Undergraduate Energy Balance Notes

General Energy Balance & Procedure for Application
Consider any arbitrary system. Conservation of energy requires that the total
energy of the universe remains constant. Therefore, if the total energy of our
system changes, the total energy of the surroundings changes by an amount
equal in magnitude and opposite in sign. In general, we shall consider the
change in total energy of the system explicitly, but we deal with energy changes
of the surroundings by considering energy transfer across the system boundary.
System
Surroundings
Boundary
Universe = system + surroundings
CHEN 205 Lecture Notes Spring 2011 (J C Holste)
26
The total energy of the universe is the sum of the energies of the system and the
surroundings:
total
total
total
E universe
= E system
+ E surroundings
Then, for any change in the condition of the universe:

total
total
total
total
total
E universe
= 0 = E system
+ E surroundings
E
= E surroundings
system
We also must allow for the conversion of mass to energy by nuclear reactions,
because the assumptions used to derive the energy conservation are not valid for
nuclear reactions or relativistic conditions. Then
total
total
total
E system
= E surroundings
+ E mass
to energy
For practical calculations, we deal with the system directly and with the
surroundings by observing what occurs at the system boundary.
27
The energy balance in words is

Net change in the total energy of the system =
= net energy transferred across the system boundary
+ energy produced by conversion of mass to energy within the system.
We now discuss each of the terms in the equation in more detail.
28
Net Change in Total Energy of System (Accumulation)

The total energy of the system is the sum of the kinetic, potential and internal
energies of the system:
total
total
total
total
E system
= U sys
+ (KE )sys + (PE )sys
It is most convenient for most applications to use specific energies (energy per
unit mass) in the energy balance equations.
U total = mU
(U = specific internal energy)
E k = 21 v 2
(EK = specific kinetic energy)
Ep =
1
Fdx
m
(EP = specific potential energy)
Then, the total energy of the system is

total
total
E system
= U sys
+ mE K + mE P = m U + E K + E P sys
However, the energy balance equation deals only with changes in the system
total energy. The left hand side of the equation therefore is:
Left Hand Side = m U + E K + E P

sys
29
Energy Transfer Across System Boundary

There are three types of energy transfer across a system boundary:
Heat: energy that is transferred because there is a difference in
temperature between the system and the surroundings.
Mass Transfer: Because all collections of mass have internal energies
associated with them, energy is transferred whenever mass transfer
occurs.
Work: energy that is transferred by any driving force other than
temperature, and also excluding mass transfer effects.
The reason for this peculiar distinction between energy transferred as work and
energy transferred as heat will become clear when we discuss the Second Law
of Thermodynamics later in the course.
Notation:
Q total = total energy transferred as heat

W total = total energy transferred as work
30
Heat Transfer Mechanisms

Conduction: energy is transferred from one atom or molecule to another.
No bulk flow of material is involved.
Convection: energy is transferred due to bulk flow in the fluid surrounding
the system boundary.
Radiation: energy is transferred by electromagnetic radiation emitted by a
system by virtue of its temperature. (Microwaves and radio waves do
not count as heat transfer.)
Note that convection and conduction require that atoms or molecules in the
surroundings actually contact the system boundary, but radiation can penetrate
even a vacuum.
31
Work Mechanisms:
Volume changes:
W = PdV
Shaft work:
W = d
( = torque, = angle of shaft rotation)
Surface expansion:
W = dA
( = surface tension)
Electrical work:
W = IVdt = I 2Rdt
Magnetic polarization:

W = E idp = EdE

W = BidM = BdB
Shear work:
W = Vd
Electric polarization:
(V = voltage, I = current,
R = resistance)
( = shear modulus, = strain)
Note that in all cases except those involving electromagnetic fields, work is
possible only if a physical entity crosses or touches the system boundary.
32
Energy Transfer Resulting From Mass Transfer

Consider a piston connected through a valve to a larger container as shown in
the drawing below. The pressure in the piston is greater than or equal to the
pressure in the container.
Initial State
The piston then is pushed to the left, forcing the material originally in Volume II
into Volume I, resulting in the final state shown below.
Final State
33
The total energy of Volume I in the initial state is
total
E ,initial
= m U + E K + E P
Likewise, the total energy of Volume II in the initial state is
E total = m U + E K + E P
The total energy in the initial state then is
total
E initial
= E total + E total = m U + E K + E P + m U + E K + E P
Because force is required to move the piston as the mass from Volume II is
transferred into Volume I, energy is transferred to the system as work during the
process in the amount
W = F x = P Ax = PVtotal = mPV
34
Then
total
total
E final
= E inital
+W = m U + E K + E P + m U + E K + E P + mPV
Because all the material is in Volume I at the end of the process,
total
total
total
E ,final
= E final
= E inital
+W = m U + E K + E P + m U + E K + E P + mPV
The change of energy for Volume I as the system resulting from the process is
total
total
E total = E ,final
E inital
= m U + E K + E P + mPV = m U + PV + E K + E P
If we define enthalpy as H = U + PV, then the change of energy in Volume I

resulting from the mass transfer is
E mass transfer = m H + E K + E P
Note that the conditions are those of the added mass before it enters the
system.
35
Conversion of Mass to Energy (Nuclear Energy)

