Basic Engineering Science

22BES114/124

Department of Mechanical Engineering

B.N.M. Institute of Technology

An Autonomous Institution under VTU

Post box no. 7087, 27th cross, 12th Main, Banashankari 2nd Stage, Bengaluru-
560070, INDIA
Ph: 91-80- 26711780/81/82 Email: principal@bnmit.in, www.bnmit.org
 1

1. ENERGY SOURCES: Wind Energy, Tidal Energy, Wave

Energy Conversion Devices, Solar Thermal Energy
Conversion

1.1. WIND ENERGY

1.1.1. Introduction
Wind energy is the kinetic energy of large masses of air moving over the earth’s surface. Winds
are caused by the uneven heating of the atmosphere by the sun, creating temperature, density
and pressure differences. It is a clean, cheap, and eco-friendly renewable source. The main
disadvantages of wind energy are: it is a dispersed, erratic and location-specific source. Wind
energy is harnessed as mechanical energy with the help of a wind turbine. Moderate to high-
speed winds, typically from 5 m/s to about 25 m/s are considered favorable for most wind
turbines.
Globally, wind energy has become a main stream energy source and an important player in the
world’s energy markets, and it now contributes to the energy mix in more than 70 countries
across the globe.

1.1.2. Wind Data

To be able to understand and predict the performance of wind turbines it is essential to have
some knowledge of the behavior and structure of wind. This is also required for proper design
of supporting structure to carry the imposed load safely and at an economically viable cost.
Wind speed is measured by anemometer and wind direction is measured by wind vane attached
to a direction indicator.

1.1.3. Variation of Wind Velocity with Height

At the earth surface wind speed is always zero. It increases with height above the ground. The
wind near the earth surface is retarded by surface roughness. The rate of change of wind speed
with height is called wind shear. The lower layers of the air retard those above them, resulting
in change in mean wind speed with height, until the shear forces are reduced to zero. This
height is called the gradient height and is typically of about 2000 m, above the gradient height,
known as
 2

Figure 1.1. Variation of Wind speed with height

free atmosphere, changes in wind speed are not affected by ground conditions. The layer of air
from ground to gradient height is known as planetary boundary layer. The planetary boundary
layer mainly consists of (i) surface layer, which extends from the height of local obstructions
to a height of approximately 100 m and (ii) Ekman layer, which starts from 100 m and extends
up to gradient height.
It is very important to place the wind turbine well above the height of local obstructions so that
the turbine disk receives a strong uniform wind flux across its area without erratic fluctuations.
As stated earlier, the standard wind speed measurements are often taken at a height of 10 m
from ground but wind turbines often operate at a height above this.

1.1.4. Principles of Wind Power

Total Power
The total power of a wind stream is equal to the rate of the incoming kinetic energy of that
stream 𝐾𝐸𝑖 , or
𝑚̇𝑉𝑖2
𝑃𝑡𝑜𝑡 =
2
𝑉𝑖 is the velocity of incoming air, 𝑚̇ is the mass flow rate of air. Mass flow rate of air is given
by the continuity equation;
𝑚̇ = 𝜌𝐴 𝑉𝑖
where 𝜌 is the density of incoming wind, 𝐴 is the cross sectional area of stream,
 3

1 1
𝑃𝑡𝑜𝑡 = (𝜌𝐴𝑉𝑖 )𝑉𝑖2 = (𝜌𝐴𝑉𝑖3 )
2 2

Maximum Power
Total Power cannot be converted completely to mechanical power. Consider a horizontal axis
propeller type windmill henceforth referred to as a wind turbine.
The maximum mechanical power conversion capacity of a turbine is given by;
8
𝑃𝑚𝑎𝑥𝑖𝑚𝑢𝑚 = 𝜌𝐴𝑉𝑖3
27

and the velocity of leaving air from the turbine blade at maximum mechanical power
conversion capacity, 𝑉𝑒 is given by;
𝑉𝑖
𝑉𝑒,𝑜𝑝𝑡 =
3
The ideal or maximum, theoretical efficiency 𝜂{𝑚𝑎𝑥} (also called power coefficient) is given
by;
𝑃{𝑚𝑎𝑥} 8
𝜂{𝑚𝑎𝑥} = = = 0.5926
𝑃𝑡𝑜𝑡 27
In other words, a wind turbine is capable of converting no more than approximately 60% of
total power of wind to useful power.

1.1.5. Wind Turbine

The kinetic energy contained in the wind can be converted into both mechanical and electrical
energy by a windmill. A modern type of windmill that uses the kinetic energy of the wind to
produce an electrical energy output is called a Wind Turbine.
Multiple wind turbines that are arranged together in clusters to capture large amounts of wind
energy at the same time and convert it into electrical power feeding this power into the electrical
grid are known as Wind Farms. These wind farms can be located on flat land, mountain tops
or offshore in the sea.
Wind turbine technology may look simple but there are many mechanical parts to a modern
wind turbine. The wind turbine rotor blades rotate around a central hub, which turns a low
speed gearbox shaft, which rotates a generator at a higher speed and makes electricity. The
electrical generator converts the kinetic energy of the rotating blades into electrical energy were
electrical cables carry this energy to an electrical sub-station for distribution to the utility grid.

1.1.6. Types and Classification of Wind Turbines

Wind turbines are broadly classified into two categories. When the axis of rotation is parallel
to the air stream (i.e. horizontal), the turbine is said to be a Horizontal Axis Wind Turbine
(HAWT), and when it is perpendicular to the air stream (i.e. vertical), it is said to be a Vertical
Axis Wind Turbine (VAWT). The size of the rotor and its speed depends on rating of the
 4

turbine. Some of the features of HAWT estimated at wind speed of 12 𝑚/𝑠 and 𝜂 = 30% are
given below:

Class
SN Features
Small Medium Large Very Large
Rated
1 Power, 10 25 50 100 150 250 500 1000 2000 3000 4000
kW
Rotor
2 Diameter, 6.4 10 14 20 25 32 49 64 90 110 130
m
Rotor,
3 200 150 100 67 55 43 29 19 15 13 11
RPM

(A) Horizontal Axis Wind Turbine (HAWT)

The constructional details of most common, three-blade rotor, horizontal axis wind turbine is
shown in Fig.1.2. Main parts are: blades, hub, Nacelle or head, yaw control mechanism and
tower.
(a) Turbine Blades: Turbine blades are made of high-density wood or glass fiber and epoxy
composites. They have airfoil type cross-section. The blades are slightly twisted from
the outer tip to the root to reduce the tendency to stall. Diameter of a typical, MW range,
modern rotor may be of the order of 100 m.
(b) Hub: The central solid portion of the rotor wheel is known as hub. All blades ate
attached to the hub. Mechanism for pitch angle control is also provided inside the hub.
(c) Nacelle or Head: The rotor is attached to nacelle, mounted at the top of a tower. It
contains rotor brakes, gearbox, generator and electrical switchgear and control. Brakes
are used to stop the rotor when power generation is not desired. Gearbox steps up the
shaft rpm to suit the generator. Protection and control functions are provided by
switchgear and control block. The generated electrical power is conducted to ground
terminals through a cable.
(d) Yaw Control Mechanism: The mechanism to adjust the nacelle around vertical axis to
keep it facing the wind is provided at the base of nacelle.
(e) Tower: Tower supports nacelle and rotor. For medium and large sized turbines, the
tower is slightly taller than the rotor diameter. In case of small sized turbine, the tower
is much larger than the rotor diameter as the air is erratic at lower heights. Both steel
and concrete towers are being used.
In operation blades of the wind mill rotate due to the kinetic energy of the flow of wind.
This makes the shaft to rotate which in turn drives the generator to produce electricity. The
power produced by the generator is transferred down the tower to the power grid system
and then through the transmission lines.
 5

Figure 1.2. Horizontal Axis Wind Turbine

(B) Vertical Axis Wind Turbine (VAWT)

The constructional details of a vertical axis wind turbine are shown in Fig. 1.3. The details of
main components are as follows:
(a) Tower (or Rotor Shaft): The tower is a hollow vertical rotor shaft, which rotates freely
about vertical axis between top and bottom bearings. It is installed above a support
structure. In the absence of any load at the top, a very strong tower is not required,
which greatly simplifies its design. The upper part of the tower is supported by guy
ropes. The height of the tower of a large turbine is around 100 m.
(b) Blades: It has two or three thin, curved blades shaped like an eggbeater in profile, with
blades curved in a form that minimizes the bending stress caused by centrifugal forces.
The blades have airfoil cross section with constant chord length. The diameter of the
rotor is slightly less than the tower height.
(c) Support Structure: Support structure is provided at the ground to support the weight of
the rotor. Gearbox, generator, brakes, electrical switchgear and controls are housed
within this structure.
 6

In operation blades of the wind mill rotate due to the kinetic energy of the flow of wind. This
makes the shaft to rotate which in turn drives the generator to produce electricity. The power
produced by the generator is transferred down the tower to the power grid system and then
through the transmission lines.

