FUNDAMENTALS OF THERMODYNAMICS

FUNDAMENTALS actual quantity of the material under consideration, such

This chapter covers the fundamentals of thermody-
namics, fluid mechanics, and heat transfer as related to the
theory and practice of air conditioning, heating and venti-
lation. Basic concepts needed for the HVAC professional
are presented, while advanced topics are not considered.
Excellent resources, such as the ASHRAE Handbook
series and many great textbooks in the areas of thermal
fluid sciences, treat the details and advanced topics that
have been omitted from this focused chapter.
Fundamentals of Thermodynamics
Thermodynamics is the study of energy, its transfor-
mations, and its relation to states of matter or substance.
Thermodynamics deals with equilibrium conditions that
are typical of steady state, and any changes are considered
to be quasi-equilibrium processes where change occurs
slowly and incrementally so as to allow each incremental
intermediate state to reach equilibrium before it advances
further.
A pure substance has a homogeneous and invariable
chemical composition. It can exist in more than one
phase, but chemical composition is the same in all phases.
If a substance exists as liquid at saturation temperature
and pressure, it is called a saturated liquid. If the tempera-
ture of the liquid is lower than the saturation temperature
for the existing pressure, it is called either a subcooled liq-
uid (the temperature is lower than the saturation tempera-
ture for the given pressure) or a compressed liquid (the
pressure is greater than the saturation pressure for the
given temperature). When a substance exists as part liquid
and part vapor at the saturation temperature, its quality is
defined as the ratio of the mass of vapor to the total mass.
Quality has meaning only when the substance is in a satu-
rated state; i.e., at saturation pressure and temperature. If
a substance exists as vapor at the saturation temperature,
it is called saturated vapor. The term dry saturated vapor
is used to emphasize that the quality of the substance is
100%. When the vapor is at a temperature greater than the
saturation temperature, it is superheated vapor. The pres-
sure and temperature of superheated vapor are indepen-
dent properties, since the temperature can increase while
the pressure remains constant. Gases are highly super-
heated vapors.
A property of a substance is any observable character-
istic of the material. An intrinsic property of the material
is one that does not depend on the shape or volume or
mass of the material. Such properties are pressure and
temperature, or properties that are usually expressed in
the units of per unit mass, such as specific volume. This is
in contrast with extrinsic properties which depend on the
as volume. The thermodynamic state of a substance is
defined by listing its intrinsic properties. The most com-
mon intrinsic thermodynamic properties are temperature
T, pressure p, specific volume v (which is the inverse of
density ρ), specific entropy s, specific enthalpy h, and
specific internal energy u. It has been established that a
thermodynamic state of a substance can be uniquely iden-
tified by two independent intrinsic properties. For exam-
ple, temperature and pressure are such properties, except
in the saturation region where the same temperature and
pressure can have an infinite number of states corre-
sponding to quality from 0 to 100%. Enthalpy (h) is
defined by
h = u + pv (1)
where u =internal energy per unit mass.
Each property in a given state has only one definite
value, and any property always has the same value for a
given state, regardless of how the substance arrived at that
state. The thermodynamic property entropy s measures
the molecular disorder of a system. The more mixed a sys-
tem, the greater its entropy; conversely, an orderly or
unmixed configuration is one of low entropy. Figs. 1-1a
and 1-1b schematically show the liquid and vapor states
of water using two properties to uniquely identify the
states. Fig. 1-1a shows the states in (p, h) coordinates and
a line showing the states along a constant temperature is
also presented. Fig. 1-1b shows the same information in
(T, s) coordinates and a constant pressure line is shown.
Within the dome where the saturated states exist it is pos-
sible to increase the specific volume (and other intrinsic,
per unit mass based properties) even when keeping the
pressure and temperature constant (for example line B-A-
C in Figs. 1-1a and 1-1b).
Fig 1-1a. Thermodynamic states of water in p-h coordinates

1–1
1–2 FUNDAMENTALS OF THERMODYNAMICS
Fig 1-1b. Thermodynamic states of water in T-s coordinates
The specific heats at constant pressure Cp and volume
Cv are defined as the heat added to a unit mass at constant
pressure or volume, respectively, to cause temperature of
the mass to increase by one unit. Mathematically, by
using the first law for closed systems and the definition of
work (described later in the chapter), these are defined as
∂u ∂h
C v =  ------ C p =  ------
 ∂T v  ∂T p
For ideal gases the following holds true rigorously
du = C v dT dh = C p dT
and for real gases this is a good engineering approxima-
tion. For incompressible substances the two specific heats
are the same and the above expressions also holds. Thus,
liquids and solids, which are treated as incompressible,
are described by Equation (3).
The basic entity analyzed by thermodynamics is
termed a thermodynamic system. A thermodynamic sys-
tem is an identifiable or specific region in space or an
identifiable or specific quantity of matter. It is bounded by
the system surface or the system boundaries. The sur-
roundings include everything external to the system, and
the system is separated from the surroundings by the sys-
tem boundaries. These boundaries can be movable or
fixed, real or imaginary. There are two types of systems:
closed and open. In a closed system, no mass enters or
leaves the system. A closed system is thus a fixed mass
system. In an open system, mass may enter or leave the
system and therefore the boundaries of such a system are
imaginary in some parts where the mass is exchanged
with the surroundings. Energy can always cross the sys-
tem boundaries, whether open or closed, except for an iso-
lated closed system, which is one that does not allow
energy to cross its boundaries. Almost all HVAC systems
that will be studied here fall in the open system category.
Energy has the capacity for producing an effect on the
system and is described differently depending on whether
it is stored or is crossing the system boundary. Thermal
(internal) energy is the energy possessed by the matter in
a system caused by the internal motion of the molecules,
the intermolecular forces, and other microscopic mecha-
nisms of energy storage within the material. It is impossi-
ble to find the absolute (total) value of internal energy of a
material, and it is therefore measured with reference to a
standard state in which the value of the internal energy is
arbitrarily set to zero. The internal energy is the sum of all
these microscopic energies such that when the internal
energy of an isolated closed system (fixed mass) changes,
the result is a change in the temperature of the system.
Internal energy is an intrinsic property of material and its
value per unit mass can be used to uniquely define the
state of the material. The specific internal energy u is the
internal energy per unit mass. Potential energy is the
energy possessed by a system due to the elevation of the
system:
PE = mgz (4)
where m =mass;
g =local acceleration of gravity, and;
z =elevation above horizontal reference plane.
Potential energy is not an intrinsic property of material.
(2) Kinetic energy is the energy possessed due to the bulk
velocity of the flowing material and is expressed as
1 2
KE = --- mV (5)
2
(3)
where V =velocity of a fluid stream.
Kinetic energy is not an intrinsic property of material.
The types of energy that are defined only when they
cross the system boundaries are heat and work. Heat (Q)
and work (W) cannot be stored and they only exist when
energy is being transferred across a system boundary.
Heat is the mechanism that transfers energy across the
boundary of systems solely through temperature differ-
ence. Heat always flows from higher to lower tempera-
tures. Heat is considered positive by convention when
energy is added to a system (see Fig. 1-2). Work is the
mechanism that transfers energy across the boundary of
systems through forces and movement. (Here it has the
traditional characterization: it is the product of force and
distance.) If the total effect produced in the system can be
reduced to the raising of a weight, then nothing but work
has crossed the boundary. By convention work is consid-
ered positive when energy is removed from a system, i.e.,
the system does work on its surroundings (see Fig. 1-2).
For example, when a system comprising a cylinder and
movable piston expands so that the piston is moving out-
wards, work is done by the system on the surroundings
and is therefore considered positive in any analysis of sys-
tem. Mechanical or shaft work is the work associated with
a rotating shaft such as a turbine, air compressor, or inter-
 FUNDAMENTALS OF THERMODYNAMICS 1–3

