Heat Transfer:

Physical Origins
and
Rate Equations

Chapter One
Sections 1.1 and 1.2
Heat Transfer and Thermal Energy

• What is heat transfer?

Heat transfer is thermal energy in transit due to a temperature

difference.

• What is thermal energy?

Thermal energy is associated with the translation, rotation,
vibration and electronic states of the atoms and molecules
that comprise matter. It represents the cumulative effect of
microscopic activities and is directly linked to the temperature
of matter.
Heat Transfer and Thermal Energy (cont.)

DO NOT confuse or interchange the meanings of Thermal Energy, Temperature

and Heat Transfer
Quantity Meaning Symbol Units
Thermal Energy+ Energy associated with microscopic
U or u J or J/kg
behavior of matter

Temperature A means of indirectly assessing the

amount of thermal energy stored in matter
T K or °C

Heat Transfer Thermal energy transport due to

temperature gradients

Heat Amount of thermal energy transferred Q

over a time interval  t  0
J

Heat Rate Thermal energy transfer per unit time q W

Heat Flux Thermal energy transfer per unit time q  W/m 2

and surface area

+
U  Thermal energy of system
u  Thermal energy per unit mass of system
Modes of Heat Transfer

Modes of Heat Transfer

Conduction: Heat transfer in a solid or a stationary fluid (gas or liquid) due to

the random motion of its constituent atoms, molecules and /or
electrons.

Convection: Heat transfer due to the combined influence of bulk and

random motion for fluid flow over a surface.

Radiation: Energy that is emitted by matter due to changes in the electron

configurations of its atoms or molecules and is transported as
electromagnetic waves (or photons).

• Conduction and convection require the presence of temperature variations in a material

medium.
• Although radiation originates from matter, its transport does not require a material
medium and occurs most efficiently in a vacuum.
Heat Transfer Rates: Conduction

Heat Transfer Rates

Conduction:
General (vector) form of Fourier’s Law:

q   k T

Heat flux Thermal conductivity Temperature gradient

W/m  K
2
W/m °C/m or K/m
Application to one-dimensional, steady conduction across a
plane wall of constant thermal conductivity:

dT T T
qx  k  k 2 1
dx L
T1  T2
qx  k
L

Heat rate (W): qx  qx  A

Heat Transfer Rates: Convection

Heat Transfer Rates

Convection
Relation of convection to flow over a surface and development
of velocity and thermal boundary layers:

Newton’s law of cooling:

q  h Ts  T 

h : Convection heat transfer coefficient (W/m2  K)

Heat Transfer Rates: Radiation

Heat Transfer Rates

Radiation Heat transfer at a gas/surface interface involves radiation
emission from the surface and may also involve the
absorption of radiation incident from the surroundings
(irradiation, G ), as well as convection  if Ts  T  .
Energy outflow due to emission:
E   Eb   Ts4
E : Emissive power  W/m2 
 : Surface emissivity  0    1
Eb : Emissive power of a blackbody (the perfect emitter)
 : Stefan-Boltzmann constant  5.67 10-8 W/m 2  K 4 

Energy absorption due to irradiation:

Gabs   G
Gabs :Absorbed incident radiation (W/m 2 )
 : Surface absorptivity  0    1
G : Irradiation  W/m 2 
Heat Transfer Rates: Radiation (cont.)

Heat Transfer Rates

Irradiation: Special case of surface exposed to large
surroundings of uniform temperature, Tsur

G  Gsur   Tsur4

If    , the net radiation heat flux from the

surface due to exchange with the surroundings is:
   Eb Ts    G   Ts4  Tsur4 
qrad
Heat Transfer Rates: Radiation (cont.)