Figure 1.3. Vertical Axis Wind Turbine

VAWTs are in the development stage and many models are undergoing field trial. Main
attractions of a VAWT are:
(i) It can accept wind from any direction, eliminating the need of yaw control.
(ii) Gearbox, generator etc. are located at the ground, thus eliminating the heavy nacelle
at the top of the tower. This simplifies the design and installation of the whole
structure, including tower.
(iii) The inspection and maintenance also gets easier and
(iv) It also reduces the overall cost.

Advantages of Horizontal-axis Wind Turbines over Vertical-axis Wind Turbines

1. Stability: Blades are to the side of the turbines’ centre of gravity, helping stability.
2. Ability to wing warp: This gives the turbine blades the best angle of attack.
3. High efficiency: Since the blades always move perpendicularly to the wind, and
receives power through the whole rotation.
4. Tall tower allows placement on uneven land or in offshore locations.
5. Can be sited in forest above tree-line.
 7

6. Most are self-starting.

Disadvantages of Horizontal-axis Wind Turbines over Vertical-axis Wind Turbines

1. It is difficult to transport and install. Tall masts and blades are more difficult to transport
and install. Transportation and installation can now cost 20% of equipment costs.
Further, it requires tall cranes and skilled operators.
2. Strong tower construction is required to support the heavy blades, gearbox, and
generator.
3. Difficult to maintain.
4. Fatigue issues leading to blade failure.
5. They require an additional yaw control mechanism to turn the blades toward the wind.

Using wind energy has many advantages as well as disadvantages over other forms of
renewable energy sources as listed below.

Advantages of Wind Energy Harvesting

1. Wind energy is a clean and renewable technology that does not release pollutants,
emissions or by-products into the atmosphere during operation since there are no
chemical processes involved in its electrical generation.
2. Modern turbines produce very little mechanical noise when operating except for a low
“whooshing” sound.
3. Although the strength of the wind varies from one day to another, the total output of
energy over a set period of time, varies by only a small percentage as wind turbines are
designed to operate within a wind speed window which is usually between 10 mph and
60 mph.
4. Although wind turbines and especially wind farms take up a lot of land space, the land
on a wind farm can be used simultaneously for wind generation, crops growing, animal
grazing or anything else below the vanes of the turbines.
5. Wind generation can be done in remote areas and on any scale from small personal and
domestic use to large full size wind farms, which means that even remote mountainous
places that might otherwise be regarded as “off grid” can generate power.

Disadvantages of Wind Energy Harvesting

1. Wind farms require large areas of land or have to be placed in environmentally sensitive
areas such as deserts, on top of hills and mountain ridges or offshore in the sea where
the winds force is stronger and constant.
2. The wind turbine is like a giant propeller and as such needs the kinetic power of the
wind to rotate it meaning that at low wind speeds, the turbine does not generate any
useful electricity.
3. Wind farms injure, kill and disturb the flight patterns of migratory birds and predatory
birds.
 8

4. Wind turbines cause noise pollution because they produce a low frequency “whooshing
sound” as the blades rotate.
5. The initial investment in the turbines, transportation and ground works makes wind
energy costs higher than for conventional fossil-fuel generators.
6. The best locations for converting wind into electricity are far away from populated
urban areas, which often means that the electricity must be stored and/or transported
over long cable distances.
 9

1.2 TIDAL ENERGY

1.2.1. Introduction
Tidal Energy or Tidal Power is another form of hydro power that exploits the vast energy
source of the oceans tides to generate electricity. Tidal Energy is a “sustainable energy source”,
as the Earth uses the gravitational forces of both the moon and the sun every day to move vast
quantities of water around the oceans and seas producing tides.
Tides are created because of the gravitational and kinematic effects due to the position and the
combined motion of the Earth, the Moon and the Sun. The Moon, even though it has much
smaller mass than the Sun, plays a more important role in the creation of tides because it is
significantly closer than the Sun. The mass of the Moon ‘‘pulls’’ the ocean water masses in its
direction and creates a ‘‘bulge’’ on the surface of the ocean. The effect of the Moon’s pull is
modified by the effect of the Sun, as shown in Fig. 1.4. When the Earth, the Moon and the sun
are aligned, the tides are amplified and are called spring tides. When the three bodies form a
right-angle triangle the tidal effect is modulated and we have the neap tides. There are two
periods of spring tides and two of neap tides during every Moon cycle, which lasts for
approximately 29.5 days.

Figure 1.4. Spring and Neap Tides

The average range of the surface of the oceans is twice the maximum height, or approximately
1 𝑚. The bulges on the tidal deformations on the surface of the ocean form the tidal waves,
which are shallow, long wavelength waves that move on the surface of the Earth’s Ocean. At
any time, there are two highs and two lows on the surface of the ocean.
The Earth rotates around its axis with a period of 24 h, and the apparent motion of the moon is
a rotation around the Earth with a period of 24 h and 50 min. This implies that the tidal waves
propagate on the surface of the oceans with a period, which is half the apparent period of
 10

rotation of the Moon. Therefore, the period of the ocean tides is 12 h 25 min. According to
elementary wave theory, typical speeds of propagation of the tidal waves are close to 200 m/s.

1.2.2 Tidal Energy Utilization

Types of Tidal Energy Generation Systems

Presently, there are two types of tidal energy conversion systems normally used to generate
electricity from tidal energy. They are (1) Tidal Barrage system and (2) Tidal Current or
Stream system.

(1) Tidal Barrage Generation System

A Tidal Barrage (Figure 1.5) is a type of tidal power generation that involves the construction
of a fairly low dam wall, known as a “barrage” and hence its name, across the entrance of a
tidal inlet or basin creating a tidal reservoir.
This dam has a number of underwater tunnels cut into its width allowing sea water to flow
through them in a controllable way using “sluice gates”. Fixed within the tunnels are huge
water turbine generators that spin as the water rushes past them generating tidal electricity.

Figure 1.5. Tidal Barrage Generation System

 11

A tidal barrage generates electricity using the difference in the vertical height between the
incoming high tides and the outgoing low tides. As the tide ebbs and flows, sea water is allowed
to flow in or out of the reservoir through a one way underwater tunnel system. This flow of
tidal water back and forth causes the water turbine generators located within the tunnels to
rotate producing tidal energy with special generators used to produce electricity on both the
incoming and the outgoing tides.
The one disadvantage of Tidal Barrage Generation, is that it can only generate electricity when
the tide is actually flowing either “in” or “out” as during high and low tide times the tidal water
is stationary.
However, because tides are totally predictable, other power stations can compensate for this
stationary period when there is no tidal energy being produced. Another disadvantage of a tidal
barrage system, is the environmental and ecological effects that a long concrete dam may have
on the estuaries they span.

(2) Tidal Current or Stream Generation System

A Tidal Stream Generation system (Figure 1.6) reduces some of the environmental effects of
tidal barrages by using turbine generators beneath the surface of the water. Major tidal flows
and ocean currents, like the Gulf Stream, can be exploited to extract its tidal energy using
underwater rotors and turbines.
Tidal stream generation is very similar in principle to wind power generation, except this time
water currents flow across a turbines rotor blade which rotates the turbine, much like how wind
currents turn the blades for wind power turbines. In fact, tidal stream generation areas on the
sea bed can look just like underwater wind farms.

Figure 1.6. Tidal Stream Generation System

Unlike off-shore wind power which can suffer from storms or heavy sea damage, tidal stream
turbines operate just below the sea surface or are fixed to the sea bed. Tidal streams are formed
 12

by the horizontal fast flowing volumes of water caused by the ebb and flow of the tide as the
profile of the sea bed causes the water to speed up as it approaches the shoreline.

1.2.3 Advantages Tidal Energy

(1) Tidal energy is a renewable energy resource because the energy it produces is free and clean
as no fuel is needed and no waste bi-products are produced.
(2) Tidal energy has the potential to produce a great deal of free and green energy.
(3) Generally tidal energy is not expensive to operate and maintain compared to other forms of
renewable energies.
(4) Low noise pollution as any sound generated is transmitted through the water.
(5) High predictability as high and low tides can be predicted years in advance, unlike wind.
(6) Large tidal reservoirs have multiple uses and can create recreational lakes and areas where
before there were none.

1.2.4 Disadvantages of Tidal Energy

(1) Tidal Energy requires a suitable site, where the tides and tidal streams are consistently
strong.
(2) Must be able to withstand forces of nature resulting in high capital, construction and
maintenance costs.
(3) High power distribution costs to send the generated power from the submerged devices to
the land using long underwater cables.
(4) Intermittent power generation, only generates power ten hours a day during the ebb and flow
of the tides
(5) Danger to fish and other sea-life as they get stuck in the barrage or sucked through the tidal
turbine blades.
 13

1.3. WAVE ENERGY

1.3.1. Introduction
Ocean wave energy, or just simply Wave Energy, is another type of ocean based renewable
energy source that uses the power of the waves to generate electricity. Unlike tidal energy
which uses the ebb and flow of the tides, wave energy uses the vertical movement of the surface
water that produce tidal waves.
In its simplest terms, an ocean wave is the up-and-down vertical movement of the sea water
which varies sinusoidally with time. This sinusoidal wave has high points called crests and low
points called troughs. The difference in height of a wave between the crest and the trough is
called the range, then the wave’s amplitude is the centre of these two points and corresponds
to the actual sea level when there is no movement of the water, in other words, a calm sea.

