuel containing sulfur.
Therefore, the reduced amount of sulfur for petroleum products is very important

6.10.2 Emission Control Techniques

Positive Crankcase Ventilation (PCV) Valve

The purpose of the positive crankcase ventilation (PCV) system is to take the vapors
produced in the crankcase during the normal combustion process, and redirecting them
into the air/fuel intake system to be burned during combustion. These vapors dilute the
air/fuel mixture so they have to be carefully controlled and metered in order to not affect
the performance of the engine. This is the job of the positive crankcase ventilation (PCV)
valve.
At idle, when the air/fuel mixture is very critical, just little vapors are allowed into the
intake system. At high speed when the mixture is less critical and the pressures in the
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engine are greater, more of the vapors are allowed into the intake system. When the
valve or the system is clogged, vapors will back up into the air filter housing or at worst;
the excess pressure will push past seals and create engine oil leaks. If the wrong valve is
used or the system has air leaks, the engine will idle rough, or at worst, engine oil will be
sucked out of the engine.

Exhaust Gas Recirculation Valve (EGR) Valve

The purpose of the exhaust gas recirculation valve (EGR) valve is to meter a small
amount of exhaust gas into the intake system; this dilutes the air/fuel mixture so as to
lower the combustion chamber temperature. Excessive combustion chamber temperature
creates oxides of nitrogen, which is a major pollutant. While the EGR valve is the most
effective method for controlling oxides of nitrogen, in its varying design it adversely
affects engine performance. The engine was not designed to run on exhaust gas. For this
reason, the amount of exhaust entering the intake system has to be carefully monitored
and controlled. This is accomplished through a series of electrical and vacuum switches
and the vehicle computer. Since EGR action reduces performance by diluting the air/fuel
mixture, the system does not allow EGR action when the engine is cold or when the
engine needs full power.

Catalytic Converter

One of the ways to control the automotive emission is to provide an additional area for
oxidation or combustion to occur. This additional area is called a catalytic converter. The
catalytic converter looks like a muffler. It is located in the exhaust system ahead of the
muffler. A honeycomb made of platinum or palladium is arranged inside the converter.
The platinum or palladiums are used as a catalyst (a catalyst is a substance used to speed
up a chemical process). As hydrocarbons or carbon monoxide in the exhaust passes over
the catalyst, it is chemically oxidized or converted to carbon dioxide and water. The
leaded fuel puts a coating on the platinum or palladium and renders the converter
ineffective. This is the reason that the use of unleaded petrol is suggested.

Air Injection

Since no internal combustion engine provides the complete combustion, there is always
some unburned fuel in the exhaust. This increases hydrocarbon emissions. To eliminate
this source of emissions an air injection system has been created. Combustion requires
fuel, oxygen, and heat. Without any one of the three, combustion cannot occur. Inside
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the exhaust manifold, there is sufficient heat to support combustion if some oxygen is
induced than any unburned fuel will ignite. This combustion will not produce any power,
but it will reduce excessive hydrocarbon emissions. Unlike in the combustion chamber,
this combustion is uncontrolled, so if the fuel content of the exhaust is excessive,
explosions that sound like popping will occur.

6.11 SOME RECENT DEVELOPMENTS IN AUTOMOTIVE TECHNOLOGY

In the recent years, some great development in the automotive technology has been
observed. The research and development in the automotive area has been the area of
interest of the researchers as well as practitioners. Some of the most fundamental
principles of the I.C. Engines have been changed. For example, the use of carburetor in
petrol engine has been replaced by the multi-point fuel injection system (MPFI) and
simple injection system in the diesel engine has been replaced by the common rail direct
injection system (CRDI). In this section, MPFI and CRDI have been introduced.

6.11.1 Multi-point Fuel Injection

Before the invention of the MPFI engine, the carburetor was used to mix the petrol and
air in the proper ratio. The mixed air fuel is sent to the combustion chamber for the
combustion and a mechanical power is produced from the heat energy of the fuel. The
main problem with the carburetor is that the mixing of fuel and air is not in the proper
ratio, which results in incomplete combustion and more pollution. To minimize the
emission in the carburetor engine, MPFI engine is developed.
In a petrol engine, the power is produced by burning the petrol inside the cylinder. At
first, the petrol is allowed to mix with air. It is then ignited in a cylinder called as the
combustion chamber. The MPFI is an advanced version of carburetor engine. The MPFI
engine consists of a fuel injector for each cylinder. A small computer/microcontroller is
used to control each and every fuel injector individually. This microcontroller monitors
each fuel injectors and controls the amount of fuel to be injected into the cylinder so that
the fuel wastage can be minimized. Since there is a controlled fuel usage, the engine is
known for its fuel efficient engine.
The working of MPFI engine is shown in Figure 6.18 in four stages. The amount of fuel to
be injected into the combustion chamber is decided by analyzing the inputs given to the
computerized system of the MPFI engine. In modern MPFI engines, a memory unit is
additionally installed. This makes the MPFI engine capable of storing the user settings so
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that it can operate easily. The driving habits of a driver can also be detected by this
system so that the MPFI system itself can change the predefined settings, which suits the
user.

FIGURE 6.18
Multi-point Fuel Injection Engine
Even though the working of MPFI engine is very much similar to the carburetor engine,
each cylinder is treated individually. An input is fed to the computerized system in order
to calculate the amount of air and fuel to be mixed and send to the combustion chamber.
Several stages of calculations are to be made in order to decide the right amount of fuel
to be mixed. After this calculation, the proper fuel is delivered at the proper instance.
Many sensors are used in the MPFI engine. At the time when the inputs are given to the
car’s computer, it begins to read the sensors. The information which can be received from
the sensors are given below:
The engine temperature of the vehicle.
The speed at which the engine is running.
The engine load.
The position of the accelerator.
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The cylinder’s air-fuel pressure.
The rate of exhaust.

FIGURE 6.19
CRDI Line Diagram

6.11.2 Common Rail Direct Injection (CRDI)

CRDI is an advanced fuel injection technology, which is most commonly referred to

diesel engines. This is very similar to the technology used in petrol engines and the same
is differentiated by classifying it as gasoline direct injection (GDI) or fuel stratified
injection (FSI). Although both these technologies have a similarity in design as they
consist of a common “fuel-rail” to supply fuel to the injectors, they considerably differ
from each other in pressures and the type of fuel used.
In the CRDI system, commencement of combustion takes place directly into the main
combustion chamber located in a cavity on the top of the piston crown. Today, CRDI
technology is being widely used to overcome some of the deficiencies of conventional
diesel engines, which were sluggish, noisy, and poor in performance when implemented
especially in passenger vehicles. The line diagram of CRDI technique is shown in Figure
6.19.

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The CRDI technology works in with the engine control unit (ECU), which instruction
from various sensors to find the exact quantity of fuel and timing of injection. The
conventional injectors are replaced with solenoid operated injectors. The injectors are
opened with an ECU signal depending upon the variables such as engine speed, load,
engine temperature, etc.
In a Common Rail system, a common fuel-rail or a fuel distribution pipe is used to
maintain optimum residual fuel pressure and acts as a shared fuel reservoir for all the
injectors. The fuel is constantly supplied at the required pressure for injection.
The pressure generation takes place in the high-pressure pump. The pump compresses the
fuel at the pressures at about 1,500 bar and above. It then supplies the fuel via a
highpressure pipe to the inlet of the rail. From there, the fuel is distributed to the
individual injectors, which inject it into the cylinder’s combustion chamber.
Most modern diesel engines use this system with Unit-Injector system combined with a
Turbocharger to achieve increased power output and meet stringent emission norms. This
helps to improve engine power, throttle response, fuel efficiency, and control emissions.

6.11.3 Hybrid Engine

In a traditional hybrid vehicle, we have a complete electric or the gasoline/diesel cars. In

an electric car, the electric motor provides all of the power to the wheel and the batteries
supply electricity to the motor. In a gasoline engine powering a generator, the engine of
the very small power of 10 to 20 horsepower is designed to run at just one speed to
provide maximum efficiency. The purpose of this small efficient engine is to provide
enough power for the car at its cruising speed. During times of acceleration, the batteries
provide the extra power necessary. When the car is decelerating or standing still the
batteries recharge. This sort of hybrid car is essentially an electric car with a built-in
recharger for longer range. The advantage is that the small, efficient gasoline engine gets
great mileage.
The only problem with a traditional hybrid car is the weight. The car has to carry the
weight of the electric motor, the generator, the gasoline engine, and the batteries.
Most hybrids use the following advanced technologies:
Regenerative Braking System: Regenerative braking recaptures energy normally lost during braking. It
uses the forward motion of the wheels to turn the motor in reverse. This generates electricity and helps

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to slow down the vehicle.
Electric Motor Drive/Assist: The electric motor provides power to assist the engine in accelerating,
passing, or hill climbing. This allows a smaller, more-efficient engine to be used. In some hybrids, the
electric motor alone propels the vehicle at low speeds, where gasoline engines are least efficient.
Automatic Start/Stop: Automatically shuts off the engine when the vehicle comes to a stop and restarts
it when the accelerator is pressed. This reduces wasted energy from idling.

RECAP ZONE

Points to Remember

The heat engine, in which the combustion takes place inside the cylinder or the product of combustion
(flue gas) directly goes to the cylinder and the heat energy of the flue gas is converted into mechanical
energy, is known as “Internal Combustion Engine (I.C. Engine)”.
In four strokes of a spark ignition engine, the cycle of operations is completed in 4-strokes of the piston
or two revolutions of the crankshaft.
The compression ratio of S.I. Engine varies from 6 to 10 whereas in C.I. Engines it ranges from 16 to
20.
In a four-stroke S.I. engine, there is one power stroke in two revolutions of the crankshaft and two
strokes, viz., suction and exhausts are non-productive.
In two strokes of a spark ignition engine, the cycle of operations is completed in 2-strokes of the piston
or one revolution of the crankshaft.
S.I. Engine is based on Otto cycle or constant volume heat addition and rejection cycle.
C.I. Engine is based on a diesel cycle or constant pressure heat addition and constant volume heat
rejection cycle.
In Otto cycle , heat added and rejected at constant volume.
In Diesel cycle , heat is added at constant pressure and heat rejected at constant volume.
Valve timing diagram is a graphical representation of valves opening and closing time with ignition
time in terms of angle of crank revolution.
For same compression ratio, Otto cycle is more efficient, but delivers less power than the diesel cycle.
Therefore, in duel cycle partly heat is added at constant volume and partly at constant pressure.
Indicated thermal efficiency is the ratio of energy in the indicated diagram (Ip) to the input fuel energy.
Brake thermal efficiency is the ratio of energy in brake power (Bp) to the input fuel energy. Brake
power is obtained by subtraction of friction losses from indicated power.
Mechanical efficiency is the ratio of the brake power to the indicated power.
Volumetric efficiency is the ratio of the volume of air inducted at ambient conditions to the swept
volume of the engine.
Relative efficiency or efficiency ratio is the ratio of the thermal efficiency of the actual cycle and the
ideal cycle.
Mean effective pressure is the average pressure inside the cylinder of an I.C. engine on the measured
power output.

Important Formulae

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1. Thermal efficiency of Otto cycle:

2. Thermal efficiency of diesel cycle:

3. Thermal efficiency of dual cycle:

4. Indicated thermal efficiency of an I.C. engine:

5. Brake thermal efficiency of an I.C. engine:

6. Mechanical efficiency: where fp is a friction power.

7. Volumetric efficiency:

8. Relative efficiency or efficiency ratio:

9. Mean effective pressure:

REVIEW ZONE

Multiple-choice Questions

1. In I.C. engines, power developed inside the cylinder is known as:

1. Brake horse power
2. Indicated horse power
3. Pumping power
4. None of the above
2. The power spent in suction and exhaust strokes are known as:
1. Brake horse power
2. Indicated horse power
3. Pumping power
4. None of the above
3. The difference of total power produced and pumping power is known as:
1. Brake horse power
2. Indicated horse power
3. Net indicated horse power
4. None of the above
4. The power available at the shaft of an I.C. engine is known as:
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1. Brake horse power
2. Indicated horse power
3. Net indicated horse power
4. None of the above
5. In a four-stroke engine, number of revolutions of the crankshaft for completion of working cycle is:
1. One
2. Two
3. Three
4. Four
6. In a two-stroke engine, number of revolutions of the crankshaft for completion of working cycle is:
1. One
2. Two
3. Three
4. Four
7. Theoretically, four-stroke engine should develop power as compared to two-stroke engine is:
1. Half
2. Same
3. Double
4. Four times
8. At the same speed, the number of power strokes given by a two-stroke engine as compared to a four-
stroke engine is:
1. Half
2. Same
3. Double
4. Four times
9. Thermal efficiency of two-stroke engine in comparison to four-stroke engine is:
1. More
2. Same
3. Less
4. None of the above
10. Mechanical efficiency of two-stroke engine in comparison to four-stroke engine is:
1. More
2. Same
3. Less
4. None of the above
11. In a petrol engine, charge is ignited with:
1. Spark plug
2. Compression
3. Both
4. None of the above
12. In four-stroke petrol engine:
1. Intake valve closes after top dead center
2. Intake valve closed after bottom dead center
3. Exhaust valve closes after top dead center
4. Exhaust valve closes after bottom dead center
13. Compression ratio in petrol engine ranges from:
1. 6 to 10
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2. 10 to 15
3. 15 to 25
4. 25 to 40
14. Compression ratio in diesel engine ranges from:
1. 6 to 10
2. 10 to 15
3. 14 to 22
4. 25 to 40
15. If compression ratio in petrol engines kept higher than that is in diesel engines, then:
1. Pre-ignition of fuel will occur
2. Ignition of fuel will be delayed
3. Detonation will occur
4. None of the above
16. In C.I. Engines, the combustion is:
1. Homogeneous
2. Heterogeneous
3. Both
4. None of the above
17. Which of the following is not related to C.I. engine:
1. Fuel pump
2. Fuel injector:
3. Carburetor
4. Flywheel
18. Indicator on an engine is used to determine:
1. B.H.P
2. Speed
3. Temperature
4. I.H.P and M.E.P
19. Morse test is conducted on:
1. Vertical engines
2. Horizontal engines
3. Single cylinder engines
4. Multi cylinder engines
20. The m.e.p. of a diesel engine with fixed compression ration can be improved by:
1. Increasing cut-off ratio
2. Increasing back pressure
3. Increasing operating pressure
4. Reducing charge density

Fill in the Blanks

1. 21. An engine is said to be square if cylinder bores equal to _____.

2. 22. The period during both inlet and exhaust valve remain open is known as _____.
3. 23. A two-stroke engine employs ______ cut in the wall of cylinder instead of ______.
4. 24. In four-stroke petrol engine, size of intake valve is ______ than that of exhaust valve.
5. 25. Carburetion is the process of ____ and ____.
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Answers

1. b
2. c
3. c
4. a
5. b
6. a
7. a
8. c
9. c
10. a
11. a
12. b
13. a
14. c
15. a
16. b
17. c
18. d
19. d
20. a
21. stroke length
22. Valve overlap
23. ports, valves
24. Smaller
25. Mixing, vaporization of fuel

Theory Questions

1. Define internal combustion engine and explain how it is different from external combustion engines?
2. What are the different bases for classification of an internal combustion engine? Explain with a neat
sketch of various types of the engines.
3. Differentiate S.I. engine and C.I. engine.
4. Explain the fundamental differences between Otto cycle and Diesel cycle mentioning the advantages
over each other.
5. What are the fundamental differences between two-stroke and four-stroke engines?
6. Explain the structure and working of four-stroke petrol engine with a neat sketch.
7. *Explain the structure and working of four-stroke diesel engine with a neat sketch.
8. What is scavenging? Explain the structure and working of two-stroke petrol engine.
9. What is supercharging? Explain the structure and working of two-stroke diesel engine.
10. Explain the valve timing diagram of four-stroke petrol and diesel engines.
11. Derive an expression for the efficiency of Otto cycle.
12. Explain the working of the dual cycle with the help of P–V and T–S diagrams. Derive an expression for
air standard efficiency of the dual cycle in terms of compression ratio, pressure ratio, cut-off ratio, and
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adiabatic index.
13. Write down working of two-stroke petrol engine with neat sketch.
14. *Draw the diesel cycle on P–V and T–S coordinates and explain its functioning.
15. *How are I.C. engines classified? Draw P–V diagrams of Otto and diesel engine cycles.
16. *Differentiate between C.I and S.I. engine.
17. *Explain with the neat sketch, working of the two-stroke petrol engine.
18. *Derive an equation for air standard efficiency of Otto cycle.
19. *Derive the equation for air standard efficiency of Diesel cycle.
20. *Differentiate between Petrol engine and diesel engine.
21. *Explain the working of four-stroke petrol engine with neat sketch.
22. *Explain the working of four-stroke petrol engine with neat sketch and P–V diagram.
23. *With the neat sketch, explain the principle of MPFI?
24. *With the neat sketch, explain the principle of CRDI?
25. *Give advantages of two-stroke engine over fourstroke engine.
26. *Draw a schematic diagram of I.C. engines and name the parts.
27. *Define—Thermal efficiency and mechanical efficiency of I.C. engine.

Numerical Problems

1. In an air standard Otto cycle, the pressure and temperature at the start of compression stroke are 1 bar
and 30°C, respectively. The temperature at the end of compression is 270°C and heat addition at
constant volume is 2,000 kJ. Calculate: (i) thermal efficiency, (ii) net work per kg of air, (iii) maximum
temperature in the cycle, and (iv) mean effective pressure.
2. In an Otto cycle, air at 1 bar and 300K is compressed isentropically until the pressure rises to 16 bar.
The heat is added at constant volume until the pressure rises to 30 bar. Calculate the air standard
efficiency and mean effective pressure of the cycle. Take Cv = 0.717 kJ/kgK; R = 8.314 kJ/kg mole.
3. In an air standard diesel cycle, the temperatures at the start and at the end of compression stroke are 298
K and 800 k, respectively. The energy added at constant pressure is 800 kJ/kg of air. Determine: (i)
compression ratio, (ii) cutoff ratio, (iii) maximum cycle temperature, and (iv) thermal efficiency.
Assume Cp = 1.005 kJ/kg.
4. A diesel engine has a compression ratio of 16 and cut-off take place at 7% of the stroke. Find the air
standard efficiency.
5. In an ideal duel cycle, the compression ratio is 12 and maximum pressure is limited to 80 bar. If the heat
supplied is 2,000 kJ/kg, find the temperature and pressure at all cordinal points and the cycle
efficiency. The pressure and temperature of air at the commencement of compression are 1 bar and
90°C, respectively. Assume Cp = 1.005 kJ/kgK and Cv = 0.717 kJ/kgK of air.
6. A dual cycle operates with a compression ratio rk = 10 and cut-off ratio 1.6. The maximum pressure is
given by Pmax = 60P1, where P1 is the pressure before compression. Assume indices of compression
and expansion as 1.4, find the mean effective pressure in the terms of P1.
7. The following readings were taken during the test of four-stroke single cylinder petrol engine:

Load on brake drum = 50 kg;

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Diameter of brake drum = 1,250 mm
Spring balance reading = 7 kg;
Engine speed = 450 rpm
Fuel consumption = 4 kg/hr;
Calorific value of fuel = 43,000 kJ/kg
Calculate: (i) indicated thermal efficiency, and (ii) brake thermal efficiency. Assume
mechanical efficiency as 70%.
8. The following results refer to a test on C.I. Engine:

Indicated power = 37 kW;

Frictional power = 6 kW;
Brake specific fuel consumption = 0.28 kg/KWh;
Calorific value of fuel = 44,300 kJ/kg
Calculate: (i) mechanical efficiency, (ii) brake thermal efficiency, and (iii) indicated
thermal efficiency.
9. During testing of single cylinder two-stroke petrol engine, following data were obtained—brake torque
= 640 Nm; cylinder diameter = 21 cm, speed = 250 rpm; stroke = 28 cm; m.e.p. = 5.6 bar; oil
consumption = 8.16 kg/hr; C.V. = 42,705 kJ/kg. Determine: (i) mechanical efficiency, (ii) indicated
thermal efficiency, and (iii) Brake specific fuel consumption.
10. Following readings were taken during test of single cylinder four-stroke engine:

Cylinder diameter = 250 mm; stroke length = 400 mm; m.e.p. = 6.5 bar; Engine
speed = 250 rpm; net load on brake = 1,080 N; effective diameter of brake = 1.5 m;
fuel used per hour = 10 kg; calorific value of fuel = 44,300 kJ/kg.
Calculate: (i) indicated horse power, (ii) brake horse power, (iii) mechanical
efficiency, and (iv) indicated thermal efficiency.
11. In an ideal diesel cycle, the temperatures at the beginning and at the end of compression are 57°C and
603°C, respectively. The temperatures at the beginning and at the end of expansion are 1959°C and
870°C, respectively. Determine the ideal efficiency of the cycle if the pressure at the beginning is 1 bar.
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Calculate maximum pressure in the cycle.
12. In an air standard Otto cycle, the compression ratio is 10 and begins at 37.8°C, 1 bar and maximum
temperature of the cycle is 1060°C. Determine: (i) heat supplied per kg of air, (ii) work done per kg of
air, (iii) maximum pressure of the cycle, and (iv) the thermal efficiency.
13. In an air standard diesel cycle, the compression ratio is 15 and pressure and temperature of the air at the
beginning of the compression are 1 bar and 288 K. The peak temperature in the cycle is 2,700 K.
Calculate: (i) heat supplied, (ii) work done, (iii) cycle efficiency, (iv) peak pressure of the cycle, (v)
cut-off ratio, and (vi) m.e.p.
14. A gas engine working on four-stroke cycle has a cylinder of 250 mm diameter, length of stroke 450 mm
and is running at 180 rpm. Its mechanical efficiency is 80%; mean effective pressure is 0.65 MPa, Find:
(i) indicated power, (ii) brake power, and (iii) friction power.
15. A four-stroke single cylinder petrol engine has a bore of 150 mm and stroke of 250 mm. At 500 rpm and
full load, the net load on friction brake is 435 N and torque arm is 0.45 m. The indicator diagram gives
a net area of 580 mm2 and a length of 70 mm with a spring rating of 0.85 bar/mm2. Determine: (i)
indicated power, (ii) brake power, and (iii) mechanical efficiency.
16. Following observations were made during a trail on four-stroke diesel engine. Cylinder diameter = 250
mm, stroke = 400 mm, speed = 250 rpm brake load = 70 kg, brake drum diameter = 2m. m.e.p. = 6 bar,
diesel oil consumption = 0.1 m3/min., specific gravity of fuel = 0.78, C.V. = 43,900 kJ/kg. Determine:
(i) IP, (ii) BP, (iii) FP, (iv) Mechanical efficiency, (v) brake thermal efficiency, and (vi) indicated
thermal efficiency.
17. Following data were collected from a four-stroke single cylinder I.C. engine at full load. Bore = 200
mm, stroke = 280 mm, speed = 300 rpm, m.e.p. = 5.6 bar, torque = 250 Nm. Oil consumption = 4.2 kg/h,
C.V. =41,000 kJ/kg. Determine: (i) mechanical efficiency, (ii) indicated thermal efficiency, and (iii)
brake thermal efficiency.
18. *During testing of single cylinder two-stroke petrol engine following data were obtained. Brake torque
= 640 Nm, cylinder diameter 21 cm, speed 350 rpm, stroke length = 28 cm, mean effective pressure =
5.6 bar, oil consumption = 8.16 kg/h, calorific value of the fuel = 42,705 kJ/kg. Determine: (i)
mechanical efficiency, (ii) Indicated thermal efficiency, (iii) Brake thermal efficiency, and (iv) brake
specific fuel consumption.
19. *In an engine working on Otto cycle, air has a pressure of 1.0 bar and temperature 30°C at the entry. Air
is compressed with a compression ratio of 6. The heat is added at constant volume until the temperature
rises to 1,500°C. Determine: (i) air standard efficiency, (ii) pressure and temperature at the end of
compression, and (iii) heat supplied. Take Cv = 0.718 kJ/kg K, R = 0.287 kJ/kg K.
20. *In an Otto cycle, the compression ratio is 10. The temperature at the beginning of compression and at
the end of heat supply is 300 and 1600 K, respectively. Assume, γ = 1.4 and Cv = 0.717 KJ/kgK. Find:
(i) Heat supplied, and (ii) Efficiency of the cycle.
21. *The following data refers to a single cylinder 4 strokes petrol engine. Cylinder diameter = 30 cm,
piston stroke = 40 cm, engine speed= 1,400 rpm, indicated mean effective pressure = 5 bar, fuel
consumption= 17.568 kg/h, calorific value of the fuel is 45,000 kJ/kg; specific gravity of the fuel is 0.8.
Determine the indicated thermal efficiency.
22. *In ideal constant volume cycle, the pressure and temperature at the beginning of compression are 97
kPa and 50°C, respectively. The volume ratio is 8. The heat is supplied during the cycle is 930 kJ/kg of
working fluid. Calculate: (i) the maximum temperature attained in the cycle, (ii) the thermal efficiency
of the cycle, and (iii) work done during the cycle/kg of working fluid.
23. *A four cylinder two-stroke petrol engine with stroke to bore ratio 1.2 develops 35 kW brake power at
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2,200 rpm. The mean effective pressure in each cylinder is 9 bar and mechanical efficiency is 78%.
Determine: (i) Diameter and stroke of each cylinder, (ii) brake thermal efficiency, and (iii) indicated
thermal efficiency. If fuel consumption 8 kg/h having C.V. = 43,000 kJ/kg.
24. *An engine operates on the air standard diesel cycle. The conditions at the start of the compression
stroke are 353 K and 100 kPa, while at the end of compression stroke the pressure is 4 MPa. The energy
absorbed is 700 kJ/kg of air. Calculate: (i) the compression ratio, (ii) the cut-off ratio, (iii) the work
done per kg air, and (iv) the thermal efficiency.
25. *An air at 15°C and 1 bar is compressed adiabatically to 15 bar by an engine working on Otto cycle.
The maximum pressure of the cycle is 40 bar. Calculate air standard efficiency, mean effective
pressure. Take Cv = 0.718 kJ/kg K and R = 0.287 kJ/kg K.
26. *A four-stroke diesel engine has a piston diameter 250 mm and stroke 400 mm. The mean effective
pressure is 4 bar and speed is 500 rpm the diameter of the brake drum is 1,000 mm and the effective
brake load is 4,000 N. Find IP, BP, FP.
27. *A gas engine working on 4-stroke cycle has a cylinder diameter 300 mm and stroke length of 500 mm
is running at 220 rpm. Its mechanical efficiency is 80% when the mean effective pressure is 0.65 MPa.
Find (i) indicated power, (ii) brake power, and (iii) friction power.

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 7 HEAT TRANSFER
CHAPTER 7
Heat Transfer
Learning Objectives

By the end of this chapter, the student will be able:

To understand the different modes of heat transfer
To describe the concepts of heat transfer through wall, hollow cylinder, and hollow sphere
To apply the concept of heat transfer in the different engineering applications

7.1 INTRODUCTION

This chapter deals with different modes of heat transfer, which are usually classified as
conduction, convection, and radiation. From the second law of thermodynamics, we
know that the heat flows whenever there is existence of temperature difference or
temperature gradient. Heat is a form of energy which is transferred from one body to
another body at a lower temperature, by virtue of the temperature difference between the
bodies. The concept of heat transfer is widely applicable to different fields of mechanical
engineering such as heat exchanger, boiler, radiator, nuclear power plant, refrigeration,
and air conditioning, etc. In this chapter, we will learn about the basic concepts of
different modes of heat transfer.

7.1.1 Conduction

Conduction is the heat transfer from one part of a substance to another part of the same
substance, or from one substance to another in Physical contact with it, without
appreciable displacement of the molecules forming the substance. On the elementary
particle level, the conduction is visualized as the exchange of kinetic energy between the
particles in high and low-temperature regions. Therefore, the conduction is attributed to
the elastic collisions of molecules in gases and liquids, to the motion of free electrons in
metals, and to the longitudinal oscillation of atoms in solid insulators of electricity. A
distinguishing characteristic of conduction is that it takes place within the boundary of a
medium, or across the boundary of a medium into another medium in contact with the
first, without an appreciable displacement of the matter.

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The heat transfer in conduction mode at a macroscopic level and use of a
phenomenological law is based on experiments of Biot and formulated by J.B. Fourier in
1882. This law can be illustrated by considering a wall of thickness L, surface area A and
whose faces are kept at temperatures t1, and t2, as shown in Figure 7.1. t1 is greater than
t2. Under these conditions, heat flows from the face of high-temperature to the face of
low-temperature. According to Fourier’s law of heat conduction, the rate of heat transfer
in the x-direction through the wall element, dx, located at x is proportional to:

FIGURE 7.1
Heat Transfer through Wall of Thickness L
1. the gradient of temperature in that direction, dt/dx, and
2. the surface area normal to the direction of heat transfer, A

Therefore, the heat transfer rate is given by:

or
where k is the constant of proportionality and it is called the “thermal conductivity”; it is
a property of the material. The negative sign appearing in Equation is due to the
convention that the heat is taken to be positive in the direction of increasing x and also
ensures that heat flows in the direction of decreasing temperature, thus satisfies the
second law of thermodynamics. If Q is in W, A in m2, and dt/dx in °C/m, then the unit of
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 7 HEAT TRANSFER
k is W/m2 °C/m. This may be written as W/m °C.

EXAMPLE 7.1

The inner surface of a plain brick wall is at 60oC and the outer surface is at 20oC.
Calculate the rate of heat transfer per m2 of the surface area of the wall, which is 260
mm thick. The thermal conductivity of the brick is 0.55 W/mK.
SOLUTION

Given: t1 = 60oC; t2 = 20oC; x = 260 mm; k = 0.55 W/mK

7.1.2 Convection

Convection is the term used for heat transfer mechanism which takes place in a fluid
because of a combination of conduction due to the molecular interactions and energy
transport and, the macroscopic motion of the fluid itself. In the above definition, the
motion of the fluid is essential otherwise the heat transfer mechanism becomes a static
conduction situation as illustrated in Figure 7.2. When the term of convection is used,
usually a solid surface is present next to the fluid. There are also cases of convection
where only fluids are present, such as a hot jet entering into a cold reservoir. However,
the most industrial applications involve a hot or cold surface transferring heat to the fluid
or receiving heat from the fluid.

FIGURE 7.2
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 7 HEAT TRANSFER
Convective Heat Transfer from Fluid to a Metal Plate
The convective heat transfer can be explained using Newton’s Law of cooling which
states that the rate of heat transfer per unit area is directly proportional to the
temperature difference between a surface and the fluid and mathematically can be
expressed as below:

or,
or, Q = h.A.(ts − t∞)

Where ts is surface temperature and t∞ in °C; h is the coefficient of proportionality,

called the heat transfer coefficient. Its unit is W/m2 °C. Its value depends on properties of
fluid as well as its flow conditions.

7.1.3 Radiation

All matter continuously radiates electromagnetic radiation unless its temperature is

absolute zero. It is observed that the higher the temperature then the greater amount of
energy is radiated. If two bodies at different temperatures are so placed that the radiation
from each body is intercepted by the other, then the body at the lower temperature will
receive more energy than it is radiating, and hence its internal energy will increase;
similarly, the internal energy of the body at a higher temperature will decrease. Thus,
there is a net transfer of energy from the high-temperature body to low-temperature body
by virtue of the temperature difference between the bodies. Radiant energy, being
electromagnetic radiation, requires no medium for its propagation, and will pass through a
vacuum. Heat transfer by radiation is most frequent between solid surfaces, although
radiation from gases also occurs.

Stefan–Boltzmann Law of Thermal Radiation

The law states that the rate of radiation heat transfer per unit area from a black surface is
directly proportional to fourth power of the absolute temperature of the surface and is
given by
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 7 HEAT TRANSFER

where Ts is absolute temperature in K; and σ is proportionality constant and called as

Stefan–Boltzman constant equal to 5.67 × 10−8 W/m2K4. The heat flux emitted by a real
surface is less than that of black surface and is given by,

where ɛ is radiative properties of surface, called emmissivity.

The net rate of radiation heat exchange between a real surface and its surrounding is

where T∞ and Ts are surrounding and surface temperature in K, respectively.

7.1.4 Combined Heat Transfer

Plane Walls with Convection on Sides

There are many cases in practice when different materials are constructed in layers to
form a composite wall. This wall may be composed of plaster layer, bricklayer, tiles layer,
etc. as shown in Figure 7.3.

FIGURE 7.3 Plane Walls with Convection on Sides

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In Figure 7.3 there are three layers A, B, C, of thickness LA, LB, and LC, respectively.
The thermal conductivities of the layers are kA, kB, and kC. On one side of the composite
wall, there is a fluid at temperature t∞1 and heat transfer coefficient from fluid to the wall
is h1; on another side of the composite wall there is fluid at temperature t∞2 and the heat
transfer coefficient from fluid to the wall is h2. Let the temperature of the wall in contact
with fluid on one side is t1 and on other side t4. The interface temperatures of the
composite wall are t2 and t3. To solve the heat flow problem an analogs of electrical
current may be used. The heat flow is caused by temperature difference whereas the
current flow is caused by a potential difference. Hence, it is possible to postulate a
thermal resistance analogs to an electrical resistance. From Ohm’s law we have, V = IR
or I = V/R; where V is a potential difference, I is the current, and R is the resistance.

Thermal resistance, and thermal resistance for a fluid film, where Q is

analogs to I and Δt is analogs to ΔV.

EXAMPLE 7.2

Derive the expression for the heat transfer through series and parallel composite walls as
shown in Figure 7.4.

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FIGURE 7.4
Heat Transfer through Compost Wall
SOLUTION
The electrical current analogy of the heat transfer is shown in Figure 7.5

FIGURE 7.5
Electrical Analogy of Heat Transfer for Composite Wall Shown in Figure 7.4

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EXAMPLE 7.3

A steel tank of wall thickness 8 mm contains water at 80oC. Calculate the rate of heat
loss per m2 of tank surface area when the atmospheric temperature is 20oC. The thermal
conductivity of mild steel is 50 W/mK, and the heat transfer coefficients for the inside
and outside of the tank are 2,500 and 20 W/m2K, respectively. Also, calculate the
temperature of the outside surface of the tank.
SOLUTION

q = ho (t2 − to) ⇒ 699.3 = 20(to − 20)

to = 54.96oC

EXAMPLE 7.4

A furnace wall consists of 120 mm thick refractory brick and 120 mm thick insulating
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firebrick separated by an air gap as shown in Figure 7.6. The outside wall is covered with
a 10 mm thickness of plaster. The inner surface of the wall is at 1,000oC and the room
temperature is 20oC. Calculate the rate at which heat is lost per m2 of the wall surface.
The heat transfer coefficient from the outside wall surface to the air in the room is 20
W/m2K, and the resistance to heat flow of the air gap is 0.15 K/W. The thermal
conductivity of refractory brick, insulating firebrick, and plaster are 1.6, 0.3, and 0.14
W/mK, respectively. Also, calculate each interface temperature of the outside of the
wall.

FIGURE 7.6
Composite Walls
SOLUTION
Given: xWall = 120 mm;

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Heat Transfer through Hollow Cylinder

Consider a cylinder of internal radius r1 and external radius r2 as shown in Figure 7.7.
Let the inside and outside temperatures be t1 and t2, respectively. Consider the heat flow
through a small element of thickness, dr at any radius r, where the temperature is t. Let
the thermal conductivity of the material be k, the temperature of fluid flow inside the
cylinder be tf1, heat transfer coefficient be hf1, the temperature of fluid flow outside the
cylinder be tf2, and heat transfer coefficient be hf2, the heat transfer through the
elemental area of length l can be given by:

FIGURE 7.7
Heat Transfer through Cylindrical Wall

Integrating between the inside and outside surfaces,

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If we put mean area Am and mean radius rm in the earlier equation as:

In the case of a composite cylinder the most convenient approach is again that of the
electrical analogy; by using where x is the thickness of a layer and Am is
the logarithmic mean area for that layer.
The film of fluid on the inside and outside surfaces can be treated as:

EXAMPLE 7.5

A steel pipe of 80 mm bore and 8 mm wall thickness, carrying steam at 250 °C, is
insulated with 36 mm of a molded high-temperature diatomaceous earth covering. This
covering is in turn insulated with 50 mm of asbestos felt. If the atmospheric temperature
is 20 °C, calculate the rate at which heat is lost by the steam per meter length of pipe.
The heat transfer coefficients for the inside and outside surfaces are 525 and 27 W/m2K,
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respectively, and the thermal conductivity of steel, diatomaceous earth, and asbestos felt
are 55, 0.1, and 0.08 W/mK, respectively. Also, calculate the temperature of the outside
surface.
SOLUTION

Given: ri = 40 mm; r1 = 48 mm; r2 = 84 mm; r0 = 134 mm; h1 = 525 W/m2K; m2K = 2

W/m2K

Now resistance of per unit length of pipe

Heat Transfer through Hollow Sphere

Consider a hollow sphere of internal radius r1 and external radius r2 as shown in Figure
7.8. Let the inside and outside surface temperature be t1 and t2; and let the thermal
conductivity be k. Consider a small element of thickness, dr at any radius r. It can be
shown that the surface area of this spherical element is given by 4πr2. The heat transfer
rate

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FIGURE 7.8
Heat Transfer through Sphere

or,
On integrating, we get

or,

or,
Applying electrical analogy we get,

If the concepts of mean area, Am and mean radius, rm are applied

where,
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rm is geometric mean.

EXAMPLE 7.6

A small hemispherical oven is built of an inner layer of insulating firebrick 120 mm thick,
and an outer covering 80% magnesia 40 mm thick. The inner surface of the oven is 820°C
and the heat transfer coefficient for the outside surface is 10 W/m2K; the room
temperature is 22°C. Calculate the heat loss through the hemisphere, if the inside radius is
0.8 m. Take the thermal conductivities of firebrick and 80% magnesia as 0.31 and 0.05
W/mK.
SOLUTION
Given:
ri = 0.8 m; r1 = 0.92m; r3 = 0.96 m;

ti = 820o C; to = 22o C; hair = 10W/m2K

kfirebrick = 0.31W/mK; kmagmesia = 0.05W/mK

R = Rfirebrick + Rmagnesia + Rair

RECAP ZONE

Points to Remember

From the second law of thermodynamics, the heat flows whenever there is the existence of temperature
difference or temperature gradient.
Heat is a form of energy, which is transferred from one body to another body at a lower temperature, by
virtue of the temperature difference between the bodies.
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Conduction is the heat transfer from one part of a substance to another part of the same substance, or
from one substance to another in Physical contact with it, without appreciable displacement of the
molecules forming the substance.
The heat transfer in conduction mode at a macroscopic level and use a phenomenological law is based
on experiments of Biot and formulated by J.B. Fourier in 1882.
Convection is the term used for heat transfer mechanism which takes place in a fluid because of a
combination of conduction due to the molecular interactions and energy transport due to the
macroscopic motion of the fluid itself.
All matter continuously radiates electromagnetic radiation unless its temperature is absolute zero.

Important Formulae

1.
2. Q = h.A.(ts − t∞)

3.

4. For unit length of the cylinder

5.

6.

7.
8.

9.
10. Q = UAθm

11.

REVIEW ZONE

Multiple-choice Questions

1. Heat transfer takes place as per:

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1. Zeroth law of thermodynamics
2. First law of thermodynamics
3. Second law of thermodynamics
4. All the three
2. When heat is transferred from one particle of hot body to another by actual motion of the heated
particles, it is referred at as heat transfer by:
1. Conduction
2. Convection
3. Radiation
4. None of these
3. When heat is transferred from hot body to cold body, in a straight line, without affecting the intervening
medium, it is referred to as heat transfer by:
1. Conduction
2. Convection
3. Radiation
4. None of these
4. Heat transfer in liquids and gases takes place by:
1. Conduction
2. Convection
3. Radiation
4. None of these
5. When heat is transferred by molecular collision, it is referred to as heat transfer by:
1. Conduction
2. Convection
3. Radiation
4. None of these
6. Heat flows from one body to other when they have:
1. Different heat contents
2. Different specific heat
3. Different atomic structure
4. Different temperature
7. The amount of heat flow through a body by conduction is:
1. Directly proportional to the surface area of the body
2. Dependent upon material of the body
3. Directly proportional to the temperature difference:
4. All of the above
8. Thermal conductivity of a material may be defi ned as the:
1. Quantity of heat flowing in one second through one cubic meter of material when opposite faces
are maintained at a temperature difference of 1°C.
2. Quantity of heat flowing in one second through one square meter of the area and of 1 m thickness of
material when opposite faces are maintained at a temperature difference of 1°C.
3. Both
4. None of these
9. Heat transfer by radiation mainly depends upon:
1. Its temperature
2. Nature of the body
3. Kind and extent of its surface
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4. All of the above
10. If two surfaces of area A distance L apart, of a material having thermal conductivity k, are at
temperatures t1 and t2 then heat flow rate through it will be:
1. kA(t1-t2)/L
2. LA(t1-t2)/k
3. Lk(t1-t2)/A
4. None of these
11. According to Stefan’s Law, the total radiation from a black body per second per unit area is
proportional to:
1. T
2. T2
3. T3
4. T4
12. If the inner and outer surfaces of a hollow cylinder (having radii r1 and r2 and length L) are at
temperature t1 and t2, then rate of radial heat flow will be:

1.

2.

3.
4.
13. If the inner and outer walls of a hollow sphere having surface areas of A1 and A2, and inner and outer
radii r1 and r2, are maintained at temperatures t1 and t2, then rate of heat flow will be:
1.
2.
3.

4.
14. LMTD for a heat exchanger is given by:

1.

2.
3. Both
4. None of these
15. The heat flow equation through a sphere of inner radius r1 and outer radius r2 is to be written in the
same form as that for heat flow through a plane wall. For wall thickness (r2–r1), the equivalent mean
radius for the spherical shell is:
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1.
2. r1r2
3.
4.

Answers

1. c
2. a
3. c
4. b
5. a
6. d
7. d
8. c
9. d
10. a
11. d
12. d
13. a
14. a
15. c

Theory Questions

1. What do you mean by heat transfer? Explain its applications in engineering.

2. Explain the different modes of heat transfer.
3. Derive the expression for heat flow in steady state conduction without heat generation using Fourier
Law.
4. Explain Newton’s law of cooling and derive the heat flow in convection.
5. Explain Stefan and Boltzmann’s law of and derive the heat flow in convection.

Numerical Problems

1. The inner surface of a plain brick wall is at 80°C and the outer surface is at 30°C. Calculate the rate of
heat transfer per m2 of the surface area of the wall, which is 280 mm thick. The thermal conductivity of
the brick is 0.75 W/mK.
2. A steel tank of wall thickness 10 mm contains water at 90°C. Calculate the rate of heat loss per m2 of
tank surface area when the atmospheric temperature is 15°C. The thermal conductivity of mild steel is
55 W/mK, and the heat transfer coefficients for the inside and outside of the tank are 2,550 and 24
W/m2K, respectively. Also, calculate the temperature of the outside surface of the tank.
3. A furnace wall consists of 100 mm thick refractory brick and 800 mm thick insulating firebrick
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separated by an air gap. The outside wall is covered with a 20 mm thickness of plaster. The inner
surface of the wall is at 1,100°C and the room temperature is 26°C. Calculate the rate at which heat is
lost per m2 of the wall surface. The heat transfer coefficient from the outside wall surface to the air in
the room is 22 W/m2K, and the resistance to heat flow of the air gap is 0.16 K/W. The thermal
conductivity of refractory brick, insulating firebrick, and plaster are 1.5, 0.25, and 0.13 W/mK,
respectively. Also, calculate each interface temperature of the outside of the wall.
4. A steel pipe of 100 mm bore and 10 mm wall thickness, carrying steam at 250°C, is insulated with 30
mm of a molded high-temperature diatomaceous earth covering. This covering is in turn insulated with
60 mm of asbestos felt. If the atmospheric temperature is 22°C, calculate the rate at which heat is lost by
the steam per meter length of pipe. The heat transfer coefficients for the inside and outside surfaces are
520 and 28 W/m2, respectively, and the thermal conductivity of steel, diatomaceous earth, and asbestos
felt are 54, 0.12, and 0.09 W/mK, respectively. Also, calculate the temperature of the outside surface.
5. A small hemispherical oven is built of an inner layer of insulating firebrick 110 mm thick, and an outer
covering 80% magnesia 45 mm thick. The inner surface of the oven is 850°C and the heat transfer
coefficient for the outside surface is 12 W/m2K; the room temperature is 26°C. Calculate the heat loss
through the hemisphere, if the inside radius is 1.0 m. Take the thermal conductivities of firebrick and
80% magnesia as 0.32 and 0.06 W/mK.

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CHAPTER 8
Refrigeration and Air Conditioning
Learning Objectives

By the end of this chapter, the student will be able:

To understand the basic concepts of refrigeration and air conditioning
To describe the different types of refrigeration cycles
To demonstrate the structure and working of a household refrigerator
To understand the properties of air-vapour mixture
To differentiate the working of the window and split air conditioners

8.1 INTRODUCTION

Initially, the main purpose of refrigeration was to conserve foods. The Chinese were the
first to find out that ice increased the life and improved the taste of drinks and for
centuries Eskimos have conserved food by freezing it. At the beginning of the 19th
century, it had been observed that the growth of microorganisms is temperature-
dependent, that growth declines as temperature falls, and that growth becomes very slow
at temperatures below +10°C. As a consequence of this knowledge, it was now possible
to use refrigeration to conserve food-stuffs and natural ice came into use for this purpose.
The idea of air conditioning started before a machine was created to produce the cooling
effect desired. The first attempt at building an air conditioner was made by Dr. John
Gorrie (1803–1855), an American physician, in Apalachicola, Florida. During his practice
there in the 1830s, Dr. Gorrie creating an ice-making machine that essentially blew air
over a bucket of ice for cooling hospital rooms of patients suffering from malaria and
yellow fever.

8.2 REFRIGERATOR AND HEAT PUMP

Clausius, statement of the Second Law of Thermodynamics: It is impossible to construct

a device that, operating in a cycle, has no effect other than the transfer of heat from a
cooler to a hotter body. Thus, the Clausius statement tells us that heat will not flow from
cold to hot regions without the assistance of outside agents. The devices that provide this
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assistance are called refrigerators and heat pumps. The working of refrigeration and heat
pump is shown in Figure 8.1. The distinction between refrigerator and heat pump is one
of purpose more than technique. The refrigeration unit transfers heat from cold to hot
regions for the purpose of cooling the cold region while the heat pump does the same
thing with the intent of heating the hot region. The performance of the refrigerators and
the heat pump is expressed in terms of the Coefficient of Performance (COP), which is
defined as:

FIGURE 8.1
Working of Refrigeration and Heat Pump
Tones of Refrigeration (TR): the cooling effect produced is quantified as tons of
refrigeration, also referred to as “chiller tonnage”.

TR = Q × Cp × (Ti – To)/3024 = 210 kJ/min or 3.5 kJ/s.

Where Q - mass flow rate of coolant in kg/h

Cp - coolant specific heat in kCal/kg °C

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Ti - inlet temperature of coolant to the evaporator (chiller) in °C

To - outlet temperature of coolant from the evaporator (chiller) in °C.

1 TR of refrigeration = 3,024 kCal/h heat rejected Power of unit of refrigerator =

QL/COP

Capacity of refrigeration plant = Heat removal rate in tones.

8.3 COMPONENTS OF REFRIGERATION SYSTEM

There are five basic components of a refrigeration system, these are:

Evaporator
Compressor
Condenser
Expansion valve
Refrigerant; to conduct the heat from the product in order for the refrigeration cycle to operate
successfully each component must be present within the refrigeration system.

8.3.1 Evaporator

The purpose of the evaporator is to remove unwanted heat from the product, via the
liquid refrigerant. The liquid refrigerant contained within the evaporator is boiling at a
low-pressure. The level of this pressure is determined by two factors:
The rate at which the heat is absorbed from the product to the liquid refrigerant in the evaporator.
The rate at which the low-pressure vapor is removed from the evaporator by the compressor to enable
the transfer of heat, the temperature of the liquid refrigerant must be lower than the temperature of the
product being cooled. Once transferred, the liquid refrigerant is drawn from the evaporator by the
compressor via the suction line. When leaving the evaporator coil the liquid refrigerant is in vapor
form.

8.3.2 Compressor

The purpose of the compressor is to draw the low-temperature, low-pressure vapor from
the evaporator via the suction line. Once drawn, the vapor is compressed. When vapor is
compressed it rises in temperature. Therefore, the compressor transforms the vapor from
a low-temperature vapor to a high-temperature vapor, in turn increasing the pressure. The
vapor is then released from the compressor into the discharge line.
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8.3.3 Condenser

The purpose of the condenser is to extract heat from the refrigerant to the outside air.
The condenser is usually installed on the reinforced roof of the building, which enables
the transfer of heat. Fans mounted above the condenser unit are used to draw air through
the condenser coils. The temperature of the high-pressure vapor determines the
temperature at which the condensation begins. As heat has to flow from the condenser to
the air, the condensation temperature must be higher than that of the air; usually between
-12°C and -1°C. The high-pressure vapor within the condenser is then cooled to the point
where it becomes a liquid refrigerant once more, whilst retaining some heat. The liquid
refrigerant then flows from the condenser in to the liquid line.

8.3.4 Expansion Valve

Within the refrigeration system, the expansion valve is located at the end of the liquid
line, before the evaporator. The high-pressure liquid reaches the expansion valve, having
come from the condenser. The valve then reduces the pressure of the refrigerant as it
passes through the orifice, which is located inside the valve. On reducing the pressure,
the temperature of the refrigerant also decreases to a level below the surrounding air.
This low-pressure, low-temperature liquid is then pumped in to the evaporator.

8.4 TYPES OF REFRIGERATION SYSTEMS

Broadly, the refrigeration systems can be categorized as:

Air-refrigeration system
Vapor compression refrigeration system
Absorption refrigeration system

8.4.1 Air-refrigeration System

Reversed Carnot Cycle

Reversed Carnot cycle is shown in Figure 8.2. It consists of the following processes.
Process a-b: Absorption of heat by the working fluid from the refrigerator at constant
low-temperature TL during isothermal expansion.

Process b-c: Isentropic compression of the working fluid with the aid of external work.
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The temperature of the fluid rises from TL to TH.

Process c-d: Isothermal compression of the working fluid during which heat is rejected at
constant high-temperature TH.

Process d-a: Isentropic expansion of the working fluid. The temperature of the working
fluid falls from TH to TL.

COP of Refrigerator:

Practical use of the reversed Carnot cycle is not possible for refrigeration purpose as the
isentropic process requires a very high-speed operation, whereas the isothermal process
requires a very low-speed operation.

FIGURE 8.2
P-V and T-S Diagrams for Reversed Carnot Cycle

Bell–Coleman Cycle or Reversed Brayton Cycle

In this system, air is taken into the compressor from the atmosphere and compressed then
the hot compressed air is cooled in heat exchanger up to the atmospheric temperature.
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The cooled air is then expanded in an expander. The temperature of the air coming out
from the expander is below the atmospheric temperature due to isentropic expansion. The
low-temperature air coming out from the expander enters into the evaporator and absorbs
the heat. The cycle is repeated again and again. The working of Reversed Brayton Cycle
is represented on P-V and T-S diagrams in Figure 8.3.
Process 1-2: Suction of air into the compressor.
Process 2-3: Isentropic compression of air by the compressor.

FIGURE 8.3
Reversed Brayton Cycle
Process 3-4: Discharge of high-pressure air from the compressor into the heat exchanger
(The reduction in the volume of air from V3 to V4 is due to the cooling of air in the heat
exchanger.)
Process 4-1: Isentropic expansion of air in the expander.
Process 1-2: Absorption of heat from the evaporator at constant pressure and suction of
air into the compressor.

Work done per kg of air for the isentropic compression process 2-3 is given by:

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Wcomp = Cp (T3 − T2 )

Work developed per kg of air for the isentropic expansion process 4-1 is given by:

Wexp = Cp (T4 − T1 )

Wnet = (Wcomp − Wexp ) = Cp (T3 − T2 ) − Cp (T4 − T1 )

Net refrigerating effect per kg of air is given by:

Rnet = Cp (T2 − T1 )

For perfect inter-cooling, the required condition is T4 = T2

For isentropic compression process 2-3 and for expansion process 5-6, we have,

Advantages and Disadvantages of Air-refrigeration System

Advantages
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Air is a cheaper refrigerant and available easily compared to other refrigerants. There is no danger of
fire or toxic effects due to leakage.
The total weight of the system per ton of refrigerating capacity is less.

Disadvantages:

The quantity of air required per ton refrigerating capacity is far greater than other systems. The COP is
low and hence maintenance cost is high. The danger of frosting at the expander valves is more as the air
taken into the system always contains moisture.

EXAMPLE 8.1

Carnot refrigeration cycle absorbs heat at 250 K and rejects heat at 300 K.
1. Calculate the coefficient of performance of this refrigeration cycle.
2. If the cycle is absorbing 1,050 kJ/min at 250 K, how many kJ of work is required per second.
3. If the Carnot heat pump operates between the same temperatures as the above refrigeration cycle, what
is the coefficient of performance?
4. How many kJ/min will the heat pump deliver at 300 K if it absorbs 1,050 kJ/min at 250 K.

SOLUTION
Given: T1 = 250 K; T2 = 300 K
1. Coefficient of performance of Carnot refrigeration cycle We know that coefficient of performance of
Carnot refrigeration cycle,

2. Work required per second

Let WR = Work required per second

Heat absorbed at 250 K (i.e., T1), Q1 = l050 kJ/min = 17.5 kJ/s

We know that

WR = 3.5 kJ/s

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3. Coefficient of performance of Carnot heat pump

We know that coefficient of performance of a Carnot heat pump,

4. Heat delivered by heat pump at 300 K

Let Q2 = Heat delivered by heat pump at 300 K.

Heat absorbed at 250 K (i.e., T1),

Q1 = 1050 kJ/min (Given)

EXAMPLE 8.2

The capacity of a refrigerator is 150 TR when working between – 5°C and 20°C.
Determine the mass of ice produced per day from water at 20°C. Also, find the power
required to drive the unit. Assume that the cycle operates on reversed Carnot cycle and
latent heat of ice is 336 kJ/kg.
SOLUTION
Given: Q = 150 TR; T1 = –5°C = –5°C + 273 = 268 K; T2 = 20°C = 20 + 273 = 293 K

Mass of ice produced per day

Heat extraction capacity of the refrigerator = 150 TR × 210 kJ/min = 31,500 kJ/min
Heat removed from 1 kg of water at 20°C to form ice at 0°C (ITR = 210 kJ/min)
= Mass × Sq. Heat × (Change in Temperature) + hfg (ice)
Heat = 1 × 4.18 kJ/kgK × 20°C + 336 kJ/kg = 419.6 kJ/kg
Mass of ice produced per min = 31,500 kJ/min/419.6 kJ/kg = 75.07 kg/min.
Mass of ice produced per day = 75.07 kg/min × 60 min × 24 hours
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= 108,102.95 kg = 108.10 tonnes

Work done per min.

Power required to drive the unit

8.4.2 Vapour Compression Refrigeration System

A simple vapor compression refrigeration system consists of the following equipments

(Figure 8.4):
1. Compressor,
2. Condenser,
3. Expansion valve,
4. Evaporator.

The low-temperature and low-pressure vapor is compressed by a compressor to high-

temperature and high-pressure vapor. This vapor is then condensed into condenser at
constant pressure and then passes through the expansion valve. Here, the vapor is
throttled down to a low-pressure liquid and passed through an evaporator, where it
absorbs heat from the surroundings and vaporizes into low-pressure vapor. The cycle
then repeats again and again. The heat and work interaction in vapor compression
process takes place in following way:
1. Compressor requires work (W). The work is supplied to the system.
2. During condensation, heat QH the equivalent of latent heat of condensation, etc, is removed from the
refrigerant.
3. During evaporation, heat QL equivalent to the latent heat of vaporization is absorbed by the refrigerant.
4. There is no exchange of heat during throttling process through the expansion valve as this process
occurs at constant enthalpy.

Figure 8.5 shows a simple vapor compression refrigeration cycle on T–S diagram for
different compression processes. The cycle works between temperatures T1 and T2
representing the condenser and evaporator temperatures, respectively. The
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thermodynamic process of the cycle A–B–C–D is given as:
1. Process B–C: Isentropic compression of the vapor from state B to C.
2. Process C–D: Heat rejection in condenser is at constant pressure.

FIGURE 8.4
Schematic Diagram of Refrigeration Systems

FIGURE 8.5
T-S Diagram of Vapor Compression Refrigeration Cycle
3. Process D–A: An irreversible adiabatic expansion of vapor through the expansion value. The pressure
and temperature of the liquid are reduced. The process is accompanied by partial evaporation of some
liquid. The process is shown by dotted line.
4. Process A–B: Heat absorption in the evaporator at constant pressure. The final state depends on the
quantity of heat absorbed and same may be wet, dry or superheated.

COP of Vapor Compression Cycle:

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Heat extracted from the system (i.e., absorbed in absorber) = Heat transfer during the
process, A–B = refrigerating effect.

QL = hB − hA

Work of compression, W = hC − hB

Heat rejected from condenser,

QH = W + QL = hC − hB + hB − hA = hC − hA = hC − hD

Factors Affecting the Performance of Vapour Compression Refrigeration System

1. Sub-cooling: By passing the liquid refrigerant from the condenser through a heat exchanger through,
which the cold vapor at suction from the evaporator is allowed to flow in the reversed direction. This
process sub-cools the liquid but superheats the vapor. Thus, COP is not improved though refrigeration
effect is increased. But, by making use of enough quantity of cooling water so that the liquid refrigerant
is further cooled below the temperature of saturation. In some cases, a separate sub cooler is also made
use of for this purpose. In this case, COP is improved.
2. Superheating of Vapor: If the vapor at the compressor entry is in the superheated state, which is
produced due to higher heat absorption in the evaporator, then the refrigerating effect is increased.
However, COP may increase, decrease or remain unchanged depending upon the range of pressure of
the cycle.
3. Change in Suction Pressure: The decrease in suction pressure decreases the refrigeration effect and at
the same time increases the work of compression. But, both the effects tend to decrease the COP.
4. Change in Discharge Pressure: The increase in discharge pressure results in lower COP. Hence, the
discharge pressure should be kept as low as possible depending upon the temperature of the cooling
medium available.
5. Effect of Volumetric Efficiency of Compressor: The factors like clearance volume, pressure drop
through discharge and suction valves, leakage of vapor along the piston and superheating of cold vapor
due to contact with hot cylinder walls, affects the volume of the vapor actually pumped by the
compressor. The volumetric efficiency of a compressor is defined as;
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The actual amount of vapor sucked during the suction stroke is (V1 – V2) while the stroke
volume is (V1 – VC). Volumetric efficiency decreases the refrigeration effect.

Comparison between Vapour Compression Cycle and Reversed Carnot Cycle

Vapor compression cycle requires more compression work than the Reversed Carnot cycle.
No work is done during the throttling process in Vapor compression cycle but work is done in
expansion process in Reversed Carnot cycle.
In vapor compression expansion process is irreversible whereas in Reversed Carnot cycle it is
reversible.

Advantages and Disadvantages of Vapour Refrigeration Systems over Air-

refrigeration Systems

Advantages

Vapor refrigeration system has higher COP than the Air refrigeration system.
Vapor refrigeration system has easer controllable expansion process.
It has low running cost.
It requires smaller evaporator.

Disadvantages

Vapor refrigeration system has higher capital cost.

In Vapor refrigeration, system leakage problem may occur.

8.4.3 Absorption Refrigeration Cycle

The absorption cycle is a process by which refrigeration effect is produced through the
use of two fluids and some quantity of heat input, rather than electrical input as in the
more familiar vapor compression cycle. Both vapor compression and absorption
refrigeration cycles accomplish the removal of heat through the evaporation of a
refrigerant at a low pressure and the rejection of heat through the condensation of the
refrigerant at a higher pressure. The method of creating the pressure difference and
circulating the refrigerant is the primary difference between the two cycles. The vapor
compression cycle employs a mechanical compressor to create the pressure differences
necessary to circulate the refrigerant. In the absorption system, a secondary fluid or
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absorbent is used to circulate the refrigerant. Because the temperature requirements for
the cycle fall into the low-to-moderate temperature range, and there is significant
potential for electrical energy savings, absorption would seem to be a good prospect for
the geothermal application.
Absorption machines are commercially available today in two basic configurations. For
applications above 32° F (primarily air conditioning), the cycle uses lithium bromide as
the absorbent and water as the refrigerant. For applications below 32° F, an
ammonia/water cycle is employed with ammonia as the refrigerant and water as the
absorbent.

8.5 TYPE OF REFRIGERANTS

Research on the use of refrigerant is continuously going on due to an adverse effect on

depletion of ozone layer. The production of many refrigerants will soon end, including R-
22 and R-123 in accordance to the requirements of the Montreal Protocol. Suppliers
currently offer a range of refrigerants based on chiller type, capacity, and regulatory
requirements. The refrigerants can be classified into following classes:
1. HaloCarbons

Halocarbon Refrigerants are all synthetically produced and were developed as the
Freon family of refrigerants. Some of the refrigerants in this class are given below:
CFC’s: R11, R12, R113, R114, R115
HCFC’s: R22, R123
HFC’s: R134a, R404a, R407C, R410a
2. Inorganic Refrigerants

Following refrigerants are used as inorganic refrigerants:

Carbon Dioxide, Water, Ammonia, Air, Sulphur dioxide.
3. Zeotropic Refrigerants: A stable mixture of two or several refrigerants whose vapor and liquid phases
retain identical compositions over a wide range of temperatures.
4. Hydrocarbon Refrigerants

Following hydrocarbon gases have been used as refrigerants in industrial, commercial

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and domestic applications:
R170, Ethane (C2H6)

R290 , Propane (C3H3)

R600, Butane (C4H10)

R600a, Isobutane (C4H10)

Blends of the above Gases.

8.6 DOMESTIC REFRIGERATOR

Domestic or household refrigerator is an appliance used for the short term preservation of
food products by means of refrigeration. A domestic refrigerator is a metal cabinet with a
built-in hermetically sealed refrigerating unit. Inside the cabinet is a cold chamber with
shelves for storing products. Heat insulation is placed between the walls of the cold
chamber and the case of the refrigerator. The air in the cold chamber is cooled by means
of heat transfer between the air and the cold surface of the evaporator. Domestic
refrigerators have a storage space of 20 to 800 L. The domestic refrigerator may be of
compression type or absorption type, but on these days most of the domestic refrigerators
are of compression type. The major parts of the refrigerator that carry out actual working
of the refrigerator are discussed in Figure 8.6:
Refrigerant: The refrigerant flows through all the internal parts of the refrigerator. It
absorbs the heat from the substance to be cooled in the evaporator (chiller or freezer) and
throws it to the atmosphere via the condenser. The refrigerant keeps on circulating
through all the internal parts of the refrigerator in a cycle.

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FIGURE 8.6
Major Components of Domestic Refrigerators
Compressor: The compressor is located on the back side and in the bottom of the
refrigerator. The compressor draws the refrigerant from the evaporator and discharges it
at high pressure and temperature. The compressor is driven by the electric motor and it is
a major power consuming device of the refrigerator.
Condenser: The condenser is a thin coil of copper tubing located at the back of the
refrigerator. The refrigerant from the compressor enters the condenser where it is cooled
by the atmospheric air thus losing heat absorbed by it in the evaporator and the
compressor.
Expansive valve or the capillary: The refrigerant leaving the condenser enters into the
expansion device, which is the capillary tube in case of the domestic refrigerators. The
capillary is the thin copper tubing made up of a number of turns of the copper coil. When
the refrigerant is passed through the capillary its pressure and temperature drops down
suddenly and then enters the evaporator.
Evaporator: Evaporator is a device, which is used to absorb the heat from the
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atmosphere by means of refrigerant, which gets evaporated. The evaporator is located in
the atmosphere of substance, which is to be cooled or chilled. After evaporator,
refrigerant again enters into the compressor.

8.7 PSYCHROMETRY

Psychrometry is the study of air-water vapor mixtures. It is also sometimes referred to as

hygrometry. Many mechanical engineering devices exploit psychrometric processes, such
as air conditioning systems and cooling towers. Two important principles upon which
psychrometric relationships are based are the perfect gas equation and Dalton’s law
regarding the mixture. The perfect gas equation, PV = RT, is a fundamental tool used to
manipulate the characteristics as one sets out to analyze both definitions and various
conditions. Since d = 1/v, another useful form of the equation is p = dRT.
Dalton’s Law of Partial Pressure: Dalton’s states that in a mixture of perfect gases, each
constituent of the mixture behaves individually as the others are not present. This
statement can be expressed as a series of mathematical relationships based on the
following logic statements:
The total pressure of the mixture is the sum of the individual or partial pressures of the constituents.
The mass of the mixture is the sum of the masses of the individual constituents.
The temperature of each constituent is equal to the temperature of the mixture.
The volume of each of the constituents is equal to the volume of the mixture.
The enthalpy of the mixture is the sum of the enthalpies of the individual constituents.

Total pressure of the air-water vapor mixture (pB) can be expressed by Dalton’s law
equation as the sum of the partial pressures of the constituents; p = pa + pv and if the
water vapor is saturated p = pa + pvs.

Relative Humidity (ϕ): It is defined as the ratio of partial pressure of water vapor in a
mixture and saturated pressure of pure water at the same temperature T.

Humidity Ratio or Specific Humidity: The humidity (w) ratio is defined as the mass of
water vapor per unit mass of dry air in the mixture of air and water vapor. This term can
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be and if mixture is saturated ωS = 0.622 [pvs/( p −

pvs )] as

Degree of Saturation (μ): It is the ratio of actual specific humidity and the saturated
specific humidity, both at the same temperature T.

Dry Bulb Temperature (DBT): It is the temperature of the mixture as measured by a

standard thermometer. The word ‘dry’ is used to imply that the sensor is exposed to the
vapor mixture without any liquid present.
Wet Bulb Temperature (or Saturation Temperature, (WBT): It is the temperature at
which water evaporating into moist air at a given dry-bulb temperature and humidity ratio
can bring air to saturation adiabatically at the same pressure.
Specific Volume (v): It as commonly used, but with units of mixture volume per kilogram
of the dry air.
Dew Point Temperature (DPT): It is the temperature of moist air saturated at the same
pressure and humidity ratio as a given specimen of humid air. If we cool it further, water
will start condensing and separates out as fog/dew.

8.8 PSYCHROMETRIC PROCESSES

8.8.1 Psychrometric Chart

A view of psychrometric chart is shown in Figure 8.7. The different psychrometric

processes are shown in Figure 8.8.

Sensible Cooling

During this process, the moisture content of air remains constant but its temperature
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decreases as it passes over a cooling coil. To keep the moisture content constant, the
surface of the cooling coil should be dry and its surface temperature should be greater
than the dew point temperature of the air. If the cooling coil is 100% effective, then the
exit temperature of the air will be equal to the coil temperature. However, in practice, the
exit air temperature will be higher than the cooling coil temperature. Figure 8.9 shows the
sensible cooling process 2–1 on a psychrometric chart. The heat rejection rate during this
process is given by:

Qc = ma (h2 − h1 ) = mac pm (T2 − T1 )

FIGURE 8.7
Psychrometric Chart

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FIGURE 8.8
Psychrometric Processes

FIGURE 8.9
Sensible Cooling Process 2-1 on Psychrometric Chart

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FIGURE 8.10
Sensible Heating Process 1-2 on Psychrometric Chart

FIGURE 8.11
Cooling and Dehumidification Process

Sensible Heating

During this process, the moisture content of air remains constant and its temperature
increases as it flows over a heating coil. The heat addition rate during this process is given
by:

Qh = ma (h2 − h1 ) = mac pm (T2 − T1 )

where cpm is the humid specific heat (≈1.0216 kJ/kg dry air) and ma is the mass flow rate
of dry air (kg/s). Figure 8.10 shows the sensible heating process on a psychrometric chart.
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Cooling and Dehumidification

When moist air is cooled below its dew-point by bringing it in contact with a cold surface,
some of the water vapor in the air condenses and leaves the air stream as a liquid, as a
result, both the temperature and humidity ratio of air decreases as shown. This is the
process air undergoes in an air conditioning system. The actual process path depends on
the type of cold surface, the surface temperature, and flow conditions, but for simplicity,
the process line is assumed to be a straight line as shown in Figure 8.11. The heat and
mass transfer rates can be expressed in terms of the initial and final conditions by
applying the conservation of mass and conservation of energy equations as given below:
By applying mass balance for the water:

ma .ωa = ma .ω2 + mw

By applying energy balance:

ma.ha = Qr + mw.hw + ma.h2

From the above two equations, the load on the cooling coil, Qt is given by:

Qr = ma (h1 − h2 ) − ma ( ω1 − ω2 )hw

The 2nd term on the RHS of the above equation is normally small compared to the other
terms, so it can be neglected. Hence,

Qr = ma (h1 − h2 )

It can be observed that the cooling and de-humidification process involves both latent
and sensible heat transfer processes, hence, the total, latent and sensible heat transfer
rates (Qr, Ql, and Qs) can be written as:
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Qr = Ql +Qs

where Ql = ma (h1 − hw ) = ma.hfg (ω1 − ωw )

and Qs = ma (hw − h2 ) = ma.cpm (T1 − T2 )

Sensible Heat Factor (SHF)

It is defined as the ratio of sensible to total heat transfer rate (Qt), i.e.,

SHF = Qs / Qt = Qs / (Qs + Ql )

From the above equation, we can observe that an SHF of 1.0 corresponds to no latent
heat transfer and an SHF of 0 corresponds to no sensible heat transfer. An SHF of 0.75 to
0.80 is quite common in air conditioning systems in a normal dry-climate. A lower value
of SHF, say 0.6, implies a high latent heat load such as that occurs in a humid climate.
The temperature, Ts, is the effective surface temperature of the cooling coil and is known
as apparatus dew-point (ADP) temperature. In an ideal situation, when all the air comes
in perfect contact with the cooling coil surface, then the exit temperature of the air will
be same as ADP of the coil. However, in the actual case, the exit temperature of the air
will always be greater than the apparatus dew-point temperature due to boundary layer
development as air flows over the cooling coil surface and also due to temperature
variation along the fins, etc. Hence, we can define a by-pass factor (BPF) as it can be
easily seen that higher the by-pass factor larger will be the difference between air outlet
temperature and the cooling coil temperature. When BPF is 1.0, all the air bypasses the
coil and there will not be any cooling or de-humidification.

Where Tc temperature of air leaving, Ta is temperature of air entering and Ts is

temperature of surface of cooling coil.

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Heating and Humidification

During winter it is essential to heat and humidity the room air for comfort. As shown in
Figure 8.11, this is normally done by first sensible heating the air and then adding water
vapor to the air stream through steam nozzles as shown in Figure 8.12.

FIGURE 8.12
Heating and Humidification Process
Mass balance of water vapor for the control volume yields the rate, at which steam has to
be added, i.e., mw:

mw = ma (ω2 − ω1)

where ma is the mass flow rate of dry air. From energy balance:

Qh = ma (h2 − h1) − mwhw

where Qh is the heat supplied through the heating coil and hw is the enthalpy of steam.
Since this process also involves simultaneous heat and mass transfer, we can define a
sensible heat factor for the process in a way similar to that of a cooling and
dehumidification process.

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Cooling and Humidification

As the name implies, during this process, the air temperature drops and its humidity
increases. As shown in Figure 8.13, this can be achieved by spraying cool water in the air
stream. The temperature of the water should be lower than the dry-bulb temperature of
air but higher than its dew-point temperature to avoid condensation (TDPT < T2 < T1).

FIGURE 8.13
Cooling and Humidification Process
During this process, there is sensible heat transfer from air to water and latent heat
transfer from water to air. Hence, the total heat transfer depends upon the water
temperature. If the temperature of the water sprayed is equal to the wet-bulb temperature
of the air, then the net transfer rate will be zero as the sensible heat transfer from air to
water will be equal to latent heat transfer from water to air. If the water temperature is
greater than WBT, then there will be a net heat transfer from water to air. If the water
temperature is less than WBT, then the net heat transfer will be from air to water. Under
a special case when the spray water is entirely recirculated and is neither heated nor
cooled, the system is perfectly insulated and the make-up water is supplied at WBT, then
at steady-state, the air undergoes an adiabatic saturation process, during which its WBT
remains constant. This is the process of adiabatic saturation. The process of cooling and
humidification is encountered in a wide variety of devices such as evaporative coolers,
cooling towers, etc.

Heating and Dehumidification

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This process can be achieved by using a hygroscopic material, which absorbs or adsorbs
the water vapor from the moisture. If this process is thermally isolated, then the enthalpy
of air remains constant, as a result, the temperature of air increases as its moisture
content decreases as shown in Figure 8.14. This hygroscopic material can be a solid or a
liquid. In general, the absorption of water by the hygroscopic material is an exothermic
reaction, as a result heat is released during this process, which is transferred to air and the
enthalpy of air increases.

FIGURE 8.14
Heating Dehumidification Process

Mixing of Air Streams

Mixing of air streams at different states is commonly encountered in many processes,

including in air conditioning. Depending upon the state of the individual streams, the
mixing process can take place with or without condensation of moisture.
1. Without condensation: Figure 8.15 shows an adiabatic mixing of two moist air streams during which no
condensation of moisture takes place. When two air streams at state points 1 and 2 mix, the resulting
mixture condition 3 can be obtained from mass and energy balance.

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FIGURE 8.15
Mixing of Two Air Streams without Condensation
From the mass balance of dry air and water vapor:

ma1ω1 + ma2ω2 = (ma1 + ma2 )ω3

From energy balance:

ma1h1 + ma2h2 = (ma1 + ma2 )h3

From the above equations, it can be observed that the final enthalpy and the humidity
ratio of mixture are weighted averages of inlet enthalpies and humidity ratios. A
generally valid approximation is that the final temperature of the mixture is the
weighted average of the inlet temperatures. With this approximation, the point on the
psychrometric chart representing the mixture lies on a straight line connecting the
two inlet states. Hence, the ratio of distances on the line, i.e., (1-3)/(2-3) is equal to
the ratio of flow rates ma2/ma1. The resulting error (due to the assumption that the
humid specific heats being constant) is usu-ally less than 1%.
2. Mixing with condensation: As shown in Figure 8.16, when very cold and dry air mixes with warm air at
high relative humidity, the resulting mixture condition may lie in the two-phase region, as a result, there
will be condensation of water vapor and some amount of water will leave the system as liquid water.
Due to this, the humidity ratio of the resulting mixture (point 3) will be less than that at point 4.
Corresponding to this will be an increase in temperature of air due to the release of latent heat of
condensation. This process rarely occurs in an air conditioning system, but this is the phenomenon
which results in the formation of fog or frost (if the mixture temperature is below 0oC). This happens in
winter when the cold air near the earth mixes with the humid and warm air, which develops towards the
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evening or after rains.

FIGURE 8.16
Mixing of Two Air Streams with Condensation

EXAMPLE 8.3

A glass of water is mixed with ice. The moisture from the air begins to condense on the
surface of glass when the temperature of water comes 10°C. If the room temperature and
pressure are 20°C and 1.01325 bar, Determine the partial pressure and mass of water
vapor in grams per kg of dry air.
SOLUTION
From steam table:
Partial pressure of water vapor at 10°C, pv = 0.01 bar

Partial pressure of dry air, pa = patm. – pv = 1.013 – 0.012 = 1 bar

Specific humidity,

Mass of water vapor in mixture is given by,

EXAMPLE 8.4

The pressure and temperature of the mixture of air and water vapor at 1 bar and 20°C.
The dew point temperature of the mixture is 14°C. Find partial pressure of water vapor
the in mixture, relative humidity, specific humidity, enthalpy of mixture per kg of dry air,
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and specific Volume of mixture per kg of dry air.
SOLUTION
From Steam Table:
At 14°C, vapor pressure of moisture, pv = 0.015983 bar

At 20°C, saturation pressure, pvs = 0.02339 bar

Relative humidity,
= 9.91 gm/kg of dry air

Specific humidity,
Enthalpy of water vapor, hs = cp × DBT + hfg = 4.18 kJ/kgK × 20° C + 2454.1 kJ/kg
(from steam table)
=2537.7 kJ / kg
Enthalpy of mixture per kg of dry air, hmix = ha + ω × hs

= 1× 20° C + 0.0099 kg /kg of dry air × 2537.7 kJ / kg

= 45.12 kJ /kg of dry air

Specific volume of mixrure is equal to the volume of 1 kg of dry air,

= 0.843 m3 /kg of dry air.

EXAMPLE 8.5

50 m3 of air at 20°C DBT and 15°C WBT are mixed with 20 m3 of dry air at 30°C DBT
and 20°C WBT. Determine the DBT and WBT of the mixture.
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SOLUTION
From psychrometric chart, at 20°C DBT and 15°C WBT, the psychrometric property
values can be given as:

Va1 (Sp. Vol.) = 0.8412 m3/kg

ω1 = 0.00875 kg/kg of dry air,

h1 = 42.34 kJ/kg

m1 = 50/0.8412 = 59.43 kg of dry air

Similarly,
From the psychrometric chart, at 30°C DBT and 20°C WBT, the psychrometric property
values can be given as:

Va2 (Sp. Vol.) = 0.8699 m3/kg

ω2 = 0.01076 kg/kg of dry air,

h2 = 57.71 kJ/kg

m1 = 20/0.8699 = 22.99 kg of dry air

= 0.00931 kg /kg of dry air

(Use Psychrometric chart to find DBT and WBT at the mixture’s final specific humidity
and enthalpy.)

EXAMPLE 8.6

The DBT and RH of air are 40°C and 70%, respectively. The atmospheric pressure is 1
bar. Determine the specific humidity and vapor pressure of moisture in the air. If 8 grams
of water vapor is removed from the air and temperature is reduced to 30°C. Find the
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relative humidity and DPT.
SOLUTION

Relative humidity,
pv = 0.0516 bar

Specific humidity,
= 0.03384 kg/kg = 33.84 gm/kg
If 8 grams of water are removed from air, ω = 33.84 − 8 = 25.84 gram/kg

Relative humidity,
= 0.938

EXAMPLE 8.7

100 m3 of air per minute at 30°C and 60% is cooled to 22°C DBT (sensible cooling). Find
the heat removed from the air, relative humidity of the cooled air, WBT of cooled air
(Take air pressure = 1 bar).
SOLUTION
From steam table, at 30° C DBT, pvs1 = 0.0425 bar

Relative humidity,

Specific humidity,

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Enthalpy of water vapor mixture, h1 = Cpa.DBT + ω(Cpw.DBT + hfg )

h1 = 1.005 kJ/kgK × 30°C + 0.0154

(1.88 kJ/kgK × 30°C + 2430.5kJ /kg)
= 68.44 kJ /kg
At 22°C DBT, ω2-ω1= 0.0154 kg/kg of dry air

Relative humidity,
Enthalpy of water vapor mixture, h2 = Cpa.DBT + ω(Cpw.DBT + hfg )

h2 = 1.005 kJ/kgK × 22°C + 0.0154

(1.88 kJ /kgk × 22 + 2449.5kJ /kg)
= 60.48 kJ /kg

Heat removed, Q = ma (h1 − h2 ) = 260 kg (68.44 kJ/kg − 60.48 kJ/kg)

= 2069.6 kJ/min.

8.9 AIR WASHERS

An air washer is a device for conditioning air. As shown in Figure 8.17, in an air washer
air comes in direct contact with a spray of water and there will be an exchange of heat
and mass (water vapor) between air and water. The outlet condition of air depends upon
the temperature of water sprayed in the air washer. Hence, by controlling the water
temperature externally, it is possible to control the outlet conditions of air, which then
can be used for air conditioning purposes.

8.10 HUMAN COMFORT CONDITIONS

Air conditioning is the process whereby the condition of air, as defined by its temperature
and moisture content, is changed as per requirement. In practice, other factors should
also be taken into account especially cleanliness; odor, velocity, and distribution pattern.
Comfort is a very subjective matter. The Engineer aims to ensure comfort for most
people found from statistical surveys. Most people (90%) are comfortable when the air
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temperature is between 18–22°C and the % saturation is between 40–65%.
There are following general conditions required for human comfort
1. Supply of oxygen per person should always be more than 0.65 m3 per person per hour.
2. The amount of carbon dioxide should not be more than 2% in the air.
3. The temperature range may vary from 22°C to 26°C.
4. Humidity range may vary from 60% to 70%.

8.11 ROOM AIR CONDITIONER

Generally, two main types of room air conditioners are used; one is a window air
conditioner and another is a split air conditioner. The details of the working of these air
conditioners are discussed below:

8.11.1 Window Air Conditioner

The most common air conditioner, which is used for small houses and offices, is window
air conditioner as shown in Figure 8.17. It is a cubical unit, a complete conditioning
system in itself; it requires a window, or such space, where it can be installed with its face
inside the room, and the exterior part outside the room, as it discharges heat outside. It is
very easy to install. As compressor and evaporator, both are in one unit, so it’s cooling
capacity is limited, this makes it suitable only for small places. The main components of a
window AC are Compressor, Expansion valve, Hot condenser coil (exterior) Cold
evaporator coil (interior) Two fans Control unit.

Front Panel

The front panel is that part of the window unit, which is seen inside from the room by the
user. It has a user interface controlled either manually or through remote control. The
older unit usually is of mechanical control type with rotary knobs to control the
temperature and fan speed of the air conditioner. The newer units come with electronic
control system where the functions are controlled using remote control and touch panel
with digital display. The front panel has adjustable horizontal and vertical louvers to
adjust the direction of air flow as per the desire of the user. The fresh intake of air called
VENT (ventilation) is provided at the panel in the event that user would like to have a
certain amount of fresh air from the outside.

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FIGURE 8.17
Window Air Conditioner and it Components

Indoor Side Components

The inside parts include:

Cooling Coil with an air filter mounted on it. The cooling coil is where the heat exchange takes place
between the refrigerant in the system and the air in the room.
Fan Blower is a centrifugal evaporator blower to discharge the cool air to the room.
Capillary Tube is used as an expansion device. It can be noisy while operating if it is installed too
close to the evaporator.
Operation Panel is used to control the temperature and the speed of the blower fan. A thermostat is
used to sense the return air temperature and another one to monitor the temperature of the coil.
Filter Drier is used to remove the moisture from the refrigerant.
Drain Pan is used to collect the water that condensate from the cooling coil and is discharged out to the
outdoor by gravity.

Outdoor Side Components

The outdoor side parts include:

Compressor is used to compress the refrigerant.
Condenser Coil is used to reject heat from the refrigerant to the outside air.
Propeller Fan is used in the air-cooled condenser to help move the air molecules over the surface of
the condensing coil.
Fan Motor is located here. It has a double shaft where the indoor blower and outdoor propeller fan are
connected together.

8.11.2 Split Air Conditioner

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The split air conditioner comprises of two parts: the outdoor unit and the indoor unit
(Figure 8.18). The outdoor unit consists of components like the compressor, condenser,
and expansion valve fitted outside the room and the indoor unit consists of the evaporator
or cooling coil and the cooling fan fitted inside the room. Split units have aesthetic looks
and add to the beauty of the room. The split air conditioner can be used to cool one or
two rooms.

FIGURE 8.18
Split Air Conditioner and Its Working Line Diagram
Since the compressor and condenser unit can be installed outside the room, inside the air
conditioner feels calm and quiet. Split AC is an excellent option for office use and for
large commercial buildings. Due to its compact size split AC is becoming popular even
for household usage.

8.11.3 Difference Between Split and Window ACs

The working principle of both window AC and split AC are same, both but as they have
different capacities, so both are used for different places. Split AC, being divided into two
parts, has a large capacity, so it’s ideal for use in large offices and big rooms in the house.
On the other hand, window AC is one unit conditioner, so it’s suitable for small rooms
only. Window AC creates noise, whereas Split unit is found to be calm. Window AC is
smaller in size as compared to split AC. Window AC is easy to install, but in the case of
split AC, the exterior unit is to be connected to the interior unit through rubber tubes,
which might cause troubles. Moreover, a window is necessary if you want to install
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window AC in your room, but for split AC, the interior unit will be connected to
compressor unit through a small hole in the wall.

RECAP ZONE

Points to Remember

The refrigeration unit transfers heat from cold to hot regions for the purpose of cooling the cold region
while the heat pump does the same thing with the intent of heating the hot region.
There are five basic components of a refrigeration system, these are: Evaporator, Compressor,
Condenser, and Expansion Valve.
The purpose of the evaporator is to remove unwanted heat from the product, via the liquid refrigerant.
The purpose of the compressor is to draw the low-temperature, low-pressure vapor from the
evaporator via the suction line. Once drawn, the vapor is compressed.
The purpose of the condenser is to extract heat from the refrigerant to the outside air.
Within the refrigeration system, the expansion valve is located at the end of the liquid line, before the
evaporator.
By passing the liquid refrigerant from the condenser through a heat exchanger through which the cold
vapor at suction from the evaporator is allowed to flow in the reversed direction. This process
subcools the liquid but superheats the vapor.
If the vapor at the compressor entry is in the superheated state which is produced due to higher heat
absorption in the evaporator, then the refrigerating effect is increased.
The decrease in suction pressure decreases the refrigeration effect and at the same time increases the
work of compression.
The increase in discharge pressure results in lower COP.
The factors like clearance volume, the pressure drop through discharge and suction values, leakage of
vapor along the piston and superheating of cold vapor due to contact with hot cylinder walls, affects the
volume of the vapor actually pumped by the compressor.
Generally, two main types of room air conditioners are used; one is a window air conditioner and
another is split air conditioner.

Important Formulae

1. Coefficient of performance:

COPHP = COPR + 1

2. Tonnes of refrigeration: TR = Q × Cp × (Ti – To) / 3024= 210 kJ/min or 3.5 kJ/s

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3. COP of refrigerator:

4. Volumetric efficiency of compressor:

5. Saturation pressure at DPT = Pv
6. Saturation pressure at DBT + Pvs
7. Partial pressure of air, Pa = Patm − Pv
8. Humidity ratio or specific humidity,
9. Saturation pressure at DBT = Pvs
10. Relative humidity,
11. Mass of water vapor in mixture
12. Enthalpy of water vapor mixture = C pa.DBT + ω(C pw.DBT + hfg )
13. If DPT is not given and only WBT and DBT are given then Pv can be calculated from Carrier’s equation

as:

14. Density of water vapor mixture where Ra = 287 kJ/kg and Rv = 461kJ/kg
15. Enthalpy per kg of air

REVIEW ZONE

Multiple-choice Questions

1. The cooling effect in refrigeration is obtained by:

1. Mechanical refrigeration technique
2. Passing a direct current through the junction of two dissimilar metals
3. Sublimation of carbon dioxide
4. Throttling of a real gas

Which of the above statements are correct?

1. (i) and (ii)
2. (i), (ii) and (iii)
3. (i), (ii) and (iv)
4. (i), (ii), (iii) and (iv)
2. The cooling effect produced by refrigeration finds application in:
1. Construction of cold storages
2. Cooling of concrete in dams
3. Comfort air conditioning of hospitals
4. Liquification of gases and vapors

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Select your answer from the following codes:
1. (i) and (iii)
2. (i), (ii) and (iii)
3. (i), (iii) and (iv)
4. (i), (ii), (iii) and (iv)
3. A refrigeration system:
1. Removes heat from a system at lowtemperature and transfers the same to a system at high-
temperature
2. Delivers less heat to the system at hightemperature than it extracts from the system at low-
temperature
3. Transfers heat from a high-temperature source to a low-temperature sink
4. Violates second law of thermodynamics
4. The COP of a Carnot refrigeration cycle decreases on:
1. Decreasing the difference in operating temperatures
2. Keeping the upper-temperature constant and increasing the lower-temperature
3. Increasing the upper-temperature and keeping the lower-temperature constant
4. Increasing the upper-temperature and decreasing the lower-temperature
5. A Carnot refrigerating cycle used in house air conditioning delivers heat to the surroundings at the rate
of 10 kw of power. The coefficient of performance of this refrigerator would be:
1. 1.5
2. 1.67
3. 2.5
4. 0.6
6. If a Carnot cycle is to have a coefficient of performance of 5, the ratio of maximum temperature to
minimum temperature in the cycle should be:
1. 1.2
2. 1.5
3. 2.0
4. 2.5
7. A Carnot refrigerator rejects 3000 kj of heat at 400 k while using 1000 kj of work. The lowest
operating temperature in the cycle should be:
1. 15º C
2. 27º C
3. −6º C
4. 0º C
8. A Carnot engine has an efficiency of 80%, If the cycle is reversed in direction and made to operate as a
refrigerator , its COP will be:
1. 0.25
2. 0.5
3. 0.75
4. 1.25
9. A condenser of a refrigeration system rejects heat at a rate of 120 kw, while its compressor consumes a
power of 30 kw. The coefficient of performance of the system would be:
1. 2
2. 3

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3. 4
4. 5
10. The operating temperature of cold storage is 280º k and the heat leakage from the surroundings is 35 kw
for the ambient temperature of 310º k. If the actual COP of the refrigeration plant is onefourth of an
ideal plant working between the same temperature limits, the power required to drive the plant would
be:
1. 3.7 kw
2. 7.5 kw
3. 12 kw
4. 15 kw
11. A Carnot heat pump for domestic heating works between a cold system ( the contents of refrigerator
cabinet) at 0ºC and the water in the radiator system at 80ºC. The coefficient of performance of this heat
pump would be about:
1. 1.4
2. 3.4
3. 4.4
4. 6.2
12. A heat pump working on a reversed Carnot cycle has a COP of 5. If it is made to work as a refrigerator
taking 1 KW of work input, the refrigerating effect will be:
1. 1 KW
2. 2 KW
3. 3 KW
4. 4 KW
13. The capacity of refrigerating m/c is expressed as:
1. Inside volume of cabinet
2. Lowest temperature attained
3. Gross weight of m/c in tons
4. Rate of abstraction of heat from the space being cooled
14. One TOR implies that the m/c has a refrigerating effect ( capacity of heat extraction from the system
being cooled) equal to:
1. 50 kCal/sec
2. 50 kCal/min
3. 50 kCal/hr
4. 50 kCal/day
15. One TOR is equivalent to:
1. 1 KW
2. 2.5 KW
3. 3.5 KW
4. 5 KW
16. The domestic refrigerator has a refrigerating load of the order of:
1. Less than 0.25 ton
2. Between 0.5 and 1 ton
3. More than 1 ton
4. More than 5 ton
17. The refrigerating capacity of 165 domestic refrigerators is approximately equal to:
1. 0.05 ton
2. 0.1 ton
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3. 2 ton
4. 5 ton
18. Round the clock cooling of an apartment having a load of 300 MJ/day requires an air conditioning plant
of capacity about:
1. 1 ton
2. 5 ton
3. 10 tons
4. 25 tons
19. The refrigerating system of passenger air craft works on reversed:
1. Brayton cycle
2. Atkinson cycle
3. Ericsson cycle
4. Carnot cycle
20. A Bell-Coleman cycle is a reversed:
1. Brayton cycle
2. Atkinson cycle
3. Ericsson cycle
4. Carnot cycle
21. The Bell-Coleman refrigeration cycle uses ______ as working fluid.
1. Hydrogen
2. Carbon dioxide
3. Air
4. Any inert gas

Answers

1. d
2. d
3. a
4. d
5. a
6. a
7. b
8. a
9. c
10. d
11. c
12. d
13. d
14. b
15. c
16. a
17. b
18. a
19. a
20. d
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21. c

Theory Questions

1. Differentiate the working of refrigeration and heat pump, thermodynamically.

2. Enumerate the various components used in a refrigerator and explain their working.
3. Write advantages and disadvantages of air refrigeration cycle.
4. Find the expression for COP using Reversed Carnot cycle and Bell Coleman cycle.
5. Find the derivation for COP in Vapor Compression cycle.
6. Explain the effect of subcooling and superheating on COP of Vapor Compression Cycle.
7. Compare vapor compression and Reversed Carnot Cycle.
8. Write advantages and disadvantages of Vapor Compression Cycle over Air Refrigeration Cycle.
9. *Explain the working of vapor absorption cycle.
10. What do you mean by sensible heating and sensible cooling?
11. What do you mean by latent heating and latent cooling?
12. Write notes on bypass factor and sensible heat factor.
13. What are the human comfort conditions?
14. What are the various types of refrigerators have been in the application? Explain them.
15. Explain the various refrigerants used in refrigeration and air conditioning.
16. Write short notes on Window Air Conditioner and Split Air Conditioner.
17. *Differentiate between refrigeration and air conditioning, vapor compression refrigeration and vapor
absorption refrigeration. With a neat sketch, explain the working of a room air conditioner.
18. *Define the following: (i) COP, (ii) unit of refrigeration, and (iii) air conditioning.
19. *Explain with neat sketch the principle and construction of vapor absorption refrigeration system.
20. *What is refrigeration? What is refrigeration effect? Explain window air conditioner with neat sketch.
21. *Explain with a neat sketch the working of a vapor compression refrigerator. Also draw p-h and T-s
diagram for the same.
22. *Define air-conditioning. Classify the air conditioning system in detail.
23. *Define:
1. Sensible heat
2. Latent heat
3. Dryness Fraction
4. Enthalpy of evaporation
24. *What should be the properties of common refrigerants?
25. *Define air conditioning. State the basic component of air conditioning systems.
26. *Sketch and explain split air conditioner?
27. *Discuss about psychrometry and their properties?
28. *Explain the working of domestic refrigeration system with a neat sketch?
29. *Name any six properties of refrigerants.
30. *Distinguish between a heat engine, a heat pump, and a refrigerator.
31. *With a neat sketch of a room air-conditioner, explain its working principle.

