Chapter 3

Energy, Energy Transfer,

and General Energy
Analysis
3–1 Introduction
If we take the entire room— Figure 3–1
including the air and the A refrigerator operating with its
refrigerator (or fan)—as the door open in a well-sealed and well-
system, which is an adiabatic insulated room.
closed system since the room is
well-sealed and well-insulated, the
only energy interaction involved
is the electrical energy crossing
the system boundary and entering
the room.
As a result of the conversion of
electric energy consumed by the
device to heat, the room
temperature will rise.
3–2 Forms of Energy
Energy can exist in numerous forms such as thermal, mechanical,
kinetic, potential, electric, magnetic, chemical, and nuclear, and
their sum constitutes the total energy, E of a system.
Thermodynamics deals only with the change of the total energy.
Macroscopic forms of energy: Those a system possesses as a
whole with respect to some outside reference frame, such as
kinetic and potential energies.
Microscopic forms of energy: Those related to the molecular
structure of a system and the degree of the molecular activity.
Internal energy, U: The sum of all the microscopic forms of
energy.
3–2 Forms of Energy
Kinetic energy, KE: The energy that a system possesses as a result
of its motion relative to some reference frame.
Potential energy, PE: The energy that a system possesses as a
result of its elevation in a gravitational field.

Figure 3–4
The macroscopic energy of an object changes with velocity and elevation.
 3–2 Forms of Energy
V2
KE m kJ  Kinetic energy
2

V2
Ke  kJ/kg  Kinetic energy per unit mass
2
PE mgz Potential energy

pe  gz kJ/kg  Potential energy per unit mass

V2
E U  KE  PE U  m  mgz kJ/kg Total energy of a system
2
V2
e u  ke  pe u   gz kJ/kg  Energy of a system per unit mass
2

E me
 kJ/s or kW  Energy flow rate
3–2 Forms of Energy
Figure 3–5
Mass and energy flow rates associated with the flow of steam in
a pipe of inner diameter D with an average velocity of Vavg.

Mass flow rate:  V  AcVavg

m kg/s 
 me
E  kJ/s or kW 
Energy flow rate:
3–2 Forms of Energy
Some Physical Insight to Figure 3–6
Internal Energy The various forms of microscopic
energies that make up sensible energy.
Sensible energy: The portion of the
internal energy of a system associated
with the kinetic energies of the
molecules.
Latent energy: The internal energy
associated with the phase of a system.
Chemical energy: The internal energy
associated with the atomic bonds in a
molecule.
Nuclear energy: The tremendous
amount of energy associated with the
strong bonds within the nucleus of the
atom itself.
3–2 Forms of Energy
Thermal = Sensible + Latent
Internal = Sensible + Latent + Chemical + Nuclear
Figure 3–7
The internal energy of a system is the sum of all forms of the microscopic energies.
3–2 Forms of Energy
The total energy of a system, can be contained or stored in a
system, and thus can be viewed as the static forms of energy.
The forms of energy not stored in a system can be viewed as the
dynamic forms of energy or as energy interactions.
The dynamic forms of energy are recognized at the system
boundary as they cross it, and they represent the energy gained or
lost by a system during a process.
The only two forms of energy interactions associated with a
closed system are
• Heat transfer.
• Work.

The difference between heat transfer and work: An energy

interaction is heat transfer if its driving force is a temperature
difference. Otherwise it is work.
3–2 Forms of Energy
More on Nuclear Energy
The best known fission reaction involves the split of the uranium
atom (the U-235 isotope) into other elements and is commonly
used to generate electricity in nuclear power plants, to power
nuclear submarines and aircraft carriers, and even to power
spacecraft as well as building nuclear bombs.
Nuclear energy by fusion is released when two small nuclei
combine into a larger one.
The uncontrolled fusion reaction was achieved in the early 1950s,
but all the efforts since then to achieve controlled fusion by
massive lasers, powerful magnetic fields, and electric currents to
generate power have failed.
3–2 Forms of Energy
Mechanical Energy
Mechanical energy: The form of energy that can be converted to
mechanical work completely and directly by an ideal mechanical device
such as an ideal turbine.
Kinetic and potential energies: The familiar forms of mechanical energy.

