THERMAL DESIGN AND OPTIMIZATION
Adrian Bejan
Department of Mechanical Engineering and Material Science Duke University

George Tsatsaroni s
Institut fur Energietechnik Technische Universitat Berlin

Michael Maran
Department of Mechanical Engineering The Ohio State University

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Library of Congress Cataloging in Publication Data: Bejan, Adrian, 1948Thermal design and optimization I Adrian Bejan, George Tsatsaronis, Michael Moran. p. cm. Includes index. ISBN 0-471-58467-3 1. Heat engineering. I. Tsatsaronis, G. (George) 11. Moran, Michael J. 1 1 1 . Title. TJ260.B433 1996 621,402-dc20

95-1207 1

Printed in the United States of America
IO 9 8 7 6 5 4 3

PREFACE

This book provides a comprehensive and rigorous introduction to thermal system design and optimization from a contemporary perspective. The presentation is intended for engineering students at the senior or first-year graduate level and for practicing engineers and technical managers working in the energy field. The book is appropriate for use in a capstone design course, in a technical elective course, and for self-study. Sufficient end-of-chapter problems are provided for these uses. In class testing, the material has been found to work well with the intended audience. We assume readers have had introductory courses in engineering thermodynamics and heat transfer and are familiar with the basics of fluid mechanics. Some background in engineering economics is also desirable but not required. For readers with limited backgrounds in engineering thermodynamics, heat transfer, and engineering economics, reviews are provided in Chapters 2, 4, and 7, respectively. Our presentation does not provide a detailed discussion of component design or extensive operating and cost data. Information on these topics is available in various standard references, handbooks, imd manufacturers’ catalogs. Readers should refer to such sources as needed; we have provided extensive reference lists to facilitate this. The book has been written to allow flexibility in the use of units. It can be studied using 1nte:mational System (SI) units only or a mix of SI and English units. In the area of thermal systems, engineering curricula are largely component and design analysis oriented. Students initially learn to apply mass and energy balances and, increasingly, entropy and exergy balances. Then, on the basis of known engineering descriptions and specifications, students learn to calculate the size, performance, and cost of heat exchangers, turbines, pumps, and other components. These activities are important, but the scope of engineering design is much wider. Design is primarily system oriented and the objective is to effect a design solution: to devise a means for accomplishing a stated purpose subject to real-world constraints. Design requires synthesis: selecting and putting together components to form a smoothly working whole. Design also often requires that principles from different disciplines be applied
V

Vi

PREFACE

within a single problem, for example, principles from engineering thermodynamics and heat transfer. Moreover, design usually requires explicit consideration of engineering economics, for cost is almost invariably a key issue. Finally, design requires optimization techniques that are not typically encountered elsewhere in the engineering curricula. Synthesis, engineering economics, and optimization are among several design topics discussed in this book. The current presentation departs from those of previous books on the subject of thermal system design in three important respects: (1) A concerted effort has been made to include material drawn from the best of contemporary thinking about design and design methodology. Thus, Chapter 1 provides discussions of concurrent design, quality function deployment, and other contemporary design ideas. (2) This book includes current developments in engineering thermodynamics, heat transfer, and engineering economics relevant to design. Many of these developments are based on the second law of thermodynamics. In particular, we feature the use of exergy analysis and entropy generation minimization. We employ the term thermoeconomics to denote exergy-aided cost minimization. ( 3 ) A case study is considered throughout the book for continuity of the presentation. The case study involves the design of a cogeneration system. The presentation of design topics initiated in Chapter 1 continues in Chapter 2 with the development of a thermodynamic model for the case study cogeneration system and a discussion of piping system design. Chapter 3 provides a discussion of design guidelines evolving from reasoning using the second law of thermodynamics and, in particular, the exergy concept. Chapters 4, 5, and 6 all contain design-related material, including heat exchanger design. These presentations are intended to illuminate the design process by gradually introducing first-level design notions such as degrees of freedom, design constraints, and thermodynamic optimization. In these chapters the role of second-law reasoning in design is further emphasized. Examples familiar from previous courses in thermodynamics and heat transfer are used to illustrate principles. Chapters 5 and 6 also illustrate the effectiveness of elementary modeling in design. Such modeling is often an important element of the concept development stage. Elementary models can highlight key design variables, the relations among them, and fundamental trade-offs. In some instances, such models can lead directly to design solutions, as for example in the case of electronic package cooling considered in Chapter 5 . With Chapter 7 detailed engineering economic evaluations enter the presentation explicitly and are featured in the remainder of the book. Chapter 8 presents a powerful and systematic design approach that combines the exergy concept of engineering thermodynamics with principles of engineering economics. Exergy costing methods are introduced and applied in this chapter. These methods identify the real cost sources at the component level: the capital investment costs, the operating and maintenance costs, and the

PREFACE

vii

costs associated with the destruction and loss of exergy. The optimization of thermal systems is based on a careful consideration of these cost sources. Chapter 9 provides discussions of the pinch method for the design of heat exchanger networks and the iterative optimization of complex systems. Results of the thermoeconomic optimization of the cogeneration system case study are also presented. This book has been developed to be flexible in use: to satisfy various instructor preferences, curricular objectives, course durations, and self-study needs. Some instructors will elect to present material in depth from all nine chapters. Shorter presentations are also possible. For example, courses might be built around Chapters 1-6 plus topics from Chapter 7, or formed from Chapters 1-3 plus Chapters 7-9. Some instructors may want to provide a highly-focused presentation by simply tracking the cogeneration system case study or another case study drawn from the references provided or the individual instructor’s professional experience. Other course arrangements are also possible, and instructors are encouraged to contact the authors directly concerning alternatives. The use of the second law of thermodynamics in thermal system design and optimization is still a novelty in U.S. industry, but not in Europe and elsewhere. This approach is featured here because an increasing number of engineers and engineering managers worldwide agree that it has considerable merit and are advocating its use. We offer it in an evolutionary spirit as a worthy alternative. Our aim is to contribute to the education of the next generation of thermal system designers and to the background of currently active
designers who feel the need for more effective design methods. We welcome

constructive comments and criticism from readers. Such feedback is essential for the further development of the design approaches presented in this book. Several individuals have contributed to this book. A. Ozer Arnas and Gordon M. Reistad reviewed the manuscript and provided several helpful suggestions. We appreciate their input. Additionally, we owe special thanks to faculty colleagues, staff and students at our respective institutions for their support and assistance: at Duke University, Kathy Vickers, Linda Hayes, Jose V. C. Vargas, Oana Craciunescu, and Gustavo Ledezma; at Tennessee Technological University, Kenneth Purdy, David Price, Helen Haggard, Agnes Tsatsaronis, and the 126 student members of the thermal design class in the academic year 1993-1994; at Technische Universitat Berlin, Yanzi Chen, Frank Cziesla, Andreas Krause, and Christine Gharz; and at The Ohio State University, Kenneth Waldron, Margaret Drake, and Carol Bird. A DRIAN BEJAN GEORGE TSATSARONIS MICHAEL MORAN

June. 1995

CONTENTS

1 Introduction to Thermal System Design

1

1.1

Preliminaries I 2

1.2 Workable, Optimal, and Nearly Optimal Designs I 3 1.3 Life-Cycle Design I 6 1.3.1 Overview of the Design Process I 6 1.3.2 Understanding the Problem: “What?” not “How?” I 9 1.3.3 Project Management I 1 1 1.3.4 Project Documentation I 12
1.4 Thermal System Design Aspects / 15

1.4.1 1.4.2 1.4.3 1.4.4

Environmental Aspects I 16 Safety and Reliability I 17 Background Information and Data Sources I 19 Performance and Cost Data I 20

1.5 Concept Creation and Assessment I 21 1.5.1 Concept Generation: “How?” not “What?” I 21 1.5.2 Concept Screening I 22 1.5.3 Concept Development I 25 1.5.4 Sample Problem Base-Case Design I 29 1.6 Computer-Aided Thermal System Design I 3 1 1.6.1 Preliminaries I 31 1.6.2 Process Synthesis Software I 32 1.6.3 Analysis and Optimization: Flowsheeting Software / 32 1.7 Closure I 33

References I 34 Problems I 36
ix

X

CONTENTS

2 Thermodynamics, Modeling, and Design Analysis

39

2.1 Basic 2.1.1 2.1.2 2.1.3 2.1.4

Concepts and Definitions / 39 Preliminaries / 40 The First Law of Thermodynamics, Energy / 42 The Second Law of Thermodynamics / 46 Entropy and Entropy Generation / 50

2.2 Control Volume Concepts / 55 2.2.1 Mass, Energy, and Entropy Balances / 55 2.2.2 Control Volumes at Steady State / 59 2.2.3 Ancillary Concepts / 60 2.3 Property Relations / 64 2.3.1 Basic Relations for Pure Substances / 64 2.3.2 Multicomponent Systems / 76 2.4 Reacting Mixtures and Combustion / 78 2.4.1 Combustion / 78 2.4.2 Enthalpy of Formation / 78 2.4.3 Absolute Entropy / 80 2.4.4 Ancillary Concepts / 81 2.5 Thermodynamic Model-Cogeneration System / 84 2.6 Modeling and Design of Piping Systems / 97 2.6.1 Design Considerations / 97 2.6.2 Estimation of Head Loss / 99 2.6.3 Piping System Design and Design Analysis / 102 2.6.4 Pump Selection / 105 2.7 Closure / 107 References / 108 Problems / 108
3 Exergy Analysis
113

3.1 Exergy / 113 3.1.1 Preliminaries / 113 3.1.2 Defining Exergy / 114 3.1.3 Environment and Dead States / 115 3.1.4 Exergy Components / 116 3.2 Physical Exergy / 117 3.2.1 Derivation / 117 3.2.2 Discussion / 120

CONTENTS

Xi

3.3 Exergy Balance / 121 3.3.1 Closed System Exergy Balance I 121 3.3.2 Control Volume Exergy Balance I 123 3.4 Chemical Exergy I 131 3.4.1 Standard Chemical Exergy I 131 3.4.2 Standard Chemical Exergy of Gases and Gas Mixtures I 132 3.4.3 Standard Chemical Exergy of Fuels / 134 3.5 Applications I 138 3.5.1 Cogeneration System Exergy Analysis / 139 3.5.2 Exergy Destruction and Exergy Loss I 143 3.5.3 Exergetic Efficiency I 150 3.5.4 Chemical Exergy of Coal, Char, and Fuel Oil / 156 3.6 Guidelines for Evaluating and Improving Thermodynamic Effectiveness / 159 3.7 Closure / 162 References I 162 Problems I 163
4 Heat Transfer, Modeling, and Design Analysis

167

4.1

The Objective of Heat Transfer / 167 Conduction / 170 4.2.1 Steady Conduction / 170 4.2.2 Unsteady Conduction I 176

4.2

4.3 Convection I 184 4.3.1 External Forced Convection I 184 4.3.2 Internal Forced Convection I 190 4.3.3 Natural Convection / 195 4.3.4 Condensation / 199 4.3.5 Boiling / 202 4.4 Radiation I 207 4.4.1 Blackbody Radiation I 208 4.4.2 Geometric View Factors / 209 4.4.3 Diffuse-Gray Surface Model / 213 4.4.4 Two-Surface Enclosures I 214 4.4.5 Enclosures with More Than Two Surfaces I 220 4.4.6 Gray Medium Surrounded by Two Diffuse-Gray Surfaces / 221

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CONTENTS

4.5 Closure / 225 References / 225 Problems / 227
5 Applications with Heat and Fluid Flow

237

5.1 Thermal Insulation / 237 5.2 Fins I 241 5.2.1 Known Fin Width / 241 5.2.2 Known Fin Thickness / 244

5.3 Electronic Packages / 247
5.3.1 Natural Convection Cooling / 247 5.3.2 Forced Convection Cooling / 251 5.3.3 Cooling of a Heat-Generating Board Inside a Parallel-Plate Channel / 256 5.4 Closure / 265 References / 265 Problems / 266
6 Applications with Thermodynamics and Heat and Fluid Flow

273

6.1 Heat Exchangers / 273 6.2 The Trade-off Between Thermal and Fluid Flow Irreversibilities / 28 1 6.2.1 Local Rate of Entropy Generation / 282 6.2.2 Internal Flows / 283 6.2.3 External Flows / 287 6.2.4 Nearly Ideal Balanced Counterflow Heat Exchangers / 290 6.2.5 Unbalanced Heat Exchangers / 296 6.3 Air Preheater Preliminary Design / 297 6.3.1 Shell-and-Tube Counterflow Heat Exchanger / 298 6.3.2 Plate-Fin Crossflow Heat Exchanger / 305 6.3.3 Closure / 310 6.4 Additional Applications / 31 1 6.4.1 Refrigeration / 31 1 6.4.2 Power Generation / 315

3.CONTENTS xiii 6.2.2.4.4 Concluding Comment I 325 6.3 Exergy Storage by Sensible Heating I 320 6.1.4 Discussion of Profitability-Evaluation Methods 7-399 .4 Levelized Costs and Cost of the Main Product I 383 7.2 Methods Using Discounted Cash Flows I 392 7.5 Total Revenue Requirement / 383 7.1.1 Average Rate of Return and Payback Period I 389 7.5.7 Fuel.3 Different Economic Lives I 396 7.2 Returns on Equity and Debt I 379 7.3.5 Profitability Evaluation and Comparison of Alternative Investments / 388 7.8 Taxes and Insurance I 367 7. and Maintenance Costs I 383 7.1.2.6 Financing and Required Returns on Capital I 366 7.5 Simplified Relationships / 348 7.1 Total Capital Recovery / 376 7. and Maintenance Costs / 367 7.1 Time Value of Money I 353 7. and Levelization I 359 7.2.3.3.4 Fuel.2.3 Current versus Constant Dollars / 361 7.6 Cogeneration System Case Study I 351 7.5.1 Cost Estimates of Purchased Equipment / 337 7.5 Closure / 326 References I 326 Problems I 327 7 Economic Analysis 333 7.1.3 Taxes and Insurance I 382 7.1.2 Principles of Economic Evaluation I 353 7.1 Estimation of Total Capital Investment I 334 7.2.3 Calculation of Revenue Requirements I 374 7.4 Time Assumptions I 363 7. Escalation.5 Depreciation I 364 7. Operating.3 Indirect Costs of FCI / 346 7.4.3.4 Other Outlays I 347 7.2 Estimation of the Remaining FCI Direct Costs I 344 7.9 Cogeneration System Case Study I 369 7.5.2.1.2. Operating.2 Inflation.5.2.

4 Costing of Exergy Loss Streams / 425 8.3 Thermoeconomic Evaluation / 439 8.1 Fundamentals of Thermoeconomics / 406 8.1 Exergy Costing / 407 8.3 Costing Mechanical and Thermal Exergy / 456 8.4.4.3.3 Maximum Energy Recovery / 481 . and Average Costs Associated with Fuel and Product / 420 8.1.4 Diagram of Unit Cost versus Specific Exergy / 458 8.3 Exergoeconomic Factor / 438 8. Auxiliary Relations.1 Design Evaluation / 439 8.3.1.6 Closure / 432 8.1.5 Closure / 458 References / 459 Problems / 460 9 Thermoeconomic Optimization 463 9.1.2.2 Cost-Optimal Exergetic Efficiency for an Isolated System Component / 466 9.5 Non-Exergy-Related Costs for Streams ad Matter / 431 8.6 Closure / 399 References / 400 Problems / 401 8 Thermoeconomic Analysis and Evaluation 405 8.1.1 Temperature-Enthalpy Rate Difference Diagram / 474 9.2.XiV CONTENTS 7.1.4.1 Costing Chemical and Physical Exergy J 449 8.3.3.3.1 Introduction to Optimization / 463 9.4 Additional Costing Considerations / 449 8.2 Thermoeconomic Variables for Component Evaluation / 432 8.2 Relative Cost Difference / 437 8.4.3 Cost Rates.2 Costing Reactive and Nonreactive Exergy / 453 8.2.1 Cost of Exergy Destruction / 433 8.2 Performance Evaluation / 445 8.2 Composite Curves and Process Pinch / 477 9.3 Optimization of Heat Exchanger Networks / 473 9.2 Aggregation Level for Applying Exergy Costing / 417 8.

4.3 Economic Optimization / 506 9.4. and Gibbs Function with Temperature at 1 bar for Various Substances / 519 Table C.15 K and po / 521 Appendix D Symbols I 523 Appendix E Conversion Factors / 531 Index I 533 .5 Other Techniques I 501 9.4 Analytical and Numerical Optimization Techniques / 498 9.4.6 Estimation of the Required Total Heat Transfer Surface Area / 486 9.4 Nonlinear Programming with Constraints I 501 9.5.2 Thermodynamic Optimization / 503 9.4. Absolute Entropy.8 Integration of a HEN with Other Components I 495 9.3. Zcl' (kJ/kmol).9 Closure I 497 9.4 Calculation of Utility Loads / 481 9.3.2 Standard Molar Chemical Exergy.3. of Various Substances at 298.6 Thermoeconomic Optimization of Complex Systems / 506 9.5 Grand Composite Curve / 484 9.5 Design Optimization for the Cogeneration System Case Study / 502 9. 1 Variation of Specific Heat.3. Enthalpy.4.4 Closure / 506 9.1 Preliminaries / 502 9.3 Linear Programming Techniques / 500 9.7 Closure / 509 References / 510 Problems I 512 Appendix A Variational Calculus / 5 15 Appendix B Economic Model of the Cogeneration System / 517 Appendix C Tables of Property Data / 5 19 Table C.3.CONTENTS XV 9.7 HEN Design / 490 9.1 Functions of a Single Variable / 499 9.5.5.2 Unconstrained Multivariable Optimization / 500 9.5.3.

.

usually gases or liquids. chemical reactors.) that make up the overall systems. reactors. The term thermal interactions is used generically here to include heat transfer and/or the flow of hot or cold streams of matter. Thermal systems typically experience significant work and/or thermal interactions with their surroundings. appearing in diverse industries such as electric power generation and chemical processing and in nearly every kind of manufacturing plant. and heat pumps. safety. Thermal systems are composed of compressors. electrical circuits. Thermal systems are also found in the home as food freezers. 1 . cooking appliances. These components are interconnected to form networks by conduits carrying the working substances. including reactive mixtures. but also must be able to design and analyze components typically encountered in their fields of practice: mechanisms. and a variety of related devices. turbines. pumps. The skills of synthesis and evaluation are at the heart of engineering design. engineers should be able to synthesize something that did not exist before and evaluate it using criteria such as economics. reliability.1 INTRODUCTION TO THERMAL SYSTEM DESIGN Engineers not only must be well versed in the scientific fundamentals of their disciplines. furnaces. reactors. turbines. retrofitting. Design also has an important creative component not unlike that found in the field of art. and environmental impact. heat exchangers. The first refers to overall thermal systems and the second to the individual components (heat exchangers. Thermal systems are widespread. This book concerns the design of thermal systems. and refurbishment. etc. Moreover. System design may refer to new-plant design or to design associated with plant expansion. and so on. pumps. Thermal system design has two branches: system design and component design. maintenance.

and supported. heat and mass transfer. Effluents not produced owing to a more efficient plant require no clostly cleanup and do not impose a burden on the environment. e. We also stress the use of principles of good design practice that have been formulated in recent years [see. Compared to some of its principal international trading partners. usage varies widely even within nations. recognizing the linkage between efficient plants and the goals of better energy resource use with less environmental impact. and there is room for improvement.. 1-113. Witnessing the relationship between superior engineering design and enhanced competitiveness in world markets. the effectiveness of using oil. and coal has improved markedly over the last two decades. A related but less publicized principle concerns the waste and effluent streams of plants. and conversely. These realities pose a challenge to continued U. One way that this challenge can be addressed is through better industrial plant design and operation.1 PRELIMINARIES In developed countries worldwide. and engineering economics. environmentally benign plants have to be carefully engineered. Accordingly. Such clean technology considerations provide another avenue for improving long-term competitiveness. The product realization process is a firm’s strategy for product . 1. including the exergy methods discussed in Chapter 3.2 INTRODUCTION TO THERMAL SYSTEM DESIGN The principles introduced in this book are relevant to each of these application areas. It also requires the best current thinking on the subject of design. fuel-thrifty. natural gas. Careful engineering calls for the rigorous application of principles and practices that have withstood the test of time. The objective of this chapter is to introduce some of the fundamental concepts and definitions of thermal system design. The design of thermal systems requires principles drawn from engineering thermodynamics.S. Economic. brought to market. many industries have adopted innovative design and management principles that were largely unknown just a few years ago. an opportunity exists for improving competitiveness through more effective use of energy resources.g. These principles are developed in subsequent chapters.S. This is the procedure whereby new and improved products are conceived. the more unusable by-products it produces. U. This is a well-known and largely accepted principle today. For industries where energy is a major contributor to operating costs. industry as a whole has a higher energy resource consumption on a per unit of output basis and generates considerably more waste. designed. The waste from a plant is often not an unavoidable result of plant operation but a measure of its inefficiency: The less efficient a plant is. produced. jluid mechanics. competitiveness in the global marketplace. The product realization process concept is one. Still. we stress the use in design of the second law o f thermodynamics. for example.

Owing to system complexity and uncertainties in data and information about the system. OPTIMAL. DFM (design for manufacturing).. innovative practices for better design engineering have taken on such a wide variety of forms with sometimes overlapping functions that it is not always a simple matter to select from among them. but always evolving in response to new information and conditions in the marketplace. Another concept employed nowadays involves DFX strategies.1. and so on. Although the term optimal can be defined as the most favorable or most conducive to a given end. such as DFA (design for assembly). especially under fixed conditions. therefore. consider a common component of thermal systems. holding other variables fixed [8]. in this chapter we refer only to those practices that are particularly relevant to thermal systems design. Accordingly. A workable design is simply one that meets all the specifications. Among the workable designs is the optimal design: the one that is in some sense the “best.. AND NEARLY OPTIMAL DESIGNS A critical early step in the design of a system is to pin down what the system is required to do and to express these requirements quantitatively. a counterflow heat exchanger. a true optimum is generally impossible to determine. in practice the term can take on many guises depending on the ends and fixed conditions that apply.3). that is. As such. and DFE (design for the environment). Many other relatively new concepts are now being used by industry. weight.2 WORKABLE. the design that minimizes cost is usually the one of interest. Let us consider the variation of the total annual cost associated with the heat exchanger as (AT). we often accept a design that is close to optimal-a near1. the minimum temperature difference between the two streams. 1. A key design variable for heat exchangers is (AT). size. To avoid ambiguity in subsequent discussions. the product realization process is not static. Moreover. To illustrate. not all of these contemporary design practices are applicable to or useful in the design of every system or product.. Still. DF denotes design for and X identifies a characteristic to be optimized. reliability. thereby reducing inventory costs. Accordingly.y optimal design. to formulate the design specijications (Section 1. Despite their relatively recent development. More extended discussions are found in the references cited. AND NEARLY OPTIMAL DESIGNS 3 excellence through continuous improvement. we will make explicit in each different context how the term optimal is being used.. as for example just-in-time manufacturing. where parts and assemblies are delivered or manufactured as needed. OPTIMAL. In this acronym. varies. From engineering thermodynamics we know that the temperature difference between the two streams of a heat exchanger is ii measure of nonideality (irreversibility) and that heat exchangers approach ideality as the temperature .2 WORKABLE..” Several alternative notions of best can apply depending on the application: optimal cost.

however. . A larger temperature difference corresponds to a thermodynamically less ideal heat exchanger.as shown in Figure 1.. the variation of total cost with temperature difference is relatively flat in the portion of the curve whose end points are a' and a". and so thefuel cost increases with (AT)...inis concave upward. more costly heat exchanger. However. The point labeled a locates the design with minimum total annual cost: the optimal design for a system where the heat exchanger is the sole component.4). the variation of the total cost with (AT). we would seek to reduce the stream-tostream temperature difference. Accordingly. The total cost associated with the heat exchanger is the sum of the capital cost and the fuel cost..4 INTRODUCTION TO THERMAL SYSTEM DESIGN difference approaches zero (Section 2. then.1.in..as shown in Figure 1.3).. All costs shown in the figure are annual levelized costs (Section 7.in.1. 0 ' Nearly ' optimal Minimum temperature difference. the capital cost increases with the heat transfer area and varies inversely with (AT)..1 Cost curves for a single heat exchanger. Note: Shading illustrates uncertainty in cost data.1.. From the study of heat transfer. Heat exchangers with (AT). This source of nonideality exacts a penalty on the fuel supplied to the overall plant that has the heat exchanger as a component: A part of this fuel is used tofeed the source of nonideality. values giving total cost on this portion of the curve may be regarded as nearly optimal. we know that as the temperature difference between the streams narrows more heat transfer area is required for the same rate of energy exchange.. To reduce operating costs. As shown in Figure 1.. (AT)min Figure 1.1. More heat transfer area corresponds to a larger..

sometimes widely. OPTIMAL... as was done in the example. as a final cautionary note. resulting in no net change. Thus. costs cannot be predicted as precisely as implied by the curves of Figure 1 . The annual levelized fuel cost. AND NEARLY OPTIMAL DESIGNS 5 The design engineer would be free to specify. for example.1.g.2 WORKABLE.. for example. by specifying smaller than the economic optimum.. such procedures are generally unable to identify the existence of alternative design configurations or discriminate between fundamentally different solutions of the same problem.1. outside of this interval would be a design error for a standalone heat exchanger. it should be recognized that applying a mathematical optimization procedure to a particular design configuration can only consider trade-offs for that configuration (e. Additional discussion of optimization is provided in Chapter 9. Considerable additional complexity enters because thermal systems typically involve several components that interact with one another in complicated ways. unlike the heat exchanger example that involved just one design variable. For one thing. For example. the designer would save fuel at the expense of capital but with no significant change in total cost. This is suggested by the shaded intervals on the figure. Moreover.. Moreover. the objective is normally to optimize a system consisting of several components. Workable designs might exist. Still further. the designer would save capital at the expense of fuel. the extra capital cost would be much greater than what would be saved on fuel. the cost of a heat exchanger is not a fixed value but often the consequence of a bidding procedure involving many factors.. as shown in Figure 1. Thermal design problems are typically far more complex than suggested by this example. . Specifying (AT). however: With too low a (AT). without a significant difference in total cost. Owing to uncertainties.1. the extra fuel cost would be much greater than what would be saved on capital..l.. several design variables usually must be considered and optimized simultaneously. a unit of fuel saved by reducing the nonideality of a heat exchanger. Thermal system design problems also may admit several alternative. Optimization of components individually. No matter how rigorously formulated and solved an optimization problem may be. but in a stepwise manner with discrete sizes of the equipment. for example. Because of component interdependency. in the interval designated nearly optimal in Figure 1. in fuel consumption for the overall system. fundamentally different solutions.. the trade-off between capital cost and fuel cost).. cost data should be shown as bands and not lines. usually does not guarantee an optimum for the overall system. At the higher end of the interval near point a”. that require one. any (AT). Equipment costs also do not vary continuously.. 1 . requires a prediction of future fuel prices and these vary. may lead to the waste of one or more units of fuel elsewhere in the system. With too high a (AT). with the dictates of the world market for such commodities. or perhaps three or more heat exchangers. near point a’. or even an increase. The most significant advances in design generally come from identifying the best design configuration from among several alternatives and not from merely polishing one of the alternatives. two.

4 and 1. 2.3 LIFE-CYCLE DESIGN Engineering design requires highly structured critical thinking and active communication among the members of the design team. In this section the design process is considered broadly and the role of the design team discussed generally. 1. for example. Other design process flow charts are provided in the literature. and at others reversed arrows.2 shows a flow chart of the design process for thermal systems.2 are by no means the only possible choices. there is normally an economic advantage in identifying and correcting problems as early as possible. labeled iterate. see [2]. This is the role played by the design team. The desirability of iterating as more knowledge is obtained and digested should be evident. Further discussion is provided in Sections 1. Although the flow of activities is shown as sequential from the top of the chart to the bottom.1 Overview of the Design Process Figure 1.5.3. A strategy known as concurrent design addresses both the makeup of the design team and the interactions between team members.6 INTRODUCTION TO THERMAL SYSTEM DESIGN 1. through placing the system into service and its ultimate retirement from service. 5. the primitive problem. Five distinct stages are indicated: 1. the group of individuals whose responsibility is to design a product or system. An effective design process necessarily blends series and parallel activities synergistically. Although iteration does involve costs. A central tenet of concurrent design is that all departments of a company be involved in the design process . are shown. Those given in Figure 1. The left-right arrows suggest both project work proceeding in parallel by individuals or groups having distinctive expertise and the interactions that normally occur between these individuals or groups. left and right arrows are used at certain locations. Iteration continues at any level until the amount and quality of information allows for an informed decision. that is. 4. 3. Since the flow chart proceeds from a general statement of use or opportunity. Understanding the problem Concept development Detailed design Project engineering Service Alternative labels can be employed for this sequence and a different number of stages can be used. Normally these are well beyond the capabilities of a single individual and call for a group effort. the sequence may be called life-cycle design. The design process involves a wide range of skills and experience.

retirement Figure 1.3 LIFE-CYCLE DESIGN 7 0 Understanding the problem: Specification development and planning team I problem speciiy customers’ Iterate . . fabrication and construction Design Service Startup. operation.1.1 0 Concept development: Generate and screen alternative conceDts 4 Iterate Generate conctpts Screen concepts 7 I Synthesis-Analysis+-tOptimization *Terminate project I Detailed design Detailed process :a equipment design Sizing Analysis-and+--+Optimization-Controls costinc! 1 Iterate -Terminate project Project engineering Implementation: Purchasing.2 Life-cycle design flow chart.

avoiding delay and errors and shortening the design process. manufacturing and construction. the commissioning and safe operation of the system. The end result of the design process is stage 5. for instance. At stage 4 the effort moves into project engineering. Such meticulous attention contributes significantly in the realization of the X’s in the final design.2. As suggested by Figure 1. design teams should include nonengineers whenever appropriate. all of the X’s in the applicable DFX strategies (Section 1. A set of blueprints or the equivalent are developed for the construction phase. Concurrent design aims to overcome the weaknesses inherent in traditional design approaches where evolving designs are passed from department to department with minimal communication. The real concurrency of the approach resides in interactions between groups that historically may not have communicated well with one another. Concurrent design seeks to combine the efforts of process engineering. technical and nontechnical. In the best design practice. service and maintenance. into one integrated procedure. and all participants. and controls engineering. In the third stage. These might deal with further analysis. cost accounting. in the first stage is the recognition of a need or an economic opportunity. Let us now consider briefly the design stages shown in Figure 1. optimization. which is where the detailed design is turned into a list of actual equipment to be purchased or fabricated. Critical factors that influence the X’s should be identified and reIated to their impact on the X’s throughout the life cycle.2. environmental engineering. This is a crucially important stage because decisions made here can determine up to 80% of the total capital cost of a project. This stage also includes the detailed mechanical design of the equipment items and their supports. prototyping. marketing and sales. and a poor understanding of the impact of subsequent changes on such decisions. should have a voice in fitting their differing. parallel activities occur at this stage. partial contributions into the whole. The typical design project begins with an idea that something might be worth doing. controls engineering. and piping and instrumentation diagrams are prepared. In the second stage the development of concepts for implementing the idea takes place. or pilot plant tests may be necessary to finalize the design. Thus.1) should be identified at these early stages and considered throughout the life-cycle design process. Active communication among design team members is essential to ensure that problems are identified and dealt with as early as possible. and so on. .8 INTRODUCTIONTO THERMAL SYSTEM DESIGN from the very beginning so that decisions can be made earlier and with better knowledge. When accurate design data are lacking or there is uncertainty about features of the system. the component parts and their interconnections are detailed. process design and marketing. The objective is to combine several pieces of equipment into one smoothly running system. a number of simultaneous. little appreciation of the significance of design decisions made earlier. To broaden the experience base and widen the scope of thinking. laboratory testing. production engineering. sizing and costing of equipment.

The design review or design audit is an important aspect of good industrial design practice. To provide for a plant expansion. decisions about one variable can affect a number of other variables. the data required are not immediately at hand. As time passes. The engineer often receives only a general statement of need or opportunity. To conclude this survey of the design process. This statement constitutes the primitive problem. Reviews may require both written and oral communications. The first stage of the design process is to understand the problem. The following provides an example: Sample Problem. Determine how the power and steam are best supplied. periodic design reviews occur. and economic considerations are of overriding importance. however. note that a fundamental aspect of the process makes it mandatory that knowledge about the project be generated as early as possible: At the beginning of the design process knowledge about the problem and its potential solutions is a minimum. At this stage it must be recognized that the object is to determine what qualities the system should possess and not how a system can be engineered to satisfy the . One possible outcome of a design review is the decision to terminate the project. Design reviews usually take the form of presentations to managers and other design team members.3 LIFE-CYCLE DESIGN 9 As indicated on the flow chart. Design reviews are key elements of the concurrent design approach because they provide formal opportunities to share information and solicit input that may improve the design. but designers have the greatest freedom of choice because few decisions have been made. An important question to be asked throughout the design process and especially at design reviews is “Why?” By frequently asking this question. as discussed next. design team members challenge one another to think more deeply about underlying assumptions and the viability of proposed approaches to problems arising during the design process. We will return to this sample problem in subsequent discussions to illustrate various concepts. Indeed. A design assignment also rarely takes the form of a specific system to design. most of the early design effort should focus on establishing an understanding of and the need for the problem. I. It is also an opportune time to make necessary schedule adjustments and reallocate resources between budget items. 3 .1. additional power and steam are required. knowledge increases but design freedom decreases because earlier decisions tend to constrain what is allowable later. 2 Understanding the Problem: “What?” not “How?” Engineers typically deal with ill-defined situations in which the problems are not crisply formulated as in textbooks.

the next step is to determine what requirements the system should satisfy. The question of how enters at the concept development stage. but often yields a lower quality outcome as well. service personnel. However. might be applied usefully at this juncture [2].10 INTRODUCTION TO THERMAL SYSTEM DESIGN requirements. The time is well spent. It might seem that the manager who relayed the primitive problem is the customer. That the concept of customer should include various internal segments of the company organization stems mainly from the realization that poor communications among the various constituencies involved in a design project not only lengthens the design process making it costlier. But manufacturing personnel. Once the internal and external customers have been identified. Specifically. the ultimate consumer would evidently be counted as a customer. the integrated approach of concurrent design mandates the identification of other customers. Successful design teams pay great attention to formulating objectives that are appropriate and attainable. b. One approach to achieving these objectives is a design strategy known as quality function deployment. Quality function deployment has several features including the following: - Identify the customers. Still. the list of requirements . which aims at expressing the overall function for the design in terms of the conversion of inputs to outputs. Classify the requirements as musts and wants. Express the requirements in measurable terms. The importance of using the quality function deployment approach at the outset of the design process cannot be overemphasized. Functional performance. and environmental impact are just a few of the issues that may be among the customers’ requirements. A premise of quality function deployment is that quality must be designed in during the life-cycle design process and not merely tested for at the end. seeking justification for each. safety. Function analysis. cost. marketing and sales personnel. at this initial stage the primitive problem must be defined and the requirements to which the system must adhere determined. for the methodology aims at making the objectives understood and forces such in-depth thinking that potential design solutions may evolve serendipitously. The key question now for design team members to be asking is “Why?” The team must examine critically every proposed requirement. Determine the customers’ requirements: a. The team must be thorough to reduce the possibility of a new requirement being discovered late in the design process when it may be very costly to accommodate. This also applies to systems destined for in-house use: Customers normally can be identified from among various departments of the company. If the system is intended for the marketplace. and other individuals from management might all be considered as customers.

Not all of the requirements are equally important or even absolutely essential. A plausible want in this case is that any fuel required by the problem solution be among the fuels currently used by the company. the ones mentioned here are only representative. and then finalizing the rank-ordered list by discussion and negotiation. Although the wants are not mandatory. Meticulous attention to detail should be given from the beginning to the end. 3 Project Management For success in design. Each suggested requirement should be scrutinized. This requires careful project management. once the customers’ requirements have been expressed quantitatively. it is appropriate to do so through negotiations between the design team and customers.3 LIFE-CYCLE DESIGN 11 should be regarded as dynamic and not static. plant operations. it is only with numerical values that the design team can evaluate the design as it evolves. the customers would include the departments requiring the additional power and steam. Normally many other requirements-both musts and wants-would apply. Beginning with the statement of the primitive problem. (2) the steam must be saturated or slightly superheated at 20 bars and have a mass flow rate of at least 14 kg/s. Accordingly. Next. The list of requirements normally can be divided into hard and soft constraints: musts and wants. in measurable terms. management. and possibly other segments of the company organization. This can be done simply by having each team member rank the wants on a 10-point scale. An effective and frequently elegant approach to clarifying and ordering the ob. To illustrate. The problem calls for additional power and steam. If there is good reason for modifying the requirements during the design process. and local environmental regulations must be observed. As these are needed to accommodate a plant expansion. We will return to this sample problem later. The wants vary in importance and may be placed in rank order. 3 . forming a composite ranking. the design team should question the need and seek justification for such an undertaking. state. 1 . Let us assume that eventually the following musts are identified: (1) the power developed must be at least 30 MW. a plan for the overall project is developed. it is necessary to be systematic and thorough. some of the top-ranked ones may be highly desirable and useful in screening alternatives later. These environmental-related musts also would be expressed numerically. say. for the lack of a measure usually means that the requirement is not well understood.jectives is provided by an objective tree [2]. and (3) all federal.1. the musts are essential and have to be met by the final design. Moreover. As suggested by the name itself. The plan aims at keeping the project under control and allows for the monitoring of progress relative to goals. Requirements should be expressed. the design team must translate the customers’ requirements into quantitative specifications. where appropriate. let us return to the sample problem stated earlier. The plan typically includes .

and it is necessary to identify the individual who will provide oversight for each task and be responsible for meeting the goals. the personnel committed to each task are indicated. The personnel requirements for each task have to be detailed. When updating the chart. The documents become part of the project designfile. and the sequencing of the tasks. Forms that this takes include the personal design notebook.12 INTRODUCTION TO THERMAL SYSTEM DESIGN a work statement. and control of projects. travel. the goal of each task. some special techniques have been developed for planning. Design Notebook. charges for offices. The design file provides valuable reference material for future projects involving the system designed. and budget. and documentation to demonstrate that regulatory requirements were fulfilled. In the event of a lawsuit owing to an injury or some loss related to the system. The designer’s notebook provides a complete record of the work done on the project by that individual in the sequence that the work was completed. These must be expressed with specificity. Finally. 1. and other information such as the timing of design reviews is shown.3. and this may dictate changes in the time periods assigned to other tasks. scheduling. The most commonly used are the critical path method (CPM) and program evaluation and review technique (PERT) [ 1 1. The notebook is a personal diary of the individual’s contri- . technical reports. the indirect costs cover personnel benefits.3. The schedule represented on a Gantt chart should be updated as conditions change. documentation to . the time required for each task. it is recommended that a different bar shading than used initially be employed to indicate the revised time period for a task. and process flow sheets. a form of bar chart. computer services. 121. this budget component should be keyed to the project work statement and schedule. Since personnel may divide their time among two or more projects. The design project budget has a number of components. A simple Gantt chart is shown in Figure 1. This allows schedule changes to be seen at a glance. and so on. meeting rooms and other facilities.4 Project Documentation Thorough documentation throughout the project is compulsory. is commonly used in time scheduling. Most companies require careful record keeping by the design team. On such a chart each task is plotted against a time schedule in weeks or months. The largest component is usually personnel salaries.support patent applications. the design file also provides information to demonstrate that professional design methods were employed. and other nonpersonnel expenses. The work statement defines the tasks to be completed. A Gantt chart. time schedule. Another component of the budget accounts for equipment and materials for construction and testing. Some tasks may require more time than originally envisioned. As a Gantt chart does not show the interdependencies among the tasks.

a few guidelines can be suggested: Normally only firmly bound notebooks are used. notes.3 LIFE-CYCLE DESIGN 13 Weeks or Months 1 Team member #1 I Total weeks or months 1. Companies also may require that each page be signed by a witness. Completeness is essential. the pages should be signed and dated.9 2.8 I 1.7 I Figure 1.3 Gantt chart. Although notebook requirements vary with the company. Pages should be numbered consecutively and the notebook should be filled in without leaving blank pages.9 1 2. Photocopied information. com- .0 1 1.1. and sketches that concern the design. data from the literature. butions and should contain all calculations. As entries are made in the notebook.1 1 2.0 11. loose-leaf notebooks are unacceptable.

it should be self-contained and highly polished. Technical reports should be written from an outline. process flow sheets. Schematics and sketches should effectively communicate important features of the design. and so on. Interim reports supporting design reviews and reports to agencies monitoring worker safety. in finer detail. A final section should state and discuss important conclusions and recommendations for future action. A final technical report is invariably required. The first few pages of the notebook are normally reserved for a table of contents or index. as for example the following: Summary. and other such information should be glued or stapled into the notebook at appropriate locations. Technical Reports. Complete reference citations should be provided to facilitate subsequent retrieval of the literature. The summary should be concise and written in plain language. The summary should be written last after the rest of the report is in final form. graphical and tabular data. conclusions. For information that is too lengthy for inserting in the notebook. a survey of the state of the art and the pertinent literature. . layout drawings. and recommendations for future action. Previously recorded work found to be incorrect should be crossed out but not obliterated in the event the work'would have to be accessed later. both an outline of the overall report and. Ample time should be scheduled for this purpose. The principal results should be presented and discussed. There should be no erasures. computer codes and printouts. each subsection of the report. and a discussion of the procedures used in solving the design problem. A note should be inserted indicating both the source of error and the page where corrected work can be found. This part of the report is an expanded abstract stating the objectives and applied procedures and giving the principal results. Technical reports can be structured in various ways. which will allow all work done on a particular topic to be easily located. Since the summary is frequently the only part of the report circulated to and studied by management and other interested parties. Main Body The main body provides details. and other essential supporting information. supporting analyses. They should be well organized and contain only relevant graphical and tabular data. This part of the report includes an introduction. a note should be entered indicating the nature of the information and where it can be located. cost analysis details.14 INTRODUCTIONTO THERMAL SYSTEM DESIGN puter programs and printouts. are also usually required. End Matter: Collected at the end of the report are the literature reference list. compliance to environmental standards. A number of drafts are normally required to achieve a smoothly flowing presentation. Reports should be clear and concise. yet complete.

quality control and quality assurance procedures.4 THERMAL SYSTEM DESIGN ASPECTS 15 Proficiency in technical writing requires practice. feed and product stream details. analogous to the circuit diagrams of electrical engineering. 111. utilities. compositions of flow streams. standby. Special symbols or conventions are commonly employed to label the temperature. The life-cycle design of a thermal system normally involves documentation in addition to what already has been discussed. Further discussion of technical report writing relating specifically to thermal system design is provided in the literature [ 10. and retirement instructions (procedures for decommissioning and disposing of the system). are conventional and convenient ways to represent process concepts. and so on. There are standard symbols for various types of equipment and conventions for numbering equipment and designating utility and process streams. shutdown. for instance. operating instructions (including how to operate the system in its normal service range and various operating modes: startup. More detailed flow sheets include the general types of major equipment required: pressure vessels.1. As every language. But the effort is worthwhile because good communications skills are a prerequisite for success in engineering and in nearly every other field. including the language of mathematics. In a rudimentary form the flow sheet may be no more than a block diagram showing inputs and outputs. compressors. operating temperatures and pressures at key locations. the docurnentation required is considerable and underscores the value to industry of engineers with good communication skills. Other Documentation. A11 in all. and emergency). Process Flow Sheets (Flow Diagrams). well-structured design process engaging a design team with a broad range of experience and featuring good communications is an approach that can be recommended generally and is not limited to the thermal systems serving as the present focus. much of the discussion of Section . so does flow sheet preparation. pressure. As indicated in Figure 1. Further details concerning flow sheet preparation are provided elsewhere [lo]. the third stage of the design process culminates in the final flow sheets (also known as process flow diagrams). Process flow sheets.2. Accordingly. diagnostic and maintenance procedures. This documentation includes. 1. heat exchangers. information about how to cope with equipment failure. Complete flow sheets provide details on the devices to be used. construction drawings. and other important data.4 THERMAL SYSTEM DESIGN ASPECTS An integrated. and chemical composition at various locations. installation instructions. has rules and conventions to foster communication.

Design engineers should keep current on what is legally required by the federal EPA (Environmental Protection Agency) and OSHA (Occupational Safety and Health Administration) and corresponding state and local regulatory groups. Still. The cost of this may be considerable. Addressing such regulations early may result in fundamentally better process choices that reduce the size of the required cleanup.4. In particular. In the present section we take a closer look at some key design aspects within the context of thermal systems.16 INTRODUCTION TO THERMAL SYSTEM DESIGN 1. the quality function deployment design strategy naturally allows for environmental quality to be one of many quality factors taken into account. thermal pollution. The report includes the identification of the specific environmental standards that require compliance by the project. using methods such as changing the process technology and/or plant operation. efforts are directed to reducing the creation of waste and to managing materials better. and the specification of possible alternative means to meet standards. In DFE. Increasing attention is being given today to what goes into the pipe. ash from incinerators. Compliance with environmental regulations should be considered throughout the design process and not deferred to the end when options might be foreclosed owing to earlier decisions. This is embodied in the concept of design for the environment (DFE). a summary of all anticipated significant effluents and emissions. Specification of appropriate pollution control measures necessitates consideration of the type of pollutant being controlled and the features of the available control equipment. and doing more in-plant recycling. and so equipment costs can be reduced by decreasing the volume of effluents. 1. and so on.3 applies to engineering design of all kinds. Concurrent design with its multifaceted approach is well suited for considering environmental objectives at every decision level. under the best of circumstances some end-of-the-pipe cleanup might be required to meet federal. however. Costs to control pollution are generally much higher if left for resolution after the facility has begun operation. Moreover.1 Environmental Aspects Compliance with governmental environmental regulations has customarily featured an end-of-the-pipe approach that addresses mainly the pollutants emitted from stacks. state or local environmental regulations. replacing input materials known to be sources of toxic waste with more benign materials. in which the environmentally preferred aspects of a system are treated as design objectives rather than as constraints. The size of the equipment needed is generally related to the quantity of pollutant being handled. Depending on the nature . designers are called on to anticipate negative environmental impacts throughout the life cycle and engineer them out. An important reporting requirement is the formulation of an environmental impact statement providing a full disclosure of project features likely to have an adverse environmental effect.

1. condensation. Air pollution control equipment falls into two general types: particulate removal by mechanical means. For liquid waste effluents. and biological waste treatment measures can be used. Hazards have to be anticipated and dealt with. Deferring safety issues to the end is unwise because decisions might have been made earlier that foreclose effective alternatives. and how they interact to cause the overall noise problem. To avoid costly waste treatment facilities or reduce their cost. 111. including absorption. A tolerance to failure is an important feature of every system. The design team must be aware of . their acoustic properties and characteristics. cooling ponds. 1. and removal to a sanitary landfill adhering to state-of-the-art waste management practices. The design team should use safety checklists for identifying hazards that are provided in the literature [ 1. several types of pollution control may be needed: air. Personnel safety is an area where there can be no compromise. For effective and practical noise control it is necessary to understand the individual equipment and process noise sources. the concurrent design approach is well suited for considering safety at every decision level. Coupling waste incineration with steam or hot water generation may provide an economic benefit. rivers. it is advisable to recover valuable substances from the solid waste before treating it. and spray ponds. filters. and incineration. chemical. machinery must be guarded with protective devices and placarded against unsafe uses. Solid wastes can be handled by incineration. such as cyclones. The service life of a system will not be trouble free and the occasional failure of some piece of equipment is likely. and gas component removal by chemical and physical means.4.4 THERMAL SYSTEM DESIGN ASPECTS 17 of the processes taking place in the system. physical.2 Safety and Reliability Safety should be designed in from the beginning of the life-cycle design process. exposure to toxic materials should be prevented or minimized. and noise pollution. thermal. and streams is commonly ameliorated by cooling towers. As for liquid wastes. One approach for instilling such a tolerance involves testing the response of each component via computer simulation at extreme conditions that are not part of the normal operating plan. As for environmental considerations. Thermal pollution resulting from the direct discharge of warm water into lakes. water. adsorption. The design team is responsible for anticipating such events and designing the system so that a local failure cannot mushroom into an overall system failure or even disaster. Safety studies should be undertaken throughout the design process. and quality function deployment naturally allows safety to be one of the quality factors taken into account. it is advisable to consider the recovery of valuable liquid-borne proclucts prior to waste treatment. pyrolysis. and first-aid and medical services must be planned and available when needed. scrubbers. and precipitators. solid waste.

Reliability. protect from uncertainty . For some types of systems both the required design calculations and performance levels to be achieved are specified in design codes and standards promulgated by government. Each piece of equipment of a thermal system should be specified to carry out its intended function.18 INTRODUCTION TO THERMAL SYSTEM DESIGN the requirements of the federal Occupational Safety and Health Act and applicable state and local requirements. As for other qualities discussed. Reliability is closely related to maintainability and availability. Maintainability is the probability that these features will be exhibited by the system. Reliability is a crucially important feature of systems and products of all kinds. more effective testing strategies have been developed for determining statistically how systems may be designed to allow them to be robust (reliable) in the face of disturbances. Since no system will exhibit absolute reliability. aim to achieve virtually flawless performance economically. and uncertainties. Reliability is the probability that a system will successfully perform specified functions for specified environmental conditions over a prescribed operating life. and imperfections related to manufacturing and assembly. The ASME (American Society of Mechanical Engineers) Perjormance Test Codes are well-known examples. At the outset of the design process it is advisable that relevant codes be identified and accessed for subsequent use. but in many cases an experimental approach is required. or was. internal factors such as wear. Published codes and standards must also be considered. Of particular interest to thermal systems design is UNIRAM. availability. Ideally. Such methods. Still. As traditional experimental approaches are often time consiii. and manufacturing associations. The U. to perform reliably. a system is designed so that its performance is insensitive to factors out of the control of designers: external factors such as ambient temperature and air quality. a personal computer software package that has been developed to perform RAM analyses of thermal systems [14]. and maintainability (RAM) contribute importantly to determining the overall system cost. The relative influence of different internal and external factors on reliability can sometimes be investigated via computer simulations. reliability must be designed in from the beginning and considered at each decision level. professional societies. The ANSI (American National Standards Institute) standards may also be applicable.1:iig and costly. Availability is a measure of how often a system will be. it is important that the system can be repaired and maintained easily and economically and within a specified time period.S. Further discussion of these important design qualities is found elsewhere [13]. The NRC (Nuclear Regulatory Commission) regulations apply to nuclear power generation technologies. For shell-and-tube heat exchangers there are the TEMA (Tubular Exchanger Manufacturers Association) and APA (American Petroleum Association) standards. variations. available (operational) when needed. armed forces standard MIL-STD 882B (System Safety Program Requirements) aims at ensuring safety in military equipment. including the popular Tuguchi methods [ 7 ] .

This potentially rich source should be explored. Public sources of information include the open technical literature. It is important to engineer on the safe side. An online database is one accessible by computer.181. Textbooks can also provide background information and data. The difficulty is to locate such material and have it available when needed.1. Private sources of information consist of the usually closely guarded proprietary information accumulated by individual companies. and patents. ASHRAE Transactions. and allow for increases in capacity. Considerable useful information often can be obtained by contacting the authors of pertinent recent publications. A survey of online databases relevant to thermal system design is provided in Reference 15. reasonable safetyfactors are usually applied. Chemical Engineering. Personal contact with experts within the company is especially recommended. The Thomas Register [ 191 provides an exhaustive listing of manufactured items. This includes reading the technical literature. A database is an organized collection of information on particular topics. This has given rise to commercial online databases as a way to facilitate searches. and developing a network of professional contacts with individuals having kindred interests. reports. and Power. Hydrocarbon Processing. Considerable background information and data normally exist for just about every type of design situation.3 Background Information and Data Sources Design engineers should make special efforts to keep current on advances in their fields and allied fields. attending industrial expositions and professional society meetings. Handbooks are another valuable source of information [ 16. but an indiscriminate application of safety factors is not good practice because it can result in so much overdesign that the system becomes uneconomical. Review articles and articles describing current technology are published in technical periodicals such as Energy-The International Journal. Chemical Engineering Progress. but owing to the rapid growth of the literature it is increasingly difficult to search effectively for specific types of information. 1. Little of this is ever made available to outsiders. safety and health. Both private and public sources of information and data may be available to support a design project. normally for a fee.4. An excellent way to obtain information on components and materials is to locate sources from the Thomas Register and telephone company rep- . Included in the survey are thermal property databases and databases on environmental protection. Special questionnaires soliciting input about the project may be available from respondents both inside and outside the company.4 THERMAL SYSTEM DESIGN ASPECTS 19 in the design data. for a wealth of useful information often can be obtained simply by asking. The project file containing correspondence leading up to the formulation of the primitive design problem is an example of a private source of information. Companies also may have a collection of files. and data compilations related to the project under consideration. Internal design standards may fix limits on the choices that can be made throughout the design process.

4 Performance and Cost Data Equipment performance and cost data are required at various stages of the design process. These data might be obtained from vendors located via the Thomas Register or other sources mentioned in Section 1.4. and local codes and standards provide information in the form of allowable limits on the performance of various systems. Detailed cost estimates are conducted by specialists.3. back-of-the-envelope calculations may have an inaccuracy of estimate of 550% or more. . Design engineers often spend considerable time on the telephone with vendor sales representatives or engineering departments to obtain current performance and cost information. The patent literature not only can provide ideas that can assist in achieving a design solution but also can help in avoiding approaches that will not work.4. usually in a cost-estimating department. A weekly publication of the U. The wisdom of adhering to codes and standards cannot be overemphasized. resources and utilities. estimates may be in the -e 10 to +30% range. a computer index can be used: CASSIS (Classification and Search Support Information System). patent office.2. Codes and standards have been mentioned in Section 1. Useful background information is also available in standards published by professional associations and manufacturers’ groups. Though frequently underutilized by industry.S. the OfJicial Gazette. The total product cost is the sum of costs related to investment. To facilitate equipment cost estimating. the return on time spent studying patents is probably as great as for any other engineering activity. Quick. The design engineer must also estimate the final product cost. relatively easy-to-use tabular and graphical compilations are provided in References 9-1 1 and the accompanying reference lists. The Index and Gazette are available in many libraries. To find the numbers of the specific patents that have been filed in a particular class. and labor. and improve product quality and reliability. 1. lists in numerical order an abstract of each patent issued in an earlier week. state. reduce uncertainty in performance. The patent literature is a potentially high payoff public source of information. The subject of cost calculation in design is detailed in Chapter 7. Using them can shorten design time. Patents are classified alphabetically by class and subclass in the Index to Class$catiotz. For more detailed calculations. even if there is no legal compulsion to do so. Federal.20 INTRODUCTION TO THERMAL SYSTEM DESIGN resentatives. this group is normally able to estimate costs within ? 5% for a plant without major new components. Working from the details of a completely designed system. Courts of law normally consider it a sign of good engineering practice if designs adhere to applicable standards. Design engineers frequently make approximate cost estimates at various stages.4.

3 should be explored for promising alternatives. and so there are previous solutions to access. 1S. in the second stage. However.2) is on building the design team’s knowledge base. Now. The second stage of the design process opens.4.5 CONCEPT CREATION AND ASSESSMENT * In this section we consider the most important stage of the design process. concepts that may have been unusable in the past should not be passed over uncritically because they may now be viable owing to changes in technology or costs. The objective of this approach is to express the problem in terms of more 2 ] .5 CONCEPT CREATION AND ASSESSMENT 21 1. the present discussion provides guidance for all such activities whenever they may occur. and these qualities are not readily transferred to others. by identifying as many alternative concepts as possible. Imagination should be given fret: rein and uninhibited thinking should be encouraged. the search for alternatives should not only consider adapting solutions of closely similar problems or combining special features of previous solutions in a fresh way to meet the current need. Although success at this stage is crucial. Another approach is based on analogical thinking. And by the time a better quality alternative is recognized. several have to be generated initially. There is generally a relation between the number of alternative solutions generated and their quality: To uncover a few good concepts. We now want to consider specifically how the primitive problem can be solved. in addition. Since the methods of engineering analysis and optimization can only polish specific solutions. The sources of background information cited in Section 1. that of creating and evaluating alternative design concepts. Emphasis shifts from the “What to do” phase to the “How to do it” phase. New technology should be carefully considered. it may be too late to take advantage of any alternative.There familiar analogies that are then used to open up avenues of inquiry [ . In some cases the objective is to design something similar to an existing design. then. Concept creation and evaluation are actually ongoing design activities not limited to any particular stage of the design process. The commonly used brainstorming approach may be effective on an individual or group basis. Accordingly.1. but also the possibility of achieving novel solutions. In the most favorable outcome.1 Concept Generation: “HOW?” not “What?” The focus of the first stage of the design process (Figure 1. Conceptual designers rely heavily on their practical experience and innate creativity. Major design errors more often occur because a flawed alternative has been selected than because of subsequent shortcomings in analysis and optimization. only minor modifications of a previous design may be needed. only general guidelines can be suggested. that knowledge is used to develop alternative solutions to the primitive problem. it is essential that alternatives be generated having sufficient quality to merit polishing.

Generate more than the electricity requirement. Still. Generate a portion of the electricity requirement. a gas turbine system. Concept screening is considered next. 1S. As the design of a thermal system is a significant undertaking involving considerable time and expense. Ideas may come quickly at first. Each cogeneration alternative may be configured using a steam turbine system.2 Concept Screening In this section. no design effort should be wasted on alternatives lacking merit. b. and reducing the chance that a good approach is overlooked. the alternative concepts must be screened to eliminate all but the most worthwhile. design team brainstorming. natural gas. Evaluation occurs later. the type of fuel (coal. Generate all of the steam required and: a. even if at first glance some may look impractical or unworkable. or a combined steam and gas turbine system. Purchase the remaining electricity needed from the utility. The goal should be to generate as many ideas as possible but not evaluate them. and frequently more creative ideas. Sell the excess electricity to the utility. Thus. Thus. there are many alternative concepts to explore. oil) introduces still more flexibility. One is that an inferior concept will be retained only to be discarded later after considerable additional effort has been expended on it. The concept creation phase just considered can lead to a number of plausible alternative solutions to the primitive problem differing from one another in basic concept and detail. and other group-interactive strategies can be effective in refining a list of alternatives. no team member should be allowed to comment critically until after the brainstorming session ends. . we discuss concept screening and related issues. Accordingly. The design team should keep working. but the initial surge is often followed by a fallow period when few ideas are forthcoming.3. Cogenerate steam and power. than do groups. developing new ideas. c. All ideas generated during a brainstorming session should be recorded. analogical thinking. Moreover. alternative concepts for the sample problem introduced in Section 1. beginning with the observation that there are perils associated with screening. For example.22 INTRODUCTION TO THERMAL SYSTEM DESIGN is some evidence that individuals working independently generate more ideas. Another more serious . until there is a consensus that the group has run out of ideas and exhausted the possibilities.2 might include the following: Generate all of the steam required in a boiler and purchase the required power from the local utility. however. Generate the full electricity requirement.

This would conclude the preliminary screening of alternatives. and so on. Screening Issues. Since the criteria employed are not equally important.I . Unproven technology may introduce many uncertainties about safe and reliable operation. some of the alternative concepts might be eliminated. Decision Matrix.5 CONCEPT CREATION AND ASSESSMENT 23 peril is that the best alternative is unwittingly screened out. 0 is used if the alternative and reference case are about the same in satisfying the criterion. During discussion of the decision matrices prepared by several evaluators. Concepts judged as fundamentally unsafe or requiring highly toxic . and so on. a variation of the matrix method uses different weighting factors for the criteria. the quantitative measures established for each of these would be the basis for comparison. It should be stressed that such methods do not make the decisions but only allow for orderly interaction and decision making by the participants.1 is used if the alternative is not as good as the reference. design data. The basis for comparison might then be the customers’ requirements expressed verbally and not quantitatively. state-of-the-art technologies are generally favored.3. each team member would rate the alternatives numerically against criteria related to the musts and wants discussed in Section 1. the criteria used for evaluation might be clarified or revised.4.. + I is used to signify that the alternative is better in satisfying a given criterion than the reference case. Still.2. Mature. Another variation employs a wider scoring range (+5 to -5. costs. and . it is necessary to carefully make choices among alternatives. this would not be feasible. or all design team members might use the same alternative concept as the reference case. However. The decision matrix is a formal procedure for evaluating alternative concepts. A positive total score for an alternative indicates that it is better overall in satisfying the criteria than the reference case. The reference case might be selected independent1. An important screening issue is appropriate technology. An alternative is likely to be discarded if it is inferior to another concept under consideration. Ideally.y by each individual. say) to allow for finer judgments. The procedure would then be repeated and continued iteratively until all but the best of the alternatives remain. let us consider the preliminary screening of alternative design concepts. A sample decision matrix as might be prepared by an individual team member is shown in Figure 1. This method can be used for screening at any stage of the design process. An alternative might also be replaced when on scrutiny it suggests a modification leading to an improved version. The decision tree is another method that can be used to evaluate alternatives [2. In the figure. new concepts might be suggested. when only sketchy alternative concepts lacking in specifics are being compared. In such an application. To illustrate its use. 131. Note that the first alternative has been selected as a reference case and each of the other alternatives is evaluated on how well it competes against the reference case in satisfying the criteria.

Cost is another important way to decide among alternatives. Consider again the alternative cogeneration concepts for the sample problem listed in Section 1.5. . Employ a coal-fired steam turbine cogeneration system. Let us suppose that after preliminary screening the following alternatives have been retained for further screening and evaluation: Produce all the steam required in a natural gas-fired boiler. These are just a few of the general considerations that may apply for screening alternatives. some projectspecific considerations may apply. Purchase the electricity from the local utility. or hazardous materials would be eliminated. In addition.1.24 INTRODUCTION TO THERMAL SYSTEM DESIGN aAlternative 1 is used as the reference Figure 1.4 Sample decision matrix.

If less than the required power would be produced. Optimization can take two general forms: structural optimization and parameter optimization. 2 would be subject to further screening until the preferred design serving as the focus of the detailed design stage (stage 3 of Figure 1. Then. The concept development stage is idealized in Figure 1. The final flow sheets fully specify the equipment items and the interconnections among them required to meet all specifications.5 by the return arrow linking optimization to synthesis. The objective of the analysis and optimization steps is to identify the preferred configuration from among the configurations synthesized. and considering other key issues quantitatively. 1. with the aim of satisfying some desired objective-minimum total cost of the system product(s). Analysis generally entails thermal analysis (solving mass.' In structural optimization the equipment inventory and/or interconnections among t he equipment items are altered to achieve a superior design.5. temperatures.3 Concept Development In the concept development stage (stage 2 of Figure 1. At this juncture. This is known as the base-case design.6 show possible outcomes of the synthesis step for the three cogeneration alternatives listed at the close of Section 1. Each cogeneration system might be sized to provide the required steam. Synthesis is considered in more detail later in the present section.5 CONCEPT CREATION AND ASSESSMENT 25 Employ a natural gas-fired gas turbine cogeneration system. analysis. as required). In this step the particular equipment items making up the overall thermal system and their interconnections are specified. Synthesis is concerned with putting together separate elements into a whole.5 in terms of three interrelated steps: synthesis. emerges.1. each alternative passing the screening procedure discussed in Section 1S . concept development would continue in the detailed design stage until the final flow sheets for the base-case design are obtained. the term optimization means only improvement toward the desired 'The term parameter is used here generically to denote independent variables. excess power produced would be sold to the utility. energy. and optimization. using many of the same methods as in stage 2. costing and sizing equipment on at least a preliminary basis. Structural optimization is indicated in Figure 1. at least approximately. for example.5.2. Employ a natural gas-fired combined steam and gas turbine cogeneration system.2). . The schematics of Figure 1. and exergy balances.2). and chemical compositions at various state points and/or other key system variables are determined. In parameter optimization the pressures. supplementary electricity would be purchased.

for there is no generally accepted step-by-step procedure for arriving at a preferred design beginning from one or more alternative concepts. Although the goal of the concept development stage is clear. Safety.26 INTRODUCTION TO THERMAL SYSTEM DESIGN Synthesis 4 ~~ Analysis Thermal Analysis Sizing Costing Reliability. . When . etc.5 Concept development: synthesis. however. and optimization. several considerations that apply broadly. As shown in Figure 1. means for achieving it are not. Optimization Optimization Base Case Flowsheet 0 Detailed Design Figure 1. There are. however. analysis. the detailed design stage (stage 3) normally includes a more thorough optimization effort aimed at finalizing the design. objective.2.

...5 CONCEPT CREPJION AND ASSESSMENT 27 Exhaust 1 Steam Generator Electric Power 1 Boiler L S t e a r n to Process ....- (a) Natural Gas Combustion Chamber Generator Electric Power Air Compressor Air (6) Heat-Recovery Steam -Exhaust Generator Gas to Process.. -Steam to ..-. I Return Condensate t L-Steam !.-. Coal- Ash J ti- 1 0 Pump rl Return Condensate ... Users Gas Turbine Steam Turbine - Generator Heat .....1..Recovery Steam Generator Electric Power I I-.Steam Users .-..

and so on. To reduce the chance of a fundamentally flawed design. it is wise to start simply and add detail as decisions f decision are made and avenues of inquiry open up. The table entries are organized under two headings: general guidelines and process/system-specific guidelines. beginning with the most important details and continuing in ever finer detail. plausible but fallible screening rules are typically used to eliminate cases lacking merit and determine feasible alternatives relatively quickly. let alone an optimal design. The number of possible flow sheets for such a system might be considerable: For complex systems the number of flow sheets might be of the order of lo6. . and an approach based on the complete enumeration and evaluation of all alternatives is not viable. The use of design guidelines does not assure the discovery of a satisfactory design. for example. Within the system the streams may interact in various ways. as developed in this book. should complement economic evaluation in selecting processes and establishing conditions. In selecting processes and equipment. reacting chemically. with the amount of detail and the accuracy of the calculations increasing with each successive decision level. even with the use of computers. A great many design guidelines have been reported in the literature. at each decision level second-law reasoning.for example. exchanging energy by heat transfer.3. Engineers have traditionally approached such daunting design problems using experience. the design team must be fully aware of second-law constraints and opportunities. inventiveness. To avoid the need to consider all possible alternatives.1 provides a sampling. it is not enough that the second law merely be satisfied. Each flow sheet would be described in terms of numerous equations. With this approach a flow sheet evolves in a step-by-step manner. For systems of practical interest this combinatorial aspect soon becomes challenging. and extensive iteration as alternatives are evaluated against various criteria. Accordingly. undergoing pressure changes with an associated development of or requirement for power. Each decision level should involve an economic evaluation so that later decisions rest on and are guided by the economic evaluations at earlier levels. and there may be a large number of optimization variables associated with each alternative. perhaps hundreds of equations. Additional design guidelines are provided in Sections 3.6 and 9. The process/system-specific guidelines are based on reasoning from the second law of thermodynamics. Take. Proces synthesis has an inherently combinatorial nature.28 INTRODUCTION TO THERMAL SYSTEM DESIGN synthesizing a design. the design of a thermal system in which several liquid or gas streams enter the system and several such streams exit. Such selections should not introduce glaring design errors: gratuitous sources of irreversibility or needless capital expenditures. Such design guidelines are drawn from the experience of designers who have solved similar problems and recorded common features of their solutions. Table 1. but only provides a reasonable exploratory approach to design. Ideally a hierarchy o levels is traversed.

2. See Section 9. compressors. however.1 Design guidelinese General Keep it simple. By comparing the results from such economic evaluations. consider the overall system and not just individual components or processes.2 is obtained. there is the option of producing the steam in a natural gasfired boiler and purchasing the electricity from the local utility. at least initially. composition). Consider standard equipment whenever possible. When assessing the possibility of improving performance. Minimize the mixing of streams with different temperatures. This crucial concept development step requires. the sample problem cogeneration alternatives listed in Section 1. The concept development stage then continues for this alternative until the base-case design provided in Figure 1.5.7 and Table 1. “See Sections 3.2 have led to the simple schematics of Figure 1. Consider state-of-the-art technology. turbines. Let us suppose that appropriate component descriptions and preliminary costing evaluations also have been obtained. Do not heat refrigerated streams with a stream at a temperature above ambient. first check whether the process is necessary. The objective now is to identify the alternative that serves as the focus of the detailed design stage.4 Sample Problem Base-Case Design During the concept development stage. Minimize the use of throttling. Avoid heat transfer at high temperatures directly to the ambient or cooling water. Consider the use of expanders if the power available is greater than 100 kW. and motors. 3. Use efficient pumps. Avoid unnecessary heat transfer: 1. an economic evaluation of each alternative using methods such as discussed in Chapter 7 or elsewhere [e. pressures. or chemical compositions. Process/System Specificb Avoid processes requiring excessively large or excessively small thermodynamic driving forces (differences in temperature. For heat exchanger networks.3 for further discussion. Minimize the use of combustion.5 CONCEPT CREATION AND ASSESSMENT 29 Table 1. When assessing the possibility of improving a particular process. When using combustion.3 for additional guidelines and discussion. the gas turbine cogeneration system emerges as the best option.1.5. try to preheat the reactants and minimize the use of excess air.6. pressure. Additionally. Notice that in accordance with one . consider use of the pinch method‘ [20] and exergyrelated methods [8]. ”These guidelines are based on second-law reasoning.6 and 9. Do not overlook the impact of a modification of that process on other processes. 1.& 211. Maximize the use of cogeneration of power and process steam (or hot water).

03 CO.000f 2 3 4 5 6 7 8 9 10 "Data are shown with more significant figures than justifiable in practice to allow for ease of checking computer-generated values.150 485.000 12.254.013 10.649..48 N.2757 92.0000 14.0000 1. 'Nominal value..150 603.2757 9 1.07 H.000 1006.162 779.6419 Temperature (K) 298. "Molecular weight M = 28.5 and 9.5)..7 Base-case design of the cogeneration system.897 298.O(g).72 0.738 850.Recovery Steam Generator @ 4 0 Natural Gas J . 13.-0 I@ OF y@ Combustion Power to A i r Compressor - Chamber Gas Turbine 0 ' Net Power 30 MW Figure 1. and pressure data for the cogeneration system of Figure 1..130 9.59 0. See Sections 2. 20.14 CO.099 1.5 for discussion of p l 0 .9176 14.90 H.30 INTRODUCTION TO THERMAL SYSTEM DESIGN @ Combustion Products Heat . dHeat transfer from combustion chamber is estimated as 2% of lower heating value of fuel (Section 2.142 1.043.000 20..150 Pressure (bars) 1.. 'Molecular weight M = 16.000 1520.013 20. 3.O(g).784 426.9176 92.570 298.623 9. 'Molecular weight M = 28. Molar analysis (%): 77.066 1.07 N. temperature. 0. . 1.2757 9 1.9176 92. Table 1.9176 92.7' Mass Flow Rate State 1 Substance Ai? Air Air Combustion productscsd Combustion products Combustion products Combustion products Water Water Methane' (Ws) 91.2 Mass flow rate. Molar analysis (%): 75. 8.

2. Accordingly. also report on software of value to computer-aided thermal design. One respected source of property data is a program developed by the Design Institute for Physical Properties under the auspices of the American Institute of Chemical Engineers. Widely used heat exchanger programs stem from the large-scale research efforts of Heat Transfer Research. The CPI Software and Software Exchange sections of Chemical Processing and Mechanical Engineering. reduced design costs.1 an air preheater has been incorporated in the design. This section provides a brief overview of computer-aided thermal system design. Other noteworthy programs include those developed by the Institution of Chemical Engineers (London) and Germany’s DECHEMA. The extent to which computer-aided thermal design can be applied is limited by the availability of property data in suitable forms. including the mathematical modeling of individual components and the entire system. are availatile in the literature. including piping networks.7 then serves as the focus of the detailed design stage. benefits of computer-aided thermal system design may include increased engineering productivity. Computer-aided design also relies heavily on suitable process equipment design programs. . Software for numerous other types of equipment. computer hardware and software developments are surveyed in the Chemputer and Software sections of the periodicals Chemical Engineering and Chemical Engineering Progress. respectively. Inc. The configuration of Figure 1. respectively.5.1.1 Preliminaries Information on computer-aided thermal system design can be found in the current engineering literature. Libraries of programs are available for designing or rating one of the most common thermal system components: heat exchangers. This configuration is analyzed from the exergy viewpoint in Section 3.6 COMPUTER-AIDED THERMAL SYSTEM DESIGN As thermal system design involves considerable analysis and computation. Many companies also have developed proprietary software. and results exhibiting greater accuracy and internal consistency. Although not realized uniformly in each instance. (United States) and the Heat Transfer and Fluid Flow Service (United Kingdom).1.1 and from the perspective of thermoeconomics in Section 8. 1.6. use of computers can facilitate and shorten the design process. For example. such data are vitally important.3. 1.6 COMPUTER-AIDED THERMAL SYSTEM DESIGN 31 of the design guidelines of Table 1. namely stage 3 of Figure 1.

Another expert system for the design of thermal systems is discussed in Reference 25. The design guidelines are drawn from the second law of thermodynamics and correspond closely to those listed in Reference 8. ease of use. They allow for rapid screening of alternatives and obtaining first estimates of design conditions. Spreadsheet software is a less sophisticated but still effective approach for a wide range of applications. costing. They aim at inventing feasible designs but not necessarily a final design.32 INTRODUCTION TO THERMAL SYSTEM DESIGN 1.6. under specified conditions and do the thermal analysis. In their present states of development such expert systems provide plausible means for synthesizing flow sheets. one direction that this has taken is the development of expert systems for synthesizing flow sheets based on the experience of specialists and using principles from the field of artificial intelligence. and optimization required for concept development. This procedure aims at synthesizing a flow sheet starting from a list of components stored in a database. library models associated with the various components of a specified flow sheet are called in sequence by an executive program using the output stream data for each component as the input for the next component. 261. Though still in its infancy. and flexibility Ell. A knowledge-based approach to flow sheet synthesis of thermal systems with heat-power-chemical transformations is presented in Reference 24. Flowsheeting has developed along two lines: the sequential-modular approach and the equation-solving approach. engineers are increasingly resorting to computer-oriented means for this purpose. and a considerable body of literature has been developed [22]. and rapid. In the sequential-modular approach. or system components. With the advent of very high speed computers and rapidly improving software.6. efficient. efforts have been directed in recent years to making process synthesis more systematic. The process invention procedure is a hierarchical expert system for the synthesis of process flow sheets for a class of petrochemical processes [ 2 3 ] . sizing. Such software has become popular because of its availability for microcomputers at reasonable cost. Flowsheeting software allows the engineer to model the behavior of a system.3 Analysis and Optimization: Flowsheeting Software Greater success has been achieved thus far in applying computer aids to analysis and parameter optimization than to process synthesis. This type of application is commonly called Jlowsheeting or process simulation. . The output of these procedures can be used as part of the input to one of the conventional simulators considered next. It combines qualitative knowledge in the form of heuristics with quantitative knowledge in the form of design and cost models. 1.2 Process Synthesis Software In light of the explosively combinational nature of process synthesis noted previously.

Most of the more widely used flowsheeting programs: ASPEN PLUS. 1. including options for sizing and costing equipment. particularly when chemical reactions are involved. it also aims to facilitate decision making related to plant operation and maintenance. Knowledge developed via thermoeconomics assists materially in improving system efficiency and reducing the product costs by pinpointing required changes in structure and parameter values. computer operating systems under which the simulator is available. and costly. And for complex thermal systems described in terms of a large number of equations. though even for such systems cost (and performance data are seldom in the form required for optimization. including optimization capabilities. The presentation of design topics initiated in this chapter continues in Chapter 2 (“Thermodynamics. time consuming. and this technology is rapidly improving. Chapters 8 and 9 present the fundamentals of thermoeconomics. Thermoeconomics aims to facilitate feasibility and optimization studies during the design phase of new systems and process improvement studies of existing systems. Vendors should be contacted for up-to-date inlormation concerning the features of flowsheeting software.7 CLOSURE In the remainder of the book we build on the presentation of this chapter to provide a comprehensive and rigorous introduction lo thermal system design and optimization from a contemporary perspective. with increasing system complexity these conventional methods can become unwieldy. The method of thermoeconomics may then provide a better approach. Conventional optimization procedures may suffice for relatively simple thermal systems. and optimization capabilities (if any). Optimization deserves a special comment. Moreover. A survey of the capabilities of 15 commercially available process simulators is reported in Reference 27. the term optimization implies improvement rather than calculation of a global mathematical optimum. A brief description of the features of each simulator is given.1. Modeling. 10 are sequential-modular and 5 are equation solvers. for on(?of the main reasons for developing a flow sheet simulation is system improvement. PROCESS. Chapter 3 (“Exergy Analysis”) reinforces the dis- . Of these. and CHEMCAD are of the sequential-modular type.7 and a dicsussion of piping system design. Many of the leading sequential-modular amd equation-solving programs have optimization capabilities. SPEEDUP is one of !he more widely adopted programs of the equation-solver type.7 CLOSURE 33 In the equation-solving approach all of the equations representing the individual flow sheet components and the links between them are assembled as a set of equations for simultaneous solution. regardless of the amount of information on cost and performance. and Design Analysis”) with the development of a thermodynamic model for the case study cogeneration system of Figure 1. including nonlinear equations and nonexplicit variable relaticmships.

1991. 7. J. Taguchi on Robust Technology Development.34 INTRODUCTION TO THERMAL SYSTEM DESIGN cussion of design guidelines presented in Table 1. 1991.S. and optimization. Elementary models can also highlight key design variables and relations among them. Concurrent Design of Products and Processes. . E Love. With Chapter 7 (“Economic Analysis”) detailed engineering economic evaluations enter the presentation explicitly and are featured in the remainder of the book. D. 1989. 1989.. National Academy Press. they can lead directly to design solutions. Taguchi.C. design constraints. Achieving Problem Free Project Management. Exergy costing methods are introduced and applied in this chapter. 1993. Chapters 5 and 6 also illustrate the effectiveness of elementary modeling in design. 1988. Washington. 2. In Chapter 9 ( “Thermoeconomic Optimization”) there is a discussion of the pinch method for the design of heat exchanger networks and of the iterative optimization of complex systems. New York. Results of the thermoeconomic optimization of the cogeneration system case study are also presented. N. the exergy concept. G. These methods identify the real cost sources at the component level. National Research Council Committee on Engineering Design Theory and Methodologies). 4 . including heat exchanger design. The optimization of the design of thermal systems is based on a careful consideration of these cost sources. In some instances.1 by introducing additional design guidelines evolving from reasoning using the second law of thermodynamics and. Pugh. Wiley. McGraw-Hill. Engineering Design Methods. New York. Chapter 5 (“Applications with Heat and Fluid Flow”). S . Modeling. Wiley. Conceptual Design of Chemical Processes. McGraw-Hill. Chapter 4 (“Heat Transfer. M. and Chapter 6 (“Applications with Thermodynamics and Heat and Fluid Flow”) all contain design-related material. 5. 1989. ASME Press. Total Design: Integrated Methods for Successful Product Engineering. in particular. New York. Witney. Nevins and D. L. Douglas. 3. Designing for Competitive Advantage (U. New York. 6. E. Such modeling is often an important element of the concept development stage of design. Cross. J. New York. REFERENCES 1. These presentations are intended to illuminate the design process by gradually introducing first-level design notions such as degrees of freedom. Improving Engineering Design. Wokingham. UK. S. Addison-Wesley. In Chapter 8 (“Thermoeconomic Analysis and Evaluation”) an effective and systematic design approach is presented that combines the exergy concept of engineering thermodynamics with principles of engineering economics. and Design Analysis”).

H. 1987. Garrett.. Eng. New York. 1989. Thomas Register of American Manufacturers and Thomas Register Catalog File. 1984. Chem. 1984. 112-127. 9. 50-6 1. M. Winter. R. pp. Szargut. in Computer-Aided Energy System Analysis. New York. Cracow. October. D. Kott. J. R. Gtis Turbines and Powes Vol. 1989. 1 11. Peters and K.. Design and functional optimization of thermo-mechanical plants via an interactive expert system. Comput. C. Ziebik. 53-76. 329-343. UK. 16. Eng. Prog. pp.. New York. eds. 12. User’s Guide for the UNIRAM Availability Assessment Methodology: Version 3. 21. The use of the second law of thermodyriamics in the design of heat exchangers. Chem. 1991. American Society of Heating. May. Poland. New York. Chem. AES-Vol.. Eng. Avallone and T. 9th ed. and A. Introductory Management Science. G. 12. Atlanta.. Refrigerating. Chem Eng. Burmeister. A User Guide on Process Integration for the EfJicient Use of Energy. Stoll. Ulrich. IO.. ASME. 14. A Wealth of Information Online. 21. A. R. Prog. pp. 1989.. A Guide to Chemical Engineering Process Design and lkonomics. E. Chemical process simulation. 20. 6. 24.. G. Institution of Chemical Engineers. Kolenda. . Eng.. 1989. G. 18. 1 I . New York. S. 1990. The Engineering Design Process. Chemical Engineers’Handbook. 1989. Jones. EPRI ET-7 138s. Linhoff. 1984. heat exchanger networks and processes. Douglas. Paoletti. 76-83. Chemical Engineering Economics. 1988. Perry and D. Tsatsaronis et al. Con$ Energy Sys. 4th ed. 1982.. C. Marks’ Standard Handbook for Mechanical Engineers. pp. October. Ecol. Green. B. P. A. 15. J. Locke. A prototype expert system for synthesizing chemical process flow sheets. Tsatsaronjs. Van Nostrand Reinhold. 25. Prog. ASHRAE Handbook 1993 Fundamentals. E J. Thomas. A. J. McGraw-Hill. Electric Power Research Institute. Timmerhaus. 19. B. 22. Englewood Cliffs. Chem. Wiley-Interscience. and J. Wiley.REFERENCES 35 8. M. L. pp. 728-739. Process modeling on spreadsheet. E. 3 3 4 0 . D. Hwang. Wiley. H. D.. Melli. M. Biegler. Could and G. in Proc. February. 1992. July 5-9. Julian. L. and C. al. New York. Sama. 1989. Eppen. Plant Design and Economics for Chemical Engineers. 6th ed.. D. New York. M. H. 1991. 1993. D. S. 17. pp. Vol. New York. 1993. CA. No. and Air Conditioning Engineers. Prentice-Hall. et. 27. H. 26. Int. T. Sciubba. 23. Z. Pa10 Alto.0. New York. McGraw-Hill. eds. McGraw-Hill. Least-Cost Electric Utility Planning. Vol. and E. A. Computer-aided process engineering: The evolution continues. Rubgy. pp. NJ. Ertas and J. E. 13. G. 1993. 96. An autonomous artificial designer of thermal energy systems: Part 1 and Part 2.. Kirkwood. Eng.

. (b) the cost for the installed piping system. Using the format listed in Section 1.4 1.1 Consider the problem of determining the pipe diameter to use when pumping water at a specified volumetric flow rate from one fixed point to another.4. Request sample pages from the company’s standard design notebook (photocopies will do) and its policy on the use of design notebooks by engineers. 1. rivers. Sketch curves giving qualitatively (a) the cost for pumping the water. Obtain federal. Together with two co-workers you have agreed to refinish the exterior of a two-story family dwelling. including the possibility of consolidating a n d or eliminating existing departments. For this project.36 INTRODUCTION TO THERMAL SYSTEM DESIGN PROBLEMS 1. develop separate lists of (a) what needs to be done and (b) how to do it. Also prepare a Gantt chart and budget.3.8 1. each on an annual basis. patent office publications.3 1.7 1. Outline the claims presented in the patent. Using your library’s computerized information retrieval system. Identify the pipe diameter giving the least total cost per year. List five words you often misspell and three grammatical errors you occasionally make in report writing.S.5 1. versus pipe diameter. Discuss. Explain how the inventor presented proof of his or her claims. Who are the customers that should be consulted? How might a design team be set up for this purpose? The program evaluation and review technique (PERT) and critical path method (CPM) are often used for project planning and scheduling. or local occupational safety and health regulations concerning (a) asbestos use and asbestos removal and (b) mercury use and cleanup of mercury spills.10 Referring to U. What are the health risks associated with these substances? Contact your state environmental protection agency for regulations relating to liquid effluents discharged from industrial plants into lakes. obtain a printout listing references appearing in the last three years concerning a thermal systems aspect of your choice or one assigned to you.6 1. An engineering college at a large university is considering a major revision of its curricula. prepare a brief report describing and contrasting PERT and CPM.9 f a patent 1. and streams. Contact a company regularly doing engineering design work. state. obtain a copy o granted within the last five years dealing with cogeneration of power and process steam.2 1. and (c) the total cost.

1. Using the format listed in Section 1.15 Energy system simulation procedures include the Newton-Raphson and Hardy-Cross methods. 1.1.3.4.4.PROBLEMS 37 1. Is this claim correct? Discuss.13 For the purchase of a new automobile for your personal use. 1. 1. Use a decision matrix to evaluate three alternative automobiles. prepare a brief report describing each method. and its typical realm of application.4. list three additional design guidelines that do not overlap any of the entries appearing in Table 1.16 The method of Lagrange multipliers is often used to solve constrained optimization problems. write a report on engineering ethics and the legal responsibilities of engineers. prepare a brief report describing the Lagrange method together with an elementary illustrative example. 1. Repeat using a decision tree approach.12 A utility advertises that it is less expensive to heat water for domestic use with natural gas than with electricity. Using the format listed in Section 1. .14 Referring to the engineering literature. its strengths and weaknesses. 1.3.17 Using the format listed in Section 1. develop a list of musts and wants. locate vendors of gas turbines suitable for electric power generation in the 20-50-MW :range.3.11 Using the Thomas Registel. Obtain two vendor quotes for the installed cost of a gas turbine-electric generator system for this application.

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7. In Section 2. of a thermal. readers should consult References 1 and 2. Design analysis simply refers to the reasoning and evaluations that are a normal adjunct of engineering design.1 BASIC CONCEPTS AND DEFINITIONS Classical thermodynamics is concerned primarily with the macrostructure of matter. Most concepts are discussed only briefly in the belief that this is adequate to spark recall. If further elaboration is required. A premise underlying this presentation is that the reader has had an introduction to engineering thermodynamics and fluid flow. system in terms of a set of mathematical relations. The microstructure of matter is studied in kinetic theory and statistical mechanics (including quan39 . MODELING.THERMODYNAMICS. In Section 2.5 we illustrate the fundamentals surveyed by presenting a thermodynamic model for the case study cogeneration system of Figure 1.1-2. Fundamentals are surveyed in Sections 2.4. It addresses the gross characteristics of large aggregations of molecules and not the behavior of individual molecules. including applications in the heat transfer realm. AND DESIGN ANALYSIS In this chapter we present the fundamental principles of engineering thermodynamics required for study of this book and illustrate their use for modeling and design analysis in applications involving engineering thermodynamics and fluid flow.6 we consider the modeling and design of piping systems. Later chapters of the book provide further illustrations of modeling and design analysis. 2. invariably involving idealization to some degree. The term model refers here to a description. The current presentation is introductory.

Phase and Pure Substance. For example. designated kmol. The value of a property is determined in principle by some type of physical operation or test. When an extensive property is reported on a unit mass or a unit mole basis. and the system is said to undergo a process. Cycle.1 Preliminaries System. When a system in a given initial state goes through a sequence of processes and finally returns to its initial state. the system is whatever we want to study. Homogeneity in physical structure means that the matter is all solid or all liquid or all vapor (or equivalently all gas). A property is any quantity whose numerical value depends on the state but not the history of the system.1. Intensive properties are independent of the size or extent of the system. The control surface may be movable or fixed. it is said to have undergone a cycle. there is a change in state.40 THERMODYNAMICS. and only if. In a thermodynamic analysis.0 lb. Two states are identical if. When any property of a system changes in value. Designating the molecular weight by M and the number of moles by n. the properties of the two states are identical. MODELING. Volume. the system is called a control volume or open system. and energy are examples of extensive properties. The defining surface is known as the control surjiace or system boundary. mass. The state at a given instant of time is described by the properties of the system. A system can contain one . the mass m of the substance is m = nM. State. 2. A system of fixed mass is referred to as a control mass or as a closed system. Normally the system is a specified region that can be separated from everything else by a well-defined surface. Propedy. AND DESIGN ANALYSIS tum thermodynamics). When there is flow of mass through the control surface. A mole is a quantity of substance having a mass numerically equal to its molecular weight. of oxygen is 32. In this book. the volume per mole is V whereas the volume per unit mass is u. Everything external to the system is the surroundings. Process. the classical approach to thermodynamics is used. it is called a specz$c property. Pressure and temperature are examples of intensive properties. and the two specific volumes are related by V = Mu. Extensive properties depend on the size or extent of the system.0 kg and one pound mole (lbmol) is 32. An extensive property is additive in the sense that its value for the whole system equals the sum of the values for its parts. One kilogram mole. An overbar is used to distinguish an extensive property written on a per mole basis from its value expressed per unit mass. The term phase refers to a quantity of matter that is homogeneous throughout in both chemical composition and physical structure. The condition of a system at any instant of time is called its state.

A pure substance can exist in more than one phase. mechanical equilibrium to an equaliq of pressure. Also. Such a scale is called a thermodynamic temperature scale.2. and phase equilibrium to an equality of chemical potentials. In thermodynamics the concept includes not only a balance of forces but also a balance of other influences. Equilibrium means a condition of balance. its state can change as a consequence of spontaneous events occurring internally as its intensive properties. it cannot interact with its surroundings. Thermal equilibrium refers to an equality of temperature. Moreover. pressure can be regarded as uniform throughout as long as the effect of gravity is not significant. a system of liquid water and water vapor (steam) contains two phases. Chemical equilibrium is also established in terms of chemical potentials. To determine if a system is in thermodynamic ecluilibrium. one may think of testing it as follows: Isolate the system from its surroundings and watch for changes in its observable properties. however. The definition of an absolute temperature following from the second law is valid over all temperature ranges and provides an essential connection between the several empirical measures of temperature. the system is in equilibrium. Temperature. the calibration of one thermometer between standard points will not necessarily yield intervals of temperature equal to those of a second thermometer using a different substance. otherwise a pressure variation with height can exist.1 BASIC CONCEPTS AND DEFINITIONS 41 or more phases. if liquid water and water vapor form a system with two phases. At equilibrium. thus determining a scale of temperature. Each kind of influence refers to a particular aspect of thermodynamic. for mercury remains a liquid only over a relatively narrow temperature interval. The familiar mercury-in-glass thermometer relates the variation in length of a mercury column with the variation in temperature. A pure substance is one that is uniform and invariable in chemical composition. the Kelvin scale. For example. Equilibrium.3. The establishment of a scale of temperature independent of the working substance is clearly desirable. The system can be said to be at an equilibrium state.1. temperature is uniform throughout the system. The dependence of temperature measurements on a thermometric substance such as mercury is not satisfactory. can be elicited from the second law of thermodynamics. but its chemical composition must be the: same in each phase. When all such changes cease. it may be concluded that the system was in equilibrium at tht: moment it was isolated. such as temperature and pressure. . however. If there are no changes. as in a vertical column of liquid. tend toward uniform values. For example. a thermodynamic scale. For complete equilibrium the several types of equilibrium must exist individually. or complete. equilibrium. As discussed in Section 2. When a system is isolated. the system can be regarded as a pure substance because each phase has the same cornposition.

2. and so the work concept of mechanics is included.16 _K on the Kelvin temperature scale. For closed systems.2 The First Law of Thermodynamics. the test of whether a work interaction has taken place is not that the elevation of a weight is actually changed. Then R is evaluated experimentally as R = 8. MODELING. The total amount of energy is conserved in all transformations and transfers. which is identified and measured as follows: Work is done by a system on its surroundings if the sole effect on everything external to the system could have been the raising of a weight. Energy can also be transformed from one form to another and transferred between systems. Energy Energy is a fundamental concept of thermodynamics and one of the most significant aspects of engineering analysis. Work done by a system is considered positive in value. gravitational potential energy. AND DESIGN ANALYSIS Among several empirical temperature scales that have been devised. Using the symbol W to denote work. The magnitude of the work is measured by the number of standard weights that could have been raised.42 THERMODYNAMICS. Work. but that the sole effect could be the change in elevation of a mass.1. .K. Notice that the raising of a weight is in effect a force acting through a distance. We now organize these ideas into forms suitable for engineering analysis. The absolute temperature at the triple point of water is fixed by international agreement to be 273. Work is an effect of one system on another. In thermodynamics. the empirical gas scale is based on the experimental observations that (1) at a given temperature level all gases exhibit the same value of the product pV ( p is pressure and C the specific volume on a molar basis) if the pressure is low enough and (2) the value of the product p i increases with temperature level. is symbolized by W. or power. However. work done on a system is considered negative. energy can be transferred by work and heat transfer. the term work denotes a means for transferring energy. we have W > 0: work done by the system W < 0: work done on the system The time rate of doing work. Energy can be stored within systems in various macroscopic forms: kinetic energy. or that a force actually acted through a distance.314 kJ/kmol. and internal energy. With these points in mind the gas temperature scale is defined by 1 T = = lim ( p V ) RP O where T is temperature and E is a constant called the universal gas constant.

One is the change in kinetic energy (KE) associated with the motion of the system as a whole relative to an external coordinate frame. . and g is the acceleration of gravity. depending on whether it is expressed on a unit mass or per mole basis. All other energy changes are lumped together in the internal energy ( U ) of the system. This property is called energy. and the minus sign before the work term is in accordance with the previously stated sign convention for work. internal energy is an extensive property. - KE. That is. Another is the change in gravitational potential energy (PE) associated with the position of the system as a whole in Earth’s gravitational field. the amount of work Wad is fixed by the end states of the system and is independent of the details of the proci:ss. can be made regardless of the type of work interaction involved. ) = -Wad (2. On the basis of experimental evidence. Since any arbitrary value can be assigned to the energy of a system at a given state 1. respectively. and the specific gravitational potential energy gz.1) where 1 and 2 denote the initial and final states. As the work in an adiabatic process depends on the initial and final states only. A property related to internal energy u.) + (PE. Collecting results. the change in energy between I:WO states in terms of the work in an adiabatic process between these states is. defined by . In engineering thermodynamics the change in the energy of a system is considered to be made up of three macroscopic contributions. no particular significance can be attached to the value of the energy at state 1 or at any other state. (KE. the type of process. Only changes in the energy of a system have significance. which is one way the first law of thermodynamics can be stated.1 BASIC CONCEPTS AND DEFINITIONS 43 Energy. the specific kinetic energy V2/2. it can be postulated that when a closed system is altered adiabatically. respectively. and specific volume u is enthalpy. or the nature of the system. - PE. A closed system undergoing a process that involves only work in- teractions with its surroundings experiences an adiabatic process. Like kinetic energy and gravitational potential energy.) + (U. Specific energy = u + +V2 -t gz (2. The specific energy (energy per unit mass) is the sum of the specific internal energy u. pressure p . This postulate. The specific internal energy is symbolized by u or U.2) where V is the velocity and z is the elevation. each relative to a specified datum. it can be concluded that an extensive property can be defined for a system such that its change in value between two slates is equal to the work in an adiabatic process that has these as the end states.2.U .

as for example a gas (or liquid) contained in a closed vessel undergoing a process while in contact with a flame.4. That is. A fundamental aspect of the energy concept is that energy is conserved.) = Q - W (2. Thus. This type of interaction is called a heat interaction. The quantity denoted by Q in Equation 2. it can be concluded that the net energy transfer to the system in each of these processes must be the same. It follows that heat interactions also involve energy transfer. (U. since a closed system experiences precisely the same energy change during a nonadiabatic process as during an adiabatic process between the same end states.) + (PE. Further.44 THERMODYNAMICS. The following sign convention applies: Q > 0: heat transfer to system Q < 0: heat transferfrom system Methods based on experiment are available for evaluating energy transfer by heat. This means of energy transfer is called an energy transfer by heat. MODELING. On the basis of experiment it is known that such an energy transfer is induced only as a result of a temperature difference between the system and its surroundings and occurs only in the direction of decreasing temperature. AND DESIGN ANALYSIS h=u+pv or on an extensive basis H=U+pV (2. These methods recognize two basic transfer mechanisms: conduction . called the closed system energy balance. Closed systems can also interact with their surroundings in a way that cannot be categorized as work. and the process can be referred to as a nonadiabatic process.3a) (2. - - KE.4) Equation 2. ) + (KE. - PE. the amount of energy Q transferred to a closed system in such interactions must equal the sum of the energy change of the system and the amount of energy transferredfrom the system by work. This expression can be rewritten as U . summarizes the conservation of energy principle for closed systems of all kinds.4 accounts for the amount of energy transferred to a closed system during a process by means other than work. Heat.3b) Energy Balance.

Combining the last two equations The thermal efficiency of a heat engine is defined as the ratio of the net work developed to the total energy added by heat transfer: Experience with power cycles shows that the thermal efficiency is invariably less than 100%. From experience it is found that power cycles are characterized both by an addition of energy by heat transfer and an inevitable rejection of energy by heat transfer: where QA denotes the total energy added by heat transfer and QR the total energy rejected by heat transfer.4 that for the cycle Qcycle = Wcycle That is.1 BASIC CONCEPTS AND DEFINITIONS 45 and thermal radiation. over the cycle the net amount of energy received through heat interactions is equal to the net energy transferred out in work interactions. theoretical and empirical relationships are available for evaluating energy transfer involving combined modes such as convection.2. A power cycle. Since energy is a property. is one for which a net amount of energy is transferred out in work interactions: Wcycle> 0. It follows from Equation 2. That is. The quantities symbolized by W and Q account for transfers of energy. Further discussion of heat transfer fundamentals is provided in Chapter 4. to achieve economy of expression in subsequent discussions. some portion of the energy QA supplied is . However. respectively. Wand Q are often referred to simply as work and heat transfer. The terms work and heat denote different means whereby energy is transferred and not what is transferred. Consider a closed system undergoing a thermodynamic cy- cle. Power Cycles. Work and heat are not properties. This less formal approach is commonly used in engineering practice. This equals the net amount of energy received through heat interactions. the net change in energy over one cycle is zero. and it is improper to speak of work or heat “contained” in a system. or heat engine. In addition.

1. all are invalid. the basis of the second law. of course. can change in interactions with other systems even though the reservoir temperature remains constant. Among the many alternative statements of the second law. considered next. oceans).se considerations involve the second law of thermodynamics. 2. Moreover. .3 The Second Law of Thermodynamics Many statements of the second law of thermodynamics have been proposed. however idealized they may be. That is. # 0. the Kelvin-Plaiick statement is a convenient point of departure for further study.Given this fact. The less than sign of Equation 2.6) where the words single reservoir emphasize that the system communicates thermally only with a single reservoir as it executes the cycle. no power cycle. like every other physical law. however. this condition is one that must be met by all power cycles. Kelvin-Planck Statement. A reservoir is an idealization. AND DESIGN ANALYSIS rejected: Q. a perpetual-motion machine of the second kind is impossible. and so on. In other words. such as internal energy. is experimental evidence. large bodies of water (lakes. The. In other words. The concept of irreversibilities is considered next. real or ideal. but such a system can be approximated in a number of ways-by Earth’s atmosphere.46 THERMODYNAMICS. MODELING. Extensive properties of thermal reservoirs. Expressed analytically. In every instance where a consequence of the second law has been tested directly or indirectly by experiment it has been verified. Each of these can be called a statement of the second law or a corollary of the second law: If one is not valid. A process is irreversible if there is no way to undo it. A thermal reservoir is a system that always remains at a constant temperature even though energy is added or removed by heat transfer. Accordingly. it is of interest to determine the maximum theoretical efficiency. can have a thermal efficiency of 100%. The Kelvin-Planck statement of the second law may now be given as follows: 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. the Kelvin-Planck statement is Wcycle5 0 (single reservoir) (2. The Kelvin-Planck statement refers to the concept of a thermal reservoir. 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.6 applies when internal irreversibilities are present as the system of interest undergoes a cycle and the equal to sign applies only when no irreversibilities are present. Irreversibilities.

Nonetheless. Irreversibilities can be divided into two classes. and develop cost-effective means for reducing them. evaluate their influence. There are many effects whose presence during a process renders it irreversible. and this is the case. Internal irreversibilities are those that occur within the system. the need to achieve profitable rates of production. normally the immediate surroundings. When internal irreversibilities are absent during a process. the process is said to be internally reversible. while external irreversibilities are those that occur within the surroundings. rapid accelerations. However. steps taken in this direction are normally constrained by a number of practical factors often related to costs. it would not also be possible to return the surroundings to the state they were in initially. . As an illustration. there is some arbitrariness in the classification (note that by locating the boundary to take in the immediate surroundings. internal and external. this would be a source of irreversibility. With a Jinite temperature difference between them.1 BASIC CONCEPTS AND DEFINITIONS 47 there is no means by which the system and its surroundings can be exactly restored to their respective initial states. Although improved thermodynamic performance can accompany the reduction of irreversibilities. as noted previously. were the system restored to its initial state. a spontaneous heat transfer would take place and. high heat transfer rates. Furthermore. all irreversibilities are internal). These include but are not limited to 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-sliding friction as well as friction in the flow of fluids Electric current flow through a resistance Magnetization or polarization with hysteresis Inelastic deformation - The term irreversibility is used to identify effects such as these. Engineers should be able to recognize irreversibilities. valuable insights can result when this distinction between irreversibilities is made. However.2. irreversibilities are tolerated to some degree in every type of system because the changes in design and operation required to reduce them would be too costly. consider two bodies at different temperatures and able to communicate thermally. As this division depends on the location of the boundary. and so on invariably dictates the presence of significant irreversibilities. A system that has undergone an irreversible process is not necessarily precluded from being restored to its initial state. It might be expected that the importance of this irreversibility diminishes as the temperature difference narrows.

/TH. a large heat transfer surface area. is reservoir at temperature T the energy rejected from the system to a cold reservoir at temperature T. A cycle is considered reversible when there are no irreversibilities within the system as it undergoes the cycle and heat transfers between the system and reservoirs occur ideally (i. it can be concluded that the ratio of the heat transfers is related only to the temperatures.. with a vanishingly small temperature difference). The Carnot corollaries can be demonstrated using the Kelvin-Planck statement of the second law [I]. 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. the heat transfer would approach ideality. a heat transfer would require an infinite amount of time and/or an infinite surface area. To approach ideality. Corollary 2. TH)= T. The maximum theoretical efficiency for systems undergoing power cycles while communicating thermally with two thermal reservoirs at different temperature levels can be evaluated with reference to the following two corollaries of the second law. MODELING.e. therefore. and is independent of the substance and processes. Using Equation 2. All reversible power cycles operating between the same two thermal reservoirs have the same thermal efficiency. The words rev cycle emphasize that this expression applies only to systems undergoing reversible cycles while operating between the two reservoirs. Then . it is of interest to determine the maximum theoretical efficiency. Carnot Corollary 2 suggests that the thermal efficiency of a reversible power cycle operating between two thermal reservoirs depends only on the temperatures of the reservoirs and not on the nature of the substance making up the system executing the cycle or the series of processes. From the study of heat transfer we know that the transfer of a finite amount of energy by heat between bodies whose temperatures differ only slightly requires a considerable amount of time. Carnot Corollaries. The Kelvin temperature scale is based on $(T. AND DESIGN ANALYSIS As the difference in temperature between the bodies approaches zero.5. That is where QH is the energy transferred to the system by heat transfer from a hot H on a temperature scale to be defined and Q. Kelvin Temperature Scale. or both. Since no power cycle can have a thermal efficienty of loo%. [I.48 THERMODYNAMICS. Corollary 1. 21. called the Curnot corollaries. Each of these options clearly have cost implications...

By invoking the two Carnot corollaries. Primary consideration has been given thus far to the case of systems undergoing cycles while communicating thermally with two reservoirs. Over their common range of definition the Kelvin and gas scales are equivalent. combination of Equations 2. In the present discussion a . a temperature scale is defined that is valid over all ranges of temperature and that is independent of the thermometric substance.7 results in called the Carnot eficiency.. the Rankine scale is also a thermodynamic temperature scale with an absolute zero that coincides with the absolute zero of the Kelvin scale. the unit of which is the degree Rankine (OR). Equation 2.16 K. If a reversible cycle is operated between a reservoir at the reference state temperature and another reservoir at an unknown temperature T. Thus.1 BASIC CONCEPTS AND DEFIN1710NS 49 This equation defines only a ratio of temperatures. Moreover. For the special case of a reversible power cycle operating between thermal reservoirs at temperatures THand Tc. is proportional to the Kelvin scale: T("R) = 1.5 and 2. The Rankine scale. As temperatures on the Rankine scale differ from Kelvin temperatures only by the factor 1. The state selected is the same used to define the gas scale: At the triple point of water the temperature is specified to be 273.16 7 Q where Q is the energy received by heat transfer from the reservoir at temperature T and Q' is the energy rejected to the reservoir at the reference state. it is the maximum theoretical eficiency that any power cycle. then the latter temperature is related to the value at the reference state by T = Q 273. The specification of the Kelvin scale is completed by assigning a numerical value to one standard reference state. it should be evident that this is the efficiency for all reversible power cycles operating between thermal reservoirs at TH and T. Clausius Inequality.8 T ( K ) . a hot reservoir and a cold reservoir. Thus.8. could have while operating between the same reservoirs.2. real or ideal. Carnot Efficiency.8 may be applied with either scale of temperature.