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Numerical Problems

1. Carnot refrigeration cycle absorbs heat at 280 K and rejects heat at 310 K.
1. Calculate the coefficient of performance of this refrigeration cycle.
2. If the cycle is absorbing 1120 kJ/min at 280 K, how many kJ of work is required per second?
3. If the Carnot heat pump operates between the same temperatures as the above refrigeration cycle,
what is the coefficient of performance?
4. How many kJ/min will the heat pump deliver at 310 K if it absorbs 1120 kJ/min at 280 K.
2. The capacity of a refrigerator is 200 TR when working between –4°C and 22°C. Determine the mass of
ice produced per day from water at 22°C. Also, find the power required to drive the unit. Assume that
the cycle operates on reversed Carnot cycle and latent heat of ice is 336 kJ/kg.
3. A glass of water is mixed with ice. The moisture from the air begins to condense on the surface of glass
when the temperature of water comes 12°C. If the room temperature and pressure are 25°C and 1.01325
bars, Determine the partial pressure and mass of water vapor in grams per kg of dry air.
4. The pressure and temperature of the mixture of air and water vapor at 1 bar and 22°C. The dew point
temperature of the mixture is 12°C. Find partial pressure of water vapor in the mixture, relative
humidity, specific humidity, enthalpy of mixture per kg of dry air, and specific volume of mixture per kg
of dry air.
5. 50 m3 of air at 18°C DBT and 12°C WBT are mixed with 20 m3 of dry air at 32°C DBT and 24°C
WBT. Determine the DBT and WBT of the mixture.
6. The DBT and RH of air are 38°C and 60% respectively. The atmospheric pressure is 1 bar. Determine
the specific humidity and vapor pressure of moisture in the air. If 10 grams of water vapor is removed
from the air and temperature is reduced to 28°C. Find the relative humidity and DPT.
7. 80 m3 of air per minute at 32°C and 70% is cooled to 24°C DBT (sensible cooling). Find the heat
removed from the air, relative humidity of cooled air, WBT of the cooled air (Take air pressure = 1
bar).
8. *A perfect reversed heat engine is used for making ice at −5°C from water available at 25°C. The
temperature of the freezing mixture is −10°C. Calculate the quantity of ice formed per kwh. For ice
specific heat = 2.1 kJ/kg°k and latent heat = 335 kJ/kg.

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CHAPTER 9
Fluid Mechanics and Hydraulic Machines
Learning Objectives

By the end of this chapter, the student will be able:

To understand the basic concepts of fluid mechanics and the force analysis
To describe the construction details, design, and working of hydraulic turbines
To describe the construction details, design, and working of hydraulic pumps
To demonstrate the working of hydraulic coupling and torque converter

FLUID MECHANICS

9.1 INTRODUCTION

Engineering mechanics can be divided into three parts—mechanics of the rigid body,
mechanics of solids, and mechanics of fluids. In the Mechanics of rigid body, it is
assumed that there is no internal deformation in the body and we study about the static
and dynamic position of the body subjected to external forces. In the mechanics of solid,
it is assumed that the solid deforms subjected to external forces and we study about the
nature of deformation in the body. In the fluid mechanics, shape and size of the body are
not constant and we study about statics and dynamics of flow of fluid subjected to
various types of forces on it.

9.2 PROPERTIES OF FLUIDS

The study of properties of fluids is a base for the basic understanding of flow or static
condition of fluids. Some important properties of fluids are density, viscosity, surface
tension, bulk modulus and vapor pressure, etc. Viscosity causes resistance to flow
between two adjacent layers of fluid. Surface tension leads to capillary effects. Bulk
modulus is involved in the propagation of disturbances like sound waves in fluids. Vapour
pressure can cause flow disturbances due to evaporation at locations of low pressure. It
plays an important role in cavitation studies in hydraulic machines.

9.2.1 Density
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The fluid density is the quantity of fluid contained in its unit volume. It can be expressed
in three different ways—mass density, specific weight, and relative density.

Mass Density

Mass Density (ρ) is defined as the mass of a substance per unit volume. S.I. unit of mass
density is Kilograms per cubic meter, kg/m3 and dimensions is ML−3.

Specific Weight

Specific Weight (ω), sometimes γ, and sometimes known as specific gravity is defined as
the weight per unit volume or the force exerted by gravity, g, upon a unit volume of the
substance. The Relationship between g and ω can be determined by Newton’s 2nd Law,
since weight per unit volume = mass per unit volume × g; ω ρ = g. S.I. unit of fluid is
Newton per cubic meter, N/m3 and dimension is ML−2 T−2.

Relative Density

Relative Density (σ) is defined as the ratio of the mass density of a fluid to some standard
mass density. For solids and liquids, this standard mass density is the maximum mass
density for water (which occurs at 4° C) at atmospheric pressure.

9.2.2 Viscosity

Viscosity, μ is a property of a fluid which offers resistance to shear deformation.

Different fluids deform at different rates under the same shear stress. Fluid with a high
viscosity, such as lubricant oil deforms more slowly than the fluid with a low viscosity
such as water.
In any fluid flow, layers move at different velocities and the fluid’s viscosity arises from
the shear stress developed between the layers that ultimately oppose any applied force.
The relationship between the shear stress and the velocity gradient can be understood as
two plates closely spaced at a distance, ∂y and separated by a homogeneous substance.
Assuming that the plates are of large area ‘A’ and that the lower plate is fixed. A force
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‘F’ is applied to the upper plate. If this force causes the substance between the plates to
undergo shear flow with a velocity gradient ∂u / ∂y, the substance is called a fluid.

FIGURE 9.1
Velocity Variation Near Solid Boundary
The applied force is proportional to the area and velocity gradient in the fluid. Combining
these three relations results in the equation:

Where μ is proportionality constant called as viscosity.

or
Thus, for straight, parallel and uniform flow, the shear stress between layers is
proportional to the velocity gradient in the direction perpendicular to the layers. This
statement is known as Newton’s Law of Viscosity.
Here, μ is known as dynamic viscosity and its unit is Newton Second per square meter.
The ratio of dynamic viscosity and density of the fluid is known as kinematic viscosity (v
). Its unit is meter2/sec. 1 stoke = 10–4m2/sec.

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1 N-sec/m2 = 10 Poise and 1 stoke = 10–4m2/sec.

Variations in Viscosity with Temperature: The viscosity of liquid decreases with
increase in temperature while the viscosity of gases increases with increase in
temperature.

Where α and β are constants and t is the temperature. μ0 is the viscosity at 0° C.

EXAMPLE 9.1

The dynamic viscosity of lubricating oil used between shaft and sleeve is 10 poise. The
diameter of the shaft, which rotates at 200 rpm, is 0.5 m. The sleeve length is 100 mm.
Calculate the power lost if the thickness of oil film is 2 mm.
SOLUTION

Shear force on the shaft, F = τ × A = 2616.66N / m2 × πDL

= 2616.66 N / m2 × π × 0.5m × 100 × 10−3 m = 410.81N

Torque on shaft,

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Power lost,

9.2.3 Newtonian and Non-newtonian Fluids

An ideal fluid has zero viscosity. Shear force is not involved in its deformation. An ideal
fluid must be incompressible. Shear stress is zero irrespective of the value of ∂u / ∂y.
Bernoulli equation can be used to analyze the flow. Real fluids having viscosity are
divided into two categories, namely, Newtonian and non-Newtonian fluids. In Newtonian
fluids, a linear relationship exists between the magnitude of the applied shear stress and
the resulting rate of deformation. It means that the proportionality parameter, μ is
constant in the case of Newtonian fluids. The viscosity at any given temperature and
pressure is constant for a Newtonian fluid and is independent of the rate of deformation.
The characteristics are shown plotted in Figure 9.2.

FIGURE 9.2
Type of Fluids
Non-Newtonian fluids can be further classified as simple non-Newtonian, ideal plastic
and shear thinning, shear thickening and real plastic fluids. In non-Newtonian fluids,
viscosity varies with variation in the rate of deformation. A linear relationship between
shear stress and rate of deformation (∂u / ∂y) does not exist. In plastics, up to a certain
value of applied shear stress, there is no flow. After this limit, it has a constant viscosity
at any given temperature. In shear thickening materials, the viscosity increases with (∂u /
∂y) deformation rate. In shear thinning, materials viscosity decreases with ∂u / ∂y.

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9.2.4 Surface Tension

Surface tension is the tendency of the surface of a liquid to behave like a stretched elastic
membrane. There is a natural tendency for liquids to minimize their surface area. The
obvious case is that of a liquid droplet on a horizontal surface that is not wetted by the
liquid—mercury on glass, or water on a surface that also has a thin film of oil on it. All
liquid molecules exhibit cohesive forces binding them with each other. This cohesive
bond exhibits a tensile strength of the surface layer and this is known as surface tension.

Surface tension may also be defined as the work (in Nm/m2 or N/m) required to create a
unit surface area of the liquid. The work is actually required for pulling up the molecules
with lower energy from below, to form the surface. Another definition for surface tension
is the force required to keep the unit length of the surface film in equilibrium (N/m). The
formation of bubbles, droplets, and free jets are due to the surface tension of the liquid.
Surface Tension on Liquid Droplets: Let σ be the surface tension of the liquid, p be the
pressure intensity inside the droplets, and d be the diameter of droplets. The tensile force
due to surface tension acting around the circumference of the liquid droplets will be equal
to pressure force on the projected area.

Surface Tension on a Hollow Bubble: A hollow bubble (such as soap bubble) has two
surfaces in contact with air—one internal surface and another external surface. Thus,
pressure force inside the bubble is equal to two times of tensile force on the bubble
surfaces.

Surface tension on a liquid jet:

EXAMPLE 9.2

The surface tension of water in contact with air at ambient temperature is 0.10 N/m. The
pressure inside the water droplet is 0.03 N/cm2 greater than the outside pressure.
Calculate the diameter of the water droplet.
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SOLUTION

σ = 0.10N / m; p = 0.03 × 104 N / m2

Also,

EXAMPLE 9.3

Find the surface tension in a soap bubble of 50 mm diameter when the inside pressure is 4
N/m2 above atmospheric pressure.
SOLUTION

9.2.5 Capillarity

Capillarity is a phenomenon of rise or fall of the liquid surface in a small tube relative to
the adjacent general level of liquid when the tube is held vertically in the liquid. The rise
of the liquid surface is known as capillary rise and fall of the liquid surface is known as
capillary depression as shown in Figure 9.3.

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FIGURE 9.3
(a) Capillary Rise and (b) Capillary Depression
Capillary Rise: Let h = height of liquid in the tube, σ = surface tension of the liquid, and
θ = angle of contact between liquid and glass tube.

The weight of liquid of height in the tube =

Vertical component of surface tensile force = σ × curcumference × cosθ = σ × πd × cosθ

Capillary Depression: Let h = fall in height of liquid in the tube, σ = surface tension of
the liquid, and θ = angle of contact between liquid and glass tube.

Hydrostatic pressure force acting upward = P × Area of tube

Vertical component of surface tensile force = σ × curcumference × cosθ = σ × πd × cosθ

EXAMPLE 9.4

Calculate the capillary rise in a glass tube of diameter 2 mm when immersed vertically in:
water and (ii) mercury. Assume surface tension for water as 0.07 and for mercury as 0.5
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in contact with air. The specific gravity for mercury is 13.6 and angle of contact is 130°.
SOLUTION
Capillary rise for water at θ = 0

Capillary rise for mercury at θ = 130°

9.2.6 Pressure Variation with Depth

The interaction of the static fluid with its surroundings is in the form of force, which is
applied equally on all contact points. This force is the result of the pressure applied on a
particular unit area. The pressure in the fluid is not constant throughout. The pressure in
any body of the fluid varies with depth and it increases with the depth of the fluid. But at
the same level relative to the vertical direction the pressure will be same in the fluid. The
increase in pressure as we go down the fluid is due to the weight of the fluid column
above that level.

FIGURE 9.4
Forces Acting on Cylinder of Fluid
The variation of the pressure with the depth of the liquid column can be formulated with
this simple analysis. Consider a vertical column of a liquid with a constant cross-sectional
area. The liquid under consideration is at rest so there is no shear force acting or coming
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into the picture. The liquid column is in equilibrium so all the forces are balanced in the
column. At any point in the column, the net force is zero. The weight of the column at
any particular depth is balanced by the force due to pressure at that point. Thus, the
pressure at that point is equal to the weight of the column at that point divided by the
area of cross section of the liquid column.

Let P denote the pressure at the base of the cylinder; since p changes at a rate with

elevation, the pressure is found from the definition of a derivative to be dz at the

top of the cylinder. (Note that we do not anticipate a reduction of pressure with elevation
here; hence, the plus sign is used. If indeed—as proves to be the case—pressure falls

with increasing elevation, then the subsequent development will tell us that is
negative.) Hence, the fluid exerts an upward force of pA on the base of the cylinder, and

a downward force of A on the top of the cylinder.

Next, apply Newton’s second law of motion by equating the net upward force to the mass
times the acceleration which is zero, since the cylinder is stationary:

Cancellation of PA and division by Adz leads to the following differential equation,

which governs the rate of change of pressure with elevation:

Note: Pressure at the depth h in a fluid of density ρ may be given as P = P0 + ρ × g× h,

where P0 is pressure at the open surface of the fluid.

9.3 BERNOULLI’S EQUATION

The Bernoulli’s equation is an approximate relation between pressure, velocity, and

elevation, and is valid in regions of steady and incompressible flow where net frictional
forces are negligible. Despite its simplicity, it has proven to be a very useful tool in fluid
mechanics. The key approximation in the derivation of the Bernoulli equation is that
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viscous effects are negligibly small compared to inertial, gravitational, and pressure
effects. Since all fluids have a viscosity, this approximation cannot be valid for an entire
flow field of practical interest. In other words, we cannot apply the Bernoulli equation
everywhere in a flow, no matter how small the fluid’s viscosity. However, it turns out
that the approximation is reasonable in certain regions of many practical flows. We refer
to such regions as inviscid regions of flow, and we stress that they are not regions where
the fluid itself is inviscid or frictionless, but rather they are regions where net viscous or
frictional forces are negligibly small compared to other forces acting on fluid particles.

FIGURE 9.5
Forces on Fluid Element
Considering a streamline flow takes place in s-direction as shown in Figure 9.5. A small
element of fluid of cross-sectional area dA and length ds is considered for force analysis.
The forces acting on this element are given as:
1. pressure force, pdA in the direction of flow,

2. pressure force opposite to the direction of flow,

3. the weight of the fluid element, ρgdAds.

The resultant force on the fluid element in the direction of flow must be equal to the mass
of fluid element X acceleration in the direction.

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where as is acceleration in direction s.

Now, , where velocity, V is a function of s and t.

For steady flow,

Putting the value of as in Equation (9.1), we get

Therefore,

Putting the value of from Figure 9.5

This is known as Euler’s Equation of motion.

Bernoulli’s equation is obtained by integrating the Euler’s equation of motion.

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Here, represents the pressure energy per unit weight;

represents the kinetic energy per unit weight; 2g

z represents the potential energy per unit weight.

EXAMPLE 9.5

The water is flowing through a pipe having diameters 30 cm and 20 cm at two sections 1
and 2, respectively. The rate of flow through the pipe is 80 liters/sec. Section 1 is 8 m
above the datum and section 2 is 5 m above the datum. If the pressure at section 1 is 4
bar, find the intensity of pressure at section 2.
SOLUTION

From Bernouilli’s Equation, we get

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9.4 TYPES OF FLOW

Steady and Unsteady Flow: Steady flow is that type of flow in which the fluid
characteristics such as velocity, pressure, density, etc. at a point do not change with time.
Unsteady flow is that type of flow in which the fluid characteristics such as velocity,
pressure, density, etc. at a point change with time.
Uniform and Non-uniform Flow: Uniform flow is that type of flow in which velocity of
the fluid does not change with respect to space. Non-uniform flow is that type of flow in
which velocity of the fluid changes with respect to space.
Laminar and Turbulent Flow: Laminar flow is that type of flow in which the fluid
particles move along well-defined paths of streamline and all the streamlines are straight
and parallel to each other. This type of flow is also known as streamline or viscous flow.
Turbulent flow id that type of flow in which fluid particles move in a zig–zag way. This
zig–zag motion of the fluid particles results in eddies formation which is responsible for
energy loss.
Compressible and Incompressible Flow: Compressible flow is that type of flow in which
density of fluid changes from point to point. Incompressible flow is that type of flow in
which density of fluid remains constant throughout the flow.
Rotational and Irrotational Flow: In rotational flow, fluid particles moving on stream
lines also rotate about their axes. In irrotational flow fluid particles do not rotate about
their axes, they smoothly move in stream line.

HYDRAULIC MACHINES

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9.5 INTRODUCTION

Hydraulic machines are the devices that convert hydraulic energy into mechanical energy
or mechanical energy into hydraulic energy. Hydraulic turbines are the basic prime
movers which convert the hydraulic energy (in the form of pressure/kinetic energy) into
mechanical energy. Pressure energy is developed due to the head of water in the form of
potential energy and kinetic energy is developed due to the mass flow of water with some
velocity. The shaft of hydraulic turbine rotates due to impact/reaction force of water on
hydraulic blades; the shaft of the turbine is coupled to a generator which produces
electrical energy. Pump converts mechanical energy into hydraulic energy (pressure
energy).

9.6 HYDRAULIC TURBINES

9.6.1 Classification of Hydraulic Turbines

There is a number of the basis on which the classification of hydraulic turbines can be
done. Some important bases among them are discussed below as:
1. Energy Available at the Inlet of the Turbine

Impulse turbine: The energy available at the inlet of the turbine is kinetic energy. A
jet of water impacts on the turbine blades mounted on the shaft and results in the
shaft rotation at high speed. Impulse turbine works on the principle of impulse-
momentum equation. The change in momentum of water produces impulse on the
blades of the turbine, which acts as torque for rotation of turbine shaft. Example:
Pelton turbine.
Reaction turbines produce back thrust or reaction on the blade due to the difference
in pressure at inlet and outlet of the turbine. The pressure at the inlet of the reaction
turbine is more than that of the outlet as the reverse of the impulse turbine in which
pressure remains constant at inlet and outlet of the turbine. Example: Francis turbine
and Kaplan turbine.
2. Direction of Flow of Water

Tangential flow turbine: The turbine, in which water flows along the tangent of the
runner, is known as tangential flow turbine. Example: Pelton turbine

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Radial flow turbine: The turbine, in which water flows in a radial direction inward or
outward, is known as radial flow turbine.
Axial flow turbine: The turbine, in which water flows through the runners along the
of the turbine, is known as axial flow turbine. Example: Kaplan turbine.
Mixed flow turbine: The turbine, in which water flows through the runner in the
radial direction but leaves the turbine in the axial direction, is known as mixed flow
turbine. Example: Francis turbine.
3. Head

High head turbine (Head > 180 meter). Example: Pelton Turbine.
Medium head turbine (60 < Head < 150 meter). Example: Francis turbine.
Low head turbine (30 < head < 60 meter). Example: Kaplan turbine.
4. Specific Speed of the Turbine

Low specific speed turbine (10 to 35). Example: Pelton turbine.

Medium specific speed turbine (60-300). Example: Francis turbine.
High specific speed turbine (300-1000). Example: Kaplan turbine.

9.7 TERMINOLOGY USED IN TURBINE

Gross Head: It is the difference between the water level in reservoir and tail race and
indicated by Hg.

Net Head: It is the net head available at the inlet of the turbine after deduction the
various types of head losses due to friction, pipe bend, and fitting, etc.

Hnet = Hg − hf

where,
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f is coefficient of friction,
L is length of penstock,
v is velocity of water, and
D is diameter of penstock.
Hydraulic Efficiency: It is the ratio of power delivered to runner and power available at
the inlet of the turbine. Power at inlet of the turbine is more than the power supplied to
the runner due to losses in flow through the runner

Mechanical Efficiency: It is the ratio of the power produced at the shaft of the turbine
and power supplied to the runner of the turbine.

Volumetric Efficiency: It is the ratio of the actual volume of water striking the runner
and the volume of water supplied to the turbine.

Overall Efficiency: It is the ratio of the power available at the shaft of the turbine and
power supplied at the inlet of the turbine.

9.8 PELTON TURBINE

Pelton turbine is named after L. A. Pelton an American Engineer; it is a high head,

tangential flow, and low specific speed turbine. This turbine is most suitable for the high
head. In the case of low head, flow is to be increased and for increased flow, a bigger jet
diameter is required. The bigger jet diameter requires bigger runner diameter, which
results in the bulky turbine and low peripheral velocity. Thus, the efficiency of Pelton
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turbine decreases with a low head of the water. A Schematic diagram of Pelton turbine is
shown in Figure 9.6.

FIGURE 9.6
General Layout of Pelton Turbine

9.8.1 Main Components of Pelton Turbine

Penstock: Penstock is a steel or concrete conduit, through which water flows from the
reservoir to nozzle. Its size is large due to conduction of flow of water from the high head
(200 m) to the nozzle.
Nozzle and Guiding Mechanism: The pressure head at the inlet of the turbine is
converted into kinetic energy using the nozzle. The velocity of the of water jet at the tip
of the nozzle depends on the net head (H); . The high velocity jet of water
strikes on the bucket and deviates at 165° and results into impulse on the buckets.
Buckets mounted on shaft rotate at high velocity and produce shaft power.
The guide mechanism is used to control the flow of water from the nozzle and to control
the speed of the turbine as shown in Figure 9.6. The main function of the spear is to
change the flow area of the nozzle moving in forward and backward directions. The flow
area is decreased by the movement of the spear in the forward direction and increased by
the movement of the spear in the backward direction. But, water in penstock causes
hammering due to sudden increase and decrease pressure resulting from a sudden change
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in the flow area. Therefore, to prevent the high-pressure generation in the penstock, a
deflector is used in front of the nozzle, which deflects the flow of water to decrease the
shaft speed.
Bucket: The splitter, a sharp edge at the center of the bucket, divides it into two
hemispherical part. The splitter helps the jet to be divided into two parts without
producing a shock on the bucket and moving the same sideways in opposite directions.
The rear of the bucket is so designed that water should not interfere during passage the
bucket proceeding in order of rotation as shown in Figure 9.7. The jet should be deflected
backward at an angle of 160° to 165°; the materials used for the bucket may be cast iron,
bronze or stainless steel.

FIGURE 9.7
(a) Buckets of Pelton Wheel, and (b) Cross-sectional View of Bucket
Casing: Casing has no hydraulic importance; it is only used to prevent the splashing of
water and to discharge the water to tail race; and the other purpose is to provide a
safeguard to the wheel.

9.8.2 Selection of Speed of Pelton Turbine

Specific speed of the Pelton turbine ranges from 10 to 35. If the speed of the turbine is
made higher, following changes may be required:
Specific speed of turbine will increase.
Size of the turbine will increase.
The jet diameter will decrease to increase the jet ratio and turbine efficiency.
Multiple jets will be required; the governing of multiple jet becomes complex.
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The number of poles required in the generator coupled with the turbine will be less due to high speed.

Hydraulic Brake: To stop the turbine quickly in short interval of time, some smaller
nozzles are fixed in such a way that water jets strike the bucket from the back side.

9.8.3 Velocity Triangle for Pelton Turbine

FIGURE 9.8
(a) Velocity Triangle for Series of Radial Vane, and (b) Velocity Triangle for Pelton
Turbine
Here, V1 and V2 are velocities of jet at inlet and outlet, respectively;

Vr1 and Vr2 are relative velocities of jet with respect to bucket at inlet and outlet,
respectively;
u1 and u2 are bucket velocities at inlet and outlet, respectively;

Vf1 and Vf2 are velocities of flow, i.e., component of V1 and V2 in the direction of motion
of bucket at inlet and outlet, respectively;
Vω1 and Vω2 are velocities of whirl at inlet and outlet, respectively;

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α is an angle between the direction of jet and direction of motion of bucket;
θ is an angle between Vr1 and direction of motion of bucket;

β is an angle between V2 and direction of motion of bucket;

φ is an angle between Vr2 and direction of motion of bucket.

In the case of Pelton wheel, α = 0, θ = 0, u1 = u2 = u = πDN / 60, V1 = Vω1, Vr1 = V1 –

u1= V1 – u

Where D is the diameter of wheel and N is rpm.

where H is net head equals to Hg − Hf.

Hg and Hf is gross and friction heads, respectively. Cv is coefficient of velocity.

From Velocity triangle in Figure 9.8 (b),

Vr2 = Vr1 and Vω2 = Vr2 cosϕ − u

Force exerted by water on the bucket, Fx = m {Vω1 − (−Vω2 )} = ρ × a × V1 [Vω1 + Vω2

]
m = ρ × a × V1, for series of vanes
= ρ × a × Vr1, for single vane

Area of jet; where d is het diameter.

Work done by water per sec, W = Fx × u = ρ × a × V1 [Vω1 + Vω2 ] × u Nm / sec.

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EXAMPLE 9.6

A Pelton turbine is coupled to an electric generator of 10000 kW. The head of water
available at the nozzle is 800 m. Assuming generator efficiency as 95%, Pelton wheel
efficiency as 85%, coefficient of velocity for nozzle as 0.96, speed ratio as 0.36, jet
deflection angle by the bucket as 1650, and relative velocity at outlet as 0.95 times that
of inlet, calculate: (i) diameter of jet, (ii) flow of water in m3, and (iii) force exerted by jet
on bucket. If the ratio of bucket diameter to jet diameter is 10, find the synchronous
speed for the generation at 50 cycles per second and the corresponding mean diameter of
the runner.
SOLUTION
Given: P = 10000kW; H = 800 m; ηgen = 0.95; ηt = 0.85; Cv = 0.96; Cu = 0.36; ϕ

= 180° − 165° = 15°

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Vr2 = 0.95Vr1; D / d = 10; f = 50 cycles /sec.

Power input to the generator,

Power input to the turbine,

Also, Power available at the turbine,

From Equations (9.2) and (9.3),

= 1.5m3/sec.

Frequency of generator, where P is number of pairs of poles and N is

synchronous speed.

Revised diameter
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EXAMPLE 9.7

A Pelton wheel is to be designed with following specifications: Shaft power = 12000 kW,
Head = 400m, Speed = 800 rpm, Overall efficiency = 86%, jet diameter is one-tenth of
wheel diameter. Determine: (i) the wheel diameter, (ii) the number of jets required, and
(iii) diameter of the jet. Assume Cv = 0.98 and Cu = 0.45.

SOLUTION

Discharge of one jet,

Overall efficiency,

9.9 FRANCIS TURBINE

Initially, Francis turbine was designed as a pure radial flow reaction turbine by an
American Engineer James B. Francis. Modern Francis turbine is mixed flow reaction
turbine as water enters the turbine in radial direction and exits in the axial direction. It
operates under medium heads and also requires a medium quantity of water. It is
employed in the medium head power plants. It covers a wide range of heads from 30 to
150 m. Water is brought down to turbine from reservoir and directed to a number of
stationary orifices fixed all around the circumference of a runner, which is known as
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guide vane.
Water head is partly converted into kinetic head and rest remains as pressure head. There
is the difference in pressure between guide vane and runner, called as reaction pressure.
The reaction pressure is responsible for the motion of the runner. Therefore, a Francis
turbine is called a reaction turbine.

9.9.1 Main Components of Francis Turbine

There are following components of Francis Turbine (Figure 9.9)

FIGURE 9.9
Francis Turbine
Penstock: Penstock is a waterway to carry water from the reservoir to the turbine casing.
It is very similar to all types of turbines.
Spiral or Scroll Casing: In a spiral casing, the cross sectional area decreases around the
periphery of guide wheel from the entrance to tip. A spiral casing is shown in Figure 9.9.
This type of casing used to prevent the eddy formation that causes the loss in efficiency.
Guide Vane: Guide vanes have aerofoil cross-section to reduce the friction loss and
prevent the eddies formation. Each guide vane can turn about its pivot by means of
regulating shaft and link connected to guide vane so that it can be opened or closed to
allow the passage for the variable quantity of water according to the needs. The
regulating shaft is operated by means of a governor whose function is to keep the speed
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constant to the turbine at varying loads.
Runner: Runner is fixed to the turbine shaft. Water flows, radially inward to the runner
and exits axially. For high specific speed runner, it is wider than low specific speed
runner, since it has to handle a large amount of water. It is made of corrosion resistant
materials.
Draft Tube: If the water is discharged freely from the runner, the effective head of the
turbine will be reduced and will be equal to the height of the reservoir from runner outlet.
So a taper draft tube is used at the outlet of the turbine to increase the head of water by
the height of the draft tube. Since there is a big loss of head due to high kinetic energy at
the outlet of the turbine. The loss is recovered by converting these kinetic head into
pressure head at the exit of the draft tube. It is mainly used in reaction turbine.

FIGURE 9.10
Draft Tube
Let Hd is the height of the draft tube above the tailrace and x is a distance of the bottom
of the draft tube from tailrace level. From Bernoulli’s Equation “Total energy at any
section during flow remains constant”.

Where hf is loss of energy due to function in draft tube

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From the above equation, it can be observed that P1 < Pa

Efficiency of draft tube,

9.9.2 Different Shapes of Draft Tubes

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FIGURE 9.11
Different Types of Draft Tubes

Velocity Triangle for Francis Turbine

Here, V1 and V2 are velocities of jet at inlet and outlet, respectively;

Vr1 and Vr2 are relative velocities of jet with respect to bucket at inlet and outlet,
respectively;
u1 and u2 are bucket velocities at inlet and outlet, respectively;

Vf1 and Vf2 are velocities of flow, i.e., component of V1 and V2 in the direction of motion
of bucket at inlet and outlet, respectively;
Vω1 and Vω2 are velocities of whirl at inlet and outlet, respectively;

α is an angle between the direction of jet and direction of motion of bucket;

θ is an angle between Vr1 and direction of motion of bucket;

β is an angle between V2 and direction of motion of bucket;

φ is an angle between Vr2 and direction of motion of bucket.

FIGURE 9.12
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Velocity Triangle for Francis Turbine
The work done per second on runner by water,
W = ρaV1 [Vω1u1 ± Vω2u2]
= ρQ [Vω1u1 ± Vω2u2]

Where
The work done per second per unit weight of water

Here, +ve sign is taken if β < 90°; –ve sign is taken if β > 90°, and Vω2 = 0, if β = 90°.

In case of Francis turbine β = 90

Now, work done per second per unit weight of water

EXAMPLE 9.8

A Francis turbine working under a head of 8 m. The overall efficiency is 70% and power
required to produce 150 kW. The peripheral and radial velocities at inlet are and
, respectively. The wheel runs at 160 rpm and hydraulic efficiency of the
turbine is 78%. Assuming radial discharge, find (i) the guide blade angle, (ii) vane angle
at inlet, (iii) diameter of the wheel at the inlet, and (iv) width of the wheel at the inlet.
SOLUTION
Given:
ηo = 70%, ηh = 78%, Shaft power = 150kW, H = 8m
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There is radial discharge at outlet, therefore Vω2 = 0 and Vf2 = V2.

Hydraulic efficiency,

1. Guide blade angle, α

2. Wheel vane angle at inlet, θ

3. Diameter of wheel at inlet, D1

4. Width of the wheel at inlet, b1

EXAMPLE 9.9

An inward flow reaction turbine rotates at 360 rpm. The wheel vanes are radial at the
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inlet and the inner diameter of the wheel is half of the outer diameter. The constant
velocity of flow in the wheel is 2.5 m/sec. Water enters the wheel at an angle of 150 to
the tangent at the wheel at the inlet. The width of the wheel at the inlet is 90 mm and area
of flow blocked by vane is 2% of the gross area of flow at the inlet. Assuming radial
discharge, find (i) head available, (ii) vane angle at the outlet, (iii) the outer and inner
diameter of the wheel, and (iv) the theoretical water power developed by the wheel.
SOLUTION

Head available,

Quantity of water flow, Q = area of flow × velocity of flow

= K × π × D1 × b1 × Vf1
= 0.98 × π × 0.4449 m × 0.09 m × 2.5 m / sec = 0.3428 m3 / sec.

Water power,

9.10 KAPLAN TURBINE

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Kaplan turbine is an axial flow, low head, high specific speed, reaction type turbine.
There is a similar turbine known as propeller turbine having fixed vane in place of the
adjustable vane as in Kaplan turbine.
Kaplan turbine has following components (Figure 9.13 and 9.14):
Scroll Casing: Its function is very similar to scroll casing in Francis turbine as explained
earlier. It reduces the eddies formation and hence minimizes the eddy loss.
Guide Mechanism: It has a similar function as in Francis turbine.
Hub, Vane/Runner: The extended bottom end of the shaft is known as hub boss. On the
periphery of boss 3 to 6 vanes are mounted that are fixed in propeller turbine and
adjustable in Kaplan turbine. Propeller turbine is used where head and load are constant
but Kaplan turbine is used where load and head are variable. During operation, vanes are
adjusted by Servomotor mechanism. Servomotor mechanism consists of a cylinder with a
piston working under oil pressure on either side.

FIGURE 9.13
Main Components of Kaplan Turbine

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FIGURE 9.14
Kaplan Turbine

9.10.1 Velocity Triangle for Kaplan Turbine

Area of flow at inlet , where D0 is outer diameter of runner and Db is hub

diameter.
Velocity of flow at inlet = Velocity of flow at outlet
i.e., Vf1 = Vf2

Peripheral velocity at inlet and outlet are equal,

Discharge through runner,

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FIGURE 9.15
Velocity Triangle for Kaplan Turbine

EXAMPLE 9.10

A Kaplan turbine is working under a head of 20 m. The hub diameter is 0.25 times the
runner diameter. The rpm of the turbine is 500. Runner angle at the outlet is 15° and flow
ratio is 0.6. Calculate: (i) diameter of runner and (ii) discharge rate of water.
SOLUTION
H = 20 m,Db = 0.25D0,N = 500rpm, ϕ = 15°.

For kaplan turbine, u1 = u2 = 44.3555m / sec.

Db = 0.25 D0 = 0.25 × 1.694 m = 0.433235 m

Discharge rate
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EXAMPLE 9.11

A Kaplan turbine is designed to develop 7000 kW shaft power. The head available is 10
m. Assuming speed ratio as 2.1, flow ratio as 0.6, overall efficiency as 70%, and diameter
of the boss as one-third of the diameter of runner. Find the diameter of runner and its
speed.
SOLUTION

Speed ratio,

Flow ratio,

EXAMPLE 9.12

A conical draft tube having inlet and outlet diameters 2 m and 2.5 m discharges water at
the outlet with a velocity of 3 m/sec. The total length of the draft tube is 8 m out of which
2 m of the length of the draft tubes immersed in water. If atmospheric pressure head is
10.3 m of water and loss of head due to friction in the draft tube is equal to 0.2 times of
velocity head at the outlet of the tube. Find: (i) pressure head at inlet and (ii) Efficiency
of draft tubes.

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SOLUTION
D1 = 2 m, D2 = 2.5 m, V2 = 3 m/s

Hd + x = 8 m, x = 2 m
Hd = 8 – 2 = 6 m

1. Pressure head at inlet,

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2. Efficiency of draft tube,

= 50.87 %

Cavitation

Cavitation is defined as the phenomenon of formation of vapor bubbles due to fall in

pressure below its vapor pressure and sudden bursting of these bubbles in a high-pressure
zone. It is an undesirable phenomenon.

Effects of Cavitation

1. Cavities are formed on the surface and metallic surface is damaged.

2. Due to sudden collapse of vapor bubbles, considerable noise and vibrations are produced.
3. The efficiency of turbine decreases.

Cavitation depends on vapor pressure, absolute or barometric pressure, suction pressure,

and effective dynamic head and absolute velocity of water at runner exit.

Precaution against Cavitation

1. Pressure of flowing fluid at any part should not fall below vapor pressure.
2. Specific materials or coating such as aluminum, bronze, and stainless steel, which are capitation
resistant materials should be used.

9.11 GOVERNING OF TURBINES

Governing of turbines is required to control the speed of the turbine since it is coupled
with an electric generator with fixed number of poles provided in the generator. The
speed of the turbine is controlled by controlling the water flow. This is done by means of
a governor, which is running due to the motion of the shaft of the turbine. There is a
servomotor in which cylinder and piston are used to control the flow area of water by a
spear. If the turbine speed increases due to decreasing load on the generator, the speed is
reduced by decreasing the flow of water with the help of spear movement controlled by
piston and cylinder servomotors.

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9.12 PUMPS

Working principle of hydraulic pumps is the just reverse of the hydraulic turbines.
Hydraulic turbine transforms the hydraulic energy into mechanical work whereas
hydraulic pump transforms mechanical work into hydraulic energy. The pumps may be a
reciprocating type or rotary type. Centrifugal pump is a rotary type pump, which is used
for large delivery and small head and the reciprocating pump is used for small delivery
and high head.

9.13 CENTRIFUGAL PUMP

Centrifugal pump works on the reverse of the principle of working of radial inward flow
reaction turbine. The pressure at the periphery will be high due to centrifugal force on the
water. The centrifugal force is subjected on the water due to forced vortex motion. Water
enters in the axial direction and leaves radial direction (Figure 9.16). The pressure is
proportional to the square of radius as a rise in pressure head.

FIGURE 9.16
Construction Feature of Centrifugal Pump
Due to high-pressure head at the periphery, water can be lifted to a higher level.

9.13.1 Main Components of Centrifugal Pump

Main components of a centrifugal pump are Impeller, casing, suction pipe, foot valve,
strainer, delivery pipe as further discussed.
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Impeller: Impeller is a backward curved vane. It is mounted on the shaft coupled to the
electric motor. Thus, it is a rotating part of centrifugal pump.
Casing: It is air tight passage surrounding the pump. Its function is to convert the kinetic
energy of water into pressure energy before entering the delivery pipe. Different types of
casing used in the centrifugal pump are volute casing, vortex casing, and casing with
guide blade as shown in Figure 9.17 (a), (b), and (c).

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FIGURE 9.17
Different Types of Casing Used in Centrifugal Pump
The volute casing is a spiral type casing. The area of the passage increases gradually so
that velocity of water decrease and pressure increases. The main limitation of this casing
is eddies formation which causes the loss of energy. In vortex casing, eddies formation is
eliminated by employing a circular chamber in between impeller and casing as shown in
Figure 9.17 (b). Thus, the efficiency of vortex casing is more than that of volute casing.
Casing with guide blades allows water to enter into the guide blade without shocks. Guide
blade works as a diffuser, since the area of guide blade increases, which converts the
kinetic energy of water into pressure energy.
Suction Pipe, Foot-valve, and Strainer: A pipe, whose one end is connected to the inlet
of the pump and other end dips into the water in a sump, is known as a suction pipe. A
foot valve is a non-return type valve which is fitted with the lower end of the suction
pipe. The foot valve opens only in upward direction. A strainer is also fitted at the lower
end of the suction pipe. It works as a filter.
Delivery Pipe: A pipe, whose one end is connected to the outlet of the pump and other
end is connected to the supply at some height, is known as a delivery pipe.

9.13.2 Velocity Triangle for Centrifugal Pump

Here,
N is the speed of impeller in rpm;
D1, D2 are diameter of impeller at inlet and outlet, respectively;
U1, u2 are tangential velocities at inlet and outlet, respectively;
V1, V2 are absolute velocities of water at inlet and outlet, respectively;
Vr1, Vr2 are the relative velocities of water at inlet and outlet;
α is an angle made by absolute velocity V1 at the inlet with the direction of motion of vane;
θ is an angle between Vr1 and the direction of motion of vane;
β, φ are the corresponding angles of α and θ at the outlet.

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FIGURE 9.18
Velocity Triangle for Centrifugal Pump
The Water enters the impeller radially, therefore α =0., Vω1 = 0.

Work done per unit weight of water by impeller

Work done by impeller on water per second = ρQVω2u2

9.13.3 Various Heads and Efficiencies of Centrifugal Pumps

Suction Head, hs: It is height of center (eye) of the pump from water level.

Delivery Head, hd: It is the height of the tank from the center of the pump.

Static Head, Hs: it is the sum of suction and delivery heads, i.e., Hs = hs + hd

Manometric Head, Hm: It is the head against which a centrifugal pump has to work.
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where subscript o is used for outlet and i is used for inlet.

where hfs is friction loss in suction pipe; hfd is friction loss in delivery pipe, and Vd is
discharge velocity

9.13.4 Some Important Points Related to Centrifugal Pump

1. Minimum speed required for starting a centrifugal pump:

2. In multistage centrifugal pump:

1. For high head, pumps are coupled in series
2. For high discharge, pumps are coupled in parallel
3. Specific speed,

3. Priming of centrifugal pump: Priming of a centrifugal pump is defined as the operation in which the
suction pipe, casing of the pump and a part of the delivery pipe up to the delivery valve is completely
filled with water and air from these parts of the pump is removed.

EXAMPLE 9.13

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A centrifugal pump running at 1,500 rpm has internal and external impeller diameter of
200 mm and 300 mm, respectively. The vane angles of the impeller at inlet and outlet are
25° and 30°, respectively. If water enters the impeller radially and velocity of flow
remains constant. Determine the work done by the impeller per unit weight of water.
SOLUTION

Work done by impeller per kg of water per second

EXAMPLE 9.14

A centrifugal pump having an internal and external diameter of impeller 150 mm and 600
mm, respectively, is running at 800 rpm. It has a constant velocity of flow of 3 m/sec and
discharges through the pump are 0.03 m3/sec. The diameters of suction and delivery
pipes are 100 mm and 75 mm, respectively and suction and delivery heads are 5 m and
25 m of water, respectively. If outlet vane angle is 40° and power required to drive the
pump is 15 kW, determine: (i) vane angle at the inlet, (ii) overall efficiency of the pump,
and (iii) manometric efficiency of the pump.
SOLUTION
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Given: D1 = 150 mm; D2 = 600 mm; N = 800 rpm; Vf1 = Vf2 = 3 m/s; Q = 0.03 m3/s; ds =
100 mm; dd = 75 mm; Hs = 5 m; Hd = 25 m; ϕ = 40; P = 15kW.

1.

2.

Here, subscript o stands for outlet and i stands for inlet z0 = zi

Overall efficiency of the pump,

3. Manometric efficiency of the pump

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EXAMPLE 9.15

Following data of a centrifugal pump are given as: Diameter at inlet = 0.5 m; Diameter at
outlet = 1.0 m; Speed = 250 rpm; Flow rate = 1800 liters/sec; Vane exit angle = 25°;
Velocity of flow = 3 m/sec; head = 8 m. Find the least speed to start the pump and
manometric efficiency.
SOLUTION

Least speed to start the pump

9.14 RECIPROCATING PUMP

In a centrifugal pump, the transformation of energy from mechanical to hydraulic form is

done by rotating action of the impeller, but in the reciprocating pump, this energy
transformation is done by the reciprocating action of the piston. In a reciprocating pump,
the rotary motion of crankshaft is converted into the reciprocating motion of pump by
means of a connecting rod. Pressure on water is applied by reducing the volume by
positive displacement method.
The main components of the reciprocating pump are a cylinder, piston, or plunger,
connecting rod, crank, suction pipe, and delivery pipe as shown in Figure 9.19. Suction
and delivery pipes are connected to the cylinder through one-way valves. In a single
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acting reciprocating pump, piston moves towards right through 0° to 180° of the crank
and small vacuum is created inside the cylinder. Due to this vacuum, suction valve is
pushed up and water enters into the cylinder. When the piston moves towards right
through 180° to 360° of crank rotation, suction valve is closed and the delivery valve is
open due to the high pressure of water. Thus, water is forced into the delivery pipe and
raised to a required height.
Discharge through centrifugal pump,

Slip: It is difference between theoretical and actual discharge of reciprocating pump

Slip = Qtheoretical – Qactual

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FIGURE 9.19
Working of Reciprocating Pump

Variation in Acceleration Head in the Suction and Delivery Pipes Due to

Acceleration of the Piston

FIGURE 9.20
Velocity and Acceleration of Piston
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Pressure head due to acceleration in suction and delivery pipes:

where A is area of piston and as and ad areas of suction and delivery pipes, respectively.

Thus, acceleration heads depend on the value of θ.

Variation in Friction Head in Suction and Delivery Pipes Due to Variation in

Velocity of Piston

Head loss due to friction is given by

At θ = 90° head loss due to friction will be maximum and at θ = 0° head loss will be zero.
Case I: When acceleration heads and friction heads are zero.

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FIGURE 9.21
Ideal Indicator Diagram without Acceleration and Friction Heads
Case II: When acceleration heads are not equal to zero.

FIGURE 9.22
Indicator Diagram, When Acceleration Heads are not Equal to Zero, But Friction Heads
are Zero.
Case III: When acceleration heads and friction heads are not equal to zero

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FIGURE 9.23
Indicator Diagram, When Acceleration Heads and Friction Heads are not Equal to Zero
Work done by pump for a single acting reciprocating pump

Work done by pump for a double acting reciprocating pump

9.14.1 Air Vessels

Air vessel is a closed chamber containing compressed air in the top space and liquid at
the bottom of the chamber. At the base of the chamber, there is an opening through
which the liquid (water) may flow into or out from the vessel. When liquid enters the air
vessel, air gets compressed and when liquid exits from the vessel, the air gets expanded.
An air vessel is fitted to the suction pipe and to the delivery pipe at a point close to the
cylinder of a single acting reciprocating pump. The purposes of its application are as
given below:
1. to obtain a continuous supply of liquid at a uniform rate,
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2. to save a considerable amount to work in overcoming the friction resistance in the suction and delivery
pipes, and
3. to run the pump at high speed without separation.

FIGURE 9.24
Reciprocating Pump with Air Vessels
Work done by reciprocating pump with air vessels fitted to suction and delivery pipes

Work done by reciprocating pump with air vessels fitted to suction and delivery pipes

EXAMPLE 9.16

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A single acting reciprocating pump running at 100 rpm delivers 0.10 m3/sec of water. The
diameter of the piston is 500 mm and the stroke length is 400 mm. Determine: (i) the
theoretical discharge, (ii) percentage slip, and (iii) coefficient of discharge.
SOLUTION

EXAMPLE 9.17

A double acting reciprocating pump has a piston of 300 mm diameter and piston rod of
60 mm diameter. Stroke length is 400 mm and speed is 50 rpm. The suction and discharge
heads are 8 m and 18 m, respectively. Determine: (i) the force required to run the pump
during in and out strokes, (ii) quantity of water in m3/sec raised by the pump, and (iii)
power required to run the pump.
SOLUTION
Given: D = 300 mm; d = 60 mm; L = 400 mm; N = 50rpm; Hs = 8 m; and Hd = 18 m
1. Force required during in-stroke, F = ρg [ A × Hs + (A − a)Hd ]

2.

3.

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9.15 GEAR PUMP

FIGURE 9.25
Schematic Diagram of Gear Pump
A gear pump maintains the flow of fluid by carrying the fluid between the teeth of two
meshed gears. One gear is connected to drive shaft and other is meshed with the first
gear. The pumping chambers formed between the gear teeth are enclosed by the pump
housing and the side plates. A low-pressure region is created at the inlet as the gear teeth
separate. As a result, fluid flows in and is carried around by the gears. As the teeth mesh
again at the outlet, high pressure is created and the fluid is forced out. Figure 9.25 shows
the construction of an internal gears pump; most of the gear type pumps are fixed
displacement. They range in output from very low to high volume. Usually, they operate
at comparatively low pressure.

9.16 VANE PUMP

In a vane pump, a rotor is coupled to the drive shaft and rotates inside a cam ring. Vanes
are fitted to the rotor slots and follow the inner surface of the ring as the rotor turns
(Figure 9.26). Centrifugal force and pressure under the vanes keep them pressed against
the ring. Pumping chambers are formed between the vanes and are enclosed by the rotor,
ring, and two side plates. At the pump inlet, a low-pressure region is created as the space
between the rotor and ring increases. Oil entering here is trapped in the pumping
chambers and then is forced into the outlet as the volume decreases.

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FIGURE 9.26
Vane Pump

9.17 LOBE PUMP

This is also used to pump oils. The schematic diagram of a lobe pump is shown in Figure
9.27. This is a three-lobed pump. The two-lobed pump is also used. Two lobes are
arranged in a casing. As the rotor rotates, oil is trapped in the space between the lobe and
the casing and is carried to the pressure side. Helical lobes along the axis are used for the
smooth operation. Oil has to be filled before starting the pump. The constant contact
between the lobes makes a leak tight joint preventing oil leakage from the pressure side.
The maximum pressure of operation is controlled by the back leakage through the
clearance. This type of pump has a higher capacity compared to the gear pump.

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FIGURE 9.27
Lobe Pump

9.18 SCREW PUMP

There are many variants screw type positive displacement, rotary pump. The various
design depends on the number of intermeshing screws involved, the pitch of the screws,
and the direction of fluid flow. Two common designs are the two-screw, low-pitch,
double-flow pump, and the three-screw, high-pitch, double-flow pump.

9.18.1 Two-screw, Low-pitch, Screw Pump

The two-screw, low-pitch, screw pump consists of two crews of right handed and left
handed threads mesh with close clearances, mounted on two parallel shafts. The driving
shaft drives the other shaft through a set of herringbone timing gears. The gears maintain
the clearances between the screws as they rotate and to promote quiet operation. The
screws rotate in closely fitting duplex cylinders that have overlapping bores. All
clearances are small, but there is no actual contact between the two screws or between
the screws and the cylinder walls.

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FIGURE 9.28
Two-screw, Low-pitch, Screw Pump
The complete assembly and the flow diagram are shown in Figure 9.28. The liquid is
trapped at the outer end of each pair of screws. As the first space between the screw
threads rotates away from the opposite screw, a one-turn, spiral-shaped quantity of liquid
is enclosed when the end of the screw again meshes with the opposite screw. As the
screw continues to rotate, the entrapped spiral turns of the liquid slide along the cylinder
toward the center discharge space while the next slug is being entrapped. Each screw
works in similar fashion, and each pair of screws discharges an equal quantity of liquid in
opposed streams toward the center, thus eliminating hydraulic thrust. The removal of
liquid from the suction end by the screws produces a reduction in pressure, which draws
liquid through the suction line.

9.18.2 Three-screw, High-pitch, Screw Pump

The three-screw, high-pitch, screw pump has many of the same elements as the two-
screw, low-pitch, screw pump, and their operations are similar as shown in Figure 9.29.
Three screws, oppositely threaded on each end, are employed. They rotate in a triple
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cylinder, the two outer bores of which overlap the center bore. The pitch of the screws is
much higher than in the low pitch screw pump; therefore, the center screw, or power
rotor, is used to drive the two outer idler rotors directly without external timing gears.
Pedestal bearings at the base support the weight of the rotors and maintain their axial
position. The liquid being pumped enters the suction opening, flows through passages
around the rotor housing, and through the screws from each end, in opposed streams,
toward the center discharge. This eliminates unbalanced hydraulic thrust. The screw
pump is used for pumping viscous fluids, usually lubricating, hydraulic, fuel oil, etc.

FIGURE 9.29
Three-screw, High-pitch, Screw Pump

RECAP ZONE

Points to Remember

In fluid mechanics, shape and size of the body are not constant and we study about statics and dynamics
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 9 FLUID MECHANICS AND HYDRAULIC MACHINES
of flow of fluid subjected to various types of forces on it.
The fluid density is the quantity of fluid contained in its unit volume. It can be expressed in three
different ways—mass density, specific weight, and relative density.
Viscosity, μ is a property of a fluid, which offers resistance to shear deformation.
In any fluid flow, layers move at different velocities and the fluid’s viscosity arises from the shear
stress developed between the layers that ultimately oppose any applied force.
An ideal fluid has zero viscosity.
Shear force is not involved in its deformation.
An ideal fluid must be incompressible.
In Newtonian fluids, a linear relationship exists between the magnitude of the applied shear stress and
the resulting rate of deformation.
Surface tension is the tendency of the surface of a liquid to behave like a stretched elastic membrane.
Surface tension may also be defined as the work (in Nm/m2 or N/m) required to create a unit surface
area of the liquid.
Capillarity is a phenomenon of rise or fall of the liquid surface in a small tube relative to the adjacent
general level of liquid when the tube is held vertically in the liquid.
The Bernoulli’s equation is an approximate relation between pressure, velocity, and elevation, and is
valid in regions of steady and incompressible flow where net frictional forces are negligible.
Hydraulic machines are the devices that convert hydraulic energy into mechanical energy or
mechanical energy into hydraulic energy.
Hydraulic turbines are the basic prime movers which convert the hydraulic energy (in the form of
pressure/kinetic energy) into mechanical energy.
Pump converts mechanical energy into hydraulic energy (pressure energy).
Pelton turbine is named after L. A. Pelton an American Engineer; it is a high head, tangential flow, and
low specific speed turbine.
Initially, Francis turbine was designed as a pure radial flow reaction turbine by an American Engineer
James B. Francis.
Modern Francis turbine is mixed flow reaction turbine.
A taper draft tube is used at the outlet of the turbine to increase the head of water by the height of the
draft tube.
Kaplan turbine is an axial flow, low head, high specific speed, reaction type turbine.
Cavitation is defined as the phenomenon of formation of vapor bubbles due to fall in pressure below its
vapor pressure and sudden bursting of these bubbles in a high-pressure zone.
Governing of turbines is required to control the speed of the turbine.
Centrifugal pump works on the reverse of the principle of working of radial inward flow reaction
turbine.
In a reciprocating pump, this energy transformation is done by the reciprocating action of the piston.
A gear pump maintains the flow of fluid by carrying the fluid between the teeth of two meshed gears.
Hydraulic coupling is used to transmit the power from one shaft to another.

Important Formulae

1.

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2.

3. for liquid droplets

4. for soap bubble

5. for liquid jet

6.

7.

8.
9. Hnet = Hg − hf

where, hf (head loss due to friction)

f is coefficient of friction,
L is length of penstock,
v is velocity of water, and
D is diameter of penstock.

10.

11.

12.

13. For Pelton Turbine,

14. For maximum efficency,

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 9 FLUID MECHANICS AND HYDRAULIC MACHINES

15. Efficiency of draft tube,

16. For radial flow reaction Turbine:

The work done per second per unit weight of water

17. For Francis Turbine Vω2 = 0:

Work done per second per unit weight of water

18. For Kaplan Turbine:

Peripheral velocity at inlet and outlet are equal,

Discharge through runner,

19. For Centrifugal pump:

Work done by impeller on water per second = ρQVω2u2

20.

21. Minimum speed required for starting a centrifugal pump

22. In multistage centrifugal pump

23. For high head, pumps are coupled in series;
24. For high discharge, pumps are coupled in parallel

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Specific speed,

25. Priming of centrifugal pump: Priming of a centrifugal pump is defined as the operation in which the
suction pipe, casing of the pump and a part of the delivery pipe up to the delivery valve is completely
filled with water and air from these parts of the pump is removed.
26. For Reciprocating pump:

where A is area of piston and as and ad area as of suction and delivery pipes,
respectively.

Atθ = 90° head loss due to friction will be maximum and at θ = 0° head loss will be
zero.
27. Work done by pump for a single acting reciprocating pump

28. Work done by pump for a double acting reciprocating pump

29. Work done by reciprocating pump with air vessels fitted to suction and delivery pipes

30. Work done by reciprocating pump with air vessels fitted to suction and delivery pipes

REVIEW ZONE

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Multiple-choice Questions

1. Fluid is a substance that:

1. Cannot be subjected to shear force
2. Always expands until it fills any container
3. Has the same shear stress at a point regardless of its motion
4. Cannot remain at rest under action of any shear force
2. A fluid is said to be ideal, if it is:
1. Incompressible
2. Inviscous
3. Viscous and incompressible
4. Inviscous and incompressible
3. The volumetric change of the fluid caused by a resistance is known as:
1. Volumetric strain
2. Compressibility
3. Adhesion
4. Cohesion
4. Surface tension:
1. Acts in the plane of the interface normal to any line in the surface
2. Is also known as capillarity
3. Is a function of the curvature of the interface
4. Decrease with fall in temperature
5. The stress-strain relation of the Newtonian fluid is:
1. Linear
2. Parabolic
3. Hyperbolic
4. None of these
6. Unit of surface tension is:
1. Energy per unit area
2. Force per unit length
3. Both
4. None of these
7. Capillary action is due to the:
1. Surface tension
2. Cohesion of the liquid
3. Adhesion of the liquid molecules and the molecules on the surface of a solid
4. All of the above
8. The rise or fall of head ‘h’ in a capillary tube of diameter ‘d’ and liquid surface tension ‘σ’ and specifi
c weight ‘w’ is equal to:

1.

2.

3.
4. None of these
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9. Cavitation will begin when:
1. The pressure at any location reaches an absolute pressure equal to the saturated vapor pressure of
the liquid
2. Pressure becomes more than the critical pressure
3. Flow is increased
4. Pressure is increased
10. Bernoulli’s theorem deals with the conservation of:
1. Mass
2. Force
3. Momentum
4. Energy
11. Euler’s equation in the differential form for motion of liquids is given by:

1.

2.

3.

4.

12. A fluid which obeys

1. Real fluid
2. Perfect fluid
3. Newtonian fluid
4. None of these
13. The speed of turbine and discharge through turbine are proportional to:
1. Head, H
2.
3. H2
4. H3/2
14. Specific speed of a turbine depends on:
1. Speed, power, and discharge
2. Discharge and power
3. Speed and head
4. Speed, power, and head
15. An impulse turbine:
1. Operates submerged
2. Requires draft tube
3. Is nor exposed to atmosphere
4. Operates by initial complete conversion to kinetic energy
16. A Pelton wheel is:
1. Tangential flow turbine
2. Axial flow turbine
3. Radial flow turbine
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4. Mixed flow turbine
17. Pelton wheels are used for minimum heads of:
1. 20 m
2. 100 m
3. 125 m
4. 180 m
18. The ratio of width of bucket for a Pelton wheel to the diameter of jet is of the order of:
1. 15
2. 14
3. 13
4. 12
19. Impulse turbine is used for:
1. Low head
2. High head
3. Medium head
4. High flow
20. If α is the angle of blade tip at outlet, then maximum hydraulic efficiency of an impulse turbine is:

1.

2.

3.

4.
21. Francis turbine is best suited for:
1. Medium head application (24 to 180 m)
2. Low head installation (less than 30 m)
3. High head installation (more than 180 m)
4. None of these
22. In reaction turbine, draft tube is used:
1. To transport water downstream without eddies
2. To convert the kinetic energy to pressure energy by a gradual expansion of the flow cross-section
3. For safety of turbine
4. To increase flow rate
23. Francis, Kaplan and propeller turbines fall under the category of:
1. Impulse turbine
2. Reaction turbine
3. Axial-flow turbine
4. Mixed flow turbine
24. For pumping viscous oil, the pump used is:
1. Centrifugal pump
2. Reciprocating pump
3. Screw pump
4. None of these
25. The work requirement of a reciprocating pump with increase in acceleration head:
1. Increases
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2. Decreases
3. Remains same
4. None of these
26. To avoid cavitation in centrifugal pumps:
1. Suction pressure should be low
2. Delivery pressure should be low
3. Suction pressure should be high
4. Delivery pressure should be high
27. Overall effi ciency of centrifugal pump is equal to:
1. Volumetric efficiency × manometric efficiency × mechanical efficiency
2. Volumetric efficiency/manometric efficiency × mechanical efficiency
3. Volumetric efficiency × manometric efficiency/mechanical efficiency
4. Volumetric efficiency/manimetric efficiency/ mechanical efficiency
28. The action of centrifugal pump is that of a:
1. Reaction turbine
2. Impulse turbine
3. Reverse of reaction turbine
4. None of these
29. In double acting reciprocating pump compared to single acting reciprocating pump will have nearly:
1. Double efficiency
2. Double head
3. Double flow
4. Double weight
30. Specific speed of pump is:

1.

2.

3.

4.
31. Power required to drive a centrifugal pump is proportional to:
1. Impeller diameter (D)
2. D2
3. D3
4. D4
32. Power required to drive a centrifugal pump is proportional to:
1. Speed (N)
2. N2
3. N3
4. N4

Answers
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 9 FLUID MECHANICS AND HYDRAULIC MACHINES
1. d
2. d
3. b
4. a
5. a
6. c
7. d
8. a
9. a
10. d
11. b
12. c
13. a
14. d
15. d
16. a
17. d
18. d
19. b
20. a
21. a
22. b
23. b
24. c
25. c
26. c
27. a
28. c
29. c
30. a
31. d
32. c

Theory Questions

1. What do you understand by fluid mechanics? How does it differ from mechanics of solid or mechanics
of the rigid body?
2. Classify the fluids based on their properties.
3. Derive the Bernoulli’s equation.
4. Derive the rise and fall of capillary action in a tube.
5. Derive an equation for pressure on a submerged body in a fluid.
6. What do you mean by a hydraulic turbine? How do you classify the hydraulic turbines?
7. Explain the working of Pelton turbine with a neat sketch.
8. Discuss the governing of Pelton turbine.
9. Derive the expression for work done and mechanical efficiency of Pelton turbines.
10. How does a hydraulic turbine differ from the hydraulic pump?
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 9 FLUID MECHANICS AND HYDRAULIC MACHINES
11. What are the different types of the efficiency of a turbine? Define each.
12. Draw inlet and outlet velocity triangle for Pelton turbine and find expression for hydraulic efficiency.
13. Establish a relationship between jet velocity and bucket velocity for maximum efficiency of Pelton
turbine?
14. What is the basis of turbine selection at a particular place?
15. Define velocity coefficient, speed ratio, flow ratio, and jet ratio.
16. What are the ranges of specific speed and head of Pelton, Francis, and Kaplan turbines?
17. What is a draft tube? Why is it used in a reaction turbine? Describe with a neat sketch.
18. What is the centrifugal pump? How is it different from Francis turbine?
19. *Explain the working of a centrifugal pump with a neat sketch.
20. Differentiate between the volute and vortex casing of a centrifugal pump.
21. Explain different types of the efficiency of the centrifugal pump.
22. Find the expression for the work done by impeller of a centrifugal pump on water per second per unit
weight of water.
23. *What is priming? Why is it required in a centrifugal pump?
24. What is the reciprocating pump? Explain its working with a neat sketch.
25. What are the slip and coefficient of discharge?
26. What is air vessel? What are the functions of air vessel?
27. Draw indicator diagram and show acceleration head, friction head on the diagram.
28. *Explain the working of the double acting reciprocating pump and bucket pump with a neat sketch.
29. What is the function of the pump? Classify the pumps. Explain with a sketch the working of the single
acting reciprocating piston pump.
30. *Explain the working principle of vane pump with a neat sketch?
31. *What is the range of specific speed for Pelton, Francis, and Kaplan turbine?
32. *Explain how a hydraulic reaction turbine differs from a hydraulic impulse turbine.
33. *Discuss and draw the constructional details of Pelton turbine.
34. *With the help of neat sketch, explain the working of a Francis turbine.
35. *Explain the principle and working of reaction turbine.
36. *Define radial flow, axial flow, and mixed flow with respect to water turbine.
37. *How are water turbines classified?
38. *Sketch and explain the working of a Kaplan turbine.

Numerical Problems

1. The dynamic viscosity of lubricating oil used between shaft and sleeve is 12 poise. The diameter of the
shaft, which rotates at 240 rpm, is 0.5m The sleeve length is 120 mm. Calculate the power lost if the
thickness of oil film is 2.5 mm.
2. The surface tension of water in contact with air at ambient temperature is 0.12 N/m. The pressure inside
the water droplet is 0.02 N/cm2 greater than the outside pressure. Calculate the diameter of the water
droplet.
3. Find the surface tension in a soap bubble of 60 mm diameter when the inside pressure is 5 N/m2 above
atmospheric pressure.
4. Calculate the capillary rise in a glass tube of diameter 1.8 mm when immersed vertically in: (i) water
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 9 FLUID MECHANICS AND HYDRAULIC MACHINES
and (ii) mercury. Assume surface tension for water as 0.07 and for mercury as 0.5 in contact with air.
The specific gravity for mercury is 13.6 and angle of contact is 130°.
5. The water is flowing through a pipe having diameters 32 cm and 18 cm at two sections 1 and 2,
respectively. The rate of flow through the pipe is 100 L/sec. Section 1 is 8 m above the datum and
section 2 is 8 m above the datum. If the pressure at section 1 is 5 bar, find the intensity of pressure at
section 2.
6. A penstock supplies water to Pelton turbine with a head of 80 m. One-third of head is lost in penstock
due to friction. The flow rate of water from the nozzle is 2.5 m3/sec. The deflection angle of the jet is
165°. Speed ratio, Cu = 0.45 and Cv =0.95. Calculate power developed by the turbine and its hydraulic
efficiency.
7. A Pelton wheel is to be designed with following specifications:

Shaft power = 10,000 kW, Head = 500 m, Speed = 500 rpm, Overall efficiency =
85%, jet diameter is one-tenth of wheel diameter. Determine: (i) the wheel diameter,
(ii) the number of jets required, and (iii) diameter of the jet. Assume Cv = 0.98 and
Cu = 0.46.
8. A Francis turbine working under a head of 10 m. The overall efficiency is 75% and power required to
produce 180 kW. The peripheral and radial velocities at inlet are 0.3 and 0.96 ,
respectively. The wheel runs at 200 rpm and hydraulic efficiency of the turbine is 84%. Assuming
radial discharge, find: (i) the guide blade angle, (ii) vane angle at inlet, (iii) diameter of the wheel at the
inlet, and (iv) width of the wheel at the inlet.
9. An inward flow reaction turbine rotates at 420 rpm. The wheel vanes are radial at the inlet and the inner
diameter of the wheel is one-third of the outer diameter. The constant velocity of flow in the wheel is
2.8 m/sec. Water enters the wheel at an angle of 150 to the tangent at the wheel at the inlet. The width of
the wheel at the inlet is 85 mm and area of flow blocked by vane is 2.5% of the gross area of flow at the
inlet. Assuming radial discharge, find: (i) head available, (ii) vane angle at the outlet, (iii) the outer and
inner diameter of the wheel, and (iv) the theoretical water power developed by the wheel.
10. A Kaplan turbine is working under a head of 18 m. The hub diameter is 0.25 times the runner diameter.
The rpm of the turbine is 550. Runner angle at the outlet is 15° and flow ratio is 0.6. Calculate: (i)
diameter of runner and (ii) discharge rate of water.
11. A Kaplan turbine is designed to develop 8,000 kW shaft power. The head available is 12 m. Assuming
speed ratio as 2.1, flow ratio as 0.6, overall efficiency as 80%, and diameter of the boss as one-third of
the diameter of runner. Find the diameter of runner and its speed.
12. A conical draft tube having inlet and outlet diameters 2.5 m and 3.0 m discharges water at the outlet
with a velocity of 5 m/sec. The total length of the draft tube is 10 m out of which 3 m of the length of the
draft tubes immersed in water. If atmospheric pressure head is 10.3 m of water and loss of head due to
friction in the draft tube is equal to 0.2 times of velocity head at the outlet of the tube. Find: (i) pressure
head at inlet, and (ii) Efficiency of draft tubes.
13. A centrifugal pump running at 2,000 rpm has internal and external impeller diameter of 250 mm and 350
mm, respectively. The vane angles of the impeller at inlet and outlet are 25° and 30°, respectively. If
water enters the impeller radially and velocity of flow remains constant. Determine the work done by
the impeller per unit weight of water.
14. A centrifugal pump having an internal and external diameter of impeller 150 mm and 450 mm,
respectively, is running at 1,000 rpm. It has a constant velocity of flow of 5 m/sec and discharges
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 9 FLUID MECHANICS AND HYDRAULIC MACHINES
through the pump is 0.04 m3/sec. The diameters of suction and delivery pipes are 100 and 80 mm,
respectively and suction and delivery heads are 8 and 20 m of water, respectively. If outlet vane angle
is 30° and power required to drive the pump is 18 kW. Determine: (i) vane angle at the inlet, (ii)
overall efficiency of the pump, and (iii) manometric efficiency of the pump.
15. Following data of a centrifugal pump are given as: Diameter at inlet = 0.4 m; Diameter at outlet = 1.0 m;
Speed = 400 rpm; Flow rate = 2000 liters/sec; Vane exit angle = 30°; Velocity of flow = 3 m/sec; head
= 10 m. Find the least speed to start the pump and Manometric efficiency.
16. A double acting reciprocating pump has a piston of 400 mm diameter and piston rod of 40 mm diameter.
Stroke length is 300 mm and speed is 60 rpm. The suction and discharge heads are 8 m and 18 m,
respectively. Determine: (i) the force required to run the pump during in and out strokes, (ii) quantity of
water in m3/sec raised by the pump, and (iii) power required to run the pump.
17. A single acting reciprocating pump running at 50 rpm delivers 0.10 m3/sec of water. The diameter of
the piston is 600 mm and the stroke length is 500 mm. Determine: (i) the theoretical discharge, (ii)
percentage slip, and (iii) coefficient of discharge.

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 10 AIR COMPRESSORS
CHAPTER 10
Air Compressors
Learning Objectives

By the end of this chapter, the student will be able:

To understand the different types of air compression process
To demonstrate the single stage and multi-stage reciprocating air compressors
To calculate the power required to run the compressors
To describe the working of axial and centrifugal compressors

10.1 INTRODUCTION

The function of the compressor is to compress the gases and vapors from low pressure to
high pressure. According to the second law of thermodynamics, this is only possible when
work is done on the system, i.e., on the gas or vapor. Compressors have wide industrial
and domestic applications such as compression of refrigerants in refrigerators and air
conditioning plants, compression of air to fill the air in the wheel of automobiles, use of
compressed fluids in nonconventional machining processes, etc.

10.2 CLASSIFICATION OF COMPRESSORS

Compressors can be classified on the basis of a range of pressures, capacity, pressure

ratio, and design and principle of operations.
1. On the basis of the pressure range, compressors can be classified as:

Low-pressure compressor (below 10 bars)

Medium pressure compressor (10-80 bars)

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 10 AIR COMPRESSORS

FIGURE 10.1
Classification of Compressors
High-pressure compressor (80-1000 bars)
Hyper compressor (above 1000 bars)
2. On the basis of capacity, compressors can be classified as:

Low capacity compressor (below 0.15 m3/sec.)

Medium capacity compressor (0.15 to 5 m3/sec.)

High capacity compressor (above 5 m3/sec.)

3. On the basis of pressure ratio, compressors can be classified as:

Fan (Pressure ratio below 1.1)

Blower (Pressure ratio between 1.1 to 2.3)
Compressor (Pressure ratio above 2.3)
4. On the basis of design and principle of operations, compressors can be classified as shown in Figure
10.1:

Positive displacement compressor: In this compressor, the pressure is raised by

decreasing the volume of gas, i.e., positive displacement of gas.
Dynamic compressor: In this compressor, the kinetic energy imparted to the gas by the
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 10 AIR COMPRESSORS
rotation of the rotor is converted into pressure energy partly in the rotor and rest in the
diffuser.

10.3 RECIPROCATING COMPRESSORS

In these compressors, the gas volume decreases and pressure increases due to the action
of one or more reciprocating piston moving axially in one or more cylinders. It may be
single acting or double acting, single cylinder or multi-cylinder, and single stage or multi-
stage compressors.
Figure 10.2 shows the schematic of a reciprocating compressor. Reciprocating
compressors consist of a piston moving back and forth in a cylinder, with suction and
discharge valves to achieve suction and compression of the gas. Its construction and
working are very similar to a two-stroke engine, as suction and compression of the gas
are completed in one revolution of the crank. The suction (inlet) and the discharge
(outlet) valves open and close due to pressure differences between the cylinder and inlet
or outlet manifolds respectively. The pressure in the inlet manifold is equal to or slightly
less than the atmospheric pressure. Similarly, the pressure in the outlet manifold is equal
to the pressure of the compressor at the end of compression. The purpose of the
manifolds is to provide stable inlet and outlet pressures for the smooth operation of the
valves and also provide a space for mounting the valves.

FIGURE 10.2
Schematic Diagram of Reciprocating Compressor
Working principle of ideal reciprocating compressors is diagrammatically shown in Figure
10.3.

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FIGURE 10.3
Ideal Reciprocating Compressor
An ideal reciprocating compressor has following assumptions:
1. There is no clearance volume in the cylinder.
2. Working fluid behaves like a perfect gas.
3. There is no friction loss.
4. There is no loss during the passing of the fluid through valves.

Process 0-1: This is an isobaric suction process, during which the piston moves from the
Top Dead Center (TDC) to the Bottom Dead Center (BDC). The suction valve remains
open during this process and gas at a constant pressure P1 flows into the cylinder.

Process 1-2: This is an isentropic compression process. During this process, the piston
moves from BDC towards TDC. Both the suction and discharge valves remain closed
during the process and the pressure of the gas increases from P1 to P2. Various types of
compression process in reciprocating compressors are shown in P-V and T-S diagrams in
Figure 10.4.
Isentropic compression 1-2' γ = 1.4 for air
Polytropic compression 1-2 γ = 1.25 for air
Isothermal compression 1-2" Temperature remains constant.

Process 2-3: This is an isobaric discharge process. During this process, the suction valve
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remains closed and the discharge valve opens. Gas at a constant P2 is expelled from the
compressor as the piston moves to TDC.

10.3.1 Polytropic Compression

Area 0-1-2-3 represents the net work done when the compression follows the polytropic
law.

FIGURE 10.4
(a) P-V and T-S Diagrams for Isentropic, Polytropic, and Isothermal Compression, and
(b) Isentropic Compression
Net work on air per cycle = area 0–1–2–3 = Work done during compression (1–2) +
work done during air delivery (2–3) – work done during suction (0-1).

Similarly, for Isentropic compression

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10.3.2 Isothermal Compression

In isothermal compression work done is minimum and is maximum for adiabatic

compression.

10.3.3 Effect of Clearance on Work Done

FIGURE 10.5
Reciprocating Compressor with Clearance Volume

10.3.4 Volumetric Efficiency

The volumetric efficiency of a compressor is the ratio of actual free air delivered to the
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displacement of the compressor.

Substituting the value of in Equation (10.1), we get

Where ∈ is clearance ratio and r is pressure ratio

EXAMPLE 10.1

A single cylinder, single acting air compressor has a cylinder diameter of 150 mm and
stroke of 300 mm. It draws air into the cylinder at a pressure of 1 bar and temperature
270C. This air is then compressed adiabatically to a pressure of 8 bars if the compressor
runs at a speed of 120 rpm, find: (i) mass of air compressed per cycle, (ii) work required
per cycle, and (iii) power required to drive the compressor. Neglect the clearance volume
and take R = 0.287 kJ/kgK.
SOLUTION

1.

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2.

3. Power required to run the compressor = Work required per cycle × Cycle per sec

EXAMPLE 10.2

A single stage reciprocating compressor is required to compress 1 kg of air from 1 bar to

5 bars. The initial temperature of the air is 270C. Calculate work for isothermal,
isentropic, and Polytropic compression for n = 1.25.
SOLUTION

10.3.5 Multistage Compression

A number of stages required depends on the pressure to be developed in the compressor.

Normally, following relationships are used with pressure and number of stages.
Single stage compression is used for delivery pressures up to 5.6 kgf/cm2.
Two stage compressions are used for delivery pressures up to 5.6 to 35 kgf/cm2.
Three stage compressions are used for delivery pressures up to 35 to 84 kgf/cm2.

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Advantages of multistage compression

There is little chance of lubrication troubles due to lowering of maximum temperature.

Leakage loss is minimized.
There is a gain in volumetric efficiency.
More uniform torque with the small size of the flywheel can be generated.

Assumption in multistage compression

The following assumptions are usually made in the calculation of work done in multistage
compression:
For each stage, pressures during suction and delivery remain constant.
The index (n) in polytropic law is same in each stage of compression.
Intercooling in each stage is done at constant pressure.
Low pressure and high-pressure cylinders handle the same mass of air.
There is no interstage pressure drop, i.e., exhaust pressure of one stage equals the suction pressure of
the next stage.

10.3.6 Work Done in Multistage Compression

P-V and T-S diagrams for multistage compression are shown in Figure 10.6.

FIGURE 10.6
P-V and T-S Diagrams for Multistage Compressor

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If P1, T1 and delivery pressure P3 are fixed, the optimum value of the intermediate
pressure P2 for minimum work can be obtained by setting the derivative dW/dP2 = 0.

or,
For perfect cooling, Ta = T1
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In general, if there are N stages, the pressure ratio for each stage will be iven by

and,
Heat rejected during compression process

Mean Effective Pressure, pm

for single acting reciprocating compressor

for double acting reciprocating compressor

EXAMPLE 10.3

A single stage single acting air compressor has intake pressure 1 bar and delivery pressure
12 bar. The compression and expansion follow the law pV1.3 = constant. The piston speed
and rotations of the shaft are 180 m/min and 350 rpm, respectively. Indicated power is 30
kW and volumetric efficiency is 92%. Determine the bore and stroke.
SOLUTION
The indicating power of single acting reciprocating compressor is

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Also,

Average piston speed =L×N=180m/min; for single acting reciprocating pump

EXAMPLE 10.4

An air compressor has eight stages of an equal pressure ratio of 1.35. The flow rate
through the compressor and the overall efficiency are 50 kg/sec and 90%, respectively. If
the air enters compressors at a pressure of 1.0 bar and temperature of 313 K. Determine:
state of air at the exit of the compressor.
SOLUTION

p1 = 1 bar
P2 = 1.35 × P1 = 1.35 bar
P3 = 1.35 × P2 = 1.822 bar
P4 = 1.35 × P3 = 2.46 bar
P5 = 1.35 × P4 = 3.32 bar
P6 = 1.35 × P5 = 4.482 bar
P7 = 1.35 × P6 = 6.05 bar
P8 = 1.35 × P7 = 8.167 bar
P9 = 1.35 × P8 = 11.02 bar

EXAMPLE 10.5
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A double acting, single cylinder, reciprocating air compressor has a piston displacement
of 0.015 m3 per revolution, operates at 500 rpm and has a 5% clearance. The air is
received at 1 bar and delivered at 6 bars. The compression and expansion are polytropic
with n = 1.3. Determine: (i) the volumetric efficiency, (ii) the power required, and the
heat transferred and its direction during compression if inlet temperature of the air is
293K.
SOLUTION

V = 0.015m3 per revolution;N = 500 rpm;∈= 5%;n = 1.3;P1 = 1bar; and P2 = 6 bar.

1.

2.

Where Vactualstroke = Vs × 2 ×N ×ŋv = 0.015m3 /rev × 2 × 500rpm× 0.85 = 12.75m3

/min.

3.

Heat rejected during compression.

10.4 ROTARY COMPRESSORS

10.4.1 Fixed Vane Type Compressors

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These compressors belong to the category of positive displacement type as compression
is achieved by reducing the volume of the gas. In this type of compressors, the rotating
shaft of the roller has its axis of rotation that matches with the centerline of the cylinder;
however, it is eccentric with respect to the roller as shown in Figure 10.7. This
eccentricity of the shaft with respect to the roller creates suction and compression of the
gas. A single vane or blade is positioned in the non-rotating cylindrical block. The
rotating motion of the roller causes a reciprocating motion of the single vane. This type of
compressor does not require a suction valve but requires a discharge valve. The leakage
is controlled through hydrodynamic sealing and matching between the mating
components. The effectiveness of the sealing depends on the clearance, compressor
speed, surface finish and oil viscosity. Close tolerances and good surface finishing are
required to minimize internal leakage.

FIGURE 10.7
Fixed Vane Type Rotary Compressor

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FIGURE 10.8
Multiple Vane Type Rotary Compressor

10.4.2 Multiple Vane Type Rotary Compressors

In multiple vane type compressors, the axis of rotation coincides with the center of the
roller (O), however, it is eccentric with respect to the center of the cylinder (O’) as
shown in Figure 10.8. The rotor consists of a number of slots with sliding vanes. During
the running of the compressor, the sliding vanes are held against the cylinder due to
centrifugal forces. The number of compression strokes produced in one revolution of the
rotor is equal to the number of sliding vanes, thus a 4-vane compressor produces 4
compression strokes in one rotation.
In these compressors, sealing is required between the vanes and cylinder, between the
vanes and the slots on the rotor and between the rotor and the end plate. However, since
pressure difference across each slot is only a fraction of the total pressure difference, the
sealing is not as critical as in fixed vane type compressor. This type of compressor does
not require suction or discharge valves, however, check valves are used on discharge side
to prevent reverse rotation during off-time due to the pressure difference.

FIGURE 10.9
Centrifugal Compressor

10.5 CENTRIFUGAL COMPRESSORS

In these compressors, the pressure rise takes place due to the continuous conversion of
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angular momentum imparted to the gas by a high-speed impeller into static pressure.
Unlike reciprocating compressors, centrifugal compressors are steady-flow devices hence
they are subjected to less vibration and noise. Figure 10.9 shows the working principle of
a centrifugal compressor. As shown in the Figure, low-pressure as enters the compressor
through the eye of the impeller. The impeller consists of a number of blades, which form
flow passages for gas.
From the eye, the gas enters the flow passages formed by the impeller blades, which
rotate at very high speed. As the gas flows through the blade passages towards the tip of
the impeller, it gains momentum and its static pressure also increases. From the tip of the
impeller, the gas flows into a stationary diffuser. In the diffuser, the gas is decelerated
and as a result, the dynamic pressure drop is converted into static pressure rise, thus
further increase in the static pressure. The gas from the diffuser enters the volute casing
where further conversion of velocity into static pressure takes place due to the divergent
shape of the volute. Finally, the pressurized gas leaves the compressor from the volute
casing. The velocity triangle for the centrifugal compressor is shown in Figure 10.10.
Here,
V = absolute velocity of gas
u = blade velocity
Vr = relative velocity
V∞ = whirl component of absolute velocity
Vf = flow or normal component of absolute velocity

Further, suffix 1 and 2 represent the conditions at inlet and outlet of the impeller.

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 10 AIR COMPRESSORS

FIGURE 10.10
Velocity Diagram at the Outlet of the Impeller of a Centrifugal Compressor
For inlet velocity diagram, it has been assumed that gas enters the impeller eye in an axial
direction, i.e., the whirl component of absolute velocity, Vω1is zero. Flow component of
absolute velocity, Vf1 = V1 (Figure 10.10 b)

In general, we consider the flow of a gas through a rotor of any shape, the rate of change
of angular momentum is given by (Vω2r2 − Vω1r1 )m/sec/kg

Work done = (Vω2r2 − Vω1r1 )ω; AsVω1 = 0

= Vω2r2ω = Vω2u2 J/kg

It has been observed that for backward curved vanes (β < 900), the tangential compo-
nent of absolute velocity is much reduced and consequently for a given impeller speed,
the impeller will have a low energy transfer. In the case of forward curved vanes (β >
900), the tangential component of absolute velocity is increased and consequently, the
energy transfer for forward curved vane is maximum. However, the absolute velocity at
impeller outlet is also increased. The high value of the absolute velocity is not desirable
as its conversion into static pressure cannot be carried out efficiently in diffuser section.
Normally, backward vanes with β between 20-250 are employed except in the case where
the high head is a major consideration.
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10.6 AXIAL FLOW COMPRESSORS

In axial flow compressors, the flow proceeds throughout the compressor in a direction
essentially parallel to the axis of the machine. The unit consists of an adjacent row of
rotor blades and stator blades. One stage of the machine comprises a row of rotor blades
followed by a row of stator blades. For efficient operation, the blades are of aerofoil
section based on aerodynamic design. The fixed blades serve the following purposes.
To convert a part of the K.E. of the fluid into pressure energy. The conversion is achieved by diffusion
process out in the diverge blade passage.
To guide and redirect the fluid flow so that entry to the next stage is without shock.

Surging

Surging is caused due to unsteady, periodic, and reversal flow of gas through the
compressor when the compressor has to operate at less mass flow rate than a
predetermined value. Thus, when flow through the compressor is less than a
predetermined value, a surge or pulsation begins and air surges to and fro through the
whole compressor instead of giving a stream in one direction.

Choking

Mass flow rate reaches at a maximum value when the pressure ratio becomes unity. This
generally occurs when the Mach number (ratio of gas velocity and sound velocity)
corresponding to relative velocity at inlet becomes sonic. The maximum mass flow rate
possible in a compressor is known as choking flow. Choking means fixed mass flow rate
regardless of pressure ratio.

Stalling

The phenomenon of reduction in lift force at higher angles of incidence is known as

stalling. It is defined as an aerodynamic stall or the breakaway of the flow from the
suction side of the blade aerofoil. The breakaway of flow from the suction side may be
due to lesser mass flow rate than designed value or due to non-uniformity in blade profile.

RECAP ZONE

Points to Remember
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The function of the compressor is to compress the gases and vapors from low pressure to high pressure.
In positive displacement compressor, the pressure is raised by decreasing the volume of gas, i.e.,
positive displacement of gas.
In the dynamic compressor, the kinetic energy imparted to the gas by the rotation of the rotor is
converted into pressure energy partly in the rotor and rest in the diffuser.
In reciprocating compressors, the gas volume decreases and pressure increases due to the action of
one or more reciprocating piston moving axially in one or more cylinders.
In isothermal compression work done is minimum and is maximum for adiabatic compression.
The volumetric efficiency of a compressor is the ratio of actual free air delivered to the displacement
of the compressor.
Fixed van type compressors belong to the category of positive displacement type as compression is
achieved by reducing the volume of the gas.
In these compressors, the pressure rise takes place due to the continuous conversion of angular
momentum imparted to the gas by a high-speed impeller into static pressure.
For backward curved vanes (β < 900), the tangential component of absolute velocity is much reduced
and consequently for a given impeller speed, the impeller will have a low energy transfer.
For forward curved vanes (β > 900), the tangential component of absolute velocity is increased and
consequently, the energy transfer for forward curved vane is maximum.
In axial flow compressors, the flow proceeds throughout the compressor in a direction essentially
parallel to the axis of the machine.
Surging is caused due to unsteady, periodic, and reversal flow of gas through the compressor when the
compressor has to operate at less mass flow rate than a predetermined value.
Choking occurs when mass flow rate reaches at a maximum value when the pressure ratio becomes
unity. This generally occurs when the Mach number (ratio of gas velocity and sound velocity)
corresponding to relative velocity at inlet becomes sonic.
The phenomenon of reduction in lift force at higher angles of incidence is known as stalling.

Important Formulae

1. Work done in polytropic compression in reciprocating compressor:

2. Work done in isentropic compression in reciprocating compressor:

3. Work done in isothermal compression in reciprocating compressor:

4. Effect of clearance on work done:

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5. Volumetric efficiency:

6. Work done in multistage compression:

For perfect cooling,Ta= T1

7. Heat rejected during compression process:

8. Mean Effective Pressure, pm:

for single acting reciprocating compressor

for double acting reciprocating compressor

9. Work done in centrifugal compressor: Work done = (Vω2r2 − Vω1r1 )ω; As Vω1 = 0
= Vω2r2ω = Vω2u2 J/kg

REVIEW ZONE

Multiple-choice Questions

1. The most efficient method to compress the air is:

1. Isothermal compression
2. Adiabatic compression
3. Polytropic compression
4. None of these
2. Maximum work is done in compressing air when the compression is:
1. Isothermal compression
2. Adiabatic compression
3. Polytropic compression
4. None of these
3. Isothermal compression efficiency can be achieved by running the compressor:
1. At a very high speed
2. At a very slow speed
3. At an average speed
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 10 AIR COMPRESSORS
4. At zero speed
4. Airplane employs the following type of compressor:
1. Reciprocating compressor
2. Centrifugal compressor
3. Axial flow compressor
4. None of these
5. The ratio of work done per cycle to the swept volume in case of compressor is called:
1. Compression ratio
2. Compressor efficiency
3. Mean effective pressure
4. None of these
6. Clearance volume in a cylinder should be:
1. As large as possible
2. As small as possible
3. About 50% of swept volume
4. None of these
7. Clearance volume on a reciprocating compressor is required to:
1. Accommodate valves in the cylinder head
2. Provide a cushioning effect
3. Attain high volumetric efficiency
4. Provide a cushioning effect and also to avoid mechanical bang of the piston with the cylinder head
8. The net work input required for compressor with increase in clearance volume:
1. Increases
2. Decreases
3. Remain same
4. None of these
9. Volumetric efficiency is:
1. The ratio of stroke volume to clearance volume
2. The ratio of air actually delivered to the amount of piston displacement
3. Reciprocal of compression ratio
4. None of these
10. A compressor at high altitude will draw:
1. More power
2. Less power
3. Same power
4. None of these
11. The machine run by prime mover and used to increase the air pressure is known as:
1. Steam turbine
2. Gas turbine
3. Compressor
4. I.C. engines
12. A compressor is used:
1. In a gas turbine plant
2. In supercharging I.C. Engines
3. In pneumatic drills
4. All of the above
13. Ratio of absolute discharge pressure to absolute inlet pressure is known as:
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1. Compression ratio
2. Expansion ratio
3. Compression efficiency
4. Compressor capacity
14. Compressor capacity is:
1. The volume of air delivered
2. The volume of air sucked
3. Both (a) and (b)
4. None of these
15. As the compression ratio increases, the volumetric efficiency of air compressor:
1. Increases
2. Decreases
3. Remain constant
4. None of these
16. In reciprocating compressor, clearance volume is provided to:
1. Increase volumetric efficiency
2. Allow space for valves and to ensure that the piston does not strike the cylinder at the end of the
stroke
3. Decrease the work done
4. All of these
17. The clearance volume in the compressor is kept minimum because it affects:
1. Volumetric efficiency
2. Mechanical efficiency
3. Compressor efficiency
4. Isothermal efficiency
18. Ratio of isothermal horsepower to the shaft horse power to drive a compressor is known as:
1. Volumetric efficiency
2. Mechanical efficiency
3. Overall isothermal efficiency
4. Adiabatic efficiency
19. If k is the clearance ratio for a reciprocating air compressor, then volumetric efficiency will be:
1. 1 + k – K (P2/P1)Vn
2. 1 – k + K (P2/P1)Vn
3. 1 + k – K (P1/P2)Vn
4. 1 – k + K (P1/P2)Vn
20. The optimum intermediate pressure P2 in a two stage air compressor having P1 and P3 as suction and
delivery pressures respectively is equal to:
1. (P1+P2)/2
2. P1.P2/2
3. (P1+P2)1/2
4. (P1.P2)1/2
21. In multistage compression with intercooler, the compression obtained is:
1. Isothermal
2. Adiabatic
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 10 AIR COMPRESSORS
3. Polytropic
4. None of the above
22. Compressor in which compression is achieved by a rotating vane or impller to give the air the desired
pressure is known as:
1. Single stage compressor
2. Single acting compressor
3. Rotary compressor
4. Reciprocating compressor
23. In gas turbine, type of compressor used is:
1. An axial flow compressor
2. A reciprocating compressor
3. A centrifugal compressor
4. All of the above
24. In centrifugal compressor, at a given pressure ratio an increase in speed causes:
1. Increase in flow
2. Decrease in efficiency
3. Decrease in flow
4. Both (a) and (b)
25. In a centrifugal compressor, the pressure ratio can be increased by:
1. Increasing tip speed
2. Decreasing inlet temperature
3. Both (a) and (b)
4. None of the above
26. An axial flow compressor gives optimum performance at:
1. High speed
2. Low speed
3. Moderate speed
4. None of the above

Fill in the Blanks

1. 27. A centrifugal compressor works on principle of conversion of.__________

2. 28. A compressor at high altitude will draw__________
3. 29. The ratio of outlet whirl velocity to blade velocity in case of centrifugal compressor is
called__________.
4. 30. For high-pressure compressors, __________ type of valve will be best suited.
5. 31. The ratio of isentropic work to Euler work is known as__________.
6. 32. Diffuser in compressor is used to__________.
7. 33. Phenomenon of choking in compressor means__________.
8. 34. Stalling of blades in axial flow compressor means__________.
9. 35. Surging is the phenomenon of__________.
10. 36. The maximum pressure ratio in single stage single cylinder reciprocating compressor
is__________.