P V2 Mechanical energy of a flowing

emech    gz
 2 fluid per unit mass
P V 2

E mech  mech m  
me  gz  Rate of mechanical
  2  energy of a flowing fluid
Mechanical energy change of a fluid during incompressible flow
per unit  P1 V22  V12
P2mass
e 
mech   g  z  z  kJ/kg 
2 1
 2
Rate of mechanical energy change of a fluid during incompressible
flow  P2  P1 V22  V12 
E mech memech m    g  z2  z1  kW 
  2 
3–2 Forms of Energy
Figure 3–12
Mechanical energy is illustrated by an ideal hydraulic turbine coupled with an
ideal generator. In the absence of irreversible losses, the maximum produced
power is proportional to (a) the change in water surface elevation from the
upstream to the downstream reservoir or (b) (close-up view) the drop in water
pressure from just upstream to just downstream of the turbine.
3–3 Energy Transfer by Heat
Heat: The form of energy that is transferred between two
systems (or a system and its surroundings) by virtue of a
temperature difference.
Figure 3–14 Figure 3–15
Energy can cross the boundaries of Temperature difference is the driving
a closed system in the form of heat force for heat transfer. The larger the
and work. temperature difference, the higher is
the rate of heat transfer.
3–3 Energy Transfer by Heat
Heat transfer per unit mass Figure 3–16
Q Energy is recognized as heat
q kJ/kg  transfer only as it crosses the system
m
boundary.
Amount of heat transfer when
heat transfer rate is constant
t2

Q Q dt kJ 
t1

Amount of heat transfer when

heat transfer rate changes with
time
Q Q t
3–3 Energy Transfer by Heat
Figure 3–17 Figure 3–18
During an adiabatic process, a system The relationships among q, Q, and Q·
exchanges no heat with its
surroundings.
3–3 Energy Transfer by Heat
Historical Background on Heat
Caloric theory: It asserts that heat Figure 3–19
In the early 19th century, heat was
is a fluidlike substance called the
thought to be an invisible fluid called
caloric that is a massless, the caloric that flowed from warmer
colorless, odorless, and tasteless bodies to cooler ones.
substance that can be poured from
one body into another
Kinetic theory: Treats molecules
as tiny balls that are in motion and
thus possess kinetic energy.
Heat: The energy associated with
the random motion of atoms and
molecules.
3–3 Energy Transfer by Heat
Heat transfer mechanisms
Conduction: The transfer of energy from the more energetic
particles of a substance to the adjacent less energetic ones as a
result of interaction between particles.
Convection: The transfer of energy between a solid surface and
the adjacent fluid that is in motion, and it involves the combined
effects of conduction and fluid motion.
Radiation: The transfer of energy due to the emission of
electromagnetic waves (or photons).
 3–4 Energy Transfer by Work
Work: The energy transfer associated
with a force acting through a distance. Figure 3–21
Specifying the directions of
A rising piston, a rotating shaft, and an heat and work.
electric wire crossing the system
boundaries are all associated with work
interactions
Formal sign convention: 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.
Alternative to sign convention is to use
the subscripts in and out to indicate
direction.
This is the primary approach in this text.
3–4 Energy Transfer by Work
W
w kJ/kg  Work done per unit mass
m
Figure 3–20
The relationships among w, W, and
3–4 Energy Transfer by Work
Heat versus Work
Both are recognized at the boundaries of a system as they cross the
boundaries. That is, both heat and work are boundary phenomena.
Systems possess energy, but not heat or work.
Both are associated with a process, not a state.
Unlike properties, heat or work has no meaning at a state.
Both are path functions (that is, their magnitudes depend on the
path followed during a process as well as the end states).
Properties are point functions 2

have exact differentials (d). dV V  V V

1
2 1

Path functions have inexact 2

differentials (δ)  W W 12 not W 

1
3–4 Energy Transfer by Work
Figure 3–22
Properties are point functions; but heat and work are path functions (their
magnitudes depend on the path followed).
3–4 Energy Transfer by Work
Electrical Work Figure 3–27
We VN Electrical work Electrical power in terms of
resistance R, current I, and potential
W e VI W  Electrical power difference V.

When potential difference and

current change with time
2
We VI dt kJ 
1

When potential difference and

current remain constant

We VI t kJ 
3–5 Mechanical Forms of Work
There are two requirements for a work interaction between a
system and its surroundings to exist:
• There must be a force acting on the boundary.
• The boundary must move.
Work = Force × Distance

W Fs kJ  Figure 3–28

The work done is proportional to the force
applied (F) and the distance traveled (s).
When force is not constant
2
W F ds kJ 
1
 3–5 Mechanical Forms of Work
Shaft Work
T Fr  F
T A force F acting through a moment
r arm r generates a torque T
s 2 r  n
This force acts through a distance s
T 
Wsh Fs   2 rn  2 nT kJ  Shaft work
r
Figure 3–30
The power transmitted Shaft work is proportional to the torque
through the shaft is the shaft applied and the number of revolutions of the
work done per unit time shaft.