Figure 1.7. Ocean Wave and its Terminology

Energy in the waves is harnessed basically in the form of mechanical energy using wave energy
converters, also known as wave devices or wave machines. A wave device may be placed in
the ocean in various possible situations and locations. The fluctuating mechanical energy
obtained is modified/smoothed out to drive a generator.

1.3.2. Wave Energy Devices

Ocean wave energy has many advantages over ocean wind energy in that it is more predictable,
less variable and offers higher available energy densities. Depending on the distance between
the energy conversion device and the shoreline, wave energy systems can be classified as being
either Shoreline devices, Nearshore devices or Offshore devices.
 14

Figure 1.8. Wave Energy Devices

Shoreline devices are wave energy devices which are fixed to or embedded in the shoreline,
that is they are both in and out of the water.
Nearshore devices are characterised by being used to extract the wave power directly from the
breaker zone and the waters immediately beyond the breaker zone, (i.e. at 20 m water depth).
Offshore devices or deep water devices are the farthest out to sea and extend beyond the
breaker lines utilising the high-energy densities and higher power wave profiles available in
the deep water waves and surges.
One of the advantages of offshore devices is that there is no need for significant coastal
earthworks, as there is with onshore devices.
As most of the energy within a wave is contained near the surface and falls off sharply with
depth. There is a surprising range of designs available that maximise the energy available for
capture. These wave energy devices are either fixed bottom standing designs used in shallow
water and which pierce the waters surface, or fully floating devices that are used to capture the
kinetic energy content of a waves movement and convert each movement into electricity using
a generator.
Depending on the actuating motion used in capturing the wave power, these devices are
classified as: (i) heaving float type, (ii) pitching type, (iii) heaving and pitching float type, and
(iv) oscillating water column type. For each of these types several designs have been developed
and tested with many more still at the design stage. Some designs will be discussed here:
1. Heaving Float Type
A float (buoy) placed on the surface of water heaves up and down with waves due to rise and
fall of water level. The resulting vertical motion is used to operate the piston of an air pump
through linkage. The pump may be anchored or moored to seabed. Several float-operated air
pumps are used to store energy in compressed air storage. The compressed air is used to
generate electricity through air turbine coupled to a generator.
In another version, hydraulic pump is operated by the motion of buoy to raise water to an
onshore reservoir and passed through a turbo-generator to generate electricity. These designs
are shown in Fig. 1.9.
 15

Figure 1.9. Heaving Float type Device

2. Oscillating Water Column Type

This device comprises a partly submerged concrete or steel structure, which has an opening to
the sea below the water line, thereby enclosing a column of air above a column of water. The
wave impinging on the device causes the water column to rise and fall, which alternately
compresses or depressurizes the air column. The air is allowed to flow through a turbine, which
drives the generator. The specially developed axial flow Well’s turbine, which operates with
either direction of airflow, is used to extract energy as shown in Fig. 1.10. Conventional
(unidirectional) air turbine with rectifying valves can also be used. Main advantages of
oscillating water column device are: (i) the air velocity can be increased by reducing the cross-
section area of the air channel. Thus, the slow wave motion can be coupled to high-speed
turbine motion. (ii) generating equipment are kept away from immediate saline water
environment.
 16

Figure 1.10. Oscillating Water Column Device

3. Spill-over Type or Overtopping Devices

Overtopping Devices – also known as “spill-over” devices (Figure 1.11), are either fixed or
floating structures that use ramps and tapered sides positioned perpendicular to the waves. The
sea waves are driven up the ramp and over the sides filling-up a small tidal reservoir which is
located 2 to 3 metres above sea level. The potential energy of the water trapped inside the
reservoir is then extracted by returning the water back to the sea through a low head Kaplan
turbine generator to produce electricity.

Figure 1.11. Overtopping Device

1.3.3. Advantages of Wave Energy

(1) Wave energy is an abundant and renewable energy resource as the waves are
generated by the wind.
(2) Pollution free as wave energy generates little or no pollution to the environment
compared to other green energies.
(3) Reduces dependency on fossil fuels as wave energy consumes no fossil fuels during
operation.
(4) Wave energy is relatively consistent and predictable as waves can be accurately
forecast several days in advance.
 17

(5) Wave energy devices are modular and easily sited with additional wave energy
devices added as needed.
(6) Dissipates the waves energy protecting the shoreline from coastal erosion.

1.3.4. Disadvantages of Wave Energy

(1) Visual impact of wave energy conversion devices on the shoreline and offshore
floating buoys or platforms.
(2) Wave energy conversion devices are location dependent requiring suitable sites were
the waves are consistently strong.
(3) Intermittent power generation as the waves come in intervals and does not generate
power during calm periods.
(4) High power distribution costs to send the generated power from offshore devices to
the land using long underwater cables.
(5) They must be able to withstand forces of nature resulting in high capital, construction
and maintenance costs.
 18

1.4. SOLAR THERMAL ENERGY CONVERSION

The common characteristic of all Solar-Thermal systems for energy conversion is that they
capture the solar radiation as heat and subsequently use this heat primarily for two purposes:
a) The production of electricity via a conventional thermal cycle, and
b) Residential space or water heating and the supply of heat for commercial and industrial
processes.
For this process to be efficient and economical, it is necessary to collect and concentrate the
diffuse solar radiation in an efficient manner to arrive at a reasonably high-temperature heat
source. Solar thermal collectors gather the sun’s energy and direct it onto the receivers that
contain the working fluid. The receivers that can be considered are:
1. Central receivers
2. Dispersed or distributed receivers – can be a) the point-focus type or b) the line-focus
type
3. Solar ponds
1.4.1. Solar-Thermal Power Plant (Central Receiver Type System)
The central receiver approach to solar-thermal-electric systems uses a large field of reflecting
mirrors called heliostats that redirect the sun’s energy and concentrate it on a central receiver
mounted on top of a tower. The heliostats are individually guided, since they cover a large
field, so that each focuses the sun’s energy it receives on the central receiver at all hours of
sunlight. In the receiver the concentrated solar energy is absorbed by a circulating fluid. The
fluid could be water, which vaporizes into steam that is used to drive a turbogenerator in a
Rankine cycle, or an intermediate fluid that transports the heat to the steam cycle.
The system should incorporate storage for nighttime and cloudy periods as shown in the
Fig.1.12. The receiver output is made greater than that required by the steam cycle, and the
excess output during periods of greatest solar incidence is bypassed to a thermal storage system.
During periods of low or no solar incidence, the feedwater is shunted to the storage system,
instead of to the receiver, where it vaporizes for use in the turbine, proper valving in the system
allows operation in either mode.
Since these power plants are located in arid areas, condenser water is cooled using a dry cooling
tower which requires no makeup water.
 19

Figure 1.12. Central Receiver-Heliostat Based Solar Power Plant

1.4.2. Distributed Solar Thermal Systems

Another approach to solar thermal energy conversion, besides the central receiver tower
concept is the distributed or dispersed solar thermal system. Rather than hundreds of heliostats
focusing solar energy on a single distant receiver atop a tall tower, this system is characterized
by the use of a large number of collectors, called concentrators.

1.4.3. Parabolic Dish System (Point-focus dish concentrator)

A parabolic dish collector is similar in appearance to a large satellite dish as shown in Fig. 1.13,
but has mirror-like reflectors and an absorber at the focal point. It uses a dual-axis sun tracker.
1. Concentrating solar energy onto a receiver located at the focal point of the dish.
 20

2. The dish structure must track fully the sun to reflect the beam into the thermal receiver.
The receiver absorbs the radiant solar energy, converting it into thermal energy in a circulating
fluid. The thermal energy can then either be converted into electricity using an engine–
generator coupled directly to the receiver, or it can be transported through pipes to a central
power conversion system. Parabolic-dish systems can achieve temperatures in excess of
1,500°C. Because the receivers are distributed throughout a collector field, like parabolic
troughs, parabolic dishes are often called distributed receiver systems.
The following are the important advantages of parabolic dish reflectors:
1. They are the most efficient of all collector systems as they are always pointing the sun.
2. They typically have concentration ratio in the range of 500–2,000, and thus are highly
efficient at thermal energy absorption and power conversion systems.
3. They have modular collector and receiver units that can either function independently or as
part of a large system of dishes.
This type of solar thermal energy concentrator is primarily used with parabolic dish engine,
which is usually a Stirling engine coupled to a generator.