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Answers

1. a
2. b
3. b
4. c
5. c
6. b
7. d
8. c
9. b
10. b
11. c
12. d
13. a
14. a
15. b
16. b
17. a
18. c
19. a
20. d
21. a
22. c
23. a
24. d
25. c
26. a
27. Kinetic energy into pressure energy
28. Less power
29. Slip factor
30. Propet
31. Pressure coefficient
32. Convert Kinetic energy into pressure energy
33. Fixed mass flow rate regardless of pressure ratio
34. Air stream not able to flow the blade contour
35. Unsteady, periodic and reverse flow
36. 1:5

Theory Questions

1. What is a function of the compressor? How do you classify the compressors? Explain the various basis
of classification.
2. Explain the assumptions of working of the reciprocating compressor. Discuss the working of a
reciprocating compressor with a neat sketch.
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3. Derive the expression of work done by the compressor in isothermal compression, adiabatic
compression, and polytropic compression.
4. Find the expression for volumetric efficiency of the reciprocating compressor.
5. Discuss the assumptions and advantages of multistage compression.
6. Explain the working of fixed vane type and multiple vane type compressors.
7. Explain the working principle of the centrifugal compressor.
8. Write short notes on surging, choking, and stalling.
9. *What is compressor?
10. *Derive an equation for work done in the case of single stage single acting reciprocating air compressor
neglecting clearance.
11. *Why is multi-stage compression required? Write advantages of the multi-staging compression.
12. *Classify the air compressor. Differentiate between reciprocating compressor and rotary compressor.
13. *Discuss about rotary compressors and blower?

Numerical Problems

1. A single cylinder, single acting air compressor has a cylinder diameter of 140 mm and stroke of 2800
mm. It draws air into the cylinder at a pressure of 1 bar and temperature 270C. This air is then
compressed adiabatically to a pressure of 7 bars if the compressor runs at a speed of 120 rpm, find (i)
mass of air compressed per cycle, work required per cycle, and (iii) power required to drive the
compressor. Neglect the clearance volume and take R = 0.287 kJ/kgK.
2. A single stage reciprocating compressor is required to compress 1 kg of air from 1 bar to 8 bars. The
initial temperature of the air is 200C. Calculate work for isothermal, isentropic, and Polytropic
compression for n = 1.25.
3. A single stage single acting air compressor has intake pressure 1 bar and delivery pressure 10 bar. The
compression and expansion follow the law pV1.3 = constant. The piston speed and rotations of the shaft
are 200 m/min and 360 rpm, respectively. Indicated power is 40 kW and volumetric efficiency is 90%.
Determine the bore and stroke.
4. An air compressor has eight stages of an equal pressure ratio of 1.4. The flow rate through the
compressor and the overall efficiency are 40 kg/sec and 92%, respectively. If the air enters
compressors at a pressure of 1.0 bar and temperature of 300 K. Determine: (i) state of air at the exit of
the compressor, (ii) polytropic of small stage efficiency, and (iii) power required to drive the
compressor.
5. A double acting, single cylinder, reciprocating air compressor has a piston displacement of 0.014 m3
per revolution, operates at 600 rpm and has a 4% clearance. The air is received at 1 bar and delivered
at 8 bars. The compression and expansion are polytropic with n = 1.3. Determine: (i) the volumetric
efficiency, (ii) the power required, and (iii) the heat transferred and its direction during compression if
inlet temperature of the air is 293K.
6. *A single stage, the single acting compressor has a bore of 170 mm and stroke of 260 mm. it runs at 130
rpm. The suction pressure is 1 bar and delivery pressure is 9 bar. Find the indicated power if
compression (i) follows the law pv1.25 = constant and (ii) is isothermal. Also, find isothermal
efficiency. Assume there is no clearance volume.
7. *Air enters a compressor at 0.2 Mpa and 30°C having a volume of 2 m3/kg is compressed to 1 Mpa
isothermally. Calculate: (i) work down, (ii) change in I.E., and (iii) heat transferred.
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 11 CENTROID AND MOMENT OF INERTIA
CHAPTER 11
Centroid and Moment of Inertia
Learning Objectives

By the end of this chapter, the student will be able:

To calculate the center of gravity and centroid of various sections
To demonstrate the theorem of parallel and perpendicular axes
To calculate the mass moment of inertia and second moment of area for different sections

11.1 INTRODUCTION

The centroid is the mean position of elements of area. The coordinates of centriod is
mean value of coordinates of all the elemental points in the area. The center of mass is
the mean position of elements of mass. In a uniform gravitational field, the gravitational
force acts through the center of mass. But, if the gravitational field (hypothetically) is not
uniform (in the case of very large body), center of mass and center of gravity will be
different. Similarly, if the mass per unit area of a shape varies, the center of mass would
not coincide with the centroid. Centroid is a mathematical, geometric concept, i.e., the
geometric center of a body. It can be calculated as the center of mass of an object with
constant density throughout density.

11.2 DETERMINATION OF POSITION OF CENTROID OF PLANE GEOMETRIC FIGURES

11.2.1 Center of Gravity, Center of Mass, and Centroid of an Irregular Shape

In Figure 11.1, an irregular shape is shown for which we want to calculate the center of
gravity, the center of mass and centroid. Here, our purpose is to differentiate the
concepts of these three different terms. It is assumed that the irregular shape, as shown in
Figure 11.1, is of uniform thickness, density and subjected to the uniform gravitational
field.

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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.1
Center of Gravity, Center of Mass, and Centroid
Let Wi be the weight of an element in the given body. W be the total weight of the body.
Let the coordinates of the element are Xi, Yi, Zi and that of centroid G be X̅, Y̅ , and Z̅ .
Since W is the resultant of Wi forces. Therefore,

Here, X̅, Y̅ , and Z̅ are coordinates of the center of gravity, G. The resultant gravitational
force acts through the point G.
If gravitational field be uniform, the gravitational acceleration (g) will be same for all the
points. Therefore, in of Wi, we can put Mig and the center of mass can be expressed as:

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 11 CENTROID AND MOMENT OF INERTIA
Here, X̅, Y̅ , and Z̅ are coordinates of the center of mass, G. The resultant mass of the
body is concentrated at the point, G.
If the density of mass (γ) and the thickness of the body (t) is uniform, the mass Mi can be
represented as γ · Ai · t. The centroid can be expressed as:

Here, X̅, Y̅ , and Z̅ are coordinates of centroid, G.

11.2.2 Centroid of I-section

The I-section shown in Figure 11.2 can be divided into three parts; lower part of area A1,
the middle part of area A2, and upper part of area A3. The lengths and widths of the all
the parts of I-section are shown in the Figure 11.2. Let the X and Y coordinates be pass
through origin O as shown in the Figure 11.3.
The coordinates for centroid can be calculated using the following formula:

FIGURE 11.2
Centroid of I-section

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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.3
Reference Axes for I-section

In the case of axial symmetry about Y-axis, the distances of X1/2, X2/2, X3/2 from origin
will be zero.
Hence, X̅ = 0.

11.2.3 Centroid of U-section

The U-section shown in Figure 11.4 can be divided into three parts; lower part of area A1
and two upper parts of area A2. The lengths and widths of the all the parts of U-section
are shown in the Figure 11.4. Let the X and Y coordinates be pass through origin o as
shown in the Figure 11.4.
The coordinates for centroid can be calculated using the following formula:

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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.4
U-section
In the case of axial symmetry about Y-axis, the distances of X1/2, X2/2 from origin will be
zero.
Hence, X̅ = 0.

11.2.4 Centroid of H-section

The H-section shown in Figure 11.5 can be divided into three parts; left and right parts of
area A1 and central part of area A2. The lengths and widths of the all the parts of H-
section are shown in the Figure 11.5. Let the X and Y coordinates be pass through origin 0
as shown in the Figure 11.5.

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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.5
H-section
The coordinates for centroid can be calculated using the following formula:

In the case of axial symmetry about Y axis, the distances of X1/2, X2/2 from origin will be
zero.
Hence, X̅ = 0.

11.2.5 Centroid of L-section

The L-section shown in Figure 11.6 can be divided into two parts; Lower part of area A1
and upper part of area A2. The lengths and widths of the all the parts of L-section are
shown in the Figure 11.6. Let the X and Y coordinates be pass through origin 0 as shown
in the Figure 11.6.

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FIGURE 11.6
L-Section
The coordinates for centroid can be calculated using the following formula:

11.2.6 Centroid of T-section

The T-section shown in Figure 11.7 can be divided into two parts; Lower part of area A1
and upper part of area A2. The lengths and widths of the all the parts of L-section are
shown in the Figure 11.7. Let the X and Y coordinates be pass through origin 0 as shown
in the Figure 11.7.

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 11 CENTROID AND MOMENT OF INERTIA
FIGURE 11.7
T-Section
The coordinates for centroid can be calculated using the following formula:

11.2.7 Centroid of C-section

The C-section shown in Figure 11.8 can be divided into three parts; Lower and upper
parts of area A1 and middle part of area A2. The lengths and widths of the all the parts of
C-section are shown in the Figure 11.8. Let the X and Y coordinates be pass through
origin 0 as shown in the Figure 11.8.

FIGURE 11.8
C-Section
The coordinates for centroid can be calculated using the following formula:

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11.2.8 Centroid of Circular Arc

Centroid of an arc of a circle, as shown in Figure 11.9, has length L = R · 2α. Let us
consider an element of the arc of length dL= Rdθ.

FIGURE 11.9
Centroid of Circular Arc

And

11.2.9 Centroid of Semicircular-section of a Disc

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Considering a semicircle of radius R as shown in Figure 11.10. Due to symmetry centroid

must lie on the y-axis. Let its distance from the x-axis be Y̅ . To find Y̅ , consider an
element at a distance r from the center O of the semicircle, radial width dr and bound by
radii at θ and θ + dθ.

FIGURE 11.10
Centroid of Circular Section of a Disc
Area of the element = rdθ dr.
its moment about x-axis is given by,

rdθ × dr × r sin θ = r2 sin θ dr dθ

Total moment of area about x-axis,

Thus, the centroid lies on the y-axis at a distance of from the diametric axis.

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11.2.10 Centroid of a Sector of a Circular Disc

Consider a sector of a circular disc of angle 2α as shown in Figure 11.11. Due to

symmetry, centroid ‘G’ lies on the x-axis. To find its distance from the center O, consider
an elemental area as shown in the Figure 11.11.

FIGURE 11.11
Centroid of a Sector of a Circular Disc

Moment of area of the element = rdθ × dr × r cos θ = r2 cos θ dr dθ

Total moment of area about y-axis

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11.2.11 Centroid of a Parabola

Considering a parabolic section of height, h and base b. Now to find the centroid of this
section, consider a small element of width dx at a distance of x from the origin O.

Area of the element = kx2dx; where y = kx2 equation of parabola.

FIGURE 11.12
Centroid of a Parabolic Section

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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.13
Centroid of a Triangle

11.2.12 Centroid of a Triangle

Consider a triangle ABC of the base, b and height, h. Let us locate the centroid of the
triangle from its base. Let b1 be the width of an elemental strip of thickness dy at a
distance y from the base. Since ΔAEF and ΔABC are similar triangles, therefore,

Area of element,

Thus the centroid of a triangle is at a distance h/3 from the base and 2h/3 from the apex
where h is the height of the triangle.

11.3 SECOND MOMENT OF AREA

The second moment of area is also known as area moment of Inertia. Consider a small
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 11 CENTROID AND MOMENT OF INERTIA
lamina of area A. The second moment of area about x-axis or y-axis can be found by
integrating the second moment of area of the small element of area dA of the lamina, i.e.,
∫ x2dA or ∫ y2dA. The product of the area and square of the distance of the centroid from
an axis is known as area moment of Inertia. Similarly, the product of area and distance of
the center of gravity of a mass from an axis is known as mass moment of inertia.

FIGURE 11.14
A Plane Area for Analysis of the Second Moment of Area n
Consider a plane area which is divided into small areas A1, A2, …, An. Let the centroid
of the small areas from a given axis be at a distance of r1, r2, …, rn respectively. The
second moment of area can be given as

11.3.1 Radius of Gyration

Radius of gyration of a body about an axis is a distance such that its square multiplied by
the area gives a moment of inertia of the area about the given axis.

11.3.2 Theorem of Perpendicular Axis

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 11 CENTROID AND MOMENT OF INERTIA
Theorem of perpendicular axis states that if IXX and IYY be the moment of inertia of a
plane section about two mutually perpendicular axes X-X and Y-Y in the plane of the
section (as shown in Figure 11.15), then the moment of inertia of the section IZZ about
the axis Z-Z, perpendicular to the plane and passing through the intersection of axes X-X
and Y-Y is given by

IZZ = IXX + IYY

or,
Hence, IZZ is also known as polar moment of inertia.

FIGURE 11.15
Perpendicular Axis Theorem

11.3.3 Theorem of Parallel Axis

Theorem of parallel axis states that if the moment of inertia of a plane area about an axis
in the plane of the area through centroid be represented by IG, then the moment of inertia
of the plane about a parallel axis AB (IAB) in the plane at a distance h from the centroid
of the area is given by

IAB = IG + Ah2
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 11 CENTROID AND MOMENT OF INERTIA

FIGURE 11.16
Parallel Axis Theorem

11.3.4 Moment of Inertia from First Principle

A. Moment of Inertia of a Rectangle

Consider an elemental strip of width dy at distance of y from a centroidal axis of a

rectangle.
Moment of inertia of the strip is given by

IXX = y2dA = y2bdy

FIGURE 11.17
Moment of Inertia of a Rectangle about Centroidal Axis
Now, Moment of Inertia of entire rectangle can be given by
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B. Moment of Inertia of a Triangle

Consider an elemental strip of width dy at distance of y from the base of a triangle.

Moment of inertia of the strip about its base is given by

FIGURE 11.18
Moment of Inertia of a Triangle about its Base

Now, moment of inertia of entire triangle about its base

C. Moment of Inertia of a Circular Disc

Consider an element of the arc length rdθ and width dr of the circular disc as shown in
Figure 11.19. Now, the moment of inertia of the element about diametral axis x-x is given
by

IXX = y2dA = (r sinθ )2 dθdr = r3 sin2 θ dθ dr

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FIGURE 11.19
Moment of Inertia of a Circular Disc about its Diametral Axis
Now, moment of inertia of entire circle about diametral axis is given by

11.3.5 Moment of Inertia of Some Composite Sections

The composite section in the Figure 11.20 can be divided into three parts: triangular part
of area A1; rectangular part of area A2; and semicircular part of area A3. The individual
centroid for each section is shown in the figure 11.20 as C1, C2, and C3. The centroid of
the entire section is located as C. Consider the moment of inertia of the sections 1, 2, and
3 about the axes parallel to XX and passing through their individual centroid are IC1, IC2,
and IC3 respectively. The moment of inertia of the entire composite section about the axis
XX passing through the centroid C can be given as

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FIGURE 11.20
Moment of Inertia of a Composite Section

11.4 CENTER OF GRAVITY OF SOLIDS

Center of gravity of a solid is a point through which resultant line of forces passes or the
line of action of gravity force passes. The difference between the center of gravity and
centroid has been already explained in subsection 11.1.

11.5 MASS MOMENT OF INERTIA

Mass moment of inertia of a body about an axis is defined as the sum of the product of its
elemental masses and square of their distances from the axis.
Radius of gyration of a solid body can be given as

I = Mk2 or .
where I is mass moment of inertia, M is the mass of the body, and k is the radius of
gyration.

11.5.1 Mass Moment of Inertia of a Circular Ring

Consider a circular ring of radius R as shown in Figure 11.21. Let the mass per unit length
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 11 CENTROID AND MOMENT OF INERTIA
of the ring is ‘m’. To find the mass moment of inertia of the ring about the diametral axis
XX, consider an element of length ds = rdθ; the distance of the element from the
diametral axis XX is R sinθ; and mass of the element is mrdθ.

The moment of Inertia about an axis passing through the center of the circle and
perpendicular to the plane of circular ring

IZZ = IXX + IYY = MR2

FIGURE 11.21
Mass Moment of Inertia of a Circular Ring

FIGURE 11.22
Mass Moment of Inertia of a Hollow Cylinder
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11.5.2 Mass Moment of Inertia of a Circular Disc

Consider an element of the disc of arc length rdθ, width dr and thickness t. ρ is the mass
density of the disc. Mass moment of inertia of the disc can be calculated as (refer Figure
11.19)

Moment of inertia perpendicular to the plane of the circular disc

11.5.3 Mass Moment of Inertia of a Hollow Cylinder

Let in Figure 11.22, Ro = outer radius of cylinder; Ri = inner radius of the cylinder, L =
length of cylinder; ρ = mass density of the cylinder; M = mass of the cylinder;.
Consider a small elemental ring of width dr at a distance of radius r from the center of
cylinder then the mass of the element, dm = ρ. 2πr . dr · L
Now mass moment of inertia of the element about the axis ZZ

IZZelement = (ρ × 2πrdr × L) × r2

Moment of inertia of the cylinder about the axis ZZ

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 11 CENTROID AND MOMENT OF INERTIA

11.5.4 Mass Moment of Inertia of Sphere

Consider an elemental plate of thickness dy at a distance y from the diametral axis as

shown in Figure 11.23. Radius of this elemental circular plate x is given by

x2 = R2 – y2

Mass of the elemental plate, dm = ρπx2 dy = ρπ (R2 – y2) dy

FIGURE 11.23
Mass Moment of Inertia of Sphere
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 11 CENTROID AND MOMENT OF INERTIA
Moment of inertia of the plate element about axis

But, mass of sphere,

Massmoment of inertia of hemisphere about the axis ZZ,

Moment of inertia of the plate element about axis

11.5.5 Mass Moment of Inertia of a Circular Cone

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 11 CENTROID AND MOMENT OF INERTIA
Consider an elemental plate at a distance x from the apex of radius r and thickness dx.
Mass of elemental plate = ρπr2dx

FIGURE 11.24
Mass Moment of Inertia of Circular Cone about its Axis of Rotation
The moment of inertia of circular plate about normal axis through its center is

But,

Moment of inertia of the elemental plate about the axis

Moment of inertia of cone about its axis,

Mass of the cone,

Moment of inertia of cone about its axis,

RECAP ZONE

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 11 CENTROID AND MOMENT OF INERTIA
Points to Remember

The centroid is the mean position of elements of an area. The coordinates of the centroid are mean
value of coordinates of all the elemental points in the area.
The center of mass is the mean position of elements of mass. In a uniform gravitational field, the
gravitational force acts through the center of mass. But, if the gravitational field (hypothetically) is not
uniform (in the case of the very large body), the center of mass and center of gravity will be different.
The centroid is a mathematical, geometric concept, i.e., the geometric center of a body. It can be
calculated as the center of mass of an object with constant density throughout density.
The second moment of area is also known as area moment of Inertia. Consider a small lamina of area
A.
The second moment of area about x-axis or y-axis can be found by integrating the second moment of
area of small element of area dA of the lamina, i.e., ∫ x2dA or ∫ y2dA.
The product of the area and square of the distance of the centroid from an axis is known as area moment
of Inertia.
The radius of gyration of a body about an axis is a distance such that its square multiplied by the area
gives a moment of inertia of the area about the given axis.
Theorem of perpendicular axis states that if IXX and IYY be the moment of inertia of a plane section
about two mutually perpendicular axes X-X and Y-Y in the plane of the section, then the moment of
inertia of the section IZZ about the axis Z-Z, perpendicular to the plane and passing through the
intersection of axes X-X and Y-Y is given by

IZZ = IXX + IYY = ∫r2dA

Theorem of parallel axis states that if the moment of inertia of a plane area about an axis in the plane of
the area through centroid be represented by IG, then the moment of inertia of the plane about a parallel
axis AB (IAB) in the plane at a distance h from the centroid of the area is given by IAB = IG + Ah2.
Mass moment of inertia of a body about an axis is defined as the sum of the product of its elemental
masses and square of their distances from the axis.

List of Mass Moment of Inertia

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 11 CENTROID AND MOMENT OF INERTIA

List of Area Moment of Inertia

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Important Formulae

1.

2.

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 11 CENTROID AND MOMENT OF INERTIA

3.

4. Centroid of circular arc

5. Centroid of semicircular-section of a disc

6. Centroid of a sector of a circular disc

7. Centroid of a parabola

8. Centroid of a triangle

9. Radius of gyration
10. Perpendicular axis theorem IZZ = IXX + IYY = IZZ = ∫r2dA
11. Parallel axis theorem IAB = IG + Ah2

REVIEW ZONE

Multiple-choice Questions

1. Which of the following forms the basis of rigid bodies and strength of material?
1. Centroid
2. Center of gravity
3. Moment of inertia
4. Any of the above
2. “The moment of inertia of a lamina about any axis in the plane lamina equal the sum of the moment of
inertia about a parallel centroidal axis in the plane lamina and the product of the area of the lamina and
square of the distance between the two axes”.

The above theorem is known as

1. Parallel axis theorem
2. Perpendicular axis theorem
3. Three-moment theorem
4. None of the above
3. Centroid of a circular arc of radius R including angle 2α can be given by:

1.
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 11 CENTROID AND MOMENT OF INERTIA
2.

3.

4.
4. Centroid of a semicircular disc or radius R can be given as:

1.

2.

3.

4.
5. Centroid of a sector of a circular disc of radius r and included angle 2α can be given as:

1.

2.

3.
4. X̅ = —sin2 ; Y̅ = 0
6. Centroid of parabola of height h and base b (y = k x2) can be given as:

1.

2.

3.

4.
7. Radius of gyration of a body can be given as:

1.

2.

3.
4. Both (a) and (b)
8. Moment of inertia of a triangle of base b height h about its base can be given as:

1.

2.
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 11 CENTROID AND MOMENT OF INERTIA

3.
4. None of these
9. Moment of inertia of a triangle of base b height h about its center parallel to its base can be given

1.

2.

3.
4. None of these
10. Moment of inertia of a circular disc about its diametral axis can be given as:

1.

2.

3.

4.
11. Polar moment of inertia of a circular disc about its diametral axis can be given as:

1.

2.

3.

4.
12. Mass moment of inertia of a sphere of radius R can be given as:

1.

2.

3.

4.
13. Mass moment of inertia of a circular cone of radius R and height h about its axis of rotation can be given
as:

1.

2.

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 11 CENTROID AND MOMENT OF INERTIA
3.

4.
14. Mass moment of inertia of a hemisphere of radius R about axis perpendicular to its diametral plane can
be given as:

1.

2.

3.

4.
15. Mass moment of inertia of a hemisphere of radius R about an axis passing through its center in its
diametral plane can be given as:

1.

2.

3.

4.

Answers

1. c
2. a
3. a
4. b
5. c
6. d
7. d
8. b
9. c
10. d
11. b
12. a
13. a
14. c
15. a

Theory Questions

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 11 CENTROID AND MOMENT OF INERTIA
1. What do you mean by centroid and center of gravity? What is the basic difference between centroid and
center of gravity?
2. Find the centroid of a rod of length L, and mass M, using the first principle.
3. State the perpendicular and parallel axis theorem.
4. Find the expression for the center of gravity for the hemisphere.
5. Find the mass moment of inertia of hemisphere about a diametral axis.
6. Find the moment of inertia of a triangle about the line parallel to its base and passing through the
centroid.
7. Find the moment of inertia of a disc:
1. About a line perpendicular to the plane of the disc and passing through the centroid.
2. About a line parallel to the plane of the disc and passing through the centroid.
3. About a line perpendicular to the plane of the disc and passing through the perimeter.
4. About a line of a tangent.
8. Find the expression for mass moment of inertia of a sphere.
9. Find the mass moment of inertia of a hollow cylinder about its axis passing through the centroid.
10. Differentiate area moment of inertia from the mass moment of inertia.

Numerical Problems

1. From a circular plate of diameter 100 mm, a circular part is cut out whose diameter is 50 mm as shown
in Figure 11.25. Find the centroid of the remaining part.

FIGURE 11.25
2. From a semi-circular lamina of radius r, a circular lamina of radius r/2 is removed as shown in Figure
11.26. Find the position of the centroid of the remaining part.

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 11 CENTROID AND MOMENT OF INERTIA
FIGURE 11.26
3. Compute the moment of inertia of the composite area as shown in Figure 11.27 about the axis xx.

FIGURE 11.27
4. Determine the moments of inertia and the radius of gyration of the section as shown in Figure 11.28 with
respect to the x and y-axes.

FIGURE 11.28
5. Find the moment of inertia of the shaded section about the edge AB as shown in Figure 11.29.

FIGURE 11.29

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CHAPTER 12
Stress and Strain
Learning Objectives

By the end of this chapter, the student will be able:

To demonstrate the Hook’s law
To describe the behaviour of the engineering materials under different types of loadings
To calculate the stress and strain produced in a material under different types of loading
To understand the concepts of principal stress and strain
To demonstrate the Mohr’s circle for principal stress and principal strain

12.1 INTRODUCTION

There are certain behaviors of all materials under the influence of an external force.
Stress and strain are one of the measures to show these behaviors. Stress is a resistive
force per unit area, which is developed internally to oppose the external force subjected
to the material. The strain is a measure of deformation of the material per unit
dimensions. If the stress developed in the material is perpendicular to the cross-section, it
is known as direct stress and if it is tangential or parallel to the cross-section, it is known
as shear stress.
In Figure 12.1 (a), a cylindrical job is subjected by a load P. If the specimen is broken at
AB, the same amount of stress will be developed for equilibrium at the section AB which
is known as direct stress. Direct stress can be explained as average stress and normal
stress. Since stress is force developed per unit area. It is not necessary that amount of
force on every point on cross-section AB will be same. It depends on direction and point
of application of external force P, so it is known as average stress (σ).

FIGURE 12.1
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 12 STRESS AND STRAIN
(a) Cylindrical Job Subjected to Axial Load and (b) Cylindrical Job Subjected to External
Load Parallel to Cross-section

If the stress distribution along the cross-section is uniform, it is known as simple or

normal stress. σ = P/A. To develop normal stress, the external force P must be passed
through the centroidal axis.
In Figure 12.1 (b), an external load P is subjected to the specimen parallel to the cross
section. There will be resistance just opposite to the external load which is parallel to the
cross section and known as shear force. Again shear stress distribution may or may not be
uniform along the cross-section.
Strain is a way to show the deformation in the material. In Figure 12.2, the deformations
are shown in two directions: one in the direction of load application and other in the
direction perpendicular to load application. The strain produced in the direction of load is
known as longitudinal strain and the strain produced perpendicular to load application is
known as lateral strain.
The ratio of lateral to longitudinal strain is constant which is known as Poisson’s ratio (v).

FIGURE 12.2
Longitudinal and Lateral Strain
The value of v for steel ranges from 0.25 and 0.33.

Volumetric strain, Superficial strain, where ΔV is the change in volume,

V is original volume, ΔA is a change in the area, and A is the original area.

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 12 STRESS AND STRAIN
12.2 HOOKE’S LAW

Hook’s law states that stress and strain are perpendicular to each other under the elastic
limit. Originally, Hooke’s law specified that stress was proportional to strain but Thomas
Young introduction a constant of proportionality which is known as Young’s modulus.
Further, this name was superseded modules of elasticity.

Where E is the modulus of elasticity; σ is stress, and ∈

​ is a strain.

12.3 STRESS–STRAIN DIAGRAM

Hooke’s law states that stress and strain are proportional to each other under the elastic
limit. Originally, Hooke’s law specified that stress was proportional to strain but later
Thomas Young introduced a constant of proportionality which is known as Young’s
modulus of elasticity. Further, this name was superseded by the modulus of elasticity.
Figure 12.3 demonstrates the Hooke’s Law.

FIGURE 12.3
Hook’s Law
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 12 STRESS AND STRAIN
Working Stress, Allowable Stress, and Factor of Safety: Working stress is defined as the
actual stress of a material under a given loading. The maximum safe stress that a material
can carry is termed as the allowable stress. The allowable stress should be limited to
values not exceeding the proportional limit. However, since the proportional limit is
difficult to determine accurately, the allowable stress is taken as either the yield point or
ultimate strength divided by a factor of safety. The ratio of this strength (ultimate or yield
strength) to allowable strength is called the factor of safety.
The relationship between gauge length and cross-sectional area of the tensile test
specimen can be given as , where A is an area of cross-section.
Note: Stress-strain diagram for medium carbon steel refer Ch.17.

EXAMPLE 12.1

A mild steel specimen with an original diameter of 10 mm and a gauge length of 50 mm

was found to have an ultimate load of 60 kN and breaking load of 40 kN. The gauge
length at rupture was 55 mm and diameter at rupture cross-section was 8 mm. Determine:
(i) the ultimate stress, (ii) Breaking stress, (iii) True breaking stress, (iv) percentage
elongation, and (v) percentage reduction in area.
SOLUTIO N
Given: lg = 50 mm, do=10 mm, lf = 55 mm, Pult = 60 kN, Pbreak = 40 kN, and df = 8mm.

1. Ultimate stress,

2. Breaking stress,

3. True breaking stress,

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 12 STRESS AND STRAIN

4. Percentage elongation

5. Percentage reduction in area

Stress and Strain in Simple Stepped Bar

FIGURE 12.4
Stress-Strain in Stepped Bar
Let us consider a stepped bar of diameters d1, d2, and d3 as shown in Figure 12.4 (a).
Different forces of the magnitude of P1, P2, P3, and P4 are acting at a different section of
the bar. Free body diagram of these sections are shown in Figure 12.4 (b).

For section AB:

For section BC:

For section CD:

Here δ is total deflection in the bar.
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 12 STRESS AND STRAIN
EXAMPLE 12.2

There is a specimen for a tensile test of a material. It has a circular cross-section and
enlarged ends as shown in Figure 12.5.
The total elongation is 10 mm. The lengths of the enlarged ends are equal to 50 mm and
diameter 25 mm for each end. The length and diameter of the middle portion are to be
found. The tensile loads applied at the ends are 90 kN and stress produced in the middle
portion is 450 MN/m2. Find the length l and diameter d for the middle portion of the
specimen. E = 2 × 105 MPa.

FIGURE 12.5
Specimen for Tensile Test
SOLUTION

Cross-section area of the middle portion

Stress produced in the middle portion = 450 × 106N/m2

or,
Elongation produced in the end portions of the specimen

Total elongation, δl = 10 mm = δlAB + δlCD + δlBC = 0.0917 mm + 2.25 × lBC

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 12 STRESS AND STRAIN
or lBC = 4.40 mm

EXAMPLE 12.3

A brass rod in static equilibrium is subjected to axial load as shown in Figure 12.6:

FIGURE 12.6
A Bar Under Static Equilibrium
Find the load P and change in length of the rod if its diameter is 100 mm. Take E = 80
GN/m2.
SOLUTION
Draw the free body diagram for each part of the rod as shown below:

FIGURE 12.7
Free Body Diagram
P − 80kN = 10kN ⇒ P = 90 kN.

Change in length,

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 12 STRESS AND STRAIN
12.4 EXTENSION IN VARYING CROSS-SECTION OR TAPER ROD

A rod of length l tapers uniformly from a diameter D at one end to diameter d at another
end as shown in Figure 12.8. Considering a small element of thickness dx at distance x
from the end of diameter d. the diameter of the element is calculated as

FIGURE 12.8
Extension in Taper Rod

Extension in the element of length

Total extension in the bar,

EXAMPLE 12.4

A rod tapers uniformly from 50 mm to 20 mm diameter in a length of 500 mm. If the rod
is subjected to an axial load of 10 kN, find the extension in the rod. Assume E = 2 × 105
MPa.
SOLUTION

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 12 STRESS AND STRAIN
D = 0.05 m, d = 0.02 m, l = 0.5 m, P = 10 × 10 N, and E = 2 × 1011 N/m2.
3

EXAMPLE 12.5

Determine the elongation of a conical bar under the action of its own weight, if the length
of the bar is L, the diameter of the base is D and the weight per unit volume of the
material is ρ.

FIGURE 12.9
Conical Bar
SOLUTION
Consider a section of small length dx at a height x from the apex cone (as shown in
Figure 12.9) where the diameter is , and weight of the cone below the section

Elongation in the section

Total elongation of the bar,

12.5 STRESS AND STRAIN IN VARYING CROSS-SECTION BAR OF UNIFORM STRENGTH

Consider a bar of varying cross-section of uniform strength subjected by a longitudinal

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 12 STRESS AND STRAIN
stress σ as shown in Figure 12.10. Now consider a small element of axial length δx at a
distance of x from smaller end. Let, the area of the cross-section at section x be A and at
section x + δx be A + δA. For the element of length δx to be in equilibrium, the total
downward force must be equal to the total upward force acting on it.

FIGURE 12.10
Varying Cross-section Bar of Uniform Strength
Weight of length δx + tensile stress at section x × area at section x = Tensile stress at
section (x + δx) × area at section (x + δx)

δW + σ × A = σ × (A + δA)

Here, δW is vertical weight due to weight of free body = ρ × g × A × δx where ρ is the

density of material of the bar.

ρ × g × A × δx + σ × A = σ × A + σ × δA

Thus,

or,

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 12 STRESS AND STRAIN
On integration, between area A1 and A

Hence,

or, or,
Let de be the extension in a small length dx.

EXAMPLE 12.6

A bar of uniform strength is shown in Figure 12.11:

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 12 STRESS AND STRAIN
FIGURE 12.11
Bar of Uniform Strength
Its length is 5 m, diameter at bottom edge is 100 m, weight density of bar is 0.07644 ×
10−3 N/mm2. It is subjected to a uniform stress 0.6 N/mm2. Find the diameters at the top
and at the half of its length.
SOLUTION

Given d = 100 mm, l1 = 5 m, σ = 0.6 N/mm2, ρ = 0.07644 × 10-3 N/mm2.

12.6 STRESS AND STRAIN IN COMPOUND BAR

Any tensile or compressive member which consists of two or more bars or tubes in
parallel, usually of different materials, is called a compound bar. Figure 12.12 shows an
example of the compound bar; it consists of a tube and a rod of different materials.
Since the initial length of tube and rod are same and it will remain together after
application of external force P. Therefore, the strain in each part must be same. Suppose
the loads shared by tube and rod is P1 and P2 out of total load P.
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 12 STRESS AND STRAIN
∈1 = ∈2

where A1 and A2 are cross-section of tube and rod, respectively; E1 and E2 are modulus
of elasticity of tube and rod materials, respectively.

FIGURE 12.12
Compound Bar
On solving Equations (12.1) and (12.2), we get

12.7 STRESS AND STRAIN IN AN ASSEMBLY OF TUBE AND BOLT

Figure 12.13 shows stress and strain produced in a compound rod.

Pull on rod = Push on tube

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 12 STRESS AND STRAIN
FIGURE 12.13
An Assembly of Tube and Bolt
where r subscript is used for rod. Rod is subjected to tensile stress and tube is subjected
to compressive stress.
The reduction in length of tube and extension in rod may be different due to difference in
materials of tube and rod.

EXAMPLE 12.7

A steel rod of 20 mm diameter passes centrally through a steel tube of internal and
external diameters of 25 mm and 30 mm, respectively. The tube is 800 mm long and is
closed by rigid washers of negligible thickness which is fastened by nuts threaded on the
rod. The assembly diagram is shown in Figure 12.14.

FIGURE 12.14
Compound Bar as an Assembly of Tube and Rod
1. The nuts are tightened until the compressive load on the tube reaches 25 kN, calculate the stress on the
tube and the rod.
2. Find the increase in these stresses when one nut is tightened by one-quarter of a turn relative to the
other. There are 5 threads per 10 mm. Take E = 200 kN/mm2.

SOLUTION
When the nut is tightened, there will be a compressive load on the tube which will be
equal to the tensile load on the rod. Compressive stress cannot be equal to tensile stress
because it depends on cross section area and strength of the material.
Pr = Pt = P, where Pr and Pt are loads on rod and tube, respectively.

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 12 STRESS AND STRAIN
σrAr = σtAt, where σr and σt are tensile stress on rod and compressive stress on tube,
respectively; and Ar and At are the cross-sectional areas of the rod and tube, respectively.

Compressive stress on tube,

Tensile stress on rod, σr = 0.6875 σt = 0.6875 × 115.74 N/m2 = 79.57 N/mm2

Let σr1 and σt1 be the stress due to tightening of nut by one quarter of a turn.
σr1 = 0.6875 σt1

Reduction in the length of the tube

Extension in the rod

But, contraction in the tube + Extension in the rod = Axial movement of the nut

σt1 = 74 N/mm2 and σr1 = 0.6875 σt1 = 50.92 N/mm2

EXAMPLE 12.8

In example 12.7, the nut is removed and tube and rod are welded to washers and a
compressive load of 25 kN is applied on washers as shown in the given Figure:
Find the stresses in tube and rod.

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 12 STRESS AND STRAIN

FIGURE 12.15
Fixed End of Tube and Rod Assembly
SOLUTION
In this case change in length in tube and rod will be same as shown in Figure 12.15.
i.e., δlt = δlr

or,

or,

or,

and also
On solving Equations (12.3) and (12.4), we get

or,
Pt = P – Pr = 25 kN – 14.81 kN = 10.18 kN

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 12 STRESS AND STRAIN

Stress in tube,

Stress in rod,

EXAMPLE 12.9

A solid steel bar 0.5 m long and 0.07 m in diameter, is placed inside an aluminum tube
having 0.075 m inside diameter and 0.10 m outside diameter. The steel bar is 0.15 mm
longer than the aluminum tube. An axial load of 600 MN is applied to the bar and
cylinder through rigid cover plate as shown in Figure 12.16:

FIGURE 12.16
Steel Bar and Aluminum Tube Assembly
Find the stress developed in steel bar and cylinder through the rigid cover plate.
SOLUTION

Cross-sectional area of tube,

Cross-sectional area of steel rod,

Let compression in tube is δlAl m.
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 12 STRESS AND STRAIN
Therefore, the compression in steel bar, δlsteel = δlAl + (0.15 × 10−3m )

Strain in tube,

Strain in steel bar,

Stress in tube,

Stress in bar,
Total load on assembly = Load on tube + Load on steel bar = δAl × AAl + δsteel × Asteel

or,

Hence, stress in tube,

stress in bar,

EXAMPLE 12.10

A concrete column of 37.5 cm2 cross-section, reinforced with steel rods having a total
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 12 STRESS AND STRAIN
2
cross-sectional area 7.5 cm carries a load of 800 kN as shown in Figure 12.17:
If E for steel is 15 times greater than that of concrete, calculate the stresses produced in
steel and concrete.

FIGURE 12.17
Concrete Column
SOLUTION
Esteel = 15Econcrete
Aconcrete = 37.5cm2 − 7.5cm2 = 30 cm2; Asteel = 7.5cm2

Contraction in both the steel and concrete will be same.

δlsteel = δlconcrete also, ∈steel = ∈concrete

and load,
Since, ∈steel = ∈concrete

or,

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 12 STRESS AND STRAIN
or, Psteel = 3.75Pconcrete

From Equation (12.5),

P = Psteel + Pconcrete = 3.75Pconcrete + Pconcrete = 4.75Pconcrete

σconcrete = Pconcrete / Aconcrete = 56.14 MN/m2

Psteel = 800 kN − 168.42 kN = 631.5 σsteel = Psteel / Asteel = 842.106 MN/m2

12.8 STRESS AND STRAIN IN COMPOSITE BAR

Any tensile or compressive member which consists of two or more bars in series, usually
of different materials, is called composite bars (Figure 12.18). In this case, Load on both
the rods will be same but strain produced will be different.

FIGURE 12.18
Composite Bar
P = A1E1 ∈1 = A2E2 ∈2

Total strain
where A1, E1 ∈1 are cross-section area, modulus of elasticity, and strain produced in
material 1.
Similarly, A2, E2, ∈2 are cross-section area, modulus of elasticity, and strain produced in
material 2.

12.9 TEMPERATURE STRESS

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 12 STRESS AND STRAIN
If the temperature of a material is increased, there will be expansion in the material
(except ice) and if the temperature is decreased, there will be a contraction in the
material. If these expansion and contraction occur freely there will be no stress in the
material and if this expansion or contraction is prevented then stress will be set up in the
material, which is known as the temperature of thermal stress.

δl = l0α Δt

where δl is change in length; l0 is original length; δ is coefficient of linear expansion; and

Δt is change in temperature.

Thermal stress = EαΔt

EXAMPLE 12.11

A composite bar consisting of aluminum and steel components as shown in Figure 12.19,
is connected to two grips at the ends at a temperature of 100°C. Find the stress in the two
rods when the temperature falls to 60°C (i) If ends do not yields, and (ii) if ends yield by
0.5 mm. Assume Esteel = 2 × 105 MPa, EAl = 0.7 × 105 MPa, αsteel = 1.17 × 10-5 per
degree centigrade, αAl = 2.34 × 10-5 per degree centigrade. Cross-sectional areas of
aluminum and steel bars are 400 and 250 mm2, respectively.

FIGURE 12.19
Compositer Bars with Fixed Ends
SOLUTION
There is a contraction in the bars due to a decrease in temperature.If contraction is free to
541
 12 STRESS AND STRAIN
change in length,
Δl = lAl × αAl × Δt + lst × αst × Δt = (lAl × αAl + lst × αst) × Δt

= (0.5m × 2.34 × 10−5 per °C + 0.8 m × 1.17 × 10−5 per °C )(100°C − 60°C )
= 0.8424 mm.
When contraction is prevented tensile stresses are produced inthe rod.
Loads in two rods will be same.

Case I: When ends do not yeild.

Total contraction = Contraction in aluminum + Contraction in steel

or, σst = 0.099 × 109N/m2 = 99.5MPa

σAl = 0.625σst = 62.2MPa

Case II: When the ends yeild by 0.5 mm.

Contraction prevented = 0.8424 − 0.5 = 0.3424 mm

0.3424 × 10−3 = 8.464 × 10−12σst

or, σst = 40.45MPa

σAl = 25.28MPa

12.10 STRESS AND STRAIN DUE TO SUDDENLY APPLIED LOAD

Suppose W is a load suddenly applied on the collar of a rod and extension due to the load
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 12 STRESS AND STRAIN
application is δl as shown in Figure 12.20 (a). The original length of the rod is λ. The
work done by the load W is U = W × δl.

FIGURE 12.20
(a) Suddenly Applied Load W on a Rod and (b) Load and Deflection Graph for
Equivalent Gradually Applied Load
Now consider the equivalent weight for same work is P which is applied gradually. Work
done by gradually applied load P (Figure 12.20 (b)),

Thus, P = 2W
Hence, grdually applied load for same work done is equal to two times of suddenly
applied load.

Stress produced, and strain,

12.11 STRESS AND STRAIN FOR IMPACT LOAD

Impact load is a load which is applied to a body with some velocity as shown in Figure
12.21. Suppose a load W released from a height h on a collar of a rod of length l and
change in length due to impact loading is δl. Now, work done by impact load W is
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 12 STRESS AND STRAIN

FIGURE 12.21
Impact Loading on a Rod
U = W (h + δl)
Suppose the equivalent load for same work done is P.
Now, work done by equivalent gradual load P

Thus, where

or,

or,

or, P2l − 2WPl − 2WhAE = 0

or,

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 12 STRESS AND STRAIN
Here, –ve sign is neglected since we are interested to find the maximum stress

EXAMPLE 12.12

A steel rod of 10 mm diameter and of 5 m length has a collar as shown in Figure 12.22:
Find the instantaneous stress and strain when a pull of 200 kN: (i) is gradually applied, (ii)
is suddenly applied, and (iii) falls centrally from a height of 120 mm on the collar. E =
200 GN/m2

FIGURE 12.22
A Steel Rod with Collar
SOLUTION

l = 5 m = 5000 mm
1. For gradually applied load

2. For suddenly applied load

3. For impact loading

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 12 STRESS AND STRAIN

12.12 RELATION BETWEEN STRESS AND VOLUMETRIC STRAIN

But

12.13 RELATION BETWEEN MODULUS OF ELASTICITY AND BULK MODULUS

Suppose a block is subjected by three-dimensional forces P as shown in Figure 12.23.

FIGURE 12.23
Fluid Pressure and Volumetric Strain of a Cube
Bulk modulus is a ratio of fluid pressure and volumetric strain. It is denoted by K.

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 12 STRESS AND STRAIN
Here –ve sign is used for reduction in volume.
Let us consider a cube of unit length is subjected to fluid pressure P. It is clear that the
principal stresses are –P, –P, and –P and linear strain in each direction is

Volumetric strain = sum of linear strains

Hence,

12.14 RELATION BETWEEN MODULUS OF ELASTICITY AND MODULUS OF RIGIDITY

Modulus of rigidity (G) is the ratio of shear stress (τ) and shear strain (ϒ).

Let us consider an elemental cube ABCD be subjected to a simple shear stress τxy as
shown in Figure 12.24 (a). An equivalent system with principal stresses τxy and −τxy are
acting along the diagonals as shown in Figure 12.24 (b). The distorted condition of the
cube is shown in Figure 12.24 (c).

FIGURE 12.24
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 12 STRESS AND STRAIN
Shear Stress and Strain on a Cube of Unit Length
Draw C1M perpendicularto AC and join AC1

Also, AC1 = AM (since γ is small)

But, CC1 = γ × BC and AC =

Now, ∈45° can also be found by referring to the equivalent system of Figure 12.24 (b)
as:

where σ1 = +τxy and σ2 = −τxy

From Equation (12.7)

From Equation (12.6) in previous section and Equation (12.8)

Relationship among E, K, and G.

EXAMPLE 12.13 548

 12 STRESS AND STRAIN
EXAMPLE 12.13

A bar of 50 mm diameter is subjected to a load of 100 kN. The measured extension on

the gauge length of 250 mm is 0.12 mm and the change in diameter is 0.0040 mm.
Calculate Poisson’s ratio, volumetric strain, and value of three moduli of elasticity.
SOLUTION

E = 2G(1 + v )

= 2G (1 + 0.166) or, G = 45.490 kN/mm2

E = 3K(1 − 2v ) ⇒ 1.06 × 105 N/mm2 = 3K(1 − 2 × 0.166)

K = 52.935 kN/mm2

EXAMPLE 12.14

For a given material, Young’s modulus is 110 GN/m2 and shear modulus is 42 GN/m2.
Find the bulk modulus and lateral contraction of a round bar of 37.5 mm diameter and 2.4
m long when stretched by 2.5 mm.
SOLUTION

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 12 STRESS AND STRAIN

EXAMPLE 12.15

A bar 2 cm × 4 cm in cross section and 40 cm long is subjected to an axial tensile load of

70 kN as show in Figure 12.25. It is found that the length increases by 0.175 mm and a
lateral dimension of 4 cm decreases by 0.0044 mm. Find: (i) Young’s modulus, (ii)
passion’s ratio, (iii) change in volume of the bar, and (iv) bulk modulus.
SOLUTION

FIGURE 12.25
A Rod Under Tensile Load

Cross-sectional area of bar = 2 × 4 = 8 cm2

Similarly,

1.
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 12 STRESS AND STRAIN

2.

3.

4.

RECAP ZONE

Points to Remember

The stress developed in the material is perpendicular to the cross-section, it is known as direct stress
and if it is tangential or parallel to the cross-section, it is known as shear stress.
If the stress distribution along the cross-section is uniform, it is known as simple or normal stress. σ =
P/A.
The ratio of lateral to longitudinal strain is constant which is known as Poisson’s ratio (ⱱ).

Volumetric strain, Superficial strain, where ΔV is the change in volume, V is the

original volume, ΔA is a change in the area, and A is the original area.
Hook’s law states that stress and strain are perpendicular to each other under the elastic limit.
The elastic deformation portion of the stress-strain diagram is generally represented as a linear
relationship between stress and strain.
The elastic limit is the limit beyond which the material will no longer go back to its original shape
when the load is removed.
Yield point is the point at which the material will have an appreciable elongation or yielding without
any increase in load.
The maximum ordinate in the stress-strain diagram is the ultimate strength or tensile strength. Necking
starts from this point.
Rapture strength is the strength of the material at rupture point. This is also known as the breaking
strength.
Modulus of resilience is the work done on a unit volume of material as the force is gradually increased
from zero to elastic limit.
Modulus of toughness is the work done on a unit volume of material as the force is gradually increased
from zero to rupture point.
Working stress is defined as the actual stress of a material under a given loading. The maximum safe
stress that a material can carry is termed as the allowable stress.
The allowable stress should be limited to values not exceeding the proportional limit.
The ratio of this strength (ultimate or yield strength) to allowable strength is called the factor of safety.
If the temperature of a material is increased, there will be expansion in the material (except ice) and if
the temperature is decreased, there will be a contraction in the material. If these expansion and
contraction occur freely there will be no stress in the material and if this expansion or contraction is
551
 12 STRESS AND STRAIN
prevented then stress will be set-up in the material, which is known as the temperature of thermal stress.
The principal stress is the maximum or minimum normal stress in a plane, which is subjected to
multidimensional stress, and this plane is known as the principal plane along which shear stress is zero.

Important Formulae

1. Poisson ratio:
2. Modulus of elasticity:
3. Gauge length in the tensile test: Lgauge = 5.65

4. Change in length in a stepped bar: Change in length,

5. Total extension in varying tapered bar,

6. In compound bars, the extensions or compressions are same in each rod.
7. In composite rods, the stress will be same on each rod.
8. Thermal stress = Eα Δt

9. In suddenly applied load: Stress produced, and strain,

10. In impact loading

11. Volumetric stain and stress

12. E = 3K (1 − 2ν )

13.

14. Resultant stress in the direction

15. For Principal Stresses,

16. Principal stresses:

17.

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 12 STRESS AND STRAIN

18. condition for maximum shear stress

REVIEW ZONE

Multiple-choice Questions

1. Hook’s law holds good up to:

1. Yield point
2. Proportional limit
3. Plastic limit
4. Ultimate point
2. Strain is the ratio of:
1. Change in volume to original volume
2. Change in length to original length
3. Change in cross-section area to original cross-section area
4. All of the above
3. Deformation per unit length is known as:
1. Linear strain
2. Lateral strain
3. Volumetric strain
4. None of these
4. Modulus of rigidity is defined as the ratio of:
1. Longitudinal stress and longitudinal strain
2. Lateral stress and lateral strain
3. Shear stress and shear strain
4. Any one of the above
5. Tensile strength of a material is obtained by dividing the maximum load during the test by the:
1. Area at the time of fracture
2. Original cross-section area
3. Average of (a) and (b)
4. Minimum area after fracture
6. For steel, the ultimate shear strength in shear in comparison to tension is nearly:
1. Same
2. Half
3. One-third
4. Two-third
7. In tensile test of steel, the breaking stress as compared to ultimate stress is:
1. Less
2. More
3. Same
4. None of these
8. The value of modulus of elasticity for mild steel is of the order of:
1. 2.1 × 105 kg/cm2
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 12 STRESS AND STRAIN
2. 2.1 × 106 kg/cm2
3. 2.1 × 107 kg/cm2
4. 2.1 × 108 kg/cm2
9. The value of Poisson ratio for steel lies between:
1. 0.01–0.1
2. 0.23–0.27
3. 0.25–0.33
4. 0.4–0.6
10. The property by which a material returns to its original shape after removal of external load is known
as:
1. Elasticity
2. Plasticity
3. Ductility
4. Malleability
11. The materials which exhibit the same elastic properties in all directions are known as:
1. Homogeneous
2. Isotropic
3. Isentropic
4. Inelastic
12. The properties of a material which allows it to be drawn into a smaller section is called:
1. Elasticity
2. Plasticity
3. Ductility
4. Malleability
13. Poisson ratio is defined as:
1. Longitudinal stress/longitudinal strain
2. Longitudinal stress/lateral stress
3. Lateral strain/longitudinal strain
4. Lateral stress/lateral strain
14. The property of material by which it can be rolled into a sheet is known as:
1. Elasticity
2. Plasticity
3. Ductility
4. Malleability
15. In tensile test of mild steel, necking starts from:
1. Proportional limit
2. Plastic limit
3. Ultimate point
4. Rupture point
16. The strain energy stored in a body, when it is strained up to elastic limit is known as:
1. Resilience
2. Proof resilience
3. Modulus of resilience
4. Toughness
17. The maximum strain energy stored in a body is known as:
1. Resilience
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 12 STRESS AND STRAIN
2. Proof resilience
3. Modulus of resilience
4. Toughness
18. Proof resilience per unit volume is known as:
1. Resilience
2. Proof resilience
3. Modulus of resilience
4. Toughness
19. The deformation of a bar under its own weight compared to the deformation of the same body subjected
to a direct load equal to weight of the body is:
1. Same
2. Half
3. Double
4. One-fourth
20. The tensile stress in a conical rod, having diameter D at bottom, d at top, length l and subjected to
tensile force F, at distance x from small end will be:

1.

2.

3.

4.

Answers

1. b
2. d
3. a
4. c
5. b
6. b
7. a
8. b
9. c
10. d
11. b
12. c
13. c
14. d
15. c
16. a
17. b
18. b
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 12 STRESS AND STRAIN
19. b
20. c

Theory Questions

1. Define stress and strain.

2. What do you mean by normal stress and shear stress?
3. Define longitudinal and lateral strains.
4. Define linear, superficial and volumetric strain.
5. Define: Young modulus, elastic limit, proportional limit, yield point, ultimate point, breaking point,
modulus of rigidity, bulk modulus, and Poisson’s ratio.
6. Differential engineering strain and true strain.
7. State Kook’s law.
8. Establish relationship between E and K.
9. Establish relationship between E and G.
10. Establish relationship between E, K and G.
11. Differentiate compound bar and composite bar.
12. Write note on gradual loading, suddenly applied loading, and impact loading.

Numerical Problems

1. What is the greatest length of a metal wire that can be hung vertically under its own weight? If the
allowable stress in the metal of wire is 3 MPa and density of metal is 12 × 103 kg/m3.
2. A steel punch can apply maximum compressive load 1000 kN. Find the minimum diameter of the hole,
which can be punched through a 10 mm thick steel plate. Assume ultimate shearing strength of steel
plate is 350 N/mm2.
3. A circular rod is tapered from one end to other end; the diameter at one end is 2 cm and the diameter at
the other end is 1 cm. Its length is 20 cm long. On applying an axial load of 6 kN, it was found to extend
by 0.068 mm. Find the modulus of elasticity of the material of the rod.
4. (a) A uniform bar of length L, cross-sectional area A, and unit mass ρ is suspended vertically from one
end. Show that its total elongation is d = ρgL2/2E.

(b) In the part (a), if the cross-sectional area, A = 300 mm2 and length = 150 m and
tensile load applied id 20 kN at the lower end, unit mass of the rod = 7850 kg/m3 and
E = 200 Gpa. Find the total elongation of the rod.
5. A steel rod of 25 mm diameter is placed concentrically in a copper tube of an internal diameter 38.5
mm and external diameter of 41.5 mm. Nuts and washers are fitted on the rod so that the ends of the tube
is enclosed by the washers. The nuts are initially tightened to give a compressive stress of 30 N/mm2 on
the tube and a tensile load of 45 kN is then applied on the rod. Find the resultant stresses in the tie rod
and tube, Es = 205GPa, Ec = 80GPa.

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 13 MACHINE ELEMENTS
CHAPTER 13
Machine Elements
Learning Objectives

By the end of this chapter, the student will be able:

To understand the function and design of the different types of the springs
To describe the design and working of cam and followers
To demonstrate the function of bushing and rolling contact bearings

SPRINGS

13.1 INTRODUCTION

Spring is an elastic body whose function is to distort when loaded and to recover its
original shape when the load is removed. It works as a flexible joint between two parts or
machine elements. It also works as an energy reservoir, it absorbs the energy when
loaded and released the same when unloaded.

Applications of Springs

Springs may be used for various purposes. Some of the important applications of the
springs are given below as:
1. Springs are used for cushioning, absorbing, or controlling of energy due to shock and vibration. For
example: Car springs or railway buffers are used for cushioning effect.
2. Springs are used to control the motion of machine elements. For example: spring maintains the contact
between two machine elements as in the case of cam and follower. In a cam and follower arrangement,
a spring maintains contact between the two elements. It mainly controls the motion of follower with
respect to the cam.
3. Springs are used to create the necessary pressure in a friction device. For example: In the case of a
brake, spring is used to create a pressure by the friction disc on the drum; and similarly, in the case of
clutch spring is used to create a pressure between two clutch plates. There are a number of similar
applications of the springs in the operations of vehicles, such as the application of springs in valve
operation in I.C. Engines and in the case of speed control of the governor and hence the fuel and power
control, etc.
4. Springs are also used to measure the forces. For example: spring is used in the balance and gauges to
measure the forces.
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 13 MACHINE ELEMENTS
5. Springs are also used to store the energy. For example: a spiral spring is used in a mechanical clock
to store the energy and release slowly; it is also used in many toys to store the energy.

13.2 TYPES OF SPRINGS

Spring classification is not fixed; it depends on its applications. Here some commonly
used springs are given as:
1. Helical Springs—open coiled and close coiled
2. Conical and Volute Springs
3. Torsion Springs
4. Laminated or Leaf Springs
5. Disc Springs

Helical Springs

Helical springs are made of a wire coiled in the form of a helix and are primarily used to
bear compressive or tensile loads. The cross-section of wire from which the spring is
made may be circular, square or rectangular. The two forms of helical springs are
compression helical spring and tension helical spring as shown in Figure 13.1. Open
coiled helical springs are used for bearing the compressive load. The helixes angle in the
case of open coiled helical spring may be larger, i.e., more than 15°. Close coiled helical
spring is used for tensile load and the helix angle, in this case, may vary from 5° to 10°.

FIGURE 13.1
Helical Springs

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Conical and Volute Springs

The conical and volute spring, as shown in the Figure 13.2, are used in special
applications where the spring rate increases in an increase in load. Another feature of
these types of springs is the decreasing number of coils results in an increasing spring
rate. This characteristic is sometimes utilized in vibrations problems where springs are
used to support the body that have varying mass. The shape of the volute spring is
paraboloid with a constant pitch.

FIGURE 13.2
Conical and Volute Springs

Torsion Springs

Torsion springs may be of the helical or spiral type as shown in Figure 13.3 and used to
apply torsion. Helical types of springs are used where the load tends to wind up the
springs and are used in some electrical mechanisms. Spiral type is used where the loads
tend to increase the number of coils and are used in watches and clocks.

FIGURE 13.3
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Torsion Spring

Laminated or Leaf Springs

The laminated or leaf spring is also known as flat spring as shown in the Figure 13.4. It
consists of a number of flat plates, known as leaves, of varying lengths held together by
means of clamps and bolts. These types of springs are most used in automobiles on the
axle to bear the load of the vehicle and minimize the jerk.

FIGURE 13.4
Leaf Spring

Disc Spring

These springs consist of a number of conical discs held together by a central bolt or tube
as shown in the Figure 13.5. These springs are used in applications where high spring
rates and compact spring units are required.

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FIGURE 13.5
Disc Spring

13.3 MATERIALS USED FOR SPRINGS

Some of the common materials used for spring manufacturing are given below.
Hard-drawn Wire: This is cold drawn, cheapest spring steel and used for low stress and
static load. The material is not suitable at subzero temperatures or at temperatures above
1200°C. Subzero temperature means the temperature below zero degree Fahrenheit.
Oil-tempered Wire: It is a cold drawn, quenched, tempered, and general purpose spring
steel, but not suitable for fatigue or sudden loads, at subzero temperatures and at
temperatures above 1800°C. Alloy steels are more useful for highly stressed conditions.
Chrome Vanadium: This alloy spring steel is used for high-stress conditions and at
hightemperature, up to 2200°C. It is good for fatigue resistance and long endurance for
shock and impact loads.
Chrome Silicon: This material can be used for highly stressed springs. It offers good
service for long life, shock loading and for temperature up to 2500°C.
Music Wire: This spring material is most widely used for small springs. It is the toughest
and has high tensile strength and can withstand repeated loading at high stresses.
However, it cannot be used at subzero temperatures or at temperatures above 1200°C.
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Normally when we talk about springs we will find that the music wire is a common choice
for springs.
Stainless Steel: It is generally used as alloy spring materials.
Phosphor Bronze/Spring Brass: It is corrosion resistant and electrical conductor. It is
commonly used for contacts in electrical switches. Spring brass can be used at subzero
temperatures.

13.4 SHEAR STRESS IN HELICAL SPRINGS

Solid Length: The solid length of a spring is the product of a total number of coils and
the diameter of the wire. It is the length when the springs are compressed until the coils
come in contact with each other. Mathematically,
Solid length = n × d; where ‘n’ is the number of coils in the spring and ‘d’ is the
diameter of the spring wire.
Free Length: Free length of a compression spring is the length of the spring in the free or
unloaded condition and is equal to the solid length plus the maximum deflection or
compression of the spring and the clearance between the adjacent coils.
Free length, Lf = solid length + max. deflection + clearance between adjacent coils.
Spring Index: It is defined as the ratio of the mean diameter of the coil to the diameter of
the wire.
Spring index, C = D/d; where ‘D’ is the mean diameter of the coil and ‘d’ is the
diameter of the wire.
Spring Rate: Spring rate (stiffness/spring constant) is the defined as the load required per
unit deflection of the spring.
Spring Rate, k = F/ δ; where F is the load applied and δ is the deflection.
Pitch: Pitch of the coils is defined as the axial distance between adjacent coils in the
uncompressed state.
Let us consider an open coiled helical spring is subjected an axial compressive load, F as
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shown in the Figure 13.6. The shear stress will be induced in the wire. The shear stress
will be due to axial force, F and also due to the torsion produced in the wire of the spring.

FIGURE 13.6
(a)Open Coiled Spring under Axial Load,
(b) Free Body Diagram of Open Coiled Spring under Axial Load.

FIGURE 13.7
Shear Stress Produced in the Wire of the Helical Spring
Due to axial loading, the wire will be subjected to shear forces produced due to axial
loading and the torque induced as shown the Figure 13.7.

If the diameter of the spring is D, the torque produced in the spring will be
If the wire diameter is d, the polar moment of inertia will be
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Shear stress in the spring wire due to torsion, T will be

Shear stress in the spring wire due to force F will be

The maximum shear stress in the spring wire will be

Where

Stresses in Helical Spring with Curvature Effect

Wahl correction factor is used in the above expression for consideration of curvature
factor and shear stress correction factor as:

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13.5 DEFLECTION IN HELICAL SPRING

Let l = total active length of wire = πD × n

θ = Angular deflection of the wire due to Torque, T.

Therefore, Axial deflection of the spring δ = θ × D /2

We know that where G is the modulus of rigidity.

Now,

Stiffness of the spring,

EXAMPLE 13.1

A close coiled helical spring has to absorb 80 Nm of energy when compressed 8 cm. The
coil diameter is six times the wire diameter. If there are 10 coils, estimate the diameters
of coil and wire and the maximum shear stress. G = 85,000 N/mm2.
SOLUTION
Given U = 80 Nm, x = 8 cm = 80 mm, C = 6, n = 10 and G = 85,000 Nm.

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or

EXAMPLE 13.2

A close-coil helical spring is to have a stiffness of 1,000 N/m in compression, with a

maximum load of 50 N and a maximum shearing stress of 125 N/mm2. The solid length of
the spring is 50 mm. Find the wire diameter, mean coil radius, and a number of coils. G =
54,000 N/mm2. (Assume shear stress is produced only due to the torque produced in the
wire due to axial loading).
SOLUTION

From Equation (13.1) and (13.2)

n=50/d=25; D=1.962d3=16.9 mm
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13.6 SERIES AND PARALLEL CONNECTION OF HELICAL SPRINGS

The series connection and parallel connection of the helical springs are shown in the
Figure 13.8. For series connection, the equivalent spring stiffness is calculated as:

For parallel connection, the equivalent spring stiffness is calculated as:

W = W1 + W2 or, keδ = k1δ + k2δ or, δ = δ1 + δ2

FIGURE 13.8
Series and Parallel Connection of Helical Springs

EXAMPLE 13.3

A composite spring has two close coiled helical springs connected in series; each spring
has twelve coils at a mean diameter of 20 mm. Find the wire diameter in one if the other
is 2 mm and the stiffness of the composite spring is 600 N/m. Estimate the greatest load
can be carried out by the composite spring, and the corresponding extension, for a
maximum shearing stress of 160 N/mm2. G = 75,000 N/mm2.
SOLUTION

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For series connection

Total extension

CAM AND FOLLOWER

13.7 INTRODUCTION

The linkages of the cam and follower work are used to transmit the motion from one link
to another. A cam is a rotating component in a mechanical linkage that drives the mating
component, i.e., follower. The transmitted motion may be reciprocating, linear, simple
harmonic motion, etc.

Cam Nomenclature

The different part of the cam and follower are shown in the Figure 13.9.
Cam Profile: Cam profile is the outer surface of the disc cam.
Base Circle: Base circle is the smallest circle, drawn tangential to the cam profile.
Tracepoint: Tracepoint is a point on the follower, trace point motion describes the
movement of the follower.

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FIGURE 13.9
Cam Nomenclature
Pitch Curve: Pitch curve is the path generated by the tracepoint as the follower is rotated
about a stationary cam.
Prime Circle: Prime Circle is the smallest circle that can be drawn so as to be tangential
to the pitch curve, with its center at the cam center.
Pressure Angle: The pressure angle is the angle between the direction of the follower
movement and the normal to the pitch curve.
Pitch Point: Pitch point corresponds to the point of maximum pressure angle.
Pitch Circle: A circle drawn from the cam center and passes through the pitch point is
called Pitch circle.
Stroke: The greatest distance or angle through which the follower moves or rotates.

13.8 TYPES OF CAMS

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Cams can be classified into the following three types based on their shapes:
1. Plate or Disk Cams: Plate or disk cams are the simplest and most commonly used type of cam. A plate
cam is illustrated in Figure 13.10 (a). This type of cam is formed on a disk or plate. The radial distance
from the center of the disk is varied throughout the circumference of the cam. Allowing a follower to
ride on this outer edge gives the follower a radial motion.
2. Cylindrical or Drum Cam: A cylindrical or drum cam is Shown in Figure 13.10 (b). This type of cam
is formed on a cylinder. A groove is cut into the cylinder, with a varying location along the axis of
rotation. Attaching a follower that rides in the groove gives the follower motion along the axis of
rotation.

FIGURE 13.10
Type of Cams
3. Linear Cam: A linear cam is illustrated in Figure 13.10 (c). This type of cam is formed on a translated
block. A groove is cut into the block with a distance that varies from the plane of translation. Attaching
a follower that rides in the groove gives the follower motion perpendicular to the plane of translation.

13.9 TYPES OF FOLLOWERS

Followers are classified based on their motion, position, and shape. The details of
followers classifications are shown in the Figure 13.11 and discussed below:
1. Based on Follower Motion

Based on the follower motion, followers can be classified into the following two
categories:
1. Translating followers: They are constrained to motion in a straight line and are shown in Figure
13.11 (a) and (c).
2. Swinging arm or pivoted followers: They are constrained to rotational motion and are shown in
Figure 13.11 (b) and (d).
2. Based on Follower Position

Based on the position of the follower relative to the center of rotation of the cam,
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followers can be classified into the following two categories:
1. An in-line follower that exhibits straight-line motion in such a way that the line of translation
extends through the center of rotation of the cam and is shown in Figure 13.11 (a).

FIGURE 13.11
Type of Followers
2. An offset follower that exhibits straight-line motion in such a way that the line of the motion is
offset from the center of rotation of the cam and is shown in Figure 13.11 (c).

In the case of pivoted followers, there is no need to distinguish between in-line and
offset followers because they exhibit identical kinematics.
3. Based on Follower Shape

Finally, the follower shape can be classified into the following four categories:
1. A knife-edge follower that consists of a follower formed into a point shape and drags on the edge
of the cam. The knife-edge follower is shown in Figure 13.11 (a). It is the simplest form, but the
sharp edge produces high contact stresses and wears rapidly. Consequently, this type of follower
is rarely used.
2. A roller follower that consists of a follower having roller as a separate part and is pinned to the
follower stem. The roller follower is shown in Figure 13.11 (b). As the cam rotates, the roller
maintains contact with the cam and rolls on the cam surface. This is the most commonly used
follower, as the friction and contact stresses are lower than those for the knife-edge follower.
However, a roller follower can possibly jam during steep cam displacements.
3. A flat-faced follower that consists of a follower formed with a large flat surface available to
contact the cam. The flat-faced follower is shown in Figure 13.11 (c). This type of follower can be
used with a steep cam motion and does not jam. Consequently, this type of follower is used when
quick motions are required. However, any follower deflection or misalignment causes high surface
stresses. In addition, the frictional forces are greater than those of the roller follower because of
the intense sliding contact between the cam and follower.
4. A spherical-faced follower that consists of a follower formed with a radius face and contacts the
cam. The spherical-face follower is shown in Figure 13.11 (d). As with the flat-faced follower,
the sphericalface can be used with a steep cam motion without jamming. The radius face
compensates for deflection or misalignment. Yet, like the flat-faced follower, the frictional forces
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are greater than those of the roller follower.

Limits Imposed on the Shape of the Cam Working Surface by the Choice of
Follower Type.

The knife follower does not, theoretically, impose any limit on the shape of the cam.
The roller follower demands that any concave portion of the working surface must have a radius at least
equal to the radius of the roller.
The flat follower requires that everywhere the surface of the cam is convex.

BUSHING AND ROLLER BEARING

13.10 INTRODUCTION

A bush bearing or bushing is the most common form of a plain bearing. It is inserted into
a housing to provide a bearing surface for rotary applications. It’s a common form of the
design includes solid (sleeve and flanged), split, and clenched bushings as shown in
Figure 13.12. A sleeve, split, or clenched bushing is a sleeve of the length (L), an inner
diameter (Di), and outer diameter (Do). The difference between the three types bushing
is that a solid sleeved bushing is solid all the way around, a split bushing has a cut along
its length, and a clenched bearing is similar to a split bushing but with a clench across the
cut. A flanged bushing has a flange at one end extending radially outward. The flange is
used to positively locate the bushing when it is installed or to provide a thrust bearing
surface.

FIGURE 13.12
Sleeve Bushings
A bi-material bearing consists of two materials, a metal shell, and a plastic bearing
surface. Common combinations include a steel-backed PTFE-coated bronze and
aluminum-backed Frelon. PTFE or polytetrafluoroethylene has unique properties. PTFE
coating is also known as Teflon, Xylan, Fluoroplastic, or fluorocarbon coating, and is
normally applied to components where a non-stick, dry lubricant or low-friction coating
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is required. Frelon is a polytetrafluoroethylene based material with other proprietary
fillers to increase the bearing characteristics.

13.11 BUSHING MATERIALS

Bronze: A common plain bearing design utilizes a hardened and polished steel shaft and a
softer bronze bushing. The bushing is replaced whenever it has worn too much.
Cast iron: A cast iron bearing can be used with a hardened steel shaft because the
coefficient of friction is relatively low. The cast iron glazes over therefore wear becomes
negligible.
Graphite: A copper and graphite alloy, commonly known as graphalloy, is commonly
used in oven and dryers. The graphite is a dry lubricant; therefore it has low friction and
requires low maintenance. The copper provides strength, durability, and heat dissipation
characteristics.
Application of Lubrication in Bushing
The following types of lubrications are used in bushings:
Class I: The bearings that require the application of a lubricant from an external source
(e.g., oil, grease, etc.).
Class II: The bearings that contain a lubricant within the walls of the bearing (e.g.,
Bronze, Graphite, etc.,). Typically these bearings require an outside lubricant to achieve
maximum performance.
Class III: The bearings made of self-lubricating materials. These bearings can run
without an external lubricant.

13.12 BEARINGS

Broadly, there are two types of bearings, one is sliding contact or bush bearing and
another is rolling contact bearing.

13.12.1 Sliding Contact or Bush Bearings

These bearings are also called as ‘Journal bearings’ or ‘Bush bearings’. A sliding contact
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bearing is shown in Figure 13.13.
The shaft (called journal) is mounted inside a hollow cylinder (called bearing). When the
journal rotates, there is a relative motion between surfaces of journal and bearing. Placing
lubricant between the journal and the inner surface of the bearing can reduce the friction
resisting the relative motion between journal and bearing. The journal bearings are used
to support the load in the radial direction. Generally, the journal rotates while the bearing
is stationary. In some cases, the bearing rotates and the journal is stationary. In few cases,
both the bearing and journal rotate.

FIGURE 13.13
Bush Bearing
Oil grooves are constructed on journal bearings either by circumferential or cylindrical
patterns. A circumferential oil groove bearing is shown in Figure 13.14.

FIGURE 13.14
Circumferential Oil-groove Bearing
The oil groove divides the bearings into two short bearings in the axial direction, each of
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length (L /2). The presence of groove reduces the pressure developed in the fluid in the
plane of groove considerably, as well as the overall pressure. This reduces the load
carrying capacity of bearing. Further, the centrifugal force acting on the oil in the
circumferential groove may build pressure higher than the supply pressure, restricting the
flow of the lubricant into the bearing. These bearings find application in automobiles.
The cylindrical oil-groove bearing is shown in Figure 13.15. The bearing has an axial
groove along the full length of bearing. It has higher load carrying capacity compared to
the circumferential oil groove bearing. It is more susceptible to vibrations. It is used for
gearboxes and highspeed applications. Different patterns of oil grooves are also made by
a combination of cylindrical and circumferential grooves.

FIGURE 13.15
Cylindrical Groove Bearing

13.12.2 Rolling Contact Bearings

A rolling contact bearing is called as ‘anti-friction bearing. It is an assembly of rolling

elements (balls or rollers) placed between the shaft and housing, maintaining radial space
between them. The bearing has usually two rings with hardened raceways (outer and
inner races), in between hardened steel balls or rollers roll. These balls or rollers are
called ‘rolling elements’ and are held in an angularly spaced relationship by a cage or
separator. The rolling contact bearing can be classified into ball bearings and roller
bearings based on the geometry of the sliding elements. Rolling contact bearings are used
to carry radial or thrust loads or the combination of both. Rolling contact bearings are
lubricated with grease.
A. Ball Bearing

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The nomenclature of the ball bearing is shown in Figure 13.16. The bearing consists of
four parts: the outer ring, inner ring, the balls and the separators. The separators prevent
the balls from colliding with each other. For the successful design of bearing, the
conformity of the ball radius to the raceways radii is very important. Increasing the
conformity (i.e., the radius of the ball is increased so that it is closer to the radii of the
curvatures of the raceways) increases the area of contact between the balls and raceway.
This increases the friction. However, the unit surface stress on the ball is reduced which
in turn supports a greater load. Thus, the selection of curvatures for the raceways is a
matter of design compromise between friction and load. Most commercial bearings have
inner and outer raceways curved to radii between 51.5 and 53% of ball diameter. When
the bearing is loaded, elastic and plastic deformations of the balls and raceways increases
the conformity; then the balls do not have pure rolling motion. As a result, a small
amount of sliding always occurs between the balls and raceways, which affect both the
frictional loss and life of bearing.

FIGURE 13.16
Nomenclature of Ball Bearing

TYPES OF BALL BEARINGS

Mainly four types of ball bearings are commonly used. These are deep-grove, angular-
contact, selfaligning, and thrust ball bearings as shown in Figure 13.17.
Deep-groove Ball Bearing: The widely used ball bearing to support radial load is
DeepGroove ball bearing as shown in Figure 13.17 (a). They are mainly designed to
support the high radial load and moderate thrust load. They have deep raceways that are
continuous (i.e., there are no openings or recesses) over all of the ring circumferences.
This type of construction permits the bearings to support relatively high thrust load in
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either direction. In fact, the thrust load capacity is about 70% of the radial load capacity.
It is designed to support radial load can also support high thrust load; because only a few
balls carry the radial load, whereas all the balls can withstand the thrust load. In the case
of the double-row deep-groove ball bearings, it has two rows of balls rolling in two pairs
of races. They have more radial load capacity than that of single row bearings. In other
words, they are smaller in diameter compared to single row ball bearings for comparable
radial load capacity. However, the proper load sharing between the balls mainly depends
on the accuracy of manufacturing.
Angular Contact Bearings: The angular contact bearings as shown in Figure 13.17 (b)
are designed in such a way that the centerline of contact between balls and raceways is at
an angle to a plane perpendicular to the axis of rotation. This angle is called contact
angle. The angular contact ball bearing may be of single or two rows of balls. They are
used to carry radial and axial load together or only axial load depending on the magnitude
of the angle of contact. The bearings having large contact angle support heavy thrust. The
groove curvature radii are generally 52 to 53% of ball diameter. Angular contact single
row ball bearings have high radial-load and high unidirectional thrust load capacity than
the deep groove ball bearings.

FIGURE 13.17
Types of Ball Bearings

The contact angle is usually less than 40°.In the case of angular contact ball bearings, one
side of the outer race is cut to insert balls. This permits the bearing to take the thrust load
in only one direction. Therefore, single row angular contact ball bearings are generally
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used in pairs. In the case of double row angular contact ball bearings (duplex), the balls
can be arranged ‘back to back’ and face to face’ or ‘tandem’ configurations (Figure
13.18). The back to back and face to face duplex bearings can accommodate radial load
and axial loads in both directions. The tandem bearings can accommodate radial load and
heavy axial load in only one direction.

FIGURE 13.18
Duplex Angular Contact Ball Bearing
Self-aligning Ball Bearings: For assembly of shaft and housing which cannot be made
perfectly coaxial, the selfaligning ball bearings are the best used. They consist of two
rows of balls on a common spherical outer race (Figure 13.17 (c)). In such bearings, the
assembly of inner ring and balls can tilt in the outer ring. The loss of load-carrying
capacity is inherent in this construction, due to nonconformity of outer raceway with the
balls. This is compensated by having a large number of balls in the bearings. Self-aligning
ball bearings are used in top drafting rollers and the main shaft of ring spinning machine.
Thrust Ball Bearings: In thrust bearings, the contact angle exceeds 45°. The maximum
value this angle can assume is 90°. In such case, races are on the sideways as shown in
Figure 13.17 (d). Such a bearing cannot take any radial load and is used only for thrust
loads. The shafts carrying bevel or worm or helical gears should be mounted with thrust
bearings, except the shafts carrying honeycomb (Herringbone) gears or crossed helical
gears of leftand right hands placed alternatively along the shafts.
B. Roller Bearings
Roller bearings have a line contact between the rollers and races against the point contact
exhibited by ball bearings. Because of the greater contact area between the rollers and
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races, the load carrying capacity of straight roller bearings is higher compared with ball
bearings of similar size. They are stiffer and have longer fatigue life than comparable ball
bearings, and costlier. Roller bearings require almost perfect geometry for the raceways
and rollers. A slight misalignment will cause the rollers to skew and get out of line.
Straight roller bearings do not take thrust loads. For higher radial load capacity, two or
more rows of rollers may be provided. For mounting the ring-spindles (neck bearing),
roller bearings are used. The different types of roller bearings are shown in Figure 13.19.

FIGURE 13.19
Roller Bearings: (a) Plain; (b) Tapered; and (c) Spherical
Cylindrical or Plain Roller Bearings: They are the simplest types of roller bearings
(Figure 13.19 (a)). The length to diameter ratio of rollers is from 1:1 to 3:1. The outside
diameter of the roller is often crowned to increase the load carrying capacity by
eliminating any edge loading.
Needle Bearings: For limited radial space, needle bearings are used. In needle bearing,
the ratio between the roller length and roller diameter is very large compared with a plain
roller bearing. There are two basic forms of needle roller bearings. In one form, the
needles are not separated, and in the other form, a roller cage separates the needles. The
bearing that does not have the needle separator has a full complement of rollers and
therefore, can hold higher load compared with the bearings having roller separators.
However, the bearing with needle separator is capable of operating at much higher speeds
because the separator keeps the needles from one another, preventing a collision. They
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are often used to support oscillating shafts.
Tapered Roller Bearings: In tapered roller bearings, the rollers are frustums of a cone
shown in Figure 13.19 (b). They are arranged in such a way that tangents of raceways
intersect in a common apex point on the axis of the bearing as shown in Figure 13.20.

FIGURE 13.20
Tapered Roller Bearing
Tapered roller bearings are capable of carrying both radial and axial loads, but largely
used for applications where axial load component predominates. They are often used in
pairs to take the thrust load in both directions. Since the inner and outer race contact
angles are different, there is a force component, which drives the tapered rollers against
the guide flange resulting in heating due to friction. Therefore, these bearings are not
suitable for high speeds. Tapered roller bearings are ideally suited to withstand repeated
shock loads. Multiple-row tapered roller bearings have high radial-load carrying capacity.
Spherical Roller Bearings: Spherical roller bearings are called as ‘Self-aligning roller
bearings’. Spherical roller bearings as shown in Figure 13.19 (c) consists of two rows of
spherical rollers, which run on a common spherical outer race. The inner race can freely
adjust itself to the angular misalignment of the shaft in the bearings due to mounting
errors or shaft deflection under heavy load. They are especially good for heavy loads.
Shafts of the cylinder, doffer, stripper roller and calendar roller are mounted in self-
aligning roller bearings, which are grease lubricated.

13.13 PROPERTIES OF BEARING MATERIALS

The bearing material should have following characteristics from the service point of view.
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High strength to sustain the bearing load, high compressive, and fatigue strength.
High thermal conductivity to dissipate the heat quickly.
Low coefficient of friction. Less wear and tear. Low cost. Bearing materials should not readily weld
itself to the shaft material.
Good corrosion resistance in case the lubricant has the tendency to oxidize the bearing.
Good conformability. The bearing should adjust to misalignment or geometric errors, materials with a
low modulus of elasticity usually have good conformability.

13.14 BEARING MATERIALS

The materials used for sliding contact bearings are Cast iron, brass and alloy materials
such as bronzes (copper-tin), Babbitt (alloys of tin-copper-lead-antimony), copper-lead
alloys and aluminum-tin alloys. Rubber and synthetic composite materials are also used
for certain applications (synthetic bearings). The materials used for rolling contact
bearings are alloy steel based on Cr-Ni, Mn-Cr, and Cr-Mo. They should have the
capability of being hardened to required level. They require high resistance against wear
and fatigue and stability up to 125°C.

RECAP ZONE

Points to Remember

Spring is an elastic body whose function is to distort when loaded and to recover its original shape
when the load is removed.
Springs are used for cushioning, absorbing, or controlling of energy due to shock and vibration, the
motion of machine elements, the necessary pressure in a friction device, measure the forces, and store
the energy.
Helical springs are made of a wire coiled in the form of a helix and are primarily used to bear
compressive or tensile loads.
The conical and volute springs are used in special applications where the spring rate increases in an
increase in load.
Torsion springs may be of the helical or spiral type and used to apply torsion.
A cam is a rotating component in a mechanical linkage that drives the mating component, i.e., follower.
The transmitted motion may be reciprocating, linear, simple harmonic motion, etc.
A bush bearing or bushing is the most common form of a plain bearing.
Broadly, there are two types of bearings, one is sliding contact or bush bearing and another is rolling
contact bearing.
The journal bearings are used to support the load in the radial direction.
A rolling contact bearing is called as ‘anti-friction bearing. It is an assembly of rolling elements (balls
or rollers) placed between the shaft and housing, maintaining radial space between them.

Important Formulae
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1. For Helical Spring: Solid length = n × d; where n is the number of coils in the spring and d is the
diameter of the spring wire.
2. For Helical Spring: Free length, Lf = solid length + max. deflection + clearance between adjacent coils.
3. Spring index, C = D/d; where ‘D’ is the mean diameter of the coil and d is the diameter of the wire.
4. Spring Rate, k = F/δ; where F is the load applied and δ is the deflection.
5. Shear stress in helical spring:

where Kw (Wahl correction factor) Turbine

6.

7. Stiffness of the spring,

8. For series connection, the equivalent spring stiffness is calculated as:

9. For parallel connection, the equivalent spring stiffness is calculated as:

W = W1 + W2 or, keδ = k1δ + k2δ or, δ = δ1 + δ2

REVIEW ZONE

Multiple-choice Questions

1. The load required to produce a unit deflection in the spring is called:

1. Modulus of rigidity
2. Flexural rigidity
3. Spring stiffness
4. Torsional rigidity
2. The most important properties of the spring material is:
1. High elastic limit
2. High deflection
3. Resistance to fatigue and shock
4. All the above
3. The purpose of the spring used in brakes and clutch is:
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 13 MACHINE ELEMENTS
1. To measure the forces
2. To apply the forces
3. To absorb the shocks
4. To absorb the strain energy
4. A spring used to absorb shocks and vibrations is:
1. Open coiled helical spring
2. Close coil helical spring
3. Leaf spring
4. Spiral spring
5. The laminated springs are given initial curvature to:
1. Have a uniform strength
2. Make it more economical
3. Make plates flat, when subjected to design load
4. None of these
6. If a close-coiled helical spring is subjected to load W and the deflection δ, then stiffness of the spring is
given by:
1. W/δ
2. Wδ
3. δ/W
4. W2δ2
7. When a close-coiled helical spring is subjected to an axial load, it is said to be under:
1. Shear
2. Bending
3. Torsion
4. Crushing
8. When a close-coiled helical spring is cut into two equal parts. The stiffness of the resulting springs will
be:
1. Same
2. Double
3. Half
4. One-fourth
9. Three springs are arranged as shown in Figure 13.21, the spring constant will be:

FIGURE 13.21
1. 10 N/mm
2. 20 N/mm
3. 30 N/mm
4. 40 N/mm
10. A spring of spring constant K is cut into n equal lengths. The spring constant of each new part will be:
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 13 MACHINE ELEMENTS
1. K/n
2. n/K
3. n.K
4. Kn
11. A close-coiled helical spring of stiffness 30 N/mm is arranged with another spring of stiffness 60
N/mm. The stiffness of composite unit is:
1. 10 N/mm
2. 20 N/mm
3. 30 N/mm
4. 40 N/mm
12. Two close-coiled helical spring of stiffness K1 and K2 are connected in parallel. The combination is
equivalent to a single spring of stiffness:
1.

2.
3. K1 + K2

4.
13. Two close-coiled helical spring of stiffness K1 and K2 are connected in series. The combination is
equivalent to a single spring of stiffness:
1.

2.
3. K1 + K2

4.
14. Which motion of follower is best for high speed cams?
1. SHM follower motion
2. Uniform acceleration and retardation of follower motion called as.
3. Cycloidal motion follower
4. All of the above
15. Which of the following statements is false for SHM follower motion?
1. SHM can be used only for moderate speed purpose
2. The acceleration is zero at the beginning and the end of each stroke
3. The jerk is maximum at the mid of each stroke
4. Velocity of follower is maximum at the mid of each stroke
16. Which of the following conditions can be used to minimize undercutting in cam and follower
mechanism?
1. By using larger roller diameter
2. By using internal cams
3. By decreasing the size of the cam
4. All of the above
17. What is meant by jump phenomenon in cam and follower system?
1. Follower looses contact with cam surface when cam rotates beyond particular speed due to inertia
forces
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 13 MACHINE ELEMENTS
2. Follower looses contact with cam surface when follower rotates beyond particular speed due to
gravitational force
3. Follower looses contact with cam surface when cam rotates beyond particular speed due to
gravitational forces
4. None of the above
18. Which of the following are functions of bearings?
1. Ensure free rotation of shaft with minimum friction
2. Holding shaft in a correct position
3. Transmit the force of the shaft to the frame
4. All of the listed
19. A _________ bearing supports the load acting along the axis of the shaft.
1. Thrust
2. Radial
3. Longitudinal
4. Transversal
20. Load acting on bearing in its plane of rotation is called as________.
1. Axial load
2. Radial load
3. Thrust load
4. None of the above

Answers

1. c
2. d
3. b
4. c
5. c
6. a
7. c
8. b
9. a
10. c
11. b
12. c
13. d
14. c
15. b
16. b
17. a
18. d
19. a
20. b

Theory Questions
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 13 MACHINE ELEMENTS
1. What are the applications of springs?
2. Explain the classification of springs?
3. Discuss the different types of spring materials.
4. Derive an expression for shear stress and deflection in a helical spring subjected to an axial force.
5. Derive an expression for the equivalent spring constant when two similar springs are connected: (a) in
parallel, (b) in series.
6. What do you mean by cam and cam followers? Give some example of their industrial applications?
7. Discuss the classification of the cam and followers.
8. What are the different types of bushes? Discuss its applications in engineering.
9. What is the difference between sliding contact bearings and rolling contact bearings?
10. Explain the different types of ball bearings used in the industry.
11. Discuss the use of roller bearings.
12. What are the different types of engineering materials used for manufacturing of bearings?
13. What are the properties required for the bearing materials?
14. Explain the thrust loading and radial loading in the bearing.

Numerical Problems

1. A close coiled helical spring has to absorb 60 Nm of energy when compressed 5 cm. The coil diameter
is six times the wire diameter. If there are 18 coils, estimate the diameters of coil and wire and the
maximum shear stress. G = 85,000 N/mm2.
2. A close-coil helical spring is to have a stiffness of 800 N/m in compression, with a maximum load of
40 N and a maximum shearing stress of 120 N/mm2. The solid length of the spring is 48 mm. Find the
wire diameter, mean coil radius, and the number of coils. G = 50,000 N/mm2. (Assume shear stress is
produced only due to the torque produced in the wire due to axial loading).
3. A composite spring has two close coiled helical springs connected in series; each spring has twelve
coils at a mean diameter of 24 mm. Find the wire diameter in one if the other is 3 mm and the stiffness
of the composite spring is 640 N/m. Estimate the greatest load can be carried out by the composite
spring, and the corresponding extension, for a maximum shearing stress of 160 N/mm2. G = 75,000
N/mm2.

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 14 FLYWHEEL AND GOVERNORS
CHAPTER 14
Flywheel and Governors
Learning Objectives

By the end of this chapter, the student will be able:

To understand the function of a flywheel as an energy reservoir
To calculate the energy fluctuation and variation in speed of the flywheel
To demonstrate the working of different types of governors
To describe the governing of an internal combustion engine
To differentiate the working of flywheel and governor

FLYWHEEL

14.1 INTRODUCTION

Flywheel is an internal energy-storage device. It absorbs mechanical energy and during

the period when the supply of energy is more than the requirement and releases it during
the period when the requirement of energy is more than the supply. The main function of
a fly wheel is to smoothen out variations in the speed of a shaft caused by torque
fluctuations. If the source of the driving torque or load torque is fluctuating in nature,
then a flywheel is used. Many machines have load patterns that cause the torque time
function to vary over the cycle as shown in Figure 14.1. Internal combustion engines with
one or two cylinders are a typical example. Piston compressors, punch presses, rock
crushers, etc. are the other systems that have a flywheel.
The change in the shaft speed during a cycle is called the speed fluctuation and is equal
to ωmax – ωmin. We can normalize this to a dimensionless ratio by dividing it by the
average or nominal shaft speed.

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.1
(a) T – q Diagram and (b) ω – q Diagram
Where Kf is the coefficient of speed fluctuation, ωmax and ωmin are maximum and
minimum angular velocities respectively, and ω is mean angular velocity.

14.2 MASS MOMENT OF INERTIA OF FLYWHEEL

The function of the flywheel is to store excess energy during the power stroke and it
supplies energy during another stroke. Thereby, it reduces fluctuation in the speed within
the cycle. Let ω1 be the maximum angular speed and ω2 be the minimum angular speed.

Let I be the mass moment of inertia of the flywheel neglecting mass moment of inertia of
the other rotating parts which is negligible in comparison to mass moment of inertia of the
flywheel.

Maximum kinetic energy of flywheel,

Minimum kinetic energy of flywheel,

Change in K.E., DK.E. = Fluctuation in energy,

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 14 FLYWHEEL AND GOVERNORS

where ω is average speed given by,

Energy fluctuation can be determined from the turning moment diagram. For selected
value of Kf and given value of speed ω, I can be determined.

where M is mass of flywheel and k is radius of gyration.

It can be observed that
1. The flywheel will be heavy and of large size, if ΔE is large. The value of Kf is limited by the practical
considerations. Therefore, the single cylinder 4-stroke engine shall require larger flywheel as compared
to the multi-cylinder engine.
2. For slow speed engine also the flywheel required is larger in size because of the high value of I
required.
3. For high-speed engines, the size of flywheel shall be considerably smaller because of the lower value
of I required.
4. If the system can tolerate considerably higher speed fluctuations, the size of the flywheel will also be
smaller for the same value of ΔE.