nal combustion engine. Flow work is energy associated where ρ =density of the flowing fluid;
with the movement of fluid in conjunction with forces of A =cross-sectional area through which the fluid
fluid pressure as it crosses the boundary of an open sys- is flowing;
tem. It can be more easily understood as the work done by V =velocity;
the fluid to push itself against the other fluid particles as it
forces itself to enter or exit the system. Work done by v =specific volume, or the inverse of the density.
entering fluid streams is negative (pushing into the sys- i =indicate initial states; and
tem), while work done by fluid streams exiting the system f =indicate final states.
is positive (pushing the surroundings). The magnitude of It is assumed that the velocity is uniform across the cross-
flow work per unit mass is determined by the expression section. If it is not, then V in the above mass flow rate def-
Flow work = pv (6) inition is average velocity. A is normal to the direction of
where p =pressure and; the fluid flow.
v =specific volume, or the inverse of density. First Law of Thermodynamics.—The first law of
thermodynamics is often called the law of the conserva-
tion of energy. After a system is defined, the conservation
of energy states that
energy in – energy out = increase in energy (10)
Fig. 1-2 illustrates energy flows into and out of a thermo-
dynamic system. For a closed system this is written as
Q – W = Uf – Ui = m ( uf – ui ) (11)
where m =mass of the system;
U =internal energy of systems; and
m =internal energy per unit mass;
For the general case of an open system with multiple
Fig 1-2. Energy flow in general thermodynamic system mass flows in and out of the system, the energy balance
A property of a system is any observable characteristic can be written
of the system. A process is a change in state that can be 2
∑ min  u + pv + -----2- + gz in –
defined as any change in the properties of a system. A pro- V
cess is described by its initial and final equilibrium states,
its path, and the interactions that take place across system 2
∑ m out  u + pv + -----2- + gz out + Q – W
boundaries as it goes forth. A cycle is a process or a series V = (12)
of processes wherein the initial and final states of the sys-
tem are identical. Therefore, at the conclusion of a cycle, 2 2
m f  u + ------ + gz – m i  u + ------ + gz
all properties have the same value they had at the begin- V V
ning.  2 f  2  i system

Conservation of Mass.—Conservation of mass in a The steady flow process is important in engineering

closed system is the default since no mass leaves or enters applications. Steady flow signifies that no quantities
the system. For an open system the conservation of mass associated with the system vary with time. Consequently,
indicates that the difference between the mass entering 2
and leaving is equal to the increase of mass in the system. ∑ m· in  u + pv + -----
V - + gz –
 2  in
For the general case of multiple flow streams the conser- (13)
vation of mass is written as 2
m· out  u + pv + ------ + gz + Q – W = 0
V · ·
∑   out
∑ min – ∑ m out = [ m f – m i ] system (7) 2
Here the addition of the dot on top of the variables m, Q,
For steady flow processes the above can be modified as and W indicates the time derivative (d/dt) which yields the
rate of mass flow, the rate of heat flow, and the rate of
∑ min = ∑ mout (8)
work done, respectively. In the above two equations the
For flow through a pipe or duct the mass flow rate is flow work of the entering and exiting streams is indicated
related to the velocity by by the pv terms, and, therefore, the W in the equations is
the work done by moving system boundaries plus shaft
VA
m· = ρVA = ------- (9) work, and any other work not described by these catego-
v ries. In the above energy conservation (Equations (12)
1–4 FUNDAMENTALS OF THERMODYNAMICS
and (13)) assume that velocity is uniform across the cross
section. However, in real fluid systems it is not uniform
due to viscosity of the fluid. The change to the kinetic
energy term is discussed in the section Fundamentals of
Fluid Flow.
Second Law, Reversibility, and Possible Pro-
cesses.—The second law of thermodynamics can be
expressed in many ways. Here it is being introduced to
distinguish and quantify processes that can only proceed
in one direction (irreversible) from those that are revers-
ible. It also indicates which processes cannot exist.
The second law for a closed system is written as
δQ
S f – S i ≥ δQ
f
dS ≥ -------
T ∫ -------
i T
(14)
where the subscripts f and i indicate final and initial state,
respectively, and the system entropy S = ms, where m is
the mass of the system and s is specific entropy. The tem-
perature T must be in absolute units (Kelvin or Rankine).
The equality sign holds for reversible processes and the
inequality for irreversible processes. The above form of
the second law shows that the entropy of the system either
increases or remains same, assuming the heat flow is pos-
itive. For adiabatic processes, that is where Q = 0, the
right side of either Equation (14) vanishes, clearly indi-
cating that entropy increases if the process is not revers-
ible. For constant temperature processes
T ( Sf – Si ) ≥ Q (15)
where the equality holds for reversible processes. For an
open system the above can be modified as
( S f – S i ) system + ( ms ) out – ( ms ) in ≥ δQ
f where Q =heat added and;
∑ ∑ ∫ ------- (16)
i T
It is assumed in Equation (16) that the inlet and outlet
properties remain invariant with time. For steady flow
systems with invariant inlet and outlet properties the sec-
ond law can be rewritten in the form
· of mass, the open system Equation (13) can be modified
∑ ( m· s ) out – ( m· s ) in ≥ Q
∑ ∫ ----
T
The open system of Equation (17) can give insights
about reversible and irreversible processes if we consider
a single input, single output stream process. If the process
is adiabatic, then the inlet and outlet entropies will be the
same for reversible processes; otherwise the outlet
entropy will be greater than the inlet. If the process is iso-
thermal, then the difference between the rate of entropy
flowing out and in will be equal to the heat addition rate
divided by temperature only if the process is reversible.
Adiabatic reversible processes are also termed isentropic
because entropy remains same. On a thermodynamic
chart where entropy is the horizontal axis, the adiabatic
reversible processes will be vertical lines, but the irrevers-
ible processes will always veer right (towards increasing
entropy) from their starting point. Thus, for any given
starting point, the only thermodynamically possible adia-
batic processes are those that end in the half plane to the
right of the vertical line drawn from the starting point in
the thermodynamic chart where specific entropy is on the
horizontal axis. Thus, the second law can show processes
that are reversible, irreversible and possible, or impossi-
ble.
The second law for cycles is described next. It further
refines the concept of possible and impossible series of
processes occurring in a cycle.
Thermodynamic Cycles.—Thermodynamic cycles
that make it possible to remove heat from cold spaces and
dump the heat in hot ambient spaces are discussed here.
These cycles make it possible for air conditioning and
refrigeration systems to exist and they form the basis of
HVAC engineering.
The performance of a refrigeration or air conditioning
thermodynamic cycle is usually described by a coeffi-
cient of performance. COP is defined as the benefit of the
cycle (amount of heat removed) divided by the required
energy input to operate the cycle, or
useful refrigerating effect -
COP = ------------------------------------------------------------------ (18)
energy from external source
The first law for cycles indicates that
°∫ δQ = °∫ δW
Q net = W net (19)
Q· net = W· net
W =work done.
For the individual processes that make up the cycle, the
first law for open systems is used. Since cyclic devices
have only one working fluid and the mass flow rate of the
fluid is the same through each process due to conservation
(17) as below for each process in the cycle:
m· ( h – h ) + Q· – W· = 0
out in (20)
The kinetic and potential energy terms are usually
neglected in comparison to enthalpy in refrigeration and
air conditioning thermodynamic cycles because their
magnitudes are usually several orders smaller than
enthalpy.
The Carnot cycle is an ideal cycle that is made up of
completely reversible processes and operates between
two fixed temperatures. This cycle is useful since it is a
thermodynamic ideal for refrigeration cycles that need to
operate between two temperatures: the temperature of the
conditioned space and the temperature of the external
(hot) ambient. Also heat is transferred from the cold space
to the ambient. The properties of the Carnot cycle are that
it can be used as a refrigerator or a heat pump, as well as a
 FUNDAMENTALS OF THERMODYNAMICS 1–5