The significance of the inequality of Equation 2.. For subsequent applications. In the next section. it is convenient to rewrite the Clausius inequality as (2. The symbol S is used to distinguish the differentials of nonproperties. zero when no internal irreversibilities are present. and the inequality applies when internal irreversibilities are present. and T is the absolute temperature at that part of the boundary.. The Clausius inequality can be demonstrated using the Kelvin-Planck statement of the second law [l]. such as heat and work. . is identified as the entropy generated by internal irreversibilities during the cycle.9a is the same as in Equation 2.9a) where SQ represents the heat transfer at a part of the system boundary during a portion of the cycle. or bodies. the discussion of the second law has been concerned primarily with what it says about systems undergoing thermodynamic cycles. The symbol $ indicates that the integral is to be performed over all parts of the boundary and over the entire cycle.6: The equality applies when there are no internal irreversibilities as the system executes the cycle. from the differentials of properties. The subscript b serves as a reminder that the integrand is evaluated at the boundary of the system executing the cycle.. The Clausius inequality provides the basis for introducing two ideas instrumental for quantitative evaluations of systems from a second-law perspective: the entropy and entropy generation concepts. can be viewed as representing the “strength” of the inequality. and can never be negative. MODELING. The Clausius inequality states that (2. is positive when internal irreversibilities are present. Accordingly. 2. Sgen is a measure of the effect of the irreversibilities present within the system executing the cycle. The property entropy and the entropy generation concept play prominent parts in these considerations.. from which the cycle receives energy by heat transfer or to which the cycle rejects energy by heat transfer. S. written with the symbol d.1.50 THERMODYNAMICS.4 Entropy and Entropy Generation Up to this point..9b) where S. AND DESIGN ANALYSIS corollary of the second law known as the Clausius inequality is introduced that is applicable to any cycle without regard for the body. Means are now introduced for analyzing systems from the second-law perspective as they undergo processes that are not necessarily cycles. The value of S..

followed by the same process C from state 2 to state 1 as in the first cycle. Equation 2.. Consider two cycles executed by a closed system.9b takes the form where S. Since entropy is a property. (lF)B = This shows that the integral of SQ/T is the same for both processes. that the integral defines the change in some property of the system. therefore. For these cycles. its change is given by (2. It can be concluded. once it has been evaluated. the change in entropy of a system in going from one state to another is the same for all processes. The other cycle consists of an internally reversible process B from state 1 to state 2. Since A and B are arbitrary. In other words. Thus. both internally reversible and irreversible. has been set to zero since the cycles are composed of internally reversible processes. between these two states. it follows that the integral of 6QlT has the same value for any internally reversible process between the two states.. Entropy is an extensive property. Selecting the symbol S to denote this property. The evaluation of entropy changes is discussed further in Sections 2.4.10) where the subscript int rev is added as a reminder that the integration is carried out for any internally reversible process linking the two states.1 BASIC CONCEPTS AND DEFINITIONS 51 Entropy. Subtracting these equations leaves (1 ?). Equation 2. the value of the integral depends on the end states only. followed by an internally reversible process C from state 2 to state 1.10 allows the determination of the change in entropy.2. This property is called entropy.3 and 2. One cycle consists of an internally reversible process A from state I to state 2. this is the magnitude of the entropy change for all processes of the system between these two states. .

decrease. or remain constant. This can be brought out using the definition of entropy change on a differential basis (2. MODELING. A constant-entropy process is called an isentropic process. The subscript b in the first integral emphasizes that the integrand is evaluated at the system boundary. Since no irre- . The direction of the entropy transfer is the same as that of the heat transfer. We can interpret this to mean that an entropy transfer is associated with (or accompanies) heat transfer. during which internal irreversibilities may be present. Consider next a cycle consisting of process I from state 1 to state 2. For this cycle.1 1 ) Equation 2. In an adiabatic internally reversible process of a closed system the entropy would remain constant. The area interpretation of heat transfer is not valid for irreversible processes. Equation 2. Entropy Balance.13) where the first integral is for process I and the second is for the internally reversible process. AND DESIGN ANALYSIS As a closed system undergoes an internally reversible process. the entropy of the system decreases. the temperature must be in Kelvin or degrees Rankine. it experiences an increase in entropy.12) From Equation 2.12 it can be concluded that an energy transfer by heat to a closed system during an internally reversible process can be represented as an area on a plot of temperature versus entropy.11 becomes Integrating from an initial state 1 to a final state 2 (2. On rearrangement.52 THERMODYNAMICS. Conversely.1 I indicates that when a closed system undergoing an internally reversible process receives energy by heat transfer.9b takes the form (2. when energy is removed from the system by heat transfer. Equation 2. its entropy can increase. followed by an internally reversible process from state 2 to state 1. and the area is the entire area under the curve representing the process. The subscript is not required in the second integral because temperature is uniform throughout the system at each intermediate state of an internally reversible process. On such a plot.

2. This can be described by saying that entropy is generated (or produced) within the system by action of irreversibilities. Equation 2. as this is the only site of irreversibilities.14 can be evaluated independently of the details of the process. refers only to process I . the closed system entropy balance results: -entropy change (2. The direction of entropy transfer is the same as the direction of the heat transfer. the entropy change on the left side of Equation 2. the term Sgen. The first term on the right side is associated with heat transfer to or from the system during the process.13 can be expressed as With this. The second law of thermodynamics can be interpreted as specifying that entropy is generated by .13 becomes On rearrangement. However. the two terms on the right side depend explicitly on the nature of the process and cannot be determined solely from knowledge of the end states. and a negative value means that entropy is transferred out... The term Sgenis positive when internal irreversibilities are present during the process and vanishes when internal irreversibilities are absent. and the same sign convention applies as for heat transfer: A positive value means that entropy is transferred into the system. the second integral of Equation 2. Applying the definition of entropy change.1 BASIC CONCEPTS AND DEFINITIONS 53 versibilities are associated with the second process.14) + entropy generation entropy transfer When the end states are fixed. The entropy change of a system is not accounted for solely by the entropy transfer but is due in part to the second term on the right side of Equation 2.14 denoted by S. This term can be interpreted as the entropy transfer associated with (or accompanying) heat transfer.which accounts for the effect of irreversibilities during the cycle..

given by (2. to enlarge the system to include enough of the immediate surroundings that the temperature on the boundary of the enlarged system corresponds to the ambient temperature. the components where appreciable irreversibilities occur can be identified and rank ordered.15) where dS/dt is the time rate of change of entropy of the system. the objective is often to evaluate the entropy generation term. To evaluate the entropy transfer term of the entropy balance requires information regarding both the heat transfer and the temperature on the boundary where the heat transfer occurs.. One of these is the rate form. Tamb.54 THERMODYNAMICS. its value depends on the nature of the process and not solely on the end states. it is often convenient. The term Sgenaccounts for the time rate of entropy generation due to irreversibilities within the system. the entropy generation term would account for the effects of internal irreversibilities within the original system and external irreversibilities present within that portion of the surroundings included within the enlarged system. such as when the system passes through states sufficiently far from equilibrium. where Sgen . For a system isolated from its surroundings. the value of the entropy generation for a given process of a system usually does not have much significance by itself. Since Sgenmeasures the effect of irreversibilities present within a system during a process. MODELING. By comparing entropy generation values. however. However. because the required information is either unknown or not defined. therefore. The variable S. In practical applications. the entropy balance for a process from state 1 to state 2 reduces to is the total amount of entropy generated within the isolated system. is not a property.. When applying the entropy balance.However. The significance is normally determined through comparison: The entropy generation within a given component might be compared to the entropy generation values of the other components included in an overall system formed by these components. as the irreversibilities present would not be just those for the system of interest but those for the enlarged system. AND DESIGN ANALYSIS irreversibilities and conserved only in the limit as irreversibilities are reduced to zero. This allows attention to be focused on the components that contribute most heavily to inefficient operation of the overall system. The entropy balance can be expressed in alternative forms that may be convenient for particular analyses. The entropy transfer term is not always subject to direct evaluation. The entropy transfer term is then simply Q/Tamb. The term Qj/qrepresents the time rate of entropy transfer through the portion of the boundary whose instantaneous temperature is q.

the only processes that can occur are those for which the entropy of the isolated system increases. The mass rate of flow through a port of area A is then found by integration over the area . and Entropy Balances Conservation of Mass.. The volurnetricjow rate through a portion of the control surface with area dA is the product of the velocity normal to the area times the area: V . This is known as the increase of entropy principle. 2. When applied to a control volume. The increase of entropy principle is sometimes adopted as a statement of the second law. energy. = dt c m.2. Accordingly. and entropy in the form of differential equations are also available in the literature [3]. For this case the conservation of mass principle takes the form dm.2 CONTROL VOLUME CONCEPTS 55 Since entropy is generated in all actual processes.2 CONTROL VOLUME CONCEPTS The engineering applications considered in this book are analyzed on a control volume basis. each through one or more ports. denotes the mass flow rate at an inlet port. These are given in the present section in the form of overall balances.2.1 Mass. The massflow rate through dA is found by multiplying the volume flow rate by the local fluid density: p(V. dA where the subscript n signifies that the velocity component normal to the area is intended. Energy. 2. and me is the mass flow rate at an outlet port. and entropy balances presented in this section play important roles. energy. the increase of entropy principle suggests that the entropy of an isolated system increases as the state of equilibrium is approached. An important case for subsequent developments is one for which inward and outward flows occur.16) The left side of this equation represents the time rate of change of mass contained within the control volume. m. the principle of mass conservation is expressed as follows: The time rate of accumulation of mass within the control volume equals the difference between the total rates of mass flow in and out across the boundary. - _c me e (2. As systems left to themselves tend to undergo processes until a condition of equilibrium is attained. Equations of change for mass. with the equilibrium state being attained when the entropy reaches a maximum. the control volume formulations of the mass.dA).

and the velocity and all other intensive properties do not vary with position across inlet and outlet ports. dA One-dimensional flow is frequently assumed. dt (2. for a control volume with one-dimensional flow at a single inlet and a single outlet d(U + KE + PE). Accordingly. and electrical effects. Energy can enter and exit a control volume by work and heat transfer. For one-dimensional flow. When applied to a control volume. MODELING. One-dimensional flow means that the flow is normal to the boundary at locations where mass enters or exits the control volume. The other contribution.18) where the terms in brackets account for the specific energy of the incoming and outgoing streams. the last equation becomes (2. such as those associated with rotating shafts. Energy also enters and exits with flowing streams of matter. at outlet e . AND DESIGN ANALYSIS m = [A pV. respectively. The work rate concept of mechanics allows the first of these contributions to be evaluated in terms of the product of the pressure force and velocity at the point of application of the force.56 THERMODYNAMICS. the principle of energy conservation is expressed as follows: The time rate of accumulation of energy within the control volume is equal to the excess of the incoming rate of energy over the outgoing rate of energy. The terms Q and W account..17) where u denotes the specific volume. denoted as Wcv. Because work is always done on or by a control volume where matter flows across the boundary.includes all other work effects.18 into two contributions: One contribution is the work associated with the force of the fluid pressure as mass is introduced at the inlet and removed at the exit. displacement of the boundary. for the net rates of energy transfer by heat and work. Thus. Control Volume Energy Balance. it is convenient to separate the term W of Equation 2.

~+ .2 CONTROL VOLUME CONCEPTS 57 Time rate of energy transfer by work from the control volume at outlet e associated with the fluid pressure = ( PeAe)Ve A similar expression can be written for the rate of energy transfer by work into the control volume at inlet i. i On introducing the specific enthalpy h (Equation 2. The terms mi( pp.) account for the work associated with the pressure at the inlet and outlet.19. The previously stated sign convention for work applies to Equation 2. the following form of the control volume energy rate balance results: d(U + KE + PE). +V: + gz. With these considerations.) and rite( peu. . and are commonly referred to asflow work. + peve + tvj + gz. .Wcv + m. . respectively... the energy rate balance becomes simply d(U + KE + PE).ve) . and ue are the specific volumes evaluated at the inlet and outlet. dt = Q. + p .Wcy+ mi (2.18 can be expressed as or with Equation 2. are the mass flow rates and u. Substituting Equation 2.3a).19 into Equation 2.17 as w= WC"+ me(p.19) where m.18.. respectively. dt - Q .me (u. . and collecting all terms referring to the inlet and the outlet into separate expressions.uj) (2.2. U. and m.20) where the subscript cv has been added to Q to emphasize that this is the heat transfer rate over the boundary (control surface) of the control volume. the work term W of Equation 2.(p. .m.

Onedimensional flow is assumed at locations where mass enters and exits.. . The ratio Qj/T.21 is an accounting balance for the energy of the control volume.58 THERMODYNAMICS. It states that the time rate of accumulation of energy within the control volume equals the difference between the total rates of energy transfer in and out across the boundary.22) ' rate of entropy generation rate of entropy change rates of entropy transfer where dSc. MODELING. The terms yizisiand kes. for rates of entropy transfer into and out of the control volume associated with mass flow. The term Qj represents the time rate of heat transfer at the location on the boundary where the instantaneous temperature is T. The result is dS. as for closed systems.21) Equation 2. The mechanisms of energy transfer are heat and work. Since this is the principal difference between the closed system and control volume forms. the following expression is appropriate: - me (he + +V: + gz.- dt W ' e (2. account. and the energy accompanying the entering and exiting mass.15 to account for these entropy transfers. the control volume entropy rate balance can be obtained by modifying Equation 2./dt represents the time rate of change of entropy within the control volume. Entropy.. like mass and energy.. Control Volume Entropy Balance.. so it too can be transferred into or out of a control volume by streams of matter. accounts for denotes the time rate of the associated rate of entropy transfer. ) (2. is an extensive property. The term s. respectively. AND DESIGN ANALYSIS To allow for applications where there may be several locations on the boundary through which mass enters or exits.

For a control volume at steady state.2 Control Volumes at Steady State Engineering systems are often idealized as being at steady state. At steady state. Sgenis the sum of the rates of entropy generation of the components.2 CONTROL VOLUME CONCEPTS 59 entropy generation due to irreversibilities within the control volume.23b states that the total rate of energy transfer into the control volume equals the total rate of energy transfer out of the control shows that the rate at which entropy is volume.22. the difference . meaning that all properties are unchanging in time.. (2.2. Equation 2. the entropy rate balance is (2. However. Similarly. 2. At steady state.23a indicates that the total rate of mass flow into the control volume equals the total rate of mass flow out of the control volume. Mass and energy are conserved quantities. Equation 2 .23~) obtained by reducing Equation 2. but entropy is not generally conserved.23a) The energy rate balance at steady state is o = Q. 2 3 ~ transferred out must exceed the rate at which entropy enters.23b) obtained by reducing Equation 2.2. Equation 2. When a control volume comprises a number of components.. Equation 2. but the total amount of mass remains constant.21. + i hi hi + +V: + g z i ) - me (he + + gz.16 reduces to mi = me (2. - w. the identity of the matter within the control volume changes continuously.

(no heat transfer) m S.26) .. and pumps involve a comparison between the actual performance of a device and the performance that would be achieved under idealized circumstances for the same inlet state and the same outlet pressure.Denoting the gives common mass flow rate by m.. The isentropic turbine efjciency rl.s (2. MODELING. compressors. AND DESIGN ANALYSIS being the rate of entropy generation within the control volume owing to irreversibilities. As there is a single inlet and a single outlet." (2.2.si = . (Wcv). In the ideal case in which no internal irreversibilities are present. the specific entropy increases as mass flows from inlet to outlet. Equation 2 . isentropically. Several concepts related to this class of applications are now presented. Isentropic efficiencies for turbines. 2. when irreversibilities are present within the control volume. compares the actual turbine power Wcvto the power that would be developed in an isentropic expansion from the specified inlet state to the : specified outlet pressure.24) Accordingly.60 THERMODYNAMICS. Consider first the case of an adiabatic control vol- ume: a control volume for which there is no heat transfer. kentropic Efficiencies.3 Ancillary Concepts Many important applications involve single-inlet. single-outlet control volumes at steady state. . 2 3 ~ s . mass passes through the control volume with no change in its entropy-that is.23a reduces to hi= me. Equation 2. with heat transfer between the device and its surroundings not occurring to any significant extent.25) The isentropic compressor eflciency vsccompares the actual power input to the power that would be required in an isentropic compression from the specified inlet state to the specified outlet pressure: (2.

.he) . .he) + 3 (v: .) ) + Sgen Eliminating the heat transfer term from these expressions.Tb(si - s.23b and 2 . corresponding to the absence of internal irreversibilities. is obtained when the entropy generation term is set to zero: Figure 2. respectively rate by m.V2) + g(z. Equations 2. Next. Accordingly.Va) m + g(zj .1 where heat transfer occurs only at the temperature Tb. 0=Tb ( (h. = [(hi. .z. Denoting the common mass flow read. .I.1 One-inlet. - wcv+ m .2 CONTROL VOLUME CONCEPTS 61 An isentropic pump efJiciency is defined similarly. the work developed per unit of mass flowing through the control volume is wcv _ .) -t- 3(V: . one-outlet control volume at steady state.2. Special Cases. 2 3 ~ 0 = Q.) Qcv+ m(s. an expression for the maximum value of the work developed per unit of mass flowing through the control volume.)] - Tb Sgen m The term in brackets is fixed by the states at the control volume inlet and outlet and the temperature Tb at which heat transfer occurs.s. consider the control volume of Figure 2.

s .27) (all heat transfer at temperature Tb) This expression is applied in Section 3.30) .z . + W C " h.2 u dp + +(V. expressions can be developed for the energy transfers by heat and work for a single-inlet.) (2.For such cases. but without the restriction that heat transfer occurs only at the temperature Tb. denoted I and 2.28) The integrals of Equations 2. An example is the expression pun = const. Using similar reasoning. 2.Vi) + g(z2 .' T ds (2.z. Head Loss. MODELING.23b. where the value of n is a constant.Va) + g(zi .29 are performed from inlet to outlet. ) + li. and the subscripts int rev stress that the expressions apply only to control volumes in which there are no internal irreversibilities. AND DESIGN ANALYSIS = int rev (hi . . the use of pv" = const to calculate the integral in Equation 2.29 can yield a plausible approximation of the work per unit of mass flow in the actual process.28. = 0 (2.Tb(si .1) gives the f mass flow: work developed per unit o (heat transfer according to Equation 2. single-outlet control volume at steady state in the absence of internal irreversibilities.2. and 2. An internally reversible process described by such an expression is called a polytropic process and n is the polytropic exponent. .he) .3.62 THERMODYNAMICS. The integral of Equation 2.28 and 2. When the exponent n is determined for an actual process by fitting pressure-specific volume data.3.28) Combining Equations 2. the heat transfer per unit of mass flow is (&) int rev = 1.29 requires a relationship between pressure and specific volume.34b (from Section 2. ) + +(V. Equation 2.29 is a special case of the generalized Bernoulli equation [ 3 ] : 1.

f is the Fanning friction factor. and entropy. Like mass. In the absence of irreversibilities. tees. As discussed further in Section 2. an expression of Newton’s second law of motion is 1 = m v . and energy dissipation. this vector is normal to the inlet or outlet and oriented in the direction of flow.JD) is available both graphically and analytically. accounts for the rate at which mechanical energy is irreversibly converted to internal energy.30 reduces to give Equation 2. Equation 2.29. Thus. The term h. The accumulated experimental data have been organized to allow estimation of the term for use in designing piping systems.2. the linear momentum per unit of mass flowing across the boundary of the control volume is given by the velocity vector V. is conventionally formulated as the sum of two contributions.=C P [(f5)11.6. friction. one associated with wall friction over the length of the conduit carrying the liquid or gas and the other associated with flow through resistances such as valves. such as the work required for pumping a liquid or the volumetric flow rate when the work is known. when h. linear momentum is carried into and out of a control volume at the inlet and outlet. respectively. and h. for a piping system consisting of several resistances and several lengths L of pipe each with diameter D we have h.30 can be used to find some other quantity.. Using the linear momentum transfer concept. the function f(Re.2).6. The term h. elbows.2 CONTROL VOLUME CONCEPTS 63 where WCJm denotes the work developed by the control volume per unit of mass flowing. is known.JD and the Reynolds number Re. such as friction. In accordance with the one-dimensional flow model. where p denotes viscosity. h. energy. The term h. The loss coeficients K for resistances of practical interest are also available from the engineering literature (also see Section 2.2. is known by various names. vanishes and Equation 2.+7 w pipe friction 4L v 2 resistances [ K F ]I (2. which is a function of the relative roughness k.30 can be obtained experimentally by measuring all the other terms. of Equation 2. Thus. k. and pipe entrances and exits. including head loss. Such transfers are accounted for by expressions of the form Time rate of linear momentum transfer into (or out of) a control volume accompanying mass flow In this equation. = p V D / p .31) In this expression. friction work. Momentum Equation.

when applying Newton’s second law of motion of control volumes at steady state.3 PROPERTY RELATIONS To apply the mass. . which include a wide range of industrially important gases and liquids.V.3. The resultant force includes the forces due to pressure acting at the inlet and outlet.32 are provided elsewhere [ l .1 1. This section reviews property relations for simple compressible systems. The calculations use the T dS equations and relations derived from them. MODELING. and the force of gravity.64 THERMODYNAMICS. rev = T dS. it is necessary to consider only the momentum accompanying the incoming and outgoing streams of matter and the forces acting on the control volume. 41. forces acting on the portion of the boundary through which there is no mass flow. and entropy are calculated using data on propenies that are more readily measured. Newton’s law then states that the resultant external force F acting on the control volume equals the difference between the rates of momentum associated with mass flow exiting and entering the control volume: 1 F = m(V. the total amount of linear momentum contained in the control volume is constant with time. (SQ)i.. AND DESIGN ANALYSIS Time rate of change resultant external force [of linear momentum] = acting on the contained within the control volume control volume [ net rate at which linear momentum is transferred into the control volume accompanying mass flow At steady state. To establish the T d S equations consider a closed system undergoing an internally reversible process in the absence of overall system motion and the effect of gravity. An energy balance in differential form is From Equation 2. energy.) (2. 3.32) where 1 denotes the inlet and 2 the outlet. Applications of Equation 2. 2. Internal energy. Accordingly. 2. enthalpy. so .1 Basic Relations for Pure Substances The T dS Equations. and entropy balances to a system of interest requires knowledge of the properties of the system and how the properties are related.

Accordingly.rev = p dV [l]. a further relation can be derived from the Gibbs function. specific volume. liquid.34b) (2. a substance that expands upon freezing.2c. simple compressible system is one in which the only significant energy transfer by work in an internally reversible process is associated with volume change and is given by (SW). T ) .. The projection onto the p-v plane is shown in Figure 2.TS.35a) The last three equations can be expressed on a per unit mass (or a per mole) basis: du=Tds-pdv dh = (2.34a) Using the same approach. and analytical forms [ 1. The result is dG = Vdp . and temperature are relatively easily measured and considerable p-v-T data have been accumulated for industrially important gases and liquids. the first T dS equation for pure. The graph of a function p = f(u. graphical.33b) (2. Figure 2. dH = dU + p dV + V dp.2 has three regions labeled solid. the line separating the liquid phase and the two-phase liquid-vapor .s dT p-v-T Relations. simple compressible systems takes the form dU=TdS-pdV (2. where two phases coexist in equilibrium.35b) T ds + v dp dg = v dp . Figure 2. Figure 2. Pressure. rev A pure. T ) is a surface in three-dimensional space. The line separating a single-phase region from a two-phase region is called a . These data can be represented in the form p = f(u. 51. Combining this with Equation 2.3 PROPERTY RELATIONS 65 dU = T dS .(SW). called an equation of state. defined as G = H .33a the second T dS equation follows dH = T d S + Vdp (2..2 shows the p-u-T relationship for water.33a) Since H = U + pV.2..SdT (2. Between the single-phase regions lie two-phase regions. Equations of state can be expressed in tabular.2b shows the projection of the surface onto the pressure-temperature plane..saturation line. Thus. Any state represented by a point on a saturation line is a saturation state. and vapor where the substance exists only in a single phase.

2 ~ is a saturated vapor state. The saturated liquid line and the saturated vapor line meet at a point. The state denoted by g in Figure 2 . . the pressure is called the critical pressure p. MODELING. The state denoted by f i n Figure 2 .. called the critical point. At the critical point.THERMODYNAMICS. AND DESIGN ANALYSIS E 3 D n e! Temperature Specific volume (C) (6) Figure 2. region is the saturated liquid line. 2 ~ is a saturated liquid state..2 Pressure-specificvolume-temperature surface and projections for water. and the temperature is called the critical temperature T. The saturated vapor line separates the vapor region and the two-phase liquid-vapor region.

called the qua&. Property Tables for Gases and Liquids. and entropy data are determined relative to arbitrary datums and the datums used vary from substance to substance. where f denotes saturated liquid and g saturated vapor. are presented in tabular form and. when there are changes in chemical composition during the process. the corresponding temperature is called the saturation temperature. enthalpy. Values for specific internal energy. For a specified temperature. When a mixture of liquid and vapor coexist in equilibrium. The form of the tables and the way they are used is assumed to be familiar. The calculated specific internal energy. The approach to be . (2. The region to the right of the saturated vapor line is often referred to as the superheated vapor region because the vapor exists at a temperature greater than the saturation temperature for its pressure. the corresponding pressure is called the saturation pressure.. the temperature remains constant as long as both phases are present. be symbolized by x. as computer software. where uf. For a specified pressure. = u. the apparent specific volume u of the mixture is u = (1 .. in the two-phase liquid-vapor region. + xu. increasingly. p-v-T and specific heat data. enthalpy.x)u. in Reference 1 the internal energy of saturated liquid water at 0. Dividing by the total mass of the mixture m and letting the mass fraction of the vapor in the mixture. The region to the left of the saturated liquid line is also known as the compressed liquid region because the liquid is at a pressure higher than the saturation pressure for its temperature. The results of such calculations.01"C (32. When calculations are being performed that involve only differences in a particular specific property. Accordingly. the liquid phase is at the saturated liquid state and the vapor is at the corresponding saturated vapor state. and other thermodynamic data. The total volume of any such mixture is V = V. m g / m .02"F) is set to zero. the datum cancels. and entropy.36) = U f + xu.2. + mgvg where m and v denote mass and specific volume. .up Expressions similar in form to these can be written for internal energy. This may be written as mu = mp. For example. Care must be taken.3 PROPERW RELATIONS 67 When a phase change occurs during constant pressure heating or cooling. + V. but for refrigerants the saturated liquid enthalpy is zero at -40°C (-40°F for tables in English units). and entropy are calculated for gases and liquids using the T dS equations and relations developed from them. however. a line of constant pressure is also a line of constant temperature. supplemented by data taken from direct physical measurement or determined from these measurements. respectively. enthalpy.

MODELING. and c. These properties are known commonly as spec$c heats. A liquid modeled in this way is said to be incompressible.68 THERMODYNAMICS.37) (2. holding pressure fixed gives cp = c. is also a function of temperature alone: du cJT) = dT Although specific volume u is constant. are defined as partial derivatives of the functions u(T. the change in specific entropy is . respectively (2. enthalpy varies with both temperature and pressure as shown by Differentiating Equation 2. respectively. AND DESIGN ANALYSIS followed when composition changes due to chemical reaction is considered in Section 2. the specific heat c. For an incompressible substance Equation 2. This behavior is also exhibited by other substances. The property k is simply their ratio (2.39) Incompressible Liquid Model. p ) . for an incompressible substance the two specific heats are equal. the variables held fixed in the differentiation process.40 with respect to temperature.33b reduces to du = T ds. Then. Reference to property data shows that for the liquid phase of water there are regions where the variation in the specific volume is slight and the dependence of internal energy on pressure (at fixed temperature) is weak. with du = c(T) dT. The common specific heat is commonly shown simply as c. Specific Heats. As a model.38) where the subscripts u and p denote. it is often convenient to assume in such regions that the specific volume (density) is constant and the internal energy depends only on temperature. Since the incompressible liquid model regards internal -energy to depend only on temperature.4. The properties c. That is.. u ) and h(T..

41) As an alternative to the incompressible liquid model when saturated liquid data are available. where p . the compressibility factor approaches a value of 1. 51. the value of the that when p R is small. and T.3 PROPERTY RELATIONS 69 As = dT (2.2. By inspection of a generalized compressibility chart. together with illustrations of their use. In one form of generalized charts the compressibility factor Z is plotted versus the reduced pressure p R and reduced temperature TR. For vapor and liquid states. and TR = T/T. These considerations lead to the introduction of an ideal-gas model for each real gas. and for many states with temperatures high relative to T. and its internal energy . for pressures that are low relative to p. Generalized compressibility charts suitable for engineering calculations. For example. are. generalized charts can be developed from which reasonable approximations to the p-u-T behavior of many substances can be obtained. are available from the literature [ 1. the general pattern of the p u-T relation can be conveniently shown in terms of the compressibility factor Z. the ideal-gas model of nitrogen obeys the equation of state pV = ET. pV = ET (2. That is.1). Ideal-Gas Model. it may be assumed with resonable accuracy that Z = 1.defined as p R = p l p . defined by Z = pU/ZT. where E is the universal gas constant (Section 2. 2.. Using the compressibility factor. and its internal energy is a function of temperature alone... The ideal-gas model of oxygen also obeys pV = ET. Within the indicated limits. That is. the critical pressure and critical temperature. and for many states when T compressibility factor Z is closely 1. the following equations can be used to estimate property values at liquid states where the subscript f denotes the saturated liquid state at the temperature T and pSat is the corresponding saturation pressure.43) It can be shown that the internal energy and enthalpy for any gas whose equation of state is exactly given by Equation 2.43 depends only on temperature [l]. respectively. it can be concluded R is large.

./C. = dhIdT for an ideal gas. 5 . Differentiating with respect to temperature dh dG =-+ R dT dT - With Equations 2.. = dZ/dT and Z. is the specific gas constant.1 k .37 and 2. Dividing the ideal-gas equation of state by the molecular weight M . Ideal-gas specific heats also can be obtained from theory based on molecular models of matter using spectroscopic measurements.44b) Specific heat data can be obtained by direct measurement. defined as E I M . but the function differs from that for nitrogen since each gas has a unique internal structure. Since k = C. the two ideal-gas specific heats depend on temperature alone. Ideal-gas specific heat functions in both tabular and equation form are available in the literature for a number of substances 11. = . this gives c.70 THERMODYNAMICS. The real gas approaches the ideal-gas model in the limit of low reduced pressure. expressions for internal energy and enthalpy can be obtained by integration: . and their difference is the gas constant. Other forms in common use are pV=aRT .(T) = FJT) +E (2. ideal-gas model specific heats result. MODELING.. When extrapolated to zero pressure.1 (2.. AND DESIGN ANALYSIS is also a function of temperature alone.44a) That is.the equation is placed on a unit mass basis pv = RT where R . Since E.38. c u = k. the ideal-gas enthalpy and internal energy are related by h(T) = Z(T) + ET. 61. pV=mRT Since pU = ET for an ideal gas. At other states the actual behavior may deviate substantially from the predictions of the model. kR R e.

S”(T)can be tabulated versus temperature.34b) follows - s(T2.47 can be rewritten using s”(T) defined by (2.? ‘ ( T i )- E In PI (2.2. Using dU = C. ) = s”(T2). pI) = IT: 9 - dT - E In PI (2. u(T) = h(T) = ?. is.$Ti.45 and 2. p .(T) dT ?. The first T dS equation.can be used to determine the entropy change of an ideal gas between two states.47) Equation 2.48 provide the basis for a simple tabular display. h(T). T d s = dU + p h..45) where T‘ is an arbitrary reference temperature. s” is identified as the absolute entropy at temperature T and a reference pressure prep That . dT and p l T = RIG - c.3 PROPERTY RELATIONS 71 - T JT. Tabulations for several gases based on the specification % = U = s” = 0 at T‘ = 0 K are available in the literature [l].4. In Section 2.48) as S(T2. by specifying the reference temperature T’ the quantities u(T).49) Equations 2.p 2 ) .(Ti..p 2 ) .(T) dT R +=dv di = T V Integrating between states 1 and 2 Similarly. from the second T dS equation (Equation 2.(T) dT + $T’) + %(T’) - IT: - (2.

It is often convenient in such instances to assume them to be constant. In T2 + T I u R In 2 UI S(Tz. pkV = n s T where p is the mixture pressure and p k is the partial pressure of component k. usually their arithmetic average over the interval. p k : The pressure of a mixture of ideal gases is equal to the sum of the partial pressures of the gases.. AND DESIGN ANALYSIS When the temperature interval is relatively small.S(T. defined as nk/n. Thus . is the mole fraction of component k.) .s(T.%(TI)= Cp(Tz.p l ) = cp In . v l > = C.T .50~) h(Tz) .xk = 1.. enthalpy. Since CN k = .51) where xk. The internal energy. each can be treated as an ideal gas... enthalpy.p 2 ) . This is known as Dalton’s model of additive partial pressures. we have p = Cr=. Writing the ideal-gas equation of state for the mixture as a whole and for any component k pV = nRT. provided that the contribution from each gas is evaluated at the condition at which the gas exists in the mixture. The partial pressure p k is the pressure gas k would exert if nk moles occupied the mixture volume alone at the mixture temperature. and entropy of the mixture can be determined as the sum of the respective properties of the component gases.R In T I PI - - T 2 - Pz (2. Forming the ratio of these two equations gives P k = -n P=XkP nk (2.72 THERMODYNAMICS. and each acts as if it exists separately at the volume and temperature of the mixture.50d) Ideal-Gas Mixtures. u.(Tz - TI) (2SOa) (2. the ideal-gas specific heats are nearly constant.50b) (2. and entropy of an ideal gas then appear as - u(TJ - $TI) = C. MODELING. ) s(T. The expressions for changes in internal energy. Consider a phase consisting of a mixture of N gases for which the Dalton mixture model applies: Each gas is uninfluenced by the presence of the others.

Accordingly. Since the internal energy and enthalpy of an ideal gas depend only on temperature. The molecular weight M of the mixture is determined in terms of the molecular weights Mk of the components as M = k= I 2 xkMk N (2. the Uk and h k terms appearing in these equations are evaluated at the temperature of the mixture.jk k= I or S = k= I xkS. for the mixture in terms of the corresponding specific heats of the components : v ' N - = xkcuk k= I (2. xkUk and h = xkhk with respect to temperature results. and F.3 PROPERTY RELATIONS N N 73 u= H = nkUk or k= I ii = k= I xkUk N (2.52b) (2.52a) (2.55) Inserting the expressions for H and S given by Equations 2.52~) N nkhk or k= I h= k= I xkhk N s= N n. in expressions for the two specific heats C. the Sk terms are evaluated either at the temperature and volume of the mixture or at the mixture temperature and the partial pressure p k of the component.2."==. Entropy is a function of two independent properties.53) Differentiation of U = E.54b) - N 'p = 'Spk k= I where Cuk = d u k / d T and Cpk = dh..TS results in .52b and 2 .54a) (2. 5 2 ~ into the Gibbs function G = H . In the latter case (2. respectively./dT.

Saturated air is a mixture of dry air and saturated water vapor. (2. and principles of psychrometrics.74 THERMODYNAMICS.622 - P .58a) which can be expressed alternatively as Pv w = 0. In particular. The composition of a given moist air sample can be described in terms of the humidity ratio (specijc humidity) w. and p u of the dry air and water vapor..56) where the molar specific Gibbs function of component k is gk(T. V = RTIp. the Dalton model is applicable. defined as the ratio of the mass of the water vapor to the mass of dry air: m. MODELING.P k ) . thus (2. In this section we consider some important terms. Ideal-gas mixture principles are assumed to apply to moist air.58b) . defini- tions. the partial pressure of the water vapor equals the saturation pressure of water p g corresponding to the mixture temperature T.(T) . the study of systems consisting of dry air and water.35b at fixed temperature from an arbitrarily selected reference pressure p' to pressure pk(= x k p ) as follows: For an ideal gas. AND DESIGN ANALYSIS A: N (2. p k ) = h.57) Psychrometries. respectively.Tik(T.Pv (2. Moist air refers to a mixture of dry air and water vapor in which the dry air is treated as if it were a pure component. The Gibbs function of component k can be expressed alternatively by integrating Equation 2. For saturated air. and so the mixture pressure p is the sum of the partial pressures p .

Reference 1 gives .(T) -.2. the values of H and S can be found by adding the contribution of each component at the condition at which it exists in the mixture.61) When using steam table data. the original sample would consist of a gas phase of dry air and saturated water vapor in equilibrium with a liquid water phase.ha + oh. Several important parameters of moist air are represented graphically by psychrometric charts. ma (2. the contribution of each component in the mixture is determined at the mixture temperature and the partial pressure of the component: (2. This equation is obtained by applying Equation 2. When using steam table data for the water vapor. Thus. is calculated from s. For moist air at a pressure of 1 atm. ) = s.59.59) For moist air.R In 4. = h.47 on a mass basis between the saturated vapor state at temperature T and the vapor state at T. When a sample of moist air is cooled at constant pressure. p .(T). When cooled to a final equilibrium state at a temperature below the dew point temperature. the enthalpy is H = H. the temperature at which the sample becomes saturated is called the dew point temperature. Cooling below the dew point temperature results in the condensation of some of the water vapor initially present. Further discussion including a numerical illustration is provided in Section 2.(T. = mnha + mvhu or H _ . . p . The relative humidity can be expressed as (2. are each evaluated at the mixture temperature. is calculated from h. s.3 PROPERTY RELATIONS 75 The makeup of moist air also can be described in terms of the relative humidity 4. and using Equation 2. h. and h. + H. defined as the ratio of the water vapor mole fraction in a given moist air sample to the water vapor mole fraction in a saturated moist air sample at the same temperature T and pressure p .60) where h. To evaluate the entropy of moist air.5.

2 Multicomponent Systems In this section we introduce some general aspects of the properties of multicomponent systems consisting of nonreacting mixtures in a single phase.. internal energy. n. Sk.. The partial molal property Xk is a property of the mixture and not simply a property of the kth component. n). n.62 to be volume. nN).. . MODELING. enthalpy.. For a single-phase. respectively. As X is mathematically homogeneous of degree I in the n’s. and the Gibbs function. we have X = X(T. Familiarity with such charts is assumed.where Vk. nN). single-component system is a function of two independent in- tensive properties and the size of the system. pressure. The special case of ideal-gas mixtures is considered in the previous section. ck . 2.64) N N k= I k= I . multicomponent system consisting of N components...3. Partial Molal Properties. and mixture composition: xk(T. Any extensive thermodynamic property X of a single-phase. Selecting the extensive property X in Equation 2. Elaboration is provided elsewhere [ 11... n. AND DESIGN ANALYSIS detailed charts in SI and English units. enthalpy.. respectively. p . internal energy. pressure.76 THERMODYNAMICS. the extensive property X must then be a function of temperature.. Selecting temperature and pressure as the independent properties and the number of moles n as the measure of size. by definition.62) where the partial molal property zkis. (2..and denote the partial molal volume. . p . X = X(T. entropy.& depends in general on temperature. n. entropy.63) The subscript nl denotes that all n’sexcept nk are held fixed during differentiation. gives (2. and the number of moles of each component present in the mixture.Partial molal properties are intensive properties of the mixture.Hk.. the function is expressible as (2. and Gibbs function. p . Here. Uk.

67) Using Equation 2. A necessary condition for phase equilibrium is that the chemical potential of each component has the same value in every phase.68) When the mixture composition is constant. for a single component the chemical potential equals the molar Gibbs function.3 PROPERTY RELATIONS 77 Chemical Potential.68 reduces to Equation 2.67.56 and 2.66 reduces to G = n p . Equation 2.2.33a.p v + N k= I nkpk (2. . we conclude p k = i k ( T .66.66 can be expressed as u = TS . The chemical potential is a measure of the escaping tendency of a substance: Any substance will try to move from the phase having the higher chemical potential for that substance to the phase having a lower chemical potential. With G = H . Equation 2. together with the expression for the Gibbs function given in Equation 2.65) Like temperature and pressure. Comparing Equations 2.66) For a single-component system. the following can be derived: N dU= TdS-pdV+ k= I pkdnk (2.65.TS and H = U + pV. Equation 2.p k ) . the chemical potential p k is an intensive property. Because of its importance in the study of multicomponent systems. evaluated at the mixture temperature and the partial pressure of the kth gas of the mixture. It is called the chemical potential and symbolized by p k : (2.That is. Using Equation 2. the chemical potential of component k in an ideal-gas mixture is equal to its Gibbs function per mole of gas k. That is.64 N = nkpk k= I (2. the partial molal Gibbs function of the kth component is given a special name and symbol.

4 REACTING MIXTURES AND COMBUSTION The thermodynamic analysis of reactive systems is primarily an extension of principles introduced thus far. and all of the sulfur is burned to sulfur dioxide. In practice. combustion is incomplete. they are used as in earlier discussions in the energy and entropy balances for the system under consideration. though. the fuel-air ratio. 2.1 Combustion When a chemical reaction occurs. The minimum amount of air that supplies sufficient oxygen for the complete combustion of all the combustible chemical elements is called the theoretical. and sulfur. conservation of energy. values for the specific enthalpy and entropy are usually given relative to some arbitrary datum state where the enthalpy (or alternatively the internal energy) and entropy are set to zero.2 Enthalpy of Formation In tables of thermodynamic properties. The fundamental concepts remain the same: conservation of mass. are other ways to describe fuel-air mixtures. MODELING. all of the hydrogen is burned to water. but it can be a significant cause of pollution and corrosion problems. hydrogen. depending on the application. amount of air. so differences cannot be calculated for all substances involved. The amount of air actually supplied is commonly expressed as the percent of theoretical air or percent excess (or percent dejciency) of air. The three major combustible chemical elements in most common fuels are carbon.4. In combustion reactions. This approach is satisfactory for evaluations involving differences in property values between states of the same composition.4. when a chemical reaction occurs. to modify the methods used to evaluate specific enthalpy and entropy. the bonds within molecules of the reactants are broken. each of which can be expressed on a mass or molar basis. Once appropriate values for these variables are determined. Sulfur is usually a relatively unimportant contributor to the energy released. A fuel is said to have burned completely if all of the carbon present in the fuel is burned to carbon dioxide. However. AND DESIGN ANALYSIS 2. If any of these conditions is not fulfilled. and the second law. The air-fuel ratio and its reciprocal. because then arbitrary datums cancel. The equivalence ratio is the ratio of the actual fuel-air ratio to the fuel-air ratio for complete combustion with the theoretical amount of air. the amount of air actually supplied may be greater than or less than the theoretical amount. and it is necessary to evaluate h and s with special care lest ambiguities or inconsistencies arise. 2. rapid oxidation of combustible elements of the fuel results in energy release as combustion products are formed. It is necessary. and atoms and electrons rearrange to form products. or stoichiometric. reactants disappear and products are formed.78 THERMODYNAMICS. .

The molar enthalpy of a compound at the standard state equals its enthalpy of formation. For example. enthalpy values can be assigned to compounds. The enthalpy of formation is the energy released or absorbed when the compound is formed from its elements. The higher heating value exceeds the lower heating value by the energy that would be required to vaporize the liquid .15 K (25°C) and a reference pressure pref. and not the monatomic H. and N. symbolized by hf". and so on. The enthalpy of formation also can be found in principle by measuring the heat transfer in a reaction in which the compound is formed from the elements. and nitrogen are H. The enthalpy of combustion (LRp) is the difference between the enthalpy of the products and the enthalpy of the reactants. The molar enthalpy of a substance at a state other than the standard state is found by adding the enthalpy change A X between the standard state and the state of interest to the molar enthalpy of formation: (2. the superscript degree symbol is used to denote properties at prep For the case of the enthalpy of formation. associated with a change of state at constant composition. The term stable simply means that the particular element is chemically stable. AcX can be evaluated from tabular sources such as the steam tables. An arbitrarily chosen datum can be used to determine A&. The heating value of a fuel is a positive number equal to the magnitude of the enthalpy of coinbustion.. the higher heating value (HHV) and the lower heating value (LHV). A the ideal-gas tables when appropriate. For hydrocarbon fuels the enthalpy of combustion is negative in value since chemical internal energy is liberated in the reaction.69) That is.which may be 1 bar or 1 atm depending on the data source. and N.2. Two heating values are recognized b y a m e . As a consequence of the enthalpy datum adopted for the stable elements. Using the datum introduced above. the reference temperature Trefis also intended by this symbol. = 298. the specific enthalpy determined from Equation 2.69 is often negative. 0. and Ah. oxygen. since it is a difference at constant composition. The higher heating value is obtained when all the water formed by combustion is a liquid. and prepThe enthalpy of formation is usually determined by application of procedures from statistical thermodynamics using observed spectroscopic data. In this book..4 REACTING MIXTURES AND COMBUSTION 79 An enthalpy datum for the study of reacting systems can be established by assigning arbitrarily a value of zero to the enthalpy of the stable elements at a state called the standard reference state and defined by T. each on a per mole of fuel basis.Lassociated with the formation of the substance from its elements. at the standard state the stable forms of hydrogen. the compound and elements all being at T. the enthalpy of a substance is composed of h. cordingly. when complete combustion occurs and both reactants and products are at the same temperature and pressure. the lower heating value is obtained when all the water formed by combustion is a vapor.. 0.

This is accomplished using the third law of thermodynamics. Similarly. this law states that the entropy of a pure crystalline substance is zero at the absolute zero of temperature. The entropy relative to this datum is called the absolute entropy. The change in entropy of a substance between absolute zero and any given state can be determined from precise measurements of energy transfers and specific heat data or from procedures based on statistical thermodynamics and observed molecular data. The partial . The third law provides a datum relative to which the entropy of each substance participating in a reaction can be evaluated so that no ambiguities or conflicts arise. AND DESIGN ANALYSIS . p k ) . The experimental evidence on which the third law is based is obtained primarily from studies of chemical reactions at low temperatures and specific heat measurements at temperatures approaching absolute zero.71) In this expression. the specific entropy at any other state can be found by adding the specific entropy change between the two states to the absolute entropy at the standard state. When the absolute entropy is known at the standard state.80 THERMODYNAMICS. 2.water formed at the specified temperature. 0 K or O'R. MODELING. s"(T) denotes the absolute entropy at temperature T and pressure prep The entropy of the kth component of an ideal-gas mixture is evaluated at the mixture temperature T and the partial pressure p k : S.47. p ) = s"(T) - P E In Pref (ideal gas) (2. when the absolute entropy is known at the pressure prefand temperature T.3 Absolute Entropy When reacting systems are under consideration. the same basic problem arises for entropy as for enthalpy: A common datum must be used to assign entropy values for each substance involved in the reaction. the absolute entropy at the same temperature and any pressure p can be found from (2. These values also depend on whether the fuel is a liquid or a gas. Based on experimental observations. giving - s(T. which deals with the entropy of substances at the absolute zero of temperature. The values of HHV and LHV are typically reported at a temperature of 25°C (77°F) and a pressure of 1 bar (or 1 atm).4. Substances not having a pure crystalline structure at absolute zero have a nonzero value of entropy at absolute zero.(T.70 can be evaluated for an ideal gas by using Equation 2.70) The term in brackets on the right side of Equation 2.

for the kth component of an ideal-gas mixture Equation 2. The Gibbs function o f formation of a compound equals the change in the Gibbs function for the reaction in which the compound is formed from its elements. and Gibbs function of formation in SI and English units are provided in Reference 1 for the specification pref= .73) For reacting systems.4. absolute entropy. where xk is the mole fraction of component k and p is the mixture pressure. The Gibbs function at a state other than the standard state is found by adding to the Gibbs function of formation the change in the specific Gibbs function A 2 between the standard state and the state of interest: The Gibbs function of component k in an ideal-gas mixture is evaluated at the partial pressure of the component and the mixture temperature. 2. Tables giving standard state values of the enthalpy of formation.4 REACTING MIXTURES AND COMBUSTION 81 pressure is given by pk = xkp. Thus.4 Ancillary Concepts Table Data. Property data suited for the analysis of reactive systems are available in the literature [ l . 61. values for the Gibbs function are commonly assigned in a way that closely parallels that for enthalpy: A zero value is assigned to the Gibbs function of each stable element at the standard state.7 1 takes the form or (2.72) (component k of an ideal-gas mixture) where $(T) is the absolute entropy of component k at temperature T and prep The molar Gibbs function 2 is g=h-T: (2.2.

Reference 6 also provides simple analytical representations of these thermochemical functions readily programmable for use with personal computers. in this table. and Gibbs function are given in Reference 6 versus temperature for pref= 1 bar. All entering and exiting streams are at the same temperature T and pressure p . is applied in Section 3. MODELING.H. Values for specific heat.27: For steadystate operation. See Table C. - aCO. .. a hydrocarbon fuel C. To illustrate the combustion principles introduced thus far. and oxygen 0. nF Figure 2 . AND DESIGN ANALYSIS 1 atm. . absolute entropy. The reaction is complete: C.O The derivation of Equation 2.3.4.l in Appendix C for a sampling.. the behavior of the gases corresponds to the ideal-gas model. Maximum Work. enthalpy..3.$b hH2. Referring to Figure 2. carbon dioxide and water exit separately. 3 Device for evaluating maximum work.75 parallels that of Equation 2. The result. + (a + +b)O. + (a + +b)h.3. enter the system in separate streams.H. let U S consider the maximum work per mole of fuel that can be developed by the system shown schematically in Figure 2. Qcv - - - ah. the energy rate balance for the system reduces to give on a per mole of fuel basis wcv nF = -+ h. + 3b H.75. The system considered in this development is similar to such idealized devices as a reversible fuel cell or a van't Hoff equilibrium box. Equation 2.82 THERMODYNAMICS. This source also provides s" versus temperature for several gases modeled as ideal gases.

Eliminating the heat transfer term from these expressions.T i . when water exits the system of Figure 2. Kinetic and potential energy effects are regarded as negligible.75a is this section. HHV. Equation 2. LHV. the recognized as -hRp. the term -ERp corresponds to the standard heating value: the higher heating value. Alternatively.75b) When the temperature and pressure in this expression correspond. is obtained when the entropy generation t e m is set to zero: Referring to the discussion of enthalpy of combustion given previously in term in curly brackets on the right side of Equation 2. respectively. the work developed per mole of fuel is In this expression.69 and the entropies are necessarily absolute entropies.4 REACTING MIXTURES AND COMBUSTION 83 where the subscript F denotes fuel. to 25°C (77°F) and 1 bar (or 1 atm). If heat transfer occurs only at temperature T. and the lower heating value.3 as a liquid. corresponding to the absence of irreversibilities within the system.UScoz - +b SHZO + Sgen n. when water vapor exits. using the specific Gibbs function g = h . An expression for the maximum value of the work developed per mole of fuel. an entropy balance for the control volume takes the form o = -Q c v I n F T +Sf + (a + $b)io.75a can be expressed in the form .75a can be written as (2. the enthalpies would be evaluated in terms of enthalpies of formation via Equation 2. Thus. . Equation 2.2.

The form of the equation suggests that at equilibrium the tendency of A and B to form C and D is just balanced by the tendency of C and D to form A and B. C. B. Component E is assumed to be inert and thus does not appear in the reaction equation. A. and D in the equilibrium mixture. D. the following expression. AND DESIGN ANALYSIS Reaction Equilibrium. called the equation of reaction equilibrium. Consider a system at equilibrium containing five components.B * vcC + vJl where the v’s are stoichiometric coefficients. . C. the composition that would be present at equilibrium for a given temperature and pressure can be determined by solving this equation.2) of A. The solution procedure is simplified by using the equilibrium constant K(T). defined by (2. the superscript degree symbol denotes properties at prep Further discussion of the equilibrium constant is provided in Reference 1.77) where As before. a detailed thermodynamic model is developed and presented in this section for the cogeneration system of Figure 1. at a given temperature and pressure. subject to a chemical reaction of the form vAA + v.2.3. Additionally. and is illustrated in Examples 2. 2. MODELING. In principle. The model is used in subsequent sections of this book. the temperature and pressure would be uniform throughout the system.84 THERMODYNAMICS. must be satisfied [ 11: where the p’s are the chemical potentials (Section 2.1 and 2.2. and E. B. At equilibrium. which conclude the present section.7 and Table 1.5 THERMODYNAMIC MODEL-COGENERATION SYSTEM Using principles developed thus far.

The fuel is provided to the combustion chamber at the required pressure by throttling from a high-pressure source. qst 5 0. the compressor pressure ratio should not exceed 16: p J p . 5 16. They are kept fixed in an optimization study. . The following nominal values of the decision variables correspond to the case = 8696. For cost reasons.5 THERMODYNAMIC MODEL-COGENERATION SYSTEM 85 Assumptions.. Heat transfer from the combustion chamber is 2% of the fuel lower heating value. we also require that the maximum values of the isentropic compressor and isentropic turbine efficiencies are less than 90 and 92%. Ideal-gas mixture principles apply for the air and the combustion products. Because of materials limitations for the gas turbine. it is convenient to identify two types of independent variables: decision variables and parameters. Parameters.2. T4 = 1520 reported in Table 1. the temperature T4 is also constrained: T4 5 1550 K. respectively: qs. All other components operate without heat loss. Here we give only the higher limits for the decision variables: To use one of the commercially available gas turbine power plants. All other variables are dependent variables. 5 0. The fuel (natural gas) is taken as methane modeled as an ideal gas. N.2: p 2 / p I= 10. but the parameters remain fixed in a given application. qsc= v. Their values are calculated from the independent variables using the thermodynamic model.temperature of the air entering the combustion chamber T3.isentropic turbine efficiency qst. is inert. Variables.92. In this model. each decision variable is normally required to be within a given range.isentropic compressor efficiency qs. K.~.90. T3 = 850 K. The assumptions underlying the cogeneration system model include the following: The cogeneration system operates at steady state. The decision variables may be varied in optimization studies. In thermal system design and optimization. In this model the compressor pressure ratio p 2 / p I . Parameters are independent variables whose values are specified. and temperature of the combustion products entering the turbine T4 are considered as decision variables. Although the decision variables may be varied in optimization studies. The combustion in the combustion chamber is complete. the following parameters are identified: System Products The net power generated by the system is 30 MW. Decision Variables.

we use plo = 40 bars. = 20 bars and m.5. T6 P4 P59 T 5 T 7 Governing Equations.In the optimization study discussed in Section 9. = 20 bars.. Dependent Variables. a set of governing equations can be developed from the principles introduced thus far in this chapter.59 0. = Air Compressor TI = 298. the power required by the compressor. Pressure drop: 5% on the Combustion Chamber TI. Using the assumptions listed. the molar flow rates of the fuel.. air. p1 = 1. = 298.79a) . and the following pressures and temperatures: Air compressor Air preheater Combustion chamber Gas turbine Heat recovery steam generator P 2 7 T2 P37 P6.03 CO. = 1.86 THERMODYNAMICS. Heat-Recovery Steam Generator T.90 H. Pressure drop: 5%. The dependent variables include the mass flow rates of the air. In Table 1. 14 k g l s .O(g).2 we give a nominal value for p l 0 . p .15 K. combustion products. and fuel.48 N.013 bars (1 atm). Air Preheater Pressure drops: 3% on the gas side and 5% on the air side. the power developed by the turbine.15 K. 1. p . MODELING. 0. 20. Denoting the fuel-air ratio on a molar basis as h. and combustion products are related by (2.15 K (25"C). Air molar analysis (%): 77. This involves consideration of several individual control volumes as follows: Control Volume Enclosing the Combustion Chamber. the pressure pl0 of the fuel entering the combustion chamber is a parameter. AND DESIGN ANALYSIS Saturated water vapor is supplied by the system at p .013 bars. gas side.. Additionally. = 298.

- (2.361 kJ/kmol. .5 THERMODYNAMIC MODEL-COGENERATION SYSTEM 87 where the subscripts F. The fuel-air ratio can be obtained from an energy rate balance as follows: (2.0.2059h0. oxygen.OOO3h.7748 -1 + A' z N ' x02 xH20 - 0. and a denote. respectively (1 + O. Collecting Equations 2.019 + 2h)hH2.2059 1 - 2A (2.2.O2 + 0. and air. hydrogen.02A LHV -- + hi. = [0.0003 + A)hco2 + (0.019hH2o](T) + h)hp= [0.p .h. In these . respectively.](T) h. LHV = nn(-0.7748hN.2h)Z0.79~) +A xc02 = 0. fuel. LHV = 802.798) (2.0003 + h ' l + h = 0. = -0.79e) Using data from Table C. + (0.79d) 0 =Q . we have 0 = -0.019 + 2h l + h The molar analysis of the combustion products is fixed once the fuel-air ratio A has been determined. . combustion products. .79f) from which h can be evaluated. the mole fractions of the components of the combustion products are .2059 . the enthalpies of the air and combustion products are. P .(1 + h)Zp (2. For complete combustion of methane the chemical equation takes the form Balancing carbon. With ideal-gas mixture principles. + 0.+ Ah.7748ZNz+ (0.+ nFhF+ nc. 1.. we have Q.O2ni.l.79h) where the specific enthalpies are evaluated using data from Table C.79d and e.nphp As the heat loss is assumed to be 2% of the fuel lower heating value.02A LHV) - -- (2.. . and nitrogen.

80a. p .js evaluated at temperature T3 and &.T2 iteratively.80b is used to . the value of A depends on the decision variables T3 and T.s.79a (2. For this control vol- ume the energy rate balance takes the form 0 = &" . With Equation 2. As the pressure at state 2 is specified. The state 2s is fixed using S2.WC"+ - h.88 THERMODYNAMICS. = 0. AND DESIGN ANALYSIS equations.80a) The term (hi . respectively. ..) + & -( Z5) i ..Y . Since nF = Aria.80b) where denotes the specific enthalpy for an isentropic compression from the inlet state 1 to the specified exit pressure p 2 .h. p4.95)2p. The value of h2 determined from Equation 2.80a is evaluated using the isentropic compressor efficiency: (2.95p2. denote the molecular weights of the fuel and air. . As the pressure at state 7 is specified. giving p4 = (0. is determined using the assumed pressure drops across the air preheater and the combustion chamber: p 3 = 0.80~) %.) of Equation 2.h5 (2.h. developed next. h.80a is evaluated using the isentropic turbine efficiency: h. The molar flow rate ria is evaluated using Equation 2. Thus. MODELING.) of Equation 2. the pressure at the exit of the combustion chamber.79i) where M F and M . where Wcyis the net power developed (=30 MW).95p3. the fuel and air mass flow rates are related by (2. p . is evaluated at T.= - h4 - where h.. is determined using the assumed pressure drops across the heat . calculate the value of The term (h. Control Volume Enclosing the Compressor and Turbine.. denotes the specific enthalpy for an isentropic expansion from the turbine inlet state 4 to the exit pressure p 5 . = 0.

the temperature T7 is obtained iteratively. 3 400 K (2. 8 0 ~ is used to calculate the value of T5iteratively.82a) After solving Equation 2. T.2. = 1 Control Volume Enclosing the Air Preheater. = 427 K. the decision variable T3 would be reduced and/or the decision variable T4 increased until T7 5 400 K.)fcv + tia(& - h3) + flp(&5 .mF. together with the respective values for the molecular weights.2.80b and c. The mass flow rates depend on the values of all five decision variables.) + h8(h8. is kept below the saturation temperature: T. < T. corrosive sulfuric acid can be formed when the products of combustion are sufficiently cooled..80a can be solved for the air molar flow rate tifl.2.81) After solving Equation 2. assists in identifying workable designs.. For this control volume the energy rate balance takes the form 0 = dcv . In the present model we assume T.5 THERMODYNAMIC MODEL-COGENERATION SYSTEM 89 recovery steam generator and the air preheater: p 6 = p7/0.) (2. . .97. in an optimization study where the decision variables have been changed from the nominal values of Table 1. As the heat recovery steam generator (HRSG) involves a preheater (economizer) and an evaporator. the mass flow rates mfl./(0. together with the other constraints listed before. This can be guarded against by maintaining the temperature T7 above a minimum value. the preferred approach for satisfying the constraint would be to reduce T3.) (2. Owing to the presence of sulfur in natural gas. The 'For the case of Table 1.h. the temperature of the liquid exiting the preheater. and mp can be determined. Control Volume Enclosing the Heat Recovery Steam Generator. Using Equations 2. For this control volume the energy rate balance takes the form 0 = riP(Z6 - h. the temperature T6 is obtained iteratively.82b) The constraint on T7.97). Since T4 significantly affects the turbine costs (Appendix Table B. however. For example. Equation 2. Then the fuel and product molar flow rates dF and rip can be evaluated from Equation 2. an additional constraint on workable designs follows: To avoid vaporization in the preheating section.82b is not satisfied. which in the present model is taken as 400 K': T.79a. Alternatively.95)(0. we have T. using Equation 2.2).82a for h7.95.81 for h6. but Equation 2.h. p5 p610. giving p5 = p. = T. The value of h5 determined from Equation 2 .79i.15 K (= 471 K).

90

THERMODYNAMICS, MODELING, AND DESIGN ANALYSIS

temperature of the gas entering the preheater from the evaporator section, T,, is then obtained by solving the preheater energy rate balance2:
0 = riip(hg -

E,) + k9(h,

-

h,)

(2.82~)

To avoid excessive capital costs, it is necessary for the gas temperature T, to approach the saturation temperature T9 no more closely than a specified amount. In the present model we require the following3:
Tg - T 9 ? 1 5 K

(2.82d)

Accordingly, if Equation 2.82d were not satisfied in an optimization study where the decision variables have been changed from the nominal values of Table 1.2, we would reduce T3 (and/or increase T4) as discussed above until T, - T9 2 15 K.
Dew Point Temperature of the Combustion Products. When a mixture con-

sisting of gaseous products of combustion containing water vapor is cooled at constant mixture pressure, the dew point temperature (the saturation temperature corresponding to the partial pressure of the water vapor) marks the onset of condensation of the water vapor. For example, for the products exiting the cogeneration system at state 7, and using values given in Table 1.2, the partial pressure of the water vapor is
p , = xup = (0.0807)(1.013 bars)
=

0.0817 bar

(2.83a)

The corresponding saturation temperature-the dew point temperature-is closely 42°C. Cooling at constant mixture pressure below the dew point temperature would result in some condensation of the water vapor. For example, if the mixture were cooled to 25°C at a fixed pressure of 1 atm, some condensation would occur. We model the result at 25°C as a gas phase containing saturated water vapor in equilibrium with a saturated liquid water phase.4 On the basis of 1 kmol of combustion products formed, the gas phase at 25°C would consist of 0.9193 kmol of dry products (0.7507 N,, 0.1372 0,, 0.0314 CO,) plus nu kmol of water vapor. The partial pressure of water vapor would be equal to the saturation pressure, p g (25°C) = 0.0317 bar. The amount of water vapor present can be found from p,, = xup, which now takes the form
2For the case of Table 1.2, we have T, = 526 K. 3For the case of Table 1.2, we have T, - T9 = 40 K. 4At normal temperatures and pressures the equilibrium between the liquid water phase and the water vapor is not significantly disturbed by the presence of the dry air. See Reference I , Sections 12.6.4 and 14.6. I .

2.5 THERMODYNAMIC MODEL-COGENERATION SYSTEM

91

0.0317 bar

=

0.9193

+ n,

(1.013 bars)

(2.83b)

Solving Equation 2.83b gives nu = 0.0297 kmol. Thus, for the case of Table 1.2, the composition of the combustion products at 2 5 T , 1 atm reads I0.7507 N , ,0.1372 O,, 0.0314 CO,, 0.0297 H,O(g), 0.0510 H,O(l)} where the underlining identifies the gas phase. This result is used in the solution to Example 3.1.

Example 2.1 For the cogeneration system of Figure 1.7 and Table 1.2, determine the fuel-air ratio and the analysis of the combustion products, each on a molar basis.
Solution
MODEL
1. A control volume enclosing the combustion chamber is considered. 2. The control volume operates at steady state. 3. Ideal-gas mixture principles apply for the air and combustion products. 4. Combustion is complete. N, is inert. 5. Kinetic and potential energy effects are ignored. 6. Heat transfer from the control volume is 2% of the lower heating value of the fuel.

ANALYSIS. Denoting the fuel-air ratio on a molar basis as h, the molar flow rates of the fuel, air, and combustion products are related as follows:

On a per mole of air basis, the chemical equation then takes the form

ACH,

-

+ t0.7748 N, + 0.2059 0, + 0.0003 CO, + 0.019 H,O]
11 + xI[xN2N2 + xo202 + xco,CO, + xHz0H201

Balancing carbon, hydrogen, oxygen, and nitrogen, the mole fractions of the components of the combustion products are

92

THERMODYNAMICS, MODELING, AND DESIGN ANALYSIS

XN,

=

1+h’ 0.0003 +
l + A

0.7748

0.2059 - 2 A xoz l + h ’
XHzO

xco2 =

=

0.019 + 2h l + h

Accordingly, the molar analysis of the products is fixed once /I has been determined. The fuel-air ratio can be obtained from an energy rate balance as follows: With indicated idealizations, the energy rate balance takes the form

By assumption 6 of the model, the heat transfer rate is
Qcv

-0.02piF LHV -= ria( -0.02A LHV)
=

-

Collecting results
I -

O = -0.02h LHV

+ %, + n%, - (1 + h)h,

Using ideal-gas mixture principles to determine the enthalpies of the air and combustion products, we have, for T3 = 850 K, T4 = 1520 K,

Combining the last three equations and solving for h yields

-

A =

0.7748 Ah,, + 0.2059 Ah,, + 0.0003 Ah,,, + 0.019 AhHzO hF - 0.02 - (-2hoz + hco, + 2h~,o)(T4)

LHV

Evaluating enthalpy values in kJ/mol as in Appendix Table C.1, we have
-

h, = -74,872 kJ/kmol,

LHV
=

802,361 kJ/kmol

2.5

THERMODYNAMIC MODEL--COGENERATIONSYSTEM

93

-

Component N* 0, CO, H,O With these data, follows:

h (850 K)
17,072 17,540 -367,121 -221,321

h (1520 K)
39,349 41,138 -330,159 - 192,283

AX (kJ/kmol)
22,277 23,598 36,962 29,038

h

=

0.0321, and the molar analysis of the products is as

Component Mole fraction COMMENTS

N,
0.7507

0, 0.1373

CC), 0.0314

H,O
0.0806

1. Roundoff accounts for the slight departure from the product molar anal-

ysis reported in Table 1.2. 2. Using Equation 2.55, the mixture molecular weight of the combustion products is 28.254.

Example 2.2 For the cogeneration system shown in Figure 1.7 and Table 1.2, determine the mass flow rates of the fuel and the air, each in kilograms per second, for a net power output of 30 MW.

Solution
MODEL 1. 2. 3. 4. 5. A control volume enclosing the compressor and turbine is considered. The control volume operates at steady state. Ideal-gas mixture principles apply for the air and combustion products. Kinetic and potential energy effects are ignored. The compressor and turbine operate adiabatically.

ANALYSIS. - The fuel and air molar flow rates are related by the fuel-air ratio: riF = Aria. Or, expressed alternatively in terms of mass flow rates

94

THERMODYNAMICS, MODELING, AND DESIGN ANALYSIS

-MF mF - A - m,

M,

As is evaluated in Example 2.1, the fuel mass flow rate can be determined once m, is known. The mass flow rate of the air can be obtained from an energy rate balance as follows: With indicated idealizations, the energy rate balance takes the form
0 = dCV - wcv + A,(%,
-

h,) + rip(&
- -

-

h,)

or, in terms of the fuel-air ratio, as
0=

! % + (h, - h,) + ( I + h)(h4 - h,)
na

Converting to a mass flow rate basis and solving yields
~a

=

(1

+ h)(h, - h5)+ (h, - h,)

MOW,,

The molar analysis and temperature of the air entering the compressor at state 1 are known. The molar analysis and temperature of the combustion products entering the turbine at state 4 are also known. Thus, the corresponding specific enthalpy values, h, and h,, required to evaluate ma can be determined using ideal-gas mixture principles together with enthalpies evaluated as in Appendix Table C.l: h , = -4713.3 kJ/kmol, h, = 9304.5 kJ/kmol Values for the specific enthalpies h2 and h5 are also required. They can be evaluated using the compressor and turbine isentropic efficiencies, respectively, as follows: Solving the expression for the compressor isentropic efficiency 77.w

=

h, h,
h,, h, -

we have

where h2, denotes the specific enthalpy for an isentropic compression from the inlet state 1 to the specified exit pressure p,. As the air composition is

2.5 THERMODYNAMIC MODEL-COGENERATION SYSTEM

95

fixed, ideal-gas mixture principles allow the isentropic compression to be described as

S ,, - SI = 0.7748 ?(T2,)

-

?(TI)
-

-

R In --

?(T,,)
?(T,,)

;'(TI)

E In

-

?(TI) -- E In

PI

?(T,,)

-

?(T,)

--

E In PI

=o
Evaluating the specific entropies at TI reduces to
=

1 1 p21
PI

02

0 3 2

H20

298.15 K as in Table C.l, this

Inserting the specific entropy expressions for N,, 0,, CO,, and H,O from Table C.1 and solving gives T2,$(-563 K) and the corresponding specific = 3293.5 kJ/kmol. Accordingly, enthalpy:

= =

-4713.3 +

3293.5 + 4713.3 0.86

4596.9 kJ/kmol

Solving the expression for the turbine isentropic efficiency

we have
-

h,

=

h, - ~sr(L4 -

where is, denotes the specific enthalpy for an isentropic expansion from the inlet state 4 to the specified exit pressure p5. As the product composition is

96

THERMODYNAMICS, MODELING, AND DESIGN ANALYSIS

fixed, the isentropic expansion can be described as Sss - s, = 0. Then, with ideal-gas mixture principles and specific entropies of the components evaluated at T4 = 1520 K we have

-

0.7507$,,(T5,) + 0.1372G2(T,,) + 0.03 14$02(T,,J
=

+ O.O807$,,,(T,,)

229.838 kJ/kmol*K

Inserting the specific entropy expressions for N,, 0,, CO,, and H,O from Table C.l and solvi% gives T,, (-920 K) and the corresponding specific enthalpy at state 5s: h,, = - 11,792.6 kJ/kmol. Accordingly, h, = h4 - v,JZ4 -

k,)

= =

9304.9 - 0.86(9304.5 -8839 kJ/kmol

+ 11,792.6)
can be calculated:

With

h,, h2,h4, and h, known, the value of ni,
m, =

(28.649 kg / kmo1)(30,000 kJ / s) (1.032)(9304.5 + 8839) - (4713.3 + 4596.9) kJ/kmol

= 91.3 kg/s

The mass flow rate of the fuel is then
n i , = (0.0321)(=)(91.3 16.043
= 1.64 kg/s

kg/s)

COMMENTS
1. Roundoff accounts for the slight departures from the mass flow rates reported in Table 1.2. 2. The temperature of the air exiting the compressor, T2, can be obtained by inserting the specific enthalpy expressions for N,, 0,, CO,, and H,O, from Table C.l into the following equation and solving to obtain T, =

603.74 K: h,
=

0.7748h,,(TZ) + 0.2059hO2(T2) + 0.0003hc,,(T,)

+ 0.0 1 90hHZ0( T,)
= 4596.9 kJ/kmol

2.6 MODELING AND DESIGN OF PIPING SYSTEMS

97

A similar approach can be used to obtain the temperature at the turbine exit, T5 = 1006.16 K.

2.6 MODELING AND DESIGN OF PIPING SYSTEMS

Industrial plants, and especially chemical-processing plants, frequently exhibit intricate and costly piping configurations. Piping systems are also encountered in many familiar situations, including water supply, fire protection, and district heating applications. Piping systems are commonly composed of single-path multiple-path elements, as shown in Figure elements, as shown in Figure 2.4~1, 2.4b, or a combination. The design of piping systems requires the consideration of many issues, some of which conform to the main theme of this book. In this section we provide an overview of the modeling and design of piping systems. For elaboration, readers should consult specialized literature [e.g., 7, 81.
2.6.1

Design Considerations

As pipelines may carry high-temperature, high-pressure, and potentially hazardous fluids, applicable codes and standards must be carefully considered when undertaking the design of such systems. Noteworthy examples are the ASME codes and ANSI standards mentioned in Section 1.4.2. As surveyed next, the design of piping systems also requires the judicious integration of mechanical, thermal-fluid, and economics principles. General design considerations include a careful assessment of the nature of the fluid being conveyed and, in the event of a leak or general failure, its possible effect on personnel and the environment through toxicity and chemical reaction, including combustion. The impact of a piping element failure on overall plant safety and operation is also an important consideration. Piping system designs must account for both dynamic and static forces owing to hydraulic shock, vibration, wind (exposed piping), earthquakes, and weight. Weight effects include the weight of pipes, valves, insulation, the fluids being conveyed, and, for exposed piping, the weight of ice and snow. To withstand such forces, adequate piping supports must be provided. Appropriate materials of construction must be specified, with attention given to thermal expansion or compression effects. Code requirements for methods of joining (welding, brazing, soldering, etc.) should be met. Installed piping systems should be pressure tested prior to initial operation to assure tightness. The installed cost of piping systems is another important design consideration. The cost of piping systems varies widely with the complexity of the system and the materials of construction specified. The economics also depend significantly on the piping size and fabrication methods used. Safe-

98

THERMODYNAMICS,MODELING, AND DESIGN ANALYSIS

(b)
Figure 2.4 Elementary piping systems: (a) single-path system; (b) multiple-path system.

guarding measures (thermal insulation, vibration damping, valve bonnet shields, sight glasses, etc.) add to costs as well. A cost-effective practice in the design of piping systems is to specify piping that is commonly available commercially. In this respect, it is noteworthy that pipes are manufactured in a limited number of standard sizes (nominal sizes). Manufacturers’ representatives should be contacted for data on sizes, materials, recommended applications, and costs. In Chapter 7, we give further consideration to piping costs. Additional design considerations are provided in Sections 2.6.3 and 2.6.4 dealing with piping system design analysis and pump selection, respectively. Considered next is the evaluation of head loss, a key design variable.

2.6

MODELING AND DESIGN OF PIPING SYSTEMS

99

2.6.2

Estimation of Head Loss

In piping system design, a central role is played by Equation 2.30. If we limit consideration to liquids modeled as incompressible, flowing through and completely filling circular ducts, Equation 2.30 takes the form

P2

-PI P

I

vii - v2 I WC" + h, = 0 + g(22 - z , ) + 2 m

(2.84)

where the term h,, the head Eoss, is given by Equation 2.3 1, repeated here for ease of reference:

-pipe friction

(2.31)

resistances

With the assumption of one-dimensional flow, the velocities appearing in these expressions are frequently written in terms of the volumetric flow rate Q and cross-sectional area A : V = Q / A = 4Q / r D 2 . Equation 2.31 represents the head loss as the sum of two contributions called, respectively, the major and minor losses. The major loss summation term accounts for pipe friction. The minor loss summation term accounts for flow through various resistances to be discussed later. Referring to the first summation on the right side of Equation 2.31, we see that the major losses are evaluated using the friction factor f for each of the . ~ friction factor is a function of two pipes making up the overall ~ y s t e m The dimensionless groups: the relative roughness kJD, where k, denotes the roughness of the pipe's inner wall surface, and the Reynolds number p V D / p , where p denotes viscosity.6 The graphical representation of the friction factor function developed from experimental data, called a Moody diagram, is presented in Figure 2.5, together with a sampling of values for the roughness. Three regimes are identified on Figure 2.5: laminar, critical, and turbulent. The laminar flow friction factor is a straight line on the log-log plot and is given by 4f = 64/Re,, an analytical result that is valid to a Reynolds number
5The Fanning friction factor f is used here and differs from the Darcy friction factor f n by a factor of 4: 4f = f,). 'The roughness parameter is denoted by k, instead of the usual E to avoid overlap with other uses in this book for the symbol E .

4
C

4

n 8
E
Y)

P
c
01

c

0

0

100

(2.86) where (7/Re. The Colebrook equation is often cited for turbulent flow: - 1 ---4 log kJD 3.)0. The literature includes a number of alternative expressions giving the friction factor explicitly. the turbulent friction factor is determined by the relative roughness alone: f f(k.256 fi Re. the friction factor function f (Re. and kJD. however.JD).J D) is available in several alternative mathematical forms.31. note that the minor losses are evaluated using a loss coefficient K for each of the .27k.5 1 I”’* (2. iteration is required to obtain the friction factor for a specified Re.2. = 4 cross-sectional area wetted perimeter (2. At sufficiently high Reynolds numbers..87a) p= (y) (2. For example.5 as thefiilly rough zone. For rough pipes.9 and + (0. The hydraulic diameter is defined by D. To assist computer-aided design and analysis. is about 2000-4000.85) Since this expression is implicit in f . The Reynolds number in the critical zone. an expression that represents the friction factor continuously for laminar through turbulent flow is the following [9]: = [ (&)I2 + ((Y + py. where the flow may be either laminar or turbulent.87b) A plausible empirical approach for evaluating friction factors of noncircular ducts is to use the hydraulic diameter in place of D in the graphical and analytical approaches considered above.88) Turning now to the second term on the right side of Equation 2. the turbulent friction factor is determined by the relative roughness together with the Reynolds number.JD) 16 (2. In the transition from laminar to turbulent flow.6 MODELING AND DESIGN OF PIPING SYSTEMS 101 of about 2000.7 (- + -) 1. k. the friction factor increases sharply and then decreases gradually for smooth pipes as the Reynolds number increases. This is indicated on Figure 2.

102 THERMODYNAMICS. 4. Ap. together with Equation 2.31 combine to read 2 P (2. 111. Q unknown. and textbooks [3.4 can be analyzed (or specified) by using Equation 2. D unknown. Equations 2. Table 2. Ap.84 and 2. Except as noted. the values of Table 2. Q. Q. manufacturers’ data books [lo. and A p denotes the pressure drop from inlet to outlet: Ap = p . Although such systems may consist of pipes having different lengths and diameters as well as various fittings. MODELING. As different sources may give somewhat different values for the loss coefficient for the same application. and D known Iterative Solutions 3. including handbooks [7. L. L.3 1. Let us consider this for the case of single-path systems. and D known 2. 2. 81.6. L. pipe bends and tees. 121. .1 gives a sampling of loss coefficients for use in Equation 2.89) where we have written the velocity and Reynolds number in terms of the volumetric flow rate: V = 4Q/rD2. Experimental loss coefficient data are abundant. and Q known Cases 1 and 3 exhibit an analysis character since the geometry (L. AND DESIGN ANALYSIS resistances included within the overall system. If the pipe roughness and fluid properties are specified.1 should be considered as only representative. Re. = 4pQ/n-pD.3 Piping System Design and Design Analysis Single-path and multiple-path piping systems such as pictured in Figure 2. D) is known and the corresponding pressure drop or flow rate is to be determined. Depending on the choice for the unknown quantity. Then.89 involves four quantities: Ap. and D. valves. and other fittings. Ap unknown. enlargements and contractions. Ap. the velocity downstream of the resistance is used to evaluate the associated loss. Q. the discussion is considerably simplified if we think only of a single pipe of length L and diameter D without elevation change. any one of which may be regarded as the unknown. the solution may be direct or iterative: Direct Solutions 1. and D known 4. L unknown. Typically encountered resistances include pipe inlets and outlets.p2. but scattered among various sources.31 and appropriate friction factor and loss coefficient data. L.84. Equation 2. .

rounded 0.2. 'When AR = 0. 4. Velocity used to evaluate the loss is the velocity upstream of the expansion.1 Loss coefficients for use with Equation 2.4 0.08 Expansionh.4-0. open 4.2 6-10 70 0.6 MODELING AND DESIGN OF PIPING SYSTEMS 103 Table 2.04-0.3-0.45( 1-AR) e 1600 0.9 "Adapted from References 3. K = 1.04-0.28 Contractionb 0.0.' 1 .O Valves and Fittings Gate valve.31" Resistance K Changes in Cross-Sectional Area Rounded pipe entrance 0. AR = (smaller area)/(larger area). and 7. hArea ratio.1 5 AR 5 0. open Check valve (ball).5"elbow.5 0. open Globe valve. standard 90" elbow. .

the friction factor required by Equation 2. sequential manner from the inlet of the overall system to its outlet. a system consisting of a series of single-path elements as in Figure 2. By inspection of Equation 2. Iteration would continue until satisfactory convergence is achieved between the calculated and known A p values.104 THERMODYNAMICS. since Q and D are known in each of these cases. With this.g. and often with as few as two iterations. If the calculated value for Ap is greater than the known value. 41. In particular. another iteration would proceed with a greater assumed diameter. Since most practical pipe flow applications involve turbulent flow and the turbulent flow friction factor only weakly depends on the Reynolds number. The unknown volumetric flow rate Q appears in Equation 2.89 is then solved for a second value for Q. but we must rec- . it is evident that Ap. Equation 2. Let us consider these four appropriate geometry ( L or 0) cases in order: Cases I and 2. AND DESIGN ANALYSIS Cases 2 and 4 exhibit a design character since Q and Ap are known and the is to be determined. Equation 2.85 and 2..89. Case 4. The unknown diameter D appears in Equation 2. the first iteration may be made using the fully roughturbulent friction factor corresponding to the known value for the relative roughness. Thus an iterative solution is required.4a can be analyzed by applying such pipe flow fundamentals in a systematic. another iteration would proceed with a smaller assumed diameter. If the calculated value for A p is smaller than the known value. MODELING. The pressure drop Ap is evaluated next from Equation 2. The Reynolds number is computed for this value of Q and a new value for f determined. The iterative procedure continues until convergence is attained. however.86.4b also can be analyzed with these fundamentals.89 both explicitly as D5and implicitly in the friction factor function via both the Reynolds number and the relative roughness. Thus an iterative solution is required: Iteration may begin by assuming a first-trial pipe diameter. With this trial value for f . Fluid mechanics texts typically provide solved examples illustrating these cases [e. can be obtained directly using the respective known quantities.89 is readily solved for the volumetric flow rate. Convergence tends to occur quickly. or L.89 and compared to the known value for Ap. the Reynolds number and relative roughness are calculated and then used to determine the friction factor. Case 3. For example.89 both explicitly as the quadratic term Q 2 and implicitly in the friction factor function via the Reynolds number. Multiple-path systems such as in Figure 2.89 can be obtained readily from the Moody diagram or an expression such as Equations 2. The cases we have just considered provide a reasonable basis for the analysis of more complex piping configurations.

Although the pipe flow governing relations have relatively simple mathematical forms. Measured performance data for centrifugal pumps are commonly represented compactly on plots called characteristic curves giving the variation of total head versus volumetric flow rate. Figure 2 . In positive-displacement machines. Figure 2.6 MODELING AND DESIGN OF PIPING SYSTEMS 105 ognize additionally that (i) the total flow rate is the sum of the individual flow rates in the multiple paths: Q.p h = ( A p ) . blowers. and (ii) the pressure drop for each of the multiple paths is the same: pa . the presence of solids in the liquid may introduce complexities related to erosion and agglomeration. Gas and vapor handling units are called fans. = ( A p ) * = (AP)3. Additionally. Machines that direct the flow with blades or vanes attached to a rotating member (impeller) are called radial-flow or axial-flow turbomachines. the designer must consider the relationship to the flow rate of key parameters such as of the pressure rise (or head). viscosity. + Q 3 . or compressors..6b shows characteristic curves at various speeds for a fixed impeller . depending on the pressure rise. The literature contains many specialized computer programs for this purpose. Accordingly. as for example the programs provided in Reference 12. and pump efficiency. Two commonly employed types of pumps are positive-displacement pumps and centrifugal pumps. computer-aided approaches are desirable.6. pressure. 6 ~ shows characteristic curves for centrifugal pumps operating at a fixed speed with different impeller sizes. especially for multiple-path systems. iterative solutions of them can be time consuming. Knowledge of the temperature. power requirement. As centrifugal pumps are widely used for industrial applications. we further limit the present discussion to this type. 2. depending on whether the flow path is essentially radial or nearly parallel to the machine centerline. One particularly systematic computer-aided approach for complex flow networks is based on the highly effective Hardy-Cross method [ 131. Corrosive or reactive characteristics of the liquid requiring special materials of construction should be understood. and other liquid properties is also generally required. = Q . sustaining the flow of a fluid through piping or ducting requires a work input to a suitable fluid machine.2 and 2.. Also. When selecting a pump for a given service. In harmony with the presentations of Sections 2.4 Pump Selection In most cases. the machine is called a pump.6. Centrifugal pumps are radial-flow turbomachines. we limit the present discussion to pumps. it is necessary to know the nature of the liquid being handled. volume and pressure changes occur while the liquid is confined within a chamber or passage.3.2. Several software development companies market generalized Hardy-Cross piping system programs executable on microcomputers and in some versions on programmable hand-held calculators.6. When the fluid is a liquid or slurry. + Q.

(b) characteristic curves of centrifugal pump at various speeds: (RPM)< (RPM)' < (RPM)" for fixed impeller diameter.106 THERMODYNAMICS. AND DESIGN ANALYSIS c Pump efficiency 1 Volumetric flow rate- (b) Figure 2. . MODELING.6 Centrifugal pump performance charts: (a) characteristic curves of centrifugal pumps operating at a constant speed for two impeller diameters.

Centrifugal pumps may be combined in parallel to deliver greater flow or in series to provide a greater head. the pump operates along a particular characteristic curve and at no other points. the power required increases as the flow rate increases. If this occurs. including operating data and solved examples. Cavitation can be avoided if the pressure everywhere in the pump is kept above the vapor pressure of the liquid. For further discussion concerning pump selection. see references such as [7] or contact manufacturers’ representatives directly. Other factors that can adversely influence pump performance include pumping hot liquids. Since cavitation is detrimental to both pump efficiency and pump life. Performance charts such as Figure 2. but variable-speed operation can lead to electricity savings in certain applications. 2. An often included parameter is the net positive suction head (NPSH).6b.7 CLOSURE 107 size. The growth and collapse of the vapor cavities not only disrupts the flow but also may cause mechanical damage. As a pump wears with use. As the presence of even a small amount of entrained gas can drastically reduce the pump performance. Another effect that adversely affects the performance is cavitation. liquid may flash to vapor.6). forming vapor cavities. it is possible to change the characteristic curve. As noted before. This requires in particular that a pressure in excess of the vapor pressure of the liquid be maintained at the pump inlet (the suction). cavitation can be avoided. It is common practice to drive pumps with electric motors at nearly constant speed. and then decreases as flow rate increases further. particular attention must be given to preventing air from entering at the suction side of the pump. the head decreases continuously as the flow rate increases. It is important to note that. Cavitation may arise when the local pressure falls below the vapor pressure of the liquid. it must be avoided. For pumps with variable-speed drives. the characteristic curve tends to move downward toward a lower pressure at each flow rate. By locating a pump so that the NPSH is greater than a specified value obtained from manufacturers’ data. twophase mixtures. For this typical machine. discussed later. Wear is a noteworthy example. or liquids with high viscosities.7 CLOSURE In this chapter. at any fixed speed. A measure of the required pressure difference is provided by the NPSH. Various operating features influence pump performance. and the pump efficiency increases with capacity until a best efficiency point is reached (80% for the largest diameter and greatest speed cases of Figure 2. NPSH data is often shown on pump performance charts.2. as illustrated in Figure 2.6 may also contain additional information. we have presented some fundamental principles of engineering thermodynamics and illustrated their use for modeling and design analysis in .

1984. The Properties o f Gases and Liquids. McGraw-Hill. H. G. Friction-factor equation spans all flow regimes. 7 November. 1993. Prentice-Hall. 6th ed. Moran and H. Diisseldorf. Wiley. 1988. Rayes. and pipes. K. 410. Hydraulic Institute. Cleveland. Repeat for an ordinary forced air.. and Air Conditioning Engineers. In Chapter 3.. 1991. 6. 1990. 2nd ed. 2nd ed. A. W. Wood and A. 13. Atlanta.. J. Chem. T. List the principal irreversibilities present during operation. 1145-1161. S. Hodge. McDonald. New York. 3rd ed. 2. Fox and A. 1960. Analysis and Design of Energy Systems. REFERENCES 1. AND DESIGN ANALYSIS applications involving both engineering thermodynamics and fluid flow. 0. New York. Proc. 9. Hesselmann. Reliability of algorithms for pipe network analysis. Advanced Engineering Thermodynamics. 7. Fundamentals o f Engineering Thermodynamics. B. 12. In Chapter 3. New York. D. Eng. 3. 2nd ed.108 THERMODYNAMICS. Knacke. J. Wiley-Interscience. Wiley. W. 1977. J. Reid and T. 4. Transport Phenomena. Green. No. the current presentation continues. New York. 5. 10. American Society of Heating. 91-92. ASCE. 1 Consider an automobile engine as the system. 1995. Berlin. Wiley. we also begin to develop one of the central themes of this book: Greater use should be made in thermal system design of the second law of thermodynamics.. Thermochemical Properties of Inorganic Substances. Crane Company Technical Paper No... Introduction to Fluid Mechanics. 107. Churchill. NJ. and K. . fittings. B. N. Perry and D. Chemical Engineers’ Handbook. “Flow of fluids through valves. New York. but with emphasis on the exergy concept. R. Hydraulic Div. R. and Verlag Stahleisen.. pp. New York. Springer-Verlag. C. pp. PROBLEMS 2 . Stewart. 0. ASHRAE Handbook 1993 Fundamentals. NYlO. Bejan. 4th ed. R. N. Shapiro. 1 1. Engineering Data Book. Bird. and E. Vol. New York. 1979. Sherwood. 1981. Kubaschewski. Englewood Cliffs. R. 8. E. Modeling and design analysis considerations related specifically to heat transfer enter the discussion beginning with Chapter 4. W. Lightfoot. McGraw-Hill.. M. MODELING. 1966. Refrigerating. K. natural-gas-fired household furnace. 1982. 1992.

p . Derive (a) Equation 2 .0 MPa.) and carbon dioxide (CO. in Btu/"R per Ib of air flowing.5 2 . Ignoring heat transfer with the surroundings and kinetic and potential energy effects. p . equal to.3 m3/kg. If $ whether the outlet specific entropy is greater than. Evaluate this claim. p .42d. u.K.8 2. Ignoring heat transfer with the surroundings and kinetic and potential energy effects.44b. Compare the calculated results.15 MPa. Determine the changes in specific enthalpy and specific entropy for each of the following changes of state of water: (a) p . respectively. determine on the boundary where the temperature is T. p 2 = 500 lbf/in.6 atm. T I = 500°F. in kJ/K per kg of steam flowing. = 0. = 20 lbf/in. = 0. 4 2 ~ and (b) Equations 2. T.9 2. = 0. There are no other energy transfers. in kJ/kg. What can be said when Qcv < O? Discuss.. = 20 lbf/in.9 m3/kg (b) T .4 2. or less than the inlet specific entropy. 3 2.5 ft3/lb.) by reacting carbon monoxide (CO) with water vapor in an insulated reactor operating at steady state: . = 0. Heat transfer at the rate Q. while at a depth of 540 m the temperature is 2°C. There are no other heat transfers..15 MPa.. An inventor claims to have developed a power cycle having a thermal efficiency of 10% that receives and discharges energy by heat transfer at these temperatures. Air at 40"F. determine (a) the isentropic compressor efficiency and (b) the rate of entropy generation. 2 . u .. determine (a) the isentropic turbine efficiency. 1 atm enters a compressor operating at steady state and exits at 620"F. = 320"C.5 MPa. and for operation at steady state interpret the negative sign.2 At one location the ocean surface temperature is 16"C. 300°C enters a turbine operating at steady state and expands to 15 kPa. = 140°C (c) p . Evaluate this device thermodynamically. 6 2. T2 = 320°F Water vapor at 1. Evaluate the change in specific entropy.'. u. The work developed by the turbine is 630 kJ per kg of steam flowing through the turbine.10 Two approaches are under consideration for the production of hydrogen (H. A gas flows through a one-inlet.PROBLEMS 109 2.7 2. 2 0. occurs only at a location . = 0. 8. = 14 ft3/lb (d) TI = 600"F. 1 atm and exits at 25°C. one-outlet control volume operating at steady state. u . TI = 280°C.. (b) the rate of entropy generation. = 2.. A patent application describes a device that at steady state generates electricity while heat transfer occurs at temperature Tb only. using (a) Equation 2. Liquid water enters a pipe at 50"C.41 and (b) Equation 2.

1 atm. 2. each at 400 K. Each of the two streams exits at 340 K. if the fuel is (a) C. Referring to Figure 2. and the remaining gases exit the device. and S . For such a pipe.14% CO.03% CO. AND DESIGN ANALYSIS (a) The carbon monoxide and water vapor enter the reactor in separate streams.. 3. and the weight in pounds per linear foot? 2..48% N.K. H. 9.16 A piping layout carrying liquid water at 70°F at a volumetric flow rate of 0. For the mixture determine (a) molecular weight.31. Separate streams of SO. (b) a gate valve.O(g). In each case determine the rate of entropy generation. (c) specific entropy.. 0. 2. to a device for removing the SO. 1 atm. A final flow sheet specifies a schedule 40 steel pipe with a nominal 3-inch diameter. (b) specific enthalpy. 88%. MODELING..07% N.3. three 90" rounded elbows. Evaluate Equation 2.07% H. The molar analysis of a gas mixture at 1520 K. in kJ/K per kmol of CO entering.if the valve is (a) a globe valve.l.11 Coal with a mass flow rate of 10 kg/s and mass analysis C. in kJ/kmol. For the mixture determine (a) molecular weight. Obtain enthalpy and entropy data for the components from Table C. in kilojoules per kilogram of coal burned.142 bars is 75. (b) specific enthalpy. 4%. 1 bar. in inches. 0. in kJ/kmol.. The products exit as a mixture at 1 atm. The combustion products are then supplied at 340 K. (c) CH. in kJ/kmol. (b) H.623 bars is 77.14 2.90% H. 6%.O(g). and 1. For what applications might . 20. at 25"C. The products exit as a mixture at 1 atm. 13.13 2. (b) The carbon monoxide and water vapor enter the reactor as a mixture at 400 K.2 ft3/s is composed of four sections of 4-in.72% 02. determine the maximum theoretical work. A desalination plant requires piping for the sea water that has been drawn into the plant. what are the actual inner and outer diameters. The molar analysis of a gas mixture at 850 K. internal diameter steel pipe having a total length of 550 ft.15 2. Obtain enthalpy and entropy data for the components from Table C.110 THERMODYNAMICS. 1. formed. and 8. For isothermal operation at steady state determine the minimum theoretical power required by the device. (c) specific entropy. in kJ/kmol.. What piping material might you specify for this application? Discuss. 9. in kJ/kmol-K.18 Design frequently requires choices between different varieties of the same type of device. Compare and discuss these results.12 2. 1%. 1 atm.59% 0. 1% bums completely with the theoretical amount of air. N. in ft2/s2.. 1 atm. and a fully open valve.17 2.

and there is no significant elevation change. What standard-sized Schedule 40 commercial steel pipe should be installed? .1 m3/s from a location where the pressure is 8 bars to a location where the pressure must be at least 5 bars.19 A piping system is to conduct water at 20°C at a volumetric flow rate of 0. The total length of piping is 91.PROBLEMS 111 (a) a positive displacement pump be preferred over a centrifugal pump? (b) a diesel engine be preferred over a gas turbine? (c) a fire-tube boiler be preferred over a water-tube boiler? 2.4 m. the installation requires four 90" elbows.

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and coal is apparent.1 Preliminaries The importance of developing thermal systems that effectively use energy resources such as oil. Design guidelines that reflect conclusions evolving from exergy reasoning are listed in Section 3. and so on is accounted for in the products and by-products. two essential underlying concepts.1. Exergy is also important because it provides the basis for the discussion of thermoeconomics in Chapters 8 and 9. 3. Effective use is determined with both the first and second laws of thermodynamics. flowing streams of matter.EXERGY ANALYSIS The presentation of thermodynamics. This idea does not 113 . modeling. and chemical exergy. The idea that something can be destroyed is useful in the design and analysis of thermal systems. Exergy fundamentals are summarized in Sections 3. Exergy has become an increasingly important tool for the design and analysis of thermal systems. Energy entering a thermal system with fuel. kinetic. and design analysis initiated in Chapter 2 continues in the present chapter with emphasis on the exergy concept. are discussed. the environment and the dead state. 3. including an application to the cogeneration system case study. Additionally.4. Applications are considered in Section 3. Energy cannot be destroyed-a first-law concept. potential. natural gas.5.6. and references are provided for further study. electricity.1-3.1 EXERGY In this section we define exergy and represent it in terms of four components: physical.

and true magnitude of waste and loss to be determined. however. The capability to develop work existing initially would be completely wasted in the spontaneous process.2 Defining Exergy An opportunity for doing useful work exists whenever two systems at different states are placed in communication. Electricity clearly has the greater quality and not incidentally. exergy is the maximum theoretical useful work (shaft work or electrical work) obtainable as the systems interact to equilibrium. When one of the two systems is a suitably idealized system called an environment and the other is some system of interest. however. Thus. 3. Such information can be used in the design of new energyefficient systems and for increasing the efficiency of existing systems. for example. exergy is the minimum theoretical useful work required to form a quantity of matter from substances present in the environment and to bring the matter to a specified state. A limiting case is when exergy would be completely destroyed.1. Moreover. but also that the condenser is relatively unimportant [ 11. energy transfers to the environment appear to be the only possible sources of power plant inefficiency. It is therefore an attribute of the system and environment together. the greater economic value.114 EXERGY ANALYSIS apply to energy. An exergy analysis correctly reveals not only that the steam generator is the principal site of thermodynamic inefficiency owing to irreversibilities within it. The method of exergy analysis (availability analysis) presented in this chapter is well suited for furthering the goal of more effective energy resource use. a value can be assigned to exergy in terms of property values for the system only. Exergy analysis also provides insights that elude a purely first-law approach. and this can be readily quantified by exergy analysis. since no . Once the environment is specified. the condenser of a power plant may be mistakenly identified as the component primarily responsible for the plant’s seemingly low overall efficiency. Exergy is a measure of the departure of the state of the system from that of the environment. it is exergy and not energy that properly gauges the quality (usefulness) of. the expansion of a gas (or liquid) across a valve without heat transfer (throttling process) occurs without loss. for it enables the location. but to exergy (availability)-a second-law concept. That such an expansion is a site of thermodynamic inefficiency is well known. Exergy can be destroyed and generally is not conserved. Moreover. as would occur if a system were to come into equilibrium with the environment spontaneously with no provision to obtain work. From an energy perspective. so exergy can be regarded as an extensive property of the system. Alternatively. for in principle work can be developed as the two are allowed to come into equilibrium. cause. however. 1 kJ of electricity generated by a power plant versus 1 kJ of energy in the plant cooling water stream. from an energy perspective. On the basis of first-law reasoning alone. heat transfer occurring with the environment only. say.

1. The environment is normally regarded as composed of common substances existing in abundance within the Earth’s atmosphere. Accordingly. For example. It is important to distinguish between the environment and the system’s surroundings.3 Environment and Dead States Environment. and crust. oceans. respectively. the exergy. we may conclude that the value of exergy (the maximum theoretical work obtainable) is at least zero and therefore cannot be negative. the extensive properties can change as a result of interactions with other systems. 3. In Section 3. for example. a change in the energy of the environment is a change in its internal energy only. Internal irreversibilities are those located within the system. the values for po and To required for subsequent analyses are taken for simplicity as typical environmental conditions. and exergy destruction concepts are related by the exergy balance for the system under consideration. and there is no possibility of developing work from interactions-physical or chemical-between parts of the environment. If the system uses atmospheric air. External irreversibilities reside in the immediate surroundings.3. To would be specified as the average air temperature. such as 1 atm and 25°C (77°F). All significant irreversibilities are located within the system and its immediate surroundings. whether a component in a larger system such as a steam turbine in a power plant or the larger system (power plant) itself. If both air and . As for other extensive properties we have considered-mass. exergy transfer.1 EXERGY 115 work needs to be done to effect such a spontaneous change. and entropy-exergy can be transferred between systems. Additional aspects of the exergy concept are presented in the remainder of the current section and in Section 3. The term surroundings refers to everything not included in the system. The substances are in their stable forms as they exist naturally. energy. To and po may be taken as the average ambient temperature and pressure. and uniform in temperature To and pressure po. However. In this book the environment is modeled as a simple compressible system. In keeping with the idea that the environment has to do with the actual physical world. operates within surroundings of some kind.3. Any system. the intensive properties of each phase of which are uniform and do not change significantly as a result of any process under consideration. The term environment applies to some portion of the surroundings. Kinetic and potential energies are evaluated relative to coordinates in the environment. all parts of which are considered to be at rest with respect to one another. models with various levels of specificity have been proposed for describing the environment. for real-world applications the temperature To and pressure p o may be specified differently. As the physical world is complicated. large in extent. for the location at which the system under consideration operates. The environment is regarded as free of irreversibilities.2. Although the intensive properties of the environment are assumed to be unchanging.

potential exergy Em. there is an opportunity to develop work. velocity. Under these conditions. respectively. This state of the system is called the dead state. there is no possibility of a spontaneous change within the system or the environment. At the restricted dead state. the fixed quantity of matter under consideration is imagined to be sealed in an envelope impervious to mass flow. and chemical potentials of the system equal those of the environment. To would be specified as the lower of the average temperatures for air and water. This state of the system is called the restricted dead state. ceasing to exist when the two. potential. nor can there be an interaction between them. including transfers associated with streams of matter as in Equations 3.116 EXERGY ANALYSIS water from the natural surroundings are used. Although exergy is an extensive property. Dead States.4. The sum of the kinetic.1) The boldface italic distinguishes the total exergy and physical exergy of a system from other exergy quantities. In addition. E = EPH + EKN+ F + ECH (3. and physical exergies is also referred to in the literature as the thermomechanical exergy [l. This is a restricted form of equilibrium where only the conditions of mechanical and thermal equilibrium must be satisfied. the opportunity diminishes. When the pressure.1. and chemical equilibrium between the system and the environment are satisfied: The pressure. temperature. and surface tension effects. The total specific exergy on a mass basis e is given by e = ePH + eKN+ em + eCH (3. the total exergy of a system E can be divided into four components: physical kinetic exergy EKN. the conditions of mechanical. or elevation of a system is different from the environment. At the dead state. are in equilibrium. the system has zero velocity and zero elevation relative to coordinates in the environment. and chemical exergy exergy EPH. ECH. at rest relative to one another.1 1-3. at zero velocity and elevation relative to coordinates in the environment. composition. and at the temperature To and pressure po.4 Exergy Components In the absence of nuclear.2a) . thermal. electrical. 3. Another type of equilibrium between the system and environment can be identified. As the system changes state toward that of the environment. temperature.13. it is often convenient to work with it on a unit-of-mass or molar basis. magnetic. 21. Further discussion of the modeling of the environment is provided in Section 3.

see Section 3. and entropy of the system at the specified state. Accordingly. 2 PHYSICAL EXERGY The physical exergy of a closed system at a specified state is given by the expression where U .2 PHYSICAL EXERGY 117 When evaluated relative to the environment.2a as e = epH+ +V2 + gz + e C H (3.3 for the physical exergy can be derived by applying energy and entropy balances to the combined system shown in Figure 3. volume.) In each instance heat transfer takes place with the environment only.1.4.2d) Considering a system at rest relative to the environment (eKN = ePT = 0). the kinetic and potential energies of a system are in principle fully convertible to work as the system is brought to rest relative to the environment. and V. 3 . respectively.1 Derivation Equation 3. The chemical exergy is the maximum theoretical useful work obtainable as the system passes from the restricted dead state to the dead state where it is in complete equilibrium with the environment. 3.. V. and S denote. respectively. where V and z denote velocity and elevation relative to coordinates in the environment.3.. Physical exergy is considered further i n the next section and chemical exergy is the subject of Section 3. the physical exergy is the maximum theoretical useful work obtainable as the system passes from its initial state where the temperature is T and the pressure is p to the restricted dead state where the temperature is To and the pressure is p. however. V . respectively. and so they correspond to the kinetic and potential exergies. the internal energy.2. (The use of the term chemical here does not necessarily imply a chemical reaction. and Soare the values of the same properties when the system is at the restricted dead state. which consists .4.2 for an illustration. We may then write Equation 3..