EXAMPLE 14.1

The mass of a flywheel of an engine is 6 tons and the radius of gyration is 2 meters. It is
found from the turning moment diagram that the fluctuation of energy is 50 kNm. If the
mean speed of the engine is 120 rpm, find the maximum and minimum speeds.
SOLUTION
Let N1 and N2 be the maximum and minimum speed, respectively.

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 14 FLYWHEEL AND GOVERNORS

or N1 = 120.79 rpm and N2 = 119.20 rpm

GOVERNORS

14.3 INTRODUCTION

Governor takes care of the change of speed due to load variation over periods of the
engine’s running and tends to keep it as close to the mean speed as possible, whereas the
flywheel is responsible only for keeping the speed fluctuations, during each cycle within
certain permissible limits of the mean speed. As such, one cannot be replaced by the
other.
The function of the governor is to adjust the supply of fuel according to the load
requirements so as to keep the speeds at various loads, as close to the mean speed as
possible, over a long range of working of the engines.
Its function is distinct from that of a flywheel, which acts as a reservoir and keeps the
speed within certain limits of the mean speed during the thermodynamic cycles. The
function of a flywheel is continuous from cycle to cycle, but that of governor it is more or
less intermittent, i.e., it reacts only whenever there is a variation of load. The speed
control mechanism by the governor is shown in Figure 14.2.

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.2
Speed Control by Governor
Figure 14.2 shows a schematic diagram of a governor along with linkages, which regulate
the supply of fuel. The governor shaft is coupled with engine shaft. If the load on the
engine increases the engine speed tends to reduce, as a result of which governor balls
move inwards. The inward movement of the ball causes the sleeve to move downwards
and hence increase the opening of the valve through the linkage. Thus, fuel supply
increases at higher load.
On the other hand, a decrease in the load increases engine speed. As a result of which the
governor balls try to fly outwards. This causes an upward movement of the sleeve and it
reduces the supply of fuel. Thus, the energy input is adjusted to the new load on the
engine. Thus the governor senses the change in speed and then adjusts the supply of fuel.

14.4 TERMINOLOGY USED IN GOVERNORS

There are some general terms used in governors that describe qualities of the governor.
These terms are as:
Height of Governor: It is the vertical distance between the center of the governor balls
and the point of intersection between the upper arms on the axis of the spindle. It is
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 14 FLYWHEEL AND GOVERNORS
generally denoted by h.
Equilibrium Speed: The speed at which the governor balls, the arms, etc. are in complete
equilibrium and the sleeve does not tend to move upward or downward is called the
equilibrium speed.
Sleeve Lift: The vertical distance the sleeve travels due to change in the equilibrium
speed is called the sleeve lift. The vertical downward travel may be termed as a negative
lift.
Effort and Power of a Governor: A governor running at a constant speed is in
equilibrium and the resultant force acting on the sleeve is zero. If the speed of the
governor increases there is a force on the sleeve which tends to lift it. This force will
gradually go on decreasing till the governor starts rotating in equilibrium at the new
position of rotation. The mean force acting on the sleeve for a given change of speed or
lift of the sleeve is known as the governor effort.
Controlling Force: The force acting radially inward upon the rotating balls to counteract
its centrifugal force is called the controlling force. It is provided by weight on the sleeve
or compressed spring.
Isochronism: This is an extreme case of sensitiveness. When the equilibrium speed is
constant for all radii of rotation of the balls within the working range, the governor is said
to be in isochronism. This means that the difference between the maximum and minimum
equilibrium speeds is zero and the sensitiveness shall be infinite.
Hunting: The phenomenon of continuous fluctuation of the engine speed above and
below the mean speed is termed as hunting. This occurs in over-sensitive or isochronous
governors.
Sensitiveness: A governor is said to be sensitive if its change of speeds from no load to
full load may be as small a fraction of the mean equilibrium speed as possible and the
corresponding sleeve lift may be as large as possible.

14.5 CLASSIFICATION OF GOVERNORS

Classification of governors is shown in Figure 14.3.

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.3
Classification of Governors
Inertia and Flywheel Governors: In these governors, the inertia forces caused by the
angular acceleration of the engine shaft or flywheel by a change in speed are utilized for
the movement of the balls. The movement of the balls is due to the rate of change of
speed instead of a change in speed itself as in the case of centrifugal governors. Thus,
these governors are more sensitive than centrifugal governors.
Centrifugal Governors: In these governors, the change in centrifugal forces of the
rotating masses due to change in the speed of the engine is utilized for movement of the
governor sleeve.
Pickering Governors: This type of governor is used for driving a gramophone. As
compared to the centrifugal governors, the sleeve movement is very small. It controls the
speed by dissipating the excess kinetic energy. It is very simple in construction and can
be used for a small machine.

14.6 GRAVITY CONTROLLED CENTRIFUGAL GOVERNORS

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 14 FLYWHEEL AND GOVERNORS
14.6.1 Watt Governor

This governor was initially used by James Watt in a steam engine. The spindle is driven
by the output shaft of the prime mover. The balls are mounted at the junction of the two
arms. The upper arms are connected to the spindle and lower arms are connected to the
sleeve as shown in Figure 14.4.

FIGURE 14.4
Watt Governor
Masses of the sleeves and upper and lower arms are considered as negligible for
simplicity of analysis. We can ignore the frictional forces also. The ball is subjected to the
three forces: centrifugal force (Fc), weight (mg), and tension by upper arm (T). Taking
moment about point O (Intersection of arm and spindle axis), we get
FC × h – mg × r = 0

or, mω2r h – mg × r = 0
or,

EXAMPLE 14.2
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 14 FLYWHEEL AND GOVERNORS
Calculate the vertical height of a Watt governor rotating at the speed of 80 rpm. Also,
calculate the change in the height when the speed increases to 100 rpm.
SOLUTION

N1 = 80rpm, N2 = 100rpm

Change in height = h1 – h2 = 0.1398 m – 0.0895 m = 0.0503 m

14.6.2 Porter Governor

A schematic diagram of the porter governor is shown in Figure 14.5. There are two sets
of arms. The top arms OA and OB connect balls to the hinge O. The hinge may be on the
spindle or slightly away. The lower arms support dead weight and connect balls also. All
of them rotate with the spindle. We can consider one-half of the governor for
equilibrium.
Let w be the weight of the ball,
W be the central load,
T1 and T2 be tension in upper and lower arms, respectively,

Fc be the centrifugal force,

r be the radius of rotation of the ball from the axis, and

I is the instantaneous center of the lower arm.
Taking moment of all forces acting on the ball about I and neglecting friction at the
sleeve, we get

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.5
Force Analysis in Porter Governor
Taking moment of all forces acting on the ball A or ball B about I and neglecting friction
on the sleeve, we get

Also,

Thus,

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 14 FLYWHEEL AND GOVERNORS

where,

If friction acting on the sleeve be f, the force at the sleeve can be replaced by W + f for
rising and (W – f) for falling speed as friction opposes the motion of sleeve. Therefore, if
the friction at the sleeve is to be considered, W should be replaced by (W ± f ). The
expression for ω2 can be written as

EXAMPLE 14.3

A porter governor has an equal arm’s length of 240 mm long and pivoted at the axis of
rotation. Each ball has a mass of 5 kg and the mass of central load on the sleeve is 20 kg.
When the governor begins to lift, the radius of rotation of the ball is 120 mm and 150 mm
when the governor is at maximum speed. Find the minimum and maximum speeds and
range of speed of the governor.
SOLUTION
Let N1 = Minimum speed

Here, arms length is equal, therefore, tan α = tan β and k = 1

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 14 FLYWHEEL AND GOVERNORS

4π2N12 = 853043.47; N1 = 147.03 rpm

At maximum speed

4π2N22 = 188553.12; N2 = 154.57 rpm

Range of speed = N2 – N1 = 154.57 rpm – 147.03 rpm = 7.54 rpm

14.6.3 Proell Governor

The Proell governor has the balls at B and C to the extension of the links DF and EG, as
shown in Figure 14.6 (a). The arm PF and GQ are pivoted at P and Q respectively.
Consider the free body diagram of half of the governor as shown in Figure 14.6(b). The
instantaneous center (I) lies on the intersection of the line PA produced and the line from
D drawn a perpendicular to the axis.
Taking moment about instantaneous center (I), we get

FIGURE 14.6
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 14 FLYWHEEL AND GOVERNORS
Force Analysis in Proell Governor

Multiplying and dividing by FM

Putting

EXAMPLE 14.4

A Proell governor has an equal arm’s length of 400 mm. The upper and lower ends of the
arms are pivoted on the axis of the governor. The extension arms of the lower links are
each 60 mm long and parallel to the axis when the radii of rotation of the balls are 180
mm and 240 mm. The mass of each ball is 10 kg and mass of the central load is 80 kg.
Determine the range of the speed of the governor.
SOLUTION
Let N1 = minimum speed at radius r1 = 180 mm

N2 = minimum speed at radius r2 = 240 mm

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 14 FLYWHEEL AND GOVERNORS
Now at minimum speed,

FM = h1 = 357 mm

N1 = 138.98 rpm

At maximum speed,

FM = h2 = 320 mm

BM = BF + FM = 60 mm + 320 mm = 380 mm = 0.38 m

N2 = 158.65 rpm

Range of speed = N2 – N1 = 158.65 rpm – 138.98 rpm = 19.67 rpm

14.7 SPRING CONTROLLED CENTRIFUGAL GOVERNOR

14.7.1 Hartnell Governor

The Hartnell governor is shown in Figure 14.7(a). The two bell crank levers are used
which can rotate about fulcrums O and O’. One end of both bell crank lever carries a ball
and a roller at the other end of the arm. The rollers make contact with the sleeve. A
helical spring is mounted on the spindle between frame and sleeve. With the rotation of
the spindle, all these parts rotate.
With the increase in speed, the radius of rotation of the balls increases and the rollers lift
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 14 FLYWHEEL AND GOVERNORS
the sleeve against the spring force. With the decrease in speed, the sleeve moves
downwards. The movement of the sleeve is transferred to the throttle of the engine
through linkages.
Let r1 = Minimum radius of rotation of ball center from spindle axis, in m,

r2 = Maximum radius of rotation of ball center from spindle axis, in m,

S1 = Spring force exerted on sleeve at minimum radius, in N,

S2 = Spring force exerted on sleeve at maximum radius, in N,

m = Mass of each ball, in kg,

M = Mass of sleeve, in kg,
N1 = Minimum speed of governor at minimum radius, in rpm,

N2 = Maximum speed of governor at maximum radius, in rpm,

ω1 and ω2 = Corresponding minimum and maximum angular velocities, in r/s,

(FC)1 = Centrifugal force corresponding to minimum speed

(FC)2 = Centrifugal force corresponding to maximum speed

s = Stiffness of spring or the force required to compress the spring by one m,

r = Distance of fulcrum O from the governor axis or radius of rotation,

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.7
(a): Hartnell Governor
a = Length of ball arm of bell-crank lever, i.e., distance OA, and
b = Length of sleeve arm of bell-crank lever, i.e., distance OC.

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 14 FLYWHEEL AND GOVERNORS
FIGURE 14.7
(b): Force Analysis of Hartnell Governor
Considering the position of the ball at radius ‘r2’ as shown in Figure 14.7 (b) and taking
the moments of all the forces about O’.

If θ1 and θ2 are small. Weight w is small in comparison to W and spring force S, w tan θ1
and w tan θ2 can be neglected.

EXAMPLE 14.5

A Hartnell governor having a central sleeve spring and two right-angled ball crank levers
moves between 280 rpm and 320 rpm for a sleeve lift of 15 mm. The sleeve arms and the
ball arms are 100 mm and 120 mm respectively. The levers are pivoted at 120 mm from
the governor axis and mass of each ball is 4 kg. The ball arms are parallel to the governor
axis at the lowest equilibrium speed. Determine load on spring at lowest and highest
speeds and stiffness of the spring.
SOLUTION
Let S1 = Load on spring at lowest speed
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 14 FLYWHEEL AND GOVERNORS
S2 = Load on spring at highest speed

Since the ball arms are parallel to governor axis at the lowest speed, therefore, r = r1 =
120 mm

Let r2 is radius of rotation at N2 = 320 rpm.

Now,
S1 = 989.42 N (Neglecting the effect of Mg)

Similarly,
S2 = 1486.15 N (Neglecting the effect of Mg)

Stiffness of spring,

14.7.2 Willson–Hartnell Governor

In this governor, balls are connected by a spring (in two parts) and one more spring is
used in sleeve mechanism to adjust the radius of rotation of the balls as shown in Figure
14.8.

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.8
Willson-Hartnell Governor
Let P =Tension in the main spring A,
S = Tension in spring B,
w = weight of each ball,
W = Weight of sleeve,
sa = Stiffness of each ball spring A,

sb = Stiffness in auxiliary spring B,

FC = Centrifugal force on each ball, and

r = radius of rotation of balls.

Taking moment about O neglecting weight of ball, we get

Using 1 and 2 suffix for minimum and maximum equilibrium speed

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 14 FLYWHEEL AND GOVERNORS

On subtraction, we get

When the radius of rotation increases from r1 to r2, the spring A extends by 2 (r2 – r1)

and spring B extends by

P2 – P1 = 2Sa × 2 (r2 – r1)

Substituting the value of P2 – P1 and S2 – S1 in Eq. (14.3)

EXAMPLE 14.6

A Wilson-Hartnell governor consists of balls of mass of 2 kg each, minimum and

maximum radius of rotation 150 mm and 180 mm respectively, minimum and maximum
speed 220 rpm and 240 rpm respectively, length of ball arm of each bell crank lever 150
mm, length of the sleeve arm of each bell crank lever 100 mm, and combined stiffness of
two ball springs 0.2 kN/m. Find the equivalent stiffness of the auxiliary spring referred to
the sleeve.
SOLUTION

Let S be the equivalent stiffness of the auxiliary spring referred to the sleeve,

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 14 FLYWHEEL AND GOVERNORS
We know the centrifugal force at the minimum speed,

Now,

14.7.3 Hartung Governor

The Hartung governor is shown in Figure 14.9. In this governor, the vertical arms of the
bell crank levers are fitted with spring balls which compress against the frame of the
governor when the rollers at the end of horizontal arms press against the sleeve.
Let, S = spring force,
FC = centrifugal force,

W = weight of sleeve,
x and y = lengths of vertical and horizontal arms of bell crank lever respectively. Taking
moment about fulcrum O, we get

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 14 FLYWHEEL AND GOVERNORS

FIGURE 14.9
Hartung Governor

EXAMPLE 5.7

In a Hartung type governor, ball arm and sleeve arm length are 80 mm and 100 mm
respectively. The total travel of the sleeve is 15 mm. In the mid position, each spring is
compressed by 40 mm and radius of rotation of mass center is 120 mm, each ball has a
mass of 4 kg and spring has a stiffness of 10 kN/m in compression. The equivalent mass
at governor sleeve is 15 kg. Neglecting the moment due to revolving masses and when the
arms are inclined, determine the speed in the mid position.
SOLUTION

Fc = mω2r = 4 × ω2 × 0.120 m = 0.48 ω2 N

Spring force, S = Stiffness × Initial compression = 10 × 103 N/m × 0.04 m = 400 N

ω2 = 1,024.93
ω = 32.01 rad/s.
N = 305.87 rpm

14.8 SENSITIVENESS OF GOVERNORS

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 14 FLYWHEEL AND GOVERNORS
A governor is said to be sensitive, if its change of speeds from no load to full load may be
as small a fraction of the mean equilibrium speed as possible and the corresponding
sleeve lift may be as large as possible.
Sensitiveness of a governor can be found by dividing the difference between the
maximum and minimum equilibrium speeds by mean speed.
Let N1 = Minimum equilibrium speed
N2 = Maximum equilibrium speed

14.9 GOVERNING OF I.C. ENGINES

Governing is an action to control the fuel supply so that the engine runs at practically
constant speed. When the load on an engine increases the speed drops and when load
decreases the speed increases. Thus to control the fluctuation in engine speed, fuel
requirement increases during increasing load and fuel requirement decreases with
decreasing load. Governors play an important role in controlling the supply of fuel
according to load requirement. There are following methods of governing of an I.C.
Engine.

14.9.1 Qualitative Governing

In this method, the amount of fuel entering the cylinder is varied by altering the stroke of
the Oil Pump or by passing a part of fuel which would have otherwise been injected into
the engine cylinder back to the oil tank or by delaying the closing of the suction valve in
the fuel pump with the help of centrifugal governor. The supply of air remains constant
but the supply of fuel is varied to control the quality of charge (air-fuel mixture). This
method is widely used in oil engines besides being always used on two-stroke cycle
engines in which the air-fuel mixture has to be admitted to the engine cylinder to drive
out the burnt charge of the previous cycle.

14.9.2 Quantitative Governing

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 14 FLYWHEEL AND GOVERNORS
In this system quality of charge remains constant but the quantity of air-fuel mixture
supplied to the engine is varied by means of centrifugal governors. Centrifugal governor
regulates the throttle valve; whenever the engine starts running at higher speed due to
decreasing load, the quantity of charge is reduced until the engine speed reaches to its
normal speed. Similarly, whenever the engine runs at a lower speed due to increasing
load, the quantity of charge is increased to increase the speed to normal speed.

14.9.3 Hit and Miss Governing

This method is used for smaller gas engines. In this system, whenever the engine starts
running at higher speed, some explosions are missed or omitted. This is done with the
help of governor in which the inlet valve of fuel is closed and the explosions are omitted
till the engine speed reaches its normal value. The disadvantage is that method is that
there is uneven turning moment due to missing of explosions and requires heavy
flywheel. In this system of governing, whenever the engine starts running at higher speed
(due to decreased load), some explosion are omitted or missed. This is done withhelp of
centrifugal governor in which the inlet valve of fuel is closed and the explosionsare
omitted till the engine speed reaches its normal value. The only disadvantage of this.

14.10 DIFFERENCES BETWEEN FLYWHEEL AND GOVERNORS

Difference between flywheel and governors are shown in Table 14.1

Table 14.1: Difference between Flywheel and Governors

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RECAP ZONE

Points to Remember

The flywheel is an internal energy-storage device. It absorbs mechanical energy and during the period
when the supply of energy is more than the requirement and releases it during the period when the
requirement of energy is more than the supply.
The function of the flywheel is to store excess energy during the power stroke and it supplies energy
during another stroke.
The main function of a flywheel is to smoothen out variations in the speed of a shaft caused by torque
fluctuations.
Governor takes care of the change of speed due to load variation over periods of the engine’s running
and tends to keep it as close to the mean speed as possible.
The function of the governor is to adjust the supply of fuel according to the load requirements so as to
keep the speeds at various loads, as close to the mean speed as possible.
The height of governor is the vertical distance between the center of the governor balls and the point of
intersection between the upper arms on the axis of the spindle.
The speed at which the governor balls, the arms, etc. are in complete equilibrium and the sleeve does
not tend to move upward or downward is called the equilibrium speed.
The vertical distance the sleeve travels due to change in the equilibrium speed is called the sleeve lift.
The vertical downward travel may be termed as a negative lift.
The mean force acting on the sleeve for a given change of speed or lift of the sleeve is known as the
governor effort.
The force acting radially inward upon the rotating balls to counteract its centrifugal force is called the
controlling force.
This is an extreme case of sensitiveness. When the equilibrium speed is constant for all radii of rotation
of the balls within the working range, the governor is said to be in isochronisms.
The phenomenon of continuous fluctuation of the engine speed above and below the mean speed is
termed as hunting.
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 14 FLYWHEEL AND GOVERNORS
A governor is said to be sensitive, if its change of speeds from no load to full load may be as small a
fraction of the mean equilibrium speed as possible and the corresponding sleeve lift may be as large as
possible.
In Inertia and Flywheel Governors, the inertia forces caused by the angular acceleration of the engine
shaft or flywheel by a change in speed are utilized for the movement of the balls.
In Centrifugal Governors, the change in centrifugal forces of the rotating masses due to change in the
speed of the engine is utilized for movement of the governor sleeve.
In Watt governor, the balls are mounted at the junction of the two arms; the upper arms are connected
to the spindle and lower arms are connected to the sleeve.

Important Formulae

1. Coefficient of fluctuation of speed:

2. Fluctuation in energy:

3. Height of Watt governor:

4. Height of porter governor:

5. Height of proell governor:

6. Total lift in Hartnell governor:

7. Willson-Hartnell governor:

8. Sensitiveness of governor:

REVIEW ZONE

Multiple-choice Questions

1. A flywheel:
1. Is provided to minimize the engine vibration
2. Is provided to control engine speed
3. Controls output fluctuation and input accordingly
4. All of the above
2. The speed variation in engine caused by the fluctuations of engine turning moment is controlled by a:
1. Slide valve
2. Governor
3. Flywheel
4. None of these
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 14 FLYWHEEL AND GOVERNORS
3. Ratio of difference between the maximum and minimum speed to that of mean speed is known as:
1. Sensitiveness of governor
2. Isochronisms in the governor
3. Stability of governor
4. None of these
4. A governor is said to be sensitive, when:
1. The ratio of the difference of maximum and minimum equilibrium speeds to mean speed is
maximum
2. Governor readily responds to a small variation of speed
3. Displacement of the sleeve is maximum for a small change of speed
4. All of the above
5. A governor is said to be stable, when:
1. There is a minimum change in radius of governor weights at operating speed
2. There is one radius of governor weights for each equilibrium speed
3. The position of balls does not change within the operating speed
4. The position of balls changes within permissible limits
6. Isochronism in a governor is required when:
1. One speed is required for all loads
2. One speed is required under one load
3. Engine runs at high speed
4. Engine runs at low speed
7. When a governor is over sensitive, the sleeve will oscillate between two extreme positions on a slight
change of speed. The governor is said to be:
1. Isochronous
2. Stable
3. Unstable
4. Hunting
8. Mean force exerted by governor on the sleeve for a given variation of speed is known as:
1. Sensitiveness of governor
2. Stability of governor
3. The effort of governor
4. None of these
9. Dead weight governor is:
1. Porter governor
2. Watt governor
3. Hartnell governor
4. All of the above
10. Pendulum type governor is:
1. Hartnell governor
2. Watt governor
3. Porter Governor
4. All of the above
11. Height of a Watt governor is:
1. Inversely proportional to the speed
2. Inversely proportional to the square of the speed
3. Directly proportional to the square of the speed
4. Directly proportional to the speed
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 14 FLYWHEEL AND GOVERNORS
12. With increase in speed of governor:
1. The height of governor increases
2. The height of governor decreases
3. The radius of rotation increases
4. Both (b) and (c)
13. As the sleeve of Porter governor moves upwards, the governor speed:
1. Increases
2. Decreases
3. Remain same
4. None of these
14. The balls are attached to the extension of lower links in:
1. Hartnell governor
2. Watt governor
3. Porter governor
4. Proell governor
15. In Hartnell governor, the compression of the spring as compared to lift of the sleeve is:
1. More
2. Less
3. Same
4. None of these
16. If the stiffness of spring the Hartnell governor is increased, the governor will become:
1. More sensitive
2. Less sensitive
3. Remain same
4. None of these
17. In a flywheel, the maximum fluctuation of energy is the:
1. The sum of the maximum and minimum energy
2. The difference between the maximum and minimum energy
3. The ratio of maximum and minimum energy
4. The ratio of mean resisting torque to the work done per cycle
18. In a turning moment diagram, the variation of energy above and below the mean resisting torque line is
called:
1. Fluctuation of energy
2. Maximum fluctuation of energy
3. The coefficient of fluctuation of energy
4. None of these
19. The ratio of maximum fluctuation of energy to ____ is called coefficient of fluctuation of energy.
1. Minimum fluctuation of energy
2. Work done per cycle
3. Both (a) and (b)
4. None of these
20. Maximum fluctuation of energy in a flywheel is equal to:
1. I.ω(ω1–ω2)
2. I.ω2.Cs
3. 2E.Cs
4. All of the above
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 14 FLYWHEEL AND GOVERNORS
Answers

1. d
2. c
3. a
4. d
5. b
6. a
7. d
8. c
9. a
10. c
11. b
12. d
13. a
14. d
15. c
16. b
17. b
18. a
19. b
20. d

Theory Questions

1. What is a function of a flywheel? How does it differ from a governor?

2. Define the term coefficient of fluctuation of energy and coefficient of fluctuation of speed in a flywheel.
3. Derive the expression for maximum fluctuation of energy in a flywheel.
4. What is a function of governors? Explain in detail.
5. Classify the various types of governors. Differentiate between centrifugal and inertia types of
governors.
6. Write short notes on (a) sensitiveness of governor (b) isochronisms of governor (c) hunting of governor.
7. * What is governor? What are the various types of governors? Explain watt governor with neat sketch.
8. * Differentiate between the functions of governor and flywheel.

Numerical Problems

1. A motor of 5 kW running at 950 rpm is used in a riveting machine. A flywheel is attached to the machine
has a mass of 100 kg and radius of gyration of 0.4 m. Each riveting takes 1 second and requires 10 kW.
Determine: (i) the number of rivets used per hour, and (ii) the fall in speed of the flywheel after the
riveting operation.
2. A steam engine of 100 kW runs at 100 rpm. The speed of the engine is to be maintained within 1%
variation in mean speed. The flywheel has a mass of 2000 kg and radius of gyration of 1 m. Determine
the coefficient of fluctuation of energy.
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 14 FLYWHEEL AND GOVERNORS
3. An electric motor drives a punching press. A flywheel fitted to the press has a radius of gyration 0.4 m
and runs at 240 rpm. The press is capable of punching 600 holes per hour with each punching operation
taking 1.5 seconds and requiring 10000 N-m of work. Determine the rating of the machine in kW and the
mass of the flywheel if the speed of the flywheel does not drop below 220 rpm.
4. A porter governor has an equal arm’s length of 220 mm long and pivoted at the axis of rotation. Each
ball has a mass of 5 kg and the mass of central load on the sleeve is 20 kg. When the governor begins to
lift, the radius of rotation of the ball is 100 mm and 120 mm when the governor is at maximum speed.
Find the minimum and maximum speeds and range of speed of the governor.
5. A Proell governor has an equal arm’s length of 420 mm. The upper and lower ends of the arms are
pivoted on the axis of the governor. The extension arms of the lower links are each 80 mm long and
parallel to the axis when the radii of rotation of the balls are 160 mm and 220 mm. The mass of each
ball is 12 kg and mass of the central load is 60 kg. Determine the range of the speed of the governor.

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 15 POWER TRANSMISSION DEVICES
CHAPTER 15
Power Transmission Devices
Learning Objectives

By the end of this chapter, the student will be able:

To understand the concept of power transmission
To demonstrate the various means of power transmission such as belt, rope, chain and gear drive
To describe the application of the different types of gears for power transmission

15.1 INTRODUCTION

Power transmission is a process to transmit motion from one shaft to another by using
some connection between them like belt, rope, chain, and gears. To connect the shafts,
mainly two types of connectors are used, one is flexible and other is rigid. In a flexible
type of connection, there is a relative velocity between shaft and connectors due to slip
and strain produced in the connectors. But in the case of rigid connection, there is no
relative velocity between the connector and shaft.
Belt, rope, and chain are flexible connectors where ears are rigid connectors. Generally,
belt, rope, and chain drives are used when the distance between the shafts are large and
gears are used when the distance between the shafts is very small. The efficiency of a
gear drive is much more than that of the belt, rope, chain drive due to the absence of
slipping effect.

15.2 BELT DRIVE

In belt drive, the velocity of two shafts can be varied by variation of diameter of the
pulley on which belt is mounted. But in the chain or gear drive, the velocity of two shafts
is varied by variation in the number of teeth on sprocket and gear, respectively. If an un-
stretched belt mounted on the pulleys, the outer and inner faces of belt become in tension
and compression, respectively. In between the section, there is a neutral section which
has no tension or compression. Usually, this is considered at the half of thickness of the
belt. The effective radius of rotation of a pulley is obtained by adding half the belt
thickness to the radius of the pulley. A schematic diagram of the belt drive is shown in
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 15 POWER TRANSMISSION DEVICES
Figure 15.1.

15.2.1 Type of Belt Cross-sections

Figure 15.2 shows the flat and V-belt. In flat belt drive, the rim of the pulley is slightly
crowned which helps to keep the belt running centrally on the pulley rim as shown in
Figure 15.2 (a). For V-belt drive, grooves are made on the rim of the pulley for wedging
action. The belt does not touch the bottom of the groove as shown in Figure 15.2 (b).
Owing to wedging action, v-belts need a little adjustment and transmit more power,
without slip, as compared to flat belts. In multiple V-belt systems, more than one belt on
the pulleys can be used to increase the power transmission capacity.
Round Belts: Round belts as shown in Figure 15.2 (c) are generally made of rubber. This
type of belt is generally used for light loads, such as in a sewing machine or a vacuum
cleaner.

FIGURE 15.1
Belt Drive

FIGURE 15.2
Type of Belt Cross-sections
Timing/Toothed Belts: Timing belts or toothed belts [as shown in Figure 15.2 (d)] use
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 15 POWER TRANSMISSION DEVICES
their teeth for power transmission, as opposed to friction. This configuration results in no
slippage, and therefore, the driving and driven shafts remain synchronized. It is more
expensive to manufacture due to the complexity of the belt and pulley shapes.

15.2.2 Velocity Ratio

Velocity ratio is the ratio of the speed of the driven pulley to that of the driving pulley.
Let N1 is rotational speed of the driving pulley,

N2 is rotational speed of the driven pulley,

D1 is diameter of driving pulley,

D2 is diameter of driven pulley,

t is the thickness of the belt.

i.e., D1N1 = D2N2; where t is very small in comparision to D, therefore it can be

negelected.

Slip: The effect of slip is a decrease in the speed of belt on driving shaft and the driven
shaft.
Let ω1 is angular velocity of driving pulley,

ω2 is angular velocity of driven pulley,

S1 is percentage slip between driving pulley and belt,

S2 is percentage slip between driven pulley and belt, and

S is total percentage slip.

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 15 POWER TRANSMISSION DEVICES

Peripheral speed of the driving pulley

Speed of belt on driving pulley

This is also the speed of belt on driven pulley.

Now, peripheral speed of driven pulley

If S is total slip percentage, peripheral speed of driven pulley

or
or S = S1 + S2 − 0.01S1S2

Thus, velocity ratio,

15.2.3 Creep

When belt passes from slack to tight side, a certain portion of belt extends and again
contracts when belt passes through tight to slack side. Due to fluctuation in length of the
belt, there is relative motion between belt and pulley surface. This relative motion is
known as creep. Considering the creep, velocity ratio can be expressed as:

Where N1 and N1 are the speeds of driving and driven pulleys, respectively; D1 and D2
are the diameters of the driver and driven pulleys, respectively; σ1 and σ2 are the stresses
developed in the tight and slack side of the belt, respectively; and E is the modulus of
elasticity of belt materials.

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 15 POWER TRANSMISSION DEVICES
15.2.4 Flat Belt Drives

Belts are classified into many types according to usage, position, shape like flat, v-belt,
round ropes, etc., but Belt drives are different from the belts, these are described as the
combination of pulleys according to their position and also their carrying or transmitting
power from one pulley to another pulley. Flat belts drives are classified as:
1. Open belt drive
2. Crossed belt drive
3. Quarter turn belt drive
4. Compound belt drive

EXAMPLE 15.1

The speed of a driving shaft is 100 rpm and the speed of the driven shaft is 150 rpm. The
diameter of the driving pulley is given as 500 mm, find the diameter of the driven pulley
in the following cases:
1. If the belt thickness is negligible,
2. If the belt thickness is 6 mm,
3. If total slip is 5% considering thickness of belt, and
4. If a slip is 2% on each pulley considering the thickness of the belt.

SOLUTION

1.

2.

3.

4.

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 15 POWER TRANSMISSION DEVICES
where S = S1 + S2 − 0.01S1 × S2 = 2 + 2 − 0.01 × 2 × 2 = 3.96

A. Open Belt Drive

The open belt drive is used to provide the same direction of rotation to the driven shaft as
the direction of rotation of the driving shaft.
Let L is length of belt for open drive,
r is the radius of the smaller pulley,
R is radius of larger pulley,
C is center distance between pulleys,
β is angle subtended by each common tangent on the center of the pulley (CD or EF),
AB is the line joining the centers of pulleys.

FIGURE 15.3
Open Belt Drive
From Figure 15.3,
∠CAJ = ∠NAB = β

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 15 POWER TRANSMISSION DEVICES

= π(R + r) + 2 β(R − r) + 2Ccos β

for small angle β,

Putting the value of β and cosβ in equation of L, we get

B. Crossed Belt Drive

The cross-belt drive is used to provide reverse direction of rotation to the driven shaft as
the direction of rotation of the driving shaft.
Similar to open belt drive, let A and B be the pulley centers and CD and EF be the
common tangents to the two pulleys as shown in Figure 15.4.

In Figure 7.4, Belt length, L = 2[ArcGC + CD + Arc DH]

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 15 POWER TRANSMISSION DEVICES
FIGURE 15.4
Crossed-belt Drive

C. Quarter Turn Drive

In quarter turn drive, the two axes of pulleys are the right angle to each other as shown in
Figure 15.5 (c) and (d). These drives are used in industries for parallel power to tangential
power transmission.

EXAMPLE 15.2

Two shafts drive are arranged parallel to each other at a distance of 5 m. If the pulley
diameters mounted on the shafts are 500 mm and 750 mm. Determine the difference in
length of the belts for opposite direction of rotation and the same direction of rotation.
SOLUTION
For opposite direction of rotation crossed belt drive is used and for the same direction of
rotation open belt drive is used.
For crossed belt drive:

For open belt drive:

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 15 POWER TRANSMISSION DEVICES

Difference in length of cross belt and open belt = 12.041 m − 11.966 m = 0.0743 m

D. Compound Belt Drives

In these, the axes of pulleys are not parallel to each other compound belt drives are
shown in Figure 15.6 and these compound belt drives are used to transmit power in any
direction and it uses a number of pulleys.

FIGURE 15.5
Quarter Turn Belt Drive

FIGURE 15.6
Compound Belt Drive
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 15 POWER TRANSMISSION DEVICES
15.2.5 Ratio of Tensions

Let T1 is the tension in tight side of the belt,

T2 is the tension in slack side of the belt,

θ is the angle of the lap of the belt over the pulley,

μ is coefficient of friction between the belt and pulley.
Consider a short length of a belt of belt subtending an angle δθ at the center of the pulley
as shown in Figure 15.7.

FIGURE 15.7
Tensions in Belt
Let N is a normal reaction between the element length of a belt and the pulley,
δT is the increase in tension in tight side than that on slack side,
T + δT is the tension on the tight side of the element.
Resolving the force in tangential direction,
μN + T cosδθ / 2 − (T + δT)cosδθ / 2 = 0
As δθ is very small, cosδθ / 2 ≅ 1.
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 15 POWER TRANSMISSION DEVICES

Resolving the force in radial direction,

N − T sinδθ / 2 − (T + δT)sinδθ / 2 = 0
As δθ is very small, sinδθ / 2 ≅ δθ / 2.
N − Tδθ /2 − Tδθ /2 − δTδθ /2 = 0
Neglecting the product of two small quantities

From Equations (15.1) and (15.2), δT = μTδθ or

On integration, we get

In V -belt, Where α is the angle made by V-section of the belt.

Power Transmission in Belt Drive

P = Tresultant × Velocity

= (T1 − T2 ) × V, where P is power transmitted in watt and V is velocity of belt.

EXAMPLE 15.3

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 15 POWER TRANSMISSION DEVICES
Two pulleys of diameters 500 mm and 200 mm are mounted on two parallel shafts 2 m
apart. These shafts are connected by a cross belt. Find the angle of contact of belt and
pulley. If larger pulley rotates at 250 rpm and maximum permissible tension in the belt is
1 kN, find the power transmitted by the belt. Assume coefficient of friction between belt
and pulley is 0.25.
SOLUTION
For crossed belt

15.2.6 Effect of Centrifugal Force on Belt Drive

When the velocity of the belt is more than 10 m/sec, the centrifugal force due to self-
weight of the belt becomes predominant. Analyze the various components of forces as
shown in Figure 15.8.

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 15 POWER TRANSMISSION DEVICES
FIGURE 15.8
Centrifugal Force in Belt Drive
Let ρ is the density of belt materials,
Tc is centrifugal tension on the belt element in tight and slack side,

r is the radius of the pulley,

t is the thickness of the belt,
b is the width of the belt,
σ is maximum allowable stress in the belt,
m is mass per unit length of the belt,
FC is the centrifugal force on the element,

V is the velocity of the belt, and

Δθ is the angle of the lap.
Now,
Fc = (length of belt element × mass per unit length) × acceleration

Also,
From Equation (15.3) and (15.4),

Tc = ρ(bt)V2

Total tension on tight side,

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 15 POWER TRANSMISSION DEVICES

T = T1 + Tc ;

where T is maximum allowable tension equal to σ × b × t

Total tension on slack side = T2 + Tc

For maximum power transmission,

or,

or, σ = 3ρV2

or,
Initial tension in the belt, T0 = (T1 + T2)/2

EXAMPLE 15.4

A leather belt of density 1000 kg/m3, thickness 10 mm is used to transmit a power of 8

kW from a pulley 1.5 m in diameter running at 300 rpm. Determine the width of the belt
taking centrifugal tension into account. If the angle of the lap is 165° and coefficient of
friction between belt and pulley is 0.25. Assuming allowable stress for the leather belt is
1.5 Mpa.
SOLUTION

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 15 POWER TRANSMISSION DEVICES

P = (T1 − T2 )V or 8 × 103 W = (T1 − T2 ) × 23.56 m /sec

From Equation (15.5) and (15.6), we get

Mass of the belt per unit length = Area × density

m = b × t × ρ = b × 0.01m × 1000 kg /m3 = 10bkg.

Centrifugal tension = mV2 = 10 b(23.56 m / sec )2 = 5550.73bN

Maximum tension in the belt = σ × b × t = 1.5 × 106 Pa × b × 0.01m = 15000b N

T = T1 + Tc or 15000b = 661.72 + 5550.73b

or

EXAMPLE 15.5

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 15 POWER TRANSMISSION DEVICES
An open belt drive transmits a power of 3.0 kW. The linear velocity of the belt is 3 m/sec.
The angle of the lap on the smaller pulley is 160°. The coefficient of friction between belt
and pulley is 0.25. Determine the effect on power transmission in the following cases:
1. Initial tension in the belt is increased by 10%.
2. The angle of the lap is increased by 10% using idler pulley for the same speed and tension in the tight
side.
3. Coefficient of friction is increased by 10% for same initial tension.

SOLUTION

1. when initial tension increased by 10%

As µ and θ remain unchanged, T1 = 2T2

2T2 + T2 = 3T2 = 3300 N ⇒ T2 = 1100 N and T1 = 2200 N

P = (T1 − T2 )V = (2200 N − 1100 N) × 3 = 3300 W

2.

T1 is the same as before whereas θ is increased by10%

⇒ T2 = 928.06 N
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 15 POWER TRANSMISSION DEVICES
P = (T1 − T2 )V = (2000N − 928.06N) × 3m / sec = 3215.82W

3. When frictional coefficient increases by10%

2.155T2 + T2 = 3.155T2 = 3000 N ⇒ T2 = 950.871N

T1 = 2.155T2 = 2.155 × 950.871N = 2049.128 N

P = (T1 − T2 )V = (2049.128N − 950.871N) × 3m / sec = 3294.772W

15.3 ROPE DRIVE

Rope drive is very similar to belt drive. It is classified as (i) Fiber ropes, and (ii) Wire
ropes.
Fiber ropes are made of manila or cotton. Wire ropes are made of steel wires. A group of
wires makes a strand and strands make a rope as shown in Figure 15.9. Each strand is
twisted with other strands. The rope may have 3-strands or 9-strands, and each strand
may have 7-19 wires, depends on its application.

FIGURE 15.9
A Schematic View of Rope

15.4 CHAIN DRIVE

To overcome the problem of slip in belt drive or rope drive, chain drive is used. A
schematic diagram of the chain drive is shown in Figure 15.10. The velocity ratio in chain
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 15 POWER TRANSMISSION DEVICES
drive remains constant. But, chain drive is heavier than the belt drive and there is gradual
stretching in its strength. Time to time some of its links have to be removed. Lubrication
of its parts is also desired. The wheel over which chains are run, corresponding to the
pulleys in a belt drive is known as sprocket having projected teeth that fit into the recess
in the chain.

FIGURE 15.10
Chain Drive
Pitch: Distance between two consecutive roller centers is known as pitch, p.
Pitch Circle: T circle drawn through the roller centers of a wrapped chain around a
sprocket is called the pitch circle.
Let T is a number of teeth on a sprocket,
φ is angle subtended by a chord of the link at the center.
r is the radius of the pitch circle.

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 15 POWER TRANSMISSION DEVICES
15.4.1 Chain Length

Let R and r are the radius of the pitch circle of two sprockets having teeth T and t
respectively.
L is the length of the chain,
C is the center distance between sprockets = K.p

EXAMPLE 15.6

For reduction of speed from 250 rpm to 100 rpm, a chain drive is used. Calculate the
number of teeth on the driving sprocket if a number of teeth on driven sprocket is 20.
Pitch circle diameter of the driven sprocket is 650 mm and the center distance between
sprockets is 100 mm. Also, determine the pitch and length of the chain.
SOLUTION

N1 = 250rpm, N2 = 100rpm, T1 = 20, T2 = ?

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 15 POWER TRANSMISSION DEVICES
r2 = 325mm, C = 1000mm = 1m

= 3.465 m

15.4.2 Types of Chain

Hosting Chain: This type of chain is used for lower speed. It consists of oval links
(Figure 15.11).

FIGURE 15.11
Hosting Chain
Conveyor Chain: Conveyor chain may be detachable/hook joint type/closed end pintle
type as shown in Figure 15.12. The sprocket teeth are so shaped and spaced that the
chain could run onto and off the sprockets smoothly and without interference. Such
chains are used for low-speed applications.

FIGURE 15.12
(a) Hook Joint Type Conveyor Chain (b) Closed-end Pintle Type Conveyor Chain
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 15 POWER TRANSMISSION DEVICES

Power Transmission Chains

Block Chain: This is used for power transmission at low speed such as a bicycle,
motorbike, etc. (Figure 15.13).

FIGURE 15.13
Block Chain
Roller Chain: A common form of roller chain is shown in Figure 15.14. A bush is fixed in
inner link whereas the outer link has a pin fixed to it. There is only sliding motion
between the pin and the Bush. The roller is made of hardened steel and is free to turn on
the Bush. A good roller chain is quiet and wearless in comparison to a block chain.

FIGURE 15.14
Roller Chain
Silent/Inverted Tooth Chain: Roller chains can run at very high speed. But when
maximum quietness is required, inverted tooth chains are required. It has no roller; the
links are so shaped as to engage directly with the sprocket teeth and included angle is
either 60° or 75° (Figure 15.15).

FIGURE 15.15
Silent or Inverted-tooth Chain

15.5 GEAR DRIVE

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 15 POWER TRANSMISSION DEVICES
Gears are compact power transmission device that controls the speed, torque, and
direction of rotation of the driven shaft. Gears may be classified into five main categories:
Spur, Helical, Bevel, Hypoid, and Worm. Shaft orientation, efficiency, and speed
determine the application of gear drive. Gears are a toothed disc, which transmits power
from one shaft to another shaft by meshing with teeth of other gear.

15.5.1 Gear Terminology

All the important gear terminologies are shown in Figure 15.16.

FIGURE 15.16
Nomenclature of Gear
Pitch Point: The point of contact between pitch circles of two ears is known as pitch
point.
Pitch Circle: The circle passing through the point of contacts of two gears is known as
pitch circle.

Pitch Diameter, D: Diameter of pitch circle is known as pitch diameter.

Circular Pitch, Pc: It is the distance measured along the circumference of the pitch circle
from a Point on one tooth of the corresponding point on the adjacent tooth.
Diametral Pitch, Pd : It is the number of teeth per unit length of the pitch circle
diameter.

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 15 POWER TRANSMISSION DEVICES

Module, m: It is the ratio of pitch diameter to the number of teeth.

Gear Ratio: It is the ratio of a number of teeth on gear and pinion.

Velocity Ratio: It is the ratio of the angular velocity of the driving gear to driven gear.

Here, subscripts 1 and 2 are used for driving and driven gears, respectively.
Addendum Circle: It is a circle passing through the tips of the teeth.
Addendum: It is the radial height of tooth above the pitch circle. Its standard value is one
module.
Dedendum Circle: It is a circle passing through roots of the teeth.
Dedendum: It is a radial depth of a tooth below the pitch circle. Its standard value is
1.157 m.
Full Depth of Teeth: It is the total depth of the tooth space, i.e., Full depth = Addendum
+ Dedendum = (1 + 1.157) × module = 2.157 × module.
Working Depth of Teeth: The maximum depth at which a tooth penetrates into tooth
space of the mating gear is known as working depth of teeth.
Space Width: It is the width of the space between two consecutive teeth on pitch circle.
Tooth Thickness: It is the thickness of the tooth measured along the pitch circle.
Backlash: It is the difference between the space width and the tooth thickness along the
pitch circle.
Face Width: It is the length of tooth parallel to the gear axis.
Top Land: It is the surface of the top of the tooth.
Bottom Land: The surface of the bottom of the tooth between the adjacent fillets.

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Face: It is the tooth surface between the pitch circle and the top land.
Flank: It is the curved portion of the tooth flank at the root circle.
Pressure Angle, φ: The angle between the pressure line and the common tangent at the
pitch point is known as the pressure angle or angle of obliquity.
Path of Contact or Contact Length: Locus of the point of contact of teeth of two mating
gears from the beginning of the engagement to the end of engagement is known as the
path of contact or the contact length.
Path of Approach: Portion of the path of contact from the beginning of the engagement
to the pitch point is known as the path of approach.
Path of Recess: Portion of the path of contact from the pitch point to the end of
engagement is known as the path of the recess.
Arc of Contact: Locus of points on the pitch circle from the beginning of the engagement
to the end of engagement of two mating gears is known as the arc of contact.
Arc of Approach: It is the portion of the arc of contact from the beginning of the
engagement to the pitch point of two mating gears is known as the arc of contact.
Arc of Recess: It is the portion of the arc of contact from the pitch point to the end of
engagement to of two mating gears is known as the arc of the recess.
Contact Ratio: It is the ratio of the length of the arc of contact to circular pitch.

15.5.2 Law of Gearing

The law of gearing gives the condition for the tooth profiles for constant angular velocity
for two mating ears, which can be explained as: “If angular velocities of two mating gears
remain constant, the common normal at the point of the two teeth should always pass
through a fixed point P which divides the line joining the centers in the inverse ratio of
angular velocities of the gears”. In Figure 15.17,

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FIGURE 15.17
Two Teeth in Meshing

15.5.3 Forms of Teeth

There are mainly two forms of gear teeth: (i) Cycloidal profile teeth, and (ii) Involute
profile teeth.

Cycloidal Profile Teeth

A cycloid is the locus of points on the circumference of a circle that rolls without slipping
on a fixed straight line. An epicycloid is the locus of points on the circumference of a
circle that rolls without slipping outside the circumference of another circle. A
hypocycloid is the locus of points on the circumference of a circle that rolls without
slipping inside the circumference of another circle. The construction of cycloidal teeth is
shown in Figure 15.18.

FIGURE 15.18
Cycloidal Profile of Gear Teeth

Advantages of Cycloidal Gears

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1. Due to wider flank, cycloidal gear is stronger than involute gear for the same pitch.
2. Less wear occurs in cycloidal teeth.
3. There is no phenomenon of interference.

Involute Profile Tooth

An involutes profile is a plane curve generated by the points on tangent on a circle which
rolls without slipping or by points on a taught string which is unwrapped from a reel as
shown in Figure 15.19.

FIGURE 15.19
Involute Profile of Gear

Advantages of Involute Gears

1. Center distance can be varied within limit without a change in pressure angle which is not possible in
cycloidal gears.
2. Pressure angle remains constant throughout the engagement but in the case of cycloidal gears, pressure
angle is maximum at the beginning and end of engagement and minimum at the pitch point.
3. The face and flank of involute teeth are generated by a single curve wherein cycloidal gears,
epicycloids, and hypo-cycloid are required for face and flank, respectively. Thus, involute teeth are
easy to manufacture than the cycloidal gear.

15.6 CLASSIFICATION OF GEARS

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Gears can be classified according to the position of shafts as:

15.6.1 Parallel Shafts

Spur Gears

General: Spur gears are the most commonly used gear. They are characterized by teeth
which are parallel to the axis. The basic descriptive geometry for a spur gear is shown in
Figure 15.20.

FIGURE 15.20
Spur Gear
Advantages: Spur gears are easy to find, inexpensive, and efficient.
Limitations: Spur gears generally cannot be used when a direction change between the
two shafts is required. Also, this type of gears is used for smaller speed due to noise
creation at high-speed power transmission.

Helical Gears

Helical gears are similar to the spur gear except that the teeth are at an angle to the shaft,
rather than parallel to its axis as in a spur gear. The resulting teeth are longer than the
teeth on a spur gear of equivalent pitch diameter. The longer teeth cause helical gears to
have the following differences from spur gears of the same size:
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1. Tooth strength is greater because the teeth are longer.
2. Greater surface contact on the teeth allows a helical gear to carry more load than a spur gear.
3. The longer surface of contact reduces the efficiency of a helical gear relative to a spur gear.

Helical gears may be used to mesh two shafts that are not parallel, although they are still
primarily used in parallel shaft applications. A special application in which helical gears
are used is a crossed gear mesh, in which the two shafts are perpendicular to each other.
The basic geometry for a helical gear is shown in Figure 15.21.

FIGURE 15.21
Helical Gear
Advantages: Helical gears can be used on non-parallel and even perpendicular shafts,
and can carry higher loads than can spur gears.
Limitations: Helical gears are expensive and much more difficult to manufacture. They
are also slightly less efficient than a spur gear of the same size.

Double Helical / Herringbone Gears

Double helical gears have one a right-hand helix and the other a left-hand helix. The
teeth of two rows are separated by a groove used for tool run out. Axial thrust, which
occurs in the case of single helical gears, two rows of teeth cancel each other. This can be
run at high speeds with less noise and vibrations. Figure 15.22 shows the basic structure
of double helical gear and herringbone or double helical gear.

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FIGURE 15.22
(a) Double Helical Gearing with Two Pairs of Opposed Gears, (b) Herringbone Gears
having Opposed Teeth Joined in the Middle.
Herringbone gears have opposed teeth to eliminate side thrust loads the same as double
helical, but they are joined in the middle of the gear circumference. This arrangement
makes herringbone gears more compact than double-helical. However, the gear centers
must be precisely aligned to avoid interference between the mating helixes.

15.6.2 Intersecting Shaft

Bevel Gears

Bevel gears are primarily used to transfer power between intersecting shafts. The teeth of
these gears are formed on a conical surface. Standard bevel gears have teeth which are
cut straight and are all parallel to the line pointing the apex of the cone on which the
teeth are based as shown in Figure 15.23. Spiral bevel gears are also available which teeth
form arcs. Hypocycloid bevel gears are a special type of spiral gear that will allow non-
intersecting, non-parallel shafts to mesh. Straight tool bevel gears are generally
considered the best choice for systems with lower speeds. They become noisy above this
point. One of the most common applications of bevel gears is the differential in
automobiles.

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FIGURE 15.23
Bevel Gears
Advantages: It is an excellent choice for intersecting shaft systems.
Limitations: It cannot be used for parallel shafts and becomes noisy at high speeds.

Hypoid Gears

Hypoid gears resemble spiral bevels, but the axes of the pinion shaft and gear shaft do not
intersect (Figure 15.24). This configuration allows both shafts to be supported at both
ends. In hypoid gears, the meshing point of the pinion with the driven gear is about
midway between the central position of a pinion in a spiral-bevel and the extreme top or
bottom position of a worm. This geometry allows the driving and driven shafts to
continue past each other so that end support bearings can be mounted. These bearings
provide greater rigidity than the support provided by the cantilever mounting used in
some bevel gearing.

FIGURE 15.24
Hypoid Gear
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Worm Gears

If a tooth of a helical gear makes complete revolutions on the pitch cylinder, the resulting
gear is known as a worm. The mating gear is called worm wheel as shown in Figure
15.25. The worm may be a single start, double start, or triple start.

FIGURE 15.25
Worm Gear

RECAP ZONE

Points to Remember

Power transmission is a process to transmit motion from one shaft to another by using some connection
between them like belt, rope, chain, and gears.
Belt, rope, and chain are flexible connectors where ears are rigid connectors.
In belt drive , the velocity of two shafts can be varied by variation of diameter of the pulley on which
belt is mounted.
In chain or gear drive , the velocity of two shafts is varied by variation in the number of teeth on
sprocket and gear, respectively.
The effect of slip is a decrease in the speed of belt on driving shaft and the driven shaft.
When belt passes from slack to tight side, a certain portion of belt extends and again contracts when belt
passes through tight to slack side. Due to fluctuation in length of the belt, there is relative motion
between belt and pulley surface. This relative motion is known as creep.
The open-belt drive is used to provide the same direction of rotation to the driven shaft as the direction
of rotation of the driving shaft.
The cross-belt drive is used to provide reverse direction of rotation to the driven shaft as the direction
of rotation of the driving shaft.
When the velocity of the belt is more than 10 m/sec, the centrifugal force due to self-weight of the belt
becomes predominant.
To overcome the problem of slip in belt drive or rope drive, chain drive is used.
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Gears are compact power transmission device that controls the speed, torque, and direction of rotation
of the driven shaft.
The point of contact between pitch circles of two ears is known as pitch point.
The circle passing through the point of contacts of two gears is known as pitch circle .
The diameter of pitch circle is known as pitch diameter.
Circular Pitch is the distance measured along the circumference of the pitch circle from a Point on one
tooth of the corresponding point on the adjacent tooth.
Dimetral Pitch is the number of teeth per unit length of the pitch circle diameter.
Module is the ratio of pitch diameter to the number of teeth.
Gear ratio is the ratio of a number of teeth on gear and pinion.
Velocity ratio is ratio of angular velocity of the driving gear to driven gear.
Addendum circle is a circle passing through the tips of the teeth.
Addendum is the radial height of tooth above the pitch circle. Its standard value is one module.
Dedendum circle is a circle passing through roots of the teeth.
Face is the tooth surface between the pitch circle and the top land.
Flank is the curved portion of the tooth flank at the root circle.
The angle between the pressure line and the common tangent at the pitch point is known as the pressure
angle or angle of obliquity.
Law of gearing: If angular velocities of two mating gears remain constant, the common normal at the
point of the two teeth should always pass through a fixed point P which divides the line joining the
centers in the inverse ratio of angular velocities of the gears.
A cycloid is the locus of points on the circumference of a circle that rolls without slipping on a fixed
straight line.
An epicycloid is the locus of points on the circumference of a circle that rolls without slipping outside
the circumference of another circle.
A hypocycloid is the locus of points on the circumference of a circle that rolls without slipping inside
the circumference of another circle.
An involutes profile is a plane curve generated by the points on a tangent on a circle which rolls
without slipping or by points on a taught string which is unwrapped from a reel.
Spur gears are the most commonly used gear. They are characterized by teeth which are parallel to the
axis.
Helical gears are similar to the spur gear except that the teeth are at an angle to the shaft, rather than
parallel to its axis as in a spur gear.
Double helical gears have one a right-hand helix and the other a left-hand helix.
Bevel gears are primarily used to transfer power between intersecting shafts. The teeth of these gears
are formed on a conical surface.
Hypoid gears resemble spiral bevels, but the axes of the pinion shaft and gear shaft do not intersect.
If a tooth of a helical gear makes complete revolutions on the pitch cylinder, the resulting gear is known
as a worm. The mating gear is called worm wheel.

Important Formulae

1. Belt drive:
1.
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2. S = S1 + S2 - 0.01S1S2

velocity ratio,

3. Creep:
4. Length of belt in open belt drive:
5. Length of belt in cross belt drive:
6. Ratio of tensions

For flat belt

For V - blet Where α is the angle made by V - section of the belt

7. Effect of centrifugal tension in belt drive: Power

8. Conditions for max. power transmission:

2. Radius of pitch circle in chain drive:

3. Length of chain:
4. Gear drive
1. Diametral pitch

2. Module,
3. Gear ratio,
4. Velocity ratio,

5. Contact ratio (Number of pair of teeth in contact)

REVIEW ZONE

Multiple-choice Questions

1. In a belt drive pulley acts as:

1. Sliding pair
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2. Rolling pair
3. Turning pair
4. None of these
2. When two pulleys are connected by a cross-belt drive, then both the pulleys rotate in:
1. Same direction
2. Opposite direction
3. Not necessary
4. None of these
3. Length of open belt connecting two pulleys of radii r1 and r2 and at a center distance D apart, is:
1. π(r1 + r2) + (r1 − r2)2/D + 2D
2. π(r1 + r2) + (r1 + r2)2/D + 2D
3. π(r1 − r2) + (r1 + r2)2/D + 2D
4. π(r1 + r2) + (r1 − r2)2/D + 2D
4. Length of cross belt connecting two pulleys of radii r1 and r2 and at a center distance D apart, is:
1. π(r1 + r2) + (r1 − r2)2/D + 2D
2. π(r1 + r2) + (r1 + r2)2/D + 2D
3. π(r1 − r2) + (r1 + r2)2/D + 2D
4. π(r1 + r2) + (r1 − r2)2/D + 2D
5. Angle of contact in cross-belt drive in comparison to open belt drive is:
1. More
2. Less
3. Same
4. None
6. Slip in belt drive is difference between:
1. Angular velocities between two pulleys
2. The linear speed of the rim of pulleys and the belt on it
3. The velocities of two pulleys
4. None of these
7. In belt drives, effect of centrifugal tension is:
1. To increase the driving power
2. To decrease the driving power
3. Nor appreciable on driving power
4. None of these
8. If T1 and T2 are tensions on tight and slack side of belt, θ is angle of contact and μ is coefficient of
friction between belt and pulley, then ratio of tension is:
1. T1/T2 = μθ
2. T1/T2 = eμθ
3. T1/T2 = eμθ
4. T1/T2 = e1/μθ
9. For maximum power transmission, the maximum tension Tmax in the belt is equal to:
1. Tc
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2. 2Tc
3. 3Tc
4. Tc/3
10. Creep in belt is due to:
1. The elasticity of belt material
2. Elongation of the belt due to tension
3. Differential elongation of the belt due to the difference in tension on two sides of a pulley
4. Plasticity of belt material
11. Included angle of V-belt is generally:
1. 10° to 20°
2. 20° to 30°
3. 30° to 40°
4. 50° to 60°
12. In designation 6 by 19 rope, 6 and 19 respectively stand for:
1. The diameter of wire rope and number of strands
2. The diameter of wire rope and number of wires
3. Number of wires and number of strands
4. Number of strands and number of wires
13. A chain drive is used for:
1. Short distance
2. Medium distance
3. Long distance
4. Distance is no barrier
14. Silent chain is made of:
1. Links and blocks
2. Links, pins, bushings, and rollers
3. 3 or more roller chains
4. Inverted tooth and overlapping links
15. Wire ropes are used for:
1. Low speeds and low tension
2. Low speeds and high tension
3. High speeds and low tension
4. None of these
16. The ratio of the number of teeth and pitch circle diameter is called:
1. Pitch
2. Circular pitch
3. Diametral pitch
4. Module
17. The circle passing through the bottom of the teeth of gear is known as:
1. Inner circle
2. Base circle
3. Addendum Circle
4. Dedendum circle
18. The circle passing through the top of the teeth of gear is known as:
1. Inner circle
2. Base circle
3. Addendum circle
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4. Dedendum circle
19. Pitch circle diameter of an involute gear is:
1. Independent of any other factor
2. Dependent on the pressure angle
3. Constant for a set of meshing gears
4. Proportional to the base diameter
20. The surface of the gear below the pitch circle is called:
1. Face
2. Flank
3. Bottom tooth
4. Tooth depth
21. Law of the gearing is satisfied if
1. Two surfaces slide smoothly
2. Common normal at the point of contact passes through pitch point on the line joining the centers of
rotation
3. The addendum is greater than dedendum
4. None of these

Fill in the Blanks

1. 22. The slippage does not occur in the belt drive of ____ cross-section.
2. 23. The difference between dedendum and addendum is known as ____.
3. 24. Best profile to obtain resistance against wear is ____.
4. 25. The product of circular pitch and diametral pitch is equal to ____.

Answers

1. b
2. b
3. a
4. b
5. a
6. b
7. c
8. b
9. c
10. c
11. c
12. d
13. a
14. d
15. b
16. c
17. d
18. c
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19. b
20. b
21. b
22. toothed
23. clearance
24. 14½° full depth involute
25. Π

Theory Questions

1. In a flat belt drive prove that

where T1 is tension in tight

side, T2 tension in slackside,

µ is coefficient of friction, θ is angle of lapin radian.

2. What is initial tension in the belt? Explain the effect of centrifugal tension in the belt drive.
3. Find the condition for maximum power transmission in the belt drive.
4. Find the expression for the length of belt in the open belt drive.
5. Find the expression for the length of belt in the cross belt drive.
6. What are the various types of chain drive? Explain with neat sketches.
7. What are the relative merits and demerits of belt, rope and chain drive?
8. State the law of gearing.
9. Define: (i) module, (ii) pressure angle, (iii) pitch point, (iv) addendum, (v) dedendum, (vi) flank,
(vii)face, (viii) circular pitch, (ix) dimetral pitch, and (x) pitch circle.
10. Differentiate involute and cycloidal profiles of gear teeth.
11. Classify the gears and explain them with neat sketches.
12. Explain the phenomena interference and undercutting in gear drive.
13. * Sketch and describe helical and bevel gear and state applications of each.
14. * What is belt drive? Describe briefly types of belt drives.
15. * Explain with a neat sketch worm and worm wheel.
16. * Write the different methods of power transmission?
17. * Explain chain drives and rope drives, and their applications?
18. * Explain belt drives and types of belts used in belt drives?
19. * Enumerate the advantages and disadvantages of gear drives.
20. * Derive an equation for the ratio of tension in the belt drive.
21. * Define slip and creep with respect to belt drives.

Numerical Problems
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1. The speed of a driving shaft is 80 rpm and the speed of the driven shaft is 120 rpm. The diameter of the
driving pulley is given as 600 mm. Find the diameter of the driven pulley in the following cases:
1. If belt thickness is negligible
2. If belt thickness is 5 mm
3. If total slip is 10% (considering thickness of belt)
4. If a slip of 2% on each pulley (considering thickness of belt)
2. Two shafts are arranged parallel to each other at a distance of 8 m. If the pulleys’ diameters mounted on
the shafts are of 600 mm and 1000 mm. Find the ratio of the length of belts for open and cross belt
drives.
3. A leather belt of density 1000 kg/m3, the thickness of 10 mm is used to transmit a power of 10 kW from
a pulley of diameter 1.2 m and running at 250 rpm. Determine the width of the belt taking centrifugal
tension into account. If the angle of the lap is 160° and coefficient of friction between belt and pulley is
0.25. Assuming allowable stress for the leather belt is 1.5 MPa.
4. An open belt drive transmits a power of 5 kW. The linear velocity of the belt is 8 m/sec. The angle of
the lap on the smaller pulley is 165°. The coefficient of friction between belt and pulley is 0.25.
Determine the effect of the following on power transmission.
1. Initial tension in the belt is increased by 5%.
2. The angle of the lap is increased by 5% using, idler pulley for same speed and tension in the tight
side.
3. The coefficient of friction is increased by 5%.
5. The gear 1, mounted on the motor shaft, rotates at 600 rpm. Find the speed of gear 6, mounted on the
output shaft. The number of teeth on each gear are given below as (refer Figure 15.25):

6. An engine turning 250 rev/min drives a 40 cm diameter shaft with the help of belt drive system. If the
diameter of engine pulleys is 60 cm determine the speed of the shaft. How would the shaft speed be
attached if a belt thickness of 10 mm is accounted for?
7. A flat belt is required to transmit 35 kW from a pulley of 1.5 m effective diameter running at 300 rpm.
The angle of contact is spread over 11/24 of the circumference and the coefficient of friction between
belt and pulley is 0.3. The belt thickness is 9.5 mm and its density is 1 100 kg/m3. If the permissible
stress in the belt is 2.5 N/mm2, determine the width of belt required.
8. A V-belt drive transmits 10 kW power at 240 rpm. The grooved pulley has a mean diameter of 1.2 m
and groove angle of 45°. Taking μ = 0.3 and angle of lap equal to radians, determine the tensions on
each side of the belt.

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 16 COUPLINGS, CLUTCHES, AND BRAKES
CHAPTER 16
Couplings, Clutches, and Brakes
Learning Objectives

By the end of this chapter, the student will be able:

To design and demonstrate the application of couplings
To design and demonstrate the different types of clutches and their applications
To design and demonstrate the different types of braking systems and their applications

COUPLINGS

16.1 INTRODUCTION

The term coupling is a device used to connect two shafts together at their ends for
transmitting the power. There are a number of coupling devices used to couple two shafts
but in this chapter, only a few important couplings have been introduced for an
understanding of the students. There are two general types of couplings: (i) rigid, and (ii)
flexible.

16.2 RIGID COUPLING

Rigid couplings are designed to draw two shafts together tightly so that no relative motion
can occur between them. This design is used for some special kinds of equipment in
which precise alignment of two shafts is required. In such cases, the coupling must be
capable of transmitting the torque in the shafts. Rigid couplings should be used only when
the alignment of the two shafts can be maintained very accurately, not only at the time of
installation but also during operation. If significant angular, radial or axial misalignment
occurs, stresses that are difficult to predict and that may lead to early failure due to
fatigue will be induced in the shafts. The load path is from the driving shaft to its flange,
through the bolts, into the mating flange, and out to the driven shaft. The torque places
the bolts in shear.
It consists of two cast iron flanges which are keyed to the shafts to be joined as shown in
Figure 16.1. The flanges are brought together and are bolted in the annular space between
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 16 COUPLINGS, CLUTCHES, AND BRAKES
the hub and the projecting flange. The protective flange is provided to guard the
projecting bolt heads and nuts. The bolts are placed equispaced on a bolt circle diameter
and the number of bolts depends on the shaft diameter d.

FIGURE 16.1
Rigid Flange Coupling
Advantages of Rigid Flange Coupling
1. It has high torque transmission capacity.
2. It is easy to assemble and disassemble.
3. It is a simple design and easy to manufacture.

Disadvantages of Rigid Flange Coupling

1. It cannot tolerate misalignment between two shafts.
2. It can be used only where the notion is free from shocks and vibrations.
3. It requires more space than that of another coupling like muff coupling.

16.3 FLEXIBLE BUSHED COUPLING

In a rigid coupling, the torque is transmitted from one-half of the coupling to the other
through the bolts and in this arrangement, shafts need be aligned very well. However, in
the bushed coupling, the rubber bushings over the pins (bolts) (as shown in Figure 16.2)
provide flexibility and these coupling can accommodate some misalignment. Because of
the rubber bushing, the design for pins should be considered carefully.
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 16 COUPLINGS, CLUTCHES, AND BRAKES

FIGURE 16.2
Flexible Bushed Coupling
Advantages of Flexible Bushed Coupling
1. It can bear 0.5 mm of lateral or axial misalignment and 1.5° of angular misalignment.
2. It prevents transmission of shock from one shaft to the other and absorbs vibrations.
3. It is used for transmission of high torque.
4. It is easy to assemble and disassemble due to the simple design.

Disadvantages of Flexible Bushed Coupling

1. Its cost is higher than the rigid flange coupling.
2. It requires more radial space.

16.4 UNIVERSAL JOINT

To accommodate misalignment between mating shafts for more than the 3°, a universal
joint is used. Angular misalignments of up to 45° are possible at low rotational speeds
with single universal joints. It consists of two yokes, a center bearing block, and two pins
that pass through the block at right angles. Approximately 20 to 30° is more reasonable
for speeds about 10 rpm. Since universal joints have the disadvantage that the rotational
speed of the output shaft is non-uniform in relation to the input shaft. A double universal
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 16 COUPLINGS, CLUTCHES, AND BRAKES
joint allows the connected shafts to be parallel and offset by large amounts as shown in
Figure 16.3. Furthermore, the second joint cancels the non-uniform oscillation of the first
joint so the input and the output rotate at the same speed.

FIGURE 16.3
Universal Joint

CLUTCHES

16.5 INTRODUCTION

Clutch is a device which is used to engage and disengage the driven shaft from driving
shaft during the motion to change the gears meshing without stopping the driving shaft.
Its operation is based on the friction between two surfaces; friction torque is applied by
the driving shaft on the driven shaft.
Clutch may be classified as:
1. Single plate clutch or disc clutch.
2. Multi-plate disc clutch.
3. Conical clutch.
4. Centrifugal clutch.

16.6 SINGLE PLATE CLUTCH

In a single plate clutch, a flywheel ‘A’ is bolted to a flange on the driving shaft B. The
friction plate C is fixed to a hub which can slide on the spline i.e., driven shaft ‘D’. Two
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 16 COUPLINGS, CLUTCHES, AND BRAKES
rings of friction material are riveted to flange ‘A’ and the plate ‘C’. The pressure plate
‘E’ is bushed internally, so as to revolve freely on shaft D and is integrated with
withdrawal force F. A number of spiral springs are arranged around the clutch at ‘S’ as
shown in Figure 16.4 (a), which provides axial thrust between friction surfaces.

FIGURE 16.4
(a) Single Plate Clutch (b) Friction Plate
When the withdrawal force is removed, the spring forces the pressure plate ‘E’ against
the ring G. The friction between the contact surfaces of rings ‘G’ and plate ‘C’ transmits
a torque on ‘D’ and driven shaft starts to rotate.
Let W = axial load on the plate
T = torque transmitted by clutch
P = axial pressure intensity
r1 and r2 = external and internal radii of friction plate

μ = coefficient of friction
Axial force on a small elemental ring of radius r and width dr, δW = P × 2πrdr
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 16 COUPLINGS, CLUTCHES, AND BRAKES
Frictional force, Fr = μδW = μ × P × 2πrdr

Torque, δT = Fr × r = μ × P × 2πrdr × r = μP2πr2dr

Now, there are two conditions: (i) Uniform pressure for new clutch plate, and (ii) uniform
wear for old or weared clutch plate.
Case I: Uniform Pressure

Putting the value of P, we get

where R is mean radius and equals to

Case II: Uniform Wear

or P × r = constant, C

Normal force on the ring

Total force on the friction plate,

or

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 16 COUPLINGS, CLUTCHES, AND BRAKES

Putting the value of C, we get

where R is mean radius and equals to

EXAMPLE 16.1

A single plate disc clutch, both sides effective, has outer and inner radii as 250 mm and
150 mm. The maximum intensity of pressure at any point in the contact surface is not to
exceed 0.1 N/mm2. If the coefficient of friction is 0.25, find the power transmitted by the
clutch at a speed of 3,000 rpm: (i) assuming uniform wear, and (ii) assuming uniform
pressure.
SOLUTION
1. Considering uniform wear

W = P × 2πr2 (r1 − r2) = 0.1N / mm2 × 2π × 150 mm (250 mm − 150 mm)

= 9424.77 N

Mean radius,
Torque, T = n × µ × W × R = 2 × 0.25 × 9424.77 N × 0.2 m = 942.47 Nm.

Power,
2. Considering uniform pressure
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 16 COUPLINGS, CLUTCHES, AND BRAKES
W = P × π (r1 − r2 ) = 0.1N / mm × π((250 mm)2 − (150mm)2 ) = 12566.371N
2 2 2

Mean radius,
Torque, T = n × µ × W × R = 2 × 0.25 × 12566.371N × 0.204 m = 1282.871Nm.

Power,

EXAMPLE 16.2

A single plate disc clutch has both of its sides effective, transmits power at 250 rpm. The
coefficient of friction is 0.25. The outer and inner radii of the friction plate are 100 mm
and 40 mm, respectively. Assuming uniform wear of the clutch, the maximum pressure
intensity is 0.1 N/mm2. If the moment of inertia of the rotating part of the clutch is 8
kgm2, calculate the time to attain the full speed by the machine and the energy lost during
slipping of the clutch.
Assuming uniform pressure, find the intensity of pressure and compare the power
transmitted with uniform wear to that with uniform pressure.
SOLUTION
1. Considering uniform wear

W = P × 2πr2 (r1 − r2 ) = 0.1N / mm2 × 2π × 40 mm (100 mm − 40 mm) = 1507.96 N

Mean radius,
Torque, T = n × µ × W × R = 2 × 0.25 × 1507.96N × 0.07m = 52.774Nm.

Power,

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 16 COUPLINGS, CLUTCHES, AND BRAKES

Also,
Energy loss during slipping period

2. With uniform pressure

Mean radius,
Torque, T = n × µ × W × R = 2 × 0.25 × 1507.96 N × 0.074 m = 56 Nm.

Power,

16.7 MULTI-PLATE DISC CLUTCH

The function of multi-disc clutch is similar to the single plate clutch but the number of
discs in the multi-disc clutch is more than one, i.e., ‘n’ as shown in Figure 16.5.

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 16 COUPLINGS, CLUTCHES, AND BRAKES

FIGURE 16.5
Multi-disc Clutch
Torque for Uniform Pressure

Torque for Uniform Wear

EXAMPLE 16.3

A multi-disc clutch has 4-discs on the driving shaft and 3-discs on the driven shaft. The
outside diameter of the contact surface is 240 mm and inside diameter 160 mm.
Assuming uniform wear and coefficient of friction as 0.25, find the maximum axial
intensity of pressure between the discs for transmission of 20 kW at 1,200 rpm.
SOLUTION
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 16 COUPLINGS, CLUTCHES, AND BRAKES
n1 = 4,n2 = 3.

Number of pair of contact surfaces = n1 + n2 − 1 = 4 + 3 − 1 = 6

Power
Considering uniform wear
W = P × 2πr2 (r1 − r2 )

Mean radius,

Torque,

16.8 CONE CLUTCH

FIGURE 16.6
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 16 COUPLINGS, CLUTCHES, AND BRAKES
Cone Clutch
In cone clutch, the friction surfaces make a cone of an angle 2β (Figure 16.6). The
normal force on the cone is where β is the semi-cone angle. The main
advantage of cone clutch is that the normal force is increased, since sin β ≤ 1.
Torque for Uniform Pressure

Torque for Uniform Wear

EXAMPLE 16.4

A cone clutch having a mean diameter of 200 mm and semi-cone angle of 12.5° transmits
a torque of 200 Nm. The maximum normal pressure at the mean radius is 0.1 N/mm2. The
coefficient of friction is 0.25. Calculate the width of the contact surface. Also, find the
axial force to engage the clutch.
SOLUTION
T = µ × Fa × Rm × cosecβ

Also,

or,

EXAMPLE 16.5
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 16 COUPLINGS, CLUTCHES, AND BRAKES
A cone clutch has a cone angle of 30°. The maximum pressure between contact surfaces
is limited to 0.25 N/mm2 and width of the contact surface is half of the mean radius. Find
the radii of the conical surface to transmit 20 kW at 1500 rpm assuming uniform wear
condition. Coefficient of friction is 0.25.
SOLUTION

Solving Equations (16.1) and (16.2), we get

r1 = 91.28 mm
r2 = 81.92 mm

16.9 CENTRIFUGAL CLUTCH

Centrifugal clutch works on the principle of centrifugal force. When the driving shaft
rotates at high speed, the shoes move radially outward. The outer surfaces of the shoes
are covered with friction material which engages the pulley. Thus, pulley rotates with the
driving shaft. The engagement of shoes with the pulley is shown in Figure 16.7. This type
of clutch is generally used in motor pulley. The spring force resists the centrifugal force,
thus prevents the engagement at a lower speed.

Fc = centrifugal force = mω2r

Fs = Spring force = mω12r
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 16 COUPLINGS, CLUTCHES, AND BRAKES
where ω is the angular speed of the shaft.
Torque, T = F × R = μ.n.( Fc − Fs ).R

where n is a number of shoes.

FIGURE 16.7
Centrifugal Clutch

EXAMPLE 16.6

There are four shoes in a centrifugal clutch. The mass of each shoe is 10 kg and when the
clutch is at rest, the force exerted by spring on the shoe is 400 N. The clearance between
shoe and drum surface is 4 mm. Spring constant is 40 N/mm. The distance of the center
of mass of shoe from the axis is 150 mm. The internal diameter of the drum is 320 mm.
The coefficient of friction is 0.025; find the power transmitted by the clutch at 400 rpm.
SOLUTION
Operating radius, r1 = 150 + 4 = 154 mm.

Centrifugal force,
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 16 COUPLINGS, CLUTCHES, AND BRAKES
where ω is the angular speed of the shaft.
Spring force, Fs = 400 N + Kx = 400 N + 40N / mm × 4mm = 560 N

Tangential frictional force, Ft = µ(Fc − Fs ) = 0.25 × (2702.07 N − 560 N) = 535.51N

T = n × Ft × R = 4 × 535.51N × 0.16 m = 342.73 Nm.

Power transmission

BRAKES

16.10 INTRODUCTION

Brake is a device which is used to bring the body into rest while it is in motion or to hold
a body in a state of rest by applying resisting force. There are four types of brakes as
given below:
1. Block or shoe brake.
2. Band brake.
3. Band and block brake.
4. Internal expanding shoe brake.

16.10.1 Block or Shoe Brake

In this brake, a shoe or block is pressed against the drum. The force can be increased by
using a lever as shown in Figure 16.8. The brake lining for friction is made of softer
materials so that it can be replaced easily after wearing.
Let r = radius of drum
µ = Coefficient of friction

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FIGURE 16.8
Block or Shoe Brakes
RN = Normal reaction on the shoes

P = Force applied on lever

F = Frictional force
In Figure 16.8 (a), taking moment about the pivot for clockwise rotation of drum
P × (l − x) − RN × x + µ × RN × a = 0

or

or

or

For anticlockwise rotation of drum,

In Figure16.8 (b), taking moment about pivot for clockwise rotation of drum
P × l − RN × x − µ × RN × a = 0
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 16 COUPLINGS, CLUTCHES, AND BRAKES

For anticlockwise rotation,

Due to pressure applied by single shoe, there is a side thrust on the shaft of the drum. To
counter balance the side thrust, two shoes may be used opposite to each other. In this
case, braking torque becomes double which is shown in Figure 16.8 (c).

EXAMPLE 16.7

A single block brake as shown in Figure 16.8 (b) has a diameter of brake drum 1.2 m. It
can withstand 250 Nm torque at 500 rpm and coefficient of friction between block and
drum is 0.3. Determine the force required to apply when the drum rotates in (a) clockwise
direction and (b) anticlockwise direction. The angle of contact is 2θ = 30° and x = 140
mm, a = 30 mm, l = 1000 mm.
SOLUTION
For clockwise rotation
P × l − RN × x − µ × RN × a = 0

For anticlockwise rotation

= 182 N
Note: If angle of contact (2θ) is reater than 40° use µ ' in place of µ.

EXAMPLE 16.8

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 16 COUPLINGS, CLUTCHES, AND BRAKES
In a double block spring loaded brake as shown in Figure 16.8 (c) following dimensions
have been given: drum diameter = 600 mm, angle of contact (2θ) = 100°, coefficient of
friction (μ) = 0.3, force applied on the spring = 6 kN, x = 0.5 m, l = 1m, c = 0.1 m. Find
the braking torque applied.
SOLUTION

For left side block

Taking moment about o.
P × l + F (d/2 − c/2) − RN1 × x = 0

or, 6000 N × 1m + 0.336 × RN1 (0.3m − 0.05m) − RN1 × 0.5m = 0

or,
For right side block
P × l - µ' × RN2(d/2 − c/2) − RN2 × x = 0

or, 6000 N × 1m − 0.336 × RN1 (0.3m − 0.05m) + RN1 × 0.5m = 0

or, RN2 = 10273.973N

Maximum braking torque, TB = µ'(RN1 + RN2 ) × r

= 0.336 × (14423.07 N + 10273.973 N ) × 0.3m = 2489.461 Nm

16.10.2 Band Brake

Band brake consists of a band in the form of belt, rope or steel band (Figure 16.9). When
force is applied at the free end of the lever, the brand is pressed against the external
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 16 COUPLINGS, CLUTCHES, AND BRAKES
surface of the drum.
Braking torque, T = (T1 – T2) × r

But where T1 is tension on tight side and T2 is tension in the slack side.

The effectiveness of braking force varies according to the direction of rotation of the
drum, the ratio of length a and b, and the direction of force applied at the end of the
lever.
Case I: when a > b and F acts in downward direction and drum rotates in counter
clockwise direction.

In Figure 16.9 (a), F × l − T1 × a + T2 × b = 0

or
In Figure 7.36 (b), F × l − T1 × a = 0

or

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 16 COUPLINGS, CLUTCHES, AND BRAKES

FIGURE 16.9
Band Brake
In >Figure 7.36 (b), a = b

or
Case II: when a < b and F acts in downward direction and drum rotates in clockwise
direction. In this case, the tensions on the tight side and slack side are reversed, i.e., T2 >
T1 and a > b. Brake will be effective only when T1a > T2b.

When becomes zero or negative, i.e., the brake becomes self-locking.

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 16 COUPLINGS, CLUTCHES, AND BRAKES
Case III: When a < b and F acts in upward direction and drum rotates in counter
clockwise direction.

F × l + T1 × a − T2 × b = 0

or

As T2 < T1 and b > a, brake will be effective only when T2 × b > T1 × a or

If brake becomes self-locking since force required is zero or negative.

Case IV: When a < b and F acts in upward direction and drum rotates in clockwise
direction. T2 > T1 and b > a. when a = b, the band cannot be tightened and thus, the
brake cannot be applied.

EXAMPLE 16.9

In a differential band brake as shown in Figure 16.9 (a), following data are given:
Drum diameter = 1000 mm, a = 50 mm, b = 250 mm, θ = 270°, μ = 0.3, r = d/2 = 5000
mm, F = 500 N, l = 1200 mm. Calculate braking torque.
SOLUTION
1. Since a < b and F acts in downward direction and drum rotates in clockwise direction.

F × l − T1 × a − T2 × b = 0

T1 = 4.111T2

Now, F × l + 4.111T2 × a − T2 × b = 0 or 500 × 1200 + 4.111T2 × 5 − T2 × 250 = 0

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 16 COUPLINGS, CLUTCHES, AND BRAKES
⇒ T2 = 13498.313N

T1 = 55491.564N

Braking torque, TB = (T1 − T2) × r = (55491.564 − 13498.313) × 500 = 20.99 kNm

2. When drum rotates in counter clockwise direction.

F × l − T1 × a − T2 × b = 0 and

or 500 × 1200 + T1 × 50 − 4.111 T1 × 250 = 0

60,000 + T1 (50 − 1027.75) = 0

T1 = 613.65N; T2 = 2522.73N

Braking torque, TB = (T2 − T1 ) × 500 = (2522.73 − 613.65) × 500

= 954.54 Nm

16.10.3 Band and Block Brake

FIGURE 16.10
Band and Block Brake
This is a combination of band and block brake. A number of blocks are mounted on the
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 16 COUPLINGS, CLUTCHES, AND BRAKES
drum and inside the band and brake is applied by pressing the blocks against the drum
with the help of the band. To increase the effectiveness of brake blocks are used under
the band since blocks have a higher coefficient of friction.
Let T0 = Tension in band on slack side

T1 = Tension in band after one block

-----------------------------------------------
-----------------------------------------------

T = Tension in band after nth block

μ = coefficient of friction
Forces on the block are shown in Figure 16.10 (b).
(T1 − T0 )cosθ = µRN and (T1 + T0 )sinθ = RN

or

or

Similarly,
−−−−−−−−

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 16 COUPLINGS, CLUTCHES, AND BRAKES

EXAMPLE 16.10

There are 15 blocks in a band and block brake. Each block subtends 30° angle at center.
The data given for the brake are: radius of drum = 250 mm, block thickness = 50 mm,
coefficient of friction = 0.3, a = 500 mm, b = 40 mm, F = 300 N, l = 1000 mm. Calculate
the braking torque.
SOLUTION

Tn = 11.2T0

Here, a > b, therefore, F should be downward and drum rotates in clockwise direction.
Taking moment about fulcrum, we get

F × l − T0 × a + Tn × b = 0

300 N × l − T0 × 0.5m + 11.2T0 × 0.04 m = 0

Tn = 11.2 × 5769.2N = 64615.3N

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 16 COUPLINGS, CLUTCHES, AND BRAKES
Braking torque, TB = (Tn − T0 ) × (r + t) = (64615.3 N − 5769.2 N)(0.125m + 0.025m)

= 8826.9 Nm

16.10.4 Internal Expanding Shoe Brake

Internal expanding shoe brake has two semicircular shoes which are lined with friction
materials. The outer diameter of the shoe is less than the inner diameter of the drum so
that the drum can rotate freely. When the brake is applied, the shoes expand and press
the inner surface of the drum and resist the motion. Working of internal expanding shoe
brake is shown in Figure 16.11.

FIGURE 16.11
Internal Expanding Shoe Brake
It is used in an automobile. It is self-energizing and good heat dissipative. A hydraulic
pressure is generated in piston-cylinder arrangement. This hydraulic force is applied
equally to both the shoes in the direction shown in Figure 16.11 (a). For counterclockwise
rotation of the drum, the left shoe is primary leading shoe while the right shoe is
secondary or trailing shoe. The pressure at any point A on the surface will be proportional
to its distance l from the pivots.

P ∝ l or P = K1 × l The direction of P is perpendicular to OA.

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 16 COUPLINGS, CLUTCHES, AND BRAKES

Normal pressure, PN = K1 × l × cos(90°− β ) = K1 × l × sin β

l sin β = C sinθ
PN = K1 × C × sinθ = K2 sinθ where K1 × C = K2

The normal pressure will be maximum when θ is equal to 90°. Thus PNmax = K2 = PlN

PlN = Maximum pressure interfaced by leading shoe.

PN = K2 sinθ = PlN sinθ

Let b = width of brake lining

µ = coefficient of friction
consider a small element of brake lininon the leading shoe that makes an angle δθ at the
center.

RlN = Area × Pressure = (rδθ×b)PN = (rδθ×b)PlNsinθ

Taking moment about fulcrum O1, we get

or

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 16 COUPLINGS, CLUTCHES, AND BRAKES

Similarly, taking moment about fulcrum O2, we get

Here, t superscript is used for trailing shoe.

Thus, the maximum pressure intensities on leading and trailing shoes can be determined.

RECAP ZONE

Points to Remember

Coupling is a device used to connect two shafts together at their ends for transmitting the power.
Rigid couplings are designed to draw two shafts together tightly so that no relative motion can occur
between them.
In a flexible coupling, the bushed coupling the rubber bushings over the pins (bolts) provide flexibility
and these coupling can accommodate some misalignment.
To accommodate misalignment between mating shafts for more than the 3°, a universal joint is used.
Angular misalignments of up to 45° are possible at low rotational speeds with single universal joints.
Clutch is a device which is used to engage and disengage the driven shaft from driving shaft during the
motion to change the gears meshing without stopping the driving shaft.
The function of multi-disc clutch is similar to the single plate clutch but the number of discs in the
multidisc clutch is more than one.
In a cone clutch, the friction surfaces make a cone of an angle (2β).
Centrifugal clutch works on the principle of centrifugal force. When the driving shaft rotates at high
speed, the shoes move radially outward.
The outer surfaces of the shoes are covered with friction material which engages the pulley. Thus,

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 16 COUPLINGS, CLUTCHES, AND BRAKES
pulley rotates with the driving shaft. The engagement of shoes with the pulley.
The brake is a device which is used to bring the body into rest while it is in motion or to hold a body in
a state of rest by applying resisting force.
Band brake consists of a band in the form of belt, rope or steel band. When force is applied at the free
end of the lever, the brand is pressed against the external surface of the drum.
Band and Block brake is a combination of band and blocks. A number of blocks are mounted on the
drum and inside the band and brake is applied by pressing the blocks against the drum with the help of
the band.
Internal expanding shoe brake has two semicircular shoes which are lined with friction materials.

Important Formulae

1. Torque on single plate disc clutch

1. Uniform pressure

where R is mean radius and equals to

2. Uniform wear

where R is mean radius and equals to

2. Multi-plate disc clutch
1. Torque for uniform pressure

2. Torque for uniform wear

3. Cone clutch
1. Torque for uniform pressure

2. Torque for uniform wear

4. Centrifugal clutch

Torque, T = F × R = μ.n.(Fc – Fs).R where n is a number of shoes.

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 16 COUPLINGS, CLUTCHES, AND BRAKES

5. Band and block brake:

6. Internal expanding shoe brake

Braking torque;

REVIEW ZONE

Multiple-choice Questions

1. The friction moment in clutches with assumption of uniform wear as compared to uniform pressure is:
1. More
2. Less
3. Same
4. None of these
2. If ϕ be the angle of friction, then radius of friction circle is given by:
1. r
2. r sinϕ
3. r cosϕ
4. None of these
3. Friction radius in comparison to worn-out will be:
1. Same
2. More
3. Less
4. None of these
4. For new clutches and brakes, friction radius is equal to:
1.
2.
3.
4.
5. For uniform wear condition of brakes and clutches, friction radius is equal to:
1.
2.
3.
4.
6. The commonly used angle between the cone surface and horizontal axis for a cone clutch utilizing
leather to asbestos lining is about:
1. 8°
2. 12.5°
3. 20°

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 16 COUPLINGS, CLUTCHES, AND BRAKES
4. 30°
7. In a cone clutch, a given torque can be transmitted by a relatively small axial force if the cone face
angle is:
1. More
2. Less
3. Same
4. Any angle
8. For a block brake, the equivalent coefficient of friction is equal to:

1.

2.

3.

4.
9. The percentage of total brake effort that results from self-energizing action depends on:
1. The location of brake arm pivot point
2. The coefficient of friction
3. The direction of rotation of the brake drum
4. All of the above
10. In order to prevent the brake arm from grabbing, the moment of friction force about the brake arm pivot
point should be:
1. Less than the total required braking effort
2. Greater than the total required braking effort
3. Equal to the total required braking effort
4. None of these
11. Coupling, which prevents transmission of shock from one shaft to another, is known as:
1. Oldham coupling
2. Universal coupling
3. Flexible coupling
4. Jaw coupling
12. In flange coupling, the weakest element is:
1. Flange
2. Bolt
3. Key
4. Shaft
13. A flange coupling is a:
1. Rigid coupling
2. Flexible coupling
3. Both (a) and (b)
4. None of these
14. In flange coupling, the flanges are joined together by:
1. Head less taper bolts
2. Rivets
3. Nuts and bolts
4. Studs
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 16 COUPLINGS, CLUTCHES, AND BRAKES
15. Number of bolts in flange coupling should not be less than:
1. 2
2. 3
3. 4
4. 8
16. A universal coupling is:
1. Rigid coupling
2. Flexible coupling
3. Both (a) and (b)
4. None of these
17. A universal coupling is used to connect:
1. Whose axes intersect at a small angle
2. Which are perfectly aligned
3. Which are not aligned
4. Have lateral misalignment

Answers

1. b
2. b
3. b
4. b
5. a
6. b
7. b
8. a
9. d
10. a
11. c
12. c
13. a
14. c
15. b
16. b
17. a

Theory Questions

1. Explain the advantages and disadvantages of flexible and rigid couplings.

2. Explain the role of clutch in power transmission.
3. Derive the formula for torque transmitted by a single plate disc clutch assuming uniform pressure.
4. Derive the formula for torque transmitted by a cone clutch assuming uniform wear.
5. Which of the two assumptions: uniform pressure and uniform wear would you like to use in designing
friction clutch? Explain the reasons.
6. Describe the working of centrifugal clutch and express the equation for torque transmitted.
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 16 COUPLINGS, CLUTCHES, AND BRAKES
7. What is the use of the braking system in a vehicle? Classify the various types of brakes.
8. Describe the working of internal shoe expanding brake with a neat sketch. Also, derive the expression
for braking torque.
9. Prove in the band-block brake.