W sh 2 nT
 kW 
3–5 Mechanical Forms of Work
Figure 3–29
Energy transmission through rotating shafts is commonly encountered in
practice.
3–5 Mechanical Forms of Work
Spring Work
Figure 3–32
When the length of the spring changes Elongation of a spring under the
by a differential amount dx under the influence of a force.
influence of a force F, the work done is

 Wspring F dx kW 
For linear elastic springs, the
displacement x is proportional to the
force applied
F = kx (kN) k: spring constant (kN/m)
Spring work
1
Wspring  k  x2 2  x12  kJ 
2

x1 and x2: the initial and the final

displacements
3–5 Mechanical Forms of Work
Figure 3–33
The displacement of a linear spring doubles when the force is doubled.
3–5 Mechanical Forms of Work
Work Done on Elastic Solid Bars
Figure 3–34
Solid bars behave as springs under the influence of a force.
2 2
Welastic F dx  n A dx kJ 
1 1
3–5 Mechanical Forms of Work
Work Associated Figure 3–35
with the Stretching Stretching a liquid film with a U-shaped wire,
of a Liquid Film and the forces acting on the movable wire of
length b.
Surface tension work
2
Wsurface  s dA kJ 
1

dA 2b dx

F 2b s
3–5 Mechanical Forms of Work
Work Done to Raise or to Accelerate a Body
Figure 3–36
1. The work transfer needed to The energy transferred to a body while
raise a body is equal to the being raised is equal to the change in
change in the potential energy its potential energy.
of the body.
2. The work transfer needed to
accelerate a body is equal to
the change in the kinetic
energy of the body.
3–5 Mechanical Forms of Work
Nonmechanical Forms of Work
Electrical work: The generalized force is the voltage (the
electrical potential) and the generalized displacement is the
electrical charge.
Magnetic work: The generalized force is the magnetic field
strength and the generalized displacement is the total magnetic
dipole moment.
Electrical polarization work: The generalized force is the
electric field strength and the generalized displacement is the
polarization of the medium.
3–6 The First Law of Thermodynamics
The first law of thermodynamics Figure 3–39
(the conservation of energy Energy cannot be created or
destroyed; it can only change forms.
principle) provides a sound basis for
studying the relationships among the
various forms of energy and energy
interactions.
The first law states that energy can be
neither created nor destroyed during a
process; it can only change forms.
First Law: For all adiabatic processes
between two specified states of a
closed system, the net work done is
the same regardless of the nature of
the closed system and the details of the
process.
3–6 The First Law of Thermodynamics
Figure 3–40
The increase in the energy of a potato in an oven is equal to the amount of
heat transferred to it.
3–6 The First Law of Thermodynamics
Figure 3–41 Figure 3–42
In the absence of any work The work (electrical) done on an
interactions, the energy change of a adiabatic system is equal to the
system is equal to the net heat increase in the energy of the system.
transfer.
3–6 The First Law of Thermodynamics
Figure 3–43 Figure 3–44
The work (shaft) done on an adiabatic The work (boundary) done on an
system is equal to the increase in the adiabatic system is equal to the
energy of the system. increase in the energy of the system.
3–6 The First Law of Thermodynamics
Energy Balance
Total energy entering the system   Total energy leaving the system  Change in the total energy of the system 

Ein  Eout Esystem Figure 3–45

The energy change of a system during
The net change (increase or
a process is equal to the net work and
decrease) in the total energy of
heat transfer between the system and
the system during a process is
its surroundings.
equal to the difference between
the total energy entering and
the total energy leaving the
system during that process.
3–6 The First Law of Thermodynamics
Energy Change of a System, ΔE system
Energy change = Energy at final state  Energy at initial state
Esystem Efinal  Einitial E2  E1 Figure 3–46
For stationary systems, ΔKE = ΔPE
E U  KE  PE = 0; thus ΔE = ΔU.
Internal, kinetic, and
potential energy changes
U m u2  u1 
1
KE  m V2 2  V12 
2

PE mg  z2  z1 
 3–6 The First Law of Thermodynamics
Mechanisms of Energy Transfer, Ein and Eout
Energy balance for any system undergoing any kind of process can be expressed
more compactly as