Figure 1.13. Parabolic Dish System

1.4.4. Solar Pond

The concept of the solar ponds combines power production from solar energy and storage. A
solar pond is essentially a pool of water, approximately 1 m deep. In a typical pool the water
is heated by the Sun and rises to the surface, where it partly evaporates. The evaporation of the
water vents a great deal of the pool’s water as vapor; does not allow the accumulation of a great
deal of energy in the pool; and keeps the average temperature of the water to low levels.
Actually, the temperature of a typical pool in the summer is low enough for it to be used for
recreational activities. If the natural convection process that brings warmer fluid to the pool
surface is suppressed, it is possible for the water temperature at the bottom of the pool to
increase significantly by absorbing solar radiation. This may be accomplished in a salt-gradient
 21

solar pond, which uses natural salt (NaCl) as well as transparent partitions to suppress the
natural convection in the pool. The depth of the solar pond is approximately 1 m and its bottom
and walls are coated with a light absorbing material. The water in the solar pond is usually
separated in three layers:
a) The bottom layer is saturated with salt and, therefore, its density is significantly
greater than the density of pure water
b) The intermediate layer, which also contains salt at lower concentration, and
c) The upper layer, which is pure water without any salt.
Even though some solar ponds do not have partitions between the three layers, it is advisable
to include transparent partitions in order to suppress molecular diffusion, which will disturb
and annihilate the salt gradient.
When sunlight enters the solar pond, it is captured by the absorbing bottom and walls as well
as the water. The temperature of the water close to the bottom rises, but the density of the salty
water in this layer is high enough for natural convection to not occur. The transparent partitions
between the three layers create a ‘‘greenhouse effect,’’ thus trapping an additional quantity of
heat in the two bottom layers. A great deal of the insolation absorbed remains at the bottom of
the pond, where the temperature rises significantly. Temperatures as high as 95℃ have been
recorded in the bottom layer of well-designed solar ponds. Temperatures of this magnitude are
sufficient to produce vapor in a suitable secondary fluid, such as pentane, butane or a
refrigerant, which becomes the working fluid of a Rankine cycle operating with the solar pond
as the boiler.
Because the water has very high heat capacity, a solar pond may store a significant amount of
energy to be used when the Sun is low in the horizon. The production of electricity from a solar
pond may continue even in the evening hours, when there is no natural insolation, thus
providing a good alternative to produce power in the evening hours, when the demand is high
because of air-conditioning needs. The main advantage of solar ponds is that they serve
simultaneously as electric power generating plants as well as storage media.
The disadvantage of solar ponds is that they loose a significant amount of heat to the ground
and to the atmospheric air. Because of this, the temperature of the lower zone becomes high
enough to produce power for only a limited period of time during the year, typically for a few
weeks during the summer. Even during these weeks, the solar pond temperature drops during
the nights to levels that do not support power generation. Therefore, the energy efficiency of
solar ponds defined as the electric energy produced during a year divided by the total incident
solar energy is expected to be very low.
 22

Figure 1.14. Solar Pond based Power Plant

1.4.5. Solar Water Heater - Solar Flat Plate Collector
The most widespread use of solar energy is the passive heating of buildings and water. While
passive heating does not produce electricity or any other form of energy, it helps avoid the use
of fossil fuels or electric power for heating purposes and, thus, helps conserve the energy
resources of the planet.
Passive solar heating in buildings is caused by an artificial greenhouse effect: Glass and several
polymeric materials allow low-wavelength solar radiation to pass through them, but trap high-
wavelength radiation. These materials effectively act as high-wavelength radiation filters. An
enclosure that is covered by one of the greenhouse materials and faces the Sun ‘‘traps’’ a great
deal of the solar energy.
A schematic diagram of the cross-section of a solar collector is depicted in Fig.1.15 (b).
Because a typical collector as shown in Fig.1.15 (a) is placed on a roof, the solar collector
depicted is at an angle with the horizontal. A line diagram of the solar water heater is given in
Fig.1.15 (c). The inside material of the collector is coated with absorbing paint and usually has
a dark color. Solar energy enters the top of the collector through the double glass and heats up
the enclosed fluid, which is typically water or a solution. Depending on the design of the
collector, the temperature of this fluid may reach 70 − 85℃. Another, closed water circuit
picks up the heat from the collector and dissipates it inside the building: the water that is
circulated through the pipes of this circuit may supply the tank of a water heater and maintain
it at the typically required temperature of 40 − 50℃, or it may circulate via space heaters to
supply the heat required to maintain a comfortable condition in the building.
Solar collectors may trap direct or diffuse solar radiation. Because they also absorb diffused
radiation, they may operate even in the cloudy autumn and winter days when most of the
heating for the buildings is needed. Since the heated water may be stored for later use, the solar
heating of buildings is not limited only to the daylight hours and may extend into the night
hours. With the appropriate design of the heating system, solar heating may provide hot water
and heat for buildings throughout the year and save a significant amount of primary energy
resources.
 23

(c) Solar Water Heater – Flat Plate Type

Figure 1.15. Flat plate collector for Water Heating

 24

1.4.6. Selection of Solar Collectors – A Practical Approach

Sizing a Solar Flat Plate Collector for use in a solar hot water or heating system depends upon
the hot water demand. If the homes hot water consumption or maximum water temperature is
reduced, hot water demands may be supplied by a smaller solar array that is easy to install on
the roof. Also, smaller thermal systems are cheaper to install and will pay for themselves sooner
through energy savings.
Sizing a solar thermal energy system of course depends on your hot water needs, temperature
and consumption but general rules of thumb can be used to help give an idea of a system size.
Solar flat plate collectors usually range in size from about 32 square feet (4 x 8 ft) or 3 square
metres and can weigh more than 200 pounds or 100 kilo-grams each. One square foot (1000
cm2) heats about two gallons or 10 litres of water per day to well over 70oC. Therefore a single
panel of 20 to 30 square feet will heat about 60 gallons (300 litres) of water which is about the
size of a standard hot water storage tank.

1.4.7. Advantages of Solar Energy

1) Solar energy will be accessible as long as we have the sun and hence it is a truly
renewable energy source. It can be harnessed in all areas of the world and is available
every day.
2) Since solar power is pollution-free, causes no greenhouse gases and freely available
in the nature, it can be used as an alternative to high-cost energy sources.
3) Reduced dependence on foreign oil and fossil fuels.
4) Can be installed virtually anywhere; in a field to on a building.
5) Ability to live grid free if all power generated provides enough for the home/building
and excess power can be sold back to the power company if the grid inner tied
6) Renewable clean power that is available every day of the year, even cloudy days
produce some power
7) Solar energy can be converted into other forms of energy; hence it can be used for a
wide range of applications from household, industrial to electricity production.
8) Solar energy systems generally don’t require a lot of maintenance. You only need to
keep them relatively clean, so cleaning them a couple of times per year will do the
job.

1.4.8. Disadvantages of Solar Energy

1) Solar energy is a dilute source of energy. So, it may take up a significant amount of
land and cause land degradation or habitat loss for wildlife.
2) Collection of solar energy is a critical and difficult stage. Special components are
required to collect the solar energy and also to concentrate it efficiently.
3) Solar energy depends entirely on a country’s exposure to sunlight; this could be limited
by a country’s climate.
4) One of the biggest problems that solar energy technology poses is that energy is only
generated while the sun is shining. That means night time and overcast days can
interrupt the supply.
 25

5) The energy collected during the Sun shining must be stored for its use during night
times and cloudy conditions.
6) Solar panels can be expensive to install resulting in a time-lag of many years for
savings on energy bills to match initial investments.

Review Questions:
1. Write a short note on formation of wind and comment on its variation with height. Also
comment on effect of wind energy harvesting on environment.
2. Sketch and explain the construction and working of HAWT. Evaluate its merits and
demerits.
3. Illustrate with a neat sketch the construction and working of VAWT. Evaluate its merits and
demerits
4. Explain the formation of Tides with a neat sketch, comment on effect of tidal energy on
environment
5. Illustrate with a neat sketch, the operation of single basin single effect and double effect
schemes.
6. Illustrate with sketch working of Tidal barrages and Tidal turbine. Explain the significance
of these system to society.
7. List the advantage and disadvantages of Tidal Energy conversion system and comment on
its economic issues.
8. Write a note on the concept of solar pond and its use for power generation. Comment on its
cost of generation and initial investments.
9. Illustrate with diagram the construction and working of Solar water heater and explain
selection parameter of solar water heater for domestic, commercial applications
10. Explain with neat sketch Pitching type and oscillating type wave energy conversion
system.
11. Mention advantages and disadvantages of wave energy conversion and comment on latest
development in wave energy.
12. Write a short note on central receiver-heliostat based solar power plant.
13. With a neat concept diagram discuss a solar water heater suitable for your home.
 28

2. BELT DRIVE

2.1 INTRODUCTION
The power is transmitted from the prime mover (power source), for example electric motor, to
machines like, drilling machine, lathe, etc., by means of intermediate mechanism called
drives. Most commonly used drives are:
Belt drive, Rope drive, Chain drive and Gear drive.
The selection of particular type of drive depends on the application, i.e., the amount of power
transmitted, distance between the two shafts, etc,

2.2 COMPONENTS OF BELT DRIVE

The belt drives are used to transmit power or motion from one shaft to another by means of a
inextensible belt running over two pulleys (Fig. 2.1). A pulley is a circular disc having a hole
at center so as to accommodate a shaft in it. Motion is transmitted due to frictional force
between the pulleys and the belt surface. Belt drives run smoothly and with little noise, and
provide shock absorption for motors, loads, and bearings when the force and power needed
changes. A drawback to belt drives is that they transmit less power than gears or chain drives.