Heat Transfer Rates

Alternatively,

  hr Ts  Tsur 
qrad
hr : Radiation heat transfer coefficient  W/m2  K 
hr   Ts  Tsur  Ts2  Tsur2 

For combined convection and radiation,

q  qconv   h Ts  T   hr Ts  Tsur 

  qrad
Process Identification

Example: Process identification for single-and double-pane windows

Schematic:

qconv,1 Convection from room air to inner surface of first pane

qrad,1 Net radiation exchange between room walls and inner surface of first pane
qcond,1 Conduction through first pane
qconv ,s Convection across airspace between panes
qrad,s Net radiation exchange between outer surface of first pane and inner surface of second pane (across airspace)
qcond,2 Conduction through a second pane
qconv,2 Convection from outer surface of single (or second) pane to ambient air
qrad,2 Net radiation exchange between outer surface of single (or second) pane and surroundings such as the ground
qs Incident solar radiation during day; fraction transmitted to room is smaller for double pane
Problem: Electronic Cooling

Example: Power dissipation from chips operating at a surface temperature

of 85C and in an enclosure whose walls and air are at 25C for
(a) free convection and (b) forced convection.
Schematic:

Assumptions: (1) Steady-state conditions, (2) Radiation exchange between a small surface and a large enclosure, (3)
Negligible heat transfer from sides of chip or from back of chip by conduction through the substrate.
Analysis:
Pelec  qconv  qrad  hA Ts  T    A Ts4  Tsur4 
A  L2   0.015m   2.25×10-4 m 2
2

(a) If heat transfer is by natural convection,

 
qconv  CA Ts  T  = 4.2W/m 2  K 5/4 2.25 10-4 m 2  60K  = 0.158W
5/4 5/4

qrad  0.60  2.25 10-4 m 2  5.67×10-8 W/m 2  K 4  3584  2984  K 4 = 0.065W

Pelec  0.158W  0.065W = 0.223W

(b) If heat transfer is by forced convection,

qconv  hA Ts  T   250W/m 2  K 4  2.25 10-4 m 2   60K   3.375W
Pelec  3.375W  0.065W  3.44W
Relationship to Thermodynamics

Chapter One
Section 1.3
Alternative Formulations

CONSERVATION OF ENERGY
(FIRST LAW OF THERMODYNAMICS)
• An important tool in heat transfer analysis, often
providing the basis for determining the temperature
of a system.

• Alternative Formulations
Time Basis:
At an instant
or
Over a time interval

Type of System:
Control volume
Control surface
CV at an Instant and over a Time Interval

APPLICATION TO A CONTROL VOLUME

• At an Instant of Time:
Note representation of system by a
control surface (dashed line) at the boundaries.

Surface Phenomena
E in E out :
, rate of thermal and/or mechanical energy transfer across the control
surface due to heat transfer, fluid flow and/or work interactions.
Volumetric Phenomena
Eg : rate of thermal energy generation due to conversion from another energy form
(e.g., electrical, nuclear, or chemical); energy conversion process occurs within the system.

E st : rate of change of energy storage in the system.

Conservation of Energy
dEst
E in  E out  E g  dt
E
st

Each term has units of J/s or W.

• Over a Time Interval

Ein  Eout  Eg  Est
Each term has units of J.
Closed System

• Special Cases (Linkages to Thermodynamics)

(i) Transient Process for a Closed System of Mass (M) Assuming Heat Transfer
to the System (Inflow) and Work Done by the System (Outflow).

Over a time interval

Q  W  Esttot
For negligible changes in potential or kinetic energy
Q  W  Ut
Internal thermal energy

At an instant
 dU t
q W 
dt
Example 1.4

Example: Application to thermal response of a conductor with Ohmic

heating (generation):

• Involves change in thermal energy and for an incompressible substance.

dU t dT
 Mc
dt dt

• Heat transfer is from the conductor (negative q )

• Generation may be viewed as electrical work done on the system (negative W )
Example 1.6

Example : Application to isothermal solid-liquid phase change in a container:

Latent Heat
of Fusion

U t  U lat  Mhsf
Open System
(ii) Steady State for Flow through an Open System without Phase Change or
Generation:

At an Instant of Time:

 2 
m  ut  pv  V  gz   q m  ut  pv  V 2  gz   W  0
2 •

 2 in  out
•  pv   flow work
•  ut  pv   i  enthalpy
• For an ideal gas with constant specific heat:
iin  iout  c p Tin  Tout 
• For an incompressible liquid:
uin  uout  c Tin  Tout 
 pv in   pv out 0

• For systems with significant heat transfer:

   
V
2
2 in
 V
2
2 out
0

 gz in   gz out  0
Surface Energy Balance

THE SURFACE ENERGY BALANCE

A special case for which no volume or mass is encompassed by the control surface.
Conservation of Energy (Instant in Time):
Ein  Eout  0

• Applies for steady-state and transient conditions.