AU. say. and not expended in merely displacing the surroundings of the combined system. Figure 3. is the internal energy change of the combined system: the sum of the internal energy changes of the closed system and the environment. and AU. Accordingly.1 Combined system of closed system and environment. As the objective is to evaluate the maximum work that could be developed by the combined system. \ \ \ I Boundary of the System boundary \ \ \ \ . And although the volumes of the system and environment may vary. An energy balance for the combined system reduces to or where W. can be expressed as .- / ’ / --_ ./ / . At the restricted dead state. ensuring that the work developed is not affected by heat transfers to or from the combined system. is the work developed by the combined system. Only ‘ 1 - --___-. I combined I system. \ ‘\ /work interactions Heat and work are allowed.. the internal energy of the system is denoted by U. the boundary of the combined system is located so that the total volume remains constant. interactions Total volume is between the system I constant. the boundary of the combined system allows only energy transfers by work across it. and the i environment / / Environment at To. The internal energy of the closed system initially is denoted by U. The system is at rest relative to the environment.. of a closed system and the environment. This ensures that the work developed is useful: fully available for lifting a mass. po.118 EXERGY ANALYSIS / .

p o AV) As the total volume of the combined system is constant. AS.33a: A u ' = To As' .(To As' . The entropy change of the combined system. However.po A V Collecting the last three equations. The expression for work then becomes This equation gives the work developed by the combined system as the closed system passes to the restricted dead state while interacting only with the environment. solving for ASe.Uo) .. and inserting the result into the expression for W. and the composition of the environment remain fixed. accounts for entropy generation within the combined system as the closed system comes into equilibrium with the environment. Since To.2 PHYSICAL EXERGY 119 where AU' denotes the internal energy change of the environment. the entropy balance for the combined system reduces to give where S.V ) . the value of Sgen depends on the nature of the process as the closed system passes to the restricted dead state. the change in volume of the environment is equal in magnitude but opposite in sign to the volume change of the closed system: AV' = -(Vo . W.3.S) + A F where S and So denote the entropy of the closed system at the given state and the restricted dead state. gives The value of the underlined term is determined by two states of the closed system-the initial state and the restricted dead state-and is independent of the details of the process linking these states. is the sum of the entropy changes for the closed system and environment. A U ' is related to ' and volume V of the environment through Equation changes in the entropy s 2. this term is positive when irreversibilities are present and vanishes in the limiting case where there . = (U . respectively. ASc = (So ... respectively. In accordance with the second law. po. Combining the last two equations. The maximum theoretical value for the work is determined using the entropy balance as follows: Since no heat transfer occurs across its boundary.

2. 2.5 is shown graphically in Figure 3. On a unit-of-mass basis.4 can be expressed as The derivation is left as an exercise. Only the pressure p o and temperature To have to be specified. and potential exergies at various states of a system suffices. and Equation 3. 2 . or separation of mixture components. we have ePH = (u . That the physical exergy vanishes at the restricted dead state and is positive elsewhere is evidenced by the contours of this figure. Various idealized devices can be invoked to visualize the development of work as a system passes from a specified state to the restricted dead state [2.) . for illustrations see References 1. In such special applications knowledge of the chemical composition of the environment is not required. This is observed in applications with closed systems and control volumes alike.120 EXERGY ANALYSIS are no irreversibilities.KE.4) For the special case of an ideal gas with constant specific heat ratio k.1 and 3. 3 . knowledge of the physical. the exergy change between two states of a closed system is determined from Equations 3. An explicit evaluation of the chemical exergy is not required because the chemical exergy value is the same at all states of interest and thus cancels when differences in exergy values between the states are calculated.) + (PE. E'".vo) . is this maximum value.so) (3. Hence. leaving By definition. the maximum theoretical value for the work of the combined system is obtained by setting Sgen to zero. Equation 3. 2 Discussion The physical exergy EPH can be expressed on a unit-of-mass or molar basis. 31. it cannot be negative.uo) + po(u . Furthermore. Equation 3.PE.3 as + (KE2 . For a wide range of practical applications not involving chemical reaction. . the physical exergy.3 is obtained as the appropriate expression for calculating the physical exergy of a system.T0(s . mixing. kinetic.

3.E . ) = Il2 SQ . - KE. energy. The closed system exergy balance is then used as a basis for extending the exergy balance concept to control volumes. . the kinetic and potential exergy changes are negligible. exergy balances can be written in alternative forms suitable for particular applications of practical interest.1 Closed System Exergy Balance The exergy balance for a closed system is developed by combining the energy and entropy balances: (U.3. which requires that po and To be specified but not the composition of the environment. For many engineering applications.) + (PE. ) + (KE.3 EXERGY BALANCE As for the extensive properties mass.4 0. - U .3.5.70 0 1 2 3 4 > P/Po Figure 3 . which is the case of greater practical utility. via Equation 3.P E .W .3 EXERGY BALANCE 121 k = 1. The objective of this section is to present such forms. and entropy. . leaving just the change in physical exergy to determine E . 2 Physical exergy of a system consisting of an ideal gas with constant specific heat ratio k. 3. beginning with the closed system case.6. Equation 3.

Rearranging.po(Vz . Multiplying the entropy balance by the temperature To and subtracting the resulting expression from the energy balance gives Collecting the terms involving SQ and introducing Equation 3. respectively. Tb denotes the temperature on the boundary where energy transfer by heat occurs.6 on the left side. The terms on the right side of Equation 3.SQ . and the term Sgen accounts for entropy generation owing to internal irreversibilities.W . The first term on the right side is associated with heat transfer to or from the system during the process and can be interpreted as the exergy transfer associated with (or accompanying) the transfer of energy by heat: E.6 without regard for the nature of the process.E .7 can be evaluated from Equation 3. = (1 - ?) SQ (3. however. ) . the closed system exergy balance results: exergy change exergy transfers exergy destruction For specified end states.122 EXERGY ANALYSIS where W and Q represent.. the exergy change on the left side of Equation 3. transfers of energy by work and heat between the system under study and its surroundings. this expression can be rewritten as (E2 .8a) The second term on the right side is associated with the net useful work and can be interpreted as the exergy transfer associated with (or accompanying) the transfer of energy by work: .7 depend explicitly on the process.VI) = I: ( ): 1 .ToSge.

8a can be interpreted as the work that could be generated by a reversible power cycle receiving energy by heat transfer SQ at temperature Tb and discharging energy by heat transfer to the environment at temperature To (<Tb). Here. the irreversibility.ED (3.To/T. Exergy transfers associated with work are also evaluated relative to the environment: The exergy transfer is the work of the system W less the work that would be required to displace the environment whose pressure is uniform at po.3. on recognizing the term (1 .9) where d E / d t is the time rate of change of exergy. The term (1 . Further discussion of these exergy transfers is given in References 1. As for the exergy values at the states visited by the system.To/Tb)SQ appearing in Equation 3. The exergy balance can be expressed in various forms that may be more appropriate for particular applications. and the associated exergy transfer is given by W .)Qj represents the time rate of exergy transfer associated with heat transfer at the rate Q j occurring at the location on the boundary where the instantaneous temperature is q. The term W represents the time rate of energy transfer by work.8b. Thus.8~) In the literature. 3.3. we now introduce forms of the exergy balance applicable to control volumes. the sign of the exergy transfer would be opposite to the sign of the heat transfer.po AV as shown in Equation 3. A convenient form of the exergy balance for closed systems is the rate equation dt = 7 2) (1 - Qj - ( w .To/Tb) as the Carnot efficiency (Equation 2.2 Control Volume Exergy Balance Building on the foregoing. To allow for the chemical exergy to play a .po dVldt. 2. Equation 3 . ED accounts for the time rate of exergy destruction due to irreversibilities within the system and is related to the rate of entropy generation within the system by ED = Tosgen. the quantity (1 .8). 8 ~ is known also as the Gouy-Stodola theorem. exergy transfers associated with heat and work are evaluated relative to the environment used to define exergy. where dVldt is the time rate of change of system volume.Po dt e). the exergy destruction is also commonly referred to as the availability destruction. so the heat transfer and the associated exergy transfer would be oppositely directed. It may also be noted that when Tb is less than To.3 EXERGY BALANCE 123 The third term on the right side accounts for the destruction of exergy due to irreversibilities within the system. namely po AV. leaving W . and the lost work. The exergy destruction ED is related to the entropy generation by (3.

Like mass. ED = To$. if necessary. and entropy.10a) As for control volume rate balances considered in Chapter 2.10a. Similarly. so it too can be transferred into or out of a control volume where streams of matter enter and exit.po dt (3.ldt represents the time rate of change in the exergy of the control volume.9 applicable to control volumes requires the addition of terms accounting for such exergy transfers: rate of exergy change rates of exergy transfer rate of exergy destruction (3.10b) As in the control volume energy rate balance. Finally. The term m.. The term Qj represents the time rate of heat transfer at the location on the boundary of the control volume where the instantaneous temperature is q. wcv represents the time rate of energy transfer by work other than flow work. In Equation 3.124 EXERGY ANALYSIS role. respectively. the exergy transfer rates at control volume inlets and outlets are denoted.ee accounts for the time rate of exergy transfer at the outlet e.e. respectively.. In subsequent discussions.10~) where dVJdt is the time rate of change of volume of the control volume itself. m. when these balances are applied. the counterpart of Equation 3. and the associated exergy transfer is given by (3. Accordingly. accounts for the time rate of exergy transfer at the inlet i. . energy. as Ei = miei and Ee = m. the subscripts i and e denote inlets and outlets.. exergy is an extensive property. we must be prepared to specify the chemical makeup of the environment in addition to the temperature To and pressure po.. The associated exergy transfer is given by Ew = dVcv wcv..e. the term dE. ED accounts for the time rate of exergy destruction due to irreversibilities within the control volume. General Form.

ED j (3. the exergy associated with a stream of matter entering (or exiting) a control volume is the maximum theoretical work that could be obtained were the stream brought to the dead state. Expressed in terms of the time rates of exergy transfer and destruction. At steady state. As for other exergy transfers. and z. so Equation 3. In the current application. however. respectively. and in the second step from the restricted dead state to the dead state.Wcv+ miei i 2 meee . For the thermodynamic analysis of control volumes at steady state.23.wcv+ 2 Ei .2 Ee . s. and $. appearing in Equations 3. and entropy balances given previously as Equations 2. The contribution of the second step to the work developed is evidently the chemical exergy e'".10a reduces to i Qj . means are required to evaluate the exergy transfers at inlets and outlets represented by the terms eiand e. V. The contribution of the first step can be obtained in principle with a device of the kind shown in Figure 2. heat transfer occurring with the environment only. the difference is the rate at which exergy is destroyed within the control volume due to irreversibilities.ED e (3. energy. . Exergy Transfer at Wets and Outlets.1 la) This equation states that the rate at which exergy is transferred into the control volume must exceed the rate at which exergy is transferred out. it is important to identify the steadystate form of the exergy rate balance. these terms must be evaluated relative to the environment used to define exergy.1 l a takes the form 0= 2 Eq. lob. dEcvldt = 0 and dVcvldt= 0. To complete the introduction of the control volume exergy balance.11 for exergy may be added to the steady-state forms of the mass. Accordingly.10a and 3.11a..11b) i e where Eiand Ee are exergy transfer rates at inlets and outlets.j . Equations 3. Since the engineering analyses considered in this book involve control volumes at steady state. is given by Equation 3. the properties at the inlet of the device are those of the stream under consideration: h.1.3 EXERGY BALANCE 125 Steady-State Form. This work can be evaluated in two steps as follows: In the first step the stream is brought to the restricted dead state.3. while at the outlet the corresponding properties are h. Equation 3.

as heat transfer occurs with the environment only. For the special case of an ideal gas with constant specific heat ratio k. z. respectively.) .so) + +V2 + g z + eCH (3. Equation 3. The figure shows that the physical exergy term vanishes a t the restricted dead state and can become negative when p < pa. The character of the exergy transfer term given by Equation 3.T . Equation 3. for the two steps together we have on a unit-of-mass basis the following expression for the total exergy transfer associated with a stream of matter: e = ( h .T. Thus. per unit of mass flowing. note that the two terms on the right side of Equation 3.pou) (3.3. each in dimensionless form.h. as the thermal and mechanical components of the exergy associated with the ideal gas stream. of the exergy transfer associated with a stream of matter: The physical exergy is associated with the temperature and pressure of a stream of matter. the specific enthalpy and specific entropy at the restricted dead state.12b) . where h.12a is conventionally identified as the physical component. In summary.h.so) + 3V2 + gz. however. is (h . = 0.14 is given graphically in Figure 3. using Equation 2. respectively.13 can be expressed as ePH CJO T 1-l n ~ + ] In T O k) (k-l)lk (3. ePH.(s .12a) The underlined term in Equation 3. respectively.14 depend only on temperature and pressure. These terms may be referred to.) . the temperature Tbat which heat transfer occurs corresponds to To. In general. = 0.27 the work developed in the first step. Moreover. V.126 EXERGY ANALYSIS so. and so denote.14) The derivation is left as an exercise.12a can be seen from another perspective by expressing it alternatively as e = e + ( p u . ( s . Finally. the physical exergy cannot be represented in terms of these two components.

21.4. giving rise to negative values for e at certain states.1 Using data from Table 1.013 bars (1 atm). as shown in Figure 3. and ( p u . Solution MODEL 1. Methane is also modeled as an ideal gas. is never negative.2 for the cogeneration plant of Figure 1.2d and 3. the second term is negative when p < po.pou) accounts for the exergy transfer associated with the flow work [ 1. evaluate the physical exergy rate EpH(= thePH). The term p u is the specijic j o w work (Section 2.3. 2. The exergy transfer term e is thus simply the sum of two contributions: the exergy of the flowing matter and the exergy transfer associated with flow work.7. e. 1. All data are for operation at steady state. 4. Kinetic and potential energy effects are ignored.4 -1 I ' ' " I * ' ' I where e is the total specific exergy of the matter entering or exiting a control volume.2) at the inlet (or outlet). in megawatts. p o = 1. To = 298. 3.3 EXERGY BALANCE 127 k = 1. at states 10. evaluated from Equations 3.12b. Ideal-gas mixture principles apply for the air and combustion products. and 4.15 K (25"C). 3. - Example 3. . 9. Although the first term of Equation 3. For the environment.3.

0.6419 kg/s) (-LJ/kgK) 12 bars 1.3674)] kJ/kg(l MW/103 H/s) = 12. and 4. The physical component of the exergy associated with a stream is evaluated via Equation 3.15(6.79 MW The physical exergy rate at state 8.[h. 3.K) at states 1.63 MW State 9.so)] = (14.15 K) (1 MW/103 kJ/s) In = 0.H = Yiz. = To. and so denote the specific enthalpy and entropy. The h and ? values are obtained from Table C . at state 3 where xNz= 0. where h. The table below summarizes data for enthalpy (in kJ/ kmol) and entropy (in kJ/kmol.7748: .104. State 10. The tabulated S values are evaluated using Equation 2.013 bars x (298. States I. Using steam and 2. we have saturated water vapor at 20 bars. E. and evaluating h. 4 2 ~ tively. and 4.5 . respectable data.3409 .h..42d. At this state. . respectively.(s. as illustrated by the case of N.13. and so via Equations 2 . &iH. .T.47 to read E y f = ml$To In PI0 Po = (1. l using the corresponding temperatures of Table 1. of the same stream of matter at the state where the temperature is To and the pressure is p.88 . For methane at state 10. this reduces with the ideal-gas relations Equations 2.128 EXERGY ANALYSIS ANALYSIS.298.72. Since T I .2. is calculated similarly.0 kg/s) [2799. . 3.45 and 2.

h. State 4.524. At this state. l?.843 -241.668 241.138 205.". To. = so..24) 28. . Special considerations apply for the combustion products.1 14 22 1.192.072 39.7748)(9. and the physical exergy component vanishes: EyH = 0.467 281.824 227. some condensation would occur: At 25"C.139 304.3 EXERGY BALANCE 129 = = 223.624 207.032 258.610 223. and State 3.347 256. 5 2 ~ as can be verified. T I = To and p .004 kJ/kmol-K (0.8. is calculated similarly.90 .178 232.298.522 294.5 - 199.367.283 188.643 -4713.3. Using property values tabulated above. = (91.. Accordingly.15(212.978 193.(-4713. the mixture would consist of N.121 -330.314 In 207.52b and 2 .3 12.94 MW The physical exergy rate at state 2.794 262.209 254.649 (kJ/kg)(l MW/103 kJ/s) 1 = 41.538 0 17.422 218. 1 atm.082 252.28 kg/s) X 12524 .128 311.70 State I.349 191.707 .707 242. together with saturated water vapor in equilibrium with saturated liquid.159 2 13.540 41. and noting that So = SI.004 226. 0.24 2 12.964 -393.3) .521 .623 bars) 1 bar The mixture values for h and S are obtained using Equations 2.856 -221. and CO. When a mixture having the composition at state 4 is brought to po. N2 Mixture 0 17. we have. and SI = ho = h..0 9304.199.90 235. h. = po.146 238.321 .

130 EXERGY ANALYSIS On the basis of 1 kmol of mixture at 4.0314CO.856) + 0. to io is evaluated at To and the partial pressure xf. = 0.0(1) as discussed in Section 2.117 kJ/kmol So = 0. x.1372(221. xkO2 = 0. x& = 0. and 7 (E.0297(217. I3720.<i4.12po: Yref A similar procedure is used for the other gases.0297HZO(g). respectively.117) .0297(-241.7910.l at 25°C. .".1 MW 1 The physical exergy rates at states 5. E:".5 .h. The contribution of N. are x k 2 = 0. the enthalpy and entropy of the liquid water phase are evaluated.452) + 0.* = m 4 M = = (92.0510(-285. 0.T. . and So values required to evaluate the physical exergy of the combustion products at states 4-7 are.7507(193. as the values listed in Table C.7507N2.254 193.829) = -34.948) 193.115) + 0.530) + 0.92) 9304.l the h. Accordingly. 0. 0.15(235.7507(0) + 0. 6.0314(242.1372(0) + 0.0313 Then.298.1446. The mole fractions of the components of the gas phase.70 28. 1 atm would be 0.5.17 kJ/kmol*K = In these expressions. with data from Table C.022) + 0.io) E... shown underlined.(-34.. the composition at 25"C. at state 4 h4 .") are calculated similarly. respectively - h. 0.521) + 0.Izo(g)= 0.0510(69.0331.17) 101. I?.0314(-393.0510H.

1. Rather. and other intensive properties uniform spatially or with time.4. these reference substances would need to be in mutual equilibrium. The reference substances for model I. no attempt is made to detail this topic here. presented in Reference 4. however. Our natural environment is not in equilibrium. and CO. respectively. 3. To exclude the possibility of developing work from interactions-physical or chemical-between parts of the environment. 0. and the terms exergy reference environment and thermodynamic environment are frequently used to distinguish the thermodynamic concept from I he natural environment. 298.3...1 Standard Chemical Exergy Standard chemical exergies are based on standard values of the environmental temperature To and pressure po. Steam table data suffice for the calculations at states 8 and 9. and ionic and nonionic substances from the oceans. the substances comprising the system must be referred to the properties of a suitably selected set of environmental substances. all enthalpy and entropy data of water required for calculations at states 1-7 are obtained from Table C. pressure. For consistency with the property datums for and S used for N. As the modeling of exergy reference environments is discussed in the references cited. the present development features the use of standard chemical exergies determined relative to a standard environment. solid substances from the lithosphere. Two alternative standard exergy reference environments have gained acceptance for engineering evaluations. these are called here model I and model 11.4 CHEMICAL EXERGY 131 COMMENT.3) are its temperature. it is necessary to compromise significantly between physical reality and the requirements of thermodynamic theory.15 K (25°C) and 1 atm.4 CHEMICAL EXERGY When evaluating chemical exergy (the exergy component associated with the departure of the chemical composition of a system from that of the environment). Accordingly. for simplicity.. The reference substances generally fall into three groups: gaseous components of the atmosphere. r1-61. 3.are determined assuming restricted chemical equilibrium for nitric acid and nitrates and unrestricted thermodynamic equilibrium for all other chemical compo- . nor as presumed in the earlier discussion of the environment (Section 3. for example. as considered next.l. The standard environment is regarded as consisting of a set of reference substances with standard concentrations reflecting as closely as possible the chemical makeup of the natural environment. Such considerations have led to alternative models for evaluating chemical exergy.

The use of a table of standard chemical exergies greatly facilitates the application of exergy principles. only chemical exergy values corresponding to the same model should be used.1). Accord- . and other gases. even though the substances are not in completely mutual stable equilibrium.po.. presented in Reference 5: A reference substance is selected for each chemical element from among substances that contain the element being considered and that are abundantly present in the natural environment. the chemical composition of the exergy reference environment of model I1 is closer to the composition of the natural environment. also..4 (a special case of Figure 2. intended to represent air.2 in Appendix C gives the standard chemical exergies for selected substances obtained using models I and 11. and exits to the environment at temperature To and the partial pressure xip. the chemical composition of the gas phase of this model approximates satisfactorily the composition of the natural atmosphere. On an overall basis. that includes N. however. the evaluation of the standard chemical exergy for a gas included in the environmental gas phase can be accomplished as follows: The kth gas enters at temperature To and pressure po. the oceans.. In particular. The term standard is somewhat misleading. however.4. the methods used to calculate the standard chemical exergies. The maximum theoretical work per mole of gas k would be developed when the expansion occurs without irreversibilities. the effect of slight variations in the values of To and p o about the values used to calculate the standard chemical exergies reported in Table C. where the superscript e denotes the environment and x . For a broad range of engineering applications the simplicity and ease of use of standard chemical exergies generally outweighs any slight lack of accuracy that might result.132 EXERGY ANALYSIS nents of the atmosphere. chemical exergies calculated relative to alternative specifications of the environment are generally in good agreement. Referring to the device at steady state shown in Figure 3.. but the equilibrium requirement is not generally satisfied. for there is no one specification of the environment that suffices for all applications. Model I attempts to satisfy the equilibrium requirement of the thermodynamic theory.O(g). H. and comparisons of the two approaches. A different approach is used in model 11. Readers should refer to References 4 and 5 for additional details about the specific choices of the reference substances. CO. Still.2 can be neglected. 3. Table C. Throughout a given application. expands isothermally with heat transfer only with the environment. 0. = x. An underlying rationale for this approach is that substances found abundantly in nature have little economic value. is the mole fraction of gas k in the environmental gas phase.2 Standard Chemical Exergy of Gases and Gas Mixtures A common feature of standard exergy reference environments is a gas phase. The kth gas present in this gas phase is at temperature To and the partial pressure p . tables of standard chemical exergies. and a portion of the lithosphere.

871 kJ/kmol. with xtoz = 0. which. As an application of Equation 3. = 14.To = 298. whose mole fraction in the gas mixture at To. enters at To and the partial pressure xkpoand exits at To and the partial pressure x.po.179 kJ/kmol. The chemical exergy of a mixture of N gases.lxk).3. 2 xk In Xe 2 xk . Summing over all components. Paralleling the previous development. - Po (3.2 for model I.00328 and .15 gives egg. in model I1 is x. Gas k. as in model I. allowing for roundoff. po is xk.15. the chemical exergy per mole of gas k is - e:H = -RTo In XiPo = - -RTo In x .4 CHEMICAL EXERGY 133 Gas k at To Po 9 Figure 3. is the value for CO. ingly. and thus a different value is obtained for the chemical exergy of CO.4 Device for evaluating the chemical exergy of a gas. The mole fraction of CO. the work per mole of k is -RToln(x. Inserting values into Equation 3.4. with Equation 2. listed in Table C.27 and ideal-gas relations for enthalpy anti entropy. one for each gas in the mixture. In such a case we may think of a set of N devices like that shown in Figure 3.02 = 0.15 K. consider CO.15) The details are left as an exercise. each of which is present in the environmental gas phase. when model I1 is used: Z'$& = 19. the chemical exergy per mole of mixture is - eCH = -ET.00033. can be obtained similarly.

po refer to the system shown in Figure 3. gaseous fuels.3). the standard chemical exergy of a substance not present in the environment can be evaluated by considering an idealized reaction of the substance with other substances (usually reference substances) for which the chemical exergies are known. at To. Figure 3.16) Equation 3. . C. This equation also can be extended to mixtures (and solutions) that do not adhere to the ideal gas model [3).Hb.16 is valid for mixtures containing gases other than those present in the reference environment.Heat transfer is at temperature TOonly. 3 Standard Chemical Exergy of Fuels In principle. the terms 2:H are selected from a table of standard chemical exergies.H. this can be written alternatively as - In xk) and introducing (3. To illustrate this for the case of a pure hydrocarbon fuel C. where the fuel reacts with oxygen to form carbon dioxide All substances enter and exit unmixed at pressure po and temperature TO.5 Device for evaluating the chemical exergy of a hydrocarbon fuel. In all such applications.5 (a special case of Figure 2.15. 4 . for example. 3 .134 EXERGY ANALYSIS Expressing the natural logarithm term as xk(ln x i Equation 3.

the work term in the previous expression can be eliminated. an exergy balance for the system reads where as before the subscript F denotes the fuel. Solving for the fuel chemical exergy Using Equation 2. All substances are assumed to enter and exit unmixed at To. with Equation 2. po and heat transfer occurs only at temperature To.17a) Similarly.3.7% the following alternative expression is obtained: The first term of this expression involving the Gibbs functions can be written more compactly as -AG: the negative of the change in Gibbs function for .75b and recognizing that -ERp is the molar higher heating value HHV. Assuming no irreversibilities.4 CHEMICAL EXERGY 135 and liquid water. giving (3.

17b gives 824.18) where AG is the change in Gibbs function for the reaction. See Section 3.17b.2 (model I): 1. we can in principle determine the standard chemical exergy of any substance not present in the environment. To illustrate the use of Equation 3. involving other substances for which the standard chemical exergies are known. As an example. are ignored. Letting NH. the standard chemical exergy of the hydrocarbon C. as for example in the cases of coal.2 (model I). With a = 1.18 consider the case of ammonia. .1 at 2 5 T .0(1).17. and H. 1 bar. we may consider any reaction of NH. The very small corrections to the Gibbs functions. regarding each substance as separate at temperature To and pressure po. To illustrate the use of Equation 3. The term in curly brackets corresponds to the terms in curly brackets of Equations 3.17.136 EXERGY ANALYSIS the reaction. owing to the difference between 1 bar and the pressure of Table C. calculable via Equations 2. from Table C. By paralleling the development given above for hydrocarbon fuels leading to Equation 3. and write (3. and 0.720 kJ/kmol.2 for this model. play the role of hydrocarbon in the development leading to Equations 3..5. char. When the necessary fuel data are lacking..O(I).17. consider the case of methane. b = 4.019 atrn. we consider a reaction of the substance involving other substances (usually reference substances) for which the standard chemical exergies are known.. the approach of Equation 3...H. consider 'Values obtained from Table C. Equation 3.17a can be invoked using a measured or estimated fuel heating value and an estimated value of the fuel absolute entropy determined with procedures discussed in the literature. CO. and fuel oil. or Gibbs functions.4 for an illustration.17 are affected by the choice of the model used for the exergy reference environment. CH.74. This agrees closely with the value listed for methane in Table C.17b. With Equations 3. together with selected property data: the fuel higher heating value and absolute entropies. can be calculated using the standard chemical exergies of 0. together with the n's giving the moles of these reactants and products per mole of the substance whose chemical exergy is being evaluated. and is evaluated using the known standard chemical exergies. Note that only the terms in curly brackets of Equations 3. NH. Gibbs function data. With such a substance playing the role of the fuel in the previous development..' and standard chemical exergies for CO. H.

the standard chemical exergy of liquid water is 45 kJ/kmol.4 CHEMICAL EXERGY 137 NH3 + SO. . obtained from Table C. - +N2 + +H. 2. and H. This agrees closely with the value for ammonia listed in Table C. The small difference between po = 1 atm and the pressure used in calculating the table values is ignored. xLo2. N.3 gNz .2 (model I).3.l.3 e C H 4 02 Using Gibbs function data from Table C. 2.5 gHzO(l) 1 (TO* PO) + t g ': + 2 eH.. for state 9 E. in megawatts.. and standard chemical exergies for 0..1 is also applicable. Example 3 . and 3.O(I) a-CH .2 for the cogeneration system of Figure 1.035 MW As noted in Example 3. 2 Using data from Table 1.348 kJ/kmol. evaluate the chemical exergy rate EcH (= deCH). the restricted dead state corresponding to the mixture at state 4 consists of a liquid water phase and a gas phase with mole The contribution of the liquid water to fractions xk. 9.1. 1.650 kJ/kmol.0(1) from Table C.. for state 10 EcH MW 10 = (1.2 for this model. the chemical exergy is determined as for state 9: 45 kJ per kmol of liquid . xb. Thus."" = (14 k g l s ) 45 ( m kJ/kg)( 1bET6) = 0. Standard chemical exergies are from Table C. and x&zo(g). The standard chemical exergy of CH. 4.J/kg)( 16.6419 k g / s ) ( w k.2 (model I). we have == 336. Solution MODEL 1. at states 10. ANALYSIS.7.0(1) for which Equation 3.2 is 824.18 takes the form + a go.3668 MW From the same source.043 103 w s ) = 84. Accordingly. The model of Example 3.

7910 In 0. thus = 0.7910(639) + 0. together with the manner in which the reference environment of model I has been formulated. the chemical exergy rate of the combustion products is e. and 3 only closely corresponds to the air composition of model I.0331(14176) + 0. = 0.r 9 kmol as a gas phase and 0. This fact."" E. 2. with standard chemical exergies from Table C. The contribution of the gas phase to the chemical exergy is evaluated via Equation 3.1446 + 0. .051(45) = 111.7910 + 0. p COMMENT.051 kmol as liquid water.5 APPLICATIONS Thus far in this chapter the emphasis has been on exergy fundamentals.1446 In 0. which has been ignored in the present analysis.138 EXERGY ANALYSIS water.254 103 His = 0. C x .314)(298.1446(3951) + 0. and 3 the air composition closely corresponds to that of model I and so the chemical exergy is taken as zero in value: E?" = ECH 2 = = 0. the composition of the air at states 1. s ) ( w kJlkg)( 1 MW 28.EH + ET. In x . we have O.9176 l c g .04 MW.0313(8636) + (8."" = (92. Finally. In the present section we turn to important exergy applications.0331 ln(0. 3. .7. several of which are essential for progress with the presentation of thermoeconomics in Chapters 8 and 9.3665 MW ) At states 1.2. This omission causes a negligible error in subsequent evaluations. That is. C x.0313 ln(0. We begin by discussing the exergy analysis of the cogeneration system of Figure 1. As noted above.15)[0. 2.16.0313)] 115 kJ/kmol (gas) = On the basis of 1 kmol of mixture at state 4. leads to a value for the chemical exergy at these states on the order of -0.43 Hlkmol.949(115) + 0.0331) + 0.

refer to Tables 3.3 details the exergy destruction calculations for three representative components.7726 0.0350 84.2 for sample calculations.1 and 3.0266 12.5.3665 0.7823 21.7* Exergy Rates (MW) State 1 2 3 4 5 6 7 8 9 10 Substance Air Air Air Combustion Combustion Combustion Combustion Water Water Methane 2 PH 0. Sample calculations of the physical and chemical exergies given in Table 3.9384 101. The exergy carried out Table 3.0873 38. .1.9384 IO 1.0616 1 2.3665 0.0000 0.0000 0.5 APPLICATIONS 139 3. destructions and losses of exergy represent the waste of these energy resources.2.2 provides a rankordered listing of the exergy destructions within the principal components.3851 2.1 and 3.1 Exergy data for the cogeneration system of Figure 1.7516 2.3668 - E 0. we have where the exergy values are obtained from Table 3.1 Cogeneration System Exergy Analysis Thermal systems are typically supplied with exergy inputs associated directly or indirectly with fossil fuels or other energy resources. respectively.9939 products products products products . As an illustration of exergy analysis.5382 41.5382 41.7. Accordingly.0000 27.6271 + 2 CH 0.4158 21. “See Examples 3.3665 0.2. Roundoff accounts for slight differences between the table values and sample calculations. An exergetic eficiency for the cogeneration system can be calculated as the percentage of the exergy supplied to the system that is recovered in the product of the system.1 are provided in Examples 3. Identifying the product of the cogeneration system as the sum of the net power generated and the net increase of the exergy of the feedwater.7752 0.3665 0. which give data for the case study cogeneration system shown in Figure 1. Example 3.3.0000 0.0000 27.1 and 3.406 1 0. Table 3.8 1 02 84. The method of exergy analysis aims at the quantitative evaluation of the exergy destructions and losses associated with a system.4538 38.0350 0.

The next most prominent site is the heat-recovery steam generator (HRSG). with chemical reaction.49 46. respectively.26% of the fuel exergy. and friction.7” Exergy Destruction Component Combustion chamberd Heat-recovery steam generator Gas turbine Air preheater Rate (MW) 25.47 Percentageb 64. Roughly equal contributions to inefficiency are made by the gas turbine. *Exergy destruction rate within a component as a percentage of the total exergy destruction rate within the cogeneration system (Equation 3. heat transfer and friction are the sources of exergy destruction. Exergy destruction in the adiabatic gas turbine and air compressor is caused primarily by friction. ‘An additional 3. and a dramatic reduction in its effect on exergy destruction by conventional means cannot be expected.98 7.33 3.25). it is known that the inefficiency of combustion can be reduced by preheating the combustion air and reducing the air-fuel ratio. where chemical reaction is the most significant source of exergy destruction.26). and the loss associated with stream 7. The exergy destruction and loss data summarized in Table 3.09 2.56 15. Combustion is intrinsically a very significant source of irreversibility.78 7.63 2. amounting to 3. Still. of the system at state 7. Value determined using the nominal pressure at state 10 given in Table 1. Exergy destruction associated with heat transfer decreases as the temperature difference between the streams is reduced. heat transfer. This is achievable through the specification of the heat exchanger.26% of the fuel exergy is carried out of the system at state 7 and is charged as an exergy loss. with the most significant irreversibility being related to the stream-to-stream heat transfer. All three irreversibilities are present in the combustion chamber.2 clearly identify the combustion chamber as the major site of thermodynamic inefficiency. is regarded as a loss. though there is normally an accompanying increase in exergy destruction by friction.01 2.2 Exergy destruction data for the cogeneration system of Figure 1.00 Percentagec 29.5. The exergy destructions in these components stem from one or more of three principal irreversibilities associated.140 EXERGY ANALYSIS Table 3.3 for discussion. ‘Exergy destruction rate within a component as a percentage of the exergy rate entering the cogeneration system with the fuel (Equation 3.63 6.3. For the HRSG and air preheater.12 39.23 3.66 5. “Includes the exergy loss accompanying heat transfer from the combustion chamber. air preheater. The air compressor is an only slightly smaller contributor.43‘ Air compressor Overall plant “See Example 3.54 3. The exergy destruction within the . Further discussion of exergetic efficiencies is provided in Section 3.48 6.2.37 100.

Express each as a percentage of the total exergy destruction within the system and of the exergy entering the system with the fuel. Example 3. Equation 3. The foregoing considerations provide a basis for implementing practical engineering measures aimed at improving the thermodynamic performance of the cogeneration system. . For each component. The models of Examples 3. however. Solution MODEL 1.2. The objective in thermal system design normally is to identify the cost-optimal configuration and the cost-optimal values of the decision variables. is reduced. for (a) the combustion chamber.2. The significance of the exergy loss associated with stream 7 reduces as the temperature T. .3. in megawatts. evaluate the rate of exergy destruction. leading to no net overall improvement.4538) MW = 25.1 for the cogeneration system of Figure 1.3 Using data from Table 3. The control volume enclosing the combustion chamber is selected to encompass the combustion chamber and enough of its nearby surroundings so that the heat loss occurs at the ambient temperature. 25°C. ANALYSIS. and (c) the compressor. With data from Table 3. the value the exergy destruction rate is obtained from the exergy rate balance. This requires consideration of both thermodynamics and economics.E4 where the heat transfer term vanishes because heat transfer is assumed to occur at To. Measures that improve the thermodynamic performance of one component might adversely affect another.1 and 3. 2. as discussed in Chapters 8 and 9.2 are also applicable. (Additional discussion of the interdependency of exergy destructions occurring in different components is found in Section 8. (a) For the combustion chamber pcv + E3 + E .5 APPLICATIONS 141 gas turbine and the air compressor decreases as friction is reduced. such measures have to be applied judiciously.1 1b.48 MW . measures to improve thermodynamic performance invariably have economic consequences.1 ED = (41. As discussed in Section 1.9384 + 84.) Moreover.7. (b) the air preheater.9939 - 101.1.

649 1 MW Then. Of this (25.1.2757 kg/s)[ -29.1 give ED = X j U T.5382 MW) = 2. 2.9 28.h2 WC"= ni.66%. (b) For the air preheater..47 (100) = 2.99)(100) = 29.48/ 84.48/39. respectively. and compressor gives h2 from Example 2. respectively. The exergy loss associated with heat transfer from the combustion chamber is counted here as an exergy destruction for an enlarged . .142 EXERGY ANALYSIS Expressed as a percentage.09% 84.98% is destroyed by irreversibilities within the combustion chamber.21.6623 MW) + 0 .E6 = = (27. i + E.9384 .63 MW The two exergy destruction ratios expressed as percentages are.E3 .(h.6623MW (-4713.4596. applying an exergy rate balance ED = CMQj w.3) .7823 .47 = 6.63(100) 39.49% COMMENT. Q j- pcv + E2 + E5 . Ma = = (91. 2. an exergy rate balance and data from Table 3.41. . the rate exergy enters with the fuel is closely 84.h*) = ni.12 MW The two exergy destruction ratios expressed as percentages are. an energy rate balance for the h.(27.99 MW.(-29.2.12 39.56%. the contribution of the combustion chamber to the total exergy destruction is (25.63 (100) = 3.99 (c) Using h.5382 + 38.7516) MW 2.47)(100) = 64. 2. - E2 0 . From Table 3.

including the roles of exergy destruction and exergy loss in determining thermodynamic performance.6 depicting a gas (or liquid) flowing through a pipe section at steady state.2 for further discussion. refer to Figure 3.5 APPLICATIONS 143 control volume that encompasses the combustion chamber and a portion of its nearby surroundings. 3. such measures of performance are considered. exergy loss ratios. denoted I and 11.3. See Section 3. where Q is taken as positive in the direction of the arrow. In this case. Exergy analysis additionally often involves the calculation of measures of performance: exergy destruction ratios. and exergetic eflciencies. are indicated. In this section and the next. An energy transfer by heat from the gas occurs at the rate Q. taken here as the temperature of the exergy reference environment To.5. 6 Flow of a gas (or liquid) through a pipe at steady state with heat transfer to the surroundings.2 Exergy Destruction and Exergy Loss The cogeneration system exergy analysis just considered illustrates several aspects of exergy analysis. = ritei and leaves Figure 3 . Two alternative boundaries. System definition is especially important in exergy analysis because the choice of boundary can determine whether the effects of heat transfer should be charged as an exergy destruction or an exergy loss. The first step in any thermodynamic analysis is to define the system or control volume. Boundary I1 is located outside the pipe where the temperature corresponds to the ambient temperature. System Boundary. Exergy enters the control volume at inlet i at the rate E.5. heat transfer occurs at temperatures that generally vary in the direction of flow. . To illustrate how boundary selection influences an exergy analysis. Boundary I includes just the cylindrical volume through which the gas flows.

respectively. In this case. ED + EL. the use of boundary I1 provides an alternative approach that often suffices. respectively. the exergy rate at the outlet is less than the exergy rate at the inlet. = mee. In such applications. regardless of which boundary is chosen. the exergy destruction term ED accounts for the total exergy destruction within the enlarged control volume: exergy destruction owing to friction and the irreversibility of heat transfer within the control volume.: (Qcv/rh)intrev = T&. where T. In special cases. With boundary I the rate of exergy loss EL equals the rate of exergy transfer associated with heat transfer.si). one-outlet control volume at steady state is given by Equation 2.20 requires information about the rate of heat transfer q' across each portion of the boundary and the temperature Tb on the boundary where heat transfer occurs. the heat transfer experienced by a one-inlet. With boundary 11. the exergy loss term of Equation 3. because the required information is unknown or mathematical complexities intrude. heat transfer occurs at the temperature To.20) where q' is the heat transfer rate per unit of length L.12a at the inlet and outlet. To evaluate the exergy transfer via Equation 3.si r' T d s (3. remains constant for given inlet and outlet states.19 vanishes. I or 11. In the absence of internal irreversibilities. Such heat transfer can be regarded for simplicity to occur at a thermodynamic average temperature T. These exergy quantities are related by the exergy rate balance. Thermodynamic Average Temperature. Exergy is also destroyed within this control volume owing to the effect of friction. however. however.144 EXERGY ANALYSIS at outlet e at a lesser rate E. it is apparent that the sum of exergy destruction and exergy loss. e. as will now be considered. Accordingly.3. which at steady state can be expressed as Ei = Ee + ED + EL (3. Owing to exergy destruction and exergy loss.28. where m denotes the mass flow rate and the terms e . = Ji s. and is thus given by (3. are evaluated from Equation 3. and thus there is no associated exergy transfer: Eq = 0. In many practical applications this exergy transfer is not amenable to evaluation. the evaluation can be conducted using the thermodynamic average temperature considered next. is defined by T. The individual values of ED and EL depend explicitly on the boundary choice.2 1a) .19. exemplified by the combustion chamber analysis of Example 3. .19) where ED and EL represent rates of exergy destruction and loss. By inspecting Equation 3. . however.

3. Two subsystems. denote thermodynamic average temperatures for the hot and cold streams.7. As discussed in Section 8.7). respectively. = h.5 APPLICATICINS 145 or with Equation 2. Equation 3.21b) For applications involving heat exchangers and certain other elementary components.9. reads where ED accounts for the exergy destruction in subsystem A due to heat transfer. labeled A and B.21b then reduces to the special form T.22 provide plausible means for approximating T. Subsystem A is a closed system consisting of the wall separating the hot and cold streams.2 ) Q (3. the exergy transfer rate associated with the heat transfer rate Q is simply Eq = (1 . s . Referring to the counterflow heat exchanger of Figure 3. for use in Equation 3. heat transfer occurs ideally at constant pressure. I Exergy Destruction Through Heat Transfer and Friction. Equation 3.21 and 3.1 1 (Equation 8. Reducing this expression gives ..23) Although strictly adhering to cases where the idealizations used to develop them are satisfied.si - hi (constant pressure) (3. The exergy destruction in subsystem A is caused by heat transfer only.34b (3. are shown on the figure. . Equations 3. this approach allows for an estimate of the monetary loss associated with an exergy loss due to heat transfer. The thermodynamic average temperature concept can be used to develop an understanding of the effects of heat transfer and friction on exergy destruction. let Thoand T. Energy flows by heat transfer through the wall at the rate Q.23 even when nonidealities such as pressure drops owing to friction occur. At steady state the closed system exergy rate equation.22) In terms of the thermodynamic average temperature.

the rate of exergy destruction associated with heat transfer varies quadratically with the stream-to-stream temperature difference and inversely and Tra.T. At steady state the control volume exergy rate equation. with the product of the temperature levels.12a to give .7 Counterflow heat exchanger used to discuss the effects of heat transfer and friction on exergy destruction. tween the streams: cc (Th. ED = ToQ Tha Tha Tra Since the heat transfer rate is proportional to the temperature difference be. we have. Equation 3. Friction is the only irreversibility of this subsystem. qualitatively..1 la. reduces with Equation 3. That is.).146 EXERGY ANALYSIS B A Figure 3. as gauged by Tha Subsystem B is a control volume encompassing the channel through which the hot stream flows.

Tom(4L/D)(V2/2) f Thn (3. the last equation can be rewritten with Equation 3.hi). the rate of exergy destruction associated with friction varies directly with the head loss and inversely with the temperature level.24b) where h. and so the expression for the exergy destruction rate becomes ( s .3). Thus. To begin. and the kinetic and potential exergy terms are ignored. Tomb. (3. Still.21b as ha With Equation 2. . Exergy destruction.24 have been developed for the special case of Figure 3. as gauged by Tho. we take this opportunity to introduce without additional development some conclusions about the relationship of exergy destruction to head loss and friction. these equations can be used as points of departure for introducing considerations that apply more generally. In writing this.5 APPLICATIONS 147 where ED accounts for the exergy destruction in subsystem B owing to friction. Energy is conserved in all such conversions. the chemical exergy at the inlet and outlet cancels. on the other hand.24a) and with Equation 2.30 we have ED = Thn . accounts for an irrevocable reduction in the magnitude of total exergy owing to friction and other resistances.si) - As Tha represents the thermodynamic average temperature.3. That . Q = riz(h. is the head loss and f is the friction factor. Equations 3. . That is.2.31 this becomes ED = .7. Head loss accounts for the effect of friction and other resistances in converting mechanical energy to internal energy (Section 2. From an energy rate balance. note that head loss and exergy destruction are not synonymous.

.24b suggests that the exergy destruction rate varies directly with the roughness level. which shows that exergy destruction and head loss differ by the temperature ratio T0/T. the effect of friction is especially significant for systems operating at temperatures below that of the environment-cryogenic systems. the exergy destruction rate varies directly with the mass flow rate m. therefore. Relatively greater attention should be paid. For components operating below To. Although invariably contributing to exergy destruction. 8 Temperature-entropy diagrams used to discuss the effect of friction on the performance of turbine and compressor stages.24a also suggests that the lower the working fluid temperature the higher the exergy destruction associated with a given value of the head loss.24a suggests that for components operating at temperatures above To the magnitude of the exergy destruction is less than that of the head loss. Let us consider the role of temperature in more detail: Equation 3. Thus. Equation 3. the effect of friction is more significant at higher mass flow rates and/or lower temperature levels.Thus. as gauged by Tho. f is determined mainly by pipe roughness in most applications. for example. the full effect of friction depends on the process being considered: Referring to Figure T T S S (a) Turbine Stage (b) Compressor Stage Figure 3 . Accordingly. Equation 3.148 EXERGY ANALYSIS the two concepts differ is brought out clearly by Equation 3.24a. however.5). the magnitude of the exergy destruction is greater than the head loss. Although the friction factor f varies generally with the relative roughness and Reynolds number (Figure 2..and inversely with the temperature level. to the design of the lower temperature stages of turbines and compressorsthe last stages of turbines and the first stages of compressors-than to the remaining stages of these devices. Moreover. for a fixed friction level f . .

for the cogeneration system. are the exergy destruction ratios y D and y z and the exergy loss ratio y..8a. respectively.to. EF. giving the ratio (3. . Turning next to Figure 3. we see that due to friction the exit temperature for a stage of compression is higher than for an ideal compression: T2 > TZs.8b. fuels. for example.. Related to these measures. in this case the higher temperature T2 is unfavorable because the higher temperature requires the next compressor stage to accommodate a greater volumetric flow rate.26) The two exergy destruction ratios are useful for comparisons among various components of the same system. and consequently the capacity to develop work in the next turbine state is enhanced. or closely similar. The exergy destruction ratio y D can also be invoked for comparisons among similar components of different systems using the same. The higher temperature of the actual expansion can be traced to the conversion of mechanical energy into internal energy via friction. Referring to Table 3. T2. respectively.3. exceeds the exit temperature for an ideal expansion without friction.5 APPLICATIONS 149 3. Since the temperature at state 2 is higher than at state 2s.. Exergy Destruction and Exergy Loss Ratios. The rate of exergy destruction in a system component can be compared to the exergy rate of the fuel provided to the overall system. the specific exergy at state 2 exceeds that at state 2s. which shows the adiabatic expansion of a gas across a turbine stage. E. the columns identified by footnotes b and c give y $ and yL. note that the exit temperature for the actual expansion with friction.. T2s. The values of the rates of exergy destruction ED and exergy loss EL provide thermodynamic measures of the system inefficiencies.. the component exergy destruction rate can be compared to the total exergy destruction rate within the system. giving the exergy destruction ratio (3...25) Alternatively.2.However..

the definition of the product must be consistent with the purpose of purchasing and using the system. respectively: E = 1 . The product represents the desired result produced by the system.25. Equations 3.503.27) Referring again to Table 3.29) .0.1 introduces the exergetic efficiency as a parameter for evaluating thermodynamic performance. The fuel represents the resources expended to generate the product. An exergy rate balance for the system reads EF = Ep + ED + EL (3. .27 express the reduction in overall efficiency caused by exergy destruction and loss. As an illustration. let us consider a system at steady state where. and is not necessarily restricted to being an actual fuel such as natural gas.28) where as before ED and EL denote the rates of exergy destruction and exergy loss. The exergetic efficiency E is the ratio between product and fuel: (3.4643 . Both the product and the fuel are expressed in terms of exergy. In this section we consider the concept in detail.0. oil.Zy. by comparing the exergy loss to the exergy of the fuel provided to the overall system: (3.1.150 EXERGY ANALYSIS The exergy loss ratio is defined similarly to Equation 3. In defining the exergetic efficiency it is necessary to identify both a product and a fuel for the thermodynamic system being analyzed. or coal. the rates at which the fuel is supplied and the product is generated are EF and E. 3. effectiveness.25 and 3.3 Exergetic Efficiency The exergy analysis of the cogeneration system considered in Section 3. Accordingly..5.Zy. footnote e gives the exergy loss ratio associated with stream 7. respectively.5. or rational efficiency) provides a true measure of the performance of an energy system from the thermodynamic viewpoint. in terms of exergy. = 1 . The exergetic efficiency (second-law efficiency.2 for the cogeneration system.5. respectively.0326 = 0. As illustrated by the data of Section 3.

Applying Equation 3. for instance. decisions must be made concerning what is to be counted as the fuel and as the product of the system. or fan. Table 3.30 to the gas compressor of the cogeneration system of Table 3. Pump.).3 provides illustrations for several common components.31a to the gas turbine of the cogeneration system of Table 3.E2 (turbine or expander) (3. for a turbine without extraction we consider the power developed W as the product and the decrease in the exergy of the expanding gas or liquid from . When Equation 3. Thus. Let us consider these beginning with the first entry: a compressor. E = 95. pump. As the exergy of the stream increases.3 gives the definitions of product and fuel for a turbine with one extraction. or industries. Turbine or Expander.3.E .2%. By this means the performance of a gas turbine. . can be gauged relative to the typical presentday performance level of gas turbines. pump. pump. E=- w E . and the exergetic efficiency is . The purpose of purchasing and using a turbine or expander is to generate power from the expansion of a gas or liquid. In a compressor.30) where W is taken as positive in the direction of the arrow shown in the schematic of Table 3.1. plants. plant. we consider the product to be the exergy increase between inlet and outlet (E2 . E = - w (compressor. the difference between 100% and the actual value of the exergetic efficiency.31a) Applying Equation 3.5 APPLICATIONS 151 The exergetic efficiency shows the percentage of the fuel exergy provided to a system that is found in the product exergy. In this case we consider the fuel as the power input W. a gas or liquid is caused to flow in the direction of increasing pressure and/or elevation by means of a mechanical or electrical power input. or industry relative to the performance of similar components.29 is applied to a system. expressed as a percent. however.E.3. Table 3. or fan) (3. An important use of exergetic efficiencies is to assess the thermodynamic performance of a component.1. is the percentage of the fuel exergy wasted in this system as exergy destruction and exergy loss. The exergetic efficiency is then E2 . A comparison of exergetic efficiencies for dissimilar devices-gas turbines and heat exchangers. Compressor.8%. for example-is generally not meaningful. Moreover. or fan. The exergetic efficiency is then inlet to outlet (8. or Fan. E = 92.E2) as the fuel.

E .E4 E. . Pump. E . w E . + E2). or Fan Turbine or Expander Heat ExchangeI“ Mixing Unit Gasifier or Combustion Chamber Boiler Hot stream Hot Reaction products Feedwater Main Schematic 1 Cold reheat Hot 8 reheat Ash+ Exergy rate of product.E.)..) w + E2 E. then the following relations should be used: EP = $ ! . VI N Table 3. E2 . Exergy rate of fuel. E3 . and EF = E . . + E2 (E.E. E.E . For simple coolers or condensers see discussion in text.E2.E2 . E 3 E 3 (E6 - E5)+ (E* .E3 E2 .(E3 + E4) “These definitions assume that the purpose of the heat exchanger is to heat the cold steam (T.If the purpose of the heat exchanger is to provide cooIing(T3 5 T. 2 To). .. .3 Exergy rates associated with fuel and product for selected components at steady-state Component Compressor.

(3.E. w E . .E. 5 To).3.E . respectively.3. T3 5 To) (3. the exergetic efficiency of the combustion chamber of the cogeneration system of Table 3.32) - 8 4 With this approach. where the hot steam is cooled by the cold stream and all heat transfers occur at or below To (T. z To) (3. Combustion Chamber.exergy is transferred from the cold stream to the hot stream (exergy is transferred in the direction opposite to the direction of heat transfer).the fuel is (8. . The definitions of fuel and product given in Table 3. the exergetic efficiencies of the heat recovery steam generator and air preheater of the cogeneration system of Table 3. Mixing Unit. 2. for further discussion.5 APPLICATIONS 153 E = . . For the case listed in Table 3.E4). As heat exchangers can have different purposes. No meaningful product. (heat exchanger.E . and thus no meaningful exergetic efficiency. Gasifier. T . .6%. E=- E. heat transfer between two streams at T > To and T < To.E3). or a gasification reactor are not the only ones that might be used and are provided mainly for illustrative purposes. . In the special case of a heat exchanger providing cooling for a cold chamber (7' < To).E.3. even though this would appear to be a design error from an exergy perspective. E 3 (heat exchanger. alternative choices for the fuel and product lead to alternative expressions for the exergetic efficiency: 1. With the approach of Table 3. a combustion chamber. and the product is (E2 . Thus.2 and 84.9%.8J and product is (E4 E=.1 is 79. 4.3 for a mixing unit. Cost considerations might sanction the use of such a heat exchanger. ) and the fuel is (8. . respectively.E3 E. we assume that all heat transfers occur at or above To and that the purpose of the heat exchanger is to increase the exergy of the cold stream (from state 1 to state 2) at the expense of the exergy of the hot stream (from state 3 to state 4). see Reference 7. In refrigeration applications.31b) Heat Exchangers. however. .Accordingly.E4 .1 are 67. can be defined for a heat exchanger that allows heat transfer across the temperature of the environment To-that is. the .33) 3.the exergy product equals the exergy rate associated with the energy removed by heat transfer from the chamber.

Similar considerations apply to heat exchangers (coolers) that achieve the cooling of a stream by the heating of another stream.E. Identifying the fuel as the sum of all exergy inputs and the product as the sum of all exergy outputs can result in misleading conclusions for single plant components. Such a case is considered in the discussion of Figure 3.(E3 + Ed). in determining the fuel for the boiler the exergy rates of streams 3 and 4 are subtracted from the sum of exergy rates associated with the coal and the air supplied to the boiler to give (E. such streams would be included (with a minus sign) in the fuel term. Exergy losses associated with material streams should be included among the losses when the overall system efficiency is evaluated.). generally only the difference in the exergy values of the stream should be considered in the calculation of the fuel or product. The purpose of the boiler shown in Table 3. Accordingly. as indicated by Table 3. a throttling valve is a component for which a product is not readily defined when the valve is considered singly. For example. when formulating an exergetic efficiency. but usually it is not appropriate to do so.Thus. Thus the product is taken as the sum (E6 . the exergy gain of which is discarded.34) Guidelines for Defining Exergetic Efficiencies.3. the throttling valve and the components it serves should be considered together.9.3 provide illustrations of how the fuel and product might be defined for several common components of thermal systems.k5)+ (E8. That is. In a component efficiency. The cases of Table 3. The purpose of owning and operating a component determines the product of a thermal system. The exergies of the flue-gas stream 4 and the ash stream 3 might be treated as losses. but not when evaluating the efficiencies of the system components that the streams last exit. special considerations can apply. as for E3 and E4 in Equation 3. the net exergy supplied by such a stream would be identified with the fuel and the net exergy supplied to such a stream would be identified with the product. + E. When a stream crosses the boundary of a system twice with no change in chemical composition.34.3 is to increase the exergy rate between inlet and outlet for the boiler feedwater (from state 5 to state 6) and the reheat stream (from state 7 to state 8). For other cases the following guidelines are useful when identifying the fuel and product: The definition of exergetic efficiency should be meaningful from both the thermodynamic and the economic viewpoints. . Throttling valves typically serve other components. When defining exergetic efficiencies.154 EXERGY ANALYSIS Boiler.) . the exergetic efficiency reads (3. Accordingly.

3. it plays an overall positive role by reducing the costs associated with the compressor: a lower operating cost owing to a reduced power requirement and a lower investment cost owing to a reduction in its size. .E8. and a feedwater heater.9 Schematic representationof a compression process with intercooling. It is counted as an exergy loss. System B comprises system A and the feedwater heater. This can be illustrated by referring to Figure 3. Exergetic efficiencies for systems A and B can be defined as follows: Referring first to system A . .5 Figure 3.9 depicting four components: two compressors. a cooler. Working .E3 w. note that the cooler serves the compressor by cooling the working fluid (from state 3 to state 4). reducing thereby both the power required by the compressor and the compressor size.@*I Compressor . the exergetic efficiency is E* = E 5 . Two enlarged systems are shown on the figure: System A comprises the cooler and one of the compressors. Accordingly. In writing this we have assumed that the exergy gain of the cooling water. an exergetic efficiency generally should be defined for an enlarged system consisting of the component and the other components it directly affects.. But note that the feedwater heater provides preheated feedwater for use elsewhere (heating from state 6 to state 7) and also assists in reducing the power required for compressor I1 by cooling the working fluid (cooling from state 2 to state 3). Although the cooler contributes to both the exergy destruction and exergy loss of system A. System B involves similar considerations. Identifying the product of system A as the increase in exergy of the working fluid from state 3 to state 5 and the fuel as the power input. is discarded.5 APPLICATIONS 155 When the purpose of owning and operating a plant component also involves other components.

N. 6 bituminous coal.70 8. and the effectiveness of a heat exchanger.5.0055 0. 0. does not consider that the working fluid at the outlet of the turbine has a higher temperature (and consequently a higher exergy that may be used in the next component) in the actual process than in the isentropic process. . H.n. h. The heat exchanger effectiveness fails. 0. The procedure for determining the chemical exergy of pure hydrocarbon fuels developed in Section 3.E2) + (E. the isentropic efficiency of a compressor or turbine.&) + (E. for example. and S.29 is generally more meaningful. and useful than any other efficiency based on the first or second law of thermodynamics. bDenoted C. N. the fuel is the power input.18 Kmolkg (DAF)" 0.$). 0. The thermal efficiency of a cogeneration system.26 2.70 11. The isentropic turbine efficiency.001 1 0. objective.80 5.59 3. Char. S for constituent C. "Denoted c. and S. 0. The corresponding exergetic efficiency reads Eg = (E5. Concluding Comments.4. The exergetic efficiency defined by Equation 3. respectively.4. see References 2. N. 3. H.00 10 C H 0 N S Ash KO 63. s for constituent C. which compares the actual process with an isentropic process.91 1. .156 EXERGY ANALYSIS the product of system B is the sum of the net exergy increases of the streams flowing from state 2 to state 5 and from state 6 to state 7: (E5. The presentation follows that of Reference 8. For additional discussion concerning the estimation of the chemical exergy of fuels.12 "Illinois No.52 9. to identify the exergy waste associated with the pressure drops of the heat exchanger working fluids.0565 0. and Fuel Oil We conclude this section considering exergy applications by evaluating the chemical exergy of the coal whose composition is given in Table 3.0673 0.3 can be adapted to the cases of coal.73 1. char. is misleading because it treats both work and heat transfer as having equal thermodynamic value. Table 3. 8.51 6.98 4. including the thermal efficiency of a power plant.4 Chemical Exergy of Coal. respectively. As before. - E6) K. H. for instance.4 Coal compositiona Constituent As Received Mass Fraction (%) Dry and Ash Free (DAF) Mass Fraction (%)b 80.

. n.09 kJ/kmol.l gives - so. po and reacting completely with oxygen entering separately at To. = 205. In particular.po as N. with To = 25°C and po = 1 atm.K (3. h.K. the counterpart of Figure 3. each in kmol/kg (DAF).95 kJ/km~l. the combustion reaction is described by (cC + hH + 00 + nN + sS) + vo2 0.2.17a can be invoked using a measured or estimated fuel heating value and an estimated value for the fuel absolute entropy. All heat transfer occurs at temperature To. p o to form CO.15 kJ/kmol-K.. With data from model 1 of Table C. and H. sN2 = Sso2 = 248.36a is -0.17a takes the form Ignoring the slight difference between po (1 atm) and pref(1 bar). 191.3..61 kJ/kmol*K - sCo2 = 213.4. the approach of Equation 3.37a) The contribution of Equations 3. - where c..5 APPLICATIONS 157 and fuel oil. 0 . which exit separately at To. the counterpart of Equation 3.0(1).79 kJ/kmol-K sHzO = 69. For this case.367 kJ/kg(DAF). This will now be illustrated for the coal of Table 3. The nitrogen contained in the coal also exits separately at To. po.5 involves dry and ash free (DAF) coal entering the control volume at To.4. On the basis of 1 kg of DAF coal entering the control volume. we have For this case. Table C. SO. and s.37a to the value of the first bracketed term of Equation 3. as can be readily verified.K. are provided in Table 3. Balancing the reaction equation.

0.. 0. That is. in MJ/kg.1653 I (3.0684 0. (HHV). po. That is. Equation 3. as follows..0684 0.639 MJ/kmol - e:& = 14..32 MJ/kg(DAF) The absolute entropy for the dry and ash free coal can be estimated.38b) + 0.(0.37b) Thus. values are required for the higher heating value of the dry and ash free coal (HHV). the higher heating value can be estimated.0873 .6712 c+n c+n where c.4.K (3.384 kJ/kg(DAF).1145 c+n n + 54.4767 exp -0. 0.38a) where the mass fractions H .311 + 44.564682 0.939 MJ/kmol (3.4767 exp -0. each at To.6712 0.0318)/8] = 34.S)/8] (3.94 MJ/kg(DAF).057 . 37.045 MJ/kmol. the second bracketed term of Equation 3.767][(0.36a has the value 0.0684 0. = [152. In the absence of a measured value. C.36a gives the specific chemical exergy of the dry and ash free coal . h. To complete the calculation of Equation 3. and the absolute entropy sDAF.0. [9]: 37.3111 + 44.158 EXERGY ANALYSIS - e:: = 3.19)(0. = = - - e:. = [( 152.19H + 98..564682 c+n 0 + 20.0055 0. [9]: (HHV)...057) + 98.0011 + 20.36a.4. in kJ/kgK. and S are provided in Table 3.39b) Collecting results.39a) - 31.1653 - 31. and s are provided in Table 3.176 MJ/kmol = 301. 0.767][(C/3) +H - (0 .808/3) (3. as can be readily verified.n.1145 + 54. as follows.951 MJ/kmol.0684 = 1.

68 MJ/kg (3.1112 e'" = 0.96 MJ/ kg(DAF)) + = (~~~~~ kmol/kg (0.) 18. 121.6 GUIDELINES FOR EVALUATING AND IMPROVING THERMODYNAMIC EFFECTIVENESS 159 = 34. This is exemplified by the gas turbine cogeneration system we have considered several times.045 MJ/kmol) 27. The technical literature is abundant with discussions of various cogeneration alternatives and practical applications [ l l . In the present section additional guidelines are introduced.36b) The value for the chemical exergy in this case is determined mainly by the first term: the higher heating value. 3. .3. the specific chemical exergy of the coal (as received) is then 0.79 18 kg(DAF)/ kg)(34. Most of these stem from experience with the evaluation and improvement of the thermodynamic effectiveness of thermal systems.15 K)(1.7918eC.367) kJ/kg(DAF). assuring that cogeneration is firmly founded in current practice and will continue to be so in the future. An important guideline for achieving cost-effective thermal systems is to maximize the use of cogeneration when it is feasible.0.94 MJ/kg(DAF) = 34. The use of the higher heating value of a fuel to approximate the fuel chemical exergy is frequently observed in the technical literature.32 MJ/kg(DAF) - [(298. and most reflect conclusions evolving from exergy analysis. + e$&.H.6 GUIDELINES FOR EVALUATING AND IMPROVING THERMODYNAMIC EFFECTWENESS Several design guidelines are listed in Table 1.K](l MJ/103 kJ) + 0.384 . Referring again to Table 3. the chemical exergy of the ash has been ignored.015 = (0. The guidelines provided here also extend and amplify guidelines presented in Reference 10. beginning with Chapter 1.40) The contribution of the water is negligible in this calculation..4.1 to assist the concept development stage of the design process. Cogeneration achieves economies by combining the production of power together with process steam generation or heating.96 MJ/kg(DAF) (3.

The primary contributors to exergy destruction have been identified as chemical reaction. As the unit cost attributed to exergy destruction depends on the nature of the source of inefficiency and on the position of the component in the system (Section 8. heat transfer. Still. it is generally good practice to eliminate or reduce this source of inefficiency. and an approximate thermodynamic average temperature. steps taken to reduce inefficiencies should take these aspects into account. We have previously noted that sources of inefficiency are related to exergy destruction and exergy loss. the principal contributors to its inefficiencies not only should be understood qualitatively but also determined quantitatively.. In these cases a significant reduction in the combustion irreversibility by conventional means simply cannot be expected. or coal) required to feed the exergy destruction caused by combustion or heat transfer. mixing. l).2. oil. natural gas. To increase the thermodynamic effectiveness of a particular system.9 can be framed as a question: Does the exergy destruction and loss associated with a component reduce capital investment in the overall system and/or fuel costs in another component? If not. for the major part of the exergy destruction introduced by combustion is an inevitable consequence of incorporating such equipment. An important issue encountered in the discussion of Figure 3. it is generally good practice to minimize the use of Combustion. For example. however. engineers should not hesitate to: Make reasonable simplifying assumptions Use simplified exergy calculations Examples of simplified calculations include the appropriate use of ideal-gas property relations with constant specific heats. extreme precision in such evaluations is seldom required to guide decisions directed at reducing inefficiencies. therefore. Design changes to improve efficiency must be done judiciously. In many applications the use of combustion equipment such as boilers is unavoidable. Since chemical reaction is a significant source of thermodynamic inefficiency. for as shown in Chapter 8 the unit costs associated with different sources of inefficiency can be different.g. the unit cost of the electrical or mechanical power required to feed the fuel exergy destroyed owing to a pressure drop is generally higher than the unit cost of the fuel (e. When evaluating the relative magnitudes of the exergy destruction and loss. including unrestrained expansions of gases and liquids. Although the relative magnitude of the exergy destructions and losses must be evaluated. the incompressible liquid model.160 EXERGY ANALYSIS At some point in the design process it is necessary to deal directly with the issue of thermodynamic inefficiencies. however. the exergy destruction in practical combustion systems can be reduced by the following: Minimize the use of excess air Preheat the reactants . and friction.

others cannot. the greater the need to minimize the stream-to-stream temperature difference. Avoid the use of intermediate heat transfer fluids when exchanging energy by transfer between two streams. Irreversibilities related to friction. Other guidelines specific to heat transfer include the following: The higher the temperature T at which a heat transfer occurs in cases where T > To. This illustrates another guideline: Some exergy destructions and exergy losses can be avoided. is that unnecessary or cost-ineffective heat transfer must be avoided. efforts to improve the thermodynamic performance should be centered on components of the overall system that are more amenable to betterment by cost-effective conventional means. the greater the need to avoid direct heat transfer to the ambient. Avoid heat transfer across T.6 GUIDELINES FOR EVALUATING AND IMPROVING THERMODYNAMIC EFFECTIVENESS 161 In most cases only a small part of the exergy destruction in a combustion chamber can be avoided by such means. Still.and. they are not to be overlooked. An important general guideline. or to a refrigerated stream. Thus after considering options such as these for reducing the exergy destruction related to combustion. unrestrained expansion.). (c) Use the pinch method (Section 9. We have noted previously that nonidealities associated with heat transfer typically contribute heavily to inefficiency. consequently. The lower the temperature level. to cooling water. the more valuable the heat transfer . therefore. Avoid heat transfer across To. consider these additional guidelines: (a) Try to match streams where the final temperature of one stream is close to the initial temperature of the other. the greater the need to avoid direct heat transfer with the ambient or a heated stream. consider splitting the stream with the larger heat capacity rate. Efforts should be centered on those that can be avoided.3). In the design of heat exchanger networks. consequently. the more valuable the heat transfer and. and mixing are generally secondary in importance to those of combustion and heat transfer. (b) If there is a significant difference in the heat capacity rates (product of the mass flow rate and specific heat cp)of two streams exchanging energy by heat transfer. The lower the temperature T at which a heat transfer occurs in cases where T < To. and the following guidelines apply: Relatively more attention should be paid to the design of the lower temperature stages of turbines and compressors (the last stages of turbines .3.

Heat transfer and engineering economics are two important examples. the greater the need to minimize friction. that the objectives of thermal design normally include development of the most effective system from the cost viewpoint. J. check whether power recovery expanders are a cost-effective alternative for pressure reduction.. it is often expedient to begin by identifying a design that is nearly optimal thermodynamically. or chemical composition. Economic analysis enters in Chapter 7 and underpins the discussions of Chapters 8 and 9. particularly of complex energy systems. ASME Press. the greater the need to use the exergy of the stream effectively. These principles can play important roles in thermal system design and optimization to be sure. The lower the temperature level. such a design can then be used as the starting solution for cost optimization. . minimize the mixing of streams differing significantly in temperature. Still. In particular. however. REFERENCES 1. together with some related modeling and design analysis considerations. and chemical composition). Availability Analysis: A Guide to EfJicient Energy Use.7 CLOSURE In Chapters 2 and 3 we have presented principles of thermodynamics and fluid flow. N. the principles do not suffice. J. 3. and motors consider the most thermodynamically efficient options. pressure. 2. 1995. Wiley. Moran.162 EXERGY ANALYSIS and the first stages of compressors) than to the remaining stages of these devices. M. and we must augment them by bringing in fundamentals from other fields. Avoid processes using excessively large thermodynamic driving forces (differences in temperature. We should always keep in mind. These guidelines aim to improve the use of energy resources in thermal systems by reducing the sources of thermodynamic inefficiency. Heat transfer fundamentals enter the presentation in Chapter 4 to follow and are considered further in the applications of Chapters 5 and 6. Fundamentals of Engineering Thermodynamics. in the cost optimization process. Further elaboration of this is provided in Chapter 9. M. Minimize the use of throttling. Still. The greater the mass rate of flow. Shapiro. 1989. For turbines. New York. New York. compressors. 3rd ed. pressure. Moran and H.

40"C. Eiserman. 9. 10. 1 1.. Exergy Analysis of Thermal. J . D. 1977. T. J. pp. 1995. 1 For discussion: (a) Is it possible for exergy to be negative? Discuss. char. Chemtech.16 (h) Equation 3. G . L. A.24a. J.S. R. Application of the Exergy Concept to the Analysis of a Gas$el. F1.6 (c) Equation 3. Con5 Energy Syst. 1988. and (d) dry air at 0. Prog. Szargut. Gaggioli and P. Center for Electric Power. G . Energy-Int. Ecol. Academic Press. Reference states. b (g) 3. TN. 7. Vol. tar and ash. Vol. eds. (c) Is it possible for the specific physical exergy ePH associated with a stream of matter to be negative? Discuss. J.3 MPa. Morris. 496-506. D. 19. J. 12.PROBLEMS 163 3. G . pp. pp. Tsatsaronis and T. R. 400 K. of a stream of (a) saturated water vapor at 100°C (b) saturated liquid water at 100°C. A. H. 2 Showing all essential steps. b (i) Equation 3. G . 39-53. 3. pp.14 (a) (f) Equation 3. 1993. W. FL. Estimating thermodynamic properties of coal. Energy Conservation in the Process Industries. Vol. and Metallurgical Processes. P. (b) Consider an evacuated space with volume V as the system. Least-Cost Electric Utility Planning. Tennessee Technological University. 1989. Ahrendts. 227-257. Steward. Tsatsaronis. July 5-9. 5 . F. Stoll.5 (b) Equation 3. Department of Energy. Johnson. 1980. derive the following equations: Equation 3. . 3 . Int. A. and A. PROBLEMS 3 . J. and F.. Project DE-FC2189MC26019. Szargut. Hemisphere. 667-677.15 Equation 3. 1993. and W. Z . W. Kolenda. Tech. first. Wiley-Interscience.2 MPa. Sama. 53-76. Cookeville. Kotas.12a. 6. heat exchanger networks and processes.7 (d) Equation 3.. Vol. Energy Combustion Sci. New York. The use of the second law of thermodynamics in the design of heat exchangers. 8. pp. Petit. Project Report for the U. R. Ziebik. Orlando. Melbourne. (c) Refrigerant 134a at 0. 1980. Conger. Use the second law. 1984.17a. in Proc. 1989. 7. Tawfik. Chemical. Eval- uate its exergy and discuss. New York. ePH. The Exergy Method of Thermal Plant Analqsis. Cracow. Thermoeconomic analysis and optimization of energy systems. 5. in kJ/kg. Kenney.. Tsatsaronis.3 Evaluate the specific physical exergy. Fuel Proc. 4. Krieger. Poland. b (e) Equation 3.

The products of combustion exit as a mixture at 1 atm. H.11 Methane (CH. (e) the exergy destroyed. If SNG exits at 77"F. 76. 3. 1 bar.. are reported for the product SNG (substitute natural gas) stream in a process for producing SNG from bituminous coal: CH. 3.25H20 - CO + H.093.. in kJ per kmol of carbon (a) the electricity requirement. H. CO.O The energy required for this endothermic reaction is provided by an electric resistance heating unit.31% exit a steam generator at a mass flow rate of 17. enters the steam generator of a simple vapor plant operating at steady state and burns completely with 200% theoretical air also entering at 77"F. 1 atm. 1 bar. 3. and (f) the exergetic efficiency. 204. 1 atm.O. N. The overall reaction is C + 1. Evaluate the rate exergy exits. p o gravity..4 Using the approach of Equations 3.) at 77"F. (b) the exergy entering with the carbon. enters an adiabatic combustion chamber operating at steady state and reacts completely with 140% of the theoretical amount of air entering separately at 77"F. be greater than the value of the turbine isentropic efficiency.1.8 A gas enters a turbine operating at steady state and expands adiabatically to a lower pressure. in Btulh. Calculate an exergetic efficiency for this combustion chamber. Neglect the effects of motion and 3.9%. determine. (c) H. 1 atm.15%. in kJ/kmol.. 60. = 0. 1 atm. 3. and model I. When would the value of the turbine exergetic efficiency.. and SO. 429. 6.. 3. (d) the exergy exiting with the product gas.t64 EXERGY ANALYSIS Let To = 2WC. 1 atm. in pounds per hour.31a. 4.) at 77"F. 3. For operation at steady state. 3. 0.5 The following flow rates.O.741.18. (c) the exergy entering with the steam.25H. 3.10 Consider a coal gasification reactor making use of the carbon steam process in which carbon at 25"C.323 kg per kg of fuel consumed.7 Verify the exergetic efficiency values provided in Section 3. + 0. 576. with the molar analysis N.6 Products of combustion at 480 K. Equation 3.3 for the cogeneration system of Table 3. (b) SO. and water vapor at 316"C.. 9. 0.9 Methane (CH. 1 atm.17b and 3. evaluate the chemical exergy.98%.5.1 MPa. determine the rate exergy exits. CO. H. 1 bar.. 11. for (a) CH.684.. in MW.S. enter the reactor and the product gas mixture exits at 927"C. CO. Steam exits the steam gen- .66%.. if the fuel flow rate is 5487 kglh. Equation 2.25? Discuss.

(b) the exergy destroyed in the steam generator. 500 lbf/in.13 Define an exergetic efficiency for the heat-recovery steam generator of the case study cogeneration system.33.* and a quality of 97%. Cooling water passing through the condenser enters at 77°F and exits at 90°F. use sketches of the hot and cold stream temperatures (as in Figure 3. Pump work can be ignored. and exits to the condenser at 1 lbf/in. . expands through a turbine. evaluate the exergetic efficiency. Discuss. 3. 3.PROBLEMS 165 erator at 900"F.32. The combustion products exit the plant at 500"F. 3.12 For a counterflow heat exchanger.1.7) drawn relative to To to discuss Equations 3. Using data from Table 3. 1 atm. and the case 4 which follows.2. Evaluate the following as a percent of the exergy entering the plant as fuel: (a) the power generated by the turbine.

.

Throughout. 4. we present the fundamental concepts. We assume the reader has had an introduction to heat transfer. In the current chapter. definitions. readers should consult References 1-3 or other standard references. If further elaboration is required. AND DESIGN ANALYSIS In Chapters 2 and 3 we presented fundamental concepts and definitions of engineering thermodynamics and fluid flow and illustrated their use for design analysis and thermal modeling. Also in this chapter we begin to illustrate effective assumption making in adapting heat transfer fundamentals to practical problems. and T.2). heat transfer principles are introduced in only enough detail to refresh understanding. respectively. Accordingly. However. T.) 167 .1 THE OBJECTIVE OF HEAT TRANSFER In Chapters 2 and 3 we have been careful to emphasize that Q and Q account for transfers of energy and not transfers of heat: Heat is the energy transfer triggered by a difference between the temperatures of the interacting systems.. MODELING. we want to encourage readers to make bold but informed choices in their thermal modeling efforts.1. the transfer of energy being in the direction of the lower temperature (Section 2.4 HEAT TRANSFER. to achieve economy of expression in subsequent discussions Q and Q are simply referred to as heat transfer and heat transfer rate. The objective of the discipline of heat transfer is to describe precisely the way in which the difference between the two temperatures (say. This objective is also pursued in Chapters 5 and 6. and relations of engineering heat transfer needed to support more wide-ranging design analysis and thermal modeling activities.

the thermal design objective might be to select the insulation (its material. time and. In this class the temperature extremes ( T. thermophysical properties. size. heat leak. shape. flow) difference explicitly is (4.2 is an important prerequisite for thermal design work. In heat exchanger design. AND DESIGN ANALYSIS governs the magnitude of the heat transfer rate between the two systems ( A and B). that is.. (4.1 that shows the temperature Q = (T. Although the engineering problems we encounter are extremely diverse.. MODELING. This description can be complicated because..1.1 or 4. The unknown is the heat transfer rate Q.2 is the temperature difference: The design objective is to improve the thermal contact between the heat-exchanging entities. Extremely desirable from a thermodynamic standpoint is the transfer of Q across a minimum temperature difference TA .1) A more common alternative to Equation 4. in general. geometry.) * function (TA. which is also named heat loss or..2) time and. they can be grouped loosely into three categories that illustrate the generality of Equation 4. This function is often represented in nondimensional terms using one or more of the dimensionless groups listed in Table 4. structure) so that Q is minimized cost effectively while TA and TB remain fixed.T. flow) The heat transfer results reviewed in this chapter illustrate the many forms that can be assumed by the function shown on the right-hand side of Equation 4.T.2: Thermal Insulation. The unknown in Equation 4. Heat Transfer Enhancement (Augmentation).) are usually fixed.168 HEAT TRANSFER. the magnitude of the heat transfer rate is influenced not only by the fact that TA and T. geometry..T. . thermophysical properties. to minimize the temperature difference TA . the destruction of exergy) is reduced. the total heat transfer rate between the two streams is usually a prescribed quantity. This can be done by changing the flow patterns of the . are different but also by the physical configuration of the heat-exchanging entities: Q = function (TA. T. in cryogenics. orientation. for example.T. Knowing how to identify the proper form of Equation 4.T.2. for both A and B. proportionally. Among others. for both A and B. because in this way the rate of entropy generation (or.

L/D St = h/pc. for example). In this design problem.. D GZ = D2U/cw = Re.4. is provided by the ambient (e. There are many applications in which the main concern is the overheating of the warm surface ( that produces the heat transfer rate Q..Pr X Gr = g p A T W / v 2 L.>A T €70 = a t / L 2 = Bi Graetz number Grashof number Lewis number" Mass transfer Stanton number Mass transfer Rayleigh number" Nusselt number Pkclet number Prandtl number Pressure difference number Rayleigh number Rayleigh number based on heat flux Reynolds number Schmidt numbeS Sherwood number" Stanton number Stefan number "Subscripts: s = solid. and the cooling of the outer skin of space vehicles during reentry. Temperature Control. Q is generated by Joule heating. two streams and the shapes of the solid surfaces bathed by the fluid streams (by using fins. = gp. for example.g. The temperature of the electrical conductors ( TA)should not rise above a maximum temperature because high temperatures threaten the operation of the electrical circuitry.. r4) . H'lvD Nu = hL/kf Pe = U L I a = Re Pr F'r = u t a = ScILe I1 = A p L 2 / p a Ra = g p A T H'lcuv Ka* = g p q" H 4 / a v k Re = U L / v Sc = vID = Le Pr Sh = h.. the heat transfer rate must be maximized...e = d D = ScIPr h.. 'Tn this definition D is the mass diffusivity. while the lower temperature T. f = fluid. BO = gp A T H7/a2 € c = U2/c. Ap. In a tightly packaged set of electronic circuits.1 THE OBJECTIVE OF HEAT TRANSFER 169 Table 4..Ste = cr A Tlh..= U Ra. Sl. In these examples the high-temperature ?arnust be kept below the temperature at which the mechanical strength characteristics of the hot surface begin to deteriorate.. a stream of atmospheric air). Examples of temperature control applications include also the cooling of nuclear reactor cores.1 Dimensior ISS groups usel in ieat transfer" ~~ ~~ Biot number Boussinesq number Eckert number Fourier number hLIk.U = NuIRe Pr .. and the flow configuration must vary in such a way that TA does not exceed a certain ceiling value.

Units for the thermal conductivity are W/(mK) and Btu/(h*ft. . According to Equation 4. An alternative to Equation 4. Units of R . The two faces of the wall are maintained at different temperatures T .5) The units of S are those of length. are K/W and "R/(Btu/h). the thermal resistance of the plane wall is R . Shape factor. AND DESIGN ANALYSIS 4. - T2 L (4.T2 is completely analogous to the flow of an electrical current through a resistance with a potential difference across its ends.2 CONDUCTION 4. the position between TI and T2. The shape factors of the plane wall and several other geometric configurations are summarized in Table 4.and the direction of Q. The simplest example of this type is the plane wall at steady state of thickness L and area A = HW illustrated in Table 4. that is. Another alternative to expressing the proportionality between heat transfer rate and temperature difference during steady conduction is by using the shape factor S: (4. a number independent of temperature.170 HEAT TRANSFER.3) in which k is the thermal conductivity of the material.1 Steady Conduction Conduction or pure thermal diffusion is the mode of heat transfer in which energy transfer from the region of high temperature to the region of low temperature is due to a temperature gradient between the regions.2. In Equation 4. MODELING.3 and the other heat transfer rate results reviewed in this chapter.3 or any other proportionality between heat transfer rate and temperature difference is to define the thermal resistance R. the thermal conductivity is regarded as a constant. Thermal Resistance.3.2. and T2."R).2.: The flow of Q down the temperature step T I . The heat transfer rate from TI to T2 is Q = k A -T . = L / k A .

T2) s = i [ A =WH -1. (r.T.>. __ Plane Walls Plane wall with isothermal surfaces (TI. S = 0. TI = temperature of internal surfaces of plane walls T2 = temperature of external surfaces of plane walls T2= temperature of two exposed faces of the prism Comer cube. joining three plane walls. joining two plane walls with isothermal surfaces: S = 0.2 CONDUCTION 171 Table 4.4.15L i i .TJ transfer between isothermal surfaces [l]. The temperature difference T . . ) .2 The shape factors (S) of several configurations involving conduction heat <) = Sk .) Edge prism. L (.. is maintained between the inner and outer surfaces of the three-wall structure.w>.54W (w >.

parallel to the surface (Le. with an isothermal cylindrical hole ( T I ) positioned midway between the surfaces 2nL ln(8H/ nD) (L>>D.172 HEAT TRANSFER.OSH/D) 7D i I (L = length normal to the plane of the figure) Infinite slab with isothermal surfaces (T2) and thickness 2H. L =length of cylindrical hole) S- Cylinder of length L and diameter D. H > D/2. AND DESIGN ANALYSIS Table 4.. isothermal outer surface. MODELING.2 (Continued) Cylindrical Surfaces Bar with square cross section. with cylindrical hole positioned eccentrically Semi-infinite medium with isothermal surface (TJ and isothermal cylindrical hole (Tl) of length L. normal to the plane of the figure) s= f D 2nL cosh-'(ZH/D) (L>>D) saIn(4H/D) I 2nL if H/D > 3/2 . and cylindrical hole through the center T S- 2nL In(l.

4. The hole is open.) c Insulated 7 D 1 Infinite medium with two isothermal spherical cavities 1 T f T . d.d2 (L >:>D.) drilled to a depth H normal to the surface. 2aL (4p2 f 1 I d cosh-I x . p) Semi-infinite medium with isothermal surface ( T 2 )and with a cylindrical hole (T.2 CONDUCTION 173 Table 4. (H>>D) Semi-infinite medium with isothermal surface s3- 2aD 1 -(D/4H) (T2) and isothermal spherical cavity 7I) (H > D/2) Spherical cavity in an infinite medium: Ss2nD ifH/D>3 I Semi-infinite medium with insulated surface and far-field temperature T2 containing an isothermal spherical cavity (T. The medium temperature far from the hole is T2 s=-.2 (Continued) Infinite medium with two parallel isothermal cylindrical holes of length L s f D i = .2nH In(4H/D) i Spherical Surfaces T.

) parallel to the surface (W is the width of the plate.) parallel to the surface f S= H 2nD (n/D) . AND DESIGN ANALYSIS Table 4. in the direction normal to the plane of the figure) i T 2nL (H>>L) In(4L/W) Plate attached to the surface: S= S= ZL 144LIW) (H = 0) .174 HEAT TRANSFER.2 (Continued) Hemispherical isothermal dimple (TI) into the insulated surface of a semi-infinite medium with farfield temperature T2 Insulated S E nD 72 Thin Discs and Plates Semi-infinite medium with isothermal surface (Tz) and isothermal disc (T. containing an isothermal disc (T. MODELING. coaxial and isothermal discs S= 2nD ( n / 2 ) + tan-' (D/4H) (H/D > 1) Semi-infinite medium with isothermal surface (Tz) and isothermal plate (T.tan-'(D/QH) 1 (H/D > 1) Disc attached to the surface: S=2D (H-0) Insulated Semi-infinite medium with insulated surface and far-field temperature T2.) parallel to the surface Infinite medium with two parallel.

the wrapping of a material with thermal conductivity k on a cylinder of radius r.. are the outer and inner radii. the heat transfer rate Q. . = ( T . and k is the thermal conductivity of the fin material. 54).) and a fluid (at temperature T J . through the base of the fin is approximated well by Q. = 47rk 1 r. Reference I. Spherical Shells. The use of extended surfaces or fins is one of the most common tech- niques of augmenting the heat transfer. the wetted perimeter of the cross section ( p ) . The heat . measured from the tip of the fin to the base surface.3). the wrapping of a material with thermal conductivity k on the surface of radius r. and the heat transfer coefficient (h) are constant (e. while L is the shell axial length ( L >> ro).g. = In (r. will induce an increase in the thermal resistance between the cylinder and the surrounding fluid.42 CONDUCTION 175 Cylindrical Shells.)(M. If the geometry of the fin is such that the cross-sectional area (A‘).) 27rkL The outer and inner radii are r. (L -!) (4. This means that if ri > k / h . or enhancing the thermal contact between a solid “base” surface (at temperature T. The thermal resistance of a long cylindrical shell with isothermal inner and other surfaces is R.8) in which r. and r. The critical insulation radius is 2k/h. respectively. If the outer surface exchanges heat with a fluid through a constant heat transfer coefficient h (Section 4.. will always have an insulating effect--that is. and r. p. > 2k/h.hp)’’2 tanh [ (L + 9 1 (4.9) In this expression L is the fin length./r. Fins. the totid thermal resistance between the inner surface and the fluid is The critical insulation radius of a cylindrical shell i s k / h .T. leads to an increase in the resistance between that surface and the surrounding fluid. The thermal resistance of a spherical shell with isothermal surfaces is R. such that if r.

a long cylinder of radius r..10) where Aexp is the total exposed (wetted) area of the fin and rl is the j f i n eflciency. Figure 4. .T. Q.. the surface temperature of the immersed body is almost steady and equal to the fluid temperature T.1 shows the evolution of the center temperature T. thermal diffusivity.T ) . Bi = hL/k and Bi = hr. When the heat transfer coefficient is large enough that Bi > 1. The constant heat transfer coefficient between the body surface and the fluid at T. The dimensionless groups used in these graphs are the Fourier numbers. Fo = a t / L 2 and Fo = atlr?. Figure 4. a dimensionless number between 0 and 1. 21.2 Unsteady Conduction lmmersion Cooling or Heating of a Conducting Body. Listed on the ordinate is ( 1 .). is h.QIQ. . The temperature distributions inside simple three-dimensional bodies can be determined based on the information of Figure 4.). where T is the instantaneous temperature averaged over the body volume V. and Q j is the maximum (long time) value of this quantity. and a sphere of radius r. and the Biot numbers.T. for example. the heat treating of special alloys.9 and 4. Equations 4. This assumption is valid when (ht/k)”2 < 1. 4. The temperature history inside a conducting body immersed suddenly (at time t = 0) in a bath of fluid at a different temperature (TJ is important in many applications. = pVc(T. namely Q = pVc(T. where t is the thickness of the fin. the dimension perpendicular to the conduction heat current [ l]. . MODELING. The thermal conductivity. In this limit the temperature within spheres.1 shows only the early part of the time-dependent conduction process: 0. AND DESIGN ANALYSIS transfer rate through a fin with variable cross-sectional area and perimeter can be calculated by writing (4.2./k.1 and a multiplication rule presented in heat transfer textbooks [ 1.2. because for larger times the curves can be extended as straight lines. where p and c denote the density and specific heat of the body. .10 are based on the very important assumption that the conduction through the fin is essentially unidirectional and oriented along the fin.)/(Tj . For larger times the three curves can be extended as straight lines.176 HEAT TRANSFER. in three geometries: a plate of thickness 2L. which can be found in heat transfer texts and handbooks [l-51. a.4 < ( T . that is.. and initial temperature of each body are k . respectively. and Ti. or the dimensionless time. long cylinders and flat plates varies as shown in Figure 4.where Q is the total heat transfer from the body to the fluid during the time interval 0 to t.T J .

4. = sphere radius [l].2 CONDUCTION 177 Figure 4. (b) r. = cylinder radius. (c) r. .1 Temperature history in the middle of a body immersed suddenly in a fluid at a different temperature: (a) L = plate half-thickness.

and Equation 4.2 L? a i FO = - a i J-. The group pVc is the lumped capacitance of the body.2 The volume-averaged temperature f and the total heat transfer Q from a body with the surface temperature fixed at T.1 1) where A is the wetted body surface and T . Semi-Infinite Solid in Contact with Fluid Flow. the temperature gradients inside the body have decayed. MODELING. and the elapsed time is large: Fo > 1.178 HEAT TRANSFER.05 0.' Figure 4. any conducting body that is immersed in a flow is penetrated by thermal diffusion only a small distance.t O. [I]. T(t). I 0.: 0. When the elapsed time is so short that Fo < 1. = T ( t . ) . Relative to this skin .! 0. This temperature approaches the fluid bath temperature exponentially: (4. AND DESIGN ANALYSIS 0. and the instantaneous (time-dependent) body temperature is approximated well by a single value. I Fo= 0.: I 0.15 0. In cases where the heat transfer coefficient is small: Bi < 1.' 0.1 0: 0.11 is known as the lumped capacitance model for the temperature of the immersed body.

) is given as (4.13) Equation 4.al conductivity.12 as h m: - (4. Ti. k.. is a special case of Equation 4. starting with the time t = 0.(at)i’2exp( k r ‘” -”) [ 4at - x erfc ~ 2(at)‘l 2 -] (4. t ) . The distance x is measured from the surface into the body. This means that the body may be modeled as semi-infinite. Consider first the class of instantaneous heat sources released at t = 0 in a conducting medium with constant properties (p. k. the body looks semi-infinite and the wetted surface looks plane. The temperature history in a semi-infinite body whose surface (x = 0) is placed at t = 0 in contact with a fluid (h.Z! CONDUCTION 179 region of time-dependent conduction.12) As before. The temperature distribution in the vicinity of the source depends on the shape of the source: T ( x . canisters of nuclear and chemical waste. and thermal diffusivity of the body.14) Concentrated Sources and Sinks. T. and buried electrical cables. is exposed to a constant heat flux q” (heat transfer rate per unit area) is T(x.13 approximates Equation 4. The temperature distribution in a semi-infinite solid whose surface temperature is raised instantly from Tito T. strength Q” (J/m2 or Btu/ft2) at x = 01 (4. underground explosions. a) and uniform initial temperature T.15) . c.Ti = 2 . therm.Ti = Q” 2pc( r a t ) ’ [instantaneous plane source.4. The temperature field under the surface of a semi-infinite solid that.12 well when i(h/’k)(at)i/2 9 10. It is important to distinguish between instantaneous heat sources and continuous heat sources. and a are the initial temperature. Common phenomtma that can be described in terms of concentrated heat sources are underground fissures filled with geothermal steam. t ) .

M -du &4ol u [continuous line source. in which U is the constant speed of the source and x is measured away from the source in the downstream direction: . AND DESIGN ANALYSIS T(r. = ___ 4pc Q fr a t exp (-&) (4. strength Q (J or Btu) at r = 0 1 (4.ft) at r = 01 (4. strength q’ (W/m or Btu/h. strength Q (W or Btu/h) at r = 01 The temperature within wakes behind moving sources are described by the following expressions. t ) .Ti= ” 4nk I c c e .16) [instantaneous line source. t ) .180 HEAT TRANSFER.19) Q T(r. MODELING. t ) .T.ft2) at x = 01 T ( r .17) The corresponding results for the temperature near continuous heat sources.20) [continuous point source. strength Q’ (J/m or Btu/ft) at r = 01 T(r. strength q” (W/m2 or Btu/h.18) [continuous plane source. t ) . are 4at 2k [&] (4. which release heat at constant rate when t > 0.Ti= Q 8pc(~at)~/~ [instantaneous point source.Ti = 4 rrkr z- Q 47rkr r if < I 2(at)’” (4.

In the absence of the effect of convection. = 30°C. Each piece is initially at the temperature T.) melts if its surface is raised to another temperature (To). c.4. h = 2 X lo4 W/m2-K. UxIa > 1. (c) thin disk with a diameter of 4 cm. The solidification of a motionless pool of liquid is described by Equation 4. At time t = 0. the liquid layer thickness S increases in time according to S(t) = 2 .ft) at x = 01 (4. Three different shapes have been proposed. is replaced by T. and a are properties of the solid layer. and the surface temperature is lowered to To.15-4..) Phs‘ kt L (4.22 the y and r coordinates are perpendicular to the x direction. is the latent heat of melting..( T o . Equation 4. = 100°C.23) ]‘I2 where p and k are the density and thermal conductivity of the liquid. where c is the specific heat of the liquid.21) [moving continuous point source. The heat transfer coefficient is constant. each piece is placed in boiling water at the temperature T. when the Peclet number is large. strength q’ (W/m or Btu/h.T. and k.22 apply unchanged to the tempera1ure fields near concentrated heat sinks. . and the properties of potato matter are approximately p = .T.. In such cases the numerical values of the source strengths (e”. < 1. q”.1 The shape in which a potato is cut has an important effect on how fast each piece is cooked. (b) cylinder with a length of 6 cm. Melting and Solidification. .22) In Equations 4.2 CONDUCTION 181 [moving continuous line source. Q. in other words. q’.21 and 4.Q’.. Example 4. Equations 4. strength (W or Btu/h) at x = 0 3 (4..To because the liquid is saturated at T.T. in which To . In the resulting expression 6 is the thickness of the solid layer. Q) are negative.)/h.23. each containing 5 g of potato matter: (a) sphere. These expressions are valid provided the wake is slender.23 is valid provided c(T. A semi-infinite solid that is isothermal and at the melting point (T. and h.

the radius of the sphere is calculated as 1.6 W/m-K. and CY = 0. Accordingly. The heat transfer coefficient at the wetted surface is assumed constant. determines the size of each piece.011 m)/(0.0017 cm2/s. the radius is fixed by the mass m=Sg.6 W / m K ) 367 With similar calculations.K)(0. the ordinate reads (regardless of shape) T-T. using the given temperatures. - (65 (30 - lO0)OC = 0. For each shape.5 lOO>”C The three curves indicate the following readings on the abscissa: FoSphere = 0. 3. ANALYSIS. The transfer of water through the potato surface and any swelling of the potato are neglected. AND DESIGN ANALYSIS 0. the requirement of fixed mass. . and so we can rely on Figure 4. As shown below. we have Bi = % .1 cm. - T. m = 5 g.196 = a t / L 2 (a) In the case of the spherical shape.(2 X k = lo4 W/m2. Calculating the Biot number for the sphere. 2.064 = at/r% Foplate = 0. independent of time. Comment on the best shape for the shortest cooking time. For example. The potato matter is homogeneous and isotropic with constant properties. Solution MODEL 1.9 g/cm3. k = 0. calculate the time t until the volume-averaged temperature rises to 65°C.031 = af/r: FoCylinder = 0.182 HEAT TRANSFER. MODELING. that is.2. T. we find that in each case Bi >> 1.

1 cm and Equation (a) pinpoints the warming time.9 g/cm3 67-r cm r . the disk half- 5g 2 = 0.196 (0.9 g/cm3 167-r cm2 with the corresponding warming time from Equation (c).2L 4 L= 7rD2 cm. and 6 sj. we see that in accord with intuition the disk shape (the potato slice) promises to cook much faster than the other two shapes.54)2 cm2 0.031 (1.54 cm and Equation (b) gives t = 0.1.0017 cm2/s = (b) For a cylinder of length Z 6 cm.33 cm3 0.9 g/cm3 4~ 3- r.1)2 cm2 = 22 s 0. = 1.= 5g .0.42 CONDUCTION 183 4 7 r m=p-r? 3 r.22)2cm2 ~65 0. in the case of a disk of diameter D thickness L is obtained as follows: m = p. . = 0. 11. t = 0.29 C I T I ~ 0.064 (0. Comparing these three time intervals (22. t = 0.0017 cm2/s = 11 s = 4 (c) Finally.22 cm 0. the radius is r: = 1 5g .0017 cm2/s COMMENT.

The wall shear stress in laminar flow averaged over the length L ( L averaged) is T = 0. To know the flow distribution and the regime (laminar vs. is uniform and parallel to a wall of length L. the nature of the boundary layers (hydrodynamic and thermal) plays an important role in evaluating convection. homogeneous.where the Reynolds number is defined by Re.T J . It is assumed that the fluid is Newtonian.3. 9”). Boundary Layer over a Plane Wall.). and the wall-fluid temperature difference ( T . the heat transfer rate is affected greatly by the characteristics of the flow (e. turbulent) is an important prerequisite for calculating convection heat transfer rates. AND DESIGN ANALYSIS 4. turbulence). According to Equation 4.1 External Forced Convection Convection is said to be external when a much larger space filled with flowing fluid (the free stream) exchanges heat with a body immersed in the fluid.L/v and u is the kinematic viscosity.25) so that the total tangential force experienced by a plate of width W and length . The leading edge of the wall is perpendicular to the direction of the free stream (U. In this section we review the most important results of convection heat transfer together with the corresponding fluid mechanics results. Units for the convective heat transfer coefficient are W/m2-K and Btu/h.184 HEAT TRANSFER. Figure 4.664pU9 (Re. = U. the objective is to determine the relation between the heat transfer rate (or the heat flux through a spot on the wall. Also. . solid) acts as a conveyor for the energy that it draws from (or delivers to) a solid wall. velocity distribution. which in an external flow is defined by (4. The alternative is to determine the convective heat transfer coeficient h. MODELING. G 5 X IO5.”R. and isotropic and has a nearly constant density.ft’. as a consequence.3 CONVECTION Convection is the heat transfer process in which a flowing material (gas.g. fluid.3 shows the order of magnitude of h in various cases. the hydrodynamic boundary layer along the wall is laminar over L if Re.2. and.. 4. 5 5 X lo5) (4.24) where q” is the heat flux (heat transfer rate per unit area). When the fluid velocity U.

'".5) (4. forced convection onvection I convection I 1 I I 10 102 I I 03 h (Wlm2 I 104 K) - I 05 I 06 1 10 102 I 04 I 05 h (Btu/h*ft**"R) Figure 4. forced convection nvection .26) In these expressions k and Pr are the fluid thermal conductivity and the Prandtl . the heat transfer coefficient h averaged over the flow length L is (Re..3 Effect of flow configuration and fluid type on the convective heat transfer coefficient [l]. water Boiling. organic liquids vapor Liquid metals.3 CONVECTION 185 Boiling. forced convection atm.4. s 5 X lo5): 0. The thickness of the hydrodynamic boundary layer at the trailing edge of the plate is of the order of L Re. If the wall is isothermal at T. The length L is measured in the flow direction. L is F = 3LW..664 (Pr L 0.5) (Pr 5 0..

and 2. the boundary layer begins with a laminar section that is followed by a turbulent section. is uniform. and 1. In the intermediate Re.. Re.3 1) in which the effect of temperature-dependent properties is taken into account by means of explicit correction factors..(x). x / v . there are special correlations (e.T J .30 is sufficiently accurate for all values of Re.. When the wall heat flux.= hLW(T.6 < Pr < 60.037 871 -pU% Re.27.2 1q ”x k Pri‘3Rej/2 (Pr 3 0.. Tz) and perpendicular to the cylinder axis.186 HEAT TRANSFER. At Reynolds numbers Re.D/v. The free stream is isothermal at T. = U.4/Pr)2’3]i’4 282. and Pr. Equation 4.037 P I -’’~ k -T - . = 2. The total heat transfer rate through the wall of area LW is Q = hLW(T.3 k Reb’2Pr’13 + [l 0. . AND DESIGN ANALYSIS number Pr = u / a .Equation 4. MODELING. q”.28 is sufficiently accurate for isothermal walls ( T J as well as for uniform-heat flux walls. is obtained by substituting. Equation 4.000 Here D is the cylinder diameter and Re.Pr is greater than 0.550) (4.27) where the Reynolds number is based on the distance from the leading edge. The total heat transfer rate from an isothermal wall is Q . The wall temperature averaged over the flow length L. The total tangential force experienced by the wall is F = TLW. = Re. Re.. s 5 X lo5) (4. When the free stream is uniform (Uz.23. respectively.2. For 5 X lo5 < Re..g. and the average temperature of the uniform-flux wall is T.47 in place of T.62 + (0. T. < IO8 and 0.(x) - T. T. Re.5. the wall temperature T . v. .. p.. Re. However. where W is the wall width.Tz).28) (4.0. Single Cylinder in Cross Flow. = T. range 7 X lo4 to . the heat transfer coefficient h averaged over the cylinder perimeter is [6] - hD .0. increases away from the leading edge (x = 0) as xi’2: T. the average heat transfer coefficient h and wall shear stress 7 are [2] - _ hL .29) 0.21 in Equation 4. greater than approximately 5 X lo5. + Tx). a) should be evaluated at the film temperature +(T. provided the Peclet number Pe. In most of the wall friction and heat transfer formulas reviewed in this section the fluid properties ( k . + q”/h.. = U .

1960. < 3. defined and presented in Figure 4.4. the surface temperature averaged over the cylinder perimeter is T.0X 0.= I 03 Io4 0.T. = T. The wake behind the cylinder buckles (meanders) when Re. IO t A = frontal area I I 0.” = T.I I IO Re. except the viscosity pw which is determined by the surface temgerature.4. The total heat transfer rate from an isothermal sphere at T. Sphere. while the average surface temperature of a sphere with uniform flux is T . If the heat flux qrris uniform around the perimeter. All the physical properties are evaluated at the free-stream temperature.The drag coefficient for calculating the drag force on the sphere is presented in Figure 4.06 Rei’3)Pro. + q”/h.4.4 Reh12 + 0. Schlichting.30 yields h values that can be 20% smaller than those The total heat transfer rate per unit of cylobtained by direct measurement. .3 CONVECTION 187 4 x lo5. 4th ed.4( E J 4 (4. is Q = h mD2(T. after the data compiled in H. The recommended correlation for the average heat transfer coefficient between a sphere of diameter D and an isothermal uniform free stream (LT J is 181 - hD = 2 k + (0. Boundary Layer Theory. Equation 4.21UJD [7]. and 1 < pJp.6 X lo4. McGraw-Hill.2.4 Drag coefficients of a smooth sphere and a single smooth cylinder in cross flow. 3 40.) . The total drag force FD experienced by the cylinder can be calculated by using the drag coefficient C . and the frequency with which the large vortices shed from the cylinder is approximately 0.71 < Pr < 380.) when the cylinder surface is isothermal at T.. < 7.. New York. 3. 1 T J . + q”/h.5 < Re. (Drawn with permission.1 IO’ I 06 7 U_D Figure 4. inder axial length is q’ = h nD( T.31) This correlation has been tested for 0..

