0 Elsevier, Paris
Adrian Bejan
Dept of Mechanical Engineering, Duke University, Durham, North Carolina 277080300, USA
Nomenclature Subscripts
body
A area 11: collector
specific heat at constant pressure Carnot, or reversible part
2 thermal conductance [I: high temperature
D diameter oi internal
EGM method of entropy generation minimization low temperature
f friction factor I;:in minimum
FD drag force opt optimum
irreversibility factor, equation (12) L reversible
; thermal conductivity 0’ per unit length
L length 00 environment
7h mass flow rate
Ns entropy generation number
P perimeter of crosssection
1I
4 heat transfer rate
ratio of thermal conductances (UA),/(UA)i INTRODUCTION
: heat transfer rate
sg,n entropy generation rate
T thermodynamic temperature Entropy generation minimization (EGM, thermody
u overall heat transfer coefficient based on A namic optimization, or finitetime thermodynamics)
Ux free stream velocity
is a method for modeling actual (irreversible) pro
ti power cesses and devices. The models incorporate basic
principles of thermodynamics and heat transfer,
Greek symbols and the optimization is subjected to finitesize and
AP pressure drop finitetime constraints. The astonishing growth of
AT temperature difference the EGM field is illustrated with examples drawn
77 firstlaw efiiciency from cryogenics, heat transfer, storage, solar energy
QI secondlax efficiency conversion, power plants, and refrigeration plants.
f? ratio of temperatures Emphasis is placed on the engineering value of
637
ABejan
EGM models, the pioneering contributions made by components must begin with the minimization of
Chambadal and Novikov in 1957, and new direc entropy generation.
tions such as the EGM of time dependent processes. The critically new aspect of the EGM method (the
aspect that makes the use of thermodynamics in
sufficient and distinguishes EGM from exergy anal
ysis) is the minimization of the calculated entropy
generation rate. To minimize the irreversibility of
a proposed design, the analyst must use the re
2I METHOD lations between temperature differences and heat
transfer rates, and between pressure differences
and mass flow rates. He must relate the degree
of thermodynamic nonideality of the design to the
During the last two decades Entropy Generation physical characteristics of the system, namely to
Minimization (EGM) has become an established finite dimensions, shapes, materials, finite speeds
method and field in thermal science and engineer and finitetime intervals of operation. For this he
ing. The EGM method relies on the simultaneous must rely on heat transfer and fluid mechanics
application of heat transfer and engineering ther principles, in addition to thermodynamics.
modynamics principles in the pursuit of realistic
models for heat transfer processes, devices and in
stallations. By realistic models we mean models
that account for the inherent thermodynamic irre
versibility of the heat, mass and fluid flow processes.
The method is also known as thermodynamic opti
3I CRYOGENICS
mization, secondlaw analysis, and thermodynamic
design, or by new names such as finitetime, en
doreversible, or exoirreversible thermodynamics. As a special application of the GouyStodola theo
The development of EGM first became evident rem, it is easy to prove that the power required to
in engineering, specifically, in the fields or refrig keep a cold space cold is equal to the total rate of
eration (cryogenics), heat transfer, storage, solar entropy generation times the ambient temperature,
thermal power conversion and thermal science edu with the observation that the entropy generation
cation. These developments were first recognized in rate includes the contribution made by the leakage
textbook form in 1982 [ll. The field has experienced of heat from To into the cold space. The struc
astonishing growth during the 1980s and 199Os, ture of a cryogenic system is in fact dominated by
in both engineering and physics. The objective of components that leak heat, for example, mechani
this article is to illustrate how large and diverse cal supports, radiation shields, electric cables and
the EGM field has become. Emphasis is placed on counterflow heat exchangers. The minimization of
the engineering (practical) value of the method, and entropy generation along a heat leak path consists
some of the more recent applications such as the of optimizing the path in harmony with the rest of
optimization of timedependent processes. the refrigerator of liquefier.