• With no mass and volume, energy storage and generation are not pertinent to the energy
balance, even if they occur in the medium bounded by the surface.

Consider surface of wall with heat transfer by conduction, convection and radiation.

  qconv
qcond   qrad
  0

k
T1  T2
L
 
 h T2  T    2 T24  Tsur
4
0
Methodology

METHODOLOGY OF FIRST LAW ANALYSIS

• On a schematic of the system, represent the control surface by
dashed line(s).

• Choose the appropriate time basis.

• Identify relevant energy transport, generation and/or storage terms

by labeled arrows on the schematic.

• Write the governing form of the Conservation of Energy requirement.

• Substitute appropriate expressions for terms of the energy equation.

• Solve for the unknown quantity.

Problem: Silicon Wafer

Example: Thermal processing of silicon wafers in a two-zone furnace.

Determine (a) the initial rate of change of the wafer
temperature and (b) the steady-state temperature.

KNOWN: Silicon wafer positioned in furnace with top and bottom surfaces exposed to hot
and cool zones, respectively.
FIND: (a) Initial rate of change of the wafer temperature from a value of Tw,i  300 K, and (b)
steady-state temperature. Is convection significant? Sketch the variation of wafer temperature
with vertical distance.

SCHEMATIC:

•
Problem: Silicon Wafer (cont.)
ASSUMPTIONS: (1) Wafer temperature is uniform, (2) Hot and cool zones have uniform
temperatures, (3) Radiation exchange is between small surface (wafer) and large enclosure
(chamber, hot or cold zone), and (4) Negligible heat losses from wafer to pin holder.

ANALYSIS: The energy balance on the wafer includes convection to the upper (u) and lower
(l) surfaces from the ambient gas, radiation exchange with the hot- and cool-zones and an energy
storage term for the transient condition. Hence, from Eq. (1.12c),

E in  E out  E st
or, per unit surface area
d Tw
 h  qrad,
qrad,  c  qcv,
 u  qcv,
 l   cd
dt

4
 Tsur, 4
  4 4

h  Tw   Tsur,c  Tw  hu Tw  T   hl Tw  T    cd
d Tw
dt
(a) For the initial condition, the time rate of change of the wafer temperature is determined
using the foregoing energy balance with Tw  Tw,i  300 K,

   
0.65  5.67  108 W / m 2  K 4 15004  3004 K 4  0.65  5.67  108 W / m 2  K 4 3304  3004 K 4

8W / m2  K  300  700  K  4 W / m2  K 300  700  K 

2700 kg / m3  875J / kg  K 0.00078 m  dTw / dt i

 dTw / dt i  104 K/s <

Problem: Silicon Wafer (cont.)
(b) For the steady-state condition, the energy storage term is zero, and the energy balance can
be solved for the steady-state wafer temperature, Tw  Tw, ss .


0.65 15004  Tw,ss
4
  
K 4  0.65 3304  Tw4, ss K 4

   
8 W / m 2  K Tw,ss  700 K  4 W / m 2  K Tw,ss  700 K  0

Tw,ss  1251 K <

To assess the relative importance of convection, solve the energy balances assuming no
convection. With  dTw / dt i  101 K/s and Tw, ss  1262 K , we conclude that the radiation
exchange processes control the initial rate of change and the steady-state temperature.

If the wafer were elevated above the present operating position, its temperature would
increase, since the lower surface would begin to experience radiant exchange with
progressively more of the hot zone. Conversely, by lowering the wafer, the upper surface
would experience less radiant exchange with the hot zone, and its temperature would decrease.
The temperature-distance relation might appear as shown in the sketch.
Problem: Cooling of Spherical Canister

Example: Cooling of spherical canister used to store reacting chemicals.

Determine (a) the initial rate of change of the canister temperature,
(b) the steady-state temperature, and (c) the effect of convection
on the steady-state temperature.