R~:"PI-O. is based on the maximum average velocity.D/v. Re.. = 103-2 x lo5 Re. is a function of the total number of rows (n) in the array.36 (E) - I14 . the cylinder diameter D . .X. 'I4 Re.71C. where m is the number of cylinders in each row and L is the length of the cylinder.ReE8Pr0.32 and 4. Figure 4. the longitudinal pitch X.36 I" Re.52C..188 HEAT TRANSFER. = 102-103 (4.. n: .Re:SPr0. = 1-500 0. Conservation of mass requires that V. in the case of aligned cylinders the narrowest flow cross section forms in the plane that contains the centers of all the cylinders of one row. For example.. = 1-102 Re.. MODELING. Figure 4." = Pr(T.Rey3Pr0. staggered).Re~5Pr0. . = (pqt)lil. = U. and the transversal pitch X.. Re. = 500-103 $)o'2.36 0.5 shows that for cylinders in cross flow the array geometry is characterized by the array type (aligned vs. which occurs in the narrowest cross section formed by the array.32) Re.27C.36 Re. The average heat transfer coefficient h in aligned arrays is PI f . The total heat transfer area of the array is nm TDL. is the uniform velocity of the stream that approaches the array.35 C.6.k_ O. The Reynolds number Re. All the physical properties except Pr. = 2 x 105-2 x IO6 (4.D). 0. 1C. The recommended correlation for staggered arrays is [9] ho _ -{ f 1 .33) The h values calculated with Equations 4.Reg4Pr0. AND DESIGN ANALYSIS Arrays of Cylinders in Cross Flow.36 (3" 103-2 x lo5 where C. = V. where U..~C.ReE6Pr0.04C..33 have been averaged over the entire surface of the array.36 (E) ( (E) k)o'2.) should be evaluated at the mean temperature of the fluid that flows through the spaces formed between the cylinders.~~ 0.. The pressure drop experienced by the cross flow is proportional to the number of rows counted in the flow direction./(X.

Inc. with permission from John Wiley & Sons.06 IO I02 103 "max I 04 D ReD= - IO I o4 ReD -'ma. Equation 4. (From Ref.5 Arrays of aligned cylinders (top) and staggered cylinders (bottom): the coefficients .) Figure 4.3 CONVECTION 189 40 10 f I 0. I Oh v f and x for the array pressure drop formula.4. I 0. 9.34.

which is valid for n > 9.) [l]. For internal flow. (Drawn after Ref.“ ..9 0. .32-4..6 16 Figure 4. and T. n Aligned 0. Equations 4.5 and 4..L\P = n f X ( 3 P V L ) (4.6 The effect of the number of rows on the array-averaged heat transfer coefficient for banks of cylinders in cross flow.35) In this definition q” is the heat flux (heat transfer rate per unit area) through the wall where the temperature is T. < IO’ I 0.3.190 HEAT TRANSFER. MODELING.7 -----I 3 6 IO Number of rows.6 were constructed based on extensive experiments in which the test fluids were air. AND DESIGN ANALYSIS IO2 < Re. Equation 4.34) The nondimensional factors f and x are presented in Figure 4. and several oils [9]..8 0.34and Figures 4. 4.Tm (4. 9. the heat transfer surface surrounds and guides the stream. water. and the convection process is said to be internal.5. is the mean (bulk) temperature of the stream: .2 can be reduced to obtain the heat transfer coeflcient h= 4 T.2 Internal Forced Convection In flows through ducts.

I 1A u T d A n7 UA (4.4. where the longitudinal velocity is independent of the position along the duct.2 = UDh/v. and.= . which is zero at the wall and large in the center of the duct cross section. should not be confused with the symbols used for overall heat transfer coefficient and internal energy. The pressure drop experienced by a stream that flows through a duct of length L is given by 4L pu2 Ap=f-Dh 2 (4. the fully developed region.36) The mean temperature is a weighted average of tL. A measure of the duct cross section is the hydraulic diameter D. farther downstream. (4. The role of weighting factor is played by the longitudinal fluid velocity u. where the walls are lined by growing boundary layers. Laminar Flow Through a Duct. The velocity distribution in a duct has two distinct regions: first.38) The hydrodynamic entrance length X for laminar flow can be calculated with the formula Xnh 0. It is assumed that the duct geometry (cross section A. = P 4A (4. The mean velocity U is defined by (4.05 Re.40) . the entrance region.elocal fluid temperature T over the duct cross section A . internal wetted perimeter p ) does not change with the longitudinal position. which is standard in heat transfer.3 CONVECTION 191 2.39) where the Reynolds number is based on mean velocity and hydraulic diameter... Re.37) The mean velocity symbol U.

2. Equation 4..3 5.65 24 8. the flow is fully developed along most of the length L. and the friction factor is independent of .2 3. Uniform 9” Uniform T.3.63 2.3 shows that in fully developed laminar $ow the friction factor behaves as f = C/Re.35 4. Table 4.40 for fully developed laminar flow are A p = 32 pLu (round pipe diameter D.(parallel plate channel of spacing a. AND DESIGN ANALYSIS where f is the Fanning friction factor introduced in Section 2.192 HEAT TRANSFER.3 and Equation 4.89 0 a 16 4.3 3 2. 13.L. where the value of the constant C is reported in the table.. L >> X .. Dh = 2a) Table 4.35 14.40 is a special case of Equations 2.30 and 2. When the pipe is much longer than the flow entrance length.364 3.385 4.40 applies equally to laminar and turbulent flow.3 Friction factors (f ) and heat transfer coefficients (h) for hydrodynamically fully developed laminar flows through ducts 1 3 1 Cross Section Shape C = fRe..235 7. Equation 4.86 .66 18.54 24 One vde inwlated 5.31.42) A p = 12 . Two special cases of Table 4. Dh = D ) 0 2 a* (4. MODELING.41) (4.

Table 4.3 exceeds approximately 2300. It is also observed that the turbulent flow becomes fully developed hydrodynamically and thermally after a relatively short entrance distance: X .. D. < lo6 (4.40. < 2 x lo4 2 X lo4 < Re. that is.0.43 for the entire range of Prandtl number Pr [3] *' -Ql . The flow through a straight duct ceases to be laminar when Re.44) In fully developed turbulent flow ( L >> X) the friction factor . as shown by the family of curves drawn for turbulent flow on the Moody chart (Figure 2. independent of longitudinal position. provided D is replaced by the appropriate hydraulic diameter of the duct. is not much smaller than L can be found in heat transfer textbooks [ 1-31. . changing) from one longitudinal position to the next.4.43) Means for calculating the heat transfer coefficient for laminar duct flows in which X...5) [lo].05 Pr Re.f is independent of L. (4...079 f = { 0. over which the temperature distribution is developing (Le. The chart is for a pipe with the internal diameter D..The pressure drop is evaluated using Equation 4. Two closed-form expressions for the friction factor in the smooth-wall limit are worth recording: 0.X. The thermal entrance length can be estimated using Equation 4.46) .3 lists the h values for fully developed laminar flow for two heating models: duct with uniform heat flux (4") and duct with isothermal wall (T..046 3 x lo3 < Re.lOD.-3f Pr2I3 (4. Turbulent Flow Through a Duct.).3 CONVECTION 193 The heat transfer coefficient in fully developed flow (laminar or turbulent) is constant. (4.45) The heat transfer coefficient h is constant in fully developed turbulent flow and can be estimated based on the Colburn analogy [ 1 11 between heat transfer and momentum transfer -h - pcpU . Using these h values is appropriate when the duct length L is considerably greater than the thermal entrance X. The turbulent flow curves can be used for ducts with other crosssectional shapes.

Two simpler versions of Equation 4. (b) wall with uniform heat flux [l].5 and is to be used in conjunction with Figure 2..46 is given by the correlation [12] hDh . A more accurate alternative to Equation 4.0. MODELING.46 applies to ducts of various cross-sectional shapes.5 < Pr < lo6and 2300 < Re. Referring to Figure 4.7.012(~e. 3 lo3 < R e .- k (f/2) (Re.5.50) T+ Wall. and various degrees of roughness. < lo6) (4.10% in the range 0.0214(Re~ ~ 100) PI". Equation 4.5.5 < Pr < 500. with wall surfaces having uniform temperature or uniform heat flux.7 k . lo4 < Re.194 HEAT TRANSFER. .4 k (0.. < 5 X lo6.47) for which f is again supplied by Figure 2.280) pp. AND DESIGN ANALYSIS This formula holds for Pr b 0.7(f/2)"* (Pf'3 . 7 i? 0 fb) + X Figure 4.47 for a smooth duct are [12] h hD .103)Pr 1 + 12. Equation 4.5 < Pr < 1.1) (4.).4 X (1.5.7 Distribution of temperature along a duct: (a) isothermal wall.48) hDh = 0. an energy balance can be applied to an elemental duct length dx to obtain (4.. < 5 x lo6) (4. which supplies the f value. .49) The Total Heat Transfer Rate.47 is accurate within +.

(x): When the duct wall is isothermal at T.. (Figure 4. ..Tout.4. AT. AT. and ATin = T .. .53 by writing T.3 CONVECTION 195 where p is the wetted internal perimeter of the duct and A is the crosssectional area.7a).. = pL..50 holds for both laminar and turbulent flow.. the total rate of heat transfer between the wall and a stream with the mass flow rate m is Q = me.3. the local temperature difference between the wall and the stream does not vary with the longitudinal position x: T.7b).35 and the h value (furnished by Table 4..3 or Equations 4. 4. Equation 4.51 can be deduced from Equations 4..52 and 4. and Equation 4. This effect is distributed throughout the fluid and is associated with the tendency of most fluids to expand when heated.(x) T J x ) = A T (constant).. T. ATin 1 .. = const.53) Equations 4. Consider first the natural convection boundary layer formed along an isothermal vertical wall of temperature T.49) to determine the longitudinal variation of the mean temperature of the stream..52 reduces in this case to Q = hA.3 Natural Convection In natural convection. the fluid flow is driven by the effect of buoyancy.. = AT.. = AT. A more general alternative to Equation 4.exp [ (-$)I (4. The heated fluid becomes less dense and flows upward.. ATin = AT ou .. is the log-mean temperature diference (4.51 is Q = hA. When the wall heat flux is uniform (Figure 4. when T J x ) is the temperature of a second stream in counterflow with the stream whose mass flow rate is m. It can be combined with Equation 4. or free convection.. is the wall surface. and .53 are more general than Equation 4.5 1) where A . = T. In particular.. for example. where A T.4.51 because they apply when T . . Equation 4. Equation 4.52 and 4. Vertical Plane Wall.52) (4.53 yields AT.Tinand AT..46-4. height H. is not constant. while packets of cooled fluid become more dense and sink.

825 + 0. AND DESIGN ANALYSIS width W .(0. and the trailing edge.TJY3 (YV Ray = (4. where T is expressed in K (or OR). which is in contact with a fluid whose temperature away from the wall is T... = gp(T.10’Pr < Pr < lo3) (4. and Ra. (4. .57.. where [13] Ra. An empirical correlation giving the average heat transfer coefficient for laminar and turbulent flow is [14] (dp/dT)..55) where p is the coefficient of volumetric thermal expansion.72. Note that the temperature difference ( T .57) A vertical wall that releases the uniform heat fzux q” into the fluid has a temperature that increases with altitude.56 and 4. . < loi2 and all Prandtl numbers. 1T J .Tx) is represented adequately by Equations 4. MODELING.( y ) . The boundary layer remains laminar over its entire height H when Ra. Ray is the Rayleigh number based on temperature difference defined by m T . T. p = ( .l / p ) p equals 1/T.. . Equation 4. y = H ) . For gases with Pr = 0.T . . If the fluid behaves as an ideal gas.54) In this expression.56) This correlation is recommended for lo-’ < Ra. y = 0.TJ is averaged over the wall height H. The heat transfer results assembled in this section are valid when Ip(T.72) (4. .325 Rak/6)2 k - (Pr = 0.196 HEAT TRANSFER.56 reduces to hH _ . . The relation between q” and the wall-fluid temperature difference ( T . ) l P / a v . < 109Pr. provided h is replaced by q”(T. . Experiments show that the transition from the laminar section to the turbulent section of the boundary layer occurs at the altitude y (between the leading edge.Tz)l << 1.

.27 RaL14 (10’ < Ra.T. = gP(T.. or cold surface facing upward 121) In the case of a wall with uniform flux q”.)L3/av. Ra.T.55. = g cos 4 p( T. = gp(T. . Ra. .T W ’ / a v .6 hD k 0.T.59) (hot surface facing downward.T. is based on the average temperature difference.56 and 4.56 and 4.).T J D 3 / a v .59. Horizontal Cylinder. and uniformflux surfaces.. or cold surface facing downward [ 151) _ k - 0. where A is the wall area and p is the perimeter of A. Ra. .) into Equations 4. = g p ( T .4. . and the total heat transfer rate is Q = hrrDL(T. based on g.T X ) H 3 / a vIn . Ra. . Ra. heat transfer coefficient have been correlated using the characreristic length of the horizontal wall: L = A / p .60) This is valid for < Ra.57 continue to hold for both isothermal and uniform-flux walls provided g is replaced by g cos 4 in the Rayleigh number definition: Ra.58) (hot surface facing upward. . . as in Equation 4. = gP(T. < IO’) < Ra.58 and 4.)L3/av: -={ hL k ZL 0. When the cylinder surface is isothermal (TJ.” can be calculated by substituting h = q”/(T. = g p ( T .)D3/av.. and h = q”/(T. In + the laminar regime.54 RaL’4 0. Horizontal Walls. Assume that a plane wall makes an angle 4 with the vertical direction.= {0. . Ra.559/Pr)9/’6]8/27 (4. < 10”) (4. < lo9) (4. Equations 4. < 10l2 and the entire Pr range. the wall temperature T. The recommended correlation for the average heat transfer coefficient for a single horizontal cylinder (diameter D.387 Reb6 + [I + (0. In the case of uniform heat flux (q”). . length L ) immersed in a fluid is [14] - .5..T J .15 Rail3 ( IO4 (10’ < Ra. Measurements for the average.3 CONVECTION 197 Inclined Walls.57 with Ra. . for both isothermal surfaces. and that this angle i s restricted to the range -60” < < 60”. The following formulas are valid for Pr > 0. the turbulent regime the heat transfer measurements are correlated sufficiently well by Equations 4.T.

(T.198 HEAT TRANSFER.62) 1 . and the duct cross-sectional area is A. . The top and bottom ends of the duct are open to a fluid at a temperature T.. Additional relations for an isothermal (T. which is filled with a fluid. AND DESIGN ANALYSIS Sphere.... it is assumed that the duct is sufficiently slender so that Ra. .40 in which A p l L is now replaced by pgp(T. where Ra. Ra./mc.TJ. Many other results for laminar and turbulent flow and for mixed (forced and natural) convection in vertical channels are reviewed in Reference 17.T. . to T.)D3/av and h = q”/(T. ... The following results apply to a fully developed laminar flow driven by buoyancy through a vertical duct of hydraulic diameter Dh..T.. and T. If W is the enclosure width (perpendicular to the H X L cross section). = gp(T.. < 10”. Vertical Channels. Enclosures Heated from the Side.51). Following Reference 3. The vertical walls are maintained at different temperatures. The average heat transfer coefficient for a sphere of diameter D immersed in a fluid is given by [16] hD -=2+ - k 0. .7 and Ra.. < HIDh.r = gp( T.6 (equilateral triangle) The total heat transfer rate between t_heduct and the stream is approximately Q = mc. The mean velocity U can be estimated using Equation 4... for a sphere with uniform heat flux (4‘3.(square) 113..469/Pr)9/i6]4/9 (4.Tx).T=). T. = gp(T. while the top and bottom walls are assumed insulated. is greater than 1 (see Equation 4. Consider a two-dimensional vertical rectangular enclosure of height H and horizontal spacing L. and.)D3/cyv and Q = hnD2(T. is given by the correlations [ l ] .. and inner surface temperature T.TJ when the group hA. MODELING...T. height H .)Di/ av.The average heat transfer coefficient depends on the shape of the duct cross section: / 1 lik 1 (parallel plates) (round) (4.61) in the range Pr > 0.589 RaLJ4 [ 1 + (0. . the total rate of heat transfer Q from T.) sphere are Ra. where the mass flow rate is m = pAU..

4.2 Ra.. where Ra.) is heated and the top wall (at T.T. At high Rayleigh numbers the total heat transfer rate Q between the two walls can be estimated by using the empirical correlation [ 18J (4.T. Assume the bottom wall (at T. the transfer of heat is by pure conduction. concentric cylinders and spheres. inclined enclosures.)W/au. < 7X lo9. Ra. in enclosures heated from below the imposed temperature difference must exceed a critical value before the first signs of buoyant flow are detected.09 QIw k(Th 10.)/H. and Q l A = k ( T . The following results are based on the assumptions that the condensate flows as a continuousfilm over .4 Condensation In this section we review several results for heat transfer in circumstances where a gas is cooled sufficiently that it condenses to a liquid. Ra. Pr < IO5. . Pr 0. Condensation is an example of convection with change ofphase. = g p ( T .63) where the Rayleigh number is based on the height of the enclosure. Consider an enclosure formed between two large horizontal walls with area A and vertical spacing H and filled with a fluid that expands upon heating.3. = Additional results for shafow enclosures ( N I L <” l). + Pr (k)3 > IO3) (4. When natural convection is absent.3 CONVECTION 199 0. Enclosures Heated from Below. > 1708.Tc)$l&. . Natural convection occurs if Ra. In enclosures heated from the side natural convection is present as soon as a very small temperature difference is imposed between the two side walls. gp( Th . < 1708. < I O J 3 Tc) - < 2.Ra. By contrast.64) which is valid in the range 3 X IO5 < Ra.) is cooled. Pr < lo5. and enclosures with uniform flux on the heated and cooled walls have been compiled in References 1 and 3.4.

.8 Film condensation on a vertical surface: the total condensation rate T(L) versus the condensation driving parameter B [l].) PI Figure 4.= 4 ru. and the gas is at the saturation temperature Tsatof the condensing substance. Vertical Wall.200 HEAT TRANSFER. MODELING. is T(L). The rate at which the condensate leaves the bottom edge of the wall. per unit width. .8. The calculation begins with finding the condensation driving parameter B I Re. The total rate of condensation on a vertical wall of height L can be estimated using Figure 4. AND DESIGN ANALYSIS a surface at T. which was constructed [ l ] based on a correlation presented in Reference 19 for laminar as well as turbulent film condensation.

< 1800.). < 30.66) Horizontal Cyhnders.68) The total heat transfer rate into the spherical wall is 0 = hnD2(T.T J ..T.T.4. Figure 4. This calculation is valid for .8 provides the Reynolds number of the liquid film at the bottom of the wall. diameter 0) aligned in a vertical column can be calculated in two steps. the condensate mass flow rate per unit of cylinder length is q’lh.... Sphere... .68cp. The total rate of condensate accumulated on n hori- zontal cylinders (temperature Tw. the heat transfer coefficient h averaged over all the cylindrical surfaces in the vertical column is given by [20] (4.J and using an energy balance as in Equation 4.rrD(T. .67) Second. From an energy balance. the total flow rate T(L). is the enthalpy of vaporization at T...65) in which the subscript 1 indicates liquid properties. in the laminar film regime can be estimated using the average heat transfer coefficient calculated from the following expression [2 I] (4. Re. if the film of condensate is laminar on all the cylinders. = 4T(L)/p.67. and hig = h . The flow is laminar at the bottom edge of the wall if Re. the total heat transfer rate per unit of length q’ absorbed by the vertical wall is q’ = h& T(L) (4. . which is the nondimensional counterpart of the unknown of the problem..66.. wavy if 30 < Re.3 CONVECTION 201 (4. The condensation rate on a sphere of diameter D and at temperature T . and the condensate mass flow rate is &/hi. + 0.. the total The subscripts 1 and u indicate liquid and vapor properties.. First. The case of the single horizontal cylinder is represented by n = 1 in Equation 4.. and turbulent if Re.. > 1800..(T. heat transfer rate per unit of cylinder length is q’ = hn. where h .

If this surface has the temperature T.9 shows qualitatively the relationship between the surface heat flux q" and the excess temperature T. Nucleate Boiling. where the hot surface is immersed in a pool of initially stagnant saturated liquid.69) The total heat transfer rate and condensation mass flow rate are. Drop Condensation.) is sufficiently higher than the saturation temperature ( of the liquid with which it comes in contact.) and Q/h&. and faces upward toward saturated vapor at T. 4. Horizontal Flat Wall. ryat.. it is a good idea to base the calculation of h on the worst-case assumption that the condensate flows as a film.. the average heat transfer coefficient for laminar film condensation is [l] (4. For a horizontal surface A and perimeter p we can define a characteristic length as L = A / p .. Experimental excess temperature data agree within k 25% with T. based on the correlation [22] This correlation applies to clean surfaces and depends on two empirical constants. The various pool-boiling regimes are related to the way in which the newly generated vapor bubbles interact in the vicinity of the hot surface. MODELING. - T.. which are listed in Table 4.5 Boiling Heat transfer by boiling occurs when the surface temperature (T.202 HEAT TRANSFER. In this section we review the main results for pool boiling.4.. C. AND DESIGN ANALYSIS condensation on the outside or inside of the spherical surface... Q = hA(Tsat .fand s. respectively. provided the film thickness is small relative to the sphere diameter. The subscripts 1 and u indicate .T. Figure 4. Since surface coatings used to promote drop formation are gradually removed by the scraping action of drop movement. The heat transfer coefficient during dropwise conden- sation is roughly 10 times larger than during film condensation under the same conditions..3.

149 factor with 0. Equation 4.09hfgp.72) .TSat.70 can be applied without regard for the shape and orientation of the hot surface. the heat flux calculated from Equation 4. Peak Heat Flux for Nucleate Boiling.1 16 [25]. In the reverse case.3 CONVECTION 203 Excess temperature Tw . For a horizontal plane surface the minimum heat flux (Figure 4. Equation 4. The recommended correlation for the peak heat flux for nucleate boiling on a large horizontal surface is [24] &.4.9) can be estimated using [26] I14 qEin = 0. As an engineering approximation. and (T is the surface tension of the liquid in contact with its own vapor.P . ("C) Figure 4. .9 The four regimes of pool boiling in water at atmospheric pressure [l]. where the excess temperature is specified.71 can be used also for a horizontal cylinder by replacing the 0. Minimum Heat Flux for Film Boiling.ax = 0.149hfg p:l2[ag(p. (4.70 agrees within a factor of 2 with actual heat flux measurements. saturated liquid and saturated vapor. It applies to a surface that is considerably larger than the vapor bubble.7 1) This formula is independent of the surface material. ) ] ~ ' ~ (4.

MODELING.0 1. The surface roughness has a negligible effect on qGin because the asperities are covered by the vapor film.chromium n-Pentane .0027 0. -copper Benzene .copper Polished Scored Emery polished.7 0. paraffin treated Water-stainless steel Ground and polished Chemically etched Mechanically polished Teflon pitted Water .008 0.0025 0. .0074 0. The correlations developed for film boiling have the same an- alytical form as the formulas for film condensation and laminar boundary layer natural convection. h.010 0.006 0.7 1.o 1 . the average heat transfer coefficient on an immersed horizontal cylinder.006 0.is given by [27J (4. The calculated minimum heat flux agrees within 50% with laboratory measurements at low and moderate pressures.7 1.o 0.7 1.7 1 .o 1 .0058 1.o 1 .7 1.0049 0. Film Boiling.o 1.copper Emery polished Emery rubbed Lapped n-Pentane-nickel Emery polished Ethyl alcohol .0027 0.o 0.73) .0030 This correlation does not depend on the excess temperature. For example.013 0.copper n-Butyl alcohol Icopper C s f S 0.013 1.7 1.204 HEAT TRANSFER.o 0.0154 0. AND DESIGN ANALYSIS Table 4.o 1.7 1.0054 0.013 0.copper 50% K.chromium Isopropyl alcohol .7 1.013 0.o 1 .013 0.068 0.4 Constants for Rohsenow's nucleate pool-boiling correlation [22.brass Water ..Surface Combination Water.7 1. 231 Liquid .copper 35% K2C03. and the accuracy deteriorates as the pressure increases.nickel Water .7 1.7 1.015 1.platinum CCI.CO.015 1 .013 0.chromium n-Pentane.

and hrad is the radiation coef- (4.1?. is the emissivity of the heater surface.E.67 [24]. 3. .62 factor is immersed sphere is the same as Equation 4.Tsat). + 0.4.73 except replaced by 0. Evaluate the merit of this proposal assuming that the surface temperature is raised to 90”C.669 X W/m2-K4. plane wall of length L. u = 5. As the surface temperature increases... and the length of the laminar leading section is negligible. Solution MODEL 1. The thermal radiation effect can be incorporated into an effective heat transfer coefficient h [27]: (4. Example 4. 2. In water.4c. the effect of thermal radiation (Section 4.73.4) across the vapor film contributes more and more to the overall heat transfer rate.75) where u is the Stefan-Boltzmann constant. The variation of temperature across the boundary layer is sufficiently small so that the filrn temperature can be used to evaluate the water properties.TsaJ. 4. TSaJ must be expressed in K.JT.The formula for film boiling on an -that the 0. and -the temperatures (T. The average heat flux is q” = h. the water free-stream temperature is 10”C. . The outer surface is a smooth. and the vessel’s speed is 10 m/s.2 It has been proposed to reduce the drag experienced by a submarine by heating its outer surface electrically to a high enough temperature that the viscosity of the water in the adjacent hydrodynamic boundary layer decreases. (Tbv. .TVJ.74) for which ficient h. The turbulence of the free stream can be neglected. is furnished by Equation 4. The heat flux is q ” = h(T. the thermal radiation effect begins to be felt as T.. . The hydrodynamic boundary layer is turbulent. increases above 550-660°C [28].3 CONVECTION 205 where hig = h .

AND DESIGN ANALYSIS ANALYSIS.013 g/cms.!.W:. the water film temperature is (90°C + 10"C)/2 = 50"C. F ' can be evaluated in terms of the average shear stress: F' = rL. on moving the flat surface through the fluid to be evaluated as the product of force and velocity: W ' = F'U. = 1 g/cm3. = 1 g/cm3. with Equation 4. experienced by the wall and U is the wall speed.29.2) expended. respectively. MODELING.037pU2 Re. Here. p.037pU3L ( t L ) 'I5 Using subscripts c and h to represent the cold-wall and hot-wall conditions. per unit of width. pc = 0. Then. which at high Reynolds numbers reduces to 7 = 0.. the power requirement changes according to the ratio The properties of cold water (10°C) are p.84 which shows that by heating the surface to 90°C we can reduce the drag power by roughly 16%. The work rate concept of mechanics allows the power (Section 2.1 0. . The power that has been saved by heating the water boundary layer can be calculated by using Equation 1 to estimate W. where k is given by Equation 4. p h = 0.037 Pr.415.00548 g/cms. with the corresponding properties. where F ' is the total tangential force. When the surface is heated.l3 k/.: - The electric power per unit of width for heating the surface is 4 " L = k AT L. .. per unit of width. The ratio is then WL 1 0. (z) 415 (3) The result is .00548 W:. the power required per unit of width is W' = F'U = 0.0.206 HEAT TRANSFER.013 ( ~ ) = 0.28 simplified for high Reynolds numbers: - kL _ .

are also evaluated at the 50°C film temperature.5.4 RADIATION Unlike conduction and convection.64 W/mK.W . . and on the nature of their surroundings. = 1. int a brainstorming session (Section 1. for example. The analysis shows that the power savings are much smaller than the electrical heating requirement when the speed is 10 m/s. and Pr.AT = 0. cleanliness) of their surfaces. / v ~ ) ” ~ w.) is completely evacuated. AT Pr\. Similarly. Only a fraction of the energy stream emitted by body ( T I )is intercepted and possibly absorbed by body (T2).giving = 90°C - 10°C = 80”C. c = 4. T. . . only a fraction of the radiation emitted by body (T.g. This example: illustrates how an apparently complex suggestion originating. k.This fraction depends not only on the shapes and sizes of the two bodies but also on their relative position.I3 (4) where k. radiation is the heat transfer mechanism by which bodies can exchange energy without making direct contact.4. on the condition (e.4 RADIATION 207 - q”L == 0. and U = 10 m/s.18 kJ/kg*K. ( v / .. The two bodies emit their respective streams of thermal radiation in all directions..) is intercepted and possibly absorbed by body ( T I ) . Pq1 = 3.037k.84. 4. smoothness. Net heat transfer by radiation can occur even when the space between two bodies at different temperatures ( T .1) might be evaluated using elementary modeling. = 0.3 x 9 ”L 10-4 COMMENT..57 By dividing Equations 2 and 4 we obtain a dimensionless measure of how effectively the surface heating has been converted into a power savings: In this expression.

and r is the total transmissivity of the material within the system. or the total radiation heat flux that impinges on the elemental area dA. or Btu/h. in addition. Conservation of energy for a system that encloses dA requires aG + pG + TG = G . Eb.. A portion of the total irradiation ( a G ) can be absorbed. another portion (pG ) can be reflected back. MODELING. reflectivity. and the remainder (7G) can pass through the body and exit through the other side.4. AND DESIGN ANALYSIS 4.represents the energy emitted by the surface in all the directions of the hemisphere per unit time. A material is opaque when its total transmissivity is zero. and is given by (4. and transmissivity [l] .ft3..77) The monochromatic hemispherical emissive power of a black surface. p is the total reflectivity.78) otal irradiation G Figure 4. If. p = 7 = 0) (4.Ahas the units W/m3. wavelength A. The paraimeter E.208 HEAT TRANSFER.10 The definition of total absorptivity.1 Blackbody Radiation The surfaces of solids can be classified according to their ability to absorb the radiation energy streams that strike them.A. and is represented by (Y = 1 (black. the surface is said to be black. The body defined by a black surface is referred to as a blackbody. or a+p+7=1 (4. the total reflectivity is zero. Figure 4.10 shows the total irradiation G. and surface area.76) where a is the total absorptivity.

2 Geometric View Factors Assume that A . to A . is defined as the ratio F I 2 = radiation ]leavingA . 4.44 X is the energy emitted per unit time and surface area. we can calculate F .5 present the view factors of some of the most common two-surface configurations encountered in radiation heat transfer calculations. value by manipulating the known view factors of one or more related configurations.. is made up of II smaller pieces. to each component of A. and A..4. that is. m K = 9. These relationships are purely geometric. in all directions (4... A. 1 9 AIF.l dh = crT4 (4. = AP21 (4.. Essential to this approach are the relationships expressed by Equations 4. . ."R. also known as view factor algebra. Figure 4.742 x ft.). from a chart. Reciprocity. 301. independent of surface description (black versus nonblack). the value of a geometric view factor will fall between 0 and 1.1 1 and Table 4. and being intercepted by A . if we also know the areas involved in the configuration ( A A. In some instances it is possible to deduce the F .. = 3. If we happen to know F.80) Accordingly. is the sum of the individual view factors from A . = A.79) The product uT4 is commonly called the potential of the black surface of absolute temperature T.4. The geometric view factor F . = joxEb. are the areas of the surfaces of bodies (TI) and (T. The total hemispherical emissive power Eb x IO-. A .4 RADIATION 209 W-m2 = 1. + . radiation leaving A . = 1. formula.83..439 where C.81) Additivity. Let us assume that the surface A. and C..375 X Btu ft2/h.). The view factor from A . + + A. Several other configurations are discussed in the literature [29. . or table.8 1-4. E.

11 The geometric view factor between two parallel rectangles (top) and two perpendicular rectangles with a common edge (bottom) [l].H/X Figure 4. .

4 RADIATION 211 Table 4. 3 0 1 Configuration Geometric View Factor Two infinitely long plates of width L. R andX..L2 (tan-.--i . = Fzl= 1 .x2 = H' " x.Lz): F. = )[1 where x = H/L I----L+ + x .4.tan-1H + L.(1 + x2)'/2] Triangular cross section enclosure formed by three infinitely long plates of different widths (Ll. joined along one of the long edges: x F.. L).sin- (Y 2 1 'bA2 .. Two infinitely long plates of different widths (H. Disc and parallel infinitesimal area positioned on the disc centerline: F12 == ~ H2+ RZ R ' Parallel discs positioned on the same centerline: I - R. joined along one of the long edges and with a 90" angle between them: F. L2. = . = L1 .1 where x. 4 ) : A2 0.-A. 29. +-1 + x: Infinite cylinder parallel to an infinite plate of finite width (L. 4 I ? ..: L .5 Sampling of geometric view factors [l.

. In this case. . = F. is concave. . 6Ab6L&f T .. + F . --IR.X] where X = 1 L +2R A.83 can be written for each of the surfaces that participates in the enclosure (Le. not just for A. to yield a system of n equations.A. ) form a complete enclosure.4 R k 4 R b - Two parallel and infinite cylinders: F. + sin-' (i) . . is plane or convex and positive if A . is zero if the surface A ..(1 . .-+ h.5 (Continued) .. .(1 where x = a H + %2)-'/2] R2 H F I 2 = 6 2 . .212 HEAT TRANSFER.Jc I Row of equidistant infinite cylinders parallel to an infinite plate: F. MODELING. the sum of the view factors is unity: F. . AND DESIGN ANALYSIS Table 4.x ~ ) ' /4~ x tan-' L D where x = - T Sphere and disc positioned on the same centerline: F. = 1 (4. AI = '[ (X2 K l)". = f[l .82) Enclosure..83) The view factor F . = 1 . Consider a configuration in which the surface of interest (A.. + -. A . .) and all the surfaces that surround it (A2.+ F . (4.. ..). Equation 4.. + F 1 2 *+ ..

The large hemisphere drawn above dA indicates that the surface is irradiated uniformly from all directions. the surface is said to be a diffuse rejector. (iii) a diffuse absorber.f show a similar classification with regard to the absorptive properties of a real surface. E. Eh: & ( T )= E 5 1 Eb (4. every incident ray is reflected uniformly in all directions.86) and their ratio E ( T )is known as the total hemispherical emissivity. A surface is gray when its monochromatic hemispherical emissivity is not a function of wavelength: (4. E. A real surface may emit radiation in certain directions. is smaller than that of a black surface. Figures 4.4 RADIATION 213 4. Tables 4.6 and 4. The ratio EAl is the monochromatic hemispherical emissivity of the real surface: (4. 1 2 ~A . A surface is diffuse-gray if it is (i) opaque.12e. 1 2 ~ ) When . and (v) gray..84) which generally depends on wavelength and temperature. the total hemispherical emissive power of a real surface. The simplest and most commonly used surface model to estimate the radiation heat transfer between generally nonblack surfaces is the dvfuuse-gray surface model.7 show a compilation of E ( T )values of real surfaces that have been modeled as diffuse-gray.*. as shown in Figure 4 . (iv) a diffuse reflector.85) Similarly. is smaller than that of a black surface at the same temperature and wavelength. Similarly.3 Diffuse-Gray Surface Model The monochromatic hemispherical emissive power of a real surface. The statement a ( T ) = E ( T ) means that a can be estimated . (ii) a diffuse emitter. a real surface may reflect an incident ray of radiation in one or several directions (Figure 4 .. E. Kirchhoff’s law for a diffiise-gray surface states that the total hemispherical absorptivity a ( T ) is equal 1. A diffuse absorber absorbs the same fraction of the incident radiation regardless of its direction.4. A gray surface is characterized by E ( T )= eA(T).0 the total hemispherical emissivity E ( T ) of the same surface. diffuse emitter is the surface that emits uniformly in all the directions of the hemisphere centered on dA.4. Directional absorbers are surfaces that absorb a greater fraction of the radiation arriving from certain directions.

A*). based on the emissivity data of Tables 4. The net heat transfer rate from A .) are specified. T.4 Two-Surface Enclosures Consider now the heat transfer rate between two diffuse-gray surfaces that.12 Diffuse absorber Real surfaces: Directional versus diffuse emitters. and its total transmissivity is T = 1). the requirement of Kirchoff’s law can be overlooked so that cr(T) can be approximated by using the E ( T )value found in the tables.7. In applications in which the temperature of the incident radiation does not differ substantially from that of the target surface. The areas (Al.214 HEAT TRANSFER. absolute temperatures ( T I . together. 4. reflectors.4. MODELING. .T2)and total hemispherical . provided that the incident radiation has the same temperature as the surface. to A. is emissivities ( E ~ E .6 and 4. form a complete enclosure. The space is evacuated or filled with a medium that is perfectly transparent to the radiation that passes through it (such a medium is called nonparticipating. and absorbers [l]. This approximation is not appropriate when the incident radiation and the target surface have vastly different temperatures. AND DESIGN ANALYSIS Directional emitter ( a1 Diffuse emitter ( b1 Directional reflectors (c) Diffuse reflector (d 1 7 incident Directional absorber Figure 4.

0.79 (SOOOC).05 (26OoC).61 (40°C) 0. 321 Material Aluminum. 0. 0.02 (40"C).06 (500°C) 0. 0.69 (300°C).13 (26OoC).13 (500"C).09 (OOC).96 (4OoC).05 (100°C) 0.88 (540°C) 0.01 (-9"C).022 (25"C).61 (260'C).13 (lOOO°C).17 (llOO'C).0.066 (40°C) 0.044-0.6 (llOO°C) 0. crude foil.78-0.3 (4O"C-26O0C) 0.07-0.28 (4O0C-26O"C) O. rolled polished or electrolytically deposited sandblasted stably oxidized untreated rolled 0.06 (40"C). unoxidized Copper.200°C) 0.05 (1100°C) 0.18 (310°C) 0. polished Lead.28(O0C. 0. 0.81 (30O"C-54O0C) . 31. Inconel.12 (100°C) 0.04-0.061 (100°C) 0.15 0. black oxidized highly polished liquid matte new. 0.04 ( l a c ) . 0.21 (40°C) Inconel X stably oxidized Iron (see also Steel) cast cast.08 (0°C-200°C) 0.02-0. 0.93 (1100°C) 0.08 (l0O'C) 0.64 (40°C) 0.035 (lOO"C). 0.89 (300°C). 0.071 (lOO"C). 0.07 (4O"C-10O0C) 0.03 (300°C) 0.0. 0.82 (lOOO°C) 0.087 (lOODC) 0. 0.05 (1°C) 0.35 (2800'C) 0. 0.67 (540"C). 0. rusted red pure polished red iron oxide rough ingot smooth sheet wrought.19 (15OO0C) 0.07 (150°C) 0.0.03 ( 1 "C) 0.26 (2800°C) 0.78 (40°C) 0.88 (1150°C) 0.28 (O'C-200°C) 0. polished unoxidized Cobalt. unoxidized Brass.06 (30°C) 0.13 (540"C).59 (2800°C) 0. 0.11 (2OO0C). oxidized unoxidized Magnesium Mercury Molybdenum oxidized 0.04 (40"C).22-0. 0.81 (lOO0C-44O0C) 0.22 (40°C) 0.23 (lOOO°C) 0.048 (25"C). 0.91 (1150°C) 0.19 (600°C) 0. 0. freshly turned galvanized molten plate.0. 0.05 (500°C) 0.69 (800°C). very bright oxidized polished Gold.44 (4OoC).4 RADIATION 215 Table 4.5 (2O0C-3OO0C) 0.7 (llOO°C) 0.56 (4O0C-2O0"C).4. after rolling browned polished Chromium. bright highly polished ordinarily rolled oxidized roughed with abrasives unoxidized Bismuth.95 (1100°C) 0.6 Metallic surfaces: representative values of the total hemispherical emissivity 11.03 (11OO'C) 0.74-0. 0.

19 (1100°C) 0.31 -0.08 (100°C) 0. A + ~l/AIFl. .15 (1000°C) 0.07 (40"C).11 (540"C). ) / E ~ .81 (8OO0C).0.E .61 (11OO'C) 0.19 (13OO0C). 0.02 (260"C). 0.94 -0.) (1 .23 (llOO°C).39 (4OoC).05 (25°C.8 (1150°C) 0. The internal resistance is zero if the surface is black (E = 1). AND DESIGN ANALYSIS Table 4. 0.03 (540'C) 0.14 (54OoC).82 (800°C).97 (40°C-540'C) 0. 0. 0.87 (1150°C) 0.36 (8OO0C). Nickel.216 HEAT TRANSFER.04 (40"C).11 (260°C) 0.1 (260'C). 0.02 (4OoC).E ~ ) / E . 0.18 (2O'C) 0. 0. oxidized and rolled sandblasted Stellite Tantalum Tin. (or the potential UT?) to the colder surface A. Silver. unoxidized filament oxidized polished 0. Platinum.). The term (1 .81 (1l5OoC) 0.07 (26OoC). (4.79 (260°C-540°C) 0.0.09 (20°C) 0. Nichrome.0.66 (40°C) 0.04 (25"C).0.87) in which the denominator on the right side represents the total radiation thermal resistance from A . 0.0.0.56 (8OO0C).03 (260°C) Q1-2 = a(T? .11 (540°C) 0.87 (300°C.28 (2800°C) 0.5-0. 0. Tungsten.74-0.39 (2800°C) 0.6 (Continued) Material Monel.67 (540°C) 0.1 (26OoC).1 (54OoC).0. oxidized type AIS1 303. MODELING. 0.87-0.93 (1150°C) 0. 0.100°C) 0.03 (40"C). oxidized type 310.3 (2500°C) 0. + (1 .01 (4OoC). Zinc.1100°C) 0.&)/EArepresents the internal resistance of the particular diffuse-gray surface.37 (2600'C) 0. Steel.0.T4.04-0.56 (4O"C-54O0C) 0. (potential UT. oxidized polished rolled sandblasted electrolytic oxidized wire oxidized unoxidized polished calorized E (TI cold rolled ground sheet oxidized plate.91 (30O'C-110O0C) 0. rough polished rolled sheet type 347.43 (20°C) 0. 0.05 (lOO'C).

l0O0C) 19.0.94 (100°C) 0.84 (1400°C) 0.79 (1000°C-2400°C) 0.77 (20°C) 0. 0.92 (40°C) 0.03 Cloth cotton silk Glass Convex D fused quartz Nonex Pyrex smooth wa terglass .9 (1"C) 0.96 (40°C) 0. 31.95 (260°C) graphitized rough soot (candle) soot (coal) unoxidized Ceramics coatings alumina on inconel zirconia on inconel earthenware.75 (40°C) 0.68 (540°C) 0.93 (40°C) 0. 0.92 .0.7 Nonmetallic surfaces: representative values of the total hemispherical emissivity [ I .38 (lOOO°C) 0.92 (100°C) 0.0.93 (40°C) 0.75-0.45 (1100°C) 0.Table 4. black light buff white A1.45 (1100°C) 0. board asphalt pavement clay concrete.71 (100"C-500"C) 0.59 (1400°C) 0.89 (40°C). rough granite gravel gypsum marble.500°C) 0. 0.8 .71 -0.96 (20°C) 0.95 (20°C) 0.9 (40°C) 0.62 (43OoC).95 (0°C-200°C) 0.8 (l0O0C-5OO0C) 0.76 (40°C) 0.0.8-0.0.75 (1400°C) 0.39 (20°C) 0. 0.78 (100°C.9 (100°C) 0.83 (40°C) 0.85-0.67 (40°C-2600C) 0.52 . 0.94 (54OoC).9 (40°C) 0.88 (1100°C) 0.8 (25 "C .0.93 (1°C) 0.58 (540°C) 0.98 (1100°C) 0.76 .82 .77 ( 10OoC-32O0C) 0.94 (0°C.76 (100°C. polished mica plaster quartz sand sandstone slate Carbon baked filament E (TI 0. 321 Material Bricks chrome refractory fire clay light buff magnesite refractory sand lime red silica various refractories white refractory Building materials asbestos.500 "C) 0.53 (IIOO°C) 0.93 (40°C) 0. glazed matte porcelain refractory.65 (430°C).89 (260"C).95 (120°C) 0.500 C) 0.8 (540°C).78 (20°C) 0.44 (40°C) 0.28 (40°C) 11.

65 (1400°C) 0.54(850°C-1300°C) 0.52-0.87(1400°C) 0. white Roofing materials aluminum surfaces asbestos cement bituminous felt enameled steel.8 (1400°C) 0.0.86(SOOOC-1200°C) 0.20"C) 0.82(540°C) 0.66(140O"C-280O0C) 0. dirty new roofing sheet.91 (70°C) 0.95(40"C).1300a C) 0.92( O ' C ) 0.29. snow white 0.85-0.7(1°C-100°C) 0.65 (850°C-1300°C) O c*o cr203 MgO NiO ZnO Paints aluminum enamel.97(40°C) 0.0.89(-10°C) 0.95(850°C1300°C) 0. sanded 0.78(850'C.98(O'C) 0. glossy surface soft.92.91(40°C) 0.0. brown green tiles.82(lOO°C) .93 (40°C) 0. smooth Oxides A1203 0.40 C) O O 0.5 (850 C .94(1400°C) 0.27-0.63 (1400°C 0.1300°C) 0.0.90(1400°C .88(1 400" C .95 (40°C) 0.89. white galvanized iron.2800°C) 0.96 (0"C.86(40°C) 0.97 (0"C .65(1400°C) 0.73-0. planed sawdust spruce. 0.35-0.22(40°C) 0.82(-10°C) 0.57-0.200" C) 0.2800°C) 0.89-0.2800"C) 0.96(0 C .Table 4.38(20°C) 0. uncolored brown black asbestos cement weathered asphalt Rubber hard.3-0.75 (40°C) 0. gray Snow fine frost granular Soils black loam plowed field Water Wood beech oak.94-0.66 (20°C) 0. black.97(40°C) 0.91 (40°C) lacquer lampblack oil white Paper.27(850"C-130OoC) 0.7 (Continued) Material Ice.92.42(1400°C) 0.87(1400°C) .89 (1400"C-2800"C) 0.

the cylinders or spheres do not have to be positioned concentrically.) (i - (4. . and Equation 4. is (note that F . . << A.89) 1) Extremely Large Surface Surrounding a Convex Surface.. Space Between Two Infinite Cylinders or Two Spheres.. Assume that A . Consider next ) the limit A . In this case we recognize that F . The net heat transfer rate from A .g.4.13 Examples of enclosures formed by two surfaces [l]. . However./A. to A . Note that the case of Figure 4.4 RADIATION 219 Two Infinite Parallel Plates. 1 3 ~ showing two infinite cylinders and two spheres.) I/&. vacuum jacket) between two concentric surfaces provided that the spacing is small. = 1) Q 1-2 := qA. is positioned inside A. Figure 4. = A .13b (or Figure 4 . + (A.(T.T.87 reduces to This result is valid not only for infinite parallel plates but also for the space (e. respectively. . Consider next Figures 4.. = A .13a shows the case of two infinite parallel plates. 1 3 ~ in Two infinite parallel plates Two infinite cylinders Two spheres Figure 4.136 and 4 . = 1 and A .

The radiosity is the total heat flux that leaves a unit area of A .14. denotes the rudiosity. The number of view factors that can be specified independently is n(n . . . AND DESIGN ANALYSIS A .91 shows that what drives the energy current out of the surface is the potential difference UT: . in which all n surfaces are diffuse-gray.1)/2. is [l] (4. consider the enclosure of Figure 4. [l]. is the smaller internal surface (convex. Figure 4.J .-.1 surfaces of the enclosure. e.toward the enclosure. that is..5 Enclosures with More Than Two Surfaces As a generalization of the two-surface enclosure results reviewed in the preceding section. . The net heat transfer rate from A . . This flow of energy is impeded by an internal resistance (1 . It has been shown that because the surface is diffusegray the net heat current that must be supplied through the back of surface A.91) where J.J. = 0). . to A . the radiation emitted by A . Equation 4. F . plus the irradiation reflected by A. MODELING.14..14 Enclosure formed by n diffuse-gray surfaces and the resistance network portion associated with the surface A. is 4. is the extremely large outer surface and A .E .91 can be written for the remaining n . A . ) / E ..220 HEAT TRANSFER..4. Relations equivalent to Equation 4.or Eb. . which is illustrated by the resistance drawn between nodes UT: and Ji in the network of Figure 4.

The point of view of this observer is illustrated in Figure 4.. 4. namely. and the medium (e. and that the gas emissivity is equal to the gas absorptivity regardless of the source of incident radiation. Equations 4. Such a surface is called reradiating. T~ = 1 .92. When only some of Ti and Qj are specified.Each surface contributes to the network the resistances identified in Figure 4. The network is constructed by noting that there are three participants in the enclosure. . = 0. n ) (4. Figure 4. which is due to the geometric configuration of the enclosure.6 Gray Medium Surrounded by Two Diffuse-Gray Surfaces The simplest model of a two-surface enclosure filled with a participating (absorbing.93 must be solved simultaneously.Il.4 RADIATION 221 .4. . gas) is isothermal and gray. settles at an intermediate temperature level) when the gas is not heated electrically or by a chemical reaction.. The net radiation between J j and another surface. emitting) medium is presented in Figure 4. is impeded by the resistance (AiFij)-I.ag. (4.15.) is insulated with respect to the exterior of the enclosure. and ag for participating gases are presented in heat transfer textbooks [ 1.g.15.. or (AjFji)-I. the two systems of Equations 4. an observer stationed on Ai (at node Ji) may see the radiosities of all n surfaces of the enclosure.) (i = 1.14b shows the radiation resistances associated with surface A i . Qi =(UT: - eiAi 1 . The external resistance between J . The radiation network for the complete enclosure consists of drawing Figure 4. If a surface (A.4.93 can be solved to determine all the radiosities J . . one internal resistance and two external resistances. ..e.Ei J. leaving the heat currents Qi to be calculated from Equations 4. its net (through-the-back) heat current is known because Q. or adiabatic. 21. 2.J2.14b.93) When all the surface absolute temperatures Ti are specified. .14b. the node that represents the gas volume floats (i.3.92) In general. the two surfaces (TI. The analysis presented in Reference 1 shows that the n radiosities Ji can be calculated by solving the system n Ji = (1 . . 2. 1 4 ~ ~ . .92 and 4. .) and the gas ( T g ) . . . Means for estimating E . and J2 is ( AIF12~g)-I. which represent the surfaces of the enclosure. J. T. 4.ai) j=I JIF. In the resistance network of Figure 4. Such a construction is illustrated in Example 4. * . The internal resistance associated with the gas node is not visible (does not play a role) because the . This means that the gas is represented by the unique absolute temperature T. . where T~ is the gas transmissivity. + eivT4 (i = 1. These drawings will be connected at the n nodes . Each surface is diffuse-gray and isothermal.14b for each of the n surfaces of Figure 4 .

of the hopper. to A. Estimate this temperature by assuming that the hopper surface is diffuse-gray with E . MODELING. AND DESIGN ANALYSIS I Figure 4.15 is given in Reference 1. .6 and that the pit surface is reradiating (adiabatic). and the UT: and J. The step-by-step construction of the network of Figure 4. The net heat transfer rate from A . The temperature of the outer surface of the hopper is 300°C. The hopper is long in the direction perpendicular to the plane of the accompanying figure. 3 Hot ash from the boiler of a cogeneration plant is stored temporarily in a hopper located in a 5-m-deep pit in the floor of the plant.5 m. net heat transfer out of the gas is zero. is where RA is the equivalent series resistance of the triangular loop of the network: Example 4 . nodes coincide. A key safety parameter is the temperature of the pit wall and floor. The distance from the side wall of the hopper to the vertical wall of the pit is 2. = 0. The ambient at temperature 40°C completes the enclosure. This raises concerns about the safety of workers who may have to descend into the pit to unclog the flow of ash through the bottom .222 HEAT TRANSFER.15 Gray medium enclosed by two diffuse-gray surfaces and the radiation network for the case in which the temperature of the medium is floating [l].

4. All the heat transfer is due to radiation. T2. The side wall and the floor of the pit are represented by one temperature. T3. . In the enclosure model the ambient is represented by a black surface. long in the direction perpendicular to the figure.6 - Figure E 4 3 MODEL The geometry is two dimensional. = 300°C E. Convection effects are negligible.4 RADIATION 223 Solution Ash 40°C T . =0. that is.

). between the last two equations. and the ambient (T. T3). With reference to the heat currents q 1 and q . L. by starting with the second formula listed in Table 4. . To construct the radiation network. ANALYSIS. = 2. = 1 . = 0.. - T!) for which the view factor can be calculated sequentially. The side of the ash hopper ( T I ) .) form the two-dimensional rectangular enclosure illustrated in the figure. Eliminating q . We know the following: TI = 300"C. we note that there are three surfaces ( T I .F. = 40°C L. = 0.the pit wall (T.5) - F . E.191 2.y = = 0. We draw an internal resistance only for T I . indicated on the network.5 F3. L3 = 0. and UT: coincide because the net heat transfer through the surface is zero. MODELING.. F. = 0. F32 a(T.5 m The unknown is T. AND DESIGN ANALYSIS 5. = 5 m.5 m. The internal resistance of the top surface is zero because that surface (the opening to the ambient) is modeled as black.191 (.6.(1 + x ~ ) " ~=] 0. = 1 LlF13 f x . The pit surface is reradiating. we write the relations between heat current and drop in potential.T.618 Equation 5 becomes . = 7. its back is adiabatic. L . that is. J . The internal resistance of the adiabatic surface is not visible: The nodes 5. = UT: + L.809 = L3F31 L 5 = 0.224 HEAT TRANSFER.5: F I 3= 3[1 F. T...382 F31 = F I ..

for example. heat transfer. 4. The ash pit should be made safer. for example. . 3rd ed. Bejan.567Tf + 0. T : = 0.0764T: (7) Finally.382Tj (6) A second relationship between T. P.567(300 + 273. and fluid flow. therefore. 2.433(40 + 273. and J . DeWitt..323T: + 0. 1990. A.15)4]"4 K 506 K = 232°C COMMENT. Wiley. as might have been anticipated. = = [0.3821". by eliminating J . Fundamentals of Heat and Mass Transfer. with a discussion of applications with heat transfer and fluid flow in Chapter 5. .4. 1993. Furthermore.4337.15)4 + 0. or radiation but generally require the consideration of simultaneous effectsconvection and radiation. which yields T. we arrive at ? . The presentation of this book continues. / a between Equations 6 and 7. thermal modeling often requires heat transfer principles to be complemented by principles of engineering thermodynamics and fluid flow. New York.5 CLOSURE Design analysis and modeling activities involving heat transfer are seldom compartmentalized into problems dealing solely with conduction. REFERENCES 1. l u is obtained by eliminating q { between Equations 1 and 2: = cr 0. by inserting a radiation shield over the hopper surface and circulating ambient air through the space. Incropera and D. In Chapter 6 we consider applications with thermodynamics.5 CLOSURE 225 _ JI cr 1. New York. Heat Transfel.0. E P. that the temperature of the pit wall would endanger the safety of those who would work in the space between the ash hopper and the pit wall.6Tf + 0. Wiley. convection. This estimate shows.

ASME Paper 74-WA/HT-66. 5 . Natural convection adjacent to horizontal surfaces of various planforms. L. and E. 24-28. J. Churchill and M. 18. 16. 2nd ed. J. . Shah. Shah. Vol. 74... Inst. Heat Exchanger Design. A. H. pp. 1977. M. 66. pp. p. 1989. 1974. Wiley. M.. New York. 346. A. 13. pp. NJ. Vol.. J. Kakac. 1961. S. MODELING.. New York. P. New York. 1987. M. A. Vol. General film condensation correlations. H. 11. Englewood Cliffs. A. Vol. Zukauskas. 1987. Heat Mass Transfer. J.7. S. Vol. Heat Transfer. V. R. 2nd ed. and W. 1 12. 1959. eds. New York. ed. Rohsenow. 1971. M. V. Lage. Chem. P. and W. Schliinder. K. L. Handbook of Single-phase Convective Heat Transfes Wiley. Friction factors for pipe flows. W. 300-306. Heat Transfer. 21. 12. A method for correlating forced convection heat transfer data and a comparison with fluid friction. 1990. 20.. pp. Convective heat transfer in cross flow. Heat Transfer. Chu. Gnielinski. Lienhard. Int. A correlating equation for forced convection from gases and liquids to a circular cylinder in crossflow. and flow in packed beds and tube bundles. Moody. S. Hartnett. 83. Handbook of Single-phase Convective Heat Transfer. S. Dropkin. Rohsenow. Trans. 16. Section 2. Aung. P. 1976. Globe and D. J. Wiley. single spheres. Vol. Vol. Chen. 8. pp. R. 93-107. and C. 1995. R. K. AZChE J. Bejan. A method for correlating heat transfer data for surface boiling of liquids. 1987. 9. S. Eng. 99. New York. Mixed convection in internal flow. single cylinders. E. Tien. Lloyd and W. 18. 93. Free convection around immersed bodies. W. ASME. Vol. F. pp. 174210. 1944. New York. J. Bernstein. Exper: Heat Transfer. 29.. past flat plates. Chem. Dhir and J. pp. Trans. L. Heat Transfel. Handbook of Heat Transfer Applications. 361-371. 19. 6. Ganic. Correlating equations for laminar and turbulent free convection from a vertical plate. A. W. F. Wiley. Colburn. S. Eng. 97-100. 1987. eds. 14. Vol. S. Vol. Churchill and H. U. 7. S. Natural convection heat transfer in liquids confined by two horizontal plates and heated from below. Laminar film condensation on plane and axisymetric bodies in non-uniform gravity. Vol. J. J. Chen. 969-976. Aung. New equations for heat and mass transfer in turbulent pipe and channel flow. Forced convection heat transfer correlations for flow in pipes. Vol. Hemisphere. R. Gerner. 1323-1329. 1985. ASME. Am. 359-368. 1952. Chapter 15. Chapter 6. Fraas. Moran. 81. Bejan and J. 671684. H. AND DESIGN ANALYSIS 3. A. L. 15. M. Convection Heat Transfer. Prentice-Hall. pp. 4. 1975. 1972. 2nd ed. 18. Kakac.5. pp. N. A Heat Transfer Textbook.226 HEAT TRANSFER. Trans. 1983. 55-60. W. S. The Prandtl number effect on the transition in natural convection along a vertical surface. 787790. 1933. Churchill. Lienhard. Heat Transfer. 1. Int. pp. Heat Exchanger Design Handbook. McGraw-Hill. 22. J. 2nd ed. W. W. Aung. 17. Whitaker. 10.. pp. K. An analytical study of laminar film condensation: Part 2-single and multiple horizontal tubes... pp.

Vol. McGraw-Hill. The peak pool boiling heat flux on horizontal cylinders. A. Dhir.the pipe that supplies drinking water to a community in a cold region is buried at a depth H = 3 m below the ground surface. Nix. Progress. pp. H. The heat transfer coefficient between meat and oven air is 60 W/mZ * K. New York. its initial temperature is 25”C. L. McGraw-Hill.. Vol. Minneapolis. PROBLEMS 4. E Irvine. J. Vol. Siege1 and J. in W/m. the top layer of the soil freezes to a depth of 1 m. In?. J. 24. 239-247. K. J. 1961. 1992. 90. G . A. 7-9. Ho. Heat Transfer. 26. 46. Sun and J. K. 351-358. H. This new position of the freezing front can be modeled as an isothermal plane of temperature 0°C situated at H = 2 m above the pipe centerline. Duignan. eds. R. pp. R. Calculate the heat transfer rate per unit of length from the pipe to the surrounding soil. 1673-1679.1. 113. Film boiling heat transfer to large superheats from a horizontal flat surface. G. and J.The ground surface is at WC. J. Heat Transfer. The optimal thickness of a wall with convection on one side. Thermal Radiation Properties Survey. Heat Mass Transfer. Torborg. During a very harsh winter.25 x IO-’ m2/s.PROBLEMS 227 23. 83. Bejan. G. M. and G. . Jr. Heat Transfer. Heat transfer in stable film boiling. G. 1968. and the thermal conductivity of the soil is k = 1 W / m K. H. The thickness of the steak is 4 cm. 266-268. Lim. Plenum. and the properties of beef are k = 0. The steak is cooked with both sides exposed in a convection oven of temperature 150°C. Lienhard. J. H. I. Vols.5 m and temperature 4°C.. 28. 1425-1439. MN. 221-227. pp. P. Eng.4 W/m K and LY = 1. 0 4. and R.1 As shown in Figure P4. Vol. Y. A. and T. H. Vachon. Honeywell Research Center.2 The cooking of a beef steak can be modeled as time-dependent conduction in a slab. New 29. 1960. Thermophysical Properties of Matter. NASA CR-2270. R. 27. 30. J. 32. 35. 31. Film boiling heat transfer for a horizontal surface. 1972. 2nd ed. Janssen. Bromley.. New York. J. 1982. 1970. S. 13. Vol. Greene. q’. Extended hydrodynamic theory of the peak and minimum pool boiling heat fluxes. S . A Catalog o York. Vol. Howell. E. pp. Gubareff. Berenson. Y. J. H. Int. Calculate again the heat transfer rate q’ and the increase in q’ that is due to the 1-m advancement of the freezing front. J. pp. 1950. Chem. Evaluation of constants for the Rohsenow pool-boiling correlation. Tanger. R. Thermal Radiation Heat Transfer. 1972. Kim. J. 25. The external surface of the pipe can be modeled as an isothermal cylinder of diameter D = 0. July 1973. Heat Mass Transfel. Lienhard and V. 1991. Touloukian and C. pp. f Radiation Conjguration Factors. R. 33. E. Howell.

To see the extent to which the shrinking of meat shortens the cooking time. Solder Cooling water: m. repeat part (a) by assuming that the steak thickness is equal to 3 cm throughout the cooking process. 3 The design of the cooling jacket for the apparatus shown in Figure P4. For example. (b) It is well known that meat shrinks during cooking. 4 . the thickness of a steak cooked well done drops to about 75% of the original thickness. MODELING. 1 (a) If the steak is cooked well done when its centerplane temperature reaches 80°C.5 cm Copper tube.3 . T .228 HEAT TRANSFER. AP Figure P4. calculate the required cooking time. AND DESIGN ANALYSIS f- 0°C Figure P 4 .3 calls for the use of a copper tube of inner diameter D = 0. Is the actual cooking time longer or shorter than the estimate obtained in part (b)? Discuss.

The lateral surface of the bar is well insulated so that convection and radiation effects are negligible.5. The plate is heated electrically and maintained at 55"C. the temperature of which is 30°C. The tube is soldered to the side of the apparatus. (a) Verify that the flow is hydrodynamically fully developed over most of the tube length.a low-temperature apparatus (To)is supported from a wall at TL through a vertical bar in tension. The physical properties of water can be evaluated at 25°C.5 . while the average temperature in the surrounding water tank is 15°C. Calculate the pressure drop along the tube. Model the tube wall as isothermal with the temperature T . = 20°C. Cooling water flows through this tube with the mean velocity U = 10 cm/s.PROBLEMS 229 and total length L = 4 m. The bar must be strong tF Room temperature lg Figure P4. Calculate the mean outlet temperature of the water stream and the total heat transfer rate extracted by the stream from the apparatus to which the tube is attached.4 An immersion heater for water consists of a thin vertical plate shaped as a rectangle of height 8 cm and length 15 cm. The plate is bathed by water on both sides. (b) Verify also that the flow is thermally fully developed along most of the tube. (a) Show that the natural convection boundary layer that rises along the plate is laminar. 4.5 Consider the question of how to shape a bar that must be stiff in tension and a good thermal insulator. 4. Neglect the effect of bends. (b) Calculate the total heat transfer rate released by the heater into the water pool. As shown in Figure P4.

Determine analytically yo and Q as functions of n and .l)] and E ( T ) = E [ 1 4 2 8 . Arrange the beam material [the thickness.6 Determine the best shape of a bar that must be both stiff in bending and a good thermal insulator. 4. simultaneously. The thermal conductivity k and modulus of elasticity E of this material are known constants. b and c are positive numbers less than 1. The function of the beam is to support the weight F as rigidly as possible. The distance L and the amount of beam material are fixed.230 HEAT TRANSFER. long and thin enough to allow the smallest heat transfer rate Q to flow from TL to To. It is. MODELING.l)]. with the width B measured in the direction perpendicular to the figure. The horizontal beam with variable thickness H ( x ) shown in Figure P4. where k and E are temperature averaged values.To).6 connects a body of weight F and temperature To to a support of temperature TL. One approach: Shape the beam cross section such that the thickness H increases as x ” as x increases.To)/(TL . AND DESIGN ANALYSIS enough to carry the weight of the apparatus ( F ) . The material model described above accounts for the fact that k decreases and E increases toward lower temperatures. proportional to dk/dT and -dE/dl. It is reasonable to think that the overall elongation is reduced when more material is positioned near the warm end. where E is smaller than near the cold end. and 0 = (T . H ( x ) ] in such a way that the tip deflection yo and the end-to-end heat transfer rate Q are minimized. a mechanical support and a thermal insulation. These characteristics of structural materials give a designer the idea that a tapered bar (0 < d < 1) A =L loL 1 A ( x ) dx (constant) might exhibit a smaller elongation in tension than the bar with x-independent geometry (a = 0).The beam geometry is slender and two-dimensional. Evaluate the merit of this proposal by determining the effect of the taper parameter 6 not only on the total elongation hL but also on the heat transfer rate. while impeding the transfer of heat from TL to To. The thermal conductivity and modulus of elasticity of structuE1 materials vary roughly-as k(T) = k[l + b(213. and rigid enough to fix the position of the apparatus on the vertical line. Comment on how you might design a rigid support in tension so that it can serve as a thermal insulator at the same time. The rigidity requirement means that the total elastic elongation AL caused by the longitudinal force F must be as small as possible. where the exponent n is a number between 0 and l.

The atmospheric Figure P4. hot ash with the temperature Ti = 900°C accumulates at the bottom of a fluidized-bed combustor at the rate ni = 500 kg/h.PROBLEMS 231 Figure P4. The ash must be discharged and stored temporarily in a hopper for the purpose of lowering its temperature below 550°C. 4.7 As shown in Figure P4.7. The cooling effect is due to combined convection and radiation at the upper surface of the ash pile through an effective heat transfer coefficient h = 30 W/m2-K.6 comment on how the shape of the beam cross section ( n ) affects the success of the design.7 . before it can be shipped out of the plant.

Its bottom and side walls are insulated.232 HEAT TRANSFER. assume that the top surface of the ash pile is always flat. AND DESIGN ANALYSIS temperature is T. 4.is fixed. The hopper is to be filled intermittently in a sequence of equal discharges that are spaced equally in time. or if D. c = 1 kJ/kg*K. (b) Derive an expression for the corresponding critical insulation radius for a sphere with forced convection. and that conduction proceeds in the vertical direction only. This wall can be regarded as thin. the heated stream returns to the surface by flowing through the inner pipe. In reality h depends on D. When D. Using this result: (a) Determine the critical outer radius of the insulation (rJ for a cylinder of radius r i . In both extremes. = 30°C. which experiences forced convection in cross flow. values. The hopper has the depth H = 1 m and horizontal cross-sectional area A = 6 m2. After reaching the bottom of the well. you must estimate the number of discharges so that the temperature at the bottom of the ash pile settles to a value below 550°C. as shown in Figure 4. As the engineer responsible for safe operation of the ash hopper installation. This power-law approximation shows that h varies at D ' . 4 . A fundamental design question concerns the selection of the diameter of the inner pipe. which separates the downflowing cold stream from the upflowing hot stream.5).. If Di is much smaller than D.9. over sufficiently narrow ranges of Re. the flow is impeded. 8 The critical insulation radii mentioned in connection with Equations 4. The thermal conductivity of the insulation material is k.7 and 4. the overall presure drop that must be overcome by the pump is excessive.7b.8 are derived based on the assumption that the heat transfer coefficient at the outer surface of the insulation is independent of the insulation outer diameter D. For simplicity.9 One method of extracting the exergy contained in a geothermal reservoir underground consists of using a downhole coaxial heat exchanger as shown in Figure P4. and p = 1900 kg/m3..I . For example. D i . the correlations giving h for forced convection from a cylinder in cross flow and a sphere are approximated by power laws of the type where C is a constant and n is a number between 0 and 1 (usually about 0. an optimal inner diameter Di(or an optimal ratio . An effective layer of insulation is built into the wall of diameter D i . MODELING. The thermal properties of this particular ash are k = 1 W / m K . is nearly the same as D.

where the friction factors for the annular space (fa) and for the upflow through the inner pipe (fi) are each constant. This suggests the tapered glass design illustrated on the left side of Figure P4. Assume that the friction factor for the annular space is approximately equal to the friction factor for flow between two parallel plates positioned +(Do.9 D " + D i / D . ) exists such that the total pressure drop experienced by the stream is minimum. For simplicity.PROBLEMS 233 Hot water Cold water +1 i T- I '!I 3.Di) apart. for minimum total pressure drop.. (a) Determine the optimal ratio D i / D . (b) Consider next the regime in which the flow is laminar both through the annular space and through the inner pipe. This proposal was stimulated by the thought that since the room-side heat transfer coefficient is higher near the top of the window (at the start of the descending boundary layer). The thickness of the . and show that this result is almost the same as the result obtained in part (a). it is there that a thicker glass layer can have the greatest effect on reducing the local heat flux [33]. kDi4 kFigure P4. as a means of minimizing the heat leak from a room to the cold outside air. assume that fa = f i .10 It is proposed to install tapered window glass as an energy saving feature in buildings. Calculate the ratio Di/D. 4. in the large Reynolds number limit of the turbulent regime.10. that is.

The heat transfer coefficient on the outside of the glass layer is sufficiently large.d 6 / d t is a design variable that must be determined optimally. and the taper parameter b = . where h.. MODELING. the taper parameter ..5-1’4. One way to evaluate the merit of the proposed design is to compare the total heat leak per unit length through the window q’ with the corresponding heat leak through a constant-thickness glass window.5) In this expression $ . For the heat transfer coefficient on the room-air side assume a y dependence consistent with that found in laminar natural convection boundary layers: h = h. so that the temperature of that surface is equal to the atmospheric temperature. corresponds to the bottom of the window where the room-side boundary layer is the thickest. The thickness 5 averaged over the height H is fixed because H and the glass volume are fixed. Determine the ratio q’/qief as a function of two dimensionless groups.10 Constant-thickness design glass layer has been exaggerated in order to make the notation clearer.234 HEAT TRANSFER. For the tapered-glass window assume that the glass thickness decreases linearly in the downward direction: 6 = s + b(+ .i. The amount of glass used in the variable-thickness design is the same as in the constant-thickness (or reference) design. AND DESIGN ANALYSIS warm Room side boundary layer Variable-thickness design Figure P4. = y / H .

S/k. as shown in Figure P4. Determine the Bi range in which a common window is likely to operate. Assume that the partition can be modeled as an isothermal wall with a temperature between the bottom wall temperature and the top wall temperature..11 Consider the thermal insulation shown in Figure P4.T.PROBLEMS 235 and the bottom-end Biot number Bi = h. Using this result. while preserving this state of pure conduction.. To suppress the formation of these currents. Comment on the practicality of the heat leak reduction promised by the taperedglass design. H and AT. it is proposed to install a horizontal partition at some level between the bottom wall and the top wall. where k. Assume further that convection currents are absent above and below the partition. 4. These two parameters.. determine the best taper parameter S for the smallest q ' / q : e fratio for a fixed Bi. = AT. The porosity is defined as the ratio cp = (air space)/[total (air + fiber) space]. are large enough that convection currents form in the fluid.. Animal fur is a good example of a T H 1 BCnard convection (0) Conduction on both sides of the partition (61 Figure P4. . is the thermal conductivity of glass.. The heat transfer through a layer of fibrous insulation is a complex mix of fiber-to-fiber radiation and parallel conduction through the air trapped between the fibers.1 lb.12 fibers are small enough so that the air motion is slow and the convection effect negligible.1 la consisting of a horizontal layer of fluid of thickness Hand bottom-to-top temperature difference T.11 . A characteristic of such layers is that their thermal insulation effect is the greatest when the packing (layer porosity) has a certain value [l]. This is the case when the spaces between 4. Find the partition level that maximizes the overall temperature difference AT.

(b) Consider the fiber thickness D in the range 10-100 pm. fibrous insulation Air Fiber 7. T . having the same total hemispherical emissivity 8. The layer thickness L and the two temperatures T. that is.99. and TL separated by the insulating layer are given. To determine the optimal fiber packing analytically. Each surface is diffuse-gray.12 &(I& D ?+I . The fibers are modeled as a stack of n equidistant shields of thickness equal to the fiber thickness D. I-L-I /& D -l+~-+lkFigure P4. in a way that seems to be independent of the animal body size or hair strand thickness. . The overall temperature difference is considerably smaller than the local absolute temperature. A characteristic of animal fur is that the observed porosity falls in the narrow range cp 0. and show that it is minimized when the fiber-to-fiber spacing reaches a certain optimal value.TL << To. AND DESIGN ANALYSIS fibrous layer permeated by air.12. consider the simple two-dimensional model shown in Figure P4.95 to 0. Show that the optimal porosity that corresponds to the optimal spacing agrees approximately with the observed porosities of animal fur. which is the range of the observed thickness of hair strands of animals of various body sizes (20 cm-3 m). (a) Derive an expression for the heat transfer rate across the layer.236 HEAT TRANSFER. MODELING.

Applications considered in this chapter include thermal insulation.1 THERMAL INSULATION In this section we consider the question of how a given amount of insulation should be arranged (distributed) over a wall with nonuniform tempeiature so that the heat loss from the wall to the ambient is minimized [ 11. In some applications even the size (volume. fins. (c) design constraints generally have to be taken into account. installation. and the outer wall of an energy storage tank filled with a thermally stratified liquid. 5. The purchase. and the functioning of the devices typically involves more than one of the basic phenomena encountered in introductory engineering courses. the judicious use of insulation material is an important design consideration.g. Examples include the outer wall of a long reheating oven through which steel laminates ride slowly on a conveyor belt. sized. This question is important because many industrial applications require the use of insulation on nonisothermal walls. Next to the minimization of the heat loss to the ambient. and (d) mathematical optimization methods may have to be invoked. We begin with a case involving only heat transfer. In this chapter. assembled) to perform specified functions. and electronic packages.APPLICATIONS WITH HEAT AND FLUID FLOW This chapter deals with some fundamental design aspects: Thermal devices must be put together (e. weight) of the material used must not exceed a certain limit. (b) choices can be made: there are degrees of freedom.. and maintenance of insulation can be expensive. we also stress first-level design notions such as (a) one design may perform better than another. Examples include aircraft applications and installations where 237 .

.We know only that the total volume of insulation material is given: V= loLW t(x) dt (5.1 The distribution of a fixed amount of insulation on a nonisothermal wall: (a) insulation with variable thickness.1~1. The underlying idea is that a given amount of insulation can be distributed optimally so that the overall insulation effect is maximized. in which the wall temperature varies in the x direction.g. l a is W .1) or that the average thickness of the insulation is fixed: tavg = L 1 loL V t(x) d x =- LW (5.2) ambient r To r insulation.238 APPLICATIONS WITH HEAT AND FLUID FLOW the integrity of the support structure is threatened by the weight of the insulation (e.The wall length is L. and (b)insulation with uniform thickness. Consider for this purpose the plane wall shown in Figure 5. an insulated suspended pipe). In this section we have our first encounter with the task of optimizing a design subject to a constraint. T(x). k Figure 5.. and the width perpendicular to the plane of Figure 5 . The wall is separated from the ambient at temperature To by a layer of insulation of thermal conductivity k and unspecified thickness t(x).

By substituting Equation 5.1 THERMAL INSULATION 239 We assume that the temperature of the outer surface of the insulation is closely equal to To and that the insulation layer is sufficiently thin so that the direction of heat transfer is perpendicular to the wall.5 into Equation 5. In the present problem. The solution to this type of optimization problem is based on the method of variational calculus. The general problem in which both the wall temperature T(x)and the insulation thickness t(x) are not specified consists of minimizing the heat loss integral subject to the volume integral constraint (Equation 5.5) in which K denotes (k/A)'I2.2 of Appendix A (the Euler equation) reduces to solving d F / & = 0. can be eliminated.Toll'* dx [T(x) 4vgL ' - (5.6) Equation 5.3. the constant K. and thus the Lagrange multiplier A. The method and its general result (the Euler equation) are summarized in Appendix A. that minimizes the integral of Equation 5. The result is tOpt(x) = K[T(x) - (5.1). top&).3.5.4) t(x) = il:[ in which h is a Lagrange rnultipliel: Note also that the integrand F(x) is a linear combination of the integrands of the integrals appearing in Equations 5. Here we note only that the problem stated in the preceding paragraph is analogous to minimizing the integral @ = [F(x) dx (5. The objective is to find the optimal distribution of insulation. giving to&) = [[T(x).6 shows that for maximum insulation effect the insulation thickness must be proportional to the square root of the local temperature differ- . Equation A.1 and 5.2.

6. as shown in Figure 5. In other words. ANALYSIS By substituting the given wall temperature distribution in Equation 5. we obtain which satisfies also the volume constraint of Equation 5. This optimal thickness distribution resembles the one sketched in Figure 5. = . The wall temperature variation is T(x)= To + x(T.6.To Qmin = 'j.1 Referring to Figure 5 .To)/L. The corresponding minimum heat transfer rate through the area L W is Q min . k if the wall temperature increases linearly in the x direction.1. variational calculus leads again to Equation 5.1) is minimized while holding the heat loss integral (Equation 5.6 when the volume integral (Equation 5. and (b) the insulation material is spread evenly over the wall surface of length L.TOl1'* dxj 2 (5. Example 5. The heat transfer through the insulation is by conduction in the direction perpendicular to the wall. Compare the two heat transfer rates. The temperature on the outer surface of the insulation is To. calculate the total heat transfer rate through the insulation in two competing designs: (a) The insulation material is distributed optimally according to Equation 5. .3) fixed.240 APPLICATIONS WITH HEAT AND FLUID FLOW ence across the insulation. kWL tavg . The corresponding heat transfer rate is 4 T L .la.7) It is worth noting that the same topt(x) result is obtained when the amount of insulation material is minimized subject to a fixed rate of heat loss to the ambient.the ambient temperature.lb. 3. Solution MODEL 1. 2.kW tavg' {loL [T(x) .

2 FINS The sizing of a fin generally requires the selection of more than one physical dimension.3 shows that the heat transfer rate to the ambient is If we compare Q. for example. t(x) = 5. copper.8) Known Fin Width Let us consider the problem posed above when the fin width is assumed known.9) where the constants a and b are given by . see Reference 1 .2.2.9 and 5.8 to give the heat transfer rate as a function of the thickness t as the lone design variable: Qb = at”2tanh(bt-3’2) (5. To select one of the two dimensions of a plate fin optimally means to maximize Qb. aluminum) and weight of the fin in aircraft applications. We will see in the next section (Equation 5.Equation When the same amount of insulation is spread evenly over the wall. COMMENT For further discussion of this class of problems. and the width W of the fin.1 (fixed) (5.2 FINS 241 tavg. with Qminr we find that in the constant-thickness case the heat loss is 12. If we assume further that the fin is sufficiently slender ( t << L) that L + A. Such a constraint is often justified by the cost of the highthermal-conductivity metals employed in the manufacture of finned surfaces (e. = Wt. In the plate fin of Figure 5. the length L. the thickness t. when the fin volume. the total heat transfer rate through the fin root.15) that this assumption also justifies the assumption that the heat transfer coefficient is constant in the longitudinal direction of the plate fin. 5. is fixed [2]: V = LtW 5.lp = L + t l 2 L..9 with p = 2W. there are three such dimensions. A . say. V .5% larger than in the optimal design.g.5. The heat transfer rate Q. then L can be eliminated between Equations 4. is given by Equation 4. One of these dimensions can be selected optimally when the total volume of fin material is fixed.

2 Scale drawing of the optimal profile of a plate fin with fixed volume [2].N R Figure 5. .

the slenderness ratio of the rectangular profile of the plate fin.9 is based on the assumption that the heat flux lines are oriented longitudinally through the fin. It has been shown [2] that this assumption is valid when the Biot number htlk is smaller than 1. which yields btr3I2 = 1.lat = 0.( 112 (5. tlL. Finally. in view of the volume constraint (Equation 5.13 must also be smaller than 1. Thus. L ). .2 FINS I12 243 a = (T.max 1. Lz (3 ' 3 (.)W(2kh)112. is Qb.10) The maximum of &b with respect to the plate fin thickness t is found next by solving aQ.2 shows a sequence of optimal slenderness ratios calculated with Equation 5. .) - (3"' (5. we obtain the optimal plate fin thickness.42.11) and. Throughout the sequence the fin volume (or profile area L t ) remains constant. Rearranging this result.12) Equations 5. Consequently.13 and drawn to scale. the slenderness ratio given by Equation 5.13) It is worth recalling that Equation 4. Figure 5. (5. - T. the corresponding extremum of Q.)-I13 (5. is obtained as follows: 4.12 can be used to size the plate fin. b= 1 ( g ) W k (5.14) where we note again the requirement htlk < 1. as assumed at the outset. after some manipulation.Q the corresponding length of the plate fin. The optimal rectangular profile of the plate fin becomes more slender as the Biot number htlk decreases.258 kW(T.11 and 5.T.5.

The heat transfer coefficient averaged over W is given by Equation 4.16) where the constants m and C are given by m = (5 4/5 C’l’) . W or L.17) 6 influences the function f(0 = t3I4 tanh We conclude that the fin width W influences Q.9 with p = 2W. We are interested in determining the optimal swept width. through the fin. respectively. and with L in place of L + A J p .3). In this case the plate thickness t is fixed. Since Figure 5.26: (5. the thermal conductivity and kinematic viscosity of the fluid. or the optimal size of the L X W surface that maximizes the heat transfer rate . is furnished by Equation 4. There is only one degree of freedom in this design problem. in the same way that where 6 = Wlmt. Selecting W and eliminating L between Equation 4. C = 1. Assume that the fin is shaped as a knife blade ( t << W << L) and that the boundary layers aligned with W are laminar. .3 Plate fin with laminar boundary layers over the swept width W. and v denote. = Wt.2 Known Fin Thickness Consider now the optimization of the plate fin [3] when the heat transfer coefficient depends on the width W swept by the uniform flow (Figure 5. while ‘W and L may vary so that the volume constraint V = LtW is satisfied.328 Pr1132 (umt)”2 k v (5.244 APPLICATIONS WITH HEAT AND FLUID FLOW 5. the resulting heat transfer expression in dimensionless form is Qb = ktVb - Tco) ( m 3 / 4 C 1 / 2 ) ( 5 ) 3 tanh ’4 [ ($)-5’4] (5. .9 and V = LtW. A.15) where k. 0 The expression for Q.2.

Determine the plate fin thickness (t) and length ( L ) that maximizes the heat transfer rate extracted per fin. in order. this fin optimization problem is of the same type as in Section 5. . The corresponding width is - - W = 1.2 are based on a very simple fin model. Example 5. We calculate.1.5. 2. Solution MODEL 1. The fin material is aluminum.2.2.75 m/s and T.19) ?)2‘5(”)’‘5 The two fin optimization methods outlined in Sections 5. The temperature is uniform over the root of the fin. Additional ways of optimizing the geometry of a fin are presented in the literature [4-61. _ w . 3. Essential features of this model are (a) the conduction heat transfer through the fin is unidirectional. and (c) the heat transfer coefficient is independent of position in the direction of heat transfer along the fin.18) or.1. (b) the temperature Tb is uniform over the root of the fin.ii 7 t (5. Weight limitations on the overall package permit the use of only 1 g of aluminum for each fin.07mt (5.2 FINS 245 f 0 as (4 0 and ( CQ.2. the function f(8must have a maximum at an intermediate value of 6. When these assumptions break down. and an expression for the corresponding heat transfer rate &.2 cm swept by forced air with U.12 (tv)4’a(pr.17. The conduction through the fin is mainly in the L direction. the same optimization ideas can be pursued numerically by modeling the conduction as two dimensional or three dimensional.07.2 An electronic package includes several parallel plate fins of width W = 2.1 and 5. The heat transfer coefficient does not vary in the L direction. This value can be found numerically as 6 = 1. = 20°C. ANALYSIS Since the swept length W is specified. with Equations 5. = 1.

10.707 g/cm3 213 - = 0.1 W/m2. Assumption 2 is also justified because h varies as W-1'2 (Equation 4.624) = 0.2 cm) We note at this point that the Biot number is much smaller than 1: which mzans that assumption 1 is justified.624 [2.72)1/3 (2026)1/2 0.0466 m)(0. where = 0. 2 7)= tanh(ml.K)II3 W/mK 2. p.022 m = 34.036 cm L=-V = tW 0.11) = (0.1 W/mZ.19 x m2/s = 2026 (laminar boundary layer flow) h = 0.369 ~ m ~ ) "34.) = 0.664 '*O2' W / m K (0.369 cm3 (Equation 5.022 m) Re. 601 m L C Substituting into Equation 4. Lc = L t += 4.W = (1.305 cm-I.022 m)(0.K m= v=p t = - (5) (t)'I3 2. The corresponding heat transfer rate is found using Equation 4.0436 W/K .75 m/s)(0.036 cm)(2.664 = W Pr113Rek2 (Equation 4.26) 0. we have = 2(34.1 204 ~ ( W/m2.26).K)(0. and the swept length W is independent of the distance away from the fin base.2 cm 0.68 cm.369 cm3 = 4.246 APPLICATIONS WITH HEAT AND FLUID FLOW U.66 cm (0. = v 0.10.

and similar reasoning may be applicable to other cases of practical interest. The lateral walls of area H W that confine the package are insulated. and the board thickness is negligible. (b) the board surfaces are sufficiently smooth to justify the use of heat transfer results for natural convection over vertical smooth walls.4 shows a large number of parallel.3 ELECTRONIC PACKAGES 247 5. each optimal cooling arrangement that emerges from a design process tends to be specific to the application at hand. is set by electronic operational constraints.. Cold air at temperature T. This can be achieved by judiciously selecting the geometry of the package: the way in which the components are arranged relative to the coolant and to each other in the fixed space. and (c) the maximum temperature T. The maximum allowed board temperature T. An important constraint is that the highest temperature (the “hot spot”) in the package must not exceed a specified value. The objective of the design is to maximize the total heat transfer rate Q removed by the coolant from the H x L X W volume. Since each component in the package generates heat.3 ELECTRONIC PACKAGES In the design of packages of electronic components. The method.. outlined first in Reference 3. 5. begins with the assumptions that (a) the flow is laminar. we identify two extremes: . As there is a great diversity of components. The only variable is the number of channels n = -L D (5. the design objective is to maximize the total rate of heat transfer from the finite space occupied by the package to the coolant that flows through the package. The method consists of two steps. packages. however. in the topics featured in this section we identify several fundamental ways in which the geometric features of entire classes of electronic packages can be optimized.3. stack thickness L. and exits through the upper opening. In the first. The width is perpendicular to the plane of the figure.To determine the spacing D that maximizes Q can be a laborious task. and width W . Still. If the temperature rises above the allowable limit. equidistant electronic boards cooled by natural convection in the space of height H .. is closely representative of the temperature at every point on the board surface. and lacks general applicability. there are strong incentives to mount as much circuitry as possible in a given space. and cooling techniques.5.1 Natural Convection Cooling Figure 5. that with a little ingenuity the problem can be solved easily. rises through the board-to-board channels. enters through the bottom of the package.20) or the board-to-board spacing D.. We will show. the operation of the electronic circuit is threatened.

the small-D limit and the large-D limit. Figure 5. where the mean velocity U can be estimated by replacing AplL with pg/3(Tm.) for the heat transfer rate extracted by the coolant from one of the channels of spacing D. = p(DW)U. The Small-D Limit. we have Q... The mass flow rate is m.) in Equation 4.3.T.-----------c) --I +D r circuit board . ... from the discussion of vertical channels in Section 4.. is the inlet temperature and T. the channel formed between two boards becomes narrow enough for the flow and heat transfer to be fully developed.. the two extreme regimes are intersected for the purpose of locating the D value that maximizes Q.T. In the second step. = tiz~cP(Tmax ..40: . When D becomes sufficiently small.4 t Electronic circuit boards cooled by natural convection. t t t T. is the outlet temperature.where T.3.. Accordingly.APPLICATIONS WITH HEAT AND FLUID FLOW +-.

\ .3 ELECTRONIC PACKAGES 249 pgP(T.TcJ2D2 12v (5.-.23) The total rate at which heat is removed from the package is Q = nQl.5 The maximization of the total heat transfer rate removed by natural convection from the stack of Figure 5.-._ ! ! ! I\ . ml = pDWU = PWgP(Tmax . = 2 0 . 2 (5. or Q = In conclusion.24) I natural I convection - ! 'i. . .5.5. 1 .T J D 2 12v (5.21) Substituting f = 2 4 / ( U D . in the D 0 limit the total heat transfer rate varies as D2. \.. \ . we have U = gP(Tmax . . unknown and unnecessary 6(D) Figure 5.4. '. I I.22) Accordingly.PU2 4 1 D.._.. ! \I ! ! ! !\the small-D limit: 6 . I the actual curve. I pcpWL gP(Tmax .TJ = f . / v ) from Table 4. This trend is indicated by the small-D asymptote plotted in Figure 5.\.3 and D.T J D 3 1211 (5. the large-D limit: I . '.D2 6 .D-' .

24 and 5. = gpH3(Tmax .517 R a : 4 D H (5. It is unnecessary to determine the actual Q(D) relation.T. In this limit the boundary layers are distinct (thin compared with D).T. The optimal spacing Do.5 shows that the asymptotes intersect above what would be the peak of the actual Q(D) curve.) for which h is furnished by Equation 4.T. estimate is within 20% of the optimal spacing deduced based on much lengthier methods.T.): from the entire package is 2n times larger than &HW(Tmax L k Q = 2 . .) .28) This Do. the spacing is considered large when - (5.517 Rak’4 k (5.250 APPLICATIONS WITH HEAT AND FLUID FLOW The Large-D Limit. Consider next the limit in which D is large enough that it exceeds the thickness of the thermal boundary layer that forms on each where Ra. such as the maximization of the Q(D) relation [7] . and the center region of the board-toboard spacing is occupied by fluid of temperature T. for maximum Q can be estimated as the however... In other vertical surface: 6.. The heat transfer rate through one boundary layer is hHW(Tmax . The total rate of heat transfer extracted ..56 or for laminar flow only by [Z] - hH _ ..26) where Ra.HW(T. The Optimal Board-to-Board Spacing.. The number of distinct boundary layers is 2n = 2LlD because there are two for each D spacing.27 intersect [3]: (5. = g/3(Tmax . Figure 5.27) Equation 5.27 shows that in the large-D limit the total heat transfer rate varies as D-’ as the board-to-board spacing changes.)/av. H words.0.T. This second asymptote also has been plotted in Figure 5. D value where Equations 5.25) This inequality is valid when Pr 2 0.5..)H3/av. What we have determined so far are the two asymptotes of the actual (unknown) curve of Q versus D.5 [3].0.

TJ3I2.The width of the stack. The thickness of the individual board is again negligible relative to the boardto-board spacing D. When D becomes sufficiently small. This result also can be expressed as the maximum volumetric rate of heat generation in the H X L X W volume.31) The pressure difference across the package..3. An estimate of the maximum heat transfer rate can be obtained by substituting D.6.. the channel formed between two boards becomes narrow enough for the flow and heat.. into Equation 5. The plenum pressure is maintained by a fan. The Small-D Limit. from the same plenum. 5..5). This is a good model for electronic systems in which several packages and other features (e.. W .. which may be located upstream or downstream of the package. the mean outlet temperature of the fluid approaches the board temperature T. Ap. .29) The approximation sign is a reminder that the peak of the actual Q(D) curve falls under the intersection of the two asymptotes (Figure 5. is assumed constant and known.3 ELECTRONIC PACKAGES 251 and the finite-difference simulations of the complete flow and temperature fields in the package 181. (5. so that the number of channels is n = -H D (5.27 (or Equation 5. while the transverse dimension of the entire package is H. transfer to be fully developed. the maximum volumetric rate of heat generation is proportional to (T.2 Forced Convection Cooling Consider now the problem of installing the optimal number of heat generating boards in a space cooled by forced convection [9].g.5.. H-l”. In this limit. (5.30) In conclusion. is perpendicular to the plane of the figure. and the property group k(gplav)’’*... the swept length of each board is L. if the heat transfer mechanism is natural convection.. We retain the assumptions (a)-(c) listed under Equation 5. channels) receive their coolant in parallel. The total rate of heat transfer from ..24).As shown in Figure 5.20.

. the H X L X W volume is Q = mc.42 with a = D: D2 Ap u = -- 12p L (5.33) In this way we conclude that the total heat transfer rate varies as D2.cJT.6 board I Electronic circuit boards cooled by forced convection.. . The mean velocity through the channel.. This trend is illustrated by the small-D asymptote in Figure 5.. can be evaluated from Equation 4.7.(T. U. Q = pHW .32) Accordingly. 12p L D2 Ap - TJ (5. where m = p H W U ..T J .252 APPLICATIONS WITH HEAT AND FLUID FLOW AP H * ) r circuit Figure 5.

*. In this case it is necessary to determine the free-stream velocity U.26 when Pr 2 0.21kHW(Tm. . I Figure 5.TJ ( .J.6. Thus.7 The maximization of the total heat transfer rate removed by forced convection from the stack of Figure 5. or.3 ELECTRONIC PACKAGES 253 forced convection ! d ! ! ! ! ! ! \. where % (the heat transfer coefficient averaged over L) is provided by Equation 4. = %LW(T. Since the pressure drop Ap is fixed. 4 .35) The heat transfer rate through a single board surface is Q.25.-*- *. i I the large-D limit: 4--.D2 \. unknown and unnecessary 0 .5._. . Q = 1.-. . after using Equation 4. . ._ I I. j 113 (5. Equations 5.. The Large-D Limit.34) where 7 is the wall shear stress averaged over L given by Equation 4. .25 yield (5.26 and the expression for U..-. The total heat transfer rate from the entire package is Q = 2nQ.36) . a force balance on the H X L X W control volume reads ApHW = 3(2n)LW (5.34 and 4. Consider next the limit in which D is large enough that it exceeds the thickness of the thermal boundary layer that forms on each horizontal surface. I i - i I the small-D limit: '. T.5. listed above. that sweeps these boundary layers..

. yields an estimate for the board-toboard spacing for maximum heat transfer rate: (5.. . in the large-D limit the total heat transfer rate varies as D-2'3 as the board-to-board spacing changes.T..)Ilt/2 (5. respectively..39) which is obtained by setting D = Do.a ApL2 (5.37 holds even when the board thickness is not negligible relative to the board-to-board spacing. .T... Equations 5.. This trend is shown in Figure 5. HLW k 0. 0. in Equation 5.36. The Dopt estimate of Equation 5. It has been shown [lo] that Equation 5.33 or Equation 5.) HW yIIL/2 (5. The intersection of the two Q(D) asymptotes. which was used extensively in Reference 11 for correlating electronics cooling data: rIL = P*.254 APPLICATIONS WITH HEAT AND FLUID FLOW In conclusion.36.. At this stage it is useful to introduce the dimensionless group called the pressure drop number [2].(T. The Optimal Board-to-Board Spacing..33 and 5.40) .37) This spacing increases as L'I2 and decreases as Ap-'l4 with increasing L and Ap.38) The manner in which the design parameters influence the maximum rate of heat removal from the package can be expressed as Q... Once again.7. is as much as 19% smaller because the peak of the &(D) curve is situated under the point where the two asymptotes cross in Figure 5.6k(Tm. .6 ~ i .37 underestimates by 12% the more exact value obtained by locating the maximum of the actual Q(D) curve [9] and is adequate when the board surface is modeled either as uniform flux or isothermal.. The maximum volumetric rate of heat generation in the H X L X W volume is -iT Q. the approximation sign is a reminder that the acual Q.7.

. drop number I Example 5. Seen from above. Estimate the number of fins that should be installed on top of the package to maximize the rate of heat transfer..3 ELECTRONIC PACKAGES 255 The similarity between the forced convection results (Equations 5. = 20°C. The height of each plate fin is 1. In the latter.39 and 5. the stack width H would be equal to the swept length L. The package temperature is 100°C.40) and the corresponding results for natural convection cooling (Equations 5.2 cm.30) is worth noting. The cooling of the L X L stack of plate fins is analogous to the cooling of the L x H stack of hot plates shown in Figure 5. in the free convection case is played in forced convection by the pressure . U-9 Tm --3 free stream L t . .. The fin material (aluminum) is highly conductive such that the fin efficiency 7 is 0.. 2.29 and 5.L F Figure E53 . The fin efficiency 7 = 0.98. Solution MODEL 1.3 Figure E5. the package is shaped as a square with the side L = 2.3 shows the plate fins of an electronic package that is cooled by forced air.. and the air stream is characterized by U.5.75 m/s and T. The role played by the Rayleigh number Ra.6. = 1. the fin thickness is t = 1 mm.2 cm.98 means that the plate fins are essentially isothermal in the direction perpendicular to the package: Their temperature is closely the same as the package temperature.

2 cm) = 0. - ANALYSIS The analogy between the finned heat sink and the stack of parallel plates of Figure 5.2 cm .19 cm2/s at the film temperature 60°C.75 m/s)(0. the coolant is air with Pr = 0.3 Cooling of a Heat-Generating Board Inside a ParallelPlate Channel In certain types of electronic packages.72 and u = 0.17 cm which means that the optimal number of plate fins is closely nopt L 2.72)-"4(2026)-1/2(2.256 APPLICATIONS WITH HEAT AND FLUID FLOW 3. = U&/u.3.6 means that we can use Equation 5.2(0. In the specified design. = 2000. Using Ap = +pU. the coolant flows through a set of two-dimensional parallel channels formed by a row of printed circuit boards . the peak of the overall thermal conductance curve is sufficiently flat that a nearly optimal solution (Section 1. Also. In other words. - 5. The pressure difference that drives the air through the plate fins is related to the free-stream velocity U. and the flow is laminar: Re.19 X m2/s = 2026 The optimal spacing given by the Dopt formula shown above is Dopt .022 m) = U 0.3.37 to estimate the optimal fin-to-fin spacing [ 111.37 we obtain where Re.2) is obtained for nopt 7 to 9.1) cm ~ 8 COMMENT Nakayama et al.17 + 0.Dopt = + t (0. to eliminate Ap from Equation 5. = UJ (1. heat sinks with 7 or 9 plate fins were found to perform nearly the same as the sink with 8 fins. [12] optimized the same finned heat sink numerically and experimentally and found that the optimal number of fins is 8 when Re. The heat transfer through the unfinned portions of the package surface is negligible. by Ap 3pUi 4.

is fixed. + D. It is important to know the optimal geometry of each cassette (i.Z (d) are the outlet bulk temperatures.8. This position is defined by the subchannel spacings above and below the heated plate. The Coolant. -.. the fan would blow air through a stack of 10 or more cassettes like the one shown in Figure 5. we assume that (a) the heated plate is isothermal at T. above and below the heated plate. through both sides of the plate.e. the board and its parallel-plate casing) so that the board operating temperature is minimum. The channel spacing D is fixed. Consider the problem of cooling a board of length L by positioning it in a stream of coolant that flows through an insulated parallel-plate channel of the same length. W > L. The plate thickness is negligible with respect to the channel spacing D.8 Heat-generating board cooled by a stream in an insulated parallel-plate channel D31.. such that D .5. (c) the surfaces of the plate and the channel walls are smooth. D . Tau. In the present development.. The total rate of heat transfer Q from the heated plate to the fluid. (b) the flow is fully developed and laminar on both sides of the plate. . where as shown in Figure 5.. is fixed by the electric circuit design.8..8 is two dimensional. as the board and the channel are sufficiently wide (the width is W) in the direction perpendicular to the figure. and D. and = T. The flow is driven by a fan with diameter considerably greater than the channel spacing D. In an actual application.Z = T. We assume that the pressure difference across the channel. Each board may be surrounded by a metal or metal-coated plastic case whose function is to shield the electronic circuitry from external electromagnetic noise.D . The geometry sketched in Figure 5.1 2 L 0 X Figure 5. Board with Large Thermal Conductance in the Transverse Direction. Optimization of the geometry of the cassette requires not only finding the best position for the board inside the channel but also the best spacing of the channel in which the heatgenerating board is encased. and Taut.and Tout. AP T O .3 ELECTRONIC PACKAGES 257 plugged into a common board. Ap.The only degree of freedom in choosing the best cooling arrangement is the position of the heated plate inside the channel.

then assumption (d) permits us to write where.41y)3 Q T w- 12pL = y3 To wpwpAP + (1 - (5.44b is shown graphically in Figure 5.43) and calculate the total heat transfer rate Q 5. The result is Q.To) is four times greater than when the board is positioned in the center of the channel.42) Next.42. and Q.258 APPLICATIONS WITH HEAT AND FLUID FLOW objective is to determine the ratio D . If Q . When the board is attached to one of the walls. + Q2.44c) Equation 5. = yD.44a) As the maximum value of the right side of this expression is 1. the equation can be rewritten as (5. are the heat transfers rates through the upper side and the lower side of the heated plate. We may conclude that the best arrangement is when the board is attached to one of the insulated walls of the channel. the thermal conductance Q / ( T w. for fully developed laminar flow (Equation 4. even though in that case the entire heat transfer rate Q must leave the plate through only one of its side surfaces.y for the dimensionless spacings of the upper and lower subchannels: D . D. corresponding to y = 0 and y = 1.This is the worst cooling arrangement. (5. where it can be noted that the minimum value for the ratio is when y = 3.44b) where (&jrnax = pcPWD3 Ap 12pL (5.42). = (1 = - y)D (5. respectively. / D so that the thermal conductance Q/(Tw. . using Equations 5.9. . we write y and 1 .To) is the greatest.

44 b 0 0.42 are replaced by m. and with boards densely covered with chips and circuitry that rise as large-scale asperities above the surface. let us discard (b) and (c) and assume instead that the flow is turbulent fully developed and the board surfaces are very rough. the “fully rough” limit of turbulent duct flow) the friction factor is practically independent of the Reynolds number (Figure 2.5. = (e) I12 WD:12. Under these circumstances (Le.the spacings D .45) The constant friction factors f . so that the entrance region is relatively small. (-------) turbulent.. For example. and f 2 depend on the dimensions of the roughness elements (assumed the same for both board surfaces) and on the respective subchannel spacings (D. The conclusion that the worst cooling position is y = 3 remains valid even when some of the simplifying assumptions (a)-(d) are relaxed.3 ELECTRONIC PACKAGES 259 Equation 5. and D. laminar. fully rough. fully developed (131.. D2).5 1 D1ID Figure 5. are also com- . m2 = (e) 112 WD.5) and Equations 5.9 The effect of the board position on the overall thermal conductance: (--) fully developed.l2 (5. This is a good model for cassettes with LID ratios greater than 10. When the board is placed in the stream at y values comparable with 3.

We obtain the temperature distributions T.46a) or expressed alternatively as (5.46~) Equation 5. and f 2 may be taken as equal to the same constant f . and f 2 as the board is positioned close to one of the walls. If the analysis is repeated by taking into account the difference between f . and thickness t. suggesting that the optimal positioning of the board is not as critical in the fully rough limit.44 is replaced by 1 I2 1 y3/2 + (1 - y)3/2 (5.(L) . f . Consider now a more realistic model in which the board of Figure 5. The objective is to minimize the larger of these two trailing-edge temperatures.9 would be obtained. as a first approximation. however. The temperatures of the two board surfaces (T. Board with Finite Thermal Conductance in the Transverse Direction. however. The constant heat generation rate per unit board surface is 4".T. by choosing the board position y .(x) and T2(x)on the two surfaces by recognizing that the temperature increase along each surface (for example. Accordingly.9. a curve that falls under the dashed curve in Figure 5.46b) where (5. x = L.8 (the substrate of an electronic circuit board) has a finite thermal conductivity k. T2) increase in the downstream direction. The thickness continues to be small relative to D..(O)) is considerably greater than the local temperature difference between the surface and the corresponding stream.46b is shown graphically in Figure 5. It is important to note that the heat fluxes removed by the two streams are generally not equal because of the conduction heat transfer across the board. and reach their highest levels at the trailing edge. T.260 APPLICATIONS WITH HEAT AND FLUID FLOW parable and. This is a conservative approximation to which we return shortly. The thermal conductance minimum is not as sharp as for fully developed laminar flow. where it can be noted once again that the minimum value for the ratio occurs when the board is placed in the middle of the channel. The two surfaces of the board are loaded equally and uniformly with electronics. In the end. the local temperature of each stream is close to the temperature of the neighboring spot . Equation 5.