Figure 2.1 Belt drives

A simple arrangement of belt drive is shown in figure 2.2. The belt drive consists of two
pulleys mounted on two different shafts and a continuous inextensible belt running over these
two pulleys. One shaft called the driving shaft receives power from the mains and transmits to
another shaft called driven shaft. The pulley mounted on the driving shaft is called driving
pulley or driver while the other pulley mounted on a shaft to which the power is to be
transmitted is called the driven pulley or follower. The belt passing over the pulley is kept in
tension so as to avoid slip over the pulley. This helps in transmitting power effectively from
one shaft to another.
 29

Figure 2.2 Belt drive arrangement

2.3 TYPES OF BELT DRIVE

There are two types of belt drives – open belt, and cross belt drives.

Figure 2.3 Open belt drive

In open belt drive, the driving and the driven pulley are rotating in the same direction. When
shafts are placed apart, the lower side of the belt should be tight side and upper side must be
the slack side. When the upper side becomes slack side, it will sag due to its own weight and
thus increases the arc of contact which in turn increases the capacity of the drive.
In cross belt drives they rotate in opposite directions. At the junction where the belt crosses, it
rubs against itself and wears off. To avoid excessive wear, the shaft must be placed at a
maximum distance from each other and operate at low speeds.
 30

Figure 2.4 Cross belt drive

2.4 VELOCITY RATIO OF BELT DRIVE

The velocity ratio of a belt drive is defined as the ratio of the speed of the driven pulley to the
speed of the driving pulley.
When there is no slip, the peripheral velocity of the two pulleys should be same.
Let d1 and d2 be the diameter of the driving pulley and driven pulley respectively, let N1 and
N2 be their speeds in rpm.
Linear speed of the belt = [circumferential speed of the driving pulley] = [circumferential
speed of the driven pulley]
= [π d1N1] = [πd2N2]
d1N1 = d2N2
Velocity ratio = N2/N1 = d1/d2
Considering thickness of belt ‘t’,
Velocity ratio = N2/N1 = (d1+ t)/ (d2+ t)

2.5 SLIP IN BELT DRIVE

The difference between the tensions in the tight and slack sides of the belt is equal to the force
of friction. When this condition exists in a belt drive, the friction between the pulley and the
belt in contact with it will provide the necessary frictional grip to prevent the sliding of the
belt over the pulley. Suppose the difference between the tension in the tight and slack sides of
the belt is greater than the force of friction, then the belt begins to slide over the surface of the
pulley. This sliding of the belt which causes a relative motion between the pulley and belt is
called slip.
Velocity ratio (when slip is considered) = N2/N1 =
 31

Where, S = % slip

2.6 CREEP IN BELT DRIVE

Any material when subjected to tension elongates, and so is the belt material. This elongation
is directly proportional to the tension in the belt. Tensions on the two sides of the belt passing
over the pulley are different, on the tight side the tension is more, and on the slack side, the
tension is less. Hence, there is a gradual increase in the length of belt over the surface of the
pulley. This stretching results in relative motion between the belt and pulley surfaces. This
phenomenon is called creep. Any material when subjected to tension elongates, and so is the
belt material. This elongation is directly proportional to the tension in the belt. Tensions on
the two sides of the belt passing over the pulley are different, on the tight side the tension is
more, and on the slack side, the tension is less. Hence, there is a gradual increase in the length
of belt over the surface of the pulley. This stretching results in relative motion between the
belt and pulley surfaces. This phenomenon is called creep.

2.7 LENGTH OF BELT FOR OPEN BELT DRIVE

An open belt drive is shown in figure 2.5.

Let
r1 = radius of larger pulley
r2 = radius of larger pulley
X = center distance between two pulleys
L = length of belt

Angle of lap of the smaller pulley = π − 2Φ radians

Angle of lap of the larger pulley = π + 2 Φ radians

Figure 2.5 Length of belt for open belt drive

 32

Substituting Φ and cos Φ in equation, we get

 33

2.8 LENGTH OF BELT FOR CROSS BELT DRIVE

A crossed belt drive is shown in figure 2.6.

Let
r1 = radius of larger pulley
r2 = radius of larger pulley
X = center distance between two pulleys
L = length of belt

Angle of lap of the smaller pulley = π + 2Φ radians

Angle of lap of the larger pulley = π + 2 Φ radians

Figure 2.6 Length of belt for cross belt drive

 34

2.9 INITIAL TENSION BELT DRIVE

When a belt is wound round the two pulleys (i.e., driver and follower), its two ends are joined
together; so that the belt may continuously move over the pulleys, since the motion of the belt
from the driver and the follower is governed by a firm grip, due to friction between the belt and
the pulleys. In order to increase this grip, the belt is tightened up. At this stage, even when the
pulleys are stationary, the belt is subjected to some tension, called initial tension.
When the driver starts rotating, it pulls the belt from one side (increasing tension in the belt on
this side) and delivers it to the other side (decreasing the tension in the belt on that side). The
increased tension in one side of the belt is called tension in tight side and the decreased tension
in the other side of the belt is called tension in the slack side.
Let T0 = Initial tension in the belt,
T1 = Tension in the tight side of the belt,
T2 = Tension in the slack side of the belt,
 35

Initial tension in the belt is given by

2.10 BELT TENTIONS IN FLAT BELT DRIVE

Consider flat belt wound around a driven pulley as shown in figure 2.7 (a). let the driven
pulley rotates in clockwise direction.
Let T1 = tension on tight side of the belt
T2 = tension on slack side of the belt
θ = arc of contact between belt and pulley
µ = coefficient of friction between belt and pulley
Consider a small element PQ of the belt. Let δθ be the angle subtended by the element PQ.
The element PQ is in the equilibrium under the action of the following forces. Refer figure 2.7
(b),
Slack side tension (T) acting at P
tight side tension (T + δT) acting at Q
Normal reaction (R) exerted by the pulley on belt element PQ
Friction force (F = µR) acting perpendicular to the normal reaction (R),
 36

Figure 2.7 Belt tensions

 37

The above equation gives the relationship between the tensions T1 and T2. And the angle of
contact θ between the belt and the pulley.

2.11 POWER TRANSMITTED IN A BELT DRIVE

Let T1 = tension on tight side of the belt (maximum tension) in Newton (N)
T2 = tension on slack side of the belt in N
d1 = diameter of driver pulley in m
d2 = diameter of driven or follower pulley in m
The effective turning force acting on the circumference of the follower is the difference in
tensions on the tight side (T1) and slack side (T2) of the belt.

2.12 APPLICATIONS OF BELT DRIVE

Belt drives are having wide range of applications of power transmission starting from
industrial, automobile, marine, aerospace, farming sector etc.

2.13 ADVANTAGES OF BELT DRIVE

1. A belt drive is simple and economical.
2. It can be easily installed and removed.
3. A belt drive is capable of transferring power vertically, horizontally and in inclined
plane too.
4. Noise and vibration are damped out.
 38

5. Machinery life is increased because load fluctuations are shock-absorbed.

6. Less maintenance cost because no lubrication is required.
7. Belts permit flexibility ranging from high horsepower drives to slow speed and high-
speed drives so it is highly efficient in use.
8. A flat belt is best for very high-speed drives.
9. This drive is very economical even when the distance between the shaft is very large.
10. Belts will slip under overload conditions this leads the biggest advantages that
preventing mechanical damage to shafts, keys, and other machine parts.
11. Capable of transferring power vertically, horizontally and in inclined plane too.

2.14 DISADVANTAGES OF BELT DRIVE

1. Operating temperature is restricted up to 80 to 85 0C.
2. Heat build-up occurs.
3. Belts can't be used where exact timing or constant speed is required because of slippage.
4. In belt drive, belts are damaged easily by abrasives or heat or some chemicals.
5. Some adjustment of center distance or use of an idler pulley is necessary for wearing and
stretching of belt drive compensation.
6. Speed is limited to usually 35 meters per second.
7. Power transmission is limited to 370 kilowatts.
8. Loss of power due to slip and creep.
9. Cannot be used for a very short distance.

2.15 NUMERICAL PROBLES ON BELT DRIVE

PROBLE 1:
In a cross belt drive the difference in tension between tight and slack side is 1200 N. If the
angle of contact is 160º and the co-efficient of friction is 0.28, find the tension between slack
and tight sides.
SOLUTION:
 39

PROBLE 2:
In a belt drive the ratio of tensions is 2, and the slack side is 500 N. If the speed and diameter
of the driven pulley are 200 rpm and 120 cm respectively, find the power transmitted.
SOLUTION:
 40

PROBLE 3:
Two pulleys of diameters 500 mm and 250 mm are to be connected by an open belt drive. If
the distance between their axis is 1.5 m, find the required length of belt.

SOLUTION:

PROBLE 4:
Determine the length of belt required to connect two pulleys having opposite direction of
rotation. The diameters of two pulleys are 500 mm and 250 mm. The distance between their
axis is 1.5 m.