The most convenient way to incorporate nuclear effects into the general energy
balance equation is to add a term (nmc2) to the transfer side (right hand side) of
the equation.
This term is necessary because the Laws of Conservation of Mass and
Conservation of Energy are in fact a single conservation principle. It is only in the
case of nuclear reactions that the conversion from mass to energy or vice versa
is of practical significance.
Sign Convention
For this course, any contribution that adds energy to the system will be taken as
positive. Some references use the opposite convention for work, so it is
importance to determine the convention being used when consulting other
references.
36
Collecting the terms from the previous discussions results in the following
equation for the integral form of the general energy balance:
m U + E k + E p
=
system
all heat
transfer
mechanisms
all heat
transfer
mechanisms
Qi +
Qi +
all
work
mechanisms
all
work
mechanisms
Wi +
all
streams
dm i
(H
+ E ik + E ip ( nm ) c 2
Wi + m ti Hi + E ik + E ip ( nm ) c 2
all
streams
37
where:
m
total mass in the system
internal energy per unit mass (system)
Ek
kinetic energy per unit mass (system)
Ep
potential energy per unit mass (system)
Qi
energy transferred as heat per unit mass by heat transfer

mechanism i
Wj
energy transferred as work by work mechanism j
mit =
amount of mass transferred across the system boundary by

mass transfer mechanism i (usually as a stream)
Hi
enthalpy of stream i
E ik
kinetic energy of stream i
E ip
potential energy of stream i
n m =
mass converted to energy by nuclear reactions
speed of light
38
This form is the best starting point for most energy balance calculations.
Beginning with this form ensures that no mechanisms are forgotten, and
unneeded terms can be discarded rapidly and conveniently.
Note that multiple mechanisms may be present for transfer of energy as work
and heat, and that multiple streams for mass transfer may exist.
The summation notation is used to emphasize the possibility of multiple
contributions.
39
Procedure for Application of the General Energy Balance

To adapt the general energy balance to a specific application, we answer a
series of questions that allow us to evaluate each term in the equation while
moving from right to left.
Ask the following questions:
1.
Are there any nuclear reactions?

No
Yes
2.
nmc2 = 0.
Keep term and go to question 2.
Is there any mass transfer to or from the system?
No
mit H i + E ik + E ip = 0
Yes
Are E ik ,E ip important relative to Hi?
No
mit H i + E ik + E ip mit H i
Yes
Keep all mass transfer terms and go to question 3.
40
3.
Any mechanisms for work?

No
Yes
4.
Any mechanisms for heat transfer?

No
Yes
5.
Wi total = 0
Keep work terms and go to question 4
Qitotal = 0
Keep heat transfer terms and go to question 5
Is an open system at steady state or a closed system at equilibrium?

Yes
No
m U + E k + E p
=0
system
Is the closed system cyclic?
Yes
No
for a complete cycle!

m U + E k + E p
=0
system
Are there any significant changes in Ek or Ep for the
system?
If this flow scheme is used, the only possible way to obtain incorrect answers is
to make incorrect decisions about some factors. None can be forgotten!
41
Applications to Special Cases

Several specific results that apply to special cases will be of interest for many
applications.
Closed System at Rest
General balance:
m U + E k + E p
=
system
all heat
transfer
mechanisms
1. No nuclear reactions
Qi +
all
work
mechanisms
all
streams
( nm ) c 2 = 0
2. Closed system no mass transfer
all
streams
3. Assume only one work mechanism
all
work
mechanisms
m ti Hi + E ik + E ip = 0
Wi = W total
42
4. Assume only one heat transfer mechanism
all
heat transfer
mechanisms
Qi = Q total
k
p
5. System at rest E sys
m U + E k + E p
= mU
= 0 = E sys
system
Collecting the results gives the appropriate form for a closed system at rest:
mU = Q total +W total
or
U = Q +W
(Closed system at rest)
Here Q is the net energy transferred as heat per unit mass, and W is the net
energy transferred as work per unit mass. This is the form usually given as
applicable to closed systems, but note that additional assumptions were required
to obtain this form.
43
Closed System at Constant Volume