In this presentation, I rely on a point of Figure la shows a mechanical support of length
view acquired during two just completed book L that connects the cold end of the machine (TL)
projects. One was done in collaboration with to room temperature (TH). The rate of entropy
Moran and Tsatsaronis [21,where we presented generation inside the support shown as a vertical
in a gradual and evolutionary manner the current column is:
status of three methods: exergy analysis, EGM and PTH ir
thermoeconomics. The other [3] focused strictly on
the EGM method and the current status of the
EGM literature in both engineering and physics. where the heat leak 4 is allowed to vary with the
Because the size limit of this paper does not permit local temperature T. The local heat leak change do
an extensive list of references, the reader is referred is removed by the rest of the installation, which is
to [3] for a complete and uptodate bibliography. modeled as reversible. The heat leak is also related
It is instructive to begin with a brief look at to the local temperature gradient and conduction
why in EGM we need to rely on heat transfer and crosssection A:
fluid mechanics, not just thermodynamics. Consider
the most general definition of a thermodynamic Q=kAg
system that functions while in thermal contact
with the ambient (TO). The GouyStodola theorem where the thermal conductivity k(T) decreases to
[1,41, WmJ  I+ = T&en, states that the destroyed ward low temperatures. Rearranged and integrated
power (tiT,,  ti) is proportional to the total from end to end, equation (?) places a size constraint
rate of entropy generation. If engineering systems on the unknown function Q(T):
and their components are to operate in such a
L TH,dT
k
way that their destruction of work is minimized,
then the conceptual design of such systems and
_=
A ITr. Q
(3)
638
Modeling based on combined heat transfer and thermodynamics
The heat leak function that minimizes the $,,n fixed. The result of the EGM analysis is again an
integral (1) subject to the finitesize constraint (4) optimal heat leak variation,
is obtained based on variational calculus:
L, TH
In summary, equation (1) was provided by ther I I
modynamics and equation (3) by heat transfer: to
gether they prescribe the optimal design (4), which
is characterized by a certain distribution of inter
mediate cooling effect (d&/dT),,t. Any other design,
Q(T), will generate more entropy and will require
more power in order to maintain the cold end of the x+dx, T+dT
support at TL. Together, equations (1) and (3) illus x. T
trate the method of thermodynamic optimization
subject to a physical constraint, and, to paraphrase
some of the current terminology, they constitute one
of the earliest examples of finitesize thermodynam
ics. The technological applications of the variable I I
0, TI.
heat leak optimization principle are numerous and
important. In the case of a mechanical support, (a)
the optimal design is approximated in practice by
placing a stream of cold helium gas in counterflow
(and in thermal contact) with the conduction path.
The fabrication of the heat exchanger between the
support and the coolant is less difficult and more
economic if the continuous contact is replaced by a
succession of discrete cooling stations. In this case
the optimal heat leak function required by equation
(4) must be approximated by a stepwisevarying
function.
The thermodynamic optimization of a stack of X+d%
T+dT
radiation shields in vacuum follows essentially the
same route as in equations (l)(4). For example,
Martynovskii et al [51.determined the optimal inter
XTjf
. T+‘,T
Another class of engineering components that Fig 1. (a) Mechanical support with variable heat leak;
Wkc[of;nterflow heat exchanger with longitudinal heat
have been optimized based on the EGM method
are the counterflow heat exchangers that connect
the coldest regions of refrigerators and liquefiers to
the room temperature compressor. The counterflow This cooling effect can be built into the practical
sketched in figure lb was intentionally oriented design of the counterflow heat exchanger by bleed
in the same way as the mechanical support of ing a fraction (tie) of the high pressure stream,
figure la to stress the analogy between the two expanding it in a work producing device (cylinder &
devices. The entropy generation rate associated piston, or turbine), and using the cold stream to cool
with the two streams and the space between the counterflow heat exchanger. The optimal flow
them (fig lb) is given by equation (1) in which rate through the expander is known from equation
& is now the longitudinal convective heat leak (5), ti,,,,tcP = (dQ/dT),,t. When the pressure ratio
Q = ticPAT, and AT is the transversal (streamto PHI PL is not large enough for the expanded fraction
stream) temperature difference. The equivalent of tie to become as cold as the cold end of the coun
the finitesize constraint (3) is obtained eliminating terflow (TL), the engineering solution is to install
AT from tic,dT = (pdx)UAT where p is the two or three expanders along the counterflow. The
perimeter of the duct that carries 7iz, and u is optimization of the temperature locations of such
the overall heat transfer coefficient based on p. a sequence of expanders is described in [4]. One
The total streamtostream heat transfer area P_Lis interesting characteristic of the counterflow heat
639
A Bejan
exchanger with optimal intermediate cooling effect where Qn, TB, T, , FD and U, are the heat transfer
is that the streamtostream temperature differ rate, body temperature, free stream temperature,
ence ATopt decreases proportionally with T, namely drag force and free stream velocity. The relation
(AT/T) = (rjZ+/UA) In (TH/TL). This rule is widely for calculating 0~ is provided by the field of heat
recognized in the design of cryogenic counterflow transfer. Similarly, the fluid flow information re
heat exchangers. quired for evaluating FD comes from fluid mechan
ics. The 5&, expression has the same twoterm
structure as equation (7). The competition between
the two terms points to an optimal body size for
minimum entropy generation rate. Such optimal
4I HEAT TRANSFER sizes have been reported for the flat plate in par
allel flow (laminar and turbulent), the sphere and
the cylinder in crossflow. Considerable EGM work
Workers in the mainstream of heat transfer adopted has been done on the optimization of heat transfer
the techniques developed in cryogenics and applied augmentation techniques, as shown by the review
them to many classes of devices for promoting in 131.