SOLUTION:
 41

QUESTIONS FOR REVIEW

1. Discuss relative merits and demerits of belt, rope and chain drive for transmission of
power.
2. Obtain an expression for the length of a belt in an open belt drive.
3. Obtain an expression for the length of a belt in a cross-belt drive.
4. In a belt drive, the velocity ratio is 2. The driving pulley runs at 720 rpm. The diameter of
the driven pulley is 250 mm. find the speed of the driven pulley and the diameter of the
driving pulley.
5. A shaft running at 200 rpm is to drive a shaft at 300 rpm. The pulley on the driving shaft is
300 mm in diameter. Determine diameter of the driven pulley and velocity ratio of the
drive. Also find the linear velocity of the belt.
6. An open belt drive is used to connect a machine with an engine shaft, which is rotating at
300 rpm. Pulley on the engine shaft has 150 mm diameter and on the machine shaft 600
mm diameter. The thickness of the belt is 6 mm. Determine the machine by neglecting the
belt thickness and also by considering the belt thickness.
7. In a belt drive, the angle of lap on a driven pulley is 160º and the coefficient of friction is
0.3. if the maximum tension in the belt is 9 kN, calculate the initial tension in the drive.
8. It is desired to transmit a power of 20 kW between 2 parallel shafts by means of an open
belt drive. The driving shaft rotates at 150 rpm, while the driven shaft at 250 rpm. The
distance between the centers of two shafts is 2.7 m. The pulley mounted on driven shaft
has 600 mm. Estimate the length of the belt required.
9. Two parallel shafts 6 m apart are provided with 300 mm and 400 mm diameter pulleys and
are connected by means of a cross belt. The direction of rotation of the follower pulley is
to be reversed by changing over to an open belt drive. How much length of the belt has to
be reduced?
10. Find the power transmitted by a belt running over a pulley of 600 mm diameter at 200
rpm. The coefficient of friction between the belt and the pulley is 0.25, angle of lap 160°
and maximum tension in the belt is 2500 N.
11. In a flat belt drive the initial tension is 2000 N. The coefficient of friction between the belt
and the pulley is 0.3 and the angle of lap on the smaller pulley is 150°. The smaller pulley
has a radius of 200 mm and rotates at 500 rpm. Find the power in kW transmitted by the
belt drive.
12. A pulley is driven by a flat belt running at a speed of 600 m/min. The coefficient of
friction between the pulley and the belt is 0.3 and the angle of lap is 160°. If the maximum
tension in the belt is 700 N; find the power transmitted by a belt.
 42

13. Two pulleys, one 450 mm diameter and the other 200 mm diameter are on parallel shafts
1.95 m apart and are connected by a crossed belt. Find the length of the belt required and
the angle of contact between the belt and each pulley.
What power can be transmitted by the belt drive when the larger pulley rotates at 200
rev/min, if the maximum permissible tension in the belt is 1 kN, and the coefficient of
friction between the belt and pulley is 0.25?
 43

3. MECHANICAL DRIVE SYSTEM

3.1 GEAR DRIVE - INTRODUCTION

A gear is a toothed wheel that engages another toothed mechanism to change speed or the
direction of transmitted motion. Combination of gears, known as gear train is generally used
for one of four different reasons:
1. To increase or decrease the speed of rotation,
2. To change the amount of force or torque,
3. To move rotational motion to a different axis (i.e. parallel, right angles, rotating, linear
etc.),
4. To reverse the direction of rotation.

Figure 3.1 Gear trains inside a mechanical wrist watch

Gears are compact, positive-engagement, power transmission elements capable of changing
the amount of force or torque. Sports cars go fast (have speed) but cannot pull any weight. Big
trucks can pull heavy loads (have power) but cannot go fast. Gears cause this. Gears are
generally selected and manufactured using standards established by American Gear
Manufacturers Association (AGMA) and American National Standards Institute (ANSI).
A gear train is a mechanical system formed by mounting gears on a frame, so the teeth of the
gears engage. Gear teeth are designed to ensure the pitch circles of engaging gears roll on each
other without slipping, providing a smooth transmission of rotation from one gear to the next.
The main purpose of a gear train is to increase torque or speed. The arrangement of the driver
and driven gears determine if the gear train will increase torque or speed. To increase output
torque using a gear train, a power source should be directly connected to a smaller gear and
used to drive a larger gear.

3.2 GEAR TYPES, CHARACTERISTICS & APPLICATIONS

The gears can be classified according to:
1. the position of shaft axes
2. the peripheral velocity
 44

3. the type of gears

4. the teeth position

3.2.1. According to the position of shaft axes

Gears may be classified according to the relative position of the axes of revolution. The axes
may be:

1. Parallel shafts where the angle between driving and driven shaft is 0
degree.Examples include spur gears, single and double helical gears.
2. Intersecting shafts where there is some angle between driving and driven shaft.
Examples include bevel and miter gear.
3. Non-intersecting and non-parallel shafts where the shafts are not coplanar.
Examples include the hypoid and worm gear.

Figure 3.2 Classification of gears according to position of shafts

3.2.2. According to peripheral velocity:

Gears can be classified as:

1. Low velocity type, if their peripheral velocity lies in the range of 1 to 3 m/sec.
2. Medium velocity type, if their peripheral velocity lies in the range of 3 to 15
m/sec.
3. High velocity type, if their peripheral velocity exceeds 15 m/s.

3.2.3. According to type of gears:

Gears can be classified as external gears, internal gears, and rack and pinion.
1. External gears mesh externally - the bigger one is called “gear” and the
smallerone is called “pinion”.
2. Internal gears mesh internally - the larger one is called “annular” gear and
thesmaller one is called “pinion”.
3. Rack and pinion type – converts rotary to linear motion or vice versa. There is
a straight-line gear called “rack” on which a small rotary gear called “pinion”
moves.
 45

3.2.4. According to teeth position:

Gears are classified as straight, inclined and curved.

1. Straight gear teeth are those where the teeth axis is parallel to the shaft axis.
2. Inclined gear teeth are those where the teeth axis is at some angle.
3. Curve gear teeth are curved on the rim’s surface.

3.2.1 TYPEOF GEARS

(a) SPUR GEARS

Spur gears are used to transmit power between two parallel shafts. The teeth on these
gears are cut straight and are parallel to the shafts to which they are attached.

Figure 3.3 Spur gears

Characteristics:
• Simplest and most economical type of gear to manufacture.
• Speed ratios of up to 8 (in extreme cases up to 20) for one step (single reduction) design;
up to 45 for two step design; and up to 200 for three-step design.

Limitations:
• Not suitable when a direction change between the two shafts is required.
• Produce noise because the contact occurs over the full face width of the mating teeth
instantaneously.

HELICAL GEARS
Helical gears resemble spur gears, but the teeth are cut at an angle rather than parallel to the
shaft axis like on spur gears. The angle that the helical gear tooth is on is referred to as the
helix angle. The angle of helix depends upon the condition of the shaft design and relative
position of the shafts. To ensure that the gears run smoothly, the helix angle should be such
that one end of the gear tooth remains in contact until the opposite end of the following gear
tooth has found a contact. For parallel shafts, the helix angle should not exceed 20 degrees to
avoid excessive end thrust.
 46

Figure 3.4 Helical gears

Characteristics:
The longer teeth cause helical gears to have the following differences from spur gears of the
same size:
• Tooth strength is greater because the teeth are longer than the teeth of spur gear of
equivalent pitch diameter.
• Can carry higher loads than can spur gears because of greater surface contact on
the teeth.
• Can be used to connect parallel shafts as well as non-parallel, non-intersecting
shafts.
• Quieter even at higher speed and are durable.

Limitations:
• Gears in mesh produce thrust forces in the axial directions.
• Expensive compared to spur gears.

BEVEL GEARS

A bevel gear is shaped like a section of a cone and primarily used to transfer power between
intersecting shafts at right angles. The teeth of a bevel gear may be straight or spiral. Straight
gear is preferred for peripheral speeds up to 1000 feet per minute; above that they tend to be
noisy.

Characteristics:
• Designed for the efficient transmission of power and motion between intersecting
shafts. A good example of bevel gears is seen as the main mechanism for a
hand drill. As the handle of the drill is turned in a vertical direction, the
bevelgears change the rotation of the chuck to a horizontal rotation.
• Permit a minor adjustment during assembly and allow for some displacement
due to deflection under operating loads without concentrating the load on the end
of the tooth.
 47

Figure 3.5 Bevel gears

WORM GEARS
Worm gears are used to transmit power between two shafts that are at right angles to each
other and are non-intersecting.
Worm gears are special gears that resemble screws, and can be used to drive spur gears or
helical gears. Worm gearing is essentially a special form of helical gearing in which the teeth
have line contact and the axes of the driving and driven shafts are usually at right angles
and do not intersect.

Characteristics:
• Meshes are self-locking. Worm gears have an interesting feature that no other gear set
has: the worm can easily turn the gear, but the gear cannot turn the worm. This is because
the angle on the worm is so shallow that when the gear tries to spin it, the friction
between the gear and the worm holds the worm in place. This feature is useful for
machines such as conveyor systems, in which the locking feature can act as a brake for
the conveyor when the motor is not turning.
• Worm gear is always used as the input gear, i.e. the torque is applied to the input end of
the worm shaft by a driven sprocket or electric motor.
• Best suited for applications where a great ratio reduction is required between the driving
and driven shafts. It is common for worm gears to have reductions of 20:1, and even up
to 300:1 or greater.

Limitations:
• Yield low efficiency because of high sliding velocities across the teeth, thereby causing
high friction losses.
• When used in high torque applications, the friction causes the wear on the gear teeth and
erosion of the restraining surface.
 48

Figure 3.6 Bevel gears

RACKS (STRAIGHT GEARS)

The rack is a bar with a profile of the gear of infinite diameter, and when used with a
meshing pinion, enables the rotary to linear movement or vice versa.