10. Differentiate the functions of coupling, clutch, and brake.

11. * What is a brake? Describe an internal expanding shoe brake with a neat sketch and state its
applications.
12. * Explain with a suitable diagram, working principle of disc clutch and band brake.
13. * What is coupling? Explain internal expanding shoe brake with a neat sketch.
14. * What are the different types of couplings? Explain the centrifugal clutch.
15. * What are bearings? Explain with neat sketch worm and worm wheel.
16. * What is brake? How does it differ from clutch? What are various types of clutches? Name type of
clutch is used in scooter and car.
17. * Explain the working of friction clutch with a neat sketch.

Numerical Problems

1. A single plate clutch of both sides effective has outer and inner radii as 300 and 200 mm. The maximum
intensity of pressure at any point in the contact surface should not exceed to 0.1 N/m2. If the coefficient
of friction is 0.3, find the power transmitted by the clutch at the speed of 2500 rpm. Assuming: (i)
uniform wear, and (ii) uniform pressure.
2. A multi-disc clutch has 3-discs on the driving shaft and 2-discs on the driven shaft. Outside radius of the
contact surface is 180 mm and inside radius is 120 mm. Assuming uniform wear and coefficient of
friction is 0.3. Find the maximum axial intensity of pressure between the discs for transmitting 25 kW at
1,500 rpm.
3. A cone clutch has a cone angle of 40°. The maximum pressure between contact surface is limited to 0.3
N/m2 and width of conical surface is half of the mean radius, find the radii of the conical surface to
transmit 30 kW at 2,000 rpm. Assume uniform wear and coefficient of friction as 0.3.
4. There are four shoes in the centrifugal clutch. The mass of each shoe is 5 kg. When the clutch is at rest,
the force exerted by spring on shoes is 200 N. The clearance between shoes and drum is 4 mm. Spring
constant is 25 N/mm. The distance of the center of mass of shoes from the axis is 100 mm. The internal
diameter of the drum of 225 mm. The coefficient of friction of the brake lining is 0.3. Find the power
transmitted by the clutch at 500 rpm.
5. A single block brake, as shown in Figure 16.8 (a), has brake drum diameter of 250 mm. It can withstand
300 Nm torque at 500 rpm. The coefficient of friction between block and drum is 0.25. Determine the
force (P) required to apply when the drum rotates in: (i) clockwise direction, and (ii) counter clockwise
direction. Given: angle of contact (2θ) = 100°, x = 150 mm, a = 40 mm, l = 1000 mm.
6. In a double block brake, as shown in Figure 16.8 (c), has drum radius = 400 mm, angle of contact (2θ) =
30°, coefficient of friction (μ) = 0.25, the force applied on spring = 10 kN, and x = 0.4 m, I = 1 m, and c
= 0.1 m. Find the braking torque applied.
7. In a differential band brake as shown in Figure 16.9 (a), the data are given as: radius = 400 mm, a = 40
mm, b = 200 mm, l = 1,000 mm, θ = 270°, μ = 0.25, F = 600 N. Calculate the braking torque.
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 16 COUPLINGS, CLUTCHES, AND BRAKES
8. In a band and block brake, as shown in Figure 16.10 (a), the data are given as: n = 12, angle subtended
by each block = 30°, radius of drum = 300 mm, block thickness = 40 mm, μ = 0.3, a = 400 mm, b = 40
mm, F = 400 N, l = 800 mm, Calculate the braking torque.
9. Following data are given for internal shoe expanding brake as shown in Figure 16.11 (b): Force on each
shoe = 500 N, internal radius of brake drum (r) = 200 mm, μ = 0.3, width of brake lining (b) = 40 mm, a
= 25 mm, C = 125 mm, θ1 = 40°, and θ2 = 160°. Find the braking torque when the drum rotates in (i)
clockwise direction, and (ii) counter clockwise direction.

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 17 ENGINEERING MATERIALS
CHAPTER 17
Engineering Materials
Learning Objectives

By the end of this chapter, the student will be able:

To understand the properties and compositions of the engineering materials
To demonstrate the mechanical properties of the engineering materials
To describe the alloys of ferrous and non-ferrous materials
To describe the composition and applications of plastics, ceramics, timber, polymer, and composite
materials

17.1 INTRODUCTION

Engineering materials play a vital role in this modern age of science and technology.
Various kinds of materials are used in industry to meet the requirements of human beings.
The selection of a specific material for a particular use is a very complex process.
However, one can simplify the choice if the details about (i) Use parameters, (ii)
manufacturing processes, (iii) functional requirements, and (iv) cost considerations are
known. While selecting materials for engineering purposes, properties such as impact
strength, tensile strength, and hardness indicate the suitability for selection but the design
engineer will have to make sure that the radiography and other properties of the material
are as per the specifications.
In recent years polymeric materials or plastics have gained considerable popularity as
engineering materials. Though inferior to most metallic materials in strength and
temperature resistance, these are being used not only in the corrosive environment but
also in the places where minimum wear is required, e.g. small gear wheels, originally
produced from hardened steels, are now manufactured from Nylon or Teflon. These
materials perform satisfactorily, are quiet and do not require lubrication.

17.2 MECHANICAL PROPERTIES OF ENGINEERING MATERIALS

The important mechanical properties are listed below:

Tensile Strength: This enables the material to resist the application of a tensile force.
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 17 ENGINEERING MATERIALS
The internal structure of the material provides the internal resistance to withstand the
tensile force. Ultimate strength is the unit stress; measures in kgf per square millimeter,
developed in the material by the maximum slowly applied a load that material can
withstand without rupturing in a tensile test.
Shear Strength: It is the ability of a material to resist the shear force applied to the
material. Compressive Strength: It is the ability of a material to withstand pressures acting
on a given plane.
Elasticity: It is the property of material due to which it returns to its original shape and
size after releasing the load. Any material that is subjected to an external load is distorted
or strained. Elastically stressed materials return to their original dimensions when the load
is released.
Hardness: It is the degree of resistance to indentation, scratching, abrasion, and wear.
Alloying techniques and heat treatment help to achieve the same.
Ductility: This is the property of a metal by virtue of which it can be drawn into wires or
elongated before rupture takes place. It depends upon the grain size of the metal crystals.
Malleability: It is the property of a metal to be deformed or compressed permanently
into the sheet without fracture. It shows the ability of the material to be rolled or
hammered into thin sheets.
Impact Strength: It is the energy required per unit cross-sectional area to fracture a
specimen, i.e., it is a measure of the response of a material to shock loading.
Toughness: It is the ability of the material to absorb energy before fracture or rupture. It
may be presented as impact strength of the material.
Brittleness: The term “brittleness” implies sudden failure. It is the property of breaking
without warning, i.e., without visible permanent deformation.
Wear Resistance: The ability of a material to resist friction wear under particular
conditions, i.e., to maintain its physical dimensions when in sliding or rolling contact with
a second member.
Corrosion Resistance: Those metals and alloys which can withstand the corrosive action
of a medium, i.e., corrosion processes proceed in them at a relatively low rate that are
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termed as corrosion-resistant.
Density: This is an important factor of a material where weight and thus the mass is
critical, i.e., aircraft components.

17.3 MECHANICAL TESTING OF ENGINEERING MATERIALS

17.3.1 Tensile Test

Hook’s Law: Hook’s law states that stress and strain are perpendicular to each other
under the elastic limit. Originally, Hooke’s law specified that stress was proportional to
strain but Thomas Young introduction constant of proportionality which is known as
Young’s modulus. Further, this name was superseded by modules of elasticity.

Where E is the modulus of elasticity; σ is stress and ∈ is strain.

Stress–Strain Diagram

The stress-strain diagram can be drawn with the help of a universal testing machine
(UTM). To draw stress-strain diagram a specimen is fixed in the jaws of UTM. A gauge
length of the specimen is fixed according to its diameter. Now, gradually increasing
tensile load is applied to the specimen and extension is recorded by extensometer
corresponding to the load shown by the dial. Two types of the curve are plotted. The
solid line shows engineering stress-strain diagram and the dotted line shows true stress-
strain diagram as shown in Figure 17.1.

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FIGURE 17.1
Stress-strain Diagram for Medium Carbon Steel
A stress-strain diagram is a graph that represents how a part behaves under an increasing
load and is often used by engineers when selecting materials for specific designs. A
stress-strain diagram generally contains three parts:
1. Elastic Deformation – The elastic deformation portion of the stress-strain diagram is generally
represented as a linear relationship between stress and strain. If the load is released while the specimen
is in the elastic deformation zone, it will return to its original dimensions.
2. Plastic Deformation – In the plastic deformation portion of the stress-strain diagram, the specimen
begins to yield. The maximum strength of the specimen occurs in this zone, and the carried load begins
to drop off as the deformation increases. The specimen endures some permanent deformation that
remains after the load is released.
3. Rupture – The point at which a specimen breaks into two parts.

Stress-strain diagrams are generated experimentally through the performance of

controlled tensile tests using precisely fabricated test specimens. The applied load and
displacement are monitored during the test and are used to calculate stress and strain,
respectively.
Proportional Limit (Hooke’s Law): From the origin O to the proportional limit, the
stressstrain curve is linear in nature. This linear relation between elongation and the axial
force was first noticed by Sir Robert Hooke in 1678 and is called Hooke’s Law that
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within the proportional limit, the stress is directly proportional to strain or σ ∝ ∈or σ = k
∈.The constant of proportionality is called the Modulus of Elasticity E or Young’s
Modulus and is equal to the slope of the stress-strain diagram from O to P, i.e., σ = E ∈.
Elastic Limit: The elastic limit is the limit beyond which the material will no longer go
back to its original shape when the load is removed, or it is the maximum stress under
which there is no permanent or residual deformation after removal of this load.
Elastic and Plastic Ranges: The region in the stress-strain diagram from O to P is called
the elastic range. The region from P to R is called the plastic range.
Yield Point: Yield point is the point at which the material will have an appreciable
elongation or yielding without any increase in load.
Ultimate Strength: The maximum ordinate in the stress-strain diagram is the ultimate
strength or tensile strength. Necking starts from this point.
Rapture Strength: Rapture strength is the strength of the material at rupture point. This is
also known as the breaking strength.
Modulus of Resilience: Modulus of resilience is the work done on a unit volume of
material as the force is gradually increased from O to P, in N·m/m3. This may be
calculated as the area under the stress-strain curve from the origin O to up to the elastic
limit E (the shaded area in Figure 17.1). The resilience of the material is its ability to
absorb energy without creating a permanent distortion.
Modulus of Toughness: Modulus of Toughness is the work done on a unit volume of
material as the force is gradually increased from O to R, in N·m/m3. This may be
calculated as the area under the entire stress-strain curve (from O to R). The toughness of
a material is its ability to absorb energy without causing it to break.
Working Stress, Allowable Stress, and Factor of Safety: Working stress is defined as the
actual stress of a material under a given loading. The maximum safe stress that a material
can carry is termed as the allowable stress. The allowable stress should be limited to
values not exceeding the proportional limit. However, since the proportional limit is
difficult to determine accurately, the allowable stress is taken as either the yield point or
ultimate strength divided by a factor of safety. The ratio of this strength (ultimate or yield
strength) to allowable strength is called the factor of safety.

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The relationship between gauge length and cross-sectional area of the tensile test
specimen can be given as where A is an area of cross-section.

17.3.2 Hardness

Hardness means the resistance to penetration. Testing for hardness can be divided into
three categories:
Scratch tests
Rebound tests
Indentation tests

Scratch tests involve comparatively scratching progressively harder materials. Mohs

hardness scale is used for the test. Diamond, the hardest material, is assigned a value of
10. Decreasing values are assigned to other minerals, down to 1 for the soft mineral, talc.
Decimal fractions are used for materials intermediate between the standard ones. Where
a material lies on the Mohs scale is determined by a simple manual scratch test. If two
materials are compared, the harder one is capable of scratching the softer one, but not
vice versa. This allows materials to be ranked as to hardness, and decimal values between
the standard ones are assigned as a matter of judgment.
Rebound test employs techniques to assess the resilience of material by measuring
changes in potential energy. For example, the Sceleroscope hardness test employs a
hammer with a rounded diamond tip. This hammer is dropped from a fixed height onto
the surface of the material being tested. The hardness number is proportional to the
height of rebound of the hammer with the scale for metals being set so that fully
hardened tool steel has a value of 100. A modified version is also used for polymers.
Indentation tests produce a permanent impression in the surface of the material. The
force and size of the impression can be related to a quantity (hardness), which can be
related to the resistance of the material to permanent penetration. Because the hardness
is a function of the force and size of the impression, the pressure (stress) used to create
the impression can be related to both the yield and ultimate strengths of materials.
Several different types of hardness tests have evolved over the years. These include
macro hardness tests such as Brinell, Vickers, and Rockwell and microhardness tests such
as Knoop and Tukon.
1. Brinell Hardness Test: In this test, a steel ball is used with a relatively large force. The force is
usually obtained different for different materials. The Brinell hardness number is obtained by dividing

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the applied force, P, in kg, by the actual surface area of the indentation which is a segment of a sphere.

Where D is the diameter of the ball in mm, d is the diameter of the indentation at the
surface in mm, and t is the depth of the indentation from the surface.
Brinell hardness is good for averaging heterogeneities over a relatively large area,
thus lessening the influence of scratches or surface roughness. However, the large
ball size precludes the use of Brinell hardness for small objects or critical components
where large indentations may promote failure. Another limitation of the Brinell
hardness test is that because of the spherical shape of the indenter ball, the BHN for
the same material will not be the same for different loads if the same size ball is used.
Thus, geometric similitude must be imposed by maintaining the ratio of the
indentation load and indenter.

The load on the ball depends on its diameter. The ratio of load and square of ball

diameters are different for different materials, for example, for steel for

copper and for aluminum

2. Vickers Hardness Test: In Vickers hardness test, the principle of operation is same as in Brinell
hardness test. However, a four-sided diamond pyramid is implied as an indenter rather than a ball to
promote geometric similarity of indentation regardless of indentation load (Figure 17.2). The included
angle between the faces of the pyramid is 136°. The resulting Vickers indentation has a depth, h equal to
1/7 of the indentation size (L) measured on the diagonal. The Vickers hardness is obtained by dividing
the applied force by the surface area of the impression.

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FIGURE 17.2
Vickers Hardness Test

where P is the indentation load which typically ranges from 0.1 to 1 kg but may be as
high as 120 kg, L is the diagonal of the indentation in mm and a is the included angle
of 136°. The main advantage of the Vickers hardness is that the result is independent
of load. However, disadvantages are that it is somewhat slow since careful surface
preparation is required. In addition, the result may be prone to personal error in
measuring the diagonal length along with interpretation.
3. Rockwell Hardness Test: The Rockwell test is the most commonly used hardness test. In this test,
penetration depth is measured, with the hardness reported as the inverse of the penetration depth. A
two-step procedure is used. The first step “sets” the indenter in the material and the second steps the
actual indentation test. The conical diamond or spherical indenter tips produce indentation depths, the
inverse of which is used to display hardness on the test machine directly. The reported hardness is in
arbitrary units, but the Rockwell scale which identifies the indentation load and indenter tip must be
reported with the hardness number. Rockwell scales include those in Table 17.1.

Table 17.1: Rockwell scale and major loads

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17.4 IMPACT TEST

The behavior of a material is also dependent on the rate at which the load is applied. For
example, low-carbon steel shows a considerable increase in yield strength with increasing
rate of strain. In addition, increased work hardening occurs at high strain rates. This result
in reduced local necking, hence, a greater overall material ductility occurs. In design
applications, impact situations are frequently encountered, such as cylinder head bolts, in
which it is necessary for the part to absorb a certain amount of energy without failure. In
the static test, this energy absorption ability is called “toughness” and is indicated by the
modulus of rupture. A similar “toughness” measurement is required for dynamic loadings;
this measurement is made with a standard impact test known as the Izod or Charpy test.
When using one of these impact tests, a small notched specimen is broken in flexure by a
single blow from a swinging pendulum. With the Charpy test, the specimen is supported
as a simple beam, while in the Izod it is held as a cantilever. Figure 17.3 shows standard
configurations for Izod and Charpy impact tests.
A standard Charpy impact machine is used. This machine consists essentially of a rigid
specimen holder and a swinging pendulum hammer for striking the impact blow. Impact
energy is simply the difference in potential energies of the pendulum before and after
striking the specimen. The machine is calibrated to read the fracture energy in N-m or J
directly from a pointer, which indicates the angular rotation of the pendulum after the
specimen has been fractured. Similarly, Izod test is performed but the specimen is kept in
the cantilever position.

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FIGURE 17.3
(a) Charpy Test (b) Izod Test

17.5 CLASSIFICATION OF ENGINEERING MATERIALS

Common engineering materials may be classified into one of the following seven groups:
1. Metals (ferrous and non-ferrous) and alloys
2. Ceramics
3. Organic polymers
4. Composites
5. Semi-conductors
6. Biomaterials
7. Advanced materials

Broadly, metallic materials are of two kinds—ferrous and non-ferrous materials. Ferrous
materials are those in which iron (Fe) is the principal constituent. All other materials are
categorized as non-ferrous materials.

17.5.1 Ferrous Metals

In ferrous materials, the main alloying element is carbon (C). Depending on the amount
of carbon present, these alloys will have different properties, especially when the carbon
content is either less/higher than 1.5%. This amount of carbon is specific as below this
amount of carbon, the material undergoes a eutectoid transformation, while above that
limit ferrous materials undergo a eutectic transformation. Thus the ferrous alloys with less
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than 1.5% C are termed as steels and the ferrous alloys with higher than 2-4% C are
termed as cast irons.
On the basis of the percentage of carbon and their alloying elements present, these can be
classified into following groups:
Low Carbon Steel: It contains up to 0.3% carbon and 1% manganese. Since its microstructure consists
of ferrite and pearlite so it is relatively softer than the other carbon steel. It cannot be hardened by heat
treatment. But it has good ductility and toughness. Mild steel (Carbon % 0.15–0.3) due to its good
strength, high machinability, and weldability property is an extensively used engineering material. It is
used as different structural sections (channel, angles, etc.), sheets, automobile components, etc.
Medium Carbon Steels: These contain carbon between 0.3% and 0.6%. The strength of these materials
is high but their weldability is comparatively less. Due to higher C%, it can be heat treated to get higher
hardness. It is used as railway track and wheels, crankshafts, gears, etc.
High Carbon Steels: These contain carbon varying from 0.65% to 1.5%. These materials get hard and
tough by heat treatment and their weldability is poor. The steel formed in which carbon content is up to
1.5%, silica up to 0.5%, and manganese up to 1.5% along with traces of other elements is called plain
carbon steel.
Cast Irons: The carbon content in these substances vary between 2% and 4%. The cost of production of
these substances is quite low and these are used as ferrous casting alloys.
Gray Cast Iron: These alloys consists carbon in form graphite flakes, which are surrounded by either
ferrite or pearlite. Because of the presence of graphite, fractured surface of these alloys look grayish
and so is the name for them. The alloying addition of Si (1–3 wt%) is responsible for decomposition of
cementite, and also high fluidity. Thus castings of intricate shapes can be easily made. Due to graphite
flakes, gray cast irons are weak and brittle. However, they possess good damping properties, and thus
typical applications include: base structures, bed for heavy machines, etc. they also show high
resistance to wear.
White Cast Iron: When Si content is low (<1%) in combination with faster cooling rates, there is no
time left for cementite to get decomposed, thus most of the brittle cementite retains. Because of the
presence of cementite, the fractured surface appears white, hence the name. They are very brittle and
extremely difficult to machine. Hence their use is limited to wear resistant applications such as rollers
in rolling mills. Usually, white cast iron is heat treated to produce malleable iron.
Nodular (or Ductile) Cast Iron: Alloying additions are of prime importance in producing these
materials. Small additions of Mg/Ce to the gray cast iron melt before casting can result in graphite to
form nodules or sphere-like particles. Matrix surrounding these particles can be either ferrite or pearlite
depending on the heat treatment. These are stronger and ductile than gray cast irons. Typical
applications include pump bodies, crankshafts, automotive components, etc.
Malleable Cast Iron: These formed after heat treating white cast iron. Heat treatments involve heating
the material up to 800–900°C, and keep it for long hours, before cooling it to room temperature. High
temperature incubation causes cementite to decompose and form ferrite and graphite. Thus these
materials are stronger with appreciable amount of ductility. Typical applications include: railroad,
connecting rods, marine, and other heavy-duty services.

Alloy Steel

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The common alloying elements are Chromium, Nickel, Molybdenum, Tungsten, Cobalt,
Copper, Manganese, Silicon, and Sulfur, Phosphorous, etc. Depending on the percentage
of alloying elements, mechanical properties like strength, hardness corrosion, etc.
changes under different operating conditions.

Effect of Alloying Elements

Some common alloying elements with their effects are discussed below:
Manganese (Mn) – When Manganese percentage exceeds a normal percentage (1.65%)
in steel, then the steel is known as Manganese steel. Manganese up to 1.95% improves
hardness, tensile strength, and hot working property. More than 2% addition of the
Manganese, the steel becomes brittle. It is used as axles, connecting rods, gears, etc.
Silicon (Si) – The steel having more than 0.6% Si is known as Silicon steel. It acts as
deoxidizer and graphitizer. As it dissolves in ferrite so it is not carbide former. It has high
magnetic permeability but very low hysteresis loss. It is extensively used in electrical
industries. Steel with 0.5% C and 3–4% Si is used to make a motor, transformer cores.
This is known as transformer steel. More than 4% Si makes the steel brittle.
Sulfur (S) – Small amount (about 0.05%) Sulfur is present in normal steel. When this %
increases to 0.33% it becomes easily machinable and known as free cutting steel.
Phosphorus (P) – Small amount (about 0.05%) is present in normal steel. If it is
increased to 0.12% in low carbon steel then it improves strength, hardness, corrosion
resistance, machine ability, etc. It has been assumed that the iron pillar at Kutub Minar at
Delhi is corrosion free due to high contents of phosphorus in the steel.
Nickel (Ni) – When added up to 5% it improves static and impact load bearing
properties. Higher % of Nickel addition improves corrosion resistance. Steels with 1.5–
3% Ni are suitable for loco boilers, railway axles, etc.
Chromium (Cr) – Chromium addition in plain carbon steel improves hardenability,
strength, wear resistance, corrosion, and red hot resistance if added more than 4% it
improves corrosion resistance. Chromium improves hardenability so heavy a section to be
hardened contains Cr. It is the prime constituent in stainless steel apart from Nickel. It is
widely used in tool steel.
Tungsten (W) – The steel retains its hardness at a higher temperature with addition of
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tungsten as an alloy. It is a strong carbide former. Tungsten carbide is extremely hard and
stable. It improves wear and abrasive resistance in steel. It retards softening of Martensite
during tempering and gives hot hardness. So is commonly added to make tool and hot-
working die steel. In High-Speed Steel (HSS), it is added up to 18%.
Molybdenum (Mo) – The steel becomes more wear resistant with the addition of
Molybdenum. Its red hot hardness is high as compared to Carbon steel as Molybdenum
Carbide can withstand higher temperature as compared to iron carbide. It is used to make
aircraft components, pressure vessels, and springs. 5% Mo is added in some HSS steel.
Vanadiun (V) – It improves red hot hardness, fatigue resistance and wear resistance
property. Vanadium carbide has the highest hardness and wear resistance property
amongst alloying elements added to steel. 2% Vanadium is added in some HSS.

17.5.2 NON-FERROUS METALS

These substances are composed of metals other than iron. However, these may contain
iron in small proportion. Seven non-ferrous materials are available in sufficient quantity
reasonably at low cost and used as common engineering metals. These are aluminum, tin,
copper, nickel, zinc, and magnesium. Some other non-ferrous metals, about 14 in number,
are produced in relatively small quantities but these are of vital importance in modern
industry. These include chromium, mercury, cobalt, tungsten, vanadium, molybdenum,
antimony, cadmium, zirconium, beryllium, niobium, titanium, tantalum, and manganese.
Aluminum Alloys: Aluminum alloys have high thermal and electrical conductivity and
good corrosion resistant characteristics. As Al has FCC crystal structure, these alloys are
ductile even at low temperatures and can be formed easily. However, the great limitation
of these alloys is their low melting point (660°C), which restricts their use at elevated
temperatures. The strength of these alloys can be increased by both cold and heat
treatment – based on these alloys are designated into two groups, cast and wrought. Chief
alloying elements include Cu, Si, Mn, Mg, Zn. Recently, alloys of Al and other low-
density metals like Li, Mg, Ti gained much attention as there is much concern about
vehicle weight reduction. Al-Li alloys enjoy much more attention especially as they are
very useful in aircraft and aerospace industries. Common applications of Al alloys
include beverage cans, automotive parts, bus bodies, aircraft structures, etc. Some of the
Al alloys are capable of strengthening by precipitation, while others have to be
strengthened by cold work or solid solution methods.
Copper Alloys: As history goes by, bronze has been used for thousands of years. It is
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actually an alloy of Cu and Sn. Unalloyed Cu is soft, ductile thus hard to machine, and
has the virtually unlimited capacity for cold work. One special feature of most of these
alloys is their corrosion resistant in diverse atmospheres. Most of these alloys are
strengthened by either cold work or a solid solution method. Common most Cu alloys:
Brass, alloys of Cu and Zn where Zn is substitution addition (e.g., yellow brass, cartridge
brass, Muntz metal, gilding metal); Bronze, alloys of Cu and other alloying additions like
Sn, Al, Si, and Ni. Bronzes are stronger and more corrosion resistant than brasses.
Mention has to be made about beryllium coppers who possess a combination of relatively
high strength, excellent electrical and corrosion properties, wear resistance, can be cast,
hot worked and cold worked. Applications of Cu alloys include costume jewellery, coins,
musical instruments, electronics, springs, bushes, surgical and dental instruments,
radiators, etc.
Magnesium Alloys: The most sticking property of Mg is its low density among all
structural metals. Mg has HCP structure, thus Mg alloys are difficult to form at room
temperatures. Hence Mg alloys are usually fabricated by casting or hot working. As in the
case of Al, alloys are cast or wrought type, and some of them are heat treatable. Major
alloying additions are Al, Zn, Mn, and rare earth. Common applications of Mg alloys
include hand-held devices like saws, tools, automotive parts like steering wheels, seat
frames, electronics like casing for laptops, camcorders, cell phones, etc.
Titanium Alloys: Ti and its alloys are of relatively low density, high strength and have a
very high melting point. At the same time, they are easy to machine and forge. However,
the major limitation is Ti’s chemical reactivity at high temperatures, which necessitated
special techniques to extract. Thus these alloys are expensive. They also possess
excellent corrosion resistance in diverse atmospheres and wear properties. Common
applications include space vehicles, airplane structures, surgical implants, and petroleum
and chemical industries.
Refractory Metals: These are metals of very high melting points. For example Nb, Mo,
W, and Ta. They also possess high strength and high elastic modulus. Common
applications include space vehicles, X-ray tubes, welding electrodes, and where there is a
need for corrosion resistance.

17.5.3 Plastics

Common organic materials are plastics and synthetic rubbers, which are termed as
organic polymers. Other examples of organic materials are wood, many types of waxes
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and petroleum derivatives. Organic polymers are prepared by polymerization reactions, in
which simple molecules are chemically combined into long chain molecules or three-
dimensional structures. Organic polymers are solids composed of long molecular chains.
These materials have low specific gravity and good strength. The two important classes of
organic polymers are:
Thermoplastics: On heating, these materials become soft and hardened again upon cooling, e.g., nylon,
polyethene, etc.
Thermosetting Plastics: These materials cannot be resoftened after polymerization, e.g., urea-
formaldehyde, phenol formaldehyde, etc. Due to cross-linking, these materials are hard, tough, non-
swelling and brittle. These materials are ideal for molding and casting into components. They have
good corrosion resistance. The excellent resistance to corrosion, ease of fabrication into desired shape
and size, fine lustre, light weight, strength, rigidity have established the polymeric materials and these
materials are fast replacing many metallic components. PVC (Polyvinyl Chloride) and polycarbonate
polymers are widely used for glazing, roofing, and cladding of buildings. Plastics are also used for
reducing the weight of mobile objects, e.g., cars, aircraft, and rockets. Polypropylenes and polyethene
are used in pipes and manufacturing of tanks.

Thermoplastic films are widely used as lining to avoid seepage of water in canals and
lagoons. To protect the metal structure from corrosion, plastics are used as surface
coatings. Plastics are also used as main ingredients of adhesives. The lower hardness of
plastic materials compared with other materials makes them subjective to attack by
insects and rodents. Because of the presence of carbon, plastics are combustible. The
maximum service temperature is of the order of 100°C. These materials are used as
thermal insulators because of lower thermal conductivity. Plastic materials have a low
modulus of rigidity, which can be improved by the addition of filters, e.g., glass fibers.
Natural rubber, which is an organic material of biological origin, is a thermoplastic
material. It is prepared from a fluid, provided by the rubber trees. Rubber materials are
widely used for tire of automobiles, insulation of metal components, toys and other
rubber products.
Timber: Timber is general name of wood. It is composite of cellulose and lignin.
Cellulose fibers are strong in tension and are flexible. Lignin works as a binding material
to bind the fibers and give them stiffness. It has applications in many engineering works
and has been used common construction materials. It has advantages over other
engineering materials as easily available, strongest among cellular materials, easy
processing, light weight, good surface finish, and inexpensive.

17.5.4 Abrasive Materials

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Abrasives are hard, non-metallic, sharp-edged and irregular shaped materials used to
remove a small amount of materials by cutting action. It may be used in bonded form or
as free particles. It is employed in grinding, polishing, super finishing, buffing, honing
operations. Commonly used abrasives are alumina (Al2O3), Silicon carbide (SiC), Cubic
boron nitride (CBN), and diamond.

17.5.5 Ceramics

Ceramics are compound of metallic and nonmetallic materials. It has properties of high
compressive strength, low thermal expansion, high elasticity, high hardness, high wear
resistance, and low electrical and thermal conductivity. Ceramics are used for tiles,
pottery, sanitary wares (Porcelain). The raw materials used for ceramics are clay having a
fine sheet-like structure, Kaolin (silicate of aluminum) used as clay, flint, and feldspar.

17.5.6 Silica

It is available in abundance in nature in the form of quartz. Most of the glasses contain
more that 50% of silica. It is also used in electric materials to increase the magnetic
permeability of the materials. It may be used in the form of silicates of various materials
as clay, asbestos, mica, glasses, etc.

17.5.7 Glasses

It is a super cooled amorphous material. It consists of more than 50% silica and other
additives such as oxides of aluminum, sodium, calcium, magnesium, titanium, lithium,
lead, and potassium. It has applications is windows, containers, lighting instruments,
cookware, etc. The availability of various types of glasses is soda-lime glass, lead alkali
glass, borosilicate glass, etc.

RECAP ZONE

Points to Remember

Tensile strength enables the material to resist the application of a tensile force.
Shear strength is the ability of a material to resist the shear force applied to the material.
Compressive strength is the ability of a material to withstand pressures acting on a given plane.
Elasticity is the property of material due to which it returns to its original shape and size after releasing
the load.
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Hardness is the degree of resistance to indentation, scratching, abrasion, and wear. Alloying techniques
and heat treatment help to achieve the same.
Ductility is the property of a metal by virtue of which it can be drawn into wires or elongated before
rupture takes place. It depends upon the grain size of the metal crystals.
Malleability is the property of a metal to be deformed or compressed permanently into the sheet without
fracture. It shows the ability of the material to be rolled or hammered into thin sheets.
Impact strength is the energy required per unit cross-sectional area to fracture a specimen, i.e., it is a
measure of the response of a material to shock loading.
Toughness is the ability of the material to absorb energy before fracture or rupture. It may be presented
as impact strength of the material.
Brittleness implies sudden failure. It is the property of breaking without warning, i.e., without visible
permanent deformation.
Wear resistance is the ability of a material to resist friction wear under particular conditions, i.e., to
maintain its physical dimensions when in sliding or rolling contact with a second member.
Hook’s law states that stress and strain are perpendicular to each other under the elastic limit.
Originally, Hooke’s law specified that stress was proportional to strain but Thomas Young introduction
constant of proportionality, which is known as the Young Modules. Further, this was superseded by
modules of elasticity.
In ferrous materials, the main alloying element is carbon (C). Depending on the amount of carbon
present, these alloys will have different properties, especially when the carbon content is either
less/higher than 1.5%. Gray cast iron alloys consist carbon in form graphite flakes, which are
surrounded by either ferrite or pearlite.
The carbon content in cast iron varies between 2% and 4%.
Organic polymers are prepared by polymerization reactions, in which simple molecules are chemically
combined into long chain molecules or three-dimensional structures.
On heating, thermoplastics become soft and hardened again upon cooling, e.g., nylon, polyethene, etc.
Thermosetting plastics cannot be resoftened after polymerization, e.g., urea-formaldehyde,
phenolformaldehyde, etc.
Timber is general name of wood. It is composite of cellulose and lignin. Cellulose fibers are strong in
tension and are flexible. Lignin works as a binding material to bind the fibers and give them stiffness.
Ceramics are compound of metallic and non-metallic materials. It has properties of high compressive
strength, low thermal expansion, high elasticity, high hardness, high wear resistance, and low electrical
and thermal conductivity.
Abrasives are hard, non-metallic, sharp-edged, and irregular shaped materials used to remove a small
amount of materials by cutting action.
Silica is available in abundance in nature in the form of quartz.
Glass is a super cooled amorphous material. It consists of more than 50% silica and other additives
such as oxides of aluminum, sodium, calcium, magnesium, titanium, lithium, lead, and potassium.

REVIEW ZONE

Multiple-choice Questions

1. Ability of material to resist deformation due to stress is known as:

1. Toughness
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 17 ENGINEERING MATERIALS
2. Stiffness
3. Plasticity
4. Hardness
2. Ability of material to resist fracture due to high impact load is known as:
1. Toughness
2. Stiffness
3. Plasticity
4. Hardness
3. Ability of material to absorb energy in the plastic range is known as:
1. Resilience
2. Stiffness
3. Plasticity
4. Hardness
4. Ability of material to undergo large permanent deformation in tension is known as:
1. Toughness
2. Stiffness
3. Ductility
4. Hardness
5. Property of material due to which they can be drawn into wire is known as:
1. Toughness
2. Stiffness
3. Ductility
4. Hardness
6. Ability of material to retain permanent deformation is known as:
1. Toughness
2. Stiffness
3. Plasticity
4. Hardness
7. Property of material due to which it can be rolled or hammered into thin sheets is known as:
1. Toughness
2. Stiffness
3. Malleability
4. Hardness
8. Ability of material to resist penetration by another material is known as:
1. Toughness
2. Stiffness
3. Plasticity
4. Hardness
9. Hardness can be defined as resistance to:
1. Wear
2. Local penetration
3. Scratching
4. All of the above
10. When a body recovers its original dimensions on removing the external load, it is known as:
1. Elastic
2. Plastic
3. Brittle
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 17 ENGINEERING MATERIALS
4. None of these
11. Cast Iron is a:
1. Ductile material
2. Malleable material
3. Brittle material
4. None of these
12. Silicon steel is widely used in:
1. Cutting tools
2. Connecting rod
3. Electrical industry
4. Chemical industry
13. Thermosetting plastics are the materials that:
1. Become soft on the application of heat and can be molded again
2. Do not become hard with the application of heat and pressure and no chemical change occurs
3. Set permanently with heat and pressure and cannot be deformed when again subject to heat
4. None of these
14. Thermoplastics are the materials that:
1. Become soft on the application of heat and can be molded again
2. Do not become hard with the application of heat and pressure and no chemical change occurs
3. Set permanently with heat and pressure and cannot be deformed when again subject to heat
4. None of these
15. Moh’s scale is used in connection with:
1. The composition of the metal
2. The hardness of the material
3. Wear criterion of metals
4. The tensile strength of metals
16. An amorphous material is:
1. Mica
2. Lead
3. Rubber
4. Glass
17. Polyesters belong to the group of:
1. Thermoplastic
2. Thermosetting plastic
3. Phenolics
4. PVC
18. Brinell hardness number is equal to:

1.

2.

3.

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 17 ENGINEERING MATERIALS

4.
19. Vicker’s Pyramid Number (VPN) is equal to:

1.

2.

3.
4. None of these
20. Knoop Harness Number (KHN) is equal to:

1.

2.

3.

4.
21. Composite materials are:
1. Made mainly to improve temperature resistance
2. Used for improved optical properties
3. Made with strong fibers embedded in weaker and softer matrix to obtain strength better than the
strength of matrix.
4. Made with strong fibers embedded in weaker and softer matrix to obtain strength better than the
strength of both matrix and filler.
22. Ceramic materials are:
1. Good conductors of electricity
2. Basically crystalline oxides or metals
3. Inorganic compounds of metallic and non-metallic elements
4. None of the above

Answers

1. b
2. a
3. a
4. c
5. c
6. c
7. c
8. d
9. d
10. a
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 17 ENGINEERING MATERIALS
11. c
12. c
13. c
14. b
15. b
16. d
17. b
18. d
19. c
20. c
21. c
22. c

Theory Questions

1. Explain the mechanical properties of engineering materials in brief.

2. Explain the experimental set up of tensile testing of steel.
3. Explain the methods to measure the hardness of a material.
4. How do you measure the toughness of a material? Explain the experimental methods used to measure the
same.
5. Classify the engineering materials and explain the application and constituents of some of the important
ferrous and non-ferrous materials.
6. Write short notes on: (i) Timber, (ii) composite materials, (iii) glass, and (iv) plastics.
7. * What are different classes of cast iron? What are their properties and applications?
8. * What is plain carbon steel? Give the classification of plain carbon steels and their important
properties and uses.
9. * Define the following terms: (i) Toughness, (ii) Hardness, (iii) Normalizing, and (iv) Case hardening.
10. * Define the following mechanical properties: (i) Strength, (ii) Hardness, (iii) Ductility, and (iv)
Toughness.
11. * Define elasticity, rigidity, hardness, fatigue, ductility, brittleness.
12. * Define ferrous and non-ferrous materials with their properties and suitable application.
13. * Enlist physical properties of engineering materials
14. * How can engineering materials be classified?
15. * What is ferrous metal? Write a note on stainless steel. Write down its application.
16. * Differentiate between ferrous and non-ferrous materials.
17. * Define composite materials, write down its practical applications.
18. * What is alloy? Write down its application.
19. * Explain applications of composites.
20. * Define composite material. How are composites classified?

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 18 MECHANICAL MEASUREMENT
CHAPTER 18
Mechanical Measurement
Learning Objectives

By the end of this chapter, the student will be able:

To demonstrate the use of temperature measurement instruments
To demonstrate the use of pressure measurement instruments
To demonstrate the use of force measurement instruments
To demonstrate the use of flow measurement instruments
To demonstrate the use of linear and angular measurement instruments

18.1 INTRODUCTION

In order to produce components, the manufacturer has to know whether the components
meet the required dimensional and accuracy standards. Companies carrying out
maintenance activities also need to know that the components they are working with,
repairing or servicing are to the required size and accuracy. Measurement plays an
important role in establishing these needs and supports other areas of assuring quality in
the products produced. The process of finding out whether a product is accurate and to
dimensional standards also needs to be done in an efficient and effective way. The aim of
this chapter is to provide a broad understanding of mechanical measurement that applies
to a range of engineering applications such as measurement of temperature, velocity,
flow, force, torque, strain, etc. Also, some tools for linear and angular measurements
have been introduced in this chapter.

18.2 TEMPERATURE MEASUREMENT

Temperature of a body shows a degree of hotness with respect to reference body. There
are a number of temperature measurement systems, some of them are: thermocouples,
resistive temperature devices (RTDs and thermistors), infrared radiators, bimetallic
devices, liquid expansion devices, and change-of-state devices, etc.

18.2.1 Thermocouple

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When two conductors made from dissimilar metals are connected forming two common
junctions and the two junctions are exposed to two different temperatures, a net thermal
emf (electromagnetic force) is produced, the actual value is dependent on the materials
used and the temperature difference between hot and cold junctions. The thermoelectric
emf generated, in fact, is due to the combination of two effects: Peltier effect and
Thomson effect. As temperature goes up, this output emf of the thermocouple rises
(though not necessarily linearly).

18.2.2 Resistance Temperature Devices (RTD)

Resistive temperature devices works on the principle that the electrical resistance of
material changes with its temperature. There are two key types of the devices: RTD and
thermistors. It is well known that resistance of metallic conductors increases with
temperature, while that of semiconductors generally decreases with temperature.
Resistance thermometers employing metallic conductors for temperature measurement
are called Resistance Temperature Detector (RTD), and those employing semiconductors
are termed as Thermistors. As their name indicates, RTDs rely on resistance change in a
metal, with the resistance rising more or less linearly with temperature. Thermistors are
based on resistance change in a ceramic semiconductor; the resistance drops nonlinearly
with temperature rise. The variation of resistance of metals with temperature is normally
modeled in the form:

R1 = R0 [1 + a (t – t0)]

where R0 and R1 are resistance at temperature t and t0, respectively.

18.2.3 Infrared Temperature Measurement Devices

Infrared sensors are non-contacting devices. They infer temperature by measuring the
thermal radiation emitted by a material.

18.2.4 Bimetallic Temperature Measurement Devices

Bimetallic devices work on the principle that different materials have a different rate of
thermal expansion. Strips of two metals are bonded together. When heated, one side will
expand more than the other, and the resulting bending is translated into a temperature
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 18 MECHANICAL MEASUREMENT
reading by mechanical linkage to a pointer. These devices are portable and they do not
require a power supply, but they are usually not as accurate as thermocouples or RTDs
and they do not readily lend themselves to temperature recording.

18.2.5 Fluid-expansion Temperature Measurement Devices

Fluid-expansion devices can be divided into two main classes: the mercury type and the
organic-liquid type. Versions employing gas instead of liquid are also available. Mercury
is considered an environmental hazard, so there are regulations governing the shipment of
devices. Fluid-expansion sensors do not require electric power, do not pose explosion
hazards, and are stable even after repeated cycling. On the other hand, they do not
generate data that is easily recorded or transmitted, and they cannot make spot or point
measurements. A typical glass thermometer is shown in Figure 18.1.

FIGURE 18.1
Glass Thermometer

18.2.6 Change-of-state Temperature Measurement Devices

Change-of-state temperature sensors consist of labels, pellets, crayons, lacquers or liquid

crystals whose appearance changes once a certain temperature is reached. They are used,
for instance, with steam traps when a trap exceeds a certain temperature, a white dot on a
sensor label attached to the trap will turn black. Response time typically takes minutes, so
these devices often do not respond to transient temperature changes and accuracy is
lower than with other types of sensors.

18.3 PRESSURE MEASUREMENT

Pressure is force per unit area on a surface. There are some relative terms such as gauge
pressure, atmospheric pressure and absolute pressure those can be understood easily with
the Figure 18.2.
Gauge Pressure: It is the pressure relative to atmospheric pressure. Gauge pressure is
positive for pressures above atmospheric pressure and negative for pressures below it.
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 18 MECHANICAL MEASUREMENT
Absolute Pressure: It is the sum of gauge pressure and atmospheric pressure.

Pabs = Pgauge + Patmospheric

FIGURE 18.2
Relative Terms of Pressure

18.3.1 Manometers

Manometers are differential pressure sensors. A differential pressure sensor measures the
difference between a pressure being applied to it and a reference pressure (often
atmospheric pressure). The U-tube manometer consists of a clear glass or plastic tube
shaped into the form of a ‘U’. The tube is partially filled with a liquid, such as water,
alcohol, or mercury. The lower density of the liquid results in a higher sensitivity of the
manometer. A pressure difference across the tube causes the liquid to shift position. The
change in position can be measured to give the pressure. It is best suited to static pressure
measurement. Difficult to use for small pressure changes, unsuitable for very large
pressures.
In Figure (a), the pressure of the fluid can be measured as:

P = ρgh2; where ρ is liquid density in manometer.

In Figure (b), the pressure difference between two fluids can be measured as:
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 18 MECHANICAL MEASUREMENT

P1 − P2 = ρgz2; if D » d

FIGURE 18.3
Manometer Measuring the Pressure of a Fluid, (b) Manometer Measuring the Pressure
Difference between Two Fluids, and (c) Inclined Tube Manometer
In Figure (c), The pressure of the fluid in Inclined manometer can be measured as:

P = ρgz2 = ρgh sin θ

18.3.2 Bourdon Tube Pressure Gauge

The Bourdon tube pressure gauge, named after Eugène Bourdon, is a very popular
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 18 MECHANICAL MEASUREMENT
pressure sensor. Basic Bourdon tubes are made from metal alloys such as stainless steel
or brass. They consist of a tube of the elliptical or oval cross-section, sealed at one end.
There are various shapes of Bourdon tube, including helical, spiral, and twisted. A
common design is the C-shape, as shown in the Figure 18.4. When increased pressure is
applied to the open end, it deflects outwards (tries to straighten) in proportion to the
pressure inside the tube (the outside of the tube remains at atmospheric pressure). As the
pressure is decreased, the tube starts to return to its atmospheric pressure position.

FIGURE 18.4
(a) Working of Bourdon Tube Pressure Gauge and (b) Bourdon Tube Pressure Gauge
The Bourdon tube pressure gauge, shown here, consists of a Bourdon tube connected to a
pointer. The pointer moves over a calibrated scale. When pressure is applied, the
movement of the tube is fairly small, so to increase the movement of the pointer it is
mechanically amplified. This is usually by a connecting mechanism consisting of a lever,
quadrant, and pinion arrangement.’

18.3.3 Low Pressure Measurement

1. Pirani Gauge

The Pirani gauge is a roughing pressure vacuum gauge. It uses the thermal
conductivity of gases to measure pressure. The Pirani gauge head is based around a
heated wire placed in a vacuum system, the electrical resistance of the wire is
proportional to its temperature. At atmospheric pressure, gas molecules collide with
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 18 MECHANICAL MEASUREMENT
the wire and remove heat energy from it (effectively cooling the wire). As gas
molecules are removed (when the system is pumped down) there are fewer molecules
and therefore fewer collisions. Fewer collisions mean that less heat is removed from
the wire and so it heats up. As it heats up, its electrical resistance increases. A simple
circuit utilizing the wire detects the change in resistance and, once calibrated, can
directly correlate the relationship between pressure and resistance. This effect only
works in the pressure region from the atmosphere to approx. 10-3 mbar. Therefore
other types of gauge (Ion Gauge) have to be used to measure pressures lower than
this.

2. Ion Gauges

When operating below the Pirani gauge range, an ion gauge can be used to measure
pressure. The ion gauge consists of three distinct parts; the filament, the grid, and the
collector. The filament produces electrons by thermionic emission. A positive charge
on the grid attracts the electrons away from the filament; they circulate around the
grid passing through the fine structure many times until eventually, they collide with
the grid. Gas molecules inside the grid may collide with circulating electrons. The
collision can result in the gas molecule being ionized. The collector inside the grid is
negatively charged and attracts these positively charged ions. Likewise, they are
repelled from the positive grid at the same time. The number of ions collected by the
collector is directly proportional to the number of molecules inside the vacuum
system. By this method, measuring the collected ion current gives a direct reading of
the pressure.

18.4 VELOCITY MEASUREMENT

18.4.1 Velocity Measurement of Fluid with Pitot Tube

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 18 MECHANICAL MEASUREMENT

FIGURE 18.5
Velocity Measurement with Pitot Tube
The arrangement for measuring fluid velocity using a Pitot tube is shown in Figure 18.5.
The Pitot tube consists of a bent tube of small diameter with a rounded nose. The Pitot
tube is connected to one limb of a U-tube manometer. The other limb of the manometer is
connected to a tap made on the tube wall. The tube tap and the nose of the Pitot tube are
roughly in the same plane. It is assumed that the wall tap senses the static pressure p of
the fluid while the Pitot tube senses the stagnation pressure po of the fluid. From
Bernoulli principle, we get

Where ρ is the density (constant in the case of low-speed flow) of the fluid whose
velocity is being measured. In the case of gas flow, the temperature also needs to be
measured since the density is a function of static pressure and temperature. With ρm as
the density of the manometer liquid, the pressure difference is given by:

18.4.2 Hot Wire Anemometer

A hot wire anemometer involves the heat that is dissipated by a hot wire to an ambient
fluid passing it. For a fixed wire temperature, the heat dissipation from the wire will be
larger with a larger velocity of the fluid. Alternately, for a fixed heat dissipation rate from
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 18 MECHANICAL MEASUREMENT
the wire, the wire temperature will be smaller with a larger velocity of the fluid. Thus, a
hot wire anemometer is a thermal device and the velocity information is converted to
thermal either by temperature change or change in the heat dissipation rate information.

18.5 FLOW MEASUREMENT

Flow measurement is the quantification of the volume of fluid movement. Flow can be
measured in a number of ways. Positive displacement flow meters accumulate a fixed
volume of fluid and then count the number of times the volume is filled to measure flow.
Other flow measurement methods rely on forces produced by the flowing stream as it
overcomes a known construction, to indirectly calculate flow. Flow may be measured by
measuring the velocity of fluid over a known area. The common types of flowmeters that
find industrial applications can be listed as below:
1. Obstruction type (differential pressure or variable area),
2. Inferential (turbine type),
3. Electromagnetic,
4. Positive displacement (integrating),
5. fluid dynamic (vortex shedding),
6. Anemometer,
7. ultrasonic, and
8. Mass flowmeter (Coriolis).

Obstruction or head type flowmeters are of two types: differential pressure type and
variable area type. Orifice meter, Venturimeter, Pitot tube fall under the differential
pressure type, while rotameter is of the variable area type. In all the cases, an obstruction
is created in the flow passage and the pressure drop across the obstruction is related to
the flow rate.

18.5.1 Flow Measurement Through Velocity of Fluid Over Known Area

Hydrodynamically, there are two types: laminar and turbulent. Whether a flow is viscous
or turbulent can be decided by Reynold’s number RD. If RD > 2,000, the flow is turbulent
otherwise laminar. In the present case, we will assume that the flow is turbulent, that is
the normal case for practical situations. Let us consider the fluid flow through a closed
channel of variable cross section, as shown in Figure 18.6. Let the pressure, velocity,
cross-sectional area and height above the datum be expressed as p1, v1, A1, and z1 for
section 1 and the corresponding values for section 2 be p2, v2, A2 and z, respectively. We
also assume that the fluid flowing is incompressible.
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 18 MECHANICAL MEASUREMENT

FIGURE 18.6
Turbulent Flow through a Channel
From Bernoulli’s Equation

where ρ is the specific weight of the fluid.

For z1 = z2

Since flow is incompressible, hence v = A1V1 = A2V2 ⇒ V1/V2 = A2/A1

Thus,

or
where k is ratio of diameters at section 2 and 1.

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 18 MECHANICAL MEASUREMENT

Volume of flow,

18.5.2 Orificemeter

FIGURE 18.7
Orificemeter
In orificemeter, an orifice plate is placed in the pipeline, as shown in Figure 18.7. If d1
and d2 are the diameters of the pipeline and the orifice opening, then the flow rate can be
obtained as:

Volume of flow,
Where Cd is known as coefficient of discharge; its value ranges from 0.6 to 0.7.

18.5.3 Rotameter

The orificemeter and similar devices such as Venturimeter and flow nozzle work on the
principle of constant area variable pressure drop. Here the area of obstruction is constant,
and the pressure drop changes with flow rate. On the other hand, Rotameter works as a
constant pressure drop variable area meter. It can be only be used in a vertical pipeline.
Its accuracy is also less than the other types of flow meters. But it is simple in
construction, ready to install and the flow rate can be directly seen on a calibrated scale,
without the help of any other device, e.g. differential pressure sensor, etc.
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 18 MECHANICAL MEASUREMENT
The construction of a rotameter is shown in Figure 18.8. It consists of a vertical pipe,
tapered downward. The flow passes from the bottom to the top. There is cylindrical type
metallic float inside the tube. The fluid flows upward through the gap between the tube
and the float. As the float moves up or down there is a change in the gap, as a result
changing the area of the orifice. In fact, the float settles down at a position, where the
pressure drop across the orifice will create an upward thrust that will balance the
downward force due to the gravity. The position of the float is calibrated with the flow
rate.

FIGURE 18.8
Rotameter
From orificemeter:

Volume of flow,
Let us consider the upward and downward forces on the float are Fu and Fd respectively.
The apparent weight of float is W.
Now,

W = Fu − Fd
or W = Vf (ρ1 − ρ2) = Af (p1 – p2)

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 18 MECHANICAL MEASUREMENT
where ρ1 and ρ2 are specific weights of float and fluid.

or,

Now, volume of flow,

Here, A2 = Athroat – Afloat

18.6 STRAIN MEASUREMENT

The proper design of load carrying components such as shafts, pressure vessels, and
support structures for machines requires information about the distribution of forces
within the particular component. The experimental analysis of stress is accomplished by
measuring the deformation of a part under load and inferring the existing state of stress
from the measured deflections.

FIGURE 18.9
Stress Analysis
Consider the rod in Figure 18.9. Stress is the internal distribution of force per unit area
that balances and reacts to external loads applied to a body. If the rod has a
crosssectional area of A, and the load is applied only along the axis of the rod, the normal
stress is defined as:

(The detail of stress-strain analysis has already been mentioned in Chapter 17, Article
17.3.1)
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 18 MECHANICAL MEASUREMENT
18.6.1 Strain Gauge

There are several methods of measuring strain; the most common is a strain gauge, a
device whose electrical resistance varies in proportion to the amount of strain produced
in the device. For example, the piezoresistive strain gauge is a semiconductor device
whose resistance varies nonlinearly with strain produced. The most widely used gauge is
the bonded metallic strain gauge. The metallic strain gauge consists of a very fine wire or,
more commonly, metallic foil arranged in a grid pattern. The grid pattern maximizes the
amount of metallic wire or foil subject to strain in the parallel direction (Figure 18.10).
The cross-sectional area of the grid is minimized to reduce the effect of shear strain and
Poisson Strain. The grid is bonded to a thin backing, called the carrier, which is attached
directly to the test specimen. Therefore, the strain experienced by the test specimen is
transferred directly to the strain gauge, which responds with a linear change in electrical
resistance. Strain gauges are available commercially with nominal resistance values from
30 to 3000 Ω, with 120, 350, and 1000 Ω being the most common values.
It is very important that the strain gauge is properly mounted onto the test specimen so
that the strain is accurately transferred from the test specimen, though the adhesive and
strain gauge backing, to the foil itself. Manufacturers of strain gauges are the best source
of information on the proper mounting of strain gauges.

FIGURE 18.10
Bonded Metallic Strain Gauge
A fundamental parameter of the strain gauge is its sensitivity to strain, expressed
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 18 MECHANICAL MEASUREMENT
quantitatively as the gauge factor (GF). Gauge factor is defined as the ratio of fractional
change in electrical resistance to the fractional change in length (strain):

The Gauge Factor for metallic strain gauges is typically around 2.

18.7 FORCE MEASUREMENT

Load Cell: Force can be measured easily from a load cell. Weighbridge is one of the most
common applications of the load cell. Here two strain gauges are fixed so as to measure
the longitudinal strain, while two other measuring the transverse strain, as shown in
Figure 18.11. The strain gauges, measuring the similar strain (say, tensile) are placed in
the opposite arms, while the adjacent arms in the bridge should measure opposite strains
(one tensile, the other compression). If the strain gauges are identical in characteristics,
this will provide not only the perfect temperature coefficient but also maximum
obtainable sensitivity from the bridge.

FIGURE 18.11
Load Cell with Four Strain Gauges
The longitudinal strain developed in the load cell would be compression in nature and is
given by:

where F is the force applied, A is the cross-sectional area and Y is Young’s

modulus of elasticity.
The strain gages 1 and 3 will experience this strain, while for 2 and 4 the strain will be
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 18 MECHANICAL MEASUREMENT

Where v is poisson’s ratio

18.7.1 Cantilever Beam

Cantilever beam can be used for measurement up to 10 kg of weight. One end of the
cantilever is fixed, while the other end is free; the load is applied at this end, as shown in
Figure 18.12. The strain developed at the fixed end is given by the expression:

FIGURE 18.12
Cantilever Beam
where l = Length of the beam
t = Thickness of the cantilever
b = Width of the beam
E = Young’s modulus of the material
The strain developed can be measured by fixing strain gages at the fixed end: two on the
top side of the beam, measuring tensile strain + ε and two on the bottom measuring
compression strain – ε as shown in Figure 18.12. The elasticity of material (E), length (L),
width (b), thickness (t) are already known; thus, after finding the strain using strain gauge
we can calculate force F.

18.8 TORQUE MEASUREMENT

A torque is a vector product of force and radial distance that measures the tendency of a
force to rotate an object about an axis or center. A dynamometer is a device for
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 18 MECHANICAL MEASUREMENT
measuring mechanical force, or power, transmitted by a rotating shaft. Since power is the
product of torque and angular speed, all power-measuring dynamometers are essentially
torque measuring devices; the shaft speed is measured separately.
Power-measuring dynamometers may be transmission dynamometers or absorption
dynamometers. The former utilize devices that measure torque, in terms of the elastic
twist of the shaft or of a special torque-meter inserted between sections of the shaft. The
torque is produced by the useful load that the prime mover, motor, or machine is
carrying. Absorption dynamometers, on the other hand, produce the torque that they
measure by creating a constant restraint to the turning of a shaft by either mechanical
friction, fluid friction, or electromagnetic induction.

18.8.1 Prony Brake Dynamometer

A Prony brake (Figure 18.13) develops mechanical friction on the periphery of a rotating
pulley by means of brake blocks that are squeezed against the wheel by tightening the
bolts until the friction torque F.R. balances the torque W.L.

FIGURE 18.13
Prony Brake Dynamometer

Torque, T = F × R = W × L

18.8.2 Rope Brake Dynamometer

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 18 MECHANICAL MEASUREMENT
Rope brake dynamometer consists of a rope wound round the rim of the pulley fixed to
the shaft of the engine whose torque is to be measured. The upper end of the rope is
attached to a spring balance of stiffness S and the lower end of the rope is attached with a
load W as shown in Figure 18.14. If the diameters of pulley and ropes be D and d
respectively, the torque can be measured as:

FIGURE 18.14
Rope Brake Dynamometer

18.8.3 Torque Measurement by Pointer and Scale

Suppose the angle of twist on the shaft due to the application of torque T is θ, which can
be directly read by pointer and scale. The value of torque applied is directly related to the
angle of twist as:

Where, L is the length of the shaft;

J is polar moment of inetrtia; and
G is modulus of rigidity of shaft material.
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 18 MECHANICAL MEASUREMENT

J is function of shaft diameter

FIGURE 18.15
Torque Measurement by Pointer and Scale

18.9 MEASUREMENT ERRORS

No measurement is exact. When a quantity is measured, the outcome depends on the

measuring system, the measurement procedure, the skill of the operator, the environment,
and other effects. Even if the quantity were to be measured several times, in the same
way, and in the same circumstances, a different measured value would, in general, be
obtained each time, assuming that the measuring system has sufficient resolution to
distinguish between the values. The dispersion of the measured values would relate to
how well the measurement is made. Their average would provide an estimate of the true
value of the quantity that generally would be more reliable than an individual measured
value. The dispersion and the number of measured values would provide information
relating to the average value as an estimate of the true value. However, this information
would not generally be adequate.
There are three types of errors which must be considered:
1. Spurious errors (human mistakes and instrument malfunctions
2. Random errors (experimental and reading errors)
3. Systematic errors (which may be either constant or variable)

Spurious errors are errors which invalidate a measurement. They are like outliers. They
cannot be incorporated into a statistical analysis. Random errors are an error that affects
the reproducibility of the measurement. The mean random error of a summarized
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discharge over a period is expected to decrease when the number of discharge
measurements during the period increases. Mean random error approaches zero over a
long period of measurement. Systematic errors are errors which cannot be reduced by
increasing the number of measurements. Whenever there is an evidence of a systematic
error of a known sign, the mean error should be added or subtracted from the measured
results.

18.10 UNCERTAINTIES OF MEASUREMENT

Uncertainty of measurement is the doubt that exists about the result of any measurement.
You might think that well-made rulers, clocks, and thermometers should be trustworthy,
and give the right answers. But for every measurement, even the most careful, there is
always a margin of doubt. In everyday speech, this might be expressed as ‘give or take’,
for example:. a stick might be two meters long ‘give or take a centimeter’.

18.11 VERNIER CALIPERS

Vernier calipers are used for more accurate measurement than that of a slide caliper. It
can measure internal and external dimensions, and it can also be used as a depth gauge
and height gauge. Vernier calipers are available with metric and imperial graduations. A
sample of vernier caliper is shown in Figure 18.16 with the name of different parts. Figure
18.16 also shows the ways of three different types of measurement such as measuring
external dimension, internal dimension, and depth measurement.

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 18 MECHANICAL MEASUREMENT
FIGURE 18.16
Vernier Caliper
A vernier caliper consists of the main scale and vernier scale. Each division on the main
scale is of 1 mm length. The vernier scale is 49 mm long and divided into 50 equal
divisions. The length of each division on vernier scale is 49/50 mm. The difference
between one division on main scale and one division on vernier scale is (1-49/50) = 1/50
or 0.02 mm. To read the measurement, note the main scale measurement immediately
preceding the zero line on vernier scale. For example, the zero of the vernier scale
immediately precedes 40 mm. To this (40 mm) must be added the decimal reading on the
vernier scale. Note the line on the vernier scale which is exactly coincident with a line on
the main scale. Suppose 10th line on vernier scale coincides with a line on the main scale.
So the reading is 40 mm plus 10 divisions of 0.02 mm. Total length will be 40 mm + 10 ×
0.02 = 40.2 mm. Thus, the measurement can be done as:

Total length = Main Scale reading + Vernier Scale reading × Least Count
Precautions in use of vernier calipers:
1. The following precautions must be taken in using the vernier calipers.
2. Store calipers in separate containers provided.
3. Keep graduations and markings on all calipers clean and legible.
4. Do not drop any caliper. Small nicks or scratches can cause inaccurate measurements.
5. Protect caliper points from damage.

18.12 MICROMETER OR SCREW GAUGE

A micrometer also known as a screw gauge is a device consist of a calibrated screw and
used for precise measurement of small length. The first ever micrometric screw was
invented by William Gascoigne in the 17th century, as an enhancement of the vernier; it
was used in a telescope to measure angular distances between stars and the relative sizes
of celestial objects. There may be three different types micrometers such as outside
micrometer (used to measure wires, spheres, shafts, and blocks), inside micrometer (used
to measure the diameter of holes), and depth micrometer measures (used to measure
depths of slots and steps). Universal micrometer sets come with interchangeable anvils,
such as flat, spherical, spline, disk, blade, point, and knife-edge. The term universal
micrometer may also refer to a type of micrometer whose frame has modular
components, allowing one micrometer to function as outside micrometer, depth
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 18 MECHANICAL MEASUREMENT
micrometer, step micrometer, etc.
Micrometers use the principle of a screw to amplify small distances into large rotations of
the screw that are big enough to read from a scale. The accuracy of a micrometer derives
from the accuracy of the thread-form. The amount of rotation of the screw can be
directly and precisely correlated to a certain amount of axial movement, through the
constant known as the screw’s lead. A screw’s lead is the distance it moves forward
axially with one complete turn (360°). With an appropriate lead and major diameter of
the screw, a given amount of axial movement will be amplified in the resulting
circumferential movement. For example, if the lead of a screw is 1 mm, but the major
diameter (here, outer diameter) is 10 mm, then the circumference of the screw is 10π, or
about 31.4 mm. Therefore, an axial movement of 1 mm is amplified to a circumferential
movement of 31.4 mm. This amplification allows a small difference in the sizes of two
similar measured objects to correlate to a larger difference in the position of a
micrometer’s thimble.
In a micrometer, the position of the thimble is read directly from scale markings on the
thimble and shaft as shown in Figure 18.17. A vernier scale is often included, which
allows the position to be read to a fraction of the smallest scale mark.

FIGURE 18.17
Micrometer
A micrometer is composed of following components:

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 18 MECHANICAL MEASUREMENT
Frame: The C-shaped body that holds the anvil and barrel in constant relation to each
other. It is thick because it needs to be rigid to minimize expansion and contraction,
which may distort the measurement. The frame is heavy and consequently has a high
thermal mass, to prevent substantial heating up by the holding hand/fingers. It is often
covered by insulating plastic plates which further reduce heat transference. If we hold the
frame long enough so that it heats up by 10°C, then the increase in the length of any 10
cm linear piece of steel is of magnitude 1/100 mm. For micrometers, this is their typical
accuracy range. Micrometers typically have a specified temperature, 20°C [68°F], at
which the measurement is correct.
Anvil: The shiny part that the spindle moves toward, and that the sample rests against.
Sleeve or Barrel: The stationary round part with the linear scale on it. Sometimes vernier
markings.
Lock Nut or Lock-ring: The knurled part (or lever) that one can tighten to hold the
spindle stationary, such as when momentarily holding a measurement.
Screw: This is known as the heart of the micrometer. It is inside the barrel.
Spindle: The shiny cylindrical part that the thimble causes to move toward the anvil.
Thimble: The part with graduated markings that one’s thumb turns.
Ratchet Stop: Device on end of the handle that limits applied pressure by slipping at a
calibrated torque.

18.12.1 Measurement Procedure

The spindle of an ordinary metric micrometer has 2 threads per mm, and thus one
complete revolution moves the spindle through a distance of 0.5 mm. The longitudinal
line on the frame is graduated with 1 mm divisions and 0.5 mm subdivisions. The thimble
has 50 graduations, each being 0.01 mm (one-hundredth of a mm). Thus, the reading is
given by the number of mm divisions visible on the scale of the sleeve plus the particular
division on the thimble which coincides with the axial line on the sleeve.
Suppose that the thimble was screwed out so that graduation 8, and one additional 0.5
subdivision were visible (as shown in the image), and that graduation 32 on the thimble
coincided with the axial line on the sleeve. The reading then would be 8.00 + 0.5 + 0.32
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 18 MECHANICAL MEASUREMENT
= 8.82 mm.
The spindle of an inch-system micrometer has 40 threads per inch, so that one turn moves
the spindle axially 0.025 inch (1 ÷ 40 = 0.025), equal to the distance between two
graduations on the frame. The 25 graduations on the thimble allow the 0.025 inch to be
further divided so that turning the thimble through one division moves the spindle axially
0.001 inch (0.025 ÷ 25 = 0.001). Thus, the reading is given by the number of whole
divisions that are visible on the scale of the frame, multiplied by 25 (the number of
thousandths of an inch that each division represents), plus the number of that division on
the thimble which coincides with the axial zero line on the frame.

18.13 DIAL GAUGE OR DIAL INDICATOR

The dial gauge or dial indicator consists of a small clock and a stylus probe as shown in
Figure 18.18. Very small pressure on the stylus probe in upward direction results in
rotation of pointer, i.e., the linear movement of the stylus is converted into angular
movement of the pointer. Thus, this device is used to measure the linear vertical
movement and to determine the errors in a geometrical form such as ovality, out of
roundness, lobed form, taper, etc and the surface errors such as parallelism, squareness,
alignment, etc. The dial is divided into 100 divisions. One complete revolution of the
indicator corresponds to 1 mm linear movement of the stylus. Thus each division on the
dial indicates a movement of 0.01 mm. The indicator is set to zero, initially, at a certain
reference surface, and the instrument or the surface to be measured is brought into
contact with a stylus. The movement of the indicator can be directly read from the dial.

18.14 SLIP GAUGES

Slip gauges are used as measuring blocks. It is also called as precision gauge blocks. They
are made of hardened alloy steel of rectangular cross-section. The surfaces of slip gauges
are made to a high degree of accuracy. The distance between the two opposite faces
indicates the size of the gauge. But all slip gauges are made to same thickness to perform
wringing. Wringing or Sliding is nothing but combining the faces of slip gauges one over
the other. Due to adhesion property of slip gauges, they will stick together. This is
because of very high degree of surface finish of the measuring faces. They are used in
comparators and sin bars. They are mainly used as a testing and calibrating instruments in
metrology. Different sets of slip gauges are manufactured in standard sets of 32 pieces,
45 pieces, 88 pieces, etc. A set of 45 pieces of slip gauges is shown in Figure 18.19. A slip
gauge set of 56 pieces is made up as follows: 9 slips 1.001 to 1.009 in steps of 0.001 mm;
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 18 MECHANICAL MEASUREMENT
9 slips 1.01 to 1.09 in steps of 0.01 mm; 9 slips 1.1 to 1.9 in steps of 0.1 mm; 25 slips 1 to
25 in steps of 1 mm; 3 slips 25 to 75 in steps of 25 mm; and one slip of 1.0005 mm.

FIGURE 18.18
(a) Mechanism of Working of Dial Gauge and (b) Dial Gauge

18.14.1 Classification of Slip Gauges

Slip gauges are classified into various types according to their use as follows: (a) Grade 2,
(b) Grade 1, (c) Grade 0, (d) Grade 00, and (e) Calibration grade.
1. Grade 2: It is a workshop grade slip gauges used for setting tools, cutters and checking dimensions
roughly.
2. Grade 1: The grade I is used for precise work in tool rooms.
3. Grade 0: It is used as inspection grade of slip gauges mainly by inspection department.
4. Grade 00: Grade 00 mainly used in high precision works in the form of error detection in instruments.
5. Calibration grade: The actual size of the slip gauge is calibrated on a chart supplied by the
manufacturer.

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 18 MECHANICAL MEASUREMENT

FIGURE 18.19
Slip Gauge Box with 45 Pieces of Slip Gauges

18.14.2 Applications of Slip Gauge

1. They are used in the tool room and machine shop for the calibration of precision measurements.
2. They are used in sine bars for measuring the angle.
3. They are used to set other measuring instruments such as snap gauges.
4. They can be used as auxiliary measuring system on a milling machine.

18.15 SINE BAR

A sine bar is a tool used to measure angles of a block or metal working. It consists of a
hardened steel body with two precision ground cylinders fixed at the ends. The distance
between the centers of the cylinders is precisely controlled, and the top of the bar is
parallel to a line through the centers of the two rollers as shown in Figure 18.20. The
dimension between the two rollers is chosen to be a whole number and treated as the
hypotenuse of a triangle. Generally, the center distance between two cylindrical rollers is
10 inch or 100 mm sine bar (however, 5-inch sine bar is also used).

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 18 MECHANICAL MEASUREMENT
FIGURE 18.20
Sine Bar

FIGURE 18.21
Sine Bar Measuring the Inclination Angle of a Workpiece
When a sine bar is placed on a flat surface, the top edge will be parallel to that surface. If
one roller is raised by a certain distance using gauge blocks, then the top edge of the bar
will be tilted by the same amount forming an angle that may be calculated by the
application of the sine rule. Angles are measured using a sine bar with the help of gauge
blocks and a dial gauge or a spirit level. For example, to measure the angle of a wedge,
the sine bar is placed on a horizontal surface plate. The wedge is clamped over the sine
bar with an inclined surface on the top. At this position, the top surface of the wedge is
inclined with respect to surface plate. Using slip gauges, the top surface of the wedge is
made horizontal. The sine of the angle of inclination of the wedge is the ratio of the
height of the slip gauges used and the distance between the centers of the cylinders as
shown in Figure 18.21

where q is an inclination angle, h is height of slip gauges, and l is distance between rollers
of sine bar.

18.16 COMBINATION SET

Combination set is a measuring tool which is frequently used in fitting and machine shop.
It consists of a square head, center head, bevel protector, sprit-level, and graduated steel
rule. Therefore it is known as a combination set as shown in Figure 18.22. The square
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 18 MECHANICAL MEASUREMENT
head having two edges at 90° and 45° with steel rule can slide and is located at any
position. This feature makes it possible to measure and mark the angle from 45° to 90°
with respect to rule. Center head is used to determine the center of a round workpiece. It
has two arms set at right angle to each other and is positioned on the graduated rule in
such a manner that this angle is divided into two equal parts by the edge of the rule. The
angular measurement can be done by bevel protector attached with the graduated rule. It
can be moved along the edge of steel rule and locked in any position. A sprit level is also
used in combination set to check the level of the work with reference to scale edge.

FIGURE 18.22
Combination Set

RECAP ZONE

Points to Remember

The temperature of a body shows a degree of hotness with respect to reference body.
When two conductors made from dissimilar metals are connected forming two common junctions and
the two junctions are exposed to two different temperatures, a net thermal emf (electromagnetic force) is
produced, the actual value is dependent on the materials used and the temperature difference between
hot and cold junctions.
Resistive temperature devices work on the principle that the electrical resistance of material changes
with its temperature.
Infrared sensors are non-contacting devices. They infer temperature by measuring the thermal radiation
emitted by a material.
Fluid-expansion devices can be divided into two main classes: the mercury type and the organic-liquid
type.
Pressure is force per unit area on a surface.
Manometers are differential pressure sensors. A differential pressure sensor measures the difference
736
 18 MECHANICAL MEASUREMENT
between a pressure being applied to it and a reference pressure (often atmospheric pressure).
The Bourdon tube pressure gauge , named after Eugène Bourdon, is a very popular pressure sensor.
The Pirani gauge head is based around a heated wire placed in a vacuum system, the electrical
resistance of the wire is proportional to its temperature.
A hot wire anemometer involves the heat that is dissipated by a hot wire to an ambient fluid passing it.
Flow measurement is the quantification of the volume of fluid movement.
There are several methods of measuring strain; the most common is a strain gauge, a device whose
electrical resistance varies in proportion to the amount of strain produced in the device.
Force can be measured easily from a load cell. Weighbridge is one of the most common applications of
the load cell. Here two strain gauges are fixed so as to measure the longitudinal strain, while two other
measuring the transverse strain.
A torque is a vector product of force and radial distance that measures the tendency of a force to rotate
an object about an axis or center.
Vernier calipers are used for more accurate measurement than that of a slide caliper. It can measure
internal and external dimensions, and it can also be used as a depth gauge and height gauge.
A micrometer also known as a screw gauge is a device consist of a calibrated screw and used for
precise measurement of small length.
Slip gauges are used as measuring blocks. It is also called as precision gauge blocks. They are made of
hardened alloy steel of rectangular cross-section. The surfaces of slip gauges are made to a high degree
of accuracy.
A sine bar is a tool used to measure angles of a block or metal working.
Combination set is a measuring tool which is frequently used in fitting and machine shop. It consists of
a square head, center head, bevel protector, sprit level and graduated steel rule.

REVIEW ZONE

Multiple-choice Questions

1. Which of the following equipment is not used for temperature measurement:

1. RTD
2. Thermister
3. Gas thermometer
4. Rotameter
2. Which of the following is the correct:
1. Pabs = Patmospheric + Pgauge
2. Pabs = Patmospheric – Pgauge
3. Both
4. None of these
3. Manometer is used to measure:
1. Pressure
2. Velocity
3. Flow
4. Temperature
4. Which of the following is not used to measure pressure:
1. Pirani gauge
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 18 MECHANICAL MEASUREMENT
2. Ion gauge
3. Bourdon gauge
4. Slip gauge
5. Prony brake dynamometer is a type of:
1. Transmission dynamometer
2. Absorption dynamometer
3. Electrical dynamometer
4. None of these
6. Which of the following is the correct relationship

1.

2.

3.

4.
7. The length measured by vernier caliper is:
1. Total length = Main Scale reading × Least Count + Vernier Scale reading
2. Total length = (Main Scale reading + Vernier Scale reading) × Least Count
3. Total length = Main Scale reading + Vernier Scale reading × Least Count
4. Total length = Main Scale reading + Vernier Scale reading/Least Count
8. Sine bar is used to measure:
1. The angle of a workpiece
2. Radius of cylinder
3. Thickness of a job
4. All of the above
9. For the purpose of calibration of measuring instrument, which of the following is used:
1. Screw gauge
2. Slip gauge
3. Dial gauge
4. Ion gauge
10. Principle of working of micrometer is based on:
1. Screw
2. Bush
3. Coupling
4. Link

Answers

1. d
2. c
3. a
4. d
5. b
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 18 MECHANICAL MEASUREMENT
6. a
7. c
8. a
9. b
10. a

Theory Questions

1. What are the various methods used for temperature measurement? Explain any one of them.
2. What is the principle of working of RTD? Explain the working.
3. What is the difference in principle of working of Orificemeter and rotameter? Discuss with applications
4. Explain the working of a manometer for pressure measurement.
5. Explain the principle of working of a thermocouple for temperature measurement.
6. Explain a process of velocity measurement of a fluid.
7. Explain the working of a load cell for force and strain measurement.
8. Explain the method of pointer and scale for torque measurement.
9. Discuss the application vernier caliper and its method of measurement.
10. Explain the principle of working of a micrometer.
11. Write short notes on: (a) Sin-bar, (b) Slip Gauge, Combination set.

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 19 METAL CUTTING AND MACHINE TOOLS
CHAPTER 19
Metal Cutting and Machine Tools
Learning Objectives

By the end of this chapter, the student will be able:

To understand the mechanism of metal cutting and different types of chip formation
To demonstrate the working of lathe machine and the various operations performed on it
To demonstrate the working of shaper, planer, and slotter machine with quick return mechanism
To demonstrate the working of drilling and boring machines with their different applications
To demonstrate the working of milling machines with application of different types of milling
cutters
To demonstrate the working of grinding machines and different types of grinding operations
To demonstrate the different types of surface finishing processes

19.1 INTRODUCTION

Machine tools that give a shape to parts/products by removing metal chips from a
workpiece include lathes, shapers, planers, drilling machines, boring machines, milling
machines, grinders, etc. Before the Industrial Revolution of the 18th century, hand tools
were used to cut and shape materials for the production of goods such as cooking
utensils, wagons, ships, furniture, and other products. After the advent of the steam
engine, material goods were produced by power-driven machines that could only be
manufactured by machine tools. Jigs and fixtures (for holding the work and guiding the
tool) were the indispensable innovations that made interchangeable parts realities in the
19th century.

19.2 MECHANISM OF METAL CUTTING

The removal of extra material from a metal surface by shearing or cutting action is known
as machining or metal cutting. The cutting takes place along a plane, which is known as a
shear plane. There is a cutting zone; if it is examined carefully we find that the severe
plastic deformation occurs in this zone due to a compressive force applied by the sharp
edged cutting tool. The extra material due to this deformation flows over the tool surface,
known as a chip, and this shearing zone is known as the primary shear zone.

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 19 METAL CUTTING AND MACHINE TOOLS
During the flow of chip on the rake surface of the cutting tool, the temperature of newly
formed chip increases due to friction and it gets welded automatically on the rake
surface. But, due to a compressive force applied by newly formed chip (just after the
welded chip) causes secondary shear of the welded chip, and this shear zone is known as
the secondary shear zone. In metal cutting, the line generated by the cutting motion is
called generatrix and the line formed by feed motion is called directrix.

19.2.1 Types of Chip Formation

Various types of chips, which are formed in various cutting conditions and type of
machining, can be categorized as:
Continuous chip.
Discontinuous chip.
Continuous chip with a built-up edge.

FIGURE 19.1
Types of Chip Formation in Metal Cutting

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 19 METAL CUTTING AND MACHINE TOOLS
Continuous Chip: Continuous chip as shown in Figure 19.1 (a), is formed due to:
1. Machining of ductile materials.
2. Small undercut thickness.
3. High cutting Speed.
4. Large rake angle of the tool.
5. Suitable cutting fluids.

Discontinuous Chip: Discontinuous chip as shown in Figure 19.1 (b), is formed due to:
1. Machining of brittle work materials.
2. Low cutting speed.
3. Small rake angle.
4. Large uncut chip thickness.

Continuous Chip with a Built-up (BUP) Edge: Continuous chip with a built-up edge as
shown in Figure 19.1 (c), is formed due to:
1. Large friction or stronger adhesion between chips and tool face.
2. Low rake angle.
3. Large uncut chip thickness.

19.3 ORTHOGONAL AND OBLIQUE METAL CUTTING

Orthogonal cutting is a machining process in which the cutting edge of the tool is kept
perpendicular to the direction of the tool travel (Figure 19.2). But, in oblique cutting, the
cutting edge of the tool is inclined at some acute angle to the direction of the tool travel.
There are some fundamental differences in orthogonal and oblique cutting which are
mentioned in Table 19.1.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.2
Schematic View of Orthogonal and Oblique Cutting
Table 19.1: Differences between Orthogonal and Oblique Cutting

19.4 LATHE

Lathe is the oldest machine tool. The entire machine tools are developed from the lathe,
therefore, it is also known as the mother of machine tools. A number of cutting
743
 19 METAL CUTTING AND MACHINE TOOLS
operations can be performed on a lathe with or without some attachments. On the lathe, a
rotational motion is provided to the job and translational motion is provided to the cutting
tool. Lathe machines can be classified on the basis of speed and purposes of applications.

19.4.1 Classification of Lathes

According to the construction and design lathe can be classified as follows:

1. Bench Lathe: It is small in size and mounted on a separate table. It has all the attachments, which a
larger lathe has. It is used to perform a precise work.
2. Speed Lathe: This may be bench type or legs supported lathe. It has no gearbox, carriage, and lead
screw. Therefore tool is actuated and fed by hand. This lathe is used for wood turning, polishing and
spinning purposes.
3. Engine Lathe: This is the most widely used lathe. In early days, during the development phase of the
lathe this lathe was driven by the steam engine, therefore named as engine lathe. Nowadays, all the
engine lathes have separate engines or electric motors. Various speeds are achieved using cone pulley
and gears.
4. Tool Room Lathe: This is very similar to engine lathe but equipped with some extra attachments for
more accurate and precise works. The usual attachments are taper turning attachment, follower rest,
collets, chucks, etc.
5. Capstan and Turret Lathes: This is semi automatic type lathe and a wide range of operations can be
performed on them. It can hold a large number of cutting tools compared to engine lathe.

19.4.2 Specifications of Lathe

Lathe machine can be specified by following dimensions (Figure 19.3):

1. Height of center over bed (A)
2. Maximum swing over bed (B)
3. Maximum swing over carriage (C)
4. Maximum swing in gap (D)
5. Maximum length of work (E)

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 19 METAL CUTTING AND MACHINE TOOLS
FIGURE 19.3
Specifications of Lathe

19.4.3 Constructional Detail of Lathe

A lathe machine consists of a number of components. These components perform various

functions, for example, facilitate variation in speed, hold the cutting tool, rigidly hold the
job, provide end support to the job, automatic movement of the tool, etc. A lathe with the
nomenclature of various parts is shown in Figure 19.4.
Bed: All the fixed and moving parts of the lathe are mounted on the bed. It is made of
cast iron in a single piece, it may be in two or three pieces for large size lathe, which are
bolted together. It has v-ways for the collection of chips produced during machining. The
carriage of the machine rests over the bed and slides on it. On the top of the bed, there
are two sets of guide ways-inner ways and outer ways. The inner ways provide sliding
surfaces for the tail stock and the outer ways for the carriage. The guide ways of the lathe
bed may be flat and inverted V shape. Generally, cast iron alloyed with nickel and
chromium material is used for manufacturing of the lathe bed.
Head Stock: Head stock is the housing of cone pulleys, back gear, main spindle, live
center, and feed reverse levers. It provides a driving mechanism to the job and tool post,
carriage, apron, etc. The main function of head stock is to transmit power to the different
parts of a lathe.
Tail Stock: The function of tail stock is to support the job at the end. It slides over the
bed. It may have dead center or live center for point support to the job as per
requirement. A tailstock is shown in Figure 19.5.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.4
A Lathe with the Nomenclature of Its Parts

FIGURE 19.5
Tailstock of a Lathe
For tapping, drilling or boring, a tape or drill/boring tool may be used in place of dead
center. The dead center moves forward or backward with the sleeve by rotating the hand
wheel manually. Tail stock can be easily set or adjusted for alignment/nonalignment with
746
 19 METAL CUTTING AND MACHINE TOOLS
respect to the spindle center and carries a center called dead center/live center for
supporting one end of the work. Both live and dead centers have 60° conical points to fit
center holes in the circular job, the other end tapering to allow for good fitting into the
spindles. A live center or revolving center is constructed so that the 60° center runs in its
own bearings and is used at the non-driven or tailstock end of a machine. A dead center
(one that does not turn freely, i.e., dead) may be used to support the workpiece at either
the fixed or rotating end of the machine. When used in the fixed position, a dead center
produces friction between the workpiece and center, due to the rotation of the
workpiece.
Carriage and Tool Post: It provides support to the tool post, cross slide, compound rest,
apron, etc. The function of tool post is to hold cutting tool rigidly; tool post moves in the
transverse direction on compound rest. The function of swivel plate is to give angular
direction to the tool post whereas the function of cross slide is to give the linear motion to
the tool by rotating the attached hand wheel. The apron is a hanging part in front of the
carriage. It is the housing of gear trains and clutches. It gives automatic forward and
reverse motion to the tool.
Legs: The legs provide rigid support to the entire machine tool. Both the legs are firmly
secured to the floor by means of foundation bolts in order to prevent vibrations in the
machine.
Chucks: The function of the chuck is to hold the job. There may be three-jaw or four-jaw
chuck as shown in Figure 19.6. In three-jaw chuck, all the jaws move inwards or
outwards simultaneously and there is no problem of centering hence it is also known as
universal chuck. Whereas in four-jaw chuck each jaw moves independently. It may
accommodate the irregular shape of the job but there is a problem of centering which is
to be done manually. A magnetic chuck is also used to hold the job which works on the
principle of electromagnetism.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.6
Three- and Four-jaw Chucks

19.4.4 Power Transmission System in Lathe Machine

Head stock spindle drive system may include stepped or cone pulley drive or all geared
head drive. In stepped pulley, the number of speed equals to the number of steps in the
pulley. In all geared head drive, total nine various speed can be achieved.

FIGURE 19.7
Stepped Cone Pulley Drive

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.8
A Constructional Detail of All Geared Head Drive
Stepped Pulley (Cone Pulley) Drive: V-belt is used to transmit the power from driver
shaft to spindle shaft. In 4-stepped pulley drive, four different speed of the head stock
can be attained. Spindle speeds are varied in arithmetic progression (Figure 19.7).
Let driver shaft rotates at the speed of N rotation per minute (rpm) and the steps
diameters of the pulley are D1, D2, D3, and D4. Driven shaft has pulley of same steps
diameters but in reverse order, as shown in Figure 19.10. We know the speed is inversely
proportional to the diameter, therefore,

Where N is the speed of driver shaft and N1, N2, N3, N4 are speeds of the spindle shaft.
Here D1 < D2 < D3 < D4.

All Geared Head Drive: This drive comprises of nine gears on three shafts. By operating
two levers attached to two cluster gears on pulley shaft and head stock main spindle
respectively, nine speeds can be obtained. Three gears 2-4-6 are fixed on the
intermediate shaft. Spur gear (10) is fixed on the head stock spindle to transmit power to
the feed shaft and lead screw. The constructional detail of all geared head drive is shown
749
 19 METAL CUTTING AND MACHINE TOOLS
in Figure 19.8.
The gear combinations for nine different speeds are given below:

where T1, T2, T3, T4, T5, T6, T7, T8, and T9 are number of teeth on gear 1, 2, 3, 4, 5, 6, 7,
8 and 9, respectively.

19.4.5 Cutting Tools Used in Lathe

A number of cutting operations are performed on a lathe machine. Therefore, various

cutting tools are used in a lathe such as left hand and right hand turning tools, facing
tools, threading tools, parting-off tool, etc., as shown in Figure 19.9.

19.4.6 Types of Operations on Lathe Machine

Following are the various types of operations performed on the lathe machines:
(a) Turning, (b) Threading, (c) Tapping, (d) Drilling and boring, (e) Reaming, (f)
Knurling, (g) Facing, (h) Parting, (i) Spinning.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.9
Various Cutting Tools Used in Lathe

FIGURE 19.10
Straight Turning on Lathe

FIGURE 19.11
Face Turning on Lathe
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 19 METAL CUTTING AND MACHINE TOOLS
Turning: Turning is a metal removal process in which job is given rotational motion
while the cutting tool is given linear (feed and depth of cut) motion. Different types of
turning operations are mentioned below:
Straight Turning: It is the operation of producing a cylindrical surface of a job by
removing excess material. In this operation, the job rotates and the tool is fed
longitudinally by giving the desired depth of cut (Figure 19.10).
Face Turning or Facing: It is also known as facing operation. It is the operation of
making the ends of a job to produce a square surface with the axis of operation or to
make a desired length of the job. In this operation, job rotates and the tool advances in a
perpendicular direction to the axis of the job rotation (Figure 19.11).
Shoulder Turning: If a job is turned with different diameters, the steps for one diameter
to the other so formed, the surface is known as shoulder turning. There are several types
of shoulder turning such as square, radius, beveled, etc., as shown in Figure 19.12. It is
also known as step turning.
Eccentric Turning: When a job having more than one axis of rotation, each axis may be
parallel with each other but never coincides, turning of different cylindrical surfaces of
the job is known as eccentric turning. In Figure 19.13, the job is first turned through
centers C1-C1 and then through centers C2-C2.

FIGURE 19.12
Shoulder Turning on Lathe

FIGURE 19.13
Eccentric Turning on Lathe
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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.14
Taper Turning on Lathe
Taper Turning: Taper turning is an operation in which taper cylindrical surface, i.e.,
cone type surface is produced as shown in Figure 19.14.
Taper on a cylindrical surface of a job can be produced by the following methods:
Taper Turning by Swiveling Compound Rest: Job rotates on lathe axis and tool moves
in the angular path. It can be applied from any angle 0-90 degree, a short length of taper

up to 150 mm approximate It is used for shorter length and steeper angle.

Here, D1 and Ds are larger and shorter diameters, and ℓ is the length of the job.

Taper Turning by Offsetting the Tailstock: Job rotates at an angle to the lathe axis and
the tool travels longitudinally to the lathe axis. Any angle 0 to 8°, long job of smaller
diameter can be turned by this method. It is also used for internal taper turning.
Taper Turning Attachment: Job rotates on lathe axis and tool moves in guided angular
path. Any angle 0–12°, long jobs of steeper angle of taper can be done by this
attachment. The guide rail is set as per angle of taper. It is applied for longer jobs of steep
angle in mass production.
Taper Turning by a Form Tool: Job rotates on lathe axis and tool moves crosswise
direction, perpendicular to the lathe axis. The very small length of taper and any angle 0–
90°. The tool itself designed as per requirements. It is used for mass production for
Chamfering on bolts, nuts, bushes, etc.
Taper Turning by Combination Fed: Job rotates on lathe axis and tool travels on the
resultant path, for any length and any angle. The taper angle is to be determined by trial
and error method. It is applied by hand feeds for making the ball of a hammer, by power
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 19 METAL CUTTING AND MACHINE TOOLS
feeds for production work.
Parting-off (Grooving): It is the operation of cutting-off/grooving a bar after it has been
machined to the required shape and size. In this operation, the job is held on a chuck,
rotates to the turning speed and the parting-off tool is fed into the job very slowly until
the tool reaches to the center of the job. The parting-off operation is shown in Figure
19.15.

FIGURE 19.15
Parting-off Operation on Lathe

FIGURE 19.16
Knurling Operation on Lathe
Knurling: Knurling is the process of embossing, producing a roughened surface on a
smooth surface of a cylindrical job to provide effective gripping, for example, thimble
and ratchet of micrometer and plug gauge handle. Knurling tools (single, two or three sets
of rollers) are held rigidly on tool post, pressed against the rotating (one-third speed of the
turning) surface of a job, leaving exact facsimile of the tool on the surface of the job as
shown in Figure 19.16.
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 19 METAL CUTTING AND MACHINE TOOLS
Thread Cutting

For thread cutting on the lathe, there is a definite relationship between the speeds of the
job and tool. The relationship is obtained by gear ratio which selection depends on the
pitch of the job, the pitch of the lead screw, number of the start of the thread on the job.
Every machine is supplied with a spur gear box (a set of 23 gears) having teeth from 20
to 120 with an interval of 5 and a special gear or transfer gear is of 127 teeth for cutting
the metric thread. Two 20 teeth spurs are available. Lead screw has single start thread.
The simple process of thread cutting on the lathe is shown in Figure 19.17.

FIGURE 19.17
Thread Cutting on Lathe

Steps for Thread Cutting on Lathe

1. Hold the job on the machine and turn up to the major diameter of the thread.
2. Choose suitable thread cutting tool.
3. Select slower speed of the lathe spindle.
4. Calculate the change gear ratio based on the following formula:

5. Fix the calculated change gear ratio to the head stock spindle, intermediate shaft and lead screw shaft.
6. Choose suitable depth of cut. Three or four cuts are necessary to complete the thread.
7. Arrange job and tool proper position and give desired depth of cut.
8. Engage half nut with respect to chasing dial according to odd/even threads.
9. Allow the movement of the tool up to the portions of the job necessary for thread cutting then lifting the
tool from the job.
10. Disengage the half nut, move the carriage to the right side up to the position from where the second cut
will start. Allowing the second depth of cut again engage the half nut with respect to chasing dial.