47) The mass flow rates m. = q.k w (T2 . and D.42. d5 subject to O. the heat fluxes removed by the two streams are influenced by the conduction across the board: (k. and (5.y)3 2 = 1 . subchannel is (5.48 suffice for determining the surface temperatures T. m2cpdT.(x) and T2(x) subject to the entrance condition T.50) (5. . and 5.(O) = T2(0) = To.(O) = 0. l D = y . are given by Equations 5.e. The solution for the temperature of the board surface facing the D. 5. D J D = 1 .51) ( 1 .TI). (T. and m. Thus.TI).(O) = O.B(8. 5 = xIL. = qYW dx.lt)(T.47. we have = q” +k . .42.5. subchannels read mlcpdT.) (5. Although the heat flux q” generated by the electronics mounted on each surface of the board is uniform.3 ELECTRONIC PACKAGES 261 on the board surface bathed by the stream. By introducing the dimensionless variables D . .TI) t (5.48) Equations 5.W dx (5.) e.52) . Energy balances for elemental slices d x of the D . t q: = 4’’ .y .49) the problem reduces to integrating the two equations d8 = 1 d5 d8 y3 + B(8. as each subchannel stream is assumed laminar and fully developed.

as shown by the solid curves in the lower frame of Figure 5. ymax. (ii) When the board is a poor thermal conductor. The worst position (called y. or is about four times greater than when the board is mounted close to one of the insulated walls..2 as B decreases. B considered in the first part of this section. The same figure shows the uppermost . that is. namely (5.z curves intersect at y = 3. as discussed above. depends on B.1 1. where the highest temperature rise (Oh.10.(y. when the board is positioned close to one of the insulated walls of the channel. Oh.54) This temperature is a function of the board position y and the board conductance parameter B. On this composite graph.166.YI’Y’ (5.l and Oh.subchannel. This number should be calculated early. The trailing-edge temperature that corresponds to the location yminis presented as Omin versus B in Figure 5. B << 1.z solution of Equation 5.. ymin= 3. This transition is also illustrated in Figure 5. The resulting family of curves O. - These conclusions are summarized in Figure 5. The worst position. B) is superimposed with dashed lines on Figure 5.. is obtained by switching y and 1 . that is. The best location for poorly conducting boards.l = Oh. This observation stresses the important role of the dimensionless number B. The lowest temperatures are at ymin= 0 and ymin= 1.Y)3’ b= 2B (1 .l = 01(1).12.8 and 0.. The highest temperature of the board surface facing the D. ymax = 3.53) The highest temperature occurs at the trailing edge.10. indicating that the best position for the board is along the midplane of the channel. the Oh.happens to be exactly the same as the worst location for highly conducting boards. we seek the board position yminthat gives the lowest board temperatures when B is specified. in order to determine the problem type: (i) or (ii).10.That intersection corresponds to the lowest (Oh. approaches 0.54.. on the degree to which The best board position ymin the board substrate is a good thermal conductor: curves are bell shaped and fall on top (i) When B >> 1. The transition from conducting boards to poorly conducting boards occurs when B drops below 0.y in the Oh.. e.262 APPLICATIONS WITH HEAT AND FLUID FLOW where 1 (1 .z = Oz(l).) values. the Oh.) is in the middle of the channel.l and of each other. These m) conclusions agree with those for the isothermal board model (Le..

5. .10 The surface temperatures of a board with finite transverse thermal conductance (top) and the trailing-edge temperatures (bottom) [13].3 ELECTRONIC PACKAGES 263 I I 0 ' I I 0 0.5 1 DllD Figure 5.

to the best position (ym. Figure 5. respectively..x) of Figure 5.") .264 APPLICATIONS WITH HEAT AND FLUID FLOW 0.12 The lowest temperature (emi..) and uppermost temperature and the worst position (y.1 1 10 B that correspond.1 1 [Is].

36. In Chapters 7-9 engineering economics is integrated.). Vol. Bejan. Sciubba. 10. J. pp. Heat Mass Transfer. S. H. 1992. Kim. A. Snider and A. Fletcher. 35. Fin geometry for minimum entropy generation in forced convection.) but also the worst design (y. 5..4 CLOSURE 265 trailing-edge temperature that corresponds to the worst position. How to distribute a finite amount of insulation on a wall with nonuniform temperature. New York. Int. Heat Transfer. 9. judicious modeling. . J. 5. These problems require only heat transfer and fluid flow fundamentals. The optimal cooling of a stack of heat generating boards with fixed pressure drop. Heat Transfer. Anand. Vol. Bejan. Bejan and E. D. Bejan. Bejan. Heat Transfes Wiley. A . Heat Transfel. Wiley. 2. 3259-3264. J. J. J. natural convection cooled.. pp. N. 49-56. A. y.. Heat Mass Transfer.4 CLOSURE The introduction of thermal design and optimization principles in this book progresses gradually from the simple to the complex. we consider elementary problems that are representative of those encountered in thermal design. Int. Vol. 6. J. J. 1993. 106. 104. D. 4. S . Rohsenow. K. A. Vol. In this chapter. ASME HTD. Thermally optimum spacing of vertical. A. Our aim is to foster the use in design of effective reasoning. The optimal spacing of parallel plates cooled by forced convection. New York. regardless of the B value. 1984. S. pp. P. 616-623. pp. 3. 1982. 1984. Convection Heat Transfer. Heat Mass Transfer. 116123.. however. No attempt is made to cover exhaustively the broad field of thermal systems design. 64. M. Vol. 1635-1644. The quest for the optimum longitudinal fin profile. pp.) is considerably smaller than the highest temperature (O. 1993. pp. The lowest temperature (O. A. Poulikakos and A. In the next chapter we consider design problems that require the use of thermodynamics in addition to heat transfer and fluid mechanics. 1988. 31. pp. 43-48. 5 15-518. 1993. Vol. 114. Jany and A..). The effect of plate spacing on free convection between heated parallel plates.5. Heat Mass Transfer.. Ernst Schmidt’s approach to fin optimization: an extension to fins with variable conductivity and the design of ducts for fluid flow. Int. Vol. Kraus. Bejan. 3677-3686. pp. REFERENCES I . D. 8. This shows the importance of knowing not only the best design (ymi. parallel plates.. and a systematic approach. E. 1992. Int.. and L. flow rate or pumping power. Vol. 7. 36. 1986. and A. Sciubba. Mereu. Bar-Cohen and W. Bejan.

Forced convective heat transfer from arrays of finned packages. pp. Goodling. Matsushima. Al. Electronic Packaging. A. Show that the relative heat loss reduction increases when the curvature d2T/dx2increases. 126-129. 5. Bejan.1 and determine [op. eds. and D. Kraus. pp. Cooling Technology for Electronic Equipment. 170-176. 12. PROBLEMS 5. Numerical Heat Transfec A. 14. pp.. J.(x) and the corresponding minimum heat Show that the heat loss reduction due transfer rate to the ambient. D. and S. Tuckerman and R. S. relative to using an insulation with uniform thickness. Morega. . EDL-2. Vol. 13. Vol. W. D. J. M. and P. 195-210. analysis of Section 5.Pease. Vol. E W. The optimal spacing of parallel boards with discrete heat sources cooled by laminar forced convection.The thermal conductivity of the insulation material ( k ) and the length of the wall (L) are known.266 APPLICATIONS WITH HEAT AND FLUID FLOW 1 1.To). 15.1 In this expression the nondimensional parameter n has the same sign as Repeat the the curvature of the wall temperature distribution (d2T/du2). W. IEEE Electron Device Letters. Kim.1 and determine the heat loss reduction due to using an insulation with optimal thickness.Follow the steps outlined in Section 5. The cylinder wall temperature varies as T(x) = To + (x/L)(T. Aung. H. 1994. Int. 1993. 313-321. . Optimal thermal design of forced convection heat sinks-analytical. 25. a fixed amount of insulation material of volume V must be distributed optimally over the outer surface of a cylinder of radius r. 16. Knight. New York. Al. Vol. 1 13. J.To) exp[n(xlL)] . Bejan. pp. The cooling of a heat generating board inside a parallel-plate channel. Qmin.1 exp(n) .2.2 As shown in Figure P5. Bar-Cohen and A.. B. New York. ed. 1988. The outer surface of the insulation is at the ambient temperature (To). W. Vol. Goel. S. Heat Fluid Flow. Nakayama. ASME Press.. Hall. 1991. to using an insulation with optimal thickness on a cylindrical wall is smaller than on the corresponding plane wall. Lee. High-performance heat sinking for VLSI. M. R. Advances in Thermal Modeling of Electronic Components and Systems. 1981. J. J. Hemisphere. in W.1 Consider the problem of how to distribute a finite amount of insulation on a nonisothermal wall assuming that the wall temperature varies exponentially: T(x) = To + (T' . 373-392. A. 2. Morega and A. 14. pp. Appl. 1990.

r.2 .T o r Fixed amount of insulation with thermal conductivity k 0 X L Figure P5.

and n is a number between 3 and 0..14. T. If the amount of insulation is fixed. but varies with diameter according to 5 = h. in which h.. determine the best way of distributing it over the pipe..8% larger than the maximum heat transfer rate that can be accommodated by the plate fin. and the fluid temperature is T. 5.)-".268 APPLICATIONS WITH HEAT AND FLUID FLOW 5 . (a) Show that the profile thickness 6 must be parabolic in x: 6 = (h/ k)x *. where the local temperature difference is e(x) = T(x) . is the heat transfer coefficient for a cylinder of diameter Do. O(x) = (x/L)O.2.a hot stream originally at the temperature T.4 The volume of a cylindrical pin fin of diameter D and length L is fixed.3. Determine the diameter and length for which the heat transfer rate through the root of the fin is maximum. (c) Show that if the total volume of the parabolic profile fin. V.. is 14. is the same as the volume of the plate fin optimized in Section 5. (DID. 5. then Q. flows through an insulated pipe suspended in a space at temperature To. The fin temperature is T(x)...3 .1. The fin width is W. Equation 5.5 ount of insulation mal conductivity k 0 X L Figure P5.5 is linear. (b) Drive an expression for the total heat transfer rate through the base of this fin. Assume that the heat transfer coefficieJt is constant along the-fin. Q.. The temperature distribution along the two-dimensional fin with sharp tip shown in Figure P5. The tip is at the temperature of the surrounding fluid: N O ) = 0. The function of the pipe is to deliver the stream at a temperature (Tout)as close as possible to the original temperature. 3 As shown in Figure P5.T. The stream temperature T(x)decreases in the longitudinal direction because of the heat transfer from T(x)to To that takes place everywhere along the pipe.

PROBLEMS

269

Figure P5.5

5.6

Figure P5.6 shows a simplified model of an electronic circuit board cooled by a laminar fully developed flow in a parallel-wall channel of fixed length L. The walls of the channel are insulated. The board substrate has a sufficiently high thermal conductivity so that the board temperature T, may be assumed uniform in the longitudinal direction. The p is fixed and the fluid inlet temperature is To. pressure difference A Determine the channel spacing D for which the thermal conductance Q/(Tw - To) is maximum, where Q is the total heat transfer rate removed by the stream from the board. Also, obtain an expression for the corresponding maximum thermal conductance. The electronic circuit board shown in Figure P5.7 is thin and long
enough to be modeled as a surface with uniform heat flux 9". The heat

5.7

generated by the circuitry is removed by the fully developed laminar flow in the channel formed by the board and a parallel wall above it. That wall and the underside of the board are insulated. The length L is specified, and the inlet temperature of the coolant is To.The circuit board reaches its highest temperature (Th)at the trailing edge. The maximum temperature is fixed by electrical design. The designer would like to build as much circuitry and as many components into the board as possible. This objective is equivalent to seeking a board and channel

Coolant,

L
1)

AP

T,

-7-

Figure P5.6

270

APPLICATIONS WITH HEAT AND FLUID FLOW

Circuit board
Coolant,

AP

D

T"
I-----------------L

T
Figure P 5 . 7

design that ensures the removal of the largest rate of heat generated by the board (q"L).The lone degree of freedom is the spacing D. (a) Determine the spacing D that maximizes the rate at which heat is removed by the stream, and an expression for the corresponding maximum heat transfer rate. (b) Compare these results with the results of Problem 5.6 (with T, = Th) in which the board was made isothermal by bonding it to a high-conductivity substrate. Why is the maximum heat transfer rate higher when the board is isothermal? Is the increase in heat transfer significant enough to justify the use of a high-conductivity substrate? Discuss.
5.8

Figure P5.8 shows the cross section through water channels intended to serve as a heat sink in the substrate of an integrated circuit [14-161. The water removes the heat generated by the circuit. The channels are etched into the high-conductivity substrate (silicon) and are capped with a cover plate that is a relatively poor thermal conductor. Water is

Cover plate

,

T
L

1
S

f

I

b r o n t side, facing the circuit
--B-

Figure P5.8

PROBLEMS

271

pumped through the channels, and the flow is laminar and fully developed. (a) Determine the fin thickness t that maximizes the heat transfer rate from the substrate (T,,,)to the water flow (local bulk temperature 7 ’ ’ ) . (b) Derive a formula for the total heat transfer rate q’, per unit length in the direction of flow, removed by all the streams.

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

In this chapter we consider a class of design problems that require the use of thermodynamics (the first law and the second law) in addition to heat transfer and fluid flow principles. Our objectives are to show the interplay of principles drawn from these branches of engineering within a design analysis context and to illustrate the trade-off nature of design. Only thermal aspects are considered in this chapter; economic issues are left to Chapters 7-9. The presentation begins with a review of heat exchanger fundamentals in Section 6.1. Then, in Section 6.2 we consider the trade-off between thermal and fluid flow irreversibilities. In Section 6.3 the preliminary design of the case study cogeneration system preheater is considered. The chapter concludes in Section 6.4 with additional applications featuring the use of thermodynamics and heat transfer in elementary design analysis settings.

6.1 HEAT EXCHANGERS

The heat exchanger is a multifaceted engineering system whose design involves not only the calculation of the heat transfer rate across the heat exchanger surface but also the pumping power needed to circulate the fluids, the flow arrangement (e.g., counterflow vs. crossflow), the construction of the actual hardware, and the ability to disassemble the apparatus for periodic cleaning. It is beyond the scope of this book to present a comprehensive treatment of heat exchanger design. This is covered by the heat exchanger monographs [l-31. Here we discuss only a few aspects of heat exchanger analysis and design especially relevant to the objectives of this book. In Sec273

274

APPLICATIONS WITH THERMODYNAMICSAND HEAT AND FLUID FLOW

tion 9.3 the design of heat exchanger networks using pinch analysis is considered.
Overall Heat Transfer Coefficient. Let the subscripts h and c represent the two sides, or streams (hot and cold), of the heat exchanger surface shown in Figure 6.1 If R,,, is the conduction thermal resistance of the wall separating the two fluids, the overall thermal resistance of the heat exchanger surface is

The overall heat transfer coefficient U, is based on the cold-side area A,. Alternatively, the left side of Equation 6.1 can be labeled l/UhAh,in which U, is the overall heat transfer coefficient based on the hot-side area A,. Each of the effective heat transfer coefficients he,hand he,,accounts for two effects: the convective film resistance (1/h)and the thermal resistance across the scale deposited on the surface in contact with fluid (r,). The effective coefficient is defined as llh, = r, + llh. Recommended values for the scale (or fouling) factor r, can be found in heat transfer textbooks 141.

cut. enlarged

3
Scale buting

I

Cold side, A,, he. Ye Contributine to the unfi&ed area,
A-At

Figure 6.1 Heat exchanger surface with fins and scale on both sides [4].

6.1

HEAT EXCHANGERS

275

The overall sur$ace efficiency factor for each side of the wall (y,,, yc) is
y= 1

-x *f( 1 -

7)

where A, is the finned area, that is, the portion contributed to A by the exposed surfaces of the fins. The fin efficiency 7 is introduced by Equation 4.10.
Effectiveness-NTU Relations. Let C,, and C, represent the capacity flow

rates of the two streams flowing along the sides of the heat exchanger surface, f heat exchanger (or heat transfer) units where C denotes mcp. The number o is defined by

NTU

=

UA C m i n

(6.3)

where Cmin is the smaller of the two capacity rates. The heat exchanger e $ fectiveness is the ratio between the actual heat transfer rate between the two streams, Q, and the thermodynamic maximum value of that heat transfer rate:

E =

actual heat transfer rate - - Q maximum heat transfer rate Q,,,

(6.4)

In a counterflow heat exchanger the effectiveness definition of Equation 6.4 reduces to

where the subscripts in and out indicate the inlet and outlet temperatures of the hot (h) and cold (c) streams. The effectiveness-NTU relation is given by

in which C,,, is the larger of the two capacity rates. Two extreme cases of Equation 6.6 are used in Sections 6.2.4 and 6.4.1, respectively: the balanced counterflow heat exchanger, where Cmin = C,,, and E = NTU/(1 + NTU), and the heat exchanger in which the C,,, stream experiences a change of

276

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

phase at nearly constant pressure, where CminlCmax = 0 and E = 1 exp( - NTU). The effectiveness-NTU relations for other flow arrangements can be found in Reference 4 and other heat transfer textbooks. In general, E is a function of NTU, the capacity flow rate ratio CminlCmaxr and the flow arrangement (e.g., parallel flow, crossflow, mixed or unmixed streams, and single-pass or multipass).
Pressure Drop. The pressure difference required to push a stream through

its heat exchanger channel is generally a complicated function of flow parameters and channel geometry. As shown in Figure 6.2, the pressure drop over a sufficiently straight portion of the channel is Ap, = pb - p,. The pressure drop can be evaluated using Equation 4.40,provided that the fluid density does not vary appreciably along the passage. When the density varies, the contribution of Equation 4.40 is complemented by an effect due to the acceleration or deceleration of the stream, and Ap, is evaluated from

In this expression G is the mass velocity of the stream, G = mIA = pinVin = pOUtVOUt, and A is the channel cross-sectional area. In the first term on the

Entrance header

Exit headei

I

Core I --

Length
Figure 6.2 The pressure variation of a stream flowing through the core of a heat exchanger [41.

6.1

HEAT EXCHANGERS

277

right side, p is the density averaged between the inlet and outlet, namely, p = ' 2 ( p i n+ p,,,,), and V is the corresponding average velocity V = G / p . Referring again to Figure 6.2, the total pressure drop Ap consists of Ap, plus contributions made by other geometric features (sudden contractions, enlargements, bends, protuberances). As considered in the discussion of Equation 2.31, the pressure drop contribution made by each feature of this kind is included in the total Ap calculation as the product of the dynamic pressure +pV2 and a particular loss coeficient, which can be found in the heat exchanger literature [3]. In the case of Figure 6.2 there are only two such contributions, one due to the contraction at plane a- b:

and the other due to the enlargement of the flow cross section at plane c-d:

where the u's are contraction ratios (defined as u = flow cross-sectional area/frontal area): uao-b = Ab/Aa and uc4 = A,/Ad. The contraction loss coefficient K, and the enlargement loss coefficient Ke for bundles of parallel tubes are presented in Figure 6.3. The Reynolds number Re in this figure is based on the tube diameter and on the mean velocity through the narrower channel: the velocity downstream of a contraction and the velocity upstream of an enlargement.
(pa - pb) + AP,~ - (pd - pc). In special cases where the density is essentially constant from a to d (i.e., when V b = V, = V) and where the contraction ratio equals the enlargement ratio (uaa-b = u c - d ) r the total pressure drop formula reduces to Ap = Kc+pV2 + Aps
The total pressure drop experienced by the stream in Figure 6.2 is Ap =

+ Ke+pV2

(6.10)

The three terms on the right side represent, in order, the contraction loss, the straight-section pressure drop, and the enlargement loss.
Compact Heat Exchanger Surfaces. The pressure drop and heat transfer in many passages with complicated geometries have been measured and presented in dimensionless form. The sample shown in Figure 6.4 refers to the passage external to a bundle of finned tubes. The figure gives the variations with Reynolds number of the friction factor f and the Colburn j , factor (Equation 6.21). The heat transfer surface area is increased by the fins, which occupy much of the space that would have been left open between the tubes. Many geometries of this kind have been designed in order to increase the heat transfer area per unit volume (heat transfer area density):

278

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

Flow

area

0
6

Figure 6 . 3 Abrupt contraction and enlargement loss coefficients for a heat exchanger core with multiple circular-tube passages [5].

A a=V

(6.11)

As the heat transfer coefficient is lower for a gas flow than for a liquid flow (Figure 4.3), it is most beneficial to place the fins on the gas side of a gasliquid heat exchanger. This would mean that in Figure 6.4 liquid flows inside the tubes, and gas flows over the outer surface. As indicated on the figure, the gas flows perpendicular to the tubes. The other parameters that describe the geometry of a flow passage such as shown in Figure 6.4 are

6.1 HEAT EXCHANGERS

279

0.07

0.05 0.04

f
0.03

0.02
0.015
JH

0.0 I

0.008
0.006
5

6

7

8 9 IO'

1.5

2

3

4

5

6

7

8910'

Re= 2

GD

P

Tube outside diameter = 10.7 mm Fin pitch = 343 per meter Flow passage hydraulic diameter D, = 4.43 mm
Fin thickness, average ( f i n s are tapered slightly) = 0.48 mm, copper Free-flow area/frontal area, 0 = 0.494

Heat transfer area/total volume, a = 446 m2/m3 Fin area/total area, A,/A = 0.876
Figure 6.4 Pressure drop and heat transfer data for the flow passage through a bundle of staggered finned tubes [ S I .

(T=--

Ac A, A

-

minimum free-flow area frontal area fin area total heat transfer area

(6.12) (6.13)

Ar,
and the hydraulic diameter

D , = 4 -ALL A

(6.14)

The dimensionless parameter (T accounts for the contraction and enlargement experienced by the stream, cf. Equations 6.8 and 6.9. The area ratio A,IA is

The mass flow rate of the stream that flows through this complicated passage is constant in the direction of flow: m = pA.4 is also based on the maximum velocity: (6.V (6. = aA.4. In Figure 6. In Equation 6. is given by [3] as A Pin PO”* (6.18) In this equation p is the average density evaluated at the average temperature. and A. m (6.2.18 accounts for the acceleration or .2 for the overall surface efficiency y. the mass velocity G is based on the maximum velocity V. As an alternative to the formula for density given under Equation 6..15) which is the where V is the average velocity based on the frontal area.. On the other hand.18 is obtained from Figure 6.14. + Tout). The second term in the square brackets of Equation 6.7. = A..4. the average density can also be estimated by averaging the fluid specific volume (1 / p ) between the inlet and outlet values. namely the difference between the pressure on the left (the inlet) and the pressure on the right (the outlet). The Reynolds number used on the abscissa of Figure 6.. L is the length of the heat exchanger in the direction of flow.16) where A .19) The friction factor f that multiplies the first term in the square brackets of Equation 6. +(T. (6.. The factor f accounts for fluid friction against solid walls and for the entrance and exit losses..280 APPLICATIONS WITH THERMODYNAMICSAND HEAT AND FLUID FLOW the same as in Equation 6. the minimum free-flow area. is coplanar with the two centerlines. refers to the smallest cross section encountered by the fluid. velocity through the minimum free-flow area: G = pVm.17) The total pressure drop across a heat exchanger core constructed as shown in Figure 6. this area occurs between two adjacent tubes aligned on the vertical: A.

The present section aims at considering their simultaneous effect on exergy de- .4 and many like it for other compact surfaces.18 can be expressed as A/A.. When the volume V is specified.6 to 0.14. In these systems the destruction of exergy is due to two mechanisms: the heat transfer across a finite temperature difference and the flow with friction through ducts or around fins. This is expressed in nondimensional terms as the Colburn j.20) Charts such as Figure 6./(f/2) decreases only by one third (from 0. the factors j. Accordingly. the ratio A / A . Using Equation 6. We have previously considered the separate effects of heat transfer and friction on the exergy destruction in a heat exchanger (Section 3.22) In Figure 6. = St P F 3 (6.4 also requires an estimate of the average heat transfer coefficient for the internal surface of the tubes. and thus is proportional to the length of the flow passage. needed in Equation 6. 6. In Figure 6.4 also contain the information necessary for calculating the average heat transfer coefficient h for the particular flow passage. We shall refer to these mechanisms as the heat transfer irreversibility and the fluid flow irreversibility. factor: j.4) as Re increases from 500 to 8000. the area ratio multiplying f in Equation 6.4.6. the ratioj. = 4L/D.18 can be estimated by writing (6.5. The calculation of the heat transfer between the two fluids that interact in crossflow in Figure 6.2 THE TRADE-OFF BEWEEN THERMAL AND FLUID FLOW IRREVERSlBlLlTlES In this section we turn our attention to the second law aspects of the operation of heat exchangers.2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSlBlLlTlES 281 deceleration of the stream. This estimate can be obtained by following the method outlined in Section 4.16: (6. and f exhibit almost the same dependence on Reynolds number 141.. respectively.21) in which the Stanton number (St) is based on the mass velocity G given by Equation 6.2).2. This contribution is negligible when the density is essentially constant along the passage. even in a complicated passage the ratio j H / (f / 2 ) is relatively constant and of order 1.3.

or rate of irreversible conversion of mechanical energy to internal energy via viscous effects. and reliability enter into the determination of truly optimal designs. an overall entropy generation rate for the overall heat exchanger suffices. These adjustments can be made by properly selecting the physical dimensions of the solid parts (fins. and the second term is the rate of entropy generation associated with fluid friction.2. cylindrical. After reduction. heat exchanger surface). Using expressions for the variations of temperature and velocity in the flow. the distribution of the local rate of entropy generation can be obtained in principle from Equation 6.2.3. We consider such applications in Sections 6. As discussed in Section 1.2 and 6.23 is precluded. Owing to various complexities. 6. that the result is at best a thermodynamic optimum.5. we show that the heat transfer and fluid friction irreversibilities tend to compete with one another. and that the total rate of entropy generation (rate of exergy destruction) can be minimized by adjusting the size of one irreversibility against the other. The product of the function @ and the viscosity ~ l denotes . the viscous dissipation.282 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW struction-or.2.23. in rectangular. however. for example.1 Local Rate of Entropy Generation The starting point for an indepth thermodynamic study of the effect of heat transfer and friction in a flowing fluid is an expression for the local rate of entropy generation. on entropy generation. equivalently. It must be understood. In other cases. the evaluation of the local volumetric rate of entropy generation from Equation 6. size.2.2. when the flow is turbulent and/or the flow geometry is complicated. Expressions for $ &. however.4 and 6. as. the following expression for the local volumetric rate of entropy generation is obtained [7]: (6. . the temperature and velocity variations are seldom known for cases of practical interest.23) The first term on the right represents the rate of entropy generation associated with heat transfer. But in many of these instances the variation in the entropy generation can be evaluated using average heat transfer and friction data measured along the solid boundaries confining the flow.2. and spherical coordinates are provided in Reference 7. In particular. ducts. Illustrations are provided in Reference 7. Examples are provided in Sections 6. Thus. constraints such as cost. Such an expression can be obtained by applying an entropy balance to a control volume consisting of a volume element in the flow field.

6. is evaluated using correlations for average heat transfer and fluid friction.24) (6. hence. By study of the $Len expression.2 Internal Flows In this section we consider entropy generation in a duct of arbitrary geometry with heat transfer and friction at the wall. Combining these statements with Equation 2.d p / d x ) > 0. we have [8] sLen- T*(1 + AT/T) + q’ AT $ (-2) q ’ AT m =. the heat transfer q‘ crosses the temperature gap AT formed between the wall temperature (T + AT) and the bulk temperature of the stream ( T ) .2. The rate of entropy generation per unit length. in which the cross-sectional area A and wetted perimeter p . s.26.25) ds . Taking a passage of length dx as the control volume.2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSIBILITIES 283 6. respectively.. dh = qt m - dx (6.. and of many like it for Figure 6. are arbitrary.q r Sien= m dx T + A T ~ where SLen is the entropy generation rate per unit duct length. Consider the general heat exchanger passage shown in Figure 6..34b. . energy and entropy balances reduce to give.5 Heat exchanger passage with arbitrary geometry [7]. At steady state. Both q ’ and h are known.5. The heat transfer rate per unit length is q r (=q”pw) and the mass flow rate is m. Equation 6. the pressure gradient ( . The stream flows with friction in the x direction.T2 pT + (-2) (6.26) Note that the denominator of the first term on the right side has been simplified by assuming that AT is considerably smaller than the absolute temperature T.

27) For turbulent conditions St and f usually increase simultaneously 141 as the designer seeks to improve the thermal contact between wall and fluid. Solution MODEL 1. 2.g.. and there is a design for which is a minimum. Dh).26 is rewritten. the first term on the right of Equation 6.Equation 6.. Accordingly. The duct cross section is circular. Example 6. The heat transfer rate q' and the mass flow rate m are specified.? = D.27 would tend to decrease as the second term on the right increases.. and hydraulic diameter (Dh= 4A/p. Accordingly. the overall measure of exergy destruction The trade-off becomes clearer if Equation 6. in the form (s. Stanton number (St = h/pc.A = $rrD2 and D. therefore pw = TD. using the friction factor f .46). we note that the heat-exchanger passage has two degrees of freedom: the wetted perimeter p w and the cross-sectional area A . For a tube of diameter D. and discuss the result. 3 . or any other pair of independent parameters such as (Re. Reynolds number (Re = G D J p ) . Finally. ANALYSIS. determine the variation in the rate of entropy generation per unit of length using average heat transfer and friction data for turbulent. a trade-off exists between the two irreversibility contributions. Equation 4. The flow is turbulent and fully developed. and conversely. mass velocity (G = M A ) .U. fully developed flow.).) (6.284 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW other simple devices.. D h )or (G.1 For a straight tube of diameter D. it can be concluded that a proposed design change (e.27 can be rewritten with the relations . as both q r and m are regarded as fixed. making the passage narrower) induces changes of opposite signs in the two terms of the expression: The heat transfer irreversibility (first term) decreases while the fluid flow irreversibility increases.

4.2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSlBlLlTlES 285 hD Nu.. the trade-off nature of the heat transfer and fluid friction irreversibilities is very clearly indicated. as i3. = . In the present application.= St Re. b.o..1.Pr. and f for fully developed turbulent pipe flow [4] Nu. the second term referring to the effect of friction varies directly with the Reynolds number.S SA = kT2 pp4 .023 ReE8Pr0.' (0. the value of the entropy generation rate usually does not have much significance by itself. f = 0.0446~~ + 0 p2Tm Alternatively. The significance is usually determined through comparison.is a minimum.046 Rei0. k to give - Re. = 4m - W D w2 + sAen rT2k Nu. By inspection of Equations 5a./dRe = 0. the minimum entropy generation rate provides a suitable measure.6.4 = 0. < io6) (3) (4) Equation 2 can be written in terms of Re. solving dSL.7 < Pr < 160. This points to a value of the Reynolds number for which SAe. Re. Thus. we find that the entropy generation rate is minimum when the Reynolds number (or tube diameter) is where . > lo4) (2 X io4 < Re. the first term on the right referring to the heat transfer irreversibility varies inversely with the Reynolds number. this result can be expressed in the form where a and b are the coefficients of the corresponding terms in Equation 5a. with the following correlations for Nu. Thus. As noted in Section 2. 32m ' f r2p2TD5 Then.84(q f ) 2 Re.

.op. where 4 is the ratio The figure shows that the heat transfer term dominates when Re. The nondimensional entropy generation rate given by Equation 8 is plotted in Figure E6.. < ReD. Thus. is the same as Dop. whereas the pressure drop term dominates when Re. the effect of Re on SLencan be expressed as where = S.en(Reopt) (see also N.1. Equation 6.286 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Bo = mq' P p 5'2(kT)"2 and the subscript D has been dropped for simplicity here and in Equation 8./Re. the abscissa Re. > Note that since m is fixed. .opt./D.3 la).

6 Convective heat transfer in external flow [7]. ... and also to frictional drag as the fluid flows over the surface.28 we have assumed that the surface-averaged temper- ature difference between the body and the free stream (T. The two terms on the right side of Equation 6. and T. Consider the external flow of Figure 6. .temperature are U . . 2 .28) In writing Equation 6.2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSlBlLlTlES 287 6 .T ) is much smaller than either absolute temperature.6.. or T.6. The heat transfer rate between the body and stream is Q (=%A(T.28 represent. the contribution due to heat transfer Urn. 3 External Flows Another significant class of convective heat transfer arrangements is comprised of solid bodies located within flowing streams.)). (6. This includes as a particular case fins of various geometries that extend into the heat transfer fluid circulating through the finned-surface heat exchanger. In any member of this class we expect the irreversibility to be due to heat transfer between the solid and fluid. respectively. in order. The average wall temperature is Tbv. A body of arbitrary shape and surface area A is suspended in a flowing gas (or liquid) for which the freestream velocity and absolute . Applying mass. energy and entropy balances to an appropriately selected control volume enclosing the body. T w > Figure 6.T. we obtain after reduction [7]. FD denotes the drag force: the sum of all forces distributed over A and oriented opposite the direction of flow. T.

The total drag force is F.D/ v.30) 1 lo2 1o4 lo6 lo8 B. Q = h?rDW(T.9.7. for which .28. consider the pin fin represented by the cylinder in crossflow (diameter D.30. . Bs Figure 6. and B is a nondimensional heat transfer duty parameter of the cylinder.29) where Re. We assume the fin efficiency is greater than 0. = 3CJIWpU2. B = Q/W U. sphere. . Pr113)'12 (6.28.After making these substitutions in Equation 6.7 Reynolds number for minimum entropy generation for external forced convection over a cylinder. and the contribution due to fluid friction.(kpT. and Re.4. The total heat transfer rate (the heat transfer duty) is fixed. is the perimeter averaged temperature.length W ) shown in Figure 6. = U.Tm)where T. and flat plate [9]. we obtain (6.288 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW across a finite temperature difference. To illustrate the application of Equation 6. The heat transfer coefficient h can be estimated based on Equation 4. is available in Figure the relationship between the drag coefficient C 4. and so the variation of temperature along the cylinder can be neglected.

the second term on the right refers to friction and varies directly with the Reynolds number. for various body . as for the case of Example 6. while h is approximately proportional to Re9’l2 (Equation 4. and LIL. laminar 1 0. 100 %here igen/igen.. these variations suggest a minimum rate of entropy generation that provides a convenient normalizing parameter..2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSIBILITIES 289 In the Re. The corresponding nondimensional entropy generation rate.01 0..6.3 1b) Equation 6.. in Reference 7.1. turbulent 10 Plate.min Cylinder Plate.29 refers to the heat transfer irreversibility and varies inversely with the Reynolds number. where a and b are constants (groups of physical quantities) that can be deduced from Equation 6. As in Example 6.7. called the entropy generation number N.31b is plotted in Figure 6.8 Nondimensional entropy generation versus DID.1. range 102-105 the drag coefficient is practically constant. configurations [9].8. the value of the Reynolds number corresponding to the minimum rate of entropy generation varies with the duty parameter B as shown in Figure 6.30). This means that the entropy generation rate behaves as Sgen= a + b Re.1 &opt 1 10 100 ’ D/Dopt Figure 6.29. for Pr 2 0.7. Thus. the trade-off nature of the heat transfer and fluid friction irreversibilities is clearly drawn: The first term on the right of Equation 6.. Thus. takes the form (6.

< lo5. Pr 2 0.30.4 Nearly Ideal Balanced Counterflow Heat Exchangers The trade-off between heat transfer and fluid flow irreversibilities is apparent once more if we consider balanced counterflow heat exchangers.32) where X denotes the characteristic length of the body. we see that the heat transfer irreversibility dominates when X/Xop.2.Pr 2 0. heat exchangers for which the capacity flow rates are the same on the two sides of the heat transfer surface: .7 "13 defined by Equation 6.8.1 Parameters in Equation 6. < lo5. < 5 X lo5.7 5 x lo5 < Re. < 1. Figures 6.. For each geometry. Pr 2 0. < lo8.7 (inset). Pr 2 0. at least approximately. > 1. 6..3 1b: (6.8 show this for simple geometries in external forced convection. Table 6.7 and 6.7 Re. where &/ W = 2Lq".7 and 6. whereas fluid friction dominates when XlX. (~WT~P~''~)~'~.30. it is often instructive to know the effect of various design parameters on the entropy generated. Although minimum entropy generation by itself rarely would be a design objective. Similar results are developed for other geometries in Reference 9. In each case the nondimensional entropy generation rate exhibits the same form as in Equation 6.1 provides the parameters of this expression corresponding to the geometries of Figures 6. That is. ' E defined by Equation 6.7 IO3 < Re.290 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Table 6.32 for various geometries with external forced convection ~ ~ ~~ Geometry Cylinder" X a b a p Range D 3 Sphereb Flat plate' Flat plate' b B = Q ' / V D L L 4 f f + f f f 1 2 3 f $ l 2 f 4 lo2 < Re. Figure 6.

and the fluid is modeled as an ideal gas with constant c.ln P a P2 (6.35) Equation 6.5.34 can be written in nondimensional form as an entropy generation number [ 101: (balanced. For simplicity.Tl.ln Pl.OUt T I T 2 PI (kR). it is clear that the overall entropy generation rate is composed of contributions from three sources of irreversibility: the stream-to-stream heat transfer. As shown by subsequent developments. With reference to Figure 6. A p t .9 Counterflow heat exchanger with specified capacity rates and inlet conditions .0ut << 1.P230ut P2 << 1 PI (6.(kR).6.0ut can be eliminated by using the heat . and pI and p 2 for the respective inlet pressures. we write TI and T2 for the fixed (given) inlet temperatures of the two streams...34) The outlet temperatures and T2. the pressure drop along the first stream.). exchanger effectiveness. p2 .T2). the Figure 6.). = TLout + (rizc.out)/(Tl If we restrict consideration to the limit of small AT and A p : 1E << 1 .Pl.. Ap2..ln .2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSIBILITIES 291 The two sides are indicated by the subscripts 1 and 2. namely E = (TI ... Equation 6. PI . the same fluid is assumed on each side.ln T2 out (rizc. and the pressure drop along the second stream. Applying an entropy balance. the entropy generation rate of the overall heat exchanger is S. nearly ideal) In this form.9.

TI1 (6.37) is equivalent to writing 1 NTU -=- 1 NTU. c. are the heat transfer surface areas swept by each stream.36 and 6. and h..40) where N. = NTU. &.38. 1 +-NTU.. and h.38) where In a balanced counterflow heat exchanger. I T 2 . e.2 may be called one-sided entropy generation numbers and ‘= (T. and A. T. the effectiveness-NTU relation is particularly simple: E = NTU/(l + NTU).41) The one-side entropy generation numbers Ns.)’‘.. namely E = 1 .37. we obtain r2 + R A J I N. are heat transfer coeJficients based on these respective areas. h is the overall heat transfer coefficient based on A.. the overall thermal resistance can be written as (6.1/NTU. each describing the contribution made by one side of the heat transfer surface.). we concentrate on one of them (Ns.l and NsS2have the same analytical form.E << 1. Combining the latter expression for E with Equations 6. ( ) I NTU.. This allows the roles of design constraints and degrees of design freedom to be illustrated simply within an idealized but still complex context as follows: Assuming the thermal resistance of the wall is negligible... The summation of thermal resistances (Equation 6. therefore. On the left side of Equation 6. and even simpler when 1 . (6.37) where . and Ns.)and keep in mind that the analysis can be repeated identically for the other (NS. . (6.292 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW heat transfer irreversibility term can be split into two terms.

2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSIBILITIES 293 The heat transfer and fluid friction contributions to Ns.I are coupled through the geometric parameters of the heat exchanger duct (passage) on side 1 of the heat exchanger surface.44) and the dimensionless mass velocity is (6. f . whereas the second term varies directly with the same ratio. = A.6.42) Thus (6.l is a minimum [lo]: The main features of this minimum are shown qualitatively in Figure 6.10.. (6.45) The first term on the right side of Equation 6. and St. is the length of the passage... This means that the mass velocity and minimum rate of entropy generation on one side of a heat exchanger surface are proportional. are defined according to (6.. Rlc.. The one-side irreversibility depends on parameters fixed by the fluid type and the inlet conditions: r.43 varies inversely with the ratio 4LlD.. Pr.”.. .43) where L .l in terms of the nondimensional ratio (4LlD. the group (./p. The minimum entropy generation rate is proportional to g . This coupling is brought to light by rewriting Ns. there is a value of the ratio 4LIDh for which Ns. when the mass velocity and Reynolds number are fixed.) using the identity .fllStl)”2 is only a weak function of Re. Area Constraint. and parameters that depend on the size and geometry of the heat exchanger passage: (4LIDh). in the case of the most common heat exchanger surfaces. Accordingly. Furthermore.. .

10 The entropy generation rate of a nearly ideal balanced counterflow heat exchanger (101. ( 2 p ~ .. = (4L/D. and g.294 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Figure 6. How many of these three parameters are degrees of freedom depends on the number of design constraints.48) The only degrees of freedom. In dimensionless form.. = A .). ) ” ~ (const) (6. The minimization of irreversibility subject to constant area might be important in cases where the cost of the heat exchanger surface is a major consideration.g.. Minimizing the entropy generation number subject to a fixed (known) Reynolds number yields the optimal mass velocity: . Re.and that Equation 6. therefore. is the dimensionless area of side 1 of the surface. It is easy to show that a.43 can be written as (6. are the Reynolds number and the mass velocity. One important constraint concerns the heat transfer area A .47) where a. the constant-area constraint can be expressed as a. [7].

This constraint might be important in the design of heat exchangers for applications where space is limited [7]. is a variable. one degree of freedom left for optimizing the thermodynamic performance of the passage [ 111. This allows NS. c. g y = (4L/D. of Equation 6.53 is a minimum when .53) where Re.5 1) If we regard Re. there is only . Noting that VI equals L .). the optimal mass flow rate and corresponding minimum irreversibility are which are the counterparts of Equations 6.Re. as fixed.. we have also u . and 6. Re. Combined Area and Volume Constraint.. and Re. are relatively insensitive to changes in Re. In commercial pipes at large Reynolds numbers f .50) where VI is the volume of the passage (duct) on side 1.50 yields R a:f . 6.Re: += u: St. as degrees of freedom: (6. In such applications NS.. 8P A (const) (6.. When the area A and the volume VI of the heat exchanger passage are constrained simultaneously.43.2 THE TRADE-OFF BETWEEN THERMAL AND FLUID FLOW IRREVERSIBILITIES 295 Vohme Constraint. Combining Equations 6. u : T2U I "*I (6. The dimensionless volume constraint can be written as u . = V ..47.6. and St.49.to be expressed in terms of only g . times the cross-sectional flow area of the passage.

54 gives on reduction [lo] The analysis of a parallel-@owheat exchanger with two streams proceeds by combining Equation 6.40.36 and 6.Then. 0.296 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW (6. The unbalance is described by the ratio of the two capacity rates: (6.- - - (6.58 we have assumed not only that NTU 03 but also that A p . with an energy balance for the heat exchanger we also have - . For an unbalanced counterflow heat exchangel. = Ap2 = 0 . The resulting expression is ln{ (?)“[l + (2 - 1) I + o L-]’+m} (6. note that the entropy generation rate of balanced counterflow heat exchangers vanishes as NTU w. These equations show clearly that - .2. Ap. 0.54) 6. there are three sources of irreversibility commonly found in heat exchangers.34. As noted before.55) Both counterflow and parallel-flow heat exchangers are considered. This is brought out by Equation 6. These are associated with the stream-to-stream temperature difference and the pressure drops of the two streams. Equation 6. the exit temperature of the cold stream approaches the inlet temperature of the hot stream as NTU w : T2. however.34 with the appropriate effectiveness-NTU relation [4].40. This behavior is not exhibited by unbalanced heat exchangers.58) In writing Equations 6. Ap. as will now be shown.56) With these relations. and for the case of balanced counterflow heat exchangers by the special forms given by Equations 6.57 and 6.0ut T I .5 Unbalanced Heat Exchangers Let us now consider entropy generation in limiting cases involving unbalanced heat exchangers: heat exchangers for which the capacity rates differ. Referring to Equation 6.

58 become - In this limit.58 as w 1.7. w w. stream 1 is so large that its temperature remains equal to TI from inlet to outlet. L E B E .3 AIR PREHEATER PRELIMINARY DESIGN In this section we consider the preliminary design of the air preheater included in the case study cogeneration system shown in Figure 1. indicating that the counterflow arrangement is thermodynamically superior to the parallel-flow arrangement.59 as the flow unbalance ratio w increases. - 6. the irreversibility of the parallel-flow arrangement is consistently greater than the irreversibility of the counterflow scheme. Two configura- " .1 - 2 I I 0 2 I 4 1 I I l l Figure 6. We also note that when the two streams and their inlet conditions are given for an unbalanced heat exchanger.11 The entropy generation number for an unbalanced heat exchanger in parallel flow and counterflow [l 11. Figure 6. Equations 6. and how they both approach the value indicated by Equation 6. seen from the outside.. it is easy to see that the irreversibility of the parallel-flow arrangement is finite even in the balanced case (see also w = 1 in Figure 6.57 and 6. .11 shows the behavior of the respective entropy generation numbers.1 I).6. In the limit of extreme unbalance. Taking the limit of Equation 6.0.3 AIR PREHEATER PRELIMINARY DESIGN 297 for unbalanced heat exchangers the entropy generation rate does not vanish even under such idealized circumstances. it behaves like a stream that condenses or evaporates isobarically.

135 kJ/kgK. We begin with the heat transfer aspects of the heat exchanger. We do not consider here. outer diameter Do. The tubes are straight with smooth inner and outer surfaces. Heat Transfer Relations.12b. and A. D. As the temperatures and pressures are specified at the preheater inlets and exits... L. as illustrated in Figure 6. the special materials that might be required owing to the high preheater service temperatures. The pressure drops due to contraction and enlargement are negligible. D.. = 1. 6. five values are to be determined: n. with four unknowns and three equations.298 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW tions are considered: a shell-and-tube counterflow heat exchanger and a platefin crossflow heat exchanger. and at highlighting some of the design issues attending the specification of a heat exchanger for a particular duty.3. The The specific heat of air at this temperature is c. Accordingly. The present discussion is aimed at determining the number of tubes required and the heat exchanger dimensions.1 Shell-and-Tube Counterflow Heat Exchanger A shell-and-tube counterflow heat exchanger is shown schematically in Figure 6 ... Combustion products flow through the tube-totube spaces. Although tubes are commercially available at only certain nominal diameters and wall thicknesses. Compressed air flows through II parallel tubes with inner diameter D.2. This leaves four values to be determined: n. As elements of the model used in the present discussion. The present discussion is related only to the concept development stage of the life-cycle design flow chart shown in Figure 1. we list the following: No significant heat transfer occurs from the outer surface of the shell. we find in the discussion to follow that the design must satisfy three conditions. there is just one degree of freedom. one for heat transfer and two for fluid flow.7 K + 850 K)/2 = 727 K. In particular. L. and length L. The presentation is aimed at illustrating several of the heat exchanger principles introduced thus far.2. 1 2 ~ The . The thermal resistance of the tube wall is negligible.. This is an issue that would be addressed at the detailed design stage. The flow of air and the flow of combustion products are each fully developed. parallel to the tubes.2. figure is labeled with data from Table 1. The tubes are mounted in a shell of cross-sectional (frontal) area A. the present considerations are simplified by taking DJD = 1. D.~~~ capacity rate on the high-pressure side (the tube side) of the heat exchanger is then . and A. The air and combustion products behave as ideal gases with constant (average) specific heats. for example. The average air temperature is (603.

.out= 9. The result is . .12 Shell-and-tube air preheater.28 kgls pair.8 K @ AgaS = 92.out = 719.. = 10..13 bars pair. (bl ( bl The capacity rate on the low-pressure side can be deduced from an energy balance on the overall preheater: where the subscript “gas” denotes the combustion products......in = 1006.6....i.-_. I I I : I I Figure 6...62 bars 1*1:1 I.3 AIR PREHEATER PRELIMINARY DESIGN 299 Tgas..2 K 0 @ 0 = 91.92 kgls - Tgas...

8 = 112.7 Tgas. Pressure Drop Relations.60 after we analyze the pressure drops. -.2 .51 bar. We will return to Equation 6.62) bars = 0.3 the overall thermal conductance is UA = Cmin NTU = (103. The pressure drop on the air side can be esti- mated from Equation 6.61) Figure 6 . we calculate the required NTU: NTU = ---L 1- 1- E J = 1.60) where h and h.7 1006.in .n -D L O (6. Using the .2 .484 Crnin/Crnax With Equation 6. are the air-side and gas-side heat transfer coefficients.7 1006.612 Solving Equation 6.cmax 0.13 ideal-gas equation of state.7 kW/K This value is related to the thermal conductances on the two sides of the heat transfer surface by Equation 6.6 kW/K) 850 .5. the effectiveness is given by E = Tair.Tair.1: 1 UA - l + 1 hn TDL h.7 as (6.603.603.in - = 0.300 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Cgas= (103.779.in Tair.out 850 . we take Cgas = crnaxy Cair = ernin.7 kW/K which means that the counterflow heat exchanger is only slightly unbalanced. In the discussion to follow.484 = 153.603. 1 2 ~ provides Apair= (10. using Equation 6.6 kW/K) 1. we have - 9.6.919 Next.

Figure 4.PoutL = 0.2 kg/s) n( .287 kJ/kgK)(603.m (from [4]) at the average temperature 727 K.675fin = 3. Pair In this expression.).95 kg/m3 and Applying Equation 6.62) f(Re..3 AIR PREHEATER PRELIMINARY DESIGN 301 Pout . Substituting these quantities into Equation 6.4 (6. = .). GD Re.61 gives after reduction 18.38n2 where f = (&) = = f~ 2L + 0.84 x lo6 m nD The pressure drop on the gas side can be analyzed in the same way beginning with an application of Equation 6.7: .1 X lo-' kg1s.7 K) Thus pout = O. 2.6.rrD2/4) nD2 = Since the pipes are assumed to be smooth.16 G= 1 mair = (116.675 _Pin PinTout and 10.7 gives f where f(Re.85 kg/m3 P in =Rair Tin (0.13 X lo5 N/m2 Pin = 5. and Re. pair = 4.

1.(Re. = Pgas In this expression. Aflow = A.37 kg/m3 The area available for the flow of the gas equals the total frontal area less the area occupied by the n tubes: TDf.302 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW (6.099 . pgas = 4.465 kg/m3 we obtain fin = 0..033 bar. Using the ideal gas equation of state and Pout - Pout RgJo"t - 0.64) We also have and As the tubes are smooth. ... where GD. 900 K.63) From Figure 6.12a. = f.7 gives f . Apgas= (1..n 4 (6. Re. we approximate the viscosity of the gas as the viscosity of air at the average gas temperature. Figure 4.). .066) bars = 0.57 X kg/s-m (from [4]). That is.

= Dh (2.84 X lo6 m)(l/nD) Aflow nD 4Anow = 0.2.65) Re.63 gives. These equations can be reduced further to obtain a final set of three equations as follows: The heat transfer coefficients needed in Equation 6. and two fluid-flow-related equations: Equations 6. The development thus far has provided one heat-trans- fer-related equation: Equation 6. 0.7 kW/K. are proportional: = Re. = nD = (2.71 cp.6.76 0. are proportional: .. Equation 6..3 AIR PREHEATER PRELIMINARY DESlGN 303 Substituting these quantities into Equation 6.60 can be estimated based on the Colburn analogy (Equation 4.59 fL nfO L D (6. therefore f and f.16 2L (b) = f. 2 ’ ~ kJ/kg-K st. .715 -Dh (2.air G St Gas Side ho = St = if P r ~ .228 1 m2 Dh 2 (6. range 104-106.715 Anow n T(1..46): Air Side h = c.135 Prgas= 0.60.2)D In the Re.60 then becomes Aflow D + 0.62 and 6.0.03 X lo6 m)(Dh/AflOw) 0.gasGoSto = Lf pr-2’3 2 o gas Prair= 0.72 Since U A = 153. after reduction.581 = 0.66) Another simplification follows by noting that Re... and Re.0.03 x lo6 m) - Aflow Collecting Results. cp.65. the friction factor varies as Re.air= 1.

72 the required numerical work is simplified greatly.2 = 1.06A)"2 (6.3A (6.68 gives (6.59 m2 Substituting these values into Equation 6.65.67-6.59 + 0.69) (A)2 ( = -= 0.73) nD2 = 0.68) where A is the dimensionless cross-sectional area of the gas stream.76)-0.66 can be written as D + 0.71) Finally.0. Thus. n (6)' = (0.67 in terms of A yields '' D 0.304 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW -0. .38 (6.4 .67) (&) = f 2L 5 .69.62 and 6. Equations 6.72) Design Solutions.72 give A = 4. it can be expressed as 0.71.55 A"0W 1 = 0. combining Equations 6. With Equations 6.086 + 0. A .55A (6. Equation 6.3A 18.59 fL nDfL Turning to Equation 6.2 = (0.4 + 0.70 and 6.056 In conclusion.= -Aflow nD2 Eliminating the group 2 f L I D between Equations 6.62 and 6.16A3 (6.70) Expressing Equation 6.0.16@n2 (6.

but only one can be chosen independently.8 9.59 m2 Hence. the flow length L increases almost proportionally with the tube diameter D. L) can vary. The volume of the heat exchanger (A.26 m2 4 In conclusion. from Equation 6. cp. Note again that there is one degree of freedom (e.02 5910 1477 5. the heat exchanger model is based on a set of assumptions: The heat transfer from the overall heat exchanger to the ambient is negligible. However. .01 0. They must satisfy Equation 6. The remaining design parameters (n. D) and that a relatively small D would be selected if a small volume or small weight is desired for the heat exchanger. L and overall heat transfer coefficient U are relatively insensitive to D or the number of tubes n. D.g. Still.12.6 X X lo4 lo4 563 647 1254 1442 123 107 These values show that the total heat transfer area A = n r D .3. When Re.64 A .9 4. p. Once again.3 AIR PREHEATER PRELIMINARY DESIGN 305 Anow = 2. 6.0) and Equation 6.71 (which now reads fLID = 3.2D)2 = 3.2 Plate-Fin Crossflow Heat Exchanger In this section we illustrate an alternative preliminary design for the air preheater by choosing a plate-fin crossflow configuration: Figure 6.6 12. and pressures at the inlets and outlets of the air and gas streams are the same as indicated in Figure 6. which increases abruptly as D increases. The calculation of related quantities such as the capacity rates and average properties (p. Pr) is given in the preceding section and is not repeated here..&) increases too.13.046 The following numerical results are obtained by treating D as the independent parameter: 0. because the frontal area is fixed. = Anow + n IT( 1 . the frontal area and the gas flow cross section are fixed: They do not vary with the lone degree of freedom recognized at the start of this solution.73.D2)L increases as the group nD2L. the final selection in this case would be governed by costs. The weight of the heat exchanger is controlled by the weight of the tubes: The tube material volume nn(D: . falls in the range 104-106.6. temperatures. f = 0. The flow rates.

13 Plate-fin air preheater. and calculated the heat exchanger size that meets the specifications.5 m2 as the frontal area of the air stream. Geometric Characteristics. The thermal resistance of the plate between the air and gas sides is negligible. Note also that we chose these . Lgas = 1.gas= 9 m2 Note that we allowed a larger frontal area for the gas stream than for the air stream because the gas stream is less dense. the calculations are necessarily iterative: We start with a certain set of surface designs and overall heat exchanger size and calculate the temperature and pressure drop characteristics of the assumed apparatus. and repeat the calculations. we change the initial assumption (e.g. Afr. with 3 X 1. In the present case the pressure drops due to contraction and enlargement are not assumed to be negligible. however. In the plate-fin crossflow arrangement. There we sta* with the temperature and pressure drop constraints.5 m3. The calculations in this section differ markedly from those performed for the shell-and-tube design.air = 4. If the calculated characteristics do not correspond to the specifications. We illustrate this procedure by assuming as shown in Figure 6. and 3 X 3 m2 as the frontal area of the gas stream: V = 13.13 that Lo = Lair= 3 m.5 m3. The air and combustion gases behave as ideal gases with constant (average) specific heats. The initial assumption is the degree of freedom in this design problem. giving an overall size of 3 X 3 X 1.5 m.5 m2.306 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Gas 4 Gas t /Air Figure 6. We return to this aspect in the last paragraph of this section. Afr.. one or more dimensions of the overall heat exchanger).

74) - hair + b g a s + 2~ = 574. The numerical work follows the steps detailed in Reference 3 . p.air &. for purposes of illustration.8 WImK. The geometric characteristics of these surfaces are found in Tables 9-3a.gas = 3.air - uairAfr. 6 (mm) Transfer area per volume between plates.air = 0. (mm). 361: = ffgas 'airpair bair aair + bgas + bgasfigas 2a = 400.445 (6.6.4 0.76) The corresponding flow cross-sectional areas are then Anow. As surface designs we select.77) . Agas = agasV= 7750 m2 (6.air = flair aairrh. and the plain plate-fin surface 11.11 0. the louvered platefin surface 3-6. The ratios of the total heat transfer of one side to total heat exchanger volume are [ 3 . Aflow. = $Dh Fin thickness.4 1. p (m2/m3) Fin area per total area 6.756 The plate between the air side and gas side has the thickness a = 3 mm and is made of high-temperature alloy steel with a thermal conductivity k = 20.1 for the gas side. r.15 1204 0.3 m-' (6.64 Gas Side 6.06 for the air side. b (mm) Hydraulic radius.75) The ratios of the flow cross-sectional area to the frontal area are = Aflow.99 m2 (6. and thus our presentation can be succinct.air = 2-00 m2.77 0.1 m-' The heat transfer areas of the air and gas sides are Aair= aairV= 5404 m2.3 AIR PREHEATER PRELIMINARY DESIGN 307 overall dimensions and not dimensions several times smaller or several times larger because we had the benefit of knowing the numerical results (orders of magnitude) tabulated at the end of the shell-and-tube preliminary design.15 840 0.gas - - ggasAfr. b of Reference 3: Air Side Plate spacing.

. and StgasPri.l.air = 466 W/m2.79) With these values for the Reynolds numbers we obtain from Figures 10-38 and 10-26 of Reference 3 S t a i r P r ~= ~’ 0. = 4rJ: (6. fair = 0.0069.0145 The convective heat transfer coefficients are thus hair= StairGaircp. = 0.6 kg/m2*s &.0044.1 where the plate resistance is neglected: .887 The overall heat transfer coefficient is given by Equation 6. The flow areas deter- mined above are needed for calculating the mass velocities Gair= mair .gas = 162 W/m2. y.s and the respective Reynolds numbers (note D. fgas Stair= 0.009.air (6.K The numerical calculations for the fin efficiency efficiency factor y are given in Reference 3: vf and the overall surface and -yair = 0.45.3 kg/m2.786. Stgas= 0..78) = Ggas = mgas Aflow.gas 23.057.3 = 0.K (6.80) hgas= StgasGgascp.308 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW Friction Factors and Heat Transfer Coefficients...037 = 0.

919.g. E = 0. in which we use the (T and Re values of each stream: Substituting these values into Equation 6. In the core friction term. The ratio of heat transfer area to flow area is obtained from Equations 6.83 written for each of the two streams.24 in [4]) gives.8 K.7 through 6.77: The contraction and enlargement loss coefficients can be estimated approximately using Figure 5-4 of Reference 3.8. The pressure drop along each of the streams is calculated with .12. the outlet temperatures of the two streams are calculated with Equation 6.76.6. the outlet temperature of the products of combustion is lower than the specified 779. core friction.75 and 6. flow acceleration.82) Cmin With this NTU value and Cmin/Cmax = 0. This effectiveness is greater than the value fixed by the inlet and outlet temperatures specified in Figure 6.. The ratio of flow area to frontal area is listed in Equations 6..K.5: Tair.out = 710 K Because of the higher effectiveness. p is the average density of the stream.6. the air outlet temperature is higher than the 850 K temperature specified in Figure 6.9 (6.3 AIR PREHEATER PRELIMINARY DESI'GN 309 Collecting Results.a formula obtained by adding Equations 6. Similarly.out = 926 K. in order.12: E = 0.) Pow pin 1 (6. and exit (enlargement). approximately.(1 Anow P - (+* . Tga. Figure 9. the effectiveness-NTU chart for a crossflow heat exchanger with both fluids unmixed (e. The number of heat transfer units is given by NTU = A ' 'air . gives . the effects of entrance (contraction). In the present case.612.9 (see also Equation 2-26 in [3]): A Pin +f.83) The terms inside the square brackets represent.

Accordingly.05 . however. fabrication.g.17 While calculating these relative pressure drops we learn that the core friction term accounts for roughly 98% of the total value.. (E) gas = 0. Subsequent iterations show that they are of the correct order of magnitude.. Lo = 3 m). together with that noted between the calculated effectiveness (0. = 0. 6 . L.5.13) are not the appropriate ones. At that stage. so that the air pressure drop would increase from 2% closer to the specified 5%. these two effects enter with opposite signs in Equation 6.83 and effectively cancel each other. s a g ):( = 0. the designer might try a somewhat different set of core overall dimensions: A longer dimension in the direction of the air stream (e.12: = 0.05 This mismatch. Lair= 5 m). A shorter dimension aligned with the gas stream ( e g . This and subsequent iterations can be executed on a computer by properly accounting for the data that must be used from Reference 3 (e. and E will be somewhat smaller. 3 Closure The preliminary preheater results considered in this section. together with possible alternative configurations. the new heat transfer area.8) and the specified effectiveness (0.310 APPLICATIONS WITH THERMODYNAMICSAND HEAT AND FLUID FLOW a r ) : ( i = 0.3) until the preferred configuration for the detailed design stage is identified.g. A third dimension that keeps the overall volume relatively unchanged. additional considerations such as materials of construction. 3 . however. even when the component in .12.g. to reduce the gas pressure drop from 17% toward the specified 5%. increasing the chance for a better match between the calculated outlet temperature and the values specified in Figure 6. would be subject to screening in the concept development stage (Section 1. NTU. but a little smaller (e.612) means that the core dimensions assumed at the start of these calculations (Figure 6. curve fitting these data).... The contraction and enlargement contributions are on the order of 1% for the air stream and 5% for the gas stream. maintenance.02. Such considerations always play a part.75 m). and costs would enter. The pressure drops calculated in this first iteration do not match the values shown in Figure 6. In the next iteration.

The expansion across the valve is a throttling process: h. (6.6. The results generally have only qualitative significance.T .. 11.1 Refrigeration As a first case.. a number of additional applications are presented featuring the use of thermodynamics together with concepts of heat transfer.4 ADDITIONAL APPLICATIONS 3 11 question is to be obtained from a vendor.. that is. The objective is to reinforce understanding of the interplay of principles drawn from these branches of engineering within a design analysis context and to illustrate further the trade-off nature of design. let us consider the vapor compression refrigeration system shown in Figure 6.84) where vc is the isentropic compressor eficiency and Ws = m(h2. Denoting the refrigerant mass flow rate by m. The condenser heat transfer rate QH can be approximated in terms of a heat exchanger effectiveness based on the condensation temperature: (6. Further applications of this modeling approach can be found in the literature 17.85) The refrigerant is cooled in the condenser from the superheated vapor state 2 to the saturated liquid state 3 by contact with a stream of ambient air at temperature THand capacity rate (Ijtc. for it is by such means that the specifications to be met by the vendor are determined.). labeled C. 6. 121. To allow these objectives to be met simply. most of the heat transfer between refrigerant and ambient air occurs during the condensation of the refrigerant.14. the compressor power is (6. when the refrigerant temperature is at T3. the presentation features idealized modeling and thermodynamic optima only. where the method is known as entropy generation minimization.4 ADDITIONAL APPLICATIONS In this section. ) .h . Although the refrigerant temperature varies from T2 to T..86) where .4. = h. 6.

(T.CH.air at room temperature Compressor 4-k TL.) = E.exp ( *gu) - (6. .87) Similarly.14 Refrigeration plant model with vapor compression cycle and irreversibilities due to heat transfer.T. .C.312 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW TH. and throttling. CL. = 1 . the heat transfer to the refrigerant in the evaporator is Q.air at low temperature S Figure 6.h. compression.88) where . = riz(h.) (6.

and other considerations. A constraint that allows the trade-off nature of design to be demonstrated simply is the assumption of constant total heat transfer area: A. and A . where we have neglected the temperature variation of the refrigerant through the condenser and have denoted the constant temperature of the condensing stream by T.. in a simplified context.92) The rest of the refrigerator model remains unchanged. The heat exchangers are described by &H = EHCH(Tmax - 'HI (6.6. =A (const) or (6. we may write (6.93) . + A. I - y = ALIA This constraint is invoked elsewhere [13-15]. in Figure 6. Equations 6..89) Condenser and evaporator pressure drops are ignored in the present discussion. the cycle executed by the refrigerant is assumed to be internally reversible. to maximize the coefficient of performance is considered. To focus on the roles of the heat transfer areas A. cannot be specified arbitrarily but are typically constrained. = 1 - exp ( u:L) - (6. consider the idealized schematic of Figure 6./A.. the heat transfer areas A.We also take the isentropic compressor efficiency to be 100% and ignore the irreversibility of the expansion across the valve.4 ADDITIONAL APPLICATIONS 313 E. and A.15. cost.91) y = A. This simplification is consistent with the one made in the E.15) represents the constant refrigerant temperature between states 4 and 1.88 can be used to evaluate the coefJicient ofperformance (COP): Q cop = L W (6.. and A.90) Owing to size..84 and 6. where the question of how to divide the constant area A between A . That is. model of Equation 6.. Accordingly. The evaporation temperature ( Tmi.87.

15. stream is warmer than Tmin.314 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW TL Figure 6. Using Equations 6. given by Equations 6. = QH. maximization of the COP is equivalent to minimizing the expression in brackets on the right side of Equation 6..92 through 6.89. we note that the CHstream is colder than T. By inspecting Figure 6. this expression becomes ..95 [14].15 Refrigerator model with two heat exchangers and an internally reversible cycle.87 and 6..87 and 6..94 give (6.89. with cHand E . and the C. as fixed. Introducing the energy balance W + 0 ..95) Regarding 0 . Equations 6.

A principal conclusion is that the solar heat source is more suitable than the isotope and nuclear heat sources when the power plant size (W) is in the range 2-100 kW. The working fluid executes a closed Brayton cycle.17 are: (a) turbine inlet temperature.lU.lU.. each of which is less than unity. and area A.. Minimizing this expression with respect to y gives the optimal area ratio A.. or nuclear) and cooled by a radiator. (g) alternator rotor speed. The radiator of temperature TL and area A. consider the model shown in Figure 6. (d) pressure drops along ducts between components of the plant. the ratios CL/C. is heated by the sun at T.18../C. To gain insights about trade-offs in this application simply.6. The solar collector of temperature T. (b) compressor inlet temperature./A and N is the number of heat transfer units based on the total area and the room temperature parameters. The figure shows that the optimal A. which is plotted versus C. that is. (e) compressor specific speed. is also cooled by the background. solar.4. in Figure 6.4 ADDITIONAL APPLICATIONS 315 where y is the area ratio y = A. Specifying the ratios CL/C.. (f) compressor pressure ratio...17.16 for sample values of N and ULIU.2 Power Generation In this section we use a simplified model of an extraterrestrial power plant [4.IA.96 varies only with the area ratio y. and U. It is heated by a heat source (isotope. 6.. and U. and the value of N . The optimal way of dividing A between the two heat exchangers depends on the total amount of heat exchanger area available and the relative external characteristics of the two heat exchangers. . An example of a power plant for use in space is presented in Figure 6.. is in general not equal to iA-that is. 111 to consider certain trade-offs existing in the design of any such plant. The design of such a power plant is complicated further by the need to incorporate energy storage in the cycle to ensure power generation during eclipse periods. and cooled by the cold background at T. and (h) working fluid. Among the degrees of freedom in the design of the solar power plant of Figure 6. (c) extent of recuperation used in the cycle. not equal to A. the right side of Equation 6. Optimization studies for this power plant configuration are reported in Reference 16.

I I N = l UL/UH = 0. 0 1 1 0. As in Section 6.1 1 CLKH 0 0 0.98) and (2) that the total area of the collector and radiator is limited: .16 Optimal area ratio A. 1 1 CL/ C H Figure 6. we assume (1) that the cycle executed by the working fluid is internally reversible.01 0 .316 APPLICATIONS WITH THERMODYNAMICSAND HEAT AND FLUID FLOW 1 .1 0 0 . The working fluid of the power plant is heated in the collector and cooled in the radiator. which means that the rate of entropy generation within the cycle is zero: (6.1.4./A for the heat exchangers of an idealized refrigeration system.

u .- B c c .- E . t m C . W 0 h al a.- 5 + 8 3 c c b C m a 0 al - F E a $ k s m I (0 T : f 317 G 0) .l u) n .- m c a 5 E . I - E al 2 ._ s E 3 k 5 .

: W=Q. + A. =A (const) (6.318 APPLICATIONS WITH THERMODYNAMICSAND HEAT AND FLUID FLOW d T* 7 Collector Figure 6.100) To calculate Q. . and background as three black surfaces forming the enclosure shown above A. w.. A.(1-?) (6. The power output is obtained by combining Equation 6. sun.98 with the energy balance Q.4. Then.18 Model of extraterrestrial power plant with heat transfer irreversibilities. with relations from Section 4.. we model the collector.99) The objective is to maximize the power output of the plant. = w + Q.

because T.With these observations.4 ADDITIONAL APPLICATIONS 319 Q. (6.101) where FHsand FHr are the collector-sun and collector-background view factors. The relation between them is FHm= 1 - FHs (6.104) in which T i can be neglected relative to T t .106.109) . 6. = uA. = AHFHsu(T:.101 becomes For the enclosure with two black surfaces formed under the radiator A .18. we have Q.105.107) If the area constraint (Equation 6. 6.T4. Equation 6.106) where 5 = FHs (2) 4 (6...108) we find that Equations 6. = 4 K.98.A.. = uAL(T: .105) The next step is to eliminate Q. between Equations 6. in Figure 6. giving Q.6.100 become. in order.103.T i ) (6. which is much less than the expected order of magnitude of TH. A . and Q.T i ) . (6.102) Note further that T i is negligible relative to T.99) is expressed in terms of the area ratio AH = yA. and 6. = (1 - y)A (6.U(Ti - T:) (6. and 6.103. The result is (6.F.

FHs temperatures will be higher.112) Accordingly.I)]’’’} 1 .4.The initial bath temperature equals the environment temperature To.35.1 13 give TH.. by substituting T. Let us study this system using the following model: The bath is filled with liquid such as water or oil. The variable W can be maximized numerically with respect to both 5 and y. T(t). we find that TH.19.opt = 520 K and TL.107 and 6. and the results are [ 111 lop. The system consists of a large liquid bath of mass M and specific heat c placed in an insulated vessel..opt = 5 174Fkt4 K TL.. approaching the hot gas inlet temperature T. When the system is discharged. The liquid is modeled as incompressible.. is about half the size of A. so that at any given time its temperature is uniform. The gas is eventually discharged to the atmosphere.320 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW w= uAFHs Tt ’ = y(1 . the collector accounts for roughly one third of the total surface available. 5 and y. yopt= 0. The system is charged with exergy when the hot gas entering the system is cooled while flowing through a heat exchanger immersed in the bath. If the solar radiation and the resulting collector and radiator is concentrated into the collector. .opt = 340 K. Though idealized.111) The dimensionless power output W emerges as a function of two parameters.opt = 3423Fki4 K (6. = 1. The gas obeys the ideal-gas model with a constant specific heat c. gradually rise. The bath is well mixed thermally. the stored exergy can be retrieved. at least in part.0414 (6.I ) { 1 t - [ L ( i.3 Exergy Storage by Sensible Heating The process of exergy storage by sensible heating [ 171. has a number of applications.106. WmaX= 0. Furthermore. the present model does yield temperatures roughly in the range of those reported in [16] on the basis of a more detailed model of a system with a solar radiation concentrator. 6. = 5762 K in Copt and Equations 6..Y (6. The bath temperature T as well as the gas outlet temperature To. shown schematically in Figure 6.113) For a flat-plate collector the view factor FHsis approximately and Equations 6. which means that A.538.

6.4

ADDITIONAL APPLICATIONS

321

m=P

Tm

Liquid bath - mass M, specific heat c

-0

b

-

T(4

I Liquid bath

To
0

Time, t

(a)
Figure 6.19 Exergy storage by sensible heating [7].

(b)

The time dependence of the bath temperature T(t) and gas outlet temperature To,,(t) can be derived with reference to Figure 6 . 1 9 ~ as follows: Writing an energy balance for an incremental length dr, we have
Up dx(T, - T )

+ mcP dT, = 0

(6.1 14)

where p is the local heat transfer area per unit length (the wetted perimeter) and U is the overall heat transfer coefficient based on p . Integrating over the gas flow path, from x = 0 (T, = T,) to x = L (T, = To,,), (6.115) where NTU
=

UpL/(mc,,).

322

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

Applying an energy balance to the liquid bath as a system, we have

M C - = mcP ( T ,
dr

dT

-

To,,)

(6.116)

where both T and To,, are functions of time. Combining Equations 6.115 and 6.116 and integrating from r = 0 ( T = To)to any time r yields (6.117)
(6.118)

where
Y = 1 - exp(-NTU),
8=P
??iC

MC

(6.119)

As expected, both T and To,, approach T, asymptotically. This means that the ability to increase the temperature of the storage material increases with increasing the charging time 8 and the number of heat transfer units NTU. It is shown next that there is a charging time for which the liquid bath stores the most exergy per unit of exergy drawn from the high-temperature gas source at T,. Figure 6.20 illustrates the two sources of irreversibility in this application. First, the heat transfer between the hot stream and the cold bath takes place across a finite temperature difference. Second, the gas stream exhausted into the atmosphere is eventually cooled down to To, again by heat transfer across

-

-Internal irreversibility External irreversibility System

To, ambient

-t J

I

t

T,

Figure 6.20 The two sources of irreversibility in exergy storage by sensible heating [7, 171.

6.4 ADDITIONAL APPLICATIONS

323

a finite temperature difference. A third irreversibility source, neglected in the present analysis, but treated in Reference 17, is the frictional pressure drop on the gas side of the heat exchanger. The combined effect of these irreversibilities is a basic characteristic of all exergy storage systems: Only a fraction of the exergy brought in by the hot stream is stored in the liquid bath. Similarly, on discharge, only a fraction of the stored exergy can be retrieved. Applying an entropy balance to the system defined by the dashed boundary of Figure 6.20, the rate of entropy generation is

To + Qo + d (Mc In T) S,,, = mcPln T , To dt

(6.120)

where Qo = rizcp(T,,, - To) and pm = po. We are interested in the entropy generated during the time interval 0 to f; this quantity can be calculated by integrating Equation 6.120 and using T,,,(t) from Equation 6.1 18:

(6.121)

This result is more instructive if it is expressed as the ratio of destroyed dt, divided by the exergy of the gas drawn from the hot gas exergy, To fi Sgen supply. Using Equation 3.13 together with ideal-gas relations, the exergy of the gas drawn from the supply is

T,

-

To - Toln -

(6.122)

In writing this, we recognize that only the thermal component of the exergy associated with the ideal gas stream is relevant here. Thus, we define the entropy generation number as the ratio

324

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

Ns = - Sgen dt mte,
e, 1 -

=

7[1 - exp(-ye)] - l n j l 8 [ r - ln(1

+ 7[1 - exp(-ye)]j + r)]

(6.123)

where r is the dimensionless overall temperature difference, (6.124) Figure 6.21 shows how N, depends on the charging time 8, and the heat transfer area (NTU). It is clear that for any given r and NTU there exists a time 8,, when Ns reaches its minimum. Away from this minimum, Ns approaches unity. In the limit 8 0, the entire exergy content of the hot stream is destroyed by heat transfer to the liquid bath, which is initially at the same the gas stream leaves the temperature as the atmosphere. In the limit 8 a, bath as hot as it enters (at To,, = T J , and its exergy content is destroyed

-

-

1

NS

u 00
0.5
0

I

5

e

Figure 6.21 The fraction of exergy destroyed during exergy storage by sensible heating

[7, 171.

6.4 ADDITIONAL APPLICATIONS

325

entirely by direct heat transfer to the atmosphere. In Figure 6.21, the smallest N, occurs when e is of order 1. This means that the optimal charging time toptis'of the same order of magnitude as Mc/(rizc,). In other words, we would terminate the heating process when the thermal inertia of the hot gas used (rizc,t) is comparable with the thermal inertia of the liquid bath (Mc). The time e,, depends on NTU and 7,as shown by Figure 6.22, obtained by maximizing Equation 6.123 numerically. Finally, the constant NTU curves of Figure 6.21 show that the fraction of destroyed exergy is greater than 60% for cases of practical interest. The complete process in which the heating (storage) phase is followed by a cooling (removal) phase is considered elsewhere [ 181.

6.4.4

Concluding Comment

The applications treated in this section-refrigeration, power generation, and exergy storage-are physically diverse. Still, the presentations are linked by a common philosophy: Fundamental trade-offs and insights can be identified using simple models of the systems and processes of interest. Though generally more qualitative than quantitative in character, information developed by such means can be used for preliminary decision making or as a point of departure for more indepth study.

0

1

2

3

r =

Tco - TO To

Figure 6.22 The time for maximum exergy storage by sensible heating [7, 171.

326
6.5

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

CLOSURE

In Chapters 2-6 various design analysis and modeling features related to thermodynamics, heat transfer, and fluid flow have been considered. These considerations are generally necessary but not sufficient for thermal system life-cycle design. Figure 1.2 indicates that several other considerations play a role. In particular, the thermal modeling principles introduced thus far must be complemented by economic modeling principles, for the design that minimizes cost is usually the one of interest. The presentation of this book continues, therefore, with a discussion of economic modeling in Chapters 7 and 8, and optimization in Chapter 9.
REFERENCES
1. S. Kakac, A. E. Bergles, and E Mayinger, eds., Heat Exchangers: Thermal-Hydraulic Fundamentals and Design, Hemisphere, Washington, D.C., 1981. 2. R. K. Shah and A. C. Mueller, Heat exchangers, in W. M. Rohsenow, J. P. Hartnett, and E. N. Ganic, eds., Handbook of Heat Transfer Applications, 2nd ed., McGrawHill, New York, 1985, Chapter 4. 3. W. M. Kays and A. L. London, Compact Heat Exchangers, 2nd ed., McGrawHill, New York, 1964. 4. A. Bejan, Heat Transfes Wiley, New York, 1993. 5. W. M. Kays and A. L. London, Convective heat-transfer and flow-friction behavior of small cylindrical tubes-circular and rectangular cross sections, Trans. ASME, VOI. 74, 1952, pp. 1179-1189. 6. A. L. London, W. M. Kays, and D. W. Johnson, Heat transfer and flow-friction characteristics of some compact heat-exchanger surfaces, Trans. ASME, Vol. 74, 1952, pp. 1167-1178. 7. A. Bejan, Entropy Generation through Heat and Fluid Flow, Wiley, New York, 1982. 8. A. Bejan, General criterion for rating heat exchanger performance, Znt. J. Heat Mass Transfer; Vol. 21, 1978, pp. 655-658. 9. A. J. Fowler and A. Bejan, Correlation of optimal sizes of bodies with external forced convection heat transfer, Int. Comm. Heat Mass Transfer; Vol. 21, 1994, pp. 17-27. 10. A. Bejan, The concept of irreversibility in heat exchanger design: counterflow heat exchangers for gas-to-gas applications, J. Heat Transfer; Vol. 99, 1977, pp. 374380. 1 1. A. Bejan, Advanced Engineering Thermodynamics, Wiley, New York, 1988. 12. A. Bejan, Entropy Generation Minimization, CRC Press, Boca Raton, FL, 1995. 13. A. Bejan, Theory of heat transfer-irreversible refrigeration plants, Znt. J. Heat Mass Transfer; Vol. 32, 1989, pp. 1631-1639. 14. S. A. Klein, Design considerations for refrigeration cycles, Int. J. Refrig., Vol. 15, 1992, pp. 181-185.

PROBLEMS

327

15. V. Radcenco, J. V. C . Vargas, A. Bejan, and J. S . Lim, Two design aspects of defrosting refrigerators, In?. J. Refrig., Vol. 18, 1995, pp. 76-86. 16. W. G . Baggenstoss and T. L. Ashe, Mission design drivers for closed Brayton cycle space power conversion configurations, J. Eng. Gas Turbines Power, Vol. 114, 1992, pp. 721-726. 17. A. Bejan, Two thermodynamic optima in the design of sensible heat units for energy storage, J. Heat Transfer, Vol. 100, 1978, pp. 708-712. 18. R. J. Krane, A second law analysis of the optimum design and operation of thermal energy storage systems, Int. J. Heat Mass Transfec Vol. 30, 1987, pp. 43-57.

PROBLEMS

6.1 A counterflow oil cooler lowers the temperature of a 2-kg/s stream of oil from a 110°C inlet to an outlet temperature of 50°C. The oil specific heat is 2.25 kJ/kg.K. The coolant is a l-kg/s stream of cold water with an inlet temperature of 20°C. The overall heat transfer coefficient has the value U = 400 W/m2.K. Calculate the necessary heat exchanger area A, the total stream-to-stream heat transfer rate, and the water outlet temperature.
6.2

The heat transfer surface of a counterflow heat exchanger is characterized by U = 600 W/mZ.K and A = 10 m2. On the hot side, a 1-kg/s stream of water flows with an inlet temperature of 90°C. On the cold side, the surface is cooled by a 4-kgls stream of water with an inlet temperature of 20°C. Calculate the stream-to-stream heat transfer rate and the two outlet temperatures.

6.3 A heat exchanger lowers the temperature of a l-kg/s stream of hot water from 80 to 40°C. The available coolant is a 1-kg/s stream of
cold water, with an inlet temperature of 20°C. The overall stream-tostream heat transfer coefficient is U = 800 W/m2.K. Calculate the required heat transfer area A by assuming that the two streams are in parallel flow. Explain why the parallel-flow arrangement' cannot perform the assigned function of the heat exchanger. How would you change the design so that the heat exchanger can perform its function? 6.4

A shell-and-tube heat exchanger contains 50 tubes, each with an inside diameter of 2 cm and length of 5 m. The header is shaped as a disk with a diameter of 30 cm. Air at 1 atm flows through the tubes with a total flow rate of 500 kg/h. The air inlet and outlet temperatures are 100 and 300"C, respectively. Calculate the total pressure drop across the tube bundle by evaluating, in order, the pressure drops due to friction in the tube, acceleration, abrupt contraction, and abrupt enlargement. Compare the frictional pressure drop estimate with the total pressure drop.

328

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

6.5

As shown in Figure P6.5, a heat exchanger transfers heat per unit length q' to an ideal-gas stream flowing through a stack of n parallelplate channels. The total thickness of the stack, D,is fixed. The plateto-plate spacing of each channel is Dln, the mass flow rate through each channel is m / n , and the heat transfer rate transmitted to each channel stream is q'ln. Assuming that the flow regime is laminar, detennine the optimal number of channels (no& so that the overall entropy generation rate for the stack @ ) , ; is minimized.

6.6 We wish to determine whether less exergy is destroyed when we drive a car with all windows closed and the air conditioner on than when we drive with the windows open and the air conditioner off. The car can be modeled as a blunt body with frontal area A = 5 m2 traveling through air with the velocity U,. It is known that in the flow regime of interest, the drag coefficients are C, = 0.47 when all windows are closed and C , = 0.51 with the windows open. The air conditioner consumes electrical power at a constant rate, WAC = 746 W (Le., 1 hp).

6.7 A counterflow heat exchanger consists of two concentric pipes, such that a stream of hot oil flows through the inner pipe and a stream of water flows through the annular space. The following data are given: Oil Stream Mass flow rate, m Specific heat, c Inlet temperature, Ti, Outlet temperature, Tout 2500 kg/h 1.67 J/g*K 77°C
55°C

Water Stream 2000 kg/h 4.15 J/g-K 32°C

-

The pressure drops of both streams can be ignored. Determine in order: the water outlet temperature, Tout,water; the effectiveness, E ; the number of heat transfer units, NTU; the entropy generation rate, Sgen.

i

D

I

Figure P6.5

PROBLEMS

329

Consider next a proposal to increase the heat transfer area by 20%, by simply lengthening the concentric-pipe arrangement by 20%, while maintaining the pipe diameters, the flow rates, the fluid properties, and the two inlet temperatures the same. Determine the new NTU, E , T ~ , ~and , ~ S,, ~ values. ~ ~ ~ , 6.8 In the simple model shown in Figure P6.8, the irreversibilities of the actual refrigeration plant are assumed to be located in the two heat exchangers, (UA), above room temperature ( T,, fixed) and (UA), below the refrigeration load temperature (TL, fixed). An internally reversible cycle completes the model. The heat transfer rates Q, and Q, are given by Q, = (UA),( THc- T,) and Q, = (UA),( T, - T,J. Derive an expression for (UA),,, when the power input W is fixed. Show that this case is characterized by (UA), = (UA),. Comment on the way in which the other degrees of freedom influence (UA),, and the exergetic (second-law) efficiency. 6.9 With reference to the refrigeration plant shown in Figure P6.8b, minimize UA = (UA), + (UA), while regarding the refrigeration load as

f
THC TH TH

hotend heat exchanger

TL

cold-end heat exchanger
( b1
Figure P6.8

330

APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW

specified. Show that in this case (UA),, is divided equally between the two heat exchangers. Derive an expression for the exegetic (second-law) efficiency and comment on the effect of (UA),,, on the efficiency.

6.10 Using the power plant model shown in Figure P6.10, minimize the total heat exchanger size UA when the power output is specified, the heat source and environment temperatures T, and T, are fixed, and the heat transfer rates are Q, = (UA), ( T, - THC) and Q, = (UA), (TLc - T,). Show that in this case there are two degrees of freedom, and the case is characterized by (UA), = (UA),. Show further that the thermal efficiency of the optimized power plant is 77 = 1 ( TL/T,)"2.

6.11 As shown in Figure P6.11, a power plant consists of two components that communicate with thermal reservoirs at T, and T,: an internally reversible power cycle and a thermal conductance that accounts for the leakage of heat to the ambient (from T, to T,) around the power producing components of the engine. The bypass heat leak Q, is proportional to the temperature difference across it, Q, = C(T, - T,). (a) Is the power plant operating reversibly? Explain.

hotend heat exchanger

THC

Figure P6.10

PROBLEMS

331

I
I
Heat engine

I

I

w

I I

iC

a

I I I

a
Figure P6.11

(b) For a fixed input QH, determine an expression for the entropy generated in the heat engine, s,,,. (c) If the hot-end temperature TH is a design variable, determine the optimal temperature TH,opt such that the power output is maximum. (d) Show that the optimum determined in part (c) corresponds to a design in which the overall entropy generation rate is minimum.

6 . 1 2 Figure P6.12 shows an installation for storing exergy by melting a
phase-change material at temperature T,. The exergy source is a gas (or liquid) stream with a mass flow rate m and initial temperature T,. The exergy stored by melting can be calculated by imagining that the melted material is returned to its original state (Le., solidified) by contact with an internally reversible power plant that operates between T,,, and the ambient To. Determine the melting point T, for which the power output W is maximum.

6 . 1 3 A shell-and-tube heat exchanger consists of n parallel tubes of diameter D, as shown in Figure P6.13. Fluid 1 flows through the tubes, while fluid 2 flows parallel to the tubes, through the tube-to-tube spaces. The two fluids, their properties, and mass flow rates (m,, m2) are given. In

and T. use the Colburn analogy and assume that the friction factors ( f l inside tubes. Determine the optimal tube diameter that minimizes the thermal resistance. To simplify the analysis. to fluid 2). are also given.T2)/q'. through the n tubes. The thickness and thermal resistance of the tube wall can be neglected.13 Fluid 1 Fluid 2 Heat exchanger flow direction .12 To the cross section shown in the figure. oooooooooooo -oooooooooooo -oo~ooooooooo 0 oooooooooooo 0 0 0 0 0 Cross section Figure P6.332 APPLICATIONS WITH THERMODYNAMICS AND HEAT AND FLUID FLOW m. The number of tubes n and the frontal area A. is the temperature of the tube wall. . are the bulk temperatures of the two streams. To T o Figure P6. and T. T . f 2 outside tubes) are insensitive to changes in D.where q' is the heat transfer rate per unit of heat exchanger length (from fluid 1. Obtain an expression for the thermal resistance ( T .

These include the costs for materials. cost escalation. competition. In designing a thermal system we are primarily interested in production costs. and cost of the final products] considering various assumptions and predictions referring to the economic. and subsidies. insurance. cost levelization. and rent belong to this category. regulation. and plant financing. This chapter outlines the economic considerations for (a) estimating capital investment costs. taxes.. The market price of an item is. The term jixed costs identifies those costs that do not depend strongly on the production rate. labor. in general. technological. fuel costs. and electric power. Cost estimates should be made during all stages of design to provide 333 .g. (b) calculating the main product costs under realistic assumptions for inflation. Costs for depreciation. supply.7 ECONOMIC ANALYSIS The successful completion of a thermal design project requires estimation of the major costs involved in the project [e. total capital investment. and legal environments and using techniques from engineering economics. The cost of an item is the amount of money paid to acquire or produce it. and we use market prices only to value the system by-products. The total cost of an item consists of fixed costs and variable costs. and (c) evaluating the profitability of alternative investments. affected not only by the production cost of the item and the desired profit but also by other factors such as demand. maintenance. operating and maintenance (O&M) expenses. Good cost estimation is a key factor in successfully completing a design project. fuel. taxes on facilities. One of the most important factors affecting the selection of a design option for a thermal system is the cost of the final product(s). Variable costs are those costs that vary more or less directly with the volume of output. depreciation.

7. Cost estimates for fixedcapital investment consist of two major cost elements: direct and indirect costs.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT This section considers the first of the four steps: estimation of the total capital investment. build all the necessary facilities. which are continuous or repetitive in nature. With this approach. In an economic analysis.1 contains a list of these acronyms. the cost of the main product can be calculated through the following four steps: Step 1.4. therefore. and purchase and install the required machinery and equipment for a system is called the &xed-capital investment (FCI). Calculate the levelized product cost. In contrast to fuel costs and O&M costs. which are considered in Section 7. The discussion considers both the general case of a new-system design and the expansion or retrofitting of an existing system. Step 4. The capital needed to purchase the land. investment costs are treated differently than fuel and O&M expenses. materials. Step 3.2 shows a general list of items to be considered in the estimation of the total capital investment for a new system. respectively. that is. Indirect costs do not become a permanent part of the facilities but are required for the orderly completion of the project. For brevity. the flow rates and thermodynamic states have been determined. Direct costs are the costs of all permanent equipment. and we frequently do so in this chapter. and the quantities and conditions of materials as well as the necessary equipment and unit operations have been specified. 7. the revenue requirement method [ l ] is detailed. Step 2. such as FCI and TCI used here. Estimate the total capital investment.2. The total capital investment (TCI) is the sum of the fixed-capital investment and other outlays. These steps are discussed in Sections 7. and other resources involved in the fabrication. however. and installation of the permanent facilities.334 ECONOMIC ANALYSIS a basis for decision making at each stage. Table 7. Table 7. The discussion in this chapter. Calculate the total revenue requirement. it is convenient to employ acronyms for economic parameters. and market input parameters for the detailed cost calculation. Each company has its own preferred approach for conducting an economic analysis and calculating the cost of the main product.1-7. Other . an investment cost is a one-time cost. The fixed-capital investment represents the total system cost assuming a so-called overnight construction. operating. financial. labor. a zero-time design and construction period. will focus on the cost estimation to be conducted after a base-case flow sheet (flow diagram) has been developed. Determine the economic. erection. In this chapter.

research.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 335 Table 7.7.1 List of acronyms and abbreviations used in Chapter 7 Accelerated cost-recovery system Adjustments to book depreciation in calculating the balance at the beginning of a year AFUDC Allowance for funds used during construction Average annual net cash inflow ANCF Average annual profit AP Average annual rate of return ARR Average annual total cash inflow ATCF Balance at the beginning of a year BBY Benefit-cost ratio BCR Book depreciation BD Book life BL By-product value BPV Carrying charges cc Capitalized-cost factor CCF Common-equity allowance for funds used during construction CEAF Constant-escalation levelization factor CELF Cost index CI CPVCE Capitalized present value of cash expenses Capital-recovery factor CRF Direct costs DC Deferred income taxes DITX Eckstein’s benefit-cost ratio EBCR EYTXBV End-year tax book value Fuel cost FC Fixed-capital investment FCI IC Indirect costs ITX Income taxes Cost of licensing. and development LRD Lower heating value LHV MACRS Modified accelerated cost-recovery system Minimum acceptable return MAR Main-product unit cost MPUC Main-product quantity MPQ Net benefit-cost ratio NBCR Net present value NP OFSC Offsite costs Operating and maintenance O&M Operating and maintenance costs OMC Onsite costs ONSC Other taxes and insurance OTXI Purchased-equipment cost PEC Plant-facilities investment PFI Present value of annual cash expenses PVAE RCEAF Recovery of common-equity allowance for funds used during construction Return on investment ROI SPCAF Single-payment compound-amount factor ACRS ADJ (conrinued) .

6-14% of FCI) Piping (10-70% of PEC. 5-23% of FCI) Service facilities (30-100% of PEC. Contingencies (8-25% of the sum of the above costs. and development D.336 ECONOMIC ANALYSIS Table 7. Indirect costs (IC) 1. 0-2% of FCI) Civil. . 4-21% of FCI) 2. 5-20% of FCI) 11. Startup costs (5-12% of FCI) B. research. Working capital (10-20% of TCI) C. Engineering and supervision (25-75% of PEC. Fixed-capital investment (FCI) A. 6-15% of DC. Allowance for funds used during construction (AFUDC) . 3-20% of FCI) Instrumentation and controls ( 6 4 0 % of PEC.1 Continued SPDF SUC TCC TCI TCR TDI TL TNI TRR TXD TXI Single-payment discount factor startup costs Total capitalized cost Total capital investment Total capital recovery Total depreciable investment Tax life Total net investment Total revenue requirement Tax depreciation Taxable income USCAF Uniform-series compound-amount factor USPWF Uniform-series present-worth factor USSFF Uniform-series sinking-fund factor Working capital wc ~ ~~ Table 7. - “Total capital investment = fixed-capital investment + other outlays = direct costs + indirect costs + other outlays . 2-8% of FCI) Electrical equipment and materials (IO-15% of PEC.2 Breakdown of total capital investment (TCl)B ~ I. Construction costs including contractor’s profit (15% of DC. Offsite costs (OFSC) Land (0-10% of PEC. and architectural work (15-90% of PEC. 2-10% of FCI) 2. 15-40% of FCI) Purchased-equipment installation (20-90% of PEC. structural. Onsite costs (ONSC) Purchased-equipment cost (PEC. . Direct costs (DC) 1. 8-20% of FCI) B. Costs of licensing. Other outlays A. 6-22% of FCI) 3.

Estimating the cost of purchased equipment (including spare parts and components) is the first step in any detailed cost estimation.7. the quality of cost estimates obtained through software packages may not necessarily be better than the quality of data received from various estimating charts as discussed next.2 correspond to the installed equipment cost (including supporting equipment and connections) for all items shown on the process flow diagram. however.1. quotations from experienced professional cost estimators. steam. For large projects. When vendor quotations are lacking.2 include costs associated with the production and distribution of utilities. wastewatertreating facilities. The next best source of cost estimates are cost values from past purchase orders. In addition. and storage facilities for raw materials and finished products.) for various boiler . The offsite costs of Table 7. and allowance for funds used during construction (interest incurred during construction). and utilities (to be treated for recycling) are exported. the range of operation. The best cost estimates for purchased equipment can be obtained directly through vendors’ quotations. working capital.1 presents a typical chart for steam boilers [3]. respectively. or the cost or time requirements to prepare cost estimates are unacceptably high. roads. the terms inside-battery-limits costs and outside-battery-limits costs are used as synonyms for onsite costs and offsite costs. These charts have been obtained through the correlation of a large number of cost and design data. and the construction materials have been determined during the flow diagram development. Figure 7. research and development. 7. The following subsections outline briefly the estimation of total capital investment. Therefore. by-products. the purchase prices of various equipment items can be obtained from the literature [2-8 and 11-16] where they are usually given in the form of estimating charts. raw materials.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 337 outlays consist of the startup costs. chemicals. vendors’ quotations should be obtained at least for the most expensive equipment items. This figure gives the purchased-equipment base cost (C. Over the battery limits. water. These items are built within a specific geographic area called battery limits. costs of licensing. etc. utilities (electricity. Shipping and installation charges need to be estimated separately. some commercially available software packages can assist with cost estimation. and catalysts are imported and manufactured products. More information is provided in [2-131.). or calculations using the extensive cost databases often maintained by engineering companies or company engineering departments. refrigeration. Estimating Charts. It is apparent that the accuracy of cost estimates depends on the amount and quality of the available information and the budget and time available for making estimates. The type of equipment and its size. general offices.1 Cost Estimates of Purchased Equipment The onsite costs of Table 7.

These effects are considered through factors such as the design-type factor (f. the so-called bare module factors ( fBM) can be applied [7.. 1a a 20 20 10 - loo - I25 170 100 100 106 IO IO IO Heating duty.).1 Purchased-equipment costs and factors for module.) types in a log-log plot as a function of the heating duty. temperature. temperature factor ( f T ) . In addition to these factors. Q (kJ/r) Figure 7. The base cost for an equipment item is the purchase cost of this item fabricated from the most common or base material (usually carbon steel) and designed to operate at a given (usually low) temperature and pressure range. and pressure factor (f. As an exception to this rule. pressure. Inc. The base cost is usually given for a specific design type of an equipment item if different types are available. Figure 7.. and pressure on costs.). The bare module factor times the total base cost of purchased equipment within the module gives the sum of the direct and indirect costs for that module. That is..1 gives the base cost for various boiler types.338 ECONOMIC ANALYSIS Tube Tube 1 Factor Factor Installation. which correct the base cost of purchased equipment for the corresponding variable. 113.) may be obtained from expressions such as . Often the estimating charts or separate plots contain information on the effects of equipment features. (From [ 3 ] . A module includes the major piece of equipment in question plus all of the supporting equipment and connections. material.). with permission from John Wiley & Sons. the module cost (C. material factor (f. and temperature for steam boilers.

f p . Charts should.3) and the bare module factor (Appendix B in [12]). the calculated value of the modular factor f B M in Equation 7. For a shell-and-tube heat exchanger. estimating charts are extremely useful tools in preliminary cost estimates. different relations might apply to different charts. An alternative to the estimating charts is a table that gives the component unit cost together with the appropriate scaling exponent (Equation 7.2 illustrates graphically the procedure for obtaining a bare module factor for use with Equation 7. 7. The slope of this line. Estimation of the indirect cost factor leads to the total module cost and the bare module factor. The underlined quantities on the right side of Equations 7. C equipment. The relation to be used in conjunction . 121. therefore. is typically given together with the eswith these factors for calculating C timating chart. and no additional information is provided. the data correlation results in a straight line (in a given capacity range). is the base cost of purchased depending on the estimating chart used. The accuracy of estimating charts is often relatively poor. After estimating the direct material costs and the ratio of the direct labor costs to the direct material costs..45.18. The C. and f B M for several equipment items can be found in the literature [3.represents an important cost-estimating parameter (sealing exponent) as shown by the relation . The equipment cost reported in the literature occasionally includes the associated installation cost.2 is 3.1 ESTIMATION OF TOTAL CAPITAL INVESTMErNT 339 cM = cB f d f m f T f p f BM (7.1 and 7.2. f r .2 represent the purchased cost ( C ) . The calculation of the modular factor starts by assigning 100% to the purchased-equipment cost and then moving downward and to the right. and most references show just a single line for each equipment category in the estimating chart. show a broad band rather than a line. If the sum of the equipment and installation cost is known. the purchased-equipment cost can be obtained by dividing the sum by an average factor of 1. to indicate the anticipated cost range. 4. In a typical cost-estimating chart. However. a. The deviation between values obtained from charts and actual vendor quotations may vary by a factor of 2 [4]. Figure 7. when all available cost data are plotted versus the equipment size on a log-log plot. Effect of Size on Equipment Cost. The values of the factors f. a single value representing an average or typical cost is convenient for the estimator.1) or . for the equipment item being considered. value is obtained from the appropriate cost chart. Here. When more than one chart is used.7. The numbers given in parenthesis refer to a shell-and-tube heat exchanger [7]. Though often lacking in accuracy. the total direct costs are computed.

7) (5. The values in parenthesis are for shell-and-tube heat exchangers (from [7]). Contingency Fee = MODULE (317. . etc.9) Equipment Materials Subcontracts 'm' ENGINEERING + CONSTRUCTION OVERHEAD INDIRECT COST (87. Freight.8) BARE MODULE FACTOR = 3.0) (3.0) Handling Setting (0.18 Figure 7. Taxes.340 ECONOMIC ANALYSIS MATERIAL COMPONENT 1 LABOR COMPONENT TOTAL MODULE Purchased Equipment Cost (E) (100) Piping Concrete Steel Instruments (44. 11.2 Schematic representation of the procedure used to estimate the bare module factor [7.0) (10. 121.5) Project Process Design Procurement Office Overheads Fringe Benefits Payroll Burden Field Supervision Temporary Facilities Equipment Rental Small Tools. etc.

. published in the magazine Engineering News Record). NelsonFarrar Refinery Cost Index (based on construction costs in the petroleum industry). the U. All cost data used in an economic analysis must be brought to the same reference year: the year used as a basis for the cost calc.7. When Equation 7.3 is used. listed in Chemical Engineering and in the Oil and Gas Journal).3) This equation allows the purchase cost of an equipment item (C. ) at a different capacity the purchase cost of the same equipment item ( or size (expressed by X. an exponent value of 0. reported monthly in the magazine Chemical Engineering).ulations. Marshall and Swift (M&S) Equipment Cost Index (based on construction costs for various chemical process industries. In the latter case. Existing cost indicators include the following: Chemical Engineering (CE) Plant Cost Index (based on construction costs for chemical plants.) at a given capacity or size (as expressed by the variable X. this is done with the aid of an appropriate cost index (CI): Cost at the reference year = original cost cost index for the reference year cost index for the year when the original cost was obtained \ / The cost index is an inflation indicator used to correct the cost of equipment items.3 shows the primary variable X and typical values of the exponent cy for equipment items commonly used in thermal design projects. Table 7. The variable X in Equation 7.6 may be used.) to be calculated when & . labor. This approach is known as the six-tenths rule. the scaling exponent a is usually less than unity.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 341 (7. and supplies to the date of the estimate. In addition. Bureau of Labor Statistics pub- . Cost Indices. For cost data based on conditions at a different time. For thermal process equipment. the exponent is usually assumed to remain constant within a given size range of the equipment. the size limits for which this correlation is valid should not be exceeded. In the absence of other cost information..3 is the primary design variable or combination of variables that characterizes the size of the equipment item in question. and Engineering-News-Record (ENR) Construction Cost Index (based on general industrial construction.S.) is known. material. The scaling exponent a for the same equipment item might change with the reference year and with varying size. expressing the fact that the percentage increase (or decrease) in equipment cost is smaller than the percentage increase (or decrease) in equipment size.

93 Surface area Surface area Cross-sectional area Power Surface area Volumetric rate Heat duty Net power 0.54 0. coal.85 0.0-10 m2 1. vacuum) Dryer (drum.60 0. compressor or blower Gas-turbine drive Gas-engine drive Motor drive Turbine drive Dryer (drum.2 MW 1.05-10 m2 3. 121 Equipment Air cooler Blower (axial.5 MW 0.95 5-350 MW 50-2000 MW 0. coal.5-5.5-33 std m3/s 0. field erected.05-8 MW Exponent a 0. gas or oil) Boiler (industrial. w/o drive) Cooling tower Driver for pump.93 0. centrifugal and reciprocating.70 0. or oil) Boiler (utility.44 1.78 0.65 0.5 MW 1. gas.15-7. coal.43 0.04-7.2 MW 0.3 Typical values for the scaling exponent a in Equation 7 .40 0.75 0.15-6 MW 10-1000 m2 0.5 MW 0.70 0. atmospheric) Duct Electric motor Evaporator Fan (centrifugal) Fired heater Gas-turbine system Variable X Surface area Power Size Range 28-650 m2 0.40 0.342 ECONOMIC ANALYSIS Table 7. fan. W / O drive) Blower (rotary.60 0.05-1. w I O drive) Compressor (rotary. packaged.89 .17 0.7.5-80 MW 0.78 0.oo 0.76 0. 3 for various equipment items [2-4.07-7.0 std m3/s 9.05-8 MW Power Cooling water rate Power 0.05-1.05-9 m3/s 0.0-10 m2 0.5-10 MW 0.80 1.01-15 MW 70-200 MW 0.73 0.55 0.95 Power Heat duty Heat duty Heat duty Power 0. centrifugal and reciprocating.07-7. gas or oil) Compressor (axial.5 MW 0.5-15 kW 15-150 kW 0. w 1 0 drive) Boiler (industrial.