General balance:
m U + E k + E p
=
system
all heat
transfer
mechanisms
Qi +
all
work
mechanisms
all
streams
( nm ) c 2 = 0
all
work
mechanisms
all
streams
3. Constant volume
Wi = 0
all
heat transfer
mechanisms
Qi = Q total
k
p
5. If system is at rest E sys
m U + E k + E p
= mU
= 0 = E sys
system
44
Collecting the results gives the appropriate form for a closed system at constant
volume:
mU = Q total
or
U = Q
(Closed system at constant volume)
This result provides a method for measuring changes in internal energy.
45
Closed System at Constant Pressure

General balance:
m U + E k + E p
=
system
all heat
transfer
mechanisms
Qi +
all
work
mechanisms
all
streams
( nm ) c 2 = 0
all
work
mechanisms
all
streams
3. Constant pressure
Wi = P dV total = P V total = mP V
all
heat transfer
mechanisms
Qi = Q total
k
p
5. If system is at rest E sys
m U + E k + E p
= mU
= 0 = E sys
system
46
Collecting the results gives the appropriate form for a closed system at constant
pressure:
mU = Q total PV total = Q total mPV
m ( U + PV ) = Q total
But, at constant pressure, H = (U + PV ) = U + P V +V P = U + P V , so

that
mH = Q total
or
H = Q
(Closed system at constant pressure)
This result provides a method for measuring changes in enthalpy.
47
Definition of Heat Capacity

Heat capacity is defined as the amount of energy transferred as heat that is
required to raise the temperature by one unit. The thermodynamic path also
must be specified, for example, at constant volume, constant pressure, or other
possible paths. Then
Cx
dQ
dT
constant x
The previous results for special cases of closed systems provide relationships
between heat capacities and temperature derivatives of the internal energy and
enthalpy:
CV
CP
dQ
dT
dQ
dT
constant V
U
=
T V
constant P
H
=
T P
48
Open Systems at Steady State

General balance:
m U + E k + E p
=
system
all heat
transfer
mechanisms
Qi +
all
work
mechanisms
all
streams
( nm ) c 2 = 0
2. Open system m ti H i + E ik + E ip 0
all
streams
3. Assume only one work mechanism
all
work
mechanisms
Wi = W total
all
heat transfer
mechanisms
Qi = Q total
5. System at steady state m U + E k + E p

=0
system
49
Collecting the results yields:
Q total +W total + m ti Hi + E ik + E ip = 0
all
streams
If there are two streams (one inlet and one outlet), then
m ti Hi + E ik + E ip = m H + E ik + E ip
all
streams
so that
m H + E ik + E ip = Q total +W total
and
H + E ik + E ip = Q +W
50
If the changes in kinetic energy and potential energy for the streams are
insignificant, this result reduces to the form usually quoted for an open system at
steady state.
mH = Q total +W total
or
H = Q +W
(Open system at steady state)
In this case, H refers to the change in enthalpy between the inlet stream and
the outlet stream.
51
Applications of the Energy Balance to Practical Situations

Compressor
Assume that the flow is steady state. Then begin with the general energy
balance:
m U + E k + E p
= Qitotal + Wi total + m ti H i + E ik + E ip ( nm ) c 2
system
1. No nuclear reactions: ( nm ) c 2 = 0
2. For two streams at steady state: m ti Hi + E ik + E ip = m H + E k + E p

3. Assume shaft work is the mechanism for work:
total
Wi total = Wcompressor
4. Assume that heat transfer is negligible Qitotal = 0
5. Steady-state flow assumption m U + E k + E p

=0
system
52
Reduced energy balance:
total
Wcompressor
= m H + E k + E p
Usually E k 0 (moderate flow velocities) and E p 0 (horizontal flow).

total
Then Wcompressor
= mH , or Wcompressor = H
total
compressor
= m (H outlet H inlet )Wcompressor =
total
Wcompressor
= H outlet H inlet
Note that the only information required to calculate compressor work is the
enthalpies of the inlet and outlet streams.
53
Condenser
balance:
m U + E k + E p
system
1. No nuclear reactions: ( nm ) c 2 = 0
2. For two streams at steady state: m ti Hi + E ik + E ip = m H + E k + E p

3. No work mechanism:
Wi total = 0
total
4. Assume one heat transfer mechanism: Qitotal = Qcondenser
5. Steady-state flow assumption m U + E k + E p

=0
system
54
Reduced energy balance:
total
Qcondenser
= m H + E k + E p
Usually E k 0 (moderate flow velocities) and E p 0 (horizontal flow).