Drilling: The operation of producing a circular hole by removing metal by rotation the
cutting edges of a drill is known as drilling. But on lathe drill is static and only feed
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 19 METAL CUTTING AND MACHINE TOOLS
motion is given through the movement of tail stock and rotating motion is given to the
job. Metal is removed by shearing and extrusion. Drilled hole will be slightly oversized
than the drill used due to the non-alignment of the drill and vibration of the spindle. For
producing an accurate hole, the drill bit should be chosen slightly undersize and
subsequent reaming or boring operation is essential after drilling. Drilling on the lathe is
very easy. The drill bit is held in tail stock in place of dead center and moved in the
forward direction applying pressure at the end of the rotating job. Drill moves up to the
length of the hole required as shown in Figure 19.18.

FIGURE 19.18
Drilling on Lathe
Tapping: Tapping is an operation for producing internal thread. A hole of minor diameter
is produced in the job by holding the drill tool in tail stock and applying pressure on the
rotating job in chuck. After drilling the hole, the tap is held in tail stock and inserted in
drilled hole of the rotating job as shown in Figure 19.19.

FIGURE 19.19
Tapping on Lathe
Reaming: The operation of finishing and sizing a previously drilled hole using a multi-
edges straight cutting tool named as a reamer is known as reaming operation. Very small
amount of material (0.4mm) removal is possible by this operation. Reaming operation is
on lathe is very similar to drilling on the lathe as shown in Figure 19.20.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.20
Reaming on Lathe
Boring: The operation of enlarging and finishing a previously drilled hole throughout its
length by means of an adjustable single edge cutting tool named as boring tool is known
as boring. Boring on the lathe is also very similar to drilling but this process is used to
enlarge the drilled hole as shown in Figure 19.21.

FIGURE 19.21
Boring on Lathe
Spinning: Spinning is a process to produce a circular homogeneous pot or house hold
utensil. In this operation, the sheet metal job is held between a former attached with
headstock spindle and the tail stock center and rotates at high speed with the former. The
long round nose forming tool fixed rigidly on special tool post presses the job on the
periphery of the former as shown in Figure 19.22. Thus the job is deformed exactly in the
shape of former and the operation is known as spinning. It is chip-less machining process.

FIGURE 19.22
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 19 METAL CUTTING AND MACHINE TOOLS
Spinning on Lathe

19.5 SHAPER, SLOTTER, AND PLANER

Shaper and planer are very old machine tools. They are used to produce a plane surface,
inclined surface, and slots. But due to consumption of excess time, they are replaced by
milling machines in large production. In a shaper, the cutting tool is provided
reciprocation motion and job is provided only feed motion. Normally, forward stroke is a
cutting stroke and backward or reverse stroke is idle stroke. During the backward stroke,
the job is given feed motion. In a planer, the table job is given reciprocating motion and
the tool is given feed motion. Planer is most suitable for the larger job which cannot be
accommodated on the shaper.

19.5.1 Shaping and Planing

Shaping and planning are the oldest methods of machining. They are seldom used in
production and have been replaced by milling and broaching. The major difference
between these two processes is that, in shaping the reciprocating or cutting motion is
provided to the tool and the feed is given to the workpiece, whereas in planning, it is just
opposite (Figure 19.23). A single point cutting tool is used in both processes. The cutting
takes place only in the forward stroke; the feed is given to the workpiece in return stroke.
This operation is neither efficient nor economical. Shapers are more suitable for smaller
workpieces than the planers. In addition to plain flat surfaces, the shapes most commonly
produced on the shaper and planer include grooves, T-slot, and dovetails.

FIGURE 19.23
Shaping and Planing
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 19 METAL CUTTING AND MACHINE TOOLS
19.5.2 Constructional Detail of Shaper

Constructional detail of shaper is shown in Figure 19.24. There are following parts of the
shaper machine.

FIGURE 19.24
Constructional Details of Shaper
Base: Base is made of gray cast iron to absorb the vibration and it is bolted to shop floor.
Column: It is the housing of ram, quick return mechanism, and table. A ram reciprocates
on the top of the column through two machined guide-ways and table can move up and
down through cross-rail on the front of the vertical face of the column.
Table: It is a cast iron body, provided with T-slots to clamp the job, fixtures, etc., the
table can move up and down and also it can be tilted in universal type shaping machine.
Ram: It carries a tool head on its front end. It reciprocates on horizontal guide-ways of
the machine on the top of the column across the work. The motion of the ram is obtained
by quick return mechanism. It cuts only in the forward stroke and moves faster in the
backward or return stroke.
Tool Head: It is fixed at the front end of the ram. It consists of tool post, clapper box,
down feed screw. Tool slide can be swiveled for the shaping of bevels, angular cuts, etc.
The clapper box hinges on a pin in order to allow the tool to swing up during the return
stroke. Down feed screw may be operated by hand or power for required depth of cut
and down feed cutting.
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 19 METAL CUTTING AND MACHINE TOOLS
Cross-rail and Saddle: Cross-rail slides up and down for positioning of the table over the
front vertical ways of the column. The work table is bolted on the saddle and saddle is
also mounted on the cross-rail. The work table along with the saddle can be moved
horizontally by the table cross-feed screw.

19.5.3 Slotter Machine

Vertical shaper machine is also known as slotter machine in a workshop but the
fundamental difference between vertical shaper and slotter machine is that the frame of
the vertical shaper is fixed and cannot be tilted whereas the frame of slotter machine can
be tilted at any angle. The small angle may be given to tool to the vertical shaper but if
the larger deviation is required then slotter machine is used. The ram of slotter machine
reciprocates in the vertical direction. It is used to cut the slot vertically. The construction
detail and driving mechanism are very similar to shaper machine.

Applications of Slotter Machine

Slotter machine is applied:

1. To machine the vertical surface.
2. To machine the inclined surface.
3. To cut the internal and external gear teeth.
4. To machine the surfaces that are difficult to machine on the shaper.
5. To machine the blind hole.

19.5.4 Crank and Slotted Arm Quick Return Mechanism

Rotary motion of the bull gar is converted into a reciprocating motion of the ram through
the crank and arm. The cutting is done in the forward stroke and the return stroke is idle.
The time of return stroke is reduced to compress the total machining time which is known
as quick return mechanism. The quick return mechanism may be attained by any of the
methods—Whitworth quick return, crank and slotted arm, and hydraulic mechanism. In
this text, crank and slotted arm mechanism is discussed as it is very simple in construction
and operation.
The schematic diagram of the crank and slotted arm mechanism is shown in Figure 19.25
(a). The driving pinion, which receives power from electric motor directly or over head
line shaft, drives the bull gear either directly or through back gears. The crank pin may be
adjusted by a hand wheel operating through suitable gears for specified length of the
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 19 METAL CUTTING AND MACHINE TOOLS
stroke. The slotted link is provided at its lower end, while the upper fork end is connected
with the moving block. Crank pin is the connector between the crank gear and slotted
link. The rotary motion of the crank gear transmits the rocking movements of the slotted
link by the crank pin within the slot. This rocking movement of the slotted link is
communicated to the reciprocating movement of the ram through the moving block
which is locked with ram screw.

FIGURE 19.25
Crank and Slotted Arm Quick Return Mechanism
It is seen from the block diagram in Figure 19.25 (b) that the path traveled by the crank
pin during the forward motion is much more than the backward motion. Since ∠BOA =
144° and ∠AOB = 360° − 144° = 216°

19.5.5 Specification of Shaper

The shaper can be specified in the following terms:

1. Length of stroke (300 mm).
2. Maximum horizontal travel of table (350 mm).
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 19 METAL CUTTING AND MACHINE TOOLS
3. Maximum vertical travel of table (365 mm).
4. Maximum distance from table to ram.
5. Maximum vertical travel of tool slide (117 mm).
6. Length and width of table top (300 × 250 mm).

19.5.6 Constructional Detail of Planer

A constructional detail of the planer is shown in Figure 19.26. There are following
components of the planer:

FIGURE 19.26
Constructional Details of the Planer
Bed: Bed is a cast iron structure; it is very large and heavy and supports whole structure
of the machine over it.
Table: Table is made of cast iron. At its top, it carries longitudinal T-slots and holes to
accommodate the clamping bolts and other devices. Under the table, chip pockets are
provided integrated with it for collecting and removing the chips. On its side, the table
carries adjustable stops to reverse its motion at the end of each stroke. At its both ends, it
carries a trough to collect the chips.
Housing or Columns: The vertical members situated on both side or a single side of the
planer is housing or column. Inside them, they carry the different mechanism for power
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 19 METAL CUTTING AND MACHINE TOOLS
transmission to the upper part of the machine, from the main drive. At their front, they
are very accurately machined to form vertical ways along which the cross-rail slides up
and down where side tool-heads are used; they also slide vertically along the same guide
ways.
Cross-rail: It connects two housings and provides additional rigidity to the machine. It
can slide up and down on the guideways provides on the column; there is the provision of
guideways on the front side of the Crossrail to move the two tool head horizontally from
one end to another end of the table.
Tool Heads: Maximum four tool heads can be fitted in a planer, two in the vertical
position on cross rail and two in the horizontal position on columns. All of them can be
used at the same time.

19.5.7 Fast and Loose Pulleys Driving Mechanism of Planer

A driving mechanism of a planer consists of an electric motor situated over the housing.
The motor shaft is coupled with a counter shaft. The counter shaft, at its extreme end,
carries two driving pulleys; one for the open belt and other for cross the belt. The main
driving shaft is provided below the bed. Its one end passes through the housing and
carries a pinion, which meshes with the rack provided under the table of the machine.
The other end of the shaft carries two pairs of pulleys; each pair consists of a fast pulley
and a loose pulley. One of these pairs is connected to one of the driving pulleys by means
of an open belt and the other to the second driving pulley by means of crossed belt. A
speed reduction gear box is mounted on the main driving shaft and same is incorporated
between the pinion and the pairs of driven pulleys. The driving mechanism is shown in
Figure 19.27.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.27
Driving Mechanism of the Planer
One set of the above pulleys is used for the forward motion and another set for the
backward motion of the table. The cross belt is used for the forward motion and open belt
is used for the backward motion. The driving pulley on the counter shaft for the cross belt
is smaller than the pair of the fast and loose pulleys for the same. While the driving pulley
on the driving pulley on the driving shaft for open belt is bigger than the pair of fast and
loose pulley on the same. This arrangement is provided for slow forward stroke and fast
backward stroke.
The pulleys are so arranged that when the cross belt is on fast pulley, i.e., in the forward
stroke, the open belt will be on the loose pulley and its reverse will take place during the
return stroke. The relative shifting of the belt may take place automatically at the end of
each stroke, without stopping the machine; a belt shifter and its operating lever are
provided on the machine. Trip dogs are mounted at both ends of the table. At the end of
each stroke, these dogs strike against the operating lever alternately and the belt shifted
accordingly. Thus, table movement is reversed automatically.

19.5.8 Specifications of Planer

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 19 METAL CUTTING AND MACHINE TOOLS
Planer can be specified in the following ways:
1. Horizontal distance between two housings.
2. Vertical distance between table top and cross-rail.
3. The maximum length of the stroke.

19.5.9 Difference between Shaper and Planer

Table 19.2: Difference between Shaper and Planer

19.6 DRILLING MACHINE

Drilling machine is one of the important machine tools in a machine shop. It is mostly
used to produce a hole in the solid material. In a drilling, the hole is generated by cutting
edges of rotating cutting tool known as drill bit which exerts large force on the workpiece
fixed on the table. Drilling, boring, counter-boring, counter sinking, reaming, tapping and
spot facing operations can be performed on this machine.

19.6.1 Driving Mechanism in Drilling Machine

The power from the electric motor is transmitted to drill spindle pulley through V-belt.
There is a provision of the key way on drill spindle to slide the stepped V-pulley. When
the drill is required to feed into the work, it is pressed against the work by means of feed
handle. As the handle is rotated, pinion rotates and rack moves longitudinally and hence
the spindle and drill on the machine; drill rotates at very high speed to attain the required
cutting speed. The complete driving mechanism is shown in Figure 19.28.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.28
Driving Mechanism of a Drilling Machine

19.6.2 Drill Bit

The different part of the drill bit is shown in Figure 19.29.

Flute: the helical groove in the drill body is known as a flute. Its functions are to carry
the chips, admit the coolant, make the chips to curl, and provide the cutting edges on the
point.
Point: It is conical part of the drill; cutting lips are ground on the point.
Body: The part of the drill that is fluted and relieved is known as the body.
Tang: The flattened end of the taper shank is known as tang. It helps to remove the drill
from socket or sleeve from the spindle without injuring the shank.
Dead Center: The point at which the two lips are properly ground and meet is known as
dead center.
Lips: The cutting edges of a drill are known as lips. Both lips should have equal length,
same angle of inclination and correct clearance.
Margin or Land: The narrow surface along the groove that determines the size of the
drill and keeps the drill aligned is known as margin or land.
Web: The backbone of the drill of the narrow section between the flutes is known as the
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 19 METAL CUTTING AND MACHINE TOOLS
web.

FIGURE 19.29
Drill Nomenclature
Heel: The edge which is formed by the intersection of the flute surface and the body
clearance is known as the heel.

Some Important Angles on a Drill

Rake Angle: It is also known as helix angle. The angle between a plane passing through
drill axis and leading edge of the land is known as rake or helix angle. It varies from 0° to
48°. Higher values are suitable for softer materials and lower values are suitable for
harder materials.
Point Angle: It is also known as cutting edge angle. It is the angle included between the
two opposite lips of a drill, measured in a plane containing the axis of the drill and both
the lips. The most common value of the angle is 118°. Smaller point angle is suitable for
brittle material and a larger one for harder and tougher materials.

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 19 METAL CUTTING AND MACHINE TOOLS
Chisel Edge Angle: The obtuse angle formed between the lip and the chisel edge is
known as chisel edge angle. The greater the angle larger will be clearance. It ranges from
120° to 135°.

19.6.3 Specifications of a Drilling Machine

Drilling machines are specified in the following ways:

1. The maximum size of the drill in mm.
2. Table size.
3. The maximum spindle travel.
4. Range of spindle speed in rpm.
5. Power input of the machine in H.P.

19.6.4 Operations Performed on Drilling Machine

Drilling: The operation of producing a circular hole by removing metal by rotation the
cutting edges of a drill is known as drilling. Metal is removed by shearing and extrusion
(Figure 19.30). Drilled hole is slightly oversized due to non-alignment of the tool and
vibration of the spindle. For producing an accurate hole, the drill bit selected is slightly
smaller than the hole-diameter required. After producing the hole reaming is required for
finishing.

FIGURE 19.30
Drilling
Reaming: It is an operation to produce a finished hole after drilling. Since the material
removal rate in reaming is very less (0.4 mm) therefore it is rarely used for enlarging the
hole. Reamer has straight teeth which is given a rotational motion similar to drilling. The
reaming operation is shown in Figure 19.31.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.31
Reaming

FIGURE 19.32
Boring

FIGURE 19.33
Counter boring

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.34
Counter Sinking

FIGURE 19.35
Spot Facing

FIGURE 19.36
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 19 METAL CUTTING AND MACHINE TOOLS
Trepanning
Boring: It is an operation to enlarge the drilled hole. It has single cutting point cutter as
shown in Figure 19.32. In Boring, the material removal rate is larger than that of drilling.
Therefore for enlarging purpose boring tool is used in place of large diameter drill bit.
Counter Boring: The operation of enlarging the end of a hole cylindrically, as a recess
for a bolt head, is known as counter boring. The counter boring process is shown in
Figure 19.33.
Counter Sinking: The operation of making a cone shape enlargement of the end of a
hole, as for the accommodating the screw head, is known as counter sinking (Figure
19.34).
Spot Facing: The operation of squaring and smoothing the surface around a hole, as for
the seat for a nut or head of a bolt, etc., is known as spot facing (Figure 19.35).
Trepanning: The operation of producing a large hole (diameter over 50 mm) by
removing metal along the circumference of a hollow cutting tool, which enters the small
previously drilled hole to produce the larger hole concentric is known as trepanning
(Figure 19.36). It is used for the diameter more than the capacity of the particular
machine and where hole depth is much more in comparison with normal work.

19.6.5 Advanced Types of Drilling Machine

Radial Drilling Machine

Radial drilling machine is a heavy duty machine. It consists of a vertical column

supporting a horizontal arm on which drill spindle can move in a radial direction. The arm
can be raised or lowered and swung around any position over the work. Two electric
motors are used as shown in Figure 19.37, one used to provide movement to the arm and
other is used to drive spindle of the drilling machine.

Gang Drilling Machine

Gang drilling machine is used for mass production where a number of drilling operations
are to be performed in sequence. Each drill head can be equipped with different types of
drill bits. There may be 2 to 10 spindles. The construction of gang drilling machine is
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 19 METAL CUTTING AND MACHINE TOOLS
shown in Figure 19.38.

Multi-spindle Drilling Machine

A multi-spindle drilling machine has a number of spindles driven by a single motor. All
the spindles holding the drills can be used simultaneously. It can produce a number of
parallel holes simultaneously. It is employed for a light work. The construction of multi-
spindle drilling machine is shown in Figure 19.39.

FIGURE 19.37
Radial Drilling Machine

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.38
Gang Drilling Machine

FIGURE 19.39
Multi-spindle Drilling Machine

19.7 BORING

Boring machine is one of the versatile machine tools. This is most suitable for machining
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 19 METAL CUTTING AND MACHINE TOOLS
of a large and heavy workpiece in mass production, for example, a cylinder of I.C.
engines, machine housing, engine frame, etc. This machine can perform all the operations
which can be done on the drilling machine. But this machine is heavier than the drilling
machine.

19.7.1 Specification of Boring Machines

Main specification of a boring machine is designated by the following terms:

1. Type of machines.
2. Maximum size of boring spindle diameter (50–320 mm).
3. Maximum spindle travel in horizontal and vertical direction.
4. Maximum travel of the table in longitudinal and crosswise directions in mm.
5. Range of spindle speeds in rpm.
6. Power of the motor in H.P.

19.8 MILLING MACHINES

Milling is a metal cutting process in which different shapes and sizes of the surface are
generated by cutting action of rotating multipoint cutter fixed on a periphery of a wheel
and feed is given to the work. The shaft on which milling cutter is mounted is known as
arbor, this may be horizontal or vertical. On the basis of the position of the arbor, a
milling machine can be divided into two classes—horizontal and vertical milling machines
as shown in Figure 19.40. The size of the milling machine is generally denoted by the
dimension of the table. Different manufacturers denote these sizes by different numbers
such as 0, 1, 2, 3, 4, 5, 6, etc. Each of these numbers indicates a particular standard size
adopted by the manufacturer.
The various types of milling machines are column and knee type, fixed bed type, planer
type, production milling machine, and special purpose milling machine.

19.8.1 Constructional Detail of Milling Machine

Base: The base is foundation part of a milling machine. It is made of gray cast iron. It
absorbs vibrations and supports column, table arbor, etc.
Column: It is the main casting mounted on one side of the base. This is box shaped and
fitted with gearing arrangement for different spindle speeds and table feeds (Figure
19.40).
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 19 METAL CUTTING AND MACHINE TOOLS
Knee: It is rigid gray cast iron part that supports and provides adjustment for the height of
the table, operating by the table elevating screw and slides up and down on the vertical
dovetail guide ways of the column. It carries the table feed mechanism and controls to
feed in longitudinal, cross, vertical and rotational, etc., either by hand power or machine
power.

FIGURE 19.40
Horizontal and Vertical Milling Machines
Table: Table is the part on which job is mounted either directly by a clamp or by a
fixture. It rests on the saddle and travels longitudinally. The table travel is limited by the
adjustable stops in either direction during power feeding. In the case of universal milling
machine, there is an arrangement of the table to swivel horizontally around the center of
its base.
Feed Gear Box: The variation of power feed to all movement is achieved through the
feed gear box. The power from the feed gear box is transferred to the knee by a
telescopic shaft. The number and amount of feed depending on the gearing arrangements
in the feed gear box.
Spindle: The spindle is mounted on the upper part of the column. It receives power from
the motor through belts, gears, clutches, etc., and can be rotated at different speeds by
the step-cone-pulley drive or gear drive.
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 19 METAL CUTTING AND MACHINE TOOLS
Arbor: The arbor is an extension of the spindle on which various cutters are mounted.
The arbor is set in spindle cone (Morse taper cone) and tightened by draw bolt held in
position by a bush nut.

19.8.2 Basic Milling Operations

Up Milling and Down Milling: The horizontal milling is divided into two groups—up
milling and down milling. If the direction of cutting and feed are opposite to each other,
the milling is known as up milling, and if the directions of both are the same, the milling is
known as down milling as shown in Figure 19.41. In down milling, there is a tendency of
the job being dragged into the cutter, therefore, up milling is safer and is commonly used.
However, down milling results in better surface finish and longer tool life. In down
milling, the chip thickness starts at maximum and decreases to its minimum value at the
end of the cut where tooth leaves the work. In up milling, the chip thickness starts at zero
and increases to its maximum value at the end of the cut where the tooth leaves the work.
Cutting forces tend to lift the workpiece up from the table, hence the name up milling.
Slab Milling: Slab milling, also called peripheral milling or plane milling generates flat
surfaces by using the teeth located on the periphery of the cutter body as shown in Figure
19.42. The axis of cutter rotation is parallel to the workpiece surface to be machined. The
diameter and width of the cutter depend on a part is to be slab milled.
Generally, helical teeth cutter is selected for slab milling. Less force is required; vibration
and chatter are reduced; and a better quality of surface finish is produced with a helical
tooth cutter than with a straight tooth cutter. This is possible because of the fact that the
helical teeth are continuously engaged in comparison with the intermittent cutting action
of straight tooth cutter. Milling cutters up to 18 mm wide generally have straight teeth
and cutters over 18 mm wide usually have helical teeth. The angle of helix ranges from
45° to 60° or steeper. Straight cutters are used for light duty and helical for heavy duty.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.41
Up Milling and Down Milling

FIGURE 19.42
Slab Milling

FIGURE 19.43
Side Milling
Side Milling: Side milling uses side milling cutters similar to plain milling cutters.
However, in addition to teeth around the periphery, other cutters are formed on one or
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 19 METAL CUTTING AND MACHINE TOOLS
both sides as shown in Figure 19.43. The teeth may be either straight helical. Most of the
cutting is done by the teeth around the periphery.
The side cutting teeth cut the side of the workpiece. Side mills are not recommended for
milling slots because of their tendency to mill wider.
End Milling: End milling is a process of machining horizontal, vertical, angular and
irregular shaped surfaces. The cutting tool is called an end mill as shown in Figure 19.44.
End mills are coarse tooth cutters and made of high-speed steel or have carbide inserts.
They are subjected to severe torsion and bending stresses in use. These limit the size of
cut that can be taken. With a cut equal to the full width of the cutter, the maximum
recommended a depth of cut in 0.6D, D being the diameter of the end mill. If, however,
the cutting action is the cleaning up of the edge of a component, with the cut only 10% of
the diameter, the depth can be increased to 1.5D. This process can be used to mill
grooves, slots, keyways, and large surfaces. It is also widely used for profi le milling in
die making.

FIGURE 19.44
End Milling

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.45
Face Milling
Face Milling: Face milling is an extension of end milling where the cutter has large
diameter with several cutting teeth as shown in Figure 19.45. The cutter diameter is
usually 6 inches or more. The teeth are beveled or rounded at the periphery of the cutter.
Face milling cutters are made of high-speed steels, cast alloys or carbides and are heavy-
duty cutters. Heavy cuts, coarse feeds, and high cutting speeds are essential. The cutter is
mounted on a spindle having an axis of rotation perpendicular to the workpiece surface;
Face milling is used to produce a flat surface and has a wide variety of applications.
Gang Milling: It is the milling operation which involves the use of a combination of more
than two cutters, mounted on a common arbor, for milling a number of flat horizontal and
vertical surfaces of a workpiece simultaneously as shown in Figure 19.46. This
combination may consist of only side milling cutters or plain milling cutters or both.

FIGURE 19.46
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 19 METAL CUTTING AND MACHINE TOOLS
Gang Milling
Straddle Milling: It is a milling operation in which a pair of side milling cutters is used
for machining two parallel vertical surfaces of a workpiece simultaneously as shown in
Figure 19.47.

FIGURE 19.47
Straddle Milling Cutter
Form Milling: This milling process is employed for machining those surfaces which are
of irregular shapes. The cutter used, called a form milling cutter, will have the shape of its
cutting confirming to the profile of the surface to be produced. Form milling cutter is
shown in Figure 19.48.

FIGURE 19.48
Form Milling Cutters
Profile Milling: It is the operation in which the profile of a template or the shape of the
cavity of a master-die is duplicated on the work surface. The movement of the cutter is
guided by a tracer control unit which carries a contact finger. This finger (stylus) run in
contact with the outline to be duplicated and the tracer mechanism guides the tool
movement accordingly.

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 19 METAL CUTTING AND MACHINE TOOLS
19.8.3 Nomenclature of Milling Cutter

Radial Rake Angle: It is the angle between the flute face and a radial reference plane
XX drawn from the cutter axis to the cutting edge. Positive radial rake angle is used for
highspeed cutters and to cut the soft materials like aluminum. Negative rake angle is used
for high-speed milling with carbide tipped cutter and to cut the hard materials.
Relief Angle: It is the angle between the land and a tangent to the cutter from the tip of
the tooth. It eliminates the tendency of the teeth to rub the work. The angle may vary
from 3 to 5 degrees, with higher angles 8° to 10° for smaller diameter and soft work
materials.
Clearance Angle: It is the angle between the back of the tooth and a tangent to the cutter
from the tip of the tooth (Figure 19.49).

FIGURE 19.49
Nomenclature of Milling Cutter

19.9 GRINDING MACHINES

Grind means to wear or to abrade by friction. The grinding process may be defined as the
removal of a layer of a work piece by rotating an abrasive wheel. It is very similar to
milling process as each abrasive particle at the periphery of the grinding wheel acts like a
tooth of the milling cutter, but the orientation of the abrasive particles are random in the
grinding wheel. The chips formed in this process are very small and the geometry of the
chips can be seen with the help of a microscope.

19.9.1 Grinding Wheel Specification

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 19 METAL CUTTING AND MACHINE TOOLS
The application of the different types of grinding wheels depends on the properties of the
work materials and the type of applications. In the alphanumeric system, a grinding wheel
can be specified by 7-terms as shown in Figure 19.50.
Code Number: It is optional and used by manufacturers to indicate exact type of
abrasive.
Abrasive Types: An abrasive is a hard material, which can be used to cut or wear away
other materials. The major types of abrasives used in the grinding wheel are natural
abrasives and artificial abrasives. Natural abrasives include a sand tone or solid quartz,
Emery (50–60% crystalline Al2O3 plus iron oxide), Corundum (75–90% crystalline
Al2O3 plus iron oxide), diamond, and garnet whereas artificial abrasive include A: Al2O3;
C: SiC; D: Diamond. Other abrasives are boron carbide and cubic boron nitride may be
used as artificial abrasives.
Grit Size: Grit size is used to indicate the grain size that is reciprocal of grit size in inch.
For example, if grit size is 36 then the grain size will be equal to 1/36 inch. Using the
larger grains, material removal capacity will be the more, but the quality of the surface
finish will be poor. The grain size is determined primarily by the surface quality
requirements. Grit size is defined in terms of a number as given below:

Coarse: 10–24; Medium: 30–60; Fine: 70–180; Very fine: 220–600.

Grade: The grade indicates the strength of the bonding material. A hard wheel means
strong of the bonding and the abrasive grains can withstand large forces without getting
dislodged from the wheel and in the case of a soft wheel, the situation is just reverse. If
the work material is hard and wheel used is also hard, the grains wear out easily and the
sharpness of the cutting edges quickly lost. This is known as glazing of the wheel. A
glazed wheel cuts less and rubs more making the process inefficient. To avoid this
problem, a soft wheel is used for harder materials so that the grains, which lose the
sharpness, get easily dislodged as the machining force on the individual grain increases.
The layers of new grains are exposed, maintaining the sharpness of the wheel.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.50
Grinding Wheel Specification
If the work material is soft, a hard wheel should be employed since the problem of
glazing will be absent and a longer wheel life will be achieved. The grade of the grinding
wheel is indicated in terms of capital alphabetic letters as:
Soft: A-H; Medium: J-P; Hard: Q-Z.
Structure: The grinding wheel is similar to a milling cutter with a very large number of
randomly oriented teeth. Therefore, it must have voids to allow spaces for the chips. If
the voids are too small for the chips, the chips stay in the wheel blocking the voids. This
is known as wheel loading, which causes inefficient cutting. If the voids are too large,
again the cutting action is inefficient since there will be less cutting edges. In an open
structure, the grains are not too densely packed and in a wheel, with a closed structure,
the grains are tightly packed. For grinding of ductile work materials, larger chips are
produced and to reduce the tendency of wheel loading, an open structure is preferred. In
the case of hard and brittle work materials, a closed structure is selected. The structure
depends on the required grade and also, on the nature of cut. For a rough cut, an open
structure is more suitable. The structure is represented by some numbers as:
Dense: Less than 10; Open: 11–16.
Bond: It represents the binding materials use of to bind the abrasive particles. Some
alphabetic letter is used to indicate the Bond as—Vitrified-V; Resinoid-B; Silicate-S;
Rubber-R; Shellac-E.
Vitrified Bond: It is a clay bond, reddish brown in color. The base material is feldspar,
which is fusible clay. The exact proportion of the refractories and flux are added to it and
mixed thoroughly. The mixture, together with the abrasive grains, is fed into revolving
drums containing water, where all the constituents make together to form a pest. The pest
is then placed in a mold to get the shape of a wheel and air dried at room temperature.
Thus, the wheel becomes enough hard. Now, the wheel is fed into a kiln and allowed to
remain for a few days. The inside temperature is being about 1260°C, the process is
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 19 METAL CUTTING AND MACHINE TOOLS
known as fusing and it provides the uniform distribution of bond throughout the wheel. It
is used for the speed of 32 m/sec.
Silicate Bond: In this bond, silicate of soda is mixed with the abrasive grains and the
mixture is packed and rammed in a metal molds. After drying for several hours, the
wheels are baked at 260°C for 1–3 days. Silicate wheels are milder than those made by
other processes and wear away more rapidly. They are suitable for grinding the edges of
cutting tools where the heat must be kept to a minimum. This process is also
recommended for very large wheels since they have little tendency to crack or warp in
the baking process. The hardness of the wheel is controlled by the amount of silicate of
soda.
Shellac Bond: The abrasive grains are first coated with shellac by mixing in a steam
heated mixer. The material is then placed in heated steel molds and rolled or pressed.
Finally, the wheels are baked for a few hours at a temperature around 300°F. This bond is
adapted to thin wheels, as it is very strong and has some elasticity. Shellac bonded wheels
are also used for grinding cam shafts and other parts where a high polished is desired.
Other uses are sharpening large saws, cutting of operation, and finishing large rolls. They
can run safely in the water, but use of the oil or caustic soda should be avoided.
Rubber Bond: Pure rubber with sulfur as a vulcanizing agent is mixed with the abrasive
by running the material between heated mixing rolls. It is rolled to a fixed thickness and
the wheel are cut out with a proper shaped die and then vulcanized under pressure. A
very thin wheel can be made by this process because of the elasticity of the material.
Wheels having this bond are used for high speed grinding as 45–80 m/sec. They are used
a great deal as snagging wheels in foundries and also cutting off wheel.
Bakelite or Resinoid Bond: In this process, the abrasive grains are mixed with a
synthetic resin powder and a liquid solvent. This plastic mixture is then molded to proper
shape and baked in an electric oven at 200°C for one-half to three days. This bond is very
hard and strong, and wheels made by this process can be operated at speed around 50–80
m/sec. They are used for general purpose grinding and are widely used in foundries and
billet shops for snagging purposes because of their ability to remove metal rapidly.
Oxychloride Bond: It is a mixture of oxide and chloride of magnesium and setting takes
place in the cold state. The process of wheel manufacture is similar to the above two but
no heating and subsequent cooling is required on account of the cold setting property.
Aging is, however, necessary so that the bonded wheel gets adequate hardness. The bond
provides a cool cutting action. But, grinding is usually done dry as it is very susceptible to
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 19 METAL CUTTING AND MACHINE TOOLS
the action of conventional coolants and, therefore, the full use of the cutting capability of
the wheel cannot be taken.
Manufacturer’s Record: Optional for manufacturer’s code number.

19.9.2 Methods of Grindings

A number of grinding methods are used according to shape and size of the jobs. Some of
the commonly used methods can be given below as:
Cylindrical Grinding: It means grinding of outside cylindrical and tapered surface.
Internal Grinding: It means a method of grinding the internal surfaces of cylindrical or
tapered holes.
Surface Grinding: It is a method of grinding the internal surfaces of cylindrical or
tapered holes.
Face Grinding: It is a method of grinding vertical flat surfaces. The wheel spindle can be
horizontal or vertical.
Infeed or Plunge Cut Grinding: It is also a method of grinding very short work pieces. It
involves the use of grinding wheel having its face wider than the length of the surface to
be ground and feeding the same into the work with no traversing motion of it.
Form Grinding: It is a method of producing formed surface through grinding. The wheel
face is given the desired shape by dressing and then fed on the work surface, as in the
case of thread grinding and the gear teeth grinding.
Centerless Grinding: It is a method of grinding external cylindrical surfaces, in which
work is supported by a regulating wheel, a grinding wheel, and a work rest blade.
Off Hand Grinding: It is a rough grinding method in which the work is held in hand and
pressed against the rotating grinding wheel. This method is commonly used for grindings
of such items in which accuracy and surface finish are not of primary importance, such as
in sharpening cutting edges of chisels, etc.
Sharpening Cutting Tools: Several cutting tools, including single point tools, milling
cutters, drills, reamers, hobs, correct geometry, restore lost geometry, and sharpen their
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 19 METAL CUTTING AND MACHINE TOOLS
cutting edges.
Creep Feed grinding: It is a method in which a soft grinding wheel is used. The wheel
revolves in position while the work is fed past the revolving wheel at a very slow speed.
Multi passes are avoided and the entire depth of material is removed in a single pass.
Ample amount of coolant usually sulfurized oil, under pressure, is used in the process.
The dressing of the grinding wheel is continuously done during the process, for which a
diamond coated dressing wheel (roll) is mounted above the grinding wheel.

Types of Grinding Machines

Broadly, the Grinding Machine can be Classified as: Rough grinders and Precision
grinders. The main aim with rough grinders is to remove more materials than the quality
of surface finish. Therefore, it is also known as non-precision grinders. These grinders
include—Bench, pedestal or floor grinders, Swing frame grinders, Portable and flexible
shaft grinders, and Belt grinders.
Precision Grinders: There are a large number of precision grinders, but in this text, we
will discuss only cylindrical type grinders only for the basic information.

19.9.3 Cylindrical Grinders

The principle of operation of cylindrical grinding is shown in Figure 19.51. It consists of

holding fixtures rotating about its axis and feeding a fast revolving grinding wheel against
the same. If the work surface is to be ground is longer than the face width of the grinding
wheel, the work is traversed past the wheel or wheel past the work. In the case of the
larger face width of the wheel than the work length, the wheel may be fed in with no
traversing movement of it or that the work. This is known as plunge grinding. There are
three types of cylindrical grinders—plain cylindrical grinders, plain surface grinders,
universal cylindrical grinders, and centerless grinders.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.51
Cylindrical Grinders

19.9.4 Plain Cylindrical Grinders

In these grinders, the workpiece is held between two centers, i.e., headstock and
tailstock. The rotating wheel is traversed across the face of the rotating grinding wheel as
shown in Figure 19.52. At the end of each traverse, wheel is fed into the work by an
amount equal to the depth of cut. Tailstock and headstock both can be moved along the
table to suit the work. The table is usually made of two parts—the upper table carries the
tailstock, headstock, and the workpiece and can be swiveled in a horizontal plane to a
maximum of 10° on either side, along with the circular ways provided on the lower table.
This enables grinding of tapered surfaces. The lower table is mounted over horizontal
guide ways to provide longitudinal traversed to the upper table, and hence the work.
Table movement can be both by hand as well as power.

19.9.5 Plain Surface Grinders

A plane surface grinder produces a flat surface by reciprocating the job and rotating the
abrasive wheel as shown in Figure 19.53. It is similar to a planer. It consists of a movable
table, which can move in longitudinal as well as in transverse direction. The table is
equipped with the magnetic chuck to hold the job. The grinding wheel is mounted on a
horizontal or vertical spindle depends on the needs. The grinding wheel and the spindle
are mounted on a column, which allows it to be raised or lowered. The feed motion is
given to the job as in shaper and planer. The rotating motion is given to the abrasive
wheel.

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 19 METAL CUTTING AND MACHINE TOOLS

FIGURE 19.52
Plain Cylindrical Grinders

FIGURE 19.53
Plane Surface Grinders

19.9.6 Universal Cylindrical Grinders

There are following extra facilities in the universal cylindrical grinder than the plain
cylindrical grinder:
1. Its headstock can be made to carry alive or dead spindle, as desired, the former being needed when the
work is held in a chuck.
2. The headstock can itself be swiveled in a horizontal plane.
3. Its wheel head can be raised or lowered and can also be swiveled to either side by 90° to grind taper
surfaces having large taper angles.
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 19 METAL CUTTING AND MACHINE TOOLS
19.9.7 Centerless Grinders

These grinders are also a type of cylindrical grinders but the principle of centerless
grinding differs from center type grinding in that the work, instead of being mounted
between centers, is supported by a combination of a grinding wheel, a regulating wheel,
and a workrest blade as shown in Figure 19.54. The principle of centerless grinding is
used for both the external grinding as well as internal grinding. Many hollow cylindrical
and tapered workpieces, like bushes, pistons, valves, tube, and balls, etc, which are the
best ground on centerless grinders.

FIGURE 19.54
Centerless Grinding

Advantages of Grinding

It is the only method of cutting such materials as hardened steel parts requiring hard surfaces are first
machined to shape while the metal is in an annealed state and then only a small amount of excess
material is removed by the grinding operations.
It produces good finishing that is extremely smooth and, hence, very desirable at contact and bearing
surfaces. As the wheel has a considerable width, there are no marks as result of feeding it across the
work.
Grinding can finish work to very accurate dimensions in a short time. Since only a small amount of
material is removed, the grinding machines require a close regulation of the wheel, and it is possible to
hold work to a fraction of a thousandth of an inch with the considerable case.
Very little pressure is required in this process, thus permitting its use in very light work that would
otherwise tend to spring away from the tool. This characteristic permits the use of magnetic chucks for
holding the work in many grinding operations.
Abrasives have very high hardness, are less sensitive to heat compared to other materials and can
sustain high-temperature.

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 19 METAL CUTTING AND MACHINE TOOLS
RECAP ZONE

Points to Remember

The removal of extra material from a metal surface by shearing or cutting action is known as machining
or metal cutting.
In metal cutting the line generated by the cutting motion is called generatrix and the line formed by feed
motion is called directrix.
Back rake angle is the angle between the face of the tool and a line parallel with the base of the tool
measured in a perpendicular plane to the side cutting edge.
Side rake angle is the angle between the base of the tool shank and the face of the tool measured in a
plane perpendicular to the plane through the side cutting edge and at the right angle to the base.
The angle between the planes of the end flank immediately below the end cutting edge and a line
perpendicular to the base and right angle to the axis is known as end relief angle .
The angle between the planes of the side flank immediately below the side cutting edge and a line
perpendicular to the base along the axis is known as side relief angle .
The angle between the plane of the end cutting edge and the plane perpendicular to the axis, both right
angles to the base, is known as an end cutting edge angle .
The angle between the plane of the side cutting edge and the plane perpendicular to the axis, both right
angles to the base, is known as a side cutting edge angle .
The nose radius has a major influence on surface finish. A sharp point at the end of a tool leaves a
groove on the path of cut.
Orthogonal cutting is a machining process in which the cutting edge of the tool is kept perpendicular to
the direction of the tool travel.
In oblique cutting, the cutting edge of the tool is inclined at some acute angle to the direction of the tool
travel.
On the lathe, a rotational motion is provided to the job and translational motion is provided to the
cutting tool.
Turning is a metal removal process in which job is given rotational motion while the cutting tool is
given linear (feed and depth of cut) motion.
The operation of producing a circular hole by removing metal by rotation the cutting edges of a drill is
known as drilling.
The operation of finishing and sizing a previously drilled hole using a multi-edges straight cutting tool
named as reamer is known as reaming.
The operation of enlarging and finishing a previously drilled hole throughout its length by means of an
adjustable single edge cutting tool named as boring tool is known as boring.
In a shaper, cutting takes place by reciprocating tool over the job.
In a planer, cutting takes place by reciprocating the job under the tool.
The operation of producing a large hole (diameter over 50 mm) by removing metal along the
circumference of a hollow cutting tool, which enters the small previously drilled hole to produce the
larger hole concentric is known as trepanning.
Radial drilling machine consists of a vertical column supporting a horizontal arm on which drill
spindle can move in a radial direction.
Gang drilling machine is used for mass production where a number of drilling operations are to be
performed in sequence. Each drill head can be equipped with different types of drill bits.
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 19 METAL CUTTING AND MACHINE TOOLS
A multispindle drilling machine has a number of spindles driven by a single motor. All the spindles
holding the drills can be used simultaneously. It can produce a number of parallel holes simultaneously.
Milling is a metal cutting process in which different shapes and sizes of the surface are generated by
cutting action of rotating multipoint cutter fixed on a periphery of a wheel and feed is given to the work.
If the direction of cutting and feed are opposite to each other, the milling is known as up milling, and if
the directions of both are the same, the milling is known as down milling.
Slab milling, also called peripheral milling or plane milling generates flat surfaces by using the teeth
located on the periphery of the cutter body.
Side milling uses side milling cutters similar to plain milling cutters. However, in addition to teeth
around the periphery, other cutters are formed on one or both sides.
End milling is a process of machining horizontal, vertical, angular and irregular shaped surfaces.
Face milling is an extension of end milling where the cutter has large diameter with several cutting
teeth.
Gang milling is the milling operation which involves the use of a combination of more than two cutters,
mounted on a common arbor, for milling a number of flat horizontal and vertical surfaces of a work-
piece simultaneously.
Straddle milling is a milling operation in which a pair of side milling cutters is used for machining two
parallel vertical surfaces of a workpiece simultaneously.
Form milling is employed for machining those surfaces, which are of irregular shapes. The cutter used,
called a form milling cutter, will have the shape of its cutting confirming to the profile of the surface to
be produced.
Profile milling is the operation in which the profile of a template or the shape of the cavity of a
masterdie is duplicated on the work surface.

REVIEW ZONE

Multiple-choice Questions

1. The cutting edge of the tool is perpendicular to the direction of tool travel in:
1. Orthogonal cutting of metal
2. Oblique cutting of metal
3. Both
4. None of the above
2. The cutting edge of the tool is inclined at an angle less than 90° to the direction of tool travel in:
1. Orthogonal cutting of metal
2. Oblique cutting of metal
3. Both
4. None of the above
3. In metal cutting operations, discontinuous chips are produced while machining:
1. Brittle materials
2. Ductile materials
3. Hard materials
4. Soft materials
4. In metal cutting operations, continuous chips are produced while machining:
1. Brittle materials
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 19 METAL CUTTING AND MACHINE TOOLS
2. Ductile materials
3. Hard materials
4. Soft materials
5. Size of shaper is specified by:
1. The length of stroke
2. The size of the table
3. The maximum size of the tool
4. H.P. of motor
6. Size of planer is specified by:
1. The length of stroke
2. The size of the table
3. The maximum size of the tool
4. H.P. of motor
7. A standard ground drill has a point angle of:
1. 90°
2. 100°
3. 118°
4. 120°
8. For harder materials, point angle of drill:
1. Increases
2. Decreases
3. Kept at 118°
4. None of the above
9. One of the important parameters of lathe specification is:
1. Swing over bed
2. Swing over tool post
3. The distance between centers
4. Horse power
10. Centering can be done most accurately on:
1. Four-jaw chuck
2. Three-jaw chuck
3. Lathe dog
4. Collet
11. In gang milling:
1. Several jobs can be performed in one set up
2. One job is completed on several milling machines
3. Two or more cutters are mounted on the arbor then all remove the metals simultaneously
4. None of the above
12. Spot facing is the operation of:
1. Enlarging the end of a hole cylindrically
2. Cone-shaped of the enlargement of the end of a hole
3. Smoothing and squaring the surface around a hole
4. Sizing and finishing a hole
13. counter sinking is the operation of:
1. Enlarging the end of a hole cylindrically
2. Cone-shaped of the enlargement of the end of a hole
3. Smoothing and squaring the surface around a hole
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 19 METAL CUTTING AND MACHINE TOOLS
4. Sizing and finishing a hole
14. Reaming is an operation of:
1. Enlarging the end of a hole cylindrically
2. Cone-shaped of the enlargement of the end of a hole
3. Smoothing and squaring the surface around a hole
4. Sizing and finishing a hole
15. Drilling is a type of:
1. Oblique cutting
2. Simple cutting
3. Uniform cutting
4. Orthogonal cutting
16. Drill diameter is measured over the:
1. Main body
2. Margins at the drill point
3. Heel
4. Lips
17. The chip is cut off at thinnest place and then chip thickness increases along chip length in:
1. Up milling
2. Down milling
3. End milling
4. Climb milling
18. Maximum friction is caused in:
1. Up milling
2. Down milling
3. End milling
4. Climb milling
19. The cutting force tends to lift the work piece in:
1. Conventional milling
2. Down milling
3. Climb milling
4. Form milling
20. Advantages of conventional (up) milling is:
1. Older machines have backlash in their lead screws can be used
2. On sand casting cutter is not damaged
3. Better finish obtained on steel but not on aluminum
4. All the above
21. Disadvantage of conventional milling is:
1. Chip gets picked up and carried around the cutter, thereby spoiling the finish
2. On steel, the finish may be slightly rougher
3. The machine must have zero backlashes or there will be chatter as the cutter tries to pull the table
faster than the feed rate.
4. All the above
22. Grinding is a process of removing materials by:
1. Cutting action
2. Rubbing action
3. Wearing action
4. Polishing action
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 19 METAL CUTTING AND MACHINE TOOLS
23. After dressing operation, a grinding wheel is required to adjust the:
1. Guard
2. Eye shield
3. Tool rest
4. All of the above
24. In the case of cylindrical grinding, the depth of cut normally used for roughing is:
1. 0.05 mm
2. 0.01 mm
3. 0.005 mm
4. 0.001 mm
25. In the case of cylindrical grinding, the depth of cut normally used for roughing is:
1. 0.05 mm
2. 0.01 mm
3. 0.005 mm
4. 0.001 mm

Fill in the Blanks

1. 26. In metal cutting operation, chips are formed due to ____ of metal.
2. 27. In center lathe, cutting tool is fed in ____ directions with reference to the lathe axis.
3. 28. The work piece cannot be held in a lathe chuck can be clamped to a ____ mounted on a headstock
spindle.
4. 29. The cutting action of a shaper occurs only on the ____ stroke of the ram.
5. 30. Quick return motion is incorporated in a shaper, a planer and ____.
6. 31. A slotter can be considered as a ____ shaper having only vertical movement of ____.
7. 32. Any number of equal division can be obtained on milling machine by ____.

Answers

1. a
2. b
3. a
4. b
5. a
6. b
7. c
8. a
9. a
10. a
11. a
12. a
13. b
14. d
15. a
16. a
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 19 METAL CUTTING AND MACHINE TOOLS
17. b
18. a
19. a
20. d
21. d
22. b
23. a
24. b
25. c
26. shearing
27. axial
28. faceplate
29. forward
30. slotter
31. vertical shaper, cutting tool
32. indexing

Theory Questions

1. * Enumerate the operations which can be performed on lathe machine.

2. Explain the various techniques to perform a taper turning on a lathe.
3. * What are the differences between shaper and planer?
4. Explain quick return mechanism used in shaper with neat sketch.
5. * Explain the working of radial drilling machine with a neat sketch.
6. Explain the stepped cone pulley drive in the lathe.
7. * Differentiate up milling and down milling.
8. Draw a neat diagram of the horizontal and vertical milling machine.
9. Explain feed mechanism used in a drilling machine.
10. What are the various types of milling operations, explain with the neat sketch?
11. Write short notes on counter boring, counter sinking, spot facing, and trepanning.
12. What do you mean by grinding? How it differs from milling?
13. Draw a neat sketch of the drill bit and explain all the terminology used for nomenclature.
14. Discuss the method of nomenclature of grinding wheel.
15. Explain the various methods of grinding.
16. Explain the method of centerless grinding.
17. Discuss the working of the cylindrical grinding machine with a neat sketch.
18. Discuss the working of plane grinding machine with a neat sketch.
19. Discuss the surface finishing methods with various applications.
20. * Write the difference between shaper and slotter machines?
21. * Explain the different types of grinding process with sketches.
22. * Draw a well-labeled neat sketch of lathe machine and state the functions of its different parts.
23. * Explain with figure taper turning with compound slide swiveling method.
24. * With the help of a neat sketch, explain the working of a universal milling machine.
25. * Explain with figure working principle of centerless grinding machine.
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 19 METAL CUTTING AND MACHINE TOOLS
26. * Explain any two milling operations.
27. * With a neat sketch, explain the principle and operation to produce a “taper’ on a lathe by tail stock set
over method.
28. * Differentiate between the cross slide and compound slide.
29. * List any four differences between the horizontal milling machine and vertical milling machine.
30. * Differentiate between (i) Counter sinking and counter boring and (ii) Reaming and Boring.
31. * Explain plane milling, end milling, slot milling, with a neat sketch.
32. * Sketch a radial drilling machine and explain its working.
33. * Draw the neat sketch of the horizontal milling machine and explain parts.
34. * List the four elements which specify the size of the Lathe.
35. * With a neat sketch, explain the following lathe operations.
36. * Facing, Cylindrical turning, Knurling, Thread cutting.

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CHAPTER 20
Casting and Welding
Learning Objectives

By the end of this chapter, the student will be able:

To describe the different types of casting processes
To demonstrate the process of pattern making, mould making, core making, and the methods of
sand testing
To describe the casting defects and their remedies
To describe the welding as a metal joining process
To demonstrate the different types of welding techniques with some allied processes such as
soldering, brazing and braze welding
To describe the welding defects and their remedies

CASTING

20.1 INTRODUCTION

Casting is an ancient manufacturing process. It had been used during 4000-5300 B.C. for
manufacturing of copper arrowheads. In the field of casting, a number of modern
technologies have been developed such as Die casting, Permanent mold casting, vacuum
casting, continuous casting, electromagnetic casting, etc. but sand casting is one of the
oldest casting technologies and has wider applications in the field of manufacturing
technology. The use of casting parts is increasing continuously due to ease of
manufacturing of complicated parts. Some metals can be shaped by casting only because
of the specific metallurgical and mechanical properties. Casting is most suited for
intricate shapes and for parts with internal cavities, such as engine blocks, cylinder heads,
pump housing, crankshaft, machine tool beds, and frames, etc.
The casting process can be defined as a primary shaping process in which a molten metal
is poured into a mold cavity and allowed to solidify for a predetermined time so as to take
the shape of the mold, after complete solidification, it is taken out from the mold. The
product of casting is also known as casting and the place where casting work is done is
known as “foundry shop”.

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 20 CASTING AND WELDING
20.2 CLASSIFICATION OF CASTING PROCESS

Casting process can be classified on the basis of expandable mold and multiple-use mold
as shown in Figure 20.1. Expandable mold is destroyed after solidification of the casting.
But, multiple-use mold can be used to make many casting. Expandable mold is used for
very complicated casting design. In this process, the production rate is lower than the
multiple-use mold. A multiple-use mold is used for simple casting and it has high
production rate.

FIGURE 20.1
Classification of the Casting Process

20.3 SAND CASTING

A model of a mold used in sand casting is shown in Figure 20.2. Molding material—
material that is packed around the pattern to provide the mold cavity is green sand. The
various parts of mold can be defined as below:
Flask: It is a rigid box opens at top and bottom that holds the complete mold. Flask may
be divided into three parts—the upper, middle, and lower; these three parts are known as
cope, cheek, and drag, respectively.

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 20 CASTING AND WELDING

FIGURE 20.2
A Model of Mold Used in Sand Casting
Core: A sand or metal shape that is inserted into the mold to create internal hole or
recess.
Mold Cavity: It is a cavity of casting shape in the mold connected to runner and riser. It
is used to pour the molten metal in which metal solidifies and gets the shape of the cavity.
Riser: An additional opening in the mold that provides additional metal to compensate
for shrinkage and also helps to remove gas or vapor formed during pouring the molten
metal into the cavity.
Gating System: It is a network of channels that delivers the molten metal to the mold
cavity.
Pouring Cup/Basin: It is located at the top surface of the mold and connected to an
upper part of down sprue. It prevents the splitting of molten metal.
Downsprue: It is a vertical portion of the gating system. It facilitates the streamline flow
of molten metal.
Runners: It is a horizontal channel which connects the down sprue and gates.
Gate: It controls the amount of flow of molten metal at the entrance of cavity.
Parting Line: It is dividing a line of Cope and drag.

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 20 CASTING AND WELDING
20.3.1 Steps in Sand Casting

Sand is the most suitable material for expandable mold. It has sufficient properties of
molding materials such as refractoriness, permeability, flowability, adhesiveness,
cohesiveness, etc. Sand casting is most versatile and most common form of casting. In
this method, a mold of sand with binding materials and water is prepared in which molten
metal is poured and allowed to solidify. The entire casting process can be represented as
a chain as shown in Figure 20.3.

FIGURE 20.3
Steps in Sand Casting
A green sand mold is prepared with the help of a pattern. The green sand mold is a
mixture of green sand, binders, and water. The pattern is made of wood plastics, metal,
wax, etc. The selection of pattern materials is based on the type of casting process.
After pattern/mold making, metal is melted in the cupola or in another suitable furnace.
The molten metal is poured into the mold cavity. The solidification process allows the
product to gain the desired properties and strength. The shrinkage in casting is controlled
by the riser and proper design of the mold. After solidification, casting is removed from
the mold and sent to cleaning, finishing, and inspection. Finally, the casting defects are
rectified.

20.3.2 Pattern Making

The pattern is a replica of the product, which is to be manufactured through casting. It is

used to make a mold cavity of required shape and size. Various types of pattern materials
such as wood, aluminum, steel, plastic, cast iron are used in sand casting. The selections
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 20 CASTING AND WELDING
of pattern materials are based on their properties, for example, machinability, wear
resistance, strength, weight, repairability, resistance to corrosion and swelling.

Pattern allowances

The surface finish of the casting product may not be as good as required, therefore, extra
dimensions in the pattern are provided. The extra dimensions or extra materials provided
for the pattern are known as allowances. The following allowances are provided for
pattern making:
1. Draft Allowance/Taper allowance.
2. Machining allowance.
3. Shrinkage allowance.
4. Distortion allowance.
5. Shaking allowance/Rapping allowance.

Draft Allowance: To exit out the pattern from the mold easily, the surfaces of the pattern
are made taper. The larger dimension side of the pattern is at the parting line. The taper
provided may be 1° to 3°. When small jerk is given to pattern to exit out from the mold;
air enters into the small clearance created due to the jerk and breaks the contact between
pattern and mold surfaces. The inner side surface of the pattern is provided more taper
angle because during solidification metal shrink towards the core. The amount of draft
allowance depends on the material used for mold making the shape, the size of the
pattern, etc.
Shaking/Rapping Allowance: To remove the pattern from the mold, the pattern is
rapped with the help of draw spike so that they can be detached from the mold. But to
the rapping, the cavity in the mold gets enlarged. Therefore, the pattern is made smaller
than the casting, which is known as shaking allowance. This is a negative allowance.
Machining Allowance: The dimensional accuracy and surface finish of the casting
(especially sand casting) is poor. Therefore, machining is required for good surface finish
and dimensional accuracy; to compensate the removal of unwanted materials, extra
materials are provided to the pattern, which is known as machining allowance. Machining
allowance depends on the type of casting process, for example, machining allowance in
die-casting is very small in comparison to sand casting.
Shrinkage/Contraction Allowance: Most of the metals occupy more volume in a molten
state in comparison to solid state. When molten metal is poured into a mold cavity there
is shrinkage in metal during solidification. When metal is transferred from molten state to
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 20 CASTING AND WELDING
solid state there is shrinkage and from hot solid state to room temperature solid state,
there is additional shrinkage. So the volume of the pattern is larger than the casting. The
extra dimension provided to the pattern to compensate the shrinkage is known as
shrinkage allowance.
Distortion Allowance: Distortion in casting occurs in the process of cooling. It occurs
due to thermal stresses developed due to differential solidification. It applies to the
casting of irregular shape. To eliminate this defect, an opposite allowance of equal
amount is provided in the pattern, which is known as Distortion Allowance.

20.3.3 Types of Pattern

1. Solid pattern or Single piece pattern.

2. Split pattern.
3. Loose piece pattern.
4. Gated pattern.
5. Match plate pattern.
6. Sweep pattern.
7. Skeleton pattern.
8. Cope and Drag pattern.
9. Segmental pattern.
10. Follow board pattern.

Solid Pattern/Single Piece Pattern: A single piece pattern is used for a simple casting. In
this pattern, no joint or partition is used. It can be molded in a single molding box as
shown in Figure 20.4.
Split Pattern: If the design of the pattern is not simple, it difficult to withdraw as a single
piece from the mold. The pattern is made into two pieces or into a split form and joined
together by dowels, which is shown in Figure 20.5.
Loose Pieces Pattern: Some single piece patterns are made to have loose pieces in order
to enable their easy withdrawal from the mold. These pieces form an integral part of the
pattern during molding (Figure 20.6). After the mold it completes, the pattern is
withdrawn leaving the pieces in the sand, which are later withdrawn separately through
the cavity formed by the pattern.
Gated Pattern: In a mass production, where many castings are required, gated pattern
may be used. Such patterns are made of metal to give them strength and to eliminate any
warping tendency. The connecting parts between the patterns from the gates or runners
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 20 CASTING AND WELDING
for the passage of molten metal into the mold cavity, are the integrated parts of these
patterns (Figure 20.7).

FIGURE 20.4
Single Piece Pattern

FIGURE 20.5
Split Pattern

FIGURE 20.6
Loose Piece Pattern

FIGURE 20.7
Gated Pattern
Match Plate Pattern: Match plates provide a substantial mounting for patterns and are
widely used with machine molding. In the Figure 20.8, a match plate is shown upon
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 20 CASTING AND WELDING
which are mounted the patterns for two small dumb bells. It consists of a flat metal or
wooden plate, to which the patterns and gates are permanently fastened. On either end of
the plate are holes to fit into a standard flask (Figure 20.8).

FIGURE 20.8
Match Plate Pattern
Sweep Pattern: Sweeps can be used for preparing molds of large symmetrical castings of
circular cross-section. The sweeping equipment consists of a base, suitably placed in the
sand mass, a vertical spindle and a wooden template, called a sweep. The sweep may
have a different shape of casting desired. The sweep is rotated about the spindle to form
the cavity (Figure 20.9). Then the sweep and spindle are removed. The filling sand
patches the hole of the spindle. Cores are fitted, as required.

FIGURE 20.9
Sweep Pattern
Skeleton Pattern: Skeleton pattern requires a large amount of wooden work. It is used
for large size casting. A pattern consists of a wooden frame and strips, called skeleton
pattern. It is filled with loam sand and rammed properly, and surplus sand is removed.
Both halves of the pattern are symmetrical as shown in Figure 20.10.
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 20 CASTING AND WELDING

FIGURE. 20.10
Skeleton Pattern

Cope and Drag Pattern

Cope and drag pattern is used for heavy casting which is difficult to handle in a single
piece. This pattern is made in two parts in cope and drag and finally assembled together
to form a complete mold cavity (Figure 20.11).

FIGURE 20.11
Cope and Drag Pattern

Segmental Pattern

The segmental pattern is used for large ring-shaped casting (Figure 20.12). A vertical
central spindle is firmly fixed near the center of a drag flask. The bottom of the mold is
then rammed and swept level with a sweep. Now, with the segmental pattern is properly
fastened to the spindle and in a starting position, molding sand is rammed up on the inside
and outside of the pattern but not at the ends. After the surplus sand has been leveled off
from its top, the segmental pattern is unfastened from the spindle, rapped and drawn. The
next position for the segmental pattern will be adjoining its last position with sufficient
overlap to ensure continuity. The process is continued until a complete ring-shaped mold
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 20 CASTING AND WELDING
cavity has been made. The mold may be closed with a cope or with cover cores. Sweeps
and segmental patterns are widely used for making large gears, wheels, and sheaves.
Cores made in one core box may be set together on a level surface to form spokes and
inside surfaces of the rim and the hub. A large cast gear can be molded with a segmental
pattern having only three or four teeth.

FIGURE 20.12
Segmental Pattern
Follow Board Pattern: Follow board is a wooden board, which is used to support a thin
section pattern. The pattern may have a cavity shape or projection shape. Due to thin
section during ramming, there is a chance of breaking of pattern, therefore, a support of
the same shape follow board is required which is shown in Figure 20.13.

FIGURE 20.13
Follow Board Pattern

Color Codes Used in Pattern

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 20 CASTING AND WELDING
Following color codes are used on the pattern for various purposes as given below:
Red: Surface is to be machined.
Black: Surface is to be left unmachined.
Yellow: core print is to be used.
Black Stripes or Yellow Base: Stop offs.
Clear or No Color: Parting surface.

20.3.4 Mould Making

Mold making is a process of creating a replica of casting with the help of patterns and
molding sand. The cavity, produced in the sand body, facilitates the molten metal to
solidify and to take the shape of the cavity. Various types of molding sands used in a
foundry are classified as:
Green Sand: Green sand is a mixture of silica sand, clay and water. Normally
percentages of water and silica in the green sand are 6% and 18% respectively.
Dry Sand: Dry sand initially has high moisture content but the moisture has been
evaporated from it by drying its mold in an oven.
Parting Sand: Paring sand is used on the parting plane to prevent the sticking of cope
and drag part.
Baking Sand: This is already used sand in casting. Before reuse, it is riddled to remove
all foreign materials and used to fill the molding flask after facing sand has been rammed
around the pattern.
Facing Sand: This is freshly prepared and tempered foundry sand and it is used all
around the pattern and remainder may be green sand.

Types of Molds

Mold is a cavity of heat resistant materials into which a molten metal is poured. Sand is
most suitable for mold material due to heat receptivity, permeability, and low cost but
metal molds are also used for small nonferrous and precision casting. The various types of
molds used in casting can be classified as:
Green Sand Mold: Green sand is a mixture of silica sand, clay and water. The
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percentages of clay and water in the mixture vary from 10% - 12% and 3% - 6%
respectively. It is known as green sand due to wetness.
Skin-dried Molds: In this mold, the cavity surface up to a depth of ½ inch is dried and
hard. Generally, two methods are employed to prepare a skin dried sand mold. In the first
method for preparing the skin—dried mold, the sand around the pattern to a depth of ½
inch, is mixed with a binder so that when it is dried it will leave a hard surface on the
mold. In the second method, the entire internal surface of the mold is coated by spray or
wash with linseed oil, molasses water, gelatinized starch, etc. which harden on heating.
Dry Sand Molds: Dry sand mold is made from coarse molding sand with a binding
material. It is a mixture of green sand and cereal four and pitch. The prepared mold is
baked in an oven at 110 to 260°C for several hours for hardening. This type of mold is
generally used for large steel castings. They give better surface finish and also reduce the
incidence of the casting defects such as gas holes, blow holes or porosity. However, due
to the greater strength of these molds, tearing may occur in hot-short materials.
Loam Sand Moulds: Loam sand molds are used for large work like Pit molding. The
mold is first built with bricks or iron parts. These parts are then plastered over with a
thick loam mortar, the shape of the mold is obtained with sweeps or skeleton pattern. The
mold is then allowed to dry thoroughly so that it can resist the wear due to heavy rush of
molten metal.
Core Sand Molds: Core sand molds are made from core sand in subparts and assembled
together. They are made in subparts due to difficulty in handling during baking.
Metal Molds: Metal molds are used in die-casting of low melting temperature alloys. It
may be used for ferrous and non-ferrous casting but it is more suitable for non-ferrous
casting. Castings have a smooth surface finish, accurate size, and better mechanical
properties and are produced with a faster rate of production. Thus, machining works are
eliminated.

Special Molds

1. Co2 Molds

This is also a sand molding in which water glass (Na2 O.xSiO2, Sodium silicate) is
used as a binder. After the mold is prepared, CO2 is made to flow through the mold
and mold gets hardened. The chemical reaction for the process is:
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 20 CASTING AND WELDING

Na2 O.xSiO2 + nH2O + CO2 → Na2 CO3 + x.SiO2.n(H2O) Stiff gel.

This is one of the methods of quick mold hardening.

2. Resin-bonded Sand Molds

In this mold, green sand mixture is mixed with thermosetting resins such as linseed
oil. The resin is oxidized during baking and mold gets hardened due to
polymerization.
3. Shell Molds

These molds are prepared by heating a mixture of sand and resin over the surface of
a metallic pattern. This enables the production of a thin and rigid layer of uniform
thickness which, when separated from the pattern surface, forms one part of the
shell. Two such parts are joined to form a complete shell mold.

20.3.5 Properties of Mouldings Sands

Refractoriness: Refractoriness is a property of molding sand due to which it can

withstand the high-temperature of molten metal without fusing and burning.
Permeability: Permeability is the ability of molding sand to escape vapor and gases
formed during pouring the molten metal into the mold cavity. Due to lack of permeability,
there may be casting defects like blowhole, porosity, and pinholes.
Flowability or Plasticity: Flowability is that property of molding sand due to which it
flows uniformly into the molding box during ramming.
Adhesiveness: Adhesiveness is the adhering ability of the sand particles to other
materials due to which the heavy sand mass is successfully held in a molding flask
without any danger of its falling down.
Cohesiveness: This is a property of sand particles due to which it bind together firmly so
that it can be easily withdrawn from molding box without damage the mold surfaces and
edges.
Collapsibility: It is a property of the molding sand due to which mold collapses
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 20 CASTING AND WELDING
automatically after solidification of the casting to allow free contraction of the metal.

Binders Used in Molding Sand

Various types of binders used in molding sand are given as below:

Clays:
Fireclay: 2SiO2.Al2O3.2H2O
Southern Bentonite: Al1.67Mg0.33Ca0.35,O3.4SiO2.2H2O
Western Bentonite: Al1.67Mg0.33Na0.33,O34SiO2.H2O.
Secondary Mica Clays: K2O.6SiO2.3Al2O3.2H2O.

Oils: (Hardened by baking) Vegetable oil (Linseed oil), Marine animal (Whale oil), and
Mineral oil (used as diluting oil).
Synthetic Resins (Thermosetting Plastic): Urea Formaldehyde, Phenol formaldehyde.
Cereal Binders Made from Corn: Gelatinized starch (made by wet milling, contains
Starch and Gluten), gelatinized corn flour (made by dry milling), and dextrin (made from
starch, a water-soluble sugar).
Wood Products Binder: Natural resin (e.g., resin, thermoplastic), sulphite binders
(contain lignin, produced in the paper-pulp process), water soluble gums, resins and
organic chemicals.
Protein Binders (Contains Nitrogen): Glue, casein.
Other Binders: Portland cement, pitch (a coal tar products), molasses, cements, sodium
silicate (water glass, Co2).

Additives used in molding sands are coal dust, sea coal, cereals or corn flour, silica flour,
wood flour, pitch, dextrin and molasses, and fuel oil.

20.3.6 Hand Tools Used in Moulding (Figure 20.14)

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 20 CASTING AND WELDING

FIGURE 20.14
Hand Tools for Sand Molding
Bellows: This is used to blow out loose sand from the cavities and surface of the mold.
Slick: Slick is used for repairing molds is called a slick. It is a small double-ended tool
having a flat on one end and a spoon on the other. It is also available in various shapes.
Lifter: Lifters are used for smoothing and cleaning out depressions in the mold. They are
made of thin sections of steel of various widths and lengths with one end bent at right
angle.
Rammer: A hand rammer is used to pack the sand in the mold. One edge of the rammer,
called the peen end, is wedge-shaped, and the other end called butt end, is flat.
Pneumatic rammers are used in large molds, saving considerable time.
Draw Spike: A draw spike is a pointed tool at one end and loop at another end. It is
driven into a wooden pattern and withdraws the pattern from the mold.
Riddle: A riddle is a standard mesh screen is used to remove foreign particles from the
sand.
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 20 CASTING AND WELDING
Swab: A swab is a small brush having long hemp fibres, and is used for moistening the
sand around the edge before the pattern is removed.
Gate Cutter: This is u-shaped thin metal strip, which is used to cut a gate for metal
feeding into the cavity.
Trowel: It is available in various shapes and is used for finishing and repairing mold
cavities as well as for smoothing over the casting surface of the mold.
Vent Wire: This is a sharp pointed wire and used to punch holes through the sand after
ramming for the escape of the vapor and gases produced by pouring the molten metal.
Cope and Drag: Cope is the upper part of molding box. Drag is the lower part of molding
box. The middle part of the molding box is known as a chick if three parts of molding box
are used.

20.3.7 Moulding Procedure

At first, the pattern is placed on molding board, which fits the flask being used. The lower
molding box is placed on the board with the pin down as shown in Figure 20.15 (a).
Molding sand, which has previously been tempered, is filled over the pattern. The sand
should be pressed around the pattern with the fingers then the box is filled completely.
The sand is then firmly packed in drag part of the box by means of a hand rammer. For
ramming the sand near of the wall of the flask the peen end rammer should be used first,
additional sand being placed into the drag as the sand is settled down. The inside area of
the drag is then rammed with the butt end of the rammer. The ramming should be
optimum. If the mold is not sufficiently rammed, there will be a chance of breaking the
mold during handling. On the other hand, it will not permit the vapor and gas to escape
from the mold if it is rammed too hard.
When ramming has been completed, the surplus sand is leveled off with the help of
strike-off bar. In order to ensure the escape of the gases, few small vent holes are made
through the mold with the help of vent wire. The completed lower half of mold, i.e., the
drag is then rolled over and the pattern is exposed. The upper surface of the mold is first
smoothed over with a trowel and is then covered with a fine coating of dry parting sand
to prevent the sticking of the sands in the cope.
The cope is now placed on the drag as shown in Figure 20.15 (b), the pins on either side
holding it in the proper position. A sprue pin and riser is placed at the right position. The
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 20 CASTING AND WELDING
rest of the operations such as filling, ramming, and venting of the cope are repeated in the
same manner as before.
Riser and sprue pin is removed. The cope half of the flask is lifted off and set to one side.
Before the pattern is withdrawn, the sand around the edge of the pattern should be
moistened with a swab so that the edges of the mold will hold firmly together when the
pattern is withdrawn.

FIGURE 20.15
Steps in Mold Making
To loosen the pattern, a draw spike is driven into it and rapped lightly in all directions.
The pattern can then be withdrawn by lifting up the draw spike. Before mold is closed
again, a small passage, i.e., gate must be cut from the mold at the bottom of the sprue
opening. Now mold is closed for pouring the molten metal.

20.3.8 Gating System

A network of the passage of molten metal from pouring basin to mold cavity is known as
gating system. It consists of pouring basin, down sprue, skim bob, runner, gate, riser, etc.
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 20 CASTING AND WELDING
A good gating system should have the following properties:
1. Metal should enter the mold cavity with low turbulence.
2. Erosion of passageway should be avoided.
3. There should be the provision of directional solidification of metal. The solidification should progress
from mold surfaces to the hottest metal so that there is always hot metal available compensate for
shrinkage.
4. Slag or other foreign particles should be prevented from entering the mold cavity using skim bob.
5. There should not be aspiration problem due to poor design of down sprue.

Types of Gates

Parting line gate-metal enters the cavity at parting plane.

Top gate-metal enters at top of the cavity.
Bottom gate-metal enters from the bottom of the cavity.
Side gate-metal enters from the side of the cavity.

FIGURE 20.16
Types of Gating Systems

Risers

Risers are provided in the mold to feed molten metal into the cavity to compensate the
shrinkage. In the initial stages of pouring it allows the air, steam and gases to go out of the
mold. They should be large in section, so as to remain molten as long as possible and
should be located near heavy sections that will be subject to heavy shrinkage and are last
to freeze.
Risers used in casting may be either open type or blind type. The open riser is open to
atmosphere. The blind risers are dome shaped either on the top or side of a casting. It is
surrounded by the molding sand from all sides. A vent may be provided at its top. This
riser may be located in either the cope or the drag. It derives its feeding force from the
force of gravity on the liquid metal in it. Blind risers provide molten metal more hot in
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comparison to open risers.

20.3.9 Chills

Chills are used to improve the directional solidification with faster heat conduction by
metallic chills; solidification is initiated and accelerated at desired locations. The thinner
section of a casting solidifies earlier in comparison to thicker section, which results in
distortion, internal stress set up, crack, etc. Chills increase the solidification rate in
thicker section and equal the solidification rate in thinner section. There are two types of
chills—internal and external.
Internal Chills: They are located within the mold cavity and form a part of the casting.
They are usually in the form of thin wires and are hung in the mold by inserting their one
end into the sand.
External Chills: They are embedded in the mold such that they are flush with the mold
walls and form a part of it. Their exposed surface is given the desired shape so that it
confirm to the shape of mold wall and hence of the casting.
Chills are metallic objects of high-heat capacity and high thermal conductivity which are
placed in the mold/mold cavity to increase the cooling rate of castings or to promote
directional solidification. These are cleaned of scale/oxide to avoid any reaction with hot
metal.

20.3.10 Chaplets

Sometimes, it is impossible to use core print to support the core. In this case, a metallic
support is used which is known as chaplet. Chaplet is made of same material as the
material of casting. It gets fused with molten metal.
Chaplets are placed in a mold between the mold face and the core as shown in Figure
20.17. It should be in such a position that its head is large enough to provide large bearing
surface and stern thin to fuse properly into the molten metal.

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 20 CASTING AND WELDING

FIGURE 20.17
Use of Chaplets in a Sand Mold

20.3.11 Cores

The core is a sand body specially prepared in a core box and it is used to form a
cavity/hole/ recess or projection in a casting for different purposes. As core is surrounded
by liquid metal from all the sides, it has to have better characteristics than the molds.
Better raw sand and binder are used for the purpose. The main characteristics of the core
are—highly permeable, highly refractory, hard, and high collapsible. Various types of
cores are shown in Figure 20.18.

FIGURE 20.18
Types of Cores
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 20 CASTING AND WELDING
Horizontal Core: Horizontal core is used to provide a hole in the casting from one end to
other end and lies axially horizontal. The both ends of the core are supported in the mold.
Generally, it is located at parting line but its location depends on the shape. In the case of
uniform core, it is located at the parting line.
Vertical Core: This is similar to the horizontal core but lies axially vertical. It is
supported by core prints in drag and cope. It is slightly tapered and its major part lies in
drag.
Balanced Core: This is just like a cantilever. It’s one end is supported in mold and the
other end is free. It is used to produce a blind hole in a casting.
Hanging Core: Hanging core is supported only at the top in the cope and there is no
support at the bottom. The whole portion of the core lies in the cavity in the drag of the
mold. It is also known as cover core since it acts as a cover for the cavity.
Drop Core: A drop core is required when the hole is not in line with the parting surface
but must be formed at a lower level. It’s one side remains flush with the inner surface of
the mold and back is provided with enough taper for its location.
Kiss Core: Kiss core is held vertically in the mold. It is not supported by the core print. It
held vertical due to the pressure of the cope and drag part of the mold.
Core Print: Core print is a sand body, which is used to give support to the core.

20.3.12 Sand Testing

Following sand testing methods are used in the foundry.

Moisture Content Test: To find the moisture content in the sand, moisture teller
equipment is used. It consists of cast iron pan, an infrared heater bulb fitted in a shade. 20
gm sand is taken in a pan and it is exposed in infrared heater for 2 to 3 minutes. The
difference in weight is found (i.e., weight before drying and weight after drying), which
shows the amount of moisture.
Clay Content Test: Clay content in the sand is determined by washing the clay from a 50
gm of sand in water and sodium hydroxide several times. After washing sand is dried and
weighed. The decrease in weight is clay content in the sand.

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 20 CASTING AND WELDING
Fineness Test: According to American Foundrymen’s Society Sieve Analysis, the
foundry sand for its grain size is tested with the help of a sieve. The test is performed on
50g clay-free, dried sand sample. The sample is placed on the top of a series of 11 sieves
having the numbers as 6, 12, 20, 30, 40, 50, 70, 100, and the sieves are shaken. The
amount of sands retained on each sieve and the bottom pan is weighed and its percentage
in total sample is determined. To obtain the AFS fineness number, each percentage is
multiplied by a factor, which is the size of the preceding sieve. The fineness number is
obtained by adding all the resulting products and dividing the total by the percentage of
sand retained in the sieve set and pan.

Permeability Test: Permeability is a measure of gas passes through the narrow voids
between the sand grains. It is measured in terms of a number known as permeability
number. Permeability number is defined as the volume of air in cubic centimeter that will
pass per minute under a pressure of 10 gram per square centimetre through a sand
specimen, which is 1 square centimeter in cross-section and 1 cm deep.

Permeability number,
(Where, V = Volume of air, H = Height of specimen, P = Air pressure, A = Cross-
sectional area of sand specimen, T = Time in sec.)

Compression Test: Compressive strength of molding sand is found by this test. A

compressive load of sufficient amount is applied on a cylindrical sample of 50 mm high
and 50 mm in diameter so that it just starts to breaks. Sands of low moisture and excess
moisture are said to have poor strength.
Hardness Test: Hardness test of sand mold or core is done on a hardness testing
machine. It carries a hemispherical ball or tip at its bottom, which is penetrated into the
mold surface. A spring-loaded shaft inside the hollow body of the instrument actuates the
needle of the dial gauge fitted at the top. The dial of this gauge provides a direct reading
of the mold hardness.

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 20 CASTING AND WELDING
20.4 SPECIAL CASTING METHODS

In addition to sand casting, there are several other casting processes that are mentioned
below:

20.4.1 Gravity/Permanent Mould Casting

In this casting method, metallic molds are used which can withstand the high-temperature
of molten metal. The permanent mold is made into two parts; both parts are hinged at one
end and clamped at another end. Mold is preheated before filling the molten metal. After
solidification mold is opened and casting is removed. Again it is closed and used for
another casting without preheating since the heat from the previous cast is usually
sufficient to maintain the mold temperature.

Advantages

Fine grain structure is obtained which results in better mechanical properties.

Casting has a good surface finish and closer dimensional tolerance.
Casting is free from embedded sand.
This process is economical for large production.

Disadvantages

This process is not suitable for small production due to the high cost of the die.
This process is more suitable for casting of low melting point metal or alloys.
Mold life is limited.
A complicated shaped casting is difficult to produce by this process.

20.4.2 Die Casting

There are two types of high-pressure die-casting:

1. Hot-chamber die-casting.
2. Cold-chamber die-casting.

Hot-chambers Die-casting

A hot chamber die-casting machine is shown in Figure 20.19. This machine is used with
alloys of low melting points because of the difficulties encountered such as increased
819
 20 CASTING AND WELDING
corrosion of the machine parts at high-temperatures. Since many metals have an affinity
for iron, only those casting alloys are used that do not attack the immersed metal parts.
Alloys of zinc, tin, and lead are particularly recommended for these machines.

FIGURE 20.19
Hot-chamber Die-casting Machine
In the hot-chamber die-casting method, the melting pot is including within the machine
and the injection cylinder is immersed in the molten metal. The injection cylinder is
actuated by either air or hydraulic pressure, which forces the metal into the die cavity.
The metal is held under pressure until it solidifies. The improved die design and rapid
cooling can reduce cycle time.

Cold-chamber Die-casting

Cold chamber die-casting is used for relatively high melting point non-ferrous alloys such
as aluminum, magnesium, and brass which require higher pressure and temperature for
melting. These metals are not melted in a self-contained pot as in hot-chamber die casting
due to the short life of pot (Figure 20.20). Therefore, the metal is melted in an auxiliary
furnace and is ladled to the plunger cavity next to the dies. It is then forced into the dies
under hydraulic pressure. The cold-chamber die casting machines operating by this
method is built very strong and rigid to withstand the heavy pressure exerted on the metal
as it is forced into the dies.

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 20 CASTING AND WELDING

FIGURE 20.20
Cold-chamber Die-casting Machine

Advantages of Die Casting

Production rate is very high.

Parts have good dimensional accuracy and surface finish.
Because of high-pressure a thin wall up to 0.5 mm of casting can be produced.
No riser is used due to the use of high-pressure injection of molten metal.

Limitations of Die Casting

Die casting has a porosity problem as gases tend to be entrapped.

The process is economical for a large production run only.

20.4.3 Centrifugal Casting

In this casting process, centrifugal force is used to feed the molten metal into the mold
cavity, i.e., mold is rotated at high speed (300-3000 rpm). This process is more suitable
for symmetrical shaped casting but other types of casting can also be produced. The
centrifugal casting can be classified as follows:
True Centrifugal Casting.
Semi Centrifugal Casting.
Centrifuging.

True Centrifugal Casting

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 20 CASTING AND WELDING
True centrifugal casting is used for pipe, liners and symmetrical hollow body. They are
cast by rotating the mold about its axis horizontally or vertically (Figure 20.21). The
metal is held against the wall of the mold by centrifugal force and no core is used to form
a cylindrical cavity inside the casting. The wall thickness of the pipe produced is
controlled by the amount of metal poured into the mold.

FIGURE 20.21
Centrifugal Casting

Advantages

This process produces clean casting since all foreign matter collected on the surface of the central hole
can be easily removed by machining.
The Dense metal component is produced due to centrifugal force.
There is no need to use central core, riser, and runner.
It can be used for large production.

Disadvantages

Equipment cost is high.

True centrifugal casting is limited to certain shapes only.

Semi Centrifugal Casting

Semi-centrifugal casting is used for the castings that are symmetrical about a central axis
but complicated than true centrifugal castings. It is not necessary to have a central hole.
A core will have to be employed if one is desired. The mold cavity is arranged within the
mold so that its central axis will be vertical and concentric with the axis of rotation
(Figure 20.22). A central sprue is provided which should be concentric with the vertical
axis of rotation. Spinning speed is not as high as those used for true centrifugal casting.
The general practice is to rotate these molds at the rpm, which will give linear speed at
the outside edge of the castings of about 600 feet per minute.
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 20 CASTING AND WELDING

FIGURE 20.22
Semi-centrifugal Casting

Centrifuging

In this process, several mold cavities are located around the outer portion of a mold, and
the metal is fed to these cavities. The mold cavities are fed through radial gates provided
from a central pouring reservoir by the action of the centrifugal force (Figure 20.23).
Relatively low rotational speeds are required to produce sound castings with thin walls
and intricate shapes. This method is not limited to symmetrical objects but can produce
castings of irregular shape such as bearing caps or small brackets.

FIGURE 20.23
Centrifuging

20.5 CASTING DEFECTS

Casting defects are unwanted feature or irregularities in the casting which make it of poor
quality. These defects occur due to several reasons such as the poor design of casting,
excess moisture in the mold, improper ramming of molding sand, misalignment of cope
823
 20 CASTING AND WELDING
and drag, etc. The various types of casting defects are shown in Figure 20.24.
Shifts: Misalignment of flask, i.e., cope and drag and mismatching of core cause shifts.
These can be prevented by proper alignments and placing of the core.
Blow: Blow is a small, round holes appearing at the surface of the casing covered with a
thin layer of metal.
Scar: It is a shallow blow, which is usually found on a flat casting surface.
Swell: Swell is an enlargement of the mold cavity due to metal pressure. It caused due to
defective ramming of the mold. To avoid swells, the sand should be rammed properly and
evenly.
Blister: This is scar covered by a thin layer of a metal.
Drop: When the upper surface of the mold cracks and pieces of sand fall into the molten
metal, this defect occurs. This is caused by low strength and soft ramming of sand,
insufficient fluxing of molten metal and insufficient reinforcement of sand projections in
the cope.

FIGURE 20.24
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 20 CASTING AND WELDING
Casting Defects
Scab: Liquid metal penetrates the surface layer of sand. Scabs can be identified as rough,
irregular projection on the surface containing embedded sand. They are caused using too
fine sand, sand having low permeability and high moisture content, and by uneven mold
ramming or slow running of molten metal over the sand surface thereby producing
intense local heating.
Metal Penetration and Rough Surface: This defect appears as an uneven and rough
external surface of the casting. The metal penetration between the sand grains occurs due
to low strength, large grain size, high permeability and soft ramming of sand.
Buckle: This defect is similar to the rat-tail but differs from it in the sense that it is in the
form of V-shaped depression in the surface of the casting.
Blowholes: Blowholes are smooth, round holes appearing in the form of a cluster of a
large no. of small holes below the surface of a casting. Possible causes are excess
moisture in the molding sand, moisture on chills, chaplets, and insufficiently baked and
improperly vented core.
Porosity: Porosity is entrapped gases in the form of fine small bubbles throughout the
casting.
Pinholes: Pinholes are numerous small holes, usually less than 2 mm, visible on the
surface of the casting cleaned by shot blasting. They are caused by sand with high
moisture content, absorption of hydrogen or carbon monoxide gas or when steel is poured
from wet ladles.
Inclusions: Inclusions is mixing of foreign particles such as sand and slag in the casting.
Wash: It is a low projection on drag surface of a casting starting near the gate. This
results due to the displacement of sand by the high-velocity metal in the bottom part of
gating.
Rat-tails: These defects appear as streaks or slight ridges on large flat surfaces. They
occur due to the expansion of sand by the heat of the molten metal.
Mis-run: A mis-run is the incomplete filling of the mold that results when the metal lacks
fluidity or temperature.
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 20 CASTING AND WELDING
Fins: Fins usually occur at the parting line of the mold or core sections due to improper
clamping of the flask. The remedy is to give sufficient weight on the top for proper
assembly of the flasks and molds.
Cold Shut: It is the type of mis-run occurs in the center of a casting having gates at its
two sides. Imperfect fusion is a result of from low-temperature of two streams of metal.
Hot Tears: They are internal and external cracks having a ragged edge occurring
immediately after the metal has solidified. Hot tears may be produced if the casting is
poorly designed and abrupt change in sections take place, no proper fillets and corner
radii are provided, chills are wrongly placed. Incorrect pouring temperature and improper
placement of gates and risers are used.
Shrinkage Cavity: Shrinkage cavity is a void or depression in the casting caused mainly
by uncontrolled solidification of the metal. The may also be produced if pouring
temperature is high.

20.6 SURFACE CLEANING OF THE CASTING

Wire Brushing: Wire brush of hardened steel wires, embedded in a wooden block, is
extensively used for cleaning the casting surface.
Tumbling: In this method, the castings to be cleaned are placed together with a number
of small cast iron pieces called stars inside a large steel barrel. Both ends of the barrel are
closed and the same rotated along a horizontal or inclined axis for about half an hour. The
casting, during this period of rotation, rubs against each other and the sand particles,
scale, etc., are separated out from the surface of the casting.
Sand Blasting: In this method, a stream of high-velocity air carrying large grain size of
sand particles is thrown onto the surface of the casting. The abrasive sand removes the
dirt, sand, and scale from the surface of the casting.
Shot Blasting: This method is similar to sand blasting, but here metallic abrasives are fed
into the air blast instead of sand grains.
Hydro Blasting: In this method, a high-velocity stream of water and sand is thrown on
the casting surface with a speed of about 100 m/sec, which removes the dirt, sand, and
scale from the casting surface.

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 20 CASTING AND WELDING
Pickling: In this process, an acid is used for cleaning the sand from casting surface. For
brass castings nitric acid and for iron castings hydrofluoric acids are commonly used. In
order to neutralise the acid remaining on the surface, it is necessary that the acid pickled
casting should be dipped in an alkaline solution, followed by dipping in water.

WELDING

20.7 INTRODUCTION

The history of joining metals goes back several thousand years, with the earliest examples
of welding from the Bronze Age and the Iron Age in Europe and the Middle East.
Welding was used in the construction of the iron pillar in India, during the Ashoka
empire. In an ancient age, forge welding was in use but welding technology has been
developed in the advanced form in the 19th and 20th century. Electric arc welding was
proposed in 1800 when Sir Humphry Davy discovered the electric arc. Advances in arc
welding continued with the invention of metal electrodes in the late 1800s by a Russian,
Nikolai Slavyanov, and an American, C. L. Coffin, even as carbon arc welding, which
used a carbon electrode. Around 1900, A. P. Strohmenger released a coated metal
electrode in Britain, which gave a more stable arc, and in 1919, alternating current
welding was invented by C. J. Holslag. The main aim of explaining the welding processes
in this chapter is to introduce the most basic welding processes used in joining of various
metals.

20.7.1 Definition of Welding

A weld is defined by the American Welding Society (AWS) as “a localized coalescence

(the fusion or growing together of the grain structure of the materials being welded) of
metals or nonmetals produced either by heating the materials to the required welding
temperatures with or without the application of pressure, or by the application of pressure
alone, and with or without the use of filler materials”
Welding is a joining process that produces coalescence of materials by heating them to
the welding temperature, with or without the application of pressure alone, and with or
without the use of filler material. This is a permanent joint. It cannot be disassembled
easily. The ability of a metal to be welded easily is known as Weldability.
Weldability is ability or property of a metal due to which it can be easily welded. It
depends on the following factors:
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 20 CASTING AND WELDING
1. Heat applied during the welding process.
2. Welding process, i.e., types of welding used to make the joint.
3. Thermal conductivity of the work materials.
4. Constituents of the materials.
5. Melting point of the parent metal.

Types of grooves

For complete penetration, sound welded joints, and good strength, beveling preparation
of edges and cleaning are required. The type of groove or edge preparation depends on
the thickness of the plate and the welding methods. Some of the edge preparation
methods are shown in Figure 20.25.

FIGURE 20.25
Edge Preparation in Welding
The use of various types of grooves varies with the thickness of metal plates as discussed
below:
Thickness (t) < 6 mm—no edge preparation is required.
6 mm < t < 16 mm—Single-V-groove.
t > 16 mm—Double-V-groove.
t > 20 mm—Single- and Double-U-groove.

Types of welding positions: According to welding position the welding can be classified
as flat, horizontal, vertical, and overhead welding as shown in Figure 20.26. For different
positions of the welding, different methods of welding are used as per suitability.

FIGURE 20.26
Various Positions of Welding

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 20 CASTING AND WELDING
Types of welded joints: According to the relative position of two pieces of metal, which
are to be joined, five types of weld joints are used in welding as shown in Figure 20.27.

FIGURE 20.27
Five Basic Types of Welded Joints

20.8 CLASSIFICATION OF WELDING PROCESS

Broadly, welding processes can be divided into the following categories as shown in
Figure 20.28.

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 20 CASTING AND WELDING
FIGURE 20.28
Classification of Welding Processes

20.9 GAS WELDING

In this welding process, various types of gases are burnt in combination with oxygen and
the flame is applied at the edge of metal plates to be joined. The heat of combustion of
the gas melts the metal; filler material may or may not be applied to fill the groove. The
molten metal fills the groove which after complete fusion and solidification forms a
strong joint. External pressure may or may not be applied at the joint.
The different types of gases used in gas welding are: 1. Acetylene; 2. Hydrogen; 3.
Methane; 4. City gas; 5. Natural gas; etc. The most commonly used gas is acetylene, as
acetylene gives highest flame temperature because of its high calorific value.

20.9.1 Oxyacetylene Welding

The highest temperature obtained in oxy-acetylene welding is 3200°C. Acetylene can be

used as a gas from a separate cylinder or through reaction of water on calcium carbide.
Three different types of flames such as neutral, oxidizing, and carburizing, are generated
at the tip of welding torch by regulating the amount of acetylene and oxygen with the
help of pressure regulators and control valve. These flames are shown in Figure 20.29.