heat transfer. The optimization was carried out The EGM method was also applied to heat ex
at two levels of complexity: complete components changers as complete systems. Counterflow heat
(eg, heat exchangers), and elemental features (eg, exchangers were optimized subject to fixed area,
fins, ducts). For example, the flow of a singlephase fixed volume, and fixed area and volume. Similar
stream rizthrough a heat exchanger tube of internal EGM work as done in recent years on phasechange
diameter D. The heat transfer rate per unit tube heat exchangers, crossflow heat exchangers, regen
length, between the tube wall and the stream, q’, erators, and heat exchanger networks. For exam
is given. The entropy generation rate per unit tube ple, Tondeur and Kvaalen [61 showed that, for a
length is: given duty, the best configuration of a heat and
mass process is that in which the entropy gener
$,, = & +x2p2TD5
327i23f ation rate is distributed in the most uniform way
possible. Several authors have recommended that
The Nusselt number is a result taken from the commercial computational fluid dynamics packages
field of heat transfer, while the friction factor is from should have the builtin capability of displaying lo
fluid mechanics. In this way equation (6) shows at cal entropy generation rate fields in both laminar
a glance how thermodynamics is combined from and turbulent flow (eg, Paoletti et al [71). Fun
the start with heat transfer and fluid mechanics damental EGM studies have also focused on con
in EGM. The first term on the right side is vective mass transfer, reacting flows, radiative heat
the contribution made by heat transfer, while the transfer, convection through porous media, and con
second term is the contribution due to fluid friction: duction through nonhomogeneous and anisotropic
media.
s’$?en= &!n,aT + $?n,aP (7)
Boc

T,
(9) minimum at a certain time (duration) of the heating
640
Modeling based on combined heat transfer and thermodynamics
Internal EXterflal collector and the power cycle such that the power
irreversibility irrevenibility
output is maximum. This design is represented by
/\/
the optimal collector temperature:
(10)

t
j
To
10
where R = (UA),/UA)i,
1tfi
0l
QO is the maximum (stagnation) temperature of the
collector. There is a corresponding coupling between
__ _____
SVStWll 7& ambient a collector and a refrigeration cycle. More complete
collector models also accounted for the radiation
Fig 2. The irreversibilities of sensibleheat storage [I].
effect on the heat loss to the ambient.
641
A Bejan
and Novikov [ill showed independently that the written only the entropy generation associated with
hot end temperature of a power plant can be the visible confines of the power plant, then we
optimized such that the power output is maximum. would have found that &, has a minimum at a
Chambadal’s analytical argument corresponds to THC value that differs from the maximumpower
the model drawn in figure 4. The power plant is value (11). These THC values differ not because
driven by a stream of hot singlephase fluid of inlet maximum power and minimum entropy generation
temperature TH and constant specific heat c,. The rate are two different designs, but because an error
power plant model has two compartments. The one has occurred in the evaluation of the total rate of
sandwiched between the surface of temperature entropy generation. This observation contradicts
THC and the ambient (TL) operates reversibly. The the claim [121 that, in power plants with the
area of the THC surface is assumed sticiently large maximum power efficiency (ll), minimum entropy
such that the outlet temperature of the stream is generation and maximum power are two different
equal to THC . There is only one degree of freedom in design conditions.
the optimization of the power plant: the hot end of A maximum power design similar to Cham
the inner compartment, or the exhaust temperature badal’s is the optimal combustion chamber tem
THC. It is not difficult to express W as a function of perature that was derived independently in [41. It
THC, and to show that the conversion efficiency at was shown that when the specific heats of all the
maximum power is: products of combustion are assumed sufficiently
l/2 constant (independent of temperature), the maxi
THcyopt = (THTL)"~, (11) mum power design corresponds to a hot end (flame)
temperature equal to the geometric average of the
adiabatic flame temperature and the ambient tem
perature, as in the first of equation (11).