work-producing device, depending on the input quanti- cycle operated between the same temperature limits, and
ties. Fig. 1-3 shows the Carnot cycle on temperature (2) all reversible cycles, when operated between the same
entropy coordinates. Heat is withdrawn at the constant temperature limits, have the same COP. Proofs of these
temperature TR from the region to be refrigerated. Heat is statements are not presented here. They can be found in
rejected at the constant ambient temperature To. The cycle standard thermodynamics textbooks. Although the first
is completed by two isentropic processes that connect the law states that net heat flow into the cycle is equal to the
high and low temperatures at the two extremes of entropy net work done by the cycle (see Equation (19)), con-
values. From Equation (17) the energy transfers are given straints are placed by the second law. For example, it is
by impossible to put heat into a system and convert it com-
QR = TR ( S2 – S1 ) Q· R = m· T R ( s 2 – s 1 ) (21) pletely to work, a perfect conversion. The second law
forces heat to be rejected (which is wasted), and the heat
rejection should be to a different temperature reservoir
Qo = To ( S3 – S4 ) Q· R = m· T o ( s 2 – s 1 ) (22)
than the temperature of the reservoir from which the heat
Since the cycle is being run to remove the heat QR, the is added for the cycle to exist. For refrigerating cycles it
COP of the Carnot cycle will be also establishes the only possible cycles are the ones in
which the COP is less than the ideal COP, which is based
QR QR TR only on the two extreme temperatures of the cycle.
COP = -------
- = -------------------
- = -----------------
- (23)
WR Qo – QR To – TR The Carnot cycle can be created by exploiting the con-
where Wnet work that would be supplied through isen- stant temperature and constant pressure characteristics of
tropic processes of the cycle. the phase change saturation region of pure substances for
constant temperature heat addition and rejection pro-
Equation (23) also shows that the COP of the ideal revers- cesses. The isentropic processes that link the states
ible Carnot cycle is a function only of the two absolute between the high and low temperatures can now be pro-
temperatures between which it operates. cesses between high and low pressures within the satura-
tion dome. Movement from a low to high pressure is easy
since pumps and compressors are available, and from
high to low pressure can be achieved via turbines. This is
shown in Fig. 1-4.
However, in a real device the Carnot cycle shown in
Fig. 1-4 is difficult to obtain because of practical consid-
erations. It is difficult to stop process heat addi-
tion/removal precisely at state 2. The compression from
pressure of 2 to the higher pressure at 3 involves a sub-
Fig 1-3. Carnot cycle stance that is mixed liquid and vapor at entry for which
reliable compression devices are difficult to make (it is
easy to either pump liquid alone or compress vapor). Sim-
ilar problems occur at the expansion from 4 to 1, perhaps
via a turbine, where the inlet is saturated liquid and the
outlet is a wet saturated mixture of liquid and vapor. To
overcome these problems the standard practical refrigera-
tion cycle is shown in Figs. 1-5a and 1-5b. In this the con-
stant temperature (and constant pressure) heat addition
process ends when the entire saturated mixture has turned
to saturated vapor at state 2 and a vapor compressor is
used from pressure 2 to 3. From 3 to 4 the heat rejection is
isobaric, and is only isothermal when in the saturation
dome region. The isentropic expansion process from 4 to
Fig 1-4. Possible thermodynamic realization of a Carnot cycle 1 of the Carnot cycle is replaced by a simple expansion
using a pure substance
valve that does not preserve entropy but preserves
The second law for cycles states that (1) no refrigerat- enthalpy. The advantage is that a moving device is
ing cycle may have a COP higher than that for a reversible avoided and a passive valve is replaced instead.
1–6 FUNDAMENTALS OF FLUID FLOW
Fig 1-5a. Practical refrigeration cycle in (T,s) coordinates
Fig 1-5b. Practical refrigeration cycle in P-h coordinates
A pure refrigerant or an azeotropic mixture can be used
as the working fluid in the practical refrigerator to main-
tain constant temperature during phase changes through
maintenance at constant pressure. Because of such con-
cerns as high initial cost and increased maintenance
requirements, the practical machine has one compressor,
and the expander (engine or turbine) is replaced by a sim-
ple expansion valve. The valve throttles the refrigerant
from high pressure to low pressure. The highest tempera-
ture in the cycle is at state 3. Thus, for ideal COP the tem-
perature of 3 has to be used, and not that of state 4. The
components of the refrigerator are sketched in Fig. 1-6.
Because of the use of a compressor to go from the low
temperature state 2 to high temperature state 3, the cycles
are called vapor compression cycles.
Fig 1-6. Components of the refrigerator or air conditioner
Fundamentals of Fluid Flow
In addition to density discussed in the previous section,
the other property that is of importance in fluid flow is vis-
cosity. The viscosity of the fluid links the shear stress on a
fluid layer to the local velocity gradient across the layer.
In the terminology of Fig. 1-7, the following relation
defines viscosity
dV
τ = µ ------- (24)
dy
where τ =shear stress (tangential force per unit area);
and
µ =viscosity.
Fig 1-7. Velocity profiles and gradients in viscous flows
The density of air and water at standard conditions of
68°F and 14.696 psi (sea level atmospheric pressure) are
0.075 lbm/ft3 and 62.3 lbm/ft3, respectively. All fluids are
compressible to some degree; fluid density depends on
pressure. Steady liquid flow may ordinarily be treated as
incompressible, and incompressible flow analysis is sat-
isfactory for gases and vapors at velocities below about
4000 to 8000 fpm, except in very long conduits. The units
of viscosity are (force × time)/length2. At standard condi-
tions the viscosities of air and water are 1.2×10−5 lbm/ft-s
(= 3.7×10−7 lbf-s/ft2) and 6.7×10−4 lbm/ft-s (= 2.1×10−5
lbf-s/ft2), respectively. Kinematic viscosity is viscosity
divided by density. The values of kinematic viscosity at
standard conditions for air and water are 1.7×10−4 ft2/s
and 1.08×10−5 ft2/s, respectively. In general if the Mach
number of the fluid is less than 0.30 the fluid can be con-
sidered incompressible.
In this chapter the fluid mechanics of pipe and duct
flows are emphasized. This is because in HVAC systems
flows in pipes and ducts are dominant methods of fluid
transport, both airflow to the conditioned space and liq-
uids that are the working fluids in the systems. External
flows, such as flows of large fluid volumes over sub-
merged objects, compressible flows such as in turbines
and compressors, and the like are not discussed for the
sake of brevity and relevance (or lack thereof).
Flow in Pipes and Ducts.—The conservation of mass
(or continuity equation) follows the same formulation as
described before in the thermodynamics section, Equa-
tions (8) and (9). For conservation of energy some simpli-
fications and modifications can be made. For fluid
mechanics analyses only conservation of mechanical
energy is considered. If steady flow is considered along a
 FUNDAMENTALS OF FLUID FLOW 1–7