FIGURE 20.29
Three Basic Types of Flames Used in Oxyacetylene Gas Welding and Cutting Operations:
(a) Neutral Flame; (b) Oxidizing Flame; (c) Carburizing or Reducing Flame.
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 20 CASTING AND WELDING
Neutral Flame: Neutral flame is generated at the tip of the welding torch with an equal
volume of oxygen and acetylene mixing in the torch. The two sharply defined zones are
inner white cone and outer blue envelope. The maximum temperature occurs at a
distance of 3 to 5 mm from the inner cone.
The reaction at the inner cone is:

C2H2 + O2 = 2CO + H2

The reactions at outer envelope are:

2CO + O2 = 2CO2

The outer envelope works as a protector and pre-heater of the workpiece. The metals
using a neutral flame for welding are—cast iron, mild steel, stainless steel, copper,
aluminum, etc.
Oxidizing Flame: Oxidizing flame is generated with a higher proportion of oxygen. The
proportion of oxygen and acetylene used is 1.15–1.5. The flame is similar to neutral flame
but the inner cone is shorter than that of neutral flame; the outer envelope is light blue. In
this flame, there is complete combustion of acetylene and forms carbondioxide and water
vapor. This is oxidizing in nature and used in welding of brass, zinc, bronze, and gold, etc.
Reducing Flame or Carburizing Flame: In this flame, acetylene is used in excess
amount than the theoretically required. The ratio of oxygen and acetylene used is 0.85 to
0.95. The three zones in this flame are—the inner cone, which is not sharply defined; the
outer envelope is similar to neutral flame; the third zone surrounding the inner cone
extends up to the outer envelope. It is whitish color and shows the excess of acetylene
used. This flame is used for welding of low carbon steel, aluminum, non-ferrous metals
like Monel metal, nickel, etc.
Oxyacetylene Welding Equipments: Following equipments are used in oxy-acetylene
welding (Figure 20.30):

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 20 CASTING AND WELDING
Gas Cylinders: Two gas cylinders made of steel are used. One is of black color used for
oxygen and other is of maroon or red color used for acetylene.
Pressure Gages: Each cylinder consists of two pressure gages. One pressure gauge shows
the pressure of the gas inside the cylinder and other shows pressure of the gas supplied to
blowpipe.
Pressure Regulator: Each cylinder is provided with a pressure regulator. The function of
the pressure regulator is to control the pressure of gas supply to blowpipe or to maintain
the constant pressure of the gas.
Blowpipe or Welding Torch: the cross-sectional view of welding torches are shown in
Figure 20.30 (a) and (b) as high-pressure welding torch and low-pressure welding torch,
respectively.
The high-pressure blow pipe consists of two passages—one is for oxygen and other is for
acetylene. Both the gases are mixed in a chamber and then driven out through the orifice
of the blowpipe nozzle with the desired velocity. These nozzles are usually known as tips
and are made interchangeable so that the same blowpipe can be used for different sizes of
the tips.

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 20 CASTING AND WELDING

FIGURE 20.30
(a) Cross-sectional View of the High-pressure Torch, (b) Cross-sectional View of the
Low-pressure Torch, (c) Basic Equipment Used in Oxyacetylene Gas Welding.
The low-pressure torch works on the principles of the injector. The pressure of acetylene
used is too low but oxygen is supplied at high-pressure from 7 to 50 psi.
Note: Acetylene cannot be filled alone in a cylinder due to dissociation at high-pressure
so it is mixed with small amount of acetone. For mixing at atmospheric pressure, 25 liters
of acetylene is mixed with 1 liter of acetone.

Advantages

The equipment used in oxy-fuel welding is less costly and easily maintainable.
It is portable and can be used anywhere.
It can be used to join most of the common metals.
The flame temperature can be easily controlled.

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 20 CASTING AND WELDING
This can be used for cutting purposes.

Limitations

Due to lack of concentration of heat, a large area of the metal is heated and distortion is likely to occur.
Oxygen and acetylene gases are expensive.
Storing and handling of gas cylinders involve greater safety measures.

Flux and shielding provided in oxy-acetylene welding is not so effective as in inert gas
arc welding.
Welding Rod and Fluxes: Welding rod used in a gas welding has a similar composition
to work material. The diameter of welding rod depends on the thickness of the metal
plate. Generally, the diameter of welding rod used is half of the thickness of the plate. To
increase the fluidity of molten metal and to protect the weld pool from the atmospheric
gases, fluxes are used. Various types of fluxes are used to weld the different types of
metals but for mild steel, no flux is required. The type of fluxes used, depending on the
type of metal to be welded, which are listed below.
1. Copper and Copper Alloys: Mixture of sodium and potassium borates, carbonates, chlorides,
sulphates, borax (Na2B4O7.10H2O), Boric acid (H3BO3) and Di-sodium hydrogen phosphate
(Na2HPO4) are used for dissolving oxides of copper.
2. Ferrous Metals
Carbon steel: Dehydrated Borax, calcium oxide, dissolved in liquid.
Alloy steel: Boric acid, dehydrated borax, calcium fluoride.
3. Aluminum and Aluminum Alloys: Mixture of alkaline fluorides, chlorides and bisulphate of calcium,
sodium, potassium, lithium and barium.

20.9.2 Gas Welding Methods

There are two types of welding methods.

1. Leftward welding (Forehand welding).
2. Rightward welding (Backhand welding).

The welding rod is held in left hand and blowpipe is held in in right hand. Leftward
welding is used for the metal plate thickness up to 3 mm. Welding proceeds from right to
left. It is also known as forward or forehand welding. The inclination of welding rod with
the plate is 30-40 and inclination of blowpipe with the plate is 60°–70°.
Rightward welding is used for thicker plates and proceeds from left to right. The
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inclination of welding rod is same as in the leftward welding but the inclination of
blowpipe is 10-20 less than that in the leftward welding, i.e., at 40°–50°. It is also known
as backward or backhand welding.

20.10 ELECTRIC ARC WELDING

In electric arc welding, the heat required for melting the metal is generated by short-
circuiting the electrodes. An intense heat is produced in the electric arc. Various types of
mechanism are used to produce arc and to stabilize it. The selection of the mechanism,
i.e., type of electric arc welding depends on the heat required to melt the metal. A
schematic diagram of an electric arc welding is shown in Figure 20.31.

FIGURE 20.31
Schematic Diagram of an Electric Arc Welding
Mechanism of Arc Generation: When two electrodes are brought into contact with each
other, electric spark is produced due to short-circuiting. Just after sparking, the electrodes
are separated by 2 to 4 mm distance. The air-gap between the electrodes is ionized due to
the flow of electron from the cathode to anode and heavier positive ion from the anode to
the cathode. Thus, the arc is continued. The arc length is 0.6 to 0.8 of the electrode
diameter.
Modes of Metal Transfer in Arc Welding: There are numbers of forces dominant in arc
welding, which are responsible for the metal transfer. These forces are—gravity force,
surface tension, electromagnetic interaction, and hydrodynamic action.

Methods of Arc Generation:

1. Between consumable electrode and workpiece.

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 20 CASTING AND WELDING
2. Between two non-consumable electrode and workpiece.
3. Between a non-consumable electrode and workpiece.

Consumable electrode produces an arc between the electrode and work metal as well as
works as a filler material, which fills the groove. During welding, it is consumed and its
length decreases. But non-consumable electrode only produces the arc and additional
filler material is used in the form of a rod if it is required. When two non-consumable
electrodes are used; the arc is produced between these electrodes and workpiece is not
connected with the electric circuit. The workpiece and filler rod get heat for melting from
the arc produced between these two electrodes. When a single, non-consumable,
electrode is used, the electrode and workpiece are connected with electric terminals.
Polarity: Polarity is a connection of the electrodes and work metal with particular
electric terminals. Polarity is significant in only D.C. supply. Two types of polarity are
used:
1. Straight Polarity.
2. Reverse Polarity.

In the case of straight polarity, the workpiece is connected with positive terminal and
electrode is connected with negative terminal. About 70% of heat is produced at positive
terminal only 30% of heat is produced at the negative terminal. If heat required for
welding is large, the straight polarity is used.
In the case of reverse polarity, the workpiece is connected with negative terminal and
electrode is connected to the positive terminal. Reverse polarity is used for large groove
size, i.e., for more metal pilling.

Table 20.1: Differences between A.C. and D.C. Welding

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 20 CASTING AND WELDING

Magnetic Arc Blow Problem in D.C. Welding: Magnetic arc blow problem occurs when
the magnetic flux surrounding the electrode and workpiece becomes unbalanced. In this
problem, arc deflects from its path; it occurs generally at the end of the workpiece or in
the corner welding. Due to the flow of electric current in the electrode and workpiece, a
magnetic field is established around the workpiece and electrode in the direction
perpendicular to the direction of flow of electric current. Due to deflection in the path of
the arc, heat is not concentrated at the proper location. This problem circumvented in
A.C. welding as the polarity keeps changing and also the direction of magnetic flux.

Methods to Minimize Magnetic Arc Blow Problem:

1. Use A.C. in place of D.C. if it is possible.

2. Reduce the current and the arc length.
3. Ground connection of the welding joints.
4. For reduction of backward arc blow, the ground connection should be placed at the start of the weld.
5. For reduction of forward arc blow, the ground connection should be placed at the end of the weld.

Types of Electrodes: Two types of electrodes are used in electric arc welding as:
1. Coated electrode.
2. Bared electrode.

837
 20 CASTING AND WELDING
Coated electrode consists of a coating of the flux of various ingredients on its surface.
The coating is generally used for arc stability. Normally, sticks of electrodes are available
in the sizes of 3.2, 4, 5, 6, 8, 9, and 12 mm of diameter and 350 mm or 450 mm in length.
In the case of coated electrodes, the diameter is measured in the bare portion, i.e.,
without coating.

20.10.1 Functions of Electrode Coatings

1. To stabilize the arc:

2. To provide a gaseous atmosphere for protection from atmospheric gases like O, H, N, etc.
3. To remove impurity in the form of slag. Slag also protects the molten pool of metal and reduces cooling
rate.
4. To reduce spatter of weld metal.
5. Acts as deoxidizer, i.e., reduces the melting point of metal oxide.
6. To include or add the alloying elements.
7. To insulate the electrode.
8. Slow down the fast cooling rate of the weld.
9. Increase the deposition efficiency.

20.10.2 Ingredients of Electrode Coating

1. Ingredients for slag formation—Asbestos, fluorspar, mica, silica, titanium dioxide, iron oxide, calcium
carbonate, aluminum oxide, magnesium carbonate, etc.
2. Ingredients for arc stabilization—Feldspar, sodium oxide, magnesium oxide, calcium oxide, mica,
potassium silicate.
3. Ingredients for deoxidizing metal oxide—Cellulose, calcium carbonate, dolomite, starch, dextrin, wood
flour, graphite, aluminum, ferromanganese.
4. Ingredients for binding—Sodium silicate, potassium silicate, asbestos.
5. Ingredients for improvement in strength of weld—TiO, Iron power.
6. Ingredients for gas formation—Cellulose, carbohydrate, etc.

20.10.3 Selection of Electrodes

Selection of electrodes is based on the following factors:

1. Composition of the base metal.
2. Thickness of base metal.
3. Depth of penetration required.
4. Welding position.
5. Use of A.C. or D.C.
6. Mechanical strength required for the joint.

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 20 CASTING AND WELDING
20.10.4 Specifications for Electrodes

There is not a fixed rule of coding for bared electrodes. But there is six digit code is used
for the specification for the coated electrodes. The six digit code has a prefix and suffix
letter. For example: E423413H
1. The first suffix letter shows the method of manufacturing of electrode. This may be solid extrusion–E or
extruded with reinforcement–R.
2. The first digit (1–7) shows the types of coating, i.e., the high content of the coating.
3. The second digit (0–4) shows the position of welding.
4. The third digit (0–4) shows the electric current conditions (A.C. or D.C.), polarity and voltage
required.
5. The fourth and fifth digit shows the yield stress. For example, 41 show its yield strength 410 to 510
N/mm.
6. The sixth digit shows the percentage elongation with impact strength.
7. Suffix letters show the special properties of the electrode.

20.11 TYPES OF ELECTRIC ARC WELDING

Various types of electric arc welding process explained in this book are given below as:
1. Carbon arc welding.
2. Metal arc welding.
3. Metal inert gas arc welding (MIG).
4. Tungsten inert gas arc welding (TIG).
5. Submerged arc welding.
6. Electroslag welding.
7. Atomic hydrogen welding.
8. Plasma arc welding.

20.11.1 Carbon Arc Welding

Carbon arc welding is a very old method, which is still in use today. In this welding
process, two electrodes of graphite or one electrode as graphite and another electrode as
workpiece may be used for arc creation. Carbon arc is easily affected by a magnetic field,
therefore for arc stabilization, a separate magnetic field is built in the electrode holder. A
separate filler rod may be used to fill the groove. Carbon arc welding is done in as an
automatic welding machine in which current, voltage, feed rate are properly controlled.
In this process, the joint becomes very hard due to automatic addition of carbon from
graphite electrodes. Therefore, this is used for welding of cast iron, steel, copper, bronze,
galvanized iron, and aluminum. Only D.C. and straight polarity is used in this welding
839
 20 CASTING AND WELDING
process.

Advantages

Very simple equipment is used which involves low cost.

Less skilled labor may be employed.
It can be easily automated with controlling current, voltage, and feeding rate.

Limitations

The disintegrated electrode can transfer carbon to the workpiece making the weld brittle and unsound.
The process often results in blow holes and porosity, which are caused by the turbulence in weld pool
due to the arc blow problem.

20.11.2 Shielded Metal Arc Welding (SMAW)

In this welding process, a special electrode that consists of metal wire which has bonded
coating containing flux of desired gradients. The heat required for welding is generated
by an arc between the flux covered consumable electrode and the workpiece. The
process is shown in Figure 20.32. As the coating on the electrode melts and vaporizes, it
forms a protective layer of gases that stabilizes the arc and protect. Flux also reacts with
impurities of the metal and forms slug which floats on the surface of the molten metal and
protects from contamination of atmospheric gases. After solidification, the slug is chipped
out from the weld.

FIGURE 20.32
Shielded Metal Arc Welding

Advantages

The equipment required is simple, portable, and less expensive.

840
 20 CASTING AND WELDING
Welds can be used in all positions.

Disadvantages

The process has to change the electrode frequently due to consumable in nature.
Low melting metals such as zinc, lead, and tin are not welded by SMAW.

20.11.3 Metal Inert Gas Arc Welding (MIG)/Gas Metal Arc Welding (GMAW)

In MIG welding, a high current density is supplied to the electrode and workpiece.
Carbon dioxide gas or any inert gas like helium or argon is supplied to protect the weld
pool. The electrode used is consumable and is in the form of a wire. Automated feed of
the wire is used as shown in Figure 20.33. The welding current is used in the range of
100-300 amp. In this welding process, the metal transfer rate is very high. Therefore, it is
generally used for welding of thick plate. The metals, welded by MIG welding are alloy
steel, stainless steel, copper, brass, aluminum, magnesium, nickel, lead, silver, tungsten,
etc. The current used is direct current and voltage is constant-arc voltage (CAV).
Electrode used as a positive pole and work as the negative pole.

FIGURE 20.33
Metal Inert Gas Arc Welding

Advantages

The rate of weld deposition is very high.

The quality of the weld is good due to the transfer of molten metal under the protection of inert gases.
No frequent change of electrode is required.

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 20 CASTING AND WELDING
No flux is required; therefore no slug forms over the weld. This makes the process cleaner.
It is a versatile process and can be used on both light and heavy gauge structural plates.

Limitations

The cost of equipment and the consumable wire is much higher as compared to shielded arc welding.

20.11.4 Tungsten Inert Gas Arc Welding (TIG)/Gas Tungsten Arc Welding (GTAW)

In this welding process, a non-consumable electrode of tungsten is used as shown in

Figure 20.34. The filler material is supplied externally if it is required. The tungsten
electrode is connected at negative pole of the power supply and work at positive pole of
the power supply. Inert gas like argon or helium is supplied through a gas nozzle to
protect the molten metal pool. The current used in TIG welding is both A.C. and D.C.
Gases used as shielding gases are nitrogen for stainless steel and argon for aluminum and
magnesium. Reactivity of nitrogen is very high with aluminum and magnesium at an
elevated temperature. When an explosion problem does not exist, hydrogen gas may be
used.
The TIG welding may be used as fusion welding of aluminum, magnesium, stainless steel,
alloy steel, Monel, Inconel, brass, bronze, tungsten, silver, molybdenum, etc. To avoid the
melting of the electrodes, for larger current and better thermionic emission thorium or
zirconium is added to the tungsten electrode.

FIGURE 20.34
Tungsten Inert Gas Arc Welding

Advantages

842
 20 CASTING AND WELDING
Since no flux is used, no special cleaning or slag removal is required. Most of the fluxes are corrosive
in nature which prevents their use in food, drink and some chemical industries.
It produces smooth and sound welds with fewer spatters.
It can be easily automated.
Welding can be done in all positions.

Limitations

The cost of inert gases is high.

Due to slow speed, it cannot be used for thick metal plates.

20.11.5 Submerged Arc Welding (SAW)

This welding process is very similar to MIG welding except that a blanket of granular,
fusible flux shields the metal arc during the welding operation instead of inert gas. A bare
electrode is fed through the welding head into the flux as shown in Figure 20.35. The arc
is started either by striking the electrode on the work beneath the flux or initially by
placing some conductive medium like steel wool beneath the electrode. The intense heat
melts the flux and produces a pool of molten metal in the joint. The slag floats on the top
of the molten metal, forming a blanket, which eliminates spatter loss and protects the
welded joint from atmospheric contamination or oxidation. This process uses A.C. or
D.C., high current 300 to 4000 amperes. It is not suitable for the plate of thickness less
than 8 mm, and for vertical or overhead welding. The metals can be welded by this
process are carbon steel, alloy steel, stainless steel, nickel, copper, etc. It is not suitable
for aluminum and magnesium alloys.

FIGURE 20.35
Submerged Arc Welding

Advantages
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 20 CASTING AND WELDING
Since the arc is completely hidden under a blanket of flux, there is no flash, spatter or smoke.
Very high current can be used. In conventional welding, where the arc is exposed, current above 300A
must be used with care due to the high intensity of infrared and ultraviolet light rays. No such problems
arise in this process due to arc covered with flux.
It gives high deposition rate and deep penetration due to high current used in the process.
High welding speed is possible.
The quality of the weld is very good because of high cleanliness of the process.

Limitations

It is largely limited to flat position welding.

This process is not suitable for high-carbon steels, tool steels, aluminum, magnesium, titanium lead or
zinc because of numerous factors including unavailability of suitable fluxes, reactivity at high-
temperature, and low sublimation temperature.
It is normally not suitable for welding of the metal plate of thickness less than 8 mm. because of a
chance of burning.
Possible contamination of the flux by moisture can lead to porosity in the weld.
Other limitations include extensive flux handling, removal of a large volume of slag.
There is large heat affected zone.

20.11.6 Electroslag Welding

Electroslag welding is used for welding of thick metal plates. Two plates are kept vertical
at a distance of 2–3 cm. The filler wires and flux are kept in this gap. Here, the filler
wires are used as the electrodes. The current supplied is A.C. Initially, an arc is created
which melts the flux, and thereafter the molten flux short circuits; arc and heat are
generated due to resistance heating of slag, and thus workpiece and electrodes are
melted. The molten metal piece and slag are retained by a water cooled dam as shown in
Figure 20.36. Since the weld pool formed is large and the welding speed is slow, the
cooling rate is quite low. After cooling, heat treatment is required to restore the strength
due to large grain size.

844
 20 CASTING AND WELDING

FIGURE 20.36
Electroslag Welding

Advantages

This is most suitable welding process for thick plates ranges from 50 mm to 900 mm.
Weld is completed in single pass only. Thus weld quality is improved.
It gives high deposition rates.
Flux consumption is lesser in comparison to submerged arc welding.

Limitations

Welding is restricted to only vertical positions.

This is suitable for welding of only thick metal plates.
Solidification rate is required to be controlled for better quality of the weld.
After welding heat treatment is requires.

20.11.7 Atomic Hydrogen Welding

In this welding, the arc is created between two nonconsumable electrodes (as shown in
Figure 20.37) by supplying A.C. current. When hydrogen gas is passed through the arc,
the heat of arc is absorbed by hydrogen molecules and dissociate into hydrogen atoms.
When hydrogen atoms reach cold work surface recombines and form hydrogen molecules
by releasing a large amount of heat. Thus, work surface melts by the heat of hydrogen
845
 20 CASTING AND WELDING
recombination. If the filler material is required a filler rod is fed into the arc. The
temperature is of the order of 3000°C.

FIGURE 20.37
Atomic Hydrogen Welding

Advantages

It gives high heat concentration as hydrogen gas can be passed through the narrow slit.
There no need to provide additional shielding gas as hydrogen also shields the molten metal pool.
It is used successfully for many alloys which are difficult to weld by other processes due to the need of
high heat generation.

Limitations

It is outdated and rarely used in industry.

There is a hydrogen induced cracking problem.

20.11.8 Plasma Arc Welding

A highly ionized gas is known as plasma. In a plasma arc welding, the arc is created
between a non-consumable tungsten electrode and workpiece. A watercooled copper
nozzle surrounds tungsten electrode, which is used as a cathode as shown in Figure 20.38.
A gas (inert gas) like argon is supplied surrounding the tungsten electrode. The gas is
forced through the orifice, where it is heated to a high-temperature through resistance
heating and forms a plasma. Plasma is an ionized hot gas. It conducts electricity. The
846
 20 CASTING AND WELDING
temperaure of plasma gas may as high as 33000°C, which is sufficient to melt any
workpiece. The copper nozzle is water-cooled. A supplementary shielding gas may be
used if required. The heat is transferred through the plasma to workpiece.

FIGURE 20.38
Plasma Arc Welding
There are two methods of plasma arc welding—transferred type and non-transferred
type. In transferred type, tungsten electrode acts as cathode and workpiece as an anode.
The arc is transferred from cathode to anode. In non-transferred type, tungsten electrode
acts as a cathode but copper nozzle acts as an anode and arc is not transferred to the
workpiece. The heat is carried to the workpiece by plasma gas. This method creates high
noise during welding (100 db). But it is a fast method and suitable for a number of metals.

Advantages

High heat concentration results in high welding speed.

It has improved arc stability.
It minimizes thermal distortion.
It has a lower width to depth ratio of the weld.
The focused heat of plasma results in the narrower weld, less heat affected zone, and deeper
penetration.

Limitations

The equipment is very expensive, approximately five times more than TIG equipment.
Long arc length results in excessive production of ultraviolet and infrared radiations which can harm the
847
 20 CASTING AND WELDING
skin.
Gas consumption is high.
Noise level is very high approximately 100 db which is more than the permissible limit of 80 db.
Nozzle needs frequent replacement.

20.12 RESISTANCE WELDING

In a resistance welding, heat is generated by passing an electric current through the high
resistance. The amount of heat generated depends on the value of current and resistance
as shown in the formula.

H= I2. R. t Joule.
where I = Current in ampere, R = Resistance in ohm, t = Time in second.
When the electric current is passed through the welding members, they offer maximum
resistance at the interface in comparison to other parts of the member. Hence largest heat
is generated at the interface. When the proper temperature is reached, the pressure is
applied to complete the weld. Because of application of pressure, the process requires
lower temperature as compared to oxy-fuel gas or arc welding as the metal has to reach
the softened state, not in the molten state.
There are six types of resistance welding:
1. Spot welding.
2. Seam welding.
3. Projection welding.
4. Flash welding.
5. Percussion welding.
6. Butt-welding.

Advantages

This is a fast process and suitable for mass production.

No fluxes or filler materials are required.
Less skilled operators may be employed.
Practically all conductive materials can be welded by this method.

Limitations
848
 20 CASTING AND WELDING
Few metals like tin, zinc, and lead are difficult to weld by this method.
Control of pressure and current during the process is critical.
Equipment cost is high.

20.12.1 Resistance Spot Welding

It is the simplest form of resistance welding. In this process, a pair of water-cooled

copper electrodes is used. Two overlapping metal plates are held between these
electrodes jaws as shown in Figure 20.39.

FIGURE 20.39
Resistance Spot Welding
The pressure is applied to a very small area, which is known as spot. The resistance at the
inner face is very high so applying low voltage and high current melts the inner surface
and after solidification makes a spot joint. The current used may be 3000 to 40,000 A;
this depends on the melting point of the material to be welded. The voltage applied may
be 20–90 V. The diameter of spot welds (d).

d = 1.2 t + 4 mm, for thickness, t < 3 mm.

= 1.5 t + 5 mm, for thickness, t > 3 mm.

Spacing of spot weld should be 3 times of the diameter of the spot weld. The complete
849
 20 CASTING AND WELDING
weld cycle is divided into four parts.
1. Squeeze time.
2. Weld time.
3. Hold time.
4. Off time.

Squeeze Time: During this time, workpieces are under pressure and the electrodes are in
contact with them. The squeeze time is used to bring two pieces together in contact just
before the current flow. The pressure gradually increases from zero to certain value
during this time interval.
Weld Time: During this period the current is switched on and the temperature at the
interface starts rising and attains welding temperature to melt the metal at the interface.
The pressure should then be increased considerably just as the proper welding heat is
attained. Pressure is the most important variable in resistance welding. Pressure is
inversely proportional to resistance. Pressure is high if resistance is low otherwise
pressure is low if resistance is high.
Hold Time: During this time weld starts cooling and the pressure is further increased.
Off Time: During this period pressure is released and the workpiece is removed from the
spot.

Advantages

Similar and dissimilar metals can be welded very easily.

The time involved in spot welding is very less.
Sheets of different thickness can be joined easily.
It can be used for the large production run with the help of multiple spot welding machines.

Limitations

Silver and copper are especially difficult to weld because of their high thermal conductivity.
Spot welding is limited to overlap welding only.

20.12.2 Resistance Seam Welding

Resistance seam welding is series of continuous spot welding. In this welding process, the
electrodes used as copper rollers in the place of cylindrical copper jaws in spot welding as
850
 20 CASTING AND WELDING
shown in Figure 20.40. The diameter of the rollers may be from 40 mm to 350 mm and
welding current from 2000 to 5000 amp. Welding speed ranges from 0.5 to 3.5 m/min.
The pressure is applied by the roller on the workpiece. Rest of the process is same as the
in the spot welding.

FIGURE 20.40
Resistance Seam Welding

Advantages

The power requirement is very low due to the use of low voltage power requirement.
The heat affected zone is very small, hence thermal distortion is negligible.
Similar and dissimilar metals can be welded very easily.
Welding speed is high which makes it suitable for a large-scale production.

Limitation

This method is suitable for overlap welding only.

20.12.3 Resistance Projection Welding

Projection welding is a variation of spot welding. Small projections are embossed at the
plate where welds are desired as shown in Figure 20.41 (a). The workpieces are then
placed between large-area electrodes and current is switched on. High temperatures are
generated at the projections. During the process, the projections collapse, as shown in
Figure 20.41(b) owing to heat and pressure, and workpieces are brought in close contact.
The shape of the projection may be circular oval depending on the design.

Advantages
851
 20 CASTING AND WELDING
This is a faster process as a number of welds are made simultaneously.
A small amount of current is required due to large density of current at the projection only.

FIGURE 20.41
Resistance Projection Welding
The pressure required on the electrode is low.
Thermal shrinkage and distortion are less.

Limitation

Correct application of pressure and current are very important.

20.12.4 Flash Welding

Flash welding is used to make an end-to-end joint of two thick metal pieces as shown in
Figure 20.42. In this method, current is switched on and then the ends to be welded are
brought closer slowly to make contact. Thus heat is localized at the ends and reaches the
welding temperature. The ends, after they have contact with each other are then forced
against each other by applying mechanical pressure which forces the molten metal and
slag to be squeezed out in the form of sparks enabling the pure metal to form the joint and
disallowing the heat to spread back.

852
 20 CASTING AND WELDING

FIGURE 20.42
Flash Welding

Advantages

It consumes less current.

Large area (end-to-end) can be welded.
Edge preparation is not required.
The excellent weld can be made at a high production rate.
The joint is stronger.

Disadvantages

Metals like lead, zinc, tin, copper and their alloys are not welded by this method.
The equipment is expensive.

20.12.5 Percussion Welding

In percussion welding, the welding heat is obtained by an arc produced by a rapid

discharge of stored electrical energy in a capacitor. The parts to be joined are placed in a
position similar to flash welding. The intense heat of arc melts the parts. The heated parts
then pressed together to complete the weld. This process is very fast on account of rapid
discharge of power to the arc. The arc durations are only 1 to 10 m/sec, after which it is
extinguished by the percussion blow of the two parts coming together. The use of this
process is limited to very thin wires of diameters from 0.05 mm to 0.38 mm. It can also be
used for joining wires of dissimilar metals such as copper to nichrome and copper to
stainless steel.
853
 20 CASTING AND WELDING
Advantages

There is no thermal distortion due to small heat affected zone.

The metal of different thermal conductivity can be welded easily as heat is concentrated at the two
surfaces only.
No upsetting occurs at the joint.
Heat treated part may be welded without being subjected to annealing.

Disadvantages

Only small areas can be welded.

The part should have a regular section.

20.12.6 Resistance Butt Welding

In a resistance butt welding process, the workpieces which are to be joined are placed
end to end between two clamps and required pressure is applied (Figure 20.43). The high
resistance at the joint generates heat on supplying high current and causes fusion to take
place at the interface. The pressure applied ranges from 15 to 55 MP. The ends of two
pieces are slightly upset and hence term upset welding. In this process cross section areas
of workpieces used are same. The current density used is 2000 to 5000 A / inch2.

FIGURE 20.43
Resistance Butt Welding

20.13 THERMIT WELDING

Thermit welding is similar to casting. A mixture of powdered aluminum and iron oxide is
placed inside a vessel. The mixture is ignited by heating to about 1550°C with the help of
barium oxide powder. A chemical reaction takes place in a vessel as shown in Figure
20.44.

854
 20 CASTING AND WELDING

FIGURE 20.44
Thermit Welding
Due to the chemical action, a bright white heat is produced and reaction leads to molten
iron. The molten iron is tapped from the vessel and made to run in the cavity of the joint.
The temperature attained is about 3000°C.

Advantages

It produces high-quality welds because the metal solidifies from the inside towards the outside, and all
air is executed from around the molds.
There is no limit to the size of welds that can be made by thermit welding.

Disadvantages

It is an extremely old process and has been replaced to a large degree by an alternative method such as
electroslag welding.

20.14 WELDING ALLIED PROCESSES

20.14.1 Soldering

Soldering is a process of joining two metals by applying low melting point metal or alloy
in the gap between the joining parts. The metal or alloy used for filling or joining is
known as solder. The melting point of solder is less than 450°C. In soldering joining
process, the heat is supplied to the joint by soldering iron. The soldering iron may be
heated electrically or by other means. The function of soldering iron is to heat the joint.
The flat face of the soldering iron is held directly against the joint assembly so that the
heat is transferred effectively to the parts being soldered. In soldering joining process, the
heat is supplied to the joint by soldering iron. The soldering iron may be heated
electrically or by other means. The function of soldering iron is to heat the joint. The flat
face of the soldering iron is held directly against the joint assembly so that the heat is
855
 20 CASTING AND WELDING
transferred effectively to the parts being soldered.
Most of the solders used in soldering joining process are made of lead and tin alloys.
Some solders also contain small amounts of cadmium and antimony. The amount of
percentage composition of tin and lead determines the physical and chemical properties
of joints made with solder. Solders are divided into two categories.
Soft solder is an alloy of tin and lead.
Hard solder is alloy of copper and zinc.
Flux Used: Chlorides fluxes (Zinc Chloride, Ammonium Chloride, and Zinc ammonium chloride).
This joining process forms a weak joint.

20.14.2 Brazing

Brazing is a hard soldering process, but in this process, metal pieces are heated which are
to be joined in this place of the bit as in soldering. In a brazing. spelter is used it is a
mixture of copper, zinc and tin. It is stronger in comparison to soldering joint. Brazing
may be defined as a joining process that takes place above 450°C but below the melting
point of the base metals. Most of the brazing operations are done at temperatures ranging
from 600 to 800°C. Since, brazing is done at high-temperature, brazing is useful for
joining thick metal parts for making relatively stronger joints. Both similar and dissimilar
parts can be joined. The success of brazing operation depends upon that a fact that a
molten metal of low surface tension will flow easily and evenly over the surface of a
properly heated and chemically clean base metal, just as water flows over a clean glass
plate.
During brazing, the base metal of two pieces to be joined is not melted. An important
requirement is that, similar to soldering, the filler metal must be wet the base metal
surfaces to which it is applied. Some diffusion or alloying of the filler material with the
base metal takes place even through the base metal does not reach its solidus
temperature. The surfaces to be joined must be made chemically clean before brazing
operation is started. However, the fluxes are applied to remove oxides from the surfaces.
Borax is the most commonly used flux during the brazing process. It will dissolve the
oxides of most of the common metals.

Advantages of Soldering and Brazing:

Low operation temperature.

Joints can be made be permanently or temporarily.
Metals of dissimilar can be joined.
856
 20 CASTING AND WELDING
High speed of joining.
Less chance of damaging parts.
Parts of varying thickness can be joined.
Easy re-alignment.

20.14.3 Braze Welding

In braze welding, the molten filler metal is not distributed at the joint by capillary action
as it happens in brazing or soldering but it is deposited at the point where the weld is
required to be made as in the case of gas welding. The braze welding process is a variant
of the MIG/MAG welding process, where the majority of the process essential variables
are identical to conventional MIG/MAG welding processes. However, in the braze
welding process, the melting point of the filler wires is significantly lower than the
melting point of the parent material. During the arc welding process, the filler wire melts
at temperatures typically over 1600°C, whereas for brazing the wire melts at less than
1000°C.
As in the standard MIG/MAG welding process, a continuously fed wire electrode is
melted by an arc formed between the electrode and the workpiece, but no significant
melting or fusion of the parent metal occurs because of the lower temperature. The
molten metal flows into the gap between the parts to be joined and solidifies after wetting
either across or between the surfaces via capillary action to form the solid joint.

Advantages

The requirement of less preheating and permitting greater welding speed, a shorter cooling-off period,
and is less likely to crack metals.
No splash or weld spatter.
A little or no finishing requirement of the completed joints.
No requirement of as much skill as the technique required for fusion welding.

Disadvantages

If the joint is to be exposed to corrosive media, the filler metal must have the required corrosion-
resistant characteristics.
All brazing alloys lose strength at elevated temperatures.
If the joint is to be painted, all traces of the flux must be removed.

20.15 WELDING DEFECTS

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 20 CASTING AND WELDING
A number of defects can occur during the welding processes, some of them are shown in
Figure 20.45. There are many other defects which are discussed in following paragraphs.

FIGURE 20.45
Welding Defects
Cracks: Cracks occur in the welded joint due to improper welding and solidification of
different metals. Cracks may be of following types.
Micro Cracks: Very small Cracks, which can be seen with the help of microscope only.
Macrocracks: These cracks can be seen by naked eye.
Fissures: These cracks are wider, which occur at the surface of the metal.
There are different types of cracks. Cracks occurred in the base metal is known as cold
crack because it occurs at low-temperature due to improper welding, high cooling rate,
wrong filler material, high carbon and phosphorous in parent metal. Crack occurred in the
hot metal zone or weld metal zone is known as hot cracks and it occurs due to improper
solidification, clamping, etc.
Lack of Fusion: Wrong weld parameters, such as poor weld design, feed rate, welding
speed, current, and voltage, lead the problem of fusion and penetration. A proper arc
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 20 CASTING AND WELDING
length, good weld design may prevent the problem of poor fusion and improper
penetration.
Porosity: Porosities are voids, holes or cavities of usually spherical shapes. It is caused
by gas entrapped in weld metal during solidification, and chemical reactions during
welding contaminates such as dirt, oil, grease, rust, paint, etc. Blowholes are voids of
large size. Porosity and blowholes are scattered throughout the cross-section of a weld
randomly. Small porosities appeared on the surface are known as pinholes. Pinholes are
smaller in size. To reduce the porosity there should be proper shielding of the molten
metal pool, proper cleaning, i.e., free from oil, grease, paints, etc., to avoid absorption of
gases like O2, N2, H2.

Slag Inclusion: Slag inclusion in the form of oxides, sulphur, and flux in the weld causes
poor strength and leads to corrosion in the metal. It occurs due to inadequate cleaning of
the welding areas.
Shrinkage Cavity: It occurs in the welding of thicker parts where a large amount of filler
metal is required. The molten metal shrinks during solidification and forms a cavity on the
surface, which is known as shrinkage cavity.
Undercutting: Undercutting is a form of a groove on the welding surface. It occurs due
to high current and high arc voltage. Proper controlling of current and voltage can
prevent it.
Spatter: Spatters are small bead thrown in all directions during welding. It occurs due to
very large current and wrong electrode selection.
Distortion: Distortion is a result of the improper rate of heating and cooling in the weld
zone or adjacent metal leading to the generation of stresses. Proper clamping and smaller
diameter electrode may reduce the problem.

RECAP ZONE

Points to Remember

The temperature of a body shows a degree of hotness with respect to reference body.
The casting process can be defined as a primary shaping process in which a molten metal is poured
into a mould cavity and allowed to solidify for a predetermined time so as to take the shape of the mold,
after complete solidification, it is taken out from the mold.
The product of casting is also known as casting and the place where casting work is done is known as
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“foundry shop”.
The green sand is a mixture of green sand, binders, and water.
Pattern is a replica of the product, which is to be manufactured through casting. It is used to make a
mold cavity of required shape and size.
Various types of pattern materials such as wood, aluminium, steel, plastic, cast iron are used in sand
casting.
The extra dimensions or extra materials provided for the pattern are known as allowances.
Mold making is a process of creating a replica of casting with the help of patterns and moulding sand.
The cavity, produced in the sand body, facilitates the molten metal to solidify and to take the shape of
the cavity.
Risers are provided in the mold to feed molten metal into the cavity to compensate the shrinkage.
Chills are used to improve the directional solidification with faster heat conduction by metallic chills;
solidification is initiated and accelerated at desired locations.
Sometime, it is impossible to use core print to support the core. In this case, a metallic support is used
which is known as chaplet.
Chaplet is made of same material as the material of casting. It gets fused with molten metal.
Core is a sand body specially prepared in a core box and it is used to form a cavity/hole/recess or
projection in a casting for different purposes.
Casting defects are unwanted feature or irregularities in casting which make it of poor quality. These
defects occur due to several reasons such as poor design of casting, excess moisture in mould, improper
ramming of molding sand, misalignment of cope and drag, etc.
Welding is a joining process that produces coalescence of materials by heating them to the welding
temperature, with or without the application of pressure alone, and with or without the use of filler
material.
In electric arc welding, the heat required for melting the metal is generated by short-circuiting the
electrodes.
In gas welding process, various types of gases are burnt in combination with oxygen and the flame is
applied at the edge of metal plates to be joined. The heat of combustion of the gas melts the metal; filler
material may or may not be applied to fill the groove.
In a resistance welding, heat is generated by passing an electric current through the high resistance.
Soldering is a process of joining two metals by applying low melting point metal or alloy in the gap
between the joining parts. The metal or alloy used for filling or joining is known as solder.
Brazing is a hard soldering process, but in this process, metal pieces are heated which are to be joined
in this place of the bit as in soldering.

REVIEW ZONE

Multiple-choice Questions

Casting
1. In sand molding, the middle part of box is called:
1. Cope
2. Drag

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 20 CASTING AND WELDING
3. Cheek
4. Flask-middle
2. Core is used to:
1. Make desired recess in casting
2. Strengthen molding sand
3. Support loose pieces
4. Remove pattern easily
3. Shrinkage allowance is made up by:
1. Adding to external and internal dimensions
2. Subtracting from external and internal dimensions
3. Subtracting from the external dimension and adding to the internal dimension
4. Adding to external dimension and subtracting from the internal dimension.
4. Facing sand in foundry work comprises of:
1. Silica and clay
2. Cay and alumina
3. Silica and alumina
4. Clay and silica
5. The purpose of sprue is to:
1. Feed the casting at a rate consistent with the rate of solidification
2. Act as a reservoir for molten metal
3. Help in feeding the casting until the solidification takes place
4. Feed molten metal from pouring basin to the gate
6. The purpose of riser is:
1. Feed the casting at a rate consistent with the rate of solidification
2. Act as a reservoir for molten metal
3. Help in feeding the casting until the solidification takes place
4. Feed molten metal from pouring basin to the gate
7. Down sprue in casting is given a taper shape for:
1. Easy flow of molten metal
2. Easy withdrawal of casting
3. Preventing aspiration of gases through the sprue
4. Preventing bulging of sprue during pouring
8. Draft on pattern is provided for:
1. The easy flow of molten metal
2. Easy withdrawal of casting
3. Preventing aspiration of gases through the sprue
4. Preventing bulging of sprue during pouring
9. True centrifugal casting is used to:
1. Ensure purity and density at extremities of a casting
2. Cast symmetrical object
3. Obtain high density and pure casting
4. Use heavy cast iron mold to act as chill
10. Semi-centrifugal casting is used to:
1. Ensure purity and density at extremities of a casting
2. Cast symmetrical object
3. Obtain high density and pure casting
4. Use heavy cast iron mold to act as chill
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11. Surfaces to be machined are marked on the pattern by:
1. Black
2. Yellow
3. Red
4. Blue
12. Centrifugal method of casting is used to:
1. Ensure purity and density at extremities of a casting
2. Cast symmetrical object
3. Obtain high density and pure casting
4. Use heavy cast iron mold to act as chill
13. Blind risers:
1. Assist in feeding the metal into casting properly
2. Help to trap slag or other lighter particles
3. Supply the hottest metal when pouring is completed
4. Do not exist
14. Shift is a casting defect which:
1. Results in a mismatching of the top and bottom parts of the casting
2. Is due to enlargement of the mold cavity by metal pressure
3. Occurs near the gates as rough lumps on the surface of the casting
4. Is due to the thin projection of metal not intended as a part of the casting
15. Swell is a casting defect which:
1. Results in a mismatching of the top and bottom parts of the casting
2. Is due to enlargement of the mold cavity by metal pressure
3. Occurs near the gates as rough lumps on the surface of the casting
4. Is due to the thin projection of metal not intended as a part of the casting
16. Sand wash is a casting defect which:
1. Results in a mismatching of the top and bottom parts of the casting
2. Is due to enlargement of the mold cavity by metal pressure
3. Occurs near the gates as rough lumps on the surface of the casting
4. Is due to the thin projection of metal not intended as a part of the casting
17. Fin is a casting defect which:
1. Results in a mismatching of the top and bottom parts of the casting
2. Is due to enlargement of the mold cavity by metal pressure
3. Occurs near the gates as rough lumps on the surface of the casting
4. Is due to the thin projection of metal not intended as a part of the casting
18. Slag inclusion in casting is a:
1. Surface defect
2. Internal defect
3. Superficial defect
4. None of these
19. Felting of casting is done to:
1. Produced uniformly cooled casting
2. Remove to extra metals from casting
3. Smoothen surface
4. All of the above
20. Casting defect developed due to inadequate venting is:
1. Inclusion
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 20 CASTING AND WELDING
2. Blow holes
3. Cold shuts
4. None of these

Welding
1. 21. In gas welding, maximum temperature occurs at:
1. Inner cone
2. Outer cone
3. Next to the inner cone
4. Tip of the flame
2. 22. In oxyacetylene as welding, flame temperature used is:
1. 1200°C
2. 1800°C
3. 2400°C
4. 3200°C
3. 23. Gray cast iron is generally welded by:
1. Gas welding
2. Arc welding
3. TIG welding
4. MIG welding
4. 24. In thermit welding, aluminum and iron oxides are mixed in the proportion of:
1. 1:1
2. 1:2
3. 1:3
4. 3:1
5. 25. For proper mixing of oxygen and pressure regulation of acetylene and oxygen in oxyacetylene
welding, the device used is:
1. Welding torch
2. Cylinder
3. Hose pipe
4. None of the above
6. 26. In arc welding, penetration is deepest for:
1. DCRP
2. DCSP
3. A.C.
4. None of these
7. 27. The hard filler material used in brazing is:
1. Solder
2. Flux
3. Spelter
4. Electrode
8. 28. Solder is essentially a:
1. Tin silver base
2. Tin lead base
3. Silver lead base

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 20 CASTING AND WELDING
4. Bismuth lead base
9. 29. Oxygen to acetylene ratio in case of neutral flame:
1. 1:1
2. 1.2:1
3. 0.8:1
4. 2:1
10. 30. Oxygen to acetylene ratio in case of oxidizing flame:
1. 1:1
2. 1.2:1
3. 1.5:1
4. 2:1
11. 31. Oxygen to acetylene ratio in case of carburizing flame:
1. 1:1
2. 1.2:1
3. 0.9:1
4. 2:1
12. 32. Main advantage of MIG welding over TIG welding is that:
1. Former can be used to weld hard metals
2. Former permits use of large currents thereby allowing higher deposition
3. Welding rate is very fast
4. Welding is completely automatic
13. 33. Flux used for brazing cast iron is:
1. A mixture of boric acid, borax and a wetting agent
2. A mixture of boric acid, borax of fluoride with a wetting agent
3. Chlorides and fluorides mixed with water
4. None of the above
14. 34. Soldering iron is made of wedge shape in order to:
1. Apply high-pressure at the edge
2. Retain heat
3. Retain solder
4. Facilitate molecular attraction
15. 35. Carburizing flame is used to weld metal like:
1. Steel
2. Copper and Bras
3. Aluminum, stainless steel, Zinc die casting, Nickel, Monel metal
4. None of the above

Fill in the Blanks

1. 36. Pipes of large length and diameters are made by _____.

2. 37. Felting in casting is used to _____.
3. 38. The process of removal of sprue and riser from casting is known as _____.
4. 39. Chills are metal inserts that are placed at appropriate location in the mold to help _____.
5. 40. Core print is an added projection on the pattern and forms a seat to support and locate _____.
6. 41. The maximum quantity moisture content in the molding sand can be up to _____.
7. 42. Acetylene gas is produced from _____ by reacting with _____.
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 20 CASTING AND WELDING
8. 43. Thermit welding employs _____ for generating high heat.
9. 44. In submerged arc welding, the metal arc is shielded by _____.
10. 45. The porosity in welded metal is caused by _____.
11. 46. In straight polarity, work piece is connected to _____.
12. 47. In reverse polarity, work piece is connected to _____.
13. 48. In D.C. arc welding, maximum heat is generated at _____.
14. 49. The main function of the flux is to form _____ and protect the _____.
15. 50. In arc welding, the electric arc is produced between the work and electrode by _____.

Answers

1. c
2. a
3. d
4. a
5. d
6. c
7. c
8. b
9. b
10. a
11. c
12. a
13. c
14. a
15. b
16. c
17. d
18. a
19. b
20. b
21. c
22. c
23. a
24. c
25. a
26. b
27. c
28. b
29. b
30. c
31. c
32. b
33. b
34. b
35. c
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36. centrifugal casting
37. to remove the external metals
38. flogging
39. directional solidification
40. core
41. 8%
42. calcium carbide and water
43. exothermic reaction
44. flux
45. defective work materials
46. +ve terminal
47. -ve terminal
48. +ve terminal
49. slag, molten metal
50. contact resistance.

Theory Questions

Casting
1. What is casting? How it differs from other primary shaping processes?
2. Enumerate and explain various allowances provided for pattern making.
3. Explain the application of various hand tools used in casting with neat sketch.
4. What are the various types of patterns? Explain them with their uses.
5. What are the required properties of molding sands? Classify the molding sand.
6. Explain the various types of molding sands and their uses.
7. Explain the advantages and disadvantages of sand casting.
8. Justify the statement that casting is most versatile forms of a mechanical process for producing
components.
9. Briefly, explain hot chamber and cold chamber die casting.
10. What are the advantages of special casting techniques?
11. What purpose is served by risers in sand casting? Why they are not provided in die casting.
12. What are the advantages and disadvantages of die casting?
13. What is centrifugal casting? For what type of jobs would you recommend this casting process? Explain
the process with the help of a neat sketch.
14. What are the casting defects? Explain the causes and remedies for these defects.
15. Explain the various cleaning process of castings.

Welding
1. 16. Describe the working principle of arc welding. Explain the shielded arc welding. How does it save
the weldment from oxidation and absorption of nitrogen? What precautions need to be observed in arc
welding?
2. 17. Describe the basic fusion welding process. Explain the process details of electroslag welding.
3. 18. What is the role of flux in Welding? Explain in detail.
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 20 CASTING AND WELDING
4. 19. What for Thermit welding is used.
5. 20. Differentiate between neutral and oxidizing flame.
6. 21. Compare the merits and demerits of using A.C. and D.C. set for arc welding.
7. 22. What do you mean by arc blow problem? How can it be minimized?
8. 23. Explain the soldering and brazing process.
9. 24. What is gas welding? Explain with a neat sketch of welding torch and various flames.
10. 25. What are the welding defects? Explain the causes and remedies.
11. 26. * Explain briefly about soldering.
12. 27. * Explain the principle of arc welding with a figure.
13. 28. * Name the three types of oxy-acetylene flame. Explain the application of each of them.
14. 29. * Differentiate between welding and brazing.
15. 30. * Explain electric arc welding and oxy-acetylene welding with neat sketch.
16. 31. * Briefly discuss the three types of flames used in gas welding and mention their applications.

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CHAPTER 21
Mechanical Working of Metals, Sheet Metal Work,
Powder Metallurgy, and Smithy
Learning Objectives

By the end of this chapter, the student will be able:

To differentiate hot working and cold working
To describe the various mechanical forming processes
To demonstrate the various tools used in sheet metal operations To describe the sheet metal
processes
To demonstrate the powder metallurgy processes
To describe the various processes and tools used in Smithy

MECHANICAL WORKING PROCESS

21.1 INTRODUCTION

Mechanical working is a process of shaping of metals by plastic deformation. When a

metal is subjected to an external force beyond yield strength but less than the fracture
strength of the metal, metal is deformed by slip or twin formation. There are two types of
mechanical working process:
1. Cold working.
2. Hot working.

When metal is deformed between room temperature and recrystallization temperature, it

is called cold working. This process is suitable for highly ductile metal. Recrystallization
temperature is the temperature at which the crystal structure of the metal starts to
change. For low ductility, hot working is used. When metal is deformed between
recrystallization temperature and a melting point of the metal, it is called hot working. In
this process, the crystal structure of the metal is not deformed or distorted but it is
rearranged.
Comparison between Cold Working and Hot Working

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
Cold working Hot working

Advantages:
Advantages:
1. No oxidation or scaling on work
surface. 1. Due to low strength of materials at hightemperature power
2. Surface defects are removed. requirement is low.
3. Good surface finish. 2. A very large workpiece can be deformed with equipment of
4. High dimensional accuracy. reasonable size.
5. Heavy work hardening occurs and 3. Due to high ductility at high-temperature and absence of work
so the inherent strength of the hardening, large deformations can be undertaken in a single
material is permanently increased. stage and complex parts can be fabricated.
4. Interstage annealing and stress relieving are not required.
Disadvantages: 5. Blow holes and porosities are eliminated by welding action
at high-temperature and pressure.
1. A Large force is required for
deformation therefore high capacity Disadvantages:
machine is used.
2. Several stages of deformation with 1. Poor dimensional accuracy and surface finish, material loss
interstage annealing is required. due to oxidation and scaling.
3. The complexity of shapes that can 2. Thin parts cannot be produced due to loss of ductility because
be readily produced is limited. of the high rate of loss of heat.
4. Secondary stress relieving heat 3. Higher cost to heat the metal.
treatment is required. 4. Automation is difficult due to high working temperature.
5. Only ductile materials are cold 5. Reduces hardness and strength due to decarbonization.
worked.

21.1.1 Advantages of Mechanical Working Process Over other Manufacturing

Processes

1. They have higher productivity compared to other manufacturing processes.

2. Forged products have higher strength, better corrosion and wear resistance as compared to the casting
and machined processes.
3. There is minimum wastage of materials.
4. The forged products have high dimensional accuracy and surface finish.
5. Some special products like thin foil, wire, sheet steel and other products can be manufactured by only
mechanical working.

Recrystallization Temperature: According to ASME (American society of mechanical

engineers). The recrystallization temperature is defined as “the approximate minimum
temperature at which the complete recrystallization of cold worked metal occurs within a
specified period of time. Recrystallization reduces the strength and increases the ductility
of the metal.
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
Factors which affect the recrystallization temperature:
1. Grain size: Smaller grain size decreases recrystallization temperature.
2. The function of time: Recrystallization temperature depends on the function of time of heating.
3. Type of metal: For pure metal, it is lower in comparison to alloys.
4. The extent of prior cold work: Higher the prior cold work, lower will be recrystallization temperature.
5. Rate of deformation: Increasing the rate of deformation decreases the recrystallization temperature.

For pure metal, critical temperature, (Tcr) =0.3 Tm.

For Alloys, Tcr =0.5 Tm, where, Tm is a melting temperature.

21.2 ROLLING

Rolling is the process of reducing the thickness or changing the cross-sectional area of the
workpiece by means of rolling mills. It is performed through hot working or cold working.
The metal is drawn into the opening between the rolls by frictional forces between the
metal and roll surface as shown in Figure 21.1. The metal is subjected to high
compressive force between the rolls for deformation.

FIGURE 21.1
A Schematic Diagram of Rolling Process

21.2.1 Terminology

Bloom: 150 × 150 mm2 to 250 × 250 mm2.

Billet: 50 × 50 mm2 to 125 × 125 mm2.

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
Slab: Thickness: 50 to 150 mm, Width: 0.6 to 1.5 m.
Sheet and Plate: Maximum thickness: 6.35 mm.

Foil: 1.5 mm thickness.

21.2.2 Types of Rolling Mills

The different types of rolling millsare shown in Figure 21.2.

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
FIGURE 21.2
Types of Rolling Mills
In two high rolls mill (Pullover), the stock is returned to the entrance for further
reduction. In two-high mill (reversing), the work can be passed back and forth through
the rolls by reversing their direction of rotation. In three high rolls mill, upper and lower
rolls are the driver and the middle roll rotates by friction. In four high rolls mill, small-
diameter rolls of less strength and rigidity are supported by larger-diameter backup rolls.
In cluster mill, each of the work rolls is supported by two backing rolls. Continuous
rolling uses a series of rolling mill and each set is called a stand. The strip moves at
different velocities at each stage in the mill.

21.2.3 Rolling Defects

There are two types of rolling defects: Surface Defects and Internal Defects as shown in
Figures 21.3 and 21.4 respectively.
1. Surface defects: Scale, rust, scratches, cracks, pits, and gouges.
2. Internal structural defects: Wavy edges, crack in the center of the sheet (Zipper cracks), edge cracks,
folds, etc.

FIGURE 21.3
Surface Rolling Defects

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY

FIGURE 21.4
Internal Rolling Defects

21.3 FORGING

Forging is a process of plastic deformation for shaping. The force applied in this case is
an intermittently compressive force while in a rolling process force applied is a
continuous compressive force.

Advantages

Homogeneous distribution of impurities.

Porosity, voids and blow holes are largely eliminated.
Refinement of grains and increase in strength.
Fiber flow lines are properly directed, hence, better mechanical properties.
Close dimensional tolerance, smooth surface.

Disadvantages

Poor surface finish due to oxidation and scaling of the surface in hot forging.
High operation cost.
Complicated shape cannot be produced by this process.

21.3.1 Different Types of Forging

Open Die Forging

In open die forging, the hot workpiece is placed between two flat dies and is hammered
to produce the desired shape. There is no flow of metal in this process. This is a slow
process and may be performed by presses in addition to hammer (Figure 21.5a). It is
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
repeatedly manipulated between the dies until the final shape is achieved. Cogging is a
successive deformation of a bar along its length using an open-die drop forge. It is
commonly used to work a piece of raw material to the proper thickness. Once the proper
thickness is achieved the proper width is achieved via edging. Edging is the process of
concentrating material using a concave shaped open die. The process is called edging
because it is usually carried out on the ends of the workpiece. Fullering is a similar
process that thins out sections of the forging using a convex shaped die. These processes
prepare the workpieces for further forging processes.

Limitations of Open Die Forging

It is limited to short run production.

It has less control on mechanical properties and dimensions.
It is restricted to simple shapes only.
Machining is often required after forging.
It has poor material utilizations.

FIGURE 21.5
Open and Closed Die Forging

Closed Die Forging

This is a variation of impression-die forging without flash (Figure 21.5b). It has better
utilization of material than open flat dies, better physical properties, closer dimensional,
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
tolerance, high production rate, etc. In impression-die forging the heated workpiece is
placed between two required shaped die and is pressed or hammered. During hammering
or pressuring it takes the shape of the die. A small amount of material is forced outside
the die impression, which is finally trimmed. The flash helps to build up pressure on the
material between the dies which ensures the filling of dies cavity.

Advantages

There is saving of time because trimming is not required in this process.

There is a better utilization of work materials.
It has excellent reproductivity with good dimensional accuracy.
Forging of complicated shape may be made.
The products have good mechanical properties due to proper control of grain flow of the metal.
It has high production rate.

Disadvantage

Tooling cost is high, therefore, it is suitable for a large production run.

Drop Forging

In this forging, the metal is deformed by the impact of a hammer or die and hot metal is
forced to confirm the die shape. The proper flow of metal during the intermittent blows is
ensured and operation is divided into a number of steps. Each step changes the shape of
the workpiece progressively. For complex forgings, more than one set of dies may be
required.

Press Forging

Press forging employs a slow squeezing action produced by mechanically or hydraulically

operated press as compared to rapid impact blows of hammer in drop forging. The slow
squeezing action penetrates completely through the metal producing a more uniform
deformation and flow of metal during the process. In this process, there is maximum
utilization of energy by the workpiece while is drop forging some part of the energy is
transferred to machine and foundation. The dimensional accuracy is also very good in
this process.

Advantages of Press Forging over Drop Forging

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
It produces low Noise level.
It is faster than drop forging since only one squeeze is needed at each die impression.
Control of two die halves is easier than hammering in drop forging.
The product has superior structural quality.

Upset Forging

Upset forging is used to produce head in a bolt, screw, bar, etc. Only a certain portion of
the material is deformed and rest is unaffected from the deformation. Upset forging
generally employs split dies that contain multiple positions or cavities and may be opened
and closed type. The heated bar or rod is positioned in the die and clamped. A hydraulic
ram moves longitudinally against the bar, upsetting it into the die cavity.
In open upset forging, the unsupported length (l) of the rod does not exceed 3d to prevent
its buckling, ‘d’ being rod diameter. If l > 3d, then closed upset forging is preferred with
die diameter, D ≤ 1.5d.

Advantages

It has better forging quality than obtained by drop forging.

There is very little flash.
It has cheaper maintenance and higher productivity.
The upsetting process can be automated.

Disadvantages

It is not suitable for forging of the heavier job.

The maximum diameter of the stock which can be upsetting is limited (about 25cm).
Intricate nonsymmetrical and heavy jobs are difficult to be forged by this process.
It has high tooling cost.

Defects in Forging and its Remedies

1. Cold Shuts or Laps: It is short cracks at the corners and at right angles to the surface. It is caused by
metal surface folding against itself during forging. Sharp corners in dies can result in hindered metal
flow which can produce laps. It can be eliminated by proper design of die; the crack on the surface is
removed by machining or grinding.
2. Pitting: Pitting of the forging surface is caused by scale, which if not removed thoroughly from the die
cavity is worked into the surface of forging. When this scale is cleaned from the forging depression
remains which are known as ‘Scale pits’. Pitting may be avoided as much as possible during
manufacture of forging by proper control of furnace and frequent cleaning of dies.

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3. Die Shift: Die shift is caused by misalignment between the top and bottom forging dies. This may be
caused due to loose wedges.
4. Incomplete filling dies: This defect may occur due to an insufficient number of blows during forging,
the wrong amount of metal, forging at too low-temperature, poor forging and die design, etc.
5. Burnt and Overheated Metal: This defect is caused by improper heating conditions and soaking the
metal too long.
6. Fins: Fins are small projections or loose metal driven into the surface of the forging.
7. Ruptured Fiber Structure: This is a discontinuity in the flow lines of the forging which is revealed only
when observing the microstructure. This defect is caused by working some of the alloys too rapidly
during the forging operation, inadequate stock size or improper die design.
8. Cracks: It occurs on the forging surface which may be longitudinal or transverse. Their occurrence may
be due to the poor quality of ingot, improper heating, forging at lowtemperature or incorrect cooling of
alloy steel forging.
9. Decarburization: If the raw stock is subjected to high-temperature for too long period. It can produce
decarburized surface on the forgings, particularly in high carbon steels.

21.4 EXTRUSION

Extrusion is a primary shaping process in which a metal kept in a cylinder is forced to

pass through the opening of a die. The metal is subjected to plastic deformation and it
undergoes reduction and elongation during extrusion.
There are two types of extrusion—hot extrusion and cold extrusion.

21.4.1 Hot Extrusion

In a hot extrusion the metal billet is heated up to a plastic state and put into a cylinder
and it is forced to flow through the opening of a die. On the basis of the direction of flow
of the metal with respect to the direction of the force applied hot extrusion is divided into
two classes: forward extrusion and backward extrusion.
In forward extrusion, plunger moves in a forward direction and the metal is forced
through the die opening in the same direction but in the backward direction, metal forced
through the die opening in plunger itself in the backward direction as shown in Figure
21.6.

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FIGURE 21.6
Forward and Backward Extrusion
Backward hot extrusion involves no friction between the metal billet and chamber walls
because the billet does not move in the chamber compared with the forward hot
extrusion. Total force required due to low friction in the backward extrusion is less but
equipment used is more mechanically complicated in order to accommodate the passage
of the extruded shape through the center of the plunger.

21.4.2 Cold Extrusion

Cold extrusion is carried out at room temperature. Because of the large forces required in
extrusion, most metals are extruded hot where the deformation resistance of a metal is
low. At the same time strain hardening is also eliminated in hot extrusion.

21.4.3 Impact Extrusion

It is essentially a cold process which is mostly used for making collapsible medicine
tubes, toothpaste tubes, shaving cream tubes and food canes from more ductile metals
such as zinc, lead, tin, aluminum, copper, etc. During the process, the billet is placed in a
die cavity and is given a strong single blow through the punch which causes the metal to
flow plastically around the punch. The tube thickness is controlled by the clearance
between the die and punch. Impact extrusions are low in cost and have an excellent
surface finish.

Advantages of Extrusion Process

The surface finish of the product is quite smooth with relatively close tolerance.
High production rate since it is a very rapid process.
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A very dense structure of the metal is obtained because of high-pressure used and compressive nature of
the process.
It is an ideal process for producing parts of uniform cross section in large quantities.
Cheaper than pressure die casting.

(Extrusion ratio, R for Steel = 40:1, and for Aluminum = 400:1)

Where, ri = radius of billet, rf = radius of extruded part.

21.5 WIRE DRAWING

Wire drawing is a process to produce a small diameter wire from billet by applying tensile
force. A leading end of a wire to be drawn is pointed in a rotary-swaging machine or by
some other means. The point is then inserted into the die; and the wire point is properly
gripped and pulled sufficiently by a suitable means so that the end can be attached to the
power real as shown in Figure 21.7. Then the power reel rotates at the proper speed and
pulls the entire piece through the die opening which actually contacts the workpiece, is a
smoothly surfaced, truncated, conical opening in a material of the opening is never in
contact with the wire being drawn but is filled with lubricant.
The die angle depends upon the metal to be drawn including its hardness from previous
cold working and the reduction of area to be affected. A die angle of about 12° is average
for the drawing of steels with carbide. Two lubricant methods are currently employed.
The mechanism of wire drawing is shown in Figure 21.8. In one method, the wire surface
is cleaned, coated with lime, and this is thoroughly dried. Before, entering the die
lubricant such as a grease or soap is applied to this surface. The dried lime coating helps
to hold this lubricant to the surface as it passes through the die. In the other method, the
surface of the wire is first coated with copper or tin. Then, as the metal enters the die, a
water carried lubricant is applied. This method is more suitable for final drafts of fine
wire.

FIGURE 21.7
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Wire Drawing Process

FIGURE 21.8
Mechanism of Wire Drawing
Considerable heat is generated during a wire drawing operation, and water may be
circulated around the die to cool it. When the metal of the wire has reached its work
hardening limit, annealing is necessary before additional drawing can be done.

21.6 BAR DRAWING

An important difference between the bar drawing and wire drawing is that the bars must
remain straight. The length of the bar which can be drawn is limited by the maximum
travel of the carriage, which may be from 50 to 100 feet. The first operation, preliminary
to drawing is the pointing of the bars by rotary swaging or hammer. After the pointed end
is inserted into the die and gripped by the jaws of the carriage, the hook is lowered to
engage the moving chain.

21.7 TUBE DRAWING

Like bar drawing, tube drawing is accomplished in most cases with the use of draw
bench. Fixed mandrel (Figure 21.9 (a) is most commonly used to control the tube’s
internal diameter; Figure 21.9 (b) uses floating mandrel which adjusts itself to the correct
position because of its stepped contour; cylindrical mandrel (Figure 21.9 (c) is usually
used for small sized tubing, and Figure 21.9 (d), which uses no mandrel or rod and has no
control over inside diameter. By repeated cold drawing and annealing when necessary it
is possible to reduce a 2-inch diameter to the size of hypodermic needle, which has an
outside diameter of about 0.008 inch.

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FIGURE 21.9
Tube Drawing Processes
(a) Fixed Mandrel; (b) Floating Mandrel

FIGURE 21.9
Tube Drawing Processes
(c) Cylindrical mandrel; (d) No mandrel

21.8 HIGH ENERGY RATE FORMING

If the rate of energy flow for forming is high, it is known as high energy rate forming.
Energy used may be chemical, magnetic and electro discharge, etc. In high energy rate
forming, operation is performed in very less time. Explosive forming, electro-hydraulic
forming, and electromagnetic forming are the examples of high energy rate forming.

21.8.1 Explosive Forming

In the explosive forming (Figure 21.10), a shock wave is generated in a fluid medium by
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detonating an explosive charge. The entire wavefront is utilized in a confined space. But,
for the large object, the wavefront may be used for unconfined space and it is less
effective than confined space. The typical explosives include TNT and dynamite for
higher energy and gun powder for lower energy. With high explosives placed directly
over the workpiece, pressure up to 35 kN/mm2 can be generated. With low explosives,
the pressure is limited to 350 N/mm2.

FIGURE 21.10
Explosive Forming

21.8.2 Electrohydraulic Forming

Electric discharge in the form of sparks in the place of explosives can also be used to
generate a shock wave in a fluid. An operation using the principle of generating a shock
wave is called electro-hydraulic forming. The characteristics of this process are very
similar to those of explosive forming. The capacitor bank is charged through the charging
circuit; subsequently, the switch is closed resulting in a spark within the electrode gap to
discharge the capacitors. The energy level in this process is lower than in explosive
forming. The peak pressure developed over the workpiece is a function of the amount of
energy discharged (through the spark) and the standoff distance.

21.8.3 Electromagnetic Forming

Just as in electro-hydraulic forming, the electrical energy is first stored in a capacitor

bank. This energy is then discharged through a coil by closing the switch. The coil
produces a magnetic field, the intensity of this field depends on the value of the current.
Since the metallic workpiece is in this magnetic field, a current is induced in the job
which sets up its own magnetic field. The directions of these fields are such that the
rigidly held coil repels the workpiece into the die. The workpiece obviously has to be
electrically conductive but need not be magnetic. The short life of the coil is the major
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problem in such an operation.

21.9 THREAD ROLLING

In thread rolling there is no chips formation, i.e., the threads are produced by plastic
deformation. Two types of machines are used, namely reciprocating flat die machine and
rotating cylindrical die machine.
In a flat die method (Figure 21.11 (a) the cylindrical blanks are automatically fed from a
hopper and placed upon a stationary flat hardened steel die plate. Another flat hardened
steel die plate which reciprocates and advances and rolls the blank along between them
until the thread is complete.
The rotating cylindrical die method (Figure 21.11 (b) may involve either two or three
cylindrical dies having a negative impression of the threads. These dies are rotated
together on parallel axes, which may be horizontal or vertical. If two cylindrical dies are
used, the shafts are normally horizontal and sufficient additional support for the blank
between them must be provided. After the blank has been placed on the support, two
rotating dies move toward each other to impress the thread on the rotating blank.
Cylindrical die machines are more suitable for larger threads, over 3/8 inch outside
diameter.

FIGURE 21.11
Thread Rolling Processes

Advantages
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They are cheaper in sufficiently large quantities.
They are stronger on a result of the cold working and favorable fiber flow line positioning.

Limitations

It is not suitable for producing internal threads.

It involves excessive costs in smaller quantities.

21.10 PIERCING OR SEAMLESS TUBING

It is a method to produce seamless tubes. The piercing machine consists of two taper rolls
and a cylindrical hot billet passed between these rolls over a mandrel as shown in Figure
21.12. Both the rolls revolve in the same direction and the billet is center punched. The
hot billet is pushed forward into the rolls. The rolls grip the billet and pull it. The axes of
rolls are crossed at 10°–12° so that they revolve the billet as well as draw it in forward
direction and force onto the mandrel. The mandrel can also revolve in its own position.
The combination of the revolving motion of the billet and mandrel together with the axial
advancement of the billet provides a helical roiling effect of the billet material over the
mandrel. If a tube of the larger bore is required, a second piercing operation is required
after the completion of the first piercing operation.

FIGURE 21.12
Piercing or Seamless Tubing

21.11 SOME OTHER FORMING PROCESSES

Trimming: The excess metal which remains around parting lines or around other edges
after previous operations, such as forging, die-casting and drawing of sheet metal parts is
removed by “trimming”. Trimming die is similar to blanking die and the parts are forced
through the die by a suitable punch.
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Shaving: A very small amount of metal (about 10% of the metal thickness) is removed or
“shaved” from blanked or pierced edge in order to obtain edges which are smooth,
square, and within closer dimensional tolerances. The parts to be shaved are placed in a
locating recess above the die opening and during the downward stroke of the punch, the
edge is shaved as the part is forced through the die.
Notching: Notching is the cutting of relatively small indentations in the edge of
workpieces. A rubber, used for only small quantities of workpieces, is designed to
remove, by a notching action, some metal from an edge of a workpiece.
Embossing: The production of raised or projected designs is relief on a surface is known
as “embossing” sheet metal may be embossed between two matching die halves and the
operation consists of a combination of drawing and stretching.
Coining: Coining consists of placing a proper amount of metal within a confined de
space and exerting sufficient pressure to cause the metal to flow to all properties of the
die cavity. The metal is caused to flow in directions perpendicular to the corresponding
force along the de surfaces. Since lubrication is not used when good impression details
are required, the compressive force required may be enormous.
Peening: This method is employed to set up a superficial state of surface compressive
stress, causing the interior of the member to assume an opposite tensile stress. Because
fatigue generally occurs from surface cyclically loaded in tension, the useful lives of such
member are frequently extended by shot peening.
Hobbing: It is a method of making moulds for the plastic and die casting industries. A
punch from tool steel to the shape of the cavity, heat treated for hardness, and polished.
It is then pressed into a blank of soft steel method is that one hob properly applied can
make a number of cavities in one mould or in a series of mould.

SHEET METAL PROCESS

21.12 INTRODUCTION

Sheet metal is thin and flat pieces of metals. It is one of the fundamental forms used in
the metal working, and can be cut and bent into a variety of different shapes. Countless
everyday objects are constructed of the material. Thicknesses can vary significantly,
although extremely thin thicknesses are considered as foil or leaf, and pieces thicker than
6 mm (0.25 inch) are considered plate. In this text, we will discuss the basic operations in
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sheet metal.

21.13 SHEET METAL JOINTS

Figure 21.13 shows the common types of sheet metal joints.

Lap Joint: It is the simplest and common type of joint that can be prepared by means of
soldering or riveting processes.
Seam Joint: A seam is a joint made by fastening two edges to each other.
Hem Joint: Hem is an edge or border made by folding. It stiffens the sheet and does
away with the sharp edge. Generally, two types of Hem joint—single hem and double
hem are there. Single Hem joints are made by folding the edges of the sheet over once to
make it smooth and stiff while the double hem is made by folding the edges over twice to
make it smooth and stiff.

FIGURE 21.13
Sheet Metal Joints
Wired Edge: The wired edge is smooth and very strong as it is prepared by folding the
edges along a piece of wire.

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Flange Joint: It is commonly used in making pipe connection.
Angular and Cup Joint: Angular and cup joints are mainly used for joining two pieces at
an angle of 90o.
Cap Joint: It is a useful form of locked-seam. Soldering or riveting or both processes are
generally used with this type of joint to make it more effective in the practical field.

21.14 MATERIALS USED FOR SHEET METAL

The sheet of black iron, tin, galvanized iron (GI), stainless steel, copper, zinc, and
aluminum, etc., are widely used in tin smithy work. The sheets are specified by gauge
numbers. The larger the gauge number, the lesser the thickness.
Black Iron Sheet: It is the cheapest type of metallic sheet. It has a bluish-black
appearance and is often referred to as uncoated sheet. The use of this sheet is limited to
articles that are to be painted after fabrication work such as tanks, stoves, and pipes.
Galvanized Iron (GI) Sheet: The zinc coating resists rust and improves the appearance
of the metal and permits it to be soldered easily. Welding work on this sheet is not so
easy as zinc gives toxic fumes and residues. As it is coated with zinc, galvanized iron
sheet withstands contact with water and exposure to weather. It is mainly used to make
the articles such as furnaces, cabinets, buckets, pans, and gutters, etc.
Tin Sheet: This is an iron sheet coated with the tin to protect it against rust. This is
specially used for soldering work as it is the easiest metal to join by a soldering process. It
has the very bright silvery appearance and is used mainly in making of roofs, canes, pans,
dairy equipment, and food containers, etc.
Stainless Steel Sheet: Stainless steel sheet used in tin smithy shop can be worked as
galvanized iron sheet, but is tougher than galvanized iron sheet. Stainless steel is an alloy
of steel with chromium and nickel. It has good corrosive resistance and can be welded
easily. It is costly metal. This type of sheet is used in food processing items, chemical
plants, canneries, dairies items and kitchen wares, etc.
Copper Sheet: This type of sheet has a better appearance than other metals. The cost of
copper sheet is higher in comparison to Galvanized iron sheet. Being resistant to
corrosion, it is used for making the articles such as hoods, roof flashing, expansion joints
and gutters, etc.
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Aluminum Sheet: Aluminum cannot be used in pure form, but is used with a small
amount of silicon, manganese, copper and iron. It is highly resistant to corrosion and
abrasion, whitish in color and light in weight. It is now widely used in the manufacturing
of a number of articles such as trays, refrigerators, household appliances, lighting fixtures,
parts of airplanes, electrical and transport industries and in the fitting and fixture used in
windows, doors and building requirements, etc.

21.15 HAND TOOLS USED IN SHEET METAL WORK

Steel Rule

It is particularly useful in measuring and laying out small size of work. It is shown in
Figure 21.14.

FIGURE 21.14
Steel Rule

Steel Square

This is L-shaped hardened steel piece. It has two parts:

1. Tongue
2. Body

The narrow arm of the square is known as tongue while the wider part is called as the
body as shown in Figure 21.14. It is used for checking the 90° between two adjacent
surfaces and for making the line in a perpendicular direction to any baseline.

Snips

These are made of high carbon steel and used for cutting thin and soft metallic sheets.
There are different types of snips (Figure 21.15) but straight and curved or bent types of
snips are commonly used in practice. The straight snip or shear is used for cutting along a
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straight line while the curved or bent type of snip is used for cutting the sheet along a
curvature. Both these snips are very light and can be easily handled by only one hand. A
heavier class of snips is known as bench-strip or bench-shear which is fitted on the
bench.

FIGURE 21.14
Steel Square

FIGURE 21.15
Type of Snips

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Punches

These are also made of hardened steel. Punches are used for marking out work and to
locate the center in a permanent manner. Punches may be divided into two types:
1. Prick Punch or Dot punch
2. Center Punch

Prick punch is used to make small marks and to make this prick punch marks larger, we
have to use a center punch. Center of the hole that is to be drilled is marked by a center
punch.

Dividers

It is made of hardened steel and generally used for drawing or scratching the circles or
arcs on the metallic sheet.

Trammel

It consists of a steel bar with two movable steel heads which have bottom part sharply
pointed and hardened. The main function of this trammel is to draw large sizes of circles
or arcs that are beyond the limit of dividers.

FIGURE 21.16
Type of Hammers
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Hammers

To suit the different types of work on the tin sheet, various sizes and shapes of hammers
are used (Figure 21.16). They are made to have a square or round heads to suit for
striking or hammering the corners and round surfaces respectively. If the peen of the
hammer is straight and parallel to axis of hammer (handle), this is known as straight peen
hammer; if the peen of the hammer is straight and perpendicular to axis of hammer
(handle), this is known as straight peen hammer; and is the peen of the hammer is round,
this is known as ball peen hammer. For avoiding the damage of sheet, soft faced hammers
are frequently used.

Mallet

This is also used for the striking purpose and made of hard rubber, lead, copper, or mostly
of hardwood.

FIGURE 21.17
Mallet

Pliers

These are used for holding and forming the various shapes and patterns (Figure 21.18) In
general, flat nose and round nose pliers are widely used.

Slip Gauge or Thickness Gauge

It is also known as slip gauge and is used to measure the clearance between two
assembled parts (Figure 21.19).

Sheet Metal Gauge

This is used to measure the thickness of sheets as shown in Figure 21.20.

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FIGURE 21.18
Pliers

FIGURE 21.19
Slip Gauge

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FIGURE 21.20
Sheet Metal Gauge

FIGURE 21.21
Type of Stakes

Stakes
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Stakes are used for seaming, bending or forming operations. They actually work as
supporting tools as well as forming tools. As per nature of work some useful forms of
stake are shown in Figure 21.21. In forming operation for long tapered cylindrical items, a
bick iron is used while the hatched stake is preferred for forming, seaming and bending
the edges. For conical work, a funnel stake is very useful. Half moon stake is very useful
for working the edges on discs. For spherical work, a convex stake is preferred. Pipe
stake is used for forming tubes. Horse type of stake is used for bending and general work
for holding and supporting the other stakes.

21.16 SHEET METAL OPERATIONS

21.16.1 Shearing

It is a general name for a most sheet metal cutting operation in a specific sense. It
designates a cut in a straight line across a sheet, bar or strip. It shows clean edges on the
metallic job that is to be sheared or cut. Some of the basic shearing operations are
described below:

Punching and Blanking

Punching is a process of producing a hole in a flat sheet while blanking is a process of cut
out an intricate shape from the sheet which is known as blank (Figure 21.22). The main
difference between punching and blanking is that the main ambition in punching holes
but in blanking cut out the intricate shape from the sheet. Generally, punching is also
called piercing but in piercing the hole is produced in the sheet without removing the
metal. There are following points which must be considered during the design of
punching and blanking:
1. Clearance provided on the die or punch = 10% of the strip thickness.
2. In punching, clearance is provided on the die while in blanking, clearance is provided on the punch.
3. The shear angle is provided on die in blanking, and on punch in punching.

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FIGURE 21.22
(a) Punching and (b) Blanking
Perforating: This is a process of punching a number of holes in a sheet.
Parting: This is a process of shearing the sheet into two or more pieces.
Notching: This is a process of removing pieces from the edges.
Lancing: This is a process of leaving a tab without removing any material.

21.16.2 Bending

This is the forming process causes the sheet metal to undergo the desired shape by
bending without failure (Figure 21.23).

FIGURE 21.23
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Bending

21.16.3 Stretch Forming

In a stretch forming operation, a sheet metal is stretched to yield point in tension and then
wrapped over and around the form block (die). This method has the advantage over other
forming methods that spring back is either greatly reduced or completely eliminated,
since direct bending stress is never introduced. All the plastic deformations occur in the
direction of pulling force. Figure 21.24 shows that the jaws grip the work and first stretch
and then the wrap it around the die. This method avoids most of the friction which
somewhat limits the degree of forming obtainable with the moving die.

21.16.4 Deep Drawing

Deep drawing or drawing is defined as a process of making a cup-shaped part from flat
sheet metal blanks. The blank is first heated to provide necessary plasticity for working.

FIGURE 21.24
Stretch Forming
The heated blank is then placed in position over the die or cavity. The punch descends
and pushes the metal through the die to form a cup. So this process is also known as
cupping (Figure 21.25).
Blank Diameter: If D is the blank diameter in mm, r is the corner radius (in mm), h is the
height of the shell as shown in Figure 21.25.

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FIGURE 21.25
Cupping or Deep Drawing
Then for thin shells whose wall thickness is t and bottom thickness is T,

If wall thickness ‘t’ is not equal to bottom thickness ‘T’ which is also the blank thickness.

Since the volume before and after drawing are equal. Therefore,
To find a blank diameter for a shell of irregular cross-section equal the weight before and
after when a sample is available.

where W − weight of finished shells (grams), w − weight of metal per cubic mm, t −
thickness of blank(mm.)
Number of Draws: The number of draws is based on the ration of height and diameter of
the cup as shown in the Table 21.1.

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Table 21.1: Number of Draws in Deep Drawing

Where, h-depth of the cup, d-shell diameter, D-blank diameter.

Both the factor limit the reduction percentage top limit for the first draw in between 45
and 48% reduction. It is 30% for the second draw and 20% for the third and subsequent
draws. The total reduction should not be increased to 70 to 75% when it should be
annealed and reduction may again start at the maximum percentage, a number of draws
do not exceed 3 to 4 in the way.

21.16.5 Hot Spinning

The parts having circular cross-section can be made by spinning from thin sheet metal.
The principle of metal spinning is that a heated circular blank of sheet metal is lightly
held against a chuck by the pressure of a freely rotating pad on the lathe tailstock. A
rounded stick or roller is pressed against the revolving piece and moved in a series of
sweeps as shown in Figure 21.26. This displaces the metal in several steps to conform to
the shape of the chuck. Once the operation is started considerable frictional heat is
generated which aids in maintaining the metal at a plastic state.

FIGURE 21.26
Hot Spinning
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FIGURE 21.27
Eight-roll Sequence for the Roll Forming of a Box Channel
Roll Forming: Roll forming is a process by which a metal strip is progressively bent as it
passes through a series of forming rolls.

POWDER METALLURGY

21.17 INTRODUCTION

Powder metallurgy is a process of making components from metallic powders. Initially, it

was used to replace castings for metals which were difficult to melt because of high
melting point. The development of technique made it possible to produce a product
economically, and today it occupies an important place in the field of the metallurgical
process. The number of products made by powder metallurgy is increasing including
tungsten filaments of lamps, contact points, self-lubricating bearings, and cemented
carbides for cutting tools.
The manufacturing of parts by powder metallurgy process involves the following steps:
1. Manufacturing of metal powders
2. Blending and mixing of powders
3. Compacting
4. Sintering
5. Finishing operations

21.18 MANUFACTURING OF METAL POWDERS

21.18.1 Characteristics of Metal Powder

The performance of metal powders during processing and the properties of powder
metallurgy depends on the characteristics of the metal powders that are used. Following
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are the important characteristics of metal powders: (a) Particle shape, (b) Particle size,
(c) Particle size distribution, (d) Flow rate, (e) Compressibility, (f) Apparent density, and
(g) Purity.

21.18.2 Methods of Production of the Metal Powders

There are various methods available for the production of powders. Some of the
important processes are:
1. Atomization
2. Machining
3. Crushing and Milling
4. Reduction
5. Electrolytic deposition
6. Shotting
7. Condensation

Automization: In this method, molten metal is forced through a small orifice and is
broken into small particles by a powerful jet of compressed air, inert gas or water jet.
These small particles are then allowed to solidify. These are generally spherical in shape.
Automation is mostly used for low melting point metals such as brass, bronze, zinc, tin,
lead and aluminum, etc.
Machining: In this method, first chips are produced by filing, turning, etc., and then
pulverized by crushing and milling. The powders produced by this method are coarse in
size and irregular in shape. Hence, this method is used for only special cases such as the
production of magnesium powder.
Crushing and Milling: These methods are used for brittle materials. Jaw crushers,
stamping mills, ball mills are used to break down the metals by crushing and impact.
Reduction: Pure metal is obtained by reducing its oxide with a suitable reducing gas
environment at an elevated temperature (below the melting point) in a controlled furnace.
The reduced product is then crushed and milled to a powder. Sponge iron powder is
produced this way.
Electrolytic Deposition: This method is specially used to produce iron and copper
powders. This is similar to the electroplating process. To produce copper powder, copper
plates are placed as anodes in the tank of electrolyte, whereas the aluminum plates are
placed into the electrolyte to act as an anode. When D.C. current is passed through the
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electrolyte, the copper gets deposited on the cathode. The cathode plates are taken out
from electrolyte tank and the deposited powder is scraped off. The powder is washed,
dried and pulverized to produce a powder of the desired grain size.
Shotting: In this method, the molten metal is poured through a siever or orifice and is
cooled by dropping into the water. This produces spherical particles of large size. This
method is commonly used for metals of low melting points.
Condensation: In this method, metals are melted and boiled to produce metal vapors and
then condensed to obtain metal powders. This process is applied to volatile metals such as
zinc, magnesium, and cadmium.

21.19 BLENDING/MIXING OF THE METAL POWDERS

The proper mixing of the powders are essential for uniformity of the product. Lubricants
(such as graphite) are added to the blending of powders before mixing. The function of
the lubricant is to minimize the wear, to reduce friction. The different types of metal
powders are thoroughly mixed in correct proportions in a ball mill, to control the
mechanical properties of the products.

21.20 COMPACTING

The main purpose of compacting is converting loose powder into a green compact of
accurate shape and size. The adopted for compacting are: pressing, centrifugal
compacting, extrusion, gravity sintering, and rolling.
Pressing: The metal powders are placed in a die cavity and compressed to form a
component shaped to the contour of the die (Figure 21.28). Mechanical presses are used
for compacting objects at low-pressure. Hydraulic presses are for compacting objects at
high-pressure.

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FIGURE 21.28
Compacting (Pressing)
Centrifugal Compacting: In this method, the mold after it is filled with powder is rotated
at high speed to get a compact of high and uniform density at a pressure of 3 MPa due to
centrifugal force. This method is normally employed for heavy metals such as tungsten
carbide.
Extrusion: This method is employed to produce the components with high density. Both
cold and hot extrusion processes can be used. In cold extrusion, the metal powder is
mixed with a binder and then this mixture is compressed in the form of a billet. The
binder is removed before or during sintering. The billet is charged into a container and
then forced through the die by means of a ram. The cold extrusion process is used for
cemented carbide tools.
In the hot extrusion, the powder is compacted into a billet and is heated to extruding
temperature in the non-oxidizing atmosphere. The billet is placed in the container and
extruded through a die. This method is used for refractive Barium and nuclear solid
materials.
Gravity Sintering: This process is used for making sheets for controlled porosity. In this
process, the powder is poured on a ceramic tray to form a uniform layer and is then
sintered up to 48 hours in ammonia gas at high-temperature. The sheets are then rolled to
desired thickness. The porous sheet of stainless steel is made by this process and
popularly used for filters.
Rolling: This method is used for making strips and rods having controlled porosity with
uniform mechanical properties. In this method, the metal powder is fed between two rolls
which compress and interlock the powder particles to form a sheet of sufficient strength.
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The metals that can be rolled are Copper, Brass, Bronze, Nickel, Stainless steel and
Monel.

21.21 SINTERING

Sintering involves heating of the green compact at high-temperatures in a controlled

atmosphere to protect from the oxidation of metal powders. Sintering increases the bond
strength between the particles. Sintering temperature is usually 0.6 to 0.8 times the
melting point of the powder. In the case of mixed powders of different melting
temperature, the sintering temperature will usually be above the melting point of one of
the minor constituent.

21.22 FINISHING OPERATIONS

These are secondary operations intended to provide dimensional tolerances, and better
surface finish. They are—sizing, coining, machining, impregnation, infiltration, heat
treatment, and plating.
Sizing: It is repressing the sintered component in the die to achieve the required size with
accuracy.
Coining: It is repressing the sintered components in the die to increase density and to
give additional strength.
Machining: Machining operation is carried out on sintered part to provide undercuts,
holes, threads, etc., which cannot be removed on the part in the powder metallurgy
process.
Impregnation: It is filling with oil, grease, or other lubricants in a sintered component
such as bearing.
Infiltration: It is filling of pores of sintered product with molten metal to improve
physical properties.
Heat Treatment: The processes of heating and cooling sintered parts are used to improve
wear resistance, grain structure, and strength of the product.

21.23 ADVANTAGES OF POWDER METALLURGY

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1. There is a minimum loss of material.
2. The components produced are clean, bright and ready for use.
3. The composition of the product can be easily controlled.
4. Components can be produced with good surface finish and close tolerance.
5. Production rate is high.
6. Complex shapes can be produced.
7. A wide range of properties such as density, porosity and particle size can be controlled for a specific
application.
8. There is usually no need for subsequent machining or finishing operations.
9. This process facilitates mixing of both metallic and non-metallic powders to give products of special
characteristics.
10. Porous parts can be produced that could not be made any other process.
11. Less skilled labor can be employed.

21.24 LIMITATIONS OF POWDER METALLURGY

1. The metal powders and the equipment are very costly.

2. Storing of powders offer great difficulties because of the possibility of fire and explosion hazards.
3. Parts manufactured by this process have poor ductility.
4. Sintering of low melting point powders like lead, zinc, tin, etc., is very difficult.

21.25 APPLICATIONS OF POWDER METALLURGY

Powder metallurgy techniques are applied in the manufacturing of a different kind of

products. Some of them are mentioned below as:
1. Self-Lubricating Bearing and Filters
2. Friction materials
3. Gears and Pump Rotors
4. Refractory materials
5. Electrical contacts and Electrodes
6. Magnetic materials
7. Cemented carbides

SMITHY

21.26 INTRODUCTION

Smithy is a workplace where metal is worked with heating and hammering. A smithy’s
work is concerned with the heating of a metal stock to the desired temperature and
enables it to obtain sufficient plasticity so that it can be given the desired shape by the
operations like hammering, bending, pressing, etc.
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These operations can either be carried out by hand hammering or power hammers. Hand
hammering is the process in which forging is done by hand tools. Similarly, forging done
with the help of power hammers is known as power forging. Applying pressure for
deforming the metal for the required shapes, the primary requirement is to heat the metal
to a definite temperature to bring it into the plastic state. This may be done either in an
open hearth, known as Smith’s forge or in the closed furnace, i.e., electric furnace or oil
furnace. Smaller jobs are normally heated in the Smith’s forge and larger jobs in closed
furnaces. The hand forging process is employed for relatively smaller components and the
power or machine forging is used for larger jobs requiring very heavy blows and drop
forging for mass production of identical parts.

21.27 MAJOR TOOLS USED IN SMITHY SHOP

21.27.1 Smith’s Forge or Hearth

It has a robust cast iron structure having four legs support, an iron bottom known as
hearth, a hood at the top and tuyere opening into the hearth either from the rear or from
the bottom as shown in the Figure 21.29. The hearth carries the coal and provided with
bricks lining. Air, under pressure, is supplied through the tuyere opening in the hearth
with the help of a blower. At suitable points, auxiliary pipes are used to connect the
tuyere with the main pipeline. A valve is incorporated in the auxiliary pipe, just before
the place where it is connected with the tuyere, to control the supply of air to the furnace.
The chimney provided at the top to escape of smoke and gases produced due to the
burning of coal. A water tank is provided, in front of the forge, which carries water for
the purpose of quenching. The metal block is heated in at the coal bed up to plastic state
before forging.

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FIGURE 21.29
Smith’s Forge or Hearth

21.27.2 Anvil

Anvil is a type of rigid support to the job to be forged or hammered. It has the capability
to bear heavy blows rendered to the job as shown in the Figure 21.30. It is made of cast
iron/wrought iron with a hardened top about 20 to 25 mm thick. It consists of a horn/
beak, which is used to provide bend or curved shapes to the job. A flat step between the
top and beak is provided to support the job during cutting and is known as chipping
block. The flat projecting part of the back of the anvil is known as the tail. It carries a
square hole to accommodate the square shank of the bottom part of various hand tools
like swages, fuller. It is called a hardie hole. The circular hole provided near the hardie
hole is known as pritchel hole. The top face of the anvil should stand at about 0.75 m
from the floor. However, anvil may be of different weight and sizes depending on its
applications.