Novikov 1111equally deserves credit for equation
(11) (see fig 5). The hot end heat exchanger of finite
thermal conductance UA drives the heat transfer
rate QH into the working fluid, which is heated
ticp at constant temperature (THc) from state (b) to
state (c). The fluid is expanded irreversibly from
(c) to (d): Novikov accounted for this irreversil$lity
by writing (sd  sa) = (1 + i)(Sd,rev  sa),or QL =
(1 + ~)QL,~~~,where (1 + i) > 1 and QL is the heat
transferred to the ambient (TL). The rest of the
_____________ power plant operates reversibly. Novikov’s optimal
heating temperature and efficiency for maximum
power output:
Fig 4. The sources of entropy generation in Chambadal’s
power plant model 131. THqopt = (1 + i)1'2(T~T~)"2,
~=l(l+i)““(g2 (12)
It can be shown that the efficiency formula (11) match Chambadal’s equation (11) in the limit where
also holds when the heat exchanger area is small the expansion is executed reversibly (i = 0). It
and the exhaust temperature is higher than the hot has been shown [31 that in Novikov’s model the
end temperature of the reversible compartment [31. maximumpower efficiency can also be derived by
Equation (11) also holds when the unmixed stream minimizing the total entropy generation rate: the
of figure 4 is replaced with a singletemperature latter must tak? into account the variability of
(mixed) fluid inside that heat exchanger 131. the heat iFput QH over a certain design interval
The maximumpower efficiency (11) can also be 0 < QH < Q (fixed). Again, this development contra
derived by minimizing the total entropy generation dicts the report 1121 that maximum W and mini
rate associated with the power plant. One source of mum S,,, are two different designs.
entropy generation in figure 4 is the heat exchanger. The ChambadalNovikov efficiency (11) was re
The other is the dumping of the used stream into discovered almost two decades later in the physics
the ambient: THC is a degree of freedom only when literature by Curzon and Ahlborn [131. Another way
the exhaust (THC) is free to float, ie, when it is not of modeling the irreversible operation of a power
required (used) by someone else downstream. The plant is shown in figure 6. The loss of heat from the
external irreversiblity indicated in figure 4 is an hot end of the power plant was modeled as a ther
essential part of the physics of the optimization mal resistance (bypass heat leak) in parallel with
process: without it the plant design cannot be an irreversiblity free compartment that produces
optimized. This additional irreversibility is what the actual power. The heat leak was modeled as
gives the design room to moue, therefore it can be proportional to the temperature difference between
called the roomtomoue irreversibility [31. the hot end and the ambient, &C = c(TH  TL),
It is worth noting is that if we had overlooked where C is the thermal conductance of the leaky in
the roomtomove irreversiblity, that is, if we had sulation of the power plant. The power is maximum
642
Modeling based on combined heat transfer and thermodynamics
TH
THC Tnc
TI.
TL
b
0
S
Fig 5. Novikov’s model for a steadystate power plant with heat transfer and expander irreversibilities [3].
643
A Bejan
7’II’
T
H
e
x3
Reversible
refrigeration
cycle
T
7; Load 1
Fig 7. (a) Refrigeration plant model with two finite size heat exchangers [l]; (b) model with bypass heat leak
irreversibility 141.
compartment that receives power and moves the 0~ increases, which means that larger machines
entropy stream toward higher temperatures, and a are more efficient.
roomtemperature heat exchanger (eg, condenser),
(see fig 7~). In ref [l], the question was where to
invest an additional unit of heat transfer area (AA)
when the cold end conductance ULAL and room
temperature conductance UHAH are given. Goth
and Feidt [161 assumed that the total heat transfer 9I TIMEDEPENDENT OPERATION
area A is constrained and showed that the power
input is minimum when A is divided as shown
in equation (15). When the optimization is based One growth area in EGM is the optimization
on the UA constraint, the thermal conductance of the timedependent operation of a process
inventory must be split evenly between the two or installation. In each case the objective is to
heat exchangers (cf Eq 14). The same optimization determine the optimal evolution of the process in
rule applies when the UA inventory is minimized time, ie, the optimal history. This subfield began
subject to flxed power input. The allocation of a with the problems illustrated in § 5. In this section
finite UA or A can also be optimized in more we take a brief look at four of the most recent
complex refrigerator models, such as that of a examples from our group’s work 131.