single path system then the conservation of energy for 2 2

open systems, Equation (13), can be rewritten as
2 2
 u + pv + -----
V - + gz –  u + pv + -----
V - + gz
 2  in  2  out
Q·
+ ---·- = 0
m Another consideration in the case of real fluids is the
Here it is assumed that no work producing shafts or
work producing moving boundaries are present and that
the conservation of mass then permits the inlet and outlet
mass flow rates to be the same. Pressure energy, kinetic
energy, and potential energy are the mechanical energies
of the flow. Since it was shown in the previous thermody-
namics section that for most fluids, especially away from
the saturation dome, the internal energy u is primarily a
function of temperature, u is not considered a mechanical
energy. The conservation of mechanical energy is then
stated as
2 2
 pv + V
------ + gz –  pv + ------ + gz
V
= 0 (26a)
 2  in  2  out
2
--p- + V
------ + gz = constant (26b)
ρ 2
This is also the Bernoulli’s equation, which is the con-
servation of mechanical energy in an ideal fluid with no
losses, no heat additions/removal, and no work. Ber-
noulli’s equation shows that the sum of pressure energy,
kinetic energy, and potential energy is constant along a
streamline of an ideal fluid. Even when temperature vari-
ations are present or the internal energies are not constant
or heat transfer is present, the above mechanical energy
conservation (and modifications presented below in case
of losses) can be separately considered before the entire
conservation of energy Equation (13) is eventually
applied if needed.
In the case of real fluids, where viscosity introduces
drag, loss in mechanical energy occurs. This loss of
mechanical energy is usually converted to increase in
internal energy or is dissipated as heat, as per general con-
servation of energy as described in the thermodynamics
section. In such a case of losses Equation (26a) of conser-
vation of mechanical energy (presented in the form of
energy per unit mass) is rewritten as
2 2
 pv + V
------ + gz –  pv + ------ + gz
V
= E loss
 2  in  2  out
where Eloss = mechanical energy loss per unit mass, or rate
of mechanical energy loss per unit mass flow rate.
If mechanical energy is added to the flow through
appropriate forms of work such as shaft work, the above
can be modified to include a source term for mechanical
energy. This is shown in
 pv + V
------ + gz + –  pv + ------ + gz
V
 2  in  2  out (28)
+E mech = E loss
(25) where Emech = mechanical energy added into the pipe or
duct flow via a device such as fan, blower, or pump.
velocity V in Equation (28). The velocity V in the above is
the average velocity through the pipe and is obtained from
the mass flow rate. Because of the viscosity for real fluids,
the velocity varies from zero at the duct or pipe walls to a
maximum along the centerline. Since it is not mathemati-
cally true that the square of the average velocity is equal to
the average of squared velocity unless the velocity profile
is flat, this introduces an additional kinetic energy factor
α in Equation (27) as follows:
2 2
 pv + α -----
V-
+ gz –  pv + α ------ + gz
V
= E loss (29)
 2  in  2  out
The kinetic energy factor is the ratio of the true kinetic
energy of the flow to the kinetic energy represented by the
mean or average velocity. It is shown that the value of this
kinetic energy factor is 2.0 for laminar flow in circular
pipes and 1.54 for laminar flow in wide rectangular chan-
nels. For turbulent flow the value is close to 1.0. Thus, for
most HVAC applications, where the flow is turbulent, the
original Bernoulli equation Equation (27), with losses is
sufficient.
Reynolds number is an important unitless parameter in
fluid mechanics. It is defined for flow in pipes or ducts as
ρVD (30)
Re = ------------
µ
where D = diameter for circular pipes or a characteristic
length for non-circular pipe.
For other cross-sections it can be the hydraulic diameter
Dh which is defined as
4A
D h = ------- (31)
P
where A = cross-sectional area, and P = perimeter.
For external flows, characteristic length is usually the
length of the object along the direction of the flow, or the
value of the length’s local coordinate depending on the
application. For pipe and duct flows the flow is laminar if
(27) the Reynolds number is less than 2300 and turbulent for
greater values. This value of the critical Reynolds number
is observed via experiments. For external flows parallel to
a surface the flow remains laminar until the local Rey-
nolds number reaches 5 ×105. Thus, the critical Reynolds
number for internal flow is 2300 and for the external flow
is 5 ×105. If the Reynolds number exceeds the critical
value, the flow transitions to turbulence; below the criti-
cal value, the flow is laminar.
1–8 FUNDAMENTALS OF FLUID FLOW
Laminar flows are those where viscous effects domi-
nate and the flow is orderly and layered. Fluid particles
travel in smooth trajectories, without fluctuations. In
steady internal flows, such as in pipes and ducts, the
velocity profile is of a form that the forces due to pressure
are balanced by viscous shear forces introduced by the
presence of a wall (the velocity has to be zero at the wall).
This gives rise to parabolic velocity profiles in the pipe or
duct, where the velocity vanishes at the walls and is a
maximum at the centerline.
Turbulent flows which typically have higher velocities
than laminar flows, involve random perturbations or fluc-
tuations of the velocity and pressure, characterized by an
extensive hierarchy of scales or frequencies. Only flows
involving random perturbations without order or period-
icity are turbulent; the velocity in such a flow varies with
time or locale of measurement (Fig. 1-8). Turbulence can
be quantified by statistical factors. The velocity most
often used in velocity profiles is the temporal average
velocity, and the strength of the turbulence is character-
ized by the root mean square of the instantaneous varia-
tion in velocity about the temporal average velocity. The
effects of turbulence cause fluid to diffuse momentum,
heat, and mass very rapidly across the flow. Because of
the rapid fluctuations, fluid particles do not travel in
smooth trajectories. The fluctuation allows particles to
cross layers and thus cause a greater uniformity of flow
properties and characteristics than in the laminar case.
Because of this the turbulent velocity profiles in pipes or
ducts are flatter throughout the core of the flow around the
centerline and only fall off to zero velocity at the walls in
a small region near the walls. It is because of the flatter
velocity profile that the kinetic energy factor in Equation
(29) is near unity, usually ranging from 1.01 to 1.10.
Fig 1-8. Velocity fluctuations with respect to time in turbulent flows
Time average velocity is defined by the Equation (32)
T the length required for a rounded entrance. With sudden
1 expansion, the pressure change settles out in about eight
T ∫
V = --- V dt (32)
0 profile takes at least a 50% greater distance to return to
The laminar and turbulent velocity profiles in a pipe
flow are schematically compared in Fig. 1-9. Turbulent
flow profiles are flat compared to the more pointed pro-
files of laminar flow. Near the wall, velocities of the tur-
bulent profile must drop to zero more rapidly than those of
the laminar profile, so the shear stress and friction are
much greater in the turbulent flow case.
The velocity profiles shown in Fig. 1-9 correspond to
fully developed flows. Fully developed flow regions are
far away from inlets, from sections of sudden changes in
cross-section, and from sources of mechanical energy
input. The entrance flow region is the region from an inlet
to the location where the fully developed region starts. It
corresponds to the length Le of the pipe or duct needed for
the flow to gradually change from its inlet profile to the
new conditions.
Fig 1-9. Laminar and turbulent velocity profiles in a circular duct
Note that if the cross-sectional area remains constant
then by the conservation of mass the average velocity
throughout the pipe, including the inlet and fully devel-
oped regions, remains the same although the shape of the
profile changes.
With laminar flow following a rounded entrance, the
entrance length Le depends on the Reynolds number:
Le
----- ≅ 0.06Re (33)
D
At Re = 2000, a length of 120 diameters is needed to
establish the fully developed parabolic velocity profile.
However, the pressure gradient reaches the developed
value of much sooner. With turbulent flow, a length of 80
to 100 diameters following the rounded entrance are
needed for the velocity profile to become fully developed,
but the friction loss per unit length reaches a value close to
that of the fully developed flow value more quickly. After
six diameters, the loss rate at a Reynolds number of 105 is
only 14% above that of fully developed flow in the same
length, while at 107 it is only 10% higher. For a sharp
entrance, the flow separation causes a greater distur-
bance, but fully developed flow is achieved in about half
times the diameter change (D2−D1), while the velocity
fully developed pipe flow.
The mechanical energy loss in a duct or pipe of con-
stant cross-section due to friction is given by the follow-
ing:
 FUNDAMENTALS OF FLUID FLOW 1–9

2 where f =friction factor.

LV
E major-loss = E loss-friction = f ---- ------ (34)
D2

Fig 1-10. Friction factor (Moody’s chart)