For example. If costs estimated from this figure are to be converted to mid-1992 values (CE equipment cost index = 392).3-20 kW 20-200 kW 0.5-300 kW 0.97 0.81 0. the costs would be multiplied by the ratio 392/315.66 0.90 0. or groups of components.40 0.7.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 343 Table 7 .23 0.37 0.95 0. use of the Marshall and Swift Equipment Cost Index is recommended for single equipment items.76 0.68 0. including motor) Pump (vertical.50 Circulating capacity Power Volume Capacity Height Power Volume Volume Volume Volume Capacity Condensing Storage tank Storage vessel Tank (flat head) Tank (glass lined) Transformer 50-600 MW 0. they should not be applied to equipment items for which the prices have been significantly af- .07-150 m3 150-19 X lo3 m3 0.20 0.49 1. 3 Continued Equipment Heat exchanger Double pipe Flat plate Shell and tube Spiral plate Spiral tube Hopper (industrial) Internal combustion engines Piping Process vessel Pump (reciprocating.2-50 MVA 0.65 0.007-10 MW 5-75 cm 1-120 m 0. The Chemical Engineering (CE) Cost Index is recommended for total plants. including motor) Pump (turbine) Reactor Separator (centrifugal) Stack Steam turbine Noncondensing Variable X Surface area Size Range Exponent a Capacity Power Pipe diameter Tray stack height Power Power 0. Cost indices applied to single equipment items should be used with caution when considering time intervals of 10 years or more. For thermal design projects.2-6 m2 15-1500 m2 15-400 m2 2-200 mz 2-20 m2 2.4-40 m3 0.45 0.49 0.2-4 m3 1. Figure 7.3 kW 0.39 lishes monthly cost indices for materials and labor in various groups of industries in the Monthly Labor Review.57 0.45 0.3 kW 0.3-20 kW 20-200 kW 0. including motor) Pump (centrifugal.4-4 m3 0.48 0.84 0.4-7 m3 10-150 m 0.55 0.02-0.1-15 MW 0.60 0.06-20 m3/s 0.16 0.43 0.5-2000 m3 0.1 shows a CE plant cost index of 315 that corresponds to a mid-1982 cost level.02-0.25 0.30 0.

the costs for labor. The low end of this range (10-20%) applies to plants with only solids handling. As mentioned previously.2 are average values based on experience from various plants in the chemical process industry. a percentage of fixed-capital investment (% of FCI) can be used. For a process involving solids only. respectively. The installation cost covers the freight and insurance for the transportation from the factory. For an entire industry branch and large groups of equipment items. can be used to estimate the piping costs [2]. the expenses for equipment insulation. In the absence of other information. however. For estimates of the complete system costs. unloading. the factor method calculates the cost components of the fixed-capital investment in terms of a percentage of the purchased-equipment costs (% of PEC). however. or fluids only. handling. an average value of about 45% may be used. and all other construction expenses related directly to the erection and necessary connections of the purchased equipment. cost indices provide a reasonable estimate of the average cost escalation with time. solids and fluids. The cost for piping includes the material and labor costs of all items required to complete the erection of all the piping used directly in the system. already include the installation costs. foundations.2 are now discussed. and the high end (50-70%) to plants with fluids handling and with considerable recycling and heat exchange. we have considered the purchased-equipment cost component of the fixed-capital investment. If the module factors are available. Piping. as shown in Table 7. In general. these factors. an average value of 16. required when high or low temperatures are involved. 4. 61. These costs may be estimated either through calculations based on detailed flow diagrams and drawings or through a factor method.2 Estimation of the Remaining FCI Direct Costs Thus far. are usually included in either the installation or the piping costs. Purchased-Equipment Installation. installation is often not considered separately but is included indirectly in other cost components such as piping.2.344 ECONOMIC ANALYSIS fected by technology improvements or competition. 31. 7. they should be used directly. instrumentation. and electrical equipment [4]. Alternatively. and 66% of purchasedequipment cost. this approach is not discussed in detail here. Insulation costs are between 2 and 8% of the purchased-equipment cost [2]. which vary with the equipment type. This cost is needed only when the economic analysis is conducted separately for single equipment items or small groups of items. supports. . This cost represents 10-70% of the purchased-equipment cost [2. Finally. More details are given in the literature [2-51. The percentages given in Table 7. The remaining direct cost components listed in Table 7. the installation costs for equipment vary from 20 to 90% of the purchased-equipment cost [2-41.1. As illustrated in the paragraphs to follow.

For conventional steam power plants. emergency power supplies. Land. distribution lines. fencing. the average value being about 11%. an average value of about 20% may be assumed for this factor. yard improvements.7. sidewalks. the cost factor for this category varies widely depending on whether the work refers to a new system at a new site or to an expansion of an existing site. As ‘Table 7. water. Electrical Equipment and Materials. which includes materials and installation labor for substations. The cost of service facilities (or auxiliary facilities) includes all costs for supplying the general utilities required to operate the system such as fuel(s). control centers. The factor used to calculate these costs tends to increase as the degree of automation increases.4 indicates. however. The cost of land strongly depends on the location and. the increasing use of computers and more complex control systems often dictates a higher value for this factor: A more typical range of values of the cost factor for instrumentation and controls might be 6-40% of the purchased-equipment cost. including services.g. electrolytic installations). Service Facilities. If land is to be purchased. the low end values (6-1096) apply. usually does not decrease with time. distillation) plant ~~ ~ Site Izxpansion of an Existing (%I Site (%) 30 22 21 83 62 60 40 44 20-33“ “The lower number applies to petroleum refining and related industries. This cost.. structural. This category includes the total cost for all buildings. . and to decrease with increasing total cost.. switch gears. the cost may be up to 10% of the purchased-equipment cost. and Architectural Work. Structural. as well as the costs for roads.g.4 Cost for civil.g. shale oil) plant Fluid processing (e. this factor could become as high as 40%.1 ESTIMATION OF TOTAL CAPITAL 1NVESTME:NT 345 lnstrumentation and Controls. and so forth is usually 1015% of the purchased-equipment cost. area lighting. coal briquetting) plant Solid-fluid processing (e..g. steam. In the absence of other information. In specific systems (e. and architectural work as a percentage of purchased-equipmentcost (adapted from 121) New Plant at New New Unit at Existing Site Type of Process Plant Solid processing (e. and so forth. Civil. unlike other costs considered in this section. and electricity (assuming that these utilTable 7. However.. Factors between 2 and 30% of the purchased-equipment cost have customarily been used. landscaping.

air pollution monitoring and wastewater treatment). construction. and uniqueness of the plant.346 ECONOMIC ANALYSIS ides are not generated in the main process).1. In addition. averages about 15% of the total direct cost. scale models.2: engineering and supervision. fire protection. This category also includes the costs of waste disposal. supervision. including contractor’s profit. refrigeration. The total cost of service facilities may range from 30 to 100% of the purchased-equipment cost.2. and construction or in the category of equipment installation. insurance. Construction (Including Contractor’s Profit). When using a new process. 7. and consultant fees. administration. a percentage of the total direct costs is also used for indirect costs. home office personnel located at the construction site. Contingencies. purchasing. and contingencies. All these uncertainties and risks are considered through a contingency factor. Cost estimates are based on assumptions for cost and pro- ductivity. Frequently. first aid. The capital investment for engineering and supervision includes the cost for developing the detailed plant design and drawings. tools and equipment. work stoppages.3 Indirect Costs of FCI Let us turn now to the indirect cost categories listed in Table 7. whicii is usually negotiable. In some estimates. environmental control (e.. travel. and sewage. sudden price changes. and the costs associated with cost engineering. which may vary significantly from the actual values. is included in this category. and transportation difficulties might affect the actual costs. unpredictable events due to weather. An average value of 65% may be assumed for this factor in the absence of other information. which normally ranges between 5 and 20% of the fixed-capital investment. and the equipment required for shops. inert gas.g. The capital investment for construction includes all expenses for temporary facilities and operations. The cost for construction. Finally. the indirect costs can be estimated as percentages of the purchased-equipment cost or the fixed-capital investment. An average value of about 30% of the purchased-equipment cost or 8% of the total direct costs for the plant can often be used [2]. and cafeteria. Also the contractor’s fee (profit). size.1. Engineering and Supervision. and so forth. the costs for construction might be included in a single category under engineering. The costs for engineering and supervision may be 25-75% of the purchased-equipment cost. design changes might become necessary after completion of the design process. The contingency factor depends on the complexity. These costs are in addition to the construction charges discussed previously. As for the direct costs con- sidered in Section 7. a separate contingency factor for . engineering supervision and inspection.

In the first of these approaches. and overhead expenses to be used only during startup time. plus the loss of income while the system is not operating or operating at only partial capacity during the same period. materials. the startup costs are said to be capitalized. and supplies carried in stock. The contingency factors to be used in electric power generation processes are discussed in Reference 1. (c) one week of fuel at full load.2 for cost escalation. equipment. (c) accounts receivable. fuels. 7.7.1. Depending on the tax situation of the company. These costs might run from 5 to 12% of the fixed-capital investment. the startup costs may be presented either as part of the total capital investment or as a one-time-only expenditure in the first year of system operation.2 that make up the fixed-capital investment category. . Startup Costs. to pay for the operating expenses before payment is received through the sale of the plant product(s). Companies often consider the fraction of the startup costs that is allocated to equipment modifications as part of the capital investment. that is. The plant-facilities investment (PFI) is equal to the fixed-capital investment minus land costs. (b) finished products in stock and semifinished products in the process of being manufactured. the startup costs are the sum of the following unescalated' costs [ 11: (a) one month of fixed operating and maintenance costs. we consider all startup costs as part of the indirect costs.2. For simplicity of the analysis presented here. The startup costs include labor. whereas the funds used for additional workforce and materials needed to start up the system are considered first-year operating expenses [IO]. In the absence of other information.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 347 this process should be used in addition to the overall system contingency factor. and (d) 2% of the plant-facilities investment. The working capital consists of the total amount of money invested in (a) raw materials.2 category labeled other outlays. Let us now consider the Table 7. wages. For electric power plants. (d) cash kept on hand for operating expenses (raw-material purchases. Working Capital. an average value of about 10% of the fixed-capital investment may be used for the startup costs. fringe 'See Section 7.4 Other Outlays The discussion to this point has concerned the direct and indirect costs listed in Table 7. The working capital represents the funds required to sustain plant operation. (b) one month of variable operating costs calculated at full load. These costs are mainly associated with design changes that have to be made after completion of construction but before the system can operate at design conditions.

as done here. or a combination of loans and company resources.). etc. or. The time period between the beginning of design and system startup may be 1-5 years. The initial investment analysis is simplified if we assume that the working capital is related to the total capital investment: The working capital usually represents 1020% of the total capital investment. Allowance for Funds Used During Construction (AFUDC). solvents. as part of the working capital. If a lump-sum payment with or without royalties is required. and the interest rate is given. capitalized. Thus.4.1.5 Simplified Relationships The object of this section is to provide simplified expressions for estimating the total capital investment required for a new system or an expansion. and is based on an interest rate (cost-of-money rate) equal to the weighted cost of capital [l].1. .1 through 7. the allocation of fixed-capital investment to the individual years of this period is estimated.1. the allowance for funds used during construction can be calculated using the formulas presented in Section 7. This interest is compounded on an annual basis (end of year) during the construction period for all funds spent during the year or previous years. The expressions are obtained using typical values for the various cost categories of Table 7. in the absence of other information. During this period. Licensing. a factor of 15% may be used. and Development. As discussed later. and so forth can be considered either as a separate outlay. the working capital for power plants is calculated from the sum of the unescalated expenses representing 2 months of fuel and variable operating costs at full load.348 ECONOMIC ANALYSIS benefits.2. direct loans. as well as on the time it takes to receive payment for the products sold. adsorbents. The working capital depends on the average length of time required for the product to be manufactured and reach the customer. Therefore.2 discussed in Sections 7. and (e) accounts payable [2]. The allowance for funds used during construction (sometimes called interest during construction) represents the time value of money (Section 7. Research. 7. When the total design and construction time period is known. and other current obligations. taxes.2. purchase and installation of equipment and so forth. According to Reference 1.1) during construction. and 3 months of labor costs plus a contingency of 25% of the total of the above three items. this money may come from the company resources. various amounts of money are disbursed without obtaining any revenue. The costs associated with the initial charge of catalysts. parts of the investment must be released to finance design studies. civil engineering work. costs associated with licensing and costs incurred in the past for research and development directly related to the system (or a process of the system) being considered must be added to the total capital investment-that is.

13 we have .11 TCI = 1.6) The direct costs include the onsite costs (ONSC) and the offsite costs (OFSC): DC = ONSC + OFSC (7. 7.5) whereas the fixed-capital investment is the sum of the direct cost (DC) and the indirect costs (IC): FCI = DC + IC (7.5. 7.20 ONSC (new system) = (7.6.9) (7. 7. the total capital investment (TCI) is the sum of the fixed-capital investment (FCI).7. and 7.25 DC (7.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 349 According to Table 7.45 ONSC (expansion) From the discussion of Section 7. and allowance for funds used during construction (AFUDC): TCI = FCI + SUC + WC + LRD + AFUDC (7.11) 0.15 TCI 0.2. research.15 FCI (7.3 we have WC SUC If we further assume that LRD and IC = = = 0.47 FCI (7. startup costs (SUC).9. and development (LRD).10.7) The onsite costs can be estimated directly from correlations [7].1. costs of licensing.10) + AFUDC = 0. Accordingly OFSC 1.8b) 0.12 and 7. The offsite costs may be 100-200% (average value 120%) of the onsite costs for the construction of a new facility or between 40 and 50% (average value 45%) of the onsite costs for an expansion of an existing facility.8a) (7. 7.10 FCI (7.7. working capital (WC).13) Then with Equations 7.12) we obtain from Equations 7.

15b may be used.) and plant size range. respectively.83 PEC (expansion) With these.05 ONSC (new system) = (7.14) Introducing Equations 7.17b or 7.17a) (7.17a after the purchased-equipment costs have been estimated or Equation 7. design requirements (environmental controls. based on relatively old data and have a high potential for error because of changes in technology. however. FCI 4.15a) (7. energy costs. Since the total capital investment is several times larger than the sum of equipment base costs.16a) (7. Equation 7.84 DC = 1. That is.84(ONSC + OFSC) (7. Complete Plant Cost Estimation. etc.67 ONSC (expansion) The FCI for a new system is usually in the range of 280-550% of the PEC with the average value being about 430%.15a after the module costs have been calculated according to Reference 7.30 PEC (new system) = (7. These charts are. For a system expansion. 12-14] give the average cost of complete plants as a function of plant size.32 PEC (new system) = (7. with the above simplified relationships we can only obtain order-of-magnitude cost estimates. the cost estimation of purchased equipment becomes very important for the accuracy of total capital investment estimation.15b) 2.8.14 gives TCI 4. it is important to remember the underlying assumptions. Equation 7. For several types of . Some charts in the literature [4.16b) 2. In general.350 ECONOMIC ANALYSIS TCI = 1. When any of these equations is applied.13 gives TCI 6. For a system expansion the FCI averages about 283% of the PEC. Equations 7.17b) 4.16 PEC (expansion) These calculations show that to obtain a rough estimate of the total capital investment for a new system we may use either Equation 7.

58 0.66 0.5 Typical values for the scaling exponent a in Equation 7.80 1. respectively.05-10 MW 10-150 MW 0.67 0. we assume that vendors have provided in mid.70 0.005-5 m3/s 0. Table 7.7.5-16 Nm3/d 85-1000 t /d (0.84 0.89 0.72 0.75 0. Table 7.78 0. 12-14] Plant Air (liquid) Air plant (packaged) Ammonia Argon Carbon black Carbon dioxide (gas or liquid) Cogeneration plant Electric power plant Ethanol Liquified natural gas Methanol Natural gas purification Nitrogen (liquid) Oxygen (gaseous) Oxygen (liquid) Refinery (complete) Refrigeration unit Refuse-to-electricity Sour gas treating Sulfuric acid SNG from coal Wastewater treatment plant Water desalination Capacity Variable Product flow rate Compressed dried air rate Product flow rate Product flow rate Product flow rate Product flow rate Net power Net power Product flow rate Product flow rate Product flow rate Product flow rate Product flow rate Product flow rate Product flow rate Feed flow rate Cooling load Net power Feed flow rate Product flow rate Product flow rate Water flow rate Water flow rate Capacity Range Exponent a 0.7.5) X IO6 Nm3/d 0.05-3 m3/s 0.6 provides an estimate of the total capital investment of the cogeneration system presented in Figure 1. 7. The remaining components of direct costs and the indirect costs are estimated using the factors shown in parentheses.oo 0.75 0.5 gives the capacity exponent c r for use in Equation 7.67 0.68 0.3 for entire plants 14. and the cost breakdown among their components is usually not quoted. . to illustrate the relative cost contributions of the components to the total.6 Cogeneration System Case Study To illustrate the concepts discussed in this section.86 0. Gas-turbine systems are supplied as packaged systems.90 0.1.59 0.89 "The symbols tld and tlyr refer to metric tons per day and metric tons per year. The symbol bblld means barrels per day.37 0. Table 7. 7.75 0.1-100 Nm3/s 450-1800 t/d 25-500 Nm3/h 45-900 t l d 85-920 t/d 5-150 MW 1.70 70-4000 t/d" 0.0-1000 MW (4-40) x IO3 m"/yr (40-400) x IO3 m3/yr (1-20) x lo3 t/d (1.56 0.1 ESTIMATION OF TOTAL CAPITAL INVESTMENT 351 complete plants.6. However.2-18) x IO6 t / y r 18-270 t/d 70-4000 t/d 35-900 t/d 500-2700 t/d (9-120) X IO3 bbl/d" 0.5-5.66 0.3.75 0.1994 dollars the purchased-equipment costs shown at the top of Table 7.

6.6 Estimate of total capital investment for the case study cogeneration system (all costs are expressed in thousands of mid-1994 dollars) I. is 38.974 X lo6 mid-1994 dollars.304 5.974 Referring to Table 7. Other outlays Startup costs (Section 7.924 0 3.739 1.630 3.310 942 11.45 x lo6 mid-1994 dollars.850 1.9) Working capital (Section 7. The total capital investment of the cogeneration system is 45.230 500 2.9) Costs of licensing.320 1.430 21.352 ECONOMIC ANALYSIS Table 7.524 45.2.23 1 4. .000 Total purchased-equipment cost (PEC) Purchased-equipment installation (33% of PEC) Piping (35% of PEC) Instrumentation and controls (12% of PEC) Electrical equipment and materials (13% of PEC) Total onsite costs 2. the fixed-capital investment for this project is estimated at 39.353 6.890 2.183 34. research and development Allowance for funds used during construction (Section 7.2. 3.95 x lo6 mid-1994 dollars for this project. Fixed capital investment A.450 1.2.9) Total other outlays Total capital investment 3.660 27.850 6.247 1.146 11. Direct costs 1. Onsite costs Purchased-equipment costs Air compressor Air preheater Combustion chamber Gas turbine Heat-recovery steam generator Other plant equipment - -. The calculation of other outlays is discussed in Section 7. Indirect costs Engineering and supervision (8% of DC) Construction costs and contractor’s profit (15% of DC) Sum Contingency (15% of the above sum) Total indirect costs Fixed-capital investment 1 1 . structural. Offsite costs Land Civil.560 39. which is the difference between fixed-capital investment and land costs.8. and architectural work (21% of PEC) Service facilities (35% of PEC) Total offsite costs Total direct costs B.735 936 338 3.2.310 3. The plant-facilities investment.

1. This section presents a brief review of engineering-economics principles. The principles are also used in Sections 7. Future Value.2. If P dollars (present value) are deposited in an account earn- ing i percent interest per time period and the interest is compounded at the end of each of n time periods.2 PRINCIPLES OF ECONOMIC EVALUATION In the previous section methods have been discussed for estimating the capital investment costs of equipment and complete systems. If.230 X lo3) = $56.16 PEC = (4.15b or Equation 7. If further elaboration is required on any point. 5 .684 X lo6 4.6. the principal results elicited are listed in Table 7.6 are either given or calculated as indicated in the table. for this particular cogeneration system.3 and 7. In this section such methods are considered.15b is 23% higher than the value calculated in Table 7. we would obtain the following values for total capital investment depending on whether Equation 7. as the cost evaluation of a project requires comparisons of money transactions at various points in time.17b is used: TCI or TCI = = 2.5 would be applied to results shown in Table 7.18) . and expenditures.g. readers should consult the literature [e. whereas the value predicted by Equation 7. 17. 181. 7. the simplified relationships of Section 7. the account will grow to afuture value (F) F = P(1 + i)" (7. 7. Thus. the simplified Equation 7.2 PRINCIPLES OF ECONOMIC EVALUATION 353 For the cogeneration system we assume that all values shown in Table 7. 2.2. we need methods that will enable us to account for the value of money over time.7.7.5 in evaluating the profitability of various investments.1 Time Value of Money Decisions about capital expenditures generally require consideration of the earning power of money: A dollar in hand today is worth more than a dollar received one year from now because the dollar in hand now can be invested for the year.17b gives a good estimate of the total capital investment.760 X lo6 Thus.67 ONSC = (2. The use of these principles is illustrated in Section 7. 13.6.. however.16)(11.8 by application to the cogeneration system case study.4 in estimating the cost of a product and in Section 7. projects.000 X lo3) = $45.67)(21.

however.354 ECONOMIC ANALYSIS Interest is the compensation paid for the use of borrowed money.19) Here. If compounding occurs p times per year ( p B 1) for a total number of n years (n 2 l). is obtained by eliminating F / P from Equations 7. The effective rate of return.21 and 7. np is the number of periods and i l p is the rate of return per period.23) where n is now a fraction of a year and i. i = ei ... we will use the terms rate of return for an investment made and annual cost of money for borrowed capital. the simple interest formula can be used to calculate the future value: F = P(1 + nieff) (7. The efSective rate of return is the annual rate of return that would yield the same results if compounding were done once a year instead of p times per year.21) If continuous compounding of money ( p calculated from - co) F = Pein It is apparent that in the case of continuous compounding the effective rate of return becomes .07 instead of 7%).20) is used.19 and 7.22) In Equations 7.19 as i.1 (7. the annual rate of return i is known as the nominal rate of return.21 can be expressed in the same form as Equation 7. Compounding Frequency. Instead of the term interest rate.18: .22. i is the nominal annual rate of return and n is the total number of years. and i is the annual rate of return.18 and 7. If the time is less than one year. = (1 + ir - 1 (7. the future value is (7. in equations. the unit of time is usually taken as the year. In this case.g. which is higher than the nominal rate of return. In engineering economy. 0. it is expressed as a decimal (e. The interest rate is usually stated as a percentage. Equations 7.18 becomes F = P( 1 + i)np (7.. is the annual effective rate of return. Equation 7.

cost-of-money compounding and ordinary annuities are assumed.7 Summary of basic formulas and factors used in economic analysis Formula” F P P . to simplify calculations. . Also.23) for the fractional part and the compound cost-of-money formula (Equation 7.22 in the case of continuous comreferred to as the single-payment compoundpounding. bTabulated values for these factors are provided in the literature [2. if compounding occurs p times per year.26) Uniform-series sinking fund factor (USSFF) Uniform-series present-worth factor (USPWF) Capital-recovery factor (CRF) Capitalized-cost factor (CCF) Constant-escalation levelization factor (CELF) (7.7. A more precise approach would be to use the simple cost-of-money formula (Equation 7. amountfactor (SPCAF). Table 7. and annual cost of money refer to their effective values.25) + ieff).32) (7.= (1 Factorb Single-payment compound-amount factor (SPCAF) Single-payment present-worth Equation (7.28) (7.1 A -= P (l+ieff)”-l i. rate of return.= (1 A A -= factor or single-payment discount factor (SPDF) 1 + iCff)” kif Lff Uniform-series compound-amount factor (USCAF) (7.24) for the integer part of the entire time period being considered. the terms interest. The term (1 + ieff)”. The exponent n denotes the number of years and ieff is the effective rate of return. Equation 7.24) (7.1 ‘K = Po (1 + 4ffY (1 + ieff)” .ff ( 1 + 4ffY A -. or Equation 7. is listed in Table 7. 1 F = (1 + ieffY F .2 PRINCIPLES OF ECONOMIC EVALUATION 355 F = P(l + ieff)” (7. 181.1 A k(1 .7.k “In these expressions.35.k”) _ CRF Po I .ieff (1 + i e f f Y P ( 1 + ieff)” .34) F (1 + ieff)” .27) (7. 17. The factor k is defined by Equation 7.20. when the cost of money is calculated for one or more years plus a fractional part of a year.24 is applied with a noninteger exponent. Unless otherwise indicated.24) where ieff is calculated according to either Equation 7.

25) The term 1/(1 + ieff>”. An annuity is a series of equal-amount money transactions oc- curring at equal time intervals (periods).4). The most common type of annuity is the ordinary annuity. Annuities are used in this chapter to calculate the levelized costs of the final product. is listed in Table 7.24 we see that a given future amount F has a present value P: (7.l ] / i e fis f called the uniform-series compound-amount The term [(l + ieff>” factor (USCAF).8 and 7. When evaluating projects. Money transactions of this type can be used. called the single-payment present-worth factor or the single-payment discount factor (SPDF). Annuities. These terms are also listed in Table 7. Multiplication of the USSFF with a known future sum F yields the amount of the equivalent annuity A. The present value (or present worth) of a future amount is the amount that if deposited at a given rate of return and compounded would yield the actual amount received at a future date. Since the difference between the future value and the present value is often called discount. and the reciprocal term ieff/[(l + ieff>” . we often need to know the present value of funds that we will spend or receive at some definite periods in the future.13 is called the uniform-series sinking fund factor (USSFF). fuel. percent per period (effective rate of return per period). the time period corresponds to one year. is called effective discount rate. the future sum F (amount of the annuity or future value of the annuity) accrued at the end of the nth period is F = A (1 + ieff)”leff 1 (7.. which involves money transactions occurring at the end of each time interval. An annuity term is the time from the beginning of the first time interval to the end of the last time interval. for instance. If A dollars are deposited at the end of each period in an account earning i. and so forth (see Sections 7.7.7.2. in this case the term ie. From Equation 7. Usually. The present value or present worth of an annuity is defined as the amount of money that would have to be invested at the beginning of the annuity term .26) . to pay off a debt or accumulate a desired amount of capital.356 ECONOMIC ANALYSIS Present Value.

3 1) 1 ieffU + ieff)n-I + ieff)"- CRF = iefxl + ieff)"-I (1 + ief$ . CapMized Cost An asset (e. 7.30) (7.27 and 7. Until now we have considered ordinary annuities where the money transaction occurs at the end of each time interval. will have a finite economic life of n years.27) The expression on the right side of this equation is called the uniform-series presenr-worth factor (USPWF).27. are obtained by combining Equation 7.( 1 leff + ieff) (7..28) The CRF is used to determine the equal amounts A of a series of n money transactions.30. however..28 are replaced by Equations 7.7. Equations 7. That is (7. the transaction occurs at the beginning of each time interval of the annuity term.g. and 7.31.28.7.25.1 For brevity. 7.29) (7. The reciprocal of this factor is the capitalrecovety factor (CRF): (7. a piece of equipment) of fixed-capital cost C. these formulas and the corresponding factors are not shown in Table 7. If.29.to yield a total amount at the end of the annuity term equal to the amount of the annuity.26 with Equation 7. the present value of which is P. The next two entries of Table 7.26. Equations 7.2 PRINCIPLES OF ECONOMIC EVALUATION 357 (present time) at an effective compound rate of return per period ieff. and 7. The economic life (or book life) of an asset is the best estimate of the length of time that the asset can . respectively: F = A (1 P = A (1 + ieff)n+' .7.

1. Engineers often want to determine the total cost of an asset under conditions permitting perpetual replacement of the asset without considering inflation. because the term capitalized cost is encountered very often in the literature of .) is defined in engineering economics as the first cost of the asset plus the present value of the indefinite annuity that corresponds to the perpetual replacement of the asset every n years. when compounded at an effective rate of return i.28) divided by the effective rate of return.2) are part of the total capital investment. Po is the first factor in square brackets on the right side of Equation 7. = [ CFC- (1 + ief')" s ][ (1 + ieffY (1 + ieff)" - 1 ] (7. The so-called capitalized cost (C. will have a future value of C. Multiplication of the present value of an asset (or expenditure) by the capitalized-cost factor yields the capitalized cost C . In accounting. .32) The second factor in square brackets on the right side of Equation 7. the capitalized cost C.25 as That is. for n years. .4 and Table 7. For instance. of the asset (or expenditure).32. The capitalized cost is often used in decision-making processes to compare the total cost of competing equipment options with different economic lives (Section 7.32. However. minus the salvage value S of the asset. called the capitalized-cost factor (CCF).358 ECONOMIC ANALYSIS be used. the present value of the indefinite annuity is calculated from Equation 7. the expenditures associated with other outlays (Section 7. the term capitalized cost describes an expenditure that results in benefits extending over more than one year.. The capitalized-cost factor is equal to the capital-recovery factor of an ordinary annuity (Equation 7. Assuming that the renewal cost of the asset remains constant (no inflation) at CFc .5).S.2.5.7 where Po denotes the present value at the beginning of the time period. The salvage value of an asset is the estimated economic worth of the asset at the end of its economic life. we obtain for the capitalized cost Solving the last equation for C c. and that both the useful life of the asset and the rate of return remain constant. The use of the term capitalized cost is more meaningful in accounting than in engineering economics where the term merely characterizes a special case of present-value calculation referring to an infinite project life.5). capitalization in this sense does not mean that the expenditures can automatically be written off for tax purposes (Section 7. is in excess of the fixed-capital cost CFc by an amount which. is listed in Table 7.

181. increased demand.7. The levelization factor depends on both the effective annual cost-of-money rate.33) To simplify calculations. Escalation. and technological advances [l]. and the nominal escalation rate r. The real escalation rate of an expenditure is the annual rate of expenditure change caused by factors such as resource depletion. When inflation occurs. costs change every year.) is the total annual rate of change in cost and includes the effects of both the real escalation rate and inflation: (1 + r.2 Inflation. it is important to be familiar with the different meanings that may be attached to it. The consumer price index. that is. Equation 7. The real escalation rate (r.. The constant-escalation levelization factor (CELF) is used to express the relationship between the value of the expenditure at the beginning of the first year (Po) and an equivalent annuity (A).g.4). we assume that all costs except fuel costs and the values of by-products change annually with the constant average inflation rate rj.2. which is now called a levelized value.2 PRINCIPLES OF ECONOMIC EVALUATION 359 both engineering economics and accounting..) is independent and exclusive of inflation.g.)(l + r i ) (7. ieff. or discount rate. fuel costs or O&M costs) over an n-year period results in a nonuniform cost schedule in which the expenditure at any year is equal to the previous year expenditure multiplied by (1 + r. 7. This results in a geometrically increasing series of expenditures [ 17. where r.: . the nominal escalation rate.. Levelization. The first two factors lead to a positive real escalation rate whereas the third factor results in a negative rate. a positive real escalation rate for fuel costs may be appropriate for the economic analysis of many thermal systems. which is tabulated by the federal government.). and Levelization Inflation.. but such a rate always represents a prediction. For future years a varying annual inflation rate can be used. we take r. The nominal (or apparent) escalation rate (r.) = (1 + r. General price injution is the rise in price levels associated with an increase in available currency and credit without a proportional increase in available goods and services of equal quality [ 11. = 0. Cost escalation applied to an expenditure (e. is a composite price index that measures general inflation. For simplicity we assume a constant average annual inflation rate (ri)for future years. Since fuel costs are expected over a long period of future years to increase on the average faster than the predicted inflation rate. is the constant rate of change. Escalation. Cost changes in past years are considered using appropriate cost indices (e.

.k") CRF 1-k (7.3 and 7.35) and the variables CRF and r.CELF = k(l P O . Equation 7. Solution To gain familiarity with concepts introduced thus far. P.33.1 Determine the levelized value ( A ) of a 5-year series of payments (n = 5 ) that increase at an annual nominal escalation rate (r. The concept of levelization is general and is defined as the use of timevalue-of-money arithmetic to convert a series of varying quantitites to a financially equivalent constant quantity (annuity) over a specified time interval.360 ECONOMIC ANALYSIS A _ . 7.28 and 7.34.18) The present value of that payment. is (Equation 7.34 represents the final entry of Table 7..7. and 7.25. we will first solve this problem using Equations 7.)of 4%. together with Equation 7.. Example 7.18.28.35.34 assumes that all transactions are made at the end of their respective years and Po is the cost at the beginning of the first year. This concept is also illustrated in the following example.25) The following table summarizes the calculations . are determined from Equations 7. in year m is (Equation 7. The average annual nominal discount rate (ieff)is 10% and the estimated cost of the payment at the beginning of the first year (Po)is $1000.34) where (7. respectively.. The payment C. Equation 7.4 to calculate the levelized fuel and O&M costs. the levelized total revenue requirements and the levelized total cost of the main product of a thermal system. and then present a more direct solution using the constant-escalation levelization factor. We apply the concept of levelization in Sections 7. Equation 7.

however.9455 + i. nominal return rate.9455 Substituting in Equation 7.88 845.170 1. 1 + 0.2.263 8 ) 1 . or real discount rate) is the money paid for the use of capital that does not include an adjustment for the anticipated general price-inflation rate in the economy.04 = 0.94 I The levelized value A is then obtained from the sum of present values using the capital recovery factor.00 1081.62 1 P.) and the nominal interest rate (in)is .13 799.2. Equation 7. This adjustment is included. 2 6 3 8 )= 1.. or nominal discount rate). 0 4 0 1.28 The CRF for n = 5 and ie.Thus A = ( 0 . The relation between the real interest rate (i. CELF = ( 1 0 0 0 ) ( 1 . = 10% is CRF = 0.34 CELF = k ( l . Alternatively. 9 4 ) = $ 1118.0.10 0 .45 893.125 1.082 1. 9 4 5 5 ( 1 ..1 + 0. From Equation 7. excluding inflation) earning power of money.94555) (0.03 755. 7.1182 and A = P . in the nominal interest rate (nominal costof-money rate. The real interest rate is based on the potential real (Le.0.2 PRINCIPLES OF ECONOMIC EVALUATION 361 Year 1 2 3 4 5 (1 + rn)m 1 .683 0.34 and 7. m= Pm 945. 2 3 9 ) ( 0 .60 1124. 1 1 8 2 ) = $1118.k CRF = = ( 4 .2.2638.75 1 0.217 cm 1040.45 == 4238.65 1/(1 + ieff)l)l 0.7.. real return rate.35 k=-- 1 I + rn .35.909 0. the levelized value A can be obtained using Equations 7. 2 6 3 8 ) ( 4 2 3 8 .k’) 1 .826 0.86 1 2 16.86 1169.3 Current versus Constant Dollars The real interest rate (real cost-of-money rate.

.)(l + Ti) (7. = Co(l + rr)j qc. enables engineers to get a better understanding of the costs involved.. and O&M costs.(1 + rn)J where C. appears to understate all cost values and leads to cash flows that may be significantly less than the actual values. however.0. respectively.36a) where ri is the general inflation rate. fuel costs. Longer term studies may be best presented in constant dollars so that the effect of many years of inflation does not distort the costs to the point that they bear no resemblance to today’s cost values. Using this equation we can calculate. a current-dollar analysis gives the impression that the project being analyzed is more costly than we would expect based on today’s cost values. From these equations. or in constant dollars by excluding inflation and considering only real escalation rates in cost projections and the real cost of money. For simplicity we assume that the nominal and real escalation rates and the general inflation rate remain constant. The results of studies involving no more than 10 years are best presented in current dollars. Such a method..362 ECONOMIC ANALYSIS (1 + in) = (1 + i. whereas a constant-dollar analysis presents the project as less costly than it ultimately will be. In general. Each approach has its strengths and weaknesses [ 11: A current-dollar analysis uses estimated costs that will more closely approximate the actual costs when they occur but appears to overemphasize fuel and O&M costs.067 or 6. In addition. is the cost of the same asset in the reference year. and makes levelized costs appear close to today’s values. A constant-dollar analysis gives a clear picture of real cost trends.. for instance.7% An economic analysis can be conducted either in current dollars by including the effect of inflation in projections of capital expenditures. we obtain . The choice between current or constant dollars depends on the purpose of the analysis.05 + = 0. is given by C.= C. the real cost of money when the nominal cost of money is 12% and the inflation rate is 5%: i r i= u r . Let us consider now the relation between constant and current dollars at the jth year after the reference year used in the cost calculations.. such an analysis may obscure some real cost trends and result in levelized values considerably higher than today’s values. The cost of an asset in the jth year expressed in constant (subscript cs) and current (subscript cu) dollars.0.05 1 ri 1.12 .

and byproduct values) must be escalated to the date they are expended. For the economic analysis of a thermal system we must register the date of reference for each cost number and specify (a) the beginning and length of the design and construction period.)j and with Equation 7. O&M costs. The expenditures for each year are incurred in the middle of the year.2 PRINCIPLES OF ECONOMIC EVALUATION 363 cj.4 Time Assumptions In an economic analysis.. (b) the anticipated economic life.3. research.36b) This equation is used in Section 7.w (1 (1 + rr)j + r. The revenues from the sale of products are received in the middle of each year of the system economic life. the sum of AFUDC is calculated at the end of the last year of this period.g. The costs for fuel. operation. total plant facilities investment. and development are escalated to the end of the last year of design and construction.2. other outlays.7. and (c) the life for tax purposes. The working capital and the costs of licensing. 7. and maintenance are incurred in the middle of each year of the system economic life. land costs. The allowance for funds used during construction (AFUDC) is paid annually during the design and construction period. .5. the following assumptions are made here: Land costs incur at the beginning of the first year of the design and construction period. Unless otherwise indicated. The total capital investment is allocated to the individual years of the design and construction period. The startup costs are expended in the middle of the last year of design and construction.33 (7. The beginning of commercial operation (beginning of economic-life period) is assumed to coincide with the end of the design and construction period. all available cost numbers (e. fuel costs.cs = Cj.

181. More details are given in [2. . the cumulative depreciation must not exceed (C.8 summarizes the mathematical relationships that can be used to calculate the depreciation allocation at the end of a year of the property life. n Straight line Sum-of-theyears digits Double declining balance ( n co. depreciation is an important accounting concept serving to reduce taxes during plant operation. The asset life used for tax purposes (as determined by statute) could be shorter than the asset’s anticipated economic life. The present-worth method is based on the reduction with time of future profits obtainable with the property.8 Summary of selected tax depreciation methods (adapted from [17l)a Cumulative Depreciation Allocation at the End of Year z Method ~~ ~~ ~ Depreciation Allocation at the End of Year z (DP. sum-of-the-years-digits.) CDP. There are many methods for depreciating the value of an asset. depreciation is a mechanism for repaying the original amount obtained from debt holders if the debt is to be retired. depreciation is not strictly related to the physical or economic lifetime of an asset.364 ECONOMIC ANALYSIS 7. 17. Table 7. and declining-balance methods-give no consideration to interest costs.2. In addition.s n (C0. whereas others (sinkingfind and present-worth methods) take into account the interest on investment.5 Depreciation Depreciation reflects the fact that the value of an asset tends to decrease with age (or use) due to physical deterioration. Some of these methods-straight-line.. Finally. Table 7.S) 4 z(2n 2(n + 1 . and the cumulative depreciation allocation at the end of a year.z) co[ l + 1- - (31 (1 n(n + z) 1) 1 2 3) 125% declining balance Sinking fund ~~ ~ i(1 + i)’-l + i)” - To= total depreciable investment (TDI) at the beginning of the economic life period (dollars) S = salvage value of the property at the end of the (tax or economic) life considered in the depreciation (dollars) n = tax life or economic life considered in the depreciation calculations (years) i = interest rate (decimal ratio) z = attained age of the property (years) (1 5 z 5 n) Note: Prior to the last year of ownership. technological advances. and other factors that ultimately will lead to the retirement of the asset. In that respect.9. = i= 1 2 DP.

37a) (7. The percentage factors for specific life periods were established in the United States by federal income tax regulations that went into effect in 1981 (ACRS) and 1987 (modijed accelerated cost recovery system. or MACRS).. .37b) (7. It is advisable for a company to keep two separate sets of books. are the total depreciable investment at the beginning of the economic life and the MACRS factor in the jth year. the annual tax depreciation (TXD) and the end-year tax book value (EYTXBV) are obtained from the following equations: TXDj = = TD1 fMACRS.. TL + 1 (7. in general. whereas it increases with time when the sinking-fund and present-worth methods are applied. depreciation will be considered for 16 years. In addition. Thus. one for meeting income tax requirements and one for meeting company requirements.. MACRS. The declining-balance method. 181.. and TDI and fMACRS.. TL and BL are the tax life and book life. 17.38~) 0. and the cost must be allocated over the property life. = EYTXBV. certain costs ( e g .. this is normally advantageous for a company.. = +1 (7. ..7. of the system.. Most expenditures that result in benefits extending over more than one year must be capitalized. if the tax life of the property is 15 years. + 2.. More details about ACRS. and the ACRS or MACRS give greater depreciation costs in the early life years of the property than in the later years.TXD. EYTXBV. The annual depreciation amount is constant when the straight-line method is used.. BL = TDI j = 1. respectively. and depreciation in general are given in the literature [2. different than the depreciation used for company internal purposes. EYTXBV. respectively.. Expenses associated with fuel costs and O&M costs are not depreciated but allocated to the year of acquisition. 0.-. a tax book value and a company book value can be calculated separately. j = TL + 2. The accelerated cost recovery system (ACRS) gives a set of statutory annual percentage factors for determining depreciation allowances based on a statutory class life period for a property. there is one more year of tax depreciation than the tax life. The final choice of the depreciation method depends on the property involved and on company practices.. It represents the worth of the property as shown in the accounting records. j.38b) (7. . BL Here the subscript j refers to the jth year of system life. TL j = TL EYTXBV. . .2 PRINCIPLES OF ECONOMIC EVALUATION 365 The difference between the original cost of a property and the cumulative depreciation at the end of a year is defined as the book value at the end of that year. j = 1.3sa) TXD. the sum-of-the-years-digits method. Since the tax depreciation is. land and working capital) represent nondepreciable expenditures for income tax . Assuming application of MACRS. It should be noted that according to the MACRS..

and common stock (35%).10)(0.2. we use only a simplified version of depreciation and accounting.6 Financing and Required Returns on Capital The money to cover the total capital requirement of an investment can come through the following sources: . preferred stock. and is calculated using i. Depreciation funds. the average annual rate of the cost of money is calculated as i = (0. The after-tax discount rute (iaJ reflects the effect of the deductibility of debt return on the federal income tax calculation for the company.3 cannot be used for comparison with actual accounting systems.15)(0.12 (12. and common stock and on the required return on each type of financing. It is not an obligation on investment capital that was raised in the past and has since been removed from the asset accounts through depreciation.2. Accordingly. respectively) are paid for the use of their money. the cost-of-rnoney calculation is based on the undepreciated investment: the amount remaining in the asset accounts after depreciation has been deducted.9 (see entry 4 of Table 7.Borrowing capital. and 15%. if not used to pay back investors. respectively.15) + (0. for simplicity. The average cost of money in a project depends on the fractions of the total capital requirement financed through debt.39) . that the money to cover the total capital requirement comes through debt and equity financing. Thus. In this chapter. and the minimum acceptable returns on investment are 10. for instance. The return on investment for the investors is the cost of money for the company.366 ECONOMIC ANALYSIS purposes because ideally they should be completely recovered when the system shuts down..50) + (0. which are then responsible for earning a return on the invested money. the depreciation values from the analysis we present in Section 7. by selling bonds (debt Jinancing) The sale of common and preferred stock (equityjnancing) Existing funds of the company (self-financing) A combination of these In the present discussion we assume.7. if the total capital requirement of the cogeneration system case study is covered using debt (50%).117)(0. For example. the returns on debt and equity represent the amount that investors (stockholders and debtors. This cost applies only to funds that the company currently uses.35) = 0. = i fdidt (7. can be reinvested in other projects.9). The average rate of the cost of money (discount rate) calculated in this way is the before-tax rate. 7. 11. Therefore.0%) This calculation is used in Section 7.preferred stock (15%).

The variable operating costs consist of the costs for operating supplies other than fuel costs (e.10.2. In the examples considered here a 34% federal income tax rate and a 6% state income tax rate are assumed. and t is the total income tax rate. 7.g. raw water and limestone). the after-tax discount rate for the cogeneration system becomes i.38) = 0.06 2 0.2.34) + 0. research and development. maintenance labor. 91. Using data from the previous calculation. Since state income taxes are deductible for federal income tax purposes. Once we know the flow of a raw-material stream or of a utility. and Maintenance Costs Fuel costs are usually part of the operating and maintenance costs. administration and support.1%) The decision to use a before-tax or an after-tax discount rate affects the results of an economic evaluation.8 Taxes and Insurance Income taxes are calculated by multiplying the income tax rate by the taxable income. The fuel costs and the variable operating costs can be easily calculated from the flow diagrams.38 (38%) This is listed in Table 7. 7. and a total income tax rate of 38% (calculated in Section 7.8 and listed in Table 7. .9 as entry 5a).0.101 (10. fd = 0.5)(0.9 as entry 5a. which is the difference between total revenue and all tax-deductible expenditures. in this presentation fuel costs are considered separately from the O&M costs. The operating and maintenance costs can be divided into fixed and variable costs.10)(0. Income tax rates have varied significantly in recent years [2]. respectively. and disposing of waste material. and so forth. The variable operating costs depend on the average annual system capacity facto6 which determines the equivalent average number of hours of system operation per year at full load.2. In this book. = 0. chemicals. Information on the estimation of fixed O&lvI costs is given in the literature [l-5.7 Fuel. the total (combined) income tax rate is t = (1 . overhead. because of the importance of fuel costs in thermal systems. and the corresponding rate of return.7. However.06)(0. catalysts. before-tax discount rates are used. maintenance materials.12 - (0.5. we simply multiply the flow by its unit cost and by the average total time of operation per year to obtain the contribution of the flow being considered to the total annual costs.2 PRINCIPLES OF ECONOMIC EVALUATION 367 where i is the before-tax discount rate. fd and id represent the fraction of the total capital requirement financed through debt. distribution and marketing. The fixed O&M costs are composed of costs for operating labor. id = 0. Operating..

. 1996 Jan. Average labor rate ($/h) 9.00 3. 1. Beginning of the design and construction period b.5).0 38. Allocation of plant-facilities investment to the individual years of design and construction (%) Jan.9 Parameters and assumptions used in the calculation of total revenue requirement for the cogeneration system (all monetary values are expressed in mid1994 dollars) ~~ ~ Parameter (units) 1a. Plant financing fractions and required returns on capital: Common Preferred Type of financing Equity Stock Financing fraction (%) 35. Average nominal escalation rate of all (except fuel) costs (19942017) (%) Average nominal escalation rate of natural gas costs (1994C.0 1S O 0.50 85. 31. Net salvage value equal to zero. Average combined income tax rate (1994-2017) (%) b. Average insurance rate (1994-2017) [% of PFI (in end-1997 dollars)] 6. Average general inflation rate (1994-2017) (%) b. Average property tax rate (1994-2017) [% of PFI (in end-1997 dollars)] C. 1-Dec.O 6.0 15.O 40. Unit cost of fuel ($/GJ-LHV) 12.0 15. 1. Labor positions for operating and maintenance 8. Revenue levelizing occurs with before-tax average cost of money. 1996 Jan.7 Required annual return (%) Resulting average cost of money (%) 5a. Straight-line depreciation used for company purposes. 2017) (%) 2a. Average capacity factor (%) 7. Plant life for tax purposes (years) 4.0 10.0 Assumptions MACRS depreciation used for tax purposes (see Section 7. Plant economic life (years) b. 1997 Value 5. Date of commercial operation 3a.0 5.0 11.2.8 350 3 .0 30 28. 1998 20 15 Debt 50. Annual fixed operating and maintenance costs ( IO6$) 10.0 60. 31.0 12. Annual variable operating and maintenance costs at full capacity ( 103s) 11. 1-Dec.368 ECONOMIC ANALYSIS Table 7. No investment tax credit and no grants in aid of construction.0 Jan.

95%. It is also . In this case. 2017.9 Cogeneration System Case Study To illustrate concepts introduced thus far.13) for the cogeneration system case study. Table 7.9 are expressed in mid-1994 dollars.2 PRINCIPLES OF ECONOMIC EVALUATION 369 Tax-deductible expenditures include fuel costs.0% per year (entries l a and l b of Table 7.2.9). The application of the normalization method is illustrated in Section 7. The cost values given in Tables 7. which is taken as 5. The tax code allows for tax accounting procedures that result in greater costrecovery tax deductions in the early life years of property than with straightline depreciation.9). to December 31.6 and 7. Design engineers can contribute to a reduction in insurance costs by understanding the different types of insurance available. The company managers estimate that design and construction could start in January 1996 and would last for 2 years (entry 2). Table 7. the annual property taxes are usually between 1 and 4% of the plant-facilities investment [Z]. 1998. It is anticipated that the average annual increase in the cost of natural gas will be 6. the legal responsibilities of a company with regard to accidents and emergencies.9 summarizes other aspects of the economic analysis. The economic life is estimated to be 20 years (entry 3a). and investment cost recovery (depreciation calculated for tax purposes). O&M charges. In any year of the economic life of a system. The deferred income tax could eitherflow through and decrease the revenue requirements (and consequently the product costs) in the early years or be normalized [l]. Depending on the location.5 and 1. return on debt.3 (Table 7. and used-along with retained equity earnings and book depreciation-as a source of internally generated cash to pay for new investment items. deferred income taxes are accumulated in a reserve account.0% (entry IC of Table 7. and other factors that must be considered in obtaining adequate insurance.7. All cost items except fuel are assumed to increase with the general inflation rate. parts of income tax payments are deferred to later years. from January 1. the revenue requirements are calculated as if income taxes were paid based on a straight-line tax depreciation. As a result. let us suppose that in the summer of 1994 a company considering construction of the case study cogeneration system initiates a detailed economic analysis of the proposal. that is. In the normalization method.6 summarizes the total capital investment. The deferred income tax funds stay with the company until they are used to pay the tax obligation later in the life of the investment. the difference between the income taxes actually paid and the income taxes that would have been paid if a straight-line depreciation had been used is called the deferred income tax. 7. which corresponds to an annual real escalation rate for fuel of about 0. The annual insurance costs are typically between 0.5% of the plant facilities investment. The system life for tax purposes is 15 years (entry 3b).

To calculate the corresponding costs for the first year of operation.2.8. As discussed in Section 7. The average number of working hours per labor position is 2080 h per year.6419 kg/s)(7446 h/year)(3600 s/h) 6.6 and 7.02)(38.003/MJ)(50.35 x lo6. The lower heating value of the fuel is LHV = 50.35 lo6) X X 106)(0. the startup costs for a power plant are the sum of the following unescalated costs: (a) one month of fixed O&M costs.362 X lo6.247 lo6 (mid-1994 dollars) or after escalation to the middle of 1997 . and (d) 2% of the plant facilities investment. the annual fixed O&M costs and the annual variable O&M costs at full capacity are estimated by management to be $3.370 ECONOMIC ANALYSIS assumed that when the system is retired. Thus. The escalated annual values for the fixed and variable O&M costs are $4.2). The cost of natural gas (approximated as methane) is $3.619 X lo6 and 0. All these cost values are given in mid-1994 dollars. (c) one week of full-load fuel.747 X lo6.95 x = $1.9). which means that the system will operate at full load 7446 h out of the total available 8760 h per year.336 x lo6 Having calculated the fuel and O&M costs.0 per GJ of lower heating value (entry 11 of Table 7.8 X 106)/12 + (0. Entries 4 and 5 of Table 7. the cost of removal will equal the salvage value. respectively (entries 9 and 10 of Table 7. we escalate this number at an annual escalation rate of 6% to the middle of 1998.06)4= $8. these costs are escalated at a nominal escalation rate of 5% per year to the middle of 1998. The annual fuel cost (FC) is then FC = = ($0.9 are discussed in Sections 7.00 per hour (entry 8). Thus.2.6419 kg/s (Table 1. SUC = (3. Let us briefly review the remaining entries.9).9). (b) one month of variable operating costs calculated at full load. we can now estimate the startup costs and the working capital.5 X lo3 mid-1994 dollars.01 MJ/kg)(1.1. The annual variable O&M costs at the given capacity factor of 85% are 297. resulting in zero salvage. respectively. FC = (6. The average capacity factor for the cogeneration system is estimated as 85% (entry 6 of. The fuel mass flow rate is 1.Table 7. The company managers assume that 30 labor positions will be required for operation and maintenance (entry 7) at an average labor rate of $28. respectively. Based on these numbers.01 MJ/kg.85)/12 + (6.603 X lo6 mid-1994 dollars/year To calculate the annual fuel costs for the first year of commercial operation (mid-1998 dollars).4.603 X 106)(1.603 X 106)/52 + (0. the annual direct labor costs are $1.8 X lo6 and $0.

the AFUDC is a very significant cost component in the construction of nuclear power plants. We will first calculate the total net outlay (total cash expended) for the plant. we calculate the total nondepreciable and depreciable capital investments.444 X lo6 (mid-1997 dollars) Similarly. According to entry 12 of Table 7. the allowance for funds used during construction is calculated separately for each type of financing using the corresponding returns on investment. whereas the remaining 60% of the PFI must be escalated to the middle of 1997. The calculated amount for the total AFUDC is 4. we obtain WC = = [(6. The system-financing fractions given as entry 4 of Table 7.924 x lo6 (mid-1994 dollars) or after escalation to the end of 1997 WC = 2.9.2 PRINCIPLES OF ECONOMIC EVALUATION 371 SUC = $1.0%.95 X lo6 mid-1994 dollars. The AFUDC value given in Table 7. As summarized in Table 7. and 3 months of labor costs plus a contingency of 25% of the total of the above three items. the working capital is the sum of the unescalated expenses representing 2 months of fuel and variable operating costs at full load.9 are assumed to apply to any investment expenditure at any year.5) minus AFUDC and any grants in aid of construction that may be projected. Neglecting the variable operating costs for the cogeneration system.353 X lo6) is obtained by discounting the end-1997 AFUDC to the middle of 1994 using the average discount rate of 12. $3.10. The plant-facilities investment (PFI) for this project is estimated in Section 7. 40% of this amount must be escalated at an annual rate of 5% to the middle of 1996.6 under the heading other outlays.985 X lo6 end-1997 dollars.6 as 38. The date at which each expenditure is incurred is given in parentheses. and the total net capital investment for the cogeneration system (all values in thousands of dollars).282 x lo6 (end-1997 dollars) The mid-1994 dollar values of startup costs and working capital calculated here are shown in Table 7. which is equal to the total capital investment (Equation 7. .6 (namely. It is apparent that the AFUDC contribution to the total investment increases with increasing rates of return on investment and with increasing length of the design and construction period.1.7. For instance.603 X 106)/6 + (1.747 X 106)/4](1. Finally. The reason for distinguishing among the different types of financing in the AFUDC calculation is that the common equity AFUDC is not part of the net depreciable investment but instead is assumed to be recovered as common equity at the end of plant economic life.25) 1. when it is expended.

444 expended on July 1.058 9. (F) = 0.185 Totals Total AFIJDC = 2185 + 728 + 2072 = $4985 (end-1997 dollars) or total AFUDC = $3.580 1.950 (A) (B) tC) (D) (E) tF) 61 AFUDC for the cost of land ($538 expended on Jan.980 2 6.35 (C).1994 Dollars Escalation ~~ Escalated Investment ~~ AFUDC AFUDC 465 23 1 696 tG) 20 12 728 AFUDC 1. 1996) AFUDC for startup costs ($1.28 1 38.635 5. .012 1. (D) = 0.23 1 15.087 6.072 “(C) = (A) + (B) = (D) + (F)+ (H).115 tH) Calendar Year ~~ In Amount of Mid. (H) = 0.50 (C).370 3.527 22.597 17.684 27. 1.577 15. 1997) 37 2.469 685 23.15 (C).481 2.054 44.353 (mid-1994 dollars) 1996 1997 Subtotals“ tu 56 35 2.10 Calculation of the allowance for funds used during construction (end-1997 values) of the cogeneration system (all values are rounded and given in thousands of dollars) Plant-Facilities Investment Design and Construction Year 1 Common Equity Escalated Investment ~ Preferred Equity Escalated Investment ~ Debt Escalated Investment 8.588 13.177 4.Table 7.402 2.320 660 1.

072 $4. The contributions to the allowance for funds used during construction calculated in Table 7.985 Now we have the necessary data to calculate the total capital investment: Total net outlay Total AFUDC Total capital investment $48.282 0 (-10 $48.480 The total nondepreciable and depreciable capital investments are calculated next: Cost of land Working capital Common equity AFUDC Total nondepreciable capital investment Total capital investment Total nondepreciable capital investment Total depreciable capital investment $ 538 2.231 1.444 2. this must be subtracted from the total capital investment to provide the net capital investment: Total capital investment Investment tax credit Total net capital investment $53.480 (-)O $53.282 2.475 If an investment tax credit may be taken. research and development from Table 7. the annual tax depreciation amount and the end-year tax book value can be calculated using Equa- .005 $48. (6/30/97) Working capital from this section (12/31/97) Costs of licensing.6 Grants in aid of construction Total net outlay $ 538 44.185 $5.480 (-)5.495 4.480 After calculating the total depreciable investment.10 (6/30/96 and 6130197) Startup costs from this section.005 $53.10.495 The total net outlay is expressed in mixed-year dollars. are summarized as follows: Common equity AFUDC Preferred equity AFUDC Debt AFUDC Total AFUDC $ 2.985 $53.2 PRINCIPLES OF ECONOMIC EVALUATION 373 Cost of land (1 / 1/96) Escalated PFI from Table 7.7.185 728 2.

025 2. annual tax depreciation amount.860.430.91 2.1 I Statutory percentagesfor use in the MACRS for a life period of 15 years.90 5.864.475.872 1.750 4.91 5.938 30.446.90 5.025 2.860.513 33.91 5.91 5.294.603 21.374 ECONOMIC ANALYSIS tions 7.469.3 CALCULATION OF REVENUE REQUIREMENTS The annual total revenue requirement (total product cost) for a system is the revenue that must be collected in a given year through the sale of all products to compensate the system operating company for all expenditures incurred in the same year and to ensure sound economic plant operation. are not capitalized.864.604.125 4.90 5.3 shows the major cost categories considered in the calculation of the total revenue requirement.05 1.23 5.025 2.329.605.885 1. the costs associated with an investment are not paid directly from revenue when incurred because this would require Table 7.025 2.732.189.55 7.873 2.992 2.000 End-Year Tax Book Value ($) 1997 1998 1999 2000 200 1 2002 2003 2004 2005 2006 2007 2008 2009 2010 201 1 2012 2013 5.578 18.864.154.860. The carrying charges shown in Figure 7.910 4. Expenses include goods and services that are used in a short period of time.808 10.620 27.879.430.025 2.209. The results are summarized in Table 7.6 12 3.11.301.95 100.90 5.860. therefore. Although the terms expenses and carrying charges are sometimes used differently by engineers and accountants.000 46.628 24.872 2.37 and 7.O19.3 represent obligations associated with an investment. and tax book value at the end of each year for the cogeneration system Year of Commercial Operation 0 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 Totals Calendar Year MACRS Depreciation Factor (%) Annual Tax Depreciation ($1 2.864.860.318 3. Figure 7.783 7.013 0 . Unlike expenses.93 6.744.680 12.50 8.3: the sum of fuel costs and operating and maintenance costs.250 41.144.475.705 15.00 9.38 and the MACRS factors for a life period of 15 years (tax life) and for property put in service after 1986 [2].019.575 3. 7. we will adopt the definition of expenses as shown in Figure 7.423.873 2.O13 48.359. usually less than one year. Expenses are paid for directly from revenue and.70 6.90 5.125 37.568.00 48.

Although irrelevant for futureoriented economic studies. The annual total revenue requirement (TRR) is equal to the sum of the following eight annual amounts: total capital recovery (TCR).3 is the minimum return on investment that the company expects from the project being considered.3 Revenue categories (cost categories) for the revenue requirement method of economic analysis of thermal systems [l]. return on equity. Costs associated directly with existing investments are sometimes referred to as sunk costs in decision-making procedures because they cannot be affected by a current course of action except for the costs that may be recovered through salvage. With the exception of income taxes and perhaps insurance.3 CALCULATION OF REVENUE REQUIREMENTS 375 Capital Recovery (Depreciation) Return on Equity Minimum Acceptable Return I I (4) Return on Debt I (7) I Income Taxes Other Taxes and Insurance Expenses I I Operating and Maintenance Costs Figure 7. all other components of carrying charges are independent of the actual use of the system. present customers to pay for items that will be used to supply customers many years into the future. preferred stock . This usually means that other equally sound investments yielding the MAR are available and could compete with this project. sunk costs are still important for the calculation of carrying charges. minimum return on investment (ROI) for common equity (subscript ce). return on debt. The minimum acceptable return (MAR) shown in Figure 7. The carrying charges obligation remains until the system is retired at the end of its estimated economic life.7. capital recovery. and property taxes must be considered in the total product cost calculation regardless of the actual production rate. For example.

this analysis is very useful for comparing technical alternatives (see Section 7. + ROI. (1) + ROI. .13. 19. (2) (3) (4) + ITX. TL +1 (7. which illustrates the projected costs and revenue requirements for every year of the system economic life. income taxes (ITX).41) The index j refers to the jth year of book life. - BDj)t.5). are based on the difference between the annual tax depreciation (TXD). shown in column B of Table 7. and the annual book depreciation (BD). + FC. Table 7. and operating and maintenance costs (OMC): TRR. + OMC. fuel costs (FC).. is used to calculate the levelized revenue requirement and the levelized cost of the main product.. 20. The results are summarized in Table 7. The annual book depreciation (BD). In addition..pJ + ROI..376 ECONOMIC ANALYSIS (subscript ps) and debt (subscript d ) . The following sections provide details concerning the calculation of the values provided by these columns of data. BL (7.3.42) .40) (6) (7) (8) The subscript j refers to the jth year of system operation.13. is calculated from the book life (BL) and the total depreciable investment (TDI) using the straight-line method: TDI BD. determined using Equation 7. (5 1 (7. the actual rate of return on equity becomes higher than the minimum value assumed in the calculation.12 in which each column numbered 1 through 9 corresponds to a term of Equation 7. The cogeneration system considered previously will be used to demonstrate the year-by-year analysis. Column D of this table corresponds to column 1 of Table 7.3.. The deferred income taxes (DITX) for the j t h year of tax life (TL). The numbers given below each term of Equation 7. (9) = TCR. . j = 1..4 1: DITX.. The year-by-year analysis.1 Total Capital Recovery The net investment must be recovered during the system economic life..12.1 1 (using the MACRS method). If the actual annual revenues exceed the annual TRR value calculated from Equation 7.37a and Table 7. Additional examples are given in References 1. other taxes and insurance (OTXI). = BL ’ j = 1. = (TXD. 7. + OTXI..40. shown in column A of Table 7. found via Equation 7..40.13 shows the year-by-year calculation of the total capital recovery for the cogeneration system.40 key the variables to the categories of Figure 7.

Table 7.12 Year-by-year revenue requirement analysis for the cogeneration system (all values are round numbers given in thousand dollars)

(1)

(2)
Return on Common Equity

(3)

(4)

(5)

(6)

(7)

(8)

Calendar Capital Year Year Recovery

Preferred Other Stock Interest Income Taxes and Dividends on Debt Taxes Insurance

Fuel Cost

O&M Costs 4,98 1 5,230 5,49 1 5,766 6,054 6,357 6,674 7,008 7,359 7,726 8,113 8,518 8,944 9,392 9,861 10,354 10,872 11,415 11,986 12,586

(9) Total Total Revenue Revenue Requirement Requirement (current (constant dollars) dollars) 25,517 25,865 26,120 26,448 26,849 27,323 27,872 28,486 29,160 29,896 30,699 31,571 32,518 33,542 34,650 35,845 37,221 38,784 40,450 42,225 20,993 20,266 19,491 18,796 18,172 17,613 17,111 16,655 16,237 15,854 15,505 15,186 14,897 14,634 14,398 14,185 14,028 13,921 13,828 13,747

1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 201 1 2012 2013 2014 2015 2016 2017

2,533 3,362 3,187 3,030 2,888 2,760 2,699 2,699 2,701 2,699 2,701 2,699 2,701 2,699 2,701 2,155 1,612 1,612 1,612 1,612

2,808 2,688 2,526 2,372 2,227 2,089 1,958 1,830 1,702 1,574
1,446

1,318 1,190 1,062 934 806 707 636 565 494

939 892 830 772 716 663 612 562 512 462 413 363 313 263 213 163 123 92 62 31

2,674 2,540 2,365 2,199 2,040 1,889 1,744 1,602 1,460 1,318 1,176 1,034 892 749 607 465 35 1 263 175 88

2,363 1,432 1,470 1,497 1,515 1,527 1,476 1,367 1,256 1,149 1,038 931 820 713 602 1,039 1,496 1,434 1,372 1,310

885 885 885 885 885 885 885 885 885 885 885 885 885 885 885 885 885 885 885 885

8,336 8,836 9,366 9,928 10,524 11,155 11,825 12,534 13,286 14,083 14,928 15,824 16,773 17,780 18,847 19,977 21,176 22,447 23,793 25,221

Y

l

378

ECONOMIC ANALYSIS

Table 7.13 Year-by-year capital-recovery schedule for the cogeneration system (all values are round numbers and are given in thousand dollars)

(A) (B) (C) (D) Year of Recovery of Total Deferred Common Capital Commercial Calendar Annual Book Operation Year Depreciation Income Taxes Equity AFUDC Recovery
1

2 3 4 5 6
7

1998 1999 2000 200 1 2002 2003
2004

2,424 2,424 2,424 2,424 2,424 2,424
2,424

0 829 654 497 356 227
166

109 109 109 109 109 109
109

2,533 3,362 3,187 3,030 2,888 2,760
2,699

8 2005 2,424 9 2006 2,424 10 2007 2,424 11 2008 2,424 12 2009 2,424 13 2010 2,424 14 201 1 2,424 15 2012 2,424 16 2013 2,424 17 2014 2,424 18 2015 2,424 19 2016 2,424 20 2017 2,424 Subtotal 48,475 Cost of land and working capital Total investment
~~ ~ ~~

166 168 I66 168 166 168 166 168 -378 -921 -921 -921 -921 0

109 109 109 109 109 109 109 109 109 109 109 109 109 2,185

2,699 2,701 2,699 2,701 2,699 2,701 2,699 2,701 2,155 1,612 1,612 1,612 1,612 50,660 2,820 53,480

Note: Cost of land and working capital are recovered as common equity at the end of economic life.

where t is the total income tax rate. The deferred income taxes for the years (TL + 2) through BL are obtained from
TL+ I

DITX, DITX,
=

BL

-

(TL

+

1)’

j = TL

+ 2, ..., BL

(7.43)

The common-equity allowance for funds used during construction (CEAF), which is not considered in the net depreciable investment, is recovered using a constant annual amount (RCEAF), shown in column C of Table 7.13, and obtained through CEAF RCEAF, = BL ’
j
=

1,

..., BL

(7.44)

7.3

CALCULATION OF REVENUE REQUIREMENTS

379

where CEAF is the common-equity AFUDC at the end of the design and construction period, Table 7.10. The total capital recovery (TCR) for thejth year of book life is the sum of book depreciation (Equation 7.41), deferred income taxes (Equations 7.42 and 7.43), and recovery of the common-equity AFUDC (Equation 7.44): TCR,
=

BD,

+ DITX, + RCEAF,,

j = 1, ..., BL

(7.45)

The TCR values are shown in column D of Table 7.13 and column I of Table 7.12. As Table 7.13 shows, the sum of total annual capital recovery values plus working capital and cost of land is equal to the total plant investment. Working capital and cost of land are not recovered during the system economic life and appear as common equity at the end of the book life, as shown in the last common equity balance of Table 7.14.
7.3.2
Returns on Equity and Debt

Table 7.14 shows the year-by-year distribution of capital recovery among debt, preferred stock, and common equity for the cogeneration system. With the aid of this table we calculate the balance at the beginning of each year for each type of financing. This balance is the basis for obtaining the returns on equity and the debt interest in Table 7.12, columns 2-4. The year-by-year distribution of capital recovery (Table 7.14) is obtained
as follows: The total net investment (TNI) is distributed at the beginning of

the first year of book life among debt, preferred stock, and common equity using the corresponding financing fractions (Table 7.9) fd ( = O S ) , f P s (=O. 1 3 , and f,, (=0.35), where the subscripts d, ps, and ce refer to debt, preferred stock, and common equity, respectively. This assumption determines the balances at the beginning of the first year (BBY,,,) for the xth type of financing: BBY,,,
=

TNI f,,

x = d, ps, ce

(7.46)

We assume further that deferred taxes are distributed among each type of financing according to the corresponding fraction. The columns labeled adjustment in Table 7.14 for debt and preferred stock consist of the appropriate portions of deferred income taxes. The adjustment column for common equity also includes the recovery of common-equity allowance for funds used during construction, Table 7.13: ADJ,.,,
=

DITXjfd,

j = 1, ..., BL j
=

(7.47a) (7.47b)
=

ADJj,p, = DITX,f,,, ADJ,,,,
=

1, ..., BL
j

DITX, f,,

+ RCEAF,,

1, ..., BL

(7.47~)

% 0

Table 7.14 Year-by-year distribution of capital recovery for the cogeneration system (all values are round numbers and are given in thousand dollars)

Debt

Preferred Stock

Common Equity

Balance Balance Balance Total Calendar Beginning Book Beginning Book Beginning Book Capital Year Year of Year Depreciation Adjustment of Year Depreciation Adjustment of Year Depreciation Adjustment Recovery
1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 Totals

1998 1999 2000 2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018

26,740 25,403 23,65 1 2 1,987 20,402 18,887 17,437 16,017 14,597 13,176 11,756 10,335 8,916 7,495 6,075 4,654 3,506 2,629 1,753 876
0

1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 1,337 0 26,740

0 414 327 249 178 113 83 83 84 83 84 83 84 83 84 -189 -461 -461 -461 -461 0 0

8,022 7,621 7,095 6,596 6,121 5,666 5,231 4,805 4,379 3,953 3,527 3,101 2,675 2,248 1,822 1,396 1,052 789 526 263 0

40 1 40 1 40 1 40 1 40 1 401 40 1 40 1 40 1 40 1 401 40 1 40 1 40 1 40 1 40 1 40 1 40 1 40 1 40 1 0 8,022

0 124 98 75 53 34 25 25 25 25 25 25 25 25 25 -57 - 138 -138 - 138 - 138 0 0

18,718 17,923 16,838 15,814 14,845 13,926 13,052 12,199 11,346 10,492 9,640 8,786 7,933 7,080 6,227 5,373 4,710 4,238 3,765 3,293 2,820

686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 686 0 13,713

109 399 338 283 234 189 167 167 168 167 168 167 168 167 168 -23 -213 -213 -213 -213 0 2,185

2,533 3,362 3,187 3,030 2,888 2,760 2,699 2,699 2,70 1 2,699 2,701 2,699 2,70 1 2,699 2,701 2,155 1,612 1,612 1,612 1,612 0 50,660

7.3 CALCULATION OF REVENUE REQUIREMENTS

381

The columns labeled book depreciation in Table 7.14 are calculated for each type of financing (debt, preferred stock, or common equity) using straightline depreciation from

BW,, BDj,x =

-

&= 1

BL

c ADJ&,x ,

BL

j = 1,

..., BL, x

=

d, p s , ce

(7.48)

with BBY,,x according to Equation 7.46. The balance at the beginning of the j t h year for each type of financing is

j = 2 ,..., BL, x = d , p s , c e

(7.49)

The balance at the beginning of the year immediately following the last year of plant operation (calendar year 2018 for the cogeneration system) is zero for debt and preferred stock but equal to the value of land and working capital ($2.82 X lo6) for common equity. The sum of the totals for book depreciation and adjustments for all types of financing is equal to the total capital recovery ($50.66 X lo6). The annual capital recovery values shown in the last columns of Tables 7.13 and 7.14 are repeated in the first column of Table 7.12. According to the total revenue requirement method of economic analysis, the depreciation funds are assumed to be used to pay back investors for the principal. This assumption is used here because it helps to compare alternative investments. In an expanding company, however, these funds would likely be reinvested. For each investment type, the return-on-investment (ROI) calculation for any year of system operation is based on the outstanding investment: the balance at the beginning of the year (BBY) (Equation 7.49 and Table 7.14) for the corresponding investment. That is, the return on investment for year j is ROI,,,
=

BBYj,,i,,

j = 1,

..., BL, x

= d, ps, ce

(7.50)

Here i, is the annual (nominal or real) rate of return for the xth investment type. As discussed in Section 7.2.9, for the cogeneration system, i, is 10.0, 11.7, and 15.0% for debt, preferred stock, and common equity, respectively. It is apparent that the annual amount of return on each type of investment declines with the increasing number of years of operation. For the cogeneration system the annual ROI values are given in columns 2-4 of Table 7.12.

382
7.3.3

ECONOMIC ANALYSIS

Taxes and Insurance

Next, let us consider columns 5 and 6 of Table 7.12 concerning taxes and insurance. The annual taxable income (TXI) is determined by subtracting all annual tax-deductible expenditures from the total annual revenue requirement (TRR). The tax-deductible expenditures for the jth year of operation consist of interest on debt (RO1,J other taxes and insurance (OTXI,), fuel costs (FC,), operating and maintenance costs (OMC,), and tax depreciation (TXD,). According1y TXI. J = TRR, - ROI,,, - OTXI,
-

FC, - OMC,

-

TXD,

or with Equation 7.40 the taxable income in the j t h year is obtained as

TXI, = TCR,

+ ROI,,,, + ROIj,p, + ITX,

-

TXD,

(7.51)

where TXD, is found using Equations 7.37a and 7.37b. Note that the income taxes to be paid during the jth year (ITX,) are part of the same year’s taxable income. The income taxes are ITX, = t TXI, where t is the total income tax rate. Equations 7.51 and 7.52 lead to ITX,
=
2 (TCR, + ROI,,,, + ROIj,p,, - TXD,) 1-t

(7.52)

(7.53)

Combining Equations 7.42, 7.45, and 7.53 we obtain the following relation, which can be used alternatively for calculating the income taxes of the j t h year: ITX,
=

-(ROI,,,,
1 - t

t

+ ROIj,pS+ RCEAF,)

-

DITX,

(7.54)

The variables ROI, RCEAF, and DITX are calculated from Equations 7.50, 7.44, and 7.42 (or 7.43), respectively. Column 5 of Table 7.12 shows the annual amounts of income taxes calculated for the cogeneration system according to the preceding equation. The annual sum of other taxes (property taxes) and insurance costs (OTXI) may be calculated as a constant percentage of the escalated plant-facilities investment (PFI): OTXI,
=

PFI foTXI,

j = 1, ..., BL

(7.55)

The underlying assumption is that, since property taxes increase with time

7.4

LEVELIZED COSTS AND COST OF THE MAIN PRODUCT

383

and insurance costs decrease with time, the sum of the two remains constant. For the cogeneration system, the value of the factor foTXI is assumed to be 2% (entries 5b and 5c in Table 7.9). The OTXI values are shown in column 6 of Table 7.12.
7.3.4 Fuel, Operating, and Maintenance Costs

The fuel costs and the total O&M costs for the first year of operation of the cogeneration system are determined in Section 7.2.9 as $8.336 X lo6 and $4.981 x lo6, respectively. In the year-by-year analysis these costs are escalated at an annual escalation rate of 6 and 5%, respectively. The values shown in columns 7 and 8 of Table 7.12 demonstrate the significance of fuel and O&M costs, particularly in the last years of plant operation.
7.3.5 Total Revenue Requirement (TRR)

The last two columns in Table 7.12 present the annual total revenue requirement in current and constant dollars. According to Equation 7.40, the currentdollar annual values are calculated by adding all the values shown in the previous columns (1-8) for the same year (round-off accounts for slight differences). The total revenue requirement in constant dollars for the jth year of operation of the cogeneration system (TRR,,J can be calculated directly from the total revenue requirement in current dollars for the same year (TRR,,J using Equation 7.36b, which becomes (7.56) Here, ri is the annual general inflation rate. The exponent (3.0 + j) in Equation 7.56 converts the dollars in the middle of the jth year of operation into mid-1994 dollars. This equation is used to obtain the total revenue requirement in the absence of inflation; the values are shown in the last column of Table 7.12. These values indicate that the total revenue requirement (expressed in constant dollars) decreases with the increasing number of years of plant operation. In other words, if users are to be charged according to the annual total revenue requirement, they will pay (in constant dollars) more in the first years than in the last years of operation.

7.4

LEVELIZED COSTS AND COST OF THE MAIN PRODUCT

When evaluating the cost effectiveness and considering design modifications of a thermal system, it is necessary to compare the annual values of carrying charges, fuel costs, and O&M expenses (see Sections 8.3.1, 9.2 and 9.6). As

384

ECONOMIC ANALYSIS

Table 7.12 illustrates, however, these cost components may vary significantly within the economic life. In general, carrying charges decrease while fuel and O&M costs increase with increasing years of operation. Therefore, levelized annual values for all cost components should be used when considering design modifications. The calculation of levelized costs is discussed in Section 7.2.2. The levelized value of the annual total revenue requirement is obtained by first calculating the sum of present values of the 20 annual values shown in Table 7.12 and then applying Equation 7.27 to convert this value into an equivalent annuity. The average cost of money of 12% (Section 7.2.6) is used as the discount rate in these operations. Figure 7.4 illustrates the time scale used for
calculating the annual levelized costs. The levelized annual total revenue re-

quirement (TRR,) for the 20 years of operation of the cogeneration system is calculated to be TRR,,,, = $28.798 X lo6 on a current-dollar basis, and TRR,,,, = $17.088 X lo6 on a constant-dollar basis. To simplify the following presentation, only the calculation of current-dollar values will be discussed. The constant-dollar values are calculated in a similar way using real escalation rates and real rates of return. The levelized annual fuel costs in current dollars (FC,,,) are calculated using Equations 7.28, 7.34, and 7.35:

k,
CRF,, FC,,,”
=

=

1

+ 0.12 = 0.94643
+

=

(1.12)20= 0.13388 1.1220- 1
106

8.336 X lo6 0.94643 (1 - 0.9464320)(0.13388)= $12.416 1.06 1 - 0.94643

The underlined factor in the last equation represents the fuel costs at the beginning of the first time period used for levelization (middle of 1997), Figure 7.4. Similarly, the levelized annual operating and maintenance costs (OMC,,c,) are
1 koM = 1

+ 0.05 = 0.9375 + 0.12
X

OMC,,,, =

4.981 X lo6 0.9375 (1 - 0.937520) (0.13388) = $6.906 1.05 1 - 0.9375

lo6

The levelized annual carrying charges (CC,,,) are then calculated as CC,,,, = TRR,,,, - FC,,,, - OMC,,,, or
=

(28.798

-

12.416 - 6.906) x IO6

7.4

LEVELIZED COSTS AND COST OF THE MAIN PRODUCT

385

Present Time

t

I

Design and Construction

Plant Operation
Y

7 1 4

Total Revenue Requirements

;

1998

1999

2000

2017

Time Scale Used for Calculating Levelized Costs

i
I

TRRL _._.._...........
I

1

I

0

1

2

3

....

20

Figure 7.4 Illustration of the time scales used for the year-by-year analysis and the calculation of levelized annual costs for the case study cogeneration system.

CC,,,,

=

$9.476

X

lo6

The results of the levelized cost calculation in current and constant dollars for a 20-year period are summarized in Table 7.15. When a capital investment is based on long-term economic criteria, such as the criteria used for the 20 years of cogeneration system operation, some caution is necessary, particularly if a decision is sensitive to the late-years results. Some of the projected late-years benefits might never materialize because of current unforeseen changes in the technological, economic, and legal environment (e.g., system modifications caused by technical obsolescence and new governmental regulations). In this case, a shorter time period, ten years, for example, should be considered in calculating the levelized costs that will be used for optimization or decision-making purposes. The year-by-year analysis is still based on the entire assumed book life and tax life, but the levelized costs are computed using only the first 10 years of operation. For this reason, Table 7.15 also shows the levelized costs in current and constant dollars for the first 10 years of cogeneration system operation. A comparison of the values obtained for the 10- and 20-year levelization periods demonstrates that the longer the levelization period, the smaller the relative contribution of carrying charges to the total revenue requirement. The relative contribution of fuel costs and O&M expenses increases with increasing length of the levelization period. The thermoeconomic evaluation presented in Chapter 8 uses the levelized current-dollar values obtained for the 10-year levelization period.

Table 7.15 Levelized annual costs and total revenue requirement in current and constant dollars for levelization time periods of 20 and 10 years for the cogeneration system (all values are round numbers and are given in thousands of dollars)

-

~

~

~~

Dollars; 20-Year Period Carrying charges Fuel costs O&M costs Total revenue requirement 9,476 12,416 6,906 28,798

Relative Contribution
(%)

Constant Dollars; 20-Year Period 5,623 7,367 4,098 17,088

Current Dollars; 10-Year Period 10,527 10,411 5,989 26,927

Relative Contribution
(%)

Constant Dollars; 10-Year Period 7,202 7,124 4,098 18,424

32.9 43.1 24.0 100.0

39.1 38.7 22.2 100.0

7.4 LEVELIZED COSTS AND COST OF THE MAIN PRODUCT

387

If a system produces only one main product, its unit cost (MPUC) can be calculated directly from the annual total revenue requirement (TRR), the annual total value of the by-products (BPV) produced in the same plant and the main-product quantity (MPQ):

MPUC

=

TRR - BPV MPQ

(7.57)

This equation can be applied equally to any specific year of operation or to the levelized values of TRR and BPV. For example, if we consider the steam of the cogeneration system as a by-product and assume that the company projects an annually increasing selling price of the steam, the 20-year levelized value of which is $0.035/kg, the levelized total annual value of steam is obtained as BPV,
=

(0.035 $/kg)(14 kg/s)(3600 s/h)(7446 h/yr)
$13.135 x 106/yr

=

The electrical energy developed by the cogeneration system per year is MPQ
=

(30,000 kW)(7446 h/yr)

=

223.38

X

lo6 kWh/yr

The levelized unit cost of electricity for the 20-year period can be calculated now from Equation 7.57:

This value represents the levelized cost for a 20-year period assuming average annual nominal escalation rates for the fuel costs and the O&M expenses of 6 and 5%, respectively, for the entire economic life of the cogeneration system. Some of these assumptions might not materialize in the future, however. We should also keep in mind that levelized costs are not directly comparable to actual costs at any given year of plant operation. In a conventional economic analysis of a thermal system that generates more than one product we need to know the selling prices of all but one product in order to calculate the cost associated with this product. In other words, a conventional economic analysis does not provide criteria for apportioning the carrying charges, fuel costs, and O&M expenses to the various products generated in the same system. This point is discussed further in Chapter 8 where it is demonstrated that mass or energy should not be used

[21. calculating the profitability of an investment and choosing the best alternative are important objectives of an economic analysis. Table 7. as denoted by the shorter upward arrow. The analysis of investments and decisions under risk and uncertainty (see. e.000 for the remaining 4 years of its economic life.16 summarizes the two projects and shows schematically the cash flows associated with the two investments. and insurance have been paid is $108. The downward arrow at the beginning of the economic life denotes the sum of the initial capital and working capital committed to the project. In this section we discuss briefly the criteria most commonly used in business practice to evaluate the profitability of an investment and compare alternative investments.000 and $44. At the end of the economic life. the salvage value and the working capital are recovered. All costs and profits occur at the end of each year. 7.g. 221) is outside the scope of this book. which uses straight-line depreciation.000.000 for projects I and 11. (c) Investment projects are indivisible.000 and the salvage value at the end of its 8-year economic life is $40.000 for projects I and 11. The initial capital investment for project I1 is $400. (d) The profitability of one project does not in any way affect the profitability of any other project. The annual cash expenses (cash outflows) are constant for each year at $52. if any. wants to know which investment. respectively.000 and a salvage value at the end of its 7-year economic life of $28.000 and $30.. Project I1 has a constant annual net cash inflow of $120. Thus. (b) There is complete certainty about investment outcomes. The company. The following simplified case study will be used to illustrate the application of each method. usually. The associated risks and uncertainties may be significant. The minimum attractive rate of return is 15%. taxes. it is necessary to estimate the expected profit from the investment.000 for the first 3 years and $115. Each method dis- .000. In profitability calculations we consider profits and costs that will occur in the future. Project I has a total initial capital investment of $350. For project I the annual net cash flow after all expenses. should be made. solutions. Most capital expenditure decisions involve choosing the “best” of a number of alternative projects. The appropriate variable is exergy. Here.000.5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS Before capital is invested in a project. A company considers two mutually exclusive alternative projects that yield the same service.388 ECONOMIC ANALYSIS as a basis for such thermal system costing purposes. respectively. are mutually exclusive. we present only a deterministic investment analysis based on the following assumptions of certainty [21]: (a) There is a perfect capital market: the supply of funds is unrestricted. The working capital investment is $20. or courses of action that.

000 28.5.000 I + .000 Assumptions: Minimum attractive rate of return (after taxes) Straight-line depreciation is employed.5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS 389 Table 7.5.7. we will ignore the I-year difference in the economic life of the two projects.3.000 370.000 108.000 44.000 70. This effect is discussed in Section 7.000 40. Costs of land and startup are neglected.16 Case study alternatives of Section 7.000 Project I1 I 350. 0 1 2 3 4 5 6 7 Project 11: I2O. = 15% cussed in this section will be used to answer this question. 7.000 8 400.000 (first 3 years) 115.000 (last 4 years) 48.000 tttttttt 8 I O ’ A 430.000 52. .5 Project I Economic life (years) Total initial capital investment ($) Salvage value ($) Working capital investment ($) Annual cash expenses ($) Annual net cash inflow ($) Cash flow diagrams: Project I: 108.000 30.000 115. Initially.000 120.000 20.1 Average Rate of Return and Payback Period Let us begin by calculating some average decision variables for each project: the average rate of return and the payback period.

10 or Equation 7.4% 400. = $322.8% 75. = 350.00017 = $46.000 = 17.000 The average annual profit (AP) is the difference between annual net cash flow (ANCF) and annual depreciation (BD): AP.000 = $75.000 AP. = 66. however.40.000 The average rate of return (ARR) on the initial investment is the ratio between the average annual profit and the total initial investment including working capital: ARR. = ARR.000 .45.000 . = 120. = $120.000 TDI.000 = $322.000 350.000 The total depreciable investment (TDI) is the difference between the initial capital investment and the salvage value: TDI.000 The annual book depreciation (BD) calculated according to the straight-line formula (Table 7.390 ECONOMIC ANALYSIS Average Rate of Return.000 .000 + 20. If a decision would be made based on the calculated ARR values.000/8 = $45.46.000 == $66.. ..000 = $360.. it could give misleading results because the time value of money is not included in the calculation.000 Although the average rate of return method is sometimes used to evaluate and compare projects.000 = 17. The arithmetic average annual net cash inflows (ANCF) for the two projects without considering the time value of money are ANCF. = 400.41) is obtained by dividing the TDI by the project economic life: BD.000 = $360.000 . = 112.28..000 + 30. BDI. investment I should be recommended.

000 TPB. using actual (instead of average) cash flows (including working capital) and ignoring the tax deductibility of investments.0 years 120.2.000 Payback Period.5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS 391 Note that both projects have the same average annual total (gross) cash inflow (ATCF). investment I.I 322.000 = $164.58) where Y.000 + 52. Let us now calculate the payback period by applying Equation 7. Calculation of the payback period is relatively simple. should be recommended.58. The payback (or payout) period is defined as the length of time required for the cash inflows received from a project to recover the original cash outlays required by the initial investment. a company might establish some maximum payback period for a given class of projects and then reject all projects having payback periods greater than the maximum.000 = $164.II= Based on this criterion.000 - 360. which has the least payback period.7. In addition. However. Mathematically. the is defined by the relation [21] payback period rpB ‘ P B CY. The following relations are obtained: . use of this popular criterion should be avoided because it does not consider the time value of money and discriminates against long-lived projects. The payback period for each project of the case study can be calculated by dividing the total depreciable investment (TDI) by the average annual net cash inflow (ANCF): TDI rps = ANCF that is. Thus.9 years 112.3.000 + 44. The payback period is often used as a limit rather than as a direct criterion. the payback period may be used to rank various project alternatives: The projects with the shortest payback periods are given the highest preference. is the net cash flow to or from the project in the zth year.000 .000 ATCFII = 120.000 . = rPB. which is the sum of the annual average net cash inflows and the annual cash outflows: ATCFI = 112.=O Z=O (7.

xI = 0.000 .r r=O BL (7. if two projects are mutually exclusive. the projects with the highest present values are given the highest preference among various alternatives.392 ECONOMIC ANALYSIS Project I: -350. The formula for calculating the net present value is NP.~)(120.16.6 years Once again.000) =0 rPB.) of all net cash flows associated with each project alternative.59) where Y.4 .4 and T ~ ~=.30.000 + 108. the calculation of the payback period using only actual cash flows has an additional drawback: It completely neglects cash flows that occur after the payout year..2 Methods Using Discounted Cash Flows We now consider three evaluation methods that are based on rational criteria because they consider the time value of money and all cash flow streams during the life of a project. years Project 11: -400. reject any project with negative present value.000 = 0 where x. BL and i are the book life and the effective discount rate. = 3. Thus. respectively. the net present values are . Each method uses the net present value (NP..000 + xI 115. 3.000 + 108.20. the following rules apply: accept any project for which the present value is positive.(I + i ) . accept the one having the greater present value. = 2 Y.000 + (~~~. For the projects of Table 7. When the net present value method is used for project selection.000 . is the net cash flow at the end of zth time period. Project I would be favored.. However.5.. represents the part of the fourth year of project I required to recover completely the original cash outlays associated with project I. 7.000 + 108. Net Present Value Method.

Three such ratios are [21) Benefit-cost ratio Net benefit-cost ratio BCR = NP.30. = $131.511.000 + 108.000) (1 + i)’ For i = 15% we obtain NP. NP.3).7.. and thus..362. The net present value method implies that each net cash flow at the end of each time period is reinvested at an annual rate of return equal to the discount rate used in Equation 7. The benejt-cost ratios may also be used to evaluate the profitability of an investment. which is also based on the general net present value concept.59.000) (1 + i)* For i = 15% the net present value of project I1 is NP.000 - 20. Benefit-Cost Ratio Method.62) .000 + 120.. Since the revenue requirement method does not consider any profit above the minimum return on investment. + C.. In the revenue requirement method we assume that the depreciation funds are used to pay back investors. When the revenue requirement method is used to compare alternative projects. there is no need to consider the reinvestment of the depreciation funds. no additional assumptions about the reinvestment of net cash flows are necessary. + N P O NBCR = C O EBCR = ____ Eckstein’s benefit-cost ratio c o b2 + b 2 (7. This implicit assumption is not necessary in the revenue requirement method (Section 7. -400.60) (7. the project with the lowest total levelized revenue requirement is selected. which has the highest net present value..000 + 28. but project 11.000 .000 1 1 1 + (30..000 1 +1 + i (1 + i)’ 1 1 + (20. = -350.61) b..000 + 40. should be recommended.. When the minimum attractive rate of return of 15% is used. which is also paid back to the investors. both investments are profitable. C O (7..5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS 393 NP. = = $110.

= NP.and 6.0. = BCRI...000 = 1.30 370.0.158 . Let us evaluate the benefit-cost ratios for the two projects of Table 7. = $480.000 131. we require b. = . = $561..= ~ 110311 370. is the difference in present values of cash inflows and outflows from year z = 1 to BL.000 Finally.157) = 1.442 and . and where Aexprepresents the constant annual cash expenses. is the total investment cost at T = 0.15)(1.362 + 430. we have BCR.157 .158) = $197.394 ECONOMIC ANALYSIS where NP..000 b2.000 430.000 131.362 b2.59)..31 430.15)( 1.= 52.1 = $216. Thus. to apply Equation 7. is the net present value of all cash flows of a project at time T = 0 (Equation 7.60..1. b. represents the present value of cash outflows from year z = 1 to BL..342 (0.511 b.511 + 370.1 447000(0. With Equation 7. 1. The sum b. = 110. represents the present value of cash inflows.000 = 1.61 yields NBCR. + b. we obtain b.362 .62..31 Equation 7. + C.30 NBCR. C.16.

investment I is recommended by the internal rate of return method..4%. The internal rate of return does not express the rate of return on the initial investment.7.000 EBCR. we found that project I1 is recommended by the net present value method.442 = 1.5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS 395 EBCR. that makes the net present value of an investment z. however.63) The interest rate i* is found iteratively.. In decision making. Internal Rate of Return Method. The internal rate of return method seeks to avoid the arbitrary choice of an interest rate. = + 197. the following internal rates of return are calculated: i? = 24. The net-presentvalue calculation is straightforward and somewhat simpler.342 = 1. = 2 Yz(l + i*)-z = 0 z=o BL (7. there is no particular advantage in using the benefit-cost ratio method over the net-present-value method.000 + 216. unrecovered balances of an investment such that the final investment balance is zero at the end of the project life [21]. initially unknown.442 All three benefit-cost ratios applied to the case study suggest that project I1 should be recommended. A project is selected if the calculated internal rate of return is greater than the minimum acceptable rate of return. Thus. .21 + 197.362 430. It represents instead the rate of interest earned on the time-varying.19 370. The inconsistency in ranking projects I and I1 when the net present value and the internal rate of return methods are used is caused by the different assumptions associated with these methods. that is internal to the project. instead. The procedure is to determine the interest rate i * .ero. The internal rate of return method assumes reinvestment of cash flows at the calculated project internal rate of return. it calculates an interest rate. The projects with the highest internal rates of return are given the highest preference among various alternatives. which is a criterion expressing the cost efficiency of a project. = 48031 1 + 216.0% and i$ = 23. Both the net present value and benefit- cost methods use an interest rate that is usually based on the company’s cost of money but is external to the specific project being considered. The benefit-cost ratio method provides a criterion based on the net present value (or on the present value of cash inflows) per dollar outlay. That is NP.342 561. Previously. For the two projects of the case study. called the internal rate ofreturn.

000 + 85.000 1 +m] 1 + (30. all economic assumptions applying to the initial life span will also apply to all succeeding life spans.5.2) using the present case study.. a time period of 56 years should be used in which project I will be repeated 8 times.. which have economic lives of 7 and 8 years. and project I1 7 times. In such a case we need a procedure that will put the feasible alternatives on a comparable basis by using a meaningful and identical planning horizon (or planning period) for the analysis..3 Different Economic Lives In the previous illustrations of the profitability-evaluation methods (Sections 7. For example. we calculate first the salvage value of project I1 at the end of the seventh year using straight-line depreciation and BD. In this case the planning horizon may be any meaningful length of time: less than or equal to the life of the shortest lived alternative. According to this approach. we ignored the difference in economic life between the two projects.. and (b) calculate the salvage value at the end of the planning period for each alternative..000 + 120.000 found previously: S. However. Unequal lives among feasible alternatives tend to complicate their direct comparison.. For each feasible alternative. the comparison of feasible alternatives should be conducted on an equivalent basis that includes a realistic and identical analysis period.. The following approaches can be used.5. or between the shortest and longest lives. For example. This approach can become very involved mathematically and is not always realistic. both the net present value and the value of the internal rate of return depend on the project life. In applying this method we may need to (a) assume that some or all of the alternatives are repeated..000) = $85.. if we select the planning horizon to be equal to the life of the shortest lived alternative (7 years) for the two project alternatives. the planning horizon is equal to a common multiple of the lives of all alternatives considered simultaneously.000) ( 1 + i)’ ~ .5.000 . Cotermination Approach. Repeatability Approach. respectively. For the case study projects. the previously obtained results for the case study need to be modified before a final conclusion is reached with respect to their ranking. = $45. = 400. = -400.396 ECONOMIC ANALYSIS 7.000 The net present value of project I1 for the 7-year period is NP.1 and 7.000 1 - 30.(7)(45. greater than or equal to the longest alternative life. Therefore.

511..7..1. When this value is compared to the previously calculated value of NP. = $112.. We obtain a value of il"...635. The internal rate of return of project I1 for the 7-year period is calculated by equating NP. which is equal to the life of the longest alternative.4% and with the internal rate of return of the first project it7 = 24. its = 23.000 found previously...0%). The internal rate of return of project I for the 8-year period is calculated from the previous equation by equating NP. is slightly higher than i..4%) but smaller than it7 (=24.. Using BD...000 i)7 1 + (20. we can conclude that investment I1 should still be recommended... the 7-year planning horizon makes project I look more attractive than when unequal lives were used. In this approach we assume perpetual replace- ment of each investment and calculate the total capitalized cost (TCC). Next. when the internal rate of return is used as the criterion. = 23. Capitalized-Cost Approach.483..0% we obtain NP.0%. thus. = -350. the advantage is now smaller. we assume repetition of investment I using the same economic assumptions as in the initial life span..000 +i ) + 115.000 (1 (1 1) + 28. We conclude that an 8-year planning horizon increases the attractiveness of project 11. to solve the same problem for a planning horizon of 8 years.. Previously we calculated NP.000 + 304. however. the net present value calculated for 8 years suggests that project I1 should be recommended.5%.. With i = 15.. The capitalized cost is discussed at the end of Section 7. The above calculations illustrate clearly the effect of planning horizon on the comparison of alternative investments..... The new value. the salvage value of project I at the end of the eighth year (first year of the repeated investment) is SI. = $46. The total capitalized .000 .2.20.46... (=23....5 PROFITABILITY EVALUATION AND COMPARISON OF ALTERNATIVE INVESTMENTS 397 and with i = 15% we obtain NP...000 + 108.000) (1 + i). Accordingly. = 350.7%. = 22. = $1 12.000 (1 + i)8 (L+ (I - (L + + + (1 i) 1 1 + (1 i)* (1 + i)3 ~ + ___ 1 i)" (1 - + i)' 1 +-(1 + i)6 + ) + 1 350. = $110.... to zero and determining the internal rate of return i* iteratively.. i. note that i?.....000 The net present value of project I for the 8-year period is NP.000 = $304.. > i& > i. When compared with the 8year value.362. = $131. to zero..000 ...

16.1 + i)" (7. Table 7.398 ECONOMIC ANALYSIS cost includes the capitalized cost for the original investment. plus the working capital WC: TCC = C.64 combined with Equations 7.32).65b and 7. + CPVCE + WC (7. Equation 7.66. Equation 7.64) The capitalized present value of cash expenses is calculated by first determining the present value of all annual cash expenses. as occurs in both projects of Table 7. PVAE.65a) If the annual cash expenses C.i)" + i)" - 1] +? +WC 1 (7. (Equation 7. we obtain for the capitalized present value of cash expenses for projects I and 11: (7.68) Thus the total capitalized cost for projects I and I1 is . remain constant in time.32 and 7. i(1 + i)" . plus the capitalized present value of the cash expenses CPVCE.65a becomes (1 PVAE = C.65b) Then the PVAE is converted into a capitalized present value (CPVCE) by multiplying PVAE with the appropriate capitalized cost factor (CCF). n (7. C .67 becomes (1 + i>" ][ (1 (' i.7: (1 (1 CPVCE = PVAE X CCF = PVAE + i)" + i)" - 1 (7.66) Combining Equations 7.67) Finally.

However.7. therefore investment I1 should be recommended. Before using any of the above criteria. All of these criteria are used in practice depending on company preferences and on the projects to be evaluated. in specific projects with relatively short lives. Among them.15 -I- 30.000 (1 + 0. The first two criteria are popular and easy to implement. these criteria should be avoided. (c) net present value.640 (1 + 0. and thus should be used cautiously. we must understand the associated assumptions and examine whether these assumptions are acceptable for the project being evaluated.1 40.15)7 (1 + 0. particularly if the interest (discount) rate can be specified or secured.15 -1- 20. the capitalized-cost approach should be used. 7. For the comparison of projects with different economic lives.15)7 . however.5.6 CLOSURE This chapter begins with a brief review of methods for estimating the total capital investment of a thermal system.000 = $898.6 CLOSURE 399 (1 = 28. and (e) internal rate of return. When the repeatibility approach becomes very involved.4 Discussion of Profitability-Evaluation Methods Under the assumptions discussed at the beginning of Section 7. The benefit-cost ratio is a special case of net present value and involves only additional calculations. they do not consider the time value of money. the net present value is the preferred criterion for evaluating the profitability of a project and ranking alternative investments. Therefore. The methods using discounted cash flows lead to rational criteria for evaluating and comparing alternative investments. particularly in projects with long economic lives. These methods are not always accurate . These criteria are (a) average rate of return.15)8 1 ]+ 0. 7.5.15)8 ][ (1 (1 + 0. and they may neglect some cash flow streams late in the life of a project.000 ][ ]+ 0.15)7 + 0. we have presented five criteria for evaluating the economic acceptability of a project and for comparing alternative investments. (d) benefit-cost ratio. the cotermination approach may be preferred. The conclusions elicited may differ with different specifications of the identical time period. a realistic and identical time period (planning horizon) should be used. (b) payback period.15)8- + 0.173 The total capitalized cost based on a rate of return of 15% is lower for investment I1 than for investment I. The internal rate of return might introduce some ambiguity [21].000 $910. However.

1969. 8. 3. McGraw-Hill. E. 11. Sensitivity studies are recommended to investigate the effect of major assumptions (e. Solana Beach. McGraw-Hill. 1991. New York.g. Revision 6. Manual o f Economic Analysis of Chemical Processes. 4. J. cost of money. After a review of principles of engineering economics. New York. Chapter 7 concludes with a discussion of criteria for evaluating the economic feasibility of a project and comparing alternative investments. Van Nostrand Reinhold. Douglas. a detailed application of the revenue requirement method to the cogeneration system of Figure 1. Ulrich. Craftsman. Vol. McGrawHill.. Levelized costs are used as input data for the thermoeconomic evaluation presented in Chapter 8 and the thermoeconomic optimization discussed in Chapter 9. Plant Design and Economics for Chemical Engineers.. M. New York. 6. Humphreys. Such factors should be used only when more accurate data are not available. D. Garrett. Jelen’s Cost and Optimization Engineering. K. A Guide to Chemical Engineering Process Design and Economics. This fact should not deter engineers from conducting detailed economic analyses using the best available data. 1974. Project Evaluation in the Chemical Process Industries. Data and techniques for preliminary capital cost estimating. Perry and C . 10. Chem. Guthrie. Valle-Riestra. New York. D. Chemical Engineers’ Handbook.. Eng. 3. McGrawHill. pp. and operation and maintenance are calculated in current and constant dollars and for different time periods.7 is illustrated. or process. 4th ed. Chauvel. Evaluation and Control. Peters and K. S . is used here as an example of an economic analysis for a thermal design project. TR100281. Process Plant Estimating.. however. This method. New York. M. REFERENCES 1. and real escalation rate of fuels) on the results of an economic analysis. 1983. M. et al. inflation rate. J. 7. 5. 1984. D. fuel. 114-142. 1991. CA. E J. The levelized costs associated with carrying charges. 3rd ed. McGrawHill. 9. G. Guthrie. 1989. An economic analysis generally involves more uncertainties than a thermodynamic analysis. plant. K. H. Technical Assessment Guide (TACTM).. 2. K. New York. A. .Electric Power Research Institute. 1973. H. Chilton. 1991. March 24. New York. McCraw-Hill.400 ECONOMIC ANALYSIS and are often based partially on approximate percentages or factors applicable to a particular component. Chemical Engineering Economics. Conceptual Design of Chemical Processes.. 1976. M. which is a special case of the general net present value method. Timmerhaus. 5th ed. 1988. K. New York. Wiley.

Stojanoff. 0.81 for carbon steel/stainless steel and 8. 4th ed. Tsatsaronis.) is calculated for a .DeGarmo.. 121-180. Preliminary Chemical Engineering Plant Design.. 21. The purchased cost for the heat exchanger is calculated from The values of the material factor ( f m ) in the surface area range of 100500 m2 are 2. R. Palo Alto. W. Palo Alto. Electric Power Research Institute. 7. f Decisions under Uncertainty. 9th 18. Van Nostrand Reinhold. M. G. EPRI AP-365 1. M. SOlana Beach. 13. The pressure factor (f. G. Smith.1 is a U-tube heat exchanger having a carbon steel shell and stainless steel tubes and is rated at a design pressure of 35 bars. Analysis o 1969. A. The Economic Analysis of Industrial Projects. Chem. D. 14.2. W. Schlaifer. Craftsman. 1987. Thermoeconomic Analysis of Power Plants. Englewood Cliffs. Final Report.. 1992. 1974. G.55 for pressures betweci SO and 65 bars. The base cost (C. respectively. CA. P. 1970. McGraw-Hill. Bussey. 15. W. CA. 1990. New York. 1979. McGraw-Hill. 19. Macmillan.95 for carbon steel/titanium used as shell-tube materials.720 in 1990.) is 0. Baasel. NJ. EPRI AP4734. P.2 The heat exchanger of Problem 7. 140-156.PROBLEMS 401 12. ed. August 1986. Iowa State University Press. E. Tsatsaronis and M. and C . PROBLEMS 7.52 for design pressures between 25 and 50 bars and 0. Capital and operating costs for 54 chemical processes. What is the expected purchased cost of a similar heat exchanger with 200 m2 in 1990 and 1993? The Marshall Swift Equipment Index for 1990 and 1993 is 015. June 15. and J. Modern Cost Engineering: Methods and Data. K. Engineering Economy. New York. New York. G. RP2029-8. compiled and edited by Chemical Engineering. New York. 20. Process Plant and Equipment Cost Estimation. Sources and Production Economics of Chemical Products. Final Report. Winhold. Bontadelli. 22.1 The purchased cost of a shell-and-tube heat exchanger with 100 m2 of heating surface area was $32. 2nd ed. Thermoeconomic Analysis of a Gasifcation-Combined-Cycle Power Plant. 1978. Ames. CA. August 1984. pp. Prentice-Hall. compiled and edited by Chemical Engineering. Eng. New York. Guthrie.1 and 964. 1979. Electric Power Research Institute. Engineering Economy. G. pp. E. 16. L. 17. Kharbanda. RP2029-8. McGraw-Hill. Sullivan. Winhold..

and development are assumed to be zero.000-gal stainless steel vertical storage tank in 1993. find the effective annual interest rate if compounding is (1) annual. For uniform annual payments of $10.5 . and the average nominal escalation rate of the natural gas (CH. and the average capacity factor is estimated to be 90%. The economic life is 20 years. working capital.0 mid-1994 dollars per G value. For the cogeneration system case study. the allowance for funds used during construction is zero).18. the average nominal escalation rate of all (except fuel) costs is 4.e. and (4) continuous. calculate the levelized annual costs associated with carrying charges. (3) The effects of taxes.) cost is 4.. 7.52. (5) Startup costs.000 for 10 years. 7 .0%. Assume that Equation 7. The base cost of a carbon-steel tank in 1989 dollars is where V is the tank capacity in gallons. and fuel using the following simplified model: (1) The purchased-equipment costs should be calculated from the functions and constants given in Appendix B. These values are expressed in mid-1994 dollars. calculate the module cost for the heat exchanger described in (a). operation and maintenance.2 (for stainless steel) and fBM = 2. research.0%. = 0. (2)The average annual inflation rate is 4. 3 Determine the module cost for a 500.4 Using a nominal annual interest rate of 15%. f. compare the compound amount accumulated at the end of 10 years under (1) through (4). (2) quarterly. the average annual cost of money is 12.2 applies with f T = f.2 with fT = 0 applies and the bare module factor is 3. (a) What will be the purchased cost of a carbon steel/titanium U-tube heat exchanger rated at 55 bars and having a heating surface area of 150 m2 in 1993? (b) If Equation 7.0%. and costs of licensing. J lower heating The unit cost of fuel is 3. insurance. 7. (4) Overnight construction is assumed (i. and financing of capital expenditures are neglected. The base cost of a heat exchanger with 100 m2 of heating surface was $8500 in 1990.2%. f d = 1. = 3. (3) monthly.402 ECONOMIC ANALYSIS floating-head shell-and-tube heat exchanger using carbon steel for both shell and tubes and rated at a design pressure below 10 bars.