535 J/kg·K

KNOWN: Inner surface heating and new environmental conditions associated with a spherical
shell of prescribed dimensions and material.

FIND: (a) Governing equation for variation of wall temperature with time and the initial rate of
change, (b) Steady-state wall temperature and, (c) Effect of convection coefficient on canister
temperature.
Problem: Cooling of Spherical Canister (cont.)

SCHEMATIC:

ASSUMPTIONS: (1) Negligible temperature gradients in wall, (2) Constant properties, (3) Uniform,
time-independent heat flux at inner surface.

PROPERTIES: Table A.1, Stainless Steel, AISI 302:  = 8055 kg/m3, c p = 535 J/kgK.

ANALYSIS: (a) Performing an energy balance on the shell at an instant of time, Ein  Eout  Est .
Identifying relevant processes and solving for dT/dt,

    4

qi 4 ri2  h 4 ro2 T  T     ro3  ri3 c p
3
 dT
dt
dT

3  q r 2  hr 2 T  T   .
 
dt  c r  r 
3 3 i i o   <
p o i
Problem: Cooling of Spherical Canister (cont.)

Substituting numerical values for the initial condition, find

 W W 
3 105  0.5m   500
2
 0.6m   500  300  K 
2
dT
  m2 m2  K 
J 
0.6    0.5  m3
kg
dt i 8055 535  3 3
m3 kg  K  
dT
 0.084 K/s <
dt i

(b) Under steady-state conditions with Est = 0, it follows that

   
qi 4 ri2  h 4 ro2 T  T 

2 2
qi  ri  105 W/m2  0.5m  <
T  T     300K     439K
h  ro  2
500W/m  K  0.6m 

(c) Parametric calculations show a sharp increase in temperature with decreasing values of h < 1000
W/m2K. For T > 380 K, boiling will occur at the canister surface, and for T > 410 K a condition known
as film boiling (Chapter 10) will occur. The condition corresponds to a precipitous reduction in h and
increase in T.
Problem: Cooling of Spherical Canister (cont.)

Although the canister remains well below the melting point of stainless steel for h = 100 W/m2K, boiling
should be avoided, in which case the convection coefficient should be maintained at h > 1000 W/m2K.

COMMENTS: The governing equation of part (a) is a first order, nonhomogenous differential equation

 
with constant coefficients. Its solution is    S/ R  1  e Rt  i e Rt , where   T  T ,

   
S  3qi ri2 /  c p ro3  ri3 , R  3hro2 / c p ro3  ri3 . Note results for t   and for S = 0.
Second law

SECOND LAW OF THERMODYNAMICS

• An important tool to determine how heat transfer affects
the efficiency of energy conversion.

For a reversible heat engine neglecting heat transfer effects between the
heat engine and large reservoirs, the Carnot efficiency is
W Q T
C   1  out  1  c
Qin Qin Th

where Tc and Th are the absolute temperatures of large cold and hot reservoirs,
respectively.
For an internally reversible heat engine with heat transfer to and from the
large reservoirs properly accounted for, the modified Carnot efficiency is
W Qout qout Tc,i
m   1  1  1
Qin Qin qin Th,i

where Tc ,i  Tc and Th ,i  Th are the absolute

temperatures seen by the internally reversible
heat engine. Note that qout and qin are heat
transfer rates (J/s or W).
Second law (cont.)

• Heat transfer resistances associated with, for example, walls separating the
internally reversible heat engine from the hot and cold reservoirs relate the
heat transfer rates to temperature differences:
 
Th  Th,i  qin Rt ,h  
Tc,i  Tc  qout Rt ,c

In reality, heat transfer resistances (K/W) must be non-zero since

according to the rate equations, for any temperature difference only a
finite amount of heat may be transferred.
The modified Carnot efficiency may ultimately be expressed as

Tc
m  1  where Rtot  Rt , h  Rt ,c
Th  qin Rtot

From Eq. 1.21,

 m  nC only if Rtot could be made infinitely small.
 For realistic situations (Rtot  0),m  nC .
 Good heat transfer engineering is a key
to improve the efficiency of heat engines.