Losses due to friction are traditionally termed major 64-
losses in a pipe or duct system because for long pipes this f = ----- (35)
Re
loss dominates. However, for HVAC applications this
may not be the case, and so the terminology of major for circular cross-section pipes. In non circular pipes
losses may not be as appropriate as simple friction loss. exact values for f can be derived for laminar flow, and the
Here L is the length of the pipe and D is the diameter. For use of hydraulic diameter in Equation (35) may lead to
noncircular ducts, the diameter may be replaced by the significant errors.
hydraulic diameter Dh. Friction factor is a function of the
In turbulent flows for smooth pipes the friction factor is
Reynolds number and the relative roughness of the pipe empirically correlated as
or duct walls. For large Reynolds numbers its value is
fairly constant and is only a function of the roughness ε/D, f = 0.3164
---------------- for Re < 10
5
(36)
where ε is the average height of roughness. This region is Re
0.25
called the fully rough region. The value of friction factor
is obtained via experiments and the values are given in 0.221 5 6
Fig. 1-10 and in Equations (35) to (38). f = 0.0032 + ----------------- for 10 < Re < 3 × 10 (37)
0.237
Re
In the laminar region, where the Reynolds number is
less than 2300, the friction factor is independent of the Another correlation for smooth pipes is
roughness. This is because the dominant viscous effects 0.184- 4
suppress any fluctuations introduced by roughness. The f = -------------- for Re > 2 × 10 (38)
0.20
value of f for this region is given as Re
1–10 FUNDAMENTALS OF FLUID FLOW
For pipes and ducts that are not smooth, where a wall
roughness ε is defined (in the units of length), the relative
roughness ε/D plays an important role. In the fully rough
region where the influence of Reynolds number is very
small, the turbulent friction factor has been empirically
correlated by
----- = 1.14 + 2 log  ----
1 D
(39)
f  ε
In the other turbulent regime between the smooth
walled pipes and the fully rough region several empirical
correlations exist. A commonly used correlation is the
Colebrook function given by
----- = 1.14 + 2 log  ---- – 2 log 1 + ---------------
1 D 9.3D
(40)
f  ε εRe f
The use of hydraulic diameter Dh in the above correla-
tions for turbulent flows is quite acceptable since errors
up to 5% may be introduced as observed experimentally.
Mechanical energy losses other than friction loss
described above in a pipe or duct are usually correlated by
using a loss coefficient K:
2 terline velocity increases) until they join, after an entrance
V length Le. Application of the Bernoulli relation to the core
E loss-minor = E loss-fixture = K ------ (41)
2 flow indicates a decrease in pressure along the layer.
For inlets, the V in Equation (41) is velocity in the pipe
after the entrance, and for outlets it is the velocity in the
pipe before the exit. Thus, which velocity to use is a func-
tion of the geometry or of the type of the fitting or fixture.
For a sudden expansion it is velocity before expansion
and for a sudden contraction of cross sectional area it is
velocity after contraction. The values of K are compiled
via experiments and will be discussed in later chapters. It
may be noted that although the true loss of mechanical
energy occurs over a distance the formula lumps its
effects at one location. For example, the inlet loss occurs
over the entrance region but is lumped at the entrance by
this formula. Note that these effects do not include the
friction loss over the corresponding length, but only the
additional losses associated with disturbances of flow and
transitions. For systems with long pipe lengths these
losses are a small portion of the total losses where the fric-
tion losses dominate and are traditionally called minor
losses. However, for HVAC systems this is not the case
and the multiple bends and junctions, size changes, and
the presence of various fixtures and fittings ensure that
these effects are a very significant part of the total loss.
Some Details of Relevant Flow Fields.—T h e p r e s -
ence of walls in fluid flows introduces velocity gradients
in the flow field since the fluid necessarily has to be at
zero velocity at the wall. This effect, termed friction, usu-
ally is present in the form of a boundary layer in fast mov-
ing flows. A boundary layer is the slender region near the
wall where the velocity goes from the zero wall velocity
to the free stream velocity. All the viscous effects are con-
centrated in the boundary layer. For flow around bodies,
this layer (which is quite thin relative to distances in the
flow direction) encompasses all viscous or turbulent
actions, causing the velocity in it to vary rapidly from zero
at the wall to that of the outer flow at its edge. Boundary
layers are generally laminar near the start of their forma-
tion but may become turbulent downstream of the transi-
tion point.
For conduit or pipe flows, spacing between adjacent
walls or within the pipe diameter is generally small com-
pared with distances in the flow direction. As a result, lay-
ers from the walls meet at the centerline to fill the conduit.
The region after the layers meet is the fully developed
flow region that was discussed earlier. The length of the
pipe or conduit where the boundary layers are still grow-
ing and have not yet met at the centerline is called the
entrance region. Near the start of the straight conduit or
pipe, the layer is very thin (and laminar in all probability),
so the uniform velocity core outside has a velocity only
slightly greater than the average velocity. As the layer
grows in thickness, the slower velocity near the wall
needs to increase in the uniform core to satisfy continuity.
As the flow proceeds, the wall layers grow (and the cen-
However, if the cross-sectional area is increasing along
the flow so that average velocity decreases along the flow,
the adverse pressure gradient can lead to flow separation.
The development of the boundary layer in an adverse-
pressure gradient situation (velocity at edge of layer
decreasing in flow direction) causes the separation of the
boundary layer where downstream from the separation
point the fluid backflows near the wall. Separation is due
to flow near the wall no longer having energy to move into
the higher pressure imposed by the decrease in velocity at
the edge of the layer. The locale of this separation is diffi-
cult to predict, especially for the turbulent boundary
layer. Analyses verify the experimental observation that a
turbulent boundary layer is less subject to separation than
a laminar one because the flow in the turbulent layer has
greater kinetic energy.
Fig 1-11a. Flow through orifice
Fig 1-11b. Flow through sudden contraction or expansion
 FUNDAMENTALS OF HEAT TRANSFER
Flow separation is observed in several situations in
HVAC equipment. Examples of flow through an orifice
and through contractions and expansions are shown in
Figs. 1-11a and 1-11b. The manifestation of separation is
sudden pressure drop that is not recovered in the flow.
In liquid flow, gas- or vapor-filled pockets can occur if
the absolute pressure is reduced to vapor pressure or less.
In this case, a cavity or series of cavities form. This lower-
ing of pressure may be due to flow separation or poor
selection of operating parameters or equipment design.
This is called cavitation and initial evidence of cavitation
is the collapse noise of many small bubbles as they are
carried by the flow into regions of higher pressure. The
severity of cavitation increases as velocity increases or
pressure decreases. Collapse of the cavities on or near
solid boundaries becomes so frequent that the cumulative
impact in time results in damage in the form of cavitations
erosion of the surface or excessive vibration. As a result,
pumps can lose efficiency or their parts may erode
locally.
Noise from Fluid Flow.—Noise from fluid flow is
especially important in HVAC systems where, for exam-
ple, noisy ducts inside buildings can significantly cause
complaints. Noise in flowing fluids results from unsteady
flow fields and can be at discrete frequencies or broadly
distributed over the audible range. With liquid flow, cavi-
tation results in noise through the collapse of vapor bub-
bles. Noise in pumps or fittings (such as valves) can be
easily eliminated by raising the system pressure. With
severe cavitation, the resulting unsteady flow can pro-
duce by-product noise from induced vibration of adjacent
parts.
Noise produced in pipes and ducts is especially associ-
ated with the loss through the valves and fittings. The
sound pressure of noise in water pipe flow increases lin-
early with the head loss; the broadband noise increases,
but only in the lower frequency range. Fitting-produced
noise levels also increase with fitting loss (even without
cavitation) and significantly exceed noise levels pipe
flow. The relation between noise and loss associated with
is because both involve excessive flow perturbations. A
valve’s pressure flow characteristics and structural elas-
ticity may be such that for some operating point it oscil-
lates, perhaps in resonance with part of the piping system,
to produce excessive noise. A change in operating point
conditions or details of valve geometry can result in sig-
nificant noise reduction.
Pumps and blowers are strong potential noise sources.
Turbo machinery noise is associated with blade-flow
occurrences. Broadband noise results from vortex and
turbulence interaction with walls and is primarily a func-
tion of the operating point of the machine. For blowers,
noise is a minimum at the peak efficiency point. Narrow-
band noise also occurs at the blade, crossing frequency
and its harmonics. To reduce this noise, a designer
1–11
increases the clearances between impeller and housing,
and spaces impeller blades unevenly around the circum-
ference. However, this may be impractical because they
lead to other problems.
Fundamentals of Heat Transfer
Heat is transfer of energy due to temperature differ-
ence. Solution of conservation of energy Equations (11)
to (13) require the accurate assessment of heat trans-
ported into a closed or open system. Heat transfer theory
is needed to quantify the rate at which heat will transfer
for a given set of conditions. Although application of ther-
modynamic law requires the value of heat transfer be
known, it does not provide any method to ascertain
whether the required or prescribed heat transfer rate is
feasible for the given system and available temperature
differences. Thermal energy transfer always occurs in the
direction of decreasing temperature.
Thermal conduction is the mechanism of heat transfer
whereby energy is transported between parts of a contin-
uum by the transfer of kinetic energy between particles or
groups of particles at the atomic and subatomic levels. In
liquids and gases, conduction is caused by elastic colli-
sion of molecules; in liquids and electrically nonconduct-
ing solids, it is caused by oscillations of the lattice
structure (or phonons); in metals it occurs due to the
motion of free electrons. In the study of engineering heat
transfer, in contrast with physics, the underlying micro-
scopic mechanism is not of interest and the entire conduc-
tion effect is lumped into understanding thermophysical
properties.
Thermal conductivity k is defined as the ratio of heat
flow rate per unit area to the local temperature gradient.
This is given by Fourier’s law,
dT
Q· = – kA ------ (42)
dx
where A = cross-sectional area (ft2) normal to the heat
flow; and
Q· = rate of heat flow (Btu/hr).
In Equation (42) steady heat flow along the x direction is
considered. The units for k are Btu-ft/hr-ft2-°F and units
of temperature T and distance x are °F and ft, respectively.
The minus sign indicates that heat flow is positive in the
direction of decreasing temperature (i.e., negative gradi-
ent). Thermal conductivity is an intrinsic property of a
material and is tabulated in handbooks and property
tables.
In solid opaque bodies, thermal conduction is the most
significant heat transfer mechanism because there is no
flow of material, and transport by other heat transfer
mechanisms such as convection and radiation are not
present. In fluids, thermal conduction dominates in the
region very close to the flows solid boundary. However,
1–12 FUNDAMENTALS OF HEAT TRANSFER