7.7 draw a figure showing the 7 .1997 dollars: ZoM = 0. 7 . = $48. (b) operating and maintenance costs. 6 Derive Equations 7. TCI = 4.7 Using the values from Table 7. and (c) fuel costs. 5 (7) Commercial operation of the plant starts on January 1 . (10) The annual levelized operating and maintenance costs are obtained by multiplying the O&M costs in mid-1997 dollars by the constant escalation levelization factor.20 2 (PEC).29 and 7. Compare the results obtained from the various methods. 8 For the cogeneration system of Figure 1.475 X lo6. The purchased-equipment costs will be escalated with the inflation rate. Then calculate the levelized values in constant dollars for fuel costs. calculate the levelized total revenue requirement in constant dollars for a 10-year levelization period. 9 A community is studying the feasibility of installing a solid-waste energy conversion plant.12 for the total revenue requirement of the cogeneration system.1997 dollars.30. Calculate the amount the community must .0 k= I 2 (PEC). Compare the calculated values with the corresponding values given in Table 7. S = 0. 8 7 . end-year tax book values calculated according to the following depreciation methods: MACRS (see Table 7. operating and maintenance costs.PROBLEMS 403 (6) The total capital investment (TCI) is four times higher than the sum of purchased-equipment costs expressed in mid. (8) The annual operating and maintenance expenses (expressed in mid-1997 dollars) are estimated to be 20% of the total purchasedequipment costs expressed in mid. and i = 12%. 1998. and carrying charges for the same time period. Calculate in current dollars for a 20-year period the annualized levelized (a) carrying charges. k= 1 5 (9) The annual levelized carrying charges are obtained by multiplying the total capital investment by the capital-recovery factor. n = 15.15.1 1) Straight line Double declining balance with a switch to the straight-line method at the end of the ninth year Sum-of-the-years digits Sinking fund Assume C.

000 10 50.0 x lo6 each should be conducted every 10 months. A periodic overhaul costing $1.000 20.10 A company is considering the construction of a small building.000. Two boiler manufacturers have submitted bids from which the following information is obtained: Boiler A First cost ($) Salvage value ($) Useful life (years) Annual operating costs ($) Boiler B 120.000 downpayment and a $450.11 In the design of a thermal system. which of these alternatives should be recommended if the annual cost of money is lo%? 7.000 4 If a perpetual service life is assumed.These costs are expected to increase by 0. Find the internal rate of return on this investment over the 30-year life. operating and maintenance costs are $800 X lo3. two mutually exclusive alternatives (A and B) are under consideration. the total net capital investment is $40 X lo6.000 10. 7. The first overhaul is done at the end of the tenth month and the last one at the end of month 240. The monthly fuel. which boiler should be purchased? .000 20.404 ECONOMIC ANALYSIS charge in dollars per 1000 Btu of energy output in order to break even over the 240-month economic life of the plant.000 for the first year and are expected to increase 5% per year thereafter.000. The overhaul costs are expected to increase each time by 4%. At the beginning of plant operation. These alternatives are as follows: Alternative A Investment cost ($) Salvage value ($) Annual costs ($) Useful life (years) Alternative B 120.000 5.000 9.000 40 6. The cost savings through the construction are estimated at $60. The operating and maintenance costs are estimated at 40% of the cost savings and should increase at the same 5% annual rate.12 Another boiler must be added to the steam-generating system of a small plant. The energy output of the plant at the design capacity is 18 X 1 O ' O Btu/month and the cost of money is 1% per month.1% per month.000. The resale value of the building in 30 years is estimated at $1.000 50. re- quiring a $50. The salvage value at the end of the plant economic life is zero.000 20 9.000 10. 30-year loan at 10% with equal annual payments.000 If the minimum acceptabie rate of return is IO%. 7.

such cost allocation assists in pinpointing cost-ineffective processes and operations and in identifying technical options that might improve the cost effectiveness of the system. 21. We can consider thermoeconomics as exergy-aided cost minimization. ‘The plant operator wants to know the true cost at which each of the utilities is generated. In particular. techniques have been developed for evaluating the thermodynamic inefficiences of these systems: exergy destructions and exergy losses. In addition. we often need to know how much such inefficiencies cost. compressed air. chilled water. we would want to know the production costs for each product. if a system has more than one product.THERMOECONOMIC ANALYSIS AND EVALUATION Thermoeconomics is the branch of engineering that combines exergy analysis and economic principles to provide the system designer or operator with information not available through conventional energy analysis and economic evaluations but crucial to the design and operation of a cost-effective system. However. 405 . these costs are then charged to the appropriate final products according to the type and amount of each utility used to generate a final product. the term exergoeconomics can also be used to describe the combination of exergy analysis and economics [ 1. In the design of a thermal system. Knowledge of these costs is very useful for improving the cost effectiveness of the system. as for example the cogeneration system shown in Figure 1.7. that is. and steam at various pressure levels are generated in one department and sold to another. This is a common problem in chemical plants where electrical power. Since the thermodynamic considerations of thermoeconomics are based on the exergy concept. for reducing the costs of the final products produced by the system. Chapters 2 and 3 have outlined the principles for conducting detailed thermodynamic evaluations of thermal systems.

. (c) providing a means for allocating and controlling expenditures.g. a cost balance is usually formulated for the overall system (subscript tot) operating at steady state: The cost balance expresses that the cost rate associated with the product of the system (C. Therefore.15 for the cogeneration system case study).1 FUNDAMENTALS OF THERMOECONOMICS Cost accounting in a company is concerned primarily with (a) determining the actual cost of products or services. however. For conciseness. or (d) to optimize the overall system.406 THERMOECONOMICANALYSIS AND EVALUATION Accordingly. 8.. The rates Zc' and ZoMare calculated by dividing the annual contribution of capital investment and the annual operating and maintenance (O&M) costs. we discuss the basic elements of thermoeconomics. In a conventional economic analysis. This frequently calls for the use of cost balances. In this chapter. (b) providing a rational basis for pricing goods or services. Here and throughout this chapter. Because of the variation of costs from year to year. and (d) providing information on which operating decisions may be based and evaluated [3]. respectively. the terms fuel and product are used in the sense introduced in Section 3. When referring to a single stream associated with a fuel or product. the objective of a thermoeconomic analysis might be (a) to calculate separately the costs of each product generated by a system having more than one product.) equals the total rate of expenditures made to generate the product. the term levelized is often omitted in the following discussions. Table 7. We also present some advanced costing techniques of thermoeconomics. The sum of these two variables is denoted by Z .3. the expression fuel stream or product stream is used. and several thermoeconomic variables used in the evaluation and optimization of the design of thermal systems. by the number of time units (usually hours or seconds) of system operation per year. the cost values used throughout this chapter and Chapter 9 are levelized costs.5. when we evaluate the design of a thermal system from the cost viewpoint. means for costing exergy transfers. namely the fuel cost rate ( C F )and the cost rates associated with capital investment (Z"') and operating and maintenance (Z""). we use the cost levelization approach (e. (c) to optimize specific variables in a single component. which include cost balances. (b) to understand the cost formation process and the flow of costs in the system.

8.8. Accordingly. power w.c.3~) (8.1. and costs should only be assigned to commodities of value..(mee. Thus.4a) This equation simply states that the total cost of the exiting exergy streams equals the total expenditure to obtain them: the cost of the entering exergy .3a) (8. The sum of the last two terms is denoted by Z k . note that in Chapters 8 and 9. In exergy costing a cost is associated with each exergy stream. and $. c. the variable C denotes a cost rate associated with an exergy stream: stream of matter. and the exergy transfer rate associated with heat transfer Eq we write. Indeed. A cost balance applied to the kth system component shows that the sum of cost rates associated with all exiting exergy streams equals the sum of cost rates of all entering exergy streams plus the appropriate charges due to capital investment ( Z P ) and operating and maintenance expenses (Z:").3d) c. we would write (8. Since exergy measures the true thermodynamic value of such effects.$ = (8. it is meaningful to use exergy as a basis for assigning costs in thermal systems. respectively Ci= ciEi = ci(niiei) Ce= c.1 FUNDAMENTALSOF THERMOECONOMICS 407 Finally.) e.1 Exergy Costing For a system operating at steady state there may be a number of entering and exiting material streams as well as both heat and work interactions with the surroundings. and cq denote average costs per unit ofexergy in dollars per gigajoule ($/GJ) or cents per thousand Btu ($/lo3Btu). for a component receiving a heat transfer and generating power. for entering and exiting streams of matter with associated rates of exergy transfer E.. Associated with these transfers of matter and energy are exergy transfers into and out of the system and exergy destructions caused by the irreversibilities within the system. or heat transfer while the variable Z represents all remaining costs. thermoeconomics rests on the notion that exergy is the only rational basis for assigning costs to the interactions that a thermal system experiences with its surroundings and to the sources of inefficiencies within it. We refer to this approach as exergy costing. = cww cq= cqEq Here ci.3b) (8. Exergy costing involves cost balances usually formulated for each component separately. power.

c ~ .4b are the levelized costs per unit of exergy ~ . 2 would be known from a previous economic analysis (Chapter 7). The term Zk is obtained by first calculating the capital investment and O&M costs associated with the kth component and then computing the levelized values (see Section 7. or second) of system operation. the cost per unit of exergy associated with the transfer of power (cW. from the purchase cost of this stream. W.3c. Cost balances are generally written so that all terms are positive. we may assume that the costs per exergy unit are known for all entering streams. With Equations 8. and the . the unknown variables to be calculated from a cost balance for the kth component are the costs per exergy unit of the exiting material streams ( c .3. and Ee would be known from a prior exergy analysis (Chapter 3).4) of these costs per unit of time (year.4a reads ce+ cw= cj + z (8.cq.J or heat (cq. we will now consider three elementary cases. Introducing the cost rate expressions of Equation 8. At the conclusion of the present section. The variables in Equation 8. The term Cq. and 8. q k )In .4a becomes (8. Consequently.Ei + 2 (8. f c w w = c.5a becomes ceE. 1 ~For . analyzing a component.1 by application to the gas turbine cogeneration system case study. Ei. These costs are known from the components they exit or. if a stream enters the overall system consisting of all components under consideration. 8. Consider the simple adiabatic turbine shown in Figure 8 . Steam or Gas Turbine. exergy costing is also illustrated in Example 8.k..k). and for the exergy streams associated with the kth component (c. To become familiar with exergy costing. hour.k with its positive sign on the left side if there is a heat transfer from the component. if power or useful heat are generated in that component. ) and. Eq.3a.and &) exiting and entering the kth component are calculated in an exergy analysis conducted at a previous stage.k.3b. Equation 8.408 THERMOECONOMIC ANALYSIS AND EVALUATION streams plus the capital and other costs.4b) The exergy rates (Ee. this case.5a) where 2 represents the sum of charges associated with the turbine’s capital investment and operating and maintenance costs. Equation 8. Equation 8.5b) where W. k would move with its would appear positive sign to the right side of this expression. . Note that when a component receives power (as in a compressor or a pump) the term c w .

(b) Boiler at steady state. as the unknowns.1 Elementary exergy costing examples. cq Fuel Air Feedwater Effluents 3 I I Figure 8.5b. Since the purpose of a turbine is to generate power. (a) Simple steam turbine at steady state.8. and c . .1 FUNDAMENTALS OF THERMOECONOMICS 409 kq. This leaves the two exergy unit costs c. all costs associated with the purchase and operation of the turbine should be charged to the power. (c) Costing o f the boiler exergy loss associated with heat transfer. To determine the two unknowns. cost per exergy unit of the stream entering the turbine (ci)would be known from the application of exergy costing to the components upstream of the turbine. one auxiliary relation is required to supplement Equation 8.

For this case the cost balance. e. and cq as the unknowns.5d) Boiler.E. and the associated cost rate appears on the left side of the cost balance. and Z would be known from prior exergetic and economic analyses. + c2E2 + c3E3 + 2 (8. we obtain the cost per exergy unit of the generated power: c . In agreement with accounting practice.5b.6b) where E. E5.16. = Ci(Ej - $) +z w (8. and c3) may be regarded as known. To determine the values of these three unknowns. Means for costing exergy losses are considered in Section 8.4a. This leaves the unit costs c . we write simply . c5. It is reasonable then to focus on the remaining exiting streams (the losses) when considering appropriate auxiliary relations.3a. With Equations 8. Here.6b. Consider next the boiler shown in Figure 8. the cost rate associated with the effluents appears on the left side of the cost balance. reads e.6a becomes c4E4 + c5E5 + cqEq= c. Here.4.3d.. ci.1. Equation 8.3b. 5 ~ Equation 8. Inserting Equation 8 . all costs associated with owning and operating the boiler should be charged to the steam. Equation 8. Therefore. %. this cost would change only ifexergy were added to the working fluid during the turbine expansion.410 THERMOECONOMICANALYSIS AND EVALUATION Both the exergy rate spent to generate the power and the exergy rate exiting the turbine were supplied to the working fluid in the components upstream of the turbine at the same average cost per exergy unit.6a) In accordance with the arrow on the figure. E3.. heat is transferred from the boiler.and 8. E2. Similarly. The costs per exergy unit of the entering streams (el. + c5+ cq= c1+ c2+ c3+ 2 (8. kq. the exergy transfers associated with the heat transfer and the effluents are regarded as losses. As the purpose of the boiler is to generate steam at specified values of temperature and pressure.5~) With this auxiliary relation all costs associated with the purchase and operation of the turbine (capital and other costs plus cost of the exergy spent in into the turbine) are charged to the generated power. E4. two auxiliary relations are required to supplement Equation 8. the cost per unit of exergy of the working fluid remains constant: ce = ci (8.

- E5 . it is irrational to charge as much for a heat loss occurring. were used as the basis for costing.7 is shown graphically in Figure 8 . where the potential usefulness may be considerable.6e) It is instructive to consider the exergy loss associated with heat transfer in greater detail. lob. is the temperature at which the heat transfer from the boiler occurs. the cost per exergy unit of the steam exiting the boiler is Cl(E. Inserting Equations 8 . close to the ambient temperature. the limiting value approached asymptotically by the costing curve at large (and physically unreasonable) temperature ratios is c.8. It is particularly important to note that such energy costing would charge the same for a given value of the heat loss (Q) regardless of the temperature at which it occurs.7) where T. IC.$) c. the monetary loss associated with heat transfer to the surroundings is = CIQ (1 - 2) (8. with Equation 3.6d) That is. this is closely the value that would be assigned to the heat loss if energy.6d in Equation 8. plot indicates that the cost of the exergy loss associated with heat transfer is greater for heat transfer at higher temperatures than at low temperatures. This behavior is what we would expect from a rational costing scheme: one that accounts properly for value. Equation 8. rather than mass or energy. for instance. . Thus. Referring again to Figure 8. This example illustrates clearly that energy-based costing can lead to misevaluations.1 FUNDAMENTALS OF THERMOECONOMICS 411 c5 = c1 cq = c . as for the same heat transfer occurring at a higher temperature.Q. 1 ~ The . where the usefulness of the heat transfer is negligible. = + c2E2 + c3E3 + z E4 (8. (8.6~) (8. rather than exergy. 6 ~ 8. Reference 2 presents additional examples that show that exergy. we assume that the exergy losses are covered by the supply of additional fuel to the boiler and that the average unit cost of supplying the fuel and remains constant with varying exergy losses. With conventional practices.6b and solving. The plot also shows that the cost rapidly approaches zero as the heat transfer usefulness (expressed by the associated exergy) goes to zero. should serve as a basis for costing applications. However.

1. 1992.8a for e.' As shown in the figure. Mayhew.2 CIE. Simple Cogeneration System.w c2E2 + 2. For a from that of Equation 8 ..1 summarizes the thermodynamic and cost data for the steam turbine of Figure 8. the effluents exit the boiler with negligible cost.O/GJ. The rate of exergy destruction. This follows from the fact that the chemical exergy of most fuels is about equal to the fuel higher heating value (see Equation 3. Consider next the simple cogeneration sys- tem shown in Figure 8. This system has two useful product streams: power and low-pressure steam..4 (Equations 8. . and the capital and other costs for the turbine (2. heat transfer can be ignored. respectively. + Zb = (8. and the turbine polytropic efficiency is constant at 80% regardless of the turbine exit pressure. Note that this costing approach differs .9a) + c. 474. +z .17a). The capital and other expenses for the boiler (2.21a). Harlow. = $4. Rogers and Y. Table 8. and using cg obtain 0 as noted previously.2 consisting of a boiler and a backpressure steam turbine.20 and 8. Engineering Thermodynamics.. ) is approximately the same as the cost per energy unit for the same fuel to the boiler.2 shows the relation used to calculate 2. see e. 478.412 THERMOECONOMICANALYSIS AND EVALUATION Finally. Several idealizations are made to simplify the calculations: The feedwater and combustion air are assumed to enter the boiler with negligible exergy and cost. 4th ed. the generated power. discussion. Exergy is destroyed within the boiler at a rate of 60 MW. exergy enters the boiler at a rate of 100 MW with a unit cost c . Longman. Solving Equation 8.8b) E2 'For the effluents exiting the boiler we assume. see Section 8. as a function of the power W generated in the turbine. Additional state and cost data are given in the figure.2 obtained at various turbine exit pressures. The cost rate balances for the boiler and turbine are.8a) (8. c3 = 0. UK.g.3 dollars per second of system operation at the design capacity. pp.) vary with the backpressure setting ( p4). The object is to calculate the cost at which each of the two product streams is generated for each specified turbine exit pressure. G . Figure 8.) are 0. we c2 = With data from Figure 8. (8. c2E2 + c4 E4 C3E3 = = C'E. note that in the foregoing discussion we have implied that the cost per exergy unit of fuel ( e . 6 ~For discussion of the polytropic eflciency.

m U m C 413 .

434 -348. C.008 c: 1.555 24.677 2.246 24.h.0256 0.1 435.997 (em 2.909 -331.160 279.574 1.906 (mS4) w (MW) 0 1.632 .000 33.364 3 1.785 16.818 35. 9 ~ ) 'The data shown in Figure 8.397 2.3 99. .682 272.2 Table 8.215 1.480 3. .2) - k." ($/GJ) 0 24.0330 0.389 -333.179 24.31 1 2.302 5.ED (~~IsJ = (ms.346./m (Equation 8 .819 1. (WS) C.190 1. 50 bars. T o s t data obtained using 2 .4 349..2 128.694 .8 398." = = $0.912 .997 ED (kWW 27 1.206 272.797 24.15 K and W = m(h. ? $.582 16.552 2.360 0.888 273.645 E4 (MW) 2.02/s [WllO] (W in MW) CAE2 (see Figure 8.9d) C$ = c4E.135 24.632 23.211 -335.003 12.338 28.723 10.433 281. w (Equation 8.W .24 and 3.185 0 0.) + z.E4 = .134 (MW) 0 0.) atpa = (exergy balance) (mhJ = (mh.9 205..633 2.156 0. = 50 bars.756 277.) atp.339. Tom& - (Equations 2.782 20.845 275.236 1.01 14 0.164 13.0380 "Thermodynamic data obtained using To = 298.1 Thermodynamic" and cos* data for the turbine of Figure 8 2 P4 P T 4 (bars) 50 40 30 20 9 5 2 1 ("(3 466.0200 0.525 18.) = (energy balance) SJ ED = T&.0030 0.2 and in this table are for illustration purposes only and do not necessarily reflect typical values.342.6 (mh4) (MW) -329.8~) .0066 0.0 261.435 24.

9b) That is. we set c4 = c2 (8. c4 and cwrone auxiliary relation is required to determine each quantity.3/s) (35 x 10-3 G J / ~ ) $20.9a involves two unknowns. c4 = $20.677 $/kg As Equation 8.9~) As a sample calculation. .77 X = 10-3/kg = 2. With the same reasoning as for Equation 8 .8.15 1 kg/s ($20'oiGJ)( $18.O/GJ This cost value can be expressed on a per unit of mass basis using c.1 cf = c4 = = (2) 23. This can be expressed on a per unit of mass basis using the specific exergy of the steam at state 4: cf = c4e4 = c4 (2) (8.819 $/kg which is the value listed in Table 8. on an exergy basis the unit cost of the steam exiting the turbine equals the unit cost of the steam entering the turbine. Accordingly. 5 ~ . consider the backpressure p4 = 9 bars.782 x GJ/s 26.O/GJ.8~) Substituting values cl = ($20.19 x 10-3/kg = 1.1 FUNDAMENTALS OF THERMOECONOMICS 415 c2 = = ($4.15 1 kg GJ/s) /s $26.O/GJ)(100 X GJ/s) + ($0. With E4 from Table 8.1 corresponding to this backpressure setting.O/GJ) (3526. = c2e2 = c2 (2) (8.

using the values for c$ reported in the table.02/s) (8.416 THEAMOECONOMIC ANALYSIS AND EVALUATION Next.1 can be calculated. = = ($20. Turbine Exhaust Temperature T4 ["C] 436 4 3 273 349 398 Y 2 . all the cost data reported in Table 8.J which is the value listed in Table 8.E4)+ 2.3 Cost of low-pressure steam per unit of mass. w + ($0. we obtain c. .0 . By repeating this procedure for backpressures varying from 50 to 1 bar. introducing Equation 8.435/G.C 1 2 0 0 10 20 30 40 50 Turbine Exhaust Pressure p4 [bars] Figure 8.2. cf .782) X GJ/s] io x 10-3 G J / ~ $24. = c*(E* . 0) $ 0 2 G i a L Y $ u .1 corresponding to this backpressure setting.3 giving the cost of the lowpressure steam per unit of mass as a function of the turbine exhaust pressure can be developed. Then.1 for p4 = 9 bars.O/GJ)[(35. c.9d) Using the data from Table 8.9b into Equation 8. as a function of the turbine exhaust conditions for the system of Figure 8. Figure 8.9a and solving for the unit cost of power.23.

reactors.) taking place within the component. The irrationality of energy costing is evident fr7m the behavior of the energy costing curve at low turbine exhaust pressures. pressure drop.2 Aggregation Level for Applying Exergy Costing The level at which the cost balances are formulated affects the results of a thermoeconomic analysis. in thermal design it is recommended that the lowest possible aggregation level be used. k. power. ~ ) . it may even be appropriate to distinguish among the various processes (chemical reactions. and k. .1. 8.).3 for comparison purposes.o and he.. For additional discussion see Reference 4. respectively. C . for example. To illustrate the effect of the aggregation level. turbines. etc. as shown in Figure 8. denote average costs per unit of energy. This example illustrates once again the significant misevaluations that can occur when energy is used as the basis for costing. This level is usually represented by the individual components (heat exchangers. The figure also shows that the cost per unit of mass rapidly approaches zero as the thermodynamic usefulness of steam (expressed by its exergy) goes to zero.m. c. etc. Depending on the component. This curve is obtained by applying a similar procedure but based on energy2 rather than exergy. ce c. = k. Unlike exergy costing. the unit cost on an energy basis for steam is closely 2 $/kg even though such steam has very limited usefulness.1 FUNDAMENTALS OF THERMOECONOMICS 417 The exergy costing curve of Figure 8. Here. recalling that in the previous discussion of this case cost balances were formulated individually for the boiler and steam turbine (Equations 8. A second cost curve is shown in Figure 8.o).(h. it is generally preferable to make appropriate assumptions that enable exergy costing to be applied at the component level than to consider only groups of components.8. refer again to the simple cogeneration system of Figure 8.3 shows that high-pressure (and hightemperature) steam is valued more highly per unit of mass than lowpressure (low-temperature) steam.rfz. = kqQ." . k.(h. Even in cases where the available information is insufficient for applying exergy costing at the component level.4.. = k. . Accordingly. respectively. At a pressure of 1 bar.w.8a and 8. = k. one might write for entering and exiting material streiims. The cost rate balance for this sytem is *When energy costing is applied.he.. For this.9a). the costing approaches discussed in Section 8. k . for the case where the back pressure i s p4 = 9 bars. This is in fact the behavior that would be expected from a rational costing scheme. and heat transfer. energy costing does not make distinctions about the usefulness of energy transfers. h.2. . . Now let us consider an overall system. heat transfer.l ~ .4 may be useful.0 are the specific enthalpy at ambient conditions (To and po) of the entering and exiting streams.

) .01GJ = 100MW I I = 23. Air.2.32IS W : I I Figure 8. c3 Fuel.4 System employed to discuss aggregation level for exergy costing.2 M W CI = $4.8 M W = 10MW . I + & = t0. (Compare with Figure 8. p4 = 9 bars ~$4 ' I I J$D zb = 61.Effluents = 5MW =0 /1. and Water i i I I I I I Boiler and Steam Turbine : 4 I I LP Steam.

they ..) and low-pressure steam (c. whether it is power or steam.$21. That is. to the actual cost formation process within the system.3/GJ In the previous discussion of this case.).3/s + $0. as we did in the previous discussion..10d) Substituting values c. On the other hand.4 as a guide. = ($4.1. W. However.O/GJ)(100 X GJ/s) + ($0. one auxiliary relation is required before these unknowns can be determined. = $24. With the present approach. the unit cost of the generated power is lower for the aggregated system because power is no longer required to bear the full burden of these costs. the rationale for introducing an auxiliary relation is much less clear-cut. = $20. Therefore. + if) = c. For example.10a) With E.10b gives c.10 could represent any system that generates steam and electricity. and c. Equation 8.10~) With this auxiliary relation. = c.8 x 10-3 G J / ~ .. and other costs between the generated power and the steam by assuming that each unit of exergy for the two product streams has the same cost. With only the information in Figure 8. = ClE1 + (Z. this equation involves two unknowns: the costs per exergy unit associated with power (c. Z. capital.1 FUNDAMENTALS OF THERMOECONOMICS 419 c1+ (Z.4/GJ when cost balances were formulated separately for the boiler and the steam turbine. + cw+ li: Using exergy costing. without explicitly considering the nature of the actual components making up the overall system.02/s) 33. and other costs associated with the steam turbine. E. c. we calculated c. we have (8. By considering only the aggregated system.8. + Z. in which only the overall system is considered. capital.. the unit cost of the steam is higher because it now bears part of the burden for spent fuel. (8. we do not take into account important information related to the actual production processes and.) E4 + w (8. = c. Equations 8. known from Figure 8. Z. it might be decided to share the fuel. = c .0/GJ and c. thus.2 or Table 8.

).3.c. Continuing the discussion of Table 8. The associated cost rates shown in Table 8. 8.1 la) z (8.E3) + (8.2 in detail. A comparison of Tables 3. . A cost rate balance reads c. + c2+ e. Table 8. but .C. for these components the cost rate balance may be solved for the cost per exergy unit of the exiting stream without the need for auxiliary relations.2 summarizes the definitions of cost rates associated with the fuel and product of the components contained in Table 3. This includes the above cases having one exit stream for which no auxiliary relation is required.3. Recall that the product is defined according to the purpose of owning and operating the component under consideration.420 THERMOECONOMIC ANALYSIS AND EVALUATION could apply to a system where the low-pressure steam is obtained by throttling high-pressure boiler steam and the steam turbine is a condensing turbine.3 Cost Rates. pump.c*E* . As noted in the table. Auxiliary Relations. From this discussion it is apparent that the quality of the results and recommendations from a thermoeconomic analysis depends on the aggregation level at which exergy costing is applied.3 provides the definitions of fuel (EF) and product ( E p ) for selected components. respectively. beginning with the components involving only one exit stream: compressor. Let us consider Table 8. and CF = (C.1.3 by cost rates (C).2. (the variables c . and product ( C p )of a comThe cost rates associated with the fuel (CF) ponent are obtained simply by replacing the exergy rates ( E ) given in Table 3. Both the product and the fueI are expressed in terms of exergy. and Average Costs Associated with Fuel and Product As a part of the discussion of exergetic efficiency in Section 3. consider the case of a turbine with one extraction.3 as W and (E. fan.2 are then C p = C.2 demonstrates that the cost rate associated with the fuel (or product) of a component contains the cost rates of the same streams used in the same order and with the same sign as in the definition of the exergy of fuel (or product).E. Table 3. we introduced the concepts of product and fuel.). The fuel represents the resources expended in generating the product.C2 .5.E. = C. + 2 or in terms of the fuel and product cost rates c w w = (c.11b) With three exiting exergy streams.3 and 8. mixing unit. The product and fuel for this case are identified in Table 3.E2 . respectively.1 auxiliary relations are required for components with n exiting exergy streams. and combustion chamber. As a rule. gasifier. . . n . and Z are known. two auxiliary relations are required to determine the unit cost of power c.

or Fan Turbine or Expander Heat Exchanger Mixing Unit Gasifier or Combustion Chamber Boiler -----t 3 Schematic *d 1 Hot stream Hot stream t .Es E8 . is calculated from the cost balance.then exergy is removed from the cold stream. .C. C 8. 5 To). = C. Pump..4 and Equations 8.CS) + (c8 - c7) C” e. c 2 . . = c. + c2 None cc. For c3 and c. CF = C . + c2 None c. . Auxiliary thermoeconomic relations None c2 = c3 = . and the following relations should be used: C..1. c.cs -=.E. . cw c 3 c 3 t aE . . + e.CI cC6 . .C. C 6 . + e.c2 - c3 CI e.Table 8. or cg G “These definitions assume that the purpose of the heat exchanger is to heat the cold stream (TI 2 To). . .) Cost rate of fuel cCF) . E6. .. . The variable c. .. If the purpose of the heat exchanger is to provide cooling (T..+ Ash 3 Cost rate of. see Section 8. product (C. and c.14 Variable calculated from cost balance c 2 C” c2 c 3 c 3 c.cc.2 Cost rates associated with fuel and product as well as auxiliary thermoeconomic relations for selected components at steady-state operation Component Compressor.

That is.) is caused. = C.E4.(W + ED) + z w or c .2 are then Cp = .and 2 are known. . . the product and fuel identified in Table 3. ) = @.C4).2. E . we formulate the following two auxiliary relations: c2 = c. but c2 and c4 are unknown. With two exiting streams and one cost-rate balance available. c2+ c4= c.. c. Since the .(B. E2. = - c. E 4 )+z (8.3 are E2 .12b) Here. E. + e.1.E. Turning next to the heat exchanger case of Table 8.12a) (c2E2.) +z w Using an exergy balance. . the fuel term in the above expression can be rewritten to give c. Using the rationale presented in Section 8.) and product (c. and E. when present)..c.1.422 THERMOECONOMICANALYSIS AND EVALUATION the variables c2 and c.. in addition to capital investment and O&M costs. respectively. and c3 = c.8.E3 + i w c. Accordingly. one auxiliary relation is required to determine the unit costs of these streams.E3 . the generated power is expected to bear the full burden of the costs associated with owning and operating the turbine. .) and CF = . . by exergy destruction (and exergy loss. A cost rate balance then reads (e2 (e.E2 .c2E2. The associated cost rates listed in Table 8. c. are unknown). + ( C . respectively.1 IC) where ED is the rate of exergy destruction within the turbine. E4.C. With the two auxiliary relations the cost rate balance gives c. E Dw+ 2 ) (8. we see that the increase in unit cost between the fuel (c..E. + z or in terms of the fuel and product cost rates (8.q E . = c.

15. E. becomes c2 = c. = c3 With this auxiliary relation. and Z are known.= (C6. c6.C7)and CF = (C.c5. Finally. As discussed next. Streams 3 (ash) and 4 (flue gas) are discharged to the natural environment either directly (without additional expenses) or after using ash handling equipment (with an associated cost rate of Zah)and flue-gas desulfurization equipment (with an associated cost rate of &). c4. + C2) .) + 2 E2 (8.14c).8. we may set c3 = 0 (8.3 the product and fuel for this case are identified as (E6 .14b) .E. stream 2 bears the full burden of the costs associated with owning and operating the heat exchanger. . + E2) (E3 + E. =0 (8.13a) or in terms of the fuel and product cost rates c . but c3. we consider the boiler of Table 8.12b.). Stream 4 provide cooling. unknown. if the purpose of the heat exchanger of Table 8.E5) + (E8.2 are then C . respectively. The associated cost rates given in Table 8. respectively.14d).1 FUNDAMENTALS OF THERMOECONOMICS 423 purpose of such a heat exchanger is to heat the cold stream and exergy is removed from the hot stream. and Equation 8.12~) On the other hand. c2.12b is solved for c is then burdened with all costs associated with the heat exchanger. Thus. we write c .(C3+ C4). through E8.2 is to .E. then c2 = c. Equation 8.14b (or Equation 8. . In the former case..C5)+ (C8 . In Table 3. + c3(E3. Thus. three auxiliary relations are required to calculate the four unknowns.14a) and c . and c8 are Here. c7. + C2 + C5 + C7 +2 (8.E7) and ( E .2. the average cost per exergy unit for the hot stream remains constant and is equal to the average cost at which each exergy unit of stream 3 was supplied in upstream components. the relations are provided by Equation 8. A cost rate balance reads C3 + C4 + C6 + C8 = c. The cost rate balance. .14a (or Equation 8. Equation 8. and Equation 8.

all costs associated with the final disposal of streams 3 and 4 are charged to the useful streams exiting the boiler-that is. .424 THERMOECONOMICANALYSIS AND EVALUATION whereas in the latter case the additional equipment items must be included in the thermoeconomic analysis. 2. . thus.15) The numerators in this equation indicate.14d result in negative cost rates for streams 3 and 4 (C3 < 0 and C4 < 0).15 simply states that a unit of exergy is supplied to each product stream in the boiler at the same average cost. When the fuel definition for a component involves the difference between the entering and exiting states of the same stream of matter.14~) and c. .1 auxiliary relations referring to these product streams must be formulated.15).c.c. as in the cases of a turbine and a heat exchanger in Table 8.2. for example. When the product definition for a component involves m exiting exergy streams. as for example.E7 (8. When the product definition for a component involves a single exergy stream.2 illustrates the following general principles applied in the formulation of auxiliary relations: 1. to the main steam and the reheated steam. Equation 8.2). Since exergy is supplied simultaneously to two different product streams of the boiler. The discussion of the selected components presented in Table 8. The auxiliary relations are formulated for the remaining exiting exergy streams that are used in the definition of fuel or (rarely) in the definition of exergy loss associated with the component being considered. In the absence of information about the production process of each of the m streams.14d) Equations 8 .c. In a boiler with one reheating (Table 8. it may be assumed that each unit of exergy is supplied to each product stream at the same average cost. and it is appropriate to write c3 = --ZaJE3 (8. 3. in a turbine. m . 1 4 ~ and 8. respectively. . we have m = 2 and. = -ZdsIE4 (8. one auxiliary relation involving streams 6 and/or 8 is required (Equation 8.es from boiler feedwater (inlet) to superheated main steam (outlet) and from cold reheat to hot reheat. the average . the cost increai. The denominators represent the corresponding exergy increases. Through these negative cost rates.E5 E. the following third auxiliary relation is appropriate: c. the unit cost of this exiting stream is calculated from the cost balance. E6 .

the average costs per exergy unit of fuel and product are used in the thermoeconomic evaluation of a component.1. the average unit cost of the product ( c .16 and 8. and exergy loss for the k th component.for ~ ) the kth component is defined by (8.. Similarly. The exergy loss (EL.) of the kth component of the system might consist of exergy loss associated with heat transfer to the surroundings. ~ )for the kth component is the average cost at which each exergy unit of the product of the kth component is generated: (8. which then becomes part of the product definition.17. we introduce the cost rate associated with exergy loss (CL) that represents the monetary loss associated with the rejection of exergy (exergy loss) from a system to its surroundings.1. streams of matter rejected to the surroundings and not further used within the overall system being analyzed or in another system. 8.8.4 Costing of Exergy Loss Streams Finally.3.) as discussed above and illustrated in Table 8. Using the cost rates associated with fuel.4. . the cost rate balance becomes (8. This cost changes only when exergy is supplied to the stream.18) With Equations 8. and 8.1 FUNDAMENTALS OF THERMOECONOMICS 425 cost per exergy unit remains constant for this stream.16) and expresses the average cost at which each exergy unit of fuel is supplied to the kth component [5-71. we can define the average costs per exergy unit of fuel and product for a component.2.18 can be written as follows: (8. product.19) .17) As discussed in Sections 8.2. The average unit cost of the fuel ( c ~ . Equation 8. After introducing the cost rates associated with the fuel ( C F )and product (C. 8.

all cost penalties associated with exergy losses must be charged to the final products of the system and recov- . k ) of the component.426 THERMOECONOMICANALYSIS AND EVALUATION From this equation.k and that the average cost of generating the product remains practically constant with varying exergy loss in the kth component. ~ ) additional fuel (l?F.kEL.kbears When CLSk the full burden of the costs associated with owning and operating the kth component. We may then calculate the monetary loss associated with the exergy loss from cL. If additional expenses are necessary for cleanup before a stream of matter representing an exergy loss is discharged to the natural environment.k = ‘F. When Equation 8. In many cases.1.20 may be applied to cost balances formulated for the overall system when the purpose of the thermoeconomic analysis is to calculate the costs of the final products or to evaluate or optimize the overall system.19. Equation 8. This approach is used in Section 8.1 to evaluate the cost penalty associated with a heat loss (see Equation 8.k (8.20) is zero in Equation 8..kEL.21a or 8.20 should be applied only to the streams finally discharged to the natural environment.k = ‘P. these expenses and the associated equipment must be included in the system being considered.2lb) As this approach overestimates the cost penalty associated with exergy loss. When the purpose of the thermoeconomic analysis is to understand the cost formation process and the cost flow in the system. This case is discussed in Section 8. Equation 8. to evaluate the performance of a single component.2 as an example (see Equations 8. Alternatively.. k ) affects the cost rate associated with the product ( c p . it is not recommended.14).)associated with the exergy loss in the kth component cL. the product as expressed by cp. or to optimize specific design variables in a single component.21a) This equation assumes that the exergy loss is covered through the supply of to the kth component and that the average cost ( c ~ .k) of supplying the fuel exergy unit remains constant with varying exergy loss in the kth component. we might assume that the exergy loss results in a reduction of the product Ep. The simplest approach to costing of an exergy loss associated with the kth component is to set (8. all exergy loss streams should be costed as if they were to be further used by the system.k (8. we calculate the monetary loss (CL.7).21b is used. In so doing. it is apparent that the cost rate of the exergy loss stream ( C L .1.3 using the boiler of Table 8.

pressure. 4. In such a case. calculate the levelized cost rates and the levelized costs per unit of exergy associated with all streams in the system. particularly if the exiting stream has been used in more than one component. Example 8.1).21a could be used in cost optimization studies involving the entire system.1 FUNDAMENTALS OF THERMOECONOMICS 427 ered through the sale of the products. Equation 8. To illustrate this. very few components have exergy losses that. In general. If a positive monetary rate would be calculated for stream 7 from Equation 8.6).6. 2. this rate must be distributed between net power and steam generated by the total system. the heat-recovery steam generator (HRSG) of the cogeneration system of Figure 1.8.The concept of exergy loss is normally applicable to the overall system rather than to a single component having an exiting stream that is not further used in the overall system. or if it leaves the overall system with the lowest allowable temperature.15 for the cogeneration system case study. refer to the cogeneration system of Figure 1. when calculating the final total cost associated with each product (see Example 8. For example. particularly since the exergy of the combustion gases is also used in the gas turbine and the air preheater. The annual carrying charges and operating and maintenance costs are apportioned among the system components according to the contribution of each component to the sum of purchased-equipment costs (Table 7.2). The exergy flow rates from Table 3.7. This component should not be penalized for such loss.1 Using data from Tables 3. All data are for operation at steady state.1 apply.7. need to be distinguished from the exergy destruction (see Section 3.1. ANALYSIS The following cost balances and auxiliary relations are formulated for each component of the cogeneration system: . A zero unit cost is assumed for air entering the air compressor ( c . and 7. = 0) and water entering the HRSG (c8 = 0). (The HRSG would not become more efficient if the designer would use part of the exergy of stream 7 elsewhere.15). for costing purposes. Solution MODEL 1.) The exergy rate E7 represents a loss for the overall system but not for the HRSG.21a.5. 3. and chemical exergy values.7 should not be penalized for stream 7 leaving the overall system. Calculations are based on the levelized annual costs in current dollars for a levelization time period of 10 years (Table 7.

The associated exergy flow rate is E.&) the cost per exergy unit remains constant (cs = c4).411 X lo6) by the average total number of hours of system operation per year (7446 h per year). = o (assumption 4) where subscript 11 denotes the power input to the compressor. The value of Cl. the cost per exergy unit of this power (Wac) is equal to . Gas Turbine (gt) c4+ zg* = c5+ Cl1 + cl* (7) where subscript 12 denotes the net power generated by the turbine: Wnet = W12 = 30 MW. -=- cs c4 E4 E5 Ignoring the losses during the transmission of power from the gas turbine to the air compressor.15 ($10. Combustion Chamber (cc) c3+ C10+ zcc = c4 (5) The levelized cost rate of stream 10. + c. the purpose of which is to heat the cold stream. Thus.+ zac = c2 C. Thus. The auxiliary relation for a gas turbine is that on the fuel side (E4..428 THERMOECONOMICANALYSIS AND EVALUATION Air Compressor (ac) c. is calculated from the gas turbine analysis (see Equation (9)). is that the cost per exergy unit on the hot side (fuel side) remains constant (c6 = c5). which is supplied to the total system from outside.Thus. = Wac = 29. Air Preheater (ph) The auxiliary relation for a heat exchanger.. is obtained by dividing the annual levelized fuel costs from Table 7.662 MW.

through C. heat-recovery steam generator. the cost per exergy unit on the fuel side of the HRSG remains constant (c. 188.= (10. 264. The purchased-equipment cost for the overall system is 11. For the water stream entering the HRSG we have from assumption 4 of the model c.1 FUNDAMENTALS OF THERMOECONOMICS 429 the cost per exergy unit of the net power exported from the system ( c I 1= cIJ. Solving the linear system consisting of Equations (1)-( 12). also in the denominator of Equation (13). combustion chamber.2. 68.0 X lo6 mid-1994 dollars and is used in the denominator of Equation (13). c7 = .527 X lo6) and the annual levelized operating and maintenance costs ($5. 753. z . According to assumption 3 of the model. + 5.989) X lo6 PEC.6). air preheater. for the kth component is calculated with the aid of the annual levelized carrying charges ($10. Heat-Recovery Steam Generator (hrsg) Here. we obtain the values of 753. and other plant equipment.C6 E7 E6 The above relation allows us to calculate the monetary loss associated with the exergy loss of stream 7. and 190 (all in levelized dollars per hour) for the air compressor. = c6). we obtain the values of the cost flow rates and the unit costs associated with each stream . This cost is apportioned between the two product streams 9 and 12 later in the discussion. the term Z. represents the total annual number of hours of system operation at full load.it is necessary to calculate the values of the 2 terms appearing in the cost balances. The Z value for other system equipment is charged directly to product streams 9 and 12 later in the thermoeconomic analysis. respectively.527 (11. The number 7446.0 x 106)(7446) PEC. Thus.989 X lo6) for the total system from .Thus.8. Using Equation (13).1994 dollars (Table 7. gas turbine. is the purchased-equipment cost of the kth component expressed in mid. = 0 Before the system of linear Equations (1)-(12) is solved for the unknown variables C.

662 30.* may be used as weighting factors for apportioning the cost rate C7 between steam and electricity. and O&M expenses calculated on a per hour basis. exergy rates.454 38. the exergy values E9 . which is the most expensive fuel in the system.430 THERMOECONOMIC ANALYSIS AND EVALUATION given in the following table..23 4.00 27.E8 and w.994 29.062 12. This cost rate also must be charged to steam and net power. we divide the cost rate associated with other plant equipment ($190/h) equally between steam and net power and obtain the adjusted cost rates Ch = C9 + Zother/2 = 1256 + 95 = $1351/h + 95 = $2121/h and Ci2 = C.000 0 2756 3835 5301 0.538 41.57 18.51 14. The monetary loss associated with the exergy loss of stream 7 is $145/h.80 25. Note that the highest exergy unit cost is achieved at stream 2 exiting the air compressor where all exergy available at the exit is supplied by mechanical power.40 14.5 1 14. In the absence of other criteria. The cost associated with other plant equipment must be apportioned to the two product streams on the basis of an estimate of the equipment contribution to the generation of each product stream.2 + Zother/2 = 2026 These values satisfy the cost rate balance for the total system: the sum of C. fuel costs.782 2 1. respectively. and C7must be equal to the sum of carrying charges.76 18.752 2. c. levelized costs per exergy unit. respectively.938 101. After this final adjustment we obtain theJinal cost rates .76 E. 1 2 3 4 5 6 7 8 9 10 11 12 0 27. Ci2. and c.810 84. Application of these weighting factors results in additional costs of $43/h and $102/h for streams 9 and 12. levelized cost rates. Here.5 1 2026 1137 145 0 1256 1398 2003 2026 14. Also note that the cost per exergy unit is considerably higher for steam (stream 9) than for the net power (stream 12).00 27.5 1 0.773 0. for simplicity.

assumption 3 of the model can be revised if additional information is available. 8. 2. the total cost rate associated with material streamj.1 FUNDAMENTALSOF THERMOECONOMICS 431 C g and = Cb + $43/h = $1394/h $2223/h Cy2 = Ciz + $102/h = COMMENTS 1.g. In such a case the value of Cy" remains unchanged as thejth material stream . non-exergy-related costs can affect the total cost rate associated with material streams. = 0 in solving the system of linear equations. As the uncertainty associated with cost data is larger than with thermodynamic data..3b assumes that costs associated with material streams are related only to the exergy rate of each respective stream.3b) whereas Cy" is the cost rate due to nonexergetic effects. Other assumptions might be used to apportion the cost of other plant equipment and the cost of stream 7 between the product streams (steam and net power). Examples include the cost rates associated with a treated water stream at the outlet of a water treatment unit. when significant non-exergy-related costs occur. Equations 8. but as discussed at the end of Section 8.8. This may result in small discrepancies in cost balances owing to round-off. all costs associated with the rejected stream 7 ($145/h) would be charged to the steam (stream 9).+ e:"" (8. However. an oxygen or nitrogen stream at the outlet of an air separation unit.22) where Cj is the cost rate directly related to the exergy of stream j (e.is given by C y = c. iron feedstock supplied to a metallurgical process. a limestone stream supplied to a gasifier or fluidized-bed reactor.1. Accordingly.3a and 8. The term Cy" represents a convenient way for charging non-exergy-related costs from one component to another component that should bear such costs. If Equation (11) were replaced by C. denoted by CToT. 3.5 Non-Exergy-Related Costs for Streams of Matter The costing approach exemplified by Equations 8. and an inorganic chemical fed into a chemical reactor. Also.3a and 8.4 this approach is not recommended.1. economic calculations generally do not have the same accuracy as thermodynamic calculations.

.. CD. each exergy stream is characterized by a cost per exergy unit and a cost rate.. C p .. The cost of generating the oxygen stream in the air separation unit is charged cost rate to the gasifier and does not affect the cost directly through a CNE per exergy unit and the exergy-related cost rate of the oxygen stream as this are given in Refis preheated in a heat exchanger. and (e) the exergoeconomic factor.4 and 8. This information is sufficient for (a) calculating separately the cost at which each product stream (e. and fk. there is no cost term directly associated with exergy destruction.g. k . For example. the information on stream costs is used as information to calculate thermoeconomic variables associated with each system component. (Equation 8. which is solved for the unknown values of cost rates or of cost per exergy unit.. all five of the thermoeconomic variables listed are applied to the design evaluation of a new system and the performance evaluation of an existing system. rk. a cost balance is formulated for each component.16). Accordingly.2. combined with appro- priate auxiliary thermoeconomic relations.432 THERMOECONOMICANALYSIS AND EVALUATION crosses intermediate components. f. the solution of the system of linear algebraic equations provides the cost per exergy unit and the cost rates associated with each exergy stream. More details about CNE erence 7.2 THERMOECONOMIC VARIABLES FOR COMPONENT EVALUATION The following quantities.19).1 Cost of Exergy Destruction In the cost balance formulated for a component (e. As illustrated by Example 8. In a thermoeconomic evaluation and optimization. The next two sections discuss such thermoeconomic variables.1. 8. consider an air separation unit supplying an oxygen stream that is preheated before it is used in a gasifier.6 Closure When conducting a thermoeconomic analysis of a given system.1. This balance..(d) the relative cost difference. In Section 8. (c) the cost rate of exergy destruction.3. play a central role in the thermoeconomic evaluation and optimization of thermal systems: (a) the average unit cost of fuel.. in addition to the exergy rate of the stream. cF. 8. 8. Accordingly.g. steam and electricity in a cogeneration system) is generated by the system and (b) understanding the cost formation process and the flow of costs in the system. Equations 8. three of these variables are discussed: t D . (b) the average unit cost of product.17). r. the cost associated with the exergy destruction in a component or process is . k (Equation 8. results in a system of linear algebraic equations. known as thermoeconomic variables. In this section.

these terms provide measures of the cost of exergy destruction. Equations 8.k = EP. namely In practice neither of the sets of assumptions used to define CD. .kEP.k - cL.k - CL$k) + ”k + ‘F. ) is fixed and that the unit cost of product ( c ~ ..k and obtain ‘P.kED. monetary loss associated with the loss of product.2 THERMOECONOMIC VARIABLES FOR COMPONENT EVALUATION 433 a hidden cost. these equations f the average costs associated with represent only plausible approximations o . The effect of exergy destruction can be demonstrated by combining Equations 3.k. ) and the rate of exergy destruction ( E D .) is fixed and that the unit cost of fuel ( C F . the exergy destruction reduces the product and so Equation 8. that can be revealed only through a thermoeconomic analysis.24a as the cost rate of the additional fuel that must be supplied to the kth component (above the rate needed for the product) to cover the rate of exergy destruction. assuming that the fuel ( E F . we can define the cost of exergy destruction by the last term of Equation 8.24b.23a) or to eliminate Ep. but a very important one. we may interpret e”.kand obtain In each of Equations 8. of ~ ) the kth component is independent of the exergy destruction.k + EL.23a as As the fuel rate ( k F .28 and 8.19) to eliminate EF.24a or 8.kEP.23. the last term on the right involves the rate of exergy destruction.24b cain be interpreted as the of the kth component (kp.k + (8. (3. k ) must account for the fixed product rate ( E p ..28) ‘k CpskEP.kEL. Alternatively. As discussed next. at least approximately.k = ‘F. k ) of the kth component is independent of the exergy destruction.8.k) is fixed.23b as When the fuel (l?F. we can define the cost of exergy destruction by the last term of Equation 8. Accordingly.. k ) .k (8. Assuming that the product (Ep.k= ‘F*kEF.k + ED.in Equation 8. .k).19: EF. is strictly satisfied.k + (‘F.

For most well-designed components. the ratio c D . The design optimization of a single component in isolation. . At the cost optimal point. Equation 8.decreases. as the exergy destruction decreases or as the efficiency increases.. Let us consider next the rationale for this practice.20: CL.21a in Equation 8. and thus no exergy loss cost would be charged to the average unit cost of the product of the kth component cP. 5 ~The consists of a series of three components in which the product of each of the first two components is the fuel of the following component.k). (CD.16).21b in Equation 8.24a gives a lower estimate and Equation 8. Accordingly. The Effects of Exergy Destruction and Exergy Loss on Efficiency and Costs. Reconsidering Equations 8.434 THERMOECONOMICANALYSIS AND EVALUATION exergy destruction in the kth component. consists of finding the appropriate tradeoffs between c D . We keep the product of the third component constant ( E . In the following..k= 0. = constant) and assume that the sum of exergy destruction and exergy loss in this component increases: . the simplest approach to costing an exergy loss is to use Equation 8. . we consider the effects of changes in the exergy destruction or exergy loss in one component on the exergy input to the overall system. In a well-designed system.24b gives a higher estimate with the actual exergy destruction cost being somewhere between the two. we will assume that Equation 8. Thus. k and Zk that minimize the unit cost of the product generated in the same component. we assume here that the product of the overall system and the exergetic efficiencies of the remaining components remain constant as the exergy destruction and/or the exergy loss in a component vary. Since this assumption is consistent with the purpose of evaluating and optimizing the design of a system. the term CD. by using Equation 8.2. indirectly affects the capital investment and the fuel costs of other components. k and the associated cost rate c L . the lower the cost-optimal value of Z.. discussed in Section 9. Before continuing with the discussion of the remaining two thermoeconomic variables (r.23a or use of Equation 8. .k. This philosophy is consistent with common practice in the design of industrial systems. we use Equation 8. .23b would result in a zero value for the term in parenthesis. system Let us begin by considering the system shown in Figure 8 . For most applications. As noted in Section 8.4.24a to estimate the cost of exergy destruction. For simplicity.1. k .20 applies in the derivation of the remaining thermoeconomic variables to be considered in this section. the exergy destruction in the kth component directly affects the capital investment for the same component and. we take a prudent approach with respect to the required capital investment costs.24a to estimate the cost of exergy destruction.23. but the capital investment Zc' increases. k / Z k remains approximately constant (see Equation 9. in some cases. the lower the cost per exergy unit used to calculate CD. and f k ) . This issue is important to both the design of new systems and the performance improvement of existing systems. In passing. observe that the terms in parenthesis on the right side involve the rate of exergy loss from the kth component E L .. we may also note that use of Equation 8.

This results in the following changes of the exergy streams in Figure 8 . Thus. AEF. using Equation 8. 5 ~ AEF.III : = AEp. AED. and AEFl == 10" kW/(qcIl).8. By formulating cost rate balances for components I and 11.III).I) that because E. these equations reduce to that Combining this equation with the relation we obtain .5 Systems in which the product of one component is the fuel of the next component. where m is a positive integer. the additional fuel to the total system (AEF..20.l = 10" kW/EII.. < 1 and eI1 is required to cover the increase in exergy destruction andlor exergy loss in the third component is larger than the sum (AED.+ = 10" kW.lI = AEp.2 THERMOECONOMIC VARIABLES FOR COMPONENT EVALUATION 435 Component 11 (EI~ =constant) = i F . < 1..II. we obtain or or where superscript 0 indicates that only fuel costs are considered. l I I j Component p p 111 Air If 3 (b) Figure 8..+ AEL.... Recognizing = cF.I = 10" kW. and neglecting the Z terms.

~ This conclusion applies to any system with any arrangement of components. The system consists of an electric motor. are each fixed.the pressure p 5 . .E6 and E5. From these examples. however. to provide a component where incremental exergy destruction andlor exergy loss occur with the exergy it requires. the effect on the electric power would be smaller: 10" kW I E. and so the exergy supplied to the overall system increases dispr~portionately.436 THERMOECONOMICANALYSIS AND EVALUATION or (8. For further discussion. Note that the cost of exergy destruction and exergy loss in the overall system cannot be calculated by adding the costs of exergy destruction and exergy loss in the components because the cF value for each component already contains information related to the exergy destruction and exergy loss in all upstream components. and the exergetic efficiencies E. additional exergy is generally destroyed in the upstream components. 3For complex systems the approach of Reference 8 may be used to develop algebraic relations expressing the interdependence of efficiencies of various components.If the 10" kW increase of exergy destruction would occur in the air compressor. and a water heater. see Section 8. as expressed by the right side of the last equation. we conclude that the economic importance of exergy destruction and exergy loss in a component depends on the relative position of the component with respect to fuel and product streams of the overall system: A change in the exergy destruction or exergy loss in a component closer to a product stream generally has a greater impact on the fuel supplied to the overall system than a change in the exergy destruction (or exergy loss) of the same magnitude in a component closer to the component where the fuel to the overall system is supplied.24~) This equation states that the cost of the additional fuel to the overall system is equal to the increase in the cost of exergy destruction and exergy loss in the third component. an increase in the exergy destruction of 10" kW caused by an increase in the pressure drop in the water heater results in an increase in the required electric power for the motor by 10" kW/(Ecem). Then. In a steam power system. respectively.. for instance. For simplicity the exergy flow rates E. .5b. avoidable exergy destruction (or exergy loss) in the steam turbine has a larger impact on the system efficiency and cost of electricity than does avoidable exergy destruction (or exergy loss) of the same magnitude in the boiler. That is.3. an air compressor. A system corresponding to the arrangement of Figure 8 . 5 ~ is presented in Figure 8.2. and eC of the electric motor and compressor.

The expressions given by .25 becomes (8.23b.2.2 THERMOECONOMIC VARIABLES FOR COMPONENT EVALUATION 437 8. for example. Equation 8.6).2 Relative Cost Difference The relative cost difference rk for the kth component is defined by rk = CP.k cF. are the cost rates associated with Capital investment 2:' Operating and maintenance ZgM Exergy destruction cF.26) Equation 8.k Exergy loss cF. and 8. With Equations 8. Using the exergetic efficiency of the kth component. if the cost of fuel of a major component changes from one iteration to the next.2.kED. + io" k cF. and 8.26 reveals the real costsources associated with the kth component.20. This is left as an exercise.23a. 8.27) The relative cost difference can be expressed alternatively using Equations 8. k E P . k 'F. These sources. In an iterative cost optimization of a system. Equation 8. which cause an increase in the cost per exergy unit between fuel and product.20.8.kEL.25) This variable expresses the relative increase in the average cost per exergy unit between fuel and product of the component.26 may be written as rk = -+ Ek €k 1- z 1 . k (8.k (8. The relative cost difference is a useful variable for evaluating and optimizing a system component. 8.2. the objective of the cost optimization of the component should be to minimize the relative cost difference instead of minimizing the cost per exergy unit of the product for this component (see Section 9.

28) where. the cost sources in a component may be grouped in two categories. For instance. On the other hand. A low value of the exergoeconomic factor calculated for a major component suggests that cost savings in the entire system might be achieved by improving the component efficiency (reducing the exergy destruction) even if the capital investment for this component will increase. the design evaluation of a new system is presented and then the performance evaluation of an existing system is discussed. i k = if'+ 2.". The total cost rate causing the increase in the unit cost from fuel to product is given by the denominator in Equation 8. a high value of this factor suggests a decrease in the investment costs of this component at the expense of its exergetic efficiency.2.3 Exergoeconomic Factor As Equations 8. while the second category consists of exergy destruction and exergy loss. defined for component k by (8.26 and 8. In evaluating the performance of a component.3 THERMOECONOMIC EVALUATION This section illustrates the use of the thermoeconomic variables introduced thus far for the evaluation of thermal systems. between 35 and 75% for compressors and turbines. 8.438 THERMOECONOMICANALYSIS AND EVALUATION Equations 8.27 are preferred. we want to know the relative significance of each category.26 and 8. 8. and above 70% for pumps. .3) and thus are not considered in the analysis. all charges directly associated with the investment costs of existing equipment are sunk costs (Section 7.27 indicate. the exergoeconomic factor expresses as a ratio the contribution of the non-exergy-related cost to the total cost increase. this value is typically lower than 55% for heat exchangers. First.28. as before. since they are in accord with the evaluation of the exergy destruction cost and the exergy loss cost discussed in the previous section. The first consists of non-exergy-related costs (capital investment and operating and maintenance expenses). Accordingly. however. Typical values of the exergoeconomic factor depend on the component type. This is provided by the exergoeconomic factor f. The difference between these two cases is in the way that investment costs are treated: In the second case.

Cost rate of exergy destruction CD. Rank the components in descending order of cost importance using the sum Z. investigate whether it is cost effective to reduce the capital investment for the kth component at the expense of the component efficiency. If the f k value is low. 3 . Eliminate any subprocesses that increase the exergy destruction or exergy loss without contributing to the reduction of capital investment or of fuel costs for other components. operating and maintenance expenses ZFM. + CD. compressor. and their sum 2 . 3. 5. Exergoeconomic factor f k - To improve the cost effectiveness of a thermal system consisting of several components. b. recognize that the values of all thermoeconomic variables depend on the component types: heat exchanger. 2. and so forth.kand exergy loss ratio y L .8.k Relative cost difference r.. we recommend the following m&hodology : 1. pump. 4. especially when the cost rates Z. Cost rates associated with capital investment Z:'.. When applying this methodology. Consider design changes initially for the components for which the value of this sum is high. the exergy destruction ratio. chemical reactor. Thus. whether . or the exergy loss ratio.3 THERMOECONOMIC EVALUATION 439 8 . and exergy loss Exergy destruction ratio yD.are high. . Accordingly. Use the exergoeconomic factor f k to identify the major cost source (capital investment or cost of exergy destruction).. try to improve the component efficiency by increasing the capital investment. If the f k value is high. for the kth component we calculate the Exergetic efficiency E. Rates of exergy destruction E D . . turbine. a. 6. Consider improving the exergetic efficiency of a component if it has a relatively low exergetic efficiency or relatively large values of the rate of exergy destruction. 1 Design Evaluation A detailed thermoeconomic evaluation of the design of a thermal system is based on a set of variables calculated for each component of the system. Pay particular attention to components with a high relative cost difference r. and CD.

. Solution MODEL 1.5. The following decision variables are used for the cogeneration system: the isentropic efficiencies of the air compressor The pressure ratio p 2 / p l . 2.5 for discussion). The foregoing methodology for improving the cost effectiveness of a thermal system is illustrated in Example 8.1 apply. qsc and gas turbine q. identify the effects of the design variables on costs. The thermodynamic performance models for the components are given in Section 2.the temperature T3 of the preheated air at the outlet of the air preheater.. 3.2.2 Using data from Example 8. Typical ranges of the exergoeconomic factor for some component types are given at the close of Section 8. Example 8. The cogeneration system provides only an elenzentary example to demonstrate the application of thermoeconomic techniques for evaluating and optimizing the design of a system. 4. moreover. We assume that an experienced cost engineer is available for consulting. conduct a detailed thermoeconomic evaluation of the system. the costs of purchasing the gas turbine and the combustion chamber increase exponentially with increasing temperature T4.4 4A high T4 value requires application of special alloys and advanced internal cooling techniques of the turbine blades and vanes.2 for the cogeneration system case study.3.440 THERMOECONOMIC ANALYSIS AND EVALUATION a particular value is judged to be high or low can be determined only with reference to a particular class of components. These techniques become particularly powerful and effective in more complex systems where conventional techniques do not suffice (Sections 1.6. we know that the costs of purchasing the gas turbine and the air compressor increase with increasing pressure ratio p 2 / p 1and increasing values of the respective isentropic efficiencies. and the combustion gas temperature T4 at the inlet to the gas turbine (see Section 2.1. The four elements of the model used in the solution to Example 8.6).3 and 9.1 for the cogeneration system case study. For example. and suggest values of the design variables that would make the overall system more cost effective than the case of Example 8. . and the engineer has explained the qualitative effects of some design parameters on the cost of purchasing each system component.

cost rate of exergy destruction C. In accord with the presented methodology. it affects the exergy loss associated with stream 7 as well as the performance and investment costs of the air preheater and the heat-recovery steam generator. in addition to the combustion chamber. An increase in the heat transfer rate in the air preheater achieved through an increase in temperature T3 also results in a decrease of the exergy destruction in the combustion chamber. the higher the temperature T3.8.5. For simplicity. a part of the exergy destruction in a combustion chamber can be avoided by preheating the reactants and by reducing the heat loss and the excess air. but this usually leads only to a small reduction in the exergy destruction. the gas turbine. As discussed in Section 3. In practice. is a key design variable for it affects both the performance of the entire system (exergy destruction in the combustion chamber. A decrease in the average temperature difference in these .. In this example.4. we assume that the heat loss cannot be further reduced. relative cost difference r. gas turbine. rate of exergy destruction ED.3 and 8. air preheater. and HRSG. we assume that the answers of the cost engineer are identical to the answers obtained from the cost functions of Appendix B. the components are listed in order of descending value of the sum C. exergy destruction ratio yo = ED/E.1 and the definitions from Tables 3. The low value of the variable f for the combustion chamber shows that the costs associated with the combustion chamber are almost exclusively due to exergy destruction.3 THERMOECONOMIC EVALUATION 441 5. and in all the following ones using the cogeneration system case study. ANALYSIS The accompanying table (on page 442) summarizes the thermoeconomic variables calculated for each component of the cogeneration system using the data from Example 8. the temperature T3 is also a key design variable because.average costs per unit of fuel exergy cF and product exergy cp.o. the most important components from the thermoeconomic viewpoint. The variables include the exergetic efficiency E . and the air compressor have the highest values of the sum 2 + CD and are.2. such cost functions are generally not available. and exergy loss associated with stream 7) and the investment costs of the components. and exergoeconomic factor f . Holding all other decision variables constant. The analysis of the data presented in the table leads to the following conclusions: The combustion chamber. The temperature T. therefore. Thus. investment and O&M cost rate Z. The quantitative effects of the design parameters on the costs of purchasing each component of the cogeneration system are provided by the cost functions of Appendix B. the smaller the average temperature difference in the air preheater and the heat-recovery steam generator. the necessary thermodynamic data would be submitted to the cost engineer to determine the new purchased-equipment costs. The excess air is determined by the desired temperature T4 at the inlet to the gas turbine. + 2. and the services of a cost engineer would be required: After each design modification.

45 14.20 92.09 +z r (%) f (%) ($/GJ) 80.48 3.~~ ~ E ED YD CF CP CD 2 ($lh) 68 753 753 264 189 CD Component Combustion chamber Gas turbine Air compressor HRSG Air preheater (%> (MW 25.5 43.4 6.8 1 ($/h) 1050 157 143 326 137 1118 910 896 590 326 26.12 6.7 84.1 82.33 3.76 14.51 18.76 27.37 95.51 14.17 84.23 2.2 88.9 .51 18.54 2.80 27.0 44.2 48.50 7.55 11.36 20.7 29.84 67.01 2.98 3.51 ($IGJ) 14.63 WJ) 29.8 57.

however. the relatively large value of factor f suggests that the capital investment and O&M costs dominate. and isentropic efficiency vSt... The exergy destruction in the HRSG can be reduced by decreasing the values of T6 and T. pressure ratio p 4 / p s . This may be achieved by reducing the pressure ratio p 2 / p I and/or the isentropic efficiency v. Thus. According to assumption 4 of the cost model. two key design variables have been identified.... the temperatures T3 and T4. Decrease the pressure ratio p 2 / p I (and thus p 4 / p s ) and the isentropic efficiencies v.5. In terms of the decision variables. and/or decreasing T4 at fixed values of the remaining decision variables. we should consider a reduction in the value of at least one of these variables. The heat recovery steam generator has the lowest exergetic efficiency and the highest r value among all the components.. the following changes in the design variables are expected to improve the cost effectiveness of the system: . we would expect the cost effectiveness of the entire system to improve if the Z value for the air compressor is reduced.as suggested by the evaluation of the air compressor and gas turbine. Thus. To summarize: By considering measures for reducing the high cost rate associated with the exergy destruction in the combustion chamber of the cogeneration system. that changes suggested by the evaluation of this component should only be considered if they do not contradict changes suggested by components with a larger value of CD + Z. Summarizing the foregoing conclusions. The relatively high value o f f in the air preheater suggests a reduction in the investment costs of this component. and v. the capital investment costs of the gas turbine depend on temperature T4.3 THERMOECONOMIC EVALUATION 443 heat exchangers results in an increase in both the exergetic efficiency and the capital investment for each heat exchanger. which has the second highest value of the sum Z + CD. An increase in these temperatures reduces the CD value for the combustion chamber and other components (Section 9. A decrease in the value of T7 also results in a decrease in the exergy loss from the total system. Turning next to the gas turbine. temperatures T6 and T7 may be reduced by increasing T.1) but increases their capital investment costs. . Increase the value of T3 as suggested by the evaluation of the combustion chamber and HRSG. we might conclude that a decrease of the exergy destruction in the HRSG could be cost effective for the entire system even if this would increase the investment costs associated with this component. almost 45% of the relative cost difference is caused by the Z value in this component. The air compressor has the highest f value and the second highest relative cost difference r among all components. It should be noted.To reduce the high Z value associated with the gas turbine. As the f value indicates. with the remaining 55% caused by exergy destruction. This can be achieved by decreasing T3.8.

q. To illustrate the effect of the suggested changes in the decision variables on the overall costs. since we get contradictory indications from the evaluations of the combustion chamber on one side and the gas turbine and HRSG on the other side. (Equation 8.444 THERMOECONOMICANALYSIS AND EVALUATION Maintain T4 fixed. The details of this calculation are left as an exercise.85 (0. and q.86).. After becoming more familiar with the behavior of the cogeneration system. The methodology.85 (0. COMMENTS 1. many more trial-and-error attempts typically would be required with a conventional optimization approach to a complex system to achieve comparable improvements in the system design. = 9 (10). Compared with a thermoeconomic evaluation. = 0.86). is reduced from $3617/h to $3354/h. Some iterations are always necessary to establish an improved system design. 8. however. T4 = 1520 K (1520 K). p J p . we also elect for simplicity to neglect the effect of the operating and maintenance costs. only fuel-related costs are considered here. 2... Accordingly. 3. A conventional system evaluation based on energy balances and purchased-equipment cost calculations cannot provide the above information with an equal degree of confidence.1 values in parenthesis: T3 = 870 K (850 K). which represents the objective function in the optimization procedure. Moreover.. = 0. Since the capital investments (2'') of all existing components represent sunk costs. capital investment is ignored in such evaluations.l). There can be no assurance that the changes in the values of the design variables suggested by the thermoeconomic methodology will necessarily result in an improvement in the cost effectiveness of the entire system. .3.. the reader will recognize that temperature T4 should have been decreased to improve the cost effectiveness of the cogeneration system.. As a result of these changes. giving the Example 8. does provide a plausible exploratory approach for improving the cost effectiveness of a thermal system. we use the following new values of the design variables. the cost flow rate C.2 Performance Evaluation The evaluation of the performance of an existing system is conducted in a parallel manner using the same thermoeconomic variables as in the design evaluation of a new system.

When non-exergy-related costs are ignored. the actual values of the thermoeconomic variables can be compared with design (target) values provided by simulation software. The cost rate of exergy destruction in component k.4a. appears as (8. superscript 0 indicates that only fuel costs are considered..29). = 0.is cL.31) As Ek < 1..3) assist with a range of decisions related to the performance of an existing system.27 shows.1. even when only fuel-related costs are considered in the kth component.32) The value of is determined by the exergy destruction and exergy loss in . With 2. As Equation 8. Equation 8. The use of these variables is illustrated in Example 8. and the definition of the exergetic efficiency Ek (Equation 3. Equation 8. exergy stream cost data can be used to decide whether a malfunctioning component should be replaced. selected variables help to understand the effects of a malfunction in a component on the performance of the other components and the total system. as in Section 8.. the values of the thermoeconomic variables (see variables of Example 8.k.k (8. Equation 8.20. For example. With the aid of online performance evaluation software including reconciliation of measured data.k = ‘. the exergoeconomic factor vanishes. the average cost per exergy unit of product (c:.) is always greater than the average cost per exergy unit of fuel (c. For present purposes. the relative cost difference depends only on the exergetic efficiency and thus does not provide additional information.3. The cost rate equation for each exergy stream takes the form q = c. this equation shows that.2.). The comparison of actual and target costs per exergy unit allows an early detection of component malfunctions and a rapid identification of the malfunction source.kED. the cost rate balance for the kth component..Ej (8.3 THEAMOECONOMIC EVALUATION 445 When calculated on such a basis. denoted by CE. Moreover. The thermoeconomic variables also illustrate the flow of fuel costs in the system and the cost formation process as the exergy of the fuel to the overall system is converted into exergy of the product streams.8.19 reduces to give (8.30) The variables Cy assist in understanding the flow of fuel-related costs within the system.29) where... Let us now develop expressions for the thermoeconomic variables neglecting capital investment costs and the operating and maintenance expenses.

Any malfunction in an upstream component interconnected with the kth component will cause an increase in the CF.tot shows costs associated with the outlet flows.rot ~ .2. this exergy times ~ . . value is affected by the interdependence of the kth component with all upstream components. and considering only fuel-related costs for the cogeneration system case study. shows that in each component the sum of the exergetic costs associated with the inlet flows is equal to the sum of the exergetic f exergetic cost cPIcF.k is also a measure of the thermodynamic importance of the exergy destruction within the kth component. Therefore. Equation 8. Denoting the cost per exergy unit of fuel provided to the overall system ~ ~ the~ ratios c : . equal ~ ~ to ~ unity and expresses how many units of fuel exergy must be supplied to the overall system to provide the kth component with one unit of fuel exergy. Comment on the calculated values.tot for each system component. ~ / cCj/cF. Recalling the discussion of Figure 8.tol associated with each stream of the system. k . the cF. ~ is a measure of the cost importance of a unit of exergy destruction within the kth component when non-exergy-related costs are ignored.. more important.3 Using data from Example 8.2. . c:. and the ratios C o I ~ F .: is due to the exergy destruction within component k but is also value of C affected by the variables determining c. 101. economically more important than the same exergy destruction rate within component 11.. calculate (a) the levelized cost rate Co. in destruction rate is actually C ~ . and c:/cF. we should . Accordingly. Since only fuel-related costs are considered. has exergy rate units. ~ is greater / c ~ or .1. C. The variable C . cg. ~ .k value. and the cost of the fuel supplied to the overall system. the levelized cost per exergy unit co. and (b) the variables c:. / C ~ .1 for illustration.24c. ~ which ~ ~ . the cF. Equation 8. is known as the exergetic cost of the jth stream [9. As illustrated in the example of Section 8. of course.1. The .32 shows that the variable c : .value represents the average cost at which each exergy unit of the fuel for the kth component was provided in upstream components. Using Equation 8. The cost balance. tand ol co/cF. The dimensionless variable ~ ~ . .5a in Section 8. we can say that IO" kW of exergy destruction within component 111 is thermodynamically and. The unit o how many units of fuel exergy must be supplied to the overall system to generate one unit of exergy associated with the jth stream. initially focus on the efficient operation of components with the highest c values. ~ ~ / C trying to improve the thermodynamic performance of a system. ~ ~which ~ ~ are independent by c ~we .can~calculate of the cost of fuel supplied to the total system. Example 8.446 THERMOECONOMICANALYSIS AND EVALUATION all upstream components interconnected with the kth component.29..

994 49.80 4. 2.1 apply.ooo 1.00 10.752 2.538 41. The costs associated with capital investment and operation and maintenance are neglected.782 2 1.810 84.662 30.676 The values of Cy given in the table illustrate the flow of fuel-related levelized costs within the system.808 1. we set ac = zph = zcc =z =z.000 2.424 0.29 7. Ct = $498/h. That is.676 1. In particular. steam.938 101.66 7.596 5 6 7 8 9 10 11 12 38. That is. the linear system of Equations (1)-( 12) remains valid.26 8.000 30.00 8.29 7. When only fuelrelated costs are to be considered.596 1. except that now we neglect the costs associated with capital investment and operation and maintenance.1.7 19 50.000 1.39 7.286 1.364 1.994 29. this information can be used for costing the two useful output streams: net power and electricity.062 12.3 THERMOECONOMIC EVALUATION 447 Solution ASSUMPTIONS 1.895 161.889 0. Note that before we calculate the final costs at which power and electricity are generated in this system.000 49.454 0 818 1265 2663 0.000 1018 571 73 0 498 1398 818 827 7.o = $1398/h) is apportioned between the three streams exiting the system: net power.57 7.285 84. the cost rate C y = $73/h must be apportioned between net power .596 1.66 61.719 76.709 4. ANALYSIS (a) Referring to the solution of Example 8. = o gt rsg The values of the levelized cost rates Cy through Cy2 calculated from the solution of the resulting system of equations are given in the following table: 1 2 3 4 0 27.8. and Cy = $73/h. Cy2 = $827/h.29 0.835 1. All remaining assumptions of Example 8. and effluent.884 34.29 0.596 0. note that the cost rate associated with the fuel supply to the overall system (C.773 0.

29/GJ). and 4.) is equal to the sum of these numbers. 3. The HRSG and the air preheater have the highest unit cost of product cO. the unit exergy destruction in the air compressor costs more than in any other system component.2. The dimensionless ~ . as was done in Example 8..85 9. therefore.1. and HRSG. 11.. . the cost rate of exergy destruction Cg. The costs per exergy unit of net power and stream are cy2 = $7.596 1. 2.286. in megawatts. accounts for the units of ratio c ~ / c shown feed exergy to the total system that are required to generate one unit of exergy associated with the jth stream.2: the average cost per unit of fuel exergy c:. Thus. measures to improve the thermodynamic performance of the cogeneration system should initially consider improving the efficiency of the air compressor.276 1. In the gas turbine.676 1.57 8.!?j and are also listed in this table. ~ ~ ~ . The total exergy input to the system (E..29 5.13/GJ and cirr= $11.66 10. Streams 9. ~ ~ in ~ the . In Example 8. gives the exergy feed required in a system to generate thejth exergy rate (Ej) exiting this system. 50.28/GJ.ooo The c: column of the table shows that the combustion chamber has the lowest fuel cost and the air compressor the highest fuel cost.83 7. Note that this is a different ranking than the one obtained in Example 8. the . last column of the table. The last two columns of this table help us consider the results shown in the first two columns from a different perspective: The exergetic cost C ~ I C ~expressed .596 1. 9 (steam).29 7. where non-exergy-related costs are included in the calculations. ~ ~ .29 7. giving Cy: = $878/h and Cgrr= $520/h. and 7 (effluent).66/GJ and cg = $10.62 7.448 THERMOECONOMICANALYSIS AND EVALUATION and electricity. we obtain cy: = $8.80/GJ.2. 30. the most expensive ones to be generated on a per unit of exergy basis. the average cost per unit of product exergy cO.25 8. The levelized costs per exergy unit cy through cy2 are calculated from cy = Cy/.424 MW must be supplied to the total system to generate streams 12 (net power). and 12 have the highest values of this ratio and are. Component Air compressor Air preheater Combustion chamber Gas turbine HRSG Total system 7. and the ratio c : / c ~ .08 59 69 534 79 164 649 1. After apportioning the cost rate C: between the two product streams.285.66 7. Accordingly.596 1. (b) The following table provides values of selected thermoeconomic variables for each component calculated as in Example 8.29 4. respectively. each unit of fuel exergy is provided at the same average cost ($7. air preheater. Thus.

4 ADDITIONAL COSTING CONSIDERATIONS We have considered thus far the total exergy associated with material streams entering or exiting a component.4 ADDITIONAL COSTING CONSIDERATIONS 449 air compressor and the HRSG have the highest unit costs c:. and chemical exergy. the total exergy transfer rate associated with a stream of matter is the sum of four contributions: physical. see References 2. and 11-14. That is Neglecting the kinetic and potential contributions.2. the chemical and physical exergy of streams (Section 3. however. 8.2) might be supplied or generated at different unit costs. For similar reasons. the accuracy of the thermoeconomic analysis may be improved by taking these differing unit costs into consideration. we might identify two subcomponents of the physical exergy associated with streams of matter. this becomes simply . potential. kinetic. 8. and on-line evaluation software and comparing the actual values of these variables with design (target) values allows an early detection of component malfunctions and a rapid identification of the malfunction source. For simplicity in these discussions. we neglect the kinetic and the potential exergy. ~ in ~ the ~ last column of the table accounts for the units of methane exergy (stream 10) that must be supplied to the total system to provide the respective component with one ~ . Monitoring the ratios c E ~ c ~ . . The highest costs of exergy destruction occur in the combustion chamber and the HRSG.1. and cost them separately. The CE values show how much the inefficiencies in each component cost the system operator when only fuel costs are considered in the cogeneration system.8. with ~ ~ ~ the aid of unit of fuel exergy. For more details. 7. The cost ratio c F ~ cshown ~ . In such cases. the thermal and mechanical exergy. I c ~ . ~c . In some systems. This illustrates that the conclusions from a thermoeconomic evaluation may be different when the pe$ormance of an existing system is the objective than when the design o f a new system is the objective.4.1. These cases and some other exergy stream-costing concepts are briefly discussed below.1 Costing Chemical and Physical Exergy Referring to Section 3.

the cost per unit of chemical exergy of the exiting stream that contains the incomplete reaction products is set equal to the cost per unit of fuel chemical exergy. in Table 8. different than the value calculated when the total exergy is not split into its components (Section 8.450 THERMOECONOMIC ANALYSIS AND EVALUATION Denoting the average costs per unit of physical and chemical exergy by c " .6.. a zero cost is assigned to the chemical exergy associated with the exiting combustion products because this exergy cannot be retrieved by practical means. The last row of Table 8. respectively.15 for the cogeneration system case study.2.1. turbine.4 Using data from Tables 3. in general. which is closely patterned after Table 8. Let us consider the entries of Table 8.1 and tabulated in Table 8. In Table 8.2. Example 8. the auxiliary relations required to solve for the unknowns in a thennoeconomic analysis differ from those considered in Section 8. and 7.4b) now takes the form (8.3.) calculated from Equation 8. Thus. In the case of complete combustion (e.3 in some detail.3.34) When the costs of physical and chemical exergy are considered separately. 7. The appropriate auxiliary relations for selected components are provided in the second to last row of Table 8. and cy. the cost rate associated with stream j is then The term Cjof this equation represents the cost rate associated with the total exergy of streamj.33 is. in a combustion chamber or a boiler). the value of the average cost per total exergy unit (e.3 we set cSH = cfH for the case of incomplete combustion in a combustion chamber or boiler.3 shows the variable to be calculated from the cost balance (Equation 8.1). The cost rate balance (Equation 8. and accounting separately for the costs of physical and . whereas the two terms on the right side denote the cost rates associated with chemical and physical exergy. If the combustion is incomplete. and boiler. First note that the cost per unit of chemical exergy of a stream remains constant when its chemical composition does not change.34) when we distinguish between chemical and physical exergy. this rule is applied to the working fluids in a compressor. however. Owing mainly to the different auxiliary relations that are applicable. heat exchanger. In the same table we set cFH = c:" for a gasifier because the chemical exergy and the physical exergy of the exiting stream are each generated simultaneously in the same process.g.

"These relations assume that the purpose of the heat exchanger is to heat the cold stream (Ti 2 To).C3. = C .C. If the purpose of the heat exchanger is to provide cooling (T3 5 To). .then the following relations should be used: C. for these components are defined in Table 8.." I . cCH = cCH.3 Auxiliary thermoeconomic relations for selected components at steady-state operation when physical and chemical exergy are considered separatelp Component Compressor. = C. 2 is calculated from the cost balance. c. . The variable c. and C. . .Table 8. and czH= cy".H = cpH. Pump. .2.C. or Fan Turbine or Expander Heat Exchange? Mixing Unit Gasifier or Combustion Chamber Boiler Schematic + 3 qj 1 t = cFH Auxiliary thennoeconomic relations cCH Variable calculated from cost balance Cp" P 2 "The cost rates C.

in effect. The table gives the levelized cost rates ( C ) and levelized costs per exergy unit ( c ) associated with physical (superscript PH).45 0 - - - - 27. According to the purchasing agreement. (a) calculate the levelized cost rates and the levelized costs per unit of exergy associated with all streams in the system and (b) compare with the results of Example 8.54 14.57 18.1 apply.3) for each component of the cogeneration system.61 14.86 18.60 ($/GJ) 0 2767 3852 5318 202 1 1I25 127 0 1263 0 - 0 0 0 0 0 0 0 0 0 I398 27.61 14.1.51 14.61 14. and thus a zero cost is assigned to the physical exergy of stream 10.95 25.38 4.61 0 27.34) and the auxiliary relations (Table 8. the pipeline operators charge. The fuel to the total system (stream 10) is supplied from a pipeline operating at a pressure higher than plo and is throttled to pressure p l o before being introduced to the combustion chamber. The four elements of the model used in the solution to Example 8.56 14.91 25. 1 2 3 4 5 6 7 8 9 10 11 12 CPH cCH c 0 2767 3852 5318 202 1 1125 127 0 1263 1398 2014 2037 CPH CCH C ($/h) 0 ($/h) ($/GJ) 0 ($/GJ) 0 0 0 0 0 0 0 0 0 4. Stream No. 2.1.452 THERMOECONOMICANALYSIS AND EVALUATION chemical exergy.68 0 27.86 . we formulate the cost rate balances (Equation 8. and total (no superscript) exergy for each stream of the cogeneration system. chemical (superscript CH). ANALYSIS (a) Paralleling the analysis of Example 8.37 12. By solving the resulting linear system of equations.48 14. only for the chemical exergy of the fuel. Solution MODEL 1. we obtain the values of the thermoeconomic variables summarized in the following table.

With the exception of separation processes (water desalination. air separation.2 Costing Reactive and Nonreactive Exergy While discussing chemical exergy in Section 3. combustion process (e. we note that the term chemical exergy does not necessarily imply a chemical reaction.1.2) and/or mechanical and thermal exergy (Section 8.4. the real economic value of chemical exergy is associated with chemical reactions.3. Thus. In general. Note that the separate consideration of chemical and physical exergy in costing applications is a precondition for costing reactive and nonreactive exergy (Section 8. in a gasifier [7] or a steam reformer). we note that for each stream the difference is small.4.4. therefore.3.15 where the term chemical exergy refers to the work of an expansion process that involves no chemical reaction. the chemical exergy concept involves both chemical reaction and nonreactive processes such as expansion. The portion of the chemical exergy associated with nonreactive effects generally cannot be used in actual processes and. which are associated with chemical and Gnchemical effects..8. for most thermal systems has no economic importance. compression. In Table 8. This is due to the fact that the chemical exergy of the fuel supplied to the total system is used in a complete combustion process immediately after the fuel enters the system.g. the reactive exergy E: and nonreactive exergy E:. respectively: E?" =@ .4. + (8.4.3).2 and 8.35) . In different systems. where the chemical exergy of the fuel provided to the overall system is first processed without being used entirely in a. In this section. for example. we have represented the total ertergy in terms of physical and chemical exergy contributions and then assigned unit costs to each of the contributions.) where the objective is to increase the nonreactive part of chemical exergy. mixing. These types of costing are considered in Sections 8. the calculated values of C and c may differ significantly when the costs of physical and chemical exergy are considered separately from the calculated values of C and c using only total exergy transfer rates. note that the combustion products exiting a combustion chamber after complete combustion possess chemical exergy that is regarded to have no economic value. almost negligible for practical purposes. This is exemplified by Equation 3.1. in certain thermoeconomic evaluations it is appropriate to split the chemical exergy of stream j into two components.4 ADDITIONAL CCSTING CONSIDERATIONS 453 (b) Comparing the values determined in this example for C and c with those obtained in Example 8. 8. however. In some applications it is also possible and appropriate to further divide each of the chemical and physical contributions into terms of subcontributions that are costed individually. etc. and separation. distillation.4.

isothermal..6 is used to determine the reactive exergy: We think of the nonreference substance reacting with reference substances (e.. etc. for example.1) is zero.H. the hypothetical system of Figure 8. Before proceeding with the costing of the reactive and nonreactive components. (W/rifuel)rev. We begin by noting that the reactive exergy of a single substance present in the standard reference exergy environment (Section 3. Figure 8. H..6. atmospheric air) in a reversible.which equals -AG for the complete chemical reaction. Both the reactants and the reaction products are supplied to and removed from the system at temperature To and pressure po. Using Figure 8. the molar reactive exergy is evaluated as the work per kmol of fuel obtained from the reaction chamber in the absence of internal irreversibilities.O. Heat transfer occurs only with the environment. For single substances not present in the reference environment.6 shows the case of a fuel reacting with atmospheric air. Thus.4. for reference substances (02. N.g.454 THERMOECONOMIC ANALYSIS AND €VALUATION In Reference 11 the two components of chemical exergy are called reaction exergy and environmental exergy. In the case of a pure hydrocarbon fuel C. respectively. CO.). the calculation of reactive and nonreactive exergy is discussed. and isobaric reaction to form the reaction products.. the nonreactive exergy is identical to the chemical exergy. the molar reactive exergy of the fuel is Standard Atmospheric Air // A7 ($1 =To($) nfuel rev nfuel rev / / / / / / / / A .

respectively. we write (8.. The reactive exergy is independent of the model used to calculate the standard chemical exergy values (Section 3.36) lie in the oxidant (pure oxygen and atmospheric air. The molar Gibbs functions of CO. (21 vol %) and N. (79 vol %).1) The molar reactive exergy of a gas mixture may be calculated from (8. the subscripts i and e refer to the material streams at the inlet and outlet of the component. (8.37) where xj is the mole fraction of thejth gas in the mixture. Both the reactive exergy and the associated costs are conserved in all components where no chemical reaction occurs. we proceed with the costing of these exergy components.36) 3.17b) and reactive exergy (Figure 8. The nonreactive exergy is the difference between chemical and reactive exergy (8.4.6 and Equation 8.39) i e and (8. The cost rate associated with the chemical exergy of stream j would be written as . and N. The differences in the models used for calculating chemical exergy (Figure 3.76 - - agco2 - b5 g.O. respectively) and in the fact that in the reactive exergy calculation the reaction products leave the reaction system as a mixture. At steady state. whereas in the chemical exergy calculation the reaction products are removed separately (unmixed) from the system.40) i e Here.4 ADDITIONAL COSTING CONSIDERATIONS 455 - e: = RF + 4.8.76 ( a + i) gNz In this equation we assume for simplicity that air is a mixture of only 0. H.5 and Equation 3.38) After this review of the procedures used for calculating the reactive and nonreactive exergy... in the combustion products are calculated at To and at the corresponding partial pressure.

E.3 and 8.456 THERMOECONOMICANALYSIS AND EVALUATION C. The equation consists of an expression involving pressure p but not temperature.2. 8. Equations 8. . Although splitting the physical exergy into these components is not generally possible. Finally.E: E:) + (E* .E!) (8.3 Costing Mechanical and Thermal Exergy For ideal gases and incompressible liquids. - . it is meaningful to distinguish between the mechanical and thermal contributions only in cases where each is supplied to a system . plausible means for circumventing this limitation have been suggested [ 121.41a) or When the reactive exergy represents the only cost-relevant component of the chemical exergy. we obtain E = (E.43) This definition considers only the nonchemical effects associated with the mixing process and makes the exergetic efficiency independent of the potential for reaction associated with the streams being mixed. and an expression involving temperature T but not pressure. respectively. for instance. 131.14 giving the physical exergy associated with an ideal-gas stream for the case of a constant specific heat ratio.4. 12. the physical exergy can be expressed unambiguously in terms of mechanical exergy and thermal exergy. all costs calculated in the thermoeconomic analysis are independent of the model used to calculate the standard chemical exergy values.44) This is exemplified by Equation 3. which are associated with the pressure and temperature of the substance.'CH = CR J + C:F*l (8. For the mixing process shown in Tables 3. the introduction of reactive exergy allows for a more rational definition of the exergetic efficiency for a mixing or separation process.41 reduce to In this case. respectively: EPH = E M + ET (8. as the mechanical and thermal exergy. Applications are discussed in the literature [2. In thermoeconomics. These may be identified.

." = c y (8.46) where the subscripts i and e refer to the inlet and outlet state of the working fluid. 2. in formulating the additional auxiliary relations for the components shown in Table 8.g. When a working fluid condenses at a pressure lower than the pressure po of the environment. A simple approach is to set c.4 ADDITIONAL COSTING CONSIDERATIONS 457 at significantly different costs. In processes involving removal of mechanical exergy from the working fluid (e. compression. we note that the auxiliary relations given in this table for the costs per unit of physical exergy apply now to the costs per unit of thermal exergy. mechanical exergy is added to it. The cost rate associated with the physical exergy of streamj is then Compared with the case where the physical exergy is not split into these components. respectively. This case is directly related to the costing of condensers. To formulate auxiliary relations for mechanical exergy. and phase change. the appropriate thermoeconomic relation is c. For example. the following additional auxiliary relations are used for mechanical exergy: 1. . where both mechanical and thermal exergy are supplied to the working fluid." = c y and cT = c. 3.8. and apportion all remaining costs associated with the condenser to all components served by it. 'Thus. For a compression or vaporization process. we must consider that the mechanical exergy in a process changes as a result of friction. the condenser serves all other components.c . we write This equation implies that the addition of mechanical and thermal exergy to the working fluid occurs at the same cost per unit of supplied exergy. through expansion and/ or friction or through condensation at a pressure greater than po). the introduction of mechanical and thermal exergy increases the number of auxiliary relations required to solve for the unknown variables c y and .5 This apportioning is done according to the ratio ASk/& ASk where ASk refers to the entropy 'In a vapor power cycle. for example.3. expansion.

2 is to heat the cold stream and no phase change occurs in that stream. which in most cases is the only rational basis for assigning costs to the exergy streams of thermal systems. For example. The improvements in the accuracy of the exergetic and thermoeconomic evaluations obtained through splitting of the physical exergy into its components are often slight and do not always justify the increase in the complexity of the calculations. all pressure drops are considered on the fuel side. and 14. physical. Such a diagram illustrates for each stream of matter the history of the exergy and cost of the xth exergy form. Using this information we may plot for each stream and for the xth form of exergy (total. if the purpose of the heat exchanger of Table 8.E T 1 - EC" 2 ) (8. the need for auxiliary thermoeconomic relations is eliminated but at the expense of increasing the required computations. 8. or thermal exergy) the cost per unit of exergy as a function of the specific exergy. reactive. chemical.in the kth component served by The distinction between mechanical and thermal exergy permits the definition of a more rational exergetic efficiency for some components.5 CLOSURE A thermoeconomic (exergoeconomic) analysis combines thermodynamic and economic analyses at the component level. 13. E4)+ ( E y .s. Costing in a thermoeconomic analysis is based on exergy. mechanical. . c x = f(e").4. nonreactive. For further discussion see References 2. This represents rate of the working fluid must be decreased in the condenser by the amount C the sum of the rates of entropy addition to the working fluid in the remaining components. we write E = (E3 - .458 THERMOECONOMICANALYSIS AND EVALUATION increase of the working fluid the condenser.$.'j (s.48) In the above definition of the heat exchanger exergetic efficiency. bThe rationale for this cost-apportioning approach is that in a thermodynamic cycle the entropy . .4 Diagram of Unit Cost Versus Specific Exergy To understand the cost formation process and the cost flow between components. 8. for each stream of matter it is necessary to account for every addition and removal of exergy and for the cost at which each addition or removal of exergy occurs. A. With this approach.). .e?) + (E?" E.

8. pp. 5. Computer-Aided Engineering of Energy Systems. Washington. Algarve. Tsatsaronis and M. in R. Valero. and J. Stojanoff.. Palo Alto. D. Energy Economics and Management in Industry. and C. W. A. Lozano. M. 10. Ca.REFERENCES 459 A thermoeconomic analysis identifies the real cost sources in a thermal system. Part 11-analysis of a coal-fired steam power plant. Winhold. pp. 4. Vol. Tsatsaronis. A. 151-157. No. AES-Vol. P. ACS Symposium Series. August 1984. 9. Tsatsaronis. Electric Power Research Institute. Serra. Prog. G. DeGarmo. Thermoeconomic analysis and optimization of energy systems. J. Final Report. et al. eds. 9th ed. Energy-Znt. Lozano. Sullivan. April 2-5. Gaggioli. particularly for complex thermal systems.. Tsatsaronis and M. Combination of exergetic and economic analysis in energy-conversion processes. Gaggioli. G. American Society of Mechanical Engineers. A. 1984. G. CA. Valero. Vol. Torres. Tsatsaronis. IO. A thermoeconomic analysis is also very useful. in optimizing the entire system or specific variables in a single component. Part Ia new general methodology. RP 2029-8. SYMBCOST A program for symbolic computation of exergoeconomics cost parameters. Second law analysis for process and energy engineering. Bontadelli.. 2. Eficiency and Costing. Exergoeconomic analysis and evaluation of energy conversion plants. 1994... England. Tsatsaronis. 1983. 1-121. Portugal. REFERENCES 1. Permagon Press. A.. Winhold. 227-257. Engineering Economy. Wimmert. 2 3 5 . G. 1. 1. Oxford. 1991.. 1-50. Vol. EPRI AP-365 1. 365-381. Valero. Proceedings of the European Congress. Reis. pp. M. A comparison between investment and O&M costs and costs associated with exergy destruction for major components is useful in developing design changes that improve the cost effectiveness of the entire system. Energy Cornbustion Sci. August 1986. Vol. pp. J. A general theory of exergy savings-Parts 1-111. L. ed. Gaggioli. E. A. ed. Torres. pp. M. and C. in R. EPRI AP-4734. RP2029-8. 19. R. f a 7. 13-21. 19. 1993. Applications of thermoeconomics to optimization are discussed in the next chapter. pp... Electric Power Research Institute. in G. G. 2-3. American Chemical Society. Final Report. Palo Alto. Thermoeconomic Analysis o Gasijication-combined-cycle Power Plant. and C. in A. 1993. New York. G. A. 1985. D. Winhold. 6. G. In addition.C. A. a thermoeconomic analysis can be used to understand the cost formation process within a system and to calculate separately the cost at which each product stream is generated. Computer-Aided Energy-Systems Analysis AES-Vol. Energy-Int. eds. New York. American Society of Mechanical Engineers. Thermoeconomic Analysis o f Power Plants. and C. Vol. et al. 1986. 3. pp.. Macmillan. 21. 69-94. . New York. Torres. Application of the exergetic cost theory to the CGAM problem.

J. J. The numbers given for each stream represent exergy flows. J. 19. Pisa. Tsatsaronis. May 28-June 1. China. Florence.O/GJ. Tsatsaronis.1 and 8. Oxford.460 THERMOECONOMICANALYSIS AND EVALUATION 11. Air and Steam 100 MW Py SYSTEM G a s ? 4 15 M~ Stea Power 2 Fuel Gas 80 MW COGENERATION SYSTEM 5 Ash Combustion IOMW Air and Water Figure P8. G. Vol. The levelized cost per exergy unit of stream 1 is c . Exergy costing in exergoeconomics. Beijing. G.. All other assumptions and data of Examples 8. f in R. and J. 195-200.2 1 Fuel. Pisa. PROBLEMS 8 . J.. Gallego. and L. G . 115. 771-792. 1 Repeat the calculations of Examples 8.2 . 12. Tsatsaronis. Lin. A Future for Energy. Moran. Pisa. and L. L. = $3. Exergoeconomic evaluation and optimization of energy systems-application to the CGAM problem. M. Pergamon Press. Energy Resources Tech. J. J. 14. pp. and M. 13.1 and 8. G. Energy-Znt. pp.15) instead of 10 years. Lin. 1990.1 and 8. J. P oretical development.2 using the levelized annual costs in current dollars for a levelization time period of 20 years (Table 7. Thermodynamic Analysis and Zmprovement o Energy Systems.. 1993. The levelized cost rates associated with capital investment and operating and maintenance expenses are 8. June 5-8. Moran. Proceedings of the Florence World Energy Research Symposium. Chemical exergy in exergoeconomics. J. Vol. 1994. eds. pp. Pisa. 1989. Part 11: results and discussion. What qualitative changes of the design variables are recommended from this analysis? Consider an overall system consisting of the gasification and cogeneration systems shown in Figure P8. The cost associated with stream 7 (combustion air and water) is zero. Proceedings of the International Symposium. Italy. Compare the new results with those of Examples 8. 1989. Stecco and M. Tsatsaronis and J. Cai. eds. 9-16. 287-321.2..2. in S.2 remain unchanged. The effect of assumptions on the detailed a r t I: theexergoeconomic analysis of a steam power plant design configuration. pp.

the cogeneration system. and the overall system shown in Figure P8.3. The cost per exergy unit of stream 2 is c2 = $lO.PROBLEMS 461 Gasification system Cogeneration system Z. (b) the exergetic efficiencies of the compressor. 8. (b) the exergetic efficiencies of the gasification system.0/s Zcogen = $0.3. and 5 (electricity). 4 (cooled compressed air).O/GJ. (c) the cost rate and the cost per exergy unit associated with streams 3 (compressed air). formulate a cost balance for the sys- Compressed FEEDWATER HEATER 2 MW 1 Air 0 MW J/ Figure P8. = = $0.2) for the overall system shown in Figure P8.3 Figure P8.5/s The flue gas (stream 6) and ash (stream 3) are discharged to the environment without any additional expenses.3 shows an air compressor with intercooling. 4 (steam). and 6 (preheated feedwater).4 To consider the effect of aggregation level (Section 8. = $1.1..3 compression stage) . All costs are levelized costs. The numbers given for each stream represent exergy flows. Calculate: (a) the exergy destruction rates and the exergy destruction ratios for the gasification system and the cogeneration system. The costs associated with streams 1 (air) and 5 (feedwater inlet) are zero. 8. and the overall system.. The cost rates associated with capital investment and operating and maintenance expenses are Compressor Feedwater heater 2. (c) the cost rates and the costs per exergy unit associated with streams 2 (fuel gas).. Z. the feedwater heater.01/s $0.02/s Calculate: (a) the exergy destruction rates and the exergy destruction ratios for the compressor and the feedwater heater.