E  E  Esystem (kJ) (3–35)

 in  out   
Net energy transfer by heat, work, and mass Change in internal, kinetic, potential, etc., energies

or, in the rate form, as

Ein  Eout  Esystem (kW) (3–36)

      
Rate of net energy transfer by heat, work, and mass Rate of change in internal, kinetic, potential, etc., energies

For constant rates, the total quantities during a time interval Δt are related to the
quantities per unit time as
 dE 
Q Q t , W W t , and E   t kJ  (3–37)
 dt 
 3–6 The First Law of Thermodynamics
Mechanisms of Energy Transfer, Ein and Eout
The energy balance can be expressed on a per unit mass basis as

ein  eout esystem kJ/kg  (3–38)

which is obtained by dividing all the quantities in Equation 3–35 by

the mass m of the system. Energy balance can also be expressed in
the differential form as

 Ein   Eout dEsystem or  ein   eout desystem (3–39)

3–6 The First Law of Thermodynamics
Mechanisms of energy transfer:
• Heat transfer
• Work transfer
• Mass flow

A closed mass involves only heat transfer and work.

Ein  Eout Qin  Qout   Win  Wout    Emass,in  Emass,out  Esystem

Wnet,out Qnet,in or W net,out Q net,in for a cycle 

3–6 The First Law of Thermodynamics
Figure 3–47 Figure 3–48
The energy content of a control For a cycle ΔE = 0, thus Q = W.
volume can be changed by mass flow
as well as by heat and work
interactions.
3–7 Energy Conversion Efficiencies
Efficiency is one of the most frequently used
terms in thermodynamics, and it indicates
how well an energy conversion or transfer
process is accomplished.
Desired output
Efficiency =
Require d input
Efficiency of a water heater: The ratio of the
energy delivered to the house by hot water to the
energy supplied to the water heater.
Figure 3–53
Typical efficiencies of conventional and high-efficiency
electric and natural gas water heaters.
Type Efficiency
Gas, conventional 55%
Gas, high-efficiency 62%
Electric, conventional 90%
Electric, high-efficiency 94%
3–7 Energy Conversion Efficiencies
Heating value of the fuel: The amount of heat released when a
unit amount of fuel at room temperature is completely burned
and the combustion products are cooled to the room temperature.
Lower heating value (L H V): When the water in the
combustion gases is a vapor.
Higher heating value (H H V): When the water in the
combustion gases is completely condensed and thus the heat of
vaporization is also recovered.
Combustion equipment efficiency

Quseful Useful heat delivered by the combustion equipment

comb.equip. = 
HV Heating value of the fuel burned
3–7 Energy Conversion Efficiencies
Figure 3–54
The definition of the heating value of gasoline.
3–7 Energy Conversion Efficiencies
The efficiency of space heating systems of residential and
commercial buildings is usually expressed in terms of the annual
fuel utilization efficiency (A F U E), which accounts for the
combustion equipment efficiency as well as other losses such as
heat losses to unheated areas and start-up and cool down losses.
The A F U E of most new heating systems is about 85 percent,
although the A F U E of some old heating systems is under 60
percent.
The A F U E of some new high-efficiency furnaces exceeds 96
percent, but the high cost of such furnaces cannot be justified for
locations with mild to moderate winters.
Such high efficiencies are achieved by reclaiming most of the heat
in the flue gases, condensing the water vapor, and discharging the
flue gases at temperatures as low as 38°C (or 100°F) instead of
about 200°C (or 400°F) for the conventional models.
3–7 Energy Conversion Efficiencies
Overall efficiency of a power plant
W net, electric
overall comb.equip. thermalgenerator =
HHV×m fuel

Generator: A device that converts mechanical energy to

electrical energy.
Generator efficiency: The ratio of the electrical power output to
the mechanical power input.
Thermal efficiency of a power plant: The ratio of the net shaft
work output of the turbine to the heat input to the working fluid.