in fluids the effects of conduction near the boundary are Nu = Nusselt number.
lumped into heat convection coefficients. Nusselt number is given by
The distinction made between thermal convection and
thermal conduction is this: Heat convection involves hL (45)
Nu = ------
energy transfer or exchange at an interface, notably, the k
solid-fluid interface— the walls. Heat conduction occurs where L =characteristic length for the configuration; and
throughout the entire body of the transport mechanism.
The heat transfer coefficient h is defined at the interface in k =the thermal conductivity of the liquid.
the fluid region so that the rate of heat flow is related to the The length in the Reynolds number is the same charac-
temperature difference by teristic length as in the Nusselt number. For pipes the
Q· = hA ( T surface –T fluid) (43) characteristic length is the diameter D or the hydraulic
diameter Dh for non-circular pipes. For flat surfaces the
where Tsurface = temperature of the solid surface; and length to be used is the entire length along the direction of
Tfluid = bulk or free stream temperature of the flow for computing average heat transfer coefficient, or
fluid (not the local temperature of the fluid near the local coordinate along the direction of the flow to
the surface) compute the local heat transfer coefficient. The Prandtl
Equation (43) relates the heat flow rate from the surface number is a ratio of viscous and thermal diffusivities of
the fluid and given by
to the fluid. The units for h are Btu/hr-ft2-°F. For pipe
flows the fluid temperature in Equation (43) is the bulk µC p
µ- = ---------
mean temperature at the cross-section where the convec- Pr = ------ - (46)
ρα k
tive heat transport is being considered.
The heat transfer coefficient is an engineering concept where α =thermal diffusivity.
that combines all microscopic energy transport processes The thermal diffusivity is given by
near a solid-fluid interface into a single coefficient. The
heat transfer coefficient is strongly a function of flow con- k-
α = --------- (47)
ditions and increases as flow velocities increase. It is not ρC p
an intrinsic property of any material and it must computed
or measured at the required flow configurations and The general forced convection Equation (44) remains
geometries. valid for flows inside pipe and ducts, as well as over flat
surfaces and other objects. The constants C, n, and m for
Thermal convection can be classified into two types: the above forced convection correlation are given in
forced and natural. Forced convection occurs when fluid Table 1-1.
is flowing due to external mechanisms such as the case of
it being driven by fans or pumps. Natural convection Table 1-1. Forced Convection Factors
occurs in fluid that is normally quiescent, but is forced Characteristic
into motion by thermal buoyancy effects. For example, Description of Flow Length C n m
hot fluid near a hot wall rises because its density is low- Laminar, fully developed flow in
ered and colder fluid moves in to replace it, thereby set- a circular pipe, constant surface Diameter D 3.66 0 0
temperature
ting up a loop that removes heat from the hot wall. In this
case the value of h is strongly a function of temperature, Laminar, fully developed flow in
a circular pipe, constant surface Diameter D 4.36 0 0
the variations of the density with temperature, and the heat flux
geometry of the system. Laminar, fully developed flow in Hydraulic
For internal flows through pipes and ducts the convec- a duct of square cross-section, diameter Dh 2.98 0 0
constant surface temperature
tive heat transfer coefficient stays constant along the
direction of the flow in the fully developed region, i.e., Laminar, fully developed flow in Hydraulic
a duct of square cross-section, diameter Dh 3.61 0 0
after the entrance length region. For external flows the constant surface heat flux
local convective heat transfer coefficient changes along Laminar, fully developed flow in
the direction of the flow because the boundary layer keeps Hydraulic
a duct of triangular cross-section, diameter Dh 2.47 0 0
on growing, as opposed to internal flow where the bound- constant surface temperature
ary layers meet at the centerline at the end of the entrance Laminar, fully developed flow in Hydraulic
region and no further changes in flow occur. The forced a duct of triangular cross-section, diameter Dh 3.11 0 0
constant surface heat flux
flow heat transfer correlations can be written generally as
Turbulent, fully developed flow Hydraulic
n m diameter Dh 0.023 0.8 0.4
in a pipe, heat added to fluid
Nu = CRe Pr (44)
Turbulent, fully developed flow Hydraulic
where C, m, n = constants whose values are functions of in a pipe, heat removed from diameter Dh 0.023 0.8 0.3
the operating range and geometry, and fluid
 FUNDAMENTALS OF HEAT TRANSFER 1–13

Table 1-1. (Continued) Forced Convection Factors The Reynolds and Nusselt number are based on the
Characteristic diameter. The effects of thermal entry length on turbulent
Description of Flow Length C n m flows are not significant and the fully developed case can
Laminar flow parallel to flat sur-
Local coordi-
be used. Similarly, the effects of surface roughness are not
face, constant surface tempera- noticeable in the heat transfer coefficient for turbulent
nate in flow 0.332 0.5 0.33
ture, local heat transfer
coefficient
direction x flows (in contrast to the fluid mechanics friction factor),
Laminar flow parallel to flat sur-
and thus need to be considered.
face, constant surface tempera- Length in flow
0.664 0.5 0.33 For flows parallel to flat surfaces the initial boundary
ture, average heat transfer direction L layer is always laminar and makes the transition to the tur-
coefficient
bulent layer after the local Reynolds number becomes
Laminar flow parallel to flat sur- Local coordi-
face, constant surface heat flux, nate in flow 0.453 0.5 0.33 greater than critical. Thus, for flows that do become tur-
local heat transfer coefficient direction x bulent, the average heat transfer coefficient involves the
Laminar flow parallel to flat sur- initial laminar correlations, and then the turbulent. The
Length in flow
face, constant surface heat flux,
direction L
0.68 0.5 0.33 average heat transfer coefficient for such cases is
average heat transfer coefficient
1
Turbulent flow parallel to flat ---
Local coordi- 0.80 3
surface, constant surface temper-
nate in flow 0.0296 0.8 0.33 Nu = ( 0.037Re – 871 )Pr (49)
ature, local heat transfer coeffi-
direction x
cient Here the characteristic length is the length of the surface L
Turbulent flow parallel to flat in the direction of the flow, provided that Re based on this
Local coordi-
surface, constant surface heat
nate in flow 0.0308 0.8 0.33 length is greater than the critical value 5 × 105.
flux, local heat transfer coeffi-
direction x A general formula for the average heat transfer coeffi-
cient
Cross-flow over a circular cylin- cient for the external cross-flow over a cylinder, over the
der, average heat transfer coeffi- Diameter D 0.989 0.33 0.33 entire range of Reynolds numbers, is given by
cient, 0.4< Re <4
1 1 4
Cross-flow over a circular cylin- --- --- 5 ---
2 3 --- 5
der, average heat transfer coeffi- Diameter D 0.911 0.385 0.33 8
Nu = 0.30 + ------------------------------------------ 1 +  ------------------
cient, 4< Re <40 0.62Re Pr Re
(50)
Cross-flow over a circular cylin-
1
---
 282000 
2
der, average heat transfer coeffi- Diameter D 0.683 0.466 0.33 --- 4
3
cient, 40< Re <4000 1 + ( 0.40Pr )
Cross-flow over a circular cylin-
der, average heat transfer coeffi- Diameter D 0.193 0.618 0.33
cient, 4000< Re <40000 The general correlation for natural convection is given
Cross-flow over a circular cylin- by
der, average heat transfer coeffi- Diameter D 0.027 0.805 0.33 n n
cient, 40000< Re <400000 Nu = C ( GrPr ) = CRa (51)
Cross-flow over tube bank rows, where C , n = are constants whose values depend on the
aligned inline square spacing,
center to center distance on Diameter Da 0.229 0.632 0.33 operating range and geometry.
square = 2D The Grashof number Gr is given by
Flow over packed spheres Diameter D 2.06 0.425 0.33 3 2
a Note:
3 2
L ρ βg ∆T L ρ βg T surface – T fluid
Reynolds number in this case uses the maximum velocity in - (52)
Gr = -------------------------- = ---------------------------------------------------------
the space between tubes. 2 2
µ µ
In the case of entry length flow in circular pipes the where ∆T =magnitude of the difference between the sur-
laminar correlation is modified as follows for the constant face temperature and the free-stream or bulk
surface temperature case: fluid temperature.
The characteristic length L in the above natural convec-
0.0668  ---- RePr
D tion correlations represents diameter for horizontal circu-
 L lar pipes, height for vertical plates or pipes, and radius for
Nu = 3.66 + ---------------------------------------------------- (48) spheres. For vertical flat surfaces, the natural convection
2
---
3 flows remain laminar until the value of (GrPr) reaches
1 + 0.04  ---- RePr
D
 L 109. The Rayleigh number Ra is product of the Grashof
and Prandtl numbers, and thus the critical Rayleigh num-
where D = diameter and; ber for natural convection over vertical flat plates is 109.
The values of the constants in Equation (51) the corre-
L =length of the pipe that includes the thermal lation for natural convection are given in the following
entry length. table:
1–14 FUNDAMENTALS OF HEAT TRANSFER