7? Should the owner of the cogeneration system try to sell the two product streams at prices equal to the calculated costs? In the cogeneration system of Figure 8.. = 95%. Develop the required auxiliary relation and calculate the cost rates and the costs per exergy unit associated with cooled compressed air and preheated feedwater.3. Answer the same questions as in Problem 8. . Discuss. Is this a general result that would apply to both a new system design and an existing system (where only fuel costs are considered) if both systems have the configuration of Figure 1.23b. The contributions of the investment and O&M costs may be neglected. and (b) discuss options for improving the cost effectiveness of the overall system.10 A high-pressure (HP) boiler and a low-pressure (LP) boiler will be added to the steam-generating system of a chemical plant.7. = 5 $lkWh. E . For the system of Figure P8.462 THERMOECONOMICANALYSIS AND EVALUATION tem without considering separately the air compressor and the feedwater heater. = 100 kW.6 Using Equations 8.12 Calculate the reactive exergy of streams 3.O/GJ. and (b) discuss options for improving the cost effectiveness of the overall system. if only one cost balance for the overall system would be formulated? 8. = 70%. the cost per exergy unit of steam is lower than the cost per exergy unit of electricity generated by the system. (a) calculate all thermoeconomic variables associated with the gasification system and the cogeneration system. E6 = 5 kW and cg = $2..2. The exergetic efficiency of the water heater is 30%. E.8. c .8 8. For the system of Figure P8.5 8. If the answers are different than in Problem 8. 8 . Should the design engineer spend the same amount of money to insulate each boiler? Justify your answer. 7 8. and 10 in Figure 1.9 8. explain why the cost per exergy unit of steam is higher than the cost per exergy unit of electricity generated by the system.11 For the system shown in Figure 8. Assume We.8.20 and 8. discuss the effects causing these differences. List all assumptions made for this development.2.. E5 = 30 kW.5b calculate for each stream the exergy flow rate and the cost per exergy unit ignoring heat loss. (a) calculate all thennoeconomic variables associated with the air compressor and the feedwater heater. 8. The average combustion temperature is higher in the HP than in the LP boiler. What values would you calculate for c5 and c. develop an expression for the relative cost difference r. For the cogeneration system of Example 8. 8. Both boilers use the same fuel and have about the same heat loss rate Q.1. 4.

and governmental regulation. availability.2). A truly optimized system is one for which the magnitude of every significant thermodynamic inefficiency is justified by considerations related to costs or is imposed by at least one of the above boundary conditions. 9. reliability.2 the term optimal can take on many guises depending on the application. optimization means the modification of the structure and the design parameters of a system to minimize the total levelized cost of the system products under boundary conditions associated with available materials. unless otherwise indicated. including costs owing to thermodynamic inefficiencies.5.4.3 and 9. In this chapter. respectively. however. This chapter presents thermoeconomic approaches to optimization involving the calculation of the cost-optimal exergetic efficiency for single system components and the iterative optimization of complex systems. A thermodynamic optimization aims at minimizing the thermodynamic inefficiencies: exergy destruction and exergy loss (Sections 3.5 and 6. financial resources. operability.1 INTRODUCTION TO OPTIMIZATION Engineers involved in thermal system design are required to answer questions such as: What processes or equipment items should be selected and how 463 . The results from the optimization of the cogeneration system case study are presented in Section 9. together with the safety. is to minimize costs. The objective of a thermoeconomic optimization.THERMOECONOMIC OPTIMIZATION As discussed in Section 1. protection of the environment. and maintainability of the system. The optimization of heat exchanger networks and some conventional mathematical optimization techniques are also discussed in Sections 9.

engineers need to formulate an appropriate . In practice.. Optimization Criteria. total annual levelized costs. Optimization criteria may be economic (total capital investment.5. All other criteria (return on investment. total weight. production time. reliability. it is often desirable to break them down into smaller subsystems that can be optimized individually.).g. flow rate. it is necessary to (a) include all the important variables that affect the performance and cost effectiveness of the system. for each selected criterion.optimization problem. rates of emitted pollutants). the selection of the subsystem boundaries is very important because the optimization results may be affected by this selection. for example. and environmental (e. environmental performance. production rate.464 THERMOECONOMICOPTIMIZATION should they be arranged? What is the preferred size of a component or group of components? Should some equipment items be used in parallel (parallel trains) in specific processes to increase the overall system availability? What is the best temperature. it is impossible to find a solution that. only one primary criterion is used as an optimization performance measure-the total annual levelized cost of the system products. All the subsystems that significantly affect the performance of the system under study should be included in the optimization problem. return on investment. Another essential element in formulating an optimization problem is the selection of the independent variables that adequately characterize the possible design options. as appropriate. The selection of criteria on the basis of which the system design will be evaluated and optimized is a key element in formulating an optimization problem. pressure. An optimized design is characterized by a minimum or maximum value. technological (thermodynamic efficiency. it is usually desirable to develop a design that is “best” with respect to more than one criterion.1 and 7. Advanced techniques for solving certain optimization problems with multiple competing criteria are discussed in the literature [4-61 but are not covered in this book. (b) not include fine details or variables of minor . etc. Variables. As these criteria usually compete with each other. simultaneously minimizes costs and environmental impact while maximizing efficiency and reliability. etc. annual levelized net profit.5. Appropriate problem formulation is usually the most important and sometimes the most difficult step of a successful optimization study. System Boundaries. When dealing with complex systems. Here. In such cases. The first step in an optimization study is to define clearly the boundaries of the system to be optimized. More details are given in the literature [ 1-31. This issue is part of the suboptimization considerations discussed later in the present section. reliability. In the following we discuss the essential features of optimization problems. and chemical composition of each stream in the system? To answer these questions. or any of the profitability evaluation criteria discussed in Sections 7.) are treated as problem constraints or parameters. In selecting these variables.2).

. In optimization studies. A mathematical model is a description in terms of mathematical relations. there are decision variables that affect the product cost without influencing the thermodynamic performance (efficiency) of the system.instead of the cost per unit of .1) The variables C. As a simplification in practice. : and Zpof" are functions of the decision variables for this problem. In some thermal systems. Z . for example... for example. In the cogeneration system case study.1 is Minimize Cp. invariably involving some idealization. In a preliminary design. which present the thermodynamic model and the economic model. In this application we minimize the total cost rate associated with the product CP. Detailed component design variables would normally be considered in a separate design study involving each system component individually. the parameters. The Mathematical Model. the parameters are independent variables that are each given one spec@ and unchanging value in any particular model statement. only the decision variables may be varied...... and the isentropic or polytropic efficiency.+ Zz + Zgf" (9. For a heat exchanger.9. of the functions of a physical system [3]. The mathematical model describes the manner in which all problem variables are related and the way in which the independent variables affect the performance criterion. it may be sufficient to use the heat transfer surface area and the pressure drop on each side. the objective function obtained from Equation 8. these variables often may be considered separately and optimized after the decision variables affecting both cost and efficiency have been optimized.5.. A compressor may be aptly characterized by just the pressure ratio. of the cogeneration system. The mathematical model for an optimization problem consists of An objective function to be maximized or minimized Equality constraints Inequality constraints The objective function expresses the optimization criterion as a function of the dependent and independent variables....5 and in Appendix B. The decision variables.1 INTRODUCTION TO OPTIMIZATION 465 importance.= CF.. it is generally not necessary to consider the details of the design of each system component.. The functions are given in Section 2. The variables whose values are calculated from the independent variables using the mathematical model are the dependent variables.. and the dependent variables for the cogeneration system case study are given in Section 2. respectively. the volumetric flow. and (c) distinguish among independent variables whose values are amenable to change: the decision variables and the parameters whose values are f i e d by the particular application.

In modeling an optimization problem. ignoring some variables that affect the objective function or other subsystems.2 COST-OPTIMAL EXERGETIC EFFICIENCY FOR AN ISOLATED SYSTEM COMPONENT Several mathematical approaches may be applied to optimize the design of a single system component in isolation from the remaining system components. and the bounds on the availability of resources. The models also contain equations and inequalities that specify the allowable operating ranges. The present section involves a thermoeconomic approach that illustrates clearly the connections between thermodynamics and economics. suboptimization of a system may also be necessary because of economic and practical considerations such as limitations on time or manpower. 9. The equality and inequality constraints are provided by appropriate thermodynamic and cost models as well as by appropriate boundary conditions. Some of these approaches are mentioned in Section 9. the maximum or minimum performance requirements.466 THERMOECONOMIC OPTIMIZATION product exergy cp. In practice. Suboptimization. the performance and the cost of each component as well as physical and chemical properties of the substances involved. An alternative to suboptimization is provided by the iterative thermoeconomic optimization approach discussed in Section 9. the cost-optimal exergetic efficiency is obtained for a component isolated from the re- . This can be done since the product Ep is constant: The generated net power is specified as 30 MW.3) are also very useful for modeling purposes. suboptimization of all subsystems separately does not necessarily ensure optimization of the overall system. the most common mistake is to omit something significant. These models generally include material and energy balance equations for each component. However. and the steam supplied by the 4 system is specified as saturated vapor at 20 bars and a mass flow rate of 1 kgls. Suboptimization is useful when neither the problem formulation nor the available optimization techniques allow a solution to the entire problem. Suboptimization is usually applied to complex thermal systems. The development of a mathematical model requires a good understanding of the system and is normally a time-consuming activity. Process design simulations and flowsheeting software (Section 1.4. Suboptimization is the optimization of one part of a problem or of a subsystem.6. A discussion of how to reduce such omissions by systematically checking the model before trying to compute with it is given in Reference 3. relations associated with the engineering design such as maximum or minimum values for temperatures and pressures. With this approach.6. particularly when the optimization of the entire system may not be feasible owing to complexity.

When the purchased-equipment costs for different design conditions of the kth component are known. and the exponents nk and mk are constant. the parameter B. by the following relation [7-91: TCI. To apply the present approach iteratively in such a case. B. Equation 9. the current values of the underlying thermodynamic variables are used in each iteration..4 is assumed to be valid within a certain range of the design options or design conditions for the kth component. Assumption Al. Equations 7. the method of least squares can be used to calculate the . define mathematically what is meant by isolation in the present context.1 (see. For every system component. = B.g.2) (9. as in end-of-chapter Problem 9.6).4) where EPkis the exergy rate of the product for the kth component and is expresses the the component’s exergetic efficiency.. Here we assume that for the kth component the total capital investment (TCI.9.2 COST-OPTIMAL EXERGETIC EFFICIENCY FOR AN ISOLATED SYSTEM COMPONENT 467 maining system components. (1 - E. The total capital investment associated with the kth component may be estimated from the purchased-equipment cost of the same component using the factors discussed in Section 7. expressed analytically by Equations 9. can depend on thermodynamic variables. The exergy flow rate of the product Ep and the unit cost of the fuel cF remain constant for the kth component to be optimized: EPk= constant cEk = (9.3. The same approach can also be used for suboptimizing the thermoeconomically major components of a complex system (see Section 9. at least approximately.6.) can be represented.2-9. Assumption A2. e. However.17). The approach is based on assumptions A1 through A4. while the term expresses the effect of capacity (component size) on the value of TCI. we expect the investment costs to increase with increasing capacity and increasing exergetic efficiency of the component. (9. Within this range. The term [Ek/(l effect of efficiency (thermodynamic performance).3) constant These equations. which represent constraints of the optimization problem.

Assumption A4.3). at least approximately.15 for the cogeneration system case study).5. 91 In this equation. is a coefficient that accounts for the part of the fixed operating and maintenance costs depending on the total capital investment associated with the kth component'. an average value for the coefficient yk of 0.. a preferred approach is to optimize such a component together with the component(s) it serves.7) is simplified 'In large conventional electric power plants. Here we assume that the annual levelized operating and maintenance costs attributed to the kth system component may be represented. y. and Rkincludes all the remaining operating and maintenance costs that are independent of the total capital investment and the exergy of the product. this component may be optimized in isolation by minimizing the sum of its investment and operating and maintenance costs.015 X CELF may be assumed for all plant components. the coefficient yk could be as high as 0.10.. However.4 [7]. . In the absence of other information. by [8. and denotes the O&M cost per unit of product exergy. for a throttling valve or a cooler).12 for the cogeneration system of Figure 1. and mk in Equation 9. nk. For relatively small thermal systems. Table 7. the purchased-equipment cost for each component may be used as a weighting factor to apportion the operating and maintenance costs of the entire system among its components. If no such efficiency can be formulated for a component ( e g . wk is a constant that accounts for the variable operating and maintenance costs associated with the kth component. e. but this is not always appropriate. Normally the annual operating and maintenance costs are calculated for the entire system (see. The economic analysis of the system being considered (see. Table 7. CELF is the constant-escalation levelization factor.468 THERMOECONOMICOPTIMIZATION values of the constants Bk.g. e. for example.34.3) for the respective equipment item. Usually a part of the operating and maintenance (O&M) costs depends on the total investment costs and another part on the actual production rate. Assumption A3. The application of the least-squares method is simplified if the value of the capacity exponent mk can be assumed equal to the scaling exponent a (Table 7. T is the average annual time of plant operation at the nominal load. The discussion thus far refers only to components for which a meaningful exergetic efficiency may be defined (see Section 3. Equation 7.g.

- ck . and construction time and by considering the startup costs.6 The corresponding cost rate 2.kE&k+ z k OkEP. we write Minimize cek (9. inflation.7 by T : 2k = Then with Equation 9.8b. The annual carrying charge associated with the kth component is then obtained by multiplying the total capital investment for this component (TCI. .4 T (TCI. given by Equation 7. Accordingly.8b) The objective function to be minimized expresses the cost per exergy unit of product for the kth component.) by the capital recovery factor p.28. and so cRk varies only with E. working capital and the costs of licensing..8a) z . insurance.2 COST-OPTIMAL EXERGETIC EFFICIENCY FOR AN ISOLATED SYSTEM COMPONENT 469 by neglecting the effects of financing.5 and 9.10 subject to the con- . The total annual levelized costs excluding fuel costs associated with the kth component are obtained by combining Equations 9. as follows: Assumptions A1 through A4 (Equations 9.6) form the cost model. w. and development together with the total capital investment.20. this objective function may be expressed as 'Fk Minimize cRk = . (Equation 8.19 and 8. research.2) is obtained by dividing Equation 9..9. 3 / k . Bk.10) TERk rE&irnk The values of parameters p. remain constant during the optimization process.) + ukERk +T Rk (9. k With Equations 3. (9. the optimization problem reduces to the minimization of Equation 9.k +Rk T (9. taxes. and R . 7.29 and 9..2 through 9. Rk . = (p + 3/kIBk ( T "&Ink ETk + 'F. 3/kIBk + (P + (1 rk&k)nk + W. with Equations 8. Thus.9) EP.

14) .3.29 as (9.1 1 may be rewritten as Fk = 1-& : m & . The minimum cost per exergy unit of product is obtained by differentiating Equation 9..k+ (ED. Equation 9.13a) or with Equations 3.k+ EL.12) Equations 9.2 and 9.470 THERMOECONOMIC OPTIMIZATION straints expressed by Equations 9.10 and setting the derivative to zero: The resulting cost-optimal (superscript OPT) exergetic efficiency is (9.increasing ~ .11) where (9.12 show that the cost-optimal exergetic efficiency increases with increasing cost per exergy unit of fuel c ~ . annual number of hours of system operation r. decreasing fixed O&M cost factor yk.)"" = EP A Fk = EP k ( 1- &!y ) (9.13b) Since the exergy rate of the product is assumed constant during optimization. decreasing capital recovery factor p.m (9. is given by the cost optimal value of the sum (ED. and decreasing cost exponent nk.11 and 9.28 and 3.

9. ) as (9. under assumptions A l .: (9. we obtain the following expressions for the cost-optimal values of the non-fuel-related cost rate Zk.15 with respect to (&D. and the simplified assumption A3. k ( E D . and the exergoeconomic factor f k .10. and 9. 9.1. a simplification of assumption A3 allows some additional results to be obtained: In Equation 9.14 and 9.10) we may neglect the last two terms on the right side referring to certain portions of the O&M costs since these costs are often small compared with the remaining term(s) on the same side of the respective equations.5 (and in Equations 9. the cost exponent in Equations 9. we obtain after some reduction the following relation between the cost-optimal values of the cost rates expressed by C F .10 . Equation 8.27. Equation 9.4.15) By differentiating Equation 9.k + E L . A2.19) The minimization of the product cost for a single component is illustrated in Figure 9. k + & k ) and Z. k ) and setting the derivative to zero. the relative cost difference rk.17) (9.16) Thus. With Equations 9.16. A4.k + E L .12 expresses the ratio between the costoptimal rate associated with exergy destruction and exergy loss and the costoptimal rate associated with capital investment. 9.2 COST-OPTIMAL EXERGETIC EFFICIENCY FOR AN ISOLATED SYSTEM COMPONENT 471 At this point.29. .8. which in particular might be a representation of Equation 9.10 can be expressed in terms of (f?D. With this simplification and with Equation 3.8b.28: (9.18) f?" = 1 1 + nk (9. and 9. when the kth component is optimized in isolation.7.9. Equation 8.

The abscissa is linear with respect to E. Therefore. and the sum of exergy destruction and exergy loss ED + EL. the figure shows the parts of capital cost and fuel cost that depend on ED + EL. This figure shows the effects of fuel cost and capital cost on the average cost per exergy unit of product c. or 9. as functions of the exergetic efficiency E .1 is characterized by capital costs that are too high.15. whereas the fuel cost at point B is too high. The total cost curve is usually flat around the optimal point.1. only capital investment and fuel costs have been considered in Figure 9. as a function of the exergetic efficiency and the sum of exergy destruction and exergy loss. For simplicity.472 THERMOECONOMIC OPTIMIZATION Product cost Total Cost (cp1 Fuel Cost Capital Cost lndependent of Excrgy Dcslruction and Exergy Loss Cost of Exergy Destruction and Exergy Loss CF : Tola1 Fuel Cost 00 100 % rkD + Increasing Exergy Destruction and Loss CkD+ E2 Decreasing Exergetic Efficiency (E) - - Figure 9. For a design point indicated by A . several points around the optimal point may be regarded as nearly optimal. The optimal design point is denoted by OPT. + EL and nonlinear with respect to E . practically the same curves would be obtained qualitatively if we would include the contribution of the fixed O&M costs together with the investment costs and the variable O&M costs together with the fuel costs. Point A in Figure 9.1 Schematic of the contributions of fuel cost and capital cost to the total product cost. However. The average cost per exergy unit of fuel cF is taken as constant. . The total cost is the sum of capital and fuel costs..

One of the most appropriate applications. cannot always be represented as in Equation 9. utility costs.4. the variables Ep.14-9.) are specified for each stream. The O&M costs can always be adjusted to fit Equation 9.5. This may not be possible for all components for which a meaningful exergetic efficiency is defined.4. (iii) Costing and thermal data are generally known. and appropriate heat transfer coefficients.4.4 and 9.1 1. as for example. however.k.k and c ~ . Assumption A1 expressed by Equations 9.5 by application to the cogeneration system case study. In thermal design. 9. The conditions that optimize a single component in isolation usually do not correspond to an overall system optimization. we are interested in optimizing the overall system. The total capital investment associated with a heat exchanger. a single-component optimization generally has only limited usefulness. not fulfilled for components of complex plants because when several system variables are varied simultaneously..3 is. A single heat exchanger. the more difficult it may be to develop an acceptable cost equation such as Equation 9. The typical heat exchanger network design problem has several features related to a set of process streams: (i) An inlet temperature. However. mathematically speaking.19 may represent only a plausible approximation.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS Heat exchanger networks (HENS) can be found in most complex thermal systems. the cost of a heat exchanger as a function of the heat transfer area. I? desired outlet temperature.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 473 The procedure for optimizing a single component in isolation as presented in this section may also be applied to a group of components by appropriately adjusting the definition of fuel and product and the cost calculations (Equations 9. To use this optimization approach we must be able to express the total capital investment of a system component as a function of the exergetic efficiency and the capacity through a relation similar to Equation 9. may be optimized in isolation by determining the optimal minimum temperature difference.2 and 9. when applied to a system component. 9. however. The cost optimization of an overall thermal system is illustrated in Section 9. Therefore. In Section 9. Thus.12. a mass flow rate. may occur during the preliminary optimization phase.9. the larger the number of components considered in a group. and an average specific heat (c. the single-component optimization expressed by Equations 9. and CD.3 we consider the optimization of heat exchanger networks-an important special class of' thermal systems often encountered in practice. and 9. ~ generally do not remain constant for the kth component. for example. but then only to those components whose costs dominate: the components with the highest values for the variables 2. .5). (ii) Available utility streams such as steam and cooling water are also identified.

hot streams and N . one of the most effective and easy to implement methods.1 Temperature-Enthalpy Rate Difference Diagram Temperature-enthalpy difference diagrams play a central role in the analysis of HENs. The direction of these processes is indicated by the arrows in the figure. Figure 9. respectively. A problem with a larger number of streams is discussed in Sections 9. To avoid the need to evaluate all possibilities.2 through 9.3).whereas the cold stream must be heated from the inlet temperature Tci to the outlet temperature Tee.2 provides such a diagram for the case of two streams.3. and may not be practical.7. Still. Details about the various methods may be found in the literature [lo-201.3 is based on the pinch analysis method.474 THERMOECONOMIC OPTIMIZATION The optimization of a HEN involves finding the design configuration that minimizes the total annual levelized cost associated with the network. For example. However. only a few of them are technically or economically feasible.3. cold streams. an approach based on the complete enumeration and evaluation of all viable alternatives is time consuming at best. configurations requiring heat transfer from a cold to a hot stream can be eliminated on second-law grounds. a very large number of alternative HEN configurations can exist even for a relatively small number of process streams.3. cooling water) and a hot utility (e. The heat transfer rates are (9.22) for the hot and cold stream. Section 9. For cooling and heating purposes. a cold utility (e. 9.1.5.The hot stream must be cooled from the inlet temperature Thito the outlet temperature The. the total number of possible HEN configurations Nhen is This equation shows that N h e n increases very rapidly as the number of process streams increases.g. For example.. most available methods still have a number of limitations. .g. In Section 9. a hot stream (HS) and a cold stream (CS). Owing to the combinatorial nature of design (Section 1. we consider only two process streams. Other configurations can be eliminated on the basis of cost... plausible exploratory methods have been developed to assist the design of HENs. and Qhu. A review of such methods is given in Reference 10. For optimization purposes it is assumed that the HEN consists of counterflow heat exchangers with negligible heat transfer to the surroundings.3. steam) are available with the respective heat transfer rates (utility loads) of &. there are 24 possible HEN configurations for a problem involving two hot and two cold streams.21) (9. All stream temperatures and mass flow rates are assumed to be fixed. In spite of the amount of work in this area. In a problem that involves N.

c ffl m 4- A c 0 m c 0 475 .5.< h I m e .

2 ~ indicated in Figure 9 . mhCph < m. a part of the cold stream heating is done by directly cooling the hot stream. and the smaller Q h u and Qcu. there are three cases: riz. we will usually is not cost optimal.. and is also a measure of the utility loads: The smaller ATmin. whereas the total capital cost generally increases. however. In the case of only two streams of matter. The optimization problem is to find the value of AT..476 THERMOECONOMICOPTIMIZATION In Figure 9. Ah. 2 ~ by a zero pinch: ATmin= 0 and the maximum value of Qhx.26) rizhc. When utility costs.This diagram establishes the minimum utility loads (Qhu.. The location with the in the heat exchanger is called the minimum temperature difference A Tmjn pinch point or simply pinch. this case is characterized by the highest utility costs and the lowest capital investment costs.ax).min) for the given task. Thus.. The temperature difference at the pinch is a measure of the thermodynamic forces driving the heat transfer process in the heat exchanger and. In the arrangement of this figure. capital investment costs. characterized Figure 9 ..) of the streams and on whether there is a phase change. .. thus. 2 ~ This can be seen by shifting the cold stream parallel to the enthalpy rate difference axis as shown in Figure 9. The cost optimal values of Ohu and Qcuare always larger than the minimum and are usually smaller than the maximum values values shown in Figure 9 . The enthalpy rate difference AH in the overlapping interval corresponds to the heat transfer Qhx from the hot to the cold stream (the heat exchanger load) that could be accomplished in a heat exchanger. of the required heat transfer area Ahx.2a. 2 ~ .min and Qcu. the fuel and operating costs associated with the hot and cold utilities decrease. shows the thermodynamically best arrangement. the pinch position in the heat exchanger depends on the heat capacity rates (rizc. A parallel shifting of the cold stream shows that the temperature difference at the pinch the larger Qh.2...max and Qcu.cph> rizccpc:The pinch occurs at the heat exchanger end determined by Thiand the heat exchanger outlet temperature of the cold stream.cpc: The pinch occurs at the heat exchanger end determined by Tciand the heat exchanger outlet temperature of the hot stream (Figure 9. Among all design alternatives. = mccpc: The profiles in the temperature-enthalpy difference diagram are parallel (balanced heat exchanger. This arrangement establishes the maximum utility loads (Qhu. both the hot-stream cooling and the cold-stream heating requirements are exclusively met by the cold and the hot utilities.4). and the temperatures of the two streams are considered. that minimizes the sum of the capital cost and the fuel and operating costs for the overall system. with decreasing ATmin.2b. Section 6. The temperature difference between the streams is constant and no pinch is formed. In the absence of a phase change. find that the arrangement of Figure 9 .

Inlet Temperature Outlet Temperature Heat Capacity Rate Stream Number T (K) 400 300 T.2 Composite Curves and Process Pinch So far we have considered only the case of one hot stream and one cold stream. When both curves are plotted in a temperature-enthalpy rate difference diagram.9. 5 . ZTheeffect of pressure drop is neglected in pinch analysis. . For such applications it is necessary to combine the temperature characteristics of all hot streams into a single hot composite curve and to combine those of all the cold streams into a single cold composite curve.2 3. the pinch may appear at either end or anywhere between the two ends of the heat exchanger. 2. Example 9. The enthalpy of each stream depends only on temperature.3. (K) mcp (kW/K) I (h) 2 (c> 3 (c> 4 (h) 3 10 2. This represents a shortcoming of the method. draw the hot and cold composite curves. All changes of kinetic and potential energy are negligible. Heat transfer to the surroundings is negligible.8 4. Most HENS have more than one stream in each category. the process pinch can be 1Tmin beidentified: the location with the minimum temperature difference 1 tween the two curves.0 330 450 390 370 350 1. 9. The construction of the hot and cold composite curves is illustrated with the aid of the following example adapted from Reference 18. 4.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 477 When there is a phase change in at least one of the streams.o Solution MODEL 1. The average specific heat of each stream of matter is constant.0 1.1 For the system consisting of two hot and two cold streams with the data given in the following table. All heat transfers are accomplished in counterflow heat exchangers.

0 + 1.400) K = 50 kW The second temperature interval for the hot streams is given by AT.9. The enthalpy rate difference in this interval is AHhI = m4~&ThI= 1.the first temperature interval is determined through the temperatures T4. Only stream 4 exists in this interval. For the hot streams 1 and 4.T.. the corresponding enthalpy rate difference is AHhII = (rizlcp. .. = (450 . and Tli: AThl = T4i .9.0) kW/K X (400 . Since both streams 1 and 4 exist in this interval.1 . This representation allows the identification of three temperature intervals to be considered in drawing the composite curves for the hot and the cold streams.+ h4cP4)AThII= (2.478 THERMOECONOMICOPTIMIZATION ANALYSIS Figure E. = T.1 shows the heating or cooling process for each stream on a temperature-enthalpy rate difference diagram..T4e = (400..0 kWIK X (450 ..350) K.350) K = 150 kW 100 200 300 AH[kW] Figure E.400) K.

.. The procedure used in Example 9.T2r = 330 . AT.3. and AHcII. . := (350 .3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 479 Similarly.. A value of ATmi.= 1.8 X 3.310) K with the corresponding enthalpy rate difference AH.3 are used to estimate the total heat transfer surface area required for this HEN..pipch enthalpy intervals AH.. the hot and the cold composite curves can be shifted horizontally in the T . The respective enthalpy rate differences are AHcI = 1. The seven temperatures are denoted by Tcc. The following conclusions can be drawn from the pinch analysis using the composite curves of Figure 9. The data calculated for each temperature interval of the hot streams are used to draw the hot composite curve in Figure 9.370 = 20 K.330 = 40 K and ATc. .T3..T.. respectively. shown in Figure 9. = 390 . the third and last temperature interval for the hot streams is AThrII = T4.8 X 20 = 36 kW. The minimum hot utility load (Qhu. The total heat transfer rate available from the two hot streams is 280 kW. i ( m ~ ATi ~ ) ~ (9.3.3. The cold composite curve is determined similarly by considering the cold streams: For the cold streams 2 and 3. This curve covers the temperature range from 310 K ( T . Note that in the second temperature interval both streams 2 and 3 exist.1 to evaluate the enthalpy rate differences can be formulated generally as follows: The change in the enthalpy rate AHi within a given temperature interval ATi is calculated from AHi = ..3.8 -t 4.pinch. This curve covers the temperature range between 300 K ( T2. we identify the temperature intervals AT..AH diagram until a specified minimum ternperature difference between the two curves is obtained.)and 390 K ( TZe). = T3.23) where AHi denotes the enthalpy change for the hot (or cold) composite curve and subscript j refers to all hot (or cold) streams that exist in the given temperature interval A Referring to Figure 9. . = 370 .300 = 30 K. In this figure the pinch occurs at a temperature of 330 K for the cold composite curve and 340 K for the hot composite curve. = T. as discussed in Section 9.0) X 40 = 232 kW. J to 450 K ( T4J. In subsequent discussions these and Thc. .3: c.9. = T3.. The total heat transfer rate required for heating the cold streams is 322 kW. through AH.T3.0 = 54 kW.1 and is shown in Figure 9.3.min) is determined graphically as the horizontal distance between the high-temperature ends of the composite . = 80 kW. AHcI1= (1. = 10 K is used for the system of Example 9. This information is used to draw the cold composite curve in Figure 9.6..

480 THERMOECONOMIC OPTIMIZATION 4 I 1 280 k W I I J I I I 400 Figure 9. At ATmin= 10 K. If the hot utility supplies more energy than 48 kW. the energy rate Q.min shifts the cold composite curve to the right and results in an equal increase in the cooling load The smaller the selected value for ATmin.3 Composite curves for Example 9. o h u = 48 kW + Qe where Q..min = 48 kW and = 6 kW. Thus. Similarly. = 6 kW + 8 . . is transferred through the system without use and is finally rejected in the cold utility: Q.the smaller the requirements from the hot and cold utilities. denotes an excess heat transfer. . the minimum cold utility load is calculated as the horizontal distance between the low-temperature ends of the composite curves. we read from Figure 9.1 curves. These values represent the thermodynamic optimum (minimal use of the utilities) for this system when ATmin= 10 K.3 Qhu. an increase in the minimum heating load Qhu.

. below the pinch. The use of a cold utility in this region would only increase the hot utility only a cold utility demand. the value of AHpinch is 60 kW. The pinch position is determined by the temperatures Thc. the energy balances for the two subsystems require that the loads of both the hot and the cold utilities be increased by the amount transferred.3. the entire system can be divided into two subsystems.9. above AHpinch. denoted In Figure 9.. These loads may be calculated accurately with the aid of the following algorithm based on temperature-interval analysis: 1 . that is. only a hot utility is required: The subsystem represents a net heat sink. 9. For a specified value of AT. below hapinch. by AHpinch. that is. is required: The subsystem represents a net heat source. the following rules are obtained for the thermodynamic optimization of a HEN: Do not transfer heat across the pinch.pinch for the hot and cold composite curves. the pinch is determined by the inlet temperature of the cold stream 3 (330 K) and the heat capacity rates h .4 Calculation of Utility Loads The graphical approach for determining the minimum hot and cold utility loads at various values of ATmindiscussed in Section 9. A design with no heat transfer across the pinch gives the maximum energy recovery (MER) possible [14].3. Similarly.3. From the discussion thus far. respectively.2 is generally not accurate.pinch and Tcc. The respective points on the composite curves have the same AH value.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 481 For the special case considered.at the process pinch (minimum driving force between the hot and cold streams). Use a cold utility only below the pinch. If heat is transferred from a hot stream above the pinch to a cold stream below the pinch (heat transfer acruss the pinch). . and m2cp2.3. each of which is in energy balance with its respective utility. c p ..At the process pinch. Above the pinch. Specify a value for A Tmi. 9.3 Maximum Energy Recovery The composite curves and knowledge of the pinch position are very useful in a HEN analysis. this term implies that the maximum energy of the hot streams is transferred to (recovered by) the cold streams so that the utility loads are minimized.If it is possible to change the pinch position by modifying these parameters. the overall energetic integration of the hot and cold streams may be improved by further reducing the required utilities for the same value of ATmin. Use a hot utility only above the pinch.

.4 for the streams of Example 9.482 THERMOECONOMIC OPTIMIZATION 2. This surplus may be used to heat cold streams at lower-temperature intervals or (below the pinch) the surplus may be transferred to a cold utility. This deficit can be covered from 305 I I I % 335 345 I I I I I 375 I 0395 I I I I 44: 1 0 I I I I I I I I 1 1 I I I I I I I I I I I I I I I I I I I I 1 0 1 I d I I I I I I I I I I 1 I I I I 1 I I I I I I I I I I I I I 0 I 450 I 300 325 350 375 Temperature.4 Temperature intervals for Example 9. A positive value for Qi means that an energy dejicit exists in this interval.4).This is conveniently shown in a temperature-interval diagram (see Figure 9. This step identifies all temperature intervals determined by the new inlet and outlet temperatures of all hot and cold streams (five intervals in Figure 9. 3. Reduce the temperatures of all hot streams by ATJ2 and increase the temperatures of all cold streams by A Tmi.1). Starting with the highest-temperature interval calculate the net heat transfer for each interval (subscript i) separately using the following equation: A negative value of Qi indicates a surplus of energy available from the hot streams in this interval. T [K] 400 425 Figure 9.1./2.

9. This diagram shows how the energy cascades through the temperature intervals. The first three columns of Figure 9.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 483 a hot utility or from energy available at higher-temperature intervals. . = j= 1 2 Qj I (9. The cumulative net heat transfer is calculated for an interval i and. 4. the A&. for Example 9. for the five intervals of Figure 9.1 are given in Figure 9.5. if the value is negative. values are assigned to the temperature at which the energy transfer takes place: the lowest temperature of the Temperature Interval Number (i) 445 1 395 2 375 3 345 4 335 5 305 Figure 9.5 shows the values of 0.5 form a so-called cascade diagram.) for each interval starting with the highest temperature interval: AQ.1.25) The values of AQ. Calculate a cumulative net heat transfer (AQ. Therefore. represents the possible energy transfer to the next lower interval i + 1.4. Figure 9.5 Cascade diagram and calculation of utility loads for Example 9.

. The temperatures used in this diagram are not the original ones but the temperatures shifted by ATmin/2. 5.484 THERMOECONOMIC OPTIMIZATION ith interval.min 9. allowed A Tmin 9. It identifies the pinch and calculates the minimum utility loads.1. The grand composite curve can also be constructed directly from the hot and cold composite curves by starting at the pinch condition and requiring a zero heat flow at the average of the hot and cold pinch temperatures. The minimum cold utility loud (Qcu.5 shows.A Q * .3.6 shows the grand composite curve for the streams of Example 9.27) while the temperature of the cold streams at the pinch is Tcc.. = -6 kW.max)for the selected value of AT.? vanishes is called pinch temperature Tpinch because it identifies the position of the pinch. From Figure 9.pinch = 340 K and Tcc. Thus.min This algorithm provides the same information as the composite curves. The largest A Q. .5. value determines the minimum hot utility = AQi.? can be used to draw the grand composite curve in a plot of temperature versus .pinch 330 K.1.28 we obtained for this example the = values determined in Section 9.5 Grand Composite Curve The values of AQ. Tpinch is equal to 335 K for the system of Example 9. In addition to the accurate calculation of these loads.pinch = Tpinch - ATmin/2 (9.2: Thc. Calculate a modiJied cumulative net heat transfer (AQT) using The AQ. The grand composite curve shows the cumulative surplus or deficit of energy for each temperature. The temperature of the hot streams at the pinch is (9. From Figure loud (Qhu. the advantages of the algorithm are that it can be easily implemented on a computer and can be adapted to cover cases where the assumption of constant specific heats is invalid or where the value depends on the streams matched [ 141. we see that this occurs in the fourth temperature interval.* values are also assigned to the lowest temperature of the ith interval.27 and 9.min = 48 kW..28) As Figure 9..3. Figure 9.min) for the selected value of A Tmin is equal to the value of A Q 7 for the lowest process temperature. The temperature at which AQ. Qhu.5 we obtain Qcu. With Equations 9.

To satisfy the requirement of ATmin = 10 K.0 Grand composite curve for Example 9. This information should lead us . -AQ* [kW] Figure 9. For example.9. The grand composite curve indicates the quality and type of the required utilities.1. since the heating requirements between 348 and 445 K (shaded area in Figure 9. the hot utility does not have to be supplied at the highest process temperature (450 K) but at a lower temperature. This minimum temperature determines the quality of the required utility. The slope of the grand composite curve in the area where external heating is required (335-348 K) is relatively small. which is the sum of the shifted temperature 348 K and ATmin/2.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 485 445 T [Kl 395 375 348 345 335 I I I I I I 98 38 50 100 122 150 Cumulative net heat transfer. it is sufficient for the hot utility to be available at a minimum temperature of 353 K.6) can be covered internally through cooling of the hot streams.

7) by assuming that the temperature differences between the hot and cold streams are used in a thermodynamically optimal3 way in counterflow heat exchangers as explained next: The hot and cold composite curves (including the utilities) are divided into enthalpy rate through AH7) for the intervals as shown in Figure 9. 9. steam that is condensed) to reduce the exergy destruction during the heat transfer from the hot utility. 3The term thermodynamically oprimal means here that a complete matching between hot and cold streams is achieved in each enthalpy rate interval. Thus. The exergy destruction associated with the heat transfer processes corresponding to the area ABC in Figure 9. at the two ends of the heat exchanger. respectively.3 (seven intervals curves of Example 9. however. if available. . but without consideration of the number of heat exchangers that would be required to accomplish this matching. If.g.486 THERMOECONOMICOPTIMIZATION to use a hot utility with a relatively small slope in a T vs.1. the exhaust gas from a combustion process.6 Estimation of the Required Total Heat Transfer Surface Area The total heat transfer surface area required for the entire HEN at a specified ATminat the process pinch can be estimated before the actual design of the HEN is attempted (Section 9. the slope of the grand composite curve in the temperature range requiring the supply of a hot utility would be steep.3. would represent a better match. the slope of the grand composite curve assists in the selection of the appropriate type of utility. Within each enthalpy rate interval (subscript j ) there is an associated heat transfer rate: Qj = A& between the hot and cold composite curves..29) where subscripts gr and sm indicate the larger and smaller temperature difference. A H plot (e.6 is unavoidable for the specified value of A Tminr whereas the exergy destruction associated with the heat transfer processes from the hot utility and to the cold utility depends on the matching of the temperature profiles between the streams and utilities. The heat transfer is assumed to be accomplished in a counterflow heat exchanger at a log-mean temperature difference A calculated as follows: (9. the grand composite curve indicates the exergy destruction that is avoidable and unavoidable in the HEN design. Finally.3.

the total heat transfer area may be calculated from (9. Qji is the rate of heat transfer from the ith hot stream within the jth enthalpy rate interval. are the individual convective heat transfer coefficients (Section 4. with heat transfer coefficients of 5000 and 850 W/m2 K. .31.7. estimate the total heat transfer area if the individual convective heat transfer coefficients for the hot streams are h . Qjkis the rate of heat transfer to the kth cold stream within thejth enthalpy rate interval.31) where hiand h. The assumptions of Example 9.3.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 487 Assuming a constant overall heat transfer coefficient Uj (Equation 6.2 For the streams and data of Example 9. a more accurate relation for Ahenis obtained from (9. The hot and cold utilities are available at 500 and 298 K.1 apply.1.3) for the ith hot stream and the kth cold stream. The detailed design of a HEN is discussed in Section 9. respectively. = 500 W/m2 K and h. The following example adapted from Reference 18 illustrates the estimation of the total heat transfer surface area.3 1 gives a reasonable estimate of the total area required for a HEN without first designing the HEN.9. Similarly. However. respectively.30 or 9. Example 9. These equations are particularly useful during the preliminary design stage when quick estimates of the capital cost associated with the HEN are required.30) When there are multiple streams in an interval. The thermal resistances of the walls separating the hot and cold fluids are neglected in Equation 9. Solution MODEL 1. = 750 W/m2 K and h. = 800 W/m2 K and for the cold streams are h. Equation 9.1) for the jth interval. The approximate procedures discussed in this section do not necessarily provide the same results as would be obtained from a detailed design of the HEN. = 600 W/m2 K.

0-390.0 Heat Transfer Rates (kW) Utilities hu cu 1 36 12 50 150 20 54 6 500-500 500-500 450-400 400-350 350-340 340-3 13 3 13-310 370.0 20.3-367.7 15.0-330.0 3.7 131.0 6.4 2 36.0 50.9-370.0 11.0 26.0 .9 333.5 6.0 50.0 54.8 13.0 6.0 3 8.8 4 36.0-298.0 59.4 13.0-333.5 103.5 46.3 330.4 300.0 359.2 54.0 367.3 34.Enthalpy Rate Interval Number 0’) 1 2 3 4 5 6 7 Enthalpy Rate Difference AHj (kW) Temperature Intervals (K) Hot Side Cold Side 1 Temperature Difference Log-Mean A T h j (K) 1 1 100.5 13.4-359.0 119.0 298.0 12.

ANALYSIS Referring to Figure 9. this interval is AH. == (500 . The only heat transfer in this interval is from the hot utility to stream 2: A H .+ -) 36.367.0 X 2.0 = 12.370 \ ) In the second interval.276 kW. A B .7 5000 (.069 K. Thus.(500 .1 (50. the first enthalpy interval. the temperature differences between the hot and cold streams are used in a thermodynamically optimal way in counterflow heat exchangers.367. respectively.. corresponds to the inlet temperature of the fourth stream (hot) and the outlet temperature of the third stream (cold). = Q.069 = 3.8 kW/K X (390 .0 800 15. = 1. corresponds to the temperature interval 370-390 K of the cold composite curve.9.ABl = 48.931) In 500 .03 K .5 75 I 34.370) = 131.0 Ahen= 119.069 = 8.931) .. Figure 9.+ h3cP3) in the second interval the inlet temperature of the cold streams is (370.3.. the heat transfer rates supplied to cold streams 2 and 3 are Q.0 5000 3.931 K. /500 .. in which some numbers are rounded.+ 150) + -(. The temperature difference for the two cold streams appearing in = 12. .370) .390) = 119./500 . In each enthalpy rate interval of the composite curves. The log-mean temperature difference in this interval is Ai". = - (500 .3.5) 600 .370)K = 36.(500 .390) . The total heat transfer surface is then calculated from Equation !J. A H .+ .370) In 00 .72 K The second enthalpy interval of Figure 9./(m2cp2.0 .0/(1. The heat transfer from the hot utility in this interval is the difference in heat transfer rates: AH2 = Qhu..3.0 131.0 kW.7 750 8. The log-mean temperature difference for the second interval is ATrn. = 1.min .3 OPTIMIZATION OF HEAT EXCHANGER NElWORKS 489 2.0 - 59. The results are summarized in the accompanying table.36.0 1 12.069) K = 367.0 2.0) = 2.8 x 2.724 kW and Q23 = 4.3 600 + +-.31 1 36..8 + 4. . The temperature intervals and the heat transfer rates for the remaining enthalpy rate intervals are determined similarly.0 kW.

5 we determined that the temperature of the hot utility is required only to be greater than or equal to 353 K. These calculations are p' . respectively. in Section 9.7 HEN Design Thus far we have presented a simple procedure for (a) calculating the minimum heating and cooling requirements for a HEN and (b ' :imating the total heat exchanger area required. respectively.. Since the number of heat exchangers required is always less than or equal to the number of heat exchangers in a maximum energy recovery (MER) network (Section 9. denote the number of hot and cold utilities. is calculated from [ 111 where Nh and N. the total heat transfer area would increase.. if necessary. it is convenient to develop initially a HEN characterized by maximum energy recovery for a specified AT. COMMENTS 1. If a cold-utility temperature lower than 298 K would be considered.. to increase its cost effectiveness. we illustrate this procedure for the case of . denote the number of hot and cold streams. value at the pinch and then modify the HEN design.3).2 m2.This number. 2. which includes the number of heat exchangers in which a hot or cold utility is used (utility heaters and coolers).3. and Nhuand N.3. In the present discussion.. If a hot-utility temperature lower than 500 K would be considered.. In this example the hot utility is assumed to be available at 500 K. However.490 THERMOECONOMIC OPTIMIZATION or Ahen = 44. The minimum number of heat exchangers required for the streams of Example 9.. the total heat transfer area would decrease.ole without even developing a flow sheet for the HEN and are therefore very useful for screening various options.1 is five. it is also useful to know the minimum number ofheat exchangers required (Nhx.).3. In designing a HEN. 9.

may be used to improve this matching and reduce the number of iterations required in a subsequent step to obtain the cost-optimal HEN design. If there is a significant difference between the heat capacities of the hot and cold streams.6. Avoid the use of excessively large or excessively small temperature differences (thermodynamic driving forces). Several rules have been proposed for guiding the development of a HEN with maximum energy recovery.33) and (9. MER Design. More details may be found in the literature [14. pressure. 181.1 and present some general guidelines for HEN design. a network for the streams above the pinch is designed and then another for the streams below the pinch. The matching of streams above and below the pinch is based on their temperatures and heat loads. The rules. This approach ensures that no heat is transferred across the pinch.9. Maximize the load of heat exchangers. together with a methodology for their application. which include both heuristic rules [14. Try to match streams with similar heat capacity rates (tizcJ. Do not use a cold utility above the pinch or a hot utility below the pinch. The design of a HEN for maximum energy recovery should be considered in two parts: First. Minimize the use of intermediate heat transfer fluids when exchanging heat between two streams. Minimize the mixing of streams with differences in temperature. 17.at the pinch. or chemical composition. This condition is met when the following relations are satisfied at the pinch by the streams present there: Above the pinch: (9. which restate or complement the design guidelines presented in Section 3. 171 and rules based explicitly on exergy considerations [20]. Ensure that the minimum temperature difference in all heat exchangers is equal to or larger than the selected ATmi.34) . The following rules. In both cases we start the design ut the pinch and move away. consider splitting the stream with the larger heat capacity. Try to match streams where the final temperature of one is close to the initial temperature of the other. 15. are considered next.3 OPTIMIZATION OF HEAT EXCHANGER NEMlORKS 491 Example 9.

a hot stream must be split. In this heat exchanger.8 kW/K.300) K = 54 kW. In Figure 9. compatibility of the substances in the streams to b e matched. and HEN control).0 kW/K) with stream 2 (m2cp2= 1. The further cooling of stream 1 to 310 K occurs in the cooler (cu).35) and Here ( )oinch and ( . At the pinch there is one hot stream (stream 1) and two cold streams (streams 2 and 3). If Equation 9. use of existing equipment. respectively. Consider additional factors as appropriate for the case being considered (e.36 cannot be satisfied for all stream matchings below the pinch. the maximum heat transfer rate from stream 1 is 2.34 and 9. When Equation 9. Below the pinch there is only one hot stream (stream 1) and one cold = (Nc)pinch.33 through 9.33 is not satisfied. When Equation 9.0 kW/K x . Equations 9.34 to be satisfied.35 is satisfied.0 kW/K X (340 .3 we = 330 K.0 kW/K X (400 .0 kW/K).310) K = 60 kW and the maximum heat transfer rate to stream 2 is 1.33 is satisfied.@inch = 340 K and Tcc. the distances between the streams of the actual system. = 54 kW.c. stream 1 is cooled from 340 to 313 K. (Nh)pinch Also Equation 9. For Equation 9. a cold stream must be split.492 THERMOECONOMIC OPTIMIZATION Below the pinch: (9. hot stream 1 must be matched with cold stream 3 (h3cp3 = 4. = 2.34 dictates that we exclude the matching of stream 1 (rit.)pinch denote the number of hot and cold streams. Continuing with the case of Example 9. Above the pinch. the load of which is 6 kW. The smaller value determines the load of the heat exchanger between streams 1 and 2 (heat exchanger I): Q. Equation 9..1.. and Equation 9.36 refer to the matching between one hot and one cold stream at the pinch. stream (stream 2). Equation 9. Thus.0 kW/K and h2cp2= 1. let us develop a MER design for the system consisting of two hot and two cold streams. If Equation 9.34 cannot be satisfied for all stream matchings above the pinch. Equations 9.g.35 is not satisfied. Below the pinch the maximum heat transfer rate from stream 1 is 2.0 kW/K).8 kW/K X (330 . In the following we established that Thc. Thus.340) K = 120 kW and to stream 3 is 4.pinch discuss initially the design of the subsystem below the pinch and then the design of the subsystem above the pinch. Above the pinch all four streams exist.cp. = 2. a stream (normally a cold stream) must be split. at the pinch.36 is satisfied since m.36 must be satisfied simultaneously. a stream (normally a hot stream) must be split.

heat exchangers transferring heat across the pinch are easily identified.7). The existence of a loop implies that there is an extra heat exchanger in the network-that is. A heat exchanger is shown as two circles connected by a vertical line with the load written beneath the lower circle. I1 and III). The MER network obtained thus far is shown in Figure 9.7 corresponds to a MER design. the six heat exchangers shown in Figure 9. the number of heat exchangers should be kept as small as possible because of technical and economic considerations.330) K = 160 kW.32. Similarly. A block identifying each stream by number.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 493 (370 .7. we focus on each loop appearing in the MER design and break the loop by removing the heat exchanger with the smallest load in the path and allowing some heat transfer across the pinch. A grid representation [19] is used in this figure in addition to the flow sheet representation shown in the left upper corner. but this results in an increase in the utility costs. The number of heat exchangers required for the overall system is always less than or equal to that for a MER network. To reduce the number of heat exchangers. . Cost-Optimal HEN Design. a HEN design can be developed using any sequence of hot and cold stream matches and any design change is possible without reordering or rerouting the streams. With a grid representation. Thus. 1-4. two utility heaters (hu-a and hu-b). Whenever a loop exists. the load of heat exchanger I1 between streams 1 and 3 is 120 kW. As Figure 9. is located at the stream inlet. we first break the loop including the heat exchanger with the smallest heat load. the hot streams run from right to left at the top of the diagram and the cold streams run countercurrent at the bottom of the figure. steps taken to reduce the number of heat exchangers increase the load of each utility.9. to bring these streams to their final temperatures. the number of heat exchangers is greater than the minimum number given by Equation 9. Thus there is a trade-off: We reduce the number of heat exchangers to reduce the capital costs. Moreover. A MER design satisfies the minimum utility requirements. For each of the cold streams 3 and 2 we need to use a utility heater denoted by hu-a and hu-b with a load of 40 and 8 kW.4 41f more than one loop exists. Indeed. When the pinch temperatures are marked in such a diagram. Loops are multiple links between streams that had to be established to prevent heat from crossing the pinch. but usually leads to loops across the pinch. In the grid representation. All in all.1: Three stream to stream heat exchangers (I. we determine the load of heat exchanger I11 between streams 4 and 2 to be 100 kW. respectively. and one utility cooler (cu). six heat exchangers are required for the MER design of the system of Example 9.7 are one more than the minimum number of five calculated at the beginning of this section. a path on the grid diagram can be traced that starts at one heat exchanger and returns to the same exchanger (see dotted line in Figure 9.

. A flow sheet representation is shown in the upper left corner.o 310 313 I 2.1.0 Net Heat Source -.7 Grid representationof the entire heat exchanger network for Example 9. The dashed line identifies a loop.0 4 6kW 4.1. A Net Heat Sink A Figure 9.

8 Integration of a HEN with Other Components This section briefly discusses the integration of a HEN with a power cycle. 111. value is restored by shifting energy along a path that connects a heater and a cooler in a network. we see that the utility heater whose load is 8 kW has been removed from the network.7 are discussed in the literature [14.. if a power cycle is installed . If a power cycle is integrated with a HEN so that To. The design of Figure 9.7 and 9. The AT..8 shows the path along which energy is shifted from the hot utility to the cold utility. Accordingly. Additional details are given in References 14.g.9) used in the optimization. the load of each utility must be increased by 0. The dotted line in Figure 9. plus one utility heater. called network relaxation. The question to be answered here is how should these components be placed relative to the HEN pinch to make the integration thermodynamically advantageous compared with the standalone option. 22. Accordingly. An analysis of the network shows that to keep the minimum temperature difference of ATmin = 10 K after this network relaxation step. however. however. Detailed procedures for developing new network designs and for obtaining the design of Figure 9.9.8 from that of Figure 9. The exergy rate associated with Qout represents an exergy loss for standalone power cycles. In designing a thermal system. Additionally. 9.8 kW. the method requires knowledge of the mass flow rate. Power cycles receive an energy rate Qin at an average high temperature Tin. For brevity in the present discussion this important practical step is omitted. Comparing Figure 9. The pinch method for the design of HENS has some significant limitations. A limitation noted in the discussion of Example 9. at an average lower temperature To. 17.7 is eliminated. Table 7. the determination of the more costeffective design between the two designs shown in Figures 9. 21.. e. a heat pump. and the inlet and outlet temperatures of each stream. normally introduces at least one violation of the specified value for ATmin. This is resolved in practice by making assumptions about the unknown quantities and relaxing the assumptions selectively as the design evolves iteratively.8 includes just five heat exchangers: I. or energy relaxation. there is some circular analysis inherent in the pinch method. 11..8 depends on the economic parameters and assumptions (see.7 to 9. and thus the values of these variables would be unknown at the outset of the design process. and one utility cooler.convert part of it to power and reject Q.1 is that the effect of pressure drop is neglected.. may be used in the network to reduce the hot utility load. The cost optimization of a HEN consists in finding the design that has the smallest total annual cost.. > Thc. Figure 9. Similarly.3..pinch.3 OPTIMIZATION OF HEAT EXCHANGER NETWORKS 495 This procedure. 181.. the temperatures and mass flow rates of streams are often treated as decision variables. This shifting increases the utilities load.8 shows the grid and flow sheet representations of the network for Example 9. the exergy rate associated with Q... the average specific heat.... or a distillation column.1 after the loop shown in Figure 9.8.

A flow sheet representation is shown in the upper left corner.8 Grid representation of the entire heat exchanger network for Example 9.8 .4 100 k W I I Figure 9. The dashed line indicates a path along which energy is shifted.2 kW 370 48."Pinch" I 450 1 4 l-3 1 400 1 - 3 330 I I I I _ _ -357.8kW 390 > I 2 - 300 62 kW ' I 334._ _ _ _ _ _ 111.1. after energy relaxation. .

but with calculations being conveniently replaced by primarily graphical means [15. such as gas turbines. Power cycles requiring high input temperatures. 9. the result is thermodynamically or economically no better than if the column would be installed as a stand-alone unit. Pinch analysis is an offshoot of exergy analysis. will normally be integrated above the process pinch.. However.pinch > Ti. Q.9 Closure This section has provided an introduction to the pinch method for the design and optimization of heat exchanger networks. if a distillation column falls across the pinch in a specific design configuration. depending on the working temperatures and the pinch temperature.3.9. 23.. is removed in a condenser. nothing is gained from the integration because. reduce the total exergy rejected in the cold utility.. pinch analysis is fundamentally an embodiment of the main theme of this book: Use second-law reasoning in thermal system design. when the slopes of both the heating and the cooling requirements in the grand composite curve are small. such devices should be placed across the pinch so that energy is transferred from a hot stream below the pinch to a cold stream above the pinch. it is impossible to gain the advantage of HEN integration with a power cycle for the entire energy transfer available from these gases. Placing a heat pump entirely above the pinch does not provide any thermodynamic or economic benefit compared with the stand-alone option because power would substitute for utility energy. thus. well laden with rules. a power cycle should be placed either above or below the pinch but not across the pinch. Therefore. The temperature at which Qin is supplied depends on the operating pressure of the distillation column. If a distillation column falls across the pinch. the cycle may use part of the exergy that would be discarded to a cold utility and.. The use of a heat pump in a HEN should be considered. . and the temperature difference between these requirements can be efficiently covered by a heat pump. As exhaust gases are invariably discarded below the pinch.. 241. This reduces both the hot and cold utility loads. Although a seemingly formal approach. is transferred across the pinch and the cold utility load is increased by this amount. it might be possible to shift the column operation entirely above the pinch by raising the column pressure or to shift the operation entirely below the pinch by lowering the column pressure.. in effect. if Qin is supplied above the pinch and Q..).. Placing a heat pump below the pinch leads to a worse situation: The net overall effect is that the power supplied to the heat pump is converted into an additional load for the cold utility. Hence. for example. Rankine cycles may be placed either above or below. Distillation columns are major exergy consumers in chemical plants: An energy rate Qi. Turning next to the case of heat pumps. Distillation columns should be placed entirely either above or below the pinch q f a HEN. is supplied in a reboiler and an energy rate Q. is rejected below the pinch.3 OPTIMIZATIONOF HEAT EXCHANGER NETWORKS 497 below the pinch (Thc.

cannot be evaluated using pinch analysis as effectively (if at all) as using exergy analysis. which is a more general and powerful tool [24]. The decision variables may be continuous. In Section 9.5.2 deals with unconstrained nonlinear objective functions. pinch analysis might not detect some opportunities for improving the design of a system.4.4. many methods have been developed for the efficient solution of particular classes of problems.5 we discuss the optimization of the cogeneration system. however. Section 9.4 refer to constrained multivariable optimization problems. particularly when involving chemical reactions. 9. Then in Section 9.4 ANALYTICAL AND NUMERICAL OPTIMIZATION TECHNIQUES Since there is no general mathematical method for conducting the search for an optimal value. Still. (b) be continuous or contain discontinuities.8. we must consider the tradeoffs between the complexity of the numerical procedure and the number of objective-function evaluations needed. in some problems a simulation may be required to generate the function values. Such opportunities might be brought to light by an exergy analysis. Further discussion is provided in References 1-3.5 is not unique.4 we survey some commonly used analytical and numerical optimization techniques.3 and 9. For example.4. the constraints. and the decision variables involved: The objective function may (a) contain only a single decision variable or many decision variables. In other cases we might not have a model of the system to be optimized and be required to operate a similar existing system at various input levels to evaluate the output values.4. The classification of optimization problems we provide in Sections 9.3. The generation of a new value for the objective function in such . In applying numerical optimization methods. 26. and (c) be linear or nonlinear. and the current literature.3. The same methods may be grouped in different ways. In Section 9. integers. Sections 9. In the following subsections some of the more commonly used techniques applicable to these types of optimization problems are briefly discussed. because of the limitations discussed at the end of Section 9.4. The constraints of the optimization problem may be expressed as linear or nonlinear equations (or inequalities). pinch analysis and exergy analysis should be considered as complementary and not competing methods for the design and optimization of thermal systems. or a combination. The optimization methods can be categorized according to the nature of the objective function.7.1 refers to unconstrained and constrained functions of a single variable. In addition.4. Other processes.498 THERMOECONOMIC OPTIMIZATION Pinch analysis can be effectively used for the evaluation and thermodynamic optimization of a HEN and its integration with the components discussed in Section 9. 25. Specific optimization techniques are briefly discussed in Section 9. Section 9.6 we present exergy-related design considerations applicable to complex thermal systems.1 through 9.4.

and the golden section method [ 1. Such methods include Newton’s method.g. If a function is bounded in an interval (constrained function). or saddle point. The direct numerical methods generally can more easily treat problems involving objective functions with discontinuities. The graphical procedure where a number of values of the objective function are calculated and then plotted is perhaps the most elementary method of finding an extremum (maximum or minimum) point of an objective function. another more detailed graph might have to be drawn in the region near the extremum. that is. is a stationary point that does not correspond to a local extremum (e. lndirect Methods. points of inflection. Graphical Methods. the stationary point is a local minimum. . 2. The techniques applicable to this type of problem are also generally important because some techniques applicable to multivariable functions involve repeated use of a single-variable search. Depending on the required accuracy. the boundary points also can qualify as local optima. The search terminates when the remaining subinterval for the decision variable is sufficiently small. The region elimination methods are direct search methods that enable the exclusion of a portion of the decision-variable range from consideration in each successive stage of the search for an extremum.9. when the second derivative is zero and the third derivative is nonzero). The efficiency of the numerical method becomes then a key criterion in selecting the appropriate optimization method. An inflection point. the finite difference approximation o f Newton’s method (or quasi-Newton method). The methods for determining an extremum by using derivatives and values of the objective function are called indirect methods. Direct Methods. and the Secant method [2]. If the second derivative is negative.1 Functions o f a Single Variable This is the most elementary type of optimization problem. 9. Computers have enabled the application of direct methods. The global extremum is identified among the local extrema by computing the value of the objective function at the local extrema and selecting the best value. 251. These methods include the two-point equal interval search. The last two methods are considered the most efficient. the method of bisecting (or dichotomous search). methods that search for an extremum by directly comparing function values at a sequence of trial points without involving derivatives.4 ANALYTICAL AND NUMERICAL OPTIMIZATION TECHNIQUES 499 circumstances may be very costly.. the Fibonacci method. If the second derivative is positive. the point is a local maximum. As developed in elementary calculus.4. a necessary con- dition for an extremum point of a differentiable objective function is that the point be a stationary point: The first derivative of the objective function vanishes at that point. and boundary points. however.

and Powell’s conjugate direction method [ l . The optimal solution of a linear programming problem lies on some constraint or at the intersection of more than one constraint and not in the interior of the convex region where the inequality constraints are satisfied. which uses a successive quadratic estimation. the sequential Simplex method. . the univariate search. These methods mainly differ in how they generate the search directions. the Hooke-Jeeves pattern search method. the conjugate gradient methods. in addition to the function values. The point estimation methods. the secant methods. Marquardt S method. and the Broyden-Fletcher-Goldfarb-Shanno (BFGS) method [l .2 Unconstrained Multivariable Optimization The unconstrained nonlinear programming methods used for multivariable optimization are iterative procedures in which the following two steps are repeated: (a) starting from a given point choose a search direction and (b) minimize or maximize in that direction to find a new point. or polynomial approximation methods.4. Linear programming techniques are widely used because of the availability of commercial software for solving large problems. The point estimation methods usually involve a quadratic or cubic approximation of the objective function. for strongly skewed methods for well-behaved unimodal f~nctions. Point estimation methods converge more rapidly than region elimination However. is considered the most efficient algorithm among the point estimation methods. If this search encounters difficulties in the course of iteration.500 THERMOECONOMIC OPTIMIZATION The region elimination methods require only a simple comparison of objective-function values at two trial points. 9. A Powelltype successive quadratic estimation search is recommended for general use [I].~ or multimodal functions the golden section search is more reliable. the magnitude of the difference between the function values. Various computer codes used for unconstrained optimization are listed in Reference 2. 21. Powell’s method. the grid search. 9. Direct methods in this category include the random search. The indirect methods include the steepest-descent/ascent gradient method (or Cauchy’s method). Problems involving two function is unimodal in an interval if and only if it is monotonic on either side of the single optimal point in that interval. they are not as efficient and robust as many of the indirect methods.4.3 Linear Programming Techniques The term linear programming refers to the optimization procedure applied to problems in which both the objective function and the constraints are linear. the optimization procedure should continue with a golden section search. These methods are relatively simple to understand and execute. However. involve. Newton’s method. 21.

Problems involving more than two variables are solved by the linear programming simplex method. Dynamic programming procedures are applied in a multistage manner even if the system under consideration is not itself comprised of separate subsystems. Dynamic programming methods decompose a multivariate interconnected optimization problem into a sequence of subproblems that can be solved serially. 261. 9. 25.4.4.4. 9.4 ANALYTICAL AND NUMERICAL OPTIMIZATION TECHNIQUES 501 variables may be solved graphically. and additional approaches are required. The five major approaches for solving nonlinear programming problems with constraints are the Lagrange multiplier method. the Lagrange multipliers are introduced and an augmented objective function (the Lagrangian) is defined (see Appendix A for an illustration).2. and direct-search methods [l-3. . The term quadratic programming refers to a procedure that minimizes a quadratic function subject to constraints of the linear inequality and/or equality type. the objective function might then be differentiated with respect to each of the remaining n .4 Nonlinear Programming with Constraints Problems with a nonlinear objective function and/or constraints are the most common type encountered in thermal design optimization. 25. The linearization methods solve the general nonlinear programming problem by linearizing the problem and successively applying linear programming techniques.2). 22. The quadratic programming methods.m variables and the derivatives set equal to zero. If all the equality constraints can be removed. which is an adaptation of the simplex direct-search method (Section 9.4. One of the most effective direct-search methods is Box’s complex method.9. In the Lagrange multiplier method. or the Karmarkar algorithm [ l . Few practical problems may by solved using this simple method. Each of the subproblems may contain one 6This method has no relationship to the simplex method noted in Section 9. 261. In a problem in which there are n independent variables and m equality constraints. penalty function methods. The penalty function methods are based on the transformation of the constrained problem into a problem in which a single unconstrained function is minimized. iterative linearization methods. however. and there are no inequality constraints. and then express the objective function in terms of these variables.5 Other Techniques Dynamic programming. we might attempt initially to solve each of these constraints explicitly for a set of n m variables. Computer codes for nonlinear programming with constraints are discussed in References 1-3. A list of linear programming computer codes is given in Reference 2. the linearization methods.6 the revised simplex method. iterative quadratic programming methods. and the penalty function methods are better for general problems than the Lagrange and direct-search methods.

The thermodynamic optimization is based on the thermodynamic model of Section 2.5. the life-cycle design flow chart. In the economic optimization. the remaining aspects of the design flow chart are not covered here. Geometric Programming. Geometric programming refers to constrained optimization problems involving a special class of polynomial functions as the objective function and the constraints of the problem. 9.5 DESIGN OPTIMIZATION FOR THE COGENERATION SYSTEM CASE STUDY In this section we bring closure to the discussion of the cogeneration system case study initiated with the primitive problem statement of Section 1. Geometric programming methods are discussed in References 1.1 Preliminaries Two types of optimization are considered here: thermodynamic and economic. whereas the economic optimization employs both the thermodynamic model and the cost . 2. The term pure integer programming refers to the class of problems where all of the decision variables are restricted to be integers. Additional details are given in References 25 and 26.1. and 26. and 26.502 THERMOECONOMICOPTiMtZATlON or a few decision variables. and would contribute significantly to the development of the final flow sheets for the system. In mixed integer programming some of the variables are restricted to be integers while others may assume continuous (fractional) values. The objective of the thermodynamic optimization is to maximize the exergetic ejkiency of the cogeneration system. Referring to Figure 1. Some principles of variational calculus are discussed in Appendix A. hfegerProgramming. More details are given in References 2.3. 9. Variational Calculus. the present results would evolve during the detailed design stage. the objective is to minimize the levelized costs of the product streams (electricity and steam) generated by the cogeneration system.2. The interested reader should consult more specialized textbooks. Linear and nonlinear integer programming is discussed in References 1. Though important from an engineering perspective.2 and considered several times subsequently. Variational calculus is devoted to finding the function that maximizes or minimizes the value of an integral.5. An example is the problem of determining an optimal temperature profile in a reactor. 25. 25. Some optimization problems require that some or all of the decision variables must be integer valued. and 25. Another example is presented in Section 5. however.

For comparison.. increases.3. increases as the compressor pressure ratio p 2 / p . indirectly. complex interactions are observed among the various thermodynamic and cost variables. while keeping all other variables constant. 9 and with increasing isentropic turbine efficiency qSl..1 gives the values of the decision variables and selected parameters for the thermodynamically optimal (TO) design.2 Thermodynamic Optimization Table 9.5 DESIGN OPTIMIZATION FOR THE COGENERATION SYSTEM CASE STUDY 503 model of Appendix B. . the temperature of the gases entering the gas turbine. Still.9. etoI decreases as T4 increases. Furthermore.5.is appropriately adjusted each time the temperature T4 is changed.5. and 3. passes through a maximum. vst. should be used cautiously. T 3 . however. the design engineer may use the thermodynamic model to study the effect on the overall exergetic efficiency ( E ~ . Box’s complex method’ (Section 9. the costs of the remaining streams through the power to the compressor W l l . some general relationships can be identified: The thermodynamic performance of the air compressor affects the performance and costs of the air preheater through the temperature T2. 3. increase.2 and 9. In turn. ctotincreases as T. such as Box’s complex method. the thermodynamic optimum is obtained at the maximum values of the decision variables T. and T.. When the cost model of Appendix B is used together with the thermodynamic model of Section 2. The results of such a parametric study for the cogeneration system of F. ciency 9. and then decreases. if the temperature of the air exiting the preheater. klo. However. .4) and the corresponding computer program from Reference 27 were used to calculate the results presented in Sections 9. The pressure ratio at which the maximum value of E occurs increases with increasing T4. as it is possible for the method to identify a local optimum rather than the global optimum..igure 1. Before proceeding with the thermodynamic or economic optimization of an overall system. the preheater performance affects the performance and costs of the combustion chamber and the heat recovery steam generator through the temperatures T3 and T6. and ATmin in the heat recovery steam generator.7.5.7 may be summarized as follows: E increases monotonically with increasing isentropic compressor effir).4. and T4 and the minimum values of m l .5.2. ) of a change in some of the decision variables. values for the base design (Tables 1. As might have been expected.2) and the cost-optimal (CO) design are also presented. with reference to Figure 1. ’A direct-search method.1. the performance of the combustion chamber and gas turbine affect (a) the performance and costs of the air preheater and the heat recovery steam generator through the temperature T5 and (b) the costs of stream 2 and.

. for this cogeneration system the thermodynamic optimum is obtained at a boundary point not only with respect to r).hrsg (K) Air mass flow rate. T3 (K) Combustion products temperature.0 81.0 6. when the thermodynamically optimal values are used for the remaining variables.0 86. bFor the TO design. and cost-optimal (CO) design" Parameter Compressor pressure ratio.504 THERMOECONOMICOPTIMIZATION Table 9. the exergetic efficiencies of the components are not invariably higher in the TO design.As in Table 9.0 40. but not invariably. The same values of the maximum exergetic efficiency and the minimum overall cost rate may be obtained through other combinations of the vaIues of the decision variables.7 903.476. = 89. indicating again that the optimal performance of components does not necessarily correspond to the optimal performance of an overall system. Table 9.2 we see that the overall exergetic efficiency of the TO design is 54.. The constraints on the values of the decision variables r).51 50.. the values of three important exergy-related variables introduced in Chapter 3 are listed for the overall cogeneration system and each of the system components.. q. For example.2 also shows that the component values for the exergy destruction rate and exergy destruction ratio are generally. thermodynamically optimal (TO) design. values destruction ratio ED. limit the maximum value of clot that can be obtained in practice.83 "The optimal values of the decision variables given for the TO and CO designs are not unique. r)rs (%) Air preheater outlet temperature.1 84. m. (K) Pinch temperature difference in the HRSG. p 2 / p I Compressor isentropic efficiency.p 2 / p .99%.0 88. From Table 9.1 Values of the decision variables and selected parameters for the base design. vst. riq0 (kg/s) 9 I . many different sets of the decision variables values lead to nearly optimal values of the objective functions.28 1. Still. and conversely. (kg/s) Methane mass flow rate. vst.97% and q. the maximum value of ctal would be obtained for p21p. T 3 . of course. lower in the TO design than in the other two designs. A Tmin.0b 792.8 122. These are the rate of exergy destruction ED.2. T.4 1550.1. lower in the TO design than in the other two designs. which according to the thermodynamic model of Section 2.Thus. greater than 16.0b 90. whereas the corresponding values for the other two cases are significantly lower. for the base design and the cost-optimal design are provided for comparison with the thermodynamically optimal values.20 1. the purchased-equipment cost calculations using the functions from Appendix B are based on qcI = 87. .&.2 16. and T. (%) Base Design TO Design CO Design 10.tot.0 1462. and T4 but also with respect to the pressure ratio P2lPI.klEF.0 850.. The values of these exergy-destruction variables for the overall system are.9 Turbine isentropic efficiency.0 86.5 exceeds the maximum allowed value for p 2 / p I .0 74. exergy and exergetic efficiency c k .64 15. In addition. In Table 9.23 1..0 1520.

66 34.91 1. exergy destruction ratio E.08 1. This results in some minor differences between the entries of Tables 3.31 3.O 84. &.75 6.4 80.. and 5.83' 78.42 (%) (%) (MW) 28.25.28% of the exergy supplied by the fuel to the total system is carried out of the system at state 7.58 2. 1.08 2.74 6) 30.31 3.tOt EDL EF.38 2.4 82. and exergetic efficiency system for the base design and the TO and CO designs E for the Mh component of the cogeneration Base Design" TO Design CO Design Em ED.2.8 66.2 Exergy destruction E.53 3. and 9.54 49.ta.60 3.10 2. this represents an exergy loss for the total system.12 39.33 5.. respectively.81 5.70 6.3.6 92.29 1. EF.2.1.49 46. The higher pressure is used in the present evaluations because the pressure reduction unit receiving methane from the high-pressure supply line at 40 bars is considered together with the combustion chamber.01 2. ..2.32 7.0 45.63 2.1 "In developing Tables 9.8 95 .23 3. 9.48 6.63' (%) 30.8 67.6 96.1 (MW) 23.2 95.20 7.16 5.8 94.61' 79. the fuel is assumed to enter the system at a pressure pl0 = 40 bars instead of the nominal 12-bar value used in Table 3. This was done to eliminate the effect of a varying methane supply pressure on the optimization results.2 and 9.8 69.36 46.Table 9.33 3. "An additional 3.6 54.lOt E Component Combustion chamber Heat-recovery steam generator Gas turbine Air preheater Air compressor Total system (MW) 25.67 3.74.tot & E EDk E ED.fEF.3 89.2 84...1 1 43.86 (a) 30.8 50.

Accordingly.55 2. the total cost associated with the thermodynamically optimal design is always higher than for the cost-optimal design and. and the cost of steam in $/kg. as in the present application. 9.33 2870 5. sometimes significantly higher. thermodynamically optimal (TO) design.5.3 Economic Optimization Table 9.5.506 THERMOECONOMIC OPTIMIZATION 9. system complexity.2. Also presented in this table for comparison purposes are the costs calculated for the base design and the costs determined using the results of the thermodynamically optimal design. These differences result mainly from the investment costs of the air compressor and the gas turbine that are very high in the TO design.3 because (i) the present system is simple. 9. and cost-optimal (CO) design Parameter Total cost flow rate ($/h) Cost of electricity ($/kWh) Cost of steam (@/kg) Base Design 3617 7. Comparing the cost data of the cost-optimal and thermodynamically-optimal designs shows striking differences: The total cost flow rate and the cost of electricity are significantly higher in the TO design than in the CO design.5.4).1) in $/h. 9.41 2. and 9.5. The economic optimization results discussed here are obtained without applying any of the thermoeconomic techniques discussed in Sections 8. The reasons include incomplete models.6 THERMOECONOMIC OPTIMIZATION OF COMPLEX SYSTEMS Complex thermal systems cannot always be optimized using the mathematical techniques discussed in Section 9.39 . and structural changes: Table 9.4 and illustrated by the results presented in Section 9. (ii) its structure was specified (Section 1. The next section discusses an iterative thermoeconomic optimization technique that may be used when one or more of these conditions is not satisfied. The table presents the total cost flow rate (Section 8.3 Calculated costs for the base design. and (iii) both the thermodynamic and the cost models are complete and allow the use of a numerical optimization technique.77 TO Design ~~ CO Design ~ 9089 21.3 provides the costs obtained in the economic optimization.4 Closure In the design of a thermal system. studies focusing only on the thermodynamically optimal performance for the design of a new system can lead to gross misevaluations and skewed decision making. the cost of electricity in $/kWh.3.34 5.

)is significantly higher than the same sum for the remaining components.7 may assist in developing a workable design that is relatively close to the optimal design.12. therefore. we consider only changes in the decision variables that affect both the exergetic efficiency and the investment costs. 8. a significant decrease in the product costs may be achieved through changes in the structure of the system. More importantly. the complexity of the system might not allow a satisfactory mathematical model to be formulated and solved in a reasonable time.3) and a pinch analysis (Section 9. the economic model might not be available or might not be in the required form. The usual approach to the optimization of such complex systems is to iteratively optimize subsystems and/or ignore the influence of some structural changes and decision variables. The results are used. Examples of major components whose designs may be approximately optimized in isolation include the steam reformer of a chemical plant and the gasifier and gas turbine system of an integrated gasification-combined-cycle power plant. The remaining decision variables are optimized in step 6. and in steps 3-5.1 and Sections 3.5 and 8. If the system has one or two components for which the sum of the cost rates (2. it is not always possible to express the purchased-equipment costs as a function of the appropriate thermodynamic decision variables.3. It is not always practical to develop a mathematical model for every promising design configuration of a system. analytical and numerical optimization techniques cannot suggest structural changes that have the potential of improving the cost effectiveness. and 9.3. the designs of these components are modified to approach their corresponding cost-optimal exergetic efficiency. particularly. I 1 and 9. In this step.6 and 9. as discussed in Sections 3. This reduces the number of variables that must be optimized simultaneously. we assume that the costs per exergy unit remain constant for all inlet streams.. To apply these equations. to determine design changes that are expected to improve the design being considered.3) are conducted for the design configuration developed in the previous step.6. given by Equations 9. + CD.9 6 THERMOECONOMIC OPTIMIZATION OF COMPLEX SYSTEMS 507 - Some of the input data and functions required for the thermodynamic and. For example. An alternative to this approach is an iterative thermoeconomic optimization technique that consists of the following seven steps: 1. A detailed thermoeconomic analysis and evaluation (Sections 3.3. 2. the total number of iterations required. However. 3. The guidelines presented in Table 1. The use of these guidelines can reduce. In the first step a workable design is developed. Even if all the required information is available. The analytical and numerical optimization techniques are applied to a specified structure of the thermal system. This step is meaningful .

replaced by an efficiency maximization procedure when CD.18.. The design of these remaining thermoeconomically important components is modified to reduce the values of Aek and Ark. An alternative to using Equations 9. step 3 should either be omitted or. For the remaining components. Also.4 is unavailable. + CD. Based on the results from steps 2. has a significant contribution to the costs associated with the respective component. particularly the ones having a relatively the relative deviations of the actual values high value of the sum Zk + CD.1 1.. If conflicting design changes are suggested from the evaluation of different components. 4. If in . is not considerably higher than the same sum for the other system components.38) Here e k and rk are the actual values and &FpTand rFn are the cost-optimal values for the exergetic efficiency and the relative cost difference. In this case it is unnecessary to assume that the costs per exergy unit remain constant for each inlet stream. this step should not be applied to the combustion chamber of the cogeneration system sample problem because the sum Z. 3.k cannot be implemented because Equation 9... As shown in the table for Example 8. a new design is developed and the value of the objective function for this design is calculated. When this step for the components with the higher 2.508 THERMOECONOMIC OPTIMIZATION only for components where each of the terms i k and CD. the approach of Section 8.1 is invoked to suggest design changes that would improve the cost effectiveness of the overall system. 9.2. + CD.3.k is the dominating cost rate. it still has a relatively high value dictated by the dominating cost rate associated with exergy destruction (CD.2 we note that the exergetic efficiency of the combustion chamber in the CO design is higher than in the TO design and in the base design. the design changes values prevail.rFm rFpT x 100 (9.J. for example. 5. If not.37) Ark = rk . The cost-optimal values are calculated using Equations 9.1 1 and 9. in Table 9.12 is to optimize one or two decision variables for each of the most important components by graphically minimizing the relative cost difference (Equation 8. and 9.12.25) calculated for the components at various values of the corresponding decision variable(s). and 4.k. Although the exergetic efficiency in the CO design is not maximized. from the cost-optimal values for the exergetic efficiency and relative cost difference are calculated: (9. respectively. This approach is used in References 28 and 29 to optimize the gasification temperature in an integrated gasification-combinedcycle power plant. or an investment cost minimization procedure when Zk is the dominating cost rate. preferably.

9. however. economics and mathematics. At the end of this step the cost-optimal design is obtained. . Reference 7 is one of four papers [30]dealing with thermoeconomic optimization techniques applied to the cogeneration system considered throughout this book.2. these techniques are always recommended regardless of the optimization approach.7 CLOSURE To conduct a complete and successful optimization of a thermal system. If not. Finally a parametric study may be conducted to investigate the effect on the optimization results of some parameters and/or assumptions made in the optimization procedure. and generally reveals opportunities for design improvements that might not be detected by other methods. 31-34. Since the application of the thermoeconomic evaluation techniques improves the engineer’s understanding of the interactions among the system variables.and 5 to the cogeneration system case study is presented in Reference 7 and is not repeated here. whereas a poor one can make correct optimization difficult or impossible [3]. 6.6 may provide effective assistance. fluid mechanics. Additional examples of thermoeconomic evaluations of complex thermal systems are discussed in References 28. in addition to their experience and intuition. heat and mass transfer. we may decide to proceed with another iteration that involves steps 2-5. In this step.4 should be used if the formulation of the optimization problem allows their successful application. 4. The impact of an effective mathematical model on the optimization outcome cannot be overemphasized: A good model can make optimization almost easy. If.4 to optimize the decision variables that affect the costs but not the exergetic efficiency. the value of the objective function is not better in the new design than in the previous one. we use an appropriate technique from Section 9. engineers typically apply principles of engineering thermodynamics. 29. 2.9. the thermoeconomic techniques presented in Chapter 8 and Sections 9. The applications of steps 1. 7.3. Engineers must also be thoroughly familiar with the system being optimized and should understand all technological options available and the interactions both among the system components and between thermodynamics and economics.7 CLOSURE 509 comparison with the previous design this value has been improved. 9. The analytical and numerical optimization techniques discussed in Section 9. the quality of the optimization results cannot be better than the quality of the mathematical model used to obtain the results. however. In any case. Often a bit of luck can be helpful in optimization studies. we may either revise some design changes and repeat steps 25 or proceed with step 6. and 9.

C. McGraw-Hill. 1983..510 THERMOECONOMIC OPTIMIZATION Much can be learned by reviewing case studies on optimal design applications. Cklsson and Y. Hohmann. Energy-Znt. 4. New York. Reklaitis. pp. 2. Energy Combustion Sci. G. Chem. As a rule. M. A. thesis. Optimization of Chemical Processes. Different solutions developed by different design teams may be equally acceptable and nearly equally cost effective. . New York. 1 1 . 1971. Lapidus. 227-257.. Chankong and Y. Zeleny. Ph. 1994. E. acceptable alternative solutions may be feasible. 23. REFERENCES 1. 5 . 287-321. it should be emphasized that the optimization of a thermal system seldom leads to a unique solution corresponding to a global mathematical optimum. and L. 1988. Vol.. Optimum networks for heat exchange. 1983. Y. N. Y. 6. G. Engineering Optimization. 9. 1977. F. Cambridge. 516-519. Principles o f Optimal Design-Modeling and Computation. Finally. pp. pp. 1. Szargut. Y. Vol.D. V. Vol. Cambridge University Press. New York.. 12. Exergoeconomic evaluation and optimization of energy systems-application to the CGAM problem. Brennstoff-Warme-Kr& Vol. Ragsdell. M. Pisa. Wilde. Application of exergy to the approximate economic optimization (in German). Vol. and K. A. The interested reader can find additional optimization studies reported in various technical journals and in design optimization textbooks. Wiley. 19. 77-93. the more complex the system being optimized. eds. T. 19. The references listed below provide a starting point for individual study. Rather. T. 503-530. P. Prog. Himmelblau. pp. 10. McGraw-Hill. North-Holland. 7. No. AZChE J. Complete case studies other than the cogeneration system have not been included in the present book. Tsatsaronis. No. Thermoeconomic analysis and optimization of energy systems. J. to keep its size within reasonable bounds. the larger the number of acceptable solutions. Comput. Elsevier. Ravindran. Gundersen and L. Liu. 12. Eng. Haimes. A simple and practical approach to the optimal synthesis of heat exchanger networks. V. however. pp. Theory and Practice o f Multiple Criteria Decision Making. 1982. Naess. 1983. J. 1971. 1993. 1988. New York. 8. 3. The methods discussed in this chapter enhance the knowledge. but do not substitute for engineering creativity. Edgar and D. and intuition of design engineers. The synthesis of cost optimal heat exchanger networks-an industrial review of the state of the art. Papalambros and D. University of Southern California. experience. Multiple Criteria Decision Making. Tsatsaronis and J. Multiobjective Decision Making: Theory and Methodology. 3. G. C. Kochetkov. J. 1988. Nishida. New York. M. 23.

Heat and power networks in process design. 24. AIChE J. H. 23. J. American Society of Mechanical Engineers. E. Parts I and 11. 1978. E Boehm et al. Linnhoff and F. and A. Chern. prepared for the US. pp. G. Chem. R. Rugby. Grossmann. New York. Linnhoff. Poland. Simultaneous optimization models for heat integration. Strategies and Systems f o r Rational Energy Use (in German). Synthesis of heat exchanger networks. 1982. 27. E Yee. J. Townsend and B. Thermodynamics and the Design. pp. Vol. Alanis. . I. 14. Final Report. Part 11: No. 113.. Optimization f o r Engineering Systems. heat exchanger networks and processes. 29. J. M. B. A. New York.. Conceptual Design of Chemical Processes. and Y. 38. The use of the second law of thermodynamics in the design of heat exchangers. Chem. 15. 11851200.. Vol. 137-148. AES-Vol. 53-76. 1 I. Roth. Sama. New York. pp. A. Comput. ACIIzE J. Duisburg. van Nostrand Reinhold. Part I: No. Vol. eds. Douglas. Szargut. 1993. Lin. pp. Vol. pp. Tech. R. Germany. Heat integration of distillation columns into overall processes. New York. 1990. Vol. J. G. pp. G. 385-396. A. Linnhoff. July 5-9. Lin. 113. Sci. 1986. Tsatsaronis. New York. 633-654. 29. Schlechter. Analysis and Improvement of Energy Systems. and R. 10. pp. H.. J. W... Integration of a new process into an existing site: a case study in the application of exergy analysis.. Optimization: Theory and Practice. Eng. Vol. Optimization Techniques with Fortran. November 1991. Proceedings of the International Conference on Energy Systems and Ecology. Vol. J. Comput. A. Gas Turbines Power. Institut fur Umwelttechnologien und Umweltanalytik. D. 1992. 1990. 19. pp. 159-169. Ziebik.REFERENCES 511 13. Optimization of an IGCC power plant-Parts I and I1 in R. Gaggioli. Qian. McGrawHill. 1989. Eng. Energy Res. 26. B. Linnhoff. €%a.. G. 170-183. 28. pp. 1175-1188. Morgantown Energy Technology Center. pp. J. Tawfik. Tsatsaronis. 742-771. 1970. Lehrgangshandbuch. Kolenda. T.. Mize. G. Z. El-Sayed. 111. K. 17. Pinch technology for the synthesis of optimal heat and power systems. Smith. 1991. Warks. 1990. Pisa. 22. Lucas and H. eds. Beveridge and R. Pike. pp. A. Institution of Chemical Engineers. 20. 25. Sama. Flower. W. D. 1983. L. R. 6. J. 11511164. 1973. K. Eng. American Society of Mechanical Engineers. Eng. and Z . 18. R. Tawfik. Cracow. Department of Energy. L. 15. S. 1165-1 184.Ciric and C. IO. New York. B. Dunford. No. McGraw-Hill. S. Linnhoff and J. in J. McGraw-Hill. B. 24. 14. DE-FC2 189MC26019. and T. Kravanja. 1983. Kuester and J. D. A User Guide on Process Integration for the EfJicient Use of Energy. Thermoeconomic Design Optimization of a KRW-Based IGCC Power Plant. Gas Turbines Power. 1991. Eng. Vol.. and T. 1993. B. 1988. 16. Integration of a new process into an exisling site: a case study in the application of pinch technology. pp. et al. 27. 1991. Tsatsaronis. S. Floudas. Heat exchanger network synthesis without decomposition. 37-67. Linnhoff. 21. Part 111: No. England. M.

o 1. pp. 1993.854)) 169.2.9 . 33. Lin. G. J.2 At the end of Example 8. American Society of Mechanical Engineers. and L.e~p(42. 30/HTD-Vol. Tsatsaronis.359.pp. PROBLEMS 9. and m. Conduct a detailed exergy analysis and thermoeconomic evaluation of this new design. Vol. 300306. 557-566. Penner and G . Tsatsaronis.3: Table P9. in J.0 0.6 1.8 n m 3.O + e~p(19.24774 1. 3. L. that can be used in Equation 9.. New York. Conduct a detailed thermoeconomic evaluation of the system using these values. Kolenda.0 -I. Analysis and Improvement o f Energy Systems--1993.0 0.6 to improve the cost effectiveness of this design.2. eds.134. 34. Energy-Int. J.3 Component Air compressor Air preheater Combustion chamber Gas turbine Heat-recovery steam generator B 58.135 18816. Vol. Ziebik. 156-166. Suggest changes in the decision variables to reduce the value of the objective function. 266. Tsatsaronis. L. 32.3 Develop a workable design for the cogeneration system case study different from the base design reported in Tables 1. Lin and G.03( 1. Gas Turbines Powel. Final Report submitted to the Institute of Gas Technology and the Department of Energy. No. Tsatsaronis. Special Issue.1 294. AES-Vol.1 and 3. July 5-9. Analysis and improvement of an advanced concept for electric power generation. DEAC21-87MC11089. Szargut. . Tawfik.10-~T. J. May 1992.and 5 from Section 9. Tawfik. pp. Krause. Poland. Cost optimization of an advanced IGCC power plant concept design. Eng. and A.28.949(1. and the exponents n. Lin. Compare this method with similar methods. 9. . eds. Proceedings of the International Conference on Energy Systems and Ecology. in H. 116. 1994. Richter. Iteratively apply steps 2. ed. S . and the Design. A. The values of the parameter B.0613 1. Thermoeconomic Evaluation of the Design of a Pressurized Fluidized-Bed Hydroretorting Plant.64. and T. 1993. Exergoeconomic evaluation of a KRW31..2. G. based IGCC power plant.512 THERMOECONOMIC OPTIMIZATION 30. S. L.O 1.362)) 801 19. 9. 3. Invited Papers on Exergoeconomics. Thermodynamics. G.4 are given in Table P9. Lin and G.8133 0. Cracow. new values for the decision variables of the cogeneration system case study are suggested. 1994. 4...2753 1. Z. 19. Tsatsaronis.10-~T. T. Tsatsaronis.1 Prepare a brief report describing a numerical optimization method involving nonlinear programming with constraints.

the assumptions made.6 Apply a numerical optimization technique to calculate the cost-optimal values of the decision variables for the cogeneration system case study using the levelized costs in current dollars for a 20-year period from Table 7.7 without the air preheater (see also Figure 1..10 Using Equation 9. if any. .8. the optimization technique applied. . Discuss the differences between the values obtained here and the values reported in Table 9.7 Prepare a report describing a design optimization case study from the literature. Discuss the procedure and the difficulties you encounter. Discuss the objectives of the study.. 9.6b). 9. 9.9 Solve Problem 9. Use the computer program to study the effect of the changes in the decision variables on the exergetic efficiencies of the overall system and the system components.12. 9. Your instructor will specify additional assumptions to be made. The thermodynamic model of Section 2. q. and the final results obtained in the case study..8 Calculate the cost-optimal values of the decision variables q.1 1.and T4 (temperature at the gas turbine inlet) for the cogeneration system of Figure 1.5 and the cost model of Appendix B are applicable. 9.1.4 Develop a computer simulation for the cogeneration system case study based on the thermodynamic model presented in Section 2. the mathematical model used. p 2 / p .5.10.4 to calculate iteratively the thermodynamic optimum of the cogeneration system. derive Equation 9.PROBLEMS 513 9.3 for the design configuration of the cogeneration system of Problem 9.5 9. Use the computer simulation developed in Problem 9.

.

A) satisfies the new Euler equation: 515 . in addition to minimizing or maximizing I . The integrand of the integral in question depends on the function and its derivatives. that function for which a given integral (functional) assumes its maximum or minimum value. The special function y for which the integral I reaches an extremum satisfies the Euler equation: If.Appendix A VARIATIONAL CALCULUS The basic problem in variational calculus consists of determining. Consider the many values of the integral where y(x) is unknown and y’ = dy/dx. the wanted function y(x) satisfies an integral constraint of the type then y(x. from among functions possessing certain properties.

. its value is determined by substituting the y(x.3. The constant A is a Lagrange multiplier.516 APPENDIX A where Note that H is a linear combination of the integrands of I and C. A) solution into the integral constraint given by Equation A.

” EnergyInt. *Source: A.l and B. Vol. 268-279. . “CGAM Problem: Definition and Conventional Solution. we assume that the cost values provided by the cost engineer are in full agreement with the corresponding values calculated from the cost functions and constants in Tables B.l are given in Table B. in the discussions of thermoeconomic evaluation (Section 8. Thus.2. et al. pp.. 19. used in Tiible B.a Compressor Combustion chamber Turbine ‘In the design of thermal systems.1 Equations for calculating the purchased-equipment costs (PEC) for the Components of the cogeneration system case study. For simplicity of presentation..l and B.2 are given in mid-1994 dollars.6) we recognize that after each design modification the new purchased-equipment costs would be calculated by a cost engineer.’S2The values of the constants C . however. 517 .2. The purchased-equipment costs obtained from Tables B. cost functions such as these are usually not available. through C.3) and iterative optimization (Section 9. 1994..1 shows the purchase costs of the cogeneration system components as a function of thermodynamic parameters. Table B.Appendix B ECONOMIC MODEL OF THE COGENERATION SYSTEM Table B. J. Valero.

C. .995 0. = 54.mg. and h..' 21276 $/(kg/s) 1184. C..4 C4.. respectively. C. and steam. = 6570 $/(kW/K)O. = 0. h. are the isentropic compressor and turbine efficiency.... represent the rates of heat transfer in the economizer and evaporator. C... m$. C. gas..9 46..4 479.' .... vbcand q. = = = = C. = = U = 18 W/(m2K) C. are the mass flow rates of air.018 (K-I). are the specific enthalpies of streams 5 and 6. denotes a log mean temperature difference.1 for the purchase cost of the components Compressor Combustion chamber Gas turbine Air preheater Heat-recovery steam generator C.34 $/(kg/s). = 4122 $/(m1. Table 8. and Q.l (continued) Air preheater = PEChrsg c51 Heat-recovery steam generator mu.036 (K-I). respectively. C.92 0.. C . C.. (1' e.. = 71. respectively. = 26.4 $/(kg/s)'.10 $/(kg/s).08 $/(kg/s). = 0.518 APPENDIX 0 Table B. C 2 3 C. = 0.2 Constants used in the equations of Table B. AT..2).

p.610 205.59 33.49 28.146 130..Appendix C TABLES OF PROPERTY DATA Table C.15 K (2.96 75.058 Nitrogen Oxygen Hydrogen Carbon monoxide Carbon dioxide Water Water Methane Sulfur dioxide Hydrogen sulfide Ammonia 28.92 29.15 < T IT..Ka 1.948 186.y .53 22.l Variation of specific heat.110528 -393521 -241856 -285829 -74872 -296833 .ef = I bar.103491 2. At Tref = 298.91 3 1.648 213.2050 1 -461 11 = 191. For 298. and Gibbs function with temperature at 1 bar for various substances in units of kJ / kmol or kJ / kmol.77 5. enthalpy.794 188.05 39.169457 -457264 -298153 -306685 ..59 0 0 0 .679 197. -370803 -81847 . Substance Carbon (graphite) Sulfur (rhombic) = 1 bar -0 - Formula C" h" so 0 0 io -1711 -9558 8.p.094 205.740 32. absolute entropy.y 2 2 2 (3) (4) 519 ..06 35.824 69.2 + . with y Ci =: a 10--3T + by + + dy2 C d so =: ' S + a In T + by .130403.5"C).757 192.451 -57128 -61 164 -38961 .54 35..251 284.13 28.79 35.

1.046 0 -0. p ) On a molar basis + 3. and 3000 K for all remaining substances.540 -59.932 CH. Liquid water is a special c s e of interest.829 kJ/kmol).K).962 51.948 kJ/kmol.823 CO(g) -120.203 36. b.(g) -9.242 -9..423 0 2. Thus.142 -29.469 0 -0.42d at 25"C.72 should be applied.731 -43.520 APPENDIX C The constants H'. Equations 2. T. p ) = h* ( T . p ) .91 1 37.142 -18.S(g) -32.414 .147 96. care must be exercised to ensure that steam table data are used consistently with values from this table.078 -1 1. To evaluate the absolute entropy at states where the pressure p differs from pref= 1 bar. 1500 K for NH. the absolute entropy values from other references may differ slightly from those of the current table.(g) -413.936 34.841 109. 4 2 ~ and 2. and d required by Equations (1)-(4) are given for selected substances in the table below. The maximum temperature.h(25"C.871 HzO(l) -289.321 38.982 O.589 H2(g) -7.15.014 16.244 -6.109 14.3670 kJ/kgK. 2000 K for CH.146 -17. for specific enthalpy and entropy we have h(T.(g) -81. 1 bar) where the terms on the left side are obtained from the present table and the terms on the right side denoted by superscript * are obtained from the steam tables.287718 kJ/kmol . p ) = s* ( T .184 -1.128 34.(g) -60.809 CO.101 S ' a b C d -5.h* (25"C.966 18.116 -22.971 kJ/kg (74 (84 s(T.355 11.071 0 -0.544 6. each of these sources must yield the same values for the changes in property values between any two states.886 H.(g).402 0.649 0 Special Note: Since the reference state used in the steam tables differs from that of the present table. Inserting values in Equations (3. owing to different data sources and roundoff. a . p ) (5) (6) .O(g) -253. p ) . 500 K for H20(1).1. The same caution applies when using absolute entropy data from other references.(g) and H.S(g).937 -87.940 24.439 4. p ) .422 H. s = 3.933 49. as appropriate. Although the reference states differ.385 0.477 3.017 0 0. s* = 0.647 4.750 -67. 1 bar) = s* ( T .198 77.075 2.418 29.(g) H+ -2.795 30. S'.. SO.88276 kJ/kgK (S = 69.85 kJ/kg.51576 kJ/kgK - h ( T .280 0 . 1 bar) = h* ( T . Thus at 25°C we have from the present table.242 SO.(g).686 18.725 1.. 368 K for S(s).(g) -315.238 0 -0.154 26. p ) .(6) h(T.661 -0. h = -15866. is 1100 K for C(s).033 0 0.105 -0.368 7.s* (25"C.448 0 -0. p ) . Substance Carbon (graphite) Sulfur (rhombic) Nitrogen' Oxygen Hydrogen Carbon monoxide Carbon dioxide Water Water Methane Sulfur dioxide Hydrogen sulfide Ammonia Formula C(s) S(s) N.71 and 2.586 2. 1 bar we have from the steam tables.882 30. p ) = h* ( T . 1 bar) s ( T.2 kJ/kg ( h = -285. c.376 20.s(25"C.766 10. Also.887 NH. h* = 104. Applying Equations 2 .

2".229. . and K.069. S+. Kubaschewski.521.R.. p) + 63.315. Corrected values for H + . a. Knacke. Eo. respectively. Berlin. "Table values for nitrogen are shown as reported in the source given below.3365 kJ/kmol-K (8b) Using these expressions. 1991. c. Tin Kelvin. and H ' in kJ/kmol.APPENDIX C 521 S( 1 :p ) = S* ( T .180. 51. b. 10. 0.. -7. 24. [I?. Source: 0.. !Springer-Verlag. steam table values of the specific enthalpy and entropy of liquid water can be made consistent with enthalpy and entropy data obtained from the present table. Thermochemical Properties of Inorganic Substances. -2. dare. and S ' in kJlkmo1. Hesselmann.539. 2nd ed. 0. So.

600 - 8 12.100 609.900 233. “From J. D.747 1.” Energy-hi. Exergy Analysis of Thermal.700 “J.OH(g) CzH.000 1. In this model.821 824. VDIVerlag. Vol. Ahrendts.OH(I) 7 15. 26-33.176 8.158 269.851 55.086 83 1.363.348 - 88. of various substances at 298.600 275.154. pp.412 301.522 APPENDIX C Table C.968 320.019 atm.303. Chemical.600 5.100 3 13.700 33 1. 1980.0 atm.822 453.587 799.348.361.342. 297-309.2.482. “Die Exergie chemisch reaktionsffiiger Systeme.463. J.400 Nitrogen monoxide Nitrogen dioxide Hydrogen peroxide Hydrogen sulfide Ammonia Oxygen Hydrogen Nitrogen Methane Acetylene Ethylene Ethane Propylene Propane n-Butane n-Pentane Benzene Octane Methanol Methanol Ethyl alcohol Ethyl alcohol 88. po = 1. ZcH (kJ/kmol). . In this model.939 Model IIb 720 3. Hemisphere.300 - 1.95 1 14.805.000 2.003. Szargut.100 722. Morris.870 9.H.100 1.413. Steward.069 7 10.265.589 235. and Metallurgical Processes. and E R.” VDI-Forschungshefi.900 1.900 55.328 1.900 2. 667-677.565 133. “Reference States.840 2.15 K and po Substance Nitrogen Oxygen Carbon dioxide Water Water Carbon (graphite) Hydrogen Sulfur Carbon monoxide Sulfur dioxide Formula Model I“ 639 3.375. R.033 - C. pp..000 337. 5 .500 900 410.650 1.684 23 1.800 1. Standard molar chemical exergy. pp.800 3.970 19.495.300 7 18. New York. 579. Also see.249 598. 1977. Dusseldorf.300 3.260 236.636 45 404. po = 1. 1988.890 336.

30).1) Bo c c* cp.49) Biot number (Table 4. MJ/kmol) physical exergy of a stream of matter (MJ/kg) time rate of exergy destruction (MW) time rate of exergy loss (MW) 523 . 1. DFX E E i . mee. eCH.1) cost per unit of exergy ($/GJ) cost per unit of mass ($/kg) specific heats (kJ/kgK) capacity rate (W/K).heat transfer duty parameter (Equation 6.4) Boussinesq number (Table 4. c c C D c COP d D D. miei E. B. Z C H e'" constant (Equation 9..Appendix D SYMBOLS a A B Bi B k dimensionless area (Equation 6. annuity ($) (Chapter 7) condensation driving parameter (Equation 4. constant (Tables B. C". transverse conductance parameter (Equation 5.47) area (m').2) cost rate associated with exergy transfer ($/h) drag coefficient coefficient of performance differential of a property diameter (m) hydraulic diameter (m) design for X (Chapter 1 ) emissive power (W/m2) (Chapter 4) time rate of exergy transfer at inlet i (MW) time rate of exergy transfer at outlet e (MW) chemical exergy (MJ/kg.65). cost ($).

augmented enthalpy of vaporization (kJ/kg) head loss (kJ/kg) enthalpy (MJ).1) convective heat transfer coefficient (W/m2-K) enthalpy of vaporization (kJ/ kg). epH total exergy and physical exergy of a system (MJ.1) Fanning friction factor. specific enthalpy (MJ/kg) molar enthalpy of formation (MJ/kmol) enthalpy of combustion (MJ/kmol) height (m) heat exchanger network higher heating value (MJ/kmol) cost of money (rate of return) internal rate of return Colburn j . gravitational acceleration (m2/s) denotes gas (or vapor) Gibbs function (MJ).31) loss coefficients for contraction or enlargement (Equations 6.s). exergoeconomic factor (Chapters 8 and 9) future value ($) (Chapter 7).1) Graetz number (Table 4. also denotes liquid phase Lewis number (Table 4. e. factor (Equation 6. MJ/kg) Eckert number (Table 4.9) kinetic energy (MJ) denotes liquid length (m).factor used for purchased-equipment cost calculations (Chapter 7).8 and 6. total irradiation (W/m') Grashof number (Table 4. dimensionless variable used for component optimization (Chapter 9) drag force (N) geometric view factor (Equation 4.1) dimensionless mass velocity (Equation 6. .524 APPENDIX D time rate of exergy transfer associated with work (MW) time rate of exergy transfer associated with heat (MW) E. molar Gibbs function (MJ/kmol) molar Gibbs function of formation (MJ/kmol) mass velocity (kg/m2. average cost per unit of energy ($/MJ) (Chapter 8) wall roughness (mm) loss coefficient for a fitting (Equation 2.45).91) specific heat ratio CJC. EPH. thermal conductivity (W/ m K ) .1) E.21) radiosity (Equation 4.80) Fourier number (Table 4. factor (Figure 4 3 . variable used in levelized-cost calculations (Chapter 7). 4 .

specific gas constant (kJ/ kgK) thermal resistance (K/W) Rayleigh number (Table 4. Q Q r r Ti R E. polytropic exponent. R S S lower heating value (MJ/kmol) exponent in cost equations mass.1) mass transfer Rayleigh number (Table 4. partial pressure (bars) number of interest compoundings per year (Chapter 7).m M n N N .K).1) Reynolds number based on diameter entropy (MJ/K). streams. NTU Nu P .5) entropy generation (MJ/K) .97) entropy generation number (Equation 6.K) denotes solid salvage value ($) (Chapter 7).1) flux Rayleigh number (Table 4.3 and 6.APPENDIX D 525 LHV m - m. number of plates (Equation 5. rate of heat transfer (MW) volumetric flow rate (m3/s) escalation rate (Chapter 7). number of time periods number of mixture components. mass flow rate (kg. kg/s) molecular weight (kg/kmol) number of moles (kmol). relative cost difference (Chapters 8 and 9) radial position (m) general inflation rate annual operating and maintenance costs that are independent of investment costs and actual production rate ($) (Chapter 9) universal gas constant (kJ/kmol.1) Prandtl number (Table 4. Pk Ns P P Pe Pr PE PEC qf 4” Q. or utilities number of heat transfer units (Equations 6. number of system components. perimeter (m) present value ($) Peclet number (Table 4. shape factor (m) (Equation 4.20). specific entropy (kJ/kg-K) molar absolute entropy at temperature T and reference pressure prer (kJ/kmol.1) gravitational potential energy (MJ) purchased-equipment cost ($) heat transfer rate per unit of length (W/m) heat flux (W/m*) heat transfer (MJ). exponent in cost equations.1) pressure.36) Nusselt number (Table 4.

1) income tax rate.K) Schmidt number (Table 4.APPENDIX D entropy generation rate (W/K) entropy generation rate per unit length (W/mK) entropy generation rate per unit volume (W/m3.1) Stanton number (Table 4. thickness (m). attained age of property (years) (Chapter 7) compressibility factor (Chapter 2) non-exergy-related cost rate associated with a plant component or a system ($) (Chapters 8 and 9) Greek letters a P Y r 6 area per unit volume (m-I) (Equation 6.1) Stefan number (Table 4. capacity exponent (Chapter 7). time (h) temperature (K) thermodynamic average temperature (K) total capital investment ($) internaI energy (MJ).2) condensation flow rate (kg/m. also denotes vapor or gas.50) velocity (m/s) volume (m3).s) (Equation 4. mole fraction (kmol/kmol) extensive property.11).1) mass transfer Stanton number (Table 4. work rate (MW) quality (kg/kg). total absorptivity (Chapter 4) capital-recovery factor. also denotes vapor phase width (m) work (MJ). partial molal extensive property variable expressing capacity of a component (Chapter 7) flow and thermal entrance lengths (m) (Chapter 4) exergy destruction ratio exergy loss ratio cash flow ($) elevation above some datum (m).66) differential of a nonproperty . thermal diffusivity (m2/s). specific internal energy (MJ/kg) overall heat transfer coefficient (W /m2-K) velocity (