Characteristics:
• Racks with machined ends can be joined together to make any desired length.
• The most well-known application of a rack is the rack and pinion steering system used on
many cars in the past. The steering wheel of a car rotates the gear that engages the rack.
The rack slides right or left, when the gear turns, depending on the way we turn the wheel.
Windshield wipers in cars are powered by a rack and pinion mechanism.

Figure 3.7 Rack and pinion

3.3 GEARS FUNDAMENTALS & TERMINOLOGY

In this section, we will discuss the gear fundamentals, considering spur gears. It is the most
common and the simplest form, and hence the most comprehensible. The same principles
apply to spiral gears and bevel gears too.
A gear can be defined in terms of its pitch, pressure angle and number of teeth. Let’s discuss
few terms here:
Pitch Circle Diameter (d) - This is the diameter of a circle about which the gear tooth
geometry is designed or constructed. The pitch circle is the imaginary circle found at the point
where the teeth of two gears mesh. The diameter of the pitch circle is called the pitch
 49

diameter.
Outside Diameter (OD) - The outside circle is the distance around the outer edge of thegear’s
teeth. The diameter of the outside circle is called the outside diameter.

Figure 3.8 Terminology of gears in mesh

Root - The root is the bottom part of a gear wheel.

Pitch - Pitch is a measure of tooth spacing along the pitch circle. It is the distance between
any point on one tooth and same point on the next tooth. It is expressed in the following
forms:
Diametral Pitch (Pd) is the number of teeth per inch of the pitch diameter and is also an index
of tooth size. It is given as:

Where:
Pd = diametral pitch
Z = number of teeth
d = pitch circle diameter in inches
A large diametral pitch indicates a small tooth and vice versa. Another way of saying this;
larger gears have fewer teeth per inch of diametral pitch.

Module (m) is the metric equivalent of diametral pitch, i.e. the pitch diameter (in mm)
divided by the number of teeth, but unlike diametral pitch, the higher number, the larger the
teeth. Meshing gears must have the same module:

Circular Pitch (Pc): is the distance from a point on one tooth to the corresponding poing on
the adjacent tooth, measured along the pitch circle. Calculated in inches, the circular pitch
equals the pitch circle circumference divided by the number of teeth:
 50

Because the circular pitch is directly proportional to the module and inversely proportional to
the diametral pitch, meshing teeth must have the same circular pitch.

Figure 3.9 Gear terminology

Relationship between Circular Pitch and Diametral Pitch:

We have,

The product of the circular pitch and the diametral pitch is equal to pi ( ).

Number of Teeth (N): The number of gear teeth is related to the diametral pitch and the
pitch circle diameter by equation,
Z = d x Pd.
Tooth Size: Diametral pitch, module and circular pitch are all indications of tooth size; ratios
which determine the number of teeth in a gear for a given pitch diameter. In designing a gear
set, the number of teeth in each member is of necessity. As a rule of thumb, teeth should be
large and low in number for heavily loaded gears and small and numerous for smooth
operation.
Center Distance (CD)

Center Distance is the distance between the centers of the shaft of one spur gear to the center
of the shaft of the other spur gear. The standard center distance between two spur gears is
one-half the sum of their pitch diameters.
 51

Figure 3.10 Gears in mesh

3.4 GEAR TRAIN

A gear train is a combination of gears used to transmit power from one shaft to another. The
gear to which the force is first applied is called the driver and the final gear on the train to
which the force is transmitted is called the driven gear. Any gears between the driver and the
driven gears are called the idlers. Conventionally, the smaller gear is the Pinion (B) and the
larger one is the Gear (A). In most applications, the pinion is the driver; this reduces speed but
increases torque.

Figure 3.11 Gear train

When gears are connected together, it is common to talk about the corresponding gear ratio.
Gear ratio is the ratio of the number of teeth on the first gear to the number of teeth on the
second. It is the reciprocal of speed ratio, which is the ratio of second gear to first gear.
Assuming T1, T2 as number of teeth on first (driver) gear and second (driven) gear and N1, N2
as rotational speed (in rpm) of the two gears respectively,
Speed ratio = N2/N1 = T1/T2
Gear ratio Tarin value = N1/N2 = T2/T1
Speed ratio = = Speed of driven No. of teeth on driver

If you turn a gear with 6 teeth 3 times and is meshed with a second gear having 18 teeth,
than the driving gear 18 teeth (6 x 3) will move through the meshed area. This means that the
18 teeth from the second gear also move through the meshed area. If the second gear has 18
teeth, then it only has to rotate once because 18 x 1=18.
 52

Also, the second gear will be turning slower than the first because it is larger, and larger gears
turn slower than smaller gears because they have more teeth.

3.5 TYPES OF GEAR TRAINS

1. Simple gear train
2. Compound gear train
3. Planetary gear train
4. Inverted gear train
5. Differential gear

3.5.1 Simple Gear Train

Simple gear trains have only one gear per shaft as shown in Figure 3.12. The simple gear train
is used where there is a large distance to be covered between the input shaft and the output
shaft.

Figure 3.12 Simple gear train

In a simple gear train,
1. Two external gears of a pair always move in opposite directions.
2. All odd numbered gears move in one direction and all even numbered gears move in
the opposite.
3. Speed ratio is negative when the input and the output gears rotate in the opposite
 53

directions and it is positive when the two rotate in the same direction.
4. All the gears can be in a straight line or arranged in a zig-zag manner. A simple gear
train can also have bevel gears.
5. Let T = number of teeth on a gear, N = speed of a gear in rpm
6. Referring to Figure 3.12, since the driving gear 1 is in mesh with the intermediate
gear 2, therefore speed ratio for these two gears is

7.
8. Similarly, as the intermediate gear 2 is in mesh with the driven gear 3, therefore
speed ratio for these two gears is

9.
10. The speed ratio of the gear train as shown in Figure 3.16 is obtained by multiplying
the equations (i) and (ii).

Thus, it is seen that the intermediate gears have no effect on the speed ratio and, therefore,
they are known as idlers.

3.5.2 Compound Gear Train

In a compound gear train at least one of the intermediate shafts in the train must hold two
gears as shown in Figure 3.13. Compound gear trains are used when large changes in speed or
power output are needed and there is only a small space between the input and output shafts.
 54

Figure 3.13 Compound gear train

In a compound train of gears, as shown in Figure 3.14, the gear 1 is the driving gear, gears 2
and 3 are compound gears which are mounted on one of the intermediate shaft. The gears 4
and 5 are also compound gears which are mounted on another intermediate shaft and the gear
6 is the driven gear mounted on the driven shaft.
Let T = number of teeth on a gear, N = speed of a gear in rpm
Since gear 1 is in mesh with gear 2, therefore its speed ratio is

and for gears 5 and 6, speed ratio is

N5/N6 = T6/T5 ---(iii)

Note: Since gears 2 and 3 are mounted on a single shaft, therefore N2 = N3. Similarly gears 4
and 5 are mounted on a single shaft, therefore N4 = N5.
 55

The advantage of a compound train over a simple gear train is that a much larger speed
reduction from the first shaft to the last shaft can be obtained with small gears. If a simple
gear train is used to give a large speed reduction, the last gear has to be very large. Usually for
a speed reduction in excess of 7 to 1, a simple train is not used and a compound train or worm
gearing is employed.

3.5.3 Planetary Gear Train

A planetary transmission system (or Epicyclic gear train) as shown in Figure 3.14, consists
normally of a centrally pivoted sun gear, a ring gear and several planet gears which rotate
between these. This assembly concept explains the term planetary transmission, as the planet
gears rotate around the sun gear as in the astronomical sense the planets rotate around the Sun.