Table 1-2. Natural Convection Factors occur in a vacuum. The rate of thermal radiant energy
Characteris- emitted by a surface depends on its absolute temperature.
Description of Flow tic length C n A surface is called black if it can absorb all incident radia-
Laminar, vertical surface, average heat Length L
0.59 0.25
tion. The total energy Wb emitted per unit time per unit
transfer coefficient along flow area of black surface to the hemispherical region above it
Turbulent, vertical surface, average heat Length L is given by the Stefan-Boltzmann law:
0.1 0.333
transfer coefficient along flow
Q· = AW = AσT
Horizontal surface, upper surface of
4
Plate sur-
b (55a)
heated plate or lower surface of cooled face area
0.54 0.25
plate, average heat transfer coefficient, divided by where σ =Stefan-Boltzmann constant, and
104<Ra<107 perimeter
T =absolute temperature in absolute units (Rank-
Horizontal surface, upper surface of Plate sur-
heated plate or lower surface of cooled face area ine or Kelvin).
0.15 0.333
plate, average heat transfer coefficient, divided by Substances and surfaces diverge in various ways from
107<Ra<1011 perimeter the Stefan-Boltzmann laws.Wb is the maximum emissive
Horizontal surface, upper surface of Plate sur-
cooled plate or lower surface of heated face area
power at a surface temperature. Actual surfaces emit and
plate, average heat transfer coefficient, 0.270 0.25 absorb less than these maximums and are called non-
divided by
105<Ra<1011 perimeter black. The emissive power of a nonblack surface at tem-
Horizontal cylinder, average heat transfer perature T radiating to the hemispherical region above it
Diameter D 0.675 0.058
coefficient, 10−10<Ra<10−2 is written as
Horizontal cylinder, average heat transfer
Q· = AW = AεσT
Diameter D 1.02 0.148 4
coefficient, 10−2<Ra<102 b (55b)
Horizontal cylinder, average heat transfer
coefficient, 102<Ra<104
Diameter D 0.85 0.188 where ε =hemispherical emittance.
Horizontal cylinder, average heat transfer Emittance is a function of the material, the condition of its
Diameter D 0.48 0.25 surface, and the temperature of the surface.
coefficient, 104<Ra<107
Horizontal cylinder, average heat transfer When radiation energy is incident on a surface, such as
Diameter D 0.125 0.333
coefficient, 107<Ra<1012 solar flux incident on a wall, the fraction of energy
absorbed by the surface is the radiation absorptance. For
A correlation that covers the entire range of Ra for a engineering applications absorptance is taken to be equal
vertical plate has been developed as to emittance. The rest of the incident radiation is reflected
 2 back and the reflectance is equal to 1− absorptance, which
  is equal to 1 − emittance.
 1  If the surface is not completely opaque then some of
 ---
6
 energy is transmitted. An example is a pane of glass in a
 0.387Ra 
Nu =  0.825 + --------------------------------------------  (53) window. Incident radiation energy is either absorbed,
8
 9 ------ 
------ 27
reflected or transmitted. The relationship between these is
 16 
1 +  -------------
 0.492  Absorptance + Reflectance + Transmittance = 1
 Pr  (56)
  Absorptance = Emittance
 
Overall Heat Transfer.—M a n y a p p l i c a t i o n s i n
Similarly a general correlation for a horizontal cylinder HVAC involve different modes of heat transfer occurring
or pipe over the entire operating range for Ra < 1012 has in series or in parallel. For example, the loss of heat from
been formulated as a room to the cold outside ambient space through the
walls involves three heat transfer steps: the transfer of
 2 heat from the indoor air to the inner surface of the wall via
 
 1  convection, the transfer of heat from the inner surface of
 ---
6
 the wall to the outer via conduction through the wall; and
 0.387Ra  the transfer of heat from the outer surface to the cold
Nu =  0.60 + -------------------------------------------  (54)
8 ambient outdoors. If the temperatures of the indoor air
 9- ------ 
 ----- 27  and outdoor ambient spaces are T1 and T2 respectively,
1 + (-----------------
0.559 )- 16
  the rate of heat transport is given by
 Pr 
  Q· = UA ( T – T )
1 2 (57)

Thermal radiation is the transport of heat via electro- where U = overall heat transfer coefficient.
magnetic waves or photons. Whereas conduction and If the wall temperatures are Tw1 and Tw2, respectively at
convection require a medium, radiation transport can the inner and outer surfaces, and the corresponding heat
 FUNDAMENTALS OF HEAT TRANSFER 1–15

transfer coefficients are h1 and h2, then the same heat surfaces is a passive, inexpensive method of increasing
transfer rate evaluated through the three individual steps heat flow.
is given by
Table 1-3. Solutions for Some Steady State Thermal
kA ( T w1 – T w2 ) Conduction Problems
Q· = h 1 A ( T 1 – T w1 ) = ------------------------------------
L (58) System Figure
= h 2 A ( T w2 – T 2 ) Overall heat transfer coefficient U,
where A is the reference surface chosen to define U
where k =thermal conductivity of the wall material; and 1
R th = --------
L =thickness of the wall in the direction of the UA
flow of heat.
Combining Equation (57) and Equation (58) gives the
expression for the overall heat transfer coefficient for this
Flat wall or curved wall if curvature
case as is small (wall thickness less than
1 1 L 1 0.1 of inside diameter)
-------- = --------- + ------ + --------- (59) L
UA h 1 A kA h 2 A R th = ------
kA
The overall heat transfer coefficient can also be evalu-
ated by considering thermal resistances. Through an anal-
ogy of flow of heat to flow of electricity through
conductors where the driving potential is temperature dif-
ference, the thermal resistance can be defined as
∆T (60)
Radial flow through a right
R th = ------
- circular cylinder
Q· r0
where Q· =heat flow rate analogous to electric current ln  ----
 ri 
and; R th = ----------------
2πkL
Rth = is the thermal resistance.
Sometimes Rth is written without subscript as R. When
many thermal steps are in series the thermal resistances Buried cylinder
add in series and the total resistance is related to the over-
2 2
all heat transfer coefficient. This is elaborated in Table 1- (a + a – r )
3. ln -----------------------------------
r
Thus, the following can be used to compute the overall ----------------------------------------------
heat transfer coefficient when the resistances are in series: R th = 2πkL

cosh  ---
1 –1 a
-------- =
UA
R th ∑ (61)
 r
= -------------------------
If the resistances are not completely in series, then 2πkL
Equation (61) can be modified appropriately to account Radial flow in a hollow sphere
for the correct series/parallel addition of the thermal resis-  ---
1 – ---- 1
tances. r r 
i 0
Fins and Extended Surfaces.—Heat transfer from a R th = --------------------
4πk
surface, such as indoor radiator surfaces in heating and
Convection at a surface of area A
cooling systems, can be increased by attaching fins or
extended surfaces that increase the area available for con- 1
R th = -------
vective heat transfer. Fins provide a more compact heat hA
transfer device with lower material costs for a given per- Improper contact between solids with contact conductance hc
formance. Since heat flow rate is directly proportional to 1
heat transfer coefficient, surface area, and temperature R th = ---------
hc A
difference, increasing any of these three parameters will
increase heat flow rate. However, increasing the convec-
tive heat transfer requires active processes such as intro- Fin efficiency φ is defined as the ratio of the actual heat
ducing fans. Increasing surface area via extended transferred from the fin to the heat that would be trans-
1–16
ferred if the entire fin were at its root or base temperature.
This measure is needed because the temperature of the fin
varies from its base to the tip as heat flows from the base to
the tip and heat is lost from the lateral surfaces. Fin effi-
ciency is low for long fins, thin fins, or fins made of low
thermal conductivity material. For an infinitely long fin
the fin efficiency asymptotically reaches zero. Fin effi-
ciency decreases as the heat transfer coefficient increases
because of increased heat flow. For natural convection in
air cooled condensers and evaporators, where h for the air
side is low, fins can be fairly large and fabricated from
low conductivity materials such as steel, instead of copper
or aluminum. For condensing and boiling, where large
heat transfer coefficients are relevant, fins must be very
short for optimal use of material. The value of fin effi-
ciency is a function of fin geometry, and some shapes are
shown in Fig. 1-12.
Fin effectiveness ε is a more important concept than φ,
since it relates the heat flow from a surface Ab if it is cov-
ered by a fin to heat flow from a surface and not covered
by a fin. It is defined in relation to fin efficiency as
Q· fin φhA s ( T b – T a )
ε = --------------------------
= ----------------------------------
·
Q without fin hA b ( T b – T a )
where As =surface area of the fin; and
Ab =surface area covered by fin.
FUNDAMENTALS OF HEAT TRANSFER
As the physical definition indicates effectiveness is
greater than unity. It should be significantly greater than
one to justify the additional expense and space needed for
the fins. As fin length increases effectiveness will
increase asymptotically to a maximum. Here Tb is the sur-
face temperature of the unfinned surface, which is also
equal to the temperature of the base of the fin. The maxi-
mum value of fin effectiveness for an infinitely long
straight fin is given by
ε max = k-
------- (63)
hy b
where yb =half the thickness of the fin.
If a surface A is covered partially by a fin (or fins) so
that the area covered by fin(s) is Ab and that not covered is
(A − Ab), then the heat flow from the entire area is given by
Q· = h ( A – A b ) ( T b – T a ) + εhA b ( T b – T a )
(64)
= h [ A + ( ε – 1 )A b ] ( T b – T a )
The surface effectiveness εs of fins for the entire area A
φA that is partially covered by the fins, as above, is given by
- = ---------s
(62)
Ab Q· with fins Ab
ε s = --------------------------
- = 1 + ( ε – 1 ) ------ (65)
Q· without fins A
Thus, the surface effectiveness with fins is always
greater than one.
Fig 1-12. Efficiency of straight fins
 FUNDAMENTALS OF HEAT TRANSFER 1–17