FIGURE 21.30
Anvil

21.27.3 Hammer

Hammers are used to blow the job by striking on it. The hammer is classified according to
its shape and weight. The heavy hammer in a larger size is known as sledge hammer and
used by a separate person, known as hammer man. The lighter in weight and small size
hammers, i.e., Smith’s hammers are also classified into ball peen hammer, cross peen
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
hammer, and straight peen hammer. The different parts of the hammer are shown in the
Figure 21.31.
In ball peen hammer, the shape of the peen is spherical; in cross peen hammer the shape
of the peen is linear but perpendicular to the axis and in straight peen hammer, the peen
is linear but parallel to the axis. All the hammers are mainly divided into four parts;
namely peen, eye, cheeks, and face. The peen is the top part made slightly tapered from
the cheeks and rounded at the top. Just below the peen, the part is known as the neck.
The face is hardened and polished well and is given slight rounding along the circular
edges so that the metal surface is not spoiled by the sharp edges when the former is
struck by the hammer. The eye is normally made oval or elliptical in shape and
accommodates the handle. For small sized hammers these handles are made of wood or
bamboo, but in the case of sledge hammers, the handles made of solid bamboos. An
arrangement of the wedge is done in the handle so that slipping of the hammer off the
handle during striking can be avoided. Sledge hammers are comparatively 3 to 4 times
heavier than the hand hammers. They are available in varying sizes and weights from 3 to
8 kg. They are employed when heavy blows are needed in forging and other operations
done on heavy jobs.

FIGURE 21.31
Sledge and Smith’s Hammers
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
21.27.4 Swage Block

Swage block is made of cast iron having a number of slots of different shapes and sizes
along its four side faces and through holes from its top face to bottom face as shown in
the Figure 21.32.
It is used as a support in punching holes and forming different shapes. The job to be given
a required shape is kept on a similar shaped slot, which acts as a bottom swage, and then
the top swage is applied on the other side of the job. Swages consist of two parts: the top
part having handle and a bottom part having a square shank, which fits in the hardie hole
in the anvil. The holes in the top and bottom face are used in punching. Their use
prevents the punch from spoiling by striking against a hard surface after the hole has been
punched.

FIGURE 21.32
Swage Block

FIGURE 21.33
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Tongs

21.27.5 Tongs

Tongs are used to hold the jobs in a specific position and turning over during forging.
They are made of mild steel. Tongs are made of mild steel generally in two pieces, which
are riveted together to form a hinge as shown in the Figure 21.33. Smaller length on one
side of the hinge consists of the holding jaws, which are made of different shapes and
sizes to hold the jobs of various shapes and sizes, and the longer portions on the other
side of the hinge form the arms, which are held in hand by the smith to apply the pressure
on the job through the jaws. Tongs may be made of different shapes and size to handle
the different shapes of the jobs, but the commonly used lengths of the tongs in hand
forging vary from 400 to 600 mm with the jaws’ opening ranging from 6 to 55 mm. The
nomenclature of the tongs is based on the shapes of the jaws, e.g., flat or square tong,
round tong, hollow nose tong, the angle of vee nose tong, etc.

21.27.6 Chisels

Chisels are used to cut metals in the hot or cold state. The chisels which are used for
cutting the metal in hot state are termed as hot chisels and the others used for cutting in
cold state are known as cold chisels as shown in the Figure 21.34. A cold chisel carries an
included angle of 60° at the cutting edge and the latter is well hardened and tempered. It
is made of high carbon steel. A hot chisel can be made of medium carbon steel as there is
no need of hardening. It is used to cut the metal in a plastic state. The included angle of
its cutting edge is 30°.

FIGURE 21.34
Chisel

21.27.7 Punches

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Punches are used to produce holes in red hot jobs as shown in the Figure 21.35. They are
tapered tools made in various shapes and sizes. A larger tapered punch is called a drift.
The job is placed on the anvil and the punch is hammered through it up to about half its
depth. It is then turned over and the punch made to pass through it. Completion of this
operation in two stages prevents the job from splitting and full to bursting.

FIGURE 21.35
Punch

21.27.8 Flatters

Flatters are made of high carbon steel. They are used to give smoothness and accuracy to
articles, which have already been shaped by fullers and swages. These are also known as
smoothers. They consist of a square body, fitted with a handle, and a flat square bottom
as shown in the Figure 21.36. They are used for leveling and finishing a flat surface after
drawing out or any other forging operation.

FIGURE 21.36
Flatter

21.27.9 Set Hammer

Set hammer is used to finish the corners of the jobs, formed by two adjacent surfaces at
right angles as shown in the Figure 21.37. The job is supported on the anvil and the tool is
hammered from the top. It is a type of hammer, but not used for hammering or blowing
purposes. It is made of tool steel and hardened. Its construction is also similar to that of a
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
flatter but is smaller in size and it does not carry an enlarged bottom face.

21.27.10 Fullers

Fullers are used to produce a neck in the jobs. They are made in the top and bottom tools
as shown in the Figure 21.38. Fullers are made in various shapes and sizes according to
needs, the size denoting the width of the fuller. These tools are made of high carbon steel
in different sizes to suit the various types of jobs. They are generally used in pairs,
consisting of a top and bottom filler. Their working edges are normally rounded.

FIGURE 21.37
Set Hammer

FIGURE 21.38
Fullers

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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY

FIGURE 21.39
Swages

21.27.11 Swages

Swages are very similar to fullers made of high steel in two parts called the top and
bottom swage, but their faces carry circular grooves to suit the size of the work as shown
in the Figure 21.39. The top swage carries a handle and the bottom swage carries a square
shank, which is fitted in the hardie hole of the anvil during the operation.

RECAP ZONE

Points to Remember

Mechanical working is a process of shaping of metals by plastic deformation.

When metal is deformed between room temperature and recrystallization temperature, it is called cold
working.
When metal is deformed between recrystallization temperature and a melting point of the metal, it is
called hot working.
The recrystallization temperature is defined as “the approximate minimum temperature at which the
complete recrystallization of cold worked metal occurs within a specified period of time.
Rolling is the process of reducing the thickness or changing the cross-sectional area of the workpiece by
means of rolling mills.
Forging is a process of plastic deformation for shaping. The force applied in this case is an
intermittently compressive force while in a rolling process force applied is a continuous compressive
force.
In open die forging, the hot workpiece is placed between two flat dies and is hammered to produce the
desired shape.
In impression-die forging the heated workpiece is placed between two required shaped die and is
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pressed or hammered.
Closed die-forging is a variation of impression-die forging without flash.
In drop forging, the metal is deformed by the impact of a hammer or die and hot metal is forced to
confirm the die shape.
Press forging employs a slow squeezing action produced by mechanically or hydraulically operated
press as compared to rapid impact blows of hammer in drop forging.
Upset forging is used to produce head in a bolt, screw, bar, etc. Only a certain portion of the material
is deformed and rest is unaffected from the deformation.
Extrusion is a primary shaping process in which a metal kept in a cylinder is forced to pass through the
opening of a die.
Wire drawing is a process to produce a small diameter wire from billet by applying tensile force.
An important difference between the bar drawing and wire drawing is that the bars must remain straight.
The length of the bar which can be drawn is limited by the maximum travel of the carriage, which may
be from 50 to 100 feet.
Like bar drawing, tube drawing is accomplished in most cases with the use of draw bench.
If the rate of energy flow for forming is high, it is known as high energy rate forming. Energy used may
be chemical, magnetic, and electro discharge, etc.
In thread rolling there is no chips formation, i.e., the threads are produced by plastic deformation.
Sheet metal is thin and flat pieces of metals. It is one of the fundamental forms used in metalworking
and can be cut and bent into a variety of different shapes.
Punching is a process of producing a hole in a flat sheet while blanking is a process of cut out an
intricate shape from the sheet which is known as blank.
In a stretch forming operation, a sheet metal is stretched to yield point in tension and then wrapped over
and around the form block (die).
Deep drawing or drawing is defined as a process of making the cup-shaped parts from flat sheet metal
blanks.
Powder metallurgy is a process of making components from metallic powders.
Smithy is a workplace where metal is worked with heating and hammering.
A smithy’s work is concerned with the heating of a metal stock to a desired temperature and enables it
to obtain sufficient plasticity so that it can be given a desired shape by the operations like hammering,
bending, pressing, etc.
Anvil is a type of rigid support to the job to be forged or hammered.
Hammers are used to blow the job by striking on it. The hammer is classified according to its shape
and weight.
Swage block is used as a support in punching holes and forming different shapes.
Tongs are used to hold the jobs in a specific position and turning over during forging.
Chisels are used to cut metals in the hot or cold state.
Punches are used to produce holes in red hot jobs.
Fullers are used to give smoothness and accuracy to articles, which have already been shaped by fullers
and swages.
Set hammer is used to finish the corners of the jobs, formed by two adjacent surfaces at right angles.
Fullers are used to produce a neck in the jobs.
Swages are very similar to fullers made of high steel in two parts called the top and bottom swage, but
their faces carry circular grooves to suit the size of the work.

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REVIEW ZONE

Multiple-choice Questions

1. The important property of a material in all metal forming process is:

1. Elasticity
2. Plasticity
3. Ductility
4. Brittleness
2. Which of the following material cannot be forged:
1. Wrought iron
2. Cast iron
3. Mild steel
4. High carbon steel
3. Mechanical properties of the metal improve in hot working due to:
1. Recovery of grains
2. Recrystallization
3. Grain growth
4. Refinement of grain size
4. The increase in hardness due to cold working is called:
1. Cold hardening
2. Hot hardening
3. Strain hardening
4. Age hardening
5. The extruded product moves in the backward direction opposite to that of the deforming force in:
1. Forward extrusion
2. Die extrusion
3. Backward extrusion
4. Wire drawing
6. Hot working operations are carried at:
1. Recrystallization temperature
2. Below crystallization temperature
3. Above crystallization temperature
4. Above room temperature
7. Seamless tubes are made by:
1. Piercing
2. Extrusion
3. Rolling
4. Plug rolling
8. The operation of removing the burr or flash from the forged parts in drop forging is known as:
1. Lancing
2. Coining
3. Trimming
4. Shot peening
9. In four high rolls mill, the bigger roll is called:
1. Guide rolls
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
2. Back up rolls
3. Main rolls
4. Support rolls
10. Large size bolt heads are made by:
1. Swaging
2. Roll forging
3. Tumbling
4. Upset forging
11. Symmetrical hollow parts of circular cross section are made by hot:
1. Forging
2. Extrusion
3. Piercing
4. Spinning
12. In drawing operation, the metal flows due to:
1. Ductility
2. Work hardening
3. Plasticity
4. Shearing
13. Hemming is the operation:
1. In which the edges of the sheet are turned over to provide stiffness and a smooth edge.
2. Of producing contours in sheet metal and bending previously roll formed sections.
3. Employed to expand a tubular or cylindrical part.
4. None of these

Fill in the Blanks

1. 14. If the rate of energy flow for forming is high, it is known as _____.
2. 15. _____ is defined as process for the making of cup shaped parts from flat sheet metal blanks.
3. 16. Punching is a process of producing ______ in a flat sheet.
4. 17. Powder metallurgy is a process of making components from ______.
5. 18. When metal is deformed between recrystallization temperature and melting point of the metal, it is
called _______.
6. 19. When metal is deformed between room temperature and recrystallization temperature, it is called
______.
7. 20. ______is a process to produce a small diameter wire from billet by applying tensile force.

Answers

1. b
2. b
3. d
4. c
5. c
6. c
7. a
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CHANICAL WORKING OF METALS, SHEET METAL WORK, POWDER METALLURGY, AND SMITHY
8. c
9. b
10. d
11. d
12. c
13. a
14. high energy rate forming
15. Deep drawing
16. hole
17. metal powder
18. hot working
19. cold working
20. Wire drawing

Theory Questions

1. What do you mean by mechanical working? Differentiate between hot working and cold working.
2. What is forging? Explain different forging process.
3. Explain the various forging defects and its remedies.
4. Explain the rolling process and the defects occurred in rolling.
5. Differentiate between backward and forward extrusions.
6. Write notes on high energy rate forming.
7. Explain the process of tube drawing.
8. What is the basic difference between bar drawing and wire drawing?
9. What do you mean by stretch forming?
10. Write the name and applications of different hand tools used in sheet metals.
11. What are the various sheet metal operations?
12. Differentiate between punching and blanking.
13. Explain the process of deep drawing.
14. Explain the process to manufacture internal and external threads using forming process.
15. What is powder metallurgy? Explain the various steps used in powder metallurgy.
16. Explain the methods to produce metal powders.
17. Explain the advantages, disadvantages, and applications of powder metallurgy.
18. What do you mean by smithy?
19. Write short notes on: (i) Hearth, (ii) Anvil, (iii) Set hammers, (iv) Swage blocks, (v) Fullers,(vi)
Flatters, and (vii) Swages.

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CHAPTER 22
Manufacturing Systems: NC, CNC, DNC, and Robotics
Learning Objectives

By the end of this chapter, the student will be able:

To understand the manufacturing systems
To demonstrate the computer integrated systems
To describe the numerical control, computer numerical control, and direct numerical control of
manufacturing systems
To describe the automation of production systems
To understand the basic concepts of robotics

22.1 INTRODUCTION

A Manufacturing system consists of all the resources required to transform the material
from its raw form to finished form. The resources involved in this transformation process
may be Man, materials, money, machine, management, energy, etc. A manufacturing
system’s components may be broadly categorized as:
1. Production machines, tools, jigs, fixtures, etc.
2. Material handling systems.
3. Computer systems.
4. Human resources.

22.1.1 Production Machines, Tools, Fixtures, and Other Related Hardware

In manufacturing systems, the term workstation refers to a location in the factory where
some well-defined operation is accomplished by men or/and machines.
The machines used in manufacturing or assembly can be classified as:
Manually operated machines
Semi-automated machines
Fully automated machines

Manually Operated Machines: In manually operated machines, the machines only

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provide the power for operations but the control of operations is total with operators. An
operator is required to be at machine continuously during operation.
Semi-automated: A semi-automated machine performs a portion of the work cycle under
some form of program/automated control, and a worker tends to the machine for the
remainder of the cycle. Typical worker tasks include loading and unloading parts.
Fully Automated: A fully-automated machine operates for extended periods (longer than
one work cycle) without the involvement of worker in the operations.

22.1.2 Material Handling System

The main objectives of a material handling system are to load the job at each workstation,
position the job at each workstation, unload the job at each workstation, transport the job
between stations in multi-station manufacturing systems, and store the finished jobs into
the storage.

22.1.3 Computer Systems

A computer system is required to control the functions of the machines and to participate
in the overall coordination and management of the manufacturing system. The objectives
of a computer system are to give instructions to workers, transform part programs to
machine language, control material handling system, schedule production, monitor safety
measures, control the quality of job to be produced, etc.

22.1.4 Human Workers

Two types of labors are involved in a manufacturing system: direct labors and indirect
labors. Direct labors perform some or all of the value-added work that is accomplished on
the job. They directly add to the value to the job by performing manual work on it or by
controlling the machines that perform the work. While indirect labors manage or support
manufacturing activities without direct involvement in job processing. All the
administrators, marketing personals, financial managers, human resource managers are
indirect labors.

22.2 AUTOMATION

Automation is the technology by which a process or procedure is accomplished without

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human assistance. An automated system consists of Power—to accomplish the process
and operate the automated system, Program of instructions—to direct the process, and
Control system—to actuate the instructions.
Automation of production systems can be classified into three categories:
1. Fixed automation (Rigid Automation).
2. Programmable automation (Soft Automation).
3. Flexible automation.

22.2.1 Fixed Automation (Rigid Automation): Fixed automation is devoted to the

production of a specific type of the item. It cannot be used to accommodate the
production of a new type of the products. Therefore, it is also known as rigid or hard
automation. It is mostly used for mass production or continuous types of production. The
sequence of operations is automated as per the requirement of production of that specific
item. This is called hard automation.

Advantages of the fixed automation

Low unit cost of production.

Automated material handling.
High production rate.
Suitable for mass/continuous production

Disadvantages of the fixed automation

High initial Investment cost.

Relatively inflexible in accommodating the product changes.

22.2.2 Programmable Automation: In programmable automation, the production

equipment is designed with the capability to change the sequence of operations to
accommodate different product configurations. The operation sequence is controlled by a
program, which is a set of instructions coded. So that they can be read and interpreted by
the system. New programs can be prepared and entered into the equipment to produce
new products.

Advantages of the programmable automation

Flexible to deal with design variations.

Suitable for batch production.
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Disadvantages of the programmable automation

High investment in general purpose equipment.

Lower production rate than fixed automation.

22.2.3 Flexible Automation: (Soft Automation): Flexible automation is an extension of

programmable automation. A flexible automation system is capable of producing a
variety of parts with virtually no time lost for changeovers from one part style to the next.
There is no loss of production time while reprogramming the system and altering the
physical set up.

Advantages of the Flexible automation

Continuous production of variable mixtures of the product.

Flexible to deal with product design variation.

Disadvantages of the flexible automation

Medium production rate

High investment.
High unit cost relative to fixed automation.

22.3 COMPUTER INTEGRATED MANUFACTURING (CIM)

In a computer integrated manufacturing system, all the manufacturing and business

functions are integrated through computer networking. Manufacturing functions include
CAD/ CAM and business functions include all other activities in the organization like
demand management, material management, purchasing, sales, and marketing, etc.

22.4 CAD/CAM

CAD/CAM involves the use of the computer to accomplish certain functions in design
and manufacturing. CAD is concerned with the use of the computer to support the design
engineering functions and CAM is concerned with the computer to support
manufacturing engineering functions. The combination of CAD and CAM in the symbolic
form is represented as CAD/CAM to integrate design and manufacturing functions in a
firm.

22.4.1 Computer Aided Design (CAD)

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CAD can be defined as any design activity that involves the effective use of a computer
to create, modify and document an engineering design. There are 4-phases of CAD:
Synthesis (Geometric modeling).
Analysis and Optimization (Engineering analysis).
Evaluation (Design review and evaluation).
Presentation (Automated drafting).

Geometric modeling is concerned with the mathematical description of the geometry of

an object. The mathematical description called a model is contained in computer
memory. The image is displayed on graphics terminal to perform certain operations on
the model. There are various types of geometric models in CAD: wire frame and solid
models, colored and animation, two-dimensional and three-dimensional.
The second phase is engineering analysis, which includes the stress-strain calculations,
heat transfer analysis, dynamic simulation, and optimization. The CAD system increases
the designer’s analysis ability.
The third phase is design evaluation and review procedures. Some CAD features which
are helpful evaluating and reviewing a proposed design include:
1. Automatic dimensioning routines.
2. Interference checking routines.
3. Kinematics routines.

The fourth phase, where CAD is useful in the design process, is the presentation and
documentation. CAD system can be used as automated drafting machines to prepare
highly accurate engineering drawing quickly. It is estimated that a CAD system increases
productivity in the drafting function by 5-times the manual preparation of the drawing.
Objectives of CAD System: The objectives of CAD system are to increase the
productivity of the designer, improve the quality of the design, improve the design
documentation, create manufacturing database.

22.4.2 Computer Aided Manufacturing (CAM)

CAM is mainly used for manufacturing planning and manufacturing control. In the
manufacturing planning, the computer is used indirectly to provide information for the
effective planning and management of production activities. The computer is used for
following planning activities:
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1. Cost estimating.
2. Computer aided process planning.
3. Computer-assisted NC part programming.
4. Development of work standards.
5. Computer aided line balancing.
6. Production and inventory planning.

Manufacturing control is concerned with managing and controlling the physical

operations in the factory to implement the manufacturing plans. Mainly three types of
controls are required in manufacturing:
Shop Floor Control: It is concerned with the problem of monitoring the progress of
processing, assembling, and inspection of the products in the factory.
Inventory Control: It is concerned with the demand fulfillment and also to reduce the
inventory to eliminate the wastage and extra money investment. Thus, the optimum
inventory size is maintained based on accurate demand forecasting.
Quality Control: the purpose of the quality control is to assure that the quality of the
product and its components meet the standards specified by the product designer. To
accomplish its mission, quality control depends on the inspection activities performed in
the factory at various times throughout the manufacture of the product.

22.5 NUMERICAL CONTROL (NC)

Numerical control can be defined as a form of programmable automation in which the

machining process is controlled by numbers, letters, and symbols. NC technology has
been applied for wide variety of operations but the principal application is in machining
operations.
An operational NC system consists of the following three basic components:
1. Program of instruction.
2. Controller unit.
3. Machine tools.

The program of instruction consists of details of the sequence of operations in the

symbolic, numeric, or alphanumeric form on some medium like tape, which can be
interpreted by the controller unit. Controller unit consists of the electronics and hardware
that read and interpret the program of instructions and convert it into mechanical actions
of the machine tool. The typical elements of conventional NC controller unit include the
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tape reader, a data buffer, signal output channels to the machine tool, feedback channels
from the machine tool, and the sequence control to coordinate the overall operation of
the forging element. The machine tool is the part of NC system which performs useful
work. It also includes the cutting tools, work fixtures and other auxiliary equipment
needed in the machining operation. The three components of NC system is shown in
Figure 22.1.

FIGURE 22.1
NC Components

22.5.1 Limitations/Drawback of Conventional NC System

Part programming mistakes in punched tape are common.

Short life of punch tape due to wear and tear.
Less reliable tape reader component.
Less flexible hard wired controller unit.
Non-optimal speed and feed.

22.6 COMPUTER NUMERICAL CONTROL (CNC)

The appearance of CNC system is very similar to NC system but the way of using the
program is different. In a conventional NC system, the punched tape is cycled through
the tape reader for each work part in the batch. The machine control unit reads in a block
of instructions on the tape, executing that block before proceeding to the next block. In
CNC, the entire program is entered once and stored in computer memory. The machining
cycle for each part is controlled by the program contained in memory rather than on the
tape itself. The general configuration of CNC system is shown in Figure 22.2.

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FIGURE 22.2
Components of CNC Systems
Following features are associated with CNC system:
Storage of more than one program.
Use of floppy/discs.
Program editing at the machine tool site.
Fixed cycles and programming subroutines.
Interpolation.
Positioning features for setup.
Cutter length compensation.
Diagnostics.
Communication Interface.

22.7 PROGRAMMING METHODS

CNC part programming may be accomplished in different ways, such as:

Manual Part Programming: Manual part programming is the oldest method and still
quite popular. This technique requires the programmer to examine a part drawing then
“manually” calculate all tool paths. This information is recorded on a manuscript. A
punched tape is prepared from the manuscript.
Computer Assisted Part Programming: In computer assisted part programming, much of
the tedious work required to calculate tool offsets, partial arcs, and the geometry of the
part, is performed by the computer. When using computer assisted part programming, the
programmer utilizes a high-level language to describe part geometry and cutter path with
respect to the geometry, then the computer performs all necessary calculations and
generates tool path information. This tool path data is then post-processed into the format
required for a specific CNC machine tool. For complex parts, computer assisted part
programming may be necessary and the savings in programming time can be substantial.
Computer Aided Drafting/Computer Aided Manufacturing: This method of
programming machine tools is sophisticated and growing in popularity. As CAD/CAM
software systems become more users friendly, inexpensive, and reliable, more and more
manufacturers are turning to CAD/CAM for part programming. Essentially, CAD/CAM
enables a programmer to manipulate CAD data so CAM software is capable of
understanding the data. Once properly manipulated, the CAM software performs all
necessary calculations and generates CNC tool path data that made be post-processed for
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a variety of machine tools.
Conversational and Shop Floor Programming: Conversational programming is an
interactive method of generating CNC code. The CNC programmer or machine tool
operator answers questions and provides data about tool paths when prompted by a
conversational programming software system. These answers to questions and associated
data are translated into a CNC program for a particular machine tool. Often these
conversational systems reside on the machine tool controller and the interaction
(programming) is done on the shop floor—hence the term shop floor programming. This
method of programming is generally restricted to relatively simple geometry.
Parametric Programming: An enhancement to the methods above more so than a
method in and of itself, parametric programming software systems enables the
programmer to describe part geometry using variables. Once described, entering specific
values for the variables that uniquely identify the part generates an actual tool path CNC
program.

Advantages

The part program tape and tape reader are used only once to enter the program into the memory.
Tape can be edited at the machine site.
Greater flexibility.
Metric conversion.
Compatible with total manufacturing information system.

22.8 COMPARISON OF NC AND CNC MACHINES

NC machines offered a reliable way of producing machine parts using pre-programmed

commands. These commands consisted of alphanumeric characters defined by the RS233
IEEE code. These characters were coded on punch paper tape in formats specifically
planned for a certain machine tool. These programs (punched tape) would then be read
into the NC control using a paper tape reader. If during testing a program error were
detected, the paper tape would have to be edited. This process meant duplicating a tape
up to the incorrect character(s), retyping the correct characters, and then continuing with
the duplication process. This is a time-consuming process. During the running of NC
programs, if a tool would begin to wear causing part dimensions to approach tolerance
limits, the operator would have to stop and adjust the tool(s) to compensate for this wear.
In CNC machines, data for the control are still coded using either RS233 or the newer,
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more acceptable RSxyz ASCII code (American Standard Code for Information
Interchange). Entire CNC programs may be loaded into the memory of the CNC control
enabling the programmer or machine operator to edit the programs at the machine. If
program changes are required, many CNC machines have built-in paper tape punch
machines that allow for the generation of a new tape at the control. Tool wear is handled
by adjusting program data in memory or calling in from a tool register one of several pre-
programmed tool offsets.
As the implementation of microprocessors expanded, OEM’s of NC/CNC machines
began using them in the construction of controls. By the late 1970’s, nearly all NC/CNC
manufacturers were using microprocessors (computers) in their controls. Today the
phrase NC is commonly used when referring to CNC machines because of the need to
differentiate the two no longer exists. Today, ALL modern NC machines are in fact CNC
machines. Throughout the chapter, we will use the phrase NC machines to refer to both
NC and CNC unless specifically noted otherwise.

22.9 DIRECT NUMERICAL CONTROL (DNC)

Direct numerical control (DNC) can be defined as a manufacturing system in which a

number of machines are controlled by a computer through direct connection and in real
time. The tape reader is omitted in DNC, thus relieving the system of its least reliable
component. Instead of using the tape reader, the part program is transmitted to the
machine tool directly from the computer memory. In principle, one computer can be used
to control up to 256 machine tool. When the machine needs control commands, they are
communicated to it immediately.
The system consists of following four components as shown in Figure 22.3.
1. Central computer.
2. Bulk memory, storage of NC part programs.
3. Telecommunication lines.
4. Machine tools.

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FIGURE 22.3
General Configuration of DNC

Advantages

Time-saving due to the control of more than one machine by a single computer.
Greater computational capability for such functions as circular interpolation.
Remote computer location is safe environment.
Elimination of tapes and tape reader at the machine for improved reliability.
Elimination of hardware controller unit on some systems.
Programs stored as cutter location data can be post-processed for whatever suitable machine is
assigned to process the job.

ROBOTICS

22.10 INTRODUCTION

Robotics is a part of the automation, which deals with the working, design, and
application of robots. An industrial robot is a general purpose and programmable
machine, which is used to perform the various task in the industry.
The definition of an industrial robot given by the Robotic Industries Association (RIA) as:
“An industrial robot is a reprogrammable, multifunctional manipulator designed to move
materials, parts, tools, or special devices through variable programmed motions for the
performance of a variety of tasks.”

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22.11 ROBOT ANATOMY

Robot anatomy deals with the types and sizes of the joints and links and other aspects of
the manipulator’s physical construction.
Joints and Links: The joints used in an industrial robot are very similar to the joints in a
human body; it provides relative motion between two parts of the body. Each joint
provides the robot with a degree of freedom (d.o.f.) of the motion. In nearly all cases,
only one d.o.f. is associated with a joint. Two links are connected to each joint, one
which we call the input link and another is called the output link. Nearly all industrial
robots have mechanical joints that can be classified into one of five types.
1. Linear Joint: In this joint, the relative movement between the input link and the output link is a linear
sliding motion, with the axes of the two links being parallel. We refer to this as type L-joint as shown in
Figure 22.4 (a).
2. Orthogonal Joint: This is also a linear sliding motion, but the input and output links are perpendicular
to each other during the movement. This is a type O-joint as shown in Figure 22.4 (b).

FIGURE 22.4
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Robotic Joints
3. Rotational Joint: This type of joint provides a rotational relative motion of the joints, with the axes of
the input and output link. This is a type R-joint as shown in Figure 22.4 (c).
4. Twisting Joint: This joint also involves a rotary motion, but the axis of rotation is parallel to the axes of
the two links. We called this as type-T joint as shown in Figure 22.4 (d).
5. Revolving Joint: In this type of joint, the axis of the input link is parallel to the axis of rotation of the
joint, and the axis of the output link is perpendicular to the axis of rotation. We refer to this as a type V-
joint as shown in Figure 22.4 (e).

22.12 THREE DEGREE OF FREEDOM FOR ROBOT’S WRIST

To establish the orientation of the object, we can define three-degree of freedom for the
robot’s wrist as shown in Figure 22.5.
1. Roll: This degree of freedom (d.o.f.) can be accomplished by a T-type joint to rotate the object about
the arm axis.
2. Pitch: This involves the up and down rotation of the object, typically done by means of a type R-joint.
3. Yaw: This involves right-to-left rotation of the object, also accomplished typically using an R-type joint.

FIGURE 22.5
Three Degree Freedoms for Robotic Arm

22.13 ROBOT CONFIGURATIONS

There are five types of robot configurations as shown in Figure 22.6.

1. Polar Configuration: This configuration has a TRL notation. A sliding arm is actuated relative to the
body, which can rotate about both a vertical axis (type T-joint) and horizontal axis (type R-joint).

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FIGURE 22.6
Robot Configurations
1. 2. Cylindrical Configuration: This robot configuration consists of a vertical column, relative to which
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an arm assembly can be moved up and down. The end-of-arm can be moved in and out relative to the
axis of the column. This configuration can be realized structurally in several ways. Example TLO, LVL.
2. 3. Cartesian Coordinate Robot: Other names for this configuration include rectilinear robot and x-y-z
robot. It is composed of three sliding joints two of which are orthogonal. The sketch in the shows a
LOO rotation. Another possible rotation is OLO.
3. 4. Jointed-arm-robot: This robot has a human arm. Its arm has a shoulder joint and an elbow joint and
the arm can be swiveled about the base. Possible configurations for this type include TRR and VVR
type.
4. 5. SCARA (Selective Compliance Assembly Robot Arm). This is similar to the jointed arm robot except
that the shoulder and elbow rotational axes are vertical but compliant in the horizontal direction.

22.14 ROBOT CONTROL

The actuators are used to move the joint powered by a particular form of the drive
system. Common drive system makes used in robotics are an electric drive, hydraulic
drive, and pneumatic drive. The pneumatic drive is reserved for smaller robots, which are
used in simple material transfer applications. Both electric drive and hydraulic drive are
used on more sophisticated industrial robots. Electric drive systems are becoming more
prevalent in commercially available robots. Electric drive robots are relatively accurate
as compared to hydraulically powered robots. By contrast, the advantages of the
hydraulic drive include greater speed and strength.

22.14.1 Type of Robot Control

Limited Sequence Robot: This is the most elementary control type and can be utilized
only for simple motion cycles, such as pick and place operations. Usually, it is
implemented by setting limits or mechanical steps for each joint and sequencing and
actuation of the joints to accomplish the cycle. Feedback loops are sometimes used to
indicate that the particular joint actuation has been accomplished so that the next step in
the sequencing can be initiated. However, there is no servo control to accomplish precise
positioning of the joint. Many pneumatically driven robots are limited sequence robots.
Playback Robot with a Point-to-point Control: In this system, the controller has a
memory for recording the sequence of motions in a given work cycle, and also the
locations that are associated with each element of the motion cycle. These locations and
their sequence are programmed into memory and subsequently played back during the
operation. In PTP (Point-to-Point) control, the individual position of the robot arm is
recorded into the memory. These positions are not limited to the mechanical stops set for
each joint as in the case of limited sequence robots.

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Playback Robot with Continuous Path Control: These robots have the same playback
capability as the previous type; however the number of individual location that can be
recorded into memory is far greater than for point-to-point. The points constituting the
motion cycle can be spaced very closely together, which permits the robot to accomplish
a smooth continuous motion. In PTP, only the final location of the individual motion
elements are controlled; the path taken by the arm to reach the final location is not
controlled. In a continuous path motion, the movement of an arm and wrist is controlled
during the motion. Servo control is used to maintain continuous control over the position
and speed of the manipulator. A playback robot with continuous path control has the
inherent capacity for PTP control as well.
Intelligent Robots: The characteristics that make a robot more intelligent include the
capacity to interact with its environment, make decisions when things go wrong during
the work cycle, and operate in response to advanced sensor inputs such as machine
vision. In addition, these robots possess the playback capability for either PTP or
continuous path control. These features require a relatively high level of computer
control and advanced programming language in order to input the decision-making logic
and other intelligence into memory.

22.15 CONTROL SYSTEMS

Control is an essential part of an automated manufacturing system. All the part of

manufacturing system like material handling, numerical control, industrial robots, FMS
require a strong control system for successful operation. Feedback control systems are
widespread and frequently used everywhere. In the case of feedback control system, a
sensor senses the actual output and is compared with the reference value and the output
is adjusted accordingly. For example, current is supplied to an electric iron up to certain
temperature and a control unit like the thermostat is used to break down the circuit if the
temperature goes beyond the limit, again current is allowed to pass when the temperature
falls down the limit.

22.15.1 Basic Form of Control Systems

There are two basic forms of control system:

1. Open-loop control system.
2. Closed-loop control system.

In an open-loop control system, the output from the system has no effect on the input
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signal. But in a closed-loop control system, the output does have an effect on the input
signal, modifying it to maintain an output signal at the required value.
Open-loop systems have the advantage of being relatively simple and consequently low
cost with good reliability. However, they are often inaccurate since there is no
connection for error. Closed-loop systems have the advantage of being relatively
accurate in matching the actual to the required values. They are however more complex
and so more costly with a greater number of components. The open and closed-loop
control system is shown in Figures 22.7 and 22.8.

FIGURE 22.7
Open-loop Control Systems

FIGURE 22.8
Closed-loop Control Systems
Basic elements of closed-loop systems:
1. Comparison Element: This element compares the measured value with reference value signal in which
the error can be positive or negative.
2. Control Element: Control elements take corrective action on error signal found after comparison with
reference value signal. The control plans may be hard-wired systems in which the control plan is
permanently fixed by the way the elements are connected together or programmable systems where the
control plan is stored in a memory unit and may be altered by reprogramming.
3. Correction Element: The correction element produces a change in the process to convert or change the
controlled condition. An actuator is used for the element of a correction unit that provides the power to
carry out the control action.
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4. Process Element: The process is what is being controlled. It could be a room in a house with its
humidity and temperature being controlled.
5. Measurement Element: The measurement element produces a signal related to the variable condition
of the process that is being controlled. It might be, for example, a switch, which is switched on when a
particular position is reached, or a thermocouple, which gives an e.m.f, related to the temperature.

22.15.2 Sequential Control

Sequential control is used when control is such that actions are strictly ordered in a time
or event driven sequence. An electrical circuit with sets of relays could obtain such
control or cam-operated switches, which are wired up in such a way as to give the
required sequence. Such hard-wired circuits are now more likely to have been replaced
by a microprocessor-controlled system, with the sequencing being controlled by means of
a software program.

22.15.3 Microprocessor Based Controllers

Microprocessors are now rapidly replacing the mechanical cam-operated controllers and
being used in general to carry out control functions. They have the great advantage that a
greater variety of programs become feasible. In many systems, there might be just an
embedded micro-controller, this being a microprocessor with memory all integrated on
one chip, which has been specifically programmed for the task concerned. a more
adaptable form is a programmable logic controller (PLC). This is a microprocessor based
controller, which uses programmable memory to store instructions and to implement
functions such as logic, sequence, timing counting and arithmetic to control events and
can be readily reprogrammed for different tasks.

22.15.4 Sensors Used in Robotics

Tactile Sensors: These sensors are used to determine whether the contact is made
between the sensor and another object. Tactile sensors can be divided into two types—
touch sensors and force sensors. Touch sensors are those that indicate simply that contact
has been made with the object. Force sensors are used to indicate the magnitude of the
force with the object. This might be useful in gripper to determine the magnitude of the
force being applied to grasp an object.
Proximity Sensors: These indicate when an object is close to the sensor. When this type
of sensor is used to indicate the actual distance of the object, it is called a range sensor.

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Machine Vision and Optical Sensors: Optical sensors such as photocells and other
photometric can be utilized to detect the presence or absence of objects, and are often
used for proximity detection. Machine vision is used in robotics for inspection, part
identification, guidance, and other uses.
Miscellaneous Sensors: This category includes other types of sensors that might be used
in robotics, including devices for measuring temperature, fluid pressure, fluid flow,
electrical voltage, current, and various other physical properties.

22.15.5 Transducers used in Robotics

A transducer is a device that converts one type of physical quantity (e.g., temperature,
force, velocity, flow rate) into another type (commonly electrical voltage). The reason for
making the conversion is that the converted signal can be used or evaluated more
conveniently. Transducers are often called sensors when they are used to measure the
value of a physical quantity.
Transducers are of Two Types: Analog and digital. Analog transducers produce a
continuous analog signal such as electrical voltage. The signal can be interpreted, as the
value of the measured variable. To make the interpretation, a calibration procedure is
required. The calibration of measuring device establishes the relationship between the
variable that is to be measured and converted into an output signal (voltage).
Digital transducers are measuring devices that produce a digital output signal. The digital
signal may be in the form of a set of parallel status bits or a series of pulses that can be
counted. In either case, the digital signal represents the quantity to be measured. Digital
transducers are finding increased utilization because of the ease with which they can be
read when used as standalone measuring instruments, and because of their compatibility
with the digital computer.

Desirable Features of Sensors and Transducers

Some of the important desirable features of sensors and transducers are mentioned below:
1. High accuracy.
2. High precision.
3. Wide operating range.
4. Speed of response.
5. Ease of calibration.

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6. High reliability.
7. Low cost.

22.16 APPLICATIONS OF ROBOTS

1. Material handling applications.

Machine loading.
Machine unloading.
Machine loading and unloading.

Machine loading and unloading include the processes: die casting, plastic molding,
metal machining, forging, press working, and heat treating.
2. Processing Operations.

Spot welding, Continuous arc welding, spray painting, drilling, grinding, wire
brushing, water jet cutting, laser cutting, and riveting.
3. Assembly and inspection.

RECAP ZONE

Points to Remember

A Manufacturing system consists of all the resources required to transform the material from its raw
form to finished form.
The resources involved in this transformation process may be man, materials, money, machine,
management, energy, etc.
In manufacturing systems, the term workstation refers to a location in the factory where some well-
defined operation is accomplished by men or/and machines.
Automation is the technology by which a process or procedure is accomplished without human
assistance.
An automated system consists of Power - to accomplish the process and operate the automated system,
Program of instructions – to direct the process, and Control system – to actuate the instructions.
Fixed automation is devoted to the production of a specific type of the item.
It cannot be used to accommodate the production of a new type of the products.
In programmable automation, the production equipment is designed with the capability to change the
sequence of operations to accommodate different product configurations.
The operation sequence is controlled by a program, which is a set of instructions coded.
Flexible automation is an extension of programmable automation.
A flexible automation system is capable of producing a variety of parts with virtually no time lost for
changeovers from one part style to the next.
There is no loss of production time while reprogramming the system and altering the physical set up.
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A computer system is required to control the functions of the machines and to participate in the overall
coordination and management of the manufacturing system.
The objectives of a computer system are to give instructions to workers, transform part programs to
machine language, control material handling system, schedule production, monitor safety measures,
control the quality of job to be produced, etc.
In a computer integrated manufacturing system, all the manufacturing and business functions are
integrated through computer networking.
CAD/CAM involves the use of the computer to accomplish certain functions in design and
manufacturing.
CAD is concerned with the use of the computer to support the design engineering functions and CAM is
concerned with the computer to support manufacturing engineering functions.
CAM is mainly used for manufacturing planning and manufacturing control.
Geometric modeling is concerned with the mathematical description of the geometry of an object. The
mathematical description called a model is contained in computer memory. The image is displayed on
graphics terminal to perform certain operations on the model.
Numerical control can be defined as a form of programmable automation in which the machining
process is controlled by numbers, letters, and symbols. NC technology has been applied for wide
variety of operations but the principal application is in machining operations.
In CNC, the entire program is entered once and stored in computer memory. The machining cycle for
each part is controlled by the program contained in memory rather than on the tape itself.
Direct numerical control (DNC) can be defined as a manufacturing system in which a number of
machines are controlled by a computer through direct connection and in real time.

REVIEW ZONE

Multiple-choice Questions

1. A Manufacturing system consists of:

1. All the resources required to transform the material from its raw form to finished form.
2. Purchasing and selling activities of products
3. Marketing systems
4. All of the above
2. The resources involved in this transformation process may be:
1. Man and materials,
2. Money and machine,
3. Management and energy,
4. All of the above
3. In manufacturing systems, the term workstation refers to a location in the factory where:
1. Services are provided to customer
2. Enquiry if provided
3. Some well-defined operation is accomplished by men or/and machines
4. All of the above
4. A computer system is required to:
1. control the functions of the machines
2. participate in the overall coordination and management of the manufacturing system
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3. Both (a) and (b)
4. None of these
5. The objectives of a computer system is to:
1. Give instructions to workers and transform part programs to machine language
2. Control material handling system, schedule production, monitor safety measures
3. Control the quality of job to be produced.
4. All of the above
6. In a computer integrated manufacturing system, all the manufacturing and business functions are
integrated through:
1. Computer networking
2. Manual network
3. Electrical network
4. None of these
7. CAD is concerned with the use of the computer to support:
1. The design engineering functions and CAM is concerned with the computer to support
manufacturing engineering functions.
2. Marketing network
3. Supplier network
4. All of the above
8. Geometric modeling is concerned with:
1. Mathematical description of the geometry of an object.
2. The image is displayed on graphics terminal to perform certain operations on the model.
3. Both (a) and (b)
4. None of these
9. Numerical control can be defined as a form of programmable automation in which the machining
process is controlled by:
1. Numbers
2. Letters and symbols
3. Both (a) and (b)
4. None of these
10. An operational NC system consists of:
1. Program of instruction.
2. Controller unit
3. Machine tools
4. All of the above

Answers

1. a
2. d
3. c
4. c
5. d
6. a
7. a
8. c
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 22 MANUFACTURING SYSTEMS: NC, CNC, DNC, AND ROBOTICS
9. c
10. d

Theory Questions

1. What is manufacturing system? Explain it.

2. Write notes on computer integrated manufacturing system and CAD/CAM.
3. Explain all the four phases of computer aided design.
4. Explain the activities involved in computeraided manufacturing.
5. What is NC machine? Explain its applications and limitations.
6. Explain all features of CNC machine.
7. Explain the programming methods used in CNC machine. Also, mention the advantages of CNC machine
over NC machine.
8. Write notes on DNC machine. How does it differ from CNC?
9. * Discuss CNC with its different components?
10. * Draw a neat diagram showing the main elements of an NC machine and state the function served by
each element.
11. * How does a CNC machine differ from an NC machine?
12. * Define Robot, write the classification based on robot physical configuration, write down the
applications of an industrial robot.
13. * Classify the robots on the basis of the physical configuration.
14. * What is automation? Explain the types of automation with examples.

939
 23. HEAT TREATMENT
CHAPTER 23
Heat Treatment
Learning Objectives

By the end of this chapter, the student will be able:

To demonstrate the iron-carbon (Fe-C) phase diagram
To demonstrate the time-temperature-transformation (TTT) diagram
To describe the various heat treatment processes of the metal to change the mechanical
properties

23.1 INTRODUCTION

Heat treatment is a process to control the mechanical properties of engineering materials

by heating, cooling and alloying the metal as per requirement. It deals with change in
properties by alloying different elements to the metal at various temperatures. The
various mechanical properties such as hardness, toughness, ductility, machinability, and
grain refinement are controlled by heat treatment process. In this chapter, we deal only
with steel and its properties. Some of the basic heat treatment processes such as
hardening, normalizing, annealing, tempering, with iron-carbon diagram and time
temperature transformation diagram have been introduced.

23.2 IRON–CARBON PHASE DIAGRAM

Iron-carbon (Fe-C) phase diagram shows the solubility of carbon in iron at different
temperature and the corresponding structure of the steel. For describing the Fe-C phase
diagram, the equilibrium between Fe and C is considered as metastable.

940
 23. HEAT TREATMENT

FIGURE 23.1
Fe-C Phase Diagram
The larger phase field of γ-iron (austenite) compared with that of α-iron (ferrite) reflects
the greater solubility of carbon in γ-iron, with a maximum value of just over 2% at
1147°C (E) as shown in Figure 23.1. This high solubility of carbon in γ-iron is of extreme
importance in heat treatment when solution treatment in the γ-region followed by rapid
quenching to room temperature allows a supersaturated solid solution of carbon in iron to
be formed.
The α-iron phase field is severely restricted, with a maximum carbon solubility of 0.02%
at 723°C (P), so over the carbon range encountered in steel from 0.05 to 1.5%, α-iron is
normally associated with iron carbide in one form or another. Similarly, the δ-phase field
is very restricted between 1390 and 1534°C and disappears completely when the carbon
content reaches 0.5% (B).The great difference in carbon solubility between γ- and α-iron
leads normally to the rejection of carbon as iron carbide at the boundaries of the γ phase
field. The transformation of γ to α-iron occurs via a eutectoid reaction, which plays a
941
 23. HEAT TREATMENT
dominant role in heat treatment. The eutectoid temperature is 723°C while the eutectoid
composition is 0.80% C. On cooling alloys containing less than 0.80% C slowly, hypo-
eutectoid ferrite is formed from austenite in the range 910–723°C with enrichment of the
residual austenite in carbon, until at 723°C the remaining austenite, now containing 0.8%
carbon transforms to pearlite (a lamellar mixture of ferrite and cementite). In austenite
with 0.80 to 2.06% carbon, on cooling slowly in the temperature interval 1147°C to
723°C, cementite first forms progressively depleting the austenite in carbon, until at
723°C, the austenite contains 0.8% carbon and transforms to pearlite.
Steels with less than about 0.8% carbon are thus hypo-eutectoid alloys with ferrite and
pearlite as the prime constituents, the relative volume fractions being determined by the
lever rule which states that as the carbon content is increased, the volume percentage of
pearlite increases until it is 100% at the eutectoid composition. Above 0.8% C, cementite
becomes the hypereutectoid phase, and a similar variation in volume fraction of
cementite and pearlite occurs on this side of the eutectoid composition.
There are several temperatures or critical points in the diagram, which are important,
both from the basic and from the practical point of view.
Firstly, there is the A1, temperature at which the eutectoid reaction occurs, which is
723°C in the binary diagram.
Secondly, there is the A3, temperature when α-iron transforms to γ-iron. For pure iron,
this occurs at 910°C, but the transformation temperature is progressively lowered along
the line GS by the addition of carbon.
The third point is A4 at which γ-iron transforms to δ-iron, 1390°C in pure iron, but this is
raised as carbon is added. The A2, the point is the Curie point when iron changes from
the ferro- to the paramagnetic condition. This temperature is 769°C for pure iron, but no
change in crystal structure is involved. The A1, A3 and A4 points are easily detected by
thermal analysis during cooling or heating cycles.

23.3 TTT (TIME–TEMPERATURE–TRANSFORMATION) DIAGRAM

The time-temperature-transformation curves correspond to the start and finish of

transformations which extend into the range of temperatures where austenite transforms
to pearlite. Above 550°C, austenite transforms completely to pearlite. Below 550°C, both
pearlite and bainite are formed and below 450°C, only bainite is formed. The horizontal
942
 23. HEAT TREATMENT
dotted line that runs between the two curves marks the beginning and end of isothermal
transformations. The dashed line that runs parallel to the solid line curves represents the
time to transform half the austenite to pearlite.
The transformations through various paths are described below as:
Path 1: The specimen is cooled rapidly to 160oC and left for 20 minutes.. The cooling
rate is too rapid for pearlite to form at higher temperatures; therefore, the steel remains in
the austenitic phase until the Ms temperature is passed, where martensite begins to form.
Since 160°C is the temperature at which half of the austenite transforms to martensite,
the direct quench converts 50% of the structure to martensite. Holding at 160°C forms
only a small quantity of additional martensite, so the structure can be assumed to be half
martensite and half retained austenite.

FIGURE 23.2
943
 23. HEAT TREATMENT
TTT Diagram
Path 2: The specimen is held at 250°C for 100 sec, which is not long enough to form
bainite. Therefore, the second quench from 250°C to room temperature develops a
martensitic structure.
Path 3: An isothermal hold at 300°C for 500 sec produces a half-bainite and half-
austenite structure. Cooling quickly would result in a final structure of martensite and
bainite.
Path 4: Austenite converts completely to fine pearlite after eight seconds at 600°C. This
phase is stable and will not be changed on holding for 100,000 seconds at 873 K. The
final structure when cooled, is fine pearlite.

23.4 NORMALIZING

Normalizing is a process of heating about 30 to 50°C above higher critical point for the
time duration of 15 minutes and cooling in still air.
The purposes of the process normalizing are: (a) to reduce the grain size of steel, (b) to
remove the internal stress caused by working, and (c) to improve some of the mechanical
properties. The products obtained are ferrite and pearlite for hypoeutectoid steel and
pearlite and cementite for hypereutectoid steel. The normalized structure of these two
steel consists of sorbite and ferrite. The properties of normalized steel are higher yield
point, ultimate tensile strength, impact strength and lower ductility. It is advantageous for
low and medium carbon steel. For alloy steel, it is possible with time duration of 2 h
cooling in the furnace.

23.5 ANNEALING

The purposes of annealing are: (a) to soften the metal for easy machining, (b) to remove
internal stress caused by working, (c) to increase ductility, to refine grain size, and (d) to
modify electrical and magnetic properties. Normalized steel is less ductile and has more
yield point and tensile strength than the annealed steel. There are two types of annealing
—process annealing and full annealing.
Process Annealing: This is a process of heating the metal below or very close to lower
critical temperature, i.e., 650°C for steel and slow cooling to form new grain structure.
944
 23. HEAT TREATMENT
The purposes of the process are: (a) to increase the ductility of cold worked metal and (b)
to remove internal stress. This is frequently used in wire drawing to increase the plasticity
of the metal.
Full Annealing: The purposes of full annealing are: (a) to soften the steel, (b) to refine
grain structure above the upper critical limit by 20 to 30°C for 0.9% C-steel and by the
same amount below the critical point for high carbon steel. Carbon-steel is cooled 100° to
200°C per hour. It is essential that the steel should not hold less than 4 to 8 min for
heating. To prevent the steel for carburization and oxidization workpiece is closed in a
metal box and put into the furnace. Austenite changes to pearlite and mixture of pearlite
and ferrite.

23.6 SPHEROIDIZING

Spherodizing is used to improve the machinability of steel. The workpiece is heated to

730–770°C, slightly above the lower critical temperature, and cooled 25-30°C per hour.

23.7 HARDENING

The purposes of hardening are: (a) to harden the steel to resist wear, (b) to enable it to cut
other metal. The metal is heated 30–50°C above the upper critical temperature for
hypoeutectoid steel and above the same amount above the lower critical temperature for
hypereutectoid steel. It is left for soaking for considered time. Quenching of high carbon
steel heated to 1100–1300°C is done in a current of air. Quenching 150–200°C per sec in
solution 3–10% caustic soda and 5–15% salt is more rapid than the quenching effect in
water at 20oC and 32–42°C for oil quenching.

23.8 TEMPERING

Tempering is a process of reheating of hardened steel below critical range and cooled at
the decreased rate (approximately 4 to 5 minutes for each mm of the section). There is
the partial transformation of martensite to secondary constituent troosite and sorbite. The
purposes of tempering are: (a) to reduce some amount of hardness produced during
hardening and increase the ductility and (b) to remove strain produced during heating.
Low-temperature Tempering: Steel is heated to 150–250°C and cooled down. This is
used to remove internal stress, reduce hardness, and increase ductility without changing
the steel structure.
945
 23. HEAT TREATMENT
Medium-temperature Tempering: Steel is heated to 350–450°C and cooled down.
Martensite is changed is changed to secondary troosite. It results in a reduction in
strength and hardness, and increase in ductility. It is used for the part which is to be used
in impact loadings such as chisel, hammer, spring, and spring plates.
High-temperature Tempering: Steel is heated to 500–600°C and cooled down.
Martensite is changed to sorbite. Internal stress is relieved completely. This is used for
the part subjected to high impact and stress such as gear wheels, shafts, and connecting
rod, etc.

23.8.1 Austempering

This is the method that can be used to overcome the restrictions of conventional quench
and tempering. The quench is interrupted at a higher temperature than for Martempering
to allow the metal at the center of the part to reach the same temperature as the surface.
By maintaining that temperature, both the center and the surface are allowed to
transform to Bainite and are then cooled to room temperature.
The austempering heat treatment consists of three steps—austenitization in the
temperature range of 840–950°C for a time sufficient to produce fully austenitic matrix,
rapid cooling of the entire part to an austempering temperature in the range of 230–
450°C without any transformations, and isothermal treatment at the austempering
temperature, at which during the transformation only bainitic ferrite forms in a favorable
case. Advantages of austempering are less distortion and cracking than Martempering, no
need for final tempering, improvement of toughness, and Improved ductility. Limitation
of austempering is that the austempering can be applied to parts where the transformation
to pearlite can be avoided. This means that the section must be cooled fast enough to
avoid the formation of pearlite. Thin sections can be cooled faster than the bulky
sections.

23.8.2 Martempering

Martempering or marquenching permits the transformation of Austenite to Martensite to

take place at the same time throughout the structure of the metal part. By using
interrupted quench, the cooling is stopped at a point above the martensite transformation
region to allow sufficient time for the center to cool to the same temperature as the
surface. The cooling is continued through the martensite region, followed by the usual
tempering.
946
 23. HEAT TREATMENT
Martempering of steel (and of cast iron) consists of quenching from the austenitizing
temperature into a hot fluid medium (hot oil, molten salt, molten metal, or a fluidized
particle bed) at a temperature usually above the martensite range (Ms point), holding in
the quenching medium until the temperature throughout the steel is substantially uniform,
and cooling (usually in air) at a moderate rate to prevent large differences in temperature
between the outside and the center of the section
The advantage of martempering lies in the reduced thermal gradient between surface and
center as the part is quenched to the isothermal temperature and then is air cooled to
room temperature. Residual stresses developed during martempering are lower than those
developed during conventional quenching. Martempering also reduces or eliminates
susceptibility to cracking. Another advantage of martempering in a molten salt is the
control of surface carburizing or decarburizing.

23.9 CARBURIZING

Carburizing is a heat treatment process in which iron or steel absorbs carbon liberated
when the metal is heated in the presence of a carbon rich atmosphere, such as charcoal or
carbon monoxide, with the intent of making the metal harder. Depending on the amount
of time and temperature, the affected area can vary in carbon content. Longer
carburizing times and higher temperatures lead to greater carbon diffusion into the part as
well as increased depth of carbon diffusion. When the iron or steel is quenched, the
higher carbon content on the outer surface becomes hard via the transformation from
austenite to martensite, while the core remains soft and tough as a ferritic and/or pearlite
microstructure. It is applied to low-carbon workpieces; workpieces are in contact with a
high-carbon gas, liquid or solid; it produces a hard workpiece surface; workpiece cores
largely retain their toughness and ductility, and it produces case hardness depths of up to
6.4 mm.
Gas Carburizing: It is a heat treatment process, which improves the case depth hardness
of a component by diffusing carbon into the surface layer to improve wear and fatigue
resistance. The workpieces are pre-heated and then held for a period of time at an
elevated temperature in the austenitic region of the specific alloy, typically between 820
and 940°C. During the thermal cycle the components are subject to an enriched carbon
atmosphere such that nascent species of carbon can diffuse into the surface layers of the
component. The rate of diffusion is dependent on the alloy and carbon potential of the
atmosphere. Care must be taken to ensure that only sufficient carbon is available in the
atmosphere at any one time to satisfy the take-up rate of the alloy to accept the carbon
947
 23. HEAT TREATMENT
atoms.
Pack Carburizing: It is a heat treatment process in which carbon monoxide derived from
a solid compound decomposes at the metal surface into nascent carbon and carbon
dioxide. The nascent carbon is absorbed into the metal, and the carbon dioxide
immediately reacts with carbonaceous material present in the solid carburizing compound
to produce fresh carbon monoxide. The formation of carbon monoxide is enhanced by
energizers or catalysts, such as barium carbonate, calcium carbonate, potassium
carbonate, and sodium carbonate that are present in the carburizing compound. These
energizers facilitate the reduction of carbon dioxide with carbon to form carbon
monoxide. Thus, in a closed system, the amount of energizer does not change.
Carburizing continues as long as enough carbon is present to react with the excess carbon
dioxide. Pack carburizing is no longer a major commercial process.

23.10 CYANIDING

Steel parts may be surface-hardened by heating in contact with a cyanide salt, followed
by quenching. Only a thin case is obtained by this method. Cyaniding is, however, a rapid
and economical method of case hardening, and may be used in some instances for
relatively unimportant parts. The work to be hardened is immersed in a bath of molten
sodium or potassium cyanide from 30 to 60 minutes. The cyanide bath should be
mainlined at a temperature to 760 to 899°C. Immediately, after removal from the bath,
the parts are quenched in water. The case obtained in this manner is due principally to the
formation of carbides and nitrides on the surface of the steel. The use of a closed pot and
ventilating hood are required for cyaniding, as cyanide vapors are extremely poisonous.

23.11 NITRIDING

This method is advantageous due to the fact that a harder case is obtained than by
carburizing. Many engine parts such as cylinder barrels and gears may be treated in this
way. Nitriding is generally applied to certain special steel alloys, one of the essential
constituents of which is aluminum. The process involves the exposing of the parts to
ammonia gas or other nitrogenous materials for 20 to 100 h at 500–650°C. The container
in which the work and Ammonia gas are brought into contact must be airtight and
capable of maintaining good circulation and even temperature throughout. The depth of
case obtained by nitriding is about 0.2 to 0.4 mm if heated for 50 h. The nitriding process
does not affect the physical state of the core if the preceding tempering temperature was
500°C or over.
948
 23. HEAT TREATMENT
23.12 INDUCTION HARDENING

This process involves heating applied rapidly and locally to the steel component followed
by quenching. High-frequency electric fields quickly heat the surface of the component
via induction coils, which is then quenched using water. This results in a localized
hardened layer at the surface. Different shaped inductor coils are available and can be
made to suit. Induction Hardening offers a cost effective low distortion surface hardening
treatment to steels, particularly large components where an increase in surface hardness
is required whilst maintaining core properties.

RECAP ZONE

Points to Remember

Heat treatment is a process to control the mechanical properties of engineering materials by heating,
cooling and alloying the metal as per requirement.
Iron-carbon (Fe-C) phase diagram shows the solubility of carbon in iron at different temperature and
the corresponding structure of the steel.
Firstly, there is the A1, temperature at which the eutectoid reaction occurs, which is 723°C in the binary
diagram.
Secondly, there is the A3, temperature when α-iron transforms to γ-iron. For pure iron this occurs at
910°C, but the transformation temperature is progressively lowered along the line GS by the addition of
carbon.
The third point is A4 at which γ-iron transforms to δ-iron, 1390°C in pure iron, hut this is raised as
carbon is added.
The time-temperature-transformation curves correspond to the start and finish of transformations
which extend into the range of temperatures where austenite transforms to pearlite.
Above 550°C, austenite transforms completely to pearlite. Below 550°C, both pearlite and bainite are
formed and below 450°C, only bainite is formed.
Normalizing is a process of heating about 30 to 50°C above higher critical point for the time duration
of 15 min and cooling in still air.
The purposes of the process normalizing are: (a) to reduce grain size of steel, (b) to remove internal
stress caused by working, and (c) to improve some of the mechanical properties.
The purposes of annealing are: (a) to soften the metal for easy machining, (b) to remove the internal
stress caused by working, (c) to increase ductility, to refine the grain size, and (d) to modify the
electrical and magnetic properties.
Normalized steel is less ductile and has more yield point and tensile strength than the annealed steel.
Tempering is a process of reheating of hardened steel below critical range and cooled at the decreased
rate (approximately 4 to 5 min for each mm of the section). There is the partial transformation of
martensite to secondary constituent troosite and sorbite.
The purposes of tempering are: (a) to reduce some amount of hardness produced during hardening and
increase the ductility and (b) to remove strain produced during heating.

949
 23. HEAT TREATMENT
Carburizing is a heat treatment process in which iron or steel absorbs carbon liberated when the metal
is heated in the presence of a carbon rich atmosphere, such as charcoal or carbon monoxide, with the
intent of making the metal harder.
Steel parts may be surface-hardened by heating in contact with a cyanide salt, followed by quenching.
This process involves heating applied rapidly and locally to the steel component followed by
quenching. High-frequency electric fields quickly heat the surface of the component via induction coils,
which is then quenched using water.

REVIEW ZONE

Multiple-choice Questions

1. The heat treatment process in which steel is heated above upper critical temperature and then cooled in
air is known as:
1. Annealing
2. Normalizing
3. Austempering
4. Martempering
2. The heat treatment process in which steel is heated above upper critical temperature and then cooled in
furnace is known as:
1. Annealing
2. Normalizing
3. Austempering
4. Martempering
3. In nitriding steel components, the following atmosphere is generally used in the furnace:
1. Inert
2. Nascent nitrogen
3. Liquid nitrogen
4. Ammonia
4. Austempering is the heat treatment process used to obtain greater:
1. Hardness
2. Toughness
3. Softness
4. Brittleness
5. Low carbon steel can be hardened by:
1. Hardening
2. Heating and quenching in oil
3. Heating and quenching in water
4. Carburizing and cyaniding
6. The hardening strains are reduced and the toughness of the part increased by the following process after
hardening:
1. Annealing
2. Tempering
3. Carburizing
4. Anodizing
950
 23. HEAT TREATMENT
7. A small selected portion of the job can be hardened by:
1. Flame and induction hardening
2. Pack hardening
3. Cyaniding
4. Case hardening
8. Which of the following is a case hardening process:
1. Spherodising
2. Tempering
3. Cyaniding
4. Parkerising
9. Martensite is a supersaturated solution of carbon in:
1. Iron
2. Steel
3. α-iron
4. δ-iron
10. Martensite is a structure obtained by:
1. Quenching austenite
2. Quenching austenite and heating into the range of 200 to 375°C
3. Quenching austenite and heating into the range of 375 to 660°C
4. Quenching austenite and heating into the range of 600 to 700°C

Fill in the Blanks

1. 11. Troosite is the structure obtained by quenching austenite and heating at ___________°C.
2. 12. Line A1 on iron-carbon diagram indicates completion of austenite transition to ___________.
3. 13. Line Acm on iron-carbon diagram indicates limit of carbon solubility in ___________.
4. 14. Line A3 on iron-carbon diagram indicates the beginning of transition fron austenite to ___________.
5. 15. Eutectoid composition of carbon steel at room temperature is known as ___________.

Answers

1. b
2. a
3. d
4. a
5. d
6. b
7. a
8. c
9. a
10. b
11. 600
12. ferrite
13. austenite

951
 23. HEAT TREATMENT
14. ferrite
15. pearlite

Theory Questions

1. What is heat treatment? Discuss its importance in metallurgy.

2. Write the importance of FE-C diagram? Draw the diagram and explain the solubility of carbon in iron at
the different temperature.
3. Draw the TTT diagram and explain the isothermal transformation process.
4. Differentiate between normalizing and annealing.
5. Write notes on the process and full annealing.
6. Differentiate between austempering and martempering.
7. Differentiate between hardening and tempering.
8. Write notes on: (i) case hardening, (ii) pack carburizing, (iii) nitriding, (iv) cyaniding, and (v) induction
hardening.
9. * What is tempering? What are its objectives?
10. * Explain various case hardening processes of steel.

952
 Appendix 1: Mollier Diagram for Steam
Appendix 1: Mollier Diagram for Steam

953
Appendix 1: Mollier Diagram for Steam

954
 Appendix 2: Steam Table
Appendix 2: Steam Table

TABLE A.2–1 Saturated Steam—Temperature Table

955
Appendix 2: Steam Table

956
 Appendix 2: Steam Table

TABLE A.2–2 Saturated Steam—Pressure Table

957
Appendix 2: Steam Table

958
 Appendix 2: Steam Table

TABLE A.2–3 Superheated Steam

959
Appendix 2: Steam Table

960
Appendix 2: Steam Table

961
Appendix 2: Steam Table

962
Appendix 2: Steam Table

963
 Appendix 2: Steam Table

TABLE A.2–4 Compressed Liquid Water

964
Appendix 2: Steam Table

965
Appendix 2: Steam Table

966
 Index
Index
A
abrasives, 524
absolute pressure, 532
absorption refrigeration cycle, 250
actual Brayton cycle, 169–171
adiabatic process, 15
air compressors
classification of, 330–331
clearance on work done, 334–335
isentropic compression, 334
multistage compression, 337–339
polytropic compression, 333–334
reciprocating compressor, 331–333
volumetric efficiency of, 335
air conditioning, 239
air-fuel ratio, 210
air injection system, 213–214
air preheater, 126–127
air-refrigeration system, 242–245

967
 Index
advantages and disadvantages, 245
air vessel, 315–316
air washers, 264
alloying elements, 521–522
alloy steel, 521
aluminium alloys, 522
angular contact bearings, 423–424
annealing, 720
anvil, 686–687
apparatus dew-point (ADP) temperature, 257
atomic hydrogen welding, 638–639
austempering, 721
automatic start/stop, 217
automation, 696–698
average stress, 378
axial flow compressors, 345–346
axial thrust, 150
B
Babcock and Wilcox boiler, 115–116
bakelite or resinoid bond, 588
ball bearing, 422–426
968
 Index
bar drawing, 666
bearings
materials, 426–427
rolling contact, 422
sliding contact or bush, 421–422
Bell–Coleman cycle, 243–244
belt drives, 455–458
compound, 462–463
creep, 458
crossed, 460–461
effect of centrifugal force on, 465–466
flat, 458
open, 459–460
quarter turn drive, 461
ratio of tensions, 463–464
round belts, 456
timing belts or toothed belts, 457
V-belt, 456
velocity ratio, 457–458
bending, 678
Bernoulli’s equation, 281–283, 537
969
 Index
Betz limit, 89
bevel gears, 477–478
bimetallic devices, 530–531
binary cycle power plants, 86–87
bioalcohols, 63–64
biodiesel, 64
bioethers (oxygenated fuels), 65
biofuels, 63–66
biogas, 65
biomass energy, 90–91
blade efficiency, 151
blade friction factor, 150
blank diameter, 679
blanking, 677–678
boiler accessories, 125–129
boiler efficiency, 130
boiler mountings, 118–125
blow-off cock, 123–124
feed check valve, 122
fusible plug, 124
high steam and low water safety valve, 120–121
970
 Index
manhole, 125
pressure gauge, 122
safety valves, 118–120
steam stop valve, 123
water level indicator, 121
boilers, 112–118
performance of, 129–130
boiling water reactor (BWR), 79
bomb calorimeter, 67–68
boring, 568–569
boring machine, 580
boundary of a system, 6
Bourdon tube pressure gauge, 533–534
Boyle’s Law, 42, 44
brakes
band, 500–502
band and block, 503–504
internal expanding shoe, 504–506
shoe or block, 497–499
brake thermal efficiency, 209
Brayton cycle, 166–169
971
 Index
braze welding, 647
brazing, 646–647
Brinell hardness test, 516
bulk modulus, 397
bush bearing, 420
bushing, 420
lubrications in, 421
materials, 420
by-pass factor (BPF), 257
C
cam and follower
nomenclature, 416–417
types of, 417–419
cantilever beam, 542
capillarity, 278–279
capillary depression, 278–279
capillary rise, 279
carbon arc welding, 633
carbon monoxide, 212
carburetor engine, 185, 215
carburizing, 722–723
972
 Index
Carnot corollaries, 33–34
Carnot cycle, 32–34
casting defects, 619–621
casting process, 597–598
classification of, 598
casting surface, cleaning of, 621–622
cast irons, 520
catalytic converter, 213
cavitation, 303
Celsius temperature, 7
Celsius temperature scale (centigrade scale), 6
centerless grinders, 591–592
centerless grinding, 589
center of gravity, 352–353
center of gravity of a solid, 363
center of mass, 352–353
centrifugal casting, 617–619
centrifugal compressors, 344–345
centrifugal pump, 304–308
centrifuging, 619
centroid, 352–353
973
 Index
of circular arc, 357
of C-section, 356
of H-section, 355
of I-section, 354
of L-section, 355–356
of a parabola, 358–359
of sector of a circular disc, 358
of semicircular-section of a disc, 357–358
of a triangle, 359–360
of T-section, 356
of U-section, 354–355
ceramics, 524–525
chain drive, 469–470
types of, 471–472
change in state, 4–5
change-of-state temperature sensors, 531
chaplets, 612
Charle’s Law, 43–44
chemical equilibrium, 4
chills, 611–612
chisel edge angle, 577
974
 Index
chisels, 689–690
chlorofluorocarbons (CFCs), 212
chromium (Cr), 521
classical thermodynamics, 1
Clausius inequality, 34
Clausius statement, 29–30
violation of, 31–32
clay content test of sand mold, 614
close die forging, 661
closed system, 6
clutches
centrifugal clutch, 496
cone clutch, 494–495
multi-disc clutch, 493
single plate clutch, 488–490
coal, 56–58, 91
ash content, 58
grades of, 57
proximate analysis of, 57
sulfur content, 58
ultimate analysis of, 57
975
 Index
cochran boiler, 114–115
coining, 670
cold chamber die-casting, 616–617
combination set, 552–553
combustion, principle of, 66–67
combustion chamber, 214
common rail direct injection system (CRDI), 214, 216–217
Co2 molds, 606

compacting, 683–684
compressed natural gas (CNG), 62
compressible and incompressible flow, 284
compression stroke, 189–190, 192
compressive test of sand mold, 614–615
compressor, 241
computer aided design (CAD), 698–699
computer aided manufacturing (CAM), 699–700
computer integrated manufacturing system (CIM), 698
computer numerical control (CNC), 701, 703
condenser, 242
condition line, 158
conduction, 225–226
976
 Index
conical and volute springs, 407
constructional detail of shaper, 570–571
continuous chip, 557
with a built-up (BUP) edge, 558
continuous path control robots, 708–709
control volume, 5–6
convection, 227–228
conveyor chain, 471
copper alloys, 522–523
cores, 612–613
core sand molds, 606
Cornish boiler, 118
crank and slotted arm mechanism, 571–572
creep feed grinding, 589
crude oil, 91
cutting-off/grooving, 566
cyaniding, 723
cylindrical grinders, 589–590
cylindrical grinding, 588
cylindrical or plain roller bearings, 425
D
977
 Index
Dalton’s law of partial pressure, 253
deep drawing, 678–680
deep-groove ball bearing, 423
degree of saturation, 253
dew point temperature (DPT), 254
dial gauge or dial indicator, 549
die-casting, 615–617
diesel, 59
Diesel cycle, 183, 190, 197, 203–204
diesel power plant, 80–82
advantages, 81
disadvantages, 81–82
direct numerical control (DNC), 703–704
discontinuous chip, 558
disc springs, 408–409
domestic or household refrigerator, 251–252
double helical / herringbone gears, 477
down milling, 582
drift, 690
drilling, 568
drilling machine
978
 Index
drill bit, 576–577
driving mechanism in, 575
operations performed on, 577–579
specifications of, 577
drop forging, 662
dry bulb temperature (DBT), 254
dryness fraction, 100
dry sand mold, 606
dry steam power plant, 85–86
dual cycle, 206–207
E
eccentric turning, 565
economizer, 125–126
efficiency ratio, 210
electric arc welding, 629–632
electric motor drive/assist, 217
electro-hydraulic forming, 668
electroslag welding, 637–638
emission control, 212–214
techniques, 212–214
end milling, 583–584
979
 Index
energy transfer, 13
engine control unit (ECU), 216
engineering materials
allowable stress, 515
classification of, 519–522
elastic and plastic range, 514
elastic limit, 514
factor of safety, 515
hardness, 515–518
impact test, 518–519
mechanical properties of, 512
modulus of resilience, 514–515
modulus of toughness, 515
proportionality, 514
rapture strength, 514
stress-strain diagram, 513–514
tensile test, 513
ultimate strength, 514
working stress, 515
yield point, 514
engineering thermodynamics, 1
980
 Index
enthalpy, 7
entropy, 34–35
balance, 35–36
change, 36
generation, 35
of steam, 101
of water, 100
equilibrium, 4–5
equivalent evaporation, 129
ethanol, 64
Euler’s Equation of motion, 282–283
evaporation rate, 129
evaporator, 241
exhaust gas recirculation valve (EGR) valve, 213
exhaust stroke, 190, 192
expansion valve, 242
explosive forming, 667–668
extensive properties, 4
external fired boilers, 113
extrusion, 663
cold, 664
981
 Index
hot, 664
impact, 664–665
F
face grinding, 589
face milling, 584
facing operation, 565
factor of evaporation, 129
Fahrenheit scale, 7
fast breeder reactor (FBR), 79
fatty acid methyl esters (FAMEs), 64
feed pump, 127
ferrous metals, 519–522
fineness test of sand mold, 614
finishing operations, 684
fire tube boilers, 112–113
first law of thermodynamics, 11
limitations, 28
fixed vane type compressors, 342–343
flash steam power plants, 86
flash welding, 643–644
flatters, 690
982
 Index
flexible bushed coupling, 486–487
flow measurement, 536–539
fluid density
mass density, 274
relative density, 274
specific weight, 274
viscosity, 274–276
fluid-expansion devices, 531
fluid mechanics
properties of fluid, 273–281
types of flow, 284
flywheel, 431–432
difference between governors and, 450
mass moment of inertia of, 432–433
force measurement, 541–542
forging, 660
different types of, 660–663
formaldehyde, 212
form grinding, 589
form milling, 585
fossil fuels, 55
983
 Index
four-stroke compression ignition engine, 190–192
valve timing diagram, 199–200
four-stroke spark ignition engine, 188–190
valve timing diagram, 197–198
Francis turbine
components, 293–294
shapes of draft tubes, 294–296
fuel injectors, 214
fuels, 55
fuel stratified injection (FSI), 216
fullers, 690–691
G
gang drilling machine, 579–580
gang milling, 584
gas carburizing, 722
gas cooled reactor (GCR), 79
gaseous fuels, 62–63
advantages and disadvantages of, 63
gasoline, 60
gasoline direct injection (GDI), 216
gas turbine cycle
984
 Index
with regenerator, 175
with reheating and intercooling, 175–176
gas turbines, 165
applications of, 165–171
classification of, 165
flow diagram of intercooling and reheating, 176
gas welding, 625–628
gauge factor (GF), 541
gauge pressure, 531
Gay–Lussac’s Law, 43–44
gear drive, 472–474
forms of gear teeth, 475
gear pump, 317–318
geothermal energy, 91
geothermal power plant, 85–87
glasses, 525
global warming, 56
governing of turbines, 304
governors, 434–435
centrifugal, 436
classification of, 436
985
 Index
difference between flywheel and, 450
Hartnell, 442–444
Hartung, 447
of I.C. engine, 449–450
inertia and flywheel, 436
pickering, 436
porter, 437–439
Proell, 440–441
sensitiveness of, 448
terms used in, 435
watt, 436–437
Willson–Hartnell, 445–446
gravity/permanent mould casting, 615
gray cast iron, 520
green diesel, 64
green sand mold, 605
grinding machines, 586–592
gross calorific value (GCV), 60
H
hammers, 687–688
hardening, 720
986
 Index
hardness test of sand mold, 615
heat
defined, 7
similarities between work and, 13
heat exchanger, 86
heat pumps, 240
heat transfer, modes of
combined form, 229
conduction, 225–226
convection, 227–228
radiation, 228
through hollow cylinder, 232–233
through hollow sphere, 234
heat treatment
annealing, 720
austempering, 721
carburizing, 722–723
cyaniding, 723
hardening, 720
induction hardening, 723
iron-carbon (Fe-C) phase diagram, 716–718
987
 Index
martempering, 721–722
nitriding, 723
normalizing, 719–720
spherodizing, 720
tempering, 721–722
time-temperature-transformation curves, 718–719
heavy water cooled and moderated CANDU (Canadian deuterium uranium) reactor, 79
heel, 577
helical gears, 476–477
helical springs, 407
deflection in, 412–413
series connection and parallel connection of, 414–415
shear stress in, 410–412
high carbon steel, 520
high energy rate forming, 667
hobbing, 670
Hook’s law, 379, 513–514
horizontal boiler, 113
hot chamber die-casting, 616
hot spinning, 680–681
hot wire anemometer, 536
988
 Index
human comfort conditions, 264–265
humidity (w) ratio, 253
hybrid engine, 217
hydraulic machines, 284–285
hydraulic pumps, 304
hydraulic turbines, 285
classification of, 285
terminology used, 286
hydrocarbon fuels, 55
hydrocarbons, 59, 212
hydroelectric power, 90
hydroelectric power plant, 76
hypoid gears, 478
I
ideal gas law, 45
impulses-reaction turbine (reaction turbine), 157–160
degree of reaction (R) of, 158
differences between impulse and, 164
reheat factor, 158–159
velocity diagram for, 159–160
impulse turbine, 147–151
989
 Index
compounding of, 153–157
inclined boiler, 113
indicated thermal efficiency, 209
infeed or plunge cut grinding, 589
infrared sensors, 530
injector, 128
intelligent robots, 709
intensive properties, 4
Internal Combustion Engine (I.C. Engine), 182
arrangement of cylinders, 184
basic structure, 185–188
classification of, 183–185
clearance volume (Vc), 188

comparison between four-stroke and two-stroke engines, 196

comparison between S.I. and, 197
compression ratio, 188
cooling systems in, 184
cylinder bore, 187
dead centers, 187
displacement volume, 187
engine performance parameters, 209–210
990
 Index
fuel supply systems, 184
fuel used, 183
ignition systems, 183
nature of thermodynamic cycle, 183
number of strokes per cycle, 183
piston area, 187
stroke or stroke length, 187–188
working principle of, 188–196
internal energy (U) of a system, 7, 11–12
physical interpretation of, 12
internal fired boilers, 113
internal grinding, 588
ion gauges, 535
iron-carbon (Fe-C) phase diagram, 716–718
irreversible process, 32
isentropic compression, 334
isobaric process, 14
isochoric process, 14
isolated system, 3
isothermal process, 15
J
991
 Index
Joule cycle, 166–169
K
Kaplan turbine, 299–300
Kelvin-Plank statement, 29
violation of, 30–31
Kelvin temperature, 7
kerosene, 59
knurling, 567
L
laminar and turbulent flow, 284
laminated or leaf spring, 408–409
Lancashire boiler, 117
lancing, 678
lateral strain, 378
lathe
classification, 559–560
constructional detail of, 560–562
cutting tools used in, 564
power transmission system in, 562–564
specification, 560
types of operations in, 564–569
992
 Index
law of gearing, 474
lignite, 91
limited sequence robots, 708
liquefied petroleum gases (LPG), 62
liquid fuels, 58–61
advantage and disadvantage of, 61
ash content, 61
calorific value of, 60
carbon residue in, 61
sulfur content, 60
water content of, 61
liquid metal cooled reactor, 79
load cell, 541–542
loam sand molds, 606
lobe pump, 318
locomotive boiler, 116
longitudinal strain, 378
low carbon steel, 520
M
machine tools, 556
macroscopic (classical thermodynamics), 2
993
 Index
macroscopic forms of energy, 12
magnesium alloys, 523
malleable cast iron, 521
manganese (Mn), 521
manometers, 532–533
manufacturing system
automation, 696–698
computer aided design (CAD), 698–699
computer aided manufacturing (CAM), 699–700
computer integrated manufacturing system (CIM), 698
computer numerical control (CNC), 701, 703
computer system, 696
direct numerical control (DNC), 703–704
human workers, 696
material handling system, 696
numerical control (NC), 700–701
production machines, tools, jigs, fixtures, 695–696
programming methods, 701–702
martempering, 721–722
mass, defined, 3
mass moment of inertia
994
 Index
of circular cone, 366–367
of circular disc, 364–365
of circular ring, 363–364
of hollow cylinder, 365
of inertia of sphere, 365–366
mean effective pressure, 210
mean piston speed, 210
measurement errors, 545
mechanical efficiency, 210
mechanical equilibrium, 4
mechanical equivalent of heat, 10–11
mechanical measurement, 529
mechanical working, 655–656
advantages, 656–657
comparison between cold working and hot working, 656
medium carbon steel, 520
metal cutting, 557–558
orthogonal and oblique, 558–559
metal inert gas arc welding (MIG)/gas metal arc welding (GMAW), 634–635
metal molds, 606
metal powders
995
 Index
blending/mixing of, 682
characteristics, 681
methods of production, 681–682
methane emission, 212
micrometer, 547–549
microscopic forms of energy, 12
microscopic (statistical thermodynamics), 2
milling machines, 581–585
modulus of elasticity, 397–398, 514
modulus of rigidity, 397–398
moisture content test of sand mold, 614
Mollier diagram (h–S chart), 111–112
molybdenum (Mo), 522
moment of inertia (second moment of area), 360
of a circular disc, 362
of composite sections, 363
of a rectangle, 361
of a triangle, 362
multiple vane type compressors, 343–344
multi-point fuel injection system (MPFI), 214–215
multi-spindle drilling machine, 579–580
996
 Index
N
natural circulation boilers, 113
natural gas, 92
needle bearings, 425–426
net calorific value (NCV), 60
Newtonian and non-Newtonian fluids, 276–277
nickel (Ni), 521
nitriding, 723
nitrogen oxide, 212
nodular (or ductile) cast iron, 520
non-ferrous materials, 522–523
non-flow processes, 14–15
non-renewable energy, 91–93
normalizing, 719–720
normal stress, 378
notching, 670, 678
nuclear power, 92–93
nuclear power plant, 76–79
block diagram of, 78
components of, 78
numerical control (NC), 700–701, 703
997
 Index
O
off hand grinding, 589
oil spill accidents, 92
open die forging, 660–661
open system, 3, 6
optimum velocity ratio, 151
orificemeter, 538
Otto cycle, 183, 190, 197, 200–201
oxy-acetylene welding, 625–628
oxychloride bond, 588
P
pack carburizing, 722–723
particulate matter, 212
parting, 678
peat, 91
Pelton turbine, 287–290
components, 287–288
speed of, 288–289
velocity triangle for, 289–290
percussion welding, 644
perforating, 678
998
 Index
peripheral milling, 582
permeability number, 614
permeability test of sand mold, 614
perpetual-motion machine of the first kind (PMM1), 30
perpetual-motion machine of the second kind (PMM2), 30
perpetual motion machine (PMM1), 11
petroleum, 58–59
phase, defined, 5
phase equilibrium, 5
phosphorus (P), 521
photovoltaic cells, 90
piercing, 677–678
piercing or seamless tubing, 669–670
Pirani gauge, 534
plain cylindrical grinders, 590
plane milling, 582
planer, 573
fast and loose pulleys driving mechanism of, 573–574
specifications of, 575
plane surface grinder, 590–591
plasma arc welding, 639–640
999
 Index
plastics, 523–524
point angle, 577
point-to-point (PTP) control robots, 708–709
Poisson strain, 540
polytropic compression, 333–334
polytropic process, 15–16
positive crankcase ventilation (PCV) system, 212–213
potential energy, 12
powder metallurgy, 681
advantages, 684–685
applications of, 685
disadvantages, 685
power plant engineering, 74–89
power stroke, 190, 192
power transmission, 455
power transmission chains, 471–472
precision grinders, 589
press forging, 662
pressure
defined, 3
equilibrium, 5
1000
 Index
measurement, 531–535
reducing valve, 129
variation with depth of a fluid, 280–281
pressurized water reactor (PWR), 79
prime movers, 73–74
historical development of, 74
reciprocating, 74
rotating, 74
process, defined, 5
profile milling, 585
Prony brake, 543
property, defined, 4
psychrometric chart
cooling and dehumidification, 256–257
cooling and humidification, 258–259
heating and dehumidification, 259
heating and humidification, 257–258
mixing of air streams, 259–260
sensible cooling, 254–256
sensible heat factor (SHF), 257
sensible heating, 256
1001
 Index
psychrometry, 253–254
punches, 690
punching, 677–678
pure biodiesel (B100), 64
P-V diagram for diesel cycle, 192
Q
quasi static process, 6
R
radial drilling machine, 579
radial rake angle, 585
radius of gyration of a body, 360
rake or helix angle, 577
Rankine scale, 7
reaming operation, 568
reciprocating prime movers, 74
reciprocating pump, 311–316
refining, 59
refractory metals, 523
refrigerants, 250–251
refrigeration, 239–240
capacity of refrigeration plant, 241
1002
 Index
components of, 241–242
tons of, 240–241
regenerative braking system, 217
relative humidity, 253
relief angle, 585
renewable energy, 90–91
resin-bonded sand molds, 606
resistance butt welding, 645
resistance projection welding, 642–643
resistance seam welding, 642
resistance spot welding, 641–642
resistance welding, 640
resistive temperature devices (RTD), 530
reversed Brayton cycle, 243–244
reversed Carnot cycle, 242–243
reversible adiabatic compression, 33
reversible adiabatic expansion, 33
reversible isothermal compression, 33
reversible isothermal expansion, 33
reversible process, 32
rigid couplings, 485–486
1003
 Index
risers, 611
robotics, 704–709
applications, 712
configurations, 706–708
control systems, 709–712
microprocessor based controllers, 711
robotic control, 708–709
sensors used in, 711
sequential control, 711
transducers used in, 712
Rockwell hardness test, 517–518
roller bearings, 425
roll forming, 681
rolling mills, 657–659
defects, 659
types of, 658–659
room air conditioners, 265–267
rope brake dynamometer, 543–544
rope drive, 468–469
rotameter, 538–539
rotary compressors, 342–344
1004
 Index
rotating prime movers, 74
rotational and irrotational flow, 284
rough grinders, 589
rubber bond, 588
S
sand casting, 598–599
gating system, 610–611
hand tools for sand moulding, 608–609
methods, 615–619
moulding procedure, 609–610
mould making, 605–606
pattern making, 600–601
properties of mouldings sands, 607–608
steps in, 599–600
types of mold, 605–606
types of pattern, 601–605
sand testing, 614–615
saturated steam, 111
screw gauge, 547–549
screw pump, 319
second-generation biofuels, 66
1005
 Index
second law of thermodynamics, 29–32, 240
self-aligning ball bearings, 424–425
semi-centrifugal casting, 618
separating and throttling calorimeter, 110
set hammer, 690
shaper, 572, 575
shaping and planning, 569–570
shaving, 670
shearing operations, 677–681
sheet metal process, 671
hand tools used, 673–677
joints, 671–672
materials used, 672–673
shellac bond, 588
shell mold, 606
shielded metal arc welding (SMAW), 633–634
shoulder turning, 565
side milling, 583
sign convention
for heat and work interaction, 13
work done by system, 11
1006
 Index
silica, 525
silicate bond, 587–588
silicon (Si), 521
sine bar, 551–552
sintering, 684
skin dried sand mold, 605–606
slab milling, 582
slip gauges, 549–551
slotter machine, 571
smith’s forge or hearth, 686
smithy, 685–686
tools used in, 686–691
smoothers, 690
solar energy, 89–90
soldering, 645–646
solid biofuels, 65–66
solid fuels, 58
specific fuel consumption, 210
specific heat capacity
at constant pressure, 8–10
at constant volume, 8
1007
 Index
specific humidity, 253
specific power output, 210
specific volume, 254
spherical roller bearings, 426
spherodizing, 720
split air conditioner, 266–267
spnning, 569
springs
applications of, 406–407
materials used for, 409–410
types of, 407–409
spur gears, 476
statistical thermodynamics, 1
steady and unsteady flow, 284
steady flow energy equation (SFEE), 25
steady flow process, 24–25
steam
at constant pressure, 97–101
entropy of, 101
Mollier diagram of, 727
P-V diagram, T-S diagram, h-S diagram, P-S diagram, 99–100
1008
 Index
table, 111, 728–738
wet, 100
steam engine, 141–147
steam generators, 112–118
steam power system, 141
steam separator, 128
steam trap, 128
steam turbine
classification of, 147–151
governing of, 164
losses in, 164
Stefan–Boltzmann Law of Thermal Radiation, 228
straddle milling, 584
straight turning, 565
strain gauges, 540–541
strain measurement, 539–541
stress and strain, 377–379
in an assembly of tube and bolt, 387
in composite bar, 392
in compound bar, 386–387
diagram, 378–379, 381
1009
 Index
due to suddenly applied load, 394–395
for impact load, 395
relation between stress and volumetric strain, 396–397
in taper rod, 383–384
in varying cross-section bar of uniform strength, 385
stretch forming operation, 678
submerged arc welding (SAW), 636–637
suction stroke, 189–191
sulfur oxide, 212
sulfur (S), 521
superheated steam, 111
superheater, 127
surface grinding, 589
surface tension, 277–278
swage block, 688–689
swages, 691
syngas, 65
synthetic hydrocarbon fuels, 58
system
boundary of, 6
defined, 3, 5
1010
 Index
properties of, 3–4
system boundary, 3
T
tangential thrust, 150
tapered roller bearings, 426
taper turning, 566
tapping, 568
temperature, 6
measurement, 530–531
stress, 393
tempering, 721–722
theorem of parallel axis, 361
theorem of perpendicular axis, 361
thermal equilibrium, 4–5
thermal power plants, 75–76
thermit welding, 645
thermocouple, 530
thermodynamic cycle, 5
thermodynamic temperature scale, 6
thermoplastics, 524
thermosetting plastics, 524
1011
 Index
third law of thermodynamics, 41–45
thread cutting, 567–568
thread rolling, 668–669
three-screw, high-pitch, screw pump, 319–320
throttling calorimeter, 108–109
thrust ball bearings, 425
tidal barrage, 82
tidal fences, 84
tidal power plant, 82–85
advantages, 84
disadvantages, 85
tidal turbine, 83
timber, 524
time-temperature-transformation curves, 718–719
titanium alloys, 523
tongs, 689
torque measurement, 543–545
torsion springs, 408
trimming, 670
true centrifugal casting, 617–618
tube drawing, 666–667
1012
 Index
tungsten inert gas arc welding (TIG)/gas tungsten arc welding (GTAW), 635–636
tungsten (W), 522
two-screw, low-pitch, screw pump, 319
two-stroke C.I. engine, 194–196
two-stroke spark ignition engine, 192–194
port timing diagram for, 198–199
U
uncertainty of measurement, 546
uniform and non-uniform flow, 284
universal cylindrical grinder, 591
universal gas constant, 45
universal joints, 487–488
up milling, 582
upset forging, 662–663
U-tube manometer, 535
V
vanadiun (V), 522
vane pump, 318
vapor compression refrigeration system, 247–250
advantages and disadvantages, 250
comparison between reversed Carnot cycle, 249
1013
 Index
COP of, 248
factors affecting performance, 249
heat and work interaction in, 247
thermodynamic process of, 247–248
variable flow process, 25
vegetable oil, 65
velocity measurement, 535
Vernier calipers, 546–547
vertical boiler, 113
Vickers hardness test, 517
vitrified bond, 587
volatile organic compounds, 212
volatility, 60
volume
defined, 3
measurement, 535–536
volumetric efficiency, 210
W
water content of furnace oil, 61
water tube boilers, 112–113
weldability, 622–623
1014
 Index
welding
atomic hydrogen, 638–639
carbon arc, 633
classification, 624
defects, 648–649
defining, 622–623
electric arc, 629–632
electroslag, 637–638
flash, 643–644
gas, 625–628
metal inert gas arc (MIG)/gas metal arc (GMAW), 634–635
percussion, 644
plasma arc, 639–640
resistance, 640
resistance butt, 645
resistance projection, 642–643
resistance seam, 642
resistance spot, 641–642
shielded metal arc (SMAW), 633–634
submerged arc (SAW), 636–637
tungsten inert gas arc (TIG)/gas tungsten arc (GTAW), 635–636
1015
 Index
type of groove or edge preparation for, 623–624
wet bulb temperature or saturation temperature (WBT), 254
wet steam, 100
white cast iron, 520
windmill, 87–89
window air conditioner, 265–267
wind power, 90
wire drawing, 665–666
work
defined, 7
similarities between heat and, 13
working fluid, 86
worm gears, 478
Z
zeroth law of thermodynamics, 6

1016
 Copyright
Editor—Acquisitions: Harsha Singh
Senior Editor—Production: G. Sharmilee
Copyright © 2018 Pearson India Education Services Pvt. Ltd
Copyright © 2013 Dorling Kindersley (India) Pvt. Ltd
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ISBN 978-93-868-7329-3
e-ISBN 9789353063948
First Impression
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