Figure 3.14 Planetary gear train

In an epicyclic gear train, the axis of rotation of one or more of the wheels is carried on an
arm which is free to revolve about the axis of rotation of one of the other wheels in the train.
The diagram shows a Gear B on the end of an arm A. Gear B meshes with Gear C and
revolves around it when the arm is rotated. B is called the planet gear and C the sun.
Planetary gearing or epicyclic gearing provides an efficient means to transfer high torques
utilizing a compact design.
 56

3.5.4 Inverted Gear Train

When the axes of the first gear (i.e., first driver) and the last gear (i.e., last driven or
follower) are co-axial, then the gear train is known as reverted gear train as shown in Fig.
3.16. We see that gear 1 (i.e., first driver) drives the gear 2 (i.e., first driven or follower) in
the opposite direction. Since the gears 2 and 3 are mounted on the same shaft, therefore they
form a compound gear and the gear 3 will rotate in the same direction as that of gear 2. The
gear 3 (which is now the second driver) drives the gear 4 (i.e., the last driven or follower) in
the same direction as that of gear 1. Thus, we see that in a reverted gear train, the motion of
the first gear and the last gear is like.
Let
T1 = Number of teeth on gear 1,
r1 = Pitch circle radius of gear 1, and
N1 = Speed of gear 1 in r.p.m.
Similarly,
T2, T3, T4 = Number of teeth on respective gears,
r2, r3, r4 = Pitch circle radii of respective gears, and
N2, N3, N4 = Speed of respective gears in r.p.m.
Since the distance between the centres of the shafts of gears 1 and 2 as well as gears 3 and 4
is same, therefore,
r1 + r2 = r3 + r4 ...(i)
Also, the circular pitch or module of all the gears is assumed to be same, therefore number
of teeth on each gear is directly proportional to its circumference or radius.
∴ T1 + T2 = T3 + T4 ...(ii)

...(iii)
From equations (i), (ii) and (iii), we can determine the number of teeth on each gear for the
given centre distance, speed ratio and module only when the number of teeth on one gear is
chosen arbitrarily. The reverted gear trains are used in automotive transmissions, lathe back
gears, industrial speed reducers, and in clocks (Fig. 3.16) (where the minute and hour hand
shafts are co-axial).
 57

Figure 3.15 Inverted gear train

Figure 3.16 Clock Mechanism

3.5.5 Differential Gear

Differential (Fig. 3.17) is the main component of the power train. It is bolted on the rear axle
and connects the propeller shaft to the rear wheels. While a vehicle taking a turn, its outer
wheel run faster than the inner wheel. If we connect the propeller shaft by rear axle without
using of differential gear, then the torque transmitted both the rear wheels is equal in any
condition. So, the both rear wheels will run at same speed while taking a turn which occur a
problem in driving a vehicle. To eliminate this problem a device is used which is known as
differential gear. Differential is the mechanism of gears by means of which outer wheel runs
faster than the inner wheel while taking a turn or moving over upheaval road. It is a part of
the driving axle housing assembly, which includes the differential, rear axles, wheels and
 58

bearings. It consists of a system of gear arranged in such a way that connects the propeller
shaft with the rear axle and transmit the different torque to rear wheels if necessary.
Differential is an arrangement of gears which work together and allow the vehicle to take a
turn smoothly. In the differential, bevel pinion gear is fixed to the propeller shaft which
rotates the crown wheel. The crown wheel has another unit called the differential unit. It
consists of two bevel gears (sun gear) and two bevel gears (planet gear). The bevel gears are
in contact with the half shaft of the rear axle. When the crown wheel is rotating, it rotates
the differential unit. The bevel (sun) gears of the differential rotate the two shafts.

Figure 3.17 Differential gear

3.6 ADVANTAGES OF GEAR DRIVE

1. Gear drives can be used for low, medium and high-power transmission.
2. Gears can be used even for very low speed and have reliable service.
3. They are used for transmitting motion over small centre distance of shafts.
4. They are used for large reduction in speed and for transmission of torque.
 59

5. Gears require only lubrication; hence less maintenance is required.

6. Gear drives cab used to transmit power or motion between parallel, intersecting and
non-parallel non-intersecting shafts.
7. They are used for positive drive, so its velocity ratio remains constant.
8. By using gear trains, large velocity ratio can be obtained with minimum space.

3.7 DISADVANTAGES OF GEAR DRIVE

1. Gears are not suitable for transmitting motion over a large distance.
2. Gears are not suitable for large velocities.
3. Higher speeds and the inaccuracy in cutting gear teeth can cause vibration and noise
through the operation.
4. Gear drives are costlier.
5. High cleanliness and proper lubrication are required for gear drive.
6. Gear drive have no flexibility.

3.7 APPLICATIONS OF BELT DRIVE

Gear drives are having wide range of applications of power transmission starting from
industrial, automobile, marine, aerospace, farming sector etc.

EXAMPLE 3.1
The gearing of a machine tool is shown in Figure 3.18. The motor shaft is connected to gear A
and rotates at 975 rpm. The gear wheels B, C, D and E are fixed to parallel shafts rotating
together. The final gear F is fixed on the output shaft. What is the speed of gear F?
The number of teeth on each gear are as given below:
Gear: A B C D E F
No. of teeth: 20 50 25 75 26 65

Figure 3.19

Solution:
Given: NA = 975 rpm;
TA = 20; TB = 50; TC = 25; TD = 75; TE = 26; TF = 65
 60

EXAMPLE 3.2
In the figure below, Gears B and C represent a compound gear and have the following details:
Gear A - 120 teeth, Gear B - 40 teeth, Gear C - 80 teeth, Gear D -20 teeth
What is the output in rpm at D, and what is the direction of rotation if Gear A rotates in a
clockwise direction at 30 rpm?

Solution:
When answering a question like this, split it into two parts.
Treat Gears A and B as the first part of the question. Treat Gears C and D as the second part.
Gear ratio AB = driven/driving = 40/120 = 1/3
Gear ratio CD = driven /driving = 20/80 = 1/4
Since the driving Gear A rotates 30 RPM and the Gear B is smaller than Gear A, we can
conclude that the rpm for Gear B is 30*3 = 90 rpm
Since Gears B and C represent a compound gear, they have the same rotational speed.
Therefore, Gear D speed is obtained by multiplying 4 to Gear C speed of 90 rpm.
Thus, Gear D moves at 90*4 = 360 rpm
OR
1/3 x ¼ = 1/12
Since Gear A moves at 30 rpm and Gear D is smaller, we multiply by 12:30 x 12 = 360 rpm.
 61

EXAMPLE 3.3
Calculate the gear ratio for the compound chain shown below. If the input gear rotates
clockwise, in which direction does the output rotate?

Gear A has 20 teeth Gear B has 100 teeth Gear C has 40 teeth Gear D has 100 teethGear E has
10 teeth Gear F has 100 teeth.

Solution:
The driving teeth are A, C and E
The driven teeth are B, D and F
Gear ratio = (100 x 100 x 100) / (20 x 40 x 10) = 125
Alternatively, we can say there are three simple gear trains as follows:
First gear GR = 100/20 = 5
Second chain GR = 100/40 = 2.5
Third chain GR = 100/10 = 10
The overall ratio = 5 x 2.5 x 10 = 125
Each chain reverses the direction of rotation so if A is clockwise, B and C rotate anti-
clockwise, so D and E rotate clockwise. The output gear F hence rotates anti-clockwise.
More complex compound gear trains can achieve high and low gear ratios in a restricted space
by coupling large and small gears on the same axle. In this way gear ratios of adjacent gears
can be multiplied through the gear train.

REVIEW QUESTIONS
1. What is a gear train? What are its main types?
2. What is the difference between a simple gear train and a compound gear train? Explain with
the neat sketches.
3. What is a reverted gear train? Where is it used?
4.What do you mean by Differentials? Give examples.
5. What is a differential gear of an automobile? How does it function?
 62

6. For the following combinations of gears, how fast will the second gear turn relative to the
first: (a) a 10 teeth gear is meshed to a 40 teeth gear and (b) a 40 teeth gear is meshed to a
20 teeth gear.
7. What size gear must a 20 teeth gear turning at 100 rpm be meshed with for the second gear
to turn at 50 rpm?
8. If you place a 20t gear on the axle of a wheel and connect it to a 100t driver gear connected
to a motor: (a) Are you gearing up or down? (b) What is the gear ratio? (c) With what
speed and torque will the wheel turn relative to the motor?
9. Two parallel shafts are to be connected by spur gearing. The approximate distance between
the shafts is 600 mm. If one shaft runs at 120 rpm and the other at 360 rpm, find the
number of teeth on each wheel, if the module is 8 mm. Also determine the exact distance
apart of the shafts. [Ans. 114, 38; 608 mm]
10. What will the overall gear ratio be if a 40 teeth gear drives a 10 teeth gear, which is
mounted on the same axle as another 40 teeth gear driving a final 10 teeth gear? Is this
gearing up or gearing down?
11. The velocity ratio of a gear drive is 3. Driving wheel has 24 teeth and turns at 180 rpm.
Find the rotational speed and the number of teeth on the driven wheel.
12. A simple gear train consists of 3 gears in series. The number of teeth on the driving gear is
60, on the idler 40 and on the driven gear 80. If the driving gear rotates at 1200 rpm, find
the speed of the driven gear and also the velocity ratio.
13. A simple gear train consists of 4 gears having 30, 40, 50, and 60 teeth respectively in
series. Determine the speed and direction of rotation of the last gear if the first gear makes
600 rpm in clockwise direction.
14. A simple gear train consists of 4 gears A, B, C and D having 20, 40, 60, and 70 teeth
respectively. Gear A is mounted on the driving shaft, while gear D is on the driven shaft.
Gears B and C are idler gears. If A rotates at 500 rpm in clockwise direction, determine (a)
speed and direction of gear D, (b) Train value of the gear train, (c) speed and direction of
intermediate gears. Sketch the arrangement of gear train using circles.
15. A gear train consists of four gears A, B, C and D of 20, 25, 50 and 75 teeth respectively. A
meshes with C and B is a compound gear with C, B meshes with D. If A has a speed of
300 rpm, what is the speed of D. Sketch the gear train.
16. A compound gear train consists of 4 gears P, Q, R, S having 20, 40, 60 and 80 teeth
respectively. The gear P is keyed to driving shaft; gear S to driven shaft, Q and R are
compound gears, Q meshing with P R meshes S. If P rotates at 150 rpm what is the rpm
of gear S? Show gear arrangement.