Fig 1-13. Fin efficiency for annular fins of constant thickness

1–18 FUNDAMENTALS OF HEAT TRANSFER

Some Details of Heat Exchange.—I n t h i s s e c t i o n

T out = T w – ( T w – T in ) exp  – ----------
hP 
-L
some mathematical developments of heat transfer in  m· C 
flowing streams are considered. Consider a flow in a pipe, p
(70)
tube, or duct. The energy equation under steady flow con- hA w 
ditions Equation (13), neglecting variations in kinetic and = T w – ( T w – T in ) exp  – ----------
-
 m· C 
potential energies and not considering any work done p
(other than flow work pv), for a differential distance along Note that the total heat added to the flow is
the flow direction is given as
Q· = m· C ( T – T ) p out in (71)
dh
m· ------ dx = q· s dA s = q· s Pdx (66) By combining Equations (70) and Equation (71) the
dx
following expression for the total heat added is formu-
where P =perimeter; lated:
x =distance along the direction of the flow;  
·  ( T w – T out ) – ( T w – T in )
h =u + pv, enthalpy; and Q = hA w  ----------------------------------------------------------
 ( T w – T out ) 
·
q s =heat flux (heat flow rate Q· per unit area)  ln  ---------------------------- 
(72)
 ( T w – T in ) 
entering the system from the boundary of the
system, i.e., from the pipe surface. = hA w ∆T lm
Noting that the enthalpy for liquids and gases in the where ∆Tlm = the log-mean temperature difference.
region way from the saturation region can be related to the For the case of constant surface heat flux, case (2), the
temperature T by Equation (3) where Cp is the specific energy balance can be solved directly to yield
heat at constant pressure, the above energy balance equa- q· w P
tion is written as T m = T in + ----------
-x (73)
m· C p
dT m ·
m· C p ---------- = q s P (67) q· w P q· w A w
dx T out = T in + ----------
- L = T in -------------
+ (74)
m· C p m· C p
In the above equation the temperature is the bulk mean
temperature, averaged across the cross-section of the Thus, the temperature of the fluid increases linearly,
fluid, at distance x. for case (2) as opposed to the exponential temperature
increase for the case of constant wall temperature, case
For the above configuration two cases can be consid- (1). The wall temperature in this case also increases lin-
ered: (1) the inner surface of the pipe is at a constant early if the heat transfer coefficient is a constant. This is
known temperature Tw or (2) there is a constant heat flux due to the definition of the heat transfer coefficient which
q· w of known magnitude at the pipe surface. The inlet is rewritten as
bulk mean temperature (i.e., at x = 0) is assumed to be q·
known and its value is taken to be Tin. T w = T m + -----w- (75)
h
For the case of constant surface temperature, case (1), The slopes of the wall temperature and fluid mean tem-
the energy balance is then rewritten by using the defini- perature are the same, and the offset is a constant value.
tion of the convective heat transfer coefficient defined at A more complicated case is that of two fluid streams
the interface of the fluid and the wall. This yields exchanging heat through a common wall, such as in a heat
dT m exchanger. A hot stream flows on one side of the wall and
m· C p ---------- = hP ( T w – T m ) (68) a cold stream on the other side. In the process the hot
dx stream cools down by losing some heat that is gained by
which has an analytical solution if the heat transfer h is a the cold stream, which then warms up. With both the
constant (which is true for fully developed flows inside streams considered to be flowing in one direction, given
pipe, tubes, and ducts) by the coordinate x (such as in a parallel flow heat
exchanger), and denoting Th and Tc to be the local hot and
T m = T w – ( T w – T in ) exp  – ----------
hP- x (69) cold stream bulk mean temperatures, respectively, the
 m· C  following set of equations is developed:
p

For a pipe of length L and the corresponding surface dQ· = m· C dT c c (76)

c
area across which heat is added Aw (= PL), this leads
expression for the exit temperature dQ· = – m· h C h dT h (77)

dQ· = U ( T h – T c )dA
where dA = incremental area measured along the direc-
tion; and
dT = changes of mean temperatures along the x
direction.
The overall heat transfer coefficient is U, which
includes the effects of convection at the wall surfaces on
the hot and cold sides and the conduction through the
wall. The above equations, after mathematical manipula-
tions, yield the following solutions:
Q· = m· C ( T –T )
c c cout (79)
Q· = m· h C h ( T h in – T h out )
 
·  ( T h out – T c out ) – ( T h in – T c in )
Q = UA  -----------------------------------------------------------------------------
 T h out – T c out
 ln  ---------------------------------
 T h in – T c in 
The log-mean temperature difference is generally
given as
∆T 1 – ∆T 2
∆T lm = ------------------------
- (82)
∆T 1

ln --------- 
 ∆T 2
where ∆T 1 =temperature differences at the first ends of
the flow device, and
∆T 2 =temperature differences at the second ends
of the flow device.
In addition to the constant wall temperature case and
the parallel flow case, the above equation also holds for a
counterflow heat exchanger, where the hot and cold fluids
enter at the opposite ends.
Augmentation of Heat Transfer.—Heat transfer aug-
mentation techniques are desirable if the rate of heat flow
is to be increased without substantial increase in equip-
ment size and power requirement, and without a corre-
sponding increase in undesirable side effects and losses.
Techniques applied to augment (enhance) heat transfer
can be classified as either passive methods, which require
FUNDAMENTALS OF HEAT TRANSFER 1–19
(78) no direct application of external power, or active
schemes, which require external power. Examples of pas-
sive techniques include incorporating rough surfaces,
extended surfaces, displaced promoters, and vortex flow
devices. Examples of active techniques include use of
mechanical aids, surface vibration, fluid vibration, and
electrostatic fields. The effectiveness of a given augmen-
tation technique depends largely on the mode of heat
transfer or the type of heat transfer device to which it is
applied. Augmentation is typically used in components of
a process or system where the thermal resistances are the
highest resistance in the system. Augmentation is also
cin used when it is to reduce the size of the heat transfer com-
ponent.
(80)
Rough surfaces of the spiral repeated rib variety are
widely used to improve in-tube heat transfer with water,
as in flooded chillers. The roughness may be produced by
(81)
 spirally indenting the outer wall, forming the inner wall,
 or inserting coils. Longitudinal or spiral internal fins in
tubes can be produced by extrusion or forming and give a
substantial increase in the surface area. Twisted strips
(vortex flow devices) can be inserted as original equip-
ment or as retrofit devices. Microfin tubes (internally
finned tubes with short fins around the circumference) are
widely used in refrigerant evaporators and condensers.
Since the gas entering the condenser in vapor compres-
sion refrigeration is superheated, a considerable portion
of the condenser acts to de-superheat the flow (i.e., the gas
is single phase).
The drawback to these passive techniques is that fric-
tion losses increase and the pressure drop may become
very high. This requires additional pumping power. How-
ever, the increased friction factor may not require
increased pumping power in certain cases if the flow rate
can be adjusted or if the length of the heat exchanging sur-
face can be reduced by a proper design. Another concern
is increased fouling, which occurs when the corrugations
or inserts trap impurities and particles that may be present
in the flow. This would lead to degradation of flow char-
acteristics and pressures. A related serious concern is the
reduction of the heat transfer coefficients due to fouling.
However, in general, fouled tubes with augmentation per-
form better than fouled plain tubes.