total
Then Qcondenser
= mH , or Qcondenser = H
total
condenser
= m (H outlet H inlet )Qcondenser
total
Qcondenser
=
= H outlet H inlet
m
Note that the only information required to calculate the energy transferred as heat
in a condenser is the enthalpies of the inlet and outlet streams.
55
Heat Exchanger
a.) Consider the system as one side of the exchanger only:
balance:
m U + E k + E p
system
( nm )c 2 = 0
1. No nuclear reactions:
2. For two streams at steady state:
3. Moderate flow velocities:
E k 0
4. Horizontal flow:
E p 0
Wi total = 0
6. Assume one heat transfer mechanism:
Qitotal = Q
m ti H i + E ik + E ip = m H + E k + E p
56
7. Steady-state flow assumption:
Then:
m U + E k + E p
=0
system
Q = mB HB = mB HB,out HB,in
Note that a similar development with the other side of the exchanger would yield
Q = m A H A = m A H A,in H A,out
The direction of positive Q is arbitrary. It is specified by the arrow on the

diagram.
Note that the enthalpies are the important information, and that the result is the
same as that obtained for the condenser.
57
b.) Consider the entire heat exchanger as the system:

balance:
m U + E k + E p
system
( nm )c 2 = 0
1. No nuclear reactions:
2. There are four streams in this case:
m ti Hi + E ik + E ip = m A H A + E Ak + E Ap mB HB + E Bk + E Bp
3. Moderate flow velocities:
E Ak 0 E Bk
4. Horizontal flow:
E Ap 0 E Bp
Wi total = 0
6. No heat transfer mechanism:
Qitotal = 0
58
m U + E k + E p
=0
system
7. Steady-state flow assumption:

Then: m A H a mB HB = 0
Or:
m A H A,out H A,in + mB HB,out HB,in = 0
59
Closed Container Filled From Constant Pressure Line

Consider an empty, rigid, insulated container. The valve is opened and the
container fills to the line pressure. Determine the internal energy of the material
in the container.
Energy balance:
m U + E k + E p
= Qitotal + Wi total + m ti Hi + E ik + E ip ( nm ) c 2
system
No nuclear reactions:
( nm ) c 2 = 0
There is one stream in this case:

Moderate flow velocities:
Horizontal flow:
k
p
+ E line
m ti Hi + E ik + E ip = m Hline + E line
k
E line
0
p
E line
0
No work mechanism:
Wi total = 0
60
No heat transfer mechanism:
Qitotal = 0
Assume stationary container:
k
p
E system
= 0 = E system
The energy balance then is reduced to

(mU )system = mfU f m0U 0 = minHline
But,
mo = 0, and m f = m in = m,
so that
mUf = mH line
Uf = H line
Again, the enthalpy is the relevant physical parameter.
61

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General Energy Balance & Procedure for Application

Universe = system + surroundings

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Then, for any change in the condition of the universe:

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

The energy balance in words is

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Net Change in Total Energy of System (Accumulation)

(U = specific internal energy)

(EK = specific kinetic energy)

(EP = specific potential energy)

Then, the total energy of the system is

Left Hand Side = m U + E K + E P

Energy Transfer Across System Boundary

Q total = total energy transferred as heat

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Heat Transfer Mechanisms

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

( = torque, = angle of shaft rotation)

( = shear modulus, = strain)

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Energy Transfer Resulting From Mass Transfer

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

The total energy of Volume I in the initial state is

Likewise, the total energy of Volume II in the initial state is

The total energy in the initial state then is

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Because all the material is in Volume I at the end of the process,

If we define enthalpy as H = U + PV, then the change of energy in Volume I

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Conversion of Mass to Energy (Nuclear Energy)

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

total mass in the system

internal energy per unit mass (system)

kinetic energy per unit mass (system)

potential energy per unit mass (system)

energy transferred as heat per unit mass by heat transfer

energy transferred as work by work mechanism j

amount of mass transferred across the system boundary by

kinetic energy of stream i

potential energy of stream i

mass converted to energy by nuclear reactions

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Procedure for Application of the General Energy Balance

Are there any nuclear reactions?

Is there any mass transfer to or from the system?

Are E ik ,E ip important relative to Hi?

Keep all mass transfer terms and go to question 3.

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Any mechanisms for work?

Any mechanisms for heat transfer?

Is an open system at steady state or a closed system at equilibrium?

for a complete cycle!

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Applications to Special Cases

2. Closed system no mass transfer

3. Assume only one work mechanism

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

4. Assume only one heat transfer mechanism

(Closed system at rest)

CHEN 205 Lecture Notes Spring 2011 (J C Holste)

Closed System at Constant Volume