modern defrosting refrigerator based on the vapor
compression cycle and fluids R12 or R134a 1171. Figure 8 shows what is perhaps the simplest
model of a modern defrosting refrigerator with frost
Another practical merit of EGM models is that accumulation on the evaporator surface. The frost
they explain the trends in the data reported on layer is detrimental to refrigerator thermodynamic
the performance of existing refrigeration plants. To performance. The refrigerator operates in on and
correlate the data is important because correlations off fashion, so that the frost is removed during
are needed for making design projections on the the off intervals. It has been shown that when
refrigeration needs of future large scale projects. A the off interval (cleaning time) is specified, the on
3line analysis of the model of figure 7b predicts interval can be optimized in such a way that the
that the secondlaw efficiency (vi) should vary as: refrigerator power requirement (averaged over the
on and off cycle) is minimum. More complicated
(realistic) defrosting refrigerator models can also be
m= [l+z$qlg)]l (18) optimized in this way.
The corresponding on and off optimization prob
where Ci is the thermal conductance of the leaky lem in the power generation area consists of de
insulation, 0~ = Ci (TH  TL ) . A comparison with the termining the time to shut down a power plant
reported performance data shows that equation (18) and remove the scale from its heat exchangers [ 181.
with C~THIQL M 5 is an adequate curvefit. Equation Fouling, or scale formation, decreases the heat ex
(18) predicts several of the observed trends. First, changer conductances and conversion efficiency of
mr decreases monotonically as Ci increases, which the power cycle. There is an optimal on interval (ie,
should be expected because leakier refrigerated power generation) for a specified heat exchanger
enclosures make less efficient refrigeration plants. cleaning time interval. This is true for fouling ei
Second, 91 decreases as TL/TH decreases. Third, ther in the hot end heat exchanger or in the cold
the secondlaw efficiency (or the COP) increases as end heat exchanger.
644
Modeling based on combined heat transfer and thermodynamics
ambient To
refrigerated
space TL
irreversiblt :
refrigerata I _w
evaporator Tmin I
Fig 8. Model of a refrigerator with on and off operation and frost accumulation on the evaporator surface [3, IS].
The formation of frost on cold heat exchangers thermodynamics and heat transfer. The method
is detrimental to refrigerator thermodynamic per and field that unite these classical disciplines is
formance, which is why the optimization of the entropy generation minimization. Today EGM is
freezing and frostremoval cycle is an important an established method in both fundamental and
technological issue. Most interesting is that the applied heat transfer (eg, 119,201). I am delighted
same phenomenon  the same cycle  can be viewed that this, historically an engineering method, has
and optimized as something beneficial, namely, the spread even outside engineering to attract contribu
maximization of ice production in industrial ice tions from physicists, mathematicians and optimal
making installations. This optimization principle is control scientists.
relevant to the production by solidification of other
materials, not just ice. On the basis of a simple 64 I
EGM model, it was shown [31 that the frequency
of the ice formation and removal cycle can be op
timized for maximum timeaverage rate of ice (or
solid) production.
For example, figure 9 shows the growth of an
ice sheet on a plane wall in contact with water
at solidification temperature, when S increases as
t112. If the freezing time is tl and the specified
ice removal time is t2, the time averaged rate of
ice production is proportional to ti’2/(tl + t2): this
quantity is maximized when tl is selected such that
0 ‘1 ‘1 + L1 L
t1,opt = t2.
IO I CONCLUSIONS
installation. If these optima exist in EGM models
as simple as the ones reviewed in this article, then
real opportunities exist for the optimal distribution
of hardware in the design of actual installations.
A quiet revolution is taking place in thermodynam The practical contribution of EGM is the same as
ics, and it amounts to the closing of the gap between that of any other fundamental method: it is to show
645
A Bejan
the way, to uncover new opportunities for the indus [lo] Chambadal P (1957) Les centrules nuckbires. Armand
trial work that will follow. In the classroom, EGM Colin, Paris, France, 4 158
has changed the way in which we teach and apply [l11 Novikov II (1957) The efficiency of atomic power
Thermodynamics [l4,21]. stations. Atomnayu energiya 3(1 1), 409, English
Most recently, the method has been used to translation in: I Nuclear Energy /I 7(1958), 125l 28
predict selforganization and selfoptimization in [12] Salamon P, Nitzan A (1981) Finite time optimization
Nature [221. It was found that the tree network of a Newton’s law Carnot cycle. J Chem Phys 74,
is the geometricoptimization result for minimal 35463560
flow resistance between one point and a finite 1131Curzon FL, Ahlborn B (1975) Efficiency of a Carnot
volume 1221. engine at maximum power output. Am J Phys 43,
2224
1141Andresen B, Salamon P, Berry RS (1984) Thermody
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