The overall efficiencies are about 25 to 30% for gasoline

automotive engines, 35 to 40% for diesel engines, and up to 60%
for large combinedpower plants.
3–7 Energy Conversion Efficiencies
Table 3–1 The efficacy of different lighting systems
Type of lighting Efficacy, lumens/W
Combustion
Candle 0.3
Lighting efficacy: The amount of
Kerosene lamp 1 to 2
light output in lumens per W of
Incandescent
electricity consumed.
Ordinary 6 to 20
Halogen 15 to 35
Fluorescent
Compact 40 to 87
Tube 60 to 120
High-intensity discharge
Mercury vapor 40 to 60
Metal halide 65 to 118
High-pressure sodium 85 to 140
*This value depends on the spectral distribution of
the assumed ideal light source. For white light
Low-pressure sodium 70 to 200
sources, the upper limit is about 300 lm/W for
Solid-State metal halide, 350 lm/W for fluorescents, and 400
LED 20 to 160 lm/W for LEDs. Spectral maximum occurs at a
OLED 15 to 60 wavelength of 555 nm (green) with a light output of
Theoretical limit 300* 683 lm/W.
3–7 Energy Conversion Efficiencies
Figure 3–55
A 15-W compact fluorescent lamp provides as much light as a 60-W
incandescent lamp.
3–7 Energy Conversion Efficiencies
Using energy-efficient appliances Figure 3–56
conserve energy. The efficiency of a cooking appliance
represents the fraction of the energy
It helps the environment by supplied to the appliance that is
reducing the amount of pollutants transferred to the food.
emitted to the atmosphere during
the combustion of fuel.
The combustion of fuel produces
• Carbon dioxide, causes global
warming.
• Nitrogen oxides and
hydrocarbons, cause smog.
• Carbon monoxide, toxic. Energy utilized
Efficiency =
Energy supplied to appliance
• Sulfur dioxide, causes acid rain. 3 kWh
= 0.60
5 kWh
3–7 Energy Conversion Efficiencies
Table 3–2 Energy costs of cooking a casserole with different appliances*
Cooking Cooking Energy
Cooking appliance temperature time used Cost of energy
Electric oven 350°F (177°C) 1h 2.0 kWh $0.19

Convection oven 325°F (163°C) 45 min 1.39 kWh $0.13

(elect.)
Gas oven 350°F (177°C) 1h 0.112 therm $0.13

Frying pan 420°F (216°C) 1h 0.9 kWh $0.09

Toaster oven 425°F (218°C) 50 min 0.95 kWh $0.09

Crockpot 200°F (93°C) 7h 0.7 kWh $0.07

Microwave oven “High” 15 min 0.36 kWh $0.03

*Assumes a unit cost of $0.095/kWh for electricity and $1.20/therm for gas.
[From J. T. Amann, A. Wilson, and K. Ackerly, Consumer Guide to Home Energy Savings, 9 th ed.,
American Council for an Energy-Efficient Economy, Washington, D.C., 2007, p. 163.]
3–7 Energy Conversion Efficiencies 10

Efficiencies of Mechanical and Electrical Devices

Mechanical efficiency
Mechanical energy output Emech,out E
metch   1  mech,loss
Mechanical energy input Emech,in Emech,in

The effectiveness of the conversion process between the

mechanical work supplied or extracted and the mechanical
energy of the fluid is expressed by the pump efficiency and
turbine efficiency,
Mechanical energy increase of the fluid E mech,fluid W pump,u
pump  


Mechanical energy input Wshaft,in Wpump

Mechanical energy output W shaft,out W turbine

 turbine  


Mechanical energy decrease of the fluid Emech,fluid Wturbine,e
3–7 Energy Conversion Efficiencies
Figure 3–58
The mechanical efficiency of a fan is the ratio
of the rate of increase of the mechanical V1 0, V2 =12.1m/s
energy of air to the mechanical power input.
z1 = z 2
p1  patm and p2  patm

E mech,fluid mV
 22 / 2
mech,fan 


Wshaft,in Wshaft,in

(0.506 kg/s) 12.1 m/s  / 2

2


50.0 W

0.741
3–7 Energy Conversion Efficiencies

Mechanical power output W shaft,out

Motor : motor  
Electric power input W elect,in

Electric power output W elect,out

Generator : generator  
Mechanical power input W shaft,in

W pump,u E mech,fluid

pump-motor pumpmotor 

 Pump-Motor
Welect,in Welect,in overall efficiency

Welect,out Welect,out Turbine-Generator

turbine-gen turbinegenerator 


Wturbine,e E mech,fluid overall efficiency
3–7 Energy Conversion Efficiencies
Figure 3–59
The overall efficiency of a turbine– generator is the product of the efficiency of
the turbine and the efficiency of the generator, and it represents the fraction of
the mechanical power of the fluid converted to electrical power.
Selected problems
• 3-1C, 3-5C, 3-11, 3-16, 3-18C, 3-20C, 3-21C, 3-
23C, 3-24C, 3-30, 3-31, 3-35C, 3-37C, 3-39, 3-
44, 3-55, 3-57, 3